Preview
CM-110
ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address): FOR COURT USE ONLY
DONALD J. PUTTERMAN (SBN 90822)/ DANNIELLE M. CAMPBELL (SBN 303204)
PUTTERMAN|YU LLP
345 California Street, Suite 1160
San Francisco, CA 94104-2626 ELECTRONICALLY
TELEPHONE NO.: (415) 839-8779 FAX NO.(Optional): (415) 737-1363
E-MAIL ADDRESS: dputterman@plylaw.com / dcampbell@plylaw.com
FILED
Superior Court of California,
ATTORNEY FOR (Name): Plaintiff JAMI HANDELMAN KATZ County of San Francisco
SUPERIOR COURT OF CALIFORNIA, COUNTY OF San Francisco 10/07/2021
STREET ADDRESS: 400 McAllister Street Clerk of the Court
MAILING ADDRESS: 400 McAllister Street BY: VERA MU
Deputy Clerk
CITY AND ZIP CODE: San Francisco, CA 94102
BRANCH NAME:
PLAINTIFF/PETITIONER: JAMI HANDELMAN KATZ
DEFENDANT/RESPONDENT: Merrill Lynch, Pierce, Fenner & Smith Incorporated
CASE MANAGEMENT STATEMENT CASE NUMBER:
(Check one): UNLIMITED CASE LIMITED CASE CGC-20-588007
(Amount demanded (Amount demanded is $25,000
exceeds $25,000) or less)
A CASE MANAGEMENT CONFERENCE is scheduled as follows:
Date: October 27, 2021 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): Dannielle M. Campbell
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): Plaintiff JAMI HANDELMAN KATZ
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 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 the 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 CASE MANAGEMENT STATEMENT Cal. Rules of Court,
Judicial Council of California rules 3.720–3.730
CM-110 [Rev. September 1, 2021] www.courts.ca.gov
CM-110
PLAINTIFF/PETITIONER: Jami Handelman Katz CASE NUMBER:
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.)
The 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 trial 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 of the California Rules of Court 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 of 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. September 1, 2021] CASE MANAGEMENT STATEMENT Page 2 of 5
CM-110
PLAINTIFF/PETITIONER: Jami Handelman Katz CASE NUMBER:
CGC-20-588007
DEFENDANT/RESPONDENT: MMerrill 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
(1) Mediation Mediation session scheduled for (date):
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
(3) Neutral evaluation Neutral evaluation scheduled for (date):
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
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. September 1, 2021] CASE MANAGEMENT STATEMENT Page 3 of 5
CM-110
PLAINTIFF/PETITIONER: Jami Handelman Katz CASE NUMBER:
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 will 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. September 1, 2021] CASE MANAGEMENT STATEMENT Page 4 of 5
CM-110
PLAINTIFF/PETITIONER: Jami Handelman Katz CASE NUMBER:
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.
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):
The parties have been in communication regarding the
FINRA arbitration matter and scheduling a mediation.
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):
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: October 7, 2021
Dannielle M. Campbell
(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. September 1, 2021] CASE MANAGEMENT STATEMENT Page 5 of 5
1 PROOF OF SERVICE
2 I am over the age of eighteen and not a party to this action; I am employed by PUTTERMAN
3 YU WANG LLP. My business address is 345 California Street, Suite 1160 San Francisco, CA 94104.
4 On October 7 2021, I served the foregoing document(s) described as:
5 1. PLAINTIFF JAMI HANDELMAN KATZ CASE MANAGEMENT STATEMENT
6
on the interested party(ies) below, using the following means:
7
ELECTRONIC TRANSMISSION based on a court order or an agreement of the
8 parties to accept service by e-mail or electronic transmission, I caused the
documents to be sent to the persons at the e-mail addresses on the attached service
9
list on the dates and at the times stated thereon. I did not receive, within a
10 reasonable time after the transmission, any electronic message or other indication
that the transmission was unsuccessful. The electronic notification address of the
11 court approved electronic provider making the service is One Legal
.
12
Ms. Jodie Herrmann Lawson Counsel for Defendant
13 MCGUIREWOODS LLP Merrill Lynch, Pierce, Fenner & Smith
201 North Tryon Street, Suite 3000 Incorporated
14
Charlotte, NC 28202
15 Tel: (704)343-2329
E-mail: jlawson@mcguirewoods.com
16
17 Ms. Kelsey D. Haines Counsel for Defendant
MCGUIREWOODS LLP Merrill Lynch, Pierce, Fenner & Smith
18 1800 Century Park East, 8th Floor Incorporated
Los Angeles, CA 90067
19
Tel: (310) 315-8200
20 E-mail: khaines@mcguirewoods.com
21
I declare under penalty of perjury under the laws of the State of California that the foregoing
22
is true and correct.
23
Executed on October 7, 2021.
24
25
26 ____________________
PANIZ KARIMPOUR
27
28
CASE NO. CGC-20-588007
PROOF OF SERVICE