Hsu
Hsu v. UBS Financial Services, Inc.
Opinion
Trial Court Opinion
UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA
DARRU K. HSU, Plaintiff, No. C 11-02076 WHA
v.
UBS FINANCIAL SERVICES, INC., ORDER RE PREFILING REVIEW AS
TO PLAINTIFF DARRU K. HSU
Defendant.
INTRODUCTION This order arises from a putative class action dismissed in August 2011. For the reasons that follow, this order designates pro se plaintiff a vexatious litigant and ORDERS PRE-FILING REVIEW to the extent stated herein of future filings by plaintiff and about defendant. STATEMENT The background of this case is set forth in our prior orders (Dkt. Nos. 35, 69, 94, 110, 116). In brief, plaintiff Darru K. Hsu entered into a wrap agreement with defendant UBS Financial Services, Inc. for investment and advisory services. Hsu brought this action under the Investment Advisers Act, alleging that USB provided services “in its capacity as an investment advisor,” but that a “hedge clause” in his agreement with USB impermissibly …