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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 1 of 11 

DAVID C. SHONKA 

Acting General Counsel 

KATHERINE WORTHMAN, DC Bar No. 488800 

IOANA RUSU, DC Bar No. 1001603 

Federal Trade Commission 

600 Pennsylvania Avenue, NW 

Mailstop CC-10232 

Washington, D.C. 20580 

Phone: (202) 326-2929 (Worthman) 

Facsimile: (202) 326-3768 

Email: kworthman@ftc.gov (Worthman); irusu@ftc.gov (Rusu) 

Colin Hector, CA Bar No. 281795 

Federal Trade Commission 

901 Market Street, Suite 570 

San Francisco, CA 94103 

Phone: (415) 848-5100 

Facsimile: (415) 848-5184 

Email: Attorneys for Plaintiff 

FEDERAL TRADE COMMISSION 

UNITED STATES DISTRICT COURT
 

FOR THE NORTHERN DISTRICT OF CALIFORNIA
 

San Francisco Division
 

FEDERAL TRADE COMMISSION,

 Plaintiff, 

v. 

UBER TECHNOLOGIES, INC., 

a Delaware corporation,

 Defendant. 

Case No. ____________ 

STIPULATED ORDER FOR 

PERMANENT INJUNCTION AND 

MONETARY JUDGMENT 

Plaintiff, the Federal Trade Commission (“Commission”), filed its Complaint for 

Permanent Injunction and Other Equitable Relief (“Complaint”), for a permanent injunction, 

STIPULATED ORDER PAGE 1 
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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 2 of 11 

and other equitable relief in this matter, pursuant to Section 13(b) of the Federal Trade 

Commission Act (“FTC Act”), 15 U.S.C. § 53(b). The Commission and Defendant stipulate to 

the entry of this Stipulated Order for Permanent Injunction and Monetary Judgment (“Order”) 

to resolve all matters in dispute in this action between them. 

THEREFORE, IT IS ORDERED as follows: 

FINDINGS 

1. This Court has jurisdiction over this matter. 

2. The Complaint charges that Defendant participated in deceptive acts or practices in 

violation of Section 5 of the FTC Act, 15 U.S.C. § 45, in connection with its false, misleading, 

or unsubstantiated claims regarding driver earnings and its Vehicle Program. 

3. Defendant neither admits nor denies any of the allegations in the Complaint, except as 

specifically stated in this Order. Only for purposes of this action, Defendant admits the facts 

necessary to establish jurisdiction. 

4. Defendant waives any claim that it may have under the Equal Access to Justice Act, 28 

U.S.C. § 2412, concerning the prosecution of this action through the date of this Order, and 

agree to bear its own costs and attorney fees. 

5. Defendant and the Commission waive all rights to appeal or otherwise challenge or 

contest the validity of this Order. 

DEFINITIONS 

For the purpose of this Order, the following definitions apply: 

A. “App” shall mean any software application or code that can be transmitted or 

downloaded to any mobile device. “App” also includes any software referred to as an 

STIPULATED ORDER PAGE 2 
 

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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 3 of 11 

“App” or “MobileApp” by Defendant in the course of its communications or business practices, 

or in any App Store. 

B. “Defendant” means Uber Technologies, Inc. and its successors and assigns. 

C. “Driver” means someone who receives transportation requests from members of the 

public using Defendant’s App. 

D. “Vehicle Program” means a program offering or advertising motor vehicles or motor 

vehicle financing or leasing. 

ORDER 

I. PROHIBITION AGAINST MISREPRESENTATIONS 

IT IS ORDERED that Defendant, Defendant’s officers, agents, employees, and 

attorneys, and all other persons in active concert or participation with any of them, who receive 

actual notice of this Order, whether acting directly or indirectly, in connection with promoting 

or offering for sale any good or service are permanently restrained and enjoined from: 

A. making any misrepresentation, or assisting others in making any misrepresentation, 

expressly or by implication, regarding: 

1. the income a Driver is likely to earn; 

2. the terms and conditions of financing or leasing, whether offered by Uber or 

another entity; and 

3. the terms and conditions of any Vehicle Program. 

B. making any representation, or assisting others in making any representation, expressly or 

by implication, unless the representation is non-misleading, and, at the time such representation 

is made, Defendant possesses and relies upon competent and reliable evidence that is sufficient 

in quality and quantity to substantiate that the representation is true, regarding: 

1. the income a consumer is likely to earn as a Driver; 

STIPULATED ORDER PAGE 3 
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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 4 of 11 

2. the terms and conditions of financing or leasing, whether offered by Uber or 

 another entity; or 

3. the terms and conditions of any Vehicle Program. 

II. MONETARY JUDGMENT 

IT IS FURTHER ORDERED that: 

A. Judgment of the amount of twenty million dollars ($20,000,000) is entered in favor of 

the Commission against Defendant as equitable relief. 

B. Defendant is ordered to pay to the Commission twenty million dollars ($20,000,000), 

which, as Defendant stipulates, their undersigned counsel holds in escrow for no purpose other 

than payment to the Commission. Such payment must be made within 7 days of entry of this 

Order by electronic fund transfer in accordance with instructions previously provided by a 

representative of the Commission. 

C. Defendant relinquishes dominion and all legal and equitable right, title, and interest in 

all assets transferred pursuant to this Order and may not seek the return of any assets. 

D. The facts alleged in the Complaint will be taken as true, without further proof, in any 

subsequent civil litigation by or on behalf of the Commission, including in a proceeding to 

enforce its rights to any payment or monetary judgment pursuant to this Order, such as a 

nondischargeability complaint in any bankruptcy case. 

E. The facts alleged in the Complaint establish all elements necessary to sustain an action 

by the Commission pursuant to Section 523(a)(2)(A) of the Bankruptcy Code, 11 U.S.C. 

§ 523(a)(2)(A), and this Order will have collateral estoppel effect for such purposes. 

F. Defendant acknowledges that its Taxpayer Identification Numbers (Employer 

Identification Number), which Defendant must submit to the Commission, may be used for 

collecting and reporting on any delinquent amount arising out of this Order, in accordance with 

STIPULATED ORDER PAGE 4 
 

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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 5 of 11 

31 U.S.C. §7701. 

G. All money paid to the Commission pursuant to this Order may be deposited into a fund 

administered by the Commission or its designee to be used for equitable relief, including 

consumer redress and any attendant expenses for the administration of any redress fund. If a 

representative of the Commission decides that direct redress to consumers is wholly or partially 

impracticable or money remains after redress is completed, the Commission may apply any 

remaining money for such other equitable relief (including consumer information remedies) as 

it determines to be reasonably related to Defendant’s practices alleged in the Complaint. Any 

money not used for such equitable relief is to be deposited to the U.S. Treasury as 

disgorgement. Defendant has no right to challenge any actions the Commission or its 

representatives may take pursuant to this Subsection. 

III. DRIVER INFORMATION 

IT IS FURTHER ORDERED that Defendant, Defendant’s officers, agents, employees, 

and attorneys and all others in active concert or participation with any of them, who receive 

actual notice of this Order, whether acting directly or indirectly, are permanently restrained and 

enjoined from directly or indirectly failing to provide sufficient Driver information to enable the 

Commission to efficiently administer consumer redress. Defendant represents that it will 

provided this redress information to the Commission. If a representative of the Commission 

requests in writing any information related to redress, Defendant must provide it, in the form 

prescribed by the Commission, within 14 days. 

IV. ORDER ACKNOWLEDGMENTS 

IT IS FURTHER ORDERED that Defendant obtain acknowledgments of receipt of this 

Order: 

A. Defendant, within 7 days of entry of this Order, must submit to the Commission an 

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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 6 of 11 

acknowledgment of receipt of this Order sworn under penalty of perjury. 

B. For 5 years after entry of this Order, Defendant must deliver a copy of this Order to: (1) 

all principals, officers, and directors; (2) all employees, agents, and representatives who 

participate in marketing, promotion, offering of any good or service offered by the Defendant or 

a third party relating to the activities covered in this Order and (3) any business entity resulting 

from any change in structure as set forth in the Section titled Compliance Reporting. Delivery 

must occur within 7 days of entry of this Order for current personnel. For all others, delivery 

must occur before they assume their responsibilities. 

C. From each individual or entity to which Defendant delivered a copy of this Order, 

Defendant must obtain, within 30 days, a signed and dated acknowledgment of receipt of this 

Order. 

V. COMPLIANCE REPORTING 

IT IS FURTHER ORDERED that Defendant make timely submissions to the 

Commission: 

A. One year after entry of this Order, Defendant must submit a compliance report, sworn 

under penalty of perjury: (a) identify the primary physical, postal, and email address and 

telephone number, as designated points of contact, which representatives of the Commission 

may use to communicate with Defendant; (b) identify all of Defendant’s businesses by all of 

their names, telephone numbers, and physical, postal, email, and Internet addresses; (c) describe 

the activities of each business, including the goods and services offered, the means of 

advertising, marketing, and sales; (d) describe in detail whether and how Defendant is in 

compliance with each Section of this Order; and (e) provide a copy of each Order 

Acknowledgment obtained pursuant to this Order, unless previously submitted to the 

Commission. 

STIPULATED ORDER PAGE 6 
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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 7 of 11 

B. For 9 years after entry of this Order, Defendant must submit a compliance 

notice, sworn under penalty of perjury, within 14 days of any change in the following: (a) any 

designated point of contact; or (b) Defendant’s structure or that of any entity Defendant has any 

ownership interest in or controls directly or indirectly that may affect compliance obligations 

arising under this Order, including: creation, merger, sale, or dissolution of the entity or any 

subsidiary, parent, or affiliate that engages in any acts or practices subject to this Order. 

C. Defendant must submit to the Commission notice of the filing of any bankruptcy 

petition, insolvency proceeding, or similar proceeding by or against such Defendant within 14 

days of its filing. 

D. Any submission to the Commission required by this Order to be sworn under penalty of 

perjury must be true and accurate and comply with 28 U.S.C. § 1746, such as by concluding: “I 

declare under penalty of perjury under the laws of the United States of America that the 

foregoing is true and correct. Executed on: _____” and supplying the date, signatory’s full 

name, title (if applicable), and signature. 

E. Unless otherwise directed by a Commission representative in writing, all submissions to 

the Commission pursuant to this Order must be emailed to DEbrief@ftc.gov or sent by 

overnight courier (not the U.S. Postal Service) to: Associate Director for Enforcement, Bureau 

of Consumer Protection, Federal Trade Commission, 600 Pennsylvania Avenue NW, 

Washington, DC 20580. The subject line must begin: FTC v. Uber Technologies Inc. 

VI. RECORDKEEPING 

IT IS FURTHER ORDERED that Defendant must create certain records for 9 years 

after entry of the Order, and retain each such record for 5 years. Specifically, Defendant must 

create and maintain the following records: 

A. accounting records showing the revenues from all goods or services sold; 

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Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 8 of 11 

B. personnel records showing, for each person providing transportation services, whether as 

an independent contractor, employee or otherwise, that person’s: name; addresses; telephone 

numbers; job title or position; dates of service; and (if applicable) the reason for termination of 

the relationship; 

C. records of all Driver complaints relating to Driver earnings or the Vehicle Program 

whether received directly or indirectly, such as through a third party, and any response; 

D. all records necessary to demonstrate full compliance with each provision of this Order, 

including all submissions to the Commission; and 

E. a copy of each unique advertisement or other marketing material relating to the amount 

of money Drivers can earn driving on the Uber platform or the Vehicle Program. 

VII. COMPLIANCE MONITORING 

IT IS FURTHER ORDERED that, for the purpose of monitoring Defendant’s 

compliance with this Order, including the financial representations upon which the judgment 

was suspended and any failure to transfer any assets as required by this Order: 

A. Within 14 days of receipt of a written request from a representative of the Commission, 

Defendant must: submit additional compliance reports or other requested information, which 

must be sworn under penalty of perjury; appear for depositions; and produce documents for 

inspection and copying. The Commission is also authorized to obtain discovery, without further 

leave of court, using any of the procedures prescribed by Federal Rules of Civil Procedure 29, 

30 (including telephonic depositions), 31, 33, 34, 36, 45, and 69. 

B. For matters concerning this Order, the Commission is authorized to communicate 

directly with the Defendant. Defendant must permit representatives of the Commission to 

interview any employee or other person affiliated with any Defendant who has agreed to such 

an interview. The person interviewed may have counsel present. 

STIPULATED ORDER PAGE 8 
 

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_______________________________ 

 

Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 9 of 11 

C. The Commission may use all other lawful means, including posing, through its 

representatives as consumers, suppliers, or other individuals or entities, to Defendant or any 

individual or entity affiliated with Defendant, without the necessity of identification or prior 

notice. Nothing in this Order limits the Commission’s lawful use of compulsory process, 

pursuant to Sections 9 and 20 of the FTC Act, 15 U.S.C. §§ 49, 57b-1. 

VIII. RETENTION OF JURISDICTION 

IT IS FURTHER ORDERED that this Court retains jurisdiction of this matter for 

purposes of construction, modification, and enforcement of this Order. 

SO ORDERED this day of , 2017. 

UNITED STATES DISTRICT JUDGE 

STIPULATED ORDER PAGE 9 
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Andrew Smith 

John Graubert 

One CityCenter 

850 Tenth Street, NW 

Washington, DC 20001-4956 

202-662-5049 (phone) (Smith) 

4!02-662-5938 (phone) (Graubert) 

202-778-5938 (fax) 

andrewsm ith@cov.com 

jgraubert@cov.com 

COUNSEL For Uber Technologies Inc. 

r Technologies Inc. 

Travis Ka a ic · E 

Uber Technologies, Inc. 

San Francisco, CA 94103 

STIPULATED ORDER 

Dale: 

1

( l ~1Zo 17 

PAGE 11 

Case 3:17-cv-00261 Document 2 Filed 01/19/17 Page 11 of 11