George v. Griffin et al
| Donnahue George |
| Ken Griffin, Citadel Securities Market Maker, Citadel Connect Dark Pool, Citadel LLC Hedge Fund, Securities Exchange Commission, FNRA, DTCC, Robinhood Financial LLC, Webull Financial LLC, FINRA and CFTC |
| 0:2021cv61719 |
| August 17, 2021 |
| US District Court for the Southern District of Florida |
| K Michael Moore |
| Lurana S Snow |
| Stockholders Suits |
| 18 U.S.C. § 1962 |
| Plaintiff |
Docket Report
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Filing 45
PAPERLESS ORDER. THIS CAUSE came before the Court upon Defendant Depository Trust & Clearing Corporation's Motions to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notice of Electronic Filing. #33 , #34 . UPON CONSIDERATION of the Motions #33 , #34 , the pertinent portions of the record, and being otherwise fully advised in the premises, it is hereby ORDERED AND ADJUDGED that the Motions #33 , #34 are GRANTED. Adam G. Unikowsky and Gregory M. Boyle may appear pro hac vice in this matter. The Clerk of Court shall provide electronic notification of all electronic filings to: (1) AUnikowsky@jenner.com, and (2) GBoyle@jenner.com. Signed by Judge K. Michael Moore on 10/15/2021. (thn)
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Filing 44
OMNIBUS PAPERLESS ORDER. THIS CAUSE came before the Court upon Defendant Robinhood Financial's Motions to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notice of Electronic Filings. #36 , #37 , #38 . UPON CONSIDERATION of the Motions #36 , #37 , #38 , the pertinent portions of the record, and being otherwise fully advised in the premises, it is hereby ORDERED AND ADJUDGED that the Motions #36 , #37 , #38 are GRANTED. Brittany L. Sukiennik, Kevin J. Orsini, and Antony L. Ryan may appear pro hac vice in this matter. The Clerk of Court shall provide electronic notification of all electronic filings to: (1) bsukiennik@cravath.com, (2) korsini@cravath.com, and (3) aryan@cravath.com. Signed by Judge K. Michael Moore on 10/15/2021. (thn)
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| Filing 43 REPLY to #41 CORRECTED RESPONSE in Opposition re #10 MOTION for Preliminary Injunction filed by Donnahue George. (cds) |
| Filing 42 Request/Motion to Amend re #8 Amended Complaint/Amended Notice of Removal by Donnahue George. Pursuant to Fed Civ. P 15. (a)(2) Responses due by 10/29/2021 (cds) |
| Filing 41 CORRECTED RESPONSE in Opposition re #10 MOTION for Permanent Injunction MOTION for Hearing filed by Robinhood Financial LLC. Replies due by 10/22/2021. (Danon, Samuel) Modified Text on 10/15/2021 (cds). |
| Filing 40 NOTICE of Striking 39 Clerks Notice of Docket Correction and Instruction to Filer - Attorney,, #35 Response in Opposition to Motion filed by Robinhood Financial LLC by Robinhood Financial LLC (Danon, Samuel) |
| Filing 39 Clerks Notice to Filer re #35 Response in Opposition to Motion. Login/Signature Block Violation; CORRECTIVE ACTION REQUIRED - The name of attorney e-filing this document via their CM/ECF login does not match the name of attorney on the signature block of the document. The name used for login must match the typed name on signature block of the document. This filing is a violation of Section 3J(1) of CM/ECF Admin Procedures and Local Rule 5.1(b). Filer must File a Notice of Striking, then refile document pursuant to CM/ECF Admin Procedures and Local Rules. (cds) |
| Filing 38 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Antony L. Ryan. Filing Fee $ 200.00 Receipt # AFLSDC-15093510 by Robinhood Financial LLC. Responses due by 10/28/2021 (Attachments: #1 Certification Certification of Antony L. Ryan, #2 Proposed Order Granting Motion Pro Hac Vice)(Danon, Samuel) |
| Filing 37 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Kevin J. Orsini. Filing Fee $ 200.00 Receipt # AFLSDC-15093507 by Robinhood Financial LLC. Responses due by 10/28/2021 (Attachments: #1 Certification Certification of Kevin Orsini, #2 Proposed Order Granting Motion Pro Hac Vice)(Danon, Samuel) |
| Filing 36 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Brittany L. Sukiennik. Filing Fee $ 200.00 Receipt # AFLSDC-15093496 by Robinhood Financial LLC. Responses due by 10/28/2021 (Attachments: #1 Certification Certification of Brittany L. Sukiennik, #2 Proposed Order Granting Motion Pro Hac Vice)(Danon, Samuel) |
| Filing 35 (STRICKEN PER DE#40 ) RESPONSE in Opposition re #10 MOTION for Permanent Injunction MOTION for Hearing filed by Robinhood Financial LLC. Replies due by 10/21/2021. (Castellanos Alvarado, Maria) Modified Text on 10/15/2021 (cds). |
| Filing 34 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Gregory M. Boyle. Filing Fee $ 200.00 Receipt # AFLSDC-15093363 by DTCC. Responses due by 10/28/2021 (Attachments: #1 Text of Proposed Order Proposed Order)(Carlson, Curtis) |
| Filing 33 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Adam G. Unikowsky. Filing Fee $ 200.00 Receipt # AFLSDC-15093357 by DTCC. Responses due by 10/28/2021 (Attachments: #1 Text of Proposed Order Proposed Order)(Carlson, Curtis) |
| Filing 32 RESPONSE in Opposition re #10 MOTION for Permanent Injunction MOTION for Hearing Defendants Ken Griffin, Citadel Enterprise Americas LLC (Formerly Citadel LLC), and Citadel Securities LLC's Opposition to Plaintiff's Motion for Preliminary Injunction filed by Citadel LLC Hedge Fund, Citadel Securities Market Maker, Ken Griffin. Replies due by 10/21/2021. (Sternberg, Jason) |
| Filing 31 RESPONSE to Motion re #10 MOTION for Permanent Injunction MOTION for Hearing filed by DTCC. Replies due by 10/21/2021. (Carlson, Curtis) |
| Filing 30 Corporate Disclosure Statement by DTCC identifying Corporate Parent The Depository Trust & Clearing Corporation for DTCC (Carlson, Curtis) |
| Filing 29 Defendant's Corporate Disclosure Statement by Robinhood Financial LLC identifying Corporate Parent Robinhood Markets, Inc. for Robinhood Financial LLC (Danon, Samuel) |
| Filing 28 NOTICE of Attorney Appearance by Maria Alina Castellanos Alvarado on behalf of Robinhood Financial LLC. Attorney Maria Alina Castellanos Alvarado added to party Robinhood Financial LLC(pty:dft). (Castellanos Alvarado, Maria) |
| Filing 27 NOTICE of Attorney Appearance by Gustavo Javier Membiela on behalf of Robinhood Financial LLC. Attorney Gustavo Javier Membiela added to party Robinhood Financial LLC(pty:dft). (Membiela, Gustavo) |
| Filing 26 NOTICE of Attorney Appearance by Samuel Alberto Danon on behalf of Robinhood Financial LLC. Attorney Samuel Alberto Danon added to party Robinhood Financial LLC(pty:dft). (Danon, Samuel) |
| Filing 25 Corporate Disclosure Statement by FINRA (Mandel, David) |
| Filing 24 RESPONSE in Opposition re #10 MOTION for Permanent Injunction MOTION for Hearing filed by FINRA. Attorney David Scott Mandel added to party FINRA(pty:dft). Replies due by 10/20/2021. (Mandel, David) |
| Filing 23 Corporate Disclosure Statement of Defendants Citadel Enterprise Americas LLC and Citadel Securities LLC by Citadel LLC Hedge Fund, Citadel Securities Market Maker identifying Corporate Parent Citadel Securities GP LLC, Other Affiliate Citadel Securities LLC for Citadel Securities Market Maker; Corporate Parent Citadel GP LLC, Other Affiliate Citadel Enterprise Americas LLC (Formerly Citadel LLC) for Citadel LLC Hedge Fund (Sternberg, Jason) |
| Filing 22 WAIVER OF SERVICE Returned Executed by Donnahue George. DTCC waiver sent on 9/30/2021, answer due 11/29/2021. (cds) |
| Reset Deadlines Per DE#21. Responses due by 10/14/2021 (cqs) |
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Filing 21
PAPERLESS ORDER SETTING BRIEFING SCHEDULE ON MOTION FOR PRELIMINARY INJUNCTION #10 . THIS CAUSE came before the Court upon Plaintiff's Motion for Preliminary Injunction. #10 . On September 8, 2021, the Court stayed briefing on Plaintiff's Motion for Preliminary Injunction #10 , pending Defendants' appearance in the above-captioned case. 12 . Now, almost all of Defendants have filed an appearance or waiver of service in this case, and are thus on adequate notice as to Plaintiff's Motion #10 . Therefore, the Court will consider Plaintiff' Motion in accordance with the briefing schedule set forth below. The Defendants who have appeared in this case, or filed a waiver of service, are hereby ORDERED to respond to Plaintiff's Motion for Preliminary Injunction #10 on or before October 14, 2021. Plaintiff shall have up to seven (7) days to file a reply. If Plaintiff opts not to file a reply, he shall inform the Court at his earliest convenience. If necessary, a hearing in this matter will be set by separate order after briefing on Plaintiff's Motion for Preliminary Injunction #10 has been completed. Signed by Judge K. Michael Moore on 9/30/2021. (thn)
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Filing 20
PAPERLESS ORDER. THIS CAUSE came before the Court upon Defendants Ken Griffin, Citadel Enterprise Americas LLC (formerly Citadel LLC) and Citadel Securities LLC's (collectively, the "Citadel Defendants") Unopposed Motion for Extension of Time to Respond to Amended Complaint. #17 . Therein, the Citadel Defendants inform the Court that they conferred with Plaintiff and agreed on September 24, 2021 to accept service of process via email. Id. at 1. The Citadel Defendants note that Defendant Robinhood Financial LLC's ("Defendant Robinhood") deadline to respond to the Amended Complaint is November 22, 2021, pursuant to the Waiver of Service #15 filed by Defendant Robinhood on November 22, 2021. #17 at 2. Now, the Citadel Defendants request an extension to respond to the Amended Complaint on or before November 22, 2021, in order to allow the Citadel Defendants and Defendant Robinhood to respond on the same schedule. Id. Plaintiff does not oppose the requested relief. Id. The Court agrees with the Citadel Defendants that setting a response deadline consistently amongst the Defendants, to the extent possible, will benefit judicial economy in this case. Accordingly, UPON CONSIDERATION of the Motion, the pertinent portions of the record, and being otherwise fully advised in the premises, it is hereby ORDERED AND ADJUDGED that the Motion #17 is GRANTED. The Citadel Defendants shall respond to the Amended Complaint on or before November 22, 2021. Signed by Judge K. Michael Moore on 9/29/2021. (thn)
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| Filing 19 WAIVER OF SERVICE Returned Executed by Donnahue George. FINRA waiver sent on 9/7/2021, answer due 11/8/2021. (cds) |
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Filing 18
PAPERLESS ORDER. THIS CAUSE came before the Court upon the Pro Se Plaintiff's Motion for Alternative Service. #16 . Therein, Plaintiff informs the Court that he has attempted to arrange service of process on several of the Defendants, which are agencies of the U.S. Government ("the Government Defendants"). Id. at 2-3. However, Plaintiff has had difficulties because the Government Defendants "have been using security officers at the front desk of the building to avoid service[.]" Id. at 4. Plaintiff requests the Court arrange alternative service arrangements in light of these difficulties. Id. at 4. Federal Rule of Civil Procedure 4(i)(2) states that "[t]o serve a United States agency or corporation, or a United States officer or employee sued only in an official capacity, a party must serve the United States and also send a copy of the summons and of the complaint by registered or certified mail to the agency, corporation, officer, or employee." Fed. R. Civ. P. 4(i)(2). Thus, in addition to serving an agency by certified mail, the United States must also be served in a manner that complies with Federal Rule of Civil Procedure 4(i)(1). Here, Plaintiff's Motion #16 makes no reference to Rule 4(i) and does not indicate that he attempted to serve process in a manner that complies with the requirements of the Federal Rules of Civil Procedure. Although Plaintiff is a pro se litigant, he is required to comply with the Federal Rules of Civil Procedure. The Court will not provide an alternative service arrangement under circumstances where Plaintiff has not attempted to comply with the applicable Federal Rules of Civil Procedure in the first instance. Accordingly, UPON CONSIDERATION of the Motion, the pertinent portions of the record, and being otherwise fully advised in the premises, it is hereby ORDERED AND ADJUDGED that the Motion #16 is DENIED. Plaintiff is encouraged to review Federal Rule of Civil Procedure 4(i) which sets forth the correct procedures for service of process on government agencies, and to comply with those procedures. Signed by Judge K. Michael Moore on 9/28/2021. (thn)
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| Filing 17 Unopposed MOTION for Extension of Time to File Response/Reply/Answer as to #8 Amended Complaint/Amended Notice of Removal Unopposed Motion of Defendants Ken Griffin, Citadel Enterprise Americas LLC (Formerly Citadel LLC) and Citadel Securities LLC for Extension of Time to Respond to Amended Complaint by Citadel LLC Hedge Fund, Citadel Securities Market Maker, Ken Griffin. Attorney Jason David Sternberg added to party Citadel LLC Hedge Fund(pty:dft), Attorney Jason David Sternberg added to party Citadel Securities Market Maker(pty:dft), Attorney Jason David Sternberg added to party Ken Griffin(pty:dft). (Attachments: #1 Exhibit A - Proposed Order)(Sternberg, Jason) |
| Filing 16 MOTION for Alternative Service by Donnahue George. (cds) |
| Filing 15 WAIVER OF SERVICE Returned Executed by Donnahue George. Robinhood Financial LLC waiver sent on 9/23/2021, answer due 11/22/2021. (cds) |
| Filing 14 SUMMONS (Affidavit) Returned Executed on #8 Amended Complaint/Amended Notice of Removal with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by Donnahue George. Ken Griffin served on 9/14/2021, answer due 10/5/2021. (cds) |
| Filing 13 SUMMONS (Affidavit) Returned Executed on #8 Amended Complaint/Amended Notice of Removal with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by Donnahue George. Citadel Connect Dark Pool served on 9/14/2021, answer due 10/5/2021. (cds) |
| Filing 12 PAPERLESS NOTICE REGARDING MOTION FOR PRELIMINARY INJUNCTION #10 . THIS CAUSE came before the Court upon Plaintiff's Motion for Preliminary Injunction. #10 . Under the Federal Rules of Civil Procedure, a "court may issue a preliminary injunction only on notice to the adverse party." Fed. R. Civ. P. 65(a)(1). However, Defendants have yet to appear in the above-captioned case. Additionally, although Plaintiff certifies that the Motion #10 was served upon Defendants by certified mail, the addresses listed merely indicate that the Motion #10 was mailed to the various government agencies and businesses that are named as defendants in this case, but not to their counsel. District courts have "broad discretion to stay proceedings as incident to its power to control its own docket." Clinton v. Jones, 520 U.S. 681, 706 (1997) (citation omitted). And, the Court is "given considerable leeway in the exercise of its judgment" of whether to grant a stay. Bos. Sci. Corp. v. Cook Grp. Inc., No. 1:17-cv-03448-JRS-MJD, 2019 WL 2511162, at *1 (S.D. Ind. June 17, 2019) (citing Ultratec, Inc. v. CaptionCall, LLC, 611 F. App'x 720, 721-23 (Fed. Cir. 2015)). Indeed, "district courts have inherent, discretionary authority to issue stays in many circumstances." Advanced Bodycare Sols., LLC v. Thione Int'l, Inc., 524 F.3d 1235, 1241 (11th Cir. 2008). "Federal courts routinely exercise their power to stay a proceeding where a stay would promote judicial economy and efficiency." Morrissey v. Subaru of Am., Inc., No. 1:15-CV-21106-KMM, 2015 WL 4512641, at *2 (S.D. Fla. July 24, 2015) (citation omitted). The moving party bears the burden of demonstrating that a stay is appropriate. Friends of the Everglades v. United States, No. 08-21785-CIV-ALTONAGA/Brown, 2008 WL 11410108, at *2 (S.D. Fla. Nov. 7, 2008). Plaintiff's statement that he mailed a copy of the Motion #10 to the addresses listed in the Motion, alone, provides an insufficient basis for the Court to determine whether Defendants are in fact on notice of Plaintiff's Motion #10 . Accordingly, briefing on Plaintiff's Motion for Preliminary Injunction #10 is hereby STAYED. The Court will set a briefing schedule for Plaintiff's Motion for Preliminary Injunction #10 upon a showing that Defendants are on notice as to the Motion #10 , or, upon Defendants' appearance in the above-captioned case. Signed by Judge K. Michael Moore on 9/8/2021. (thn) |
| Filing 11 Summons Issued as to CFTC, FINRA. |
| Filing 10 MOTION for Permanent Injunction and MOTION for Hearing Within 21 Days. by Donnahue George. (cqs) |
| Filing 9 CERTIFICATE OF SERVICE by Donnahue George re #8 Amended Complaint(cqs) |
| Filing 8 AMENDED COMPLAINT against Citadel Connect Dark Pool, Citadel LLC Hedge Fund, Citadel Securities Market Maker, DTCC, FNRA, Ken Griffin, Robinhood Financial LLC, Securities Exchange Commission, Webull Financial LLC, filed by Donnahue George.(cqs) |
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Filing 7
GENERAL ORDER ON DISCOVERY OBJECTIONS AND PROCEDURES signed by Magistrate Judge Lurana S. Snow on 8/22/2021. (jz)
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Filing 6
PAPERLESS ORDER REFERRING PRETRIAL DISCOVERY MATTERS TO MAGISTRATE JUDGE LURANA S. SNOW. PURSUANT to 28 U.S.C. 636 and the Magistrate Rules of the Local Rules of the Southern District of Florida, the above-captioned Cause is referred to United States Magistrate Judge Lurana S. Snow to take all necessary and proper action as required by law with respect to any and all pretrial discovery matters. Any motion affecting deadlines set by the Court's Scheduling Order is excluded from this referral, unless specifically referred by separate Order. It is FURTHER ORDERED that the parties shall comply with Magistrate Judge Lurana S. Snow's discovery procedures, which the parties shall be advised of by the entry of an Order. Signed by Judge K. Michael Moore on 8/18/2021. (thn)
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Filing 5
PAPERLESS PRETRIAL ORDER. This order has been entered upon the filing of the complaint. Plaintiff's counsel is hereby ORDERED to forward to all defendants, upon receipt of a responsive pleading, a copy of this Order. It is further ORDERED that S.D. Fla. L.R. 16.1 shall apply to this case and the parties shall hold a scheduling conference no later than twenty (20) days after the filing of the first responsive pleading by the last responding defendant, or within sixty (60) days after the filing of the complaint, whichever occurs first. However, if all defendants have not been served by the expiration of this deadline, Plaintiff shall move for an enlargement of time to hold the scheduling conference, not to exceed 90 days from the filing of the Complaint. Within ten (10) days of the scheduling conference, counsel shall file a joint scheduling report. Failure of counsel to file a joint scheduling report within the deadlines set forth above may result in dismissal, default, and the imposition of other sanctions including attorney's fees and costs. The parties should note that the time period for filing a joint scheduling report is not tolled by the filing of any other pleading, such as an amended complaint or Rule 12 motion. The scheduling conference may be held via telephone. At the conference, the parties shall comply with the following agenda that the Court adopts from S.D. Fla. L.R. 16.1: (1) Documents (S.D. Fla. L.R. 16.1.B.1 and 2) - The parties shall determine the procedure for exchanging a copy of, or a description by category and location of, all documents and other evidence that is reasonably available and that a party expects to offer or may offer if the need arises. Fed. R. Civ. P. 26(a)(1)(B). (a) Documents include computations of the nature and extent of any category of damages claimed by the disclosing party unless the computations are privileged or otherwise protected from disclosure. Fed. R. Civ. P. 26(a)(1)(C). (b) Documents include insurance agreements which may be at issue with the satisfaction of the judgment. Fed. R. Civ. P. 26(a)(1)(D). (2) List of Witnesses - The parties shall exchange the name, address and telephone number of each individual known to have knowledge of the facts supporting the material allegations of the pleading filed by the party. Fed. R. Civ. P. 26(a)(1)(A). The parties have a continuing obligation to disclose this information. (3) Discussions and Deadlines (S.D. Fla. L.R. 16.1.B.2) - The parties shall discuss the nature and basis of their claims and defenses and the possibilities for a prompt settlement or resolution of the case. Failure to comply with this Order or to exchange the information listed above may result in sanctions and/or the exclusion of documents or witnesses at the time of trial. S.D. Fla. L.R. 16.1.I. Pursuant to Administrative Order 2016-70 of the Southern District of Florida and consistent with the Court of Appeals for the Eleventh Circuit's Local Rules and Internal Operating Procedures, within three days of the conclusion of a trial or other proceeding, parties must file via CM/ECF electronic versions of documentary exhibits admitted into evidence, including photographs of non-documentary physical exhibits. The Parties are directed to comply with each of the requirements set forth in Administrative Order 2016-70 unless directed otherwise by the Court.Telephonic appearances are not permitted for any purpose. Upon reaching a settlement in this matter the parties are instructed to notify the Court by telephone and to file a Notice of Settlement within twenty-four (24) hours. Signed by Judge K. Michael Moore on 8/18/2021. (thn)
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| Filing 4 Summons Issued as to Citadel Connect Dark Pool, Citadel LLC Hedge Fund, Citadel Securities Market Maker, DTCC, FNRA, Ken Griffin, Robinhood Financial LLC, Securities Exchange Commission, Webull Financial LLC. (ebz) (Main Document 4 replaced on 8/17/2021) (ebz). |
| Filing 3 Clerks Notice of Receipt of Filing Fee received on 8/17/2021 in the amount of $ 402.00, receipt number FLS000014595 (ebz) |
| Filing 2 Clerks Notice of Judge Assignment to Judge K. Michael Moore. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Lurana S. Snow is available to handle any or all proceedings in this case. If agreed, parties should complete and file the Consent form found on our website. It is not necessary to file a document indicating lack of consent. Pro se (NON-PRISONER) litigants may receive Notices of Electronic Filings (NEFS) via email after filing a Consent by Pro Se Litigant (NON-PRISONER) to Receive Notices of Electronic Filing. The consent form is available under the forms section of our website. (ebz) |
| Filing 1 COMPLAINT against Citadel Connect Dark Pool, Citadel LLC Hedge Fund, Citadel Securities Market Maker, DTCC, FNRA, Ken Griffin, Robinhood Financial LLC, Securities Exchange Commission, Webull Financial LLC. Filing fees $ 402.00 Receipt#: FLS000014595, filed by Donnahue George. (Attachments: #1 Civil Cover Sheet)(ebz) |
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