Stipulated Rule 502(d) and Privileged Materials Order — In re January 2021 Short Squeeze Trading Litigation (Dkt. 339-1, S.D. Fla.)
Summary
A Stipulated Rule 502(d) and Privileged Materials Order in In re: January 2021 Short Squeeze Trading Litigation, Case 1:21-md-02989-CMA (Case No. 21-2989-MDL-ALTONAGA/Torres), in the U.S. District Court for the Southern District of Florida, entered July 9, 2021 as Document 339-1 (18 pages). Under Federal Rule of Evidence 502(d), disclosure of privileged or protected Information is not a waiver in this or any other proceeding; the Producing Party serves a Clawback Notice and a redacted copy or slip sheet within seven (7) days, and the Receiving Party returns or destroys the material, certifying destruction in conformance with NIST 800-88. Signature blocks include Lowenstein Sandler LLP for defendants Alpaca Securities LLC, eToro USA Securities Inc., WeBull Financial LLC and Fumi Holdings, Inc. and Lewis & Llewellyn LLP for defendant FF Trade Republic Growth, LLC.
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- Date
- 2021-07-09
Cite this document
“Stipulated Rule 502(d) and Privileged Materials Order (Dkt. 339-1).”
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Case 1:21-md-02989-CMA Document 339-1 Entered on FLSD Docket 07/09/2021 Page 1 of 18
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 21-2989-MDL-ALTONAGA/Torres
IN RE:
JANUARY 2021 SHORT SQUEEZE
TRADING LITIGATION
____________________________________/
This Document Relates to the Non-Federal Securities Actions
STIPULATED RULE 502(D) AND PRIVILEGED MATERIALS ORDER
Plaintiffs and Defendants (collectively, the “Parties”), by and through their respective
counsel, hereby stipulate and agree to the terms of this Rule 502(d) and Privileged Materials
Order. All capitalized terms that are not defined herein have the same meaning as those terms set
forth in the Stipulated Protective Order.
SCOPE
1. This Order shall be applicable to any privileged or otherwise protected or
exempted information disclosed during the course of this litigation, including, but not limited to,
deposition transcripts or videotapes, responses to requests for production of documents, answers
to interrogatories, responses to requests for admissions, affidavits, declarations, electronically
stored information (“ESI”), testimony or evidence adduced at trial or during any hearing, and all
other information or material produced or made available for inspection or otherwise submitted
by any of the parties in this litigation pursuant to the Federal Rules of Civil Procedure or
otherwise (collectively, “Information”).
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PRODUCTION OF DISCOVERY MATERIALS CONTAINING POTENTIALLY
PRIVILEGED INFORMATION
2. Pursuant to Federal Rule of Evidence 502(d), the disclosure, whether inadvertent
or otherwise, of any privileged or otherwise protected or exempted Information in this case, shall
not be deemed a waiver or forfeiture of any claim of privilege or other protection—in this case or
in any other federal, state, regulatory, or congressional proceeding, or a proceeding before a self-
regulatory organization—that the producing Party would otherwise be entitled to assert with
respect to the Information and its subject matter.
3. Nothing contained herein is intended to or shall serve to limit a Party’s duty to
conduct a review of documents, ESI (including metadata), or other Information for
responsiveness or segregation of privileged or protected information before production.
4. The Party disclosing Information (the “Producing Party”) must promptly notify
the Party receiving the Information (the “Receiving Party”) in writing if it discovers that
Information has been produced for which the Producing Party asserts privilege or other
protection. The notice should be in the form of a “Clawback Notice,” and shall include:
a. The Bates range of the produced materials; and
b. A privilege log listing the item(s) produced in the form set forth in
Paragraphs 13-22 herein.
5. The Producing Party shall make a good faith effort to produce a new copy of the
material (using the same Bates number as the original material) within seven (7) days after
serving the Clawback Notice with the privileged or protected Information redacted if the
Producing Party claims only a portion of the document contains privileged or otherwise
protected Information, or, if the Producing Party claims that the entire document is privileged or
protected, a slip sheet noting that the entire document is privileged.
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6. Upon receipt of a Clawback Notice, the Receiving Party shall make good faith
efforts to immediately destroy or return all such Information, all copies thereof, and not use such
Information for any purpose. The Receiving Party shall certify to the Producing Party that all of
the inadvertently disclosed Information has been returned or destroyed in conformance with
NIST 800-88 or with mutually agreed standards.
7. Nothing herein shall prevent the Receiving Party from preparing a record for its
own use containing the date, author, addresses, and topic of the inadvertently produced
Disclosure or Discovery Material to identify the Disclosure or Discovery Material and describe
its nature to the Court in any motion to compel production of the Disclosure or Discovery
Material, consistent with the procedures as set forth in Paragraphs 8 and 9, until further order of
the Court.
8. If the Receiving Party decides to contest the Producing Party’s assertion of
privilege or other protection, it must do so within seven (7) business days from receipt of the
Clawback Notice by serving upon the Producing Party a written “Notice of Clawback
Challenge” providing the reason(s) for challenging the assertion of privilege or protection. The
Producing Party will have seven (7) business days to respond to the Notice of Clawback
Challenge in writing by either: agreeing to withdraw the claim of privilege or other protection, or
stating the reasons for the claim. If the Producing Party’s response to the Notice of Clawback
Challenge does not resolve the issue, the Parties shall meet and confer within five (5) business
days of the Producing Party’s response to the Notice of Clawback Challenge. Should the dispute
remain unresolved, the Receiving Party may bring a motion for a determination of whether
privilege applies, and must do so within seven (7) business days of its determination that no
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resolution will be achieved. The Parties may stipulate to extend or otherwise modify the time
periods set forth in this Paragraph.
9. The Producing Party shall provide the item(s) listed in a Clawback Notice to the
Court for review in camera with its response to a motion for determination of whether privilege
applies. Should the Receiving Party’s motion contain the content of any item(s) whose claim of
privilege or other protection is being challenged, the motion shall be filed under seal. The
Receiving Party may not assert the facts or circumstances of the disclosure as a ground for
compelling disclosure.
10. If, during a deposition, a Producing Party claims that a document being used in
the deposition (e.g., marked as an exhibit or shown to the witness) contains material that is
subject to the attorney-client privilege, the attorney work product doctrine or any other privilege
or protection, the Producing Party may (a) allow the document to be used during the deposition
without waiver of any claim of privilege or other protection; or (b) instruct the witness not to
answer questions concerning the parts of the document containing privileged or protected
material. If the Producing Party allows the examination concerning the document to proceed
consistent with this paragraph, all Parties shall sequester all copies of the inadvertently produced
document. As to any testimony subject to a claim of privilege or other protection, the Producing
Party shall serve a Clawback Notice within seven (7) business days of the deposition’s
conclusion. In either case, the Receiving Party may challenge the assertion of privilege or other
protection consistent with the procedures as set forth in Paragraphs 6 and 7 herein. If a Clawback
Notice concerning any such document or testimony upon which a privilege or protection is
asserted is not timely served as set forth in this Paragraph, i.e., more than seven (7) business days
after the conclusion of the deposition, the Receiving Party may challenge that the document or
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testimony is no longer protected under Paragraph 2 herein, and that Federal Rule of Evidence
502(b) applies instead. Paragraph 5 shall apply pending resolution of the privilege dispute as to
the relevant document or testimony to all Parties with access to the deposition transcript. Should
the Court decide the dispute in the Receiving Party’s favor, i.e., that the document or testimony
is not privileged or protected, and the Receiving Party was denied the opportunity to depose the
witness as to the Information subject to the dispute, the Parties shall work in good faith to make
the witness available for deposition within fourteen (14) days of the Court’s resolution of the
dispute, at the expense of the Party who served the Clawback Notice, i.e., the Party who asserted
the claim of privilege or other protection.
11. This Order does not override any attorney’s ethical responsibilities to refrain from
examining or disclosing materials that the attorney knows or reasonably should know to be
privileged and to inform the Producing Party that such materials have been produced.
12. Nothing in this Order precludes a Party from voluntarily or intentionally waiving
any claim of privilege or protection. Should a Party use privileged or otherwise protected
information to support a claim or defense, Federal Rule of Evidence 502(a) shall apply.
PRIVILEGE LOG
13. Except as set forth otherwise in this Order, any document or ESI that is withheld
on the basis of a claim of attorney-client privilege, attorney work product doctrine, or any other
claim of privilege or immunity is to be identified by the Producing Party on a privilege log,
which shall be produced in an Excel format that permits electronic sorting and searching.
14. After completing its production of documents or ESI, and with a good faith effort
within sixty (60) days, the Producing Party shall provide a privilege log or logs concerning any
Information that has been redacted or withheld in whole or in part from its production(s). To the
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extent any previous designations are subsequently modified or withdrawn, they shall be so noted
within fifteen (15) days of any decision to modify or withdraw any previous designations in an
amended log to ensure clarity.
15. Privilege logs shall be detailed enough to enable other Parties to assess the
applicability of the privileges or protection asserted. The privilege log shall set forth the privilege
or protection relied upon and specify separately for each document:
a. Bates-number range, or if no Bates-number range, a unique document
identifier;
b. Family relationship, if applicable (e.g., identification of parent emails and
all attachments);
c. The document title to the extent contained in metadata, including in the
case of emails, the subject line of the email, unless that information is
itself subject to a claim of privilege (in which case that withholding shall
be indicated on the log);
d. Sufficient factual basis to support the claim of privilege or protection;
e. The names of the author(s)/sender(s);
f. The names of all addressees and recipients, including CC’s and BCC’s;
g. The document date, which shall be defined as the date sent for
correspondence such as emails, memos and letters and the date last
modified for other documents;
h. Whether the document has been produced in redacted form or withheld in
its entirety; and
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i. The designation of the privilege or protection relied upon (e.g., attorney-
client privilege or attorney work product).
16. Each member of a family of documents (i.e., each member of a set of documents
in parent-child relationship to each other) to the extent such members are also being withheld for
the same privilege, may be logged together as a single entry in the privilege log. In instances
where multiple documents in a family are logged together as a single entry in a privilege log, the
privilege log description shall clearly reflect that the entry relates to more than one document
(e.g., “email attaching memorandum”) and shall provide sufficient information to satisfy Federal
Rule of Civil Procedure 26(b)(5)(A) as to all attachments.
17. For the avoidance of doubt, each such document shall be logged on the basis of
the metadata (author(s) or sender(s) and recipient(s)) of the individual document, where
available. Email addresses may be included in the log, rather than full names of authors, senders,
and recipients, provided that the email addresses contain sufficient information to identify the
individual.
18. Partially privileged documents need not be logged so long as the reason for the
redaction is provided on the document (e.g., “Redacted: Attorney-Client Privilege”). Upon
reasonable request, the Producing Party agrees to provide additional information supporting the
claim of privilege if it is not clear from the face of the redacted document.
19. Materials relating to activities undertaken in compliance with the duty to preserve
information (including, but not limited to, litigation hold letters) which are protected from
Federal Rules of Civil Procedure 26(b)(3)(A) and (B) need not be logged.
20. Attorneys or their staff must be identified on the log with an asterisk or similar
notation.
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21. When multiple email messages (“thread members”) are part of a single email
chain or thread, a Party is only required to include on a privilege log the most inclusive, i.e., last
in time, email and need not log earlier, less inclusive email messages that are otherwise fully
contained within the thread, provided that log entry includes the names of the authors,
addressees, recipients (including CC’s and BCC’s) for all thread members, and that the
description of the email chain or thread include sufficient factual bases sufficient to support the
claim of privilege for each email or thread member a privilege or protection is claimed. The
Party claiming a privilege or protection over an email or thread member shall identify which
specific email or thread member within the email chain or thread the privilege or protection is
being asserted. The asserting Party must also indicate whether the email chain or thread has been
produced in redacted form or withheld in its entirety.
22. After receipt of a privilege log, any Party may dispute a claim of privilege. Prior
to seeking Court intervention, the Party disputing or objecting to a claim of privilege shall
provide in writing the identification of the documents or category of documents for which the
claim of privilege or protection is being challenged and the reasons for disputing or objecting to
the privilege designation. Within twenty-one (21) days, the Party that designated the documents
for which the privilege or protection is being asserted will provide a written response setting
forth the basis for its claim of privilege or de-designating the challenged documents and
producing those documents in accordance with this Order. If the dispute is not resolved, the
Parties shall meet and confer in good faith as to the claims of privilege or protection. If no
agreement has been reached after 21 days after the meet and confer, the Parties shall submit the
dispute by motion to the Court consistent with the Court, Magistrate Judge, or Special Master’s
procedures for raising discovery disputes.
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DONE AND ORDERED in Miami, Florida, on this __ day of July, 2021.
____________________________
CECILIA M. ALTONAGA
UNITED STATES DISTRICT JUDGE
Dated: July 9, 2021 Respectfully submitted,
/s/ Joseph R. Saveri /s/ Frank Schirripa
JOSEPH SAVERI LAW FIRM, LLP HACH ROSE SCHIRRIPA &
Joseph R. Saveri (CA SBN 130064) CHEVERIE LLP
Steven N. Williams (CA SBN 175489) Frank Schirripa (NY SBN 4103750)
Anupama K. Reddy (CA SBN 324873) Kathryn Hettler (NY SBN 5126065)
Christopher K.L Young (CA SBN 318371) Seth Pavsner (NY SBN 4969689)
601 California Street, Suite 1000 112 Madison Ave, 10th Floor
San Francisco, CA 94108 New York, New York 10016
Tel: (415) 500-6800 Tel: (212) 213-8311
jsaveri@saverilawfirm.com fschirripa@hrsclaw.com
swilliams@saverilawfirm.com khettler@hrsclaw.com
areddy@saverilawfirm.com SPavsner@hrsclaw.com
cyoung@saverilawfirm.com
/s/ Peter Safirstein /s/ Natalia M. Salas
SAFIRSTEIN METCALF LLP THE FERRARO LAW FIRM, P.A.
Peter Safirstein (NY SBN 2044550) Natalia M. Salas (FBN 44895)
Elizabeth S. Metcalf (NY SBN 4644431) James L. Ferraro (FBN 381659)
1345 Avenue of the Americas, 2nd Floor James Ferraro, Jr. (FBN 107494)
New York, NY 10105 Bruce S. Rogow (FBN 067999)
Tel: (212) 201-5845 Sean A. Burstyn (FBN 1028778)
psafirstein@safirsteinmetcalf.com 600 Brickell Avenue, Suite 3800
emetcalf@safirsteinmetcalf.com Miami, FL 33131
Tel: (305) 375-0111
nms@ferrarolaw.com
jlf@ferrarolaw.com
jjr@ferrarolaw.com
bsr@ferrarolaw.com
sab@ferrarolaw.com
Plaintiffs’ Lead Counsel
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/s/ Gabriel Amin Assaad /s/ Jeffrey A. Klafter
MCDONALD WORLEY, P.C. KLAFTER LESSER, LLP
Gabriel Amin Assaad (TX SBN 24076189) Jeffrey A. Klafter (NY SBN 1662428)
Matthew Yezierski (TX SBN 24076989) Amir Alimehri (NY SBN 5631262)
McDonald Worley Two International Drive Suite 350
1770 St. James Place, Suite 100 Rye Brook, NY 10573
Houston, TX 77056 Tel: (914) 934-9200
Tel: (713) 523-5500 jak@klafterlesser.com
gassaad@mcdonaldworley.com amir.alimehri@klafterlesser.com
matt@mcdonaldworley.com
don@mcdonaldworley.com
/s/ Maurice D. Pessah /s/ Roy T. Willey, IV
Pessah Law Group, PC ANASTOPOULO LAW FIRM
Maurice D. Pessah (CA SBN 275955) Roy T. Willey, IV (SC SBN 101010)
Michael Morris-Nussbaum (CA SBN 317146) Eric M. Poulin (SC SBN 100209)
Summer E. Benson (CA SBN 326398) Blake Abbott (SC SBN 104423)
Jason Sunshine (CA SBN 336062) 32 Ann Street
Stuart Neil Chelin (CA SBN 320357) Charleston, SC 29403
661 N Harper Avenue, Suite 208 Tel: (843) 614-8888
West Hollywood, California 90048 roy@akimlawfirm.com
Tel: (310) 772-2261 eric@akimlawfirm.com
maurice@pessahgroup.com blake@akimlawfirm.com
mmnussbaum@pessahgroup.com
sbenson@pessahgroup.com
jsunshine@pessahgroup.com
stuart@chelinlaw.com
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/s/ Kevin J. Orsini /s/ Marc De Leeuw
HUNTON ANDREWS KURTH LLP SULLIVAN & CROMWELL LLP
Samuel A. Danon (FBN 892671) Marc De Leeuw
Gustavo Javier Membiela (FBN 513555) 125 Broad Street
María Castellanos Alvarado (FBN 116545) New York, New York 10004
333 S.E. 2 Avenue, Suite 2400 Telephone: (212) 558-4000
Miami, FL 33131 Facsimile: (212) 558-3588
Telephone: (305) 810-2500 deleeuwm@sullcrom.com
Facsimile: (305) 810-2460
sdanon@huntonak.com
gmembiela@huntonak.com
mcastellanos@hunton.com
CRAVATH, SWAINE & MOORE LLP SULLIVAN & CROMWELL LLP
Antony L. Ryan Adam S. Paris
Kevin J. Orsini 1888 Century Park East
Brittany L. Sukiennik Los Angeles, CA 90067
New York, NY 10019 Telephone: (310) 712-6600
Telephone: (212) 474-1000 Facsimile: (310) 712-8800
Facsimile: (212) 474-3700 parisa@sullcrom.com
aryan@cravath.com
korsini@cravath.com SHOOK, HARDY & BACON L.L.P.
bsukiennik@cravath.com Jennifer A. McLoone (Fla. Bar No. 0029234)
Citigroup Center Suite 3200
Counsel for Defendants Robinhood 201 South Biscayne Boulevard
Financial LLC, Robinhood Securities, LLC, Miami, Florida 33131
Robinhood Markets, Inc. and Robinhood Telephone: 305-358-5171
Crypto, LLC
Counsel for Defendant Ally Financial, Inc.
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/s/ Justina K. Sessions /s/ Christopher D. Kercher
WILSON SONSINI GOODRICH & ROSATI QUINN EMANUEL URQUHART & SULLIVAN,
Justina K. Sessions LLP
One Market Plaza Christopher D. Kercher
Spear Tower, Suite 3300 51 Madison Avenue, 22nd Floor,
San Francisco, California 94105 New York, New York, 10010
Telephone: (415) 947-2197 Telephone: (212) 849-7000
Facsimile: (415) 947-2099 Facsimile: (212) 849-7100
jsessions@wsgr.com christopherkercher@quinnemanuel.com
WILSON SONSINI GOODRICH & ROSATI QUINN EMANUEL URQUHART & SULLIVAN,
Kenneth R. O’Rourke LLP
Brendan J. Coffman Marina E. Lev
1700 K Street NW, 5th Floor 865 South Figueroa Street, 10th Floor
Washington, DC 20006 Los Angeles, California 90017
Telephone: (202) 973-8800 Telephone: (213) 443-3000
Facsimile: (202) 973-8899 Facsimile: (213) 443-3100
korourke@wsgr.com marinalev@quinnemanuel.com
bcoffman@wsgr.com
BARTLIT BECK LLP
Counsel for Defendant Open to the Public Adam L. Hoeflich
Investing, Inc. Dawson Robinson
54 W. Hubbard St., Ste. 300
Chicago, IL 60654
Telephone: (312) 494-4400
Facsimile: (312) 494-4440
adam.hoeflich@bartlitbeck.com
dawson.robinson@bartlitbeck.com
Counsel for Defendants Citadel Enterprise
Americas, LLC and Citadel Securities LLC
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/s/ Daniel J. Kramer /s/ Harry A. Olivar, Jr.
PAUL, WEISS, RIFKIND, WHARTON & QUINN EMANUEL URQUHART & SULLIVAN,
GARRISON LLP LLP
Daniel J. Kramer Harry A. Olivar, Jr.
Richard Tarlowe Korinna S. Anderson
1285 Avenue of the Americas 865 S. Figueroa Street, 10th Floor
New York, NY 10019 Los Angeles, California 90017
Telephone: (212) 373-3000 Telephone: (213) 443-3000
dkramer@paulweiss.com Facsimile: (213) 443-3100
rtarlowe@paulweiss.com harryolivar@quinnemanuel.com
korinnaanderson@quinnemanuel.com
Counsel for Defendant Point72 Asset
Management, L.P. QUINN EMANUEL URQUHART & SULLIVAN,
LLP
Linda J. Brewer
50 California Street, 22nd Floor
San Francisco, California 94111-4788
Telephone: (415) 875-6600
Facsimile: (415) 875-6700
lindabrewer@quinnemanuel.com
Counsel for Defendant Sequoia Capital
Operations LLC
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/s/ Jason J. Mendro /s/ Shari Ross Lahlou
GIBSON, DUNN & CRUTCHER LLP DECHERT LLP
Jason J. Mendro Shari Ross Lahlou
Russell B. Balikian 1900 K Street, NW
1050 Connecticut Ave., NW Washington, D.C. 20006
Washington, DC 20036 Telephone: (202) 261-3300
Telephone: (202) 887-3726 Facsimile: (202) 261-3333
jmendro@gibsondunn.com shari.lahlou@dechert.com
rbalikian@gibsondunn.com
Dechert LLP
Counsel for Defendants Charles Schwab & Andrew J. Levander
Co., Inc.; TD Ameritrade, Inc.; TD Three Bryant Park
Ameritrade Clearing, Inc.; TD Ameritrade 1095 Avenue of the Americas
Holding Corporation; and The Charles New York, NY 10036
Schwab Corporation Telephone: (212) 698 3500
Facsimile: (212) 698 3599
andrew.levander@dechert.com
DECHERT LLP
Steven Bizar
Cira Centre
2929 Arch Street
Philadelphia, PA 19104
Telephone: (215) 994 4000
Facsimile: (215) 994 2222
steven.bizar@dechert.com
Counsel for Defendant Interactive Brokers
LLC
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/s/ Robin Nunn /s/ Thomas E. Redburn, Jr.
MORGAN, LEWIS & BOCKIUS LLP LOWENSTEIN SANDLER LLP
Robin Nunn Thomas E. Redburn, Jr.
101 Park Avenue Maya Ginsburg
New York, NY 10178-0060 1251 Avenue of the Americas
Telephone: (212) 309-6000 New York, NY 10020
Facsimile: (212) 309-3001 Telephone: (212) 262-6700
robin.nunn@morganlewis.com Facsimile: (973) 597-2457
tredburn@lowenstein.com
Counsel for Defendant Stash Financial, Inc. mginsburg@lowenstein.com
LOWENSTEIN SANDLER LLP
Zarema Arutyunova Jaramillo
2200 Pennsylvania Avenue, NW
Washington, DC 20037
Telephone: (202) 753-3800
Facsimile: (202) 753-3838
zjaramillo@lowenstein.com
Counsel for Defendants Melvin Capital
Management LP and Candlestick Capital
Management LP
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/s/ Peter W. Homer /s/ Patrick Gibbs
HOMER BONNER JACOBS ORTIZ, P.A. COOLEY LLP
Peter W. Homer (Florida Bar No. 291250) Patrick Gibbs
1200 Four Seasons Tower Brett De Jarnette
1441 Brickell Avenue Rebecca Ferrari
Miami, Florida 33131 3175 Hanover Street
Telephone: (305) 350-5139 Palo Alto, CA 94304-1130
Facsimile: (305) 372-2738 Telephone: (650) 843-5000
phomer@homerbonner.com Facsimile: (650) 849-7400
pgibbs@cooley.com
DAVIS POLK & WARDWELL LLP bdejarnette@cooley.com
Brian S. Weinstein rferrari@cooley.com
Gina Cora
Janet Jones-Duffey Counsel for Defendant M1 Finance, LLC
450 Lexington Avenue
New York, New York 10017
Telephone: (212) 450-4000
Facsimile: (212) 701-5972
brian.weinstein@davispolk.com
gina.cora@davispolk.com
janet.jones-duffey@davispolk.com
Counsel for Defendants Morgan Stanley
Smith Barney LLC, E*TRADE Financial
Corporation, E*TRADE Securities LLC and
E*TRADE Financial Holdings, LLC
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/s/ Thomas G. Haskins, Jr. /s/ Jack E. Pace III
BARNES & THORNBURG LLP WHITE & CASE LLP
Thomas G. Haskins, Jr. Jack E. Pace III
Allison Gerard Bryan D. Gant
2121 N. Pearl Street, Suite 700 1221 Avenue of the Americas
Dallas, TX 75201 New York, NY 10020-1095
Telephone: (214) 258-4200 Telephone: (212) 819-8200
Facsimile: (214) 258-4199 Facsimile: (212) 354-8113
thaskins@btlaw.com jpace@whitecase.com
allison.gerard@btlaw.com bgant@whitecase.com
BARNES & THORNBURG LLP WHITE & CASE LLP
Kevin Rising J. Mark Gidley
2029 Century Park E, Suite 300 701 Thirteenth Street, NW
Los Angeles, CA 90067-2904 Washington, DC 20005-3807
Telephone: (310) 284-3888 Telephone: (202) 626-3600
Facsimile: (310) 284-3894 Facsimile: (202) 639-9355
krising@btlaw.com mgidley@whitecase.com
BARNES & THORNBURG LLP WHITE & CASE LLP
Paul Olszowka Angela Daker
One North Wacker Drive, Suite 4400 Southeast Financial Center
Chicago, IL 60606-2833 200 South Biscayne Boulevard, Suite 4900
Telephone: (312) 214-5612 Miami, FL 33131-2352
Facsimile: (312) 759-5646 Telephone: (305) 995-5297
paul.olszowka@btlaw.com Facsimile: (305) 358-5744
adaker@whitecase.com
Counsel for Defendants Dough, LLC and
tastyworks, Inc. Counsel for Defendant Apex Clearing Corp.
/s/ Alfred C. Pfeiffer, Jr. /s/ Gregory M. Boyle
LATHAM & WATKINS LLP JENNER & BLOCK, LLP
Alfred C. Pfeiffer, Jr. Gregory M. Boyle
Belinda S Lee 353 North Clark Street
505 Montgomery Street, Suite 2000 Chicago, Illinois 60654-3456
San Francisco, CA 94111-6538 Telephone: (312) 923-2651
Telephone: (415) 391-0600 gboyle@jenner.com
Facsimile: (415) 395-8095
al.pfeiffer@lw.com Counsel for Defendants The Depository Trust
belinda.lee@lw.com & Clearing Corporation; The Depository
Trust Company
Counsel for Defendants Square, Inc. and
Cash App Investing LLC
17
Case 1:21-md-02989-CMA Document 339-1 Entered on FLSD Docket 07/09/2021 Page 18 of
18
/s/ Leiv H. Blad, Jr.
LOWENSTEIN SANDLER LLP
Leiv H. Blad, Jr.
Allison M. Vissichelli
2200 Pennsylvania Avenue, NW
Washington, DC 20037
Telephone: (202) 753-3800
Facsimile: (202) 753-3838
lblad@lowenstein.com
avissichelli@lowenstein.com
LOWENSTEIN SANDLER LLP
H. Gregory Baker
1251 Avenue of the Americas
New York, NY 10020
Telephone: (212) 262-6700
Facsimile: (973) 597-2457
hbaker@lowenstein.com
Counsel for Defendants Alpaca Securities LLC,
eToro USA Securities Inc., WeBull Financial LLC
and Fumi Holdings, Inc.
/s/ Evangeline A.Z. Burbidge
Lewis & Llewellyn LLP
Evangeline A.Z. Burbidge
Paul T. Llewellyn
601 Montgomery Street, Suite 2000
San Francisco, CA 94111-6538
Telephone: (415) 800-0590
Facsimile: (415) 390-2127
eburbidge@lewisllewellyn.com
pllewellyn@lewisllewellyn.com
Counsel for Defendant FF Trade Republic Growth, LLC
18
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