Preview
CM-110
ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address): FOR COURT USE ONLY
Kelsey Haines SBN 327536; Jodie Herrmann Lawson (pro hac vice)
McGuireWoods LLP
1800 Century Park East, 8th Floor
Los Angeles, CA 90067
TELEPHONE NO.: 310-315-8200 FAX NO. (Optional): ELECTRONICALLY
E-MAIL ADDRESS (Optional): khaines@mcguirewoods.com
ATTORNEY FOR (Name): Merrill Lynch, Pierce, Fenner & Smith Incorporated
F I L E D
Superior Court of California,
SUPERIOR COURT OF CALIFORNIA, COUNTY OF San Francisco County of San Francisco
STREET ADDRESS: 400 McAllister Street 12/27/2021
MAILING ADDRESS: Clerk of the Court
BY: ANGELICA SUNGA
San Francisco 94102
CITY AND ZIP CODE:
Deputy Clerk
BRANCH NAME:San Francisco
PLAINTIFF/PETITIONER: Jami Handelman Katz
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
CASE MANAGEMENT STATEMENT CASE NUMBER:
CGC-20-588007
(Check one): UNLIMITED CASE LIMITED CASE
(Amount demanded (Amount demanded is $25,000
exceeds $25,000) or less)
A CASE MANAGEMENT CONFERENCE is scheduled as follows:
Date: January 12, 2022 Time: 10:30 a.m. Dept.: 610 Div.: Room:
Address of court (if different from the address above):
Notice of Intent to Appear by Telephone, by (name): Kelsey Haines
INSTRUCTIONS: All applicable boxes must be checked, and the specified information must be provided.
1. Party or parties (answer one):
a. This statement is submitted by party (name):
b. This statement is submitted jointly by parties (names): Defendant Merrill Lynch, Pierce, Fenner & Smith
Incorporated and Plaintiff Jami Handelman Katz
2. Complaint and cross-complaint (to be answered by plaintiffs and cross-complainants only)
a. The complaint was filed on (date): November 25, 2020
b. The cross-complaint, if any, was filed on (date):
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. The following parties named in the complaint or cross-complaint
(1) have not been served (specify names and explain why not):
(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):
c. 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 of case in complaint cross-complaint (Describe, including causes of action):
Complaint alleging claims for professional negligence, breach of fiduciary duty, and negligent representation
Page 1 of 5
Form Adopted for Mandatory Use Cal. Rules of Court,
Judicial Council of California
CASE MANAGEMENT STATEMENT rules 3.720–3.730
CM-110 [Rev. July 1, 2011] www.courts.ca.gov
American LegalNet, Inc.
www.FormsWorkFlow.com
CM-110
CASE NUMBER:
PLAINTIFF/PETITIONER: Jami Handelman Katz
CGC-20-588007
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
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 dispute involves an account that Joan Lickerman (the “Decedent”) held at Merrill Lynch, Pierce, Fenner &
Smith Incorporated. Plaintiff claims that she is entitled to the Decedent's account.
(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 a jury triaI a nonjury trial. (If more than one party, provide the name of each party
requesting a jury trial):
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): The case is currently pending in FINRA arbitration. This case is stayed.
c. Dates on which parties or attorneys will not be available for trial (specify dates and explain reasons for unavailability):
7. Estimated length of trial
The party or parties estimate that the trial will take (check one):
a. days (specify number): 2-3
b. hours (short causes) (specify):
8. Trial representation (to be answered for each party)
The party or parties will be represented at trial by the attorney or party listed in the caption by the following:
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. 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 provided the ADR information package identified
in rule 3.221 to the client and reviewed ADR options with the client.
(2) For self-represented parties: Party has has not reviewed the ADR information package identified in rule 3.221.
b. Referral to judicial arbitration or civil action mediation (if available).
(1) This matter is subject to mandatory judicial arbitration under Code of Civil Procedure section 1141.11 or to civil action
mediation under Code of Civil Procedure section 1775.3 because the amount in controversy does not exceed the
statutory limit.
(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) This case is exempt from judicial arbitration under rule 3.811 of the California Rules of Court or from civil action
mediation under Code of Civil Procedure section 1775 et seq. (specify exemption):
CM-110 [Rev. July 1, 2011] Page 2 of 5
CASE MANAGEMENT STATEMENT
American LegalNet, Inc.
www.FormsWorkFlow.com
CM-110
CASE NUMBER:
PLAINTIFF/PETITIONER: Jami Handelman Katz
CGC-20-588007
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
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): January 12, 2022
arbitration
Agreed to complete private arbitration by (date):
Private arbitration completed on (date):
ADR session not yet scheduled
(6) Other (specify): ADR session scheduled for (date):
Agreed to complete ADR session by (date):
ADR completed on (date):
CM-110 [Rev. July 1, 2011] Page 3 of 5
CASE MANAGEMENT STATEMENT
American LegalNet, Inc.
www.FormsWorkFlow.com
CM-110
CASE NUMBER:
PLAINTIFF/PETITIONER: Jami Handelman Katz
CGC-20-588007
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
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. There are companion, underlying, or related cases.
(1) Name of case:
(2) Name of court:
(3) Case number:
(4) Status:
Additional cases are described in Attachment 13a.
b. A motion to consolidate coordinate wiII be filed by (name party):
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):
16. Discovery
a. The party or parties have completed all discovery.
b The following discovery will be completed by the date specified (describe all anticipated discovery):
Party Description Date
c. The following discovery issues, including issues regarding the discovery of electronically stored information, are
anticipated (specify):
CM-110 [Rev. July 1, 2011] Page 4 of 5
CASE MANAGEMENT STATEMENT
American LegalNet, Inc.
www.FormsWorkFlow.com
CM-110
CASE NUMBER:
PLAINTIFF/PETITIONER: Jami Handelman Katz
CGC-20-588007
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
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): This matter is currently pending before FINRA after the Court granted the motion to compel
arbitration filed by Merrill Lynch. This court should extend the arbitration stay. The Parties also request that this
Court continue the CMC because the CMC is scheduled on the date the parties are attending FINRA mediation.
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
I 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: December 27, 2021
Kelsey D. Haines /s/ Kelsey D. Haines
(TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY)
Donald J. Putterman /s/ Donald J. Putterman
(TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY)
Additional signatures are attached.
CM-110 [Rev. July 1, 2011] Page 5 of 5
CASE MANAGEMENT STATEMENT
American LegalNet, Inc.
www.FormsWorkFlow.com
MC-025
CASE NUMBER:
SHORT TITLE:
Jami Handelman Katz v. Merrill Lynch, Pierce, Fenner & Smith CGC-20-588007
ATTACHMENT (Number): 8
(This Attachment may be used with any Judicial Council form.)
(If the item that this Attachment concerns is made under penalty of perjury, all statements in this Page 1 of 1
Attachment are made under penalty of perjury.)
(Add pages as required)
Form Approved for Optional Use
Judicial Council of California
ATTACHMENT www.courtinfo.ca.gov
MC-025 [Rev. July 1, 2009] to Judicial Council Form
1 ATTESTATION
2 The undersigned hereby attests that all signatories listed above, and on whose behalf
3 this Joint Casement Management Statement is submitted, concur in and have authorized the filing
4 of this document.
5 Dated: December 27, 2021 McGuireWoods LLP
6 By: /s/ Kelsey D. Haines
7 Kelsey D. Haines
8 Attorneys for Defendant Merrill Lynch, Pierce,
Fenner & Smith Incorporated
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JOINT STIPULATION TO CONTINUE FILING OF CASE MANAGEMENT STATEMENT
1 PROOF OF SERVICE
2 STATE OF CALIFORNIA, COUNTY OF LOS ANGELES
3 I am employed in the County of Los Angeles, State of California. I am over the age of
eighteen years and not a party to the within action; my business address is: McGuireWoods LLP,
4 1800 Century Park East, Eighth Floor, Los Angeles, California 90067-1501.
5 On December 27, 2021, I served the following document(s) described as JOINT CASE
MANAGEMENT STATEMENT on the interested parties in this action by placing true copies
6 thereof enclosed in sealed envelopes addressed as follows:
7 Donald Jon Putterman Attorneys for Plaintiff
Putterman Logan LLP Jami Handelman Katz
8 580 California St., 12th Floor
San Francisco, CA 94104
9 415.839.8779
650.733.0466
10 dputterman@plylaw.com
11 ☒ BY MAIL: I am “readily familiar” with the firm’s practice of collection and processing
correspondence for mailing with the United States Postal Service. Under that practice, it
12 would be deposited with the United States Postal Service that same day in the ordinary
course of business. Such envelope(s) were placed for collection and mailing with postage
13 thereon fully prepaid at Los Angeles, CA, on that same day following ordinary business
practices. (C.C.P. § 1013 (a) and 1013a(3))
14
☐ BY OVERNIGHT DELIVERY: I deposited such document(s) in a box or other facility
15 regularly maintained by the overnight service carrier, or delivered such document(s) to a
courier or driver authorized by the overnight service carrier to receive documents, in an
16 envelope or package designated by the overnight service carrier with delivery fees paid or
provided for, addressed to the person(s) served hereunder. (C.C.P. § 1013(d)(e))
17
☒ BY E-MAIL: By electronic mail transmission via Electronic Filing Service Provider One
18 Legal by transmitting a PDF format copy of such document(s) to each person at the email
addresses set forth on the above service list.
19
☐ BY HAND DELIVERY: I delivered such envelope(s) by hand to the office of the
20 addressee(s). (C.C.P. § 1011(a)(b))
21 I declare under penalty of perjury under the laws of the State of California that the
foregoing is true and correct.
22
Executed on December 27, 2021, at Los Angeles, California.
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25 Jill Liston Jones
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Preview
CM-110 ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address): FOR COURT USE ONLY Kelsey Haines SBN 327536; Jodie Herrmann Lawson (pro hac vice) McGuireWoods LLP 1800 Century Park East, 8th Floor Los Angeles, CA 90067 TELEPHONE NO.: 310-315-8200 FAX NO. (Optional): ELECTRONICALLY E-MAIL ADDRESS (Optional): khaines@mcguirewoods.com ATTORNEY FOR (Name): Merrill Lynch, Pierce, Fenner & Smith Incorporated F I L E D Superior Court of California, SUPERIOR COURT OF CALIFORNIA, COUNTY OF San Francisco County of San Francisco STREET ADDRESS: 400 McAllister Street 12/27/2021 MAILING ADDRESS: Clerk of the Court BY: ANGELICA SUNGA San Francisco 94102 CITY AND ZIP CODE: Deputy Clerk BRANCH NAME:San Francisco PLAINTIFF/PETITIONER: Jami Handelman Katz DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated CASE MANAGEMENT STATEMENT CASE NUMBER: CGC-20-588007 (Check one): UNLIMITED CASE LIMITED CASE (Amount demanded (Amount demanded is $25,000 exceeds $25,000) or less) A CASE MANAGEMENT CONFERENCE is scheduled as follows: Date: January 12, 2022 Time: 10:30 a.m. Dept.: 610 Div.: Room: Address of court (if different from the address above): Notice of Intent to Appear by Telephone, by (name): Kelsey Haines INSTRUCTIONS: All applicable boxes must be checked, and the specified information must be provided. 1. Party or parties (answer one): a. This statement is submitted by party (name): b. This statement is submitted jointly by parties (names): Defendant Merrill Lynch, Pierce, Fenner & Smith Incorporated and Plaintiff Jami Handelman Katz 2. Complaint and cross-complaint (to be answered by plaintiffs and cross-complainants only) a. The complaint was filed on (date): November 25, 2020 b. The cross-complaint, if any, was filed on (date): 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. The following parties named in the complaint or cross-complaint (1) have not been served (specify names and explain why not): (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): c. 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 of case in complaint cross-complaint (Describe, including causes of action): Complaint alleging claims for professional negligence, breach of fiduciary duty, and negligent representation Page 1 of 5 Form Adopted for Mandatory Use Cal. Rules of Court, Judicial Council of California CASE MANAGEMENT STATEMENT rules 3.720–3.730 CM-110 [Rev. July 1, 2011] www.courts.ca.gov American LegalNet, Inc. www.FormsWorkFlow.com CM-110 CASE NUMBER: PLAINTIFF/PETITIONER: Jami Handelman Katz CGC-20-588007 DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 dispute involves an account that Joan Lickerman (the “Decedent”) held at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Plaintiff claims that she is entitled to the Decedent's account. (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 a jury triaI a nonjury trial. (If more than one party, provide the name of each party requesting a jury trial): 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): The case is currently pending in FINRA arbitration. This case is stayed. c. Dates on which parties or attorneys will not be available for trial (specify dates and explain reasons for unavailability): 7. Estimated length of trial The party or parties estimate that the trial will take (check one): a. days (specify number): 2-3 b. hours (short causes) (specify): 8. Trial representation (to be answered for each party) The party or parties will be represented at trial by the attorney or party listed in the caption by the following: 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. 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 provided the ADR information package identified in rule 3.221 to the client and reviewed ADR options with the client. (2) For self-represented parties: Party has has not reviewed the ADR information package identified in rule 3.221. b. Referral to judicial arbitration or civil action mediation (if available). (1) This matter is subject to mandatory judicial arbitration under Code of Civil Procedure section 1141.11 or to civil action mediation under Code of Civil Procedure section 1775.3 because the amount in controversy does not exceed the statutory limit. (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) This case is exempt from judicial arbitration under rule 3.811 of the California Rules of Court or from civil action mediation under Code of Civil Procedure section 1775 et seq. (specify exemption): CM-110 [Rev. July 1, 2011] Page 2 of 5 CASE MANAGEMENT STATEMENT American LegalNet, Inc. www.FormsWorkFlow.com CM-110 CASE NUMBER: PLAINTIFF/PETITIONER: Jami Handelman Katz CGC-20-588007 DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated 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): January 12, 2022 arbitration Agreed to complete private arbitration by (date): Private arbitration completed on (date): ADR session not yet scheduled (6) Other (specify): ADR session scheduled for (date): Agreed to complete ADR session by (date): ADR completed on (date): CM-110 [Rev. July 1, 2011] Page 3 of 5 CASE MANAGEMENT STATEMENT American LegalNet, Inc. www.FormsWorkFlow.com CM-110 CASE NUMBER: PLAINTIFF/PETITIONER: Jami Handelman Katz CGC-20-588007 DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated 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. There are companion, underlying, or related cases. (1) Name of case: (2) Name of court: (3) Case number: (4) Status: Additional cases are described in Attachment 13a. b. A motion to consolidate coordinate wiII be filed by (name party): 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): 16. Discovery a. The party or parties have completed all discovery. b The following discovery will be completed by the date specified (describe all anticipated discovery): Party Description Date c. The following discovery issues, including issues regarding the discovery of electronically stored information, are anticipated (specify): CM-110 [Rev. July 1, 2011] Page 4 of 5 CASE MANAGEMENT STATEMENT American LegalNet, Inc. www.FormsWorkFlow.com CM-110 CASE NUMBER: PLAINTIFF/PETITIONER: Jami Handelman Katz CGC-20-588007 DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated 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): This matter is currently pending before FINRA after the Court granted the motion to compel arbitration filed by Merrill Lynch. This court should extend the arbitration stay. The Parties also request that this Court continue the CMC because the CMC is scheduled on the date the parties are attending FINRA mediation. 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 I 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: December 27, 2021 Kelsey D. Haines /s/ Kelsey D. Haines (TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY) Donald J. Putterman /s/ Donald J. Putterman (TYPE OR PRINT NAME) (SIGNATURE OF PARTY OR ATTORNEY) Additional signatures are attached. CM-110 [Rev. July 1, 2011] Page 5 of 5 CASE MANAGEMENT STATEMENT American LegalNet, Inc. www.FormsWorkFlow.com MC-025 CASE NUMBER: SHORT TITLE: Jami Handelman Katz v. Merrill Lynch, Pierce, Fenner & Smith CGC-20-588007 ATTACHMENT (Number): 8 (This Attachment may be used with any Judicial Council form.) (If the item that this Attachment concerns is made under penalty of perjury, all statements in this Page 1 of 1 Attachment are made under penalty of perjury.) (Add pages as required) Form Approved for Optional Use Judicial Council of California ATTACHMENT www.courtinfo.ca.gov MC-025 [Rev. July 1, 2009] to Judicial Council Form 1 ATTESTATION 2 The undersigned hereby attests that all signatories listed above, and on whose behalf 3 this Joint Casement Management Statement is submitted, concur in and have authorized the filing 4 of this document. 5 Dated: December 27, 2021 McGuireWoods LLP 6 By: /s/ Kelsey D. Haines 7 Kelsey D. Haines 8 Attorneys for Defendant Merrill Lynch, Pierce, Fenner & Smith Incorporated 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4 JOINT STIPULATION TO CONTINUE FILING OF CASE MANAGEMENT STATEMENT 1 PROOF OF SERVICE 2 STATE OF CALIFORNIA, COUNTY OF LOS ANGELES 3 I am employed in the County of Los Angeles, State of California. I am over the age of eighteen years and not a party to the within action; my business address is: McGuireWoods LLP, 4 1800 Century Park East, Eighth Floor, Los Angeles, California 90067-1501. 5 On December 27, 2021, I served the following document(s) described as JOINT CASE MANAGEMENT STATEMENT on the interested parties in this action by placing true copies 6 thereof enclosed in sealed envelopes addressed as follows: 7 Donald Jon Putterman Attorneys for Plaintiff Putterman Logan LLP Jami Handelman Katz 8 580 California St., 12th Floor San Francisco, CA 94104 9 415.839.8779 650.733.0466 10 dputterman@plylaw.com 11 ☒ BY MAIL: I am “readily familiar” with the firm’s practice of collection and processing correspondence for mailing with the United States Postal Service. Under that practice, it 12 would be deposited with the United States Postal Service that same day in the ordinary course of business. Such envelope(s) were placed for collection and mailing with postage 13 thereon fully prepaid at Los Angeles, CA, on that same day following ordinary business practices. (C.C.P. § 1013 (a) and 1013a(3)) 14 ☐ BY OVERNIGHT DELIVERY: I deposited such document(s) in a box or other facility 15 regularly maintained by the overnight service carrier, or delivered such document(s) to a courier or driver authorized by the overnight service carrier to receive documents, in an 16 envelope or package designated by the overnight service carrier with delivery fees paid or provided for, addressed to the person(s) served hereunder. (C.C.P. § 1013(d)(e)) 17 ☒ BY E-MAIL: By electronic mail transmission via Electronic Filing Service Provider One 18 Legal by transmitting a PDF format copy of such document(s) to each person at the email addresses set forth on the above service list. 19 ☐ BY HAND DELIVERY: I delivered such envelope(s) by hand to the office of the 20 addressee(s). (C.C.P. § 1011(a)(b)) 21 I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. 22 Executed on December 27, 2021, at Los Angeles, California. 23 24 25 Jill Liston Jones 26 27 28