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UNITED STATES DISTRICT COURT

DISTRICT OF NEW JERSEY

INTEGRATED ORTHOPEDICS, INC., on 

behalf of a certified class,

Plaintiffs,

v.

UNITEDHEALTH GROUP, et al., 

Defendants.

Civil Action No. 11-425 (ES) (JAD)

FINDINGS AND ORDER GRANTING PRELIMINARY APPROVAL TO

PROPOSED SETTLEMENT, APPROVING FORM AND DISSEMINATION OF

CLASS NOTICE, AND SETTING DATE FOR HEARING ON FINAL APPROVAL

This litigation arose out of claims involving alleged breaches of fiduciary duties in 

violation of the Employee Retirement Income Security Act of 1974 (“ERISA”), as amended, 

29 U.S.C. § 1001 et seq., against UnitedHealth Group, United HealthCare Services, Inc., and 

OptumHealth Care Solutions, Inc. (collectively referred to as “United”).

Presented to the Court for preliminary approval is a settlement of the litigation as against 

United. The terms of the Settlement are set out in a Stipulation and Agreement of Settlement 

dated __________, 2020 (the “Settlement”), executed by counsel for Integrated Orthopedics 

(“Class Representative”) and for United. Except as otherwise defined herein, all capitalized 

terms used herein shall have the same meaning as ascribed to them in the Settlement.

The Court has preliminarily considered the Settlement to determine, among other things, 

whether the Court is likely to find the Settlement to be fair, reasonable, and adequate, and thus 

that members of the Class should receive notice concerning the Settlement. Upon reviewing the 

record and good cause appearing therefor,

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It is hereby ORDERED, ADJUDGED AND DECREED as follows:

1. Preliminary Findings Regarding Proposed Settlement: The Court finds that it 

will likely conclude that:

A. The Class Representative and Class Counsel have adequately represented 

the Class.

B. The Settlement resulted from arm’s-length negotiations by experienced 

and competent counsel overseen in part by a neutral mediator;

C. The Settlement was negotiated only after Class Counsel had litigated the 

case for over six years, conducted thorough discovery of documentary evidence and deposition 

testimony; conducted a pre-settlement investigation; received pertinent information and 

documents from Defendants and non-parties; and participated in a year-long mediation before 

the Honorable Garrett E. Brown, Jr. (Ret.);

D. Class Counsel and the Class Representative have concluded that the 

Settlement is fair, reasonable, and adequate; and

E. The relief provided for the Class is adequate, taking into account the 

factors in Fed. R. Civ. P. 23(e)(2)(C) as relevant, including: (i) the costs, risks, and delay of trial 

and appeal; (ii) the effectiveness of distributing the proposed relief to the Class; and (iii) the 

terms of any proposed award of attorney’s fees, including timing of payment.

F. The Settlement treats Class members equitably relative to each other.

2. Fairness Hearing: A hearing (the “Fairness Hearing”) is scheduled at the United 

States District Court for the District of New Jersey, Judge Esther Salas presiding, at 

_____________.m. on ___________, 20__, [a date no sooner than one hundred twenty (120) 

calendar days after the date the Preliminary Order is filed] to determine, among other issues:

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A. Whether the Settlement should be approved as fair, reasonable, and 

adequate;

B. Whether the Court should enter the Final Approval Order, and

C. Whether the Court should approve any motion for Attorneys’ Fees and 

Costs, and Class Representative Service Awards.

3. Class Certification: Pursuant to Fed. R. Civ. P. 23(c)(1)(C), the definition of the 

previously certified ONET Repayment Demand Class will be revised on a preliminary basis and 

for settlement purposes only as follows: 

All ONET Providers (such as individual practitioners, or durable medical 

equipment providers or facilities) who, at any time after January 24, 2005: (1) 

provided healthcare services or supplies to patients insured under a United Plan, 

(2) after having received benefit payments from United for those services or 

supplies, received one or more Repayment Requests from or on behalf of United 

for all or a portion of such payments, and (3) where at least one such Repayment 

Request has not been fully resolved by payment, offset, or otherwise, as of as of 

the Effective Date of This Agreement. 

4. Class Counsel: The Court appoints as counsel for the Class D. Brian Hufford, 

Jason S. Cowart, and Andrew N. Goldfarb of the law firm of Zuckerman Spaeder LLP; John W. 

Leardi, Vincent Buttaci, and Paul D. Werner of the law firm of Buttaci Leardi & Werner LLC; 

and Anthony Maul of The Maul Firm, P.C.

5. Settlement Administrator: The Court appoints _____ as Settlement 

Administrator.

6. Class Notice: The Settling Parties have presented to the Court proposed forms of 

notice regarding the settlement for mailing to Class Members (“Settlement Notices”).

A. The Court finds that the proposed forms and content therein fairly and 

adequately:

i. Describe the terms and effect of the Settlement;

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ii. Notify the Class that Class Counsel will seek compensation for 

Attorneys’ Fees and Costs, and Class Representative Service 

Awards via an application to be filed with the Court at least 

fourteen (14) days before the deadline for submission of 

objections;

iii. Give notice to the Class of the time and place of the Fairness 

Hearing, and Class Members’ right to appear; and

iv. Describe how the recipients of the Class Notice may object to the 

Settlement, or to any requested attorneys’ fees and costs, or Class 

Representative Service Awards.

B. The Settlement Administrator will, at United’s expense, mail to Class 

members listed on the Class List the Short Form Notice in substantially the same form as Exhibit 

1, and post on the Website the Long Form Notice substantially in the same form as Exhibit 2. 

The Settlement Administrator shall use its best efforts to complete the mailing of the Short Form 

Notice to Class members within thirty (30) days after date of this order.

C. Pursuant to Rules 23(c)(2) and (e) of the Federal Rules of Civil Procedure, 

the contents of the Settlement Notices, the mailing of the Short Form Settlement Notice, and 

posting of the Long Form Notice on the Website constitute the best notice practicable under the 

circumstances, provide due and sufficient notice of the Fairness Hearing and of the rights of all 

Class Members, and comply fully with the requirements of Fed. R. Civ. P. 23, the Constitution of 

the United States, and any other applicable law.

7. Preliminary Injunction: Each Class Member and their respective heirs, 

beneficiaries, executors, administrators, estates, past and present partners, officers, directors, 

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agents, employees, owners, attorneys, predecessors, successors, and assigns, are preliminarily 

enjoined from commencing or prosecuting against the Released Parties any action, proceeding, 

suit, cause of action, or claim that alleges any of the Released Class Claims, even if any Class 

Member may thereafter discover facts in addition to or different from those which the Class 

Members or Class Counsel now know or believe to be true with respect to the Litigation and the 

Released Class Claims. Further, pending final determination of whether the Settlement should 

be approved, no Class Member may directly, through representatives, or in any other capacity, 

including as authorized representatives or assignees of patients, commence or prosecute any 

action, proceeding, suit, cause of action, or claim in any court or tribunal asserting any of the 

Released Class Claims against the Released Parties. However, nothing shall prevent United 

from seeking to dismiss or otherwise terminate any action or proceeding related to a Released 

Class Claim on grounds other than operation of the Settlement and/or this Final Approval Order; 

nor shall the assertion of other grounds for the dismissal or termination of an action or 

proceeding related to a Released Class Claim prevent United to from later asserting that such 

action or proceeding is prohibited under the Settlement and/or this Final Approval Order.

8. Fee and Expense Application: Class Counsel shall file a Fee and Expense 

Application (which may be part of Plaintiffs’ Motion for Final Approval) no later than fourteen 

(14) days prior to the date set forth in this Order as the deadline for the objections.

9. Objections to Settlement: Any objections to the fairness, reasonableness or 

adequacy of the Settlement, to any term of the Settlement, to the proposed Attorneys’ Fees and 

Costs, or Class Representative Service Awards shall be considered by the Court at the Fairness 

Hearing, if they have been filed validly with the Clerk of the Court and copies provided to Class 

Counsel and Defense Counsel. To be filed validly, the objection and any supporting documents 

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must be filed at least twenty-eight (28) days prior to the scheduled Fairness Hearing. Any person 

wishing to speak at the Fairness Hearing shall (personally or through counsel) file and serve a 

notice of intent to appear within the time limitation set forth above.

10. Responses to Objections and Final Approval Motion: Any party may file a 

response to an objection by a Class Member at least fourteen (14) days before the Fairness 

Hearing, and Plaintiffs shall file their Final Approval Motion at least seven (7) days before the 

Fairness Hearing.

11. CAFA Notices: The form of notices pursuant to the Class Action Fairness Act 

(“CAFA”), 29 U.S.C. § 1711, et seq., attached hereto, is approved. Upon mailing of the CAFA 

notices, Defendants shall have fulfilled their obligations under CAFA.

12. Stay of Litigation Proceedings That Are Unrelated to Settlement. Pending 

final determination of the joint application for approval of the Settlement Agreement, all 

proceedings in this Litigation other than settlement approval proceedings shall be stayed.

13. Continuance of Hearing: The Court may adjourn or continue the Fairness 

Hearing without further direct notice to the Class Members, other than by notice to Class 

Counsel.

IT IS SO ORDERED.

DATED:_______________ , 2020

HON. ESTHER SALAS

UNITED STATES DISTRICT JUDGE

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