Securities and Exchange Commission v. LG Capital Funding, LLC et al
| Securities and Exchange Commission |
| LG Capital Funding, LLC, Joseph Lerman, Daniel Gellman, Boruch Greenberg and Eli Safdieh |
| Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc. and National Association of Private Fund Managers |
| 1:2022cv03353 |
| June 7, 2022 |
| US District Court for the Eastern District of New York |
| James R Cho |
| William F Kuntz |
| Securities/Commodities |
| Defendant |
Docket Report
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This docket was last retrieved on November 13, 2023. A more recent docket listing may be available from PACER.
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Filing 54
NOTICE by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman re #53 Notice(Other), / RESPONSE OF DEFENDANTS LG CAPITAL FUNDING, LLC, JOSEPH I. LERMAN, AND RELIEF DEFENDANTS DANIEL GELLMAN AND BORUCH GREENBERG TO PLAINTIFFS NOTICE OF SUPPLEMENTAL AUTHORITY (Badway, Ernest)
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Filing 53
NOTICE by Securities and Exchange Commission re #28 Memorandum in Opposition, #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT, #52 Notice(Other), (Response to Defendants' Notice of Supplemental Authority and Notice of Additional Supplemental Authority) (Attachments: #1 Exhibit (Carebourn MSJ Decision)) (Romajas, Suzanne)
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Filing 52
NOTICE by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT, #27 Memorandum in Support, NOTICE OF SUPPLEMENTAL AUTHORITY IN FURTHER SUPPORT OF MOTION TO DISMISS (Langer, Philip)
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Filing 51
Letter to Magistrate Judge James R. Cho re Courtesy Copies by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc. (Gillett, Gabriel)
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Filing 50
REPLY in Support re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT (Corrected) filed by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B) (Gillett, Gabriel)
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Filing 49
REPLY in Support re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT filed by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B) (Gillett, Gabriel)
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Filing 48
RESPONSE in Opposition re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT (Response to Amici Brief) filed by Securities and Exchange Commission. (Romajas, Suzanne)
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Filing 47
MEMORANDUM in Support re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT / AMICI CURIAE BRIEF IN SUPPORT OF DEFENDANTS AND DISMISSAL filed by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Gillett, Gabriel)
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Filing 46
ORDER: Upon careful review of the parties arguments, the Court finds the Amici offer unique perspectives, context, and expertise and that their proposed brief is not duplicative of Defendants Motion at ECF No. 26. Accordingly, the Court GRANTS Amici leave to file as amici in support of Defendants Motion to Dismiss and ORDERS the following briefing schedule: Amici shall submit their brief in support of Defendants Motion to Dismiss, which they had previously filed as Exhibit A to Amicis Motion, ECF No. 39-2, by Friday,July 28, 2023 at 5:00 P.M.; Plaintiff shall submit a response by Friday, August 25, 2023 at 5:00 P.M.; and Amici shall submit their reply, if any, by Friday, September 8, 2023 at 5:00 P.M. As a courtesy, the Court requests the parties refrain from filing motion papers until the motion has been fully briefed. Ordered by Judge William F. Kuntz, II on 7/25/2023. (IH)
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Filing 45
REPLY in Support re #39 MOTION for Leave to File Document / Notice of Motion of Motion for Leave to File Amicus Brief in Support of Defendants' Motion to Dismiss filed by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Gillett, Gabriel)
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Filing 44
REPLY in Opposition re #39 MOTION for Leave to File Document / Notice of Motion of Motion for Leave to File Amicus Brief in Support of Defendants' Motion to Dismiss (CORRECTED) filed by Securities and Exchange Commission. (Attachments: #1 Corrected Response in Opposition) (Romajas, Suzanne)
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Filing 43
RESPONSE in Opposition re #39 MOTION for Leave to File Document / Notice of Motion of Motion for Leave to File Amicus Brief in Support of Defendants' Motion to Dismiss filed by Securities and Exchange Commission. (Romajas, Suzanne)
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Filing 42
Amicus Curiae APPEARANCE entered by Charles D Riely on behalf of National Association of Private Fund Managers (Riely, Charles)
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Filing 41
Amicus Curiae APPEARANCE entered by Anthony Scott Barkow on behalf of National Association of Private Fund Managers (Barkow, Anthony)
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Filing 40
Corporate Disclosure Statement by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc. (Gillett, Gabriel)
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Filing 39
MOTION for Leave to File Document / Notice of Motion of Motion for Leave to File Amicus Brief in Support of Defendants' Motion to Dismiss by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Attachments: #1 Motion and Memorandum of Law in Support, #2 Exhibit A - Amicus Brief, #3 Proposed Order) (Gillett, Gabriel)
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Filing 38
Amicus Curiae APPEARANCE entered by Gabriel K. Gillett on behalf of National Association of Private Fund Managers (Gillett, Gabriel)
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Filing 37
Amicus Curiae APPEARANCE entered by Gabriel K. Gillett on behalf of Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc. (Gillett, Gabriel)
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Filing 36
MOTION to Appear Pro Hac Vice Filing fee $ 150, receipt number ANYEDC-16867027 by Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc.. (Attachments: #1 Affidavit in Support, #2 NY Certificate of Good Standing, #3 IL Certificate of Good Standing) (Gillett, Gabriel)
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Filing 35
NOTICE by Securities and Exchange Commission re #28 Memorandum in Opposition, #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT of Supplemental Authority (Attachments: #1 Exhibit A- Fierro Summary Judgment Opinion) (Weingarten, Elliot)
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ORDER granting #36 Motion for Leave to Appear Pro Hac Vice. Attorney Gabriel K. Gillett shall register for ECF, registration is available online at www.pacer.gov. Once registered, the attorney shall file a notice of appearance and ensure that s/he receives electronic notification of activity in this case. Also, the attorney shall ensure the $150 admission fee be submitted to the Clerks Office via filing the event Pro Hac Vice Filing Fee. Ordered by Magistrate Judge James R. Cho on 7/7/2023. (TT).
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Filing 34
NOTICE of Appearance by Charles D Riely on behalf of Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc. (aty to be noticed) (Riely, Charles)
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Filing 33
Amicus Curiae APPEARANCE entered by Anthony Scott Barkow on behalf of Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc. (Barkow, Anthony)
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Filing 32
NOTICE of Appearance by Dillon J. McGuire on behalf of Eli Safdieh (aty to be noticed) (McGuire, Dillon)
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Filing 31
Letter to Judge Kuntz Enclosing Courtesy Copies of Motion to Dismiss Papers by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman (Langer, Philip)
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Filing 30
REPLY in Support Motion to Dismiss filed by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman. (Langer, Philip)
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Filing 29
AFFIDAVIT/DECLARATION in Opposition re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1 (SPA), #2 Exhibit 2 (PositiveID Complaint)) (Romajas, Suzanne)
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Filing 28
MEMORANDUM in Opposition re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT filed by Securities and Exchange Commission. (Romajas, Suzanne)
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Filing 27
MEMORANDUM in Support re #26 MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT filed by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman. (Badway, Ernest)
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Filing 26
MOTION to Dismiss / NOTICE OF DEFENDANTS MOTION TO DISMISS PLAINTIFF SECURITIES AND EXCHANGE COMMISSIONS COMPLAINT by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman. (Badway, Ernest)
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Filing 25
MOTION to Appear Pro Hac Vice as Counsel for Relief Def. Eli Safdieh Filing fee $ 150, receipt number ANYEDC-15878862. by Eli Safdieh. (Attachments: #1 Affidavit Aff. of Proposed Counsel R. Simon) (Selvers, Jerome)
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ORDER granting #25 Motion for Leave to Appear Pro Hac Vice. The attorney shall register for ECF, registration is available online at www.pacer.gov. Once registered, the attorney shall file a notice of appearance and ensure that s/he receives electronic notification of activity in this case. Also, the attorney shall ensure the 150 admission fee be submitted to the Clerks Office via filing the event Pro Hac Vice Filing Fee. So Ordered by Judge William F. Kuntz, II on 8/25/2022. (Blair, Zachary)
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Filing 24
Letter MOTION to Adjourn Conference joined by Plaintiff SEC by Eli Safdieh. (Selvers, Jerome)
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ORDER granting #23 Motion to Adjourn Conference. Defendants LG Capital Funding, LLC, Joseph I. Lerman, Daniel Gellman and Boruch Greenberg are excused from participating in the initial conference on 9/8/2022. The conference will proceed as scheduled, counsel for Plaintiff Securities and Exchange Commission and Defendant Eli Safdieh are directed to appear. Ordered by Magistrate Judge James R. Cho on 8/18/2022. (Gillespie-Cardo, Saudia)
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ORDER granting #24 Motion to Adjourn Conference. The in person initial conference previously scheduled for 9/8/2022 is canceled. Counsel shall submit a letter seeking the initial conference be restored to the Court's calendar if the case survives defendants' anticipated motion. Ordered by Magistrate Judge James R. Cho on 8/18/2022. (Gillespie-Cardo, Saudia)
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Filing 23
Letter MOTION to Adjourn Conference / Letter Motion to Adjourn the Rule 26(f) Conference by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman. (Badway, Ernest)
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Filing 22
SCHEDULING ORDER: An in person initial conference will be held on 9/8/2022 at 3:30 p.m. in Courtroom 11-D South before Magistrate Judge James R. Cho. Counsel for all parties must attend. Counsel are directed to complete the attached Proposed Scheduling Order and electronically file same with the Court no later than 9/6/2022. Adjournment requests will not be considered unless made in accordance with this Court's Individual Rules. Ordered by Magistrate Judge James R. Cho on 8/16/2022. (Attachments: #1 Chamber's Individual Rules) (Gillespie-Cardo, Saudia)
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Filing 21
ANSWER to #1 Complaint by Eli Safdieh. (Selvers, Jerome)
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Filing 20
ORDER: Defendants LG Capital Funding, LLC and Joseph I. Lerman and Relief Defendants Daniel Gellman and Boruch Greenberg (collectively, Defendants) have filed a letter requesting a pre-motion conference in anticipation of a motion to dismiss the Complaint. ECF No. 19. In light of the ongoing COVID-19 pandemic, the Court has suspended its pre-motion conference requirement. Therefore, the Court DENIES as moot Defendants request for a pre-motion conference and GRANTS Defendants leave to file the anticipated motion. The Court ORDERS the following briefing schedule: Defendants shall submit their motion by Thursday, September 8, 2022 at 5:00 P.M.; Plaintiff shall submit a response by Thursday, October 6, 2022 at 5:00 P.M.; and Defendants shall submit a reply, if any, by Thursday, October 27, 2022 at 5:00 P.M. As a courtesy, the Court requests the parties refrain from filing motion papers until the motion has been fully briefed. Ordered by Judge William F. Kuntz, II on 8/10/2022. (Herrera, Isaiah)
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Filing 19
MOTION for pre motion conference re #1 Complaint / Letter to Judge Kuntz seeking a pre-motion conference related to Defendants' anticipated motion to dismiss the Complaint filed by plaintiff United States Securities and Exchange Commission, dated June 7, 2022 by Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman. (Badway, Ernest)
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Filing 18
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Daniel Gellman waiver sent on 6/13/2022, answer due 8/12/2022. (Romajas, Suzanne)
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Filing 17
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Boruch Greenberg waiver sent on 6/13/2022, answer due 8/12/2022. (Romajas, Suzanne)
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Filing 16
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Joseph Lerman waiver sent on 6/13/2022, answer due 8/12/2022. (Romajas, Suzanne)
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Filing 15
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. LG Capital Funding, LLC waiver sent on 6/13/2022, answer due 8/12/2022. (Romajas, Suzanne)
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Filing 14
WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Eli Safdieh waiver sent on 6/13/2022, answer due 8/12/2022. (Romajas, Suzanne)
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Filing 13
Summons Issued as to Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman, Eli Safdieh. (Herrera, Isaiah)
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Filing 12
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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Your proposed summons was not issued for one of the following reasons: If multiple defendants, there must me a rider attached to the summons with the name and addresses of all defendants included., Please correct and resubmit using Proposed Summons/Civil Cover Sheet. (Herrera, Isaiah)
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Filing 11
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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Filing 10
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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Filing 9
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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Filing 8
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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Filing 7
Proposed Summons. Re #1 Complaint by Securities and Exchange Commission (Romajas, Suzanne)
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ORDER granting #4 Motion for Leave to Appear Pro Hac Vice. So Ordered by Judge William F. Kuntz, II on 6/9/2022. (Kuntz, William)
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Filing 6
NOTICE of Appearance by Philip Langer on behalf of Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman (aty to be noticed) (Langer, Philip)
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Filing 5
NOTICE of Appearance by Ernest Edward Badway on behalf of Daniel Gellman, Boruch Greenberg, LG Capital Funding, LLC, Joseph Lerman (aty to be noticed) (Badway, Ernest)
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Filing 4
MOTION to Appear Pro Hac Vice of Elliot Weingarten Filing fee $ 150. by Securities and Exchange Commission. (Attachments: #1 Declaration in support of motion and certificates of good standing, #2 Proposed Order) (Weingarten, Elliot)
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Filing 3
This attorney case opening filing has been checked for quality control. See the attachment for corrections that were made, if any. (Bowens, Priscilla)
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Filing 2
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)
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Filing 1
COMPLAINT against All Defendants Was the Disclosure Statement on Civil Cover Sheet completed -YES,, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet) (Romajas, Suzanne)
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Case Assigned to Judge William F. Kuntz, II and Magistrate Judge James R. Cho. 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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