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WILLIAM G. BUSSEN v. WESTPARK CAPITAL FINANCIAL SERVICS LLC et al notice of removal

ATTENTION: It is possible that this information may no longer be current and therefore may be inaccurate. The index contains both open and closed cases and is not a complete list of cases in which an ACE Insurance Group company is involved. This information is provided to give interested persons an idea of the issues disputed in the indexed cases. For a full understanding of a case, one should read the rest of the court file, including the response. For the most up-to-date and complete information on a case, visit www.pacer.gov or contact the clerk of the relevant court.

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Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 1 of 60 Page ID #:5
1 TO THE CLERK OF THE ABOVE-ENTITLED COURT ANTI TO
2 PLAINTIFF WILLIAM G. BUSSEN, AND HIS COUNSEL OF RECORD:
3 PLEASE TAKE NOTICE that Defendant Allianz Life Insurance Company
4 of North America (“Allianz”) hereby removes to this Court the State Court action
5 described herein and avers as follows:
6 1. On or about July 18, 2014, Plaintiff William G. Bussen (“Bussen”)
7 commenced an action against Allianz in the Superior Court of the State of
8 California for the County of Los Angeles entitled William G. Bussen v. Westpark
9 Capital financial Services, LLC, et al., Case No. BC 552000 (“State Court
10 Action”). True and correct copies of the Summons and Complaint in the State
11 Court Action are attached hereto as part of Exhibit 1.
12 2. Plaintiff William G. Bussen, as alleged in the Complaint, is a resident
13 of the State of Missouri. Defendant Allianz is a Minnesota corporation with its
14 principal place of business in Golden Valley, Minnesota, and Allianz is informed
15 and believes and alleges thereon that Defendant Westpark Capital Financial
16 Services, LLC is a California limited liability company with its principal place of
17 business in Los Angeles, California.
18 3. On or about July 24, 2014, Allianz’s registered agent for service of
19 process was personally served by Bussen with a copy of the Summons and
20 Complaint in the State Court Action.
21 4. This Notice of Removal is filed within less than thirty (30) days from
22 the time Allianz first had notice, through service or otherwise, of the initial
23 pleadings setting forth Bussen’s claims for relief, and therefore is within the time
24 provided by law.
25 5. To the best of Allianz’s knowledge, no further proceedings have taken
26 place in the State Court Action other than the filing of the Summons and
27 Complaint. All of the process, pleadings and orders served upon or received by
28 Allianz in this case are attached as Exhibit 1 to this Notice.
1
36195393.2
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 2 of 60 Page ID #:6
1 6. Allianz is informed and believes and alleges thereon that no
2 Defendant other than Allianz has yet been served with the Summons and
3 Complaint in the State Court Action. While a proof of service on Allianz has been
4 filed in the State Court Action, no such proof of service on any other Defendant
5 has been filed in the State Court Action as of the date of this removal. A true and
6 correct copy of that Proof of Service on Allianz and the State Court Action
7 computerized docket is attached collectively as Exhibit 2.
$ 7. The State Court Action is, based on the following facts, a civil action
9 of which this Court has original jurisdiction pursuant to 2$ U.S.C. Sections 1331,
10 1367, and 1441(a):
11 Bussen alleges in his Complaint a claim arising under the
12 laws of the United States, specifically a claim for alleged fraud in
13 connection with the purchase or sale of securities under Section 10(b)
14 of the Exchange Act of 1934 and Rule l0(b)-(5) thereunder,
15 specifically alleging that Defendants supposedly offered and sold a
16 purported security by means of both written and oral communications
17 which allegedly included untrue statements of material fact and
18 allegedly omitted to state facts necessary in order to make the
19 statements, in light of the circumstances under which they were made,
20 purportedly not misleading. (Complaint, Fifih Cause of Action)
21
22
23
24 /1/
25 II!
26 /7/
27 /1/
28 /7/
2
36195393.2
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 3 of 60 Page ID #:7
1 8. Pursuant to the requirements of 28 U.S.C. Section 1446(d), Allianz
2 will promptly serve notice of the filing of this Notice of Removal to Bussen
3 through his counsel of record and will promptly file with the Clerk of the State
4 Court a copy of the Notice of Removal.
5
6
Dated: August 21, 2014 CARLTON FIELDS JORDEN BURT, LLP
MARK A. NEUBAUER
7 MICHAEL A. VALERIO
9
By:%Zt&
Attorney for Defenant Allianz Life
11
Insurance Companytof North America
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36195393.2
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 4 of 60 Page ID #:8
EXHIBIT 1
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 5 of 60 Page ID #:9
SUM-lao
SUMMONS FOR COURTUSE ONLY
(SOLOPAR4 USO Os LA COFTE)
(CITACION JUDICIAL)
NOTICE TO DEFENDANT:
(AVISO AL DEMANDADO)
WESTPAIU( CAPiTAL FINANCIAL SERViCES, LLC, a California
Limited Liability Company;[additional parties attachment form attached]
YOU ARE BEING SUED BY PLAINTIFF:
(LO ESTA DEMANDANDO EL DEMANDANTE):
NJB
Qxtat
WILLIAM 0. BUSSEN, an individual.

NOTICE! You have been sued. The cot,rt may decide against you without your being heard unless you re5pond wIthin 30 days. Read the Information
below.
You have 30 CALENDAR DI\VS after this summons and legal papers are served on you to file a written response at this court and have a copy
served on the plaintiff. A letter or phone cat! will not protect you. Your written response must be in proper legal form if you want the court to hear your
case. There may be a court form that you can use for your response. You can find these court forms and more information at the California Courts
Online Self-Help Center (vrww.cotirtinfo,ca.gov/selffielp),
your àounty law library, or the courthouse neares! you. If you cannot pay the filing tee, ask
the court clerk tot a tee waiver form, If you do not file your response on lime, you may lose the case by default, and your wages money, and property
may be taken without further warning from the court.
There are other legal requirements. You may want to call an attorney right away. If you do not know an attorney, you may want to call an attorney
referral servIce, if you cannot afford an attorney, you may be eligible far free legal servIces from a nonprofit legal services program. You can locate
these nonprofit groups at the CalifornIa Legal Services Web site fwww.lawhelpcallfornia.org3, the Cailternle Courts Online Self-Help Center
(www.courlinio.ca.gov/selihelp), or by contactIng your local court or county bar association. NOTE: The court has a statutory lIen for waIved fees and
costs on any settlement or arbitration award of $10,000 or more in a civil case. The courts lien must be paid before the court will dismiss the case.
IA WSOI Lo herr demandado. SI no responde den fro do 30 dies, ía corte puede deddir en cu contra sin escuchar su version. Lea ía lnfmacidn a
continuaciOn.
Tiene 30 DIAS DE CALENDARIO deapties do qua Jo enfreguen eat a cltaclón y papoles legales pare presenter una respuesta pot escrito en esta
code y hecer quo so enirogue una copia & demandante. Una carla o una liamada telefOnlca no 10 protegen. Sit raspuesta pot oscrito tiene que ester
en formato legal corracto at desea quo procesen su caso en Ia coda. Esposible quo haya un formulado qua iisted pueda user pate su respuesta.
Puade encont rat estos Ibmiulados do Ia code ymas lntorrnacldn en at CanIto do Ayuda do las Codes do California fwww.sucorie.ca .gov), or Ia
blbioteca do byes do sri condado o en Ia code quo le quede mãs cerca. Si nopuedepagaria cuota cia presentadOn, pida al secratario dole curIa
qua Ia dO un formularlo cia exancldn do pago do cuotas. Si no pmsanta su respuesta a tiampo, puede perdar 01 caso por Incumplimianto y ía code Ia
pedrO qultat su suoldo, dlnem ybienes sin mOs advortencla,
Hay aims requisltas lagalas. Es racomendable qua llama a rim abogath inmedlatamenle. Si no conoce a in abogado, puede llamar a un SeNIcio do
remislOn a abogados. SI no puede pagar a un abogado, as posth!e quo cumpia con los mquisilos pars ablenar ser4cios legales gratuitos do un
programa do servlcios Iegales sin fines de lucro. Puedo encontrar esfos grupos sin fines do lucre en a! sub web do California Legal Services,
fwww.lawheipcallfornla.Org), en el CeflitO do Ayude do baa Codes do California, (Wvwt,sucorte,ca,gov) 0 poniOIldoSe en cofltacto cot, Ia code o a!
coleglo de ebogados locales. AVISO: Pot iey, Ia cotta liene demcho a reclamar las cuolas y los costos exenfos pot imponer Un gravamen sobre
cualquiet racriperadOn do $10,000 ö triOs do velot reciblda rnediante un acuerdo o uma concesldn do arbltraje en Un caso cia damcho clvii. Tieno quo
pager el gravamen de ía code antes de quo Ia code pueda dosechar 01 caso.
The name and address of the court is: case NUM5eR
(ElnombroydirecciOn dole torte es,i: Stanley Mosk - Central District
tM)mamdECaloI.
BC 5 5 2
ü 0
o
ill North Hill Street
Las Angeles2 CA 90012
The name, address, and telephone number of plaintiffs attorney, or plaintiff Without an attorney, is:
(El nombre, Ia direction y el nOmem do telOfono del abogado del demandante, o do! damandanta qua no Ilene abogado, es):
Andrew B. Kolmes, 801 South Figueroa Street, Suite 2170, Los Angeles, CA 90017 Tel.: (213) 985-2200
DATE:
Clerk, by Deputy
(Facha)
(Secretarto)
(Adjunlo)
(For proof of serdce of this summons, use Proof of Service of Summons (form P05-070).)
(Pats prueba do entrega de esta citatiOn use el formularlo Proof of Service of Summons, (P05-070)).
NOTtCE TO THE PERSON SERVED: You are served
ISEAII
1. as an individual defendant.
2. as the parson sued under the fictitious name of (specify):
3,
on behalf of (specify):
A1’Ia- LvS ‘L€d
under Ll CCP 416.10 tcorPoration) CCP 416.60
(mlnornY)
CCP 416.20 (defunct corporation) jJ CCP 416.70 (conservatee)
CCP 416.40 (association or partnership) CCP 416.90 (authorized person)
other (specify):
4.
by personaideliveryon (data): ‘‘
l’—°’ t
_______
P1orj
Fonn AOapedtQrMandatQry Ue
SUMMONS
‘ Code orc,fl Pmcad.U
fit 41Z2e, tea iudeIgrc,eroiorceIjromI
WLVWUtflflIC.0,V
EXHIBIT 1 4
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 6 of 60 Page ID #:10
SUM-200(A) -
SHORTTITLE:
CASENUMBER
WIlliam 0. Bussen v. WestPark Financial Services, LLC, at al.
INSTRUCTIONS FOR USE
- This form may be used as an attachment to any summons if space does not permit the listing of all parties on the summons,
4 If this attachment Is used, Insert the following statement In the plaintiff or defendant box on the summons: Additional Parties
Attachment form Is
attached
List additional parties (Check only one box. Use a separate page for each type of party):
fl
Plaintiff Defendant Cross-Complainant Cross-Defendant
ALLIANZ LIFE INSURANCE COMFAI’Y Of NORTH AMERICA, a Minnesota Corporation; and DOES
1 through 100, inctusive.
Psge of
loll
ADDITIONAL PARTIES ATTACHMENT
SUM.200(A) IRan. January 1, Oo7J
Attachment to Summons
EXHIBIT 1 5
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 7 of 60 Page ID #:11
WESTPARK CAPITAL FiNANCIAL
SERVICES, LLC, a California Limited
Liability Company; ALLIANZ LIFE
fNSUPJNCECOMPANY OF NORTH
AIVfERICA, a Minnesota Corporation; anc
DOES 1 through 100, inclusive,
Defendants.
COPV
UL
18Z0h1t
Shorn I C&let
EXocuwa icUtII’L
By: .1ud L5ra Deputy
CaseNo.
552O•OO
COMPLAINT FOR:
(1) BREACH OP FIDUCIARY
DUTY
(2) NEGLIGENCE;
(3) NEGLIGENT
MISREPRESENTATION;
(4) FRAUD AND INTENTIONAL
MISREPRESENTATION;
(5) FRAUD IN CONNECTION
wrrn THE PURCHASE OR
SALE OF SECURITIES
(6) BREACH OF CONTRACT;
(7) BREACH OF THE
COVENANT OF GOOD
FAITH AND FAIR
DEALING;
(8) UNFAIR BUSINESS
PRACTICES IN VIOLATION
OF SECTiON 17200 OF THE
CALIFORNIA BUSINESS
AND PROFESSIONS CODE;
(9) CONVERSION; and
(10) VIOLATION OF
CALIFORNIA PENAL CODE
§
496.
JURY TRIAL DEMANDED
COMPLArNT
COPY
HOLMES, TAYLOR & JoNEs LLP
Andrew B. Holmes (SBN: 185401)
abholmes(htiiaw.com
801 SouthFigueroa Street, Suite 2170
LosAngeles, California 90017
Tel: (2r3 985-2200
Fax:
C213)
973-6282
Attorneys for Plaintiff William G. Bus sen
SUPERIOR COURT OF THE STATE OF CALIFORNIA
COUNTY OF LOS ANGELES
WILLIAM G. BUSSEN, an individual,
Plaintiff,
vs.
r
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- .
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0 0111
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EXHIBIT 1 6
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 8 of 60 Page ID #:12
I PLAINTIFF WILLIAM G. BUSSEN, an individual, hereby alleges as follows:
2 NATURE OF CLAIM
3 1. This is a complaint for breach of fiduciary duty, negligence, negligent
4
misrepresentation, fraud and intentional misrepresentation, fraud in connection with the
5 purchase or sale of securities, breach of contract, breach of the covenant of good faith and
6 fair dealing, unfair business practices in violation of
§
17200 of the California Business and
7 Professions Code, conversion, and violation of California Penal Code
§
496 and related
8 claims arising out of Westpark Capital Financial Services, LLC’s various actions and
9
inactions surrounding the purchase of an annuity by Plaintiff.
10 PARTIES AND VENUE
11 2, Plaintiff WELIAIvI G. BUSSEN is an individual residing in Branson,
12 Missouri.
13 3. Upon information and belief, defendant WESTPARK CAPITAL FINANCL4I
14 SERVICES, LLC (hereafter “WESTPARK”) is a California Limited Liability Company
15 with its principal place of business in Los Angeles, California.
16 4. Upon information and belief, defendant ALLIANZ LIFE INSURANCE
17 COIvLPANY OF NORTH AMERICA (hereafter “ALLIANZ”) is a Minnesota Corporation
18 with its principal place of business in Minneapolis, Minnesota.
19 5. Plaintiff is unaware of the identities of those defendants sued as DOES 1
20 through 100, and accordingly sues these defendants under such fictitious names. Plaintiff is
21 informed and believes, and thereon alleges, that each of the fictitiously-named defendants, in
22 some manner, proximately caused the damages alleged herein. Plaintiff will seek leave of
23 this Court to amend this Complaint to identify these defendants once their identities are
24 ascertained.
25 6. Plaintiff is informed and believes, and thereon alleges, that in committing the
26 acts herein alleged, defendants, and each of them, were acting as the agents, servants and
27
employees of every other defendant, and were acting in the course and scope of such agency,
28
-1-
COMPLAINT
EXHIBIT 1 7
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 9 of 60 Page ID #:13
1
service, or employment. Plaintiff is further informed and believes, and thereon alleges, that
2 defendants, and each of them, authorized and ratified the acts of every other defendant.
3 7. Venue in this judicial district is proper because aspects of the contract were to
4
be or were performed in this district, and the tortious actions occurred in this district.
5 GENERAL ALLEGATIONS
6 8. At the time of the investment described herein, Plaintiff was a local supervisor
7 for Valor Telecom. He relies on others to do his investing for him. He is an unsophisticated
8
investor, and at the time of the events relevant hereto, had little or no understanding of
9
securities, necessary disclosures, or the rules, regulations and statutes that govern the
10
purchase and sale of securities.
11 9. Upon information and belief, at all relevant times hereto, Dana W. Philpot
12
(hereafter “Philpot”) was a registered representative of WESTPARK. On information and
I.:Ic4.IU
13 belief, Philpot also uses the name “Dan Philpot.” At all times relevant hereto, Philpot was
c
14 an agent of WESTPARK.
I
15
10. Upon information and belief, at all relevant times hereto, Philpot was an
16
insurance agent licensed by the state of New Mexico (License # 0E88114), and was an
17
appointed agent of ALLIANZ. As such, at all times relevant hereto, Philpot was also an
18 agent of ALLIANZ.
19 11. Defendants, by and through Philpot, discussed the purchase of an Allianz
20 Rewards annuity with Plaintiff in or about March of 2006. During the course of these
21
discussions, Plaintiff informed Defendants that he had lost about half of the approximately
22 $1,000,000 he had had invested with Smith Barney following 9/11, and he wanted an
23 investment that would assure him a retirement nest egg and could not drop to zero.
24 12. Further, Plaintiff explained to Defendants that he wanted to retire early, and
25 would only make this investment if he could withdraw enough money to live on, thereby
26 allowing him to retire. Defendants assured Plaintiff that because of the 7% guarantee in the
27 annuity, Plaintiff could retire.
28
-2-
COMPLAINT
EXHIBIT 1 $
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 10 of 60 Page ID #:14
1 13. But for Defendant’s representations, Plaintiff would have continued working
2 and saving towards a larger nest-egg to provide him with an income sufficient to support his
3 retirement income needs.
4 14. Plaintiff in fact relied on Defendant’s false promises, retired early, and became
5 unable to earn income as a result.
6 15. While Defendants, by and through Philpot, provided a prospectus for an
7 Allianz Rewards annuity, Plaintiff did not understand the prospectus, and therefore asked
8
Defendants, by and through Philpot, for an explanation of the annuity.
9
16. Defendants made the following written representations via email to Plaintiff on
10 March 28, 2006 at 10:14 a.m.:
11 • The annuity would allow for 9% annual withdrawals;
12
• The annuity would have a balance of between $387,000 (“Worst Case”
“pushina the extreme”) and $548,000 (“Best Case” “conservative
‘ 13
estimat’) at the end of the tenth policy year even with the 9% annual
withdrawa[s.
14
15 A true and correct copy of this email is attached hereto as Exhibit A.
16 17. Plaintiff also understood from Defendants (through Philpot), as confirmed by
17
the e-mail, that the ending value could be annuitized or could be left in place with the
18 guarantees remaining viable.
19 18. As a result of and in reliance on the explicit representations of Defendants,
20 Plaintiff paid $448,062.35 for Allianz Rewards annuity Contract #DA026630 (“annuity”) on
21 or about April 19, 2006, and Defendants, through Philpot, set up a monthly withdrawal
22 program of $3,750 ($45,000 per year) so that Plaintiff could retire early and live off his
23 annuity.
24 19. Defendants, through Philpot, acting as a discretionary investment advisor,
25 directed the investments within the annuity, without consulting Plaintiff, pursuant to an
26 authorization for him to do so that is right on the application (See application at number 8; a
27 true and correct copy of the application is attached hereto as Exhibit B). Aside from this,
28
Plaintiff never signed authorizations or gave investment instructions. Plaintiff was relying
-3-
COMPLAINT
EXHIBIT 1 9
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 11 of 60 Page ID #:15
1
entirely on Defendants to obtain the promised returns. On information and belief,
2
Defendants (through Phulpot) changed the investment program within a couple of months of
3
opening the annuity.
4 20. At some point prior to the purchase of the annuity, Defendants (through
5
Philpot) told Plaintiff that the investments did not matter so much because of the guaranty,
6 and that the only effect of the investments would be to improve upon the 7% guaranteed
7
return.
8
21. Plaintiff turned 62 years old in 2012, and as a result emailed questions to
9
Defendants, by and through Philpot, on December 11, 2012 regarding whether to take his
10 social security at that time. Such a decision depended on verification that the promised
11
contract value would be there at the end of the tenth policy year in 2016.
12 22. Plaintiff had a vecy difficult time getting Phulpot to respond to him, but finally
13
spoke with Philpot in early 2013. Philpot told Plaintiff to take his social security because the
14 annuity value could drop to zero. This was the first time Plaintiff learned that the annuity
15
might not perform according to the written “Best Case” and “Worst Case” guarantees
16
provided by Defendants (through Philpot). Wheü Plaintiff asked about the 7% contractual
17
guarantee, Philpot said he would have to get back to him, but never did.
18 23. Since then, Plaintiff has made multiple requests for the back-up relied on by
19
Defendants’ agent Philpot for the March 28, 2006 email, but has never received anything.
20 24. Contrary to the statements made to Plaintiff by Defendants (through Philpot),
21
under no circumstances was the balance specifically stated in Philpot’s email available for
22 withdrawal at the end of 10 years.
23 25. Notwithstanding Defendants’ representations and guarantees, Plaintiffs
24 annuity has a value (as of June 30, 2014) of $130,357.70. (A true and correct copy of the
25
Allianz Rewards account statement reflecting this value is attached hereto as Exhibit C.)
26 26. As a result of Defendants’ actions, Plaintiff is fearful for his and his family’s
27 well-being as a result of discovering that they wilt not have sufficient funds to provide for
28 them during their retirement.
-4-
COMPLAINT
EXHIBIT 1 10
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 12 of 60 Page ID #:16
1 APPLICABLE FINRA RULES
2 27. FINRA Rule 2010 is entitled “Standards of Commercial Honor and Principles
3
of Trade” and states: “A member, in the conduct of its business, shall observe high
4
standards of commercial honor and just and equitable principles of trade.”
5 28. As a result of Defendants’ actions, as described above, Defendants violated
6
thisFINRARule2OlO.
7 29. fINRA Rule 2020, entitled “Use of Manipulative, Deceptive or Other
8 fraudulent Devices” states: “No member shall effect any transaction in, or induce the
9
purchase or sale of, any security
by
means of any manipulative, deceptive or other fraudulent
10 device or contrivance.”
11 30. Defendant’s oral and written statements were made in order to cause Plaintiff
12 to invest. As described above, those statements were manipulative andlor deceptive, and
13
therefore violate FINRA Rule 2020.
14 3 1. FINRA Rule 2111, entitled “Suitability,” states:
15
(a) A member or an associated person must have a reasonable basis to believe
that a recommended transaction or investment strategy involving a security or
16
securities is suitable for the customer, based on the information obtained
through the reasonable diligence of the member or associated person to
17 ascertain the customer’s investment profile. A customer’s investment profile
includes, but is not limited to, the customer’s age, other investments, financial
18
situation and needs, tax status, investment objectives, investment experience,
investment time horizon, liquidity needs, risk tolerance, and any other
19
information the customer may disclose to the member or associated person in
connection wIth such recommendation.
20
32. As a result of the actual performance and limitations of the annuity sold to
21
Plaintiff, and in light of the investment objectives Plaintiff specifically stated to Defendants
22
(through Philpot), the annuity was an unsuitable investment.
23
33. FINRA Rule 2210, entitled “Communications with the Public” states, in
24
relevant part:
25
(d) Content Standards
26
(1) General Standards
(A) All member commumcations must be based on principles of
27
fair dealing and good faith, must be fair and balanced, and must provide
a sound basis for evaluating the facts in regard to any particular security
28
or type of security, industry, or service. No member may omit any
-5-
COMPLAINT
EXHIBIT 1 11
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 13 of 60 Page ID #:17
material factor qualification if the omission, in light of the context of
I the material presented, would cause the communications to be
misleading.
2
(B) No member may make any false, exaggerated,
unwarranted, promissory or misleading statement or claim in any
3
communication. No member may publish, circulate or distribute any
communication that the member knows or has reason to know contains
4
any untrue statement of a material fact or is otherwise false or
misleading.
5
(C) Infonnation may be placed in a legend or footnote only in
the event that such placement would not inhibit an investor’s
6
understanding of the communication.
(D) Members must ensure that statements are clear and not
7
misleading within the context in which they are made, and that they
provide balanced treatment of risks andpotential benefits.
8
Communications must be consistent with the risks of fluctuating prices
and the uncertainty of dividends, rates of return and yield inherent to
9 investments.
CE)
Members must consider the nature of the audience to which
10
the communication will be directed and must provide details and
explanations appropriate to the audience.
11
(F) Communications may not predict or project performance,
imply that past performance will recur or make any exaggerated or
12
unwarranted claim, opinion or forecast...
Id., emphasis added.
. 14 34. The email (Exhibit A) contains exactly the type of prohibited performance
15
predictions specifically forbidden by this FINRA rule.
= O
16 35. FINRA Rule 3110, entitled “Supervision,” states at subdivision (a):
17
Each member shall establish and maintain a system to supervise the activities
of each associated person that is reasonably designed to achieve compliance
18
with applicable securities laws and regulations, and with applicable FIIRA
rules.
19
Rule 3110 further states, in relevant part:
20
(b) Written Procedures
21
22
23
(4) Review of Correspondence and Internal Communications
The supervisory procedures required by this paragraph (b) shall include
24
procedures for the review of incoming and outgoing written (including
electronic) correspondence and internal communications relating to the
25
member’s investment banking or securities business. The supervisory
procedures must be appropriate for the member’s business, size, structure, and
26
customers. The supervisory procedures must require the member’s review of:
27
(A) incoming and outgoing written (including electronic)
cOrrespondence to properly identify and handle in accordance with finn
28
procedures, customer complaints, instructions, funds and securities, and
-6-
COMPLAINT
EXHIBIT 1 12
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 14 of 60 Page ID #:18
communications that are of a subject matter that require review under FINRA
1
rules and federal securities laws.
2 36. On information and belief, Philpot’ s use of an outside email to communicate
3 with Plaintiff (see Exhibit A, which was sent from Philpot’s AOL email account) reflects
4 Defendant’s failure to properly supervise Philpot per FINRA Rule 3110, and, as per FINRA
5 Rule 3110(a), “final responsibility for proper supervision shall rest with the member.”
6
FifiST CAUSE OF ACTION
BREACH OF FIDUCIARY DUTY
7
(Against All Defendants)
8 37. Plaintiff re-alleges and reincorporates each and every allegation contained in
9
the General Allegations and all previous paragraphs of all previous sections and Causes of
10 Action in this Complaint, inclusive, as though fully set forth herein.
11 32. Plaintiff is a securities brokerage client of Defendant WESTPARK. Defendant
12 WESIPARK (through Philpot) had discretionary control over Plaintiff’s investments, and a
13
confidential relationship existed between Plaintiff and Defendant WESTPARK (through
L5
4
14 Phflpot), as Plaintiff reposed trust and confidence in the integrity and fidelity of Defendant
15 WESITARK (directly and through Philpot). As such, Defendant WESTPARK owed a
0
16 fiduciary duty to Plaintifl
17 39. Plaintiff is also a client of Defendant ALLIANZ. As described above Plaintiff
18 told Philpot, an agent of Defendant ALLIANZ, what his investment’insurance needs and
19
goals were, and Philpot then told Plaintiff about the ALLIANZ product and made the
20 misrepresentations listed above. The particular ALLIANZ annuity product was selected by
21 PhHpot for Plaintiff as appropriate for Plaintiff in light ofPlaintiffs expressed needs and
22 desires. Because of Philpot/ALLIANZ’s role in advising Plaintiff ofthe appropriate annuity
23 for Plaintiff’s particular needs and goals, Philpot was also acting as an agent for Plaintiff.
24 As such, a confidential relationship existed between Plaintiff and Defendant ALLIANZ
25
(through Philpot), as Plaintiff reposed trust and confidence in the integrity and fidelity of
26 Defendant ALLIANZ (directly and through Philpot). As such, Defendant ALLIANZ owed a
27 fiduciary duty to Plaintiff.
28
-7-
COMPLAINT
EXHIBIT 1 13
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 15 of 60 Page ID #:19
1
40. Defendants, and each of them, breached their fiduciary duty to Plaintiff by
2 engaging in the course of conduct alleged herein.
3 41. Defendants, and each of them, breached their fiduciary duties to Plaintiff by
4
engaging in the course of conduct alleged herein, and such course of conduct was pursued
5 without due regard for and in reckless and conscious disregard of the consequences and
6
damage to Plaintiff Upon information and belief, each Defendant, individually, aided and
7
abetted the breach of fiduciary duty by each other Defendant.
8
42. Defendants pursued such course of conduct negligently and/or intentionally
9
while disregarding the rights of Plaintiff and with a negligent and/or fraudulent and/or
10
reckless disregard of the likelihood of causing Plaintiff economic damage and/or at all times
ii to further their own economic interest at the expense of Plaintiff’s economic interest.
12
43. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
13
has been damaged in a sum according to proof at time of trial, including interest, attorney’s
14
fees and costs.
15 SECOND CAUSE OF ACTION
NEGLIGENCE
16 (Against All Defendants)
17
44. Plaintiff re-alleges and reincorporates each and every allegation contained in
12 the General Allegations and all previous paragraphs of all previous sections and Causes of
19 Action in this Complaint, inclusive, as though fully set forth herein.
20
45. A special relationship of trust and confidence existed between Plaintiff and
21 Defendants. As alleged herein, Defendants owed a duty (including a fiduciary duty) to
22
Plaintiff. Defendants breached that duty by their actions and inactions, as alleged herein.
23 46. As a proximate result of the negligent conduct of Defendants as herein alleged,
24
Plaintiff has incurred damages in an amount according to proof at time of hearing, including
25 interest, attorney’s fees and costs.
26
/1/
27 III
28
/1/
-8-
COMPLAINT
EXHIBIT 1 14
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 16 of 60 Page ID #:20
1
THIRD CAUSE OF ACTION
NEGLIGENT MISREPRESENTAITON
2
(Against All Defendants)
3 47. Plaintiff re-alleges and reincorporates each and every allegation contained in
4 the General Allegations and all previous paragraphs of all previous sections and Causes of
5 Action in this Complaint, inclusive, as though fully set forth herein.
6 48. Plaintiff alleges on information and belief that each of the representations
7
described above was false or misleading when made by Defendants (as described above),
8 was made without a reasonable basis for believing it to be true. The representations were
9
made with the intent to induce Plaintiffs reliance thereon, and Plaintiff did, in fact,
10 reasonably rely on Defendants representations in his decision to invest with Defendants as
11 herein alleged.
12 49. Each of the Defendants had a duty to disclose the true information on the
13
grounds that the information was material to the investments alleged herein. Defendants’
0
t
14 failure to disclose these material facts to Plaintiff, therefore, constitutes negligent
I-i
15 misrepresentation.
16 50. Had Plaintiff known of the true facts as described hereinabove, Plaintiff would
17
not have invested, nor retired early, forgoing additional compensation and making needed
18
additional contributions to his retirement savings.
19 51. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
20 has incurred damages in that Plaintiff was induced to invest, all by reason of which Plaintiff
21
has been damaged in at least a sum in excess of the jurisdictional amount of this Court, and
22 additional amounts according to proof at time of trial, including interest, attorney’s fees and
23 costs.
24
FOURTH CAUSE OF ACTION
FRAUD AND INTENTIONAL MISREPRESENTATION
25
(Against All Defendants)
26 52. Plaintiff re-alleges and reincorporates each and every allegation contained in
27 the General Allegations and all previous paragraphs of all previous sections and Causes of
28
Action in this Complaint, inclusive, as though fully set forth herein.
COMPLAINT
EXHIBIT 1 15
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 17 of 60 Page ID #:21
1 53. At the time that Plaintiff was induced to make the investments alleged herein,
2 and continuing thereafter, Plaintiff was led to believe that the representations made by
3
Defendants and delivered to Plaintiff as alleged herein, were true.
4 54. When Defendants, and each of them, made or adopted the above
5
representations, they knew (or were reckless in not knowing) them to be false and made
6
these representations with the intention to induce Plaintiff to act in reliance on these
7
representations in the manner herein alleged by purchasing the annuity.
8 55. Plaintiff, at the time these representations were made by Defendants, and each
9
of them, and at the time Plaintiff took the actions herein alleged, was unaware of the falsity
10 of Defendants’ representations and believed them to be true. In reliance on these
1 1 representations, Plaintiff was induced to and did invest.
12 56. Had Plaintiff known of the true facts as described hereinabove, Plaintiff would
,. .s
I 13
not have invested, nor retired early, forgoing additional compensation and making needed
14 additional contributions to his retirement savings.
15 57. Plaintiffs reliance on the representations of Defendants was justified because
16 of Plaintiffs lack of investment sophistication, Defendants’ superior knowledge and
17 expertise, as well as the written projections and guarantees provided.
18 58. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
19 has incurred damages in that Plaintiff was induced to invest, all by reason of which Plaintiff
20 has been damaged in at least a sum in excess of the jurisdictional amount of this Court, and
21
additional amounts according to proof at time of trial.
22 59. As a further result of Defendants’ actions, Plaintiff is fearful for his and his
23
family’s well-being as a result of discovering that they will not have sufficient funds to
24
provide for them during their retirement.
25 60. The aforementioned conduct of Defendants, ahd each of them, was an
26 intentional misrepresentation, deceit, or concealment of a material fact known to each of the
27
defendants with the intention on the part of the defendants of thereby depriving Plaintiff of
28
property or legal rights or otherwise causing injury, and was despicable conduct that
-10-
COMPLAINT
EXHIBIT 1 16
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 18 of 60 Page ID #:22
1
subjected Plaintiff to a cruel and unjust hardship and conscious disregard of Plaintiffs
2 rights, so as to justify an award of exemplary and punitive damages.
3
FIFTH CAUSE OF ACTION
4
FRAUD IN CONI>JECIION WITH THE PURCHASE OR SALE Of SECURITIES
Violation of
§
10(b) of the Exchange Act of 1934, and Rule I Ob-5 thereunder
5
(Against All Defendants)
6 61. Plaintiff re-alleges and reincorporates each and every allegation contained in
7
the General Allegations and all previous paragraphs of all previous sections and Causes of
8
Action in this Complaint, inclusive, as though fully set forth herein.
9 62. Defendants, and each of them,
by
engaging in the conduct described above,
10 offered and sold a security in the state of California by means of both written and oral
11 communications which included untrue statements of material fact and omitted to state
12 material facts necessary in order to make the statements made, in light of the circumstances
‘ 13 under which they were made, not misleading.
0
14 63. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
I
15 has incurred damages in that Plaintiff was induced to invest in the fraudulent investment
16 scheme, all by reason of which Plaintiff has been damaged in at least a sum in excess of the
17
jurisdictional amount of this Court, and additional amounts according to proof at time of
18 trial, including interest, attorney’s fees and costs.
19 64. The aforementioned conduct of Defendants, and each of them, was an
20 intentional misrepresentation, deceit, or concealment of a material fact known to each of the
21 defendants with the intention on the part of the defendants of thereby depriving Plaintiff of
22
property or legal rights or otherwise causing injury, and was despicable conduct that
23 subjected Plaintiff to a cruel and unjust hardship and conscious disregard of Plaintiffs
24 rights, so as to justify an award of exemplary and punitive damages
25 III
26 III
27 /7/
28 III
-ii-
COMPLAINT
EXHIBIT 1 17
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 19 of 60 Page ID #:23
1
SIXTH CAUSE OF ACTION
BREACH OF CONTRACT
2
(Against All Defendants)
3 65. Plaintiff re-alleges and reincorporates each and every allegation contained in
4 the General Allegations and all previous paragraphs of all previous sections and Causes of
5 Action in this Complaint, inclusive, as though fully set forth herein.
6 66. Defendants (through Philpot) agreed to provide Plaintiff with an annuity
7
product that performed according to the representations made in Exhibit A in exchange for
8 Plaintiffs investment. That agreement constitutes a contract.
9 67. Plaintiff has, at all times, performed each and every condition, covenant and
10 obligation required of Plaintiff under the parties’ contracts except for the performance of
11 such conditions, covenants and obligations which have been waived, prevented or excused.
12 68. Defendants have failed to honor its obligations under, and has materially
.. 13 breached, the contracts and the implied covenants therein by, among other things, failing to
4
14 abide by their terms and conditions, including but not limited to misrepresentation of
‘ 15 material facts and arbitrary and improper failure to disclose material facts, to Plaintiff.
16 69. Plaintiff did not discover Defendants’ breach of contract until within two years
17 of the filing of this Complaint.
18 70. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
19 has incurred damages in that Plaintiff was induced to invest in reliance on the terms of the
20 contract described above, all by reason of which Plaintiff has been damaged in at least a sum
21 in excess of the jurisdictional amount of this Court, and additional amounts according to
22 proof at time of trial, including interest, attorney’s fees and costs.
23
SEVENTH CAUSE OF ACTION
BREACH OF THE COVENANT OF GOOD FAITH AND FAIR DEALING
24
(Against All Defendants)
25 71. Plaintiff re-alleges and reincorporates each and every allegation contained in
26 the General Allegations and all previous paragraphs of all previous sections and Causes of
27 Action in this Complaint, inclusive, as though fully set forth herein.
28
-12-
COMPLArNT
EXHIBIT 1 18
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 20 of 60 Page ID #:24
1 72. Implied in the agreement between Plaintiff and Defendants described above is
2 a covenant of good faith and fair dealing. The covenant provides that no pafty will do
3 anything that will have the effect of iinpafring, destroying or injuring the rights of the other
4 party to receive the benefits of their agreement. The law implies a covenant in all
5 agreements that each party will do all things reasonably contemplated by the terms of the
6 agreement to accomplish its purpose.
7 73, By performing the acts described above, Defendants have breached the
8 covenant of good faith and fair dealing by violating the spirit of the agreement.
9 74. As a proximate result of the conduct of Defendants as herein alleged, Plaintiff
10
has incurred damages in at least a sum in excess of the jurisdictional amount of this Court,
11 and additional amounts according to proof at time of trial, including interest, attorney’s fees
12
andcosts.
13
EIGHTH CAUSE OF ACTION
3
14
UNFAIR BUSINESS PRACTICES
In
Violation of
§
17200 et seq. of the California Business and Professions Code
15
(Against All Defendants)
16 75. Plaintiff re-alleges and reincorporates each and every allegation contained in
17
the General Allegations and all previous paragraphs of all previous sections and Causes of
18 Action in this Complaint, inclusive, as though fully set forth herein.
19 76. Pursuant to
§
17200 et seq. of the California Business and Professions Code,
20 unfair business practices include any unlawful, unfair or fraudulent business practice. The
21 fraudulent and unlawful conduct of Defendants as alleged herein is an unlawful and
22 fraudulent practice within the provisions of
§
17200 et seq. of the California Business and
23 Professions Code, and, accordingly, constitutes a violation of
§
17200 et seq. of the
24
California Business and Professions Code.
25 77. As a direct and proximate result of the unfair business practices of Defendants
26 as herein alleged, Plaintiff has incurred damages in that Plaintiff was induced to invest in the
27 fraudulent investment scheme, all by reason of which Plaintiff is entitled to restitution in an
28
-13-
COMPLAINT
EXHIBIT 1 19
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 21 of 60 Page ID #:25
I
amount according to proof at time of trial, plus interest, attorney’s fees pursuant to
2
California Code of Civil Procedure
§
1021.5, and costs.
3
MNTH CAUSE OF ACTION
4 CONVERSION
For Violation of California Penal Code
§
496
5 (Against All Defendants)
6 78. Plaintiff re-alleges and reincorporates each and every allegation contained in
7
the General Allegations and all previous paragraphs of all previous sections and Causes of
8
Action in this Complaint, inclusive, as though fully set forth herein.
9
79. Plaintiff is, and at all times relevant herein was, the owner of or entitled to
10
immediately possess an annuity worth at least $387,000 ten years after his initial purchase in
11
2006.
12 80. Using simple math, in light of the initial investment of $448,062.35, the annual
no,
. 13 $45,000 withdrawal described above, and the promised performance of the annuity, the
Lfl —
3 14 value of the annuity as of April, 2014 should have been no less than $404,163.51. After
15 adjusting for the two withdrawals after the anniversary date (see Exhibit C, page 2), the
16 value in April 2014 was only $137,857.70, for a difference of $266,305.81.
17 81. Defendants wrongfully interfered with Plaintiffs interest in the above-
18 described property
by
diverting from Plaintiff the identifiable sum (as of April 2014) of
19 $266,305.81 by misappropriating and depositing said sums into Defendants’ own accounts,
20 and refusing to return the money to Plaintiff.
21 82. While Defendants originally came into the possession of the converted
22 property when Plaintiff invested (as described above), Defendants have improperly retained
23 it despite demands by Plaintiff for return of the property.
24 83. While Plaintiff believes demand for return of his converted property has
25 already been made, this Complaint serves as a further such demand.
26
24. Each Defendant conspired with each of the other Defendants to convert the
27 above-listed property, so that the activities of one are attributable to all.
28
-14-
COMPLAINT
EXHIBIT 1 20
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 22 of 60 Page ID #:26
1 85. As a result of Defendants’ acts of conversion, Plaintiff has been damaged in
2 the sum or sums to be proven at thai, including all compensatory damages. Plaintiff is
3 further entitled to compensation for the time and money expended in pursuit of the property.
4
TENTH CAUSE OF ACTION
5
TREBLE DAMAGES
For Violation of California Penal Code
§
496
6
(Against All Defendants)
7 86. Plaintiff re-alleges and reincorporates each and every allegation contained in
8 the General Allegations and all pret4rious paragraphs of all previous sections and Causes of
9
Action in this Complaint, inclusive, as though fully set forth herein.
10 87. Defendants caused Plaintiff to transfer to Defendants at least $266,305.81
11 belonging to Plaintiff.
12 88. Defendants have retained the entire $266,305.81 in funds belonging to
.9
13 Plaintiff.
14 89. In so doing, Defendants have knowingly received and are deliberately
I-
15 withholding at least $266,305.81 in funds from Plaintiff, knowing that Defendants have no
16 right, title, or interest in the funds and that said funds have been stolen from Plaintiff andlor
17
obtained in a manner constituting theft.
18 90. As a direct and proximate result of Defendants’ conduct, Plaintiff has
19
sustained actual damages in the amount of not less than $266,305.81.
20 91. Defendants’ conduct is in direct violation of Penal Code
§
496. As recently
21
determined by the court in Bell v. Feibush (2013) 212 Cal.App.4th 1041:
22
Penal Code section 496 does not state a criminal conviction under section
496(a) is required for a private plaintiff to recover treble damages under
23
section 496(c). Nor does section 496(c) limit recovery of treble damages to a
crime victim. Instead, section 496(c) permits
c{a]ny
person” who “has been
24
injured by a violation of subdivision (a) or (b)” to “bring an action” to recover
treble damages.
25
26 Id., 1045.
27 /1/
28 1/!
-
COMPLAINT
EXHIBIT 1 21
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 23 of 60 Page ID #:27
1 92. Accordingly, pursuant to Penal Code
§
496(c), Defendants are liable to
2 Plaintiff for three times the amount of actual damages sustained by Plaintiff, costs of suit,
3 and reasonable attorney’s fees.
4
5 PRAYER FOR RELIEF
6
WHEREFORE, Plaintiff prays for judgment as follows on all claims for relief:
7 UNDER THE FIRST CAUSE OF ACTION
8 1. For general damages in an amount according to proof at time of trial;
9
2. For interest in an amount according to proof at time of trial;
10 3. For attorney’s fees and costs;
11 UNDER THE SECOND CAUSE OF ACTION
12 4. For general damages in an amount according to proof at time of trial;
13 5. For interest in an amount according to proof at time of trial;
c!
14 6. For attorney’s fees and costs;
15 UNDER THE THIRD CAUSE OF ACTION
16 7. For general damages in an amount according to proof at time of trial;
17 8. For interest in an amount according to proof at time of trial;
18 9. For attorney’s fees and costs;
19 UNDER THE FOURTH CAUSE Of ACTION
20 10. For general damages in an amount according to proof at time of trial;
21 11. For interest in an amount according to proof at time of trial;
22 12. For attorney’s fees and costs;
23 13. For punitive damages;
24 UNDER THE FIFTH CAUSE OF ACTION
25 14. For general damages in an amount according to proof at time of trial;
26 15. For interest in an amount according to proof at time of trial;
27 16. For attorney’s fees and costs;
28 17. For punitive damages;
-16-
COMPLAINT
EXHIBIT 1 22
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 24 of 60 Page ID #:28
1 UNDER THE SIXTH CAUSE Of ACTION
2 18. for rescission as determined according to proof at time of trial;
3 19. For general damages in an amount according to proof at time of trial;
4 20. For interest in an amount according to proof at time of thai;
5 21. For attorney’s fees and costs;
6 UNDER THE SEVENTH CAUSE OF ACTION
7 22. For general damages in an amount according to proof at time of trial;
8 23. For interest in an amount according to proof at time of trial;
9 24. For attorney’s fees and costs;
10 UNDER THE EIGWfH CAUSE OF ACTION
ii 25. for restitution in an amount according to proof at time of trial;
12 26. for interest in an amount according to proof at time of trial;
13 27. For attorney’s fees and costs pursuant to California Code of Procedure
§
0
14 1021.5;
15 UNDERTHENII’JTHCAUSEOFACTION
16 28, For damages according to proof at time of trial;
17 29. for compensation for the time and money expended in pursuit of the property;
18 UNDER THE TENTH CAUSE OF ACTION
19 30. for treble damages in an amount according to proof at time of trial;
20 31. For interest in an amount according to proof at time of thai;
21 32. Forattomey’sfees;
22
23 III
24 III
25 /1/
26 III
27 /1/
28 III
COMPLAiNT
EXHIBIT 1 23
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 25 of 60 Page ID #:29
1 UNDER ALL CAUSES OF ACTION
2 33. For costs of suit incurred herein; and
3
34. for such other and further relief as this court may deemjust and proper.
4
Dated: July 18, 2014 HOLMES TAYLOR& JoNEs LLP
6
By:
__________________________
7
Andrew B. Holmes
8
Attorneys for Plaintiff William G. Bussen
9
10
11 JURY TRIAL DEMAND
12
Plaintiff hereby demands trial by jury.
13
Dated: July 18, 2014 HOLMES, TAYLOR &JONES LLP
15
By:
___________________________
Andrew B. Holmes
1
Attorneys for Plaintiff William G. Bussen
17
18
19
20
21
22
23
24
25
26
27
28
COMPLAINT
EXHIBIT 1 24
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 26 of 60 Page ID #:30
BARB BUSSEN
Page 1 of 1
5ussen, William
From: Pdanphflpot@aotcom
Sent; Tuesday, March 28, 2006 10:14 AM
To: Bussen, William
Subject: Re: Reminder
Bill crunched the numbers you asked for and this is a ten year projection. The best case scenario is a
conservative estimate, while the worst case is pushing the extreme: These numbers take in consideration the
y be withdrawing annus y over the next ten years.)
Best Case:
Balance @ the end often years $548,000.00
Worst Case:
Balance © the end often years $387000.00
Options @ the ten year maturity. 1. You and I sit down and explore the new products available on the market at
that time and roll the funds into something new. 2. If the Allianz product is performing at your satisfaction, we
can leave in place without annuitizing and the guarantees will stay In place, Allianz will allow this.
If the plan is not performing as expected, once you reach 59 t12, we can reduce or change the distribution
levels, because we are out of the IRS penalty phase, This is applicable even though we may be mid stream on
the ten year commitment with Allianz
Ill be more than happy to discuss this Information with you, It you have any questions
Thanks;
Dan
I S
-- —(
• _:. ,:2.
-rJ
..) (2
EXHIBIT 1 25
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 27 of 60 Page ID #:31
Exhibit B
EXHIBIT 1 26
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 28 of 60 Page ID #:32
USAITlanz
Rewardse
Individual Flexible Payment Variable Deferred Annuity AppllcaUon
Issued by Allianz Life Insurance Company of North America (Allianz Life), Minneapolis, MN
Countrywide except NY
1. Account Registration
Ow or Is I dMdual (Must be age 80 oryounge,3
iit/itAi
I I I ii)
Individual O-wnerRrst Name Middle Initial Last Name (Jr at Si), or ill
Owner is LI Trust [6ualifled Plan LI Custodian (if Tmst please Include the date of Trust in the name.)
II 11111 111111111111111 1111111 iii i’I
Ncn-lndMduW Own erlnfwmatian
if Trust Is Owner1 please refer to Trustee Representation lmz i I I I I I I 13 I
/
I- I V1
Z-f.Lf%
I
Tax ID nun*iet
Social Security number
l’’t
1z,1—;’
I I I I I I I I I I I
SfreatAddress
I i’ i’i% i7)i i I IINt/1II ici W I I
II.sIo
l-- I’ i- k5 i-i/i? i9i-
City State ZIP Code
Daytime telephone number
sriiV t.li5 I .i/ l.9i 5k)
Areyoua U.S CilIzen?Q No lino, needY/a-BEN.
LI F Data at Birth (mWddy)
Joint Owner (Optional) (Must be the spouse of the Contract Owner except In The states of CA, NJ, OR and PA.) (Must be age BOor ne,)
Iii iii I........i I 111111 IlillIllIll I I
1ra! Name AtM—.
AØ 4 L) Middle Initial Last Name (It Of St), cmlii
It iii ii 11111 II III) 11111 11111
Street Address
IIIIIIIIIIIRIIIIIIII—llllllhll—IIII—Iiill
City Stale ZIP Code
Daylbna telephone number
Sex LI M
Li_i. i I I - I I I I I i-I I-I I ‘I I I
Amyoua U.S. Citizen? Q s Na line, need W8-BEN,
LI F Data of Birth (mqVddlyyyy) Social Security number
1111111 III I II I I III III lilt 111111111 Ii I
Relationship to Contract Owner V
Annultant (Must complete Udiffarunt than Contract Owner.) (Must be eye 80 oryaunger.)
i_Il fIll L_________I_________Ill j._..1 lIllIllIllIll III
ti_ I.,’
Rrst Name ,4-5 Last Wane (Jr arSr), or Ill
1111111111111111111111111111111111111111
SlreelAddress
IlIlllIiIlliTlI_.__llII—IlIlIIlll—f Ill_I IQIII
City State ZIP Code Daytime telephone number -
Sex LIM
I I-I I-I 1 I I II I 1.1 I i—i i
Amyouati.S.CWzan?L1YasUNa Ifno,needW8-BEN.
LI
DIeoiBñihl,wuIddMw) Social Secudtymrmber
2. Purchase Payment
— V —
This section must be completed. Please mike check payable to Allianz 1-110.
$15,000 minimum Purchase Paynient required. if optIona9M)B is selected, then $25,000 Initial minimum Purchase Paqint1uired.
LI Purchase Payment enclosed with application [Thls contract will be funded bye 1035 exchange, Tax Qualified Trans rIRollr, CD Transfer
Purchase Payment amount $ Jz or Mutual Fund Redemption. fit checked, please Include the approptia forl.)
3. Plan Specifics
_____________________________________________________ _______________
This section must be completed to Indicate hew this colTfract should be Issued. —
NonQualliled LI
Qualified IRAs : LI IRA LI Roth IRA LISEP IRA LI Roth Conversion New Roth or IRA contribution tot tax year
Qualified Plans: LI 403(b) (90.24 transfer) LI 401 LI 401 One Person Defined Benefit
4. Replacement
This section must be completed.
Do you have existing life insurance or annuity contracts? C Yes
If yes, will the annuity contract applied for replace or change existing contracts or polices? C Yes’ -No
If yes, the Registered Representative must answer the replacement question in section 11 of this application. ‘Please include the appropriate
forms for NA1C Model Regulation state5.
ii, flhIIIfl ii ru Iliri) ill1 ill] JI liii) [1101 II I
F4032? (24)4)
llI 111 HI[LllUllllhII liii [II UIIIIINI ‘H IllhitI lIt
5/2005
.
Allianz Life Insurance Company of North America
. I —
EXHIBIT 1 27
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 29 of 60 Page ID #:33
You must choose only ONE of the fo1ling Income Benefit Options. Upon making ydselectlon, It cannot be changed’
PLEASE NOTE; if optional GMIB Is selected, then $25,000 initial minimum Purchase Payment required. The Income Benefit Options
are not available in the state of Oregon.
C Na Guaranteed Minimum Income Benefit (Na additional cost)
C Tjadilional Guaranteed Minimum Income Benefit (Optional) (Available on the Issue Date at additional cost)
“tnhanced Guaranteed Minimum Income Benefit (Optional) (Available to owners age 79 or younger on the Issue Date at additional cost.)
6. Oeath Benefit Options
You must choose only ONE of the following Death Benefit Options. Upon making your selection, It cannot be changed.
C TdlUonal Guaranteed Minimum Death Benefit (No additional cost)
f
t’nhanced Guaranteed Minimum Death Benefit (Optional) (Available to owners age 79 or younger on the Issue Date at additional cost,)
7. Purchase Payment Allocation
COMPLETE THIS SECTION FOR ALLOCATIONS AND DOLI..AR COST AVERAGING fDCA) SOURCE INVESTMENT CHOICE. You may select up to
15 investment Choices. Must use whole percentages (33.3% or dollars are not permitted), Total of percentages In this section must total 100%.
PLEASE NOTE: It DCA is being requested, OCA form must be attached to indicate which Investment Choices you wish to dollar cost average Into.
If this form Is NOT attached and you request OCA, we cannot invest your Purchase Payment.
OCA Fixed Options (DCA Form must be attached,) Large Value
_% 12-Month DCA Fixed Option
_%USAZ AIM Basic Value
_%6-Month DCA Fixed Option
_%USAT Davis NY Ventute
FuslonPortfolla
_%USA PEA Value
..........% USA Fusion Balanced
_% USA Van Kampen Comstock
....% USAZ’ Fusion Moderate
_%USAZ Van Kampen Growth and income
USAZ’ Fusion GFOWth
HIgh YIeld Bonds
Small Cap
Franklin High Income
_%Oreyfus Small Cap Stock Index
_% PIMCO VIT High Yield
_%USAZ’ Dreyfus PremIer Small Cap Value
Intermediate-Term Bonds
_%USAZ’ Franklin Small Cap Valve
_%Franklin Zero Coupon -2070
_%USAZ° Oppenheimer EmergIng Growth
_%PIMCO VIT Emerging Markets Bond Portfolio
% USAr Salomon Brothers Snail Cap Growth
.....% PIMCO VIT Global Bond Portfolio
Mid Cap
_%PIMCO VIT Real Return
_%Franklin Rising Dividends Securities
_%PIMCO vrr Total Return
_%Mutual Shares Securities
Short-Term Bonds
_% USAZ PEA Renaissance
....._% Franklin U.S. Government
............% USAZ’ Van Kemp en Aggressive Growth
Specialty
__% USAZ’ Van Karn pen Mid Cap Growth
_%Davis VA Financial
_%Franklin Small - Mid Cap Growth Securities
........% Franklin Global Communications Securities
Large Growth
_% Franklin income Securities
_%Franklin Large Cap Growth Securities
_%Franklin Real Estate
_%USAZ Dteytus Founders Equity Growth
....% PIMCO VIT All Asset Portfolio
_%USAZ ]ennlson Growth
..........% PIMCO VIT Commodity Portfolio
,.__% USAZ Salomon Brothers Large Cap Growth
..%Templeton Developing Markets Securities
_%USAZ’ Van Kanipen EmergIng Growth
_%USA Legg Mason Growth
International Equity
_%USAZ OppenheImer Emerging Technologies
._%Mutual Discovery Securities
USAZ’ Van Kampen Equity and Income
._.._% Templeton Foreign Securities
Cash Equivalent
__% Tempteton Growth Securities
_%USA2 Money Market
_%USAZAIM International Equity
_%USAZ Oppenheimer Global
._._% USAZ Oppenheimer International Growth
._...% USAZ’ Van Kampen Global Franclli5e
Large Blend
......_% Dreyfus Stock Index
......% Franklin Growth and Income Securities
_%USAZ’]esnlsae 20120 Focu5
..........% USAZ’ Oppenheimer Main Street
% USAZ’ Legg Mason Value
— TOIALof /O) %
(Must eqtMl 100%)
Ftexlble Rebalancing Quarterly You may select Flexible Rebalandng on a quarterly basis by cheddng this box C If you have NOT selected selected any
OCA Fixed Options, or the Dollar Cast Averaging Program. Your flexible Rebaiancing wilt be based an the same allocations as indicated above.
If you am requesting any other mode than quarteriy for Flexible Rebalancing or ii you are selecting a Dollar Cost Averaging Program, please complete the
Flexible Rabalandng form andlor the Dollar Cost Averaging form.
F40327 (2-04)
512005
EXHIBIT 1 28
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 30 of 60 Page ID #:34
9. eneficiary Designation -
If the B)neflclary is a Trust, Qualified Plan or Custodian please check Uie bo and include the name below 0 Trust [El 401 Qualified Plan 0 Custodian
nraiy [1 Contingent
I — I I I I i _i— I I i— i I
Percentage Tax ID nttmbe,r Social Security number
1111 lIlt Ii 11111
Non-lndMdual Beneficiary informat/on (if Trust, please Include data of Trust In name.) (11 owner is a 401 quaIlledpun, the plan must be the beneficiary)
[Imaiy [JContingem L”’i I I i i—i I i I I I I I i—i i i—i I I iI,
Percentage Tax ID number Social Security nunber
I —1 I
1l,l11_ie,bd’ I
L
First Name Middle Initial Lp.1t Name
It.) Ill ii iii
Rela’lcnship
C1 Primary tEl Contingent
i I I —i i I I
. .
Percentage Tax ID number Social Security number.
•1 I I I
I
j._j I I I I
FIrst Name Middle lnrVaI Last Name
, I iii I III I 11111 il
Re!a5ooshlp
C] Primary C] Contingent
t i I I I — I I I I I I I I I i—i t I—i I i
Percentage Tax ID number Social Security flWnhei
I i I I I i.......i I I 1 I I I I I I I
First Name MiddIø lnial Last Name
I I I ‘I I I I I I I I I I I I
Relationship
(if more than 4 baneftclarjes, attach a list signed by Ownes At the Contract Owner’s death, the suIvivln9 Joint Owner becomes the Primary Ben eflclaryj
10. Statement of Applicant
District of Columbia, Pennsylvania and Virginia: Any person who knowingly
and with the intent to defraud any insurance company or her parson fUrs an
appilcation for insurance or statement ot claim c ritaininy materially false
information or conceals for the purpose of rnWeading, lma1g concerning any
fact material thereto commits a fraudulent insurance accatiA) which isa
crime and subjects such person to crimlnai and civil pens. frrDC and VA,
additional penalties may include imprisonment andlor flnéor djai of insurance
benefits.
Florida: Any parson who knowlnIy and with the intento InL, defraud, or
deceive any Insurer files a statement ut claim or an apfoatiaiicontaInIng
any false, Incomplete, or misleading informatio,iis guIot alony of the
third degree.
Minnesota: This Contract is not protected by the Mlnnesctfe end Health
Insurance Guarantee Association or the Minnesota Insurance Guarantee
Association. In the case of insolvency, payment of dims is not guaranteecL
Only the assets of this insurer wit be aveilable to pay the claim.
New Jersey: Any person who Indudes any false or misleading Information on an
apication for an insurance picy is subject to criminal and
civIl penaies.
Vermont: I understand that this viable annuity is not a bank deposit; is not
federally insured; is not endorsed by any bank or government agency; is not
guanteed and may be subject to loss of principal,
F40327 (2-04) 512005
Yei By checking ‘yes,’ I am euthorlzianU directing Allianz Life to act on telephone or e1ànic Instructions from the registered representative
and/or anyone authorized by him/her to transfer Contract Values among the Investment Choices, If the box is not checked, this authorlLation
will be permitted for the Owner only. Allianz Life will use reasonable procedures to confirm that these instructions are authorized as genuine.
As long as these procedures are followed, Allianz Life and Its affiliates and thuir directors, trustees, officers, employees, representatives, and/or
agents will be held harmless for any claim, ilablity, loss, or cost The electronic transaction privilege may be modified or withdrawn at the
discretion of the Company.
The following status require applicants to read and ac*nowledge the statement lot yeut state below.
Arizona: Upon your wdttan request, we will provide you with factual information
regarding the benefits and provisions of the Annuity Contract for which you are
appl1ng. If for any reason you are not satisfied With the Mnulty Contracl, you
may return the Contract withIn 10 days after you receIve it for a full rehind cf the
Contract Value.
Arjcansas, Kentucky, Louisiana, Maine, New MexIco, Ohio, Tennessee: Any
person who knowingly, and with intent to defraud any insurance company,
smits an application or files a statement of claim containIng any taise.
Incomplete, or misleading Information, commits a fraudulent insurance act, whIch
is a crime, may be subject to criminal prosecution and civil penalties. in ME and
TN, additional penalties may include itnprtsornient, fines, or deniai of insurance
benefits.
Colorado: it is unlawful to knowingly provide false, incomplete, ormlsleading
facts or infonriaon to an insurance company for the purpose at defrauding or
attempting to defraud the company Penafties may Include iniprisonment. fines,
denial of Insurance, and clvii damages. Any insurance company or agent of an
insurance company who knowingly provides false, Incomplete, or misleading facts
or information to a pofio3der or claimant for the purpose of defrauding or
attempting to defraud the policyholder or claimant with regard to a settement or
award payable from Insurance proceeds shall be reported to the Cotorado dIvisIon
of insurance within the department of regulatory agencies.
EXHIBIT 1 29
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 31 of 60 Page ID #:35
10. Statement of Applicant
tcontinued)
By signing below, the Contract wn owledjez the statements mentioned above and understands that uragrees to the following: -
I received a Prospectus and have determined that the variable aniity appilod fur is not unsuitable for my Inve5trflent objectives, flnandal situation,
and financial needs. It is a long-term comntment to meet nandaI needs and goals. I understand that the Contract Value and variable AnnuIty Payments
may Increase or decrease depending on the investment results of the variable Investment Choices, andthet no minimum Contract Value or variable
Annuity Payment Is guaranteed. To the best ci my knowledge and belief, at statements and answers in this application are complete and true, It Is further
that these statements and answers will become a past of any contract to be issued. No representative Is authorized to modify this agreement or waive
Life’s riqhis or
Joint Owner’s sibim(or Trustee, if applicable)
J-3o-&4
Date snad C Please send me a Statement &AddWon& Information
also avaUable an the SEC web site (htpi,Wwwsec.gav).
If. Registered Representative
I am NASD registered and stale licensed for variable annuity contracts in all required jurisdictions; and I provided the Contract Owner(s) with the most current
Prospectus; and to the best of edge and belief, this application 0 DOES 0 DOES NOT involve replacement of existing life insurance or annuities.
Ii a replacement. statement and a list of companies involved.
liii 111111111
t I I I I I I I I I I I I I I I I
name (please purl) (sptit case)
-101..r1.11
cTi’i
oli3I
Regis!emdRepresentath’a’s telephone number
ici
.
-,o i,A11.i
ReglsismdRepmsentatlve’s address
i
iPi4-
i ti-i 1C_t*ip
I” is’ i
ii
i i
BmkWde&er name (please print)
Authasfzedslgnatum dbmker/dealar (ifraqufred)
Repiesentaliva’s Florida illsumnce License Number (complete If appilcalion signed In Florida) I I I I I I I I
Commission Oplions (Please check one),QA C B C C
72. Home Office Use Only
If Allianz Cite Insurance Company of North America makes a change in this space in order to correct any apparent errors or omissions it wtl be
approved by acceptance of Uis contract by the Owner(s); however, any material change twist be accepted in writing by the Owner(s). Changes to this
applicatIon that affect product, benelits, amount of Insurance or age require acceptance by the Owner(s),
Mailing Information
APPLI GAllONS ThAT HAVEA CHECK AHACHED
REGULAR MAIL OVERNIGHT, CERTIRED, OR REGISTERED
Altianz Ufe-USMhianz Service Center Allianz lite-USAllianz Service Center 824240
P0 Box 824240 do PNC Bank Lockbcx
Philadelphia, PA 19182-4240 Route 38 and East Gate Drive
Moorestown, N] 0805?
APPLICATIONS THAT DO NOT HAVE A CHECK ATTACHEO
REGULAR MAiL , OVERNIGHT. CERTIFIED, OR REGISTERED
Allianz Ufe-USAJlianz Service Center AllIanz Lite-USAIIianz Service Center
PD Box 1122 300 Berwyn Pari
Southeastern, PA 19398-1122 Berwyn, PA 19312-1179
For further questions, please call the USAIIianz Service Center at (800) 6244i97.
P40327 (2-04)
512005
By signing below, the Registered RepresentaUvWAgent certlflesto the following:
EXHIBIT 1 30
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 32 of 60 Page ID #:36
. .
AMENDMENT OF APPLICATION
This document hereby amends the application dated March 30; 2006 to ALLIANZ LIFE INSURANCE
COMPANY Of NORTH AMERICA as follows:
CONTRACT OWNER NAME IS WILLIAM G BUSSEN
I agree that these changes shall be an amendment to and fonn a part of the original application and of the
policy issued. I also agree that these changes shall be binding on any person who shall have or claim any
interest under such policy.
If, by the above amendment, I have agreed to any special restriction in the policy, the consideration for
such agreement shall be the issuance of such policy.
Dated at: Carlsbad, NM this day of_____________ 2006
Contract Number: DA026630 Annuitant: WILLIAM G BU$SEN
Witness:
___________________________________
Owner: —
Joint Owner if applicable: —
ALS0001v2
EXHIBIT 1 31
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 33 of 60 Page ID #:37
Exhibit
C
EX}IIBIT1 32
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 34 of 60 Page ID #:38
Allianz
Allianz
PG Box 561
Minneapolis, MN 55440-0561
#BWBBF
WILLIAM G BUSSEN
28B PAGAN DR
BRANSON MO 65616-9108
nil’
Iil:11111111111t1111111h lPLIIthiI lhIlIiuulhIihtliul
Features of Your Contract
Death Ben.eflt:AIlianz Life guarantees (hat the Enhanced
Guaranteed Minimum Death Benefit received by the beneficiaries
of this contractwill be the greacerof thethen currentGuaranteed
Minimum Death Beneft as d efined in your contrai’, or the
then-current ContraValue, which varies daily with market
conditions. This guarantee is backed by the financial strength of
Allianz Life,
Guaranteed Partial Withdrawal Benefit”: The Guaranteed
Partial Withdrawal Benefit Included in your contract provides
income through partial withdrawals based on your Guaranteed
Partial Withdrawal value. This guarantee is backed by the
financial strengch ofAllianz Life.
“The Guaranteed Partial Withdrawal Benefit Is subject to 10 year
waiting period.
Income Benefit”: Allianz Life guarantees that the Income ,Senetit
will be the greater of the then current Guaranteed Minimum
Income Benefit as defined in your contract, or the then-current
Contract Value, which varies daily with market condWoos. This
guarantee is backed by the strength of Allianz Life.
The Guaranteed Income Benefit is subject to a 10 year waiting
period.
Bonus Amountt The bonus vesting schedule is as follows:
months 1-12 1SQ months 13-24 is 35%, months 25-36 Is 70%
months 37+ Is 100% vested.
Vour currentvested bonus amount is $26,856.07.
Your current unvested bonus amount is 50.00.
Contract Summary/Allocation
Asset Class
investment Dtion
__
21% Intermediate-Term Bonds
PIMCO VII Real Return
67%CashEquivalent
AZL Money Market
$28,512.6?
2,148.0966 13.2735 $28,512.6? 1,976.7857
$96,162.18
10,891.8870 8,8288 $96,162.18 10,023,2583
$271 80,79
13.7500 $27,180.79
- $87,921.42
&7?1?
$87,921.42
Phone: 800,624.0197
Website www.atlianzlife.com
PAGE 1 of 3
1186 rns 2563 895250001 P1 01966779 2197315 OANYPWQ XNBBVJ N000
EXHIBIT 1
NSSfl
Allianz Rewards
A deferred variable annuity
Quarterly Statement 03/3 7/2074- 06/30/2014
Contract Number:
0wner
Annuitant:
Plan Type:
Issued:
Representative:
Rep ID:
Broker/Dealer
DA026630
WILLIAM G BUSS EN
WILLIAM C BUSS EN
QUALIFIED IRA
04/19/2006
DANAW PHILPOT
S32189
WESTPARK CAPITAL INC
Contract Values
Prior Rewards Value as of 03/3112014; $140,925.50
Rewards Value as of 06/30/2014: $130,357.70
Contract Value as of 06130/2014: $130,357.70
Your Current Vested Bonus Amount is: $26,856.07
Your Current Unvested Bonus Amount is: $0.00
Prime Values:
3%Mnual Increase: $145,197.21
7% Annual Increase:.. $196,938.53
Maximum Anniversary Value: $136,505.23
Enhanced Guaranteed Minimum Death
$145 797 21
BenefltValueasof 06/30/2014:
Purchase Payments to Date: $448,062.35
Withdrawals to Date: $367,61 6.26
I
Numberof Unit Value DollarValue Numberof Unit Value DnilarVáfue
Unlasof asot asof UnitasoF asof asot
03(3112014 03/3112014 03/31/2014 06130/2014 06/30/2014 06(30/2014
Allianz
cIj
33
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 35 of 60 Page ID #:39
WILLIAM C BUSSEN Allianz Rewards Mardi 31, 2014- June 30,2014
-288.9307 8.7849
-34.9226 . , 12.5338.
-56.9829 13.5842
3,?50.V0
4z562,62:
-$434.09
$0.00
• $3,750.00
- $77126
-432.o6
-Z546.6B
$3,750.00,.
-$2,53822
-$437.71
-$774.07
Ptone 800,624.0197
Wetite ww.aIllanzflFa.om
PAGE 2 of 3
N399flS SèIV9
Allianz
(:I!I)
Con tract Summary/Allocation continued trom previous page
Numbarof UnftValue
Unitsasof asaf
03/31/2014 03131f2D14
Dollar Value Numberof Unit Value Dollar Value
AssetOass
asof Unltsasof asof asof
lnvestmeritOptlan
03/3112014 06/30/2074 06/39/2014 06j30/2014
JJ1
72%fundofFunds
$16,250.65
$75,255.49
AZLMVPFusionConservative 1,316.4870 12.3440 $16,250.65 7,271.4971 125923 $15,255A9
YourThtal Rewards Value as of 06130/2014: $130,357.70
I
Rewatds (Bonus) Value equals accumubtion value of all Investment Choices, Jnludlng all bonus amounts vested and unvested.
Contract Value equals accumulation value, excl udfng any unvested bonus amounts.
Additional Information Regarding Your Contract Allocation as of 06/30/2014
The values appearing on your statement may be stlghriy higher or
lower than the actual contractvalues available due to rounded
numbers being used Fordbplay purposes.
E
21% lntermedlat-Term Bonds
67% Cash EquIvalent
IIfl
12%Fundeffunds Upon canceling orsurrendering the contract, you may be required to
pay a withdrawal charge. For an explanation of the charge and other
fees, please see the prospectus.
Contract Activity
Number of
x
Unit — Dollar
. Units Value — Amount
Date
________ActMLy
04/09/2014 Systematic Withdrawal
• .
MooMarket •.. -
- :.. . -
From AZL MVP Fusion Conservative
From PIMCO V1T Real Renirn
To Contingent Deferred Sales Charge
04/18/2014 • Anniversary . - -
05/09/2 014 Systernetlc Withdrawal
From PIMCO Vif Real Rwrn
From AZ1. MVF Fusion Conservative

.. FroAaMonMarket
. .. -
06/09)2014 -. Systematic Withdrawal
-.
From AZL Money Market
From AZL MVP Fusion Conservative.
From PIfVC0 VTT Real Return
•290.443& ‘. &8231
-35.1055 12.3652
- 57.2BJ3 -. •- 13.3199

,,. 0.000 •• - 0.0000
-S7.047 • 13.51S
-34.9618 12.3581
8.8043
EXHIBIT 1 34
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 36 of 60 Page ID #:40
7
AttORNEY OR PARTY WITFEUT ATTORNEY (Name Stale Barnumbet. &ld addm1):
FOR CQURr USE ONLY
—Andrew B. Holmes (SUN: I 5401
HOLMES, TAYLOR & JONES LLP
801 S. Figueroa Street Suite 2170
4FORMED
COPY
Los AnReles, Califorrda 90017 CO
TEIEPIIONENO.: (213) 985-2200 FAXN0.: (213) 973-6282
tA””
ATTORNEY FOR (Name):
SUPERIORCOURTOFCALIFORNIA,COUNIYOF
Los Angeles
i B
2014
STREET ADDRESS
111 Nørth Hill Street
MMUNQ ADDRESS: 111 North Hill Street
OTY FND2IP coos:
Los An eles, CA 90012 S
BRANCH NAME:
Central)istrict, Stanley Mask Courthouse
y:JudlLaf00PtI
CASE NAME:
William G. Bussen v. WestPark Financial Services, LLC, et al.
CIVIL CASE COVER SHEET
Complex Case Designation
GENUMBEEC
5 2 0
0
0
El UnUmited
El Limited
Counter
El Joinder
(Amount (Amount
demanded demanded Is Filed with first appearance by defendant
JUDGE.
exceeds $25,000) $25000 or less) (Cal. Rules of Court, rule 3.402) DEFT:
Items 1—6 be,ow must be completed (see Instructions ott page 2).
1. Check one box below for the case type that best describes this case:
Auto Tort Contract
ProvIsIonally Complex Clvii Litigation
El Auto (22) EEl Breach of conlractfwarronty (05)
(Cat. Rules ot Court, rules 3.400—3.403)
El UnInsured motorIst (46) EEl Rule 3.740 collectIons (09) El AnUtrustlTrade regulation (03)
OthorPl/PDMD (Personal injurylProperty IEJ Other collections (09) EEl Construction defect (10)
Damage/Wrongful Death) Tort
EEl insurance coverage (18) IE] Mass tort (40)
El Asbestos (04)
t::i Other contract (37) EEl SecUrities litIgation (28)
El Product lIability (24)
Real Property
El Environmental/Toxic tort (30)
El Medical malpractice (45)
Eminent domain/Inverse
[El Insurance coverage claims arising from the
El Other PI/PO/WO (23)
condemnation (14) above listed provisionally complex case
Non.Pt(PD/WD (Other) Tort [El WrongfUl evictIon (33)
types (41)
El Business tort/unfair business practice (07)
[E]
Other real property (26) Enforcement or Judgment
El Clvii rights (08) Untawfui Defamer El Enforcement of judgment (20)
El Defamation (13) IEI Commerdat (31)
Misceltaneous Clvii Complaint
Fraud (16) EEl Residential (32)
EEl RICO (27)
El intellectual property (19) El Drugs (38)
El Othet complaint (not specified above) (42)
EEl professional neglIgence (25) JudicIal RevIew
Miscelianeous Civil Petition
El Other non-PIIPDPiND tort (35) EEl Asset forfeIture (05)
El Partnership and corporate governance (21)
Emotoymant EEl PetitIon re: arbItration award (11)
[] Other petition (not specified above) (43)
Wrongfui terminatIon (35)
El
Writ of mandate (02)
El
Other employment(15)
t:
Oiherjudlclai review (39)
This case L.....J is LU is not complex under rule 3.400 of the Calilomia Rules of Court If the case Is mplex, mark the
factors requiring exceptional judicial management:
a.
El
Large number of separately represented parties d. El Large number of witnesses
b. [El
Extensive motion practice raising difficult or novel e. El Coordination with related actions pending in one or more courts
issues that will be time-consuming to resolve in other counties, states, or countries, or in a federal court
c. El Substantial amount of documentary evIdence f. EEl SubstantIal postJudgment JudicIal supervision
3. Remedies sought (check all that apply): a. monetary b.
fl
nonmonetary; declaratory or injunctive relief
4. Number of causes of action (specify): Ten (10)
5. This case El is IZJ is not a class action suit.
6. if there are any known related cases, file and serve a notice of related case. (Y u may use fo
-
Date: 7/18/14
Andrew B. Holmes
_____________________________
rrVoz no OAIUT 1,JAUA, - . A flA PADW nfl AT ?rA4fl
CM-010
2.
c.
El
punitive
NOTICE
• Plaintiff must flue this cover sheet with the first paper flied in the action or proceeding (except small claims cases or cases filed
under the Probate Code, Family Code, or Welfare and Institutions Code). (Cal. Rules of Court, rule 3.220.) Failure to file may result
in sanctions,
• File this cover sheet in addition to any cover sheet required by local court rule.

if this case is complex under rule 3.400 et seq. of the California Rules of Court, you must serve a copy of this cover sheet on ati
other parties to the action or proceeding.
• Unless this is a collections case under rule 3.740 or a complex case, this cover sheetwili be used for statistical purposes only.
P15010(2
Form Adopted tar Mandatory Usa
CIVIL CASE COVER SHEET
Cal. Ruts of Court. ndaS 2.30. 3.220. 3.4O0-3A0 3.740:
medal Cosuidi nt CoUlomb
Cat Slandatds ctJudidl Adminbotmlinn, aId. 3.10
CM.OlOtRaV. Jail 1,2001 vnnw.cau,ltntn.ca5,v
EXHIBIT 1 35
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 37 of 60 Page ID #:41
• .•
...‘ /,
j
)

. if
d’t’fl
SHORTT1TL.E: CASE NUM9ER
5
i
U tj
William G. Bussen v. WestPatk Financial Services, LLC, et al.
CIVIL CASE COVER SHEET ADDENDUM AND
STATEMENT OF LOCATION
(CERTIFICATE OF GROUNDS FOR ASSIGNMENT TO COURTHOUSE LOCATION)
This
form Is required pursuant to Local Rule 2.0 in all new civil case filings in the Los Angeles Superior Court.
Item I. Check the types of hearing and fill in the estimated length ot hearing expected for this case:
JURYTRIAL? YES CLASSAC71DN? E YES LIMITEDCASE? EYES TIMEESTIMATEDFORTRIAL3 0 HoURS! lii DAYS
Item II. Indicate the correct district and courthouse location (4 steps — If you checked Limited Case”, skip to Item III, Pg. 4):
Step l After first completing the Civil Case Covet Sheet form, find the main Civil Case Cover Sheet heading for your
case in the left margin below, and, to the right in Column A, the Civil Case Cover Sheet case type you selected.
Step 2: Check Superior Court type of action In Column B below which best describes the nature of this case.
Step 3: In Column C, circle the reason for the court location choice that applies to the type of action you have
checked. For any exception to the court location, see Local Rule 2.0.
Applicable Reasons for Choosing Courthouse Location (see Column C below)
1, Class actions must be tiled In the Stanley Mask Courihouse, central district. 6. Location of property or permanently garaged vehicle.
2. May be tiled In central (other county or no bodily injury/property damage). 7. Location where petitioner resides.
3. Location where cause of action arOSE, 8. Location wherein defendant/respondent functions wholly.
4. Location where bodily Inlury, death or damaqe occurred. 9. Location where one or more of the parties reside.
5. Location where performance required or defendant resides. 70. Location of Labor Commissioner Office
Step 4: Fill in the Information requested on page 4 In Item Ill; complete Item IV. Sign the declaration.
-

—c
LACiV 109 (Rev. 03/Il)
LASC Approved 03-04
CIVIL CASE COVER SHEET ADDENDUM
AND STATEMENT OF LOCATION
Local Rule 2.0
Page 1 cf4
2t
<I
B C
Civil Case Cover Sheet Type of Action Appiicabie Reasons
Category No I (Check only Une) See SIep 3 Above
Auto (22) 0 A71 00 Motor Vehicle - Personal injury/Property Damage/Wrongful Death I,, 2.. 4.
Uninsured Motorist (46) 0 A71 10 Personal injurylProperly Damage/Wrongful Death — Uninsured Motorist 1., 2., 4.
0 A6070 Asbestos Property Damage 2.
Asbestos (04)
0 A7221 Asbestos - Personal Injury/Wrongful Death 2,
Product LIability (24) 0 A7260 Product Liability (not asbestos or toxic/environmental) i., 2,, 3., 4., 8.
0 A721 0 MedIcal Malpractice - Physicians & Surgeons 1., 4.
Medical MalpractIce (45)
0 A7240 Other Professional Health Care Malpractice 1,, 4.
0 A7250 Premises Liability (e.g., slip and fell)
1. 4.
persrnjury
0 A7230 Intentional Bodily Injury/Property Damage/Wrongful Death (e.g.,
1 4
Property Damage
55t, vdatsm, etc.)
Wrongful Death
0 A7270 Intentional infliction of Emotional Distress
1.,
(23)
1 4
0 A7220 Other Personal injury/Property Damage/Wrongful Death
EXHIBIT 1 36
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 38 of 60 Page ID #:42
SHORT tITLE
CASE NUMBER
William G, Bussen v. WestPark Financial Services, LLC, et al.
A
B
C
Clvii Case Cover Sheet Type of Action Applicable Reasons
Category No
(Check only one) Sea Step 3 Above
Business Tort (07) 0 A6020 Other Commerciall8uslness Tort (not fraudThreach of contract) 1. 3.
CMI Rights (08) El A6005 CMI Rlghtslfliscrlminatlon 1., 2., 3.
Defamation (13) 0 A6010 Defamation fsiarrderfllbel)
1.. 2., 3.
Fraud (16) 0 A6013 Fraud (no contract)
1. 2, 3.
El A6017 Legal Malpractice
1., 2., 3.
Professional Negligence (25)
El A6050 Other Professional Malpractice (not medical or legal) 1., 2., 3.
Other (35) El A6025 Other Non-Personal injuiylProperly Damage tort 2.3.
WrongfulTermlnatlnn(36) El A6037 Wrongfultermination 1,, 2.3.
El A8024 Other Employment ComplaInt Case
1., 2., 3.
Other Employment (15)
El A6109 Labor Commissioner Appeals
10.
El A6004 Breech of Rental!Lease Contract (not unlawful delalner or wrongful
2
evlctiO)
Breach at Contract! Warranty
El A6008 Contract/Werranty Breach -Seller Plaintiff (no fraudfnegligence)
2., 5.
(not insurance)
El A8019 NeglIgent Breach of ContracllWarranty (no fraud)
1., 2., 5.
El A8028 Other Breach of ConlractlWarranty (not fraud or negligence)
I., 2., 5.
El A6002 Collections Case-Seller PlaIntiff
2., 5., 6.
Collections (09)
El A6012 Other PromIssory NotelCailectlons Case
2., 5.
Insurance Coverage (18) El AGOl 5 Insurance Coverage (not complex)
t, 2., S., 8.
ta AB009 Contractual Fraud
., 2., 3., 5.
Other Contract (37) C A6031 Tortious Interference
1., 2., 3., 5,
El A6027 OtherContrectCispule(notbreschltnsuranc&fraud/negtlgence) 1., 2., 3., 8.
EmlnentDomalnllnverse
El A730D EmlnentDomaln!Condemnstlon Numberof parcels 2. CondemnatIon (14)
Wrongful EvIction (33) El A8023 Wrongful Eviction Case
2.. 6.
El A6016 Mortgage Foreclosure
2., 8.
Other Real Property (26) El A6032 QuIet TIIIe
2., 6.
U A8060 Other Real Property (not emlnenL domain, landiordltenant, foreclosure) 2., 6.
Unlawful Detalne)r.Commerclal
U A6021 Unlawful Detalner-Commerciel (not drugs or wrongful eviction) 2., 6.
Unlawful DetaIn2r-ResIdentIal
El A6020 Unlawful Detalner-Realdential (not drugs or wrongful eviction) 2., 6.
Unlawful Detalner-
El AGD2OFUniawfuI Detainer.Past-Foreclosure
2., 6.
Post-Foreclo sure (34)
Unlawful Delelner-Drugs (38) El A8022 Unlawful Daleiner-Drugs
2., 6.
LACIV 109 (Rev. 03111) CIVIL CASE COVER SHEET ADDENDUM Local Rule 2.0
LASC Approved 0304 AND STATEMENT OF LOCATION Page 2 of 4
- C
C.
‘Bi
=
a
=
@3
E
C.
E
w
0
C
C-,
C.
C
0
‘C
C)
a
=
@3
C
=3
EXHIBIT 1 37
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 39 of 60 Page ID #:43
SHORT TIThE:
CASE NUMBER
William G. Bussen v. WestPatk Financial Services, LLC, et al.
03
03
=
vi
==
o o
U
in>
LAC1V 109 (ReV. 03/11)
IASC Approved 03-04
CIVIL CASE COVER SHEET ADDENDUM
AND STATEMENT OF LOCATION
Local Rule 2.0
Page 3 of 4
EXHIBIT 1
0
01
D
x
Si
0
2
0
0
to
0
UI
0
0.
0303
22
03 01
U 0
..- 1
C .-
Ui 0
tn
= .2
003
toE
= 0
A
B
C
Civil Case Cover Sheet Type of Action
Applicable Reasons
Category No
(Check only one)
See Step 3 Abova
Asset Forfeiture (05) D A6108 Asset Forfeiture Case
2., 6.
Petition re Arbitration (11) D A61 15 PetItion to Compel/ConfirmNacete ArbItration
2., 5.
0 A6I 51 Writ - Administrative Mandamus
2., 8.
Writ of Mandate (02) 0 A6152 Writ - Mandamus on Limited Court Case Matter 2.
0 A0153 Writ- Other Limited Court Case Review
2,
Other Judlciai Review (39) 0 A6150 Other Writ !Judicial Review
2., 8.
AnttrustiTrade Regulation (03) 0 A6003 Antilrusvrrade Regulation
1., 2., 8.
Construction Oe(ect (10) 0 A6007 Construction Detect
1.. 2., 3.
Claims tnvoMassTOrt
U A6006 Claims Involving Mass Tort
1., 2., 8.
Securities LitIgation (28) 0 A6035 Securities Litigation Caae
1., 2.8,
ToxicTort
U A6038 ToxicTort)Enviranmental
1., 2., 3., 0. Environmental (30)
insurance CDueta9e Claims
U A6014 insurance Coverage/Subrogation (complex case only) 1., 2., 5., 5.
121 A6141 Sister State Judgment
2., 9.
. U A6180 Abstract 01 Judgment
2., 6.
Enforcement
U A5107 Coriression of Judgment (non-domestic relations)
2., 9.
of Judgment (20)
C A5140 Administrative Agency Award (not unpaid taxes) 2., 8.
C A5114 PellhioniCerllficate for Entry of Judgment on Unpaid Tax 2., 6.
U A6112 OtherEnforcementofludgment Case
2,, 8., 9.
RICO (27) 0 A6033 Racketeering (RICO) Case
1., 2., 8.
U A6D30 Declaratory Relief Only
1., 2., 8.
Other Complaints
0 A6040 injunctive ReiielOniy (not domeaiicTharassment) 2., 8.
(Not Specified Above) (42)
0 ASOl 1 Other Commerciai Complaint Case fnon-torVnon.compiex) 1.. 2., 8.
U A5000 Oiher Civil Complaint (non-torUnon.complexl
1., 2., 8,
Partnership Corporation
U A6113 Partnership and Corporate Governance Case
2., 8. Governance (21)
U A6121 Civil Harassment
2., 3., 9.
C A6’i23 Workplace Harassment
2., 3., 9.
0 A6124 Eider/Dependent Aduit Abuse Case
2., 3.. g.
Other Petitions
(Not Specified Above) C A6190 Election Contest
, 2.
(43)
C ASilO Petition for Change of Name
2.. 7.
U A6170 Petition tot Relief from Late Claim Law
2., 3., 4., a.
U A6100 Other Clvii Petition
2., 9.
38
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 40 of 60 Page ID #:44
SHORT TIThE:
CASE NUMBER
William G. Bussen V. WestPark Financial Services, LLC, et al.
Item HI. Statement of Location Enter the address Of the accident, partys residence or place of business, performance, or other
circumstance indicated in Item II., Step 3 on Page 1, as the proper reason for filing in the court location you selected,
ADdRESS:
REASON: Chack the appropriate boxes far the numbers shown
ieoo Avenue of the Stars, Suite 310
under Column C for the type of action that you have selected for
this ease.
l1, [2)2. [2)3. []4. [115. [16. [17. [18. [19. [110.
CITY: STATE: ZIP CODE:
Los Mgeies CA 90067
item IV. Declaration otAssignment: I declare under penalty of penury under the laws of the State of California that the foregoIng is true
and correct and that the above-entitled matter is properly flied for assignment to the
‘Stanley Mosk
oüiou in the
Central
District of the Superior Court of California, County of Los Angeles [Code Civ. Proc.,
§
392 et seq., and Local
Rule 2.0, subds. (b) (C) and tU)).
Dated:
July.i8, 2014
_______________________________________
(SI NATURE OFATTORNEYIPILINQ PARTY)
PLEASE HAVE THE FOLLOWING ITEMS COMPLETED AND READY TO BE FILED IN ORDER TO PROPERLY
COMMENCE YOUR NEW COURT CASE:
1. Original Complaint or Petition.
2. If filing a Complaint, a completed Summons form for Issuance by the Clerk.
3. Civil Case Cover Sheet, Judidal Council form CM-O1O.
4 Civil Case Cover Sheet Addendum and Statement of Location form, LACIV 109, LASC Approved 03-04 (Rev.
03/11).
5. Payment in full of the filing fee, unless fees have been waived.
6. A signed orderappointing the Guardian ad Litem, Judicial Council form CIV-010, If the plaintiff orpelitioneris a
minor under 18 years of age will be required by Court in order to issue a summons.
7. AdditIonal copies of documents to be conformed by the Clerk. Copies of the cover sheet and this addendum
must be served along with the summons and complaint, or other Iniliating pleading In the case.
LACiV 109 (Rev, 03/11) CIVIL CASE COVER SHEET ADDENDUM Local Rule 2.0
L.ASC Appved 03-04 AND STATEMENT OF LOCATION
Page 4 of 4
EXHIBIT 1 39
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 41 of 60 Page ID #:45
StTEERIOR COURT OF CALIFORNIA, COUNTY OF LOS ANGELES
NOTICE OF CASE ASSIGNMENT - UNLIMITED CIVIL CASE (NON-CLASS ACTION)
Case Number
__________________________________________
THIS FORM IS TO BE SERVED WITH THE SUMMONS AND COMPlAiNT
9
0
0
Your case Is assigned for all purposes to the judicial officer Indicated betow . There is additinnl information on thc e Ydef s1km.
AR’I(Th1Ffl fl IflflI
DEPT
Mon. Danici Buckley 1 534
Hon. Barbara A. Meiers 12 636
Hon. TenyA. Green 14 300
Hon. Richard Fniin 15 307
Hon. Rita Miller 16 306
Hon.RjehardE.Rico 17 309
Hon. Kevin C. Brazile 20 310
frlon.RobertL.Hess 24 314
./ Hon. Yvette M. Palazuelos
()
318
Hon. Barbara Scheper 30 400
Hon. Mary H. Strobet 32 406
Hon. Michael P. C infield 34 408
Hon. Gregory Marcon 36 410
Hon. Maureen DulTy-Lewis 38 412
Hon. Michelle R. Rosenblatt 40 414
Hon. Holly E. Kcndig 42 416
Hon. Mel Red Recana 45 529
Hon. Frederick C. Sheller 46 500
Hon. Debre Katz Welntraub 47 507
Hon. Elizabeth Allen White 48 506
Hon. Deirdre Hill 49 509
Hon. John L, Segal 50 508
Hon. Mitchell L. Beckloff 51 511
Hon. Susan Btyant-Deason 52 5 10
Hon. Steven J. KIcifleld 53 513
Hon Ernest M. Hiroshlge 54
ASSIGNED JUDGE DEPT ROOM
Hon Malcolm H. Mackey 55 515
Hon. Michael Johnson 56 514
Hon RolfM. Trcu 58 516
Hon. Michael L. Stern 62 600
Hon. Mark Mooney 68 617
Hon. William F. fahey 69 621
Hon. Soussan 0. Bruguera 71 729
Hon. Ruth Ann Kwan 72 731
Hon. Rafael Ongkeka 73 733
Hon. Teresa Sanchez-Gordon 74 735
Hon. Emi lie H. Elms 324 CCW
*provisionally
Complex
Non-Class Action Cases —
Assignment is Pending
324 CCW
Complex Determination —
Cemntcx
All non.class action cases designated as provIsIonally complex are forwarded to the SupervIsIng Judge or the Complex Litigation Program located In the Central Civil
West Courthouse (800 S. Commonwesllh Ave., Los Angelea 90005), For complexlnon.complex determination pursuantto Local Rule 3.3(k), ThIs procedure Is for the
purpose of assessing wfiether or not the case Is complex wIthIn the meanIng of CalIfornIa Rules of Court, rule 3.400. DependIng on the outcome of that assessment, the
case may be reassigned to one of the judges oithe Complex Cltigatlon Program
oi easslned,a,dojn1y to a court In the Central DIstrIct.
Given to the Plaintiff)Cross-ComplainantlAttomey of Record cojUIL8 LU 14 S RTER, Executive Officer/Clerk
By • Deputy Clerk
NOTICE OF CASE ASSIGNMENTy’ — Page Oaf 2
UNLIMITED CIVIL CASE
LACIV CCH 190 fRevO5/14)
LASC Approved 05-06
For Optional Use
ROOM
512
EXHIBIT 1 40
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 42 of 60 Page ID #:46
• INSTRUCTIONS FOR HANDLING UNLIMITED CIVIL CASES
• The following critical provisions of the Chapter Three Rules, as applicable in the Central District, are summarized for your assistance.
APPLICATION
The Chapter Three Rules were effective January 1, 1994, They apply to all general civil cases,
PRIORTTY OVER OTHER RULES
The Chapter Three Rules shall have priority over all other Local Rules to the extent the others are inconsistent.
CHALLENGE TO ASSIGNED JUDGE
A challenge under Code of Civil Procedure section 170.6 must be made within 15 days after notice of assignment for all purposes to
ajudge, or ita party has not yet appeared1 within 15 days of the first appearance.
TIME STANDARDS
Cases assigned to the Individual Calendaring Court wilt be subject to processing under the following time standards:
COMPLAINTS: A]t complaints shall be served within 60 days of filing and proof of service shall be filed within 90 days of filing.
CROSS-COMPlAINTS: Without leave of court first being obtained, no cross.complaint may be filed by any party after their
answer is filed. Cross-complaints shall be served within 30 days of the filing date and a proof of service filed within 60 days of the
filing date.
A Status Conference will be scheduled by the assigned Independent Calendar Judge no later than 270 days after the filing of the
complaint. Counsel must be fully prepared to discuss the following issues: alternative dispute resolution, bifurcation, settlement,
trial date, and expert witnesses,
FINAL STATUS CONFERENCE
The Court will require the parties at a status conference not more than 10 days before the trial to have timely filed and served all
motions in limine, bifurcation motions, statements of major ovidentiary issues, dispositive motions, requested jury instructions, and
special jury instructions and special jury verdicts. These matters may be heard and resolved at this conference. At least 5 days
before this conference, counsel must also have exchanged lists of exhibits and witnesses and have submitted to the court a brief
statement of the case to be read to the juiy panel as required by Chapter Eight of the Los Angeles Superior Court Rules.
SANCTIONS
The court will impose appropriate sanctions for the failure or refusal to comply with Chapter Three Rules, orders made by the Court,
and time standards or deadlines established by the Court or by the Chapter Three Rules. Such sanctions may be on a party or if
appropriate on counsel for the party.
This is not a complete delineation of the Chapter Three Rules, and adherence only to the above provisions is therefore
not a guarantee against the imposition of sanctions under Trial Court Delay ReductIon. Careful reading and
compliance with the actual Chapter Rules is absolutely imperative.
LACIV CCH 190 (Rev05114) NOTICE OF CASE ASSIGNMENT — Page 2 of 2
LASC Approved 05.06
For Optional Use UNLIMITED CIVIL CASE
EXHIBIT 1 41
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 43 of 60 Page ID #:47
VOLUNTARY EFFICIENT LITIGATION STIPULATIONS
Los Angeles County
Bat Association
Litigation Section
Loa Angeles County
Bar Association Labor and
Employment Law Section
Consumer Aftotneya
Association of Los Angeles
Association of
BUsifleS5 Trial Lawyors
The Early Organizational Meeting Stipulation, Discovery
Resolution Stipulation, and Motions in Limine Stipulation are
voluntary stipulations entered into by the parties. The parties
may enter into one, two, or all three of the stipulations;
however, they may not alter the stipulations as written,
because the Court wants to ensure uniformity of application.
These stipulations are meant to encourage cooperation
between the parties and to assist in resolving issues in a
manner that promotes economic case resolution and judicial
efficiency.
The following organizations endorse the goal of
prornotThg efficiency in litigation and ask that counsel
consider using these stipulations as a voluntary way to
promote communications and procedures among counsel
and with the court to fairly resolve issues in their cases.
•Los Angeles County Bar Association Litigation Section
• Los Angeles County Bar Association
Labor and Employment Law Section
•Consumer Attorneys Association of Los Angeles+
•Southern California Defense Counsel•
•Association of Business Trial Lawyers+
•Catifornia Employment Lawyers Associatlon+
LACIV 230 (NEW)
LASC Approved 4-11
Far Qplionai Use
Superior Court o California
County of Lo Angeles
Southern California
Defense Counsel
California Employment
Lawyers AssociatIon
EXHIBIT 1 42
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 44 of 60 Page ID #:48
PME ISNO AO0RE9 OF AlIORNEYCA Pfl1Y W?ThOUY AnoENEY ntAYEBEJ NUMBB t, Ck,W, H. Sbonp
TELEPHONE NO.: FAX NO. (Optional):
E-MAIL ADDRESS (Opilanal):
- ATTORNEY FOR (Nama):
SUPERIOR COURT OF CALIFORNIA, COUNTY OF LOS ANGELES
COURTHCUS E ADD RES 6:
PLAINTIFF:
DEFENDANT:
CASE MJUBER
STIPULATION — DISCOVERY RESOLUTION
This stipulation is intended to provide a fast and informal resolution of discovery issues
through limited paperwork and an Informal conference with the Court to aid in the
resolution of the issues.
The parties agree that:
1, Prior to the discovery cut-off in this action, no discovery motion shall be filed or heard unless
the moving party first makes a written request for an Informal Discovery Conference pursuant
to the terms of this stipulation.
2. At the Informal Discovery Conference the Court will consider the dispute presented by parties
and determine whether it can be resolved Informally. Nothing set forth herein will preclude a
party from making a record at the conclusion of an Informal Discovery Conference, either
orally or in writing.
3. Following a reasonable and good taith attempt at an informal resolution of each issue to be
presented, a party may request an Informal Discovery Conference pursuant to the following
procedures:
a. The party requesting the Informal Discovery Conference will:
i. File a Request for Informal Discovery Conference with the clerk’s office on the
approved form (copy attached) and deliver a courtesy, conformed copy to the
assigned department;
ii, Include a brief summary of the dispute and specify the relief requested; and
iii. Serve the opposing party pursuant to any authorized or agreed method of service
that ensures that the opposing party receives the Request for Informal Discovery
Conference no later than the next court day following the filing.
b. Any Answer to a Request for Informal Discovery Conference must:
i. Also be filed on the approved form (copy attached);
ii. Include a brief summary of why the requested relief should be denied;
LACIV 036 (neW)
cAscApprovodo4lll STIPULATION — DISCOVERY RESOLUTION
Far Optional Use
Pa9a ol 3
EXHIBIT 1 43
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 45 of 60 Page ID #:49
51405r TItLE.
CASE NUiAIIEM:
iii. Be filed within two (2) court days of receipt of the Request; and
iv. Be served on the opposing party pursuant to any authorized or agreed upon
method of service that ensures that the opposing party receives the Answer no
later than the next court day following the filing.
c. No other pleadings, including but not limited to exhibits, declarations, or attachments will
be accepted.
d. If the Court has not granted or denied the Request for informal Discovery Conference
within ten (10) days following the filing of the Request, then It shall be deemed to have
been denied. If the Court acts on the Request, the parties will be notified whether the
Request for Informal Discovery Conference has been granted or denied and, if granted.
the date and time of, the Informal Discovery Conference, which must be within twenty (20)
days of the filing of the Request for Informal Discovery Conference.
e. If the conference Is not held within twenty (20) days of the filing of the Request for
Informal Discovery Conference, unless extended by agreement of the parties and the
Court, then the Request for the Informal Discovery Conference shall be.deemed to have
been denied at that time.
4. If (a) the Court has denied a conference or (b) one of the time deadlines above has expired
without the Court having acted or (c) the Informal Discovery Conference is concluded without
resolving the dispute, then a party may file a discovery motion to address unresolved Issues.
5. The parties hereby further agree that the time for making a motion to compel or other
discovery hiotion is tolled from the date of filing of the Request for Informal Discovery
Conference until (a) the request is denied or deemed denied or (b) twenty (20) days after the
filing of the Request for Informal Discovery Conference, whichever is earlier, unless extended
by Order of the’ Court.
It is the understanding and intent of the parties that this stipulation shall, for each discovery
dispute to which it applies, constitute a writing memorializing a “specific later date to which
the propounding [or demanding or requesting] party and the responding party have agreed in
writing,” within the meaning of Code Civil Procedure sections 2030.300(c), 2031.320(c), and
2033.290(c).
6. Nothing herein will preclude any party from applying ex parte for appropriate relief, inctuding
an order shortening time for a motion to be heard concerning discovery.
7. Any party may terminate this stipulation by giving twenty-one (21) days notice of intent to
terminate the stipulation.
8. References to “days” mean calendar days, unless otherwise noted, If the date for performing
any act pursuant to this stipulation falls on a Saturday, Sunday or Court holiday, then the time
for performing that act shall be extended to the next Court day.
LACV 036 (new)
LASC Approved 04111
STIPULATION — DISCOVERY RESOLUTION
Far OpLonal Use.
. Page 2013
EXHIBIT 1 44
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 46 of 60 Page ID #:50
5N0R11FTLE
CME NUUDe
The following parties stipulate:
Date:
<TYPE OR PRINT NAME)
Date:
(TYPE OR PRINT NAME)
Date:
<TYPE OR PRINT NAME)
Date:
(TYPE OR PRINT NAME)
Date:
<TYPE OR PRINT NAME)
Date:
Date:
(IYI OH I-KINI NPMIz)
(TYPE OR PRINT NAME)
IACIV 036 (new)
LASC Approved 04111
For Op)iona( Use
EXHIBIT 1
STIPULATION — DISCOVERY RESOLUTION
Page 3 of 3
(Pd IUHNbY 10H LAINIIlt(
(ATTORNEY FOR DEFENDANT)
(ATTORNEY FOR DEFENDANT)
(ATTORNEY FOR DEFENDANT)
>
(ATTORNEY FOR
(ATTORNEY FOR
(ATTORNEY FOR
45
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 47 of 60 Page ID #:51

FMNO.
Fit tWt r.’ U
SUPERIOR COURT OF CAliFORNIA1 COUNTY OF LOS ANGELES
I
L
- EARLY ORG NIZAflONAL flNG
This stipulation Is Intended La encourage coaperaon
anana the parties it an eedy stag. In
the ligation and to assIst th. patties in .mcknt cii. maakidon.
11w patties agree that
7. The Uee c_iml to amsct an biUid cciutumnce (to-petsan or via blecoiIerete or da
i.xo(d.i.rlle) wIito 15 days tmm the d this si is signed, to Icuu end ieWer
nliether theta cmbe i.mai1 on the kNait*ig:
L Am madane to dideage the wPii iac..sty? U Sw lean. can be maibed by
ememknant ii at dsiut, or K the Ccaat woLdd dow leeve in aneiid aiuid an amended
canipl medve mast or it aim. Issues a demirmr mI* dieriebe rake? Uso, 1w perle.
eein wcik dwot4i b.ig ismie. so thita diwrrsr need ciy rake ismJeI they uM
midve. to the issue th Ste datsElant sub in rakeam.iili. to resoêitinn on d.rn.mr1 or
idsame aSter type & mdon be piaUa? Catdd a vaSay taqj.iid .xdi.ige at
daaimaor h*u by soy petty aimeti uC.kdy hi Swpbedkigi?
b. kSidmt*adIedie ee&docmsntadte’aim’&theIIgdolL (ForrtamØ.,han
imçinynwnt case1 the employment mcor* p.iecimd II. and doanfletde ml to the
carato to qlan a be xrdd.md cam.” ina perionsi ky case. so hiddent or
—r.p*
metid ds, and mp or mahanc macide coiAt be a&h.d
‘coral:
C. Eidiaige airletnes and canted Ii*liJlOn ctwmwuc;
d. kasoc.agm.mentliatmayb.atiepatord&aJndg,nadorto
hidetnt or r_Itna tar peymsib made to eddy a idnetil
•. Eichaige o(y oSwr ii.5on thit ni be hed to firillak rmd.st.ndkig, hankig.
or me”i atm. cm. to a manner Sit pmurvei
*cGcius or p.Meu by
I. Cai*olng beties at that, V gasabed eady, wi picinab ilkIj aid economy hi alter
at the case. Aieo, itien aid how sidi Issue. c_be pimantod to me Cairt
g. Whether or itien Sw cii. iiotad be sdietUed wC a ustement aar, atit *carery or
mt nigon isgid issue. is muanably m*ed to mike Isownt dlei,iiadani meet*4
aid wtidher th.p.ei akh to use a sig page ore pdvue meidar or amer aptiora ii
j4i1
SWUIATION- EARLY OR ANAT1ONAL TING
.—
EXHIBIT 1 46
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 48 of 60 Page ID #:52
ra
dacuteed UI the tmMemaflvo Olaputa Reichitkn (ADI1) (nlonnaUon PaUraW taped with the
Ii. Computson ci’ danage., hioiudbig doane*i nut pd4eQed cc protecd barn dadoan, on
ichaixti computeion Is based;
I. Vfliediir the Ce.. Is siiteiIe hr Expelled huy TUei
racedures
eu h*nna&ii L
Je.1aa1OccQfforuunder “Cibr mid then under ‘G.nwdkimaf).
2. The ne hr a ddin pony in respond in. cuui,lád cc cou-n wi be mided
hi hrmea*nçIá,end bth.uau
ccmplá*. wNdi Ii coriipieed ci lie 30 days hi respond under Gaimit Cod. j Ge6f 8(b),
mid the 3a days paiiiikl.d by Cad. ci CM Procahr an 1064(a), good c.ia babig
been fared by the CMSr4mrv*g indge du. in the ceu n regemo* beneithi pnMded by
3. The poles WI PiiO. ajok mpoit Ufl.d “Joint Stains Repst Pnuud in kei Conloase
aid Eedy 0ionei Ueeib St%sor, mid W deahad, • piuposed ucd mimn*izkig
____
ci their med mid cunbr end adyiekig the Cast ci eny vay 1 may =.l lie perueW
.d,*coelict or rqqci Ii. mae. The polLee eiid dtadI the J8ii Report hi
the eManeiminI Ca*r.n ddaned, and I. the daamianb when the CUC
stahim*h due.
4. in “day.” meen reoder days, uois athaiwbe noted. It lie date hr pefoimbig
eny act puau*hi 8di sutdonIda no a Sahaday. Sunday cc Court bJd.y. then lie *ns
inc perinin*ç th act eii be aladin te ned Cawt day
The hilnolag pole. r
(flPOR pmtcr NMi) CEYFc*(-ftmflw)
(tYPE OR PtINT NAã)
— (ATTCR?EYFOR OEMW)
(IYPECRF4TNA1
TtORO4DNT)
Eb
aEoRp4rNA,&L (AflOYFOEFENDMI
--
(AflO1EV FOR__________
TIRITMI1 IJ
_____________________
_WPECRP
____
(TYPEORPNtNA1)
________________
____
IIWULMN- EARLY ORGANIZATIONAL MEETING
EXHIBIT 1 47
(ATTCIYFCR_ I
]
._ 2d2
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 49 of 60 Page ID #:53
A
NAME AND ADDRESS OF ATTORNEY OR ‘ARTY V1ThOUTAflOAIlEY ETATEDAR NUMNErI RdIr CIrIkN FR Sl,nrp
TELEPHONE No.: FAX NO. (Opllorrafl:
E-MAC ADDRESS (OplIonsi);
ATTORNEY FOR (Namo):
SUPERIOR COURT OF CALIFORNIA, COUNTY OF LOS ANGELES
COURTHOUSE ADDRESS:
PLAINTIFF:
DEFENDANT:
INFORMAL DISCOVERY CONFERENCE
CASE NUMSER:
(pursuant to the Discovery Resolution Stipulation of the parties)
1. This document relates to:
Request for Informal Discovery Conference
Answer to Request for Informal Discovery Conference
2. Deadline for Court to decide on Request:
______________________
(Insert date 10 calendar days following riling at
(he Request).
3. Deadline for Court to hold informal Discovery Conference:
__________________
(Insert dale 20 calendar
days following filIng of the Request).
4. For a Request for Informal Discovery Conference, briefly describe the nature of the
discovery dIspute, including the facts and legal arguments at issue. For an Answer to
Request for Informal Discovery Conference1 briefly describe why the Court should deny
the requested discovery, Including the facts and legal arguments at issue.
LAC)V 094 (new)
INFORMAL DISCOVERY CONFERENCE
ForOption Use
(pursuant to the Discovery Resolution Stipulation of the parties)
EXHIBIT 1 48
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 50 of 60 Page ID #:54
NAME AND AODANS5 OF AflDNNEYOR PM1V F.1ThOUT FtraRaEw EAtE EM NUMOER
CI.kFk EInp
TELEPHONE NO.: FAX NO, (Optional):
EMA!C ADDRESS (OpIioal):
ATTORNEY FOR (Nania):
SUPERIOR COURT OF CALIFORNiA, COUNTY OF LOS ANGELES
COURTHOUSE ADDRESS:
PLAIN fl F F:
DEFENDANT:
CASE NUMEER.
STIPULATION AND ORDER — MOTIONS IN LIMINE
This stipulation Is intended to provide fast and informal resolution of evidentiary
issues through diligent efforts to define and discuss such issues and limit paperwork.
The parties agree that:
1. At least —days before the final status conference, each party will provide all othdr
parties with a list containIng a one paragraph explanation of each proposed motion in
limine. Each one paragraph explanation must identify the substance of a single proposed
motion in limine and the grounds for t,he proposed motion.
2. The parties thereafter will meet and confer, either in person or via teleconference or
videoconference, concerning all proposed motions in limine. In that meet and confer, the
parties will determine:
a. Whether the parties can stipulate to any of the proposed motions. if the parties so
stipulate, they may file a stipulation and proposed order with the Court.
b. Whether any of the proposed motions can be briefed and submitted by means of a
short joint statement of issues. For each motion which can be addressed by a short
joint statement of issues, a short joint statement of issues must be filed with the Court
10 days prior to the final status conference. Each side’s portion of the short joint
statement of issues may not exceed three pages. The parties will meet and confer to
agree on a date and manner for exchanging the parties’ respective portions of the
short joint statement of issues and the process for filing the short joint statement of
issues.
3. All proposed motions in limine that are not either the subject of a stipulation or briefed via
a short joint statement of issues will be briefed and filed in accordance with the California
Rules of Court and the Los Angeles Superior Court Rules.
LACIV 075 (new)
LASC Approved 04f11
STIPULATION AND ORDER—MOTIONS IN LIMINE
For Oplional Use
PBE I øf 2
EXBIBIT 1 49
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 51 of 60 Page ID #:55
kOMTTI1LE
CA3E NUMaER
The following parties stipulate:
Date:
(TYPE OR PRINT NAME)
(ATTORNEY FOR PLAIN11FF)
Date:
(TYPE OR PRINT NAME) (ATTORNEY FOR DEFENDANT)
Date:
CTYPE OR PRINT NAME) (ATTORNEY FOR DEFENDANT)
Date:
(TYPE OR PRINT NAME) (ATTORNEY FOR DEFENDANT)
Date:
CTYPE OR PRINT NAME) (ATTORNEY FOR
__________________
Date:
(TYPE OR PRINT NAME)
(ATTORNEY FOR
_________________
Date:
>
(TYPE OR PRINT NAME)
(ATTORNEY FOR
_________________
THE COURT SO ORDERS.
Date:
_________________________ _________________________________
JUDICIAL OFFICER
rO4111
STIPULATION AND ORDERMOTIONS tN LIMINE
Page2ot2
EXFIIBIT1 50
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 52 of 60 Page ID #:56
EXHIBIT 2
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 53 of 60 Page ID #:57
r
.
ORIGINAL
.
P05-010
ATTORNEY OR PARTY ‘MTHOUT ATTORNEY (Name, Slate Ear number, and address): FOR COURT USE ONLY
Andrew B. Holmes Cal. SBN 185401
- HOLMES, TAYLOR & JONES LLP
801 South Figueroa Street, Suite 2170
Los Angeles, CA 90017
TECEPHONENO: (213) 985-2200
FAX NO, (Optional): (213) 973-6282
SUP
OVW1OFCAL1 P.NIA
E-MAICADDRESS (OptIonal): abholmes@htjlaw.com
COUNTY OF
T.QSANGELES
ATTORNEY FOR (Name): Plaintiff William G. Bussen
SUPERIOR COURT OF CALIFORNIA CPUNTY OF Los Angeles
STREET ADORESS: 1 11 North -It1l Street
MAIlING ADDRESS:
A1
CJdcutive
Officer/Clerk
cmYANO2JPCOOE: Los Angeles, CA 90012
BY.______________
Deputy
U 0 100011
BRANCH NAME: Stanley Mosk Courthouse
PLAINTIFFIPETITIONER: William G. Bussen
CASE NUMBER:
. . . . 3C552000
DEFENDANT/RESPONDENT: Westpark Capital Financial Services, LLC, et al.
Ret. No. at FIle No,:
PROOF OF SERVICE OF SUMMONS
(Separate proof of service is required for each party served.)
1. At the time of service I was at least 18 years of age and not a party to this action.
2. I served copies of:
a.
rn summons
b. complaint
c. Alternative Dispute Resolution fADR) package
U. Clvii Case Cover Sheet (served in complex cases only)
e. cross-complaint
f. other (specify documents):
3. a Party served (specify name ofparty as shown on documents served):
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA, a Minnesota Corporation
b. EZI
Person fother than the party In item 3a) served on behalf of an entity or as an authorized agent (and not a person
under item 5b on whom substituted service was made) (specify name and relationship to the party named in item 3a):
Jan Lapinid, C T Corporation System, agent for service of process
4. Address where the party was served:
818 W. Seventh Street, Los Angeles, CA 90017
5. I served the party (check proper box)
a.
by personal service. I personally delivered the documents listed In item 2 to the party or person authorized to
receive service of process for the party (1) on (date): 7/24/2014 (2) at (time): 10:00 am
b. by substituted set-vice,’ On (date): at (lime): I left the documents listed in item 2 with or
in the presence of (name and title or relationship to person indicated in item 3):
(1)
LE
(business) a person at least 18 years of age apparently in charge at the office or usual place of business
of the person to be served. Informed him or her of the general nature of the papers.
(2)
(home) a competent member of the household fat least 18 years of age) at the dwelling house or usual
• place of abode of the party. I informed him or her of the general nature of the papers.
(3)
(physical address unknown) a person at least 18 years of age apparently in charge at the usual mailing
address of the person to be served, other than a United States Postal Service post office box. I informed
him or her of the general nature of the papers.
(4)
I thereafter mailed (by first-class, postage prepaid) copies of the documents to the person to be served
at the place where the copies were left (Code Civ. Proc.,
§
415.20 . I mailed the documents on
(date): from (city): or a declaration of mailing is attached.
(5)
1 I attach a declaration of diligence stating actions taken first to attempt personal service.
Page 1 e12
FonnAcedtorMUe
PROOF OF SERVICE OF SUMMONS
code ot Civil Piocadute, 417.10
P05-010 Rev. Januay 1.20071
EXHIBIT 2 51
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 54 of 60 Page ID #:58
.
.
PLA1NTIFFIPEflTIONER: William G. Bussen
ENUMBER
LDEFENDANTIRESPONDENT:
Westpark Capital Financial Services, LLC, et al.
C552b00
. c.
by mall and acknowledgment of receipt of service. I mailed the documents listed in item 2 to the party, to the
address shown in item 4, by first-class mail, postage prepaid,
(1) on (date): (2) from (city):
(3)
with two copies of the Notice and Acknowledgment of Receipt and a postage-paid return envelope addressed
to me. (Attach completed Notice and Acknowledgement of Receipt.) (Code Civ. Proc.,
§
415.30.)
(4) to an address outside California with return receipt requested. (Code Civ. Proc.
§
415.40.)
u. by other means (speciy means of service and authorizing code section):
Additional page describing service is attached.
6. The ‘Notice to the Person Served’ (on the summons) was completed as follows:
a. as an individual defendant
b.
I] as the person sued under the fictitious name of (spech):
C.
(] as occupant.
d.
Lfl On behalf of (specitj): ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA
under the following Code of Civil Procedure section:
416.10 (corporation)
415,95 (business organization form unkncwn)
416.20 (defunct corporation) 416.60 (minor)
416.30 olntstockcompany1assoclatlon) IEJ 416.70 (ward orconservatee)
416.40 (association or partnership) 416.90 (authorized person)
416.50 (publIc entity) 415.46 (occupant)
other
7. Person who served papers
a. Name: Andrew 3. Holmes
b. Address: 801 South Figueroa Street, Suite 2170, Los Angeles, CA 90017
c. Telephone number
(213) 985-2200
d. The fee for service was: $ n/a
e. lam:
(1) not a registered California process server.
(2) exempt from registration under Business and Professions Code section 22350(b).
(3) a registered California process server
(i) owner
[]
employee Independent contractor.
(ii) Registration No.:
(iii) County:
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
or
l’,
I am a California sheriff or marshal and I certify that the foregoing is true and correct
,pate:
July 24, 2014
‘Andrew B. Holmes
___________________
(NAME OF PERSON WHO SERVED PAPERS1SHERIFF OR MARSHAL)
(sFATuRE)
P05-DiG (Rev. Januarj I, 2007)
PROOF OF SERVICE OF SUMMONS
Page2o2
EXHIBIT 2 52
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 55 of 60 Page ID #:59
LASC - Case Summary
Page 1 of2
Please make a note of Lhe Case Number.
Click here to access document images lot this case
If this link fails, you may go to the Case Document Images site and search using the case number displayed on
this page.
Case Number: 0C552000
WILLIAM G BUSSEN VS WESTPARK CAPITAL FINANCIAL SVCS INC ETA
FIling Date: 07/1812014
Case Type: Contractual Fraud (General Jurisdiction)
Status: Pending
Future Hearings
11118/2014 at 08:45 am In department 28 at 111 North Hill Street, Los Angeles, CA 90012
Conference-Case Management
ALLIANZ LIFE INSURANCE COMPANY OF NORTH - Defendant/Respondent
BUSSEN WILLIAM G. - Plaintiff/Petitioner
DOES 1 THROUGH 100- Defendant/Respondent
HOLMES TAYLOR & JONES LLP - Attorney for Plaintiff/Petitioner
WESTPARK CAPITAL FINANCIAL SERVICES LLC - Defendant/Respondent
Case Information
I
Party Information) Proceeding Information
Please make a note of the Case Number.
Click here to access document images for this case
If this link laits, you may go to the Case Document Images site and search using the case number displayed on
this page.
Documents Flied (Filing dates listed in descending Order)
07/29/2014 Proof of Service (re summons and complaint)
Filed by Attorney for Plaintiff/Petitioner
07/2412014 No6ce-Case Management Conference
Filed by Clerk
07/1812014 Complaint
Case Information
I
Party Information
I
Documents Filed
EXHIBIT 2 53
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Proceeding Information
8/20/2014
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 56 of 60 Page ID #:60
LASC - Case Summary
Page 2 of 2
Proceedings Held (Proceeding dates listed in descending order)
None
Case Information Party Information
I
Documents Filed Proceeding Information
Community Outreach Volunteers, Interns & Extems Employment
E2009 Information Systems and Tocflnology Bureau
EXHIBIT 2 54
http://www.Iasuperiorcourt.org/civilcasesummaryneUui/casesummary.aspx?ct=CI
8/20/2014
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 57 of 60 Page ID #:61
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 58 of 60 Page ID #:62
UNITED STATES DISTRICT COURT, CENTRAL DISTRICT OF CALIFORNIA
CIVIL COVER SHEET
VIII. VENUE: Your answers to the questions below will determine the division of the Court to which this case will be initially assigned. This initial assignment is subject to
change, in accordance with the Courts General Orders, upon review by the Court of your Complaint or Notice of Removal.
Question A: Was this case removed
STATE CASE WAS PENDING IN THE COUNTY OF: INITIAL DIVISION IN CACD IS:
from state court?
Yes LI
No
Los Angeles, Ventura, Santa Barbara, or San Luis Obispo Western
ff0,” skip to Question B. If “yes,” check
LI
Orange Southern
the box to the right that applies, enter the
corresponding division in response to
Question E, below, and continue from there. LI
Riverside or San Bernardino Eastern
QUESTION B: Is the United States, or B.1. Do 50% or more of the defendants who reside in YES. Your case will initially be assigned to the Southern Division.
one of its agencies or employees, a
the district reside in Orange Co.?
LI
Enter “Southern” in response to Question E, below, and continue
PLAINTIFF in this action?
from there.
check one of/he boxes to the right
LI
NO. Continue to Question B.2.
LI
Yes No
8.2. Do 50% or more of the defendants who reside in
YES. Your case will initially be assigned to the Eastern Division.
the district reside in Riverside and/or San Bernardino
LI
Enter “Eastern” in response to Question E, below, and continue
If “no,’ skip to Question C. If “yes,” answer
Counties? (Consider the two counties together.)
from there.
Question B.1, at right.
check one of the boxes to the right
NO, Your case will initially be assigned to the Western Division.
[“
Enter “Western” in response to Question E, below, and continue
L..J
from there.
QUESTION C: Is the United Cl. Do 50% or more of the plaintiffs who reside in the YES. Your case will initially be assigned to the Southern Division.
States, or one of its agencies or
district reside in Orange Co.?
r
Enter “Southern” in response to Question E, below, and continue
Ii
from there.
employees, a DEFENDANT in this
action?
check one of the boxes to the right
LI
NO. Continue to Question C.2.
LIYes No
C.2. Do 50% or more of the plaintiffs who reside in the
YES. Your case will Initially be assigned to the Eastern Division.
district reside in Riverside and/or San Bernardino
If “no, skip to Question D. If “yes,”
Counties? (Consider the two counties together.)
LI
Enter “Eastern” in response to Question E, below, and continue
from there.
answer Question C. 1, at right.
check one of the boxes to the right
NO. Your case will initially be assigned to the Western Division,
LI
Enter “Western” in response to Question E, below, and continue
from there.
A. B. C.
Riverside or San Los Angeles, Ventura,
QUESTION D: Location of plaintiffs and defendants?
Orange County
Bernardino County Santa Barbara, or San
Luis Obispo County
Indicate the location(s) in which 50% or more of plaintiffs who reside in this district
LI LI LI
reside. (Check up to two boxes, or leave blank if none of these choices apply.)
Indicate the location(s) in which 50% or more of defendants who reside in this
district reside. (Check up to two boxes, or leave blank if none of these choices
LI LI
apply.)
D.l. Is there at least one answer in Column A? D.2. Is there at least one answer in Column B?
LI
Yes No
LI
Yes No
If “yes,” your case will initially be assigned to the
If “yes,” your case will initially be assigned to the EASTERN DIVISION.
SOUTHERN DMSION.
Enter “Eastern” in response to Question 2, below,
Enter “Southern” in response to Question E, below, and continue from there.
If “no,” your case will be assigned to the WESTERN DIVIS
If “no,” go to question D2 to the ñght.
Enter “Western” in response to Question E, below.
ION.
QUESTION E: Initial Division? INITIAL DIVISION IN CACD
Enter the initial division determined by Question A, B, C, or D above:
Western
QUESTION F: Northern Counties?
Do 50% or more of plaintiffs or defendants in this district reside in Ventura, Santa Barbara, or San Luis Obispo counties?
LI
Yes No
CV-71 (06/14) CIVIL COVER SHEET
36197248.2
f
American LegalNet, Inc.
Forms’,VorkFiov corn
Page 2 of 3
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 59 of 60 Page ID #:63
UNITED STATES DISTRICT COURT, CENTRAL DISTRICT OF CALIFORNIA
CIVIL COVER SHEET
lXfa). IDENTICAL CASES: Has this action been previously filed in this court? NO YES
If yes, list case number(s):
IX(b). RELATED CASES: Is this case related (as defined below) to any cases previously filed in this court? NO
fl YES
If yes, list case number(s):
Civil cases are related when they: (1) arise from the same or a closely related transaction, happening, or event; (2) call for determination of
the same or substantially related or similar questions of law and fact; or (3) for other reasons would entail substantial duplication of labor if
heard by different judges. That cases may involve the same patent, trademark, or copyright is not, in itself, sufficient to deem cases related.
X. SIGNATURE OF ATTORNEY
(OR SELF-REPRESENTED LITIGANT):
Mare. ubaue
DATE: August 21, 2014
Notice to CounsellParties: The submission of this Civil over Sheet is requite by Local Rule 3-1. This Form CV-71 and the information contained herein
neither replaces nor supplements the filing and service of leadings or other pa ers as required by law, except as provided by local rules of court. For
more detailed instructions, see separate instruction sheet (CV-071A).
Key to Statistical codes relating to Social Security Cases:
Nature of Suit code Abbreviation Substantive Statement of Cause of Action
All claims for health insurance benefits (Medicare) under Title 18, Part A, of the Social Security Act, as amended. Also,
861 HA
include claims by hospitals, skilled nursing facilities, etc., for certification as providers of services under the program. (42
U.S.C. 1935FF(b))
862 BL All claims for “Black Lung” benefits under Title 4, Part B, of the Federal Coal Mine Health and Safety Act of 7969. (30 U.S.C.
923)
All claims filed by insured workers for disability insurance benefits under Title 2 of the Social Security Act, as amended; plus
863 DIWC all claims filed for child’s insurance benefits based on disability, (42 U.S.C. 405 (g))
All claims filed for widows or widowers insurance benefits based on disability under Title 2 of the Social Security Act, as
863 DlWV amended. (42 U.S.C. 405 (g))
All claims for supplemental security income payments based upon disability filed under Title 16 of the Social Security Act, as
864 SSID amended.
865 RSI All claims for retirement (old age) and survivors benefits under Title 2 of the Social Security Act, as amended.
(42 U.S.C. 405
(g))
CV-71 (06114) CIVIL COVER SHEET Page 3 of 3
36197248.2
Americon LegniNet, Inc.
j,wweforrnoWorkFIow corn
Case 2:14-cv-06609-PSG-VBK Document 1 Filed 08/22/14 Page 60 of 60 Page ID #:64

Published under a Creative Commons License By attribution, non-commercial
date: 
Fri, 2014-08-22
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