Boston Retirement System v. Uber Technologies, Inc.

I. BACKGROUND

1 This lawsuit asserts violations of Sections 11, 12(a)(2), and 15 of the Securities Act of 2 1933. Plaintiff claims that Uber’s May 2019 initial public offering (“IPO”) misled investors by 3 making materially false and misleading statements and omissions in the registration statement and 4 prospectus for the IPO.

II. LEGAL STANDARD

6 Federal privilege law applies to this federal statutory dispute. Fed. R. Evid. 501. The 7 attorney-client privilege protects from discovery “confidential communications between attorneys 8 and clients, which are made for the purpose of giving legal advice.” United States v. Richey, 632 9 F.3d 559, 566 (9th Cir. 2011) (citing Upjohn Co. v. United States, 449 U.S. 383, 389 (1981)). 10 Under Ninth Circuit law, the privilege applies to protect information from discovery as follows: 11 where “(1) [] legal advice of any kind is sought (2) from a professional legal adviser in his 12 capacity as such, (3) the communications relating to that purpose, (4) made in confidence (5) by 13 the client, (6) are at his instance permanently protected (7) from disclosure by himself or by the 14 legal adviser, (8) unless the protection be…