Lee v. Golaszewski et al
| Daniel Lee |
| Richard Golaszewski and Stephen Swentzel |
| Hunter Point Capital |
| Oak Hill Advisors, LP |
| 7:2023cv10695 |
| December 7, 2023 |
| US District Court for the Southern District of New York |
| Philip M Halpern |
| Contract: Other |
| 28 U.S.C. § 1332 fd Diversity-Breach of Fiduciary Duty |
| None |
Docket Report
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Filing 50
ORDER FOR ADMISSION PRO HAC VICE granting #48 MOTION for Michael Ross Tein to Appear Pro Hac Vice. The motion of Michael R. Tein for admission to practice Pro Hac Vice in the above captioned action is granted. (Signed by Judge Philip M. Halpern on 1/30/2024) (jca)
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Filing 49
ORDER denying as moot #41 Letter Motion to Compel. In accordance with the parties' stipulation as represented in counsel's letter, Mr. William Bohnsack shall appear for deposition personally and as a Rule 30(b)(6) representative for Oak Hill Advisors, LP on February 13, 2024 at 2:00 p.m. at defense counsel's offices, and if the deposition is not concluded by 6:00 p.m., the deposition shall continue the following day atthe same time and location; and counsel for Oak Hill Advisors, LP shall pay the costs associated with the prior deposition dates and fees associated with the preparation of defendants' application. In light of foregoing, defendants' application to compel and for costs and attorneys' fees is denied as moot. The Clerk of Court is respectfully requested to terminate the pending motion (Doc. 41 ). SO ORDERED. (Signed by Judge Philip M. Halpern on 1/29/2024) (jca)
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| Filing 48 MOTION for Michael Ross Tein to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Hunter Point Capital. (Attachments: #1 Affidavit Affidavit of Michael R. Tein, #2 Exhibit Florida Certificate of Good Standing, #3 Exhibit Massachusetts Certificate of Good Standing, #4 Proposed Order Proposed Order for Admission Pro Hac Vice).(Tein, Michael) |
| Filing 47 LETTER RESPONSE to Motion addressed to Judge Philip M. Halpern from Andrew J. Ehrlich dated January 29, 2024 re: #41 LETTER MOTION to Compel Oak Hill Advisors, LP and William Bohnsack, Jr. to Appear for Depositions addressed to Judge Philip M. Halpern from Russell M. Yankwitt dated January 21, 2024. and #42 Court's Order - [CORRECTED]. Document filed by Oak Hill Advisors, LP..(Ehrlich, Andrew) |
| Filing 46 LETTER RESPONSE to Motion addressed to Judge Philip M. Halpern from Andrew J. Ehrlich dated January 29, 2024 re: #41 LETTER MOTION to Compel Oak Hill Advisors, LP and William Bohnsack, Jr. to Appear for Depositions addressed to Judge Philip M. Halpern from Russell M. Yankwitt dated January 21, 2024. and #42 Court's Order. Document filed by Oak Hill Advisors, LP..(Ehrlich, Andrew) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #44 MOTION for Michael Ross Tein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28866772. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from Florida Supreme Court;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (laq) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #48 MOTION for Michael Ross Tein to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (vba) |
| Filing 45 NOTICE OF APPEARANCE by Michael R Tein on behalf of Hunter Point Capital..(Tein, Michael) |
| Filing 44 MOTION for Michael Ross Tein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28866772. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Hunter Point Capital. (Attachments: #1 Affidavit Affidavit of Michael R. Tein, #2 Exhibit Florida Certificate of Good Standing, #3 Exhibit Massachusetts Certificate of Good Standing, #4 Proposed Order Proposed Order for Admission Pro Hac Vice).(Tein, Michael) |
| Filing 43 AFFIDAVIT OF SERVICE of (1) Defendants Letter-Motion for an Order to Show Cause (ECF No. 41); and (2) the Courts Order Directing Oak Hill Advisors, LP and William Bohnsack to Respond to Defendants Letter-Motion for an Order to Show Cause (ECF No. 42) served on Andrew J. Ehrlich, Esq. & Connor Ritschard, Esq. on January 22, 2024. Service was made by MAIL. Document filed by Richard Golaszewski, Stephen Swentzel..(Yankwitt, Russell) |
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Filing 42
ORDER with respect to #41 Letter Motion to Compel. Counsel for Oak Hill Advisors, LP and Mr. Bohnsack (the "Non-Parties") is directed to file a response to defendants' letter-motion (Doc. 41) on or before January 29, 2024. Defendants shall forthwith serve a copy of this Order on counsel for the Non-Parties and file proof of such service. SO ORDERED. (Signed by Judge Philip M. Halpern on 1/22/2024) (jca)
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| Set/Reset Deadlines: Responses due by 1/29/2024 (jca) |
| Filing 41 LETTER MOTION to Compel Oak Hill Advisors, LP and William Bohnsack, Jr. to Appear for Depositions addressed to Judge Philip M. Halpern from Russell M. Yankwitt dated January 21, 2024. Document filed by Richard Golaszewski, Stephen Swentzel..(Reed, Michael) |
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Filing 40
CIVIL CASE DISCOVERY PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial, pursuant to 28 U.S.C. 636(c). This case is to be tried to a jury. Non expert depositions due by 2/26/2024. Expert Deposition due by 5/10/2024. Fact Discovery due by 2/26/2024. Expert Discovery due by 5/10/2024. Discovery due by 5/10/2024. Case Management Conference set for 6/25/2024 at 10:00 AM before Judge Philip M. Halpern. The parties have conferred and their present best estimate of the length of the trial is one or two weeks. SO ORDERED. (Signed by Judge Philip M. Halpern on 1/8/2024) (ks)
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Filing 39
ORDER granting in part and denying in part #37 Letter Motion for Extension of Time to Complete Discovery. Application granted in part. The time to complete discovery is extended as requested and the Court will separately docket the parties' proposed Civil Case Discovery Plan and Scheduling Order. The time to file any dispositive motions shall be governed by the Federal Rules of Civil Procedure and the Court's Individual Practices. The parties shall meet and confer concerning any amendments to the governing protective order and file that which they wish the Court to consider; if the parties are unable to agree, they shall file a single joint letter setting forth their positions attaching copies of the proposed protective orders. SO ORDRED. (Signed by Judge Philip M. Halpern on 1/8/2024) (ks)
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| Filing 38 NOTICE OF APPEARANCE by Jonathan David White on behalf of Daniel Lee..(White, Jonathan) |
| Filing 37 JOINT LETTER MOTION for Extension of Time to Complete Discovery addressed to Judge Philip M. Halpern from Russell M. Yankwitt dated January 5, 2024. Document filed by Richard Golaszewski, Stephen Swentzel. (Attachments: #1 Proposed Order Proposed Scheduling Order).(Yankwitt, Russell) |
| Filing 36 ANSWER to Complaint (Notice of Removal). Document filed by Stephen Swentzel..(Yankwitt, Russell) |
| Filing 35 ANSWER to Complaint (Notice of Removal). Document filed by Richard Golaszewski..(Yankwitt, Russell) |
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Filing 34
ORDER This proceeding was transferred in from the United States District Court, District of Connecticut, and assigned to me on December 7, 2023, following Judge Omar A. Williams' Order granting in part and denying in part Defendants motion to dismiss which was entered on November 13, 2023 (Doc. 32). Pursuant to Federal Rule of Civil Procedure 12(a)(4), a responsive pleading was due on November 27, 2023. Defendants shall file their answer to the complaint by January 5, 2024. The parties shall meet and confer and file a joint letter by January 5, 2024 advising the Court as to the status of discovery in this case. To the extent Judge Williams set a deadline for the filing of dispositive motions and pretrial filings, those deadlines are vacated (see Doc. 23). The parties should familiarize themselves with this Court's Individual Practices, available at https://nysd.uscourts.gov/hon-philip-m-halpern. SO ORDERED. Richard Golaszewski answer due 1/5/2024; Stephen Swentzel answer due 1/5/2024. (Signed by Judge Philip M. Halpern on 12/22/2023) (jca)
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| Filing 33 CASE TRANSFERRED IN from the United States District Court - District of Connecticut; Case Number: 3:23-cv-00400. Original file certified copy of transfer order and docket entries received. |
| Case Designated ECF. (tro) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE - TRANSFER CASE: This case is assigned to: Judge Philip M. Halpern. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions..(tro) |
| Magistrate Judge Andrew E. Krause is designated to handle matters that may be referred in this case. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (tro) |
| NOTE TO OUT OF STATE ATTORNEYS: Please visit the Court's website at https://nysd.uscourts.gov/ for information regarding admission to the S.D.N.Y. Bar and the CM/ECF Rules & Filing Instructions..(tro) |
| JUDICIAL PROCEEDINGS SURVEY - FOR COUNSEL ONLY: The following link to the confidential survey requires you to log into CM/ECF for SECURITY purposes. Once in CM/ECF you will be prompted for the case number. Although you are receiving this survey through CM/ECF, it is hosted on an independent website called SurveyMonkey. Once in SurveyMonkey, the survey is located in a secure account. The survey is not docketed and it is not sent directly to the judge. To ensure anonymity, completed surveys are held up to 90 days before they are sent to the judge for review. We hope you will take this opportunity to participate, please click on this link: https://ecf.ctd.uscourts.gov/cgi-bin/Dispatch.pl?survey (Velez, F.) [Transferred from Connecticut on 12/7/2023.] |
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Filing 32
ORDER granting in part and denying in part #11 Motion to Dismiss. Defendants filed a motion to dismiss Plaintiff's complaint for lack of personal jurisdiction, or, in the alternative, to transfer the case. Consistent with the attached ruling, the court orders the transfer of this case to United States District Judge Philip Halpern of the Southern District of New York. The Clerk of Court respectfully is asked to please transfer this case. Signed by Judge Omar A. Williams on 11/13/2023. (Kim, Hyo June) [Transferred from Connecticut on 12/7/2023.]
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| Filing 31 NOTICE of Appearance by Jason Michael Swergold on behalf of Richard Golaszewski, Stephen Swentzel (Swergold, Jason) [Transferred from Connecticut on 12/7/2023.] |
| Filing 30 CERTIFICATE OF GOOD STANDING re #28 MOTION for Attorney(s) Jason M. Swergold to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7524464) by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
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Filing 29
ORDER granting #28 MOTION for Attorney Jason M. Swergold to be Admitted Pro Hac Vice. Certificate of Good Standing due by 12/23/2023. Signed by Clerk on 10/24/2023. (Peterson, M) [Transferred from Connecticut on 12/7/2023.]
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| Filing 28 MOTION for Attorney(s) Jason M. Swergold to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7524464) by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Filing 27 STIPULATION GOVERNING DISCOVERY by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Filing 26 Joint MOTION for Protective Order and Confidentiality Agreement by Richard Golaszewski, Stephen Swentzel.Responses due by 8/30/2023 (Attachments: #1 Exhibit A - Proposed Order)(Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Filing 25 OBJECTION re #24 Notice of Related Case by Daniel Lee. (Kletter, Dylan) [Transferred from Connecticut on 12/7/2023.] |
| Filing 24 NOTICE of Related Case by Richard Golaszewski, Stephen Swentzel (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Set Deadlines: Discovery due by 2/28/2024; Dispositive Motions due by 4/3/2024; Joint Trial Memorandum due by 6/20/2024; Trial Ready Date 6/20/2024. (Velez, F.) [Transferred from Connecticut on 12/7/2023.] |
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Filing 23
ORDER granting ECF No. #22 Motion for Extension of Time. All discovery shall now be completed on or before February 28, 2024. All interim discovery deadlines may be amended by agreement of the parties without the court's approval, provided those amendments do not delay the deadline for completion of all discovery. Any dispositive motions shall now be filed on or before April 3, 2024. The parties' joint trial memorandum shall be filed on or before June 20, 2024, if not dispositive motions are filed, or within the period set by the court upon its disposition of any dispositive motions that are filed. The case shall be trial ready by June 20, 2024.It is so ordered. Signed by Judge Omar A. Williams on 07/18/2023. (Kim, Hyo June) [Transferred from Connecticut on 12/7/2023.]
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| Filing 22 Consent MOTION for Extension of Time as to Discovery Schedule by Daniel Lee. (Boccamazzo, Anthony) [Transferred from Connecticut on 12/7/2023.] |
| Filing 21 REPLY to Response to #11 MOTION to Dismiss filed by Richard Golaszewski, Stephen Swentzel. (Yankwitt, Russell) [Transferred from Connecticut on 12/7/2023.] |
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Filing 20
ORDER granting #19 MOTION for Extension of Time. Defendants may file a reply in support of their pending motion to dismiss (ECF No. #11 ) on or before June 20, 2023. Signed by Judge Omar A. Williams on 6/5/2023. (Mamillapalli, S.). [Transferred from Connecticut on 12/7/2023.]
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| Filing 19 MOTION for Extension of Time to File Response/Reply as to #11 MOTION to Dismiss until June 20, 2023 by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
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Filing 18
ORDER denying #17 MOTION for Extension of Time. Defendants seek additional time to file their reply brief in support of their pending motion to dismiss. See ECF No. #17 . Defendants, however, have filed a letter to the court rather than a motion for extension of time which contains the case caption and required certification for proof of service on all counsel, as required by Local Rule 5(c). The court does not accept requests via letters. Accordingly, the letter request for an extension of time hereby is denied without prejudice to renewal in the form of a motion. Signed by Judge Omar A. Williams on 6/2/2023. (Mamillapalli, S.). [Transferred from Connecticut on 12/7/2023.]
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| Filing 17 MOTION for Extension of Time to File Response/Reply as to #11 MOTION to Dismiss until June 21, 2023 by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Filing 16 Memorandum in Opposition to Defendants' Motion to Dismiss, or in the Alternative, Transfer to the Southern District of New York re #11 MOTION to Dismiss filed by Daniel Lee. (Attachments: #1 Declaration of Daniel Lee, #2 Exhibit 1 (Text Message))(Kletter, Dylan) [Transferred from Connecticut on 12/7/2023.] |
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Filing 15
SCHEDULING ORDER. The court thanks the parties for submitting their Rule 26(f) Planning Report, see ECF No. #14 , and hereby ADOPTS all deadlines proposed therein, as modified by this order. The following pretrial deadlines are scheduled as follows:All discovery shall be completed on or before November 30, 2023, and all interim discovery deadlines hereby are incorporated by reference. Dispositive motions shall be filed on or before January 4, 2024. The parties' joint trial memorandum shall be filed by March 22, 2024 in the event that no dispositive motions are filed. If dispositive motions are filed, the court will set a deadline for the joint trial memorandum at the time it disposes of any such motions. The case shall be trial ready by March 22, 2024. All interim discovery deadlines may be amended by agreement of the parties without the court's prior approval provided such amendments do not delay the court's deadline for completion of all discovery. It is so ordered. Signed by Judge Omar A. Williams on 5/5/2023. (Mamillapalli, S.). [Transferred from Connecticut on 12/7/2023.]
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| Filing 14 REPORT of Rule 26(f) Planning Meeting. (Kletter, Dylan) [Transferred from Connecticut on 12/7/2023.] |
| Filing 13 NOTICE of Appearance by Anthony Boccamazzo on behalf of Daniel Lee (Boccamazzo, Anthony) [Transferred from Connecticut on 12/7/2023.] |
| Filing 12 NOTICE of Appearance by Dylan P. Kletter on behalf of Daniel Lee (Kletter, Dylan) [Transferred from Connecticut on 12/7/2023.] |
| Filing 11 MOTION to Dismiss by Richard Golaszewski, Stephen Swentzel.Responses due by 5/24/2023 (Attachments: #1 Memorandum in Support, #2 Affidavit of Richard Golaszewski, #3 Affidavit of Stephen Swentzel)(Yankwitt, Russell) [Transferred from Connecticut on 12/7/2023.] |
| Answer deadline updated for defendants to 5/22/2023. (Velez, F.) [Transferred from Connecticut on 12/7/2023.] |
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Filing 10
ORDER granting #9 MOTION for Extension of Time. Defendants shall file a responsive pleading to the complaint on or before May 22, 2023. Signed by Judge Omar A. Williams on 4/24/2023. (Mamillapalli, S.). [Transferred from Connecticut on 12/7/2023.]
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| Filing 9 MOTION for Extension of Time until May 8, 2023 to Respond to the Complaint by Richard Golaszewski, Stephen Swentzel. (Reed, Michael) [Transferred from Connecticut on 12/7/2023.] |
| Set Deadline: Rule 26 Meeting Report due by 5/14/2023. (Velez, F.) [Transferred from Connecticut on 12/7/2023.] |
| Filing 8 NOTICE TO COUNSEL/SELF-REPRESENTED PARTIES : Counsel or self-represented parties initiating or removing this action are responsible for serving all parties with attached documents and copies of #5 Order on Pretrial Deadlines, 4 Notice re: Disclosure Statement,, #3 Notice (Other) filed by Stephen Swentzel, Richard Golaszewski, #7 Protective Order, #6 Electronic Filing Order, #2 Notice of Related Case filed by Stephen Swentzel, Richard Golaszewski, #1 Notice of Removal, filed by Stephen Swentzel, Richard Golaszewski Signed by Clerk on 4/3/2023. (Attachments: #1 Standing Order on Removed Cases) (Peterson, M) [Transferred from Connecticut on 12/7/2023.] |
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Filing 7
STANDING PROTECTIVE ORDER Signed by Judge Omar A. Williams on 3/31/2023. (Peterson, M) [Transferred from Connecticut on 12/7/2023.]
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Filing 6
ELECTRONIC FILING ORDER FOR COUNSEL - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER Signed by Judge Omar A. Williams on 3/31/2023. (Peterson, M) [Transferred from Connecticut on 12/7/2023.]
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Filing 5
Order on Pretrial Deadlines: Amended Pleadings due by 5/30/2023. Discovery due by 9/30/2023. Dispositive Motions due by 11/4/2023. Signed by Clerk on 3/31/2023. (Peterson, M) [Transferred from Connecticut on 12/7/2023.]
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| Filing 4 Notice: Pursuant to Federal Rule of Civil Procedure 7.1, any nongovernmental corporate party must electronically file a disclosure statement that identifies any parent corporation and any publicly held corporation owning 10% or more of its stock or states that there is no such corporation. Such disclosure statement must be filed with a party's first appearance, pleading, petition, motion, response, or other request addressed to the Court and must be supplemented if any required information changes during the case. Signed by Clerk on 3/31/2023.(Perez, J.) [Transferred from Connecticut on 12/7/2023.] |
| Judge Omar A. Williams and Judge S. Dave Vatti added. (Oliver, T.) [Transferred from Connecticut on 12/7/2023.] |
| Filing 3 NOTICE by Richard Golaszewski, Stephen Swentzel of Pending Motions (Yankwitt, Russell) [Transferred from Connecticut on 12/7/2023.] |
| Filing 2 NOTICE of Related Case by Richard Golaszewski, Stephen Swentzel (Yankwitt, Russell) [Transferred from Connecticut on 12/7/2023.] |
| Filing 1 NOTICE OF REMOVAL by Stephen Swentzel, Richard Golaszewski from Superior Court J.D. of Stamford AT Stamford Filing fee $ 402 receipt number BCTDC-7294319, filed by Stephen Swentzel, Richard Golaszewski. (Attachments: #1 Exhibit Summons and Complaint, #2 Exhibit Disclosure Statement)(Yankwitt, Russell) [Transferred from Connecticut on 12/7/2023.] |
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