Bacon et al v. Stiefel Laboratories, Inc. et al, No. 1:2009cv21871 - Document 423 (S.D. Fla. 2011)
Court Description: ORDER Granting 389 Defendants' Motion to Preclude Plaintiff's Use of Certain Proposed Testimony and Exhibits at Trial. Signed by Senior Judge James Lawrence King on 11/21/2011. (jw)
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Bacon et al v. Stiefel Laboratories, Inc. et al Doc. 423 I THE UNI N TED STATES DI STRI COURT CT FOR THE SOUTHERN DI STRI 0F FLORI CT DA CI L ACTI N O,09- 871 CV- N G/ CAL1 VI ON 21 - Kl M LEY Ti hy Fi ry, mot nne t Pl i if antf, VS. STI EFEL LABORATORI m C.e a ., ES, ,t 1 Def nda s e nt . / O RDER GM NTI DEFENDANTS'M OTI TO PRECLUDE PLAI FF' USE NG ON NTI S OF CERTAI PRO PO SED TESTI ONY AND EXH I TS AT TRI N M BI AL - THI M ATTER co e be or t Co ton De e nt 'M oton t Pr cl Pl ntf S m s f e he ur f nda s i o e ude ai ifs Us Of Ce t i Pr e Tesi e ran opos d tmony a Exhi t At Tral nd bis i. ( # 8 2 Afe c rf l DE 3 9 . tr ae u c i r ton oft m itn s isons r e ntca e a saut y l , a t Pa tes or l onsde a i he te ubm s i , elva s nd t t or aw nd he ri ' a a g e sonNove be 4, 1 t Cour gr nt De e r um nt m r 201 ,he t a s f ndant'M oton a s tf t beow . s i s e orh l SELECT BACKGROUND FACTS Thi ltgai co me e o J y 6,2009 and wa fld a aput tve c a sa ton. ( s ii ton m nc d n ul s ie s ai ls ci DE #1. Sn eteo iia c mplitwa fld,h o iia n me - litfsh v b e d o p da J ic h rgn l o an s e te rgn l a d panif a e e n r p e nd n w plitfsa d d.( #1 4 .I teo iia Co an ( #1a ! 1 4 1 9 , swela i e an if d e DE 2 ) n h rgn l mplit DE t ! 5 - 5 ) a l s n t e Fis Ame e Co lit( : 7 a ! 1 4 1 9 a S c n Ame d d Co an ( h rt nd d mpan DE # t ! 5 - 5 ) nd e o d 4 n e mplit DE #1 4 a ! 1 2 1 6 ,t n me - anif a s re t erCo n 4 s c te fa cam t e 2 t ! 6 - 6 ) he s dplitfs setd h i u t e miis rud li md r Rue 1 b 5b , ihi acam b s do mirprs nainsa do o s in .Se as Co r' l 0 - () wh c s li a e n se e e tto n / r miso s e lo u ts J n ay 4 2 1 Or e ( E.# 3 a 1 (n lzn Co n 4 t e Rue 1 b 5b ). Cls a u r , 0 0 d r D. 4 t 2 a ay ig u t md r l 0 - ()) a s c rii to wa de e on J y 21 2011a t cai oft t e na e pl i if , Ti hy e tfcai n s ni d ul , nd he l ms he hr e m d- antfs mot Fi ry,M a k Palkovih a M iha lTele ,wer s tt be tid dm i t t we k ti l nne t r a c nd c e lr t e o re ng he wo e ra c e rco me i N o mbe 7, 2011. alnda m nc ng ve r 1 l n etilha sncebee c i d. ra s i n ontnue ( # 4. DE 41 1 Dockets.Justia.com I a cor nc wih t Cour' Sc dulng Or r a Loc lRul 1 .1,t Pa te fl d n c da e t he ts he i de nd a e 6 he ris ie t i J nt Pr ra Stpul ton on Se e r 30, 2011 i l ng t i pr e wines and her oi eti l i ai pt mbe , ncudi her opos d t s e hiilss ( # 58 .Amo goh r hn s t ePa t ssiuae t a: x bt it. DE 3 1 n t e t ig ,h ri tp ltd h t e To etbih t er Co n 4 sc rt s fa d cnms u d r S cin 1 09 o t e sa l h i u t e u ie ru li n e e to 0 f h s i Se urtes Exc nge Ac of 1 4 a Rul 1 b- , Pli if mus pr by a c ii ha t 93 nd e 0 5 antfs t ove p e n ea c o te e ie c () a maeilmirp ee tt n o o sin () rpo d rn e f h vd n e 1 tra se rsn ai r miso ; 2 o ma e w11s ine;( )i c n e to w11te sl o SLIso k;()r%o a e d t ce tr 3 n o n cin t h ae f 1 1 tc 4 e n bl rl n eo temisae n o o sin ( )d ma e ; nd()ac u a c n e to ei c n h sttme t r miso ; 5 a g s a 6 a s l o n cin a be we n t ma ei lmirpr e ai oro isona t a lge ds ge . t e he t ra s e es ntton m s i nd he le d ma s ( # 5 a 1 , VI, 6 . DE 3 8 t 0 j I! ) On Oco e 1 ,2 1 t sCo r g a td Dee a t sl r j dg n o alcams t b r 7 01 , hi u t rne fnd n s l mmay u me t n l li br htby M a k Pa a ch a M iha lTelr ( # 8 j Asar s to t eCo r' Or e , oug r l kovi nd c e le . DE 3 4 . e ul f h u t d r s t onl cli sr mai ng a e Fi ry' ERI br c offduc a y dut and co- fduc a y dut he y am e ni r nne t s SA ea h i ir y i ir y cams( t s1a d2 a dhi fd rlsc rte fa dcam ( u t4 . li Comt n ) n s e ea e u iis r u li Co n ) De e nt fl t rM oton on Nove r 1 2011 a a gue t tPl ntf loc o r f nda s ed hei i mbe , nd r d ha ai ifs l t be 21 2011 Amende Notc ofDe ii De i na i a hi ot pr -ra dicl ur m a , d ie poston s g tons nd s her e til s os es ke cl rt the i e t ty t s snge- a n ifca e a aps udo c a sa ton t t de rm e of ea ha nt nds o r hi i l pli tf s s e l s c i o he ti nt Dee d n s te Co r a d t ej r ' ( # 8 a 1 . Fo e a l,Dee d nsa g e ta fn a t, h u t n h uy. DE 3 9 t ) r x mp e fn a t r u d h t ' Pl ntf i ope l s eks t i r uc e de e r l i t non- ris'i vi li sment ai if mpr ry e o ntod e vi nc eatng o pa te ndi dua nve t de i ins non- ris pe s c so , pa te ' r onal be if a o ni , non- ri ' co r ai le s nd pi ons pa tes nve s tons t whi h o c Pli ifFi t wasnotprvy a i whih Fi ry wa notdicus e , a non- ri 'cli s antf nnery i nd n c nne t s s s d nd pa tes am agans De e nt. De e nt a s tt t t s evi nce s d be e ude be us çt i i t f nda s f nda s s er ha hi de houl xcl d ca e t s i u d l p eu iila d irlv n t Fin ry' camsa dt ep i r is b f r t ej r -ie, n uy rj dca n ree a t o ' e t s li n h rmay sue e o e h u y .. n whehe De e n sm a a ma e i mir pr e a i a orom ison t Fi ry t tca ed t r f nda t de t ral se es nt ton nd/ s i o nne t ha us Ff ery t put hi soc t t Compa o J num' 6, 2 0 . ( #3 9 a 12 (mp ss nn f o s t k o he ny n a y 0 95 DE 8 t - e ha i ' o iial. rgn lj Pl ntf r ponded t Def nt M o i on Nove r 3, 2011 a a g d, n ai if es o enda s' ton mbe nd r ue mong ot rt ngs t tt se de wasadmisbl a r e ntG o key is i t sc e, i udi he hi ,ha hi vi nce s i e nd elva t t sues n hi as ncl ng t e e nt oft s he e t der ud a r c es nes , whih m us be pr ved t esa ih a he l me s he c m o fa nd e kl s s c t o o tbls fd rls c rte cam. ( # 0 a 1 . e ea e u i s li ' DE 4 2 t ) i ' 2 ANALYSI S l t rM o i De e n hei ton, f ndan s r que tt tt Cour e l f c t gores ofevi nce t e s ha he t xcude our a e i de fo u ea til ( )teNo e e l , 0 5d p sto tsi n o n n p ry Te rn eBo u h r m s t ra: 1 h v mb r 1 2 0 t o iin etmo y f o - a t re c g s tk n i a t eae d v re c s ;()e ie c rltng t n n p ris idv d a iv sme t a e n n mr ltd i o c a e 2 vd n e eai o o - at ' n ii u l n e t n e decsons non- ri s' pe s l bei f a opi ons non- ris' co s tons t whih ii , pa te r ona le s nd ni , pa te nvera i o c Pl i ifTi hy Fi t was notprvy a i whi h Fi ry wa no dic s d, a nonantf mot mwry i nd n c nne t s t s us e nd p ris cams a an tDe e d n s ( )e i e c rltn t te 20 9 o to a dv riiain a t ' li g is fn a t; 3 v d n e eaig o h 0 pi n l ie sfc to e o p ru i a SiflLa o ao is I c' (S '' F O c po ae srt gc pa ;a d ( ) p o tnt nd tee b rt re , n . ç LIs' YI o rt tae i lns n 4 y s û ) De e ntCha l Ste e ' pos- i 20,20 prvat s tlm e c muni tons wih nonf nda res i f ls tAprl 09 i t e te nt om ca i t pa t Riha d Fre Ea r ques wilbea es e i t n. ry c r i d. ch e t l ddr s d n ur 1 . TERRENCE BOGUSH' NOVEM BER 11,2005 DEPOSI ON TESTI ONY S TI M Def nda sa gue t tPl i ifs d be pr cl d fom i r e nt r ha antf houl e ude r ntoduci i o e de ng nt vi nce t he ta c i of a Nove be 11 2005 de ii n of no pary Te r nc Bog h tken i a r ns rpt m r , posto n- t re e us a n n u rltd d v r e c s . ( # 8 a 3 (ii DE #3 7 1 a 2 1 I i t ip t d t t n n eae i o c a e DE 3 9 t ctng 8 - t ). t s md s ue ha o Def nti t s c s wa a pa t t t s di r pr ee ng. l i alo undipu ed t tno enda n hi a e s ry o hi vo ce oc di ts s s t ha e Def nda c os - xn ne t de e nt r s e mi d he pone . M or over, M r Bogus was de ed i t s c s o nt2 . h pos n hi a e n J nua y 7 2011 a wa c os -xa i d by Pl i ifs c e durng t tde ii a whi h a r , nd s r se m ne antf ouns l i ha poston t c tme Pl ntf c elha a f lopport t t as M r Bog h a que tonst y wa e t i ai ifs ouns d ul t yo k . mi us ny si he ntd o r lt d t t sc e. e ae o hi as The Fe r Rul s ofCi lPr ed e a Evi nc s tf t t lmie cic sa s de al e vi oc ur nd de e e orh he i t d r um t nce unde whih pro de ii t tmony may be us i a s e r c i r poston esi ed n ubs quen pr e di . See Fe R. t oc e ng d. Ci. 3 ()8 ( d p sto ma o yb u e i altra to i tee rird p sto i v le v P. 2a () a e o iin y nl e s d n ae cin f h a l e o iin n ov d e t es mes be tmatra dt es mepat s o t errp e e ttv so s c e s r i itr s) h n u j c te n h n ri , r h i e r s naie r u c s o s n nee t; e Fe R. i 8 , 0 a d 8 4 b ()( d po iintk n i adfee tp o e dngi a misb e d. Evd. 01 8 2, n 0 ( )1 a e sto a e n ifrn r c e i s d sil onl i t pa t a ns whom i i ofer d wa pr vi d wih an opporuniy t e m i t y f he ry gai t ts fe s o de t t t o xa ne he d p n n a d a smia moie f rd i s ) Nèpo Cr dtBa k Lt.v Ma te ,2 F.d e o e t n i lr t o ong o ; v n e i n , d . th ws 91 3 7 8 7 ( 1h Ci.2 0 )(A d po iin tk n i adfe e tp o e dng i a misb eg ny i 3 , 51 1 t r 0 2 $ e st a e n ifr n r c e i s d sil o l) f $ o 2 The Cour r cogniest tSL.Isouti c te z ha ' sde ouns att tme,Br ce Cl tns , ls ened el he i u uise on i t t M r Bogus s2005 de ii by t e o . h' poston elphone. Howe ,i i undiput t tM r Chrse on ver t s s ed ha . it ns di no r pr s nta pa t orM r Bogus i t di r eca e The r quie e sofFe r Rul d t e e e ny ry . h n he vo c s . e r m nt de al e o E d n e 8 4 b () a e n t stsid b c us Mr Ch itn o dd n tcos-x mie Mr f vie c 0 ( )1 r o aife e a e . rse s n i o r se a n . Bogus a Pli tf of e e no e denc t tM r Chrse on had t a lt ormotvet do s h nd a n if f r d vi e ha . it ns he biiy i o o a t etmeo t eNo e e 1 , 0 5d p sto ( # 8 a 3 DE # 0 a Ex.1. t h i f h v mb r 1 2 0 e o iin. DE 3 9 t ; 4 2 t ) 3 t pa t agans whom i i ofkr d wa pr de w ih a o he ry it t s le s ovi d t n pporuniy t e m i t t t o xn ne he d p n n . The Co r fn s ta t e e lmie cru tn e ae n t stsid h r . e o e t' ). u t id h t h s i td ic msa c s r o aife ee Acc di y,t No mbe 11 2005 de ii t tmony ofno pa t Te r nce Bogus whi or ngl he ve r , poston esi n- ry re h, ch wastken i adi r ca ei whih no De e a n vo ce s n c f ndan wa apa t m a notbeus d i t sa i f t s ry, y e n hi cton or a pum os o he t f r i a h e i M r Bogus t tfe i pe s a til Se Fe R . ny e t r han o mpe c m nt f . h esii s n- r on t ra . e d. Evd. 3b (l tisce ie c ofap iric n itn sae n b awi e si n ta misbe i 61 ( ) ç rn i vd n e Ex ro n o sse t ttme t y t s s o d s il n unl s t wine si afo de an opporuniy t e a n orde t s m e a t oppost pary e s he t s s f r d t t o xpli ny he n nd he ie t i afr da o po tnt t itro aetewi e st ee n, rt itr sso j sieohewie s fo de n p ru iy o n er g t h t s h ro o he n ee t f u tc t r s n r q ie' I Mr Bo u h' tsi n i o fr d tr ug d po iin d sg to o M r e ur . ). f . g s s e tmo y s fee h o h e sto e inains f . Bogus s J nua y 7, 2011 de ii n t tmony i t s c s , t n t 2005 de ii i h' a r posto esi n hi a e he he poston s i dm isbl f a 1p pos .f na s i e or 1 ur es #. I. I EVI DENCE REGARDI NG NONPARTI ES' I VI NDI DUAL I NVESTM ENT DECI ONS,PERSONAL BELI SI EFS AND OPI O NS,CONVERSATI NS,AND NI O CLAI S AGAI M NST DEFENDANTS De e nt a gue t tPli tf deposton de i tons m a cea t the i t nds t f nda s r ha a n ifs ii sgna i ke l r ha ne o i r uce i o e de e t si ony o no pm i , i l ng va ius f r e put tve cls ntod nt vi nc e tm f n- es nc udi ro o m r a i as me be s a f me nn e pli ir ,r ltng t t i pe s m r nd or r m d- antfs e ai o her r onali t ntde sons pe s na nvesme cii , r o l be if an opi o ,non- is c le s d ni ns pm e ' onvera i t whi Fi ry wasnota pa t and i whi h s tons o ch nne t ry n c Fi ry wa not dic s a i vi l pot nta c am s a i t De e t . l t me s s us ed, nd ndi dua, e i l l i gans f ndan s Thes e win se icu e ( )W a n Ha etn (o me p tt ca s me e) ( )Rih r F id ( te s s n ld 1 y e z lo fr r u ai ls mb r; 2 c ad re a ve f mer puttve cas membe who i c r nty s ng c ti De e or ai l s r s ure l ui era n f ndant i r l e ltga i s n eatd ii ton b fr te Co r) () Ha Klu a (o me p ttv ca sme e ) ( ) Ka lPo p (o me eo e h u t; 3 N a d f r r uaie ls mb r, 4 r p f r r nn dplitf () Ma k Paa o ih (o me n me - an ig;( ) M ih e Telr (o me me - anig; 5 r lk v c f r r a d plitf 6 c a l le f r r n me - an ig; 7 S n laBu i (ome puaieca sme e) a d ( )Rih r M a Ka ( n dplitf ( ) u id ra f r r ttv ls mb r; n 8 c a d c y a f me e o ,Vi Chaima a Die t who i cure l s ng c rai De e nt i or r mpl yee ce r n nd r c or s r nty ui e t n f nda s n rltdltg to b f r teCou t.Dee d n sa g ta s c e d n ei ir lva tt teis e eae iiain eo e h rl fn a t rue h t u h vie c s ree n o h su of whehe Def nda s m a a m a e il m ir pr s ntto a or omi son t Fi ry t t t r e nt de t ra s e e e a i n nd/ s i o nne t ha c us d Fi ry t pu hi soc t t Co ny on J nua y 6,2009 o a ot ris be or t a e nne t o t s t k o he mpa a r r ny he s ue f e he tir o f c a pr de s c fc e mpl s oft pr pos t tmony t ts ul be e ude , re f a t nd ovi pe ii xn e he o ed esi ha ho d xcl d i l ng e m t fom t de ii ofM r Kluda,M r Popp,M r Ha lon, M r Fre a ncudi xce s r he postons . a . . zet . id, nd M r Paa o ih. ( # 9a 5 8 .Plitf c ne d t a ti e ie c i rlv n t e tbiha . lk vc DE 38 t -) an if o tn s h t h s vd n e s ee a t o sa l s sh met d fa dt e Rue1 b-()a dr c lsn s t e Ru e1 b 5 b . c e o eru md r l 0 5a n e ke s e s md r l 0 - ( ) 4 Asa i talm a tr t Cour tndst tPl ntf ss c ii sfaud cai i a Rul 1 n nii te , he ti ha ai if e urte r lm s e 0b 5 b mirp e e tt n a d o sin cam.Th S c n Ame d d Co an d e n talg a ( ) se r sn ai n miso li o e eo d n e mplit o s o le e f cualba i f a s he t de r Fi ry underRul 1 - 5 a. Mo e e,i te J it at ss or c me o faud nne t e 0b ()3 rov r n h on Pr til Stpulton,t Pa te a e d t t Pli ifFi t s Coun 4 f de a s c ii s lw e ra i a i he ri s gr e ha antf nnery' t e r l e urte a cli wasa mir pr e a in a omison cli a si aedt t elm e sa Rul 1 bam se es nt to nd s i am nd tpult o he e nt e 0 5b () cam. DE # 5 a j VIa d VIJ Th Pa t saeb u d b t i si lto a d a y cams li ( 3 8 t j n 1. e ri r o n y her t ains n n li e pu no i l d i t pr tilsi a i a e waved. Se G. C.Cor v.Unie St e 1 F. t ncude n he era tpulton r i e L p. td ats, 21 3d 1 4 ,1 5 ( 1h Ci.1 9 )('a t sae b u d b tersiu ain a d ap era siu ai n 4 7 4 0 1 t r 9 7 ' ri r o n y h i t lto s n r til t lto p e p p fa st is e f rtil) DPC Ce .Co ta tr, I .v.Cobo Co. 715 F.Supp.367, 369 r me he su s o ra '; pa nr co s nc , ( D. a 1 8 )(' eprtilsiuain i t i c s ce ry st f rht ecamso t ep ris S. Fl. 9 9 ' Th era tp lt n hs a e la l es o t h li f h ate , o a tus s p r e e t Co an '; e as Ro k l 1 t1Cop v.Unied St es,549 U. nd h , u e c d s he mplit) s e lo c wel n ' r ' t at S. 4 7 4 4 ( 0 7 (d li ,is e ,d fnss o te re o d ma e n ticu e i t eprtil 5 , 7 2 0 ) $C)ams su s ee e , r h o is f n g s o n ld d n h era ( . or rar wai d e i t appv r i t c de e ve ven f hey a ed n he ompl nt. . .'. ai ' ) Be a e t Cour fnds t tPli ifsf der ls cu ii s fa c am i a Rul 1 - 5 b c us he t i ha antf e a e rte r ud l i s e 0b ( ) c am ,e de e t t woul s l i vi nc ha d uppor a fndi of an al d Sde c , s he e or a tfce t t i ng lege ' vie c m , rii o d fa d'u d r Rue 1 b- () i ir lv n . Ise d t r lv n iq iy i wh t e Ch re eru ' n e l 0 5a s ree a t n ta , he ee a t n u r s eh r a ls Ste e a or SLIm a a matralmir pr e ai or om ison t Fi ry wih s e er i if l nd/ de ei se es nt ton s i o nne t t cint n c onneci wih Fi ry' s l of SLIsoc t SLIon whi h Fi ry r a ona y r le t hi ton t nne t s a e t k o c nne t e s bl ei d o s de rme .Se M iz o v HomeDex#,I c 5 4F3 1 3 ,1 6 1 3 ( 1 Ci. 0 ) Zimb v ti nt e z ar . / n ., 4 .d 2 0 23 - 2 7 1 1 r 2 08 ; e a . Ca c d I t1I c, 5 F.d 1 9 ,1 0 ( 1 Ci. 01. Plitf sp o o e e i e c r ltn s a e n ' n .2 6 3 1 4 2 2 1 1 r 20 ) anif r p s d v d n e eaig , t n np ris idviu liv sme t cso , o p ris p ro l lesa do ii s n no o -at 'n i d a n et n deiinsn n-at ' esna beif n pnon ? o e e pari 'c tes onve s tonst whi h Fi ry wasnota pa t a i whi Fi ry wasnotdic s d r a i o c nne t ry nd n ch nne t s us e 3 A se e ai s on ai e mir pr sentton and omisi cl m mises under Rul 10b 5 b a d no Rue 1 b() n t l 0 5 a.Se Le tl v M erl L n h t Co,3 6F.d 1 ,1 7( dCi. 0 5 (i igt a t ee () e n el . r i y c f . 9 3 61 7 2 r 2 0 ) fndn h t s r l wh - t s e ba i f ..cai i alged m ir pr s nttons oro isons pl ntfsha no m a he ol ss or . l ms s le se e e a i m s i , ai if ve t de o t a (ru u e t she ) cam t e Rul 1 b- () a d () a d rman s be t t t e u fa d ln c me li md r e 0 5 a n c, n e i u j c o h heghtne pla ng r quie e soft PSLRA ';I Re P e l c Se s Lii ,5 4 F.S p i e d e di e r m nt he ' n hz r n . c . t 8 ) g. u p. 2 6 , 4 ( . N. 2 0 )( rn ig Dee a t' to t ds s a d fn i ta K e a s d 21 6 0 SD. Y. 0 8 ga tn fnd ns moin o imis n i dng h t s c u e b . Pl i if a lge no dec ptve co ls ofco antfs le e i tr e nduc goi be t ng yond mir pr e a i orom iso , se es nttons s ins t rma ke m a pul ton cai sm us be dimis d.' ;WPP Lu e o r Ga hei r t ni ai l m t s se ' ) x mb u g mma T r eSa lv he r . S tRu n r I c,6 5 F.d 1 3 ,1 7 (t Ci. 1 (ç u t ha e g n r ly h l ta %a po n e, n . 5 3 0 9 05 9h r 201 ) l rs v e eal ed h t L) co Rue 1 b-() a do () cam c t b p e s d o te alg d mirp e e tto s o l 0 5 a n /r c li amo e rmie n h le e se r sn ai n r 4 so s h t o m he a i f l 0 5b li ' . o sin t a f r t b sso aRue 1 b-( )cam ') mi ' The pr e no ex r t tmony r r ng pe s na be if a opi ons i a s opos d n- pe t esi ega di r o l le s nd ni s lo i m isbl unde Fe a Rul ofEvi nc 602. nad s i e r der l e de e 5 (n ldig t s s tf rh i Dte d ns Mo in ,a d n npa t s poe ta cams a an t icu n ho e e o t n f n a t' to ) n o - ri ' tn il li g i s e De e nt i smpl notr e ntt Fi ry' cli , As s h,i i excuded unde Fede a f nda s s i y elva o nne t s a ms uc t s l r rl RulsofEvi nce40 5 e de 2. 11 1. EVI DENCE RELATI NG TO THE 2009 OPTI ONAL DI VERSI FICATI ON O PPORTUNI AND SLI S FY I CORPOM TE STM TEGI PLANS TY ' O C Def nda s a s s e t e l evi nce r ltng t t 2009 optonaldi r i ai e nt lo e k o xc ude de ea i o he i ve sfc ton opporuniy a SLIs FYI c por t sr t gi pl nni doc e s unde Fe r l Rul of t t nd ' O or a e ta e c a ng um nt r de a t Ev d n e4 2a d40 .( #3 9a 8 1 4 Plitf a anag e t t hse ie c i r lva tt i e c 0 n 3 DE 8 t - 0 . an if g i r u s ha t i vd n e s ee n o etb ihigas h met d fa d a trc lsn s o t epat fDe e d n s ( # 0 a 7 1 ) sa ls n c e o eru nl e k e s e s n h r o fn a t. DE 4 2 t - 0 . W ih r pe t t t c or t sr t i phnni doc e s Pli if a s a g t es c o he op ae ta egc ng um nt, antf lo r uts t t t ha he doc nt co an sa e nt t t$he Compa woul r mai t i t l he d a ld by t ume s nt i t t me s ha t t ny d e n prva e y l nd e he Ste e f miy''a t tt e doc nt we e ts r d wih many SLl e oye s wih t i f l a l ' nd ha hes ume s r tha e t mpl e t he knowldge a a ovalofs ni m a ge e 'alhough Pli if does notaleg t tt s e nd ppr e or na m nt' t antf l e ha he e d c me t weea tal s ae wi t an if ( # 0 a 9 . o u n s r cu l h r d t Plitf. DE 4 2 t ) y i I i undiput d t t Fi ry' e o e wih SL1w a s ver d i Augus 2008 i ts s e ha nne t s mplym nt t s e e n t n c nu cinwih ard cin i fre ( # 5 a jV,!3 2 I i as u d s u e ta,a a o j n to t e u t n oc . DE 3 8 t o 4 . t s lo n ip td h t s f me e o or r mpl yet,Fi t wa ne r ei i e f r t 2009 optona dve sic ton opporuniy mwry s ve lg bl o he i l i ri ai t t n unce t t n- ure SLle o e i Nove r2008 a t tFi ry di notr c i nno d o he c r nt mpl ye s n mbe nd ha nne t d e e ve a y o t e c mmu c to sr ltn t o to a d v ri c to ( e Fin ry De a 5 - 9 . n f h o niain eaig o p in l i esf ain. Se n e t p, t 3 5 ) i Gi n t t Fi ry wa una r of tw o i ve ha nne t s wa e l ptonaldi r ik ai opporuniy, t s o runiy ve sf ton t t hi ppo t t c d notha i pa t d hi i sme dec son. As s h, i i ir l va t a eeme of oul ve m c e s nve t nt ii uc t s re e nt o ny l nt Fi t s cl m s. Acc di y,under Fe r lRuls of Evi e 402, Pl i if i pr cl d mwry' ai or ngl de a e denc antf s e ude fo oferng i o e de e a t si r m f i nt vi nc ny e tmony or doc e s r a i t t 2009 opto l um nt eltng o he i na di r ii a i oppo t t i l ng t tmony r r ng a i vi lsde i i t pa tci t ve sfc ton runiy, ncudi esi ega di n ndi dua ' c son o ri pa e (rn t riiae i o to a dv riiai n ten mb ro t e -u rn e o e swh ee td o o pat p t) n p in l iesfc to ,h u e f h n c re t mply e o lce c t pa tci t i o i o ri pae n ptonal di r ii ton, SL1s fl ng f pm c i t sock pu t t ve sfca i ' lndi or hasng he t t o he Compa t ough t optonaldi r ikai opport t c ny hr he i ve sf ton tmiy, ommt ia i r l tng t optona m c tons e ai o i l 5 Be us t Cour fnds t t s e de ca e he ti hat hi vi nce i i dm isbl under Fede a Rul of s na s i e rl e Evi nc 40 t Cour doe notne d t ad es De e de e 2, he t s e o dr s f ndan s at m a i ar t ' le tve gume t tt s nt ha hi e de e s d beexcl d unde Fe r lRul ofEvi nce403. vi nc houl ude r de a e de 6 di r ii ton, a SLls f flme of o i ve stcai ' ulil nt ptonaldi rii to r quessf Thi i l es t ve sfcai n e t . s nc ud he nd f l ng e bisi ntfe by Pl ntf i t J ntPr ti Stpulton,a 1ofwhih r lt t t olowi xhi t de ii d ai if n he oi eral i a i 1 c ea e o he 20 optona di r ii ton opporuniy: 568,58,1 1 11 23 237,239,331 33 686, 09 i l ve sfcai t t 06, 07, 2, 4, , 2, 68 , 694,695,71 715,7 7 7. ,a 731. 7 7 2, 27, 29, 30 nd Evd n erg r i S ' Fic lYe r2 0(:Y1 ' c r rt sr tgcpa mu ta s ie c e adng L1s s a a 01 E 0' opo ae tae i lns s lo F ) be e l d unde Fe r l Rul of Evi nce 402. Ther i no evi nc t t Fi ry e r xcude r de a e de e s de e ha nne t ve r c i d orr vi we a oft FY I c por t sr t gi pl ni doc e so t tDe e nt e e ve e e d ny he O or a e ta e c an ng um nt r ha f nda s i end f rhi t r vi w orr l cn t e doc e s Thus t s doc e s c d no ha nt ed o m o e e ey , hes um nt . , he e um nt oul t ve i c e Fi ry' de son t puthi soc t t Com pa on J r 6,2009. Be us mpa t d nne t s cii o s t k o he ny anua y ca e Fi e t ne rr eved orr vi nn ry ve ec i e ewedany oft FY I c or t sr t gi plnni doc e s t he O om ae ta e c n ng um nt, he Co tfnds t t t sevi nc i notr e nt o m ae il Ac or ngl Pl ntf i pr cl d ur i ha hi de e s elva r tra . c di y, ai if s e ude fom i r r ntoduci i t e de e a doc ng n o vi nc ny umen s or t tmony r ltng t SLls FY I c por t t esi ea i o ' O or a e sr t c pl nni doc e sa ti . S c t aly,Fi ry i pr cl d fom i r taegi a ng um nt t ral pe ik l nne t s e ude r ntoducng i o i nt e denc SLIs Func i l Enviol vi e: ' tona r unentl Ana yss Fut es FY I Fut es FY I Cor or t a l i ur O, ur O p at Sta e c Pln,Fut esFYI Stae j Pl n Gl lSuppl Chan,FYI Siuai Anayss and r t gi a ur O r tg c a oba y i O t ton l i, t Sta e Re uton pr s ntton. 8 The e doc nt a e i ntfe i t J nt Pr ti he r t gy vol i e e ai s ume s r de ii d n he oi eral Stpulton as Pli ifs e bis 7 741 742,743,a 744. Alhough t Cour fnds t t i ai antf xhi t 38, , nd t he ti ha e de e r ltng t SLls FY I com or t sr t c pl nni docume s i not r e nt or vi nc ea i o ' O ae taegi n ng nt s elva m ae il a t Cour i c t d dmi t Nove be 4,2011 he rng,Pl i ifm a i he s tra , s he t ndia e ng he m r ai antf y, f o desr ,m a k t e co or t sr t c plnni docume sf i ntfc i n a ti land r ne ies r hes p ae taegi n ng nt or de ii ato t ra e w h sag me t r g r igr lv n yo tietep e e c o t ej r i r u n s e adn ee a c u sd h r s n e f h u y. 6 Gi n t Co ts fndi t t t s e de e i i d isbl unde Fede a Rul of ve he ur' i ng ha hi vi nc s na m s i e r rl e Evi e 402,t Cour doe no ne t a es Defnda s ale na i a gum e t t tt s d nce he t s t ed o ddr s e nt ' t r tve r n ha hi e de s d bee ude unde Fe r Rul ofEvi nce403. vi nce houl xcl d r de al e de 7 TheCour g a ed De e an s'M o i whi h i l d Pli ifspr ed e bis686 t r nt f nd t ton, c ncude a ntf opos xhi t a 71 Alhoug not r ie a t he rng,i s e nt dic sons be we n t Pa tes nd 2. t h as d t he a i n ubs que s us i t e he ri , Pli if as e t t t s t e bis do no r lt die ty t optona di r ii ton. antf s red hat he e wo xhi t t ea e r c l o i l ve sfcai Fn e t n n tee st siidt a h d dn trc ieet e o t eed c me t. F n et De a in ry o eh ls e tfe h t e i o e ev ih r f h s o u n s ( i n ry p. t 5 , 8 . Ass c t e a ee cu e u d rFe e a Rueo Evd n e4 2a t e aen t ee a t 5 5) u h,h y r x ld d n e d rl l f ie c 0 s h y r o r lv n t a is bef et tiroff c , ve i t d no r lt die ty t optona di r ik ai . o ny s ue or he re a t e n f hey o t e ae r c l o i l ve jt ton 8 Gi n t Cour' tndi t t t s e de ve he ts i ng ha hi vi nce i i dm isbl under Fe r l Rul of s na s i e de a e Evi nce 402 t Cour does notre d t add es De e de , he t te o r s f ndan s at m a i ar t ' le tve gume t t t s nt ha hi e de e s d bee l d unde Fede a Rul ofEvi nc 403. vi nc houl xcude r rl e de e 7 I V. CHARI, STI ES EFEL' POSTS APRI 20 2009 COM M UNI L , CATI ONS W I TH NONPARTY RI ARD FRI CH ED Def nda sa guet tPli ifi ope l s e t i r e i o e de et si ony a e nt r ha antf mpr ry e ks o ntoduc nt vi nc e tm nd doc nt c ume s once ni prva e s tlm e c r ng i t e te nt omm uni tons a dic sons bewe Def nda cai nd s us i t en e nt Ch re St fl n n n- ryRihadFre o c riga rAp i20 20 99 ( #389 at10 1 ) als i e a d o pat c r id c u rn he rl , 0 . DE e 1. - Dt e t as e tt tt se de e i i dmisbl pm s ntt Fe r lRul ofEvi nc 402, f ndan s s r ha hi vi nc s na s i e ua o de a es de e 403 a 408. Pli ifas e t t tt c muni tonsdo noti ve e f t t compr s a nd antf s rs ha he om ca i nvol fors o omie d s ues fiin t ti g rt ep oe to ofFe e a Rue o Evd n e4 ()a dt a t e ae ip t u fce t o rg e h r tcin d r l l f ie c 08a n h t h y r ot r s r l va a admisbl a a a s i n ofapa t oppone . he wie e e nt nd s i e s n dmi so rynt Fe ea Rue o Evd n e4 8 a p ovd sta te f l wig e ie c i n ta misbe d r l l f ie c 0 () r ie h t h ol n vd n e s o d sil o S n ofe e t pr ve la lt f ,i i t of orn d whe f r d o o i biiy or nvaldiy , mountofa c am t twasdiput d a t l i ha s e so v ldt o a u t o t i e c t rug a p ir ic n itn sae n o c nrd cin:( ) aii r mo n , r o mp a h h o h ro n o sse t ttme t r o ta ito 1 y f r s ng orofe i or pr m ii t f r s ora e i orofe i orpr ii t a c pta u nihi f rng o sng o u nih cc ptng f rng om sng o c e v la l c n ieain i c mprmiigo atmp igt c mprmiet ecam; nd( )c nd t au be o sd rto n o o sn r te tn o o o s h li a 2 o uc orsae e sm a i c t tm nt de n ompr ienegota i r r ng t cli .' Fe . Evi. 08a ; e om s itons ega di he a m ' d R. d 4 ( ) s e alo #/ - I .v Ke r C. A.6l/l ,91 F. 637 6 2 ( 1h Ci.1 9 )(ttme t fl s ? . nc . mpe P. r / 6 2d , 4 1 t r 9 0 sae n s al z/ r unde Rul 408 i t y we e tntnde t be par of t nego itons t wa ds c r e f he r s e d o i t he ta i o r ompr iei om s ' ' fndi t t sat e t i e d t be pa t of t nego itons t r compr ie wer i ng ha tt m n s nt nde o r he ta i owa d om s e i r p ry e cu e b t dsrc c u t';Cae v Mo g n Po t l Bul n Cop., 780 F. t o el x ld d y he itit o r.) ts . r a rabe i g r p ' di 2d 6 3 6 ( t Ci.1 8 )( l 4 8p o ie t ti ttme t ma ei s tlme tn g tain ae 8 , 91 7h r 9 5 Rue 0 r vd s ha s ae n s d n et n e o ito s r s e nota s i et e t bls a pa t sla lt , o d ma e ,i t edip t t twa te s be to dmisbl o sa ih ry' ibiiy r n g s n h s u e ha s h u j c f t en g tain'. h e o ito .) ' The c omm t c tonsa i s r tec a diput r ga di t vaue oft soc M r Fred mia i t s ue el t s e e r ng he l he t k . i s d t SLIa a tmpt by Cha ls Ste e a Riha d Fre t r ol t sdiput . ( # 8 ol o nd te s re i f l nd c r id o es ve hi s e DE 3 9 a 1 - ;DE #277 a 6- DE #334 a 4- Fre De . a 21 245a Exs 280,281 a 28 DE t 0 11 t 9; t 5; i d p t 5nd . , nd 4; # 5 -, .sEx . 716 2 . W hl Plitf a g sta te ec mmu iain d n trs t t e 3 8 1 P1' s 6 - 8 1 i anif r ue h t h s o n c to s o o ie o h e lve of a f mal cam ,Rul 408' e uson a i eve a l s f ma s a s of dipu e e l or li e 5 xcl i pples n t es or l t ge s t r s lto S e eg.A l e M#s v Al miu Co o e ou in. e , . , m i d at . . u n m . fAm. 5 F,d 5 ,5 7 5 8 ( d Ci , 6 3 21 2 - 2 3 r 1 9 )( e4 a p ist ds u so sG e ea a ta ds ueo ad fee c o o no e it, 9 5 Rul 08 p le o ic si n i r n cu l ip t r ifrn e f piin xss wh . 9 Thi is was as r s d by Defnda s i Sec i I oft i Om ni us M oton i s s ue lo aie e nt n ton V he r b i n Li n .( # 77a 6 9 . By g a tn Dee d n s M oin,h Co r as g a t S ci nI o mie DE 2 t - 1 rn ig fn a t' to te u t lo r n s e to V f De e nt 'Omni M o i i fi ne. f nda s bus ton n mi 8 r t r t whe dic son cr t lz t t poi oft e t ned ltga i ' hol ng t t t ahe han n s us i ysalie o he nt hr a e ii toni' di ha he diti tc tpr ry e ude e denc ofc src our ope l xcl d vi e ompr ie fom t pa te 'dic sonsr lt d t om s r he ri s s us i ea e o ads uea d itr a me rn aitn e a ab ssfrc mp o s n g tain ) The Cour ip t n ne n l mo a d n e d d s a i o o r mie e o ito s t . fndst tt pos- i 2009 co muni ai bewe n Cha l Ste eland Ri r Fred r te t i ha he tAprl m c tons t e res if cha d i el c c ompr s nego itons r a i t no pa t Ri ha d Fred' ca m t t he was du d i o omie ta i eltng o n- ry c r i s li ha pe nt s li hi SLI soc Ac r ngl t e communi tonsa e i dmi sbl t rFt r lRul e lng s t k. co di y, hes cai r na s i e mde de a e of Evi nc 408 a Pl i if ma no r e e de e nd antf y t ef r nce o a t r tempt t i r o ntoduc i o evi nce a e nt de ny c ommunia i bewe n Cha l Ste e a Rihar Fred oc uni a trAprl20, 2009 a ti , c tons t e res i f l nd c d i c ng fe i t ral i l i Pli tT spr e e bis671t ough 682. 1 ncud ng a n i opos d xhi t hr 0 CONCLUSI ON For t r a ons s t f t a he e s e orh bove,i i ORDERED , ADJ ts UDGED a DECREED t nd hat Defndant M oton To Pr c ude Pl ntf Us OfCe ti Pr e Tesi e s' i el ai ifs e ran opos d tmony And Exhi t bis AtTra ( # 8 )i GRANTED.Plitf s aln t ep nni e t rf rn eo itod ei t il DE 3 9 s anif h l o b e t d o e ee c r nr uc no t e i e c a yo tef l wig a til ()a y p rin o Tern eBo u h' No e e 1 , 2005 v d n e n f h ol n t ra : 1 n o t f re c g s s v mb r 1 o o d p st n ta s rp ;( )tsi n o d ct nsr lt t n n p ris i iiu livet n e o ii rn cit 2 e tmo y r o l t eai o o - a t ' ndvd a n sme t o me ng e dec sons non- ri 'pe s na belef oro ni , non- tes c ii , pa tes r o l i s pi ons pari ' onve s tonst whi Fi ry r a i o ch nne t wa notapa t a i whi Fi ry wa notdic s d, and orpotnta cl msofnon- ri ; s ry nd n ch nne t s s us e / e il ai pa tes ( )tsi n o d c me t rlt g t t e 2 0 o to ldv r i c to o p ru i o S ' 3 e t y r o u n s eai o h 0 9 pina ie sf ain p o tnt r LIs mo n i y F Oc r oaesrtgcpln (l o g ,aspre ousy not t Courti wilng t revii t YI o p rt tae i a s at u h h vi l ed, he s li o st he r i r l td t t c por t srt i pl onl a tilupon Pli ipsr ques a outi t ulng e ae o he or a e tatg c ans y t ra antf e t nd sdt ht p e e c o te j r) a d () tsi n or d c me t r ltn t t e p tAp i 2 , 2009 r sn e f h u y ; n 4 etmo y o u n s eaig o h os- rl 0 s tlm e tne tai nsbe we n Cha l sSte ela non- ry Riha d Fre . e te n go i to t e re if nd pa t c r id DONE AND ORDERED, i c n hmnbe s a t J m es La e r t he a wr nce Ki Fe r l J tc ng dt a usie Buidi andUnie Stt sCo t e M i mi Flrd ,hi Z / l ng t d a e urhous , n , oia t s d yo No e r201 . a f v mbe, 1 u AJ > ES LA NCE KI G N I TED STATES DI STRI J CT E Copi sf nihe t e ur s d o: Al Co elofRe or l uns c d 1 0 Bec us t Cour fnds t t t s e de e i i dmisbl unde Fede a Rul of t i ha hi vi nc s na s i e a e he r rl e Evi nc 408,t Cour does notne d t a es De enda s'at r tve a g l nt t tt s de e he t e o ddr s f nt le na i r lme s ha hi e de s d be e ude t rFe r lRul sofEvi nce402 a 403. vi nce houl xcl d mde de a e de nd 9
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