HomeMy WebLinkAbout11/1/2000 - STAFF REPORTS (5) DATE: November 1, 2000
TO: City Council
FROM: Director of Finance &Treasurer
RE: Settlement Agreement re Assessment District No. 155 Litigation
Recommendation:
It is recommended that the City Council approve the settlement agreement with the City and Stone&
Youngberg as plaintiffs and Brown & Diven as defendants in the Assessment District
No. 155 litigation.
Background:
AD No. 155 was formed in July, 1989 to pay for the street, roads, utilities and other infrastructure
improvements in the area centered on Ramon Road and Gene Autry Trail. About half of the district
was on unimproved Indian owned land which was leased. The leaseholders were not able to develop
the land, and the leases were eventually cancelled. However, the bond owners expected to be paid,
and threatened legal action.
The City and issue's underwriter, Stone & Youngberg (S&Y), refinanced the debt and took
responsibility for repayment. When the issue's bond counsel, Brown & Diven, declined to participate
in the cost of the refinancing, the City and S&Y initiated legal action against them.
The Settlement Agreement is the result of eighteen months of negotiations and the major
points are:
1.) The City will receive a $250,000 payment from Brown & Diven within two weeks of the
approval of this agreement.
2.) Brown & Diven will pursue, at their cost, legal action against their insurance carrier.
3.) Any settlement received from the insurance carrier will be split according to the formula
described in Section 8 of the agreement. For purposes of illustration, Exhibit C show the
split between the City, S&Y, and Brown & Diven if the proceeds are $1 million.
If the Settlement Agreement is approved,the City will receive at least$250,000 and possibly as much as
$500,000. The legal costs of pursuing the AD 155 litigation will be ended.
rh
A Minute Order approving the Settlement Agreement is attached.
Thomas M. Kanarr
Director of Finance & Treasurer
Approved
David H. Ready
City Manager
Attachments: Settlement Agreement
Minute Order
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SETTLEMENT AGREEMENT AND STIPULATION TO JUDGMENT
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Plaintiffs CITY OF PALM SPRINGS, a California municipality ("City") and STONE & r f Zy
YOUNGBERG, LLC ("S&Y"), on the one hand (collectively referred to herein as "Plaintiffs")
and Defendants BROWN & DIVEN, a law partnership or professional corporation ("B&D") F.
MACKENZIE 13ROWN ("Brown"), WARREN B. DIVEN ("Diven'), on the other hand
(collectively herein referred to as"Defendants")hereby stipulate and agree as follows:
RECITALS
A. In or around July, 1989, the City formed Assessment District No. 155 ("AD
155'). Pursuant to AD 155's formation, the City issued 1915 Act Improvement Bonds
("Bonds") to fund certain infrastructure improvements (the "Improvements") benefiting
approximately 857 acres of undeveloped land within the boundaries of AD 155, This improved
area also included approximately 80 acres owned by members of the Agua Caliente Indian Tribe.
The City issued$7,638,119.64 of the Bonds.
B. S&Y acted as underwriter for the issuance and sale of the Bonds. B&D acted as
bond counsel to the City. Additionally,pursuant to S&Y's underwriting agreement with the City
and pursuant to B&D's engagement as bond counsel to the City,B&D rendered a"Supplemental
Legal Opinion" to S&Y relating to, among other things, the adequacy of disclosure in the
Official Statement ('OS'), commonly referred to as a "10(b)5 Opinion." Also pursuant to
S&Y's underwriting agreement with the City and B&D's engagement by the City, B&D issued
S&Y a "Reliance Letter" wherein it advised S&Y that S&Y could rely on B&D's opinion
attesting to the validity of the proceedings and issuance of the Bonds in the same manner as if the
opinion were addressed to S&Y.
C. Part of B&D's charge as bond counsel was to conduct the proceedings for AD
155 and to insure on behalf of the City that there was full and accurate disclosure in the OS
concerning risks inherent in investing in AD 155 bonds. Similarly,Defendants' Reliance Letter
and 10(b)(5) opinion to S&Y was intended to assure S&Y as to the validity of the AD 155
proceedings and that there was full and accurate disclosure in the OS concerning the formation
of the assessment district, issuance of the AD 155 bonds, and the risks inherent in investing in
the AD 155 bonds.
D. As of March, 1998, $5,590,000 of the Bonds remained outstanding. As
structured, principal and interest due on the Bonds was to be paid through assessments imposed
upon certain fee properties, contributions from the City's Airport Enterprise Fund and
assessments imposed upon certain possessory interests in leascholds of Indian land within AD
155 which received the benefits of the Improvements.
E. Pursuant to federal law, assessment liens may not be maintained against the fee
interest in Indian-owned lands. However, where an Indian allottee leases Indian land to a third
person, The possessory interest in the leasehold can serve as security for assessments based upon
the benefit conferred by the improvements upon the Indian land. Thus, when an assessment
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district is formed which includes leaseholds of Indian-owned land, the sole security for the
assessment is the lessees' possessory interests. In the event of an assessment payment default,
only the leasehold can be foreclosed,the underlying fee cannot.
F. Approximately 18% of the original assessments were supposed to be secured by a
lien on The possessory interest in a lease between an Indian allottee and the Wessman
Development Company. An additional 31% of the original assessments were supposed to be
secured by a lien on the possessory interest in a lease between another Indian allottee and
Knutson Capital Investment,Inc. Consequently,The assessment on possessory interests in Indian
leases represented almost 50%of the total security for the AD 155 bond issuance.
G. Plaintiffs alleged that B&D failed to follow statutory requirements for levying
assessments on possessory interests in the leaseholds of Indian lands, failed to take adequate and
necessary precautions to coordinate the City's obligation to foreclose upon this security interest
with The encumbrancer provisions in the leases, and failed to take steps to preserve the security
interest in the event of a default on the Indian allottee leases. Thus, unbeknownst to The City or
S&Y, as alleged by bondholders, the OS failed to disclose problems presented by utilizing
leaseholds on Indian lands as security for assessment district debt. Specifically, as alleged by the
bondholders, the OS failed to discuss The issue of Indian (lessor) sovereign immunity, and that
the liens on possessory interests constituting security for The assessments could be eliminated.
Equally importantly, as the bondholders contended, the lease termination procedures were not
properly structured and were not properly disclosed in the OS. For example, nowhere in the OS
is it disclosed that the leases could be unilaterally terminated if the lessee did not make
installment payments. Plaintiffs also contended that B&D did not advise the City or S&Y that
the OS did not disclose that lease termination on default will invariably precede the City's
deadline for commencing foreclosure. Similarly, Plaintiff's alleged that B&D did not advise the
City or S&Y that the OS did not articulate that the City is under no legal obligation to foreclose
pending depletion of the Reserve Fund, thus rendering the foreclosure remedy identified in the
OS futile. Lastly, Plaintiffs alleged that B&D did not advise The City or S&Y that the OS also
failed to explain that in the event of lease termination, the lien on the possessory interest
terminates, future lessees are not obligated to pay assessments, and as a consequence,
bondholders would lose security for approximately 50% of The principal amount of the unpaid
assessments.
H. Subsequent to the creation of AD 155, the Lessees on the Indian leases went into
default, and the leases were terminated effectively terminating the liens on the possessory
interests thereby adversely affecting the City's ability to pay principal and interest on the Bonds
and,consequently,the market value of The Bonds.
I. As a result of this default and ensuing adverse consequences, Allstate Insurance
Company ("Allstate"), which had purchased a substantial portion of the Bonds on original
issuance, as a principal purchaser and bondholder of the Bonds, asserted certain claims related to
the creation and administration of AD 155, the issuance of the Bands and disclosure in the OS.
Specifically, Allstate contended that the OS did not fully disclose the risks presented by securing
assessments with possessory or leasehold interests in Indian lands, including, among others, that
the leases can be terminated if the lessee does not pay assessments, that lease termination may
precede the City's deadline for commencing foreclosure, Thus making the mandatory obligation
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meaningless, and that in the event of lease termination, future lessees are not obligated to pay
assessments and bondholders will lose security for approximately 50% of the principal amount
of the unpaid assessments. In summary, Allstate contended that the OS was materially
misleading as to the risks the bondholders undertook upon investing in AD 155 related securities
and that the bond issuance was structured improperly.
J. As a result of B&D's alleged misfeasance, the City contended it faced general
fund liability, a peril B&D expressly assured against in the Bond indenture, and in legal opinions
coincident with the creation of AD 155. Further, the City and S&Y contended that B&D's
negligence breached its 10(b)(5) opinion that the OS contained no material misrepresentations or
omissions.
K. Ultimately, in response to the imminent filing of a lawsuit by Allstate, the City
entered into a Settlement Agreement (attached hereto and incorporated herein by reference as
Exhibit A) with Allstate in March of 1998. Pursuant to the Settlement Agreement, the City
agreed to restructure the AD 155 debt. By virtue of entering into this Settlement Agreement,the
City suffered damages, including but not &ruited to, the acquisition of approximately$1,030,000
of non-recourse debt and expending in excess of$150,000 as a cost of issuance of new bonds for
purposes of removing the AD 155 Bonds from the market. In connection with the settlement,
S&Y agreed to reimburse the City for a portion of its expenses. Allstate also agreed that it
would not bring any claims against S&Y in connection with the OS if S&Y purchased its
unsecured AD 155 bonds over a period of time. S&Y has incurred damages by payments to the
City of $36,000, and has incurred (or will do so in the future) additional damages of
approximately $1,030,000 from a purchase of unsecured AD 155 bonds from Allstate. All
totaled, therefore, as of the date of the restructuring of the AD 155 Bonds pursuant to the
settlement with Allstate,Plaintiffs were damaged in the amount of approximately$2.2 million.
L. In or around February of 1999, Plaintiffs filed suit against Defendants (the
"Litigation'). A true and correct copy of the Complaint which initiated this Litigation is attached
hereto as Exhibit "A"- Incident to the Litigation, Plaintiffs sought in excess of$2.2 million and
their attorneys fees related to the Litigation.
M. In connection with Plaintiffs assertion of claims against Defendants, Defendants
alerted Their malpractice insurance carrier, Golden Eagle Insurance Company ("GEIC").
Specifically, on October 11, 1996, Defendants tendered defense of any potential claim to GEIC.
On or about August 14, 1997, GEIC denied coverage and Defendants made a request for
reconsideration. On or about October 17, 1997, GEIC issued a re-denial of Defendants tender.
On or about May 10, 1999, after Plaintiffs filed litigation regarding AD 155, Defendants re-
tendered the claim to GEIC. On or about July 21, 1999, GEIC denied the re-tender. GEIC was
placed into a conservatorship pursuant to Insurance Commissioner of the State of California v.
Golden Eagle Insurance Company, San Francisco County Superior Court Case No. 984502.
Consequently, on or about August 20, 1999, Defendants filed a proceeding within The
conservatorship action seeking coverage for the Litigation under the GEIC issued insurance
policy (the"Insurance Proceeding").
N. Prior and subsequent to the filing of the Litigation Plaintiffs and Defendants
engaged in intensive efforts to settle. These efforts included multiple and extended negotiations
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amongst lawyers and no fewer than three (3) face-to-face meetings amongst the principals,
including a full day mediation conducted by retired Supreme Court Justice Edward Panelli under
The auspices of JAMS/ENDISPUTE. The mediation before Justice Panelli occurred on February
23, 2000 and eventually resulted in a series of offers and counter offers culminating in the
settlement reflected herein which was ultimately negotiated in a face-to-face meeting amongst
the parties which occurred on September 13,2000.
WHEREFORE, the parties hereto agree as follows:
1. Effective Date. The Effective Date of this Settlement Agreement shall be
Oetebev--November 2000(the"Effective Date"),
2. Stipulation to Judgment. The parties stipulate and agree that judgment in
the Litigation may be entered in favor of Plaintiffs and against Defendants in the amount of
$1,000,000. Specifically, the parties stipulate and agree to entry of the judgment attached hereto
as Exhibit`B"(the"Judgment').
3. Covenant not to Execute. Except as provided for herein, Plaintiffs
covenant and agree not to execute on the Judgment against any asset or property of Defendants.
Plaintiffs further covenant and agree not to file the Judgment for recordation at any recorder's
office or in the office of any secretary of stare, so that it shall not appear as a lien of record
against any real or personal property interest of Defendants.
4. Assignment of Claims Against Defendants Insurer. Defendants hereby
assign and transfer to Plaintiffs all right, title and interest in any claims and/or causes of action
Defendants may now have or hereafter acquire against GEIC, its successor, or any other liability
insurer which claims or causes of action arise out of or are related to the Litigation and/or the
Insurance Proceeding, including but not limited to claims based upon or related to GEIC's failure
and refusal to settle with Plaintiffs, GEIC's failure and refusal to defend and/or indemnify
Defendants regarding all claims and/or causes of action asserted in the Litigation, including the
amounts set forth in the Judgment, as well as any and all claims or causes of action which are or
shall be asserted as part of the Insurance Proceeding, All Claims assigned herein shall hereafter
be collected referred to as the"Assigned Claims".
5, Plaintiffs Retention of DFI&S. The law firm of Daniels, Fine, Israel
& Schoubuch, LLP (hereafter "DFI&S") is currently counsel of record in the Insurance
Proceeding relating to Defendants' claim that GEIC wrongfully refused to provide a defense to
Defendants in the Litigation. DFI&S hereby agrees to represent Plaintiffs, as Defendants'
assignees, in continuing to prosecute this pending claim seeking recovery of all costs and
expenses relating to the defense of the Litigation. DFI&S further agrees to take all steps
necessary to prosecute, on behalf of Plaintiffs as assigu=s, all claims and/or causes of action for
indemnification under Defendants' insurance policy with GEIC, including the recovery of
amounts set forth in the Judgment against Defendants. DFI&S and Defendants acknowledge that
Plaintiffs have assumed those rights previously held by Defendants under the GEIC insurance
policy at-issue in the Insurance Proceeding and that Plaintiffs are now entitled to any monetary
recovery associated with GEIC's failure to defend and/or indemnify Defendants with respect to
the Lhigarionjubjecr to parsleraph 8. DFI&S agrees to prosecute such and any other Assigned
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Claims on Plaintiffs' behalf as part of the Insurance Proceeding and to otherwise undertake
whatever legal actions are necessary to obtain at final adjudication of GFIC's or any other
insurers liability for these Assigned Claims. DFI&S also agrees to undertake all actions
reasonably necessary to enforce and collect upon any judgment or other final adjudication
concerning the Assigned Claims. All fees, costs and expenses associated with DFI&S'
prosecution of, and recovery upon, Assigned Claims shall be home by Defendants jointly and/or
severally._-,SHblect tQ the .limitation srLfmh in 5.1 belgw. Plaintiffs shall not under any
circumstance be responsible for any such fees, costs and expenses. Moreover, the refusal and/or
failure of Defendants to .fulfill the obligation to fund the prosecution of the Assigned Claims
shall not excuse DFI&S from its obligation to prosecute the aforementioned Assigned Claims
against GEIC or any other insurer to a final adjudication lit the.trial vmt, I2FI&S retains the
right-to withdraw as counsel for good cause in toe even( of pq aR➢edl• In the event DFI&S
withdraws or is removed as counsel or cannot otherwise proceed as counsel regarding the
prosecution of Assigned Claims, Plaintiffs may retain substitute counsel at Defendants expense.
All parties consent to DFI&S' representation of Plaintiffs notwithstanding DFI&S' prior
representation of Defendants.
M RMY5.0blivation to Fund an.Apptal by Plaintiffs. ;n the event either
(City or S&Y desires to appeal (other than a crass-aapgy ) a Onpl trial coprt 1114fFmenr Or
1%V flppl gdittdivatlou in jk Laurancc Proceeding. and V&D disagrees witp t{te®eFisj9p to
gppeal. P&p sbgll not bLOJjg&4J )uO sgvh ;RPM prnyid&ASA"emQnsiratr_that
the party desiring to anngpl noes not have a good faith bglief that tpFh prmFal dg6 p
reasonable probability of success. Any disagrecipent as to the good NO of thr party
desirinz TQ.aRReal shall be resolved.thrimizil a bittdia arbitration htarigg before a third
Party neutral conversant with insurance Mattirs pppolptelt pprSpant to the rples of the
ATnerlgan.ArbjtraJl Association. Such arbitration shall be cxpgdited and conducted
s*lv based on writteq matfrials (briefs gild dFFl1rati9lt4.and. Qral_ariliMfitt• . In this
reward. ipfh grb]UgIltln shall be.ctttlrlYete�as a."law and motlop matter" without gnv live
tc4jMQuy.and shall not entitle Fltber side to do t(ilcovgrvr ThS RarS1t 4R11..>QQnsr�te tp
igsure_Jhat Such hearing 0 Fompleted jn advance of the time for filin an appeal. The
arbitrator shall be required to lsvVe Pii rplipg jr"MFIli_aOJy noon con, cludinglhe bearing,
In the events dccisiQu by the arbitrator cannot bF had prior to.lax— radlilK rglatiye IQ an
seine!,.PFI&S &ball takv all steps accessary rp preserve The rig4T T9 apt;gl RgndiHR.§Uch
decisiop, in the event Rf g deci�ioo ads Tver�e ro the party desiring to apueal, such appeal
t11av still continue but R&P 1Pa11 be rellt'P€d Rf thF 4bllgatl98 tp fOudlUb appeal.
6_ Defendants CoveTmT of Cooperation. Defendants covenant and agree to
cooperate to the full extent necessary for Plaintiffs to successfully prosecute the Assigned Claims
to a final adjudication, including but not limited to testifying in any legal proceeding related
thereto, and executing any documentation reasonably required by Plaintiffs to evidence, establish
or enforce the Assigned Claims.
7. Payment by Defendants to City. Defendants,jointly and severally, agree
to pay City the stun of$250,000 within two (2) weeks of the Effective Date of this Agreement.
In the event Defendants fail to timely pay City this settlement sum, City shall have the right to
execute an the Judgment up to the amount of$250,000 plus interest at The legal rate until paid.
S&Y has assigned to City any right it would otherwise have to any portion of this settlement sum
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in order to facilitate the settlement, subject to paragraph 8. S&Y is not otherwise obligated to
make such an assignment.
8. Plaintiffs Covenant to Distribute Proceeds From the Insurance Company.
The parties further agree that any monies recovered pursuant to the Insurance Proceeding, or any
related action in pursuit of Assigned Claims, shall be divided as follows: (1) all monies up to the
first$375,000 shall be divided two-thirds to S&Y and one-third to Defendants; (2) all monies in
excess of the first $375,000, up to a total of$750,000, shall be divided one-third to City, one-
third to S&Y and one-third to Defendants; (3) all monies in excess of$750,000 shall be divided
equally by and between City and S&Y. For demonstrative purposes, attached hereto as
Exhibit"C" is a chart showing how such monies would be divided in the event of a $1,000,000
recovery in the Insurance Proceeding. In regard to the prosecution of Assigned Claims, AFT&S'
clients are City and S&Y, not Brown, Divert or B&D. City and S&Y alone shall have sole
discretion to direct the conduct of the Insurance Proceeding or any related action in pursuit of
Assigned Claims. All decisions concerning such proceedings, including whether, and at what
amount, to settle shall require the mutual consent of City and S&Y.
9. Authority. Each individual executing this Settlement Agreement on behalf
of an entity represents and warrants that he or she is a duly authorized representative of that
entity with full power and authority to bind it to each term and condition hereof.
10. Further Acts_ Each of the Parties hereto agrees promptly to execute all
other documents and take all other actions reasonably necessary to effectuate all of this
Settlement Agreement's terms and conditions.
11. Interpretation or Enforcement: Attorneys' Fees. In the event that any
legal action is necessary to enforce or interpret any provision of this Settlement Agreement (or
any documentation delivered pursuant thereto or in connection therewith), by way of motion or
otherwise, that action will be brought in a court of competent jurisdiction located in the County
of Orange, and the Parties to this Settlement Agreement consent to personal jurisdiction and
venue in such a court. The prevailing party in any such action shall recover its costs and
reasonable attorneys' fees.
12, Successors. This Settlement Agreement shall bind the successors, assigns,
heirs and personal representatives of each of the Parties hereto.
13_ Parties Represented. Each party to this Settlement Agreement has been
advised and represented by counsel they deem competent in connection with the negotiation and
preparation hereof, and each shall be deemed its co-author for purposes of the Settlement
Agreement's construction.
14. Integrated Writing. This Settlement Agreement (along with the other
documentation specifically called for herein) constitutes the whole and only existing and binding
agreement between the Parties hereto on the subject matter hereof, superseding all prior
statements and understandings,whether written or oral. Other than the representations expressly
stated as such in this Settlement Agreement, there are no warranties, promises or representations
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of any kind, express or implied, upon which either parry has relied in entering into this
Settlement Agreement, or as to the future relations or dealings of the Parties.
15. Represetnatlons and Warranties Regarding Assignment. Defendants
represent and warrant that there has been no previous assignment, hypothecation, division,
encumbrance, mortgage or other transfer, in whole or in part, of any Assigned Claim except the
assignment set forth herein. Defendants moreover represent and warrant that they are aware of
no procedural, contractual or other impediment to the assignment or prosecution of the Assigned
Claims. Defendants further represent and warrant that there are no liabilities which do or will
accrue to Plaintiffs, City and/or S&Y, because of or in connection with the assignment or
prosecution of Assigned Claims . For instance, Plaintiffs will not incur any obligation to pay
monies (as prevailing parry attorneys fees or for any other reason) to GEIC or any other party as
a result of the prosecution of Assigned Claims, even in The event of a Judgment adverse to the
insured and in favor of the insurer. Regardless, Defendants B&D, Brown, and Divert will pay
any and all costs, fees, expenses and/or damages associated with the Insurance Proceeding and
otherwise associated with the prosecution of the Assigned Claims. Defendants shall indemnify
Plaintiffs and hold Plaintiffs harmless from any and all loss or damage related to any breach of
these representations and warranties.
16. Counterparts. This Settlement Agreement may be executed in one or more
counterparts, each of which shall be deemed an original,but all of which together shall constitute
one and the same instrument.
17. Amendments. This Settlement Agreement may be modified or amended
only by a writing signed by all Parties hereto.
18. No Waiver. The waiver by any patty hereto of any right, privilege,
covenant or condition hereunder will not operate as or indicate a continuing waiver of the same
or any other right,privilege, covenant or condition hereunder.
19. Choice of Law. This Settlement Agreement shall be governed by the laws
of the State of California applicable to contracts executed and to be wholly performed in that
state.
20. Notices and/or Pavments. Any notice required or permitted under this
Settlement Agreement and any payment to be made pursuant to this Settlement Agreement shall
be considered given or made upon delivery to counsel for the affected party as identified herein
below. As to notices, such notice may be delivered personally,via facsimile or by U.S. mail. In
The case of payments, delivery shall be via check, in good and sufficient funds payable to the
appointed law firm in trust for the party to be paid, and effected via personal or overnight
delivery.
To CITY: Rum & Tucker, LLP
611 Anton Boulevard, Suite 1400
Costa Mesa,California 92626
Ann: Layne H.Melzer, Esq.
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Facsimile: 714.546.903 5
Telephone: 714,641.5100
With a copy to: 3200 F. Tahquitz Canyon Way
Palm Springs, California 92263
Atm: Tom Kanarr
Facsimile: 760,323,8320
Telephone: 760.323,8221
To S&Y: Kirkpatrick&Lockhart
100 Pine Street, Suite 3200
San Francisco, California 94111.5218
Attn: R. David Mishel,F-sq.
Facsimile: 415.249.1001
Telephone: 415,249,1015
To Defendants: Daniels,Fine,Israel& Schonbuch,LLP
1801 Century Park East, 9`b Floor
Las Angeles, California 90067
Attn: Paul Fine,Esq,
Facsimile No.: 310,556.2807
Telephone: 310.55 6.7900
Either party may change its address and/or its designated recipient for notice or payment for
purposes of this Settlement Agreement by giving notice of such change in accordance herewith.
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IN WITNESS WHEREOF, the parries hereto have executed this Settlement Agreement
as of The date set forth above.
Dated: September November 2000 CITY OF PALM SPRINGS, a California
municipality
By;
Its:Mayor
Dated:&eptember Noygmhgr_, 2000 STONE &YOUNGBERG, LLC
By;
Its; Managing Member
Dated:Septetttbet NpyyMhc 2000 BROWN & DIVEN, a law partnership or
professional
By:
Its:Managing Partner
Dated.September November_, 2000 F.MACKENZIE BROWN
By:
F. MacKenzie Brown, individually and as a
member of B&D
Dated: September November 2000 WARREN B. DiVEN
By:
Warren B. Divert, individually and as a
member of B&D
Dated:Septert3ber November—, 2000 DANIELS, FINE,ISRAEL& SCHONBUCH, LLP
By:
Paul Fine
Its:Managing Partner
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