Berkelhammer et al v. Voya Institutional Plan Services, LLC et al
| Beth Berkelhammer and Naomi Ruiz |
| Voya Institutional Plan Services, LLC, Voya Investment Trust Company and Voya Retirement Advisors, LLC |
| ADP TotalSource Group, Inc.., Automatic Data Processing, Inc. and ADP TotalSource Retirement Savings Plan Committee |
| 3:2022mc00099 |
| December 14, 2022 |
| US District Court for the District of Connecticut |
| Maria E Garcia |
| Other Statutory Actions |
| None |
Docket Report
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This docket was last retrieved on August 8, 2023. A more recent docket listing may be available from PACER.
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Filing 59
ORDER denying #30 Motion to Compel. See the attached order. Signed by Judge Maria E. Garcia on 8/8/23. (Cabral, Donald)
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Filing 58
Minute Entry. Proceedings held before Judge Maria E. Garcia: taking under advisement #30 Motion to Compel; Motion Hearing held on 6/16/2023 re #30 MOTION to Compel Voya Retirement Advisors filed by Naomi Ruiz, Beth Berkelhammer. Total Time: 42 minutes (Court Reporter Courtsmart.) (Santos, Sarah)
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Filing 57
NOTICE of Appearance by Ada W. Dolph on behalf of ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc. (Dolph, Ada)
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Filing 56
ORDER granting #53 Motion to Appear Pro Hac Vice. Signed by Judge Maria E. Garcia on 6/13/2023. (Santos, Sarah)
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Filing 55
REPLY to Response to #30 MOTION to Compel Voya Retirement Advisors filed by Beth Berkelhammer, Naomi Ruiz. (Wolff, Michael)
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Filing 54
RESPONSE re #43 MOTION for Leave to File Amicus Brief Respecting Plaintiffs' Motion to Compel Voya Retirement Advisors filed by Beth Berkelhammer, Naomi Ruiz. (Wolff, Michael)
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Filing 53
MOTION for Attorney(s) Ada Dolph to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7373900) by ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc.. (Attachments: #1 Exhibit 1)(Bitar, Karen)
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Filing 52
NOTICE of Appearance by Jules Abraham Levenson on behalf of ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc. (Levenson, Jules)
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Filing 51
NOTICE of Appearance by Samuel Schwartz-Fenwick on behalf of ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc. (Schwartz-Fenwick, Samuel)
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Filing 50
ORDER granting #48 Motion to Appear Pro Hac Vice. Signed by Judge Maria E. Garcia on 6/6/2023. (Santos, Sarah)
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Filing 49
ORDER granting #47 Motion to Appear Pro Hac Vice. Signed by Judge Maria E. Garcia on 6/6/2023. (Santos, Sarah)
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Filing 48
MOTION for Attorney(s) Jules A. Levenson to be Admitted Pro Hac Vice (includes a request to waive the fee) by ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc.. (Attachments: #1 Exhibit 1)(Bitar, Karen)
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Filing 47
MOTION for Attorney(s) Samuel Schwartz-Fenwick to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7370734) by ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc.. (Attachments: #1 Exhibit 1)(Bitar, Karen)
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Filing 46
NOTICE OF E-FILED CALENDAR: THIS IS THE ONLY NOTICE COUNSEL/THE PARTIES WILL RECEIVE. Oral argument set for 6/16/2023 at 01:30 PM before Judge Maria E. Garcia. The argument will be conducted via Zoom. The Zoom meeting information is as follows:Video link: https://www.zoomgov.com/j/1606210700?pwd=OHBBT0RNQjdvM2dscWtXUmZVbmZ6Zz09 Call-in numbers: +1 669 254 5252 US (San Jose)+1 646 828 7666 US (New York) Meeting ID: 160 621 0700 Passcode: 336406 (Cabral, Donald)
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Filing 45
ORDER denying #42 MOTION for Attorney(s) Jules A. Levenson to be Admitted Pro Hac Vice. Denied without prejudice to refill. The Affidavit does not identify the bar numbers for each jurisdiction in which Attorney Levenson is admitted as required by Local Rule 83.1(d). Upon refiling Attorney Levenson does not have to pay another fee. Signed by Judge Maria E. Garcia on 6/5/2023. (Santos, Sarah)
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Filing 44
ORDER granting #43 Motion for Leave to File Amicus Brief. See Kistler v. Stanley Black & Decker, Inc., No. 3:22-CV-966 (SRU), 2023 WL1827734 (D. Conn. Jan. 25, 2023) (An amicus brief should normally be allowed when a party is not represented competently or is not represented at all, when the amicus has an interest in some other case that may be affected by the decision in the present case (though not enough affected to entitle the amicus to intervene and become a party in the present case), or when the amicus has unique information or perspective that can help the court beyond the help that the lawyers for the parties are able to provide.). The Court will consider ADP Defendants Exhibit A (ECF 43-1) as filed. The parties are permitted to respond to the amicus brief. Any response shall be limited to five (5) pages and is due by June 12, 2023. Oral argument on the #30 Motion to Compel will be held via Zoom on June 16 at 1:30 p.m. A Zoom link shall follow. Signed by Judge Maria E. Garcia on 6/5/23. (Cabral, Donald)
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Filing 43
MOTION for Leave to File Amicus Brief Respecting Plaintiffs' Motion to Compel by ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc.. (Attachments: #1 Exhibit A)(Bitar, Karen)
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Filing 42
MOTION for Attorney(s) Jules A. Levenson to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7367242) by ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc.. (Attachments: #1 Exhibit 1)(Bitar, Karen)
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Filing 41
NOTICE of Appearance by Karen Y. Bitar on behalf of ADP TotalSource Group, Inc.., ADP TotalSource Retirement Savings Plan Committee, Automatic Data Processing, Inc. (Bitar, Karen)
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Filing 40
Memorandum in Opposition re #30 MOTION to Compel Voya Retirement Advisors filed by Voya Retirement Advisors, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit)(O'Toole, Andrew)
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Filing 39
NOTICE of Appearance by Michael A. Wolff on behalf of Beth Berkelhammer, Naomi Ruiz (Wolff, Michael)
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Filing 38
CERTIFICATE OF GOOD STANDING re #34 MOTION for Attorney(s) Michael A. Wolff to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7352416) by Beth Berkelhammer, Naomi Ruiz. (Wolff, Michael)
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Filing 37
ORDER granting #32 Motion to Withdraw as Attorney. Attorney Matthew Edward Layden terminated. Signed by Judge Maria E. Garcia on 5/19/23. (Cabral, Donald)
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Filing 36
ORDER granting #33 Motion for Extension of Time to File Response/Reply as to #30 MOTION to Compel Voya Retirement Advisors until June 1, 2023. Responses due by June 1, 2023. Signed by Judge Maria E. Garcia on 5/19/23. (Cabral, Donald)
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Filing 35
ORDER granting #34 Motion to Appear Pro Hac Vice Certificate of Good Standing due by 7/18/2023. Signed by Clerk on 5/19/2023. (Santos, Sarah)
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Filing 34
MOTION for Attorney(s) Michael A. Wolff to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7352416) by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit Affidavit of Michael A. Wolff)(Katz, Stuart)
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Filing 33
Consent MOTION for Extension of Time to File Response/Reply as to #30 MOTION to Compel Voya Retirement Advisors until June 1, 2023 by Voya Retirement Advisors, LLC. (O'Toole, Andrew)
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Filing 32
MOTION for Matthew E. Layden to Withdraw as Attorney by Beth Berkelhammer, Naomi Ruiz. (Layden, Matthew)
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Filing 31
AFFIDAVIT re #30 MOTION to Compel Voya Retirement Advisors Signed By Matthew E. Layden filed by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Exhibit Voya Retirement Advisors Subpoena, #2 Exhibit Non-Party Residents' Objections to Subpoena, #3 Exhibit Meet and Confer Email Chain)(Layden, Matthew)
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Filing 30
MOTION to Compel Voya Retirement Advisors by Beth Berkelhammer, Naomi Ruiz.Responses due by 5/25/2023 (Attachments: #1 Memorandum in Support of Renewed Motion to Compel Voya)(Layden, Matthew)
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Filing 29
ORDER finding as moot #25 Motion to Strike #14 Memorandum in Opposition to Motion. Signed by Judge Maria E. Garcia on 1/30/23. (Lefevre, Arthur)
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Filing 28
ORDER denying #1 Motion to Compel Subpoena Compliance Plaintiff's Motion to Compel Subpoena Compliance is denied without prejudice to refile. According to the Federal Rules of Civil Procedure, a subpoena may command "production of documents, electronically stored information, or tangible things at a place within 100 miles of where the person resides, is employed, or regularly transacts business in person." Fed. R. Civ. 45 (c)(2)(A) (emphasis added). Under the plain language of the rule, the place of compliance for a subpoena is the place of production, not the location of the documents or the subpoenaed party's corporate headquarters. See Deibler v. SanMedica Int'l, LLC, No. CV 19-20155 (NLH/MJS), 2021 WL 6136090, at *3 (D.N.J. Dec. 29, 2021) ("The prevailing rule across federal courts is that a subpoena's place of compliance is the district where documents are to be produced."); Pizana v. Basic Rsch., LLC, No. 1:18-CV-00644 (DAD/SKO), 2022 WL 1693317, at *2 (E.D. Cal. May 26, 2022)("[A] majority of federal courts agree that the 'district where compliance is required' is the place of compliance named in the subpoena."). Although there is disagreement among the federal district courts on this point, this is the majority view, and to read the place of compliance as the location of the documents would render the geographic limitation moot. Here, because the subpoenas command production in St. Louis, Missouri, that is the place of compliance, which is more than 100 miles from non-party's headquarters in Windsor, Connecticut. As a practical matter, the Court is aware that electronic production is common. It is not the Court's intention to elevate form over substance. However, the Court views this is a jurisdictional question. See Pizana, 2022 WL 1693317, at *2 ("Rule 45 consistently, through numerous sections of the Rule, requires any motions or applications related to a subpoena be brought in the district where compliance is required."); 9 Moore's Federal Practice - Civil 45.25 #2 (2022) ("The place of compliance for a corporation generally is within 100 miles of where the corporation is headquartered or the custodian of records resides, is employed, or regularly transacts business in person. Parties often agree that production, particularly of electronically stored information, be transmitted by electronic means. Rule 45 is not intended to limit the ability of the parties to make such arrangements. Nevertheless, the place for compliance under the rule is critical to the jurisdiction of a court to hear a challenge to a subpoena. Challenges to a subpoena must be heard by the district court encompassing the place where compliance with the subpoena is required.").Under Rule 45, the place of compliance, or the place of production of the documents, even if electronically produced, must be within 100 miles of the non-party's headquarters. The district where production is required, if within the geographic limitation, would then have jurisdiction to hear motions related to the subpoenas. To the extent Plaintiff reissues its subpoenas such that this District has jurisdiction over them in accordance with this Order, any subsequent motions related to those subpoenas shall be filed in this MC case. Signed by Judge Maria E. Garcia on 1/30/23. (Lefevre, Arthur)
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Filing 27
AFFIDAVIT re #25 MOTION to Strike #14 Memorandum in Opposition to Motion, Signed By Matthew E. Layden filed by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Exhibit Exhibit 1)(Layden, Matthew)
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Filing 26
Memorandum in Support re #25 MOTION to Strike #14 Memorandum in Opposition to Motion, filed by Beth Berkelhammer, Naomi Ruiz. (Layden, Matthew)
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Filing 25
MOTION to Strike #14 Memorandum in Opposition to Motion, by Beth Berkelhammer, Naomi Ruiz.Responses due by 2/17/2023 (Layden, Matthew)
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Filing 24
NOTICE of Appearance by Matthew Edward Layden on behalf of Beth Berkelhammer, Naomi Ruiz (Layden, Matthew)
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Filing 23
CERTIFICATE OF GOOD STANDING re #17 MOTION for Attorney(s) Matthew E. Layden to be Admitted Pro Hac Vice by Beth Berkelhammer, Naomi Ruiz. (Layden, Matthew)
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Filing 22
NOTICE of Appearance by Joel D. Rohlf on behalf of Beth Berkelhammer, Naomi Ruiz (Rohlf, Joel)
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Filing 21
CERTIFICATE OF GOOD STANDING re #16 MOTION for Attorney(s) Joel D. Rohlf to be Admitted Pro Hac Vice by Beth Berkelhammer, Naomi Ruiz. (Rohlf, Joel)
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Filing 20
REPLY to Response to #1 MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880) filed by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit Declaration of Matthew E. Layden)(Rohlf, Joel)
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Filing 19
ORDER granting #17 Motion to Appear Pro Hac Vice Certificate of Good Standing due by 3/14/2023. Signed by Judge Maria E. Garcia on 1/13/2023. (Garcia, Maria)
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Filing 18
ORDER granting #16 Motion to Appear Pro Hac Vice Certificate of Good Standing due by 3/14/2023. Signed by Judge Maria E. Garcia on 1/13/2023. (Garcia, Maria)
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Filing 17
MOTION for Attorney(s) Matthew E. Layden to be Admitted Pro Hac Vice by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit)(Katz, Stuart)
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Filing 16
MOTION for Attorney(s) Joel D. Rohlf to be Admitted Pro Hac Vice by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit)(Katz, Stuart)
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Filing 15
Memorandum in Opposition re #1 MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880) filed by Voya Institutional Plan Services, LLC, Voya Investment Trust Company, Voya Retirement Advisors, LLC. (Attachments: #1 Affidavit Declaration of James Wade, #2 Affidavit Declaration of Lombard Gasbarro, II, #3 Exhibit Exhibits 1-7 to Gasbarro Declaration, #4 Affidavit Declaration of Andrew O'Toole with exhibit)(O'Toole, Andrew)
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Filing 14
Memorandum in Opposition ADP Defendants' Opposition to Plaintiffs' Motion to Compel Non-Parties to Comply with Plaintiffs' Subpoenas re #1 MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880) filed by ADP TotalSource Group, Inc.., Automatic Data Processing, Inc., ADP TotalSource Retirement Savings Plan Committee. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Bitar, Karen)
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Filing 13
ORDER denying #10 Motion to Appear Pro Hac Vice. Motion to Appear Pro Hac Vice is denied without prejudice to refiling. Counsel has failed to comply with Local Rule 83.1(d)(1) (requirement that the proposed visiting attorney's affidavit is duly sworn and notarized). Counsel is directed to re-file his motion including this required information. It is not necessary to pay a subsequent filing fee. Signed by Judge Maria E. Garcia on 1/9/2023. (Santos, Sarah)
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Filing 12
ORDER denying #9 Motion to Appear Pro Hac Vice. Motion to Appear Pro Hac Vice is denied without prejudice to refiling. Counsel has failed to comply with Local Rule 83.1(d)(1) (requirement that the proposed visiting attorney's affidavit is duly sworn and notarized). Counsel is directed to re-file his motion including this required information. It is not necessary to pay a subsequent filing fee. Signed by Judge Maria E. Garcia on 1/9/2023. (Santos, Sarah)
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Filing 11
Corporate Disclosure Statement by Voya Institutional Plan Services, LLC, Voya Investment Trust Company, Voya Retirement Advisors, LLC identifying Corporate Parent Voya Financial, Inc. for Voya Institutional Plan Services, LLC, Voya Retirement Advisors, LLC; Corporate Parent Voya Holdings, Inc., Other Affiliate Voya Financial, Inc. for Voya Investment Trust Company. (O'Toole, Andrew)
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Filing 10
MOTION for Attorney(s) Joel D. Rohlf to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7188443) by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit)(Katz, Stuart)
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Filing 9
MOTION for Attorney(s) Matthew E. Layden to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7188415) by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Affidavit)(Katz, Stuart)
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Filing 8
Minute Entry for proceedings held before Magistrate Judge Maria E. Garcia: Telephonic Status Conference held on 1/4/2023. Total Time: 9 minutes (Santos, Sarah)
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Filing 7
ORDER granting #6 Consent MOTION for Extension of Time to File Response/Reply as to #1 MOTION to Compel Subpoena Compliance. Responses due by 1/11/2023. Signed by Magistrate Judge Maria E. Garcia on 01/03/2023. (Garcia, Maria)
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Filing 6
Consent MOTION for Extension of Time to File Response/Reply as to #1 MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880) until January 11, 2023 by Voya Institutional Plan Services, LLC, Voya Investment Trust Company, Voya Retirement Advisors, LLC. (O'Toole, Andrew)
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Filing 5
NOTICE of Appearance by Andrew D. O'Toole on behalf of Voya Institutional Plan Services, LLC, Voya Investment Trust Company, Voya Retirement Advisors, LLC (O'Toole, Andrew)
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Docket Entry Correction re 4 Order. Modified to correct year to 2023 and add the following sentence "Plaintiff's counsel is asked to forward this calendar notice to Defendants' counsel who have not yet appeared in this matter." (Santos, Sarah)
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Filing 4
ORDER re #1 MOTION to Compel Subpoena ComplianceTelephonic status conference set for January 4, 2023 at 4:00 p.m. before Judge Maria E. Garcia. Please call in to the Court's conference call line at 1-888-557-8511 and enter the pass code of 3852222# when prompted. Plaintiff's counsel is asked to forward this calendar notice to Defendants' counsel who have not yet appeared in this matter. Signed by Magistrate Judge Maria E. Garcia on 12/27/22. (Lefevre, Arthur) Modified docket text on 12/28/2022 (Santos, Sarah).
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Filing 3
ELECTRONIC FILING ORDER FOR COUNSEL - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER. Signed by Magistrate Judge Maria E. Garcia on 12/14/2022. (Santos, Sarah)
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Magistrate Judge Maria E. Garcia added. (Oliver, T.)
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Filing 2
AFFIDAVIT re #1 MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880) filed by Beth Berkelhammer, Naomi Ruiz. (Attachments: #1 Exhibit Exhibit 1, #2 Exhibit Exhibit 2, #3 Exhibit Exhibit 3, #4 Exhibit Exhibit 4, #5 Exhibit Exhibit 5, #6 Exhibit Exhibit 6, #7 Exhibit Exhibit 7, #8 Exhibit Exhibit 8, #9 Exhibit Exhibit 9, #10 Exhibit Exhibit 10, #11 Exhibit Exhibit 11, #12 Exhibit Exhibit 12)(Katz, Stuart)
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Filing 1
MOTION to Compel Subpoena Compliance (paid $49 fee; receipt number ACTDC-7169880), filed by Beth Berkelhammer, Naomi Ruiz.Responses due by 1/4/2023 (Attachments: #1 Memorandum in Support)(Katz, Stuart)
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