In the Matter of the Ex Parte Application of the Upper Brook Companies for an Order Directing Discovery in Aid of a Foreign Proceeding Pursuant to 28 U.S.C. §1782
Case Number: 1:2022mc00097
Filed: April 11, 2022
Court: US District Court for the Southern District of New York
Office: Foley Square Office
Nature of Suit: Other
Cause of Action: M 77 Application to have subpoena issued to person living in this district re: action in foreign cou
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Date Filed Document Text
February 21, 2023 Opinion or Order Filing 58 PROTECTIVE ORDER:...regarding procedures to be followed that shall govern the handling of confidential material. and as set forth herein. The Upper Brook Companies and PIAM agree that this Court shall retain jurisdiction over them and over any third party that signs Exhibit A for the purpose of enforcing this Protective Order. The restrictions imposed by this Protective Order may be modified or terminated only by further order of this Court. IT IS SO ORDERED. (Signed by Judge P. Kevin Castel on 2/21/2023) (ama)
February 14, 2023 Opinion or Order Filing 56 PROTECTIVE ORDER: NOW THEREFORE, IT IS HEREBY ORDERED THAT: The Discovery shall be treated as strictly confidential and shall not be used or disclosed by any recipient other than in accordance with the terms of this Protective Order. Notwithstanding anything to the contrary in this Protective Order, the Protective Order does not apply to the Discovery to the extent that the Discovery and/or information contained in the Discovery are known to the Upper Brook Companies from a source other than the Discovery itself, now or in the future, or become available to the public now or in the future. J.P. Morgan shall be requested to emboss or stamp the Discovery so that each page shows the notation: CONFIDENTIAL, SUBJECT TO PROTECTIVE ORDER ENTERED B Y THE US DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK. Failing that, the Upper Brook Companies shall add such notation to all electronic and hard copies of the Discovery and delete or destroy all copies that do not show this notation. The Upp er Brook Companies and PIAM agree that this Court shall retain jurisdiction over them and over any third party that signs Exhibit A for the purpose of enforcing this Protective Order. The restrictions imposed by this Protective Order may be modified or terminated only by further order of this Court. And as set forth herein. IT IS SO ORDERED. (Signed by Judge P. Kevin Castel on 2/14/2023) (ama)
January 12, 2023 Opinion or Order Filing 44 ORDER ON SEALING: granting in part and denying in part 33 Motion to Seal. The Motion to Seal is GRANTED in part and DENIED in part as described above and summarized below. The following documents shall remain under seal: 1. Exhibits 5 and 10 to th e Miller Declaration, (Doc 4, Exs. 5, 10) (the Dutch Summonses); 2. Appendix C to the First Abbey Declaration, (Doc 5, App. C) (the Dutch Prosecutor's Report). The Clerk shall remove from public view the following document: 1. Exhibit B to the S econd Rutten Declaration, (Doc 29, Ex. B). The Upper Brook Companies shall re-file on the public docket the following documents with the approved redactions noted below: 1. Upper Brook Companies' Ex Parte Application, (Doc 1), except that PIAM&# 039;s bank account number shall be redacted, (see Doc 21 at 7); 2. Memorandum of Law in Support of Upper Brook Companies' Application, (Doc 3), except that PIAM's bank account number, (see Doc 21 at 24, 27), references to the content of the Dutch Prosecutor's Report, (see Doc 21 at 24), and the quote from the Dutch summonses, (see Doc 21 at 26), shall be redacted; 3. Exhibit 1 to the Miller Declaration, (Doc 4, Ex. 1), except that PIAMs bank account number, (see Doc 21 at 46), sha ll be redacted; 4. First Abbey Declaration, (Doc 5), except that PIAM's bank account number, (see Doc 21 at 231), and references to the content of the Dutch Prosecutor's Report in paragraphs 24-31 and footnotes 7 and 8, (see Doc 21 at 235-3 7), shall be redacted; 5. Appendix B to the First Abbey Declaration, (Doc 5, App. B), except that all account numbers and other identifiers shall be redacted; 6. First Rutten Declaration and Exhibit A thereto, (Doc 7; Doc 7, Ex. A), except that PIAM& #039;s bank account number, (see Doc 21 at 274), shall be redacted. The Upper Brook Companies shall re-file the following documents on the public docket without redactions: 1. Miller Declaration and Exhibits 2-4, 6-9, and 11 thereto, (Doc 4; Doc 4, E xs. 2-4, 6-9, 11); 2. Appendix A to the First Abbey Declaration, (Doc 5, App. A); 3. First Kennedy Declaration and Exhibits A and B thereto, (Doc 6; Doc 6, Exs. A, B); 4. Miscellaneous Cover Sheet, (Doc 2); 5. Rule 7.1 Corporate Disclosure Statement, (Doc 8). The following documents will remain unsealed (no action required): 1. Upper Brook Companies' Memorandum of Law in Opposition to Motion to Vacate, (Doc 28); 2. Second Rutten Declaration and Exhibits A and C thereto, (Doc 29; Doc 29, Exs . A, C); 3. Second Abbey Declaration and Exhibit A thereto, (Doc 30; Doc 30, Ex. A). The Clerk is directed to terminate the motion. (Doc 33.) The Upper Brook Companies are directed to re-file their submissions on ECF in accordance with this Order within 14 days. SO ORDERED. (Signed by Judge P. Kevin Castel on 1/12/2023) (ama)
December 29, 2022 Opinion or Order Filing 43 CORRECTED OPINION AND ORDER: For the reasons explained, PIAM's motion to vacate the April 11 Order and to quash the subpoena issued to JPMorgan is DENIED, except that the Court narrows the temporal scope of the subpoena to the period after Janua ry 1, 2013. The parties shall meet and confer on a proposed protective order limiting use of the Discovery to the proceedings described in the Upper Brook Companies' opposition to the motion and otherwise maintain confidentiality over the documents. If no agreement is reached, each side may submit a proposed order by January 13, 2023. The Clerk is directed to terminate the motion. (Doc 24.). SO ORDERED. (Signed by Judge P. Kevin Castel on 12/29/2022) (ama)
December 23, 2022 Opinion or Order Filing 41 OPINION AND ORDER: re: 24 MOTION to Vacate 13 Order and Quash J.P. Morgan Subpoena filed by Palladyne International Asset Management B. V. For the reasons explained, PIAM's motion to vacate the April 11 Order and to quash the subpoe na issued to JPMorgan is DENIED, except that the Court narrows the temporal scope of the subpoena to the period after January 1, 2013. The parties shall meet and confer on a proposed protective order limiting use of the Discovery to the proceedings d escribed in PIAM's opposition to the motion and otherwise maintain confidentiality over the documents. If no agreement is reached, each side may submit a proposed order by January 13, 2023. The Clerk is directed to terminate the motion. (Doc 24.). SO ORDERED. (Signed by Judge P. Kevin Castel on 12/23/2022) (ama)
April 11, 2022 Opinion or Order Filing 13 ORDER GRANTING THE UPPER BROOK COMPANIES EX PARTE APPLICATION UNDER 28 U.S.C. SECTION 1782 AND DIRECTING DISCOVERY IN AID OF FOREIGN PROCEEDINGS: It is therefore ORDERED that the Application seeking an order directing discovery is GRANTED, and that the Applicants are hereby authorized to serve this Order, all papers submitted herewith, and the subpoena exhibited as Exhibit 1 to the Declaration of Michael C. Miller (the "Subpoena") upon J.P. Morgan Chase, N.A.; and it is further ORD ERED that the documents responsive to the Subpoena shall not be produced to the Applicants by J.P. Morgan Chase, N.A in fewer than 21 days from the date of this Order; and it is further ORDERED that within five days of this Order Applicants shall se rve a copy of this Order and all submissions in support of Applicants Application counsel for Palladyne International Asset Management in the Netherlands Proceeding as that term is used in the Application; and it is further ORDERED that within five days of this Order Applicants shall file redacted versions of its submissions in support of the Application redacting all bank account numbers and any other unique identifiers for any banking account together with a proposed Order unsealing the do cket and all submissions on the docket except for such portions as contain bank account numbers and any other unique identifiers for any banking account; and it is further ORDERED that J.P. Morgan Chase, N.A. comply with the Subpoena in accordance with, and subject to its rights under, the Federal Rules of Civil Procedure and the Rules of this Court; and it is further ORDERED that this Court will retain jurisdiction over this matter for further proceedings as may be necessary to effect and enforce this Order. SO ORDERED. (Signed by Judge P. Kevin Castel on 4/11/2022) (tg)
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