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UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA SOUTHERN DIVISION

JOYCE WALKER, KIM BRUCE Case No.: CV-10-9198-JVS (RNBx) HOWLETT, and MURIEL SPOONER, on behalf of themselves and all others similarly situated,

Plaintiffs, ORDER RE: CONTACTS WITH CLASS MEMBERS

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VS.

LIFE INSURANCE COMPANY OF THE SOUTHWEST, a Texas corporation, and Does 1-50,

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Defendant.

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ORDER RE: CONTACTS WITH CLASS MEMBERS

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WHEREAS, on September 27, 2011, the Court entered the Second Amended

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Protective Order [Dkt. No. 103], pertaining to confidential information produced

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by the parties;

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WHEREAS, counsel for both parties wish to implement a procedure for contacting

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absent putative class members to protect against putative class members being

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inappropriately influenced or subjected to harassment;

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Accordingly, IT IS HEREBY ORDERED that the terms and conditions of this

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Order shall govern contact with putative class members by Plaintiffs’ counsel, Life

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Insurance Company of the Southwest (“LSW’’)’s counsel, and those acting on their

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behalf:

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8114359v1 EE ee 4/4/2012 11:46 AM ORDER RE: CONTACTS WITH CLASS MEMBERS

USDC Case No. CV-10-9198-JVS [RNBx]

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1. Limitations on Oral Communications with Putative Class

Members: Plaintiffs’ Counsel, LSW’s Counsel, and those acting on their behalf

shall be permitted to initiate informal oral communications with any putative class

member who is not already represented by counsel, regardless of whether their

identities are discovered through LSW’s records or otherwise, if the procedures set

forth below are followed.

2 Script to Be Read to Putative Class Members: Prior to speaking

with putative class members, Plaintiffs’ Counsel, LSW’s Counsel, and their

representatives shall read a “script” that will inform the individual:

a.

That litigation has been commenced against LSW regarding certain of its equity-indexed universal life policies;

That the caller is contacting the individual on behalf of [plaintiffs or LSW];

That the individual does not have any obligation to speak with the

caller;

. That the individual is free to end the conversation at any time; and

[For putative class members whose contact information was gained through personal identifying information produced by LSW in this litigation:] that LSW was required to produce the

individual’s personal identifying information by Court order.

Counsel shall maintain for inspection as copy of the actual script(s) used.

3. Disclosure of Putative Class Member Contact and Depositions: In

the event that either side intends to rely upon testimony from a putative class

ORDER RE: CONTACTS WITH CLASS MEMBERS USDC Case No. CV-10-9198-JVS [RNBx] 2

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member in support of their class certification briefing, the party shall notify the other side of their intent and identify such individual(s) no later than April 30, 2012. The other side will then be permitted to depose such individual(s).

4. No Contact with Minors: The parties shall not contact any person that they know or reasonably ought to know to be under the age of eighteen at the time that the contact occurs.

2. No Contact with Policyholders Who Are Not Class Members: Plaintiffs shall not contact any LSW policyholder who they know or reasonably ought to know is not a member of the putative class. For greater certainty, this includes any individual who is an insured but who is not also a policy owner as well as any individual whose policy was issued before September 24, 2006.

6. No Disruption of Business Operations: This Order shall not prevent LSW or its agents from acting in the normal course of their business or in any way alter LSW’s normal continuing business operations. Nor shall this Order in any way limit LSW or LSW’s counsel’s ability to communicate with authorized LSW agents or LSW employees and similar persons who are not exclusively customers of LSW.

Ts No Solicitation: The parties shall not contact putative class members for the purpose of soliciting clients to represent in this litigation.

8. All individuals, other than minors, who received a letter from either the Plaintiffs or LSW are to receive a notice from the Court (attached as Exhibit A). The parties are to share equally the cost of sending the notice. The notice shall be

mailed by LSW within ten days of the date of this Order.

ORDER RE: CONTACTS WITH CLASS MEMBERS USDC Case No. CV-10-9198-JVS [RNBx] 3

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9. Applicability of Other Orders: The Second Amended Protective Order [Dkt. 103] is hereby amended to the extent necessary to allow putative class member contact as set forth herein.

IT IS SO ORDERED.

Dated: April 4, 2012

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James V. Selna

United States District Judge

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ere ORDER RE: CONTACTS WITH CLASS MEMBERS USDC Case No. CV-10-9198-JVS [RNBx] A

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EXHIBIT A: COURT NOTICE

2 UNITES STATES DISTRICT COURT 3 CENTRAL DISTRICT OF CALIFORNIA 4 UNITED STATES DISRCIT JUDGE JAMES V. SELNA 5 P ear Mr./Ms. NAME, This is a notice from the U.S. District Court for the Central District of 7] California, concerning a lawsuit titled, Joyce Walker, et al., v. Life Insurance Company of the Southwest. The case number is CV 10-9198 81 JVS (RNBx). The Court is providing this notice to anyone not a minor g} who previously received correspondence either from the Plaintiffs (dated January 30 or 31, 2012) or from the defendant LSW (dated February 10, 10} 2012). 11) [he Court is contacting you to provide the following information and not because either party has done anything improper in contacting you 12] previously. You are not obligated to do anything in response to this . notice. The lawsuit was filed against Life Insurance Company of the Southwest 144 (“LSW’) by Joyce Walker, Kim Howlett, and Muriel Spooner. These individuals, the “Plaintiffs,” allege that LSW did not disclose in its policy 15] illustrations (1) certain policy fees and charges; (2) how guaranteed 16 values are calculated; (3) how stock market volatility affects the risks that the policies will not perform as illustrated; and (4) the tax risks of policy 17) loans, and that these policies are worth far less than had been represented by LSW. 181 These are only allegations and LSW has not yet had the opportunity to 19] present evidence on its own behalf. LSW says that it has done nothing wrong. LSW alleges that (1) the Plaintiffs received full and accurate 20] information about their policies, (2) LSW’s illustrations comply with California law, and (3) LSW provided all insurance coverage and 21 guarantees due under the Plaintiffs’ policies, and they have not suffered 99] any injury as a result of any alleged wrongdoing by LSW. On January 30 and 31, 2011, lawyers representing the Plaintiffs sent a 23 mailing concerning the lawsuit, which you may have received. The 94] purpose of that mailing was to gather information about their claims. Plaintiffs’ lawyers were not soliciting new clients. Your contact 25] information was provided to Plaintiffs’ lawyers by LSW only for the purposes of this lawsuit and subject to the terms of an order requiring that 26] your information be otherwise kept confidential. 27 Plaintiffs and their lawyers would like to proceed with their lawsuit as a 28 a9 ~~ ORDER RE: CONTACTS WITH CLASS MEMBERS

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class action. This means that the Plaintiffs and their lawyers would like to act on behalf of “all person who purchased an Indexed Universal Life

21 Insurance policy, including but not limited to persons who purchased a 3] SecurePlus Provider policy or SecurePlus Paragon policy, from Life Insurance Company of the Southwest on or after September 24, 2006 and 4] who resided in California at the time the policy was initially issued.” s|_ If you purchased your policy before September 24, 2006 or if you were not the purchaser of the policy on which you are the insured, you are not 6] amember of the proposed class. 7 Before this case can proceed as a class action, however, the Court will have to decide whether this case is appropriate for a class action. As part gf} of that decision, the Court will decide (1) whether this is an appropriate case to be treated as a class action under the Court’s rules, (2) whether 9} the Plaintiffs would be appropriate representatives of a class, and (3) 10 whether the Plaintiffs’ lawyers would be appropriate attorneys for the class. Plaintiffs are expected to file their request for class certification in 11] May 2012, and the Court will then rule on these issues. D Because Plaintiffs have not yet filed that request, the Court has not yet decided whether this case can proceed as a class action, and has not 13] appointed the Plaintiffs’ lawyers to represent the class. 4 You are not under any obligation to speak either with Plaintiffs’ counsel or with LSW or with LSW’s counsel, but you may do so if you wish. 15] The contact information for counsel for the Plaintiffs and for LSW is set 16 forth below: Plaintiffs’ Counsel: Brian P. Brosnahan, Kasowitz, Benson, Torres & 17] Freidman LLP, 101 California St., Suite 2300, San Francisco, CA 94111; 18 415.655.4337; bbrosnahan @ kasowitz.com Defendant’s Counsel: Joel Fleming, Wilmer, Cutler, Pickering, Hale and 197 Dorr LLP; 950 Page Mill Rd., Palo Alto, California; 650.858.6114; 20 joel.fleming @ wilmerhale.com

Customer Service for Life Insurance Company of the Southwest: 21} = 1.800.554.8723

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