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CM-110
ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address): FOR COURT USE ONLY
Rick Smith (SBN 298556)
MARKUN ZUSMAN & COMPTON LLP
465 California Street, Suite 401
TELEPHONE No.: 415-438-4388 FAX NO. (Optional):
E-MAIL ADDRESS (Optiona)}
ATTORNEY FOR (Name): Independent Financial Group LLC
SUPERIOR COURT OF CALIFORNIA, COUNTY OF Monterey
sTREET appRess: 1200 Aguajito Rd.
MAILING ADDRESS: 1200 Aguajito Rd.
CITy AND ZIP cove: Monterey, 93940
BRANCH NAME: Monterey Courthouse
PLAINTIFF/PETITIONER: Independent Financial Group, LLC
DEFENDANT/RESPONDENT: FP Transitions, LLC
CASE MANAGEMENT STATEMENT CASE NUMBER:
(Check one): ¥_| UNLIMITED CASE LIMITED CASE 21C0V001264
(Amount demanded (Amount demanded is $25,000
exceeds $25,000) or less)
A CASE MANAGEMENT CONFERENCE is scheduled as follows:
Date: March 28, 2023 Time: 9:00 a.m. Dept.: 14 Div.: Room:
Address of court (if different from the address above):
v_| Notice of Intent to Appear by Telephone, by (name): Rick Smith
INSTRUCTIONS: All applicable boxes must be checked, and the specified information must be provided.
1. Party or parties (answer one):
a. LY] This statement is submitted by party (name): Plaintiff Independent Financial Group, LLC
b. This statement is submitted jointly by parties (names):
2. Complaint and cross-complaint (to be answered by plaintiffs and cross-complainants only)
a. The complaint was filed on (date): November 18, 2021
b. ¥ | The cross-complaint, if any, was filed on (date): April 28, 2022
3. Service (to be answered by plaintiffs and cross-complainants only)
a. All parties named in the complaint and cross-complaint have been served, have appeared, or have been dismissed.
b. Lv] The following parties named in the complaint or cross-complaint
(1) v have not been served (specify names and explain why not):
David Marshall and Marshall Wealth Management Group. Ex Parte for publication filed 9.28.22
(2) have been served but have not appeared and have not been dismissed (specify names):
(3) have had a default entered against them (specify names):
©. The following additional parties may be added (specify names, nature of involvement in case, and date by which
they may be served):
4. Description of case
a. Type ofcasein [Lv complaint cross-complaint (Describe, including causes of action):
Plaintiff alleges causes of action for: (1) Equitable Indemnity; (2) Equitable Contribution; (3) Breach of Contract
Third Party Beneficiary; (4) Negligent Misrepresentation; (5) Professional Negligence; and (6) Negligence.
Page 1 of 5
Form Adopled for Mandatory Use CASE MANAGEMENT STATEMENT oe 5 rab
(CM-110 (Rev. July 1, 2011] www.courts.ca.govCM-110
PLAINTIFF/PETITIONER: Independent Financial Group, LLC
DEFENDANT/RESPONDENT: FP Transitions, LLC
CASE NUMBER:
21CV001264
4. b.
Provide a brief statement of the case, including any damages. (If personal injury damages are sought, specify the injury and
damages claimed, including medical expenses to date [indicate source and amount], estimated future medical expenses, lost
earnings to date, and estimated future lost earnings. If equitable relief is sought, describe the nature of the relief.)
This is an action by Plaintiff on its own behalf and as asignee against Defendant, stemming from losses to
accounts that were run by a third party. Defendant identified and recommended the third party fraudster to
Plaintiff and its representatives.
(If more space is needed, check this box and attach a page designated as Attachment 4b.)
5. Jury or nonjury trial
The party or parties request v
a jury trial a nonjury trial.
requesting a jury trial):
(If more than one party, provide the name of each party
6. Trial date
a The trial has been set for (date):
b. ¥ | No trial date has been set. This case will be ready for trial within 12 months of the date of the filing of the complaint (if
not, explain):
Discovery is ongoing. Plaintiff has filed a related action. It intends to seek to conolidate with this action
c. Dates on which parties or attorneys will not be available for trial (specify dates and explain reasons for unavailability):
3/20/23-3/24/23; 4/3/23-4/7/23; 4/17/23-4/28/23; 5/8/23-5/12/23; 5/22/23-5/26/23; 7/31/23-8/3/23 (Trials and
arbitrations
7. Estimated length of trial
The party or parties estimate that the trial will take (check one):
a.
b.
7 | days (specify number): 7-10 days
hours (short causes) (specify):
8. Trial representation (to be answered for each party)
The party or parties will be represented at trial v
by the attorney or party listed in the caption
a. Attorney:
b. Firm:
c. Address
d. Telephone number: f. Fax number:
e. E-mail address: g. Party represented:
Additional representation is described in Attachment 8.
9. Preference
This case is entitled to preference (specify code section):
10. Alternative dispute resolution (ADR)
a
b.
by the following:
ADR information package. Please note that different ADR processes are available in different courts and communities; read
the ADR information package provided by the court under rule 3.221 for information about the processes available through the
court and community programs in this case
(1) For parties represented by counsel: Counsel |” has has not
in rule 3.221 to the client and reviewed ADR options with the client.
(2) For self-represented parties: Party has
Referral to judicial arbitration or civil action mediation (if available)
provided the ADR information package identified
has not reviewed the ADR information package identified in rule 3.221
(1) This matter is subject to mandatory judicial arbitration under Code of Civil Procedure section 1141.11 or to civil action
mediation under
statutory limit.
‘ode of Civil Procedure section 1775.3 because the amount in controversy does not exceed the
(2) Plaintiff elects to refer this case to judicial arbitration and agrees to limit recovery to the amount specified in Code of
Civil Procedure section 1141.11.
(3) Lv
mediation under Code of Civil Procedure section 1775 et seq. (specify exemption):
The amount in controversy exceeds $50,000.00.
This case is exempt from judicial arbitration under rule 3.811 of the California Rules of Courtor from civil action
CM-110 [Rev. July 1, 2011]
CASE MANAGEMENT STATEMENT
Page 2 of 5CM-110
|_ PLAINTIFF/PETITIONER: Independent Financial Group, LLC [CASE NUMBER:
DEFENDANT/RESPONDENT: FP Transitions, LLC 21CV001264
10. c. Indicate the ADR process or processes that the party or parties are willing to participate in, have agreed to participate in, or
have already participated in (check all that apply and provide the specified information):
The party or parties completing | If the party or parties completing this form in the case have agreed to
this form are willing to participate in or have already completed an ADR process or processes,
participate in the following ADR | indicate the status of the processes (attach a copy of the parties' ADR
processes (check all that apply): | stipulation):
Mediation session not yet scheduled
Mediation session scheduled for (date):
(1) Mediation
Agreed to complete mediation by (date):
Mediation completed on (date):
Settlement conference not yet scheduled
(2) Settlement Settlement conference scheduled for (date):
conference
Agreed to complete settlement conference by (date):
Settlement conference completed on (date):
Neutral evaluation not yet scheduled
Neutral evaluation scheduled for (date):
(3) Neutral evaluation
Agreed to complete neutral evaluation by (date):
Neutral evaluation completed on (date):
Judicial arbitration not yet scheduled
(4) Nonbinding judicial Judicial arbitration scheduled for (date):
arbitration
Agreed to complete judicial arbitration by (date):
Judicial arbitration completed on (date):
Private arbitration not yet scheduled
(5) Binding private Private arbitration scheduled for (date):
arbitration
Co
C4
CI
CI
CI
Co
wy
Co
Agreed to complete private arbitration by (date):
Private arbitration completed on (date):
ADR session not yet scheduled
oO ADR session scheduled for (date):
(6) Other (specify):
Agreed to complete ADR session by (date):
ADR completed on (date):
(GM-110 [Rev. July 1, 2011] Page 3 of 5
CASE MANAGEMENT STATEMENTPLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER:
l_ 21CV001264
DEFENDANT/RESPONDENT: FP Transitions, LLC
11. Insurance
a. Insurance carrier, if any, for party filing this statement (name):
b. Reservation of rights: Yes No
c. Coverage issues will significantly affect resolution of this case (explain):
12. Jurisdiction
Indicate any matters that may affect the court's jurisdiction or processing of this case and describe the status.
Bankruptcy ] Other (specify):
Status:
13. Related cases, consolidation, and coordination
a. v_| There are companion, underlying, or related cases.
(1) Name of case: Independent Financial Group, LLC v. FP Transitions, LLC, et al.
(2) Name of court: Superior Court of Monterey
(3) Case number: 22CV001149
(4) Status: Complaint stayed pending FINRA Arbitration
Additional cases are described in Attachment 13a
b. LY _| A motion to ¥ | consolidate coordinate will be filed by (name party):
Plaintiff
14. Bifurcation
The party or parties intend to file a motion for an order bifurcating, severing, or coordinating the following issues or causes of
action (specify moving party, type of motion, and reasons):
15. Other motions
¥ | The party or parties expect to file the following motions before trial (specify moving party, type of motion, and issues):
Plaintiff reserves the right to file a summary judgment motion and motions in limine
16. Discovery
a. The party or parties have completed all discovery.
b. L¥_| The following discovery will be completed by the date specified (describe all anticipated discovery):
Party Description Date
Plaintiff Written Discovery Per code
Plaintiff Defendant's Depositions Per code
Plaintiff Witness Depositions Per code
Plaintiff Expert Depositions Per code
c. The following discovery issues, including issues regarding the discovery of electronically stored information, are
anticipated (specify):
(CM-110 [Rev. July 1, 2011] CASE MANAGEMENT STATEMENT Page 4 of 5CM-110.
PLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER:
\_ ge 21CV001264
DEFENDANT/RESPONDENT: _ FP Transitions, LLC
17. Economic litigation
a. This is a limited civil case (i.e., the amount demanded is $25,000 or less) and the economic litigation procedures in Code
of Civil Procedure sections 90-98 will apply to this case
b. This is a limited civil case and a motion to withdraw the case from the economic litigation procedures or for additional
discovery will be filed (if checked, explain specifically why economic litigation procedures relating to discovery or trial
should not apply to this case):
18. Other issues
The party or parties request that the following additional matters be considered or determined at the case management
conference (specify):
19. Meet and confer
a. _¥_] The party or parties have met and conferred with all parties on all subjects required by rule 3.724 of the California Rules
of Court (if not, explain):
b. After meeting and conferring as required by rule 3.724 of the California Rules of Court, the parties agree on the following
(specify):
20. Total number of pages attached (if any): 1
| am completely familiar with this case and will be fully prepared to discuss the status of discovery and alternative dispute resolution,
as well as other issues raised by this statement, and will possess the authority to enter into stipulations on these issues at the time of
the case management conference, including the written authority of the party where required.
Date: March 17, 2023
Rick Smith - © = =< Ze
(TYPE OR PRINT NAME)
(SIGNATURE OF PARTY OR ATTORNEY)
(TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY)
Additional signatures are attached.
CM-110 [Rev. July 1, 2011] CASE MANAGEMENT STATEMENT Page 5 of 5PROOF OF SERVICE
I am employed in the County of San Francisco, State of California, over the age of
eighteen years, and not a party to this action. My business address is Markun Zusman Compton
LLP, 465 California Street, Suite 401, San Francisco, California 94104.
On March 20, 2023, I served the within documents:
PLAINTIFF’S CASE MANAGEMENT CONFERENCE STATEMENT
on the interested party(ies) in this action as follows:
(X) BY ELECTRONIC MAIL: I caused said document(s) to be mailed electronically to the
parties listed below.
Bryan L. Saalfeld/Thomas F. Mazzucco Attorney for Defendant
Murphy Pearson Bradley & Feeney FP TRANSITIONS, LLC
580 California Street, Suite 1100
San Francisco, CA 94101
Telephone: 415-788-1900
Facsimile: 415-393-8087
Email: bsaalfeld@mpbf.com/tmazzucco@mpbf.com
I declare under penalty of perjury under the laws of the State of California that the
foregoing is true and correct.
Executed on March 20, 2023.
“3 Patterson
Suzanne Patterson
1
PROOF OF SERVICE
Preview
CM-110 ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address): FOR COURT USE ONLY Rick Smith (SBN 298556) MARKUN ZUSMAN & COMPTON LLP 465 California Street, Suite 401 TELEPHONE No.: 415-438-4388 FAX NO. (Optional): E-MAIL ADDRESS (Optiona)} ATTORNEY FOR (Name): Independent Financial Group LLC SUPERIOR COURT OF CALIFORNIA, COUNTY OF Monterey sTREET appRess: 1200 Aguajito Rd. MAILING ADDRESS: 1200 Aguajito Rd. CITy AND ZIP cove: Monterey, 93940 BRANCH NAME: Monterey Courthouse PLAINTIFF/PETITIONER: Independent Financial Group, LLC DEFENDANT/RESPONDENT: FP Transitions, LLC CASE MANAGEMENT STATEMENT CASE NUMBER: (Check one): ¥_| UNLIMITED CASE LIMITED CASE 21C0V001264 (Amount demanded (Amount demanded is $25,000 exceeds $25,000) or less) A CASE MANAGEMENT CONFERENCE is scheduled as follows: Date: March 28, 2023 Time: 9:00 a.m. Dept.: 14 Div.: Room: Address of court (if different from the address above): v_| Notice of Intent to Appear by Telephone, by (name): Rick Smith INSTRUCTIONS: All applicable boxes must be checked, and the specified information must be provided. 1. Party or parties (answer one): a. LY] This statement is submitted by party (name): Plaintiff Independent Financial Group, LLC b. This statement is submitted jointly by parties (names): 2. Complaint and cross-complaint (to be answered by plaintiffs and cross-complainants only) a. The complaint was filed on (date): November 18, 2021 b. ¥ | The cross-complaint, if any, was filed on (date): April 28, 2022 3. Service (to be answered by plaintiffs and cross-complainants only) a. All parties named in the complaint and cross-complaint have been served, have appeared, or have been dismissed. b. Lv] The following parties named in the complaint or cross-complaint (1) v have not been served (specify names and explain why not): David Marshall and Marshall Wealth Management Group. Ex Parte for publication filed 9.28.22 (2) have been served but have not appeared and have not been dismissed (specify names): (3) have had a default entered against them (specify names): ©. The following additional parties may be added (specify names, nature of involvement in case, and date by which they may be served): 4. Description of case a. Type ofcasein [Lv complaint cross-complaint (Describe, including causes of action): Plaintiff alleges causes of action for: (1) Equitable Indemnity; (2) Equitable Contribution; (3) Breach of Contract Third Party Beneficiary; (4) Negligent Misrepresentation; (5) Professional Negligence; and (6) Negligence. Page 1 of 5 Form Adopled for Mandatory Use CASE MANAGEMENT STATEMENT oe 5 rab (CM-110 (Rev. July 1, 2011] www.courts.ca.govCM-110 PLAINTIFF/PETITIONER: Independent Financial Group, LLC DEFENDANT/RESPONDENT: FP Transitions, LLC CASE NUMBER: 21CV001264 4. b. Provide a brief statement of the case, including any damages. (If personal injury damages are sought, specify the injury and damages claimed, including medical expenses to date [indicate source and amount], estimated future medical expenses, lost earnings to date, and estimated future lost earnings. If equitable relief is sought, describe the nature of the relief.) This is an action by Plaintiff on its own behalf and as asignee against Defendant, stemming from losses to accounts that were run by a third party. Defendant identified and recommended the third party fraudster to Plaintiff and its representatives. (If more space is needed, check this box and attach a page designated as Attachment 4b.) 5. Jury or nonjury trial The party or parties request v a jury trial a nonjury trial. requesting a jury trial): (If more than one party, provide the name of each party 6. Trial date a The trial has been set for (date): b. ¥ | No trial date has been set. This case will be ready for trial within 12 months of the date of the filing of the complaint (if not, explain): Discovery is ongoing. Plaintiff has filed a related action. It intends to seek to conolidate with this action c. Dates on which parties or attorneys will not be available for trial (specify dates and explain reasons for unavailability): 3/20/23-3/24/23; 4/3/23-4/7/23; 4/17/23-4/28/23; 5/8/23-5/12/23; 5/22/23-5/26/23; 7/31/23-8/3/23 (Trials and arbitrations 7. Estimated length of trial The party or parties estimate that the trial will take (check one): a. b. 7 | days (specify number): 7-10 days hours (short causes) (specify): 8. Trial representation (to be answered for each party) The party or parties will be represented at trial v by the attorney or party listed in the caption a. Attorney: b. Firm: c. Address d. Telephone number: f. Fax number: e. E-mail address: g. Party represented: Additional representation is described in Attachment 8. 9. Preference This case is entitled to preference (specify code section): 10. Alternative dispute resolution (ADR) a b. by the following: ADR information package. Please note that different ADR processes are available in different courts and communities; read the ADR information package provided by the court under rule 3.221 for information about the processes available through the court and community programs in this case (1) For parties represented by counsel: Counsel |” has has not in rule 3.221 to the client and reviewed ADR options with the client. (2) For self-represented parties: Party has Referral to judicial arbitration or civil action mediation (if available) provided the ADR information package identified has not reviewed the ADR information package identified in rule 3.221 (1) This matter is subject to mandatory judicial arbitration under Code of Civil Procedure section 1141.11 or to civil action mediation under statutory limit. ‘ode of Civil Procedure section 1775.3 because the amount in controversy does not exceed the (2) Plaintiff elects to refer this case to judicial arbitration and agrees to limit recovery to the amount specified in Code of Civil Procedure section 1141.11. (3) Lv mediation under Code of Civil Procedure section 1775 et seq. (specify exemption): The amount in controversy exceeds $50,000.00. This case is exempt from judicial arbitration under rule 3.811 of the California Rules of Courtor from civil action CM-110 [Rev. July 1, 2011] CASE MANAGEMENT STATEMENT Page 2 of 5CM-110 |_ PLAINTIFF/PETITIONER: Independent Financial Group, LLC [CASE NUMBER: DEFENDANT/RESPONDENT: FP Transitions, LLC 21CV001264 10. c. Indicate the ADR process or processes that the party or parties are willing to participate in, have agreed to participate in, or have already participated in (check all that apply and provide the specified information): The party or parties completing | If the party or parties completing this form in the case have agreed to this form are willing to participate in or have already completed an ADR process or processes, participate in the following ADR | indicate the status of the processes (attach a copy of the parties' ADR processes (check all that apply): | stipulation): Mediation session not yet scheduled Mediation session scheduled for (date): (1) Mediation Agreed to complete mediation by (date): Mediation completed on (date): Settlement conference not yet scheduled (2) Settlement Settlement conference scheduled for (date): conference Agreed to complete settlement conference by (date): Settlement conference completed on (date): Neutral evaluation not yet scheduled Neutral evaluation scheduled for (date): (3) Neutral evaluation Agreed to complete neutral evaluation by (date): Neutral evaluation completed on (date): Judicial arbitration not yet scheduled (4) Nonbinding judicial Judicial arbitration scheduled for (date): arbitration Agreed to complete judicial arbitration by (date): Judicial arbitration completed on (date): Private arbitration not yet scheduled (5) Binding private Private arbitration scheduled for (date): arbitration Co C4 CI CI CI Co wy Co Agreed to complete private arbitration by (date): Private arbitration completed on (date): ADR session not yet scheduled oO ADR session scheduled for (date): (6) Other (specify): Agreed to complete ADR session by (date): ADR completed on (date): (GM-110 [Rev. July 1, 2011] Page 3 of 5 CASE MANAGEMENT STATEMENTPLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER: l_ 21CV001264 DEFENDANT/RESPONDENT: FP Transitions, LLC 11. Insurance a. Insurance carrier, if any, for party filing this statement (name): b. Reservation of rights: Yes No c. Coverage issues will significantly affect resolution of this case (explain): 12. Jurisdiction Indicate any matters that may affect the court's jurisdiction or processing of this case and describe the status. Bankruptcy ] Other (specify): Status: 13. Related cases, consolidation, and coordination a. v_| There are companion, underlying, or related cases. (1) Name of case: Independent Financial Group, LLC v. FP Transitions, LLC, et al. (2) Name of court: Superior Court of Monterey (3) Case number: 22CV001149 (4) Status: Complaint stayed pending FINRA Arbitration Additional cases are described in Attachment 13a b. LY _| A motion to ¥ | consolidate coordinate will be filed by (name party): Plaintiff 14. Bifurcation The party or parties intend to file a motion for an order bifurcating, severing, or coordinating the following issues or causes of action (specify moving party, type of motion, and reasons): 15. Other motions ¥ | The party or parties expect to file the following motions before trial (specify moving party, type of motion, and issues): Plaintiff reserves the right to file a summary judgment motion and motions in limine 16. Discovery a. The party or parties have completed all discovery. b. L¥_| The following discovery will be completed by the date specified (describe all anticipated discovery): Party Description Date Plaintiff Written Discovery Per code Plaintiff Defendant's Depositions Per code Plaintiff Witness Depositions Per code Plaintiff Expert Depositions Per code c. The following discovery issues, including issues regarding the discovery of electronically stored information, are anticipated (specify): (CM-110 [Rev. July 1, 2011] CASE MANAGEMENT STATEMENT Page 4 of 5CM-110. PLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER: \_ ge 21CV001264 DEFENDANT/RESPONDENT: _ FP Transitions, LLC 17. Economic litigation a. This is a limited civil case (i.e., the amount demanded is $25,000 or less) and the economic litigation procedures in Code of Civil Procedure sections 90-98 will apply to this case b. This is a limited civil case and a motion to withdraw the case from the economic litigation procedures or for additional discovery will be filed (if checked, explain specifically why economic litigation procedures relating to discovery or trial should not apply to this case): 18. Other issues The party or parties request that the following additional matters be considered or determined at the case management conference (specify): 19. Meet and confer a. _¥_] The party or parties have met and conferred with all parties on all subjects required by rule 3.724 of the California Rules of Court (if not, explain): b. After meeting and conferring as required by rule 3.724 of the California Rules of Court, the parties agree on the following (specify): 20. Total number of pages attached (if any): 1 | am completely familiar with this case and will be fully prepared to discuss the status of discovery and alternative dispute resolution, as well as other issues raised by this statement, and will possess the authority to enter into stipulations on these issues at the time of the case management conference, including the written authority of the party where required. Date: March 17, 2023 Rick Smith - © = =< Ze (TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY) (TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY) Additional signatures are attached. CM-110 [Rev. July 1, 2011] CASE MANAGEMENT STATEMENT Page 5 of 5PROOF OF SERVICE I am employed in the County of San Francisco, State of California, over the age of eighteen years, and not a party to this action. My business address is Markun Zusman Compton LLP, 465 California Street, Suite 401, San Francisco, California 94104. On March 20, 2023, I served the within documents: PLAINTIFF’S CASE MANAGEMENT CONFERENCE STATEMENT on the interested party(ies) in this action as follows: (X) BY ELECTRONIC MAIL: I caused said document(s) to be mailed electronically to the parties listed below. Bryan L. Saalfeld/Thomas F. Mazzucco Attorney for Defendant Murphy Pearson Bradley & Feeney FP TRANSITIONS, LLC 580 California Street, Suite 1100 San Francisco, CA 94101 Telephone: 415-788-1900 Facsimile: 415-393-8087 Email: bsaalfeld@mpbf.com/tmazzucco@mpbf.com I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed on March 20, 2023. “3 Patterson Suzanne Patterson 1 PROOF OF SERVICE