On April 16, 2021 a
Party Notice
was filed
involving a dispute between
and
for Professional Negligence Unlimited (25)
in the District Court of Monterey County.
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CM-200
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 (Optional): rsmith@mzclaw.com
ATTORNEY FOR (Name): Independent Financial Group LLC
SUPERIOR COURT OF CALIFORNIA, COUNTY OF MONTEREY
STREET ADDRESS: 1200 Aguajito Rd.
MAILING ADDRESS: Same
CITY AND ZIP CODE: Monterey, 93940
BRANCH NAME: Monterey Courthouse
PLAINTIFF/PETITIONER: Independent Financial Group, LLC
DEFENDANT/RESPONDENT: FP Transitions, LLC
CASE NUMBER:
21CV001264
NOTICE OF SETTLEMENT OF ENTIRE CASE
JUDGE: Panetta
DEPT.: 14
NOTICE TO PLAINTIFF OR OTHER PARTY SEEKING RELIEF
You must file a request for dismissal of the entire case within 45 days after the date of the settlement if the settlement is
unconditional. You must file a dismissal of the entire case within 45 days after the date specified in item 1b below if the settlement
is conditional. Unless you file a dismissal within the required time or have shown good cause before the time for dismissal has
expired why the case should not be dismissed, the court will dismiss the entire case.
To the court, all parties, and any arbitrator or other court-connected ADR neutral involved in this case:
1. This entire case has been settled. The settlement is:
a. Unconditional. A request for dismissal will be filed within 45 days after the date of the settlement.
Date of settlement:
b. Conditional. The settlement agreement conditions dismissal of this matter on the satisfactory completion of
specified terms that are not to be performed within 45 days of the date of the settlement. A request for dismissal will
be filed no later than (date):
2. Date initial pleading filed: April 16, 2021
3. Next scheduled hearing or conference:
a. Purpose: Motion to Consolidate/Case Management Conference
b. (1) Date: April 28, 2023
(2) Time: 8:30am
(3) Department: 15
4. Trial date: N/A
a. No trial date set.
b. (1) Date:
(2) Time:
(3) Department:
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Date: April 13, 2023
Rick Smith
(TYPE OR PRINT NAME OF ATTORNEY PARTY WITHOUT ATTORNEY)
(SIGNATURE)
Page 1 of 2
Form Adopted for Mandatory Use Cal. Rules of Court, rule 3.1385
Judicial Council of California NOTICE OF SETTLEMENT OF ENTIRE CASE www.courts.ca.gov
CM-200 [Rev. January 1, 2007]
CM-200
PLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER:
DEFENDANT/RESPONDENT: FP Transitions, LLC 21CV001264
PROOF OF SERVICE BY FIRST-CLASS MAIL
NOTICE OF SETTLEMENT OF ENTIRE CASE
(NOTE: You cannot serve the Notice of Settlement of Entire Case if you are a party in the action. The person who served
the notice must complete this proof of service.)
1. I am at least 18 years old and not a party to this action. I am a resident of or employed in the county where the mailing took
place, and my residence or business address is (specify):
2. I served a copy of the Notice of Settlement of Entire Case by enclosing it in a sealed envelope with postage
fully prepaid and (check one):
a. deposited the sealed envelope with the United States Postal Service.
b. placed the sealed envelope for collection and processing for mailing, following this business's usual practices,
with which I am readily familiar. On the same day correspondence is placed for collection and mailing, it is
deposited in the ordinary course of business with the United States Postal Service.
3. The Notice of Settlement of Entire Case was mailed:
a. on (date):
b. from (city and state):
4. The envelope was addressed and mailed as follows:
a. Name of person served: c. Name of person served:
Street address: Street address:
City: City:
State and zip code: State and zip code:
b. Name of person served: d. Name of person served:
Street address: Street address:
City: City:
State and zip code: State and zip code:
Names and addresses of additional persons served are attached. (You may use form POS-030(P).)
5. Number of pages attached .
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Date:
(TYPE OR PRINT NAME OF DECLARANT) (SIGNATURE OF DECLARANT)
CM-200 [Rev. January 1, 2007] NOTICE OF SETTLEMENT OF ENTIRE CASE Page 2 of 2
1 PROOF OF SERVICE
2 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,
3 465 California Street, Suite 401, San Francisco, California 94104.
4 On April 13, 2023, I served the within document(s):
5 ï‚· NOTICE OF SETTLEMENT OF ENTIRE CASE
6
on the interested party(ies) in this action, by placing a true copy thereof enclosed in a sealed
7 envelope as follows:
 (By Electronic Mail) I caused said document(s) to be mailed electronically to the parties
8
listed below.
9
Bryan L. Saafeld – 243331
Thomas F. Mazzucco – 306681
10
MURPHY, PEARSON, BRADLEY & FEENEY
580 California Streeet, Suite 1100
11
San Francisco, CA 94103-1001
BSaalfeld@mpbf.com
12
TFMazzucco@mpbf.com
13
Attorney for Defendant
FP TRANSITIONS, LLC
14
15
I declare under penalty of perjury under the laws of the State of California that the foregoing is
16
true and correct.
17
Executed on April 13, 2023 _____________________________________
Hector Cebreros
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Proof of Service Case No. 21CV001264
\
Document Filed Date
April 13, 2023
Case Filing Date
April 16, 2021
Category
Professional Negligence Unlimited (25)
Status
Conditional Settlement
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CM-200 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 (Optional): rsmith@mzclaw.com ATTORNEY FOR (Name): Independent Financial Group LLC SUPERIOR COURT OF CALIFORNIA, COUNTY OF MONTEREY STREET ADDRESS: 1200 Aguajito Rd. MAILING ADDRESS: Same CITY AND ZIP CODE: Monterey, 93940 BRANCH NAME: Monterey Courthouse PLAINTIFF/PETITIONER: Independent Financial Group, LLC DEFENDANT/RESPONDENT: FP Transitions, LLC CASE NUMBER: 21CV001264 NOTICE OF SETTLEMENT OF ENTIRE CASE JUDGE: Panetta DEPT.: 14 NOTICE TO PLAINTIFF OR OTHER PARTY SEEKING RELIEF You must file a request for dismissal of the entire case within 45 days after the date of the settlement if the settlement is unconditional. You must file a dismissal of the entire case within 45 days after the date specified in item 1b below if the settlement is conditional. Unless you file a dismissal within the required time or have shown good cause before the time for dismissal has expired why the case should not be dismissed, the court will dismiss the entire case. To the court, all parties, and any arbitrator or other court-connected ADR neutral involved in this case: 1. This entire case has been settled. The settlement is: a. Unconditional. A request for dismissal will be filed within 45 days after the date of the settlement. Date of settlement: b. Conditional. The settlement agreement conditions dismissal of this matter on the satisfactory completion of specified terms that are not to be performed within 45 days of the date of the settlement. A request for dismissal will be filed no later than (date): 2. Date initial pleading filed: April 16, 2021 3. Next scheduled hearing or conference: a. Purpose: Motion to Consolidate/Case Management Conference b. (1) Date: April 28, 2023 (2) Time: 8:30am (3) Department: 15 4. Trial date: N/A a. No trial date set. b. (1) Date: (2) Time: (3) Department: I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Date: April 13, 2023 Rick Smith (TYPE OR PRINT NAME OF ATTORNEY PARTY WITHOUT ATTORNEY) (SIGNATURE) Page 1 of 2 Form Adopted for Mandatory Use Cal. Rules of Court, rule 3.1385 Judicial Council of California NOTICE OF SETTLEMENT OF ENTIRE CASE www.courts.ca.gov CM-200 [Rev. January 1, 2007] CM-200 PLAINTIFF/PETITIONER: Independent Financial Group, LLC CASE NUMBER: DEFENDANT/RESPONDENT: FP Transitions, LLC 21CV001264 PROOF OF SERVICE BY FIRST-CLASS MAIL NOTICE OF SETTLEMENT OF ENTIRE CASE (NOTE: You cannot serve the Notice of Settlement of Entire Case if you are a party in the action. The person who served the notice must complete this proof of service.) 1. I am at least 18 years old and not a party to this action. I am a resident of or employed in the county where the mailing took place, and my residence or business address is (specify): 2. I served a copy of the Notice of Settlement of Entire Case by enclosing it in a sealed envelope with postage fully prepaid and (check one): a. deposited the sealed envelope with the United States Postal Service. b. placed the sealed envelope for collection and processing for mailing, following this business's usual practices, with which I am readily familiar. On the same day correspondence is placed for collection and mailing, it is deposited in the ordinary course of business with the United States Postal Service. 3. The Notice of Settlement of Entire Case was mailed: a. on (date): b. from (city and state): 4. The envelope was addressed and mailed as follows: a. Name of person served: c. Name of person served: Street address: Street address: City: City: State and zip code: State and zip code: b. Name of person served: d. Name of person served: Street address: Street address: City: City: State and zip code: State and zip code: Names and addresses of additional persons served are attached. (You may use form POS-030(P).) 5. Number of pages attached . I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Date: (TYPE OR PRINT NAME OF DECLARANT) (SIGNATURE OF DECLARANT) CM-200 [Rev. January 1, 2007] NOTICE OF SETTLEMENT OF ENTIRE CASE Page 2 of 2 1 PROOF OF SERVICE 2 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, 3 465 California Street, Suite 401, San Francisco, California 94104. 4 On April 13, 2023, I served the within document(s): 5  NOTICE OF SETTLEMENT OF ENTIRE CASE 6 on the interested party(ies) in this action, by placing a true copy thereof enclosed in a sealed 7 envelope as follows:  (By Electronic Mail) I caused said document(s) to be mailed electronically to the parties 8 listed below. 9 Bryan L. Saafeld – 243331 Thomas F. Mazzucco – 306681 10 MURPHY, PEARSON, BRADLEY & FEENEY 580 California Streeet, Suite 1100 11 San Francisco, CA 94103-1001 BSaalfeld@mpbf.com 12 TFMazzucco@mpbf.com 13 Attorney for Defendant FP TRANSITIONS, LLC 14 15 I declare under penalty of perjury under the laws of the State of California that the foregoing is 16 true and correct. 17 Executed on April 13, 2023 _____________________________________ Hector Cebreros 18 19 20 21 22 23 24 25 26 27 28 Proof of Service Case No. 21CV001264 \