Removal to Federal Court

Cal. Super. - 6th Dist.May 14, 2021

10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 21 CV382341 Santa Clara - Civil R. NgL ESTHER E. CH0, CASB No. 204526 E'ectronlcally Flled esther.cho@kyl.com by suPerior court 0f CA! VALERIE 1. HOLDER, CASB No. 326667 County 0f Santa Clara, valerie.holder@kyl.com 0n 7/1 2/2021 3:42 PM KEESAL, YOUNG & LOGAN Reviewed By: R. Nguyen A Profegsional Corporation case #21 cv332341 450 Paelfic Avenue Envelope: 6828923 San Francisco, California 94 1 33 Telephone: (4 1 5) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF SANTA CLARA - DOWNTOWN SUPERIOR COURT UNLIMITED CIVIL CREDITORS ADJUSTMENT BUREAU, INC., Case N0. 21CV382341 3 Plaintiff, ) Action Filed: May I4, 202] ) VS. ) DEFENDANTS’ NOTICE TO THE CLERK ) OF THE SUPERIOR COURT OF THE OPPENHEIMER & CO. INC; ) FILING OF REMOVAL AND REMOVAL OPPENHEIMER HOLDINGS INC.; and ) OF ACTION TO FEDERAL COURT DOES 1thr0ugh 10, Inclusive, ) ) ASSIGNED FOR ALL PURPOSES T0: ) ) ) ) Judge Kirwan, Peter, Dept. I9 Defendant. TO THE CLERK OF THE SUPERIOR COURT OF CALIFORNIA FOR THE COUNTY OF SANTA CLARA: PLEASE TAKE NOTICE that Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”) have removed the above-entitled action t0 the United States District Court for the Northern District of California. Attached hereto as Exhibit “A” are true and correct copies of the Notice of Filing 0f Removal 0f Action, Notice 0f Removal, and Declaration of Valerie I. Holder, and Declaration 0f John McGuire, the originals of Which have been filed in the United States District Court for the Northern District 0f California in connection With the above-entitled action. _ 1 _ DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT KYL4832-6684-9776.1 yen 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PLEASE TAKE FURTHER NOTICE that pursuant t0 28 U.S.C. § 1446(d), the filing of the attached Notice 0f Removal With the federal court effects removal 0f this action, and this Court may proceed n0 further unless and until the case is remanded. DATED: July 12, 2021 WW ESVTHER E. CHO VALERIE I. HOLDER KEESAL, YOUNG & LOGAN Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. -2- DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT KYL4832-6684-9776.1 EXHIBIT A 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Case N0. NOTICE OF FILING OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 Plaintiff, vs. OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, [DIVERSITY JURISDICTION] Defendants. vvvvvvvvvvvvv TO THE HONORABLE COURT AND PLAINTIFF: PLEASE TAKE NOTICE THAT on July 12, 2021, Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”) filed in the United States District Court, Northern District of California, a Notice 0f Filing 0f Removal of the above- entitled action to the United States District Court from the Superior Court of the State of California for the County of Santa Clara, pursuant t0 28 U.S.C. §§ 1332, 1441(0) and 1446. PLEASE TAKE FURTHER NOTICE that on July 12, 2021, Defendants filed a Notice of Filing ofRemoval and Removal 0f Action to Federal Court, together with a copy of the /// -1- NOTICE OF FILING OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case No. KYL4825-3173-9377.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Notice 0f Removal, With the Clerk of the Superior Court 0f the State 0f California for the County 0f Santa Clara. A true and correct copy 0f the Notice is attached hereto as Exhibit “A.” DATED: July 12, 2021 WWW ESTHER E. CHO VALERIE I. HOLDER KEESAL, YOUNG & LOGAN Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. -2- NOTICE OF FILING OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case No. KYL4825-3173-9377.1 EXHIBIT A 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF SANTA CLARA - DOWNTOWN SUPERIOR COURT UNLIMITED CIVIL CREDITORS ADJUSTMENT BUREAU, INC., Case N0. 21CV382341 3 Plaintiff, ) Action Filed: May I4, 202] ) VS. ) DEFENDANTS’ NOTICE TO THE CLERK ) OF THE SUPERIOR COURT OF THE OPPENHEIMER & CO. INC; ) FILING OF REMOVAL AND REMOVAL OPPENHEIMER HOLDINGS INC.; and ) OF ACTION TO FEDERAL COURT DOES 1thr0ugh 10, Inclusive, ) ) ASSIGNED FOR ALL PURPOSES T0: ) ) ) ) Judge Kirwan, Peter, Dept. I9 Defendant. TO THE CLERK OF THE SUPERIOR COURT OF CALIFORNIA FOR THE COUNTY OF SANTA CLARA: PLEASE TAKE NOTICE that Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”) have removed the above-entitled action t0 the United States District Court for the Northern District of California. Attached hereto as Exhibit “A” are true and correct copies of the Notice of Filing 0f Removal 0f Action, Notice 0f Removal, and Declaration of Valerie I. Holder, and Declaration 0f John McGuire, the originals of Which have been filed in the United States District Court for the Northern District 0f California in connection With the above-entitled action. _ 1 _ DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT KYL4832-6684-9776.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PLEASE TAKE FURTHER NOTICE that pursuant t0 28 U.S.C. § 1446(d), the filing of the attached Notice 0f Removal With the federal court effects removal 0f this action, and this Court may proceed n0 further unless and until the case is remanded. DATED: July 12, 2021 WW ESVTHER E. CHO VALERIE I. HOLDER KEESAL, YOUNG & LOGAN Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. -2- DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT KYL4832-6684-9776.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Case Name: Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Inc, et al. Case N0.: 21 CV382341 KYL File N0.: 6646-84 PROOF OF SERVICE STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO I am employed in the County of San Francisco, State 0f California. I am over the age 0f 18 and not a party t0 the Within action; my business address is Keesal, Young & Logan, 450 Pacific Avenue, San Francisco, California 94133. On July 12, 2021, I served the foregoing documents described as: 1. DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT; and 2. DEFENDANTS’ NOTICE TO ADVERSE PARTY OF REMOVAL TO FEDERAL COURT on the parties in this action by placing a true copy thereof enclosed in a sealed envelope addressed as follows: Kenneth J. Freed, Esq. Tel.: (818) 990-0888 David E. Weeks, Esq. Fax: (818) 990-1047 LAW OFFICES OF KENNETH J. FREED Email: KFREED@KJFESQ.COM 14226 Ventura Boulevard DWEEKS@KJFESQ.COM Sherman Oaks, CA 91423 Counsel for Plaintiff CREDITORS ADJUSTMENT BUREAU, INC. M BY U.S. MAIL: I enclosed the documents in a sealed envelope 0r package addressed t0 the above-named persons at the addresses exhibited therewith and (specify one): D I deposited the sealed envelope with the United States Postal Service, with the postage fully prepaid. M Iplaced the envelope for collection and mailing, following our ordinary business practices. I am readily familiar with this firm’s practice for collecting and processing correspondence for mailing. On the same day that correspondence is placed for collection and mailing, it is deposited in the ordinary course of business with the United States Postal Service, in a sealed envelope With postage fully prepaid. I am a resident or employed in the county where the mailing occurred. The envelope 0r package was placed in the mail at San Francisco, California. M E-MAIL OR ELECTRONIC TRANSMISSION: Based 0n a court order or an agreement of the parties t0 accept service by e-mail or electronic transmission, I caused the documents t0 be sent t0 the above-named persons at the e-mail addresses exhibited therewith. I did not receive, within a reasonable time after the transmission, any electronic message or other indication that the transmission was unsuccessful. Proof 0f Service KYL4827-7459-9921 .1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Case Name: Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Inc, et al. Case N0.: 21 CV382341 KYL File N0.: 6646-84 Executed on July 12, 2021 at San Francisco, California. I declare under penalty of perjury under the laws 0f the State 0f California and United States 0f America that the foregoing is true and correct. I declare that I am employed in the office of a member of the bar of this Court at Whose direction the service was made. Maria Celina M. Schilt Proof 0f Service KYL4827-7459-9921 .1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Case N0. NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 Plaintiff, vs. OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, [DIVERSITY JURISDICTION] Defendants. vvvvvvvvvvvv TO THE CLERK OF THE ABOVE-ENTITLED COURT AND THE HONORABLE UNITED STATES DISTRICT JUDGE: PLEASE TAKE NOTICE that Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”) hereby provide Notice 0fRemoval based 0n diversity, pursuant to 28 U.S.C. § 1332, 1441 and 1446 and hereby remove the above- captioned action from the Superior Court 0f the State of California, in and for the County of Santa Clara, to the United States District Court for the Northern District of California. Defendants assert that jurisdiction exists as follows: -1- NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case N0. KYL4819-2933-2209.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROCEDURAL BACKGROUND 1. On May 14, 2021, Plaintiff CREDITORS ADJUSTMENT BUREAU, INC. (“Plaintiff’) filed a Complaint in the Superior Court of the State of California, County 0f Santa Clara, thereby commencing a civil action entitled Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Ina; Oppenheimer Holdings Ina; andDOES I through 1 0, Inclusive (the “State Court Action”) against Defendants. A true and correct copy of the Complaint, is attached as Exhibit “A.” See Declaration of Valerie I. Holder in support of Notice ofRemoval (“Holder Decl.”), fl 3. Exhibit “A” constitutes all 0f the summons, pleadings and orders in the State Court Action. 2. Defendants’ agent for service of process was served with the Complaint on June 7, 2021 Via mail. A true and correct copy of the Proof of Service is attached as Exhibit “B.” See Holder Decl., 11 4. 3. Pursuant to California Code of Civil Procedure 415.40, service by mail 0n an out 0f state defendant is deemed complete 0n the 10th day after mailing; thus, service was completed on June 11, 2021. JURISDICTIONAL BASIS FOR REMOVAL - DIVERSITY 4. The district courts shall have original jurisdiction of all civil actions where the matter in controversy exceeds the sum or value 0f $75,000, and the citizenship of each plaintiff is different from that of each defendant. 28 U.S.C. § 1332. Diversity jurisdiction exists to provide a “neutral” forum in cases Where one or more of the parties is a citizen of another state or country and to protect against local prejudice in state courts. See Asher v. Pac. Power & Light C0., 249 F. Supp. 671, 674 (N.D. Cal. 1965). Here, the District Court has original jurisdiction because complete diversity exists between Plaintiff and Defendants, and the amount in controversy exceeds $75,000. COMPLETE DIVERSITY AMONG THE PARTIES EXISTS 5. Plaintiff is a corporation that is duly organized and exists under and by Virtue of the laws of the State of California. See Complaint, 1] 5, attached as Exhibit “A”; see also Heinz v. Havelock, 757 F. Supp. 1076, 1079 (C.D. Cal. 1991) (residence is a factor in domicile for diversity jurisdiction). -2- NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case N0. KYL4819-2933-2209.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 6. Defendants are citizens ofNew York Where they maintain their principal place of business and Where they are incorporated. See Declaration 0f John McGuire (“McGuire Decl.”), 1] 3; see also 28 U.S.C. § 1332(c)(1) (“corporation shall be deemed t0 be a citizen of every State and foreign state by Which it has been incorporated and of the State or foreign state where it has its principal place of business . . . .”); Hertz Corp. v. Friend, 559 U.S. 77, 81 (2010) (principal place 0f business refers to “nerve center” where corporation’s high level officers direct, control and coordinate the corporation’s activities). Furthermore, New York is Where Defendants” high level officers work and control the corporations’ activities. See McGuire Decl., 1] 4. See also Exhibit “1” to Defendants’ Request for Judicial Notice In Support 0fNotice of Removal. 7. Although fictitiously designated defendants are referred t0 in the Complaint, such fictitious defendants are to be disregarded for purposes 0f this petition. 28 U.S.C. § 1441(b)(1). 8. Because Plaintiff is a citizen 0f California and Defendants are not citizens of California (but rather a citizens 0fNew York) the citizenship 0f all parties is diverse. THE AMOUNT IN CONTROVERSY EXCEEDS $75,000.00 9. Removal is proper “if the district court finds, by the preponderance 0f the evidence, that the amount in controversy exceeds” $75,000. 28 U.S.C. § 1446(c)(2)(B). Through its Complaint, Plaintiff seeks judgment in the amount 0f $93,904.69, together with interest as well as attorney’s fees for its open book account, account stated, and reasonable value causes of action. See Exhibit “A” p.4, 111. 10. In light of the above, the jurisdictional amount in controversy exceeds $75,000, such that the requirements for diversity jurisdiction are satisfied. TIMELINESS OF REMOVAL 11. As required by 28 U.S.C. section 1446(b)(3), this Notice 0fRemoval is timely because it is being filed within thirty (3 0) days from service 0f the Complaint on Defendants. See Fed. R. CiV. P. 6(a)(1)(C); California Code of Civil Proc. § 415.40; Holder Decl., 1H] 4-6 & Exh. “B.” This Notice ofRemoval is timely because it is being filed within thirty (3 0) days from the completion of service according to Cal. Code CiV. Proc. § 415.40, which states that service by mail on an out-of-state defendant is deemed complete ten (10) days after mailing. Plaintiff served the complaint Via mail on _ 3 _ NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case N0. KYL4819-2933-2209.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 June 1, 2021, therefore service was deemed complete 0n June 11, 2021. See Luchetti v. Hershey Ca, No. C 08-1629 SI, 2008 U.S. Dist. LEXIS 53556, at *7 (N.D. Cal. June 4, 2008) (citing Murphy Brothers, Inc. v. Mitchetti Pipe Stringing, Ina, 526 U.S. 344, 347-48, 352-54 (1999) (“An individual 0r entity named as a defendant is not obliged t0 engage in litigation unless notified 0f the action, and brought under a court’s authority, by formal process”)). VENUE 12. Plaintiff filed the State Court Action in the Superior Court 0f the State 0f California, in and for the County of Santa Clara. 13. Pursuant to 28 U.S.C. section 1446(a) (which states that venue lies in the district and division in which the state court proceeding is pending), Defendants are removing this case t0 the United States District Court for the Northern District of California, which is the district and division in which the State Court Action is pending. See Holder Decl., fl 6. NOTICE TO STATE COURT AND PLAINTIFFS 14. Pursuant t0 28 U.S.C. § 1446(d), Notice of Removal is concurrently being filed with the Superior Court 0f California, County 0f Santa Clara Exhibit “C” (see Holder Decl., 1] 7 & Exh. “C,” attached Without exhibits, Which are incorporated fillly in the federal removal documents) and being served on Plaintiff Exhibit “D” (see Holder Decl., 1] 7 & EXh. “D,” attached Without exhibits, which are incorporated fully in the federal removal documents). WHEREFORE, Defendants hereby remove Santa Clara County Superior Court Case No. 21CV382341 t0 the United States District Court for the Northern District 0f California. DATED: July 12, 2021 WWW ESTHER E. CHO VALERIE I. HOLDER KEESAL, YOUNG & LOGAN Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. -4- NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446 - Case N0. KYL4819-2933-2209.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@ky1.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Case N0. DECLARATION OF JOHN MCGUIRE IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL Plaintiff, vs. OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, [DIVERSITY JURISDICTION] Defendants. vvvvvvvvvvvv I, John T. McGuire, declare as follows: 1. I am Deputy General Counsel for Defendant OPPENHEIMER & CO. INC. (“Defendant”). Ihave personal knowledge 0f the contents 0f this Declaration, except as t0 those matters Where my knowledge is based on a review 0f records kept in the ordinary course of Defendants’ business, and I could and would competently testify thereto if called t0 do so. 2. This Declaration is offered in support of Defendants' Notice of Removal. 3. I am informed and believe that Defendants are incorporated under the laws of the State ofNew York, and maintain principal places 0f business in the State 0fNew York. 4. Defendant Oppenheimer & C0. Inc. is a subsidiary 0f Defendant Oppenheimer Holdings, both 0f Which are incorporated under the laws of the State 0fNew York, maintain principal _ 1 _ DECLARATION OF JOHN MCGUIRE IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL - Case N0. KYL4823-2045-1569.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 places of business in the State 0fNew York, and have their executive level officers work from office locations in New York. 5. I am familiar with and have reviewed Plaintiff CREDITORS ADJUSTMENT BUREAU, INC.’s (“Plaintiff”) Complaint. I declare under penalty 0f perjury under the laws 0f the United States 0f America and the State of California that the foregoing is true and correct. Executed this 9th day of July, 2021, at Richmond County , New York. 95aTWW John McGuire Deputy General Counsel Oppenheimer & C0. Inc. -2- DECLARATION OF JOHN MCGUIRE IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL - Case N0. KYL4823-2045-1569.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Case N0. DECLARATION OF VALERIE I. HOLDER IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL Plaintiff, vs. OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, [DIVERSITY JURISDICTION] Defendants. vvvvvvvvvvvv I, VALERIE I. HOLDER, declare as follows: 1. I am an attorney duly licensed to practice before this court 0f the State 0f California and I am an attorney at the law firm of Keesal, Young & Logan, counsel for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”). The following facts and circumstances are 0fmy own personal knowledge, except as t0 those matters which are stated herein on information and belief and, as to them, Ibelieve them to be true. If requested t0 testify as a Witness, I could and would competently testify to the following: 2. This Declaration is offered in support of Defendants’ Notice 0f Removal. 3. I am informed and believe that on May 14, 2021, Plaintiff CREDITORS ADJUSTMENT BUREAU, INC. (“Plaintiff”) filed a Complaint in the Superior Court of the State of _ 1 _ DECLARATION OF VALERIE I. HOLDER IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL - Case No. KYL4811-1393-3297.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 California, County 0f Santa Clara, thereby commencing a civil action Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Ina; Oppenheimer Holdings Ina; andDOES 1 through 10, Inclusive (the “State Court Action”) against Defendants. A true and correct copy 0f the Complaint, is attached as Exhibit “A” to Defendants’ concurrently filed Notice of Removal. 4. Service of the Summons and Complaint 0n Defendants was completed on June 11, 2021. A true and correct copy of the service is attached as Exhibit “B” to Defendants’ concurrently filed Notice of Removal. 5. This Notice ofRemoval is filed Within thirty (3 0) days 0f completed service on Defendants’ 0f the Summons and Complaint. 6. The State Court in which this action was commenced, the Superior Court of California, County of Santa Clara, is Within this Court’s District. 7. Notice 0fRemoval is concurrently being filed with the Superior Court 0f California, County 0f Santa Clara and served on Plaintiff, as reflected by Exhibit “C” and Exhibit “D,” respectively, attached to the concurrently filed Notice 0f Removal. I declare under penalty of perjury under the laws 0f the United States 0fAmerica and the State of California that the foregoing is true and correct. Executed this 12th day of July, 2021, at San Francisco, California. WWW VALERIE I. HOLDER -2- DECLARATION OF VALERIE I. HOLDER IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL - Case No. KYL4811-1393-3297.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Case N0. Plaintiff, DEFENDANTS’ REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF NOTICE OF vs. REMOVAL OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, Defendants. vvvvvvvvvvvv TO THE HONORABLE UNITED STATES DISTRICT JUDGE AND TO ALL PARTIES AND TO THEIR ATTORNEYS OF RECORD: Pursuant to Rule 201(b)(2) of the Federal Rules of Evidence, Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. (collectively, “Defendants”) request the Court take judicial notice of the following: Exhibit 1: which is a true and correct copy 0f the Corporation - Statement of Information filed by Defendant Oppenheimer & Co. Inc. with the California Secretary 0f State. Judicial notice is appropriate because this information is posted on official government websites that can accurately and readily be determined from sources whose accuracy cannot reasonably be questioned. Fed. R. EVid. 201(b)(2). See also Curcz'o v. Wachovia Mortg. Corp, 2009 -1- DEFENDANTS’ REQUEST FOR JUDICIAL NOTICE - Case No. KYL4845-0211-9665.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 U.S. Dist. LEXIS 96155, at *10-11 (SD. Cal. Oct. 14, 2009) (taking judicial notice ofprintouts from FDIC Bank Find Which are “matters of public record, provided by a government agency for public review”); Callan v. Experian Info. Solutions, Ina, 2013 U.S. Dist. LEXIS 94253, at *3-4 n.2 (ND. Cal. Jul. 5, 2013) (finding that information from the FDIC’s BankFind site t0 be “suitable for judicial notice”); Sami v. Wells Fargo Bank, 2012 U.S. Dist. LEXIS 38466, at *6 (N.D. Cal. Mar. 21, 2012) (taking judicial notice of a national banking association’s articles of association); Taguinod v. World Sav. Bank, FSB, 2010 U.S. Dist. LEXIS 140509, at *4 (C.D. Cal. Dec. 2, 2010) (same). DATED: July 12, 2021 ESTHER E. CHO VALERIE I. HOLDER KEESAL, YOUNG & LOGAN Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. -2- DEFENDANTS’ REQUEST FOR JUDICIAL NOTICE - Case No. KYL4845-0211-9665.1 EXHIBIT 1 California Secretary of State Electronic Filin Secretary 0f Stateg State 0f California Corporation - Statement of Information Entity Name: OPPENHEIMER & CO. INC. Entity (File) Number: 01849042 File Date: 12/16/2020 Entity Type: Corporation Jurisdiction: NEW YORK Document ID: GM82709 Detailed Filing Information 1- Entity Name: OPPENHEIMER & CO. INC. 2. Business Addresses: a. Street Address of Principal Office in California: b- Mai'ing Address= 85 Broad Street, 22nd Floor New York, New York 10004 United States of America c. Street Address of Principal EXSCUt'Ve Office: 85 Broad Street, 22nd Floor New York, New York 10004 United States of America 3. Officers: a' Chief ExeCUtive Office“ Albert Grinsfelder Lowenthal 85 Broad Street, 22nd Floor New York, New York 10004 United States of America b- SeCI'Etaryi Dennis Patrick McNamara 85 Broad Street, 22nd Floor New York, New York 10004 United States of America Document ID: GM82709 Use bizfile.sos.ca.gov for online filings, searches, business records, and resources. Officers (cont'd): c. Chief Financial Officer: 4. Director: Number of Vacancies on the Board of Directors: 5. Agent for Service of Process: 6. Type of Business: California Secretary of State Electronic Filing Jeffrey J. Alfano 85 Broad Street, 22nd Floor New York, New York 10004 United States of America Not Applicable Not Applicable CORPORATION SERVICE COMPANY WHICH WILL DO BUSINESS IN CALIFORNIA AS CSC - LAWYERS INCORPORATING SERVICE (C1592199) Security Investment Brokerage. By signing this document, | certify that the information is true and correct and that | am authorized by California law to sign. Electronic Signature: Dennis Patrick McNamara Use bizfile.sos.ca.gov for online filings, searches, business records, and resources. Document ID: GM82709 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ESTHER E. CHO, CASB No. 204526 esther.cho@kyl.com VALERIE I. HOLDER, CASB No. 326667 valerie.holder@kyl.com KEESAL, YOUNG & LOGAN A Professional Corporation 450 Pacific Avenue San Francisco, California 94133 Telephone: (415) 398-6000 Facsimile: (415) 981-0136 Attorneys for Defendants OPPENHEIMER & CO. INC. and OPPENHEIMER HOLDINGS INC. UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA CREDITORS ADJUSTMENT BUREAU, INC., Plaintiff, VS. OPPENHEIMER & CO. INC.; OPPENHEIMER HOLDINGS INC.; and DOES 1through 10, Inclusive, Defendants. vvvvvvvvvvvv Case N0. PROOF OF SERVICE OF DEFENDANTS’ NOTICE OF REMOVAL OF ACTION AND SUPPORTING DOCUMENTS STATE OF CALIFORNIA, COUNTY OF FRANCISCO I am employed in the County of San Francisco, State 0f California. I am over the age 0f 18 and not a party t0 the within action; my business address is Keesal, Young & Logan, 450 Pacific Avenue, San Francisco, California 94133. On July 12, 2021, I served the foregoing documents described as: 0 NOTICE OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446; o NOTICE OF FILING OF REMOVAL ACTION PURSUANT TO 28 U.S.C. §§ 1332, 1441, AND 1446; 0 DEFENDANTS’ REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF NOTICE OF REMOVAL; -1- PROOF OF SERVICE OF REMOVAL DOCUMENTS - Case N0. KYL4844-3528-1905.1 A QQUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 0 DECLARATION OF VALERIE I. HOLDER IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL; 0 DECLARATION OF JOHN MCGUIRE IN SUPPORT OF DEFENDANTS’ NOTICE OF REMOVAL; 0 CIVIL COVER SHEET; and o PROOF OF SERVICE on the patties in this action by placing a true copy thereof enclosed in a sealed envelope addressed as follows: Kenneth J. Freed, Esq. David E. Weeks, Esq. LAW OFFICES OF KENNETH J. FREED 14226 Ventura Boulevard Sherman Oaks, CA 91423 Tel.: (818) 990-0888 Fax: (818) 990-1047 Email: KFREEDGDKJFESQCOM DWEEKS@KJFESO.COM Counsel for Plaintiff CREDITORS ADJUSTMENT BUREAU, INC. BY U.S. MAIL: Ienclosed the documents in a sealed envelope 0r package addressed to the above-named persons at the addresses exhibited therewith and I placed the envelope for collection and mailing, following our ordinary business practices. I am readily familiar with this firm’s practice for collecting and processing correspondence for mailing. On the same day that correspondence is placed for collection and mailing, it is deposited in the ordinary course 0f business with the United States Postal Service, in a sealed envelope with postage fully prepaid. I am a resident or employed in the county where the mailing occurred. The envelope or package was placed in the mail at San Francisco, California. BY E MAIL OR ELECTRONIC TRANSMISSION: Based on a court order 0r an agreement of the parties t0 accept service by e mail or electronic transmission, I caused the documents to be sent to the above-named persons at the e mail addresses exhibited therewith. I did not receive, -2- PROOF OF SERVICE OF REMOVAL DOCUMENTS - Case No. KYLA844-3528-1905.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Within a reasonable time after the transmission, any electronic message or other indication that the transmission was unsuccessful. Executed on July 12, 2021 at San Francisco, California. I declare under penalty of perjury under the laws 0f the State 0f California and United States ofAmerica that the foregoing is true and correct. I declare that I am employed in the office of a member of the bar of this Court at whose Maria Celina M. Schilt direction the service was made. -3- PROOF OF SERVICE OF REMOVAL DOCUMENTS - Case N0. KYL4844-3528-1905.1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Case Name: Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Inc, et al. Case N0.: 21 CV382341 KYL File N0.: 6646-84 PROOF OF SERVICE STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO I am employed in the County of San Francisco, State 0f California. I am over the age 0f 18 and not a party t0 the Within action; my business address is Keesal, Young & Logan, 450 Pacific Avenue, San Francisco, California 94133. On July 12, 2021, I served the foregoing documents described as: 1. DEFENDANTS’ NOTICE TO THE CLERK OF THE SUPERIOR COURT OF THE FILING OF REMOVAL AND REMOVAL OF ACTION TO FEDERAL COURT; and 2. DEFENDANTS’ NOTICE TO ADVERSE PARTY OF REMOVAL TO FEDERAL COURT on the parties in this action by placing a true copy thereof enclosed in a sealed envelope addressed as follows: Kenneth J. Freed, Esq. Tel.: (818) 990-0888 David E. Weeks, Esq. Fax: (818) 990-1047 LAW OFFICES OF KENNETH J. FREED Email: KFREED@KJFESQ.COM 14226 Ventura Boulevard DWEEKS@KJFESQ.COM Sherman Oaks, CA 91423 Counsel for Plaintiff CREDITORS ADJUSTMENT BUREAU, INC. M BY U.S. MAIL: I enclosed the documents in a sealed envelope 0r package addressed t0 the above-named persons at the addresses exhibited therewith and (specify one): D I deposited the sealed envelope with the United States Postal Service, with the postage fully prepaid. M Iplaced the envelope for collection and mailing, following our ordinary business practices. I am readily familiar with this firm’s practice for collecting and processing correspondence for mailing. On the same day that correspondence is placed for collection and mailing, it is deposited in the ordinary course of business with the United States Postal Service, in a sealed envelope With postage fully prepaid. I am a resident or employed in the county where the mailing occurred. The envelope 0r package was placed in the mail at San Francisco, California. M E-MAIL OR ELECTRONIC TRANSMISSION: Based 0n a court order or an agreement of the parties t0 accept service by e-mail or electronic transmission, I caused the documents t0 be sent t0 the above-named persons at the e-mail addresses exhibited therewith. I did not receive, within a reasonable time after the transmission, any electronic message or other indication that the transmission was unsuccessful. Proof 0f Service KYL4827-7459-9921 .1 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Case Name: Creditors Adjustment Bureau, Inc. v. Oppenheimer & C0. Inc, et al. Case N0.: 21 CV382341 KYL File N0.: 6646-84 Executed on July 12, 2021 at San Francisco, California. I declare under penalty of perjury under the laws 0f the State 0f California and United States 0f America that the foregoing is true and correct. I declare that I am employed in the office of a member of the bar of this Court at Whose direction the service was made. Maria Celina M. Schilt Proof 0f Service KYL4827-7459-9921 .1