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FACTS AND PROCEDURAL HISTORY Sample Clauses

FACTS AND PROCEDURAL HISTORY. Dun-Ridge Subdivision No. 1
FACTS AND PROCEDURAL HISTORYOn November 12, 2005, Plaintiff Xxxxxxx X. Xxxxx’x (“Plaintiff”) wife died “as a result of a tragic medical mistake.” (Compl. ¶ 11.) Plaintiff subsequently received a medical malpractice settlement of $1,250,000. (Id.) On July 17, 2007, Plaintiff met with Defendant Xxx XxXxxxx (“XxXxxxx”) in Honolulu for a presentation about having Mellon manage these funds. (Id. ¶ 13.) At this initial meeting, Plaintiff signed an Investment Management Account Agreement (“July 17, 2007 Agreement,” Opp’n Ex. 1). In August 2007, Plaintiff deposited approximately $1,256,353 in his investment account with Mellon. (Compl. ¶ 18.) XxXxxxx was the senior portfolio manager for Plaintiff’s investment account, and Defendant Xxxxx Xxxxxxxxx (“Xxxxxxxxx”) was the portfolio manager. (Id.) In September 2007, after Plaintiff had been advised to create a trust and to change the name on his investment account to the name of his trust, the parties executed another Investment Management Account Agreement (“September 10, 2007 Agreement,” Mot. Ex. 1). (Opp’n at 4.) The September 10, 2007 Agreement reflects the Xxxxxxx Xxxxxxx Xxxxx Trust as the account holder. (See September 10, 2007 Agreement.) Plaintiff withdrew $100,000 from his investment account in December 2007, and another $50,000 in February 2008. (Compl. ¶ 21.) In April 2008, Plaintiff allegedly told XxXxxxx and Xxxxxxxxx that he wanted to withdraw additional funds, but they purportedly advised him to obtain a line of credit instead. (Id. ¶ 22.) Plaintiff initially obtained a $525,000 line of credit, which was increased to $625,000 in August 2008. (Id. ¶ 27.) Plaintiff contends that this leverage against his investment account greatly exacerbated the losses he incurred in the Fall 2008 stock market downturn. (Id. ¶¶ 28–31.) On September 1, 2010, Plaintiff filed a Complaint in Hawaii state court against Defendants The Bank of New York Mellon Corporation, BNY Mellon Wealth Management Trust, Mellon Trust Company of California nka BNY Mellon, N.A., Xxx XxXxxxx, and Xxxxx Xxxxxxxxx (collectively, “Defendants”), as well as various Doe defendants, for damages and other remedies resulting from Plaintiff’s investment losses. (“Compl.,” Doc. # 1, Ex. A.) Specifically, Plaintiff’s Complaint alleges Counts: (Count I) violation of Hawaii Revised Statutes Chapter 480 (id. ¶¶ 34–40); (Count II) violation of the Hawaii Uniform Securities Act (id. ¶¶ 41–45); (Count III) breach of fiduciary duty (id. ¶¶ 46–52); (Count IV) breach of contract (id. ¶¶ 53–5...
FACTS AND PROCEDURAL HISTORY. 2 In February 2000, the following entities signed an agreement establishing Sun Valley Ranch 308 Limited Partnership (“SVR 308”):
FACTS AND PROCEDURAL HISTORY. After Hurricanes Xxxxxxx and Xxxx, Xx. Xxxxxx, along with numerous other local residents, obtained a grant from the Louisiana State Hazard Mitigation Program to elevate his home. Crescent Shoring, LLC, (“Crescent”), was one of the contractors performing home elevation for homeowners that received grant money to elevate their homes. On January 30, 2009, Mr. Rodney1 entered into a contract with Crescent Shoring, LLC, (hereinafter “Crescent”), to elevate his home located at 0000 Xxxxxxxx Xxxxx, Xxxxxx, Xxxxxxxxx. Xx January 26, 2012, Crescent entered into a contract with Roubion as a subcontractor to assist in performing the work under the contract. Roubion performed services under the subcontractor agreement and although Crescent was paid for much of the work performed by Roubion, Crescent did not pay Roubion. On April 4, 2013, Roubion filed and recorded liens against several homeowners, including Xx. Xxxxxx, for services rendered by Roubion in connection with elevating the homes. On April 3, 2014, Roubion filed a Petition to Enforce Liens against these homeowners, including Xx. Xxxxxx, in a suit bearing 24th Judicial District Court number 737-093. On August 4, 2014, Xx. Xxxxxx filed Exceptions of No Right of Action, No Cause of Action, and Prescription, Improper Cumulation of Actions, and Failure to Include Indispensable Parties. Before all of 1 Other nonaffiliated homeowners also entered into contracts with Crescent to elevate their individual homes. these exceptions could be heard,2 this matter was transferred to another division of the 24th Judicial District Court, where it was consolidated with a suit entitled Roubion v. Crescent Shoring, LLC, bearing 24th Judicial District Court number 729-195. On December 8, 2015, Xx. Xxxxxx filed a second pleading entitled Exceptions of No Right of Action, No Cause of Action, and Prescription, Improper Cumulation of Actions, and Failure to Include Indispensable Parties. Following a hearing on these motions, in a judgment dated March 16, 2016, the trial court sustained the Exceptions of No Cause of Action, No Right of Action and Prescription, denied the Exception of Improper Cumulation of Actions,3 and found the Exception of Failure to Include Indispensable Parties to be moot. On March 30, 2016, Roubion filed a Motion for New Trial, arguing that the March 16, 2016 judgment was contrary to law and evidence. Following a hearing, by judgment dated May 18, 2016, the trial court denied the Motion for New Trial. On June 17,...
FACTS AND PROCEDURAL HISTORY. Plaintiffs Xxxxxx Xxxxx and Xxxxx Xxxxx sued defendants Xxxxxx and NBD for providing allegedly erroneous legal and tax advice concerning an estate plan for the decedent, Xxxxxxx Xxxxx, Xx., that plaintiffs claim resulted in a large federal estate tax liability upon the decedent's death. The estate plan consisted of a last will and testament and a revocable trust (including amendments) with the decedent as the settlor and trustee. Upon his death, Xxxxxx Xxxxx, the decedent's surviving spouse, and Xxxxx Xxxxx, one of the decedent's children, became the 1 Defendants Law Offices of Xxxxx X. Xxxxxx, Xxxxx X. Xxxxxx, and Xxxxxx X. Xxxxxx are referred to collectively as "defendants Xxxxxx" while defendant National Bank of Detroit is further referenced as "NBD." xxxxxxxxxx of the decedent's trust and were appointed as the copersonal representatives of his estate. They brought this action on behalf of both the trust and the estate, and Xxxxxx Xxxxx also joined the action as a beneficiary of the decedent's estate. A somewhat basic overview of federal estate tax law2 is helpful to an understanding of this case. In the vast majority of cases, no estate tax is due upon a person's death if he leaves his assets to a surviving spouse or others. There are two principal reasons for this. First, the estate tax is intended for wealthy individuals; the estate tax system has a built-in tax credit that corresponds to an amount that is excluded from taxation. In this context, the "unified credit" refers to a credit on the amount of otherwise payable tax. The "applicable exclusion amount" or "credit equivalent" refers to the monetary value of the person's assets that, if subject to tax, would result in a tax equal to the unified credit amount. The actual unified credit amount, and thus the corresponding credit equivalent in assets, has varied over the years. At the time of the decedent's death, the allowable unified credit was $192,800, which in effect exempted from tax an asset amount of $600,000. Thus, at that time, if a person died having less than $600,000 in assets, his estate would not owe any federal estate tax, regardless of to whom he left his estate. A second principal reason that a person might not owe federal estate taxes upon death is the existence of an "unlimited marital deduction." The estate tax scheme allows for an automatic deduction for all property left to a surviving spouse. The amount deducted is not taxed upon the death of the first spouse, but any assets r...
FACTS AND PROCEDURAL HISTORY. This case comes before us on a second appeal, the first appeal having been dismissed on the grounds that the judgment at issue was interlocutory rather than final in nature. Khoobehi Props., L.L.C. x.
FACTS AND PROCEDURAL HISTORY. 2. Xxxxxxx and Xxxxxx were married on February 24, 1974. The divorce proceedings commenced in August 2002, and the parties finally entered into a stipulation of divorce on March 29, 2006, stipulating to irreconcilable differences as the ground for divorce. A property settlement agreement, which had been executed by the parties, was incorporated into the judgment of divorce that was entered on May 16, 2006. On May 30, 2006, Xxxxxx remarried.

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  • Ordering Guidelines and Processes 1.13.1 For information regarding Ordering Guidelines and Processes for various Network Elements, Combinations and Other Services, Comcast Phone should refer to the “Guides” section of the BellSouth Interconnection Web site, which is incorporated herein by reference, as amended from time to time. The Web site address is: http//xxx.xxxxxxxxxxxxxxx.xxxxxxxxx.xxx/. 1.13.2 Additional information may also be found in the individual CLEC Information Packages, which are incorporated herein by reference, as amended from time to time, located at the “CLEC UNE Products” Web site address: xxxx://xxx.xxxxxxxxxxxxxxx.xxxxxxxxx.xxx/guides/html/unes.html. 1.13.3 The provisioning of Network Elements, Combinations and Other Services to Comcast Phone’s Collocation Space will require cross-connections within the central office to connect the Network Element, Combinations or Other Services to the demarcation point associated with Comcast Phone’s Collocation Space. These cross-connects are separate components that are not considered a part of the Network Element, Combinations or Other Services and, thus, have a separate charge pursuant to Attachment 4.

  • Litigation, Environmental and Labor Matters (a) Except as set forth on Schedule 3.06, (i) there are no actions, suits or proceedings by or before any arbitrator or Governmental Authority pending against or, to the knowledge of the Borrower, threatened against or affecting the Borrower or any Restricted Subsidiary that could reasonably be expected, individually or in the aggregate, to result in a Material Adverse Effect and (ii) none of the Borrower or any Subsidiary has treated, stored, transported, Released or disposed of Hazardous Materials at or from any currently or formerly owned real property or facility relating to its business in a manner that could reasonably be expected to have a Material Adverse Effect. (b) Except with respect to any matters that, individually or in the aggregate, could not reasonably be expected to result in a Material Adverse Effect, none of the Borrower or any Restricted Subsidiary (i) has failed to comply with any Environmental Law or to obtain, maintain or comply with any permit, license or other approval required under any Environmental Law, (ii) has, to the knowledge of the Borrower, become subject to any Environmental Liability, (iii) has received written notice of any claim with respect to any Environmental Liability or (iv) has, to the knowledge of the Borrower, any basis to reasonably expect that Holdings, the Borrower or any Restricted Subsidiary will become subject to any Environmental Liability. (c) Except with respect to any matters that, individually or in the aggregate, could not reasonably be expected to result in a Material Adverse Effect, (a) there are no strikes or other labor disputes against Holdings, the Borrower or any Restricted Subsidiary pending or, to the knowledge of the Borrower, threatened in writing and (b) none of the Borrower or the Restricted Subsidiaries have been in violation of the Fair Labor Standards Act or any other Requirements of Law dealing with wage and hour matters.

  • Statement of Grievance The grievance shall contain a statement of: (a) The specific situation, act or acts complained of as an agreement violation; (b) The inequity or damage suffered by the employee; and (c) The relief sought.

  • Review and Procedure Limitations The Asset Representations Reviewer will have no obligation (i) to determine whether a Delinquency Trigger has occurred, (ii) to determine whether the required percentage of Noteholders has voted to direct a Review, (iii) to determine which Receivables are subject to a Review, (iv) to obtain or confirm the validity of the Review Materials, (v) to obtain missing or insufficient Review Materials (except to the extent set forth in Section 3.04), or (vi) to take any action or cause any other party to take any action under any of the Basic Documents to enforce any remedies for breaches of any Eligible Representations. The Asset Representations Reviewer will only be required to perform the Tests provided in Exhibit A and will have no obligation to perform additional testing procedures on any ARR Receivables or to consider any additional information provided by any party. The Asset Representations Reviewer will have no obligation to provide reporting or information in addition to that described in Section 3.07. However, the Asset Representations Reviewer may review and report on additional information that it determines in good faith to be material to its performance under this ARR Agreement and may re-perform a Review with respect to an ARR Receivable as contemplated by Section 3.09. The Issuing Entity expressly agrees that the Asset Representations Reviewer is not advising the Issuing Entity or any Noteholder or any investor or future investor concerning the suitability of the Notes or any investment strategy. The Issuing Entity expressly acknowledges and agrees that the Asset Representations Reviewer is not an expert in accounting, tax, regulatory, or legal matters, and that the Asset Representations Reviewer is not providing legal advice as to any matter.

  • Environmental and Social Standards 1. The Project Implementing Entity shall ensure that its Respective Part of the Project is carried out in accordance with the Environmental and Social Standards, in a manner acceptable to the Bank. 2. Without limitation upon paragraph 1 above, the Project Implementing Entity shall ensure that its Respective Part of the Project is implemented in accordance with the respective Environmental and Social Commitment Plan (“ESCP”), in a manner acceptable to the Bank. To this end, the Project Implementing Entity shall ensure that: (a) the measures and actions specified in the respective ESCP are implemented with due diligence and efficiency, and provided in the respective ESCP; (b) sufficient funds are available to cover the costs of implementing the respective ESCP; (c) policies and procedures are maintained, and qualified and experienced staff in adequate numbers are retained to implement the respective ESCP, as provided in the respective ESCP; and (d) the respective ESCP, or any provision thereof, is not amended, repealed, suspended or waived, except as the Bank shall otherwise agree in writing, as specified in the respective ESCP, and ensure that the revised respective ESCP is disclosed promptly thereafter. 3. In case of any inconsistencies between the respective ESCP and the provisions of this Agreement, the provisions of this Agreement shall prevail. 4. The Project Implementing Entity shall ensure that: (a) all measures necessary are taken to collect, compile, and furnish to the Bank through regular reports, with the frequency specified in the respective ESCP, and promptly in a separate report or reports, if so requested by the Bank, information on the status of compliance with the respective ESCP and the environmental and social instruments referred to therein, all such reports in form and substance acceptable to the Bank, setting out, inter alia: (i) the status of implementation of the respective ESCP; (ii) conditions, if any, which interfere or threaten to interfere with the implementation of the respective ESCP; and (iii) corrective and preventive measures taken or required to be taken to address such conditions; and (b) the Bank is promptly notified of any incident or accident related to or having an impact on the Project which has, or is likely to have, a significant adverse effect on the environment, the affected communities, the public or workers, including, in accordance with the respective ESCP, the environmental and social instruments referenced therein and the Environmental and Social Standards. 5. The Project Implementing Entity shall establish, publicize, maintain and operate an accessible grievance mechanism, to receive and facilitate resolution of concerns and grievances of Project-affected people, and take all measures necessary and appropriate to resolve, or facilitate the resolution of, such concerns and grievances, in a manner acceptable to the Bank. 6. The Project Implementing Entity shall ensure that all bidding documents and contracts for civil works under its Respective Part of the Project include the obligation of contractors, subcontractors and supervising entities to: (a) comply with the relevant aspects of the respective ESCP and the environmental and social instruments referred to therein; and (b) adopt and enforce codes of conduct that should be provided to and signed by all workers, detailing measures to address environmental, social, health and safety risks, and the risks of sexual exploitation and abuse, sexual harassment and violence against children, all as applicable to such civil works commissioned or carried out pursuant to said contracts.

  • Policies and Procedures i) The policies and procedures of the designated employer apply to the employee while working at both sites. ii) Only the designated employer shall have exclusive authority over the employee in regard to discipline, reporting to the College of Nurses of Ontario and/or investigations of family/resident complaints. iii) The designated employer will ensure that the employee is covered by WSIB at all times, regardless of worksite, while in the employ of either home. iv) The designated employer will ensure that the employee is covered by liability insurance at all times, regardless of worksite, while in the employ of either home. v) The designated employer shall have exclusive authority over the employee’s personnel files and health records. These files will be maintained on the site of the designated employer.

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  • COMPLAINTS AND GRIEVANCES 7.01 If an employee has a complaint concerning the application, interpretation, administration, or alleged violation of any of the provisions of this Agreement, he/she shall take the matter up orally with his/her immediate Supervisor or designate within five (5) business days after the circumstance giving rise to the complaint. The Supervisor or designate will give his/her answer to the 7.02 If such complaint or question is not settled to the satisfaction of the employee, then the following steps of the grievance procedure may be invoked in order. It is understood that a grievance must be lodged within five (5) business days after receiving the Supervisor’s or designate response to the complaint as per article 7.01. STEP 1 Any employee grievance shall be set forth in writing, in duplicate, and shall be presented to the Supervisor. The submissions shall include reference to the specific clause and article of the Agreement allegedly violated or misinterpreted and redress sought. The Supervisor shall review the grievance and reply in writing to the Union within five (5) business days, giving his/her disposition and his/her reason thereof. STEP 2 If a settlement has not been reached under Step 1, the employee may within five (5) business days of the Supervisor's reply, refer the grievance to the Administrator of the Home, at interest, or his/her nominee. The Administrator of the Home or his/her nominee together with the employee and his/her Supervisor, and his/her Xxxxxxx, shall meet within five (5) business days of reference to the Administrator of the Home. The Administrator of the Home shall give his/her reply in writing to the Union within five (5) business days after date of meeting. STEP 3 If settlement has not been reached under Step 2, the employee may refer the grievance to his/her Union Grievance Committee which may within five (5) business days of the Administrator's reply refer the grievance to the Director of Human Resources or his/her designate. Within five (5) business days the Director of Human Resources or his/her designate together with such other representation as may be chosen to represent the Employer shall meet with the Union Grievance Committee to discuss the grievance. At this meeting a full-time representative of the Union may be present, if his/her presence is requested by the Employer or the Union. Written reply to the grievance shall be given to the Union within five (5) business days after such meeting. If a grievance is not settled to the satisfaction of either party to this Agreement by the procedure outlined above, then either party may, within ten (10) working days of the reply of the Director of Human Resources, refer the grievance to arbitration in accordance with the provisions contained in Article 9. 7.03 Any of the time allowances provided in the Article may be extended by mutual agreement in writing between the Union and the Employer. 7.04 Notwithstanding the provisions of the Ontario Labour Relations Act, any grievance not initiated or appealed at any stage of the grievance procedure, including reference to arbitration within the limits stipulated, shall be considered settled on the basis of the last decision and NOT subject to further appeal. 7.05 No employee written reprimand shall be entered in an employee's personnel file unless the employee and Local Recording Secretary or designate are given a copy of such written reprimand. 7.06 Saturdays and Sundays and paid holidays shall not be considered working days within the scope of this Article.