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Case: Augst-Johnson v. Morgan Stanley & Co.

1:06-cv-01142 | U.S. District Court for the District of Columbia

Filed Date: June 22, 2006

Closed Date: Oct. 26, 2007

Clearinghouse coding complete

Case Summary

On June 22, 2006, female financial advisers employed by Morgan Stanley, a financial services firm, filed this class action complaint in the U.S. District Court for the District of Columbia under Title VII and the Age Discrimination in Employment Act (ADEA), alleging that Morgan Stanley had a systemic pattern and practice of discriminating against female employees in compensation, promotions, and other areas. Specifically, the plaintiffs alleged that Morgan Stanley discriminated against them in …

On June 22, 2006, female financial advisers employed by Morgan Stanley, a financial services firm, filed this class action complaint in the U.S. District Court for the District of Columbia under Title VII and the Age Discrimination in Employment Act (ADEA), alleging that Morgan Stanley had a systemic pattern and practice of discriminating against female employees in compensation, promotions, and other areas. Specifically, the plaintiffs alleged that Morgan Stanley discriminated against them in promotions, compensation, business, referrals, training, mentoring, and partnership agreements. The complaint requested to certify a class of "[a]ll women employed by Morgan Stanley as financial advisers at any time between August 5, 2003 and the present." Represented by private counsel, the plaintiffs sought: a declaratory judgment; front pay, benefits, back pay, compensatory and punitive damages; liquidated damages for the ADEA claim to the individual plaintiffs; injunctive relief barring Morgan Stanley from engaging in discriminatory practices and compelling them to develop new policies; and attorneys' fees, experts' fees, and costs.

On April 24, 2007, the plaintiffs filed a motion for preliminary approval of class action settlement agreement. They filed two revised settlement agreements on July 11 and July 17, respectively. On October 1, 2007, the plaintiffs requested final approval of the settlement.

On October 26, 2007, District Judge Richard W. Roberts certified the class, approved the settlement agreement, and approved attorneys' fees and costs. The Court retained jurisdiction over administration of the settlement. The plaintiff class was defined as “all women who were employed as Financial Advisors or Registered Financial Advisor Trainees in the Global Wealth Management Group of Morgan Stanley & Co. Incorporated (“Morgan Stanley”) or its predecessor(s) at any time from August 5, 2003 through June 30, 2007.”

The agreement contained a five-year enforcement period and required the defendant to pay $46 million, $32.5 million of which was allocated for class members' claims and $13.5 million for attorneys' fees, costs as well as monitoring and compliance. A special master was appointed to determine class members' awards based on their contributions to the defendant's business, the discrimination they faced, and other factors according to a formula detailed in the settlement.

The injunctive relief included distribution of an anti-harassment policy to all employees; posting positions on an internal job bank; establishing objective promotion and hiring criteria; implementing diversity training; revising the "power ranking" system that ranks financial advisors' production; changing account distribution and referral policies; implementing a complaint process; and other changes. The parties also agreed to appoint a diversity monitor who would report semi-annually to class counsel and to appoint industrial psychologists to develop programs to recruit and promote more women.

Only September 19, 2011, the parties jointly proposed to seek transfer of a related case from the Northern District of California to this court for consideration of a proposed consolidated settlement agreement. Judge Roberts approved the consolidation on December 8, 2011 and administratively closed Amochaev v. Citigroup Global Markets Inc. [Case No. C-051298 (PJH)]. The parties filed a consolidated settlement agreement on June 22, 2012.

On February 15, 2013, Judge Roberts approved the consolidated class action settlement agreement. The class from the second case was defined as “all women employed as Financial Advisors in (i) the United States branches of Smith Barney’s retail brokerage division at any time from August 30, 2003 forward or (ii) the California branches of Smith Barney’s retail brokerage division at any time from June 25, 2003 forward.” Other terms of the consolidated settlement agreement were similar to the one from before, except that the consolidated agreement added the following: developing a computerized system to generate mail notification of new entry level positions; making recommendations for programs to increase the participation of women; reporting quarterly on efforts in areas of sourcing, recruiting, mentoring a diverse workforce, etc. This settlement agreement was binding on the parties until October 1, 2015.

On September 29, 2015, the plaintiffs moved to extend the consolidated settlement agreement for two additional years because the original agreement was set to expire on September 30, 2015. On April 6, 2016, the case was reassigned to Judge Colleen Kollar-Kotelly because Judge Roberts has retired. Judge Kollar-Kotelly granted the motion to extend the settlement agreement, which was effective October 1, 2015 through September 30, 2017.

There has been no docket activity since the deadline passed, so this case is presumably closed.

Summary Authors

Eric Weiler (7/3/2010)

Sichun Liu (5/25/2019)

Related Cases

Jaffe v. Morgan Stanley DW, Inc., Northern District of California (2006)

People

For PACER's information on parties and their attrorneys, see: https://www.courtlistener.com/docket/4205069/parties/augst-johnson-v-morgan-stanley-dw-inc/


Judge(s)

Roberts, Richard W. (District of Columbia)

Robinson, Deborah A. (District of Columbia)

Attorneys(s) for Plaintiff

Beard, Kelly (Georgia)

Bornstein, Lisa M. (District of Columbia)

Dermody, Kelly M. (California)

Farrell, Sandi (District of Columbia)

Finberg, James M. (California)

Klein, Adam T. (New York)

Mehri, Cyrus (District of Columbia)

Moody, Christopher M. (New Mexico)

Judge(s)

Roberts, Richard W. (District of Columbia)

Robinson, Deborah A. (District of Columbia)

Attorneys(s) for Plaintiff

Beard, Kelly (Georgia)

Bornstein, Lisa M. (District of Columbia)

Dermody, Kelly M. (California)

Farrell, Sandi (District of Columbia)

Finberg, James M. (California)

Klein, Adam T. (New York)

Mehri, Cyrus (District of Columbia)

Moody, Christopher M. (New Mexico)

Skalet, Steven A. (District of Columbia)

Sprenger, Steve M (District of Columbia)

Thompson, Mara R (Minnesota)

Warner, Whitney (New Mexico)

Attorneys(s) for Defendant

Dichter, Mark S. (Pennsylvania)

Speights, Grace E (District of Columbia)

Turnbull, Kenneth J. (New York)

Documents in the Clearinghouse

Document

1:06-cv-01142

Docket [PACER]

Augst-Johnson v. Morgan Stanley & Company

April 7, 2016

April 7, 2016

Docket
1

1:06-cv-01142

Complaint

Augst-Johnson v. Morgan Stanley

June 22, 2006

June 22, 2006

Complaint
16

1:06-cv-01142

Order Granting Joint Emergency Application For An Injunction

Augst-Johnson v. Morgan Stanley & Company

April 6, 2007

April 6, 2007

Order/Opinion
20

1:06-cv-01142

Settlement Agreement

Augst-Johnson v. Morgan Stanley & Company

April 23, 2007

April 23, 2007

Settlement Agreement
19

1:06-cv-01142

Amended Complaint

Augst-Johnson v. Morgan Stanley & Company

April 24, 2007

April 24, 2007

Complaint
33

1:06-cv-01142

Joint Motion for Final Approval of Class Action Settlement

Augst-Johnson v. Morgan Stanley & Company

Oct. 1, 2007

Oct. 1, 2007

Pleading / Motion / Brief
43

1:06-cv-01142

Final Order Certifying Class, Approving Settlement Agreement, Approving Award Of Attorneys Fees And Costs, And Dismissing Action Subject To The Court's Continuing Jurisdiction

Augst-Johnson v. Morgan Stanley & Company

Oct. 26, 2007

Oct. 26, 2007

Order/Opinion
51

1:06-cv-01142

Memorandum Order [Granting Class Member's Motion To Opt Out Of Class]

Augst-Johnson v. Morgan Stanley

Jan. 3, 2008

Jan. 3, 2008

Order/Opinion
71-1

1:06-cv-01142

Morgan Stanley Smith Barney, LLC Consolidated Settlement Agreement

June 22, 2012

June 22, 2012

Settlement Agreement
77-2

1:06-cv-01142

Stipulation to Extend Consolidation Settlement Agreement

Sept. 29, 2015

Sept. 29, 2015

Pleading / Motion / Brief

Docket

See docket on RECAP: https://www.courtlistener.com/docket/4205069/augst-johnson-v-morgan-stanley-dw-inc/

Last updated Nov. 29, 2022, 3:19 a.m.

ECF Number Description Date Link Date / Link
1

COMPLAINT against MORGAN STANLEY DW, INC. (Filing fee $ 350) filed by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW.(jf, ) (Entered: 06/23/2006)

June 22, 2006

June 22, 2006

RECAP

SUMMONS Not Issued as to MORGAN STANLEY DW, INC. (jf, )

June 22, 2006

June 22, 2006

PACER

Summons (1) Issued as to MORGAN STANLEY DW, INC.. (jf, )

June 23, 2006

June 23, 2006

PACER
2

MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mara R. Thompson, Christopher M. Moody & Whitney Warner. :Address- 310 Fourth Avenue S., Minneapolis, MN 55415 & 4169 Montgomery Blvd. NE, Albuquerque, NM 87109. Phone No. - 612-871-8910 and 505-944-0033. Fax No. - 612-871-9270 and 505-944-0034 by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Declaration of Mara R. Thompson# 2 Declaration of Christopher M. Moody# 3 Declaration of Whitney Warner# 4 Text of Proposed Order)(Sprenger, Steven) (Entered: 07/07/2006)

1 Declaration of Mara R. Thompson

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2 Declaration of Christopher M. Moody

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3 Declaration of Whitney Warner

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4 Text of Proposed Order

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July 7, 2006

July 7, 2006

RECAP
3

ADDITIONAL ATTACHMENT Certificate of Service by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW 2 MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mara R. Thompson, Christopher M. Moody & Whitney Warner. :Address- 310 Fourth Avenue S., Minneapolis, MN 55415 & 4169 Montgomery Blvd. NE, Albuquerque, NM 87109. Phone No. - 612-871-8910 and 505 filed by DEBRA SHAW,, JOANNE AUGUST-JOHNSON,, NANCY REEVES,, CHERYL GUISTINIANO,, LAURIE BLACKBURN,. (Sprenger, Steven) (Entered: 07/07/2006)

July 7, 2006

July 7, 2006

RECAP
4

Joint MOTION for Leave to Appear and Set Status Conference by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Text of Proposed Order)(Sprenger, Steven). (Entered: 07/07/2006)

1 Text of Proposed Order

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July 7, 2006

July 7, 2006

RECAP

MINUTE ORDER: It is hereby ORDERED that plaintiffs' motion 2 regarding admissions pro hac vice be, and hereby is, GRANTED. Mara R. Thompson, Christopher M. Moody, and Whitney Warner are admitted pro hac vice in this action. Issued by Judge Richard W. Roberts on 7/25/2006. (EHS)

July 25, 2006

July 25, 2006

PACER
5

MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mark S. Dichter and Kenneth J. Turnbull. :Address- Morgan, Lewis & Bockius LLP, 1701 Market St., Philadelphia, PA 19103/Morgan, Lewis & Bockius LLP, 101 Park Avenue, New York, New York 10178. Phone No. - 215-962-5291/212-309-6055. Fax No. - 215-963-5001/212-309-6001 by MORGAN STANLEY DW, INC.. (Attachments: # 1 Exhibit Exhibit A - Declaration of Mark S. Dichter# 2 Exhibit Exhibit B - Declaration of Kenneth J. Turnbull# 3 Text of Proposed Order # 4 Certificate of Service)(Speights, Grace) (Entered: 08/03/2006)

1 Exhibit Exhibit A - Declaration of Mark S. Dichter

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2 Exhibit Exhibit B - Declaration of Kenneth J. Turnbull

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3 Text of Proposed Order

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4 Certificate of Service

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Aug. 3, 2006

Aug. 3, 2006

RECAP
6

Consent MOTION for Extension of Time to Respond to the Complaint by MORGAN STANLEY DW, INC.. (Attachments: # 1 Text of Proposed Order # 2 Certificate of Service)(Speights, Grace) (Entered: 08/08/2006)

1 Text of Proposed Order

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2 Certificate of Service

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Aug. 8, 2006

Aug. 8, 2006

RECAP
7

ORDER granting 6 Motion for Extension of Time to answer complaint to 11/1/06.. Signed by Judge Richard W. Roberts on 8/10/06. (lin, ) (Entered: 08/15/2006)

Aug. 15, 2006

Aug. 15, 2006

RECAP

Set/Reset Deadlines: Answer due by 11/1/2006. (lin, )

Aug. 15, 2006

Aug. 15, 2006

PACER

Set/Reset Deadlines: Answer due by 11/1/2006. (lin, )

Aug. 18, 2006

Aug. 18, 2006

PACER

MINUTE ORDER: It is hereby ORDERED that defendant's motion 5 for leave to permit Mark S. Dichter and Kenneth J. Turnbull to appear pro hac vice be, and hereby is, GRANTED. Issued by Judge Richard W. Roberts on 8/28/2006. (EHS)

Aug. 28, 2006

Aug. 28, 2006

PACER
8

NOTICE of Change of Address by Cyrus Mehri (Mehri, Cyrus) (Entered: 10/23/2006)

Oct. 23, 2006

Oct. 23, 2006

RECAP

NOTICE of Hearing: Settlement Conference set for 11/13/2006 09:30 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (lin, )

Nov. 3, 2006

Nov. 3, 2006

PACER

CASE REFERRED to Magistrate Judge Deborah A. Robinson for Settlement Conference at November 13 at 9:30am. (jsc)

Nov. 6, 2006

Nov. 6, 2006

PACER
9

ANSWER to Complaint by MORGAN STANLEY DW, INC.. Related document: 1 Complaint filed by DEBRA SHAW,, NANCY REEVES,, CHERYL GUISTINIANO,, LAURIE BLACKBURN,, JOANNE AUGST-JOHNSON,.(Speights, Grace) (Entered: 11/13/2006)

Nov. 13, 2006

Nov. 13, 2006

RECAP
10

LCvR 7.1 - CERTIFICATE OF DISCLOSURE of Corporate Affiliations and Financial Interests by MORGAN STANLEY DW, INC. (Speights, Grace) (Entered: 11/13/2006)

Nov. 13, 2006

Nov. 13, 2006

RECAP

Minute Entry for proceedings held before Magistrate Judge Deborah A. Robinson : Settlement Conference held on 11/13/2006. Status Conference set for 1/23/2007 11:00 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (EW)

Nov. 13, 2006

Nov. 13, 2006

PACER
11

STATUS REPORT (Joint) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 11/16/2006)

Nov. 16, 2006

Nov. 16, 2006

RECAP
12

ORDER that the parites shall continue to engage in their effort to reach a settlemtnt in this action.. Signed by Magistrate Judge Deborah A. Robinson on 11/17/06. (lm ) (Entered: 11/17/2006)

Nov. 17, 2006

Nov. 17, 2006

RECAP

Set Hearing: Status Conference set for 1/30/2007 @ 09:30 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (mm)

Nov. 17, 2006

Nov. 17, 2006

PACER

Minute Entry for proceedings held before Magistrate Judge Deborah A. Robinson : Settlement Conference held on 1/30/2007. (EW)

Jan. 30, 2007

Jan. 30, 2007

PACER
13

STATUS REPORT (JOINT) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 02/26/2007)

Feb. 26, 2007

Feb. 26, 2007

RECAP

MINUTE ORDER: Based on the parties' most recent status report 13, it is hereby ORDERED that the parties be, and hereby are, DIRECTED to file another joint status report by April 12, 2007, unless settlement documents are submitted for review before then. Issued by Judge Richard W. Roberts on 2/27/2007. (EHS)

Feb. 27, 2007

Feb. 27, 2007

PACER
14

Emergency MOTION for Permanent Injunction (Joint) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order # 2 Declaration of Mark S. Dichter (and attached exhibits)# 3 Declaration of Cyrus Mehri)(Speights, Grace) (Entered: 04/06/2007)

1 Text of Proposed Order

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2 Declaration of Mark S. Dichter (and attached exhibits)

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3 Declaration of Cyrus Mehri

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April 6, 2007

April 6, 2007

RECAP
15

ERRATA To Joint Emergency Application For An Injunction by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW 14 Emergency MOTION for Permanent Injunction (Joint)Emergency MOTION for Permanent Injunction (Joint) filed by CHERYL GUISTINIANO, JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, NANCY REEVES, MORGAN STANLEY DW, INC., DEBRA SHAW. (Attachments: # 1 Declaration of Mark S. Dichter With Corrected Exhibits A and B)(Speights, Grace) (Entered: 04/06/2007)

1 Declaration of Mark S. Dichter With Corrected Exhibits A and B

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April 6, 2007

April 6, 2007

RECAP
16

ORDER granting Joint Emergency Motion 14 for an Injunction. Signed by Judge Richard W. Roberts on 4/6/07. (lcrwr3) (Entered: 04/06/2007)

April 6, 2007

April 6, 2007

RECAP
17

STATUS REPORT (JOINT) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 04/12/2007)

April 12, 2007

April 12, 2007

RECAP
18

STIPULATION /Defendant's Consent to Plaintiffs' Filing of Amended Complaint by MORGAN STANLEY DW, INC.. (Attachments: # 1 Exhibit Amended Complaint)(Speights, Grace) (Entered: 04/24/2007)

1 Exhibit Amended Complaint

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April 24, 2007

April 24, 2007

RECAP
19

AMENDED COMPLAINT against MORGAN STANLEY & CO. INCORPORATED filed by JAN TYLER, ERMA TARANTINO, ELIZABETH REINKE, CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW.(nmw, ) (Entered: 04/24/2007)

April 24, 2007

April 24, 2007

RECAP
20

Joint MOTION Preliminary Approval by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Exhibit Exhibit 1: Settlement Agreement# 2 Exhibit A to Settlement Agreement# 3 Exhibit B to Settlement Agreement# 4 Exhibit C to Settlement Agreement# 5 Exhibit D to Settlement Agreement# 6 Declaration of Steven M. Sprenger# 7 Exhibit A to Declaration of Steven M. Sprenger# 8 Declaration of Cyrus Mehri# 9 Declaration of Joanne Augst-Johnson# 10 Declaration of Nancy Reeves# 11 Declaration of Debra Shaw# 12 Declaration of Jan Tyler# 13 Declaration of Cheryl Giustiniano# 14 Declaration of Laurie Blackburn# 15 Delcaration of Erna Tarantino# 16 Declaration of Elizabeth Reinke# 17 Proposed Order)(Sprenger, Steven) (Entered: 04/24/2007)

1 Exhibit Exhibit 1: Settlement Agreement

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2 Exhibit A to Settlement Agreement

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3 Exhibit B to Settlement Agreement

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4 Exhibit C to Settlement Agreement

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5 Exhibit D to Settlement Agreement

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6 Declaration of Steven M. Sprenger

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7 Exhibit A to Declaration of Steven M. Sprenger

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8 Declaration of Cyrus Mehri

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9 Declaration of Joanne Augst-Johnson

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10 Declaration of Nancy Reeves

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11 Declaration of Debra Shaw

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12 Declaration of Jan Tyler

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13 Declaration of Cheryl Giustiniano

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14 Declaration of Laurie Blackburn

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15 Delcaration of Erna Tarantino

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16 Declaration of Elizabeth Reinke

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17 Proposed Order

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April 24, 2007

April 24, 2007

RECAP
21

MOTION for Attorney Fees by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support of Joint Motion for Preliminary Approval of Class Action Settlement and Class Counsel's Motion for Award of Attorneys' Fees and Expenses)(Sprenger, Steven) (Entered: 04/24/2007)

1 Memorandum in Support of Joint Motion for Preliminary Approval of Class Action

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April 24, 2007

April 24, 2007

RECAP
22

MEMORANDUM re 20 Joint MOTION Preliminary Approval filed by CHERYL GUISTINIANO, JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Sprenger, Steven) (Entered: 04/24/2007)

April 24, 2007

April 24, 2007

RECAP
23

Joint MOTION for Leave to File Appendices 1 and 2 to the Settlement Agreement Under Seal by CHERYL GUISTINIANO, ELIZABETH REINKE, MORGAN STANLEY & CO. INCORPORATED, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Speights, Grace) (Entered: 05/02/2007)

1 Text of Proposed Order

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May 2, 2007

May 2, 2007

RECAP
24

Joint MOTION for Hearing /To Set Status Conference by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, MORGAN STANLEY & CO. INCORPORATED, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum In Support of Motion# 2 Text of Proposed Order)(Speights, Grace) (Entered: 06/26/2007)

1 Memorandum In Support of Motion

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2 Text of Proposed Order

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June 26, 2007

June 26, 2007

RECAP

Minute Entry. Proceedings held before Judge Richard W. Roberts : Status Conference held on 7/5/2007.Final Fairness Hearing set for 10/11/2007 10:30 AM in Courtroom 9 before Judge Richard W. Roberts. (Court Reporter Scott Wallace.) (lin, ) Modified on 7/6/2007 (lin, ).

July 5, 2007

July 5, 2007

PACER
25

ORDER granting 23 Motion for Leave to File. Signed by Judge Richard W. Roberts on 7/6/2007. (EHS) (Entered: 07/06/2007)

July 6, 2007

July 6, 2007

RECAP
26

NOTICE Regarding Filing of Sealed Materials, Appendices 1 and 2 to the Settlement Agreement by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval (Sprenger, Steven) (Entered: 07/06/2007)

July 6, 2007

July 6, 2007

RECAP
27

NOTICE of Filing Revised Settlement Agreement, Revised Notice of Class Action, and Revised Proposed Order by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval (Attachments: # 1 Revised Settlement Agreement# 2 Revised Notice of Settlement, Proposed Settlement Agreement and Settlement Hearing# 3 Revised Proposed Order# 4 Certificate of Service)(Sprenger, Steven) (Revised Appendix 2 to Settlement Agreement FILED UNDER SEAL) Modified on 7/16/2007 (tg, ). (Entered: 07/11/2007)

1 Revised Settlement Agreement

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2 Revised Notice of Settlement, Proposed Settlement Agreement and Settlement Hear

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3 Revised Proposed Order

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4 Certificate of Service

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July 11, 2007

July 11, 2007

RECAP
28

NOTICE Regarding Filing of Sealed Materials for Revised Appendix 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 27 Notice (Other), Notice (Other) (Sprenger, Steven) (Entered: 07/13/2007)

July 13, 2007

July 13, 2007

RECAP
29

NOTICE of Filing Second Revised Settlement Agreement, Revised Class Notice and Revised Proposed Preliminary Approval Order by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval, 27 Notice (Other), Notice (Other), Notice (Other) (Attachments: # 1 Second Revised Settlement Agreement# 2 Revised Notice of Class Action, Proposed Settlement Agreement & Settlement Hearing# 3 Revised Proposed Preliminary Approval Order# 4 Certificate of Service)(Sprenger, Steven) (Entered: 07/17/2007)

1 Second Revised Settlement Agreement

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2 Revised Notice of Class Action, Proposed Settlement Agreement & Settlement Hear

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3 Revised Proposed Preliminary Approval Order

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4 Certificate of Service

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July 17, 2007

July 17, 2007

RECAP
30

ORDER granting motion 20 for preliminary approval of the Class Settlement, and approving the Notice to the Class. Signed by Judge Richard W. Roberts on 07/17/07. (Attachments: # 1 Notice to Class) (EHS) (Entered: 07/17/2007)

1 Supplement Notice to Class

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July 17, 2007

July 17, 2007

RECAP
31

ADMINISTRATIVE ORDER NO.1. Issued by Judge Richard W. Roberts on 7/17/07. (lin, ) (Entered: 07/18/2007)

July 18, 2007

July 18, 2007

RECAP
32

Consent MOTION for Extension of Time to File Proposed Final Approval Order and Supplemental Memorandum in Support of Class Counsel's Motion For an Award of Attorneys' Fees and Expenses by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support# 2 Text of Proposed Order)(Mehri, Cyrus) (Entered: 10/01/2007)

1 Memorandum in Support

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2 Text of Proposed Order

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Oct. 1, 2007

Oct. 1, 2007

RECAP
33

Joint MOTION for Settlement Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support# 2 Exhibit 1 Mehri Declaration in Support of Final Approval# 3 Exhibit A to Exhibit 1 Mehri Declaration# 4 Exhibit B to Exhibit 1 Mehri Declaration# 5 (SEALED) Exhibit C to Exhibit 1 Mehri Declaration# 6 (SEALED) Exhibit D to Exhibit 1 Mehri Declaration# 7 (SEALED) Exhibit E to Exhibit 1 Mehri Declaration# 8 (SEALED) Exhibit F to Exhibit 1 Mehri Declaration# 9 (SEALED) Exhibit G to Exhibit 1 Mehri Declaration# 10 Exhibit 2# 11 Exhibit 3 Declaration of Mark Patton# 12 (SEALED) Exhibit 4 Declaration of Mark Dichter)(Mehri, Cyrus) Modified on 10/5/2007 (lc, ). Modified on 10/11/2007 (jf, ). Modified on 10/11/2007 (lc, ). (Entered: 10/01/2007)

1 Memorandum in Support

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2 Exhibit 1 Mehri Declaration in Support of Final Approval

View on RECAP

3 Exhibit A to Exhibit 1 Mehri Declaration

View on RECAP

4 Exhibit B to Exhibit 1 Mehri Declaration

View on RECAP

5 *Restricted*

View on PACER

6 *Restricted*

View on PACER

7 *Restricted*

View on PACER

8 *Restricted*

View on PACER

9 *Restricted*

View on PACER

10 *Restricted*

View on PACER

11 Exhibit 3 Declaration of Mark Patton

View on RECAP

12 *Restricted*

View on PACER

Oct. 1, 2007

Oct. 1, 2007

RECAP
34

MEMORANDUM re 21 MOTION for Attorney Fees filed by ERMA TARANTINO, CHERYL GUISTINIANO, JAN TYLER, JOANNE AUGST-JOHNSON, ELIZABETH REINKE, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Exhibit 1 Mehri Declaration# 2 Exhibit A to Mehri Declaration# 3 Exhibit B to Mehri Declaration# 4 Exhibit C to Mehri Declaration# 5 Exhibit 2 Sprenger Declaration# 6 Exhibit A to Sprenger Declaration# 7 Exhibit B to Sprenger Declaration# 8 Exhibit 3 Moody Declaration# 9 Exhibit 4 Kosen v. American Express Financial Advisors)(Mehri, Cyrus) (Entered: 10/03/2007)

1 Exhibit 1 Mehri Declaration

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2 Exhibit A to Mehri Declaration

View on RECAP

3 Exhibit B to Mehri Declaration

View on RECAP

4 Exhibit C to Mehri Declaration

View on RECAP

5 Exhibit 2 Sprenger Declaration

View on RECAP

6 Exhibit A to Sprenger Declaration

View on RECAP

7 Exhibit B to Sprenger Declaration

View on RECAP

8 Exhibit 3 Moody Declaration

View on RECAP

9 Exhibit 4 Kosen v. American Express Financial Advisors

View on RECAP

Oct. 3, 2007

Oct. 3, 2007

RECAP
35

ENTERED IN ERROR.....Proposed MOTION for Order Final Order Approving Class Representatives, Certifying Class, Appointing Class Counsel, Approving Settlement Agreement, Awarding Fees and Costs and Dismissing Action Subject to the Court's Continuing Jurisdiction by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) Modified on 10/4/2007 (jf, ). (Entered: 10/03/2007)

Oct. 3, 2007

Oct. 3, 2007

RECAP
36

ENTERED IN ERROR.....Proposed MOTION for Order Administrative Order No. 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) Modified on 10/4/2007 (jf, ). (Entered: 10/03/2007)

Oct. 3, 2007

Oct. 3, 2007

RECAP

NOTICE OF CORRECTED DOCKET ENTRY: Document No. re 35 Proposed MOTION for Order Final Order Approving Class Representatives and 36 Proposed MOTION for Order Administrative Order No. 2 was entered in error and counsel was instructed to refile using the Notices category. Counsel was notified not to file Proposed Orders using the Motion(s) category. (jf, )

Oct. 4, 2007

Oct. 4, 2007

PACER
37

NOTICE of Filing Redacted Exhibits C and D to the Declaration of Cyrus Mehri in Support of Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit C to the Declaration of C. Mehri# 2 Exhibit D to the Declaration of C. Mehri)(Sprenger, Steven) (Entered: 10/05/2007)

1 Exhibit C to the Declaration of C. Mehri

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2 Exhibit D to the Declaration of C. Mehri

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Oct. 5, 2007

Oct. 5, 2007

RECAP
38

NOTICE of Filing of Proposed Final Approval Order and Administrative Order No. 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Text of Proposed Order Proposed Final Approval Order# 2 Text of Proposed Order Administrative Order No. 2)(Mehri, Cyrus) (Entered: 10/05/2007)

1 Text of Proposed Order Proposed Final Approval Order

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2 Text of Proposed Order Administrative Order No. 2

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Oct. 5, 2007

Oct. 5, 2007

RECAP

NOTICE OF CORRECTED DOCKET ENTRY: Exhibits Parts 6 and 7 of 33 Joint MOTION for Settlement Final Approval were sealed because they contained personal identifiers. Redacted versions will be filed by counsel. (lc, )

Oct. 5, 2007

Oct. 5, 2007

PACER
39

MEMORANDUM re 33 Joint MOTION for Settlement Final Approval filed by ERMA TARANTINO, CHERYL GUISTINIANO, JAN TYLER, JOANNE AUGST-JOHNSON, ELIZABETH REINKE, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Declaration Cyrus Mehri# 2 Exhibit A to Cyrus Mehri Declaration# 3 Exhibit B to Cyrus Mehri Declaration# 4 Exhibit C to Cyrus Mehri Declaration)(Mehri, Cyrus) (Entered: 10/10/2007)

1 Declaration Cyrus Mehri

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2 Exhibit A to Cyrus Mehri Declaration

View on RECAP

3 Exhibit B to Cyrus Mehri Declaration

View on RECAP

4 Exhibit C to Cyrus Mehri Declaration

View on RECAP

Oct. 10, 2007

Oct. 10, 2007

RECAP
40

NOTICE of Withdrawal of Attorney Sandi Farrell by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) (Entered: 10/10/2007)

Oct. 10, 2007

Oct. 10, 2007

RECAP

MINUTE ORDER: It is hereby ORDERED that plaintiffs' consent motion 32 for extension of time be, and hereby is, GRANTED, nunc pro tunc. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

Oct. 10, 2007

Oct. 10, 2007

PACER

MINUTE ORDER: It is hereby ORDERED that class member Janice Grant's request to be heard at the Final Fairness Hearing be, and hereby is, GRANTED, but limited to only those objections that Ms. Grant expressed in writing and provided to the defendant and class counsel by the deadline for filing objections. It is further ORDERED that Mary Harris Evans' request to be heard at the Final Fairness Hearing be, and hereby is, DENIED, because she is not a member of the class. Issued by Judge Richard W. Roberts on 10/10/07. (EHS)

Oct. 10, 2007

Oct. 10, 2007

PACER

MINUTE ORDER: It is hereby ORDERED that the requests by Ellen Baker, Chanie Schwartz, Rani Lau, Leigh-Ann McWherter, Audray Lohn, and Sharon Abbey to be permitted to opt out of the class action be, and hereby are, GRANTED. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

Oct. 10, 2007

Oct. 10, 2007

PACER

MINUTE ORDER: In light of the fact that Mary H. Musso and Sarah Cugini received notice of the proposed class settlement after the September 10, 2007 deadline to opt-out of the class action had passed, it is hereby ORDERED that the late requests by Mary H. Musso and Sarah Cugini to opt-out be, and hereby are, GRANTED. It is further ORDERED that, in the absence of any showing by the defendant of unfair prejudice from allowing the other late-filed opt-out requests which were received on or before September 27, 2007, the late requests to opt out by Norma Sepulveda, Deborah Konigsberg and Carol Smith be, and hereby are, GRANTED. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

Oct. 10, 2007

Oct. 10, 2007

PACER
41

NOTICE of Filing Redacted Exhibits E, F, and G to the Declaration of Cyrus Mehri in Support of Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit E to Mehri Declaration# 2 Exhibit F to Mehri Declaration# 3 Exhibit G to Mehri Declaration)(Mehri, Cyrus) (Entered: 10/11/2007)

1 Exhibit E to Mehri Declaration

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2 Exhibit F to Mehri Declaration

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3 Exhibit G to Mehri Declaration

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Oct. 11, 2007

Oct. 11, 2007

RECAP
42

NOTICE of Filing Redacted Exhibit by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit 4: Declaration of Mark Dichter, Redacted)(Mehri, Cyrus) (Entered: 10/11/2007)

1 Exhibit 4: Declaration of Mark Dichter, Redacted

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Oct. 11, 2007

Oct. 11, 2007

RECAP

Minute Entry. Proceedings held before Judge Richard W. Roberts : Fairness Hearing held on 10/11/2007. The Court granted Anne Marie Slowik's opt-out request made through counsel at the hearing, directed counsel for parties to redact all confidential information in filings in accord with the directives of Local Civil Rule 5.4(f), and directed counsel for Morgan Stanley to refile his declaration with the salary information redacted. (Court Reporter Scott Wallace.) (lin) Modified on 10/23/2007 (zlin). Modified on 10/25/2007 (EHS).

Oct. 11, 2007

Oct. 11, 2007

PACER
43

ORDER certifying class, granting final approval to the settlement agreement, approving the award of attorneys fees, and dismissing action subject to limited continuing jurisdiction. Signed by Judge Richard W. Roberts on 10/26/2007. (EHS) (Entered: 10/26/2007)

Oct. 26, 2007

Oct. 26, 2007

RECAP
44

ADMINISTRATIVE ORDER NO. 2. Signed by Judge Richard W. Roberts on 10/26/2007. (EHS) (Entered: 10/26/2007)

Oct. 26, 2007

Oct. 26, 2007

RECAP
45

MOTION to Enforce Final Order and to Enjoin Claims by MORGAN STANLEY & CO. INCORPORATED (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Text of Proposed Order)(Speights, Grace) (Entered: 11/15/2007)

1 Exhibit A

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2 Exhibit B

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3 Exhibit C

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4 Text of Proposed Order

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Nov. 15, 2007

Nov. 15, 2007

RECAP
46

Consent MOTION to Withdraw Motion to Enjoin Claims by MORGAN STANLEY & CO. INCORPORATED (Attachments: # 1 Text of Proposed Order)(Speights, Grace) (Entered: 11/27/2007)

1 Text of Proposed Order

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Nov. 27, 2007

Nov. 27, 2007

RECAP
48

Letter from Jeremy W. Parham "Let this be filed" by Judge Richard W. Roberts. (jf, ) (Entered: 12/04/2007)

Dec. 3, 2007

Dec. 3, 2007

RECAP

MINUTE ORDER: It is hereby ORDERED that defendant's consent motion 46 to withdraw its motion 45 to enforce be, and hereby is, GRANTED, and its motion 45 to enforce be, and hereby is, WITHDRAWN. Issued by Judge Richard W. Roberts on 12/3/07. (EHS)

Dec. 3, 2007

Dec. 3, 2007

PACER
47

ORDER TO SHOW CAUSE. Defendant's Show Cause Response due by 12/17/2007. Plaintiff Class Counsel's response due by 12/21/07. Signed by Judge Richard W. Roberts on 12/4/2007. (EHS) (Entered: 12/04/2007)

Dec. 4, 2007

Dec. 4, 2007

RECAP

Set/Reset Deadlines: Response to Show Cause due by 12/17/2007.,Reply to Show Cause due by 12/21/2007. (lin, )

Dec. 4, 2007

Dec. 4, 2007

PACER
49

RESPONSE TO ORDER OF THE COURT re 47 Order to Show Cause Regarding Class Member Teresa Grubman filed by MORGAN STANLEY & CO. INCORPORATED. (Speights, Grace) (Entered: 12/17/2007)

Dec. 17, 2007

Dec. 17, 2007

RECAP
50

RESPONSE TO ORDER TO SHOW CAUSE by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 47 Order to Show Cause. (Attachments: # 1 Declaration of Steven M. Sprenger# 2 Exhibit A# 3 Certificate of Service)(Sprenger, Steven) (Entered: 12/19/2007)

1 Declaration of Steven M. Sprenger

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2 Exhibit A

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3 Certificate of Service

View on RECAP

Dec. 19, 2007

Dec. 19, 2007

RECAP
51

MEMORANDUM ORDER relating to [48, 49, 50], granting Teresa Grubman's late request to opt out of the class. Signed by Judge Richard W. Roberts on 1/2/08. (EHS) (Entered: 01/03/2008)

Jan. 3, 2008

Jan. 3, 2008

RECAP
52

Letter of 12/3/07 from Jeremy Parham to Judge Roberts; Attachment (1) (lin, ) (Entered: 01/03/2008)

Jan. 3, 2008

Jan. 3, 2008

RECAP
53

NOTICE OF WITHDRAWAL OF APPEARANCE as to JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Mehri, Cyrus) (Entered: 04/09/2008)

April 9, 2008

April 9, 2008

RECAP

MINUTE ORDER: Counsel for the parties are hereby advised that the Special Master contacted Chambers with a question about the manner in which he should file a sealed report in this case. Counsel are hereby ORDERED to file memoranda by June 9, 2008, addressing the Special Master's question. Issued by Judge Richard W. Roberts on 6/2/2008. (DCL)

June 2, 2008

June 2, 2008

PACER
54

Joint MOTION for Order for Procedures for the Submission of the Special Master's Report and Recommendation to be Filed Under Seal by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 06/03/2008)

1 Text of Proposed Order

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June 3, 2008

June 3, 2008

RECAP

Set/Reset Deadlines: Memoranda due by 6/9/2008 (zlin, )

June 3, 2008

June 3, 2008

PACER
55

ORDER granting 54 Motion for Order setting certain procedures. Signed by Judge Richard W. Roberts on 6/9/08. (lin, ) (Entered: 06/10/2008)

June 10, 2008

June 10, 2008

RECAP
56

NOTICE Regarding Filing of Sealed Materials (Report & Recommendation of Special Master Thomas A. Warren, and Exhibits A-G) by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Sprenger, Steven) (Entered: 06/12/2008)

June 12, 2008

June 12, 2008

RECAP

MINUTE ORDER: It is hereby ORDERED that counsel of record file by January 9, 2009 a joint memorandum and proposed order addressing the issue raised in the Special Master's letter dated December 5, 2008, a copy of which he e-mailed to all counsel of record. Issued by Judge Richard W. Roberts on 12/17/2008. (DCL)

Dec. 17, 2008

Dec. 17, 2008

PACER
57

Letter from Thomas A. Warren. "Let this be filed" by Judge Richard W. Roberts on 12/16/08 (jf, )FILED UNDER SEAL on 3/23/2009 per Minute Order of 3/20/09 (jf, ). (Entered: 12/19/2008)

Dec. 19, 2008

Dec. 19, 2008

PACER
58

Joint MOTION for Leave to File the Parties' Joint Memorandum in Support of the Special Master's Request Under Seal by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 01/09/2009)

Jan. 9, 2009

Jan. 9, 2009

PACER
59

Joint MOTION to Seal the Special Master's December 5, 2008 Letter to the Court re 57 Letter by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 01/09/2009)

Jan. 9, 2009

Jan. 9, 2009

PACER

MINUTE ORDER: Counsel for the parties and the Special Master are hereby advised that plaintiff Joanne Augst-Johnson notified Chambers by letter of her earlier unsuccessful requests to counsel and the Special Master for information pertaining to her case. Counsel and the Special Master are hereby ORDERED to confer and file memoranda jointly or separately by March 11, 2009, addressing the requests and giving justifications, if there are any, why this issue should not be resolved by a mutually selected mediator as called for in Section X of the Settlement Agreement. Issued by Judge Richard W. Roberts on 2/11/09. (DCL)

Feb. 11, 2009

Feb. 11, 2009

PACER
60

RESPONSE TO ORDER OF THE COURT Memorandum in Response to Minute Order filed by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Mehri, Cyrus) (Entered: 03/10/2009)

March 10, 2009

March 10, 2009

PACER
61

ORDER directing parties to resolve dispute in accordance with Section X of the Settlement Agreement, and order to class counsel directing service. See Order for additional information. Signed by Judge Richard W. Roberts on 3/11/2009. (DCL) (Entered: 03/11/2009)

March 11, 2009

March 11, 2009

PACER
62

ORDER re 57 Letter of the Special Master (FILED UNDER SEAL) Signed by Judge Richard W. Roberts on 3/21/2009. (mm) (Entered: 03/23/2009)

March 23, 2009

March 23, 2009

PACER
63

JOINT MEMORANDUM IN SUPPORT OF re 57 Letter from Thomas A. Warren. "Let this be filed" by Judge Richard W. Roberts on 12/16/08 (jf, )FILED UNDER SEAL on 3/23/2009 per Minute Order of 3/20/09 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (jf, ) (Entered: 06/19/2009)

March 23, 2009

March 23, 2009

PACER

MINUTE ORDER: It is hereby ORDERED that the parties' motions 58 59 to seal the Special Master's December 5, 2008 letter 57 to the Court and the parties' joint memorandum in support of the Special Master's request be, and hereby are, GRANTED. The clerk is DIRECTED to seal these filings consistent with the parties' requests. Issued by Judge Richard W. Roberts on 3/23/2009. (DCL)

March 23, 2009

March 23, 2009

PACER

Leave to File Denied by Judge Richard W. Roberts. Plaintiff's Motion for cm/ecf password. (jf, )

June 26, 2009

June 26, 2009

PACER
64

ENTERED IN ERROR.....NOTICE of Letter to the Court by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER (Mehri, Cyrus) Modified on 6/24/2011 (jf, ). (Entered: 06/23/2011)

June 23, 2011

June 23, 2011

PACER

NOTICE OF CORRECTED DOCKET ENTRY: Document No. re 64 Notice (Other), Notice (Other) was entered in error and counsel was instructed to refile said pleading in proper format in accordance with the rules.(Counsel should review LCvR 5.1 (b) CORRESPONDENCE WITH COURT)(jf, )

June 24, 2011

June 24, 2011

PACER
65

Joint MOTION for Hearing by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER (Attachments: # 1 Exhibit MSSB Consolidated Settlement Agreement, # 2 Exhibit Key Differences Between Original and Proposed Settlement Agreements)(Mehri, Cyrus) (Entered: 06/29/2011)

June 29, 2011

June 29, 2011

PACER
66

NOTICE of Appearance by Ellen Louise Eardley on behalf of All Plaintiffs (Eardley, Ellen) (Entered: 06/29/2011)

June 29, 2011

June 29, 2011

PACER

MINUTE ORDER: The parties jointly proposed to seek transfer of a related case from the Northern District of California to this Court for consideration of a proposed consolidated settlement agreement. The California case has not appeared on this Court's docket yet, but upon review of the joint filing, it may suggest that the parties viewed a status conference as a prerequisite to a transfer rather than as an adjunct to it. This Court is prepared to move forward with a transferred and consolidated related case without the need for a status conference preceding a transfer, but would contemplate a status conference as appropriate after the transfer occurs. Accordingly, the joint motion 65 for a status conference is DENIED without prejudice to renewing it after the transfer occurs. Issued by Judge Richard W. Roberts on 09/19/2011. (DCL)

Sept. 19, 2011

Sept. 19, 2011

PACER
67

ORDER directing the parties to file a joint status report on or before December 1, 2011. Signed by Judge Richard W. Roberts on 11/17/2011. (DCL) (Entered: 11/18/2011)

Nov. 18, 2011

Nov. 18, 2011

PACER

Set/Reset Deadlines: Joint Status Report due by 12/1/2011 (hs)

Nov. 18, 2011

Nov. 18, 2011

PACER
68

STATUS REPORT by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit)(Eardley, Ellen) (Entered: 12/01/2011)

Dec. 1, 2011

Dec. 1, 2011

PACER
69

ORDER directing that Civil Action No. 11-1785 be administratively closed, and directing that all future filings be filed only under Civil Action No. 06-1142. Signed by Judge Richard W. Roberts on 12/08/2011. (DCL) (Entered: 12/08/2011)

Dec. 8, 2011

Dec. 8, 2011

PACER

Case Details

State / Territory: District of Columbia

Case Type(s):

Equal Employment

Special Collection(s):

IWPR/Wage Project Consent Decree Study

Private Employment Class Actions

Multi-LexSum (in sample)

Key Dates

Filing Date: June 22, 2006

Closing Date: Oct. 26, 2007

Case Ongoing: No

Plaintiffs

Plaintiff Description:

All women who were employed as Financial Advisors or Registered Financial Advisor Trainees of Morgan Stanley at any time from August 5, 2003 through June 30, 2007; all women employed as Financial Advisors in (i) the United States branches of Smith Barney’s retail brokerage division at any time from August 30, 2003 forward or (ii) the California branches of Smith Barney’s retail brokerage division at any time from June 25, 2003 forward.

Plaintiff Type(s):

Private Plaintiff

Public Interest Lawyer: No

Filed Pro Se: No

Class Action Sought: Yes

Class Action Outcome: Granted

Defendants

Morgan Stanley & Company, Private Entity/Person

Morgan Stanley (New York), Private Entity/Person

Case Details

Causes of Action:

Age Discrimination in Employment Act (ADEA), 29 U.S.C. §§ 621 et seq.

Title VII (including PDA), 42 U.S.C. § 2000e

Availably Documents:

Trial Court Docket

Complaint (any)

Monetary Relief

Injunctive (or Injunctive-like) Relief

Outcome

Prevailing Party: Plaintiff

Nature of Relief:

Injunction / Injunctive-like Settlement

Attorneys fees

Damages

Source of Relief:

Settlement

Form of Settlement:

Court Approved Settlement or Consent Decree

Amount Defendant Pays: $46m

Order Duration: 2008 - 2017

Content of Injunction:

Promotion

Discrimination Prohibition

Develop anti-discrimination policy

Utilize objective job description

Utilize objective hiring/promotion criteria

Follow recruitment, hiring, or promotion protocols

Comply with advertising/recruiting requirements

Other requirements regarding hiring, promotion, retention

Post/Distribute Notice of Rights / EE Law

Provide antidiscrimination training

Implement complaint/dispute resolution process

Reporting

Monitor/Master

Recordkeeping

Monitoring

Goals (e.g., for hiring, admissions)

Issues

General:

Disparate Treatment

Pattern or Practice

Discrimination-area:

Other Conditions of Employment (including assignment, transfer, hours, working conditions, etc)

Pay / Benefits

Promotion

Training

Discrimination-basis:

Age discrimination

Sex discrimination

Affected Gender:

Female