Charlotte B Milliner v. Mutual Securities, Inc.

I. BACKGROUND

22 Plaintiffs Charlotte B. Milliner and Joann Brem filed this putative class action against MSI 23 in 2015 alleging claims stemming from MSI’s brokerage agreement with Plaintiffs. On June 1, 2018, following a settlement conference before the undersigned, the parties resolved Plaintiffs’ claims and executed a written settlement agreement that contained a confidentiality provision. The parties subsequently consented to have this court conduct all further proceedings pursuant to 28 U.S.C. § 636(c). The case was dismissed on September 11, 2018. protective order entered in this case, arguing that Plaintiffs and Sturgeon-Garcia breached them, including the settlement agreement’s confidentiality provision. [Docket No. 176.] Specifically, MSI presented evidence that in February 2019, Sturgeon-Garcia filed a statement of claim with the Financial Industry Regulatory Authority (“FINRA”) against MSI and five individuals on behalf of a different client, Vincent F. Gilotti (the “Gilotti claim”). [Docket No. 173-4 (Fredricks Decl. April 5, 2019) ¶ 4, Ex. 3 (Gilotti claim).] Gilotti’s FINRA claim included as attachments …