Yokoyama v. Midland National Life Insurance

243 F.R.D. 400, 68 Fed. R. Serv. 3d 551, 2007 U.S. Dist. LEXIS 45318, 2007 WL 1830860
CourtDistrict Court, D. Hawaii
DecidedJune 21, 2007
DocketCivil No. 05-00303 JMS/KSC
StatusPublished
Cited by4 cases

This text of 243 F.R.D. 400 (Yokoyama v. Midland National Life Insurance) is published on Counsel Stack Legal Research, covering District Court, D. Hawaii primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Yokoyama v. Midland National Life Insurance, 243 F.R.D. 400, 68 Fed. R. Serv. 3d 551, 2007 U.S. Dist. LEXIS 45318, 2007 WL 1830860 (D. Haw. 2007).

Opinion

ORDER ACCEPTING IN PART AND REJECTING IN PART MAGISTRATE JUDGE’S FINDINGS AND RECOMMENDATIONS REGARDING EXPERT TESTIMONY AND CLASS CERTIFICATION

SEABRIGHT, District Judge.

I. INTRODUCTION

Leatrice Yokoyama, Catherine Thomson, and Edna Yamane (collectively “Plaintiffs”) move for class certification in an action alleging violations of Hawaii Revised Statutes (“HRS”) § 480-2 in the sale of annuities and claiming treble damages and attorneys’ fees under HRS § 480-13(b). As part of their motion, Plaintiffs rely on the testimony of Dr. Craig McCann. Defendant Midland National Life Insurance Company (“Midland”) opposed Plaintiffs’ Motion for Class Certification and moved to strike Dr. McCann’s testimony. Magistrate Judge Kevin S.C. Chang issued two separate Findings and Recommendations — denying Midland’s Motion to Strike Dr. McCann’s Testimony and granting Plaintiffs’ Motion for Class Certification. For the following reasons, the court ACCEPTS the Magistrate Judge’s Findings and Recommendations denying Midland’s Motion to Strike Dr. McCann’s Testimony and REJECTS the Magistrate Judge’s Findings and Recommendations granting class certification.

II. BACKGROUND

A. Factual Background

Plaintiffs are senior citizens residing in Hawaii who purchased Midland indexed annuity products (“IAPs”)1 from independent brokers Mark and Rhoda Teruya. Generally speaking, annuities are insurance contracts which provide tax deferrals of credited interest until the gains are distributed. Midland has sold over 900 IAPs to Hawaii seniors. Plaintiffs filed suit claiming that Midland’s IAPs are inherently deceptive, misleading, and fraudulent under Hawaii law. Discovery [402]*402in the matter is still ongoing; the facts as stated below are based on the record as developed at this stage.

1. Indexed Annuity Products

Over the relevant class period, Midland sold thirteen different IAPs to senior citizens in Hawaii, the terms of which vary. After selecting a specific IAP to purchase, a consumer further individualizes his or her chosen IAP by selecting one of five “index accounts,” such as Standard & Poor’s 500 Composite Stock Index or the Dow Jones Industrial Average, to link to the IAP.2 The consumer then allocates3 his or her investment premium between the “fixed portion” of the IAP (in which Midland guarantees an interest credit at a specified rate) and the “indexed portion” of the IAP (in which Midland credits an interest percentage based on any annual gain experienced by the selected stock market index less a certain percentage variable called an “index margin,” which Midland subtracts for profit or service fees).4 Each Midland IAP sales contract guarantees a minimum cash value regardless of account performance, interest adjustments, or surrender charges.

2. Midland’s Power to Decrease Amount of Interest Paid

Midland may, in its discretion, decrease the amount of interest credited to an individual’s annuity by lowering the rate of the interest applied to funds held in the fixed portion; increasing the index margin applied to the indexed portion; or applying a cap on the indexed interest credited to the account. Twelve of the IAPs allow changes to the fixed interest on an annual basis: The interest rate earned on the fixed portion of an IAP is set at a declared rate in the first year, but re-set in subsequent years, subject to a guaranteed minimum rate. See TeKolste Decl. Ex. T; Lyons Decl. H 5. Similarly, the index margin “is guaranteed for the first year” but will be “set in advance each year thereafter.” TeKolste Decl. Ex. T. Finally, the indexed interest may be capped at a certain rate.5 Lyons Decl. 118. In short, after the first year, Midland has the power to set the various interest rates and index margins within a stated maximum or minimum.

Midland discusses these interest rates— and its power to change them — in its published materials. See TeKolste Decl. Exs. R, T; Pis’. Ex. 11. Independent brokers also discuss the fact that the interest accrual rates and index margin will change. Buck Decl. If 29; Teruya Decl. 11118, 12, 15. One independent broker also puts calculations of “worst ease scenarios” in writing for his clients. Buck Decl. 1128.

3. Surrender Charges

Each Midland IAP contains a specific maturity date. Prior to the maturity date, individual IAP holders are contractually authorized, on an annual basis, to withdraw a certain percentage of their annuity fund without penalty.6 However, Midland impos[403]*403es a “surrender charge” penalty for the early withdrawal of funds or for a withdrawal of funds in excess of that permitted under the individual annuity sales contract.7

Midland’s surrender charges have the potential to decrease the total value of funds returned to the early-withdrawing annuitant in two ways. First, there is the penalty itself. Second, prior to the early withdrawal of funds and the subtraction of the surrender charge, the accumulation value of the account is multiplied by an interest adjustment factor, which according to the Plaintiffs is “a number always less than one if Midland has not reduced its annuity interest rates since issuance.” Pis’. Mot. for Class Certification 15. In some cases, annuitants who seek to withdraw their funds prior to the maturity date of the contract would receive an amount less than what they invested. McCann Decl. 111124-31.

Midland’s published materials disclose the surrender charges in multiple places. For example, disclosure of the surrender charge is included in Paragraphs 6.2 and 7.3 of each annuity sales contract. See TeKolste Deck Exs. E-I. Second, the surrender charges appear to be summarized in a “specifications page” for each annuity contract. Id. Third, since 2003, Midland has required individual purchasers to complete an application and disclosure form; to provide certain financial disclosures regarding the suitability of an IAP; and to initial the following language:

I understand that the [name of annuity] is a long-term contract with substantial penalties for early surrenders. A surrender charge is assessed (as listed below) on any amount withdrawn, whether as a partial withdrawal or full surrender, that is in excess of the penalty-free amount applicable. The surrender charges are for [number] of years and decline as follows: [table of surrender charge percent by year]. These liquidity provisions are suitable for my financial needs, such as cash for living and other related expenses. This contract is suitable for my financial needs.

TeKolste Deck K 49; see also id. 1! 44, Ex. U; Lyons Deck 118(a).8 Independent brokers also include detailed explanations of the surrender charges in their oral presentations. Buck Deck KK 8, 18, 19, 25; Teruya Deck 1Í1Í 7, 11, 14. At least one individual broker selling Midland IAPs prepared separate flyers which mentioned the surrender period for clients. Buck Deck If 16, Ex. B.

4. Independent Brokers

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Related

Yokoyama v. Midland National Life Insurance
594 F.3d 1087 (Ninth Circuit, 2010)
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Federal Insurance v. Sammons Financial Group, Inc.
595 F. Supp. 2d 962 (S.D. Iowa, 2009)

Cite This Page — Counsel Stack

Bluebook (online)
243 F.R.D. 400, 68 Fed. R. Serv. 3d 551, 2007 U.S. Dist. LEXIS 45318, 2007 WL 1830860, Counsel Stack Legal Research, https://law.counselstack.com/opinion/yokoyama-v-midland-national-life-insurance-hid-2007.