Gutman v. Lizhi Inc. et al
| Yoav Gutman |
| Valuable Capital Limited, Citigroup Global Markets Inc., Jinnan Lai, Richard Arthur, Xi Chen, Prime Number Capital LLC, Tao Huang, Zelong Li, Cogency Global Inc., Ye Yuan, Haitong International Securities Company Limited, Tiger Brokers (NZ) Limited, China Merchants Securities (HK) Co., Ltd., Needham & Company, LLC, Colleen A. De Vries, AMTD Global Markets Limited, Ning Ding and Lizhi Inc. |
| 1:2021cv00317 |
| January 20, 2021 |
| US District Court for the Eastern District of New York |
| LaShann DeArcy Hall |
| Peggy Kuo |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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| Document Text |
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| Filing 62 NOTICE of Appearance by Joanna A Diakos on behalf of Richard Arthur, Cogency Global Inc., Colleen A. De Vries (aty to be noticed) (Diakos, Joanna) |
| Filing 61 MOTION to Withdraw as Attorney by Lizhi Inc.. (Attachments: #1 Declaration of Daniel S. Magy) (Magy, Daniel) |
ORDER granting #61 Motion to Withdraw as Attorney. Attorney Daniel S Magy terminated. Ordered by Magistrate Judge Peggy Kuo on 4/11/2022. (O'Neil-Berven, Ryan)
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| Filing 60 NOTICE by Xi Chen, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc. re #44 MOTION to Dismiss for Failure to State a Claim , #47 Notice(Other), #45 MOTION to Dismiss , #48 Notice(Other), #46 Notice(Other), of Supplemental Authority (Attachments: #1 Exhibit A) (Polubinski, Edmund) |
| Filing 59 NOTICE by Xi Chen, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc. re #44 MOTION to Dismiss for Failure to State a Claim , #47 Notice(Other), #45 MOTION to Dismiss , #48 Notice(Other), #46 Notice(Other), Supplemental Authority (Attachments: #1 Exhibit A) (Polubinski, Edmund) |
| Filing 58 SUMMONS Returned Executed by Yoav Gutman. Jinnan Lai served on 9/13/2021, answer due 10/4/2021. (Rosen, Laurence) |
| Filing 57 SUMMONS Returned Executed by Yoav Gutman. Ning Ding served on 9/13/2021, answer due 10/4/2021. (Rosen, Laurence) |
| Filing 56 SUMMONS Returned Executed by Yoav Gutman. Xi Chen served on 10/21/2021, answer due 11/11/2021. (Rosen, Laurence) |
| Filing 55 SUMMONS Returned Executed by Yoav Gutman. Zelong Li served on 9/13/2021, answer due 10/4/2021. (Rosen, Laurence) |
| Filing 54 NOTICE by AMTD Global Markets Limited re #51 Reply in Support Notice of Joinder in the Lizhi Defendants' Reply in Further Support of the Motion to Dismiss Plaintiff's Amended Complaint (Polubinski, Edmund) |
| Filing 53 NOTICE by Richard Arthur, Cogency Global Inc., Colleen A. De Vries re #51 Reply in Support Notice of Joinder in the Lizhi Defendants' Reply in Support of the Motion to Dismiss the Amended Complaint (Attachments: #1 Declaration of Joanna A. Diakos in Further Support of the Cogency Defendants' Joinder, #2 Exhibit A) (Polubinski, Edmund) |
| Filing 52 REPLY in Support re #45 MOTION to Dismiss filed by China Merchants Securities (HK) Co., Ltd., Citigroup Global Markets Inc., Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited, Valuable Capital Limited. (Polubinski, Edmund) |
| Filing 51 REPLY in Support re #44 MOTION to Dismiss for Failure to State a Claim filed by Xi Chen, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc.. (Polubinski, Edmund) |
| Filing 50 MEMORANDUM in Opposition re #46 Notice(Other), Plaintiff's Memorandum of Law in Opposition to the Cogency Defendants' Joinder filed by Xi Chen, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc.. (Attachments: #1 Declaration of Phillip Kim in Support of Plaintiff's Memorandum of Law in Opposition to the Cogency Defendants' Joinder, #2 Exhibit A, #3 Exhibit B) (Polubinski, Edmund) |
| Filing 49 MEMORANDUM in Opposition re #44 MOTION to Dismiss for Failure to State a Claim , #47 Notice(Other), #48 Notice(Other), #45 MOTION to Dismiss Plaintiff's Memorandum of Law in Opposition to the Motions to Dismiss Plaintiff's Amended Class Action Complaint filed by Xi Chen, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc.. (Attachments: #1 Declaration of Phillip Kim in Support of Plaintiff's Memorandum of Law in Opposition to the Motions to Dismiss Plaintiff's Amended Class Action Complaint, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L) (Polubinski, Edmund) |
| Filing 48 NOTICE by Tao Huang re #44 MOTION to Dismiss for Failure to State a Claim Notice of Joinder in Defendants Lizhi Inc., Xi Chen, Jinnan Lai, Ning Ding, and Zelong Li's Motion to Dismiss Plaintiff's Amended Class Action Complaint (Polubinski, Edmund) |
| Filing 47 NOTICE by AMTD Global Markets Limited re #44 MOTION to Dismiss for Failure to State a Claim Notice of Joinder in the Lizhi Defendants' Motion to Dismiss Plaintiff's Amended Complaint (Polubinski, Edmund) |
| Filing 46 NOTICE by Richard Arthur, Cogency Global Inc., Colleen A. De Vries re #44 MOTION to Dismiss for Failure to State a Claim Cogency Defendants' Joinder in Lizhi Inc.'s Motion to Dismiss the Amended Complaint (Attachments: #1 Declaration of Joanna A. Diakos in Support of the Cogency Defendants' Joinder, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3) (Polubinski, Edmund) |
| Filing 45 MOTION to Dismiss by China Merchants Securities (HK) Co., Ltd., Citigroup Global Markets Inc., Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited, Valuable Capital Limited. (Attachments: #1 Memorandum in Support of the Motion to Dismiss the Amended Complaint) (Polubinski, Edmund) |
| Filing 44 MOTION to Dismiss for Failure to State a Claim by Xi Chen, Ning Ding, Jinnan Lai, Zelong Li, Lizhi Inc.. (Attachments: #1 Memorandum in Support of Defendants' Motion to Dismiss Plaintiff's Amended Complaint, #2 Declaration of Edmund Polubinski III in Support of Defendants' Motion to Dismiss Plaintiff's Amended Complaint, #3 Exhibit 1, #4 Exhibit 2, #5 Exhibit 3, #6 Exhibit 4, #7 Exhibit 5, #8 Exhibit 6, #9 Exhibit 7, #10 Exhibit 8, #11 Exhibit 9, #12 Exhibit 10, #13 Exhibit 11, #14 Exhibit 12, #15 Exhibit 13, #16 Exhibit 14, #17 Exhibit 15, #18 Exhibit 16, #19 Exhibit 17, #20 Exhibit 18, #21 Exhibit 19, #22 Exhibit 20) (Polubinski, Edmund) |
| Filing 43 NOTICE of Appearance by John Anthony Piskora on behalf of AMTD Global Markets Limited (aty to be noticed) (Piskora, John) |
| Filing 42 SUMMONS Returned Executed by Yoav Gutman. Valuable Capital Limited served on 8/20/2021, answer due 9/10/2021. (Rosen, Laurence) |
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ORDER: The request to so-order the stipulation and proposed briefing schedule filed in the #41 Motion for Extension of Time to File is denied. The parties are directed to comply with the Court's Order filed at #36 for the filing of the fully briefed motion to dismiss. Ordered by Magistrate Judge Peggy Kuo on 9/8/2021. (O'Neil-Berven, Ryan)
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| Filing 41 MOTION for Extension of Time to File / Stipulation and [Proposed] Order Setting Briefing Schedule by Valuable Capital Limited. (Buergel, Susanna) |
| Filing 40 Corporate Disclosure Statement by Valuable Capital Limited identifying Corporate Parent Valuable Capital Group Ltd., Other Affiliate Weibo Corporation for Valuable Capital Limited. (Buergel, Susanna) |
| Filing 39 NOTICE of Appearance by Daniel Shiah Sinnreich on behalf of Valuable Capital Limited (aty to be noticed) (Sinnreich, Daniel) |
| Filing 38 NOTICE of Appearance by Susanna Michele Buergel on behalf of Valuable Capital Limited (aty to be noticed) (Buergel, Susanna) |
| Filing 37 AMENDED COMPLAINT against AMTD Global Markets Limited, Richard Arthur, Xi Chen, China Merchants Securities (HK) Co., Ltd., Citigroup Global Markets Inc., Cogency Global Inc., Colleen A. De Vries, Ning Ding, Haitong International Securities Company Limited, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc., Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited, Valuable Capital Limited, Ye Yuan, filed by Yoav Gutman. (Kim, Phillip) |
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Filing 36
ORDER granting #35 Motion for Extension of Time to File. The proposed Stipulation and Briefing Schedule filed at #35 is so-ordered with revisions. The parties are advised that Judge DeArcy Hall's Individual Practice Rules do not require a pre-motion conference on securities cases. The deadline for Lead Plaintiff to file an Amended Complaint is August 7, 2021. Defendants shall serve Plaintiff with a copy of the Motion to Dismiss by September 21, 2021. Plaintiff shall serve Defendants with an opposition to the Motion by November 17, 2021. Defendants shall serve Plaintiff with a reply and file the fully briefed motion by January 3, 2022. As a courtesy, unless objected to by the parties, the Court asks that the parties file the motion only once it is fully briefed. Plaintiff shall provide the Court with a courtesy copy of the filed, stamped, fully briefed motion, within two business days of filing. Memoranda of law and courtesy copies shall comply with the Court's Individual Practices. Ordered by Magistrate Judge Peggy Kuo on 6/17/2021. (O'Neil-Berven, Ryan) Main Document Added on 6/17/2021 (O'Neil-Berven, Ryan).
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ORDER granting #31 Motion to Adjourn Conference. The Telephone Initial Conference previously scheduled for June 22, 2021 is adjourned sine die. The parties are directed to file a joint proposed discovery plan within seven (7) days of a decision on the anticipated Motion to Dismiss if the motion is not fully granted. Ordered by Magistrate Judge Peggy Kuo on 6/17/2021. (O'Neil-Berven, Ryan)
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| Filing 35 MOTION for Extension of Time to File / Stipulation and [Proposed] Order Setting Pleading and Briefing Schedule by China Merchants Securities (HK) Co., Ltd.. (Buergel, Susanna) |
| Filing 34 Corporate Disclosure Statement by China Merchants Securities (HK) Co., Ltd. identifying Corporate Parent China Merchant Securities Co., Ltd. for China Merchants Securities (HK) Co., Ltd.. (Buergel, Susanna) |
| Filing 33 NOTICE of Appearance by Daniel Shiah Sinnreich on behalf of China Merchants Securities (HK) Co., Ltd. (aty to be noticed) (Sinnreich, Daniel) |
| Filing 32 NOTICE of Appearance by Susanna Michele Buergel on behalf of China Merchants Securities (HK) Co., Ltd. (aty to be noticed) (Buergel, Susanna) |
| Filing 31 Letter MOTION to Adjourn Conference by Lizhi Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2) (Polubinski, Edmund) |
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Filing 30
SCHEDULING ORDER: An Initial Conference will be held in this case on June 22, 2021 at 11:00 a.m. before Peggy Kuo, United States Magistrate. All counsel are required to attend. The parties are directed to call toll free (877) 336-1274 and input the Access Code 1453850 at the time of the Conference. No additional security code is needed. Once all parties are on the line, the call will be connected. (The parties are reminded that, pursuant to Local Civil Rule 1.8, they may not independently record any court proceedings. A transcript of the proceedings may be ordered from the Clerk's Office.)Counsel are directed to the annexed Initial Conference Order for instructions. By June 18, 2021, the parties must file a joint and completed copy of the Proposed Discovery Plan, a PDF version of which may be found at: # https://img.nyed.uscourts.gov/files/forms/PK-discovplan.pdf Any request for adjournment of this or any other conference must be made in writing on notice to opposing parties, and must disclose whether or not all parties consent. No request for adjournment will be considered unless made at least two (2) business days before the scheduled conference, except in the event of an emergency. Counsel with knowledge and authority must be present. Per diem counsel may not appear without prior permission of the Court. Plaintiff's counsel is directed to ensure that Defendants aware of this conference. Ordered by Magistrate Judge Peggy Kuo on 6/8/2021. (O'Neil-Berven, Ryan)
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ORDER ADOPTING REPORT AND RECOMMENDATION: No objections have been filed to Magistrate Judge Peggy Kuo's April 28, 2021 report and recommendation (the "R&R"), which recommends that the Court grant Plaintiff's motion to appoint counsel and lead plaintiff. The Court has reviewed the R&R for clear error and, finding none, hereby ADOPTS the R&R in its entirety as the opinion of this Court. Accordingly, Plaintiffs motion to appoint counsel and lead plaintiff #8 is GRANTED. Ordered by Judge LaShann DeArcy Hall on 6/7/2021. (Williams, Erica)
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| Filing 29 Proposed Scheduling Order /Stipulation and [Proposed] Order Setting Pleading and Briefing Schedule by Richard Arthur, Cogency Global Inc., Colleen A. De Vries (Diakos, Joanna) |
| Filing 28 SUMMONS Returned Executed by Yoav Gutman. Colleen A. De Vries served on 5/6/2021, answer due 5/27/2021. (Kim, Phillip) |
| Filing 27 SUMMONS Returned Executed by Yoav Gutman. Cogency Global Inc. served on 5/6/2021, answer due 5/27/2021. (Kim, Phillip) |
| Filing 26 SUMMONS Returned Executed by Yoav Gutman. Richard Arthur served on 5/6/2021, answer due 5/27/2021. (Kim, Phillip) |
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Filing 25
REPORT AND RECOMMENDATION: For the reasons in the attached, it is respectfully recommended that #8 the Motion to Appoint Counsel and Lead Plaintiff be granted and Plaintiff Yoav Gutman be appointed Lead Plaintiff and The Rosen Law Firm be appointed Lead Counsel.Any objection to this Report must be filed in writing with the Clerk of Court within fourteen (14) days of service. 28 U.S.C. 636(b)(1); Fed. R. Civ. P. 72(b). Failure to timely file any such objection waives the right to appeal the District Court's Order. Caidor v. Onondaga Cty., 517 F.3d 601, 604 (2d Cir. 2008). Ordered by Magistrate Judge Peggy Kuo on April 28, 2021. (Jochnowitz, David)
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| Filing 24 Corporate Disclosure Statement by Tiger Brokers (NZ) Limited identifying Corporate Parent UP Fintech Holding Limited for Tiger Brokers (NZ) Limited. (Buergel, Susanna) |
| Filing 23 Corporate Disclosure Statement by Prime Number Capital LLC identifying Corporate Parent Prime Numbers Capital LLC for Prime Number Capital LLC. (Buergel, Susanna) |
| Filing 22 Corporate Disclosure Statement by Needham & Company, LLC identifying Corporate Parent The Needham Group, Inc. for Needham & Company, LLC. (Buergel, Susanna) |
| Filing 21 Corporate Disclosure Statement by Citigroup Global Markets Inc. identifying Corporate Parent Citigroup Inc. for Citigroup Global Markets Inc.. (Buergel, Susanna) |
| Filing 20 Corporate Disclosure Statement by Lizhi Inc. identifying Other Affiliate LIZHI INC. (Cayman Islands), Other Affiliate LIZHI INC. (BVI), Other Affiliate LIZHI HOLDING LIMITED, Other Affiliate NASHOR INC., Other Affiliate NASHOR PTE. LTD., Other Affiliate TIYA INC. (Cayman Islands), Other Affiliate TIYA INC. (BVI), Other Affiliate TIYA HOLDINGS LIMITED, Other Affiliate TIYA PTE. LTD., Other Affiliate Tiya Inc. (USA), Other Affiliate Beijing Hongyiyichuang Information Technology Co., Ltd., Other Affiliate Guangzhou TIYA Information Technology Co., Ltd., Other Affiliate Guangzhou Lizhi Network Technology Co., Ltd., Other Affiliate Guangzhou Huanliao Network Technology Co., Ltd, Other Affiliate Changsha Limang Interaction Entertainment Co., Ltd., Other Affiliate Huaian Lizhi Network Technology Co., Ltd., Other Affiliate Wuhan Lizhi Network Technology Co., Ltd., Other Affiliate Chongqing Piwan Network Technology Co., Ltd., Other Affiliate Guangzhou Teqi Network Technology Co., Ltd, Other Affiliate Guangzhou Moyin Network Technology Co., Ltd., Other Affiliate Wuhan Shengdong Feiyin Network Technology Co., Ltd., Other Affiliate Wuhan Yuyin Liaorao Network Technology Co., Ltd., Other Affiliate Wuhan Zhiyin Network Technology Co., Ltd., Other Affiliate Beijing Guoyin Network Technology Co., Ltd. for Lizhi Inc.. (Polubinski, Edmund) |
| Filing 19 NOTICE of Appearance by Daniel S Magy on behalf of Lizhi Inc. (aty to be noticed) (Magy, Daniel) |
| Filing 18 NOTICE of Appearance by Jonathan K. Chang on behalf of Lizhi Inc. (aty to be noticed) (Chang, Jonathan) |
| Filing 17 NOTICE of Appearance by Edmund Polubinski, III on behalf of Lizhi Inc. (aty to be noticed) (Polubinski, Edmund) |
| Filing 16 Proposed Scheduling Order and Stipulation by Yoav Gutman (Kim, Phillip) |
| Filing 15 NOTICE of Appearance by Daniel Shiah Sinnreich on behalf of Citigroup Global Markets Inc., Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited (aty to be noticed) (Sinnreich, Daniel) |
| Filing 14 NOTICE of Appearance by Susanna Michele Buergel on behalf of Citigroup Global Markets Inc., Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited (aty to be noticed) (Buergel, Susanna) |
| Filing 13 NOTICE of Appearance by Jing Chen on behalf of Yoav Gutman (aty to be noticed) (Chen, Jing) |
| Filing 12 Summons Issued as to AMTD Global Markets Limited, China Merchants Securities (HK) Co., Ltd., Citigroup Global Markets Inc., Haitong International Securities Company Limited, Needham & Company, LLC, Prime Number Capital LLC, Tiger Brokers (NZ) Limited, Valuable Capital Limited. (Layne, Monique) |
| Filing 11 WAIVER OF SERVICE Returned Executed by Yoav Gutman. Lizhi Inc. waiver sent on 3/29/2021, answer due 5/28/2021. (Kim, Phillip) |
| Filing 10 Proposed Summons. Re #1 Complaint, by Yoav Gutman (Kim, Phillip) |
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ORDER: Plaintiff's motion #8 to be appointed lead-plaintiff and for approval of counsel is respectfully referred to Magistrate Judge Peggy Kuo for a report and recommendation. Ordered by Judge LaShann DeArcy Hall on 3/26/2021. (Williams, Erica)
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ORDER: Plaintiff has failed to file proof of service on the docket and is ordered to do so immediately. Ordered by Magistrate Judge Peggy Kuo on 3/23/2021. (O'Neil-Berven, Ryan)
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| Filing 9 MEMORANDUM in Support re #8 MOTION to Appoint Counsel and Lead Plaintiff filed by Yoav Gutman. (Attachments: #1 Exhibit 1 - PSLRA Early Notice, #2 Exhibit 2 - PSLRA Cert., #3 Exhibit 3 - Loss Chart, #4 Exhibit 4 - Firm Resume) (Kim, Phillip) |
| Filing 8 MOTION to Appoint Counsel and Lead Plaintiff by Yoav Gutman. (Attachments: #1 Proposed Order Proposed Order) (Kim, Phillip) |
| Filing 7 Summons Issued as to Richard Arthur, Xi Chen, Cogency Global Inc., Colleen A. De Vries, Ning Ding, Tao Huang, Jinnan Lai, Zelong Li, Lizhi Inc., Ye Yuan. (Bowens, Priscilla) |
| Filing 6 Proposed Summons. Re #1 Complaint, by Yoav Gutman (Kim, Phillip) |
| Filing 5 This attorney case opening filing has been checked for quality control. See the attachment for corrections that were made, if any. (Bowens, Priscilla) |
| Filing 4 In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: #http://www.uscourts.gov/uscourts/FormsAndFees/Forms/AO085.pdf. You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (Bowens, Priscilla) |
| Filing 3 Proposed Summons. Re #1 Complaint, by Yoav Gutman (Attachments: #1 Proposed Summons, #2 Proposed Summons, #3 Proposed Summons, #4 Proposed Summons, #5 Proposed Summons, #6 Proposed Summons, #7 Proposed Summons) (Kim, Phillip) |
| Filing 2 Proposed Summons. Re #1 Complaint, by Yoav Gutman (Kim, Phillip) |
| Filing 1 COMPLAINT against All Defendants filing fee $ 402, receipt number ANYEDC-14018472 Was the Disclosure Statement on Civil Cover Sheet completed -YES,, filed by Yoav Gutman. (Attachments: #1 Civil Cover Sheet, #2 PSLRA Certification) (Kim, Phillip) |
| Your proposed summonses were not issued for the following reason: If multiple defendants, there must me a rider attached to the summons with the name and addresses of all defendants included. (Bowens, Priscilla) |
| Case Assigned to Judge LaShann DeArcy Hall and Magistrate Judge Peggy Kuo. Please download and review the Individual Practices of the assigned Judges, located on our #website. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. (Bowens, Priscilla) |
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