Case: Amochaev v. Citigroup Global Markets Inc.

4:05-cv-01298 | U.S. District Court for the Northern District of California

Filed Date: March 31, 2005

Closed Date: 2012

Clearinghouse coding complete

Case Summary

On March 31, 2005, a female employee of Citigroup Global Markets and its subsidiary, Smith Barney, filed a lawsuit under Title VII of the Civil Rights Act, 42 U.S.C. § 2000e et. seq., and the California Fair Employment and Housing Act, against Citigroup Global Markets Inc. in the United States District Court of the Northern District of California. The plaintiff, represented by private counsel, asked the court for injunctive and declaratory relief and damages, charging Citigroup and Smith Barney…

On March 31, 2005, a female employee of Citigroup Global Markets and its subsidiary, Smith Barney, filed a lawsuit under Title VII of the Civil Rights Act, 42 U.S.C. § 2000e et. seq., and the California Fair Employment and Housing Act, against Citigroup Global Markets Inc. in the United States District Court of the Northern District of California. The plaintiff, represented by private counsel, asked the court for injunctive and declaratory relief and damages, charging Citigroup and Smith Barney with discriminating against female financial advisors on the basis of gender with respect to business opportunities, compensation, professional support and other terms and conditions of employment. Specifically, the plaintiff claimed that Smith Barney's policies and practices had locked in and perpetuated past discrimination, caused "cumulative advantage" effects, and caused branch management to discriminate against female brokers. Furthermore, Smith Barney refused to change policies or practices that it knew to be discriminatory against women.

On November 29, 2006, the plaintiffs filed an amended complaint, better articulating their concerns and defining the putative class as all female Financial Advisors employed by Smith Barney in the United States at any time after August 30, 2003, and adding a subclass consisting of all female Financial Advisors employed by Smith Barney in California at any time after June 25, 2003.

On May 1, 2008, after a series of negotiations, the parties reached a settlement. The stipulated to - and later approved - class was as follows:

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 through March 1, 2008 or (ii) the California branches of Smith Barney’s retail brokerage division at any time from June 25, 2003 through March 1, 2008.

The settlement included $33 million settlement for the 2,411 members of the Settlement Class in a gender discrimination case against Smith Barney. In addition to the monetary compensation, the settlement included comprehensive injunctive relief for four years designed to increase business opportunities and promote equality in compensation for female brokers.

The Northern District Court of California (Judge Phyllis J. Hamilton) approved the Settlement and Class on August 13, 2008, finding that the the terms embodied in the agreement were fair, reasonable, and adequate as required by law, and that proper notice to the class was given. Also on August 13, Court entered the final order and judgment in this matter, but retained continuing jurisdiction over the settlement.

On September 31, 2011, the parties filed a stipulation and proposed order to transfer the jurisdiction of the case to the District of Columbia. This was done so that the case could be consolidated with another case, Augst-Johnson, et al v. Morgan Stanley & Co, Incorporated, Case No. 1:06-CV-01142 (RWR) (D.D.C.); so that a Consolidated Settlement Agreement could be considered. On October 3, the Court the Court approved the stipulation and proposed order, and ordered that continuing jurisdiction of this case be transferred to the District of Columbia.

The case is closed.

Summary Authors

Jenna Chai (7/25/2010)

Michael Beech (3/9/2019)

People

For PACER's information on parties and their attorneys, see: https://www.courtlistener.com/docket/4182468/parties/amochaev-v-citigroup-global-markets-inc/


Judge(s)
Attorney for Plaintiff

Alexander, Elizabeth A. (Tennessee)

Attorney for Defendant

, (California)

Acker, Charles Rodney (California)

Acord, Stacy L (California)

Ahmed, Saima S. (California)

Judge(s)

Hamilton, Phyllis Jean (California)

Spero, Joseph C. (California)

Attorney for Defendant

, (California)

Acker, Charles Rodney (California)

Acord, Stacy L (California)

Ahmed, Saima S. (California)

Allen, Matthew P. (California)

Antonelli, Anthony (California)

Arena, Thomas A. (California)

Bailey, Michael Scott (California)

Bak, Sander (California)

Bark, Lesley (California)

Baskin, Stuart Jay (California)

Baughman, John Frederick (California)

Berberian, H. Nicholas (California)

Berman, Jeremy A. (California)

Bernsen, David Eric (California)

Bernstein, Richard D. (California)

Berse, Farrah Robyn (California)

Bigelow, Brandon L. (California)

Birenboim, Bruce (California)

Bishop, Brant W. (California)

Blackwell, Heather Lynn (California)

Blears, Norman J (California)

Boer, Jamie De (California)

Boglioli, Daniel Matthew (California)

Boland, Beth I.Z. (California)

Brandt, James E. (California)

Brody, Sara B. (California)

Brown, Christopher Thomas (California)

Bruner, Robert Bernard (California)

Buergel, Susanna M. (California)

Buhlman, Robert A. (California)

Burke, Brian Gerard (California)

Burnovski, Brian M. (California)

Burton, Allen W (California)

Calvaruso, Joseph Anthony (California)

Cantor, Daniel Lucas (California)

Carney, David Emmett (California)

Cherico, Joseph J. (California)

Chiles, E. B. (California)

Clareman, William (California)

Clubok, Andrew B. (California)

Coffman, Richard Lyle (California)

Cohen, Jay (New York)

Collins, Caldwell G. (California)

Cooper, Roger Allen (California)

Cosenza, Todd G. (California)

Cowie, Roger Brian (California)

Cranmer, Thomas W. (California)

Dahan, Israel (California)

Darcy, Deryn (California)

David, Israel (California)

Davidoff, Amanda F (California)

Davidow, Charles E. (California)

Davis, Kira Alexis (California)

Dickey, Jonathan C. (California)

Ditchfield, Andrew (California)

Dolan, Matthew J (California)

Dore, Michael H (California)

Dufau, Nicholas Stephen (California)

Duff, Kevin Buckley (California)

Dugan, Joshua (California)

Duggan, Charles S. (California)

Dulka, Mary Kathryn (California)

Dunham, Robert Bruce (California)

Dunogue, Agnes (California)

Dworsky, Marc S (California)

Eckles, Paul Madison (California)

Edelman, Scott Alexander (California)

Elbaum, David (California)

Ezelle, Jay Michael (California)

Farber, H. Miriam (California)

Feinstein, Diana Michelle (California)

Feldheim, Jayme A. (California)

Fergus, Katherine Young (California)

Fink, Julie Eden (California)

Fishman, Marshall Howard (California)

Fissell, Rachel Penski (California)

Fletcher, Camille Latoya (California)

Florie, Michael Anthony (California)

Frank, Beth Susan (New York)

Frankel, Andrew Tyler (California)

Friedman, Lawrence B. (California)

Gallo, Kenneth Anthony (California)

Gallup, Taryn Jean (California)

Garvey, George Michael (California)

Gelder, Amy L. (California)

Giardina, David C. (California)

Gibbs, Patrick Edward (California)

Gill, Richard Hamilton (California)

Gimblett, Jonathan James (California)

Glasser, Mark K (California)

Goldfein, Shepard (California)

Goldstein, Adam Joshua (California)

Goldwater, Jason D (California)

Gonzalez, Roberto (California)

Gordon, Andrew Garry (California)

Gottfried, Michael R. (California)

Grady, Michael Patrick (California)

Graham, David F. (California)

Grese, Christina Joy (California)

Gresham, Cole Robinson (California)

Groner, Samuel Pianko (California)

Grusauskas, Caitlin Elizabeth (California)

Gueli, John (California)

Hacker, Gary John (California)

Hakki, Adam Selim (California)

Hall, Thomas J. (California)

Hamilton, Joshua G (California)

Hammerman, Claudia Leslie (California)

Hathaway, Lisa Marie (California)

Hegt, Jason C. (California)

Heinicke, Malcolm A. (California)

Hibbard, Stephen D. (California)

Hicks, John S. (California)

Hogan, Albert L. (California)

Holland, Mark (California)

Hou, Victor L. (California)

Huang, Joyce Szuyun (California)

Hynes, Shawn (California)

Inc., Citigroup Global (California)

Ioffredo, Donna M (California)

Isaacson, Thomas A. (California)

Ishmael, Darren Keller (California)

Jasper, M Lance (California)

John, Richard Christopher (California)

Johnson, Jeh Charles (California)

Jois, Goutam Umesh (California)

Jones, Evan M. (California)

Joralemon, Christopher Michael (California)

Joyce, Eamon Paul (California)

Jr, John J. (California)

Jr, Theodore Von (California)

Jr, Antonio Yanez (California)

Kaplan, Daniel Byron (California)

Karp, Brad Scott (New York)

Kasner, Jay B. (California)

Kazanoff, Peter E. (California)

Kerr, James Loran (California)

Kirsch, Mark Adam (California)

Kitchens, Dean J (California)

Knapp, Lindsey Taylor (California)

Kopczynski, Philip Andrew (California)

Kramer, Daniel Jonathan (California)

Kwan-Gett, Mei Lin (California)

Laguardia, Daniel Hector (California)

Lamb, Brian J. (California)

Lamberti, Jonathan Daniel (California)

Lazerow, Andrew D. (California)

LeRoy, Tracy N (California)

Lewis, Daniel Craig (California)

Liman, Lewis J. (California)

Lowenthal, Mitchell A. (California)

Manning, Michael Patrick (California)

Marbury, Hugh Jewett (California)

McColm, Elizabeth Rose (California)

McDaniel, Archer Scott (California)

McGuinness, William G. (California)

McLaren, Laura Jane (California)

McLaughlin, Daniel Allan (California)

Meeks, Thomas (California)

Millor, Sandra Jessica (California)

Mills, Benjamin Philip (California)

Mircheff, Alexander K (California)

Moran, William M. (California)

Morse, Rachel E. (California)

Moss, Edward N. (California)

Musoff, Scott D. (California)

Nagin, Benjamin Robert (California)

Novoselsky, Jennifer E. (California)

Oakes, Mark T (California)

O'Brien, William John (California)

Oh, Patrick Dongjune (California)

Ong, Emmet P. (California)

Parver, Jane W. (California)

Penn, H. Richard (California)

Pennington, Lindsay R (California)

Perry, Daniel Mumford (California)

Pietrzak, Alfred Robert (California)

Polubinski, Edmund Polubinski (California)

Portnoy, Lawrence (California)

Potischman, Neal Alan (California)

Primoff, Madlyn Gleich (California)

Quattlebaum, Steven W. (California)

Rachlis, Michael (California)

Rawlinson, Matthew (California)

Reed, Noelle M (California)

Reilly, Carrie Marie (California)

Reinhard, Rawn Howard (California)

Rieman, Walter (California)

Riley, Steven Allen (California)

Ritzert, Thomas M. (California)

Robbins, Patrick David (California)

Rosato, Steven (California)

Rosen, Todd J (California)

Rosen, Richard A. (California)

Rosenberg, Jonathan (California)

Ross, Jonah Platt (California)

Rouhandeh, James P. (California)

Rowland, Matthew Brennan (California)

Rubin, Lisa Heather (California)

Ruffino, Andrew Arthur (California)

Rutten, James C (California)

Ryall, Jacqueline B (California)

Saltzstein, Susan Leslie (California)

Santangelo, Jon A. (California)

Scaduto, Frank Michael (California)

Schehr, Thomas M. (California)

Schieren, George Arnold (California)

Schwartz, Charles W (California)

Schwartz, Jed Mastren (California)

Seabolt, Richard L (California)

Sessions, Ellen B (California)

Shamah, Daniel Steven (California)

Sharma, Ravi (California)

Shelat, Kavita Goswamy (California)

Shepherd, Michael Timothy (California)

Sher, Barry Gordon (California)

Shimshak, Stephen J. (California)

Silverman, Marc Aaron (California)

Simshauser, Peter (California)

Sistrunk, Stephen Andrew (California)

Slocum, Joshua Mark (California)

Smith, Owen H (California)

Soloway, Audra Jan (New York)

Song, John Joo (California)

Spaziano, Jennifer Lynn (California)

Spenner, Dorothy Jane (California)

Stewart, Ladan Fazlollahi (California)

Strutt, Jennifer Black (California)

Sullivan, Daniel Martin (California)

Sweeney, Matthew Joseph (California)

Taylor, Sara N (California)

Terry, David Ashcraft (California)

Toal, Daniel John (New York)

Trammell, Bradley E. (California)

Turnbull, Kenneth Joseph (California)

Varian, Robert P. (California)

Velazquez, Liza M. (New York)

Vizcarrondo, Paul (California)

Wagner, Karen E (California)

Washer, Herbert Scott (California)

Wechkin, Robin (California)

Weiner, Gregg L (California)

Weiss, Joanna Cohn (California)

Wilson, Thaddeus D. (California)

Winter, Steven Peter (California)

Wiseman, Alan M. (California)

Wood, Julia Tarver-Mason (California)

Zellweger, Nicole S. (California)

Zimmerman, George Abraham (California)

Zito, Elizabeth M. (California)

show all people

Documents in the Clearinghouse

Document

4:05-cv-01298

Docket

Amochaev et al v. Citigroup Global Market Inc.

Oct. 4, 2011

Oct. 4, 2011

Docket
1

4:05-cv-01298

Class Action Complaint for Injunctive and Declaratory Relief and Damages for Violatins of Title VII of the Civil Rights Act of 1964 and the California Fair Employment and Housing Act

March 31, 2005

March 31, 2005

Complaint
114

4:05-cv-01298

Amended Complaint

Nov. 28, 2006

Nov. 28, 2006

Complaint
127

4:05-cv-01298

Order Granting Dismissal of Plaintiff

Feb. 12, 2007

Feb. 12, 2007

Order/Opinion
128

4:05-cv-01298

Defendant's Answer and Affirmative Defenses to Plaintiffs' First Amended Complaint

Feb. 16, 2007

Feb. 16, 2007

Pleading / Motion / Brief
172

4:05-cv-01298

Order (1) Preliminarily Approving Class Action Settlement (2) Provisionally Certifying Settlement Class (3) Directing Distribution of Notice of the Settlement and (4) Setting a Schedule for the Final Settlement Approval Process

Amochaev v. Citigroup Global Markets d/b/a Smith Barney

May 1, 2008

May 1, 2008

Order/Opinion
186

4:05-cv-01298

Plaintiffs' Memorandum of Points and Authorities in Support of Motion for: (1) Final Approval of Class Action Settlement; (2) Certification of Settlement Class; (3) Approval of Distribution of Settlement Funds

July 24, 2008

July 24, 2008

Declaration/Affidavit
196

4:05-cv-01298

Final Judgment (Confirming Final Approval of Class Action Settlement)

Amochaev v. Citigroup Global Markets, d/b/a/ Smith Barney

Aug. 13, 2008

Aug. 13, 2008

Order/Opinion

Resources

Docket

See docket on RECAP: https://www.courtlistener.com/docket/4182468/amochaev-v-citigroup-global-markets-inc/

Last updated Feb. 6, 2024, 3 a.m.

ECF Number Description Date Link Date / Link
1

CLASS ACTION COMPLAINT for injunctive and declaratory relief and damages for violations of Title VII of the Civil Rights Act of 1964, 42 U.S.C. Section 2000e, and the California Fair Employment and Housing Act, Demand for Jury Trial against Citigroup Global Markets Inc. (Filing fee $ 250, receipt number 3370828). Filed byDeborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 3/31/2005) Additional attachment(s) added on 4/14/2005 (far, Court Staff). (Entered: 04/01/2005)

March 31, 2005

March 31, 2005

Clearinghouse
2

CASE MANAGEMENT SCHEDULING ORDER: Case Management Statement due by 8/11/2005. Case Management Conference set for 8/18/2005 02:30 PM. (Attachments: # 1 Standing Order)(far, Court Staff) (Filed on 3/31/2005) (Entered: 04/01/2005)

March 31, 2005

March 31, 2005

PACER

CASE DESIGNATED for Electronic Filing. (far, Court Staff) (Filed on 3/31/2005)

March 31, 2005

March 31, 2005

PACER

Summons Issued as to Citigroup Global Markets Inc.. (CT CORPORATION SYSTEM) (far, Court Staff) (Filed on 3/31/2005)

March 31, 2005

March 31, 2005

PACER
3

CLERK'S NOTICE re: Complaint (document number one); Failure to E-File and/or Failure to Register as an E-Filer (far, Court Staff) (Filed on 4/13/2005) (Entered: 04/13/2005)

April 13, 2005

April 13, 2005

PACER
4

MOTION for leave to appear in Pro Hac Vice of Elizabeth A. Alexander; FEE PAID, RECEIPT NUMBER 3371403 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 4/15/2005) (Entered: 04/15/2005)

April 15, 2005

April 15, 2005

PACER

Received Order re 4 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 4/15/2005)

April 15, 2005

April 15, 2005

PACER
5

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Elizabeth A. Alexander is GRANTED. re 4 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 4/18/05. (nah, COURT STAFF) (Filed on 4/18/2005) (Entered: 04/18/2005)

April 18, 2005

April 18, 2005

PACER
6

MOTION for leave to appear in Pro Hac Vice of Piper Hoffman, FEE PAID, RECEIPT NUMBER 3371679 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 4/25/2005) (Entered: 04/25/2005)

April 25, 2005

April 25, 2005

PACER

Received Order re 6 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 4/25/2005)

April 25, 2005

April 25, 2005

PACER
7

STIPULATION AND [PROPOSED] ORDER RE ENLARGEMENT OF TIME TO ANSWER OR OTHERWISE RESPOND TO COMPLAINT by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Dermody, Kelly) (Filed on 4/27/2005) (Entered: 04/27/2005)

April 27, 2005

April 27, 2005

PACER
8

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Piper Hoffman is GRANTED re 6 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 4/28/05. (nah, COURT STAFF) (Filed on 4/28/2005) (Entered: 04/28/2005)

April 28, 2005

April 28, 2005

PACER
9

STIPULATION AND ORDER RE ENLARGEMENT OF TIME TO ANSWER OR OTHERWISE RESPOND TO COMPLAINT. Signed by Judge Phyllis J. Hamilton on 4/28/05. (nah, COURT STAFF) (Filed on 4/28/2005) (Entered: 04/28/2005)

April 28, 2005

April 28, 2005

PACER
10

MOTION for leave to appear in Pro Hac Vice of Adam T. Klein; FEE PAID, RECEIPT NUMBER 3371878 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/2/2005) (Entered: 05/02/2005)

May 2, 2005

May 2, 2005

PACER

Received Order re 10 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/2/2005)

May 2, 2005

May 2, 2005

PACER
11

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE re 10 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 5/3/05. (nah, COURT STAFF) (Filed on 5/3/2005) (Entered: 05/03/2005)

May 3, 2005

May 3, 2005

PACER
12

MOTION for leave to appear in Pro Hac Vice of Cyrus Mehri, FEE PAID, RECEIPT NUMBER 3371926 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005) (Entered: 05/03/2005)

May 3, 2005

May 3, 2005

PACER

Received Order re 12 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005)

May 3, 2005

May 3, 2005

PACER
13

MOTION for leave to appear in Pro Hac Vice of Lisa M. Bornstein, FEE PAID, RECEIPT NUMBER 3371927 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005) (Entered: 05/03/2005)

May 3, 2005

May 3, 2005

PACER

Received Order re 13 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005)

May 3, 2005

May 3, 2005

PACER
14

MOTION for leave to appear in Pro Hac Vice of Sandi Farrell, FEE PAID, RECEIPT NUMBER 3371928 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005) (Entered: 05/03/2005)

May 3, 2005

May 3, 2005

PACER

Received Order re 14 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, Court Staff) (Filed on 5/3/2005)

May 3, 2005

May 3, 2005

PACER
15

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Lisa M. Bornstein is GRANTED re 13 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 5/5/05. (nah, COURT STAFF) (Filed on 5/5/2005) (Entered: 05/05/2005)

May 5, 2005

May 5, 2005

PACER
16

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Sandi Farrell is GRANTED re 14 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 5/5/05. (nah, COURT STAFF) (Filed on 5/5/2005) (Entered: 05/05/2005)

May 5, 2005

May 5, 2005

PACER
17

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Cyrus Mehri is GRANTED re 12 MOTION for leave to appear in Pro Hac Vice filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 5/5/05. (nah, COURT STAFF) (Filed on 5/5/2005) (Entered: 05/05/2005)

May 5, 2005

May 5, 2005

PACER
23

MOTION for leave to appear in Pro Hac Vice of Audra J. Soloway, FEE PAID, Receipt Number 3372123 filed by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER

Received Order re 23 MOTION for leave to appear in Pro Hac Vice by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005)

May 9, 2005

May 9, 2005

PACER
24

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 23 MOTION for leave to appear in Pro Hac Vice, Received Order (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER
25

MOTION for leave to appear in Pro Hac Vice of Jay Cohen, FEE PAID, Receipt Number 3372123 filed by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER

Received Order re 25 MOTION for leave to appear in Pro Hac Vice by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005)

May 9, 2005

May 9, 2005

PACER
26

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 25 MOTION for leave to appear in Pro Hac Vice, Received Order (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER
27

MOTION for leave to appear in Pro Hac Vice of Beth S. Frank, FEE PAID, Receipt Number 3372123 filed by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER

Received Order re 27 MOTION for leave to appear in Pro Hac Vice by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005)

May 9, 2005

May 9, 2005

PACER
28

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 27 MOTION for leave to appear in Pro Hac Vice, Received Order (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER
29

MOTION for leave to appear in Pro Hac Vice of Daniel J. Toal, FEE PAID, Receipt Number 3372123 filed by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER

Received Order re 29 MOTION for leave to appear in Pro Hac Vice by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005)

May 9, 2005

May 9, 2005

PACER
30

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 29 MOTION for leave to appear in Pro Hac Vice, Received Order (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER
31

MOTION for leave to appear in Pro Hac Vice of Brad S. Karp, FEE PAID, Receipt Number 3372123 filed by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER

Received Order re 31 MOTION for leave to appear in Pro Hac Vice by Citigroup Global Markets Inc.. (far, Court Staff) (Filed on 5/9/2005)

May 9, 2005

May 9, 2005

PACER
32

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 31 MOTION for leave to appear in Pro Hac Vice, Received Order (far, Court Staff) (Filed on 5/9/2005) (Entered: 05/12/2005)

May 9, 2005

May 9, 2005

PACER
18

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Jay Cohen is Granted.. Signed by Judge Phyllis J. Hamilton on 5/11/05. (nah, COURT STAFF) (Filed on 5/11/2005) (Entered: 05/11/2005)

May 11, 2005

May 11, 2005

PACER
19

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Beth Frank is GRANTED. Signed by Judge Phyllis J. Hamilton on 5/11/05. (nah, COURT STAFF) (Filed on 5/11/2005) (Entered: 05/11/2005)

May 11, 2005

May 11, 2005

PACER
20

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Brad Karp is GRANTED. Signed by Judge Phyllis J. Hamilton on 5/11/05. (nah, COURT STAFF) (Filed on 5/11/2005) (Entered: 05/11/2005)

May 11, 2005

May 11, 2005

PACER
21

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Audra Soloway is GRANTED. Signed by Judge Phyllis J. Hamilton on 5/11/05. (nah, COURT STAFF) (Filed on 5/11/2005) (Entered: 05/11/2005)

May 11, 2005

May 11, 2005

PACER
22

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE: Application of Daniel Toal is GRANTED. Signed by Judge Phyllis J. Hamilton on 5/11/05. (nah, COURT STAFF) (Filed on 5/12/2005) (Entered: 05/12/2005)

May 12, 2005

May 12, 2005

PACER
33

ANSWER and AFFIRMATIVE DEFENSES to PLAINTIFFS' COMPLAINT 1 by Citigroup Global Markets Inc.. (Heinicke, Malcolm) (Filed on 6/10/2005) Modified on 6/13/2005 (far, Court Staff). (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
34

MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) filed by Citigroup Global Markets Inc.. Motion Hearing set for 7/20/2005 09:00 AM in Courtroom 3, 17th Floor, San Francisco. (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
35

Proposed Order re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) Granting Defendant Citigroup Global Markets Inc.'s Motion to Transfer Pursuant to 28 U.S.C. Section 1404(a) by Citigroup Global Markets Inc.. (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
36

Declaration of David Hess in Support of 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) (AFFIDAVIT OF DAVID HESS IN SUPPORT OF DEFENDANT CITIGROUP GLOBAL MARKETS, INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a)) filed byCitigroup Global Markets Inc.. (Related document(s) 34 ) (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
37

Declaration in Support of 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) DECLARATION OF JAY COHEN (Exhibits A - F to be filed manually) filed byCitigroup Global Markets Inc.. (Related document(s) 34 ) (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
38

Certificate of Interested Entities re 33 Answer to Complaint (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
39

EXHIBITS re 37 Declaration in Support, Exhibits A Through F to The Declaration of Jay Cohen in Support of Defendant Citigroup Global Markets Inc.'s Notice of Motion and Motion to Transfer Pursuant to 28 U.S.C. Section 1404(a) filed byCitigroup Global Markets Inc.. (Related document(s) 37 ) (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
40

AFFIDAVIT of Service for Answer; Notice and Motion to Transfer; [Proposed] Order; Affidavit of David Hess in Support; Declarationof Jay Cohen in Support; Rule 7.1 Statement BY FEDEX (served by Tara Miezejeski of Paul, Weiss, Rifkind et al.) served on Kelly M. Dermody; Cyrus Mehri; Adam T. Klein on June 10, 2005, filed by Citigroup Global Markets Inc.. (Heinicke, Malcolm) (Filed on 6/10/2005) (Entered: 06/10/2005)

June 10, 2005

June 10, 2005

PACER
41

STIPULATION re 2 Case Management Scheduling Order (STIPULATION AND [PROPOSED] ORDER TO CONTINUE CASE MANAGEMENT OCNFERENCE) by Citigroup Global Markets Inc.. (Heinicke, Malcolm) (Filed on 6/13/2005) (Entered: 06/13/2005)

June 13, 2005

June 13, 2005

PACER
42

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 41 Stipulation and [Proposed] Order to Continue Case Management Conference (Heinicke, Malcolm) (Filed on 6/13/2005) (Entered: 06/13/2005)

June 13, 2005

June 13, 2005

PACER
43

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 41 Stipulation and [Proposed] Order to Continue Case Management Conference (service on Paul Weiss, et al.) (Heinicke, Malcolm) (Filed on 6/13/2005) (Entered: 06/13/2005)

June 13, 2005

June 13, 2005

PACER
44

STIPULATION AND ORDER TO CONTINUE CASE MANAGEMENT CONFERENCE Case Management Conference set for 9/15/2005 02:30 PM.. Signed by Judge Phyllis J. Hamilton on 6/13/05. (nah, COURT STAFF) (Filed on 6/13/2005) (Entered: 06/13/2005)

June 13, 2005

June 13, 2005

RECAP
45

STIPULATION re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) AND [PROPOSED] ORDER TO EXTEND PLAINTIFFS' TIME TO RESPOND TO DEFENDANT'S MOTION TO TRANSFER AND CONSOLIDATE HEARING ON MOTION WITH CASE MANAGEMENT CONFERENCE by Citigroup Global Markets Inc.. (Heinicke, Malcolm) (Filed on 7/1/2005) (Entered: 07/01/2005)

July 1, 2005

July 1, 2005

PACER
46

CERTIFICATE OF SERVICE by Citigroup Global Markets Inc. re 45 Stipulation, and [Proposed] Order to Extend Plaintiffs' Time to Respond to Defendant's Motion to Transfer and Consolidate Hearing on Motion With Case Management Conference (Heinicke, Malcolm) (Filed on 7/1/2005) (Entered: 07/01/2005)

July 1, 2005

July 1, 2005

PACER
47

STIPULATION AND ORDER TO EXTEND PLAINTIFFS' TIME TO RESPOND TO DEFENDANT'S MOTION TO TRANSFER AND CONSOLIDATE HEARING ON MOTION WITH CASE MANAGEMENT CONFERENCE Case Management Conference set for 9/14/2005 09:00 AM. Motion Hearing set for 9/14/2005 09:00 AM.. Signed by Judge Phyllis J. Hamilton on 7/1/05. (nah, COURT STAFF) (Filed on 7/1/2005) (Entered: 07/01/2005)

July 1, 2005

July 1, 2005

RECAP
48

NOTICE by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil of Need for ADR Phone Conference (Dermody, Kelly) (Filed on 7/28/2005) (Entered: 07/28/2005)

July 28, 2005

July 28, 2005

PACER
49

Memorandum in Opposition re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) filed byDeborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Attachments: # 1 Affidavit DECLARATION OF KELLY M. DERMODY IN SUPPORT OF OPPOSITION TO MOTION TO TRANSFER VENUE)(Dermody, Kelly) (Filed on 7/29/2005) (Entered: 07/29/2005)

July 29, 2005

July 29, 2005

PACER
50

NOTICE by Citigroup Global Markets Inc. of Need for ADR Telephone Conference Pursuant to ADR L.R. 3-5; Defendant Citigroup Global Markets, Inc;s ADR Certification (Frank, Beth) (Filed on 8/1/2005) (Entered: 08/01/2005)

Aug. 1, 2005

Aug. 1, 2005

PACER
51

Reply Memorandum re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) filed byCitigroup Global Markets Inc.. (Toal, Daniel) (Filed on 8/19/2005) (Entered: 08/19/2005)

Aug. 19, 2005

Aug. 19, 2005

PACER
52

JOINT CASE MANAGEMENT STATEMENT AND RULE 26(F) REPORT filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Attachments: # 1 Proposed Order re Interviews With Employees Who Are Putative Class Members# 2 Exhibit Putative Class Member Acknowledgement Form# 3 Exhibit Attorney Script for Interviews of Potential Class Members)(Dermody, Kelly) (Filed on 9/7/2005) (Entered: 09/07/2005)

Sept. 7, 2005

Sept. 7, 2005

PACER
53

STIPULATION AND [PROPOSED] PROTECTIVE ORDER by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Dermody, Kelly) (Filed on 9/9/2005) (Entered: 09/09/2005)

Sept. 9, 2005

Sept. 9, 2005

PACER
54

STIPULATION AND PROTECTIVE ORDER. Signed by Judge Phyllis J. Hamilton on 9/12/05. (nah, COURT STAFF) (Filed on 9/12/2005) (Entered: 09/12/2005)

Sept. 12, 2005

Sept. 12, 2005

RECAP
55

Minute Entry: Case Management Conference held on 9/14/2005 before Phyllis J. Hamilton (Date Filed: 9/14/2005), Motion Hearing held on 9/14/2005 before Phyllis J. Hamilton (Date Filed: 9/14/2005) re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) filed by Citigroup Global Markets Inc.,. (Court Reporter Joan Columbini.) (nah, COURT STAFF) (Date Filed: 9/14/2005) (Entered: 09/14/2005)

Sept. 14, 2005

Sept. 14, 2005

PACER
56

AMENDED Minute Entry: Case Management Conference held on 9/14/2005 before Phyllis J. Hamilton (Date Filed: 9/14/2005), Motion Hearing held on 9/14/2005 before Phyllis J. Hamilton (Date Filed: 9/14/2005) re 34 MOTION to Transfer Case (DEFENDANT CITIGROUP GLOBAL MARKETS INC.'S NOTICE OF MOTION AND MOTION TO TRANSFER PURSUANT TO 28 U.S.C. SECTION 1404(a); MEMO OF POINTS AND AUTHORITIES IN SUPPORT THEREOF) filed by Citigroup Global Markets Inc.,. (Court Reporter Joan Columbini.) (nah, COURT STAFF) (Date Filed: 9/14/2005) Additional attachment(s) added on 9/15/2005 (nah, COURT STAFF). Additional attachment(s) added on 9/15/2005 (nah, COURT STAFF). (Entered: 09/14/2005)

Sept. 14, 2005

Sept. 14, 2005

PACER
57

ORDER by Judge Phyllis J. Hamilton denying 34 Defendant's Motion to Transfer Case (pjhlc2, COURT STAFF) (Filed on 9/16/2005) (Entered: 09/16/2005)

Sept. 16, 2005

Sept. 16, 2005

RECAP
58

TRANSCRIPT of Proceedings held on 9/14/05 before Judge Hamilton. Court Reporter: Joan Marie Columbini. (far, Court Staff) (Filed on 9/20/2005) (Entered: 09/20/2005)

Sept. 20, 2005

Sept. 20, 2005

PACER
59

NOTICE by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil OF ORDER ENTERED IN MARTENS ET AL. V. SMITH BARNEY, INC., ET AL. RE: DEFENDANT'S MOTION TO ENJOIN PLAINTIFFS (Dermody, Kelly) (Filed on 10/13/2005) (Entered: 10/13/2005)

Oct. 13, 2005

Oct. 13, 2005

PACER
60

MOTION for leave to appear in Pro Hac Vice of Anna Pohl, Fee Paid, Receipt Number 3378854 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, COURT STAFF) (Filed on 11/29/2005) (Entered: 11/30/2005)

Nov. 29, 2005

Nov. 29, 2005

PACER

Received Order re 60 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, COURT STAFF) (Filed on 11/29/2005)

Nov. 29, 2005

Nov. 29, 2005

PACER
62

CERTIFICATE OF SERVICE by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil (rcs, COURT STAFF) (Filed on 11/29/2005) (Entered: 12/07/2005)

Nov. 29, 2005

Nov. 29, 2005

PACER
61

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE by Judge Phyllis J. Hamilton granting 60 Motion for Pro Hac Vice for Anna Pohl (nah, COURT STAFF) (Filed on 12/1/2005) (Entered: 12/01/2005)

Dec. 1, 2005

Dec. 1, 2005

PACER
63

STIPULATION and [Proposed] Order Re Modification of Class Certification Schedule and Deadline for Completing ADR Process by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Dermody, Kelly) (Filed on 3/17/2006) (Entered: 03/17/2006)

March 17, 2006

March 17, 2006

PACER
64

STIPULATION AND ORDER RE: MODIFICATION OF CLASS CERTIFICATION SCHEDULE AND DEADLINE FOR COMPLETING ADR PROCESS re 63 Stipulation filed by Renee Fassbender Amochaev,, Deborah Orlando,, Kathryn N. Varner,, Judy Weil,. Signed by Judge Phyllis J. Hamilton on 3/20/06. (nah, COURT STAFF) (Filed on 3/20/2006) (Entered: 03/20/2006)

March 20, 2006

March 20, 2006

RECAP
65

NOTICE of Appearance by Heather Huynh Wong (Wong, Heather) (Filed on 3/21/2006) (Entered: 03/21/2006)

March 21, 2006

March 21, 2006

PACER
66

NOTICE of Change of Address by Elizabeth A. Alexander (Alexander, Elizabeth) (Filed on 7/25/2006) (Entered: 07/25/2006)

July 25, 2006

July 25, 2006

PACER
67

MOTION for leave to appear in Pro Hac Vice of Liza M. Velazquez, Fee Paid on 8-1-06 filed by Citigroup Global Markets Inc.. (Toal, Daniel) (Filed on 7/27/2006) Modified on 8/2/2006 (far, COURT STAFF). (Entered: 07/27/2006)

July 27, 2006

July 27, 2006

PACER

Filing fee: $ 210.00, receipt number 3388463; Pro Hac Vice Fee for Liza M. Velazquez 67 (far, COURT STAFF) (Filed on 8/1/2006)

Aug. 1, 2006

Aug. 1, 2006

PACER
68

ORDER GRANTING APPLICATION FOR ADMISSION OF ATTORNEY PRO HAC VICE by Judge Phyllis J. Hamilton granting 67 Motion for Pro Hac Vice of Liza M. Velazquez. (nah, COURT STAFF) (Filed on 8/3/2006) (Entered: 08/03/2006)

Aug. 3, 2006

Aug. 3, 2006

PACER
69

MOTION for leave to appear in Pro Hac Vice of Justin M. Swartz, Fee Paid, Receipt Number 3388582 filed by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, COURT STAFF) (Filed on 8/3/2006) (Entered: 08/04/2006)

Aug. 3, 2006

Aug. 3, 2006

PACER

Received Order re 69 MOTION for leave to appear in Pro Hac Vice by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (far, COURT STAFF) (Filed on 8/3/2006)

Aug. 3, 2006

Aug. 3, 2006

PACER
70

ORDER by Judge Hamilton granting 69 Motion for Pro Hac Vice of Justin Swartz. (far, COURT STAFF) (Filed on 8/7/2006) (Entered: 08/08/2006)

Aug. 7, 2006

Aug. 7, 2006

PACER
71

STIPULATION Joint Stipulation And [Proposed] Order Modifying Class Certification Schedule by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Attachments: # 1 Signature Page (Declarations/Stipulations))(Wong, Heather) (Filed on 8/18/2006) (Entered: 08/18/2006)

Aug. 18, 2006

Aug. 18, 2006

PACER
72

STIPULATION AND ORDER MODIFYING CLASS CERTIFICATION SCHEDULE. Signed by Judge Phyllis J. Hamilton on 8/29/06. (nah, COURT STAFF) (Filed on 8/29/2006) (Entered: 08/29/2006)

Aug. 29, 2006

Aug. 29, 2006

RECAP
73

MOTION to Compel Production of Relevant Martens Documents filed by Renee Fassbender Amochaev. Motion Hearing set for 10/11/2006 09:00 AM in Courtroom 3, 17th Floor, San Francisco. (Alexander, Elizabeth) (Filed on 9/1/2006) (Entered: 09/01/2006)

Sept. 1, 2006

Sept. 1, 2006

PACER
74

MEMORANDUM in Support re 73 MOTION to Compel Production of Relevant Martens Documents filed byRenee Fassbender Amochaev. (Related document(s) 73 ) (Alexander, Elizabeth) (Filed on 9/1/2006) (Entered: 09/01/2006)

Sept. 1, 2006

Sept. 1, 2006

PACER
75

Declaration in Support of 73 MOTION to Compel Production of Relevant Martens Documents filed byRenee Fassbender Amochaev. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Exhibit D# 5 Exhibit E# 6 Exhibit F# 7 Exhibit G# 8 Exhibit H# 9 Exhibit I# 10 Exhibit J# 11 Exhibit K# 12 Exhibit L# 13 Exhibit M# 14 Exhibit N# 15 Exhibit O# 16 Exhibit P)(Related document(s) 73 ) (Alexander, Elizabeth) (Filed on 9/1/2006) (Entered: 09/01/2006)

Sept. 1, 2006

Sept. 1, 2006

PACER
76

Proposed Order re 73 MOTION to Compel Production of Relevant Martens Documents by Renee Fassbender Amochaev. (Alexander, Elizabeth) (Filed on 9/1/2006) (Entered: 09/01/2006)

Sept. 1, 2006

Sept. 1, 2006

PACER
77

ORDER REFERRING CASE to Magistrate Judge for Discovery purposes. Signed by Judge Phyllis J. Hamilton on 9/5/06. (nah, COURT STAFF) (Filed on 9/5/2006) (Entered: 09/05/2006)

Sept. 5, 2006

Sept. 5, 2006

PACER

CASE REFERRED to Magistrate Judge Joseph C. Spero for Discovery (wh, COURT STAFF) (Filed on 9/5/2006)

Sept. 5, 2006

Sept. 5, 2006

PACER
78

NOTICE OF REFERENCE, DATE, TIME AND PLACE OF HEARING; ORDER TO MEET AND CONFER re 73 MOTION to Compel Production of Relevant Martens Documents filed by Renee Fassbender Amochaev. Motion Hearing set for 10/6/2006 at 9:30 AM in Courtroom A, 15th Floor, San Francisco before Magistrate Judge Joseph C. Spero. By 9/21/6 counsel shall provide a joint letter to the Court. Signed by Judge Joseph C. Spero on 09/06/06. (klh, COURT STAFF) (Filed on 9/7/2006) (Entered: 09/07/2006)

Sept. 7, 2006

Sept. 7, 2006

RECAP

Set/Reset Deadlines as to 73 MOTION to Compel Production of Relevant Martens Documents. Motion Hearing set for 10/6/2006 at 9:30 AM in Courtroom A, 15th Floor, San Francisco, before Mag. Judge Joseph C. Spero. (klh, COURT STAFF) (Filed on 9/7/2006)

Sept. 7, 2006

Sept. 7, 2006

PACER
79

STIPULATION Joint Stipulation and [Proposed Order] by Deborah Orlando, Kathryn N. Varner, Renee Fassbender Amochaev, Judy Weil. (Alexander, Elizabeth) (Filed on 9/13/2006) (Entered: 09/13/2006)

Sept. 13, 2006

Sept. 13, 2006

PACER
80

STIPULATION AND ORDER WITHDRAWING JUDY WEIL AS A CLASS REPRESENTATIVE. Signed by Judge Phyllis J. Hamilton on 9/15/06. (nah, COURT STAFF) (Filed on 9/15/2006) (Entered: 09/15/2006)

Sept. 15, 2006

Sept. 15, 2006

RECAP
81

Cross MOTION for Protective Order [NOTICE OF CROSS-MOTION FOR A PROTECTIVE ORDER] filed by Citigroup Global Markets Inc.. Motion Hearing set for 10/6/2006 09:30 AM in Courtroom A, 15th Floor, San Francisco. (Toal, Daniel) (Filed on 9/15/2006) (Entered: 09/15/2006)

Sept. 15, 2006

Sept. 15, 2006

PACER
82

Proposed Order re 81 Cross MOTION for Protective Order [NOTICE OF CROSS-MOTION FOR A PROTECTIVE ORDER] [PROPOSED PROTECTIVE ORDER] by Citigroup Global Markets Inc.. (Toal, Daniel) (Filed on 9/15/2006) (Entered: 09/15/2006)

Sept. 15, 2006

Sept. 15, 2006

PACER

Case Details

State / Territory: California

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: March 31, 2005

Closing Date: 2012

Case Ongoing: No

Plaintiffs

Plaintiff Description:

All female Financial Advisors employed by Smith Barney in the United States at any time after August 30, 2003, and also on behalf of a Subclass of all female Financial Advisors employed by Smith Barney in California at any time after June 25, 2003.

Plaintiff Type(s):

Private Plaintiff

Attorney Organizations:

Outten & Golden

Public Interest Lawyer: Unknown

Filed Pro Se: No

Class Action Sought: Yes

Class Action Outcome: Granted

Defendants

Citigroup Global Markets Inc., Private Entity/Person

Defendant Type(s):

Retailer

Case Details

Causes of Action:

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

Available Documents:

Trial Court Docket

Complaint (any)

Monetary Relief

Injunctive (or Injunctive-like) Relief

Any published opinion

Outcome

Prevailing Party: Plaintiff

Nature of Relief:

Injunction / Injunctive-like Settlement

Damages

Source of Relief:

Settlement

Form of Settlement:

Court Approved Settlement or Consent Decree

Amount Defendant Pays: 33,000,000

Order Duration: 2008 - 2012

Content of Injunction:

Discrimination Prohibition

Develop anti-discrimination policy

Follow recruitment, hiring, or promotion protocols

Implement complaint/dispute resolution process

Issues

General:

Pattern or Practice

Discrimination-area:

Disparate Treatment

Hiring

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

Pay / Benefits

Promotion

Discrimination-basis:

Sex discrimination

Affected Sex or Gender:

Female