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UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF INDIANA INDIANAPOLIS DIVISION
MARY E. ORMOND, et al., ) On Behalf of Themselves and ) All Others Similarly Situated, ) Plaintiffs, ) ) v. ) Case No. 1:05-cv-01908-TWP-TAB ) ANTHEM, INC., et al., ) Defendants. ) )
DECLARATION OF LYNN LINCOLN SARKO IN SUPPORT OF PLAINTIFFS’ MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION
- AND –
AWARD OF ATTORNEYS’ FEES, COSTS, AND CASE CONTRIBUTION AWARDS
Pursuant to 28 U.S.C. § 1746, I, Lynn Lincoln Sarko, declare as follows:
1. I am one of the attorneys for Plaintiffs in the above-captioned matter. I am one of
the attorneys personally involved in the litigation of this matter. I make this Declaration based
on personal knowledge and am competent to testify to the matters set out herein.
2. I am submitting this declaration in support of Plaintiffs’ application for an award
of attorneys’ fees and reimbursement of expenses in connection with the services rendered in the
course of the above-captioned litigation of Ormond, et al. v. Anthem, Inc., et al. I am over the
age of 21, have personal knowledge of the facts stated herein, and, if sworn as a witness, can
competently testify to the facts stated herein.
3. I am the Managing Partner of Keller Rohrback L.L.P., the head of the firm’s
Complex Litigation group. Keller Rohrback L.L.P. is a national leader in plaintiffs’ class action
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litigation. Attached hereto as Exhibit A is a copy of the firm’s resume describing our practice
and the attorneys in the firm, and setting forth some of our class action experience.
4. In addition to its general expertise, Keller Rohrback L.L.P. is an acknowledged
leader in the area of breach of fiduciary duty class actions. We brought the seminal IKON ERISA
case,1 which was the first “company stock” case articulating the fiduciary duties owed to
retirement plan participants. Since that time, we have served as Lead or Co-Lead Counsel in
more than 53 breach of fiduciary class actions in the country. Our experience and skill are
demonstrated by the effective prosecution of this action, including successfully surviving
summary judgment in order to advance towards trial, and by the substantial Settlement entered
into with Defendants.
5. I have been actively engaged in the prosecution of complex litigation for two
decades. I received both my M.B.A. degree in accounting and law degree from the University of
Wisconsin, where I served as Editor-in-Chief of the Wisconsin Law Review and was selected by
faculty as the outstanding graduate of my class. I served as a former Assistant United States
Attorney and Ninth Circuit judicial law clerk (Hon. Jerome Farris). I have prosecuted a variety of
class actions involving high profile matters including the Exxon Valdez Oil Spill, the Microsoft
civil antitrust case, the Vitamins price-fixing cases and the MDL Fen/Phen Diet Drug Litigation.
I am a recipient of Trial Lawyer of the Year by the Trial Lawyers for Public Justice Foundation
and for the last seven years was named a “Super Lawyer” among civil litigators by Washington
Law and Politics magazine in its annual review of the State’s legal profession.
6. In late 2010, I was approached concerning the possibility of Keller Rohrback
L.L.P. associating as co-counsel for Plaintiffs in this case. With a small group of partners and my
1 In re IKON Office Solutions, Inc., 277 F.3d 658 (3rd Cir. 2002).
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firm’s Executive Committee, I carefully evaluated the risks and potential benefits of getting
involved. The risks were substantial. One significant risk was the fact that the case was already
in progress, which in my experience usually presents unique challenges. Another significant risk
was the unknown viability of the claims asserted. At that time, most demutualization cases had
failed for one reason or another; there was no track record of success. The complaint had
survived a motion to dismiss, but the District Judge who issued that ruling was no longer
assigned to the case, so future prospects were completely unknown. A major risk was the fact
that Keller Rohrback L.L.P. was being asked to make a major commitment of time and money.
The case was in a phase of intense discovery, discovery disputes, and briefing, which would
likely require the equivalent of two full-time Keller Rohrback L.L.P. partners, plus associates,
paralegals and support staff, for a period of years. This “opportunity cost” was a significant
disincentive to taking the case. I knew the defense firms personally from my experience in other
large class-action matters, and I knew the counsel to be excellent lawyers and zealous advocates
who would challenge us every step of the way. And if my firm were to become involved, we
would be asked to help finance past and future litigation expenses, which at that time amounted
to several million dollars.
7. Because of the risk presented and the large investment of time and money that
would likely be required in this particular case, Keller Rohrback L.L.P. would not have
represented the Class or any Class member on a pure hourly-fee basis. The only circumstance
under which Keller Rohrback L.L.P. would have agreed to represent a plaintiff in this case is (1)
on a class-action basis, (2) with the expectation that, if a successful result was obtained, counsel
would petition the Court for a percentage of the “common fund” created for the benefit of the
class, (3) with the expectation that, if a successful result was obtained, counsel would petition the
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Court for reimbursement of litigation expenses advanced on behalf of the class, and (4) with the
expectation that the Court, in awarding attorneys’ fees, would fully consider the various risks
assumed by counsel.
8. Rule 23 provides that attorneys’ fees in class actions are set by the Court, not as a
matter of contract between client and attorney (as happens in a traditional contingent fee
arrangement). If Rule 23 did not control and if we had been in a position to negotiate a
contingent fee with “the Class” (assuming a legal structure for such an entity) at the outset of the
representation, Keller Rohrback L.L.P. would not have accepted this representation for a
contingent fee of less than 33.3%. to 45% (depending on the final stage of litigation) to create
positive incentives for performance and to fairly reflect the risk presented. In my judgment, this
minimum contingent fee would properly reflect the risk of litigation in this particular case, the
complexity of the legal and factual issues presented, Keller Rohrback L.L.P.’s experience and
track record in similar cases and other large class action matters, and the market for
sophisticated, specialized legal services such as those required here. Keller Rohrback L.L.P.
operates in a national legal market for legal services, and a one-third contingency fee is the
“going rate” for the legal services we customarily provide and provided in this type of case.
9. This case could not practically have been brought as anything but a class action
because of the relatively small amount of damages suffered by each class member and the
overwhelming costs of litigation such claims. In my experience, no rational class member would
have agreed to hire counsel on a fee-for-service basis in order to pursue this case.
10. In view of these and other risks, Keller Rohrback L.L.P. only agreed to become
Class Counsel in the case because we determined: (a) pre-existing counsel had written fee
agreements with the class representatives providing for a percentage-based contingent fee of at
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least 33.3% and up to 45% (depending on the stage of litigation); (b) the case was venued within
the Seventh Circuit, which provides that fee awards in common-fund cases be based on a
determination of the ex ante contingent fee percentage that would have been reasonable; and (c)
in compliance with RPC 1.5(e), it was agreed that Keller Rohrback L.L.P. would be jointly
responsible for the representation, that attorneys fees would be divided per specific written
agreement, and the clients agreed to the fee arrangement in writing.
11. Based on my experience and judgment, the proposed $90 million settlement is a
fair, reasonable and adequate result. This case presented extraordinary risks at trial as well as the
risk that any favorably jury verdict might be disturbed on appeal. I served as one of the chief
negotiators for Plaintiffs in the settlement process and attended in person the first and second
mediation sessions in San Francisco in February and May 2012 as well as participated in the
numerous telephonic discussions. I attest that the settlement negotiations were among the most
challenging I have encountered in thirty years of law practice. Fortunately, the parties selected
Hon. Edward A. Infante (Ret.) to serve as mediator. In addition to two formal mediation
sessions, Judge Infante provided extensive “shuttle diplomacy” between and after the in-person
sessions to keep the lines of communication open over a period of months, despite what appeared
to be a potential impasse. The proposed settlement is the product of much hard work, the
mediator’s considerable persuasive skills, and well-considered compromise. Most importantly,
the proposed settlement would result in a substantial recovery for the Class.
12. Keller Rohrback L.L.P. has devoted enormous time and expenses to this case, all
of which were reasonably and necessarily expended in connection with the prosecution of this
lawsuit. At all times we endeavored to work efficiently. Every effort was made to assure that
tasks were handled by the attorney most qualified for the job. In addition, we also sought to
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minimize expenses whenever possible. As a consequence of devoting so many resources to this
matter, Keller Rohrback L.L.P. declined to accept other revenue-generating cases.
13. The time expended in this matter by Keller Rohrback L.L.P. attorneys and
professional staff is reflected on their contemporaneous daily time sheets, which are kept and
maintained in the ordinary course of our business. A true and complete summary of those time
records is attached hereto as Exhibit B (summarizing time by professional timekeeper, number of
hours, and normal hourly rate). This summary excludes all time expended on matters other than
Ormond v. Anthem, and it excludes all time expended on the preparation of the fee petition.
14. The principal attorney timekeepers Keller Rorhback L.L.P. devoted to this case
were myself, and two of my law partners: T. David Copley and Cari Campen Laufenberg. Mr.
Copley, a senior partner, and Ms. Laufenberg, a junior partner, were dedicated to the case on a
full time basis. Ms. Laufenberg, with Berger & Montague P.C. partner, Peter Kahana, assumed
day-to-day responsibility for managing the combined efforts of Class Counsel, overseeing all
decision-making, case organization, preparation, strategy, motions, briefing, discovery and trial
preparation. I also dedicated significant hours to the case as did other associates in my firm. The
attorneys were supported by the invaluable assistance of several experienced paralegals. As
reflected in Exhibit B, Keller Rohrback L.L.P. has expended 9,356.81 professional hours
representing the Class in this case. If these hours had been billed on a “straight” hourly basis
(i.e., no contingency and no risk of non-payment), the lodestar (hours times current billing rates)
for this professional time would be $4,580,697.27. The hourly rates used in this calculation are
the same as the regular current rates charged for these professional services in non-contingent
matters and/or which have been accepted and approved in other litigation.
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15. The firm pursues class action litigation, usually in conjunction with local counsel,
in venues throughout the U.S. including locales both more and less metropolitan than
Indianapolis. We charge the same rates in all class action cases, regardless of the jurisdiction.
This is consistent with the practice of other major plaintiffs’ class action firms throughout the
U.S. We operate in a national market for the specialized services of firms willing and able to
pursue large-scale class action cases. In this particular case, Keller Rohrback L.L.P. brought
specialized legal experience to the table: our unique leadership litigating national breach of
fiduciary duty cases. This specialized experience further supports the fact that our standard
hourly rates are fair and reasonable.
16. Keller Rohrback L.L.P. incurred significant expenses in this matter. All expenses
are tracked by our accounting department on a real-time basis and all are supported by invoices
or other appropriate documentation, which are kept and maintained in the ordinary course of our
business. The expenses presented in this Declaration exclude all expenses for matters other than
Ormond v. Anthem, and excludes all expenses for the preparation of the fee petition.
17. In this case there are two major categories of expenses: assessments and costs.
“Assessments” are cash payments from Keller Rohrback L.L.P. to an escrow account managed
by The Becker Law Firm Co., L.P.A., which was used to pay costs that were jointly financed by
three of the firms representing the Class. Keller Rohrback L.L.P. paid assessments to the escrow
account upon request. Mr. Becker was responsible for paying joint costs from the escrow
account; his accompanying declaration contains a complete accounting of those expenditures.
My firm also incurred significant “costs” that were not covered by the “common costs” escrow
account. These separate costs comprise other ordinary expenses of litigation. A true and
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EXHIBIT A Case 1:05-cv-01908-TWP-TAB Document 734 Filed 08/31/12 Page 10 of 74 PageID #: 20758
COMPLEX LITIGATION GROUP
Keller Rohrback L.L.P.—Seattle Keller Rohrback L.L.P.—New York 1201 Third Avenue, Suite 3200 770 Broadway, 2nd Floor Seattle, Washington 98101-3052 New York, New York 10003 Telephone: (206) 623-1900 Telephone: (646) 495-6198
Keller Rohrback P.L.C.—Phoenix Keller Rohrback L.L.P.—Santa Barbara 3101 North Central Avenue, Suite 1400 1129 State Street, Suite 8 Phoenix, Arizona 85012 Santa Barbara, CA 93101 Telephone: (602) 248-0088 Telephone: (805) 456-1496
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COMPLEX LITIGATION GROUP
LEADERS IN CLASS ACTION LITIGATION
The firm’s complex litigation practice began in 1988 with the Specialty Steel Pipe case. Keller Rohrback represented four large Wisconsin electric utility companies suing on behalf of other owners of industrial plants containing stainless Founded in 1919, today Keller steel and special alloy pipe and fittings. Rohrback has 60 attorneys and 84 Fabricators and suppliers, including Allied Signal staff members who provide expert and Johnson Controls, who sold such Specialty legal services to clients nationwide. Steel Pipe on a cost-plus basis allegedly We use cutting-edge technology and engaged in a price-fixing conspiracy. This case management techniques in the antitrust case was certified as a class action in preparation and trial of complex Transamerica Refining Corp. v. Dravo Corp., 130 cases. Our excellent support staff F.R.D. 70 (S.D. Tex. 1990). The Class achieved includes in-house programming settlements of $49.5 million. personnel and experienced paralegals who contribute The ability of the firm has received judicial significantly to our ability to recognition both locally and nationally. effectively and efficiently litigate complex class action cases For example, Chief Judge Coughenour of the nationwide. The firm’s Complex Western District of Washington found that the Litigation Group regularly calls on adequate representation requirement of Rule 23 firm attorneys in other practice areas had been satisfied appointing Keller Rohrback as for expertise in bankruptcy, class counsel, Mortimore v. F.D.I.C., 197 F.R.D. contracts, employment law, 432, 438 (W.D. Wash. 2000). Federal courts executive compensation, corporate throughout the country have similarly found Keller transactions, financial institutions, Rohrback qualified to serve as class counsel. In insurance coverage, mergers and re Potash Antitrust Litigation , 159 F.R.D. 682, acquisitions, professional 692 (D. Minn. 1995); In re Carbon Dioxide malpractice, and securities Antitrust Litigation , 149 F.R.D. 229, 223 (M.D. transactions. The firm’s in-house Fla. 1993). access to these resources distinguishes Keller Rohrback from “The Court finds that [Keller Rohrback] is other plaintiffs’ class action firms experienced and qualified counsel who is and also contributes to the firm’s generally able to conduct the litigation as lead success. counsel on behalf of the putative class. Keller Rohrback has significant experience in ERISA litigation, serving as co-lead counsel in the Enron ERISA litigation, the Lucent ERISA litigation, and the Providian ERISA litigation, and experience in complex class action litigation in other areas of
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COMPLEX LITIGATION GROUP
law” In re Williams Cos. ERISA Litigation , No. 02-153, 2002 U.S. Dist. LEXIS 27691, *8 (N.D. Okla. Oct. 28, 2002) (Holmes, J.).
“Despite substantial obstacles to recovery, Keller Rohrback was willing to undertake the significant risks presented by this case. After a year and a half of intensive litigation, including extensive discovery, motion practice, and mediation, Class Counsel achieved real and substantial benefits for members of the Class. Keller Rohrback’s extensive prior experience in complex class action securities litigation and with Ponzi investment schemes enabled the Class to analyze and achieve this excellent result.” Getty v. Harmon (“SunAmerica Securities.Litigation”), No. 98-0178 (W.D. Wash. Sept. 20, 1999) (Dwyer, J.).
“The Keller Rohrback firm is experienced in class action litigation and management.” Hansen v. Ticket Track, Inc., 213 F.R.D. 412, 416 (W.D. Wash. 2003) (Pechman, J.).
“[Keller Rohrback] has performed an important public service in this action and has done so efficiently and with integrity . . . [Keller Rohrback] has also worked creatively and diligently to obtain a settlement from WorldCom in the context of complex and difficult legal questions . . . [Keller Rohrback] should be appropriately rewarded as an incentive for the further protection of employees and their pension plans not only in this litigation but in all ERISA actions.” In re WorldCom, Inc. ERISA Litigation , No. 02-4816 2004 WL 2338151, *10 (S.D.N.Y. Oct. 18, 2004) (Cote, J.).
“The Court has repeatedly stated that the lawyering in the case at every stage was superb, and does again.” In re Linerboard Antitrust Litigation , MDL 1261, 2004 WL 1221350 *6 (E.D. Pa. June 2, 2004) (DuBois, J.).
“The evidence also demonstrates that Keller Rohrback . . . possess[es] the experience and competence to provide adequate representation to Bjustrom and members of the proposed class and subclass.” Bjustrom v. Trust One Mortgage Corp ., 199 F.R.D. 346, 349 (W.D. Wash. 2001).
In approving a settlement, Judge Alan McDonald stated, “[T]he Court is impressed by the manner in which the issues have been addressed, the action has been initiated and resolved; and that is, of course, an accolade to the attorneys on both sides of the issue. And, of course, that is the underlying basis for the Court’s approval. No one has more respect for the art of settlement than the incumbent of this bench. It is the most difficult of all undertakings by trial lawyers, and a settlement always recognizes their composite judgment, oftentimes of nuances which are impossible to articulate. So given the caliber of the attorneys involved on both sides of this matter, the Court is satisfied that if it is good enough for them, it should be good enough for the Court.” In re Soft Drink Bottling Antitrust Litigation (E.D. Wash. 1990).
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COMPLEX LITIGATION GROUP
An Assistant U.S. Attorney in Seattle has also recognized the firm’s ability. “Fortunately, the Receiver persuaded the Seattle law firm Keller Rohrback to review the merit of several potential cases. Keller Rohrback then immediately set to work and pursued several cases. Thus far, the lawyers have recovered approximately $8.69 million in damages on behalf of the victims. These recoveries far outstripped anything the United States Attorney has accomplished or could have accomplished in this case, and together they represent the best hope that the victims may recover a significant portion of their losses.” United States v. Philip E. Harmon , (W.D. Wash. 1999).
Antitrust
Keller Rohrback’s antitrust and trade regulation practice represents individual and class plaintiffs in state and federal litigation. Our clients include consumer and business class members who have been harmed by illegal, anti-competitive conduct. Keller Rohrback has substantial expertise in pursuing claims under the Sherman and Clayton Acts for price fixing, customer allocation, market division, exclusive dealing, price discrimination, the tying or bundling of products, misleading and deceptive marketing practices, monopolization and attempted monopolization of markets, and other related practices. By litigating claims on behalf of businesses and consumers harmed by such practices, Keller Rohrback helps achieve the goal of the nation’s antitrust and trade regulation statutes, ensuring that consumers get the benefits of free and fair competition in the marketplace.
Keller Rohrback has played a prominent role in large price-fixing and price discrimination cases litigated across the country. The following are examples of our antitrust experience:
In re Architectural Hinge Antitrust Litigation, This class action lawsuit brought in Missouri federal court involved a nationwide price-fixing conspiracy among manufacturers of architectural hinges during the period 1986 through 1988. Almost $7.4 million in settlements were achieved in this case.
In re Carbon Dioxide Industries, et al. v. Liquid Air Corp., et al. , No. 92-00940 (M.D. Fla.). This class action lawsuit resulted in over $53 million in settlements. Litigated in Florida federal court, this case involved a nationwide price-fixing conspiracy among the major sellers of carbon dioxide, including Archer Daniels Midland, from January 1, 1968 to October 26, 1992.
In re Carpet Antitrust Litigation, No. 95-00193 (N.D. Ga.). This case was filed in the Northern District of Georgia and resulted in a $50 million settlement. United States District Judge Harold L. Murphy stated that the attorneys’ "efforts in this case to date have demonstrated their great skill and ability" and that "the Court’s own observations
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COMPLEX LITIGATION GROUP
of Plaintiffs’ counsel support a determination that Plaintiffs’ counsel are highly reputable and responsible attorneys."
In re Catfish Antitrust Litigation, MDL No. 928 (N.D. Miss.). This nationwide class action lawsuit brought in Mississippi federal court achieved almost $28 million in settlements. The class claimed a price-fixing conspiracy among processors of catfish products, including subsidiaries of Hormel and ConAgra, during the period 1985 through 1988.
Cattin, et al. v. Builders Fence Co., et al., No. 91-00954 (W.D. Wash.). Keller Rohrback served as Lead Counsel in this class action case that was brought in Washington federal court involving a price-fixing conspiracy among pipe and tube distributors in eight Western states during the period 1984 through 1986. Settlements totaling $650,000 were achieved.
In re Chain Link Fence Antitrust Litigation, No. 89-1997 (D. Col.). Keller Rohrback served on the Executive Committee in this class action price-fixing lawsuit brought against chain link fence manufacturers in sixteen Midwest and Western states. The class achieved over $1.3 million in settlements.
In re Commercial Tissue Products Antitrust Litigation, MDL No. 97-01189 (N.D. Fla.). This antitrust case filed in the Northern District of Florida involved allegations of a nationwide price-fixing conspiracy among the major manufacturers of facial tissue, toilet paper, paper towels, and related products used in “away from home” settings, such as office buildings, hotels, restaurants, and schools. The parties entered into a settlement agreement valued at $56.2 million in cash and coupons.
Cox., et al v. Microsoft Corp., MDL No. 00-01332 (D. Md.). Keller Rohrback served on the Executive Committee of Plaintiffs’ Counsel in this class action challenging Microsoft’s monopolistic practices. A class of direct purchasers of operating system software achieved a settlement of $10.5 million in the United States District Court for the District of Maryland.
Daisy Mountain Fire District v. Microsoft Corp., MDL No. 1332 (D. Md.). Keller Rohrback successfully litigated a class action challenging Microsoft's monopolistic practices. It was brought on behalf of all Arizona state and local governmental entities that indirectly purchased operating systems and application software from Microsoft resulting in a $4,415,258 cash settlement. Judge Motz found, “Class Counsel are highly qualified and bring unique strengths and experience to the Class, the claims at issue are complex and require specialized skills, the attorneys have performed valuable work for the Class, and the result achieved—a full-cash settlement with no claims procedure and no diminution of the money available to the Class for
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administration, fee awards, or incentive payment—has achieved real and substantial benefits to the Class.”
In re Explosives Antitrust, et al. v. Austin Powder, et al., No. 96-01093 (D. Utah). This class action lawsuit was brought in Utah federal court alleging a nationwide conspiracy to fix prices and allocate markets among six commercial explosive manufacturers, including DuPont, from 1985 through 1993. Years of litigation yielded settlements totaling slightly more than $77 million.
Ferko, et al. v. NASCAR , et al., No. 02-00050 (E.D. Tex.). Keller Rohrback was counsel for plaintiff in a lawsuit that charged NASCAR with breach of contract, unlawful monopolization, and of conspiring with International Speedway Corporation (“ISC”) to restrain trade in violation of the antitrust laws. Keller Rohrback represented the shareholders of Speedway Motorsports, Inc. (“SMI”), a publicly traded company that owns six motorsports facilities, including Texas Motor Speedway (“TMS”). In May 2004, the parties reached a settlement agreement, pursuant to which, among other things, ISC sold North Carolina Speedway to SMI for $100.4 million and NASCAR sanctioned the Nextel Cup Series race previously hosted by Rockingham at TMS in the 2005 season. The settlement was approved by the United States District Court for the Eastern District of Texas.
Fleischman v. Albany Medical Center et al. , No. O6-CV-0765 (N.D.N.Y.) Keller Rohrback is co-lead counsel in this antitrust action seeking recovery for the underpayment of wages paid to staff nurses employed by hospitals in Albany, N.Y., that resulted from an alleged conspiracy among those hospitals in setting pay. Plaintiffs pursued both a per se and rule of reason claim, both of which claims survived summary judgment. Settlements for over $9 million have been approved by the Northern District of New York court, with an additional settlement that will take the total recovery to over $14 million pending approval.
General Formulations, et al. v. United States Bronze, et al. , No. 93-04673 (D. N.J.). This class action suit was brought in New Jersey federal court and alleged a nationwide price-fixing conspiracy among major producers of bronze and copper flake from 1986 through 1989. The class achieved $2 million in settlements.
In re Infant Formula Antitrust Litigation, MDL No. 878 (N.D. Fla.). This class action lawsuit involved a nationwide price-fixing conspiracy among three manufacturers of infant formula who dominated the market during the period January 1, 1980 to January 13, 1992. The class achieved settlements totaling $125.76 million.
Johnson v. Arizona Hospital and Healthcare Association, et al., No. CV07-1292 (D. Az.). Keller Rohrback L.L.P. and Keller Rohrback P.L.C. represent agency nurses
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COMPLEX LITIGATION GROUP
who worked at various Arizona hospitals seeking to recover the underpayment of wages they received for work in various Arizona Hospitals. The majority of hospitals have settled all claims against them for a payment of over $24 million to the class. Litigation against the remaining hospitals continues in the District Court for Arizona.
In re Linerboard Antitrust Litigation, MDL No. 1261 (E.D. Pa.). The class actions in this litigation were resolved with the recovery of more than $202 million for the benefit of a class of businesses that purchased corrugated boxes and sheets.
Molecular Diagnostics v. Hoffman-La Roche, Inc., et al., No. 04-01649 (D.D.C.). Keller Rohrback served on the Executive Committee of this class action lawsuit, which was on behalf of purchasers of thermus aquaticus DNA polymerase (“ Taq ”), an essential input to technologies used to study DNA. The lawsuit alleged that various Hoffman La-Roche entities, in concert with the Perkins Elmer Corp., fraudulently procured a patent for Taq with the intent and effect of illegally monopolizing the Taq market. In December of 2008 Judge Henry Kennedy granted court approval of a settlement that provided $33 million to direct purchasers of Taq .
In re Monosodium Glutamate Antitrust Litigation, MDL No. 00-01328 (D. Minn.). Keller Rohrback represented the plaintiff class in this case in the United States District Court for the District of Minnesota. Over $123 million was recovered for the benefit of a class of businesses which purchased food flavor enhancers from suppliers in the U.S., Japan, Korea, and Taiwan. Businesses that participated in the recovery received nearly 200% of the amounts they were overcharged.
In re NASDAQ Market Makers Antitrust Litigation, MDL No. 1023 (S.D.N.Y.). This nationwide class action brought in New York federal court alleged a price-fixing conspiracy among market makers that comprise the NASDAQ stock exchange. The class achieved a settlement of over $1 billion.
In re New Steel Pails Litigation, et al. v. Bennett Industries, et al., No. 92-00213 (S.D. Ohio). This case involved a price-fixing conspiracy among manufacturers of steel pails throughout the United States during the period 1989 through 1992. Keller Rohrback served on the Executive Committee in this case brought in Ohio federal court. The class achieved settlements totaling $4 million.
Red Eagle Resources, et al. v. Bakes Hughes, Inc., et al., No. 91-00627 (S.D. Tex.). Purchasers of drill bits (primarily those used in oil exploration) brought a class action lawsuit in Texas federal court claiming that manufacturers fixed prices during the period 1986 through 1991. The class achieved settlements totaling $52 million.
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COMPLEX LITIGATION GROUP
Rozema v. The Marshfield Clinic, No. 96-00592 (W.D. Wis.). Keller Rohrback served as Lead Counsel in this consumer class action alleging illegal market divisions between medical clinics, hospitals and Health Maintenance Organizations (HMO’s) in North Central Wisconsin. The class recovered $4.65 million in settlements.
Salk Drug Co. v. Abbott Laboratories, et al., No. 27-95-009632 (Minn. Dist. Ct. 4th Cir.). Keller Rohrback was Lead Counsel in a class action antitrust lawsuit brought in Minnesota state court on behalf of independent pharmacies based on price discrimination in the sale of brand-name prescription drugs. The case resulted in settlements totaling over $1 million.
In re Soft Drink Bottling, et al. v. Pepsi Co. Walla Walla, et al., No . 90-03032 (E.D. Wash.). Keller Rohrback served as Lead Counsel in this class action lawsuit bought on behalf of purchasers against soft drink bottling companies in Eastern Washington claiming a price-fixing conspiracy during the period 1976 through 1989. Almost $2 million in settlements were achieved in this case.
In re Steel Drums Antitrust Litigation, MDL No. 887 (S.D. Ohio). Keller Rohrback served on the Executive Committee in this class action case brought in Ohio federal court. Purchasers of new steel drums throughout the United States claimed a price- fixing conspiracy among manufacturers during the period 1987 through 1990. The class achieved $7.36 million in settlements.
In re Toys “R” Us Antitrust Litigation, No. 97-05750 (E.D.N.Y.). This class action was brought in New York federal court where the FTC found that Toys “R” Us had unlawfully used its dominant market power to orchestrate and enforce agreements between itself and toy manufacturers to restrict sales to “wholesale” clubs. The settlement achieved by plaintiff class and 44 state attorneys general provides for injunctive relief and the payment of almost $57 million in toys and cash.
In re Vitamins Antitrust Litigation, MDL No. 1285 (D.D.C.). Keller Rohrback played an extensive role in trial preparation in this case, one of the largest and most successful antitrust cases in history. Chief Judge Thomas Hogan of the United States District Court for the District of Columbia certified two classes of businesses who directly purchased bulk vitamins and were overcharged as a result of a ten-year global price-fixing and market allocation conspiracy. Through settlement and verdict, recoveries were achieved, including four major settlements between certain vitamin defendants and class plaintiffs, including a landmark partial settlement of $1.1 billion.
K-S Pharmacies, Inc., et al. v. Abbott Laboratories, et al. No. 94-02384 (Wis. Cir. Ct. 7th Brach). Keller Rohrback was Lead Counsel in a class action lawsuit brought in Wisconsin state court on behalf of over 500 independent pharmacies based on price discrimination in the sale of brand-name prescription drugs. The case resulted in settlements of over $5 million. 7 Seattle │ Phoenix │ New York │ Santa Barbara
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Wolf v. US Air, Inc., et al. , No. 90-01664 (N.D. Ga.). Keller Rohrback served on the Steering Committee of this class action antitrust lawsuit brought in Georgia federal court against the seven major United States airlines, which alleged a conspiracy to artificially increase the price of domestic airline tickets. The class achieved settlements totaling $458 million -- $408 million in certificates and $50 million in cash.
ERISA
Our ERISA Litigation Group helped pioneer this field of law in the IKON , Lucent , and Enron ERISA cases, the first large-scale ERISA 401(k) breach of fiduciary duty cases of their kind. Since then, Keller Rohrback has played a major role in developing the law and establishing that ERISA’s strict fiduciary duties apply to companies’ investment of employees’ retirement savings in the stock of the employers. Our efforts have resulted in numerous published decisions upholding plaintiffs’ ERISA claims, granting class certification, and approving several multi-million dollar settlements. In all, to date, Keller Rohrback has recovered over $1 billion for employees on behalf of their retirement savings plans.
Federal courts throughout the country have recognized Keller Rohrback’s qualifications to vigorously pursue ERISA class action claims. Thus, Keller Rohrback served or serves as Lead or Co-Lead Counsel in almost every major ERISA breach of fiduciary duty case involving 401(k) and ESOP plans, including cases against the following companies: Enron, WorldCom, AIG, Bear Stearns, BellSouth, CIGNA, CMS Energy, Countrywide, Delphi, Dynegy, Ford Motor Company, Global Crossing, Goodyear, HealthSouth, IndyMac, Household International, Krispy Kreme, Lucent, Marsh & McLennan, Merrill Lynch, Mirant, Pfizer, Polaroid, Providian, Regions, Southern Company, State Street, Syncor, Wachovia, Washington Mutual, Williams Companies, and Xerox.
ERISA 401(k) and ESOP Cases
From the first ever reported 401(k) company stock breach of fiduciary duty case, Whetman v. IKON Office Solutions, Inc. , Keller Rohrback attorneys have successfully guided clients through the exceptionally complex ERISA field. Indeed, since Whetman v. IKON Office Solutions, Inc ., Keller Rohrback has continued to act as a trailblazer by serving as Lead or Co-Lead Counsel in numerous ERISA breach of fiduciary duty cases – including the landmark cases listed below – in which the claims now routinely alleged in other complaints have been validated: (1) failure to prudently and loyally manage the plan and plan assets; (2) failure to provide complete and accurate information regarding company stock to plan participants; and (3) failure to prudently monitor plan fiduciaries. Courts have again and again praised Keller Rohrback’s leadership and successful results in this highly complex and rapidly developing area of law.
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First Of Its Kind ERISA 401(k) And ESOP Cases:
In re Enron Corp. ERISA Litigation, MDL No. 1446 (S.D. Tex.). Keller Rohrback served as Co-Lead Counsel in this class action filed in the Southern District of Texas. On September 30, 2003, Judge Melinda Harmon denied defendants’ numerous motions to dismiss in a landmark decision that addressed in detail defendants’ obligations as ERISA fiduciaries, and upheld plaintiffs’ core ERISA claims. Plaintiffs have achieved four partial settlements totaling more than $264 million in cash to the Enron plans against Enron directors, officers and plan fiduciaries.
In re Lucent Technologies, Inc. ERISA Litigation, No. 01-03491 (D. N.J.). Keller Rohrback was appointed Co-Lead Counsel in this class action brought on behalf of participants and beneficiaries of the Lucent defined contribution plans that invested in Lucent stock. The complaint alleged that the defendants withheld and concealed material information from participants, thereby encouraging participants and beneficiaries to continue to make and to maintain substantial investments in company stock and the plans. The settlement provided for, among other relief, the payment of $69 million in cash and stock to the plan. Judge Joel Pisano of the New Jersey federal court approved the settlement on December 12, 2003.
Whetman v. IKON Office Solutions, Inc., MDL No. 10-01318 (E.D. Pa.). The current wave of 401(k) company stock cases began with Whetman v. IKON Office Solutions, Inc . In a first-of-its-kind complaint, we alleged that company stock was an imprudent investment for the plan, that the fiduciaries of the plan failed to provide complete and accurate information concerning company stock to the participants, and that they failed to address their conflicts of interest. This case resulted in ground-breaking opinions in the ERISA 401(k) area of law on motions to dismiss, class certification, approval of securities settlements with a carve-out for ERISA claims, and approval of ERISA settlements.
In re WorldCom, Inc. ERISA Litigation, No. 02-04816 (S.D.N.Y.). Keller Rohrback served as Lead Counsel in this class action filed in the Southern District of New York on behalf of participants and beneficiaries of the WorldCom 401(k) Salary Savings Plan. On June 17, 2003, Judge Denise Cote denied in part defendants’ motions to dismiss and on October 4, 2004, granted plaintiffs’ motion for class certification. Settlements providing for injunctive relief and payments of over $48 million to the plan were approved on October 26, 2004 and November 21, 2005.
Groundbreaking ERISA 401(k) and ESOP Settlements :
Keller Rohrback’s qualifications to lead ERISA 401(k) and ESOP class actions is nowhere more evident than in the highly favorable settlements it has achieved for the
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benefit of employees in several of its nationally prominent cases. In addition to the Enron, WorldCom, IKON, and Lucent settlements discussed above, these settlements include:
Alvidres v. Countrywide Financial Corp., No.07-05810 (C.D. Cal.). On November 16, 2009, Judge John F. Walter granted final approval of the $55 million settlement.
In re Beazer Homes USA, Inc. ERISA Litigation, No. 07-00952 (N.D. Ga.). On November 15, 2010, Judge Richard W. Story granted final approval of the $5.5 million settlement.
Buus, et al. v. WaMu Pension Plan, et al., No. 07-00903 (W.D. Wash.). The parties to the litigation negotiated and executed a settlement agreement on June 29, 2010. On October 29, 2010, the Court held a fairness hearing and approved the settlement of $20 million as fair, reasonable and adequate, approved the notice and publication notice and method of dissemination of such notices, approved the application for attorneys’ fees and expenses, and approved the proposed plan of allocation and the case contribution awards for the Named Plaintiffs.
Cokenour v. Household International, No. 02-07921 (N.D. Ill.). On March 31, 2004, Judge Samuel Der-Yeghiayan denied, in part, defendants’ motions to dismiss. The case subsequently settled for $46.5 million in cash to the plan. The court approved the settlement on November 22, 2004.
In re Dynegy, Inc. ERISA Litigation, No. 02-03076 (S.D. Tex.). On March 5, 2004, the Court denied, in part, defendants’ motions to dismiss. Subsequently, the parties reached a settlement that provided for the payment of $30.75 million in cash to the plan. On December 10, 2004, Judge Sim Lake approved the settlement.
In re Global Crossing, Ltd. ERISA Litigation, No. 02-07453 (S.D.N.Y.). The Global Crossing ERISA Litigation settlement provided for, among other relief, the payment of $79 million to the plan. Judge Gerard Lynch approved the settlement on November 10, 2004.
In re IndyMac ERISA Litigation , No. 08-04579 (C.D.Cal.). On January 19, 2011, Judge Dean Pregerson granted final approval of the $7 million settlement.
In re Merrill Lynch & Co., Inc. Securities, Derivative & ERISA Litigation, No. 07- 10268 (S.D.N.Y.). On August 21, 2009, Judge Jed S. Rakoff granted final approval of the $75 million settlement in the ERISA action.
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In re Providian Financial Corp. ERISA Litigation, No. 01-05027 (N.D. Cal.). The Providian ERISA Litigation settlement provided for structural changes to the plan, as well as the payment of $8.6 million in cash to the plan. The court approved the settlement on June 30, 2003.
In re Sears Retiree Group Life Insurance Litigation, No. 97-07453 (N.D. Ill.). Keller Rohrback represented retired employees of Sears who were the victims of unlawful life insurance benefit reductions, in violation of ERISA. This nationwide class action suit, in the United States District Court for the Northern District of Illinois, resulted in a settlement valued at more than $232 million.
In re Washington Mutual, Inc. ERISA Litigation, No. 07-01874 (W.D. Wash.). On January 7, 2011, the Honorable Marsha J. Pechman granted final approval of the $49 million settlement in the ERISA action.
Mortgage Loan Modification Litigation
Keller Rohrback currently represents numerous plaintiffs in proposed class action lawsuits filed against mortgage loan servicers in federal courts across the country. These cases have been brought by homeowners in multiple states, including Washington, California, New York, Minnesota, Michigan, Florida, and Georgia, who have attempted to obtain mortgage loan modifications but have been misled by servicers and suffered significant losses as a result. In the alleged mortgage modification schemes, mortgagors are often strung along indefinitely by promises of a permanent loan modification or at least a timely decision on their applications—which may be pursuant to the federal government’s Home Affordable Modification Program (HAMP) or the servicers’ own proprietary programs. Servicers profit from these schemes by collecting excess fees and costs from mortgagors who rely on illusory promises as they continue to make payments month after month. Many mortgagors never receive modifications despite continued payments to servicers and compliance with their demands while they forgo other opportunities to use their resources. When servicers do grant modifications after a long delay, mortgagors owe much more than they would have in the absence of the challenged practices because servicers add these amounts onto new “modified” principal balances. In other instances, servicers sell homes in foreclosure sales after a protracted modification process, and homeowners lose everything despite paying into the programs in good faith.
The claims arise under state consumer protection and deceptive trade practices statutes, as well as common law causes of action for breach of contract, breach of the duty of good faith and fair dealing, promissory estoppel, and unjust enrichment.
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Keller Rohrback is actively litigating mortgage modification class actions against JPMorgan Chase Bank, N.A. and its home loan servicing subsidiaries Chase Home Finance LLC and EMC Mortgage Corporation (which were recently consolidated by the Judicial Panel on Multidistrict Litigation), as well as SunTrust Mortgage, Inc., SunTrust Bank, and SunTrust Banks, Inc.
Securities and Investment Fraud
Keller Rohrback enjoys a national reputation for excellence in prosecuting securities fraud and other investment claims on behalf of injured investors. These cases typically assert claims against at least one corporate defendant, its officers and directors, its underwriters, its auditors and/or other fiduciaries. The firm relies upon the business and financial background of a number of our attorneys, led by managing partner Lynn Lincoln Sarko (who has an M.B.A. in Accounting and Finance). This expertise, along with the use of knowledgeable experts and state-of-the-art technology, contributes to Keller Rohrback’s successful securities fraud litigation practice.
The following are examples of our securities litigation experience:
Federal Home Loan Bank Litigation: Keller Rohrback has played a prominent role in large securities fraud and other investment cases litigated across the country. Keller Rohrback has been retained by the Federal Home Loan Banks of Boston, Chicago, and Indianapolis (“FHLBs”) to pursue securities and common law claims against dozens of issuers, underwriters, and sponsors of mortgage-backed securities.
The FHLB complaints were filed in October 2010 and April 2011 in state courts in California, Illinois, Indiana, Massachusetts, and Washington. The complaints name over 120 defendants and involve over 200 securities with an original face value of $13 billion. The relief sought by the FHLBs includes rescission and damages under state blue sky laws and the federal securities laws, negligent misrepresentation, interest and attorneys’ fees and costs.
In re 2TheMart.com, Inc. Securities Litigation, No. 99-01127 (C.D. Cal.). Keller Rohrback served as Co-Lead Counsel in this securities fraud class action filed in the Central District of California, Southern Division. The class achieved settlements totaling $2.7 million.
In re Anicom, Inc. Securities Litigation, No. 00-04391 (N.D. Illinois). Keller Rohrback was one of three counsel representing the State of Wisconsin Investment Board in this securities fraud class action. Counsel achieved settlements on behalf of the class and other parties in excess of $39 million, including a payment of $12.4 million directly from one of the named defendants, described as “one of the largest payments obtained in
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connection with allegations of securities and accounting fraud in recent times.” In all, over 80% of the total recovery was obtained from sources other than Anicom’s insurance policy.
In re Dendreon Corporation Class Action Litigation , No. 11-1291 (W.D. Wash.). Keller Rohrback serves as liaison counsel in this federal securities fraud class action against defendant Dendreon Corporation and its highest ranking officers. Plaintiff alleges that defendants issued materially false and misleading statements and omitted to disclose material adverse facts regarding forecasted sales of Dendreon's new Provenge cancer drug—its principal and flagship product--and the company's lack of adequate operational and financial controls.
In re Foundry Networks, Inc. Derivative Litigation, No. 06-05598 (N.D. Cal.). Keller Rohrback was appointed Co-Lead Counsel in this federal derivative shareholder action against nominal Defendant Foundry Networks, Inc., and current and former officers and members of Foundry’s Board of Directors. Plaintiffs alleged, among other things, breach of fiduciary duty, unjust enrichment, and gross mismanagement arising from the practice of backdating stock options granted between 2000 and 2003, diverting millions of dollars of corporate assets to Foundry executives. On February 20, 2009, the court entered an order approving settlement.
Getty, et al. v. Harmon, et al., No. 98-00178 (W.D. Wash.). Keller Rohrback served as Lead Counsel in this securities fraud action filed in Western Washington federal court involving a “Ponzi” scheme. Plaintiffs allege that at least one key person responsible for this scheme was affiliated with SunAmerica Securities, which knew or should have known that securities laws were being violated. The class achieved settlements totaling $7 million.
Getty, et al. v. Hawthorne, et al., No. 99-2-17897-1 (King County Super. Ct.). This class action was successfully prosecuted in King County Superior Court against Phillip Harmon’s accountant and against his partner in various business ventures alleging violations of the Washington State Securities Act and civil conspiracy. An opinion by the State Court of Appeals concerning some of these claims is found at 111 Wn.App. 824 (2002). Over $2.4 million in settlements were achieved from this litigation.
Graf v. Cyber-Care, Inc., et al., No. 00-08404 (S.D. Fla.). This shareholder class action was brought in the Southern District of Florida on behalf of shareholders who purchased Cyber-Care Inc. common stock between November 4, 1999 and May 12, 2000, inclusive. The parties reached a settlement consisting of $3.1 million in cash, plus interest, and 4 million shares of Cyber-Care Inc. common stock.
In re IKON Office Solutions, Inc. Securities Litigation, MDL No. 10-01318 (E.D. Pa.). Keller Rohrback served as Co-Lead Counsel representing the City of
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Philadelphia and eight other Lead Plaintiffs in this certified class action alleging securities fraud. Class Counsel achieved the highest securities fraud settlement in the history of the Court by settling with defendant IKON Office Solutions, Inc. for $111 million. At that time, the settlement was listed as one of the “largest settlements in class-action securities-fraud lawsuits since Congress reformed securities litigation in 1995” by USA Today .
Lasky v. Brown, et al., No. 99-01035 (M.D. Fla.). Keller Rohrback served as Co-Lead Counsel in this class action lawsuit filed in the Middle District of Louisiana, on behalf of individual shareholders who purchased or otherwise acquired equity securities in United Companies Financial Corporation between April 30, 1998 and February 2, 1999, inclusive. The class recovered $20.5 million in settlements.
Laumer, et al. v. Immunex Corp., et al., No. 92-00548 (W.D. Wash.). Keller Rohrback served as Liaison Counsel in this class action securities fraud lawsuit filed in Western Washington federal court. The class recovered $14 million in settlements.
Lawrence, et al. v. Phillip Morris Co., et al., No. 94-01494 (E.D.N.Y.). This shareholder class action was brought in New York federal court alleging misrepresentations regarding various inventory and trade loading practices used to distort the timing of sales. This case was settled as part of a $115 million settlement.
Ludwig, et al. v. Calozza, et al., No. 94-01566 (W.D. Wash.). Keller Rohrback was appointed Lead Counsel in this class action securities fraud case brought in Western Washington federal court. Defrauded investors obtained settlements totaling $4.32 million. Keller Rohrback also obtained a $225,000 settlement in a related case.
McGrew, et ano. v. Harris Bank FKA, et al., No 03-2-40411-0 (King County Super. Ct.). Keller Rohrback filed a class action complaint against defendants Harris Bank, N.A.; U.S. Bank, N.A.; Craig and Associates, Inc.; and Gary L. Craig. The litigation concerned alleged violations of the Washington State Securities Act, breach of contract, breach of fiduciary duty, and civil conspiracy. Over $23 million in settlements were achieved in this case.
Moomjy v. HQ Sustainable Maritime Industries, Inc. (“HQSM”), No. 11-0726 (W.D. Wash.). Keller Rohrback serves as liaison counsel in this federal shareholder action alleging claims under the 33 and 34 Acts. Defendants include HQSM, several of its officers and directors, and the underwriters in secondary offerings that occurred during June 2009 and August 2010. The complaint alleges that during the class period, HQSM and its key insiders provided false information to HQSM’s outside auditor as part of a fraudulent scheme to inflate HQSM’s key financial metrics. The complaint
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further alleges that when the auditor discovered evidence of misconduct, HQSM and the individual defendants quashed attempts by the auditor and the Company’s own Audit Committee to investigate and then, according to a formal finding by the NYSE Amex Stock Exchange, the defendants lied to regulators about their efforts to block such an independent investigation. Ultimately the Exchange delisted HQSM, leaving class members with nearly worthless shares of the Company’s stock.
Peregrine, et al. v. Farley, et al., No. 90-00858 (N.D. Ill.). Shareholders of West Point- Pepperell common stock filed a class action lawsuit in the Northern District of Illinois after a successful hostile take-over of that company by Farley, Inc. The case included claims of securities fraud and other securities law violations. Investors achieved over $8 million in settlements.
In re Scientific-Atlanta, Inc. Securities Litigation, No. 01-01950 (N.D. Ga.). Keller Rohrback serves as Co-Lead Counsel in this case, in which plaintiffs allege that defendants engaged in a course of fraudulent conduct by misrepresenting and omitting material information pertaining to Scientific-Atlanta’s financial results and by engaging in extensive channel stuffing in order to enable the company to meet its stated earnings expectations.
In re Westell Technologies Securities Litigation, No. 00-06735 (N.D. Ill.). This shareholder class action was brought in the Northern District of Illinois on behalf of shareholders who purchased Westell Technologies, Inc. common stock between June 27, 2000 and October 18, 2000, inclusive. In the spring of 2003, the parties reached a settlement of $3.35 million.
In re WorldPort Comm., Inc., et al., No. 99-01817 (N.D. Ga.). This shareholder class action was brought in Georgia federal court alleging securities fraud. Parties in this case reached a $5.1 million settlement.
Youakim v. Isilon Systems, Inc., et al., No. 07-01764 (W.D. Wash.). Keller Rohrback served as liaison counsel in this class action lawsuit filed in the Western District of Washington on behalf of persons who purchased Isilon stock between December 14, 2006 and October 13, 2007. In 2010, the court approved a settlement of $15 million.
Securities Lending
Keller Rohrback represents the Louisiana Firefighters’ Retirement System, among others, in putative class actions pending in the Northern District of Illinois against Northern Trust Investments, N.A. and The Northern Trust Company alleging imprudence in the management of their securities lending collateral pools: Louisiana Firefighters’ Retirement System v. Northern Trust Investments, Inc. , No. 09-7203 (N.D.
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Ill.), in which Keller Rohrback serves as Co-Lead Counsel, and Diebold v. Northern Trust Investments N.A. , No. 09-1934 (N.D. Ill.).
These actions allege that defendants operated a securities lending program in which they loaned securities held by plaintiffs directly, and within Northern Trust's commingled funds, and reinvested the collateral received from borrowers of those securities for the benefit of the plaintiffs. Despite representations and fund guidelines to the contrary, plaintiffs allege that defendants invested the collateral in highly leveraged, speculative, asset-backed securities that were neither liquid nor short-term in duration. When the collateral pools suffered hundreds of millions of dollars in losses, Northern Trust sought to pass the losses along to the underlying securities holders – our clients – at 100 percent. Effectively, Northern Trust assumed all of the potential reward, and none of the risk associated with its securities lending program. Plaintiffs assert claims for state law breach of contract and fiduciary duty, as well as ERISA breach of fiduciary duty.
Mutual Fund Excessive Fees
Keller Rohrback has brought several suits challenging the excessive investment management fees charged by a number of investment advisers to their mutual fund investors. While investment advisers have a fiduciary duty to their investors and the funds, some advisers are violating their duties to investors by charging excessive fees for their services which, in turn, are depleting the return on investments of the savings accounts of millions of Americans. The fees advisers charge may appear to be very small on an individual shareholder basis but they cause a dramatic decrease in investors’ returns over time. Keller Rohrback seeks to hold these advisers responsible for the breach of their fiduciary obligations to investors and to recover the funds for the investors that belong in their savings accounts. Keller Rohrback has litigated cases against a number of mutual fund managers, including AIM/Invesco, American Express (now known as Ameriprise Financial), Federated Equity Management Company of Pennsylvania, Fidelity Management and Research Co., Franklin Templeton, Massachusetts Financial Services Co, and Principal Management Corp.
Braden, et al. v. Wal-Mart Stores, Inc., et al., No. 6:08-cv-3109-GAF (W.D. Mo.). Keller Rohrback serves as Lead Counsel in this class action lawsuit alleging that certain fees and expenses charged to Wal-Mart's 401(k) plan and individual plan participant accounts by mutual fund companies, as well as revenue sharing and other fees collected by Merrill Lynch, were excessive in light of the size of the plan and that these excessive fees were charged without properly disclosing them to Wal-Mart, the plan, or plan participants. Following the district court's dismissal of the ERISA complaint, the Eighth Circuit Court of Appeals reversed and remanded, issuing one of
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the first post-Iqbal appellate decisions—which is now widely cited—allowing claims to proceed and setting forth the appropriate pleading standard while holding that process- based claims in particular require that courts draw inferences in plaintiffs' favor. Following extensive discovery and further motions practice, the parties reached a settlement. On December 5, 2011, the court preliminarily approved the parties’ settlement and certified a settlement class. The settlement provides that the defendants will pay $13.5 million, which, net of fees and costs, will be used to reduce and offset plan expenses and administration fees on a going-forward basis and also requires defendants to continue to improve the plan and educate plan participants about saving for retirement. The court has scheduled a fairness hearing for March 7, 2012 to determine whether to grant final approval to the settlement.
Consumer Protection
In re Bisphenol-A (BPA) Polycarbonate Plastic Products Liability Litigation, MDL No. 08-1967 (W.D. Mo.) Keller Rohrback filed two class action lawsuits on behalf of purchasers of plastic baby bottles and “sippy” cups which contained the chemical bisphenol-A (“BPA”) from May, 2003, through the present. Both cases were transferred to Multidistrict Litigation in the Western District of Missouri. The Court has appointed Keller Rohrback to the Plaintiffs’ Steering Committee. The Court approved the parties’ settlement as to Avent Philips on May 2, 2011. Class certification briefing is pending as to the remaining defendants.
Brotherson v. Professional Basketball Club, LLC, No. 07-1787 (W.D. Wash.) On October 3, 2007, Keller Rohrback filed a class action on behalf of members of the Emerald Club who renewed their season ticket packages for the 2007 – 2008 season. The case was filed in King County Superior Court and was removed to the United States District Court for the Western District of Washington. By order dated July 1, 2009, a class was certified in the matter and is published at 262 F.R.D. 564. Plaintiffs' motion for summary judgment was granted on February 23, 2009 and is published at 604 F.Supp.2d 1276. The parties negotiated a $1.6 million settlement which was approved by the Court on April 23, 2010.
Dwyer v. Kislak Mortgage Corp., No. 97-2-10584-6 (Wash. Super. Ct., King County). Keller Rohrback represented a class of borrowers who were charged unsecured fees as part of the payoff of their real estate loans. The original suit was dismissed on summary judgment, but the Washington State Court of Appeals reversed and remanded. A settlement was achieved and approved by the King County Superior Court. Subsequently, the firm brought several additional actions based on the same practices resulting in well over $5.5 million in class action recoveries between 2003 – 2009.
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“Fax Blasting Litigation”, Multiple Cases (Wash. Super. Ct., King County). Keller Rohrback brought seventeen class actions concerning the sending of unsolicited facsimiles in violation of the Washington Telephone Consumer Protection Act resulting in the issuance of eleven permanent injunctions and the recovery of over $56 million.
Griffith v. Centex Real Estate Corp., No. 95-2-31919-0 (Wash. Super. Ct., King County). Keller Rohrback represented families who purchased homes from builder- vendor Centex Real Estate in King County Superior Court. Centex improperly finished the exterior of the homes, causing the paint to fail prematurely. The original suit was dismissed on summary judgment, but the Washington State Court of Appeals reversed and remanded. The class achieved a settlement of $395,000.
Hansen v. Ticket Track, No. 02-01032 (W.D. Wash.). Plaintiffs alleged that Spokane- based Ticket Track, Inc. violated the Washington State Consumer Protection Act and other laws by collecting and attempting to collect violation fees in addition to parking lot fees owed. The Court granted class certification. The Court also granted partial summary judgment in favor of the class. Ticket Track was permanently enjoined from engaging in this illegal activity, and the Legal Aid for Washington Fund (LAW Fund) received almost $228,000 under the cy pres doctrine, the largest donation in the organization’s history.
Louisiana Pacific, Multiple Cases, (Wash. Fed. Ct. and Or. State Dist. Ct.). This case involved a series of direct action suits brought in Washington federal court and in Oregon State court by the owners of large commercial buildings against Louisiana Pacific Corporation, alleging that LP exterior siding was defective and breached applicable warranties. Keller Rohrback obtained settlements for our clients totaling more than $25 million.
In re Mattel, Inc., Toy Lead Paint Products Liability Litigation, MDC No. 07-1897 (C.D. Cal.). Keller Rohrback serves as Chair of the Executive Committee in a nationwide class action lawsuit pending in Federal District Court in the Central District of California against Mattel and Fisher-Price on behalf of purchasers of toys recalled because they were manufactured using lead paint and/or dangerous magnets. On November 24, 2008, Judge Dale S. Fischer granted in part and denied in part defendants’ motions to dismiss. On March 24, 2010, the Court granted final approval of a settlement estimated to be worth approximately $50 million. The settlement provides for the implementation of a safe toy program by Mattel, compensation for lead testing, and a contribution by Mattel to the National Association of Children’s Hospitals and Related Institutions.
Rosted v. First USA Bank, No. 97-1482 (W.D. Wash.). This class action was filed on behalf of owners of credit cards issued by First USA Bank who signed up for “introductory rate” credit cards that were subject to false and deceptive “repricing.” A
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settlement in this class action resulted in an automatic depricing benefit of over $50 million plus over $36 million in benefits from other settlement-related offers.
Scannell v. Verizon Directories Corp., No. 06-2-07169-7 (King County Super. Ct.) The class action settlement provided for the payment of $500 to each claimant with a cap of $2 million. Defendants allegedly made 41,760 identical solicitation calls, using an Automatic Dialing and Announcement Device (“ADAD”), to Washington businesses in violation of state law. Approximately $1,249,000 was distributed to class members and class counsel through a “claims-made” process.
Product Liability
In re Diet Drugs (Phentermine/Fenfluramine/Dexfenfluramine) Products Liability Litigation, MDL No. 2:16-1203 (E.D. Pa.). These cases involved numerous plaintiffs in Washington and other states who were seeking medical monitoring and/or personal injury compensation in relation to their ingestion of the prescription diet drugs Pondimin and Phentermine (i.e. Fen-Phen) or Redux. Keller Rohrback served as class counsel for a certified medical monitoring class of Washington patients who ingested these diet drugs. In addition, the federal court judge in Philadelphia who supervised the national settlement and litigation appointed Lynn Lincoln Sarko, Keller Rohrback’s managing partner, to serve as a member of the MDL 1203 Plaintiffs’ State Liaison Counsel Committee. Keller Rohrback has represented numerous plaintiffs in pursuing individual personal injury claims through the American Home Products’ Nationwide Class Action Diet Drug Settlement or through individual lawsuits brought in state or federal courts.
Jack-in-the-Box, 93-2-05176-9 (Wash. Super. Ct., King County). Keller Rohrback served as Co-Lead Counsel in the class action litigation brought in Washington Superior Court. Both class action and direct action cases (also in Washington Superior Court) were filed on behalf of persons claiming injury as a result of the consumption of food products sold by Jack in the Box Restaurants which contained the E. coli 0157:H7 bacteria in five western states. Damage claims included individuals with hemolytic uremic syndrome. The class successfully negotiated a medical monitoring and treatment trust for the benefit of the class. In addition to the benefits of this trust, total settlements achieved through this litigation amounted to over $13 million.
Odwalla, Multiple Cases, (Wash. Super. Ct., King County). Based in large part on the firm’s experience with the Jack-in-the-Box E. coli outbreak, Keller Rohrback was retained by several victims of the Odwalla E. coli outbreak in the fall of 1996. Settlement for our clients totaled $390,000.
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COMPLEX LITIGATION GROUP
Salloway v. Malt-O-Meal Co., No. 27-98-008931 (Minn. Dist. Ct. 4th Cir.). This nationwide product liability class action arose out of a salmonella outbreak in the Malt- O-Meal plant in Northfield, Minnesota. It was brought on behalf of all people who became ill after eating cereal manufactured by Malt-O-Meal (under names such as “Toasty-Os”). A class settlement was granted final approval in this case filed in Hennepin County Court of Minnesota.
In re Vioxx Products Liability Litigation, MDL No. 1657 (E.D. La.). Keller Rohrback, along with their co-counsel have filed class action lawsuits for residents in the states of Washington, Arizona, Idaho and Tennessee that seek refunds for Vioxx that these residents purchased. Keller Rohrback serves on the Consumer Claims Sub-Committee of the Plaintiffs’ Steering Committee, which is in charge of litigating the consumer claims asserted in the Purchase Claims Master Complaint. These matters are pending before the Vioxx MDL Judge. In addition, Keller Rohrback, along with their co-counsel, represent individuals who have suffered heart attacks or strokes after consuming Vioxx. We have assisted our clients in successfully pursuing claims through lawsuits in State or Federal Court and through the $4.85 billion national settlement.
Other Cases
Erickson v. Bartell Drug Co., No. 00-1213 (W.D. Wash.). Keller Rohrback was proud to represent the plaintiff class in the landmark opinion issued in this case. Judge Robert Lasnik held that when an otherwise extensive health plan covers almost all drugs and devices used by men, the exclusion of prescription contraceptives creates a “gaping hole in the coverage offered to female employees, leaving a fundamental and immediate healthcare need uncovered. . . . Title VII requires employers to recognize the differences between the sexes and provide equally comprehensive coverage, even if that means providing additional benefits to cover women-only expenses.” Erickson v. Bartell Drug Co .,141 F.Supp.2d 1266, 1277 (W.D. Wash. 2001). This monumental decision has paved the way for implementation of non-discriminatory prescription coverage in employee benefit plans nationwide.
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In re the Exxon Valdez, No. 89-00095 (D. Alaska). Keller Rohrback represented fishermen, Alaska natives, municipalities, and other injured plaintiffs in this mass tort lawsuit arising out of the March 24, 1989, oil spill in Prince William Sound, Alaska. After a three-month jury trial, plaintiffs obtained a judgment of $5 billion in punitive damages—at the time the largest punitive damages verdict in U.S. history. Keller Rohrback played a leadership role during discovery and at trial, and was chosen to serve as administrator of both the Alyeska and Exxon Qualified Settlement Funds. The amount of punitive damages was subsequently reduced by the United States Supreme Court to $507.5 million, upon which interest was added. Keller Rohrback is currently distributing the punitive damages and interest via the Exxon Qualified Settlement Fund.
Halverson v. Skagit County, No. 66171-5 (Wash. Sup. Ct.). In a unanimous ruling, the Washington State Supreme Court held that over 100 residents of the Nookachamps area of Skagit County failed to plead a viable theory for imposing liability on the county for levee-induced flooding because the county did not own the levees or property on which they were built. Skagit County was represented by Keller Rohrback in this appeal.
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BIOGRAPHIES
Lynn Lincoln Sarko Lynn Lincoln Sarko has been the managing partner of Keller Rohrback since 1991, where he leads the firm’s nationally recognized Complex Litigation Group. An accomplished trial lawyer, he regularly serves as lead counsel in multi-party and class action lawsuits involving ERISA, employee benefits, antitrust, and securities fraud claims. Mr. Sarko first came to Seattle for a federal clerkship and returned after serving as an Assistant U.S. Attorney for the District of Columbia. He has been appointed lead or co-lead counsel in some of the most important ERISA company stock cases, including Enron , WorldCom , and Global Crossing . Additionally, Mr. Sarko serves or has served as lead or co-lead counsel in numerous other ERISA 401(k) plan, ESOP, and cash balance cases, such as American International Group, Inc., Countrywide Financial Corp., Dell Inc. , Delphi Corp., Ford Motor Co., Fremont General Corp., Goodyear Tire & Rubber Co., ING, JPMorgan Chase & Co., Marsh & McLennan Cos., Inc., Merck & Co., Inc., Merrill Lynch & Co., Inc., Pfizer, Inc., Southern Co., State Street Bank & Trust Co., Wal-Mart Stores, Inc., Xerox Corp., BellSouth, Dynegy, Inc., HealthSouth, Household International, Lucent Technologies, Inc., Mirant Corp. , Polaroid, Williams Cos., Inc., and Visteon .
Mr. Sarko’s ERISA practice focuses on prosecuting matters raising sophisticated ESOP and 401(k) plan issues, including ERISA preemption, fiduciary breaches, imprudent investment of plan assets, blackout period and mapping violations, plan asset diversification, prohibited transactions, directed trustee duties, and ERISA § 404 (c) defenses. He regularly appears in federal courts across the country, maintaining an active national ERISA litigation practice.
In addition to his ERISA work, Mr. Sarko has prosecuted a variety of class action lawsuits involving high profile matters including the Exxon Valdez oil spill, Microsoft civil antitrust case, and Fen-Phen/Redux diet drug litigation, as well as notable civil rights cases such as Erickson v. Bartell Drug Co. , establishing a woman’s right to prescription contraceptive health coverage. Additionally, Mr. Sarko has litigated numerous complex cases involving financial and accounting fraud, which have included some of the nation’s largest accounting and investment firms.
Mr. Sarko received his undergraduate, business, and law degrees from the University of Wisconsin, where he served as the editor-in-chief of the law review and was selected by the faculty as the outstanding graduate of his law school class. Mr. Sarko is a featured speaker at many continuing education seminars and conferences nationwide. All other bios listed alphabetically
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BIOGRAPHIES
Laurie Ashton Laurie Ashton is Of Counsel to Keller Rohrback. She graduated in 1990 from Arizona State University College of Law, Order of the Coif, where she has twice returned as an Adjunct Professor to teach semester courses in Lawyering Theory and Practice and Advanced Chapter 11. Ms. Ashton served as a law clerk for the Honorable Charles G. Case, U.S. Bankruptcy Court, for the District of Arizona for two years. Her practice has emphasized ERISA, bankruptcy, fiduciary and environmental litigation. Ms. Ashton has been active in the Arizona State Bar, where she served on the Ethics Committee for six years. She was also the co-author of a textbook on limited liability companies and partnerships. She is admitted to practice in Arizona, Colorado and Washington, D.C., and currently serves as a trustee of the Santa Barbara Foundation, and a director of the Global Justice Center in New York.
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BIOGRAPHIES
James A. Bloom James Bloom is based in Keller Rohrback’s Phoenix office. He practices in the firm’s complex litigation group, focusing on ERISA litigation, and has worked on many landmark ER- ISA cases including In re State Street Bank & Trust Co. ER- ISA Litigation and Johnson v. Couturier . James graduated cum laude from Washington University in St. Louis School of Law in 2008, where he was an executive editor of the Wash- ington University Law Review. He earned a B.A. in History and Philosophy from Tulane University. James also worked in the Civil Justice Clinic at Washington University, helping under-served individuals obtain needed legal services.
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BIOGRAPHIES
Gretchen Freeman Cappio
As a member of Keller Rohrback’s Complex Litigation Group, Gretchen Cappio enjoys a diverse practice in the areas of consumer protection, ERISA, mutual funds, and employment litigation. She represents plaintiffs in several cutting-edge complex cases, including In re Mattel, Inc., 588 F. Supp. 2d 1111 (C.D. Cal. 2008) (allowing the majority of consumers’ claims related to lead-contaminated and hazardous magnetic toys to proceed), and Braden v. Wal-Mart Stores, Inc ., 588 F.3d 585 (8th Cir. 2009) (upholding plaintiff’s claims alleging that excessive fees associated with the Plan’s ten mutual funds resulted in losses of tens of millions of dollars in retirement savings, and that these funds—all retail off-the- shelf funds rather than lower-fee institutional class funds, most of which charged 12b-1 fees, and all of which paid revenue sharing to the Plan’s trustee—were selected as a result of a flawed process). Ms. Cappio serves on the Plaintiffs’ Steering Committee in In re: Bisphenol-A (BPA) Polycarbonate Plastic Products Liability Litigation, MDL No. 1967 (W.D. Mo.), consumer litigation in which plaintiffs assert claims for breach of the implied warranty of merchantability, fraudulent and negligent omissions of material fact, and unjust enrichment against certain plastic bottle manufacturers. Ms. Cappio also represented plaintiffs in Erickson v. Bartell Drug Co. , 141 F. Supp. 2d 1266 (W.D. Wash. 2001), in which the Honorable Robert S. Lasnik ruled that an employer violated Title VII of the Civil Rights Act when its coverage failed to cover prescription contraceptives on an equal basis as to other prescription drugs. Ms. Cappio graduated from the University of Washington School of Law where she served as the Executive Comments Editor of The Pacific Rim Law & Policy Journal . She earned her B.A. degree magna cum laude from Dartmouth College, where she graduated Phi Beta Kappa and with honors. Ms. Cappio has been named a “Rising Star” three times by Washington Law and Politics in its annual review of the state’s legal professionals.
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BIOGRAPHIES
Alison Chase Alison Chase is actively involved in litigating securities and other complex cases arising from financial misconduct. Her experience includes securities and white collar criminal litigation, as well as international arbitration. She received her J.D. from Yale Law School in 2003, where she was an editor of the Yale Law Journal and finalist in the Morris Tyler Moot Court competition. Prior to joining the firm, Alison clerked for Judge J. Clifford Wallace of the United States Court of Appeals for the Ninth Circuit and Judge Valerie Baker Fairbank of the United States District Court for the Central District of California (in Los Angeles). She also practiced for several years at prestigious defense firms before joining Keller Rohrback's Complex Litigation Group. In law school, Alison served as a research assistant to Professor W. Michael Reisman and was awarded the Gherini Award for Outstanding Paper in International Law. Alison received her B.A. in political science, magna cum laude, from Emory University in 2000, where she was a member of the debate team and honor council.
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BIOGRAPHIES
T. David Copley David Copley enjoys the art of advocacy. His career has encompassed product liability defense work, civil rights litigation, real property disputes, employment law litigation and counseling, mass torts, antitrust, breach of fiduciary duty and ERISA, consumer protection, the preparation and trial of several class action cases, and numerous appeals including, most recently, In re Syncor ERISA Litigation . Mr. Copley graduated from Northwestern University School of Law, where he served as an editor of the Law Review . He earned his B.A. at the University of Iowa, with Distinction and Honors in Political Science and English. In 1985, Mr. Copley was honored as Trial Lawyer of the Year for his work on behalf of injured fishermen and other class members in In the Exxon Valdez oil spill Litigation. He is admitted to practice in the states of Washington and Arizona, in the United States District Courts of Western Washington, Eastern Washington, Arizona, the Northern District of California, the United States Court of Appeals for the Ninth Circuit, and the United States Supreme Court.
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BIOGRAPHIES
Juli E. Farris Ms. Farris has been a member of Keller Rohrback L.L.P.'s Complex Litigation group since 1991 and an instrumental part of the firm’s securities litigation class action practice since its inception. She has over fifteen years of experience litigating securities cases at the trial and appellate levels. Her practice also focuses on antitrust, ERISA fraud and other areas of financial misconduct. Ms. Farris also defends financial institutions and other clients in complex, multi-party federal court litigation. She is admitted to practice in Washington State, California and Washington, D.C. and in a variety of federal district and appellate courts. Before coming to Keller Rohrback, Ms. Farris practiced at Sidley & Austin, focusing on general and appellate litigation.
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BIOGRAPHIES
Raymond J. Farrow Ray Farrow’s practice focuses on complex litigation with an emphasis on antitrust and consumer protection. Mr. Farrow has played a leading role litigating antitrust claims involving various Microsoft products, Thermus Aquaticus DNA Polymerase (“Taq”), NASCAR, Vitamins, Intel microprocessors, carbon black, and nurse compensation in various cities across the country. Mr. Farrow has also litigated claims for improperly withheld overtime in the various industries as well as state security claims arising from an alleged Ponzi scheme. Mr. Farrow graduated with high honors from the University of Washington School of Law, where he was articles editor of the Washington Law Review. Prior to law school, he was a member of the Economics faculty at Seattle University, the University of Washington, and Queen’s University in Ontario, Canada. Mr. Farrow holds graduate degrees in economics from the University of Essex (U.K.) and Princeton University. He currently serves as Chair of the Consumer Protection, Antitrust & Unfair Business Practices Section of the Washington State Bar Association. Mr. Farrow is licensed to practice in Washington State and numerous Federal Courts around the country.
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BIOGRAPHIES
Eric J. Fierro Eric Fierro is based in Keller Rohrback’s Phoenix office and practices in the firm’s nationally recognized Complex Litiga- tion group. He has broad experience in electronic discovery and litigation support matters. While attending law school in the evening, Mr. Fierro worked full-time for the U.S. Attor- ney’s Office for the District of Massachusetts. There he pro- vided technical support for all criminal and civil units. In par- ticular, Mr. Fierro supported the electronic discovery and trial consulting needs for the healthcare fraud, securities fraud, and other white collar crime units. He also worked as a part- time summer law clerk for the computer crime and intellectual property unit at the U.S. Attorney’s office. Before joining Kel- ler Rohrback, Mr. Fierro was a managing consultant with Huron Consulting Group, providing consultative services for complex electronic discovery and document review matters.
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BIOGRAPHIES
Matthew Gerend Matthew Gerend practices in the firm’s nationally recognized complex litigation practice group. Matthew received a J.D., cum laude , from the Georgetown University Law Center in 2010. During law school, Matthew worked as a Law Clerk at the AARP Foundation Litigation, where he helped draft nu- merous appellate briefs filed amicus curiae in the Supreme Court of the United States and the U.S. Courts of Appeals for the Second and Seventh Circuits, including briefs addressing the proper interpretation of the Employee Retirement Income Security Act (ERISA) and the Investment Company Act. Mat- thew also worked as an Intern with the Community Develop- ment Project at the Lawyers’ Committee for Civil Rights Un- der Law. Matthew also served as an Executive Articles Edi- tor for the Georgetown Journal on Poverty Law and Policy. He received his B.A. in Political Science, with distinction, from the University of Wis- consin – Madison.
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BIOGRAPHIES
Laura R. Gerber Laura R. Gerber joined Keller Rohrback in 2005 and practices in the firm’s nationally recognized Complex Litigation group where she handles a variety of cases in federal courts across the United States. Laura’s practice focuses on class actions and derivative cases, and ranges from ERISA breach of fiduciary duty cases to mutual fund excessive fee cases to consumer class actions concerning the safety of children’s products . Laura graduated from the University of Washington School of Law in 2003. While in law school, she concurrently received an M.P.A. degree from the Daniel J. Evans School of Public Affairs at the University of Washington and was a member of the Moot Court Honor Board.
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BIOGRAPHIES
Deirdre Glynn Levin Deirdre joined Keller Rohrback in 2011. She divides her practice between the Debtor/ Creditors’ Practice Group and the Complex Litigation Group. She served as a career law clerk and appellate law clerk to Hon. Philip H. Brandt of the U.S. Bankruptcy Court, Western District of Washington and Ninth Circuit Bankruptcy Appellate Panel. After her clerkship, Deirdre established a successful solo practice, representing business and consumer debtors, secured and unsecured creditors, receivers and trustees in chapter 7 bankruptcy cases, and parties in commercial litigation. Ms. Glynn Levin enjoys bankruptcy appellate practice and procedure, and has lectured frequently on the subject. In 2007, she was appointed to serve as a Hearing Officer for the Washington State Bar Association, which hears disciplinary cases brought against WSBA members.
Deirdre brings a unique educational background to the firm. She attended law school at the University of British Columbia in Vancouver, Canada, and was a member of UBC’s first Client Counseling Competition Team. She earned a Bachelor of Public Administration from Carleton University in Ottawa, Canada, and for served for one year as a Parliamentary Page in the Canadian House of Commons. Deirdre has travelled abroad extensively, and is fluent in French.
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Gary Gotto Gary Gotto is a member of Keller Rohrback P.L.C., based in Phoenix, Arizona. Since joining the firm's Complex Litigation Group in 2002, Mr. Gotto has held leadership positions in many matters of national prominence involving claims of financial misconduct and fiduciary imprudence, including class action litigation involving Enron, Xerox Corp., Merrill Lynch, Delphi, CMS Energy Corp., Dynegy, Global Crossing, WorldCom, IKON Office Solutions, State Street Bank & Trust, and Principal Financial Group. The aggregate recoveries for our clients in these matters exceeds $650 million. He has currently involved in several matters involving claims of negligence or fraud involving mortgage-backed securities and other financial products. In his nearly thirty year career, Mr. Gotto has had extensive experience in securities and financial matters, both from a compliance and litigation perspective. Mr. Gotto also has substantial experience with complex Chapter 11 bankruptcy matters, which has proven invaluable in cases in which defendants are also debtors in bankruptcy. He chaired the Arizona State Bar Subcommittee on Revising the Limited Partnership Act and co- authored Arizona Legal Forms: Limited Liability Companies and Partnerships. Mr. Gotto speaks and teaches regularly on a number of topics, including an annual real estate bankruptcy case study presented at Harvard Law School. He earned his J.D. from Arizona State University summa cum laude , where he was a member of the Order of the Coif and the Special Projects Editor of the Arizona State Law Journal . Mr. Gotto received his B.A. from the University of Pennsylvania cum laude . He has been admitted to practice in the state of Arizona since 1982.
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Benjamin Gould Benjamin Gould practices in Keller Rohrback’s nationally recognized complex litigation group, where he has helped to litigate ERISA fiduciary breach, cash balance pension plan, and excessive fee cases, as well as consumer protection cases. He is a graduate of Yale Law School, where he was an editor of the Yale Law Journal . Prior to joining Keller Rohrback, he worked as a Legal Fellow of the ACLU Drug Law Reform Project, litigating cases related to drug policy and civil rights. He has also served as a clerk to the Hon. Diana E. Murphy of the United States Court of Appeals for the Eighth Circuit and the Hon. Betty B. Fletcher of the United States Court of Appeals for the Ninth Circuit. Additionally, Mr. Gould received a 2010 Burton Award for Legal Achievement for the article, “The Continuing Applicability of Rule 23(b)(1) to ERISA Actions for Breach of Fiduciary Duty,” which was published in Pension & Benefits Daily on August 31, 2009.
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BIOGRAPHIES
Gary D. Greenwald Before joining Keller Rohrback’s Phoenix office in 2006, Gary Greenwald practiced in Columbus, Ohio, where he was the senior litigation partner for the firms of Schottenstein, Zox, & Dunn and Shayne & Greenwald. He has a broad range of experience as a commercial litigator, having tried more than 200 cases in the federal and state courts across the U.S. Mr. Greenwald’s trial experience includes securities litigation, ERISA breach of fiduciary duty claims, trademark litigation, trade secrecy claims, professional malpractice, and a wide range of contract and real estate disputes. He spent five years as an Adjunct Professor of Trial Law Practice at the Ohio State University College of Law and has been a frequent speaker on the subject of Employee Stock Ownership Plans. Mr. Greenwald received his B.A. from Miami University and his J.D. from Ohio State University College of Law.
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Mark A. Griffin Keller Rohrback’s Complex Litigation antitrust team is led by Mark Griffin. For over two decades, Mr. Griffin has served as lead counsel in many complex litigation cases, successfully prosecuting class actions in the following areas: Antitrust (Nurse Wages, Eggs, Microsoft, Taq, NASCAR, Carbon Black, Linerboard, Vitamins, Lysine, MSG, Catfish, Explosives, Commercial Tissue, Drill Bits, Infant Formula, Architectural Hinges, Bronze & Copper Flake, Carbon Dioxide, Carpet, Airlines Tickets, Steel Pails, Steel Drums, Chain Link Fence, Pipe & Tube, Soft Drinks, Specialty Steel Pipe); Consumer Protection ( McCurry v. Chevy Chase Bank, 169 Wn.2d 96 (2010); Brotherson v. Professional Basketball Club, 604 F.Supp.2d 1276 (W.D.Wa. 2009), Kavu v. Omnipak, 246 F.R.D. 642 (W.D.Wa. 2007); Orser v. Select Portfolio , 2005 WL 3478126 (W.D.Wa. 2005); Hansen v. Ticket Track, 213 F.R.D. 412 (W.D.Wa. 2003); Dwyer v. Kislak Mortgage , 103 Wn.App. 542 (2000); Griffith v. Centex , 93 Wn.App. 202 (1998)); Securities ( Herrington v. Hawthorne, 111 Wn.App. 824 (2002); Getty v. Harmon, 53 F.Supp.2d 1053 (W.D.Wa. 1999); In re Calozza Litig., 1995 WL 370991 (W.D.Wa. 2005); Partners Mortgage; Anicom; Ikon; SunAmerica; West Point-Pepperell); Mass Tort ( Jack-in-the- Box Class Action ); ERISA ( Sears Retiree Life Ins. ); Employment ( Kinder v. Voicelink ; Woods v. Bank of America); and Products Liability ( Pelletz v. Weyerhaeuser, 255 F.R.D. 537 (W.D.Wa. 2009)). He also helped successfully defend Skagit County in a federal class action and a state mass action. Halverson v. Skagit County , 42 F.3d 1257 (9th Cir. 1994); 139 Wn.2d 1 (1997). Mr. Griffin has served on the firm’s Executive Committee since 2000 and is the Pro Bono Coordinator. He also served as chair of the Consumer Protection, Antitrust & Unfair Business Practices Section of Washington State Bar Association and was an Executive Editor of the Washington Antitrust and Consumer Protection Handbook (3rd ed. & 2007 supp.) He is a board member of the Legal Aid for Washington Fund that helps direct the annual Campaign for Equal Justice.
Prior to joining Keller Rohrback in 1988, Mr. Griffin served as a judicial law clerk in the U.S. District Court for the Western District of Washington (Magistrate Judge Philip K. Sweigert). He earned his Bachelor of Science degree in Business Economics and Political Science ( magna cum laude ) from Marquette University where he received the Economics Faculty Award. He attended Gonzaga University School of Law on a Thomas More Scholarship where he earned his law degree ( magna cum laude ). He is admitted to practice in Arizona and Washington states along with federal courts throughout the country, and the United States Supreme Court.
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Amy N. L. Hanson
Amy N. L Hanson’s practice is focused on class action and other complex litigation, including dangerous drugs, ERISA breach of fiduciary duty, and antitrust cases. Her practice is national in scope and includes representation of clients in both state and federal trial courts and on appeal. In this capacity, she has successfully represented numerous patients who suffered heart valve injuries in dangerous drug cases against Wyeth, which were resolved either in conjunction with a $4.75 billion nationwide class settlement or through resolutions outside of that nationwide class settlement relating to the prescription drugs Pondimin and/or Redux. Additionally, she is currently representing numerous patients who suffered heart attacks or strokes in dangerous drug cases against Merck & Co., Inc. who are now participating in the $4.85 billion national settlement relating to the prescription drug Vioxx, in In re Vioxx Products Liability Litigation, MDL No. 1657 (E.D. La.), where she also serves on the Consumer Claims Committee of the Plaintiffs’ Steering Committee. She is also representing numerous employees who have lost hard-earned retirement savings in In re Pfizer ERISA Litigation , MDL 1688 (S.D.N.Y), in which Keller Rohrback L.L.P. serves as sole lead counsel for the plaintiffs. She earned her B.A. degree summa cum laude in Economics and Political Science from the University of Minnesota. She is licensed to practice in Washington and Wisconsin and in the United States District Courts of Western Washington, Eastern Washington, Eastern Michigan, and the Court of Appeals for the Ninth Circuit.
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Sharon Hritz Sharon Hritz practices in Keller Rohrback’s California office with the firm’s nationally recognized complex litigation group. Sharon graduated from Pepperdine University Law School, with honors, in 2009. She began her legal career as in- house counsel at a major record label where she focused on contracts, legal claims, copyright law, and trademarks. Sharon received her B.A. in Political Science from Pepperdine University, where she also pursued her passion for music and minored in viola performance.
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Dean Kawamoto Dean Kawamoto practices in the firm’s complex litigation and commercial litigation practice groups. Dean’s litigation experience includes securities law, consumer protection and product liability, environmental law, professional liability and legal ethics, and the First Amendment. Dean has litigated cases at the trial and appellate levels, and in arbitration. Prior to joining the firm, Dean practiced with Boies, Schiller & Flexner in Washington, D.C., and Munger, Tolles & Olson in Los Angeles. After graduating from law school, Dean clerked for the Honorable William Matthew Byrne, United States District Judge for the Central District of California. Dean earned his J.D. from Yale Law School, and his L.L.M. with first class honors from the University of Cambridge, where he received the Clifford Chance C.J. Hamson Prize for his thesis on class actions. Before attending law school, Dean was a Professional Staff Member on the United States Senate Committee on Environment and Public Works and a Legislative Aide to Senator Lincoln D. Chafee of Rhode Island. Dean earned his undergraduate degree with high honors from UC Berkeley, where he double majored in history and biology.
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BIOGRAPHIES
Ron Kilgard Mr. Kilgard is a Phoenix native and a founding member of Keller Rohrback, P.L.C., based in Phoenix, Arizona. In over thirty years of practice, he has litigated a broad array of commercial matters for both plaintiffs and defendants, in both state and federal courts. In the last decade he has been extensively involved in litigating cases on behalf of pension plan participants, involving claims of financial and fiduciary misconduct. In particular, he has been actively involved in several national class actions arising under the Employee Retirement Income Security Act (ERISA) involving the plans of Enron, WorldCom, Global Crossing, Xerox, Merrill Lynch, Marsh McLennan, and many others. Mr. Kilgard is also involved in non-ERISA pension plan cases concerning a “church plan” in Minnesota and a “governmental plan” in Arizona. He has served on the Arizona State Bar’s Civil Practice and Procedure Committee and is a founding member of the Arizona State Bar’s Class Action Committee. He is also a frequent speaker at seminars, for both lawyers and judges, on litigation and pension plan issues. Mr. Kilgard received bachelor’s and master’s degrees from Harvard before returning home to Arizona for law school. He graduated from the A.S.U. College of Law as the Editor-In-Chief of the law review and was selected by faculty as the outstanding graduate of his class. Upon earning his law degree, Mr. Kilgard clerked for the Hon. Mary Schroeder on the Ninth Circuit Court of Appeals before entering private practice. He has been admitted in Arizona since 1979.
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BIOGRAPHIES
Sarah H. Kimberly Sarah Kimberly’s practice focuses on complex ERISA breach of fiduciary duty litigation. She has successfully litigated numerous class actions, including Alvidres v. Countrywide Financial Corp . Ms. Kimberly is also actively involved in In re IndyMac ERISA Litigation , In re Fremont General Corp. Litigation , and In re Marsh ERISA Litigation . Ms. Kimberly graduated from The George Washington University Law School, where she worked as a legal fellow in a community legal clinic and as a law clerk in the National Security Section of the United States Attorney’s Office for the District of Columbia. Prior to law school, Ms. Kimberly worked as an editor at a major publishing company in Boston. She earned her B.A. in Art History from Dartmouth College, and is admitted to practice in Washington State and the Western District of Washington. Ms. Kimberly is also a member of the Washington State, King County, and American Bar Associations, as well as Washington Women Lawyers.
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BIOGRAPHIES
David J. Ko David Ko practices in Keller Rohrback’s nationally recognized complex litigation group, where he represents plaintiffs pri- marily in the areas of consumer protection and ERISA class action litigation. Prior to joining the firm, David completed a two year clerkship for the Honorable Ricardo S. Martinez, United States District Judge in the Western District of Wash- ington. After earning his J.D at Seattle University School of Law, David obtained an LL.M. in Taxation at the University of Washington, where he represented low-income individuals against the IRS in the Federal Tax Clinic. During law school, he served as a Rule 9 intern for a local public defender’s of- fice, and also interned at a civil litigation firm. David received the top grade in his class in Constitutional Law and Legal Writing II, and was selected to the National Order of the Bar- risters for excellence in oral advocacy.
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BIOGRAPHIES
Cari Campen Laufenberg Cari Campen Laufenberg’s practice focuses on complex litigation with an emphasis on ERISA litigation. She has made significant contributions in cases such as In re Marsh ERISA Litigation , In re Williams Cos. ERISA Litigation , In re HealthSouth Corp. ERISA Litigation , and In re The Goodyear Tire & Rubber Co. ERISA Litigation . Ms. Laufenberg earned a J.D. and Masters of Public Administration from the University of Washington. During law school, she served as a judicial extern for U.S. District Court Judge Barbara Jacobs Rothstein. Ms. Laufenberg received her B.A. from the University of California, San Diego in Art History and Criticism. She is admitted to the bar of the State of Washington and the U.S. District Courts for the Western and Eastern Districts of Washington. She is a member of the King County Bar Association, Federal Bar Association, American Bar Association, American Association for Justice, and Washington Women Lawyers. Ms. Laufenberg was recognized in 2008 and 2009 as a “Rising Star” by Washington Law and Politics in its annual review of the State’s legal professionals.
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BIOGRAPHIES
Elizabeth A. Leland Beth Leland’s practice focuses on securities and investment fraud litigation, as well as ERISA breach of fiduciary duty class action cases. She has served as lead counsel in numerous complex cases that have resulted in multimillion dollar settlements. Ms. Leland has more than fifteen years of experience litigating complex cases arising from investment fraud at both the trial and appellate levels, and is also experienced in consumer protection, mass tort, and antitrust litigation. Ms. Leland has made significant contributions in securities and ERISA cases such as the In re Apple, Inc. Derivative Litigation , In re Anicom, Inc. Securities Litigation , In re Dynegy, Inc. ERISA Litigation , In re IKON Office Solutions, Inc. Securities Litigation , In re Merrill Lynch & Co., Inc. ERISA Litigation , In re Visteon Corporation ERISA Litigation and the In re Xerox Corporation ERISA Litigation . She is an active member of the King County, Washington State, and American Bar Associations, including the American Bar Association’s Section of Labor & Employment Law. She earned her B.A. in Business Administration with concentrations in Finance and Business Economics from the University of Washington and graduated cum laude from the University of Puget Sound School of Law. Ms. Leland is admitted to practice in Washington State and Federal Courts, as well as the Ninth and other Circuits across the country. Prior to joining the firm, Beth practiced at another Seattle-area firm where she obtained litigation experience, including trial work, in a variety of areas. She has also served as a speaker and panelist in seminars on securities and corporate litigation.
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BIOGRAPHIES
Michael M. Licata Mike Licata practices in the firm’s nationally recognized complex litigation group. His experience includes work on securities and ERISA class actions, as well as regulatory suits involving financial institutions. He received his J.D. from the University of Washington School of Law. During law school, Mike served as a Law Clerk in the Trial Unit of the U.S. Securities and Exchange Commission’s Enforcement Division, where he worked on behalf of investors in litigation involving accounting fraud, Ponzi schemes, and other violations of the Securities and Exchange Acts. Mike also worked as a Legislative Policy Extern for the ACLU of Washington. He received his B.A. in International Political Economy from the University of Puget Sound.
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BIOGRAPHIES
Tana Lin Tana Lin’s practice includes representing employees in ERISA breach of fiduciary duty class actions, mutual fund shareholders in suits alleging breaches of fiduciary duty by investment advisors in violation of the Investment Company Act, and nurses in cases alleging that hospitals depressed their wages in violation of the Sherman Act. Ms. Lin began her career as a trial attorney with the Public Defender Service for the District of Columbia. She then joined and became a senior trial attorney with the Employment Litigation Section of the Civil Rights Division of the United States Department of Justice and, subsequently, the Equal Employment Opportunity Commission. She has prosecuted employment discrimination cases against governmental entities and private corporations such as Wal-Mart. Ms. Lin also developed and implemented impact projects to address systemic problems affecting the poor as the litigation coordinator for the Michigan Poverty Law Program. She received her A.B. with Distinction from Cornell University and her J.D. from New York University School of Law, where she was a Root-Tilden-Snow Scholar.
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BIOGRAPHIES
Derek W. Loeser Derek Loeser is a partner in the firm’s Complex Litigation Group. His practice focuses on ERISA class action, securities fraud, and investment mismanagement cases, which he has litigated throughout the country. He has recovered hundreds of millions of dollars for employees, retirees, and retirement plans, as well as institutional investors. In addition to his work on cases that have been resolved, including Enron, WorldCom, Countrywide, and Washington Mutual, Mr. Loeser currently serves as Lead or Co-Lead Counsel in several large-scale ERISA breach of fiduciary duty cases, and represents institutional investors, including Federal Home Loan Banks, in mortgage-backed securities cases brought against Wall Street banks and other financial institutions under state blue sky and federal securities laws.
Mr. Loeser is a member of the American Bar Association’s Section of Labor & Employment Law and the Employee Benefits Committee as a Plaintiff attorney, and is a frequent speaker at national ERISA conferences. Before joining Keller Rohrback in 2002, he clerked for the Hon. Michael R. Hogan, United States District Court, District of Oregon, and was a trial attorney in the Employment Litigation Section of the Civil Rights Division of the United States Department of Justice in Washington, D.C. Mr. Loeser obtained his B.A. from Middlebury College, where he graduated summa cum laude, with highest departmental honors, and as a member of Phi Beta Kappa. He graduated with honors from the University of Washington School of Law. Mr. Loeser was named in 2007, 2008, 2009, 2010, 2011, and 2012 as a “Super Lawyer” among civil litigators and recognized in 2005 and 2006 as a “Rising Star” by Washington Law and Politics magazine in its annual review of the State’s legal profession. Mr. Loeser was named a recipient of the 2010 Burton Award for Legal Achievement for the article, "The Continuing Applicability of Rule 23(b)(1) to ERISA Actions for Breach of Fiduciary Duty ," which was published in Pension & Benefits Daily on August 31, 2009. Mr. Loeser also co-authored the article “ The Case Against the Presumption of Prudence ,” which was published in BNA Pension & Benefits Daily , Sept. 10, 2010 (174 PBD, 9/10/10).
He is admitted to practice in Washington State, United States District Courts for the Western and Eastern Districts of Washington, the Eastern District of Michigan, Northern District of Illinois, United States Courts of Appeals for the Second, Sixth, Eighth, Ninth and Eleventh Circuits, and on a pro hac vice basis in federal district courts throughout the country.
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BIOGRAPHIES
Ryan McDevitt Ryan McDevitt practices in the firm’s nationally recognized complex litigation group. His experience includes work on securities, antitrust, ERISA, consumer protection, and employment matters. He received his J.D. from Columbia University’s School of Law in 2010, where he attained Harlan Fiske Stone Honors. Prior to joining the firm, Ryan summered with the Washington State Attorney General in the Antitrust Division, where he worked on a multi-state investigation concerning an international price-fixing conspiracy as well as on local Washington antitrust matters. In law school, Ryan served as a research assistant to Professor June Besek, chair of the ABA Copyright Task Force, and was active in moot court and student government. He received a B.A., Government and Leadership Sequence, with departmental honors, from Claremont McKenna College.
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BIOGRAPHIES
Gretchen S. Obrist Gretchen Obrist joined Keller Rohrback’s complex litigation group in 2007. She has a broad federal court practice. Ms. Obrist has litigated ERISA fiduciary breach, cash balance pension plan, and excessive fee cases, as well as antitrust, RICO, consumer protection, and torts claims. While Ms. Obrist primarily represents plaintiffs, she has also represented defendants and third parties in complex cases. She has made significant contributions in Braden v. Wal-Mart Stores, Inc. , In Re Bear Stearns Cos. Inc. ERISA Litigation , the Washington Mutual and J.P. Morgan pension plan litigations, In re Dry Max Pampers Litigation , and the firm’s mortgage-related practice area. Prior to joining Keller Rohrback, Ms. Obrist worked for two years as a law clerk to the Hon. John C. Coughenour, U.S. District Judge for the Western District of Washington. Ms. Obrist earned her J.D. from the University of Nebraska, where she was Editor-in-Chief of the Nebraska Law Review. During law school, Ms. Obrist worked at a public defender’s office and the Nebraska Domestic Violence Sexual Assault Coalition. She also has worked on legal issues generated by welfare reform. Ms. Obrist was named a “Rising Star” by Washington Law and Politics in 2010. She is admitted to practice in Washington State.
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BIOGRAPHIES
David S. Preminger David Preminger is a partner in the firm’s Complex Litigation Group. His practice focuses on ERISA class action cases as well as individual benefit claims. He has been the lead counsel or co-counsel on numerous ERISA class action, breach of fiduciary duty cases with multimillion dollar settlements. While perhaps divulging too much, Mr. Preminger has been litigating ERISA cases on behalf of employees and retirees since the Act’s passage in 1974. He also has extensive experience litigating anti-trust, real estate and general commercial and corporate matters. Mr. Preminger speaks frequently on issues concerning employee benefits litigation and is a former co-chair of the Fiduciary Responsibility Subcommittee of the Labor and Employment Section of the American Bar Association and was also previously the co-chair of the Subcommittee on ERISA Preemption and the Subcommittee on ERISA Reporting and Disclosure. Mr. Preminger has also served on the Employee Benefits Committee of the Association of the Bar of the City of New York and on that Association Committee on Legal Problems of the Elderly of which he was the chair of the Subcommittee on Pension and Welfare Benefit Plans. Mr. Preminger is also a senior editor of Employee Benefits Law (BNA), a widely used treatise on the subject, and has written law review articles on topics concerning ERISA as well. Mr. Preminger is also a charter member of the American College of Employee Benefits Counsel. Criteria for membership include at least 20 years of employee benefit experience including significant writing, lecturing and public service and recognition of the member by his or her peers for expertise in the field and intellectual excellence. He has also been reognized as a Suyper Lawyer in the field of employee benefits for the last several years. Prior to joining Keller Rohrback, Mr. Preminger was a partner at Rosen Preminger &Bloom LLP where his practice concentrated on ERISA litigation. Mr. Preminger was previously a Supervisory Trial Attorney for the Equal Employment Opportunity Commission, a Senior Attorney with Legal Services for the Elderly Poor and a Reginald Heber Smith Fellow with Brooklyn Legal Services.
Education and Admissions Mr. Preminger received his B.A. degree in mathematics from Rutgers University in New Brunswick, NJ, and his law degree at New York University School of Law where he was a member of the Journal of International Law & Politics . He is admitted to the bar of the State of New York State and to the United States Supreme Court, the United States Courts of Appeal for the Second, Fourth, Seventh, Ninth and District of Columbia Circuits, and the United States District Courts for the Southern, Eastern, Western and Northern Districts of New York. 51 Seattle │ Phoenix │ New York │ Santa Barbara
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BIOGRAPHIES
Erin M. Riley Erin Riley’s practice focuses on ERISA breach of fiduciary duty litigation. She has successfully litigated numerous class actions, including In re Merrill Lynch & Co., Inc. ERISA Litigation . Ms. Riley is also actively involved in In re Washington Mutual, Inc., et al. ERISA Litigation , In re IndyMac ERISA Litigation , and In re Wachovia Corp. ERISA Litigation . She graduated cum laude from the University of Wisconsin School of Law and was a managing editor of the Wisconsin Law Review . She received her B.A. in French and History from Gonzaga University, where she graduated cum laude. Ms. Riley is licensed to practice in both Washington and Wisconsin and is a member of the American Bar Association’s Section of Labor & Employment Law and the Employee Benefits Committee as a plaintiff attorney. Ms. Riley was recognized in 2009 as a “Rising Star” by Washington Law and Politics in its annual review of the State’s legal professionals and co-authored the article “ The Case Against the Presumption of Prudence ,” which was published in BNA Pension & Benefits Daily , Sept. 10, 2010 (174 PBD, 9/10/10).
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BIOGRAPHIES
Mark Samson Mark Samson is a founding member of Keller Rohrback, P.L.C., based in Phoenix, Arizona. Though born in New York, he has been a Phoenix-area resident since 1959. Mr. Samson has a strong medical background (he is a licensed veterinarian as well as a lawyer) and is a very experienced, senior litigator for the firm, having practiced in the medical negligence arena since 1986. His medical and trial experience makes him a valuable resource in KR’s complex litigation practice, whether a case is directly medically-related or not. He was one of the primary KR lawyers representing a class of Arizona state governmental entities in a major anti- trust suit against Microsoft that resulted in direct cash payments to every Arizona state and local governmental sub- entity, including school districts, fire and water districts, counties, cities and towns, and the courts. As local counsel in the case brought against Arizona hospitals for underpaying temporary nurses, he has been directly involved in every step of the litigation. Mr. Samson speaks regularly at state and county bar seminars, on topics including medical negligence, ethics, and trial and case analysis and strategy. Mr. Samson earned his J.D. from Arizona State University (summa cum laude 1986). He also received a B.S. from Arizona State (summa cum laude 1976), a Doctor of Veterinary Medicine from Washington State University (summa cum laude 1980), and a Master of Veterinary Anatomy (1983). Mr. Samson has been admitted to the Arizona Supreme Court since 1986, along with the District of Columbia bar, the Federal District of Arizona, the Ninth Circuit, and has served in cases pro hac vice in New York, New Mexico, Utah, Colorado, and Washington State.
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BIOGRAPHIES
Karin B. Swope Karin Swope practices in the firm’s nationally recognized complex litigation group. Karin’s practice focuses on ERISA and consumer class actions. Prior to joining the firm, Karin litigated commercial cases, primarily in the areas of intellectual property, and business disputes. She also has significant experience in responding to government enforcement activities, including white collar criminal prosecutions, federal civil enforcement actions, and government investigations, and has counseled clients on internal corporate investigations.
Karin is an Associate Editor of the American Bar Association Tort, Trial, and Insurance Practice Law Journal . She is also an adjunct professor at Seattle University School of Law where she teaches in the Art Law Clinic. She is a frequent speaker for Washington State Bar Association CLE programs.
Karin clerked for the Hon. John C. Coughenour, United States District Court, District of Western Washington from 1993 to 1995, and for the Hon. Robert E. Cowen, United States Court of Appeals for the Third Circuit from 1995 to 1996. She graduated Phi Beta Kappa with a B.A. in English and Political Science from Amherst College in 1987 and earned her J.D. from Columbia University School of Law in 1993, where she was Executive Articles Editor for the Columbia Human Rights Law Review, and a Harlan Fiske Stone Scholar and Paul Bernstein Award recipient. She has been recognized as a “Rising Star” by Washington Law and Politics Magazine.
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BIOGRAPHIES
Havila Unrein Havila Unrein practices in Keller Rohrback’s nationally recognized complex litigation group. Havila received a concurrent J.D./LL.M. (Tax), with honors, from the University of Washington School of Law in 2008. During law school, Havila provided tax and business advice to low-income entrepreneurs and high-tech start-ups as a student in the Entrepreneurial Law Clinic. She also served as an extern to the Hon. Stephanie Joannides of the Anchorage Superior Court. Prior to law school, Havila worked and studied abroad in Russia, Azerbaijan, and the Czech Republic. She received her B.A. in Russian Area Studies from Dartmouth College, where she graduated magna cum laude .
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BIOGRAPHIES
Margaret E. Wetherald Margie Wetherald is a partner of Keller Rohrback. Throughout her practice, Ms. Wetherald has handled complex litigation in multiple state and federal jurisdictions with a concentration on commercial insurance coverage and bad faith, ERISA breach of fiduciary duty, and class action litigation. Ms. Wetherald has also handled mass tort litigation involving transmission of AIDS to hemophiliacs through blood products, exposure to contaminated groundwater and hepatitis. She graduated from Cornell Law School. Ms. Wetherald taught at the Columbus School of Law at Catholic University in Washington, D.C. from 1983 to 1985. She chaired the Northwest Environmental Claims Association at various times over a ten-year period and has been a frequent author and speaker on insurance coverage issues. She is admitted to practice in the United States Supreme Court, the United States Court of Appeals for the Ninth Circuit, the United States District Courts for Eastern and Western Washington and in the State Courts in Washington and Oregon.
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BIOGRAPHIES
Harry Williams Harry Williams practices in Keller Rohrback's nationally recognized complex litigation group. Mr. Williams clerked for the Hon. Myron H. Thompson, United States District Court, Middle District of Alabama. As a staff attorney at the American Civil Liberties Union and the Texas Fair Defense Project, Mr. Williams has litigated cases in trial courts across the country, as well as the Washington Supreme Court and Fifth Circuit Court of Appeals. He helped obtain an 8-1 verdict for his client in the United States Supreme Court in Rothgery v. Gillespie County . One of the cases Mr. Williams worked on in Texas was the basis for the 2009 film “American Violet.” He earned his J.D. from Yale Law School where, as a student, he helped litigate a successful class action against the Bridgeport, Connecticut police department. Mr. Williams received his B.A. summa cum laude from the University of Minnesota and also earned a Ph. D. from Columbia University.
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BIOGRAPHIES
Amy Williams-Derry Since joining Keller Rohrback’s Complex Litigation Group in 2005, Amy Williams-Derry has spearheaded numerous class action lawsuits for the firm, specializing in ERISA litigation on behalf of retirement plan beneficiaries and consumer protection cases. She has litigated at both the trial and appellate levels, and has successfully represented clients in mediation and arbitration before the National Labor Relations Board, the National Association of Securities Dealers, and the New York Stock Exchange. Prior to joining Keller Rohrback, Ms. Williams-Derry litigated in both the private and non-profit sectors, with a diverse background in corporate and environmental matters. Ms. Williams-Derry earned her A.B with honors from Brown University and her J.D. from the University of Virginia, where she served as Editor-in-Chief of the Virginia Environmental Law Journal . She is admitted to practice in the Western and Eastern Districts of Washington, the Eastern District of Michigan, and before the Second and Ninth Circuit Courts of Appeal. Washington Law & Politics magazine has named Ms. Williams-Derry a “Rising Star” among civil litigators every year from 2003 through 2009.
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BIOGRAPHIES
Michael D. Woerner
Mike Woerner joined Keller Rohrback in 1985. His practice focuses on class action, mass tort, and cases involving excessive fees in mutual funds and retirement accounts. Mike was a member of the litigation team that received the Trial Lawyers for Public Justice’s 1995 Trial Lawyer of the Year Award for his work in In re the Exxon Valdez . He represented hundreds of clients in multiple states injured by fen-phen diet drugs. More recently, he has brought cases against mutual fund investment advisers for charging excessive fees to mutual fund investors and was co-counsel on Jack Bogle’s (founder of Vanguard) amicus brief in the United States Supreme Court in the case of Jones v. Harris .
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BIOGRAPHIES
Other Keller Rohrback attorneys working with the Complex Litigation Group:
Ian S. Birk Irene M. Hecht David J. Russell Stephen R. Boatwright* Scott C. Henderson Mark D. Samson* Karen E. Boxx Amy E. Hughes William C. Smart Alicia Corbett* Benjamin J. Lantz Thomas A. Sterken Rob J. Crichton Heidi Lantz Benson D. Wong Chloethiel W. DeWeese Robert S. Over Diana M. Zottman Maureen M. Falecki Isaac Ruiz Glen P. Garrison
*Admitted to practice in the State of Arizona only.
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EXHIBIT B Case 1:05-cv-01908-TWP-TAB Document 734 Filed 08/31/12 Page 72 of 74 PageID #: 20820
ANTHEM LITIGATION FEE REPORT
FIRM NAME: Keller Rohrback LLP
REPORTING PERIOD: Inception - August 17, 2012
Timekeeper Hours Rate Lodestar David Copley (P) 2,484.20 $660$ 1,639,572.00 Cari Campen Laufenberg (P) 3,030.00 $550$ 1,666,500.00 Lynn Lincoln Sarko (P) 655.60 $785$ 514,646.00 James Bloom (A) 200.00 $400$ 80,000.00 David Rubenstein (A) 28.60 $250$ 7,150.00 Joseph Vidal (A) 209.00 $260$ 54,340.00 Lauren Arnaud (PL) 49.70 $240$ 11,928.00 Megan Barnett (PL) 355.30 $210$ 74,613.00 Michael Cady (PL) 710.30 $200$ 142,060.00 Melissa LeClaire Madsen (PL) 33.90 $220$ 7,458.00 Melanie Pugh (PL) 39.80 $200$ 7,960.00 Rachel Roberts (PL) 131.45 $200$ 26,290.00 Rebecca Rush (PL) 70.80 $150$ 10,620.00 Milana Shenderovich (PL) 29.30 $200$ 5,860.00 James St. Peter (PL) 70.10 $150$ 10,515.00 Natalie Stephenson (PL) 40.00 $225$ 9,000.00 Jennifer Tuato'o (PL) 850.60 $250$ 212,650.00 Debra Wilcher (PL) 153.70 $200$ 30,740.00
SUBTOTAL 9,142.35$ 4,511,902.00
Other Partners Hours Rate Lodestar SUBTOTAL 36.80 $693 $ 25,502.40
Other Attorneys Hours Rate Lodestar SUBTOTAL 32.75 $406 $ 13,296.50
Other Paralegals Hours Rate Lodestar SUBTOTAL 144.91 $207 $ 29,996.37
Hours Lodestar TOTAL 9356.81$ 4,580,697.27
P = Partner A = Associate PL = Paralegal
1 The rates shown for the categories Other Partners, Other Attorneys and Other Paralegals are blended rates. The median rate for Other Partners is $693. The median rate for Other Attorneys is $406. The median rate for Other Paralegals is $205. Case 1:05-cv-01908-TWP-TAB Document 734 Filed 08/31/12 Page 73 of 74 PageID #: 20821
EXHIBIT C Case 1:05-cv-01908-TWP-TAB Document 734 Filed 08/31/12 Page 74 of 74 PageID #: 20822
ORMOND EXPENSE REPORT
FIRM NAME: Keller Rohrback LLP
REPORTING PERIOD: Inception - August 17, 2012
Description Amount
Assessments/Common Costs$ 726,194.38 CD/DVD Duplication$ 3,033.15 Class certification notice costs$ 435.00 Copies - commercial $ 2,375.95 Copies - in-office $ 25,122.95 Court fees$ 165.00 Court reporters/videographers $ 4,529.50 Electronic document hosting$ 3,984.11 Expert witness fees/costs Jury research/focus groups/mock juries/presentations Legal research costs$ 37,389.11 Mediator costs$ - Postage/express delivery/wire fees$ 5,797.22 Process service/witness fees$ 189.00 Presentation/deposition supplies$ 245.06 Long distance telephone/videoconference$ 3,021.94 Travel (Air, ground, lodging, meals)$ 86,350.67
Total$ 898,833.04