United States District Court
Southern District of New York
VIRGINIA L. GIUFFRE,
Plaintiff, CASE NO:_____________________
v.
GHISLAINE MAXWELL,
Defendant.
________________________________/
COMPLAINT
Boies Schiller & Flexner LLP
575 Lexington Avenue
New York, NY 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 1 Filed 09/21/15 Page 1 of 12
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Plaintiff, VIRGINIA L. GIUFFRE, formerly known as Virginia Roberts
(“Giuffre”), for her Complaint against Defendant, GHISLAINE MAXWELL (“Maxwell”), avers
upon personal knowledge as to her own acts and status and otherwise upon information and
belief:
NATURE OF THE ACTION
1. This suit arises out of Defendant Maxwell’s defamatory statements against
Plaintiff Giuffre. As described below, Giuffre was a victim of sexual trafficking and abuse while
she was a minor child. Defendant Maxwell not only facilitated that sexual abuse but, most
recently, wrongfully subjected Giuffre to public ridicule, contempt and disgrace by, among other
things, calling Giuffre a liar in published statements with the malicious intent of discrediting and
further damaging Giuffre worldwide.
JURISDICTION AND VENUE
2. This is an action for damages in an amount in excess of the minimum
jurisdictional limits of this Court.
3. This Court has jurisdiction over this dispute pursuant to 28 U.S.C. §1332
(diversity jurisdiction) as Giuffre and Maxwell are citizens of different states and the amount in
controversy exceeds seventy-five thousand ($75,000), exclusive of interest and costs.
4. This Court has personal jurisdiction over Maxwell. Maxwell resides in New York
City, and this action arose, and defamatory statements were made, within the Southern District of
New York.
5. Venue is proper in this Court as the cause of action arose within the jurisdiction of
this Court.
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PARTIES
6. Plaintiff Giuffre is an individual who is a citizen of the State of Colorado.
7. Defendant Maxwell, who is domiciled in the Southern District of New York, is
not a citizen of the state of Colorado.
FACTUAL ALLEGATIONS
8. Virginia Giuffre became a victim of sex trafficking and repeated sexual abuse
after being recruited by Ghislaine Maxwell and Jeffrey Epstein when Giuffre was under the age
of eighteen.
9. Between 1999 and 2002, with the assistance and participation of Maxwell,
Epstein sexually abused Giuffre at numerous locations including his mansions in West Palm
Beach, Florida, and in this District. Between 2001 and 2007, with the assistance of numerous
co-conspirators, Epstein abused more than thirty (30) minor underage girls, a fact confirmed by
state and federal law enforcement.
10. As part of their sex trafficking efforts, Epstein and Maxwell intimidated Giuffre
into remaining silent about what had happened to her.
11. In September 2007, Epstein entered into a Non-Prosecution Agreement (“NPA”)
that barred his prosecution for numerous federal sex crimes in the Southern District of Florida.
12. In the NPA, the United States additionally agreed that it would not institute any
federal criminal charges against any potential co-conspirators of Epstein.
13. As a co-conspirator of Epstein, Maxwell was consequently granted immunity in
the Southern District of Florida through the NPA.
14. Epstein ultimately pled guilty to procuring a minor for prostitution, and is now a
registered sex offender.
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15. Rather than confer with the victims about the NPA, the U.S. Attorney’s Office
and Epstein agreed to a “confidentiality” provision in the Agreement barring its disclosure to
anyone—including Epstein’s victims. As a consequence, the victims were not told about the
NPA.
16. On July 7, 2008, a young woman identified as Jane Doe No. 1, one of Jeffrey
Epstein’s victims (other than Giuffre), filed a petition to enforce her rights under the Crime
Victims’ Rights Act (“CVRA”), 18 U.S.C. ¶ 3771, alleging that the Government failed to
provide her the rights promised in the CVRA with regard to the plea arrangement with Epstein.
The litigation remains ongoing.
17. On or about May 4, 2009, Virginia Giuffre—identified then as Jane Doe No.
102—filed a complaint against Jeffrey Epstein in the United States District Court for the
Southern District of Florida. The complaint included allegations made by Giuffre that pertained
to Maxwell.
18. In pertinent part, the Jane Doe No. 102 complaint described in detail how
Maxwell recruited Giuffre (who was then a minor girl) to become a victim of sex trafficking by
introducing Giuffre to Jeffrey Epstein. With the assistance of Maxwell, Epstein was able to
sexually abuse Giuffre for years until Giuffre eventually escaped.
19. The Jane Doe No. 102 complaint contained the first public allegations made on
behalf of Giuffre regarding Maxwell.
20. As civil litigation against Epstein moved forward on behalf of Giuffre and many
other similarly-situated victims, Maxwell was served with a subpoena for deposition. Her
testimony was sought concerning her personal knowledge and role in Epstein’s abuse of Giuffre
and others.
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21. To avoid her deposition, Maxwell claimed that her mother fell deathly ill and that
consequently she was leaving the United States for London with no plans of ever returning. In
fact, however, within weeks of using that excuse to avoid testifying, Maxwell had returned to
New York.
22. In 2011, two FBI agents located Giuffre in Australia—where she had been hiding
from Epstein and Maxwell for several years—and arranged to meet with her at the U.S.
Consulate in Sidney. Giuffre provided truthful and accurate information to the FBI about
Epstein and Maxwell’s sexual abuse.
23. Ultimately, as a mother and one of Epstein’s many victims, Giuffre believed that
she should speak out about her sexual abuse experiences in hopes of helping others who had also
suffered from sexual trafficking and abuse.
24. On December 23, 2014, Giuffre incorporated an organization called Victims
Refuse Silence, Inc., a Florida not-for-profit corporation.
25. Giuffre intended Victims Refuse Silence to change and improve the fight against
sexual abuse and human trafficking. The goal of her organization was, and continues to be, to
help survivors surmount the shame, silence, and intimidation typically experienced by victims of
sexual abuse. Giuffre has now dedicated her professional life to helping victims of sex
trafficking.
26. On December 30, 2014, Giuffre moved to join the on-going litigation previously
filed by Jane Doe 1 in the Southern District of Florida challenging Epstein’s non-prosecution
agreement by filing her own joinder motion.
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27. Giuffre’s motion described Maxwell’s role as one of the main women who
Epstein used to procure under-aged girls for sexual activities and a primary co-conspirator and
participant in his sexual abuse and sex trafficking scheme.
28. In January, 2015, Maxwell undertook a concerted and malicious campaign to
discredit Giuffre and to so damage her reputation that Giuffre’s factual reporting of what had
happened to her would not be credited.
29. As part of Maxwell’s campaign she directed her agent, Ross Gow, to attack
Giuffre’s honesty and truthfulness and to accuse Giuffre of lying.
30. On or about January 3, 2015, speaking through her authorized agent, Maxwell
issued an additional false statement to the media and public designed to maliciously discredit
Giuffre. That statement contained the following deliberate falsehoods:
(a) That Giuffre’s sworn allegations “against Ghislaine Maxwell are untrue.”
(b) That the allegations have been “shown to be untrue.”
(c) That Giuffre’s “claims are obvious lies.”
31. Maxwell’s January 3, 2015, statement incorporated by reference “Ghislaine
Maxwell’s original response to the lies and defamatory claims remains the same,” an earlier
statement that had falsely described Giuffre’s factual assertions as “entirely false” and “entirely
untrue.”
32. Maxwell made the same false and defamatory statements as set forth above, in the
Southern District of New York and elsewhere in a deliberate effort to maliciously discredit
Giuffre and silence her efforts to expose sex crimes committed around the world by Maxwell,
Epstein, and other powerful persons. Maxwell did so with the purpose and effect of having
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others repeat such false and defamatory statements and thereby further damaged Giuffre’s
reputation.
33. Maxwell made her statements to discredit Giuffre in close consultation with
Epstein. Maxwell made her statements knowing full well they were false.
34. Maxwell made her statements maliciously as part of an effort to conceal sex
trafficking crimes committed around the world by Maxwell, Epstein and other powerful persons.
35. Maxwell intended her false and defamatory statements set out above to be
broadcast around the world and to intimidate and silence Giuffre from making further efforts to
expose sex crimes committed by Maxwell, Epstein, and other powerful persons.
36. Maxwell intended her false statements to be specific statements of fact, including
a statement that she had not recruited an underage Giuffre for Epstein’s abuse. Maxwell’s false
statements were broadcast around the world and were reasonably understood by those who heard
them to be specific factual claims by Maxwell that she had not helped Epstein recruit or sexually
abuse Giuffre and that Giuffre was a liar.
37. On or about January 4, 2015, Maxwell continued her campaign to falsely and
maliciously discredit Giuffre. When a reporter on a Manhattan street asked Maxwell about
Giuffre’s allegations against Maxwell, she responded by saying: “I am referring to the statement
that we made.” The New York Daily News published a video of this response by Maxwell
indicating that she made her false statements on East 65th Street in Manhattan, New York, within
the Southern District of New York.
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COUNT I
DEFAMATION
1. Plaintiff Giuffre re-alleges paragraphs 1 - 37 as if the same were fully set forth
herein. Maxwell made her false and defamatory statements deliberately and maliciously with the
intent to intimidate, discredit and defame Giuffre.
2. In January 2015, and thereafter, Maxwell intentionally and maliciously released to
the press her false statements about Giuffre in an attempt to destroy Giuffre’s reputation and
cause her to lose all credibility in her efforts to help victims of sex trafficking.
3. Maxwell additionally released to the press her false statements with knowledge
that her words would dilute, discredit and neutralize Giuffre’s public and private messages to
sexual abuse victims and ultimately prevent Giuffre from effectively providing assistance and
advocacy on behalf of other victims of sex trafficking, or to expose her abusers.
4. Using her role as a powerful figure with powerful friends, Maxwell’s statements
were published internationally for the malicious purpose of further damaging a sexual abuse and
sexual trafficking victim; to destroy Giuffre’s reputation and credibility; to cause the world to
disbelieve Giuffre; and to destroy Giuffre’s efforts to use her experience to help others suffering
as sex trafficking victims.
5. Maxwell, personally and through her authorized agent, Ross Gow, intentionally
and maliciously made false and damaging statements of fact concerning Giuffre, as detailed
above, in the Southern District of New York and elsewhere.
6. The false statements made by Gow were all made by him as Maxwell’s
authorized agent and were made with direct and actual authority from Maxwell as the principal.
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7. The false statements that Maxwell made personally, and through her authorized
agent Gow, not only called Giuffre’s truthfulness and integrity into question, but also exposed
Giuffre to public hatred, contempt, ridicule, and disgrace.
8. Maxwell made her false statements knowing full well that they were completely
false. Accordingly, she made her statements with actual and deliberate malice, the highest
degree of awareness of falsity.
9. Maxwell’s false statements constitute libel, as she knew that they were going to
be transmitted in writing, widely disseminated on the internet and in print. Maxwell intended her
false statements to be published by newspaper and other media outlets internationally, and they
were, in fact, published globally, including within the Southern District of New York.
10. Maxwell’s false statements constitute libel per se inasmuch as they exposed
Giuffre to public contempt, ridicule, aversion, and disgrace, and induced an evil opinion of her in
the minds of right-thinking persons.
11. Maxwell’s false statements also constitute libel per se inasmuch as they tended to
injure Giuffre in her professional capacity as the president of a non-profit corporation designed
to help victims of sex trafficking, and inasmuch as they destroyed her credibility and reputation
among members of the community that seeks her help and that she seeks to serve.
12. Maxwell’s false statements directly stated and also implied that in speaking out
against sex trafficking Giuffre acted with fraud, dishonesty, and unfitness for the task.
Maxwell’s false statements directly and indirectly indicate that Giuffre lied about being recruited
by Maxwell and sexually abused by Epstein and Maxwell. Maxwell’s false statements were
reasonably understood by many persons who read her statements as conveying that specific
intention and meaning.
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13. Maxwell’s false statements were reasonably understood by many persons who
read those statements as making specific factual claims that Giuffre was lying about specific
facts.
14. Maxwell specifically directed her false statements at Giuffre’s true public
description of factual events, and many persons who read Maxwell’s statements reasonably
understood that those statements referred directly to Giuffre’s account of her life as a young
teenager with Maxwell and Epstein.
15. Maxwell intended her false statements to be widely published and disseminated
on television, through newspapers, by word of mouth and on the internet. As intended by
Maxwell, her statements were published and disseminated around the world.
16. Maxwell coordinated her false statements with other media efforts made by
Epstein and other powerful persons acting as Epstein’s representatives and surrogates. Maxwell
made and coordinated her statements in the Southern District of New York and elsewhere with
the specific intent to amplify the defamatory effect those statements would have on Giuffre’s
reputation and credibility.
17. Maxwell made her false statements both directly and through agents who, with
her general and specific authorization, adopted, distributed, and published the false statements on
Maxwell’s behalf. In addition, Maxwell and her authorized agents made false statements in
reckless disregard of their truth or falsity and with malicious intent to destroy Giuffre’s
reputation and credibility; to prevent her from further disseminating her life story; and to cause
persons hearing or reading Giuffre’s descriptions of truthful facts to disbelieve her entirely.
Maxwell made her false statements wantonly and with the specific intent to maliciously damage
Giuffre’s good name and reputation in a way that would destroy her efforts to administer her
Case 1:15-cv-07433-RWS Document 1 Filed 09/21/15 Page 10 of 12
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non-profit foundation, or share her life story, and thereby help others who have suffered from
sexual abuse.
18. As a result of Maxwell’s campaign to spread false, discrediting and defamatory
statements about Giuffre, Giuffre suffered substantial damages in an amount to be proven at trial.
19. Maxwell’s false statements have caused, and continue to cause, Giuffre economic
damage, psychological pain and suffering, mental anguish and emotional distress, and other
direct and consequential damages and losses.
20. Maxwell’s campaign to spread her false statements internationally was unusual
and particularly egregious conduct. Maxwell sexually abused Giuffre and helped Epstein to
sexually abuse Giuffre, and then, in order to avoid having these crimes discovered, Maxwell
wantonly and maliciously set out to falsely accuse, defame, and discredit Giuffre. In so doing,
Maxwell’s efforts constituted a public wrong by deterring, damaging, and setting back Giuffre’s
efforts to help victims of sex trafficking. Accordingly, this is a case in which exemplary and
punitive damages are appropriate.
21. Punitive and exemplary damages are necessary in this case to deter Maxwell and
others from wantonly and maliciously using a campaign of lies to discredit Giuffre and other
victims of sex trafficking.
PRAYER FOR RELIEF
WHEREFORE, Plaintiff Giuffre respectfully requests judgment against Defendant
Maxwell, awarding compensatory, consequential, exemplary, and punitive damages in an
amount to be determined at trial, but in excess of the $75,000 jurisdictional requirement; costs of
suit; attorneys’ fees; and such other and further relief as the Court may deem just and proper.
Case 1:15-cv-07433-RWS Document 1 Filed 09/21/15 Page 11 of 12
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JURY DEMAND
Plaintiff hereby demands a trial by jury on all causes of action asserted within this
pleading.
Dated September 21, 2015.
/s/ David Boies
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
/s/ Sigrid McCawley
Sigrid McCawley
(Pro Hac Vice Pending)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
/s/ Ellen Brockman
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 1 Filed 09/21/15 Page 12 of 12
CORRECTED
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AO 440 (Rev. 12/09) Summons in a Civil Action
UNITED STATES DISTRICT COURT
for the
__________ District of __________
)))))))
Plaintiff
v. Civil Action No.
Defendant
SUMMONS IN A CIVIL ACTION
To: (Defendant’s name and address)
A lawsuit has been filed against you.
Within 21 days after service of this summons on you (not counting the day you received it) — or 60 days if you
are the United States or a United States agency, or an officer or employee of the United States described in Fed. R. Civ.
P. 12 (a)(2) or (3) — you must serve on the plaintiff an answer to the attached complaint or a motion under Rule 12 of
the Federal Rules of Civil Procedure. The answer or motion must be served on the plaintiff or plaintiff’s attorney,
whose name and address are:
If you fail to respond, judgment by default will be entered against you for the relief demanded in the complaint.
You also must file your answer or motion with the court.
CLERK OF COURT
Date:
Signature of Clerk or Deputy Clerk
Southern District of New York
Virginia L. Giuffre
15-cv-7433
Ghislaine Maxwell
Ghislaine Maxwell
116 East 65th Street
New York, New York 10065
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, New York 10504
Case 1:15-cv-07433 Document 3 Filed 09/21/15 Page 1 of 2
9/21/2015 /S/ D. Gonzalez
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PROOF OF SERVICE
(This section shoukl not befiled with the court unless retluited bJ) Fed. R. Civ. P. 4 (l))
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Case 1:15-cv-07433-LAP Document 8 Filed 09/25/15 Page 2 of 2
Case 1:15-cv-07433-RWS Document 6-1 Filed 09/25/15 Page 1of1
UNITED ST ATES DISTRICT COURT
SOUTH_ERN DISTRICT OF NEW YORK
Virginia L. Giuffre,
Plaintiff,
-against-
Ghislaine Maxwell,
Defendant.
The motion of Sigrid S. Mccawley
practice Pro Hae Vice in the above captioned action is granted.
-15.__CV 7433
ORDER FOR ADMISSION
PRO HAC VICE
. _, for admission to
Applicant has declared that he/she is a member in good standing of the bar(s) of the state(s) of
Florida _ ; and that his/her contact information is as follows
(please print):
Applicant's Name: Sigrid S. Mccawley
Finn Name: Boies, Schiller & Flexner LLP
Address: 401 East Las Olas Boulevard, Suite 1200
"'~~-~~----- ••••«••-' --·-
City/ State/ Zip: F~_i:!~auderdal~_,_~Iori?a 3~~~1
Telephone/ Fax: _!el: (954) 356-_~!_l /Fax:~?,54) 356-00_22
Applicant having requested admission Pro Hae Vice to appear for all purposes as counsel for
Plaintiff Virginia L. Giuffre in the above entitled action;
IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hae Vice in the above
captioned case in the United States District Court for the Southern District ofNe\lv York. All attorneys
appearing before this Court are subject to the Local Rules of this Court, including the Rules governing
discipline of attorneys.
Dated: --------
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~upreme <!Court of jfloriba
<!Ccrttf tcate of ~oob ~tanbtng
I JOHN A. TOMASINO, Clerk of tlte Supreme Court of the State of Florida, do
hereby certijji that
SIGRID STONE MCCAWLEY
was admitted as an attorney and counselor entitled to practice law in all the
Courts of the State of Florida on November 6, 1997, is presently in good
standing, and that the private and professional character of the attorney
appear to be good.
WITNESS my hand and the Seal of the
Supreme Court of Florida at Tallahassee,
Case 1:15-cv-07433-RWS Document 9 Filed 09/29/15 Page 3 of 3
~~~f \M\'.~i~~
.t
October 9, 2015
Honorable Robert W. Sweet
United States District Judge
Southern District of New York
500 Pearl Street
New York; NY 10007-13122
FAK NO. 30383?1015
Re: Giuffre v. Maxwell, Case No. J 5-cv-07433-RWS
Dear Honorable Judge Sweet:
1 represent defendant Ghislaine Maxwell in connection with the above-referenced
action. I write pursuant to Section 1.E. of Your Honor's Individual Practice Rules to
request an extension of Defendant's time to answer, move or otherwise respond to
Plaintiff's Complaint from October 13, 2015 up to and including November 30. 2015.
We have not previously requested any adjournments or extensions of time in this
action. Counsel for Plaintiff has oonsented to this request.
We thank Your Honor for your attention to this matter.
a.
A. Menninger
LAM/BCR
cc: Sigrid S. Mccawley, Esq.
Boies, Schiller & Flexner, LLP
Counsel for Plaintiff Virginia Giuffre
viafacsimile: (954) 356·0022
Case 1:15-cv-07433-RWS Document 11 Filed 10/13/15 Page 1 of 1 t'. UC:
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
Case No.: 15-cv-07433-RWS
NOTICE OF APPEARANCE
To the Clerk of Court and all parties of record:
PLEASE TAKE NOTICE, that the undersigned hereby appears in the above-captioned
action as counsel for Defendant Ghislaine Maxwell. I certify that I am admitted to practice in
this Court.
Dated: October 9, 2015
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
Case 1:15-cv-07433-RWS Document 12 Filed 10/13/15 Page 1 of 2
2
CERTIFICATE OF SERVICE
I certify that on October 13, 2015, I served this Notice Of Appearance via CM/ECF to the
following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Suite 1200
Fort Lauderdale, FL 33301
smccawley@bsfllp.com
Fax: (954) 356-0022
s/ Brenda Rodriguez
Brenda Rodriguez
Case 1:15-cv-07433-RWS Document 12 Filed 10/13/15 Page 2 of 2
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
Plaintiff,
x Glu++ce}
0 R D E
- against - R 7Lf 33 IS MCMWe.f I
Civ. (RWSl
Defendant.
x
Sweet, D.J.,
The par~ies to this action, 1vr{_~~tQJ:Ileys, having appeared before this Court at
a pretrial conference on ~ ~ , pursuant to Rule 16 of the Federal
Rules of Civil Procedure, pursuant to ~~~~·~~~~~~~~~~~
I'l' IS HEREBY O.RDER.ED that:
1. All motions are to be made returnable at 12 :QO noon on Wednesday and in compliance
with the rules of this Court.
2. The parties shall te all fact discovery by 1--{ - t (!. and all
expert discovery by The expert report(s) of the party with the burden
of proof shall be due ho of the opposing party's expert(s). The parties
shall file all motions, oth r than motions in limine, by this date (or whichever is
later), after which no discovery will be conducted and no motion will be entertained
without a showing of special circumstances. Plaintiff{s) shall submit a draft of the
pretrial order to the defendant(s) on or before the completion of discovery. The
parties are advised that this Court is participating in a Pilot Program for initial
discovery protocols for employment cases alleging adverse action. See www.fjc.gov.
3. The parties shall, in order to prevent delay or interruption of the trial, have
sufficient witnesses.at all times during the trial and shall perpetuate before trial
the direct and cross-examination testimony of any essential witness.
4. The parties shall submit to the court trial briefs, a joint proposed pretrial
order, and, i applicable, motions in limine and proposed jury charges, voir dire
requests d peci 1 v~dict form in accordance with the annexed form and instructions
by A final pretrial conference will be held at 4:30 pm on that
date and a t'on sn l be added to the trial calendar published in the New York Law
Journal. rior to submission of the final pretrial order, the parties are directed to
exchange offers of settlement. The parties are directed to be ready for trial the day
after the pretrial order is due and, upon receipt of twenty-four hour telephone notice,
on any day thereafter.
5. Adjournments of the dates set forth above will not be granted except for good
cause and upon written application made as soon as the grounds for such application
are known.
6. Failure to comply with
dismissal of the action, entry
any of the provisions of this order will
of a default judgment, or other appropriate
It is so ordered. g~
201Pf=::=::=:=:::=:=======:=::=:;::j!!§~~W. SWEET lusnc SDNY - .s.n.J.
DOCUMENT
ELECTRONICALLY FILED
DOC#:
I 1 DATE FILED:
;_L:::::.-::.-------
result in
sanction.
Case 1:15-cv-07433-RWS Document 13 Filed 10/30/15 Page 1 of 1
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
15-cv-07433-RWS
Oral Argument Requested for January
7, 2016 at 12:00 pm
--------------------------------------------------X
DEFENDANT GHISLAINE MAXWELL’S NOTICE OF
MOTION TO DISMISS THE COMPLAINT
PLEASE TAKE NOTICE THAT, upon the accompanying Declaration of Laura
A. Menninger, dated November 30, 2015, and the exhibits thereto and the accompanying
Memorandum of Law, dated November 30, 2015, any other matters of which the Court
may take judicial notice, and upon all prior pleadings and proceedings in this action,
other documents on file in this action, and any oral argument of counsel, Defendant
Ghislaine Maxwell (“Maxwell”) will move this Court, before the Honorable Robert W.
Sweet, at the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New
York, New York, Courtroom 18C, for an Order pursuant to Federal Rule of Civil
Procedure 12(b)(6) dismissing the Complaint of Plaintiff Virginia Giuffre in its entirety
and granting such other and further relief as the Court deems just and proper.
...............................................
2
Dated: November 30, 2015
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
3
CERTIFICATE OF SERVICE
I certify that on November 30, 2015, I electronically filed this DEFENDANT
GHISLAINE MAXWELL’S NOTICE OF MOTION TO DISMISS THE COMPLAINT
with the Clerk of Court using the CM/ECF system which will send notification to the
following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
i
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
15-cv-07433-RWS
----------------------------------------------X
GHISLAINE MAXWELL’S MEMORANDUM OF LAW
IN SUPPORT OF MOTION TO DISMISS COMPLAINT
Laura A. Menninger, Esq.
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Tel: 303.831.7364
Dated: November 30, 2015
...............................................
ii
Table of Contents
I. MS. MAXWELL’S STATEMENTS ARE PRIVILEGED .......................................... 9
A. The Self-Defense Privilege Protects Ms. Maxwell’s Statements .............................. 9
B. The Pre-Litigation Privilege Protects Ms. Maxwell’s Statements .......................... 14
II. PLAINTIFF FAILED TO PLAUSIBLY PLEAD DEFAMATION .......................... 17
A. Viewed In Context, the Statements are Non-Actionable ........................................ 18
B. The Complaint Does Not Allege to Whom, Where or in What Manner the January
3 Statement Was Made ............................................................................................ 22
C. Plaintiff Has Not Properly Pled Special Damages .................................................. 23
a. The Alleged Defamatory Statement is Not Defamatory Per Se .......................... 23
b. Failure to Allege Special Damages Warrants Dismissal ..................................... 24
CONCLUSION ................................................................................................................. 25
iii
Cases
Abrams v. United States, 250 U.S. 616, 630 (1919) .......................................................... 17
Adelson v. Harris, 973 F. Supp.2d 467, 477 (S.D.N.Y. 2013) ............................................ 7
Armstrong v. Simon & Schuster, Inc., 625 N.Y.S.2d 477 (1995) ....................................... 7
Ashcroft v. Iqbal, 129 S. Ct. 1937, 1949 (2009) .................................................................. 6
Bell Atlantic Corp. v. Twombly, 550 U.S. 544, 570 (2007) ................................................ 7
Biro v. Conde Nast, 883 F.Supp.2d 441, 457 (S.D.N.Y. 2012) .................................... 7, 12
Caplan v. Winslet, 218 A.D.2d 148, 153 (1st Dep’t 1996) ............................................... 13
Celle v. Fillipino Reporter Enters, Inc., 209 F.3d 163 (2d Cir. 2000) .............................. 17
Club Valencia Homeowners Ass’n, Inc. v. Valencia Associates, 712 P.2d 1024 (Colo.
App. 1985) ..................................................................................................................... 13
Cohen v. Stevanovich, 772 F.Supp.2d 416, 423 (S.D.N.Y. 2010) ...................................... 7
Collier v. Possum Cereal Co., Ltd., 134 N.Y.S. 847, 853 (1st Dep’t 1912) ....................... 9
Couloute, Jr. v. Rynarz, No. 11 CV 5986 (HB), 2012 WL 541089, (S.D.N.Y. 2012) ..... 17
Cruz v. Marchetto, No. 11 Civ. 8378, 2012 WL 4513484 (S.D.N.Y. 2012) .......... 7, 20, 21
Culver v. Merrill Lynch & Co., 1995 US Dist. LEXIS 10017 (S.D.N.Y. 1995) .............. 13
Deutsche Asset Mgmt, Inc. v. Callaghan, No. 01 Civ 4426 CBM, 2004 WL 758303 ...... 16
Dillon v. City of New York, 704 N.Y.S.2d 1, 5 (1st Dep’t 1999) ................................... 8,18
Edwards v. Great Northern Ins. Co., No. 03 CV 2947 (NG) (RML), 2006 WL 2053717,
(E.D.N.Y. July 21, 2006) ............................................................................................... 18
Foretich v. Capital Cities/ABC, Inc., 37 F.3d 1541 (4th Cir. 1994) ............................. 8, 11
Fowler v. New York Herald, 172 N.Y.S. 423 (1st Dep’t 1918) ........................................... 8
iv
Frechtman v. Gutterman, 979 N.Y.S.2d 58 (1st Dep’t 2014) ........................................... 14
Front, Inc. v. Khalil, 24 N.Y.3d 713, 720 (2015) .............................................................. 13
Fuji Photo Film U.S.A., Inc. v. McNulty, 669 F.Supp.2d 405 (S.D.N.Y. 2009) ................. 8
Gertz v. Robert Welch, Inc., 418 U.S. 323, 325 (1974) ..................................................... 17
Hawkins v. City of New York, No. 99 Civ. 11704 (RWS), 2005 WL 1861855 (S.D.N.Y.
Aug. 4, 2005) ..................................................................................................... 20, 21, 23
Hoesten v. Best, 821 N.Y.S.2d 40 (1st Dep't 2006) .......................................................... 12
Independent Living Aids, Inc. v. Maxi-Aids, Inc., 981 F.Supp. 124 (E.D.N.Y. 1997) ...... 19
International Publishing Concepts, LLC v. Locatelli, 9 N.Y.S.3d 593, 2015 N.Y. Slip Op.
50049 (N.Y. Sup. Ct. Jan. 15, 2015) ............................................................................. 14
J.P.R. Cafeteria, Inc. v. Kingsborough Community College of City University of New
York, 847 N.Y.S.2d 902 (N.Y. Sup. Ct. Aug. 21, 2007) ............................................... 21
Kane v. Orange Cnty. Publ’n, 232 A.D.2d 526, 527 (2d Dept. 1996) ................................ 8
Keohane v. Stewart, 882 P.2d 1293 (Colo. 1994) ............................................................. 17
Kforce, Inc. v. Alden Personnel, Inc., 288 F.Supp.2d 513, 516 (S.D.N.Y. 2003) ...... 16, 21
Kirk v. Heppt, 532 F.Supp.2d 586 (S.D.N.Y. 2008) ......................................................... 14
Krepps v. Reiner, 588 F.Supp.2d 471, 483 (S.D.N.Y. 2008) .............................................. 7
Liberman v. Gelstein, 80 N.Y.2d 429, 590 (N.Y. 1992) ................................................... 22
McNamee v. Clemens, 762 F.Supp.2d 584, 601 (E.D.N.Y. 2011) .................................... 19
Mencher v. Chesley, 85 N.Y.S.2d 431 (N.Y. Sup. Ct. 1948) .............................................. 9
Orenstein v. Figel, 677 F.Supp.2d 706, 711 (S.D.N.Y. 2009) ............................................ 8
Preston v. Hobbs, 146 N.Y.S. 419 (1st Dep’t 1914) ............................................................ 9
v
Pure Power Boot Camp, Inc. v. Warrior Fitness Boot Camp, LLC, 813 F.Supp.2d 489,
550 (S.D.N.Y. 2011) ...................................................................................................... 22
Sexter v. Warmflash, P.C. v. Margrabe, 828 N.Y.S.2d 315 (1st Dep’t 2007) .................. 14
Shenkman v. O’Malley, 157 N.Y.S.2d 290, 297-98 (1st Dep’t 1956) .................................. 8
Siegel v. Metropolitan Life Ins. Co., 32 N.Y.S.2d 658 (1st Dep’t 1942) ............................. 8
Thai v. Cayre Group, Ltd., 726 F.Supp.2d 323, 330 (S.D.N.Y. 2010) ............................. 23
Thai v. Cayre Grp., Ltd., 726 F. Supp. 2d 323, 330 (S.D.N.Y. 2010) .............................. 16
Thompson v. Bosswick, 855 F.Supp.2d 67, 77 (S.D.N.Y. 2012) ................................. 21, 22
TMJ Implants, Inc. v. Aetna, Inc., 498 F.3d 1175, 1182-83 (10th Cir. 2007) ...................... 9
Treppel v. Biovail Corp., No. 03 Civ. 3002 (PKL), 2005 WL 2086339, at *7 (S.D.N.Y.
Aug. 30, 2005) ................................................................................................................. 7
U.S. S.E.C. v. Power, 525 F. Supp.2d 415, 418 (S.D.N.Y. 2007) ....................................... 3
Wanamaker v. Columbian Rope Co., 713 F.Supp.533, 545 (S.D.N.Y. 1989) .................. 18
Weldy v. Piedmont Airlines, Inc., 985 F.2d 57, 62 (2d Cir. 1993) .................................... 11
Williams v. Burns, 463 F.Supp. 1278, 1282 (D. Colo. 1979) .............................................. 9
Yuan v. Rivera, 1998 WL 63404, at *5 (S.D.N.Y. Feb. 17, 1998) .................................... 12
Zerr v. Johnson, 894 F. Supp. 374, 376 (D. Colo. 1995) .................................................. 16
1
INTRODUCTION
The Plaintiff in this case falsely and maliciously launched a media campaign
several years ago in the United Kingdom accusing Defendant Ghislaine Maxwell of
serious and criminal sexual abuse from 1999-2002. Plaintiff repeated those allegations in
litigation pleadings to which Ms. Maxwell was not a party and which since have been
stricken as “immaterial and impertinent.” Those pleadings were widely circulated to the
public by various media outlets in the United States and abroad, further generating
interest in Plaintiff’s spurious claims. Plaintiff’s allegations of sexual abuse extend
beyond just Ms. Maxwell and encompass many notable public figures, such as Prince
Andrew and Harvard Law Professor Alan Dershowitz, as well as un-named “numerous
American politicians, powerful business executives, foreign presidents, a well-known
Prime Minister, and other world leaders.” Plaintiff’s targeting of such notable public
figures has served only to enhance the media spotlight on the false accusations directed at
Ms. Maxwell.
In response to Plaintiff’s published claims, Ms. Maxwell (like Prince Andrew and
Professor Dershowitz), issued general denials to the allegations. Those two denials form
the basis of this defamation action: Plaintiff claims it defamatory for Ms. Maxwell to
have issued statements through her London agent that Plaintiff’s allegations “are untrue,”
“shown to be untrue” and “obvious lies.”
Long-settled New York law renders denials such as Ms. Maxwell’s privileged
under the law and requires dismissal of this defamation action. As one commentator
wrote in 1881, “If I am attacked in a newspaper, I may write to that paper to rebut the
2
charges, and I may at the same time retort upon my assailant, when such retort is a
necessary part of my defense, or fairly arises out of the charges he has made against me.”
William Blade Odgers, A Digest of the Law of Libel and Slander (1st Am. ed. Bigelow
1881). Because Ms. Maxwell’s denials were proportionate, relevant and not excessively
publicized replies to Plaintiff’s claims, rendered without malice, she is entitled to the
privilege of self-defense and this Complaint should be dismissed. Moreover, because the
denials when viewed in context demonstrate that they were pre-litigation demands to the
British newspapers to cease and desist, they likewise are entitled to the litigation
privilege.
Finally, the Complaint falls woefully short of a well-pled defamation claim. New
York law makes clear that general denials, as compared to specific defamatory denials,
are non-actionable in defamation. Plaintiff also neglected to state when, to whom and in
what manner the statements were made and she omitted any special damages or facts
establishing defamation per se.
Each of these reasons forms a separate and independent basis to dismiss the
Complaint pursuant to Rule 12(b)(6). Ms. Maxwell seeks this Court’s assistance in
serving as a gatekeeper to dismiss this spurious defamation claim.Be clear: Maxwell
absolutely denies VR’s claims made about her in pleadings filed in cases to which she was not a
party and in paid media interviews to trashy British publications.
“General denials are not actionable” in defamation. General denials issued as a part of a
cease and desist to the news organizations publishing the false and salacious accusations are
privileged. No special damages and no defamation per se.
3
FACTUAL ALLEGATIONS1
Plaintiff has repeatedly and falsely accused Ms. Ghislaine Maxwell of sexual abuse
occurring between 1999 and 2002. Since 2009, Plaintiff has set forth these false claims in
pleadings filed in various federal civil actions in Florida. Compl. ¶ 8-21, 26-27. Ms. Maxwell
was not a party to any of those litigations: not the criminal case against Mr. Epstein (Compl.
¶ 14), any non-prosecution agreement between Mr. Epstein and the U.S. Attorney’s Office
(Compl. ¶¶ 11-13), the litigation concerning the Crime Victim’s Rights Act (CVRA) still
pending in U.S. District Court for the Southern District of Florida (Compl. ¶¶ 15-16), and not
Plaintiff’s 2009 civil suit against Mr. Epstein (Compl. ¶¶ 17-21). No criminal charges were ever
brought against Ms. Maxwell, and Plaintiff never sought to join Ms. Maxwell to any of her civil
matters involving Mr. Epstein.
Plaintiff’s accusations against Ms. Maxwell were not confined to legal proceedings,
however. Beginning in or around March 2011, Plaintiff granted “exclusive” interviews to the
British press, using her real name, during which she repeated her false allegations against Ms.
Maxwell and also levied accusations against countless prominent public figures such as Prince
Andrew, Harvard Law professor Alan Dershowitz, and “a well-known businessman (whose
pregnant wife was asleep in the next room), a world-renowned scientist, a respected liberal
politician and a foreign head of state.” See Declaration of Laura A. Menninger (“Menninger
Decl.”) Ex. A, at 3.
1 This statement of facts is based on (1) the allegations set forth in the Complaint; and (2) documents
referenced in the Complaint, but which were not attached to the pleading. U.S. S.E.C. v. Power, 525 F. Supp.2d
415, 418 (S.D.N.Y. 2007) (J. Sweet) (On a motion to dismiss, “[t]he Court may also consider any
documents…incorporated by reference into the complaint.”). Further, pursuant to Fed. R. Civ. P. 12(d), if the
motion is treated as one for summary judgment, “[a]ll parties must be given a reasonable opportunity to present all
the material that is pertinent to the motion.”
4
In response to Plaintiff’s 2011 British tabloid interviews, on March 9, 2011 a “Statement
on Behalf of Ghislaine Maxwell” was issued by Devonshires Solicitors (“2011 Statement”).
Menninger Decl. Ex. B.2 The 2011 Statement provides in its entirety:
Ghislaine Maxwell denies the various allegations about her that have appeared
recently in the media. These allegations are all entirely false.
It is unacceptable that letters sent by Ms. Maxwell’s legal representatives to
certain newspapers pointing out the truth and asking for the allegations to be
withdrawn have simply been ignored.
In the circumstances, Ms. Maxwell is now proceeding to take legal action against
those newspapers.
“I understand newspapers need stories to sell copies. It is well known that certain
newspapers live by the adage, ‘why let the truth get in the way of a good story.’
However, the allegations made against me are abhorrent and entirely untrue and I
ask that they stop,” said Ghislaine Maxwell.
“A number of newspapers have shown a complete lack of accuracy in their
reporting of this story and a failure to carry out the most elementary investigation
or any real due diligence. I am now taking action to clear my name,” she said.
Plaintiff did not bring suit against Ms. Maxwell for defamation based on the 2011 Statement.
More than three years later, on December 30, 2014, Plaintiff moved under Rule 21 to join
the 2008 CVRA litigation in the U.S. District for the Southern District of Florida (“Joinder
Motion”). Compl. ¶¶ 16, 26, 27. Plaintiff included in her Joinder Motion “lurid details”
concerning her supposed sexual abuse by Ms. Maxwell and other non-parties to that CVRA
action, including professor Alan Dershowitz, “numerous American politicians, powerful business
executives, foreign presidents, a well-known Prime Minister, and other world leaders.”
Menninger Decl. Ex. C at 4-5. On April 7, 2015, U.S. District Court Judge Marra denied
Plaintiff’s Joinder Motion, ordered the portions of the Joinder Motion pertaining to non-parties
2 Although the Complaint does not explicitly mention the 2011 Statement, it appears Plaintiff believes it to
be the “additional” statement referenced on paragraphs 30 and 31 based on her production of the statement as a part
of her Rule 26 disclosures.
5
such as Ms. Maxwell stricken as “immaterial and impertinent,” and restricted the documents
mentioning those “lurid details” from public access. Id.; Menninger Decl. Ex.D. Despite the
court’s attempt to shield the false statements, the bell could not be un-rung. The same day the
Joinder Motion was filed, British and U.S. press began publishing numerous stories based on its
contents. See, e.g., Politico, “Woman Who Sued Convicted Billionaire Over Sex Abuse Levels
Claims at his Friends.” (Dec. 31, 2014).3
According to the Complaint, it was on January 3, 2015, a few days after the Joinder
Motion was publicly filed, that Ms. Maxwell is alleged to have “spoken through her authorized
agent” to “issue an additional false statement to the media and public.” Compl. ¶ 30. According
to the Complaint, this January 3, 2015 Statement “contained the following deliberate
falsehoods”: (a) Plaintiff’s sworn allegations “against Ghislaine Maxwell are untrue,” (b) the
allegations have been “shown to be untrue;” and (c) Plaintiff’s “claims are obvious lies.” Id. The
January 3 Statement also “incorporated by reference” an “original response to the lies and
defamatory claims” made by Ms. Maxwell, which response purportedly had described Plaintiff’s
allegations as “entirely false” and “entirely untrue.” Compl. ¶ 31. Copies of the entire January 3
Statement and the “original response” were not included in or attached to the Complaint. The
Complaint also did not detail where the January 3 Statement was made, to whom it was made,
nor any factual assertion regarding its publication by any news media.
The Complaint supplies one additional purportedly defamatory statement. According to
Plaintiff, on January 4, 2015, “a reporter on a Manhattan street” “asked Ms. Maxwell about
[Plaintiff’s] allegations” and Ms. Maxwell “responded” with the phrase: “I am referring to the
statement that we made” (“January 4 Statement”). Compl. ¶ 37. This video was published by
3 Available at http://www.politico.com/blogs/under-the-radar/2014/12/woman-who-sued-convictedbillionaire-
over-sex-abuse-levels-claims-at-his-friends-200495 (accessed on November 30, 2015).
6
the New York Daily News. (Id.) Indeed, although not detailed in the Complaint, the New York
Daily News website contains a video entitled “Ghislaine Maxwell declines comment on
allegations she is a madam.”4 The filmed portion of the encounter begins with Ms. Maxwell
stating that “I wish you a happy new year and thank you so much;” whatever is said prior to that
statement was not recorded. A voice then inquires, “so you’re basically not commenting, is
that…”; Ms. Maxwell’s response, perhaps “I’m referring to the statement that was made," is
barely audible. Another person questions, “is any of that true?” Ms. Maxwell then responds
“C’mon guys” and walks away. According to the Complaint, this “response” demonstrates Ms.
Maxwell’s “continued…campaign to falsely and maliciously discredit” Plaintiff. Compl. ¶ 37.
The Complaint does not allege damages in detail. It generically asserts that Plaintiff has
suffered “economic damage, psychological pain and suffering, mental anguish and emotional
distress, and other direct and consequential damages.” Compl. Count 1 ¶ 19. Further, Plaintiff
claims she “incorporated an organization called Victims Refuse Silence, Inc., a Florida not-forprofit
corporation” on December 23, 2014, approximately 10 days before the January 3
Statement. Compl. ¶¶ 24-25. Plaintiff’s role with the corporation, her profession, and any basis
for Ms. Maxwell to even know of the corporation’s existence are not alleged, but the Complaint
baldly asserts that the January 3 and 4 Statements “tended to injure [Plaintiff] in her professional
capacity as the president of a non-profit corporation designed to help victims of sex trafficking.”
Compl. Claim 1, ¶ 11.
ARGUMENT
To survive dismissal, “a complaint must contain sufficient factual matter…to ‘state a
claim to relief that is plausible on its face.’” Ashcroft v. Iqbal, 129 S. Ct. 1937, 1949 (2009)
4 Available at http://www.nydailynews.com/news/world/alleged-madame-accused-supplying-princeandrew-
article-1.2065505 (accessed November 30, 2015).
7
(quoting Bell Atlantic Corp. v. Twombly, 550 U.S. 544, 570 (2007)). “Plausibility” means the
claim must be supported by facts that establish more than “a sheer possibility that a defendant
has acted unlawfully.” Cruz v. Marchetto, No. 11 Civ. 8378, 2012 WL 4513484, at *3
(S.D.N.Y. Oct. a, 2012) (quoting Cohen v. Stevanovich, 772 F.Supp.2d 416, 423 (S.D.N.Y.
2010)).
In the defamation context, the Court acts as a gatekeeper and should dismiss claims in
which the challenged statements are not “reasonably susceptible of a defamatory meaning.”
Krepps v. Reiner, 588 F.Supp.2d 471, 483 (S.D.N.Y. 2008) (Sweet, J.) (citing Treppel v. Biovail
Corp., No. 03 Civ. 3002 (PKL), 2005 WL 2086339, at *7 (S.D.N.Y. Aug. 30, 2005)). As courts
in this district have recognized, there is “particular value” to resolving defamation claims at the
pleading stage, as protracted litigation can have a chilling effect on the exercise of
constitutionally protected freedoms. Biro v. Conde Nast, 883 F.Supp.2d 441, 457 (S.D.N.Y.
2012) (quoting Armstrong v. Simon & Schuster, Inc., 625 N.Y.S.2d 477, 481 (N.Y. 1995).
I. MS. MAXWELL’S STATEMENTS ARE PRIVILEGED5
To succeed on a claim for libel, or defamation based on written statements, pursuant to
New York law, a plaintiff must establish the “elements [of] a false statement, published without
privilege or authorization to a third party, constituting fault as judged by, at a minimum, a
negligence standard, and, it must either cause special harm or constitute defamation per se.”
5 Under New York’s choice-of-law rules for defamation actions, the general rule is that “the state of the
plaintiff’s domicile (in this case, Colorado) will usually have the most significant relationship to the case” and
therefore that state’s law will govern. Adelson v. Harris, 973 F. Supp.2d 467, 477 (S.D.N.Y. 2013) (internal
quotations omitted). However, in multistate cases such as this in which the alleged defamatory statement was
published nationally, there is only a presumptive rule that the law of plaintiff’s domicile applies. Id. That
presumption may not hold when some other state has a more significant relationship to the issues or the parties. Id.
Here, because Ms. Maxwell is a resident of New York, and one of the purported statements was made in New York,
this state has arguably a more substantial relationship to the alleged tort than does Colorado. Nonetheless, the laws
of Colorado and New York are substantially similar. For these reasons, Ms. Maxwell asks the Court to apply New
York law, but will note any differences between the two laws when applicable.
8
Dillon v. City of New York, 704 N.Y.S.2d 1, 5 (1st Dep’t 1999) (emphasis added). “[I]n light of
the incorporation of a lack of privilege into the elements of a defamation claim,” a Court may
properly dismiss a defamation such a claim pursuant to Rule 12(b)(6) where a qualified privilege
is established. Orenstein v. Figel, 677 F.Supp.2d 706, 711 (S.D.N.Y. 2009); see also Fuji Photo
Film U.S.A., Inc. v. McNulty, 669 F.Supp.2d 405 (S.D.N.Y. 2009).
Ms. Maxwell’s Statements are privileged both under the New York self-defense privilege
and the pre-litigation privilege and the Complaint should therefore be dismissed.
A. The Self-Defense Privilege Protects Ms. Maxwell’s Statements
“Every man has a right to defend his character against false aspersion. It may be said that
this is one of the duties that he owes to himself and to his family. Therefore communications
made in fair self-defense are privileged. If I am attacked in a newspaper, I may write to that
paper to rebut the charges, and I may at the same time retort upon my assailant, when such retort
is a necessary part of my defense, or fairly arises out of the charges he has made against me.”
William Blake Odgers, A Digest of the Law of Libel and Slander (1st Am. ed. Bigelow 1881).
New York, along with numerous other jurisdictions6 and the Restatement (Second) of
Torts, recognizes a qualified privilege to respond in self-defense to verbal defamatory attacks
levied by another upon the speaker. See, e.g., Kane v. Orange Cnty. Publ’n, 232 A.D.2d 526,
527 (2d Dept. 1996) (“[S]ince the open letter was the [defendant’s] response to unfavorable
publicity against him—publicity concededly generated ‘with the cooperation of plaintiffs’—it
was covered by a qualified privilege.”); Shenkman v. O’Malley, 157 N.Y.S.2d 290, 297-98 (1st
Dep’t 1956); Siegel v. Metropolitan Life Ins. Co., 32 N.Y.S.2d 658 (1st Dep’t 1942); Fowler v.
New York Herald, 172 N.Y.S. 423 (1st Dep’t 1918); Preston v. Hobbs, 146 N.Y.S. 419 (1st Dep’t
6 See Foretich v. Capital Cities/ABC, Inc., 37 F.3d 1541, 155-60 & n.19 (4th Cir. 1994) (collecting cases).
9
1914); Mencher v. Chesley, 85 N.Y.S.2d 431 (N.Y. Sup. Ct. 1948) (“The pertinent authorities
hold that a person subjects his own motives to discussion when he makes a public attack upon
another. Legitimate self-defense is not limited to a mere denial of the charges, but it may include
a proper counterattack in the forum selected by the plaintiff.”); see also Restatement (Second) of
Torts § 594 cmt. k (1977) (“A conditional privilege exists under the rule stated in this Section
when the person making the publication reasonably believes that his interest in his own
reputation has been unlawfully invaded by another person and that the defamatory matter that he
publishes about the other is reasonably necessary to defend himself. The privilege here is
analogous to that of self-defense against battery, assault or false imprisonment . . . Thus the
defendant may publish in an appropriate manner anything that he reasonably believes to be
necessary to defend his own reputation against the defamation of another, including the
statement that his accuser is an unmitigated liar.”).7
In Collier v. Possum Cereal Co., Ltd., 134 N.Y.S. 847, 853 (1st Dep’t 1912), the selfdefense
privilege was explained:
The important question is whether the defendant had the right to
impugn the motives of its assailant, if it did so honestly without
malice and for the sole purpose of repelling the assault upon it, and
not with the view of injuring the plaintiff. One who makes a
public attack upon another subjects his own motives to discussion.
It is a contradiction in terms to say that the one attacked is
privileged only to speak the truth, and not to make a counter attack,
or that legitimate self-defense consists only in denial of the charge
or a statement of what is claimed to be the truth respecting its
subject-matter. One in self-defense is not confined to parrying the
thrusts of his assailant. Of course, the counter attack must not be
unrelated to the charge, but surely the motives of the one making it
7 Although the Colorado appellate courts apparently have not yet ruled on the issue of self-defense
privilege, the 10th Circuit has deemed it a “safe presumption” that Colorado Supreme Court would adopt the various
provisions of the Restatement (Second) of Torts (1977) as part of “its common law of defamation” based on its
decisions and Uniform Jury Instructions. See TMJ Implants, Inc. v. Aetna, Inc., 498 F.3d 1175, 1182-83 (10th Cir.
2007); see also Williams v. Burns, 463 F.Supp. 1278, 1282 (D. Colo. 1979) (recognizing qualified privilege defense
for protecting one’s interest).
10
are pertinent. The plaintiff selected the forum for the dispute, and
in that forum it would certainly tend to repel, or minimize the
harmful tendency of the charges to show that the one making them
was actuated by an improper motive.
See also Sack, Robert D., Sack on Defamation: Libel, Slander and Related Problems (Practicing
Law Inst., Apr. 2015 ed.) at Kindle Loc. 20357-20370 (“A person also has a right to defend
himself or herself from charges of unlawful activity…The right to defend oneself against
defamation is a recognized interest. An individual is privileged to publish defamatory matter in
response to an attack upon his or her reputation; the speaker is given more latitude in such a
situation than if the statements were not provoked.”).
Each of the Statements attributed to Ms. Maxwell and her representatives regarding
Plaintiff was issued in self-defense. Plaintiff ignited this controversy by asserting in the British
press her public accusations that Ms. Maxwell had committed sexual abuse. Menninger Decl.
Ex. A. (Plaintiff’s interview with Daily Mail) Plaintiff further fanned the flames by filing in
U.S. federal court on December 30, 2014 “immaterial and impertinent” “lurid details” in a public
pleading which again accused Ms. Maxwell of committing sexual abuse. Menninger Decl. Ex.
C. Given her many previous dealings with the media on this topic, Plaintiff clearly filed those
public pleadings with knowledge (or more probably an intention) that such materials would be
published by the press. Compl. ¶¶ 26, 27. Ms. Maxwell’s January 3 Statement, according to the
Complaint, states that the allegations “against Ghislaine Maxwell are untrue,’” the claims are
“obvious lies,” have been “shown to be untrue,” and the “claims are all obvious lies.” Each
attributed statement responds directly to allegations and claims made by Plaintiff. Compl. ¶ 31.
Likewise to the extent the claimed statement that “Ghislaine Maxwell’s original response to the
lies and defamatory claims remains the same” (Compl. ¶ 32) refers to an earlier statement
describing Plaintiff’s “factual assertions as ‘entirely false’ and ‘entirely untrue,” those also
11
respond directly to allegations and claims made by Plaintiff.8 And the January 4 Statement refers
to another “statement” and is therefore entitled to the same privileges as any other “statement.”
Nor has Plaintiff demonstrated that the self-defense privilege was “abused” so as to
remove the defense. According to the Second Circuit (interpreting New York law), once the
defendant has proved that she is entitled to a qualified privilege, there arises a rebuttable
presumption of good faith that may constitute a complete defense. In order to rebut this
presumption, the plaintiff must demonstrate two things: (1) that the statement was false, and (2)
that the defendant abused its qualified privilege. Weldy v. Piedmont Airlines, Inc., 985 F.2d 57,
62 (2d Cir. 1993) (citations omitted). With regard to self-defense, the “privilege may be lost…if
the reply: (1) includes substantial defamatory matter that is irrelevant or non-responsive to the
initial statement; (2) includes substantial defamatory material that is disproportionate to the
initial statement; (3) is excessively publicized; or (4) is made with malice in the sense of spite or
ill will.” Sack, supra; Restatement (Second) of Torts, §§ 599, 603-605A (1977).
Here, Plaintiff has not—and cannot—establish that the privilege was lost. Each of the
statements attributed to Ms. Maxwell is relevant, directly responsive, and proportional to
Plaintiff’s accusations. That the statements are “untrue,” “obvious lies,” “shown to be untrue” or
were “denied” are each the type of statements that the self-defense privilege seeks to protect.
Foretich, at 1560 (“To be responsive, a reply’s contents must clearly relate to its supposed
objective—blinding the initial attack and restoring one’s good name. Statements that simply
deny the accusations, or directly respond to them, or express one’s impressions upon first hearing
them are certainly responsive.”); Restatement (Second) of Torts § 594 cmt. k (“The defendant
may publish…the statement that his accuser is an unmitigated liar.”). Further, the statements
8 The January 4 Statement similarly refers to an earlier statement. Compl. ¶ 37 (“I am referring to the
statement that we made.”))
12
contain no substantial defamatory material, much less a disproportionate amount. Plaintiff has
not alleged to whom the statements were made and thus cannot show that the supposed Maxwell
statements were “excessively publicized.” In any event, given the viral circulation of Plaintiff’s
allegations against Ms. Maxwell, as any cursory internet search can attest, it would be impossible
to argue that Ms. Maxwell’s statements were “excessively publicized” relative to the accusations
to which they were responsive.
Finally, Plaintiff offers no allegations to support her conclusory assertion that the
Statements were made with “malice in the sense of spite or ill will.” To sufficiently plead
“actual malice” the plaintiff must set forth “non-conclusory allegations that support a plausible
inference of actual malice.” Biro v. Conde Nast, 2014 WL 4851901 at *2. Bare allegations that
the defendant knew or should have known that the statements were false is insufficient. Id.9 To
establish malice, a defamed plaintiff must show…that such malicious motivation was the one
and only cause for the publication.” Hoesten v. Best, 821 N.Y.S.2d 40 (1st Dep't 2006). Given
the content and context of the Statements, there are no grounds to conclude that a malicious
motivation was the cause of their publication. The January 3 Statement concludes that “Miss
Maxwell denies allegations of an unsavory nature which have appeared in the British press and
elsewhere and reserves her right to seek redress at the repetition of such claims.” Menninger
Decl. Ex. E. The clear motivation for the Statement was to deny the allegations and to place
British newspapers on notice that they may be sued for repeating Plaintiff’s false claims.
Nothing in the Statement evinces a sense that it was published out of spite or ill will towards
Plaintiff. The Complaint’s repeated use of the word “malice” and “ill-will” are nothing more
than conclusory allegations based on surmise, conjecture and suspicion and do not suffice to
9 Also, merely repeating the same conclusory allegation, as done in the Complaint, is equally insufficient.
Yuan v. Rivera, No. 96 Civ. 6628 (HB) (LB), 1998 WL 63404, at *5 (S.D.N.Y. Feb. 17, 1998) (“This conclusory
allegation, repeated throughout the complaint, falls shy of [stating a claim.]”).
13
establish malice. See Culver v. Merrill Lynch & Co., 94 CIV. 8124 (LBS), 1995 WL 422203, at
*6 (S.D.N.Y. July 17, 1995) (“[A] complaint must contain more than conclusory allegations
based upon surmise, conjecture and suspicion.”).
The self-defense privilege thus applies and is reason enough to dismiss the Complaint.
B. The Pre-Litigation Privilege Protects Ms. Maxwell’s Statements
Statements made by attorneys and parties pertinent to good faith anticipated litigation are
conditionally privileged.10 Reasoning that “[w]hen litigation is anticipated, attorneys and parties
should be free to communicate in order to reduce or avoid the need to actually commence
litigation . . .Communication during this pre-litigation phase should be encouraged and not
chilled by the possibility of being the basis of a defamation suit.” Front, Inc. v. Khalil, 24
N.Y.3d 713, 720 (N.Y. 2015).11 The Court of Appeals in Khalil expressly declined to apply the
“general malice standard” to the pre-litigation privilege. Instead, the court held the qualified
privilege is lost only where the party opposing dismissal “proves that the statements were not
pertinent to a good faith anticipated litigation.” Id. The Court of Appeals then upheld the
dismissal of a defamation complaint premised upon pre-litigation letters including a demand and
cease-and-desist notice because the statements contained in these documents were privileged.
In cases preceding Khalil, New York appellate courts made clear the litigation privilege
covers statements made in connection to “pending or contemplated litigation,” Caplan v.
Winslet, 218 A.D.2d 148, 153 (1st Dep’t 1996) (emphasis added), including “all pertinent
10 Colorado law also recognizes a privilege for communications made “in reference to the subject matter of
the proposed or pending litigation” and therefore, Ms. Maxwell’s Statements are privileged whether this Court
applies New York or Colorado law. See Club Valencia Homeowners Ass’n, Inc. v. Valencia Associates, 712 P.2d
1024, 1027 (Colo. App. 1985) (“The purpose of this privilege…is to afford litigants the utmost freedom of access to
the courts to preserve and defend their rights…”).
11 In England, where all statements except the January 4 Statement one were made, the litigation privilege
is broader than in the United States. As Justice Cardozo recognized, there the privilege exists whether the
statements are relevant to the judicial proceedings or not. Andrews v. Gardiner, 224 N.Y. 440, 445 (N.Y. 1918).
14
communications among the parties, counsel, witnesses and the court,” regardless of “[w]hether a
statement was made in or out of court, was on or off the record, or was made orally or in
writing.” Frechtman v. Gutterman, 979 N.Y.S.2d 58 (1st Dep’t 2014) (quoting Sexter v.
Warmflash, P.C. v. Margrabe, 828 N.Y.S.2d 315 (1st Dep’t 2007)). In International Publishing
Concepts, LLC v. Locatelli, 9 N.Y.S.3d 593, 2015 N.Y. Slip Op. 50049 at *3-4 (N.Y. Sup. Ct.
Jan. 15, 2015), letters and emails which detailed likely litigation and an intent to sue were
extended the same pre-litigation privilege although sent to two non-parties who were only
potentially affected by the litigation or witnesses to it. See also Kirk v. Heppt, 532 F.Supp.2d
586 (S.D.N.Y. 2008) (“The privilege is broad, and embraces anything that may possibly or
plausibly be relevant to the litigation.”) (internal citations omitted).
Ms. Maxwell’s 2011 Statement, incorporated by reference into the January 3 Statement,
was issued by Devonshires Solicitors in London and explicitly sought to place the British
tabloids on notice that litigation against them was forthcoming should they persist in printing
Plaintiff’s falsehoods. Menninger Decl. Ex. B. The general denial of the first paragraph
(“Ghislaine Maxwell denies the various allegations about her that have appeared recently in the
media. These allegations are all entirely false.”) is followed by four paragraphs directly
threatening litigation against newspapers:
It is unacceptable that letters sent by Ms. Maxwell’s legal
representatives to certain newspapers pointing out the truth and
asking for the allegations to be withdrawn have simply been
ignored.
In the circumstances, Ms. Maxwell is now proceeding to take legal
action against those newspapers.
“I understand that newspapers need stories to sell copies. It is well
known that certain newspapers live by the adage, ‘why let the truth
get in the way of a good story.’ However, the allegations made
against me are abhorrent and entirely untrue and I ask that they
stop,” said Ghislaine Maxwell.
15
“A number of newspapers have shown a complete lack of accuracy
in their reporting of this story and a failure to carry out the most
elementary investigation or any real due diligence. I am now
taking action to clear my name,” she said.
Id.
A statement issued by attorneys, asking the newspapers to cease and desist publication of
Plaintiff’s false allegations, stating an intent to “take legal action against those newspapers,”
pointing out the lack of accuracy in reporting and duly diligent reporting, and expressing again
an intent to “take[e] action to clear” her name all demonstrate that the statement was “pertinent
to good faith anticipated litigation” and should be afforded a litigation privilege. The
newspapers were the potential parties to an action for repetition of the falsehoods, not some
third-parties unaffiliated with potential claims held by Ms. Maxwell. Cf. Kirk, 532 F.Supp.2d at
594 (statements to malpractice insurance carrier entitled to privilege).
The January 3 Statement, issued by the same spokesperson as the 2011 Statement,
likewise represents a statement “pertinent to” anticipated good-faith litigation. Following
another general denial (i.e., the “allegations are untrue”), the statement goes on to say that they
are “obvious lies” and “should be treated as such and not publicized as news, as they are
defamatory. Ghislaine Maxwell’s original response to the lies and defamatory statements
remains the same. Maxwell strongly denies allegations of an unsavoury nature, which have
appeared in the British press and elsewhere and reserves her right to seek redress at the
repetition of such claims.” Menninger Decl. Ex. E. These statements are pertinent to anticipated
litigation against the press who was reporting Plaintiff’s falsehoods and should be afforded the
same qualified privilege. See Locatelli, supra at *4 (“While such an injunction has not yet been
sought, that fact should not be outcome determinative. Rather, it appears to have been intended
at the time that these letters and emails were written…”).
16
Finally, the January 4 Statement, in response to a request for comment as she left her
apartment, “I am referring to the statement that was made,” should be afforded the same
privilege as any undefined “statement” to which it referred.
II. PLAINTIFF FAILED TO PLAUSIBLY PLEAD DEFAMATION
Under either New York or Colorado law, to state a cause of action for defamation, a
plaintiff must prove: (1) defendant made a defamatory statement of fact concerning the plaintiff;
(2) defendant published the statement to a third party; (3) defendant acted with the requisite
fault; (4) the statement was false; and (5) resulting injury to the plaintiff. Kforce, Inc. v. Alden
Personnel, Inc., 288 F.Supp.2d 513, 516 (S.D.N.Y. 2003); Zerr v. Johnson, 894 F. Supp. 374,
376 (D. Colo. 1995). Regarding injury, plaintiffs must prove special damages—meaning
economic or financial loss—unless the defamation falls within a category of defamation per se.
Kforce, Inc., 288 F. Supp.2d at 516; Thai v. Cayre Grp., Ltd., 726 F. Supp. 2d 323, 330
(S.D.N.Y. 2010) (defining special damages). Defamation per se constitutes a statement “which
tends to disparage a person in the way of his office, profession or trade.” Id. To be per se
actionable, there must therefore be a direct link between the statement and the plaintiff’s
particular profession. Id.
Although state law applies to the merits of defamation claims, Rule 8 of the Federal
Rules of Civil Procedure governs the pleading requirements in federal court. Under Rule 8,
defamation allegations must be “simple, concise and direct,” allowing the defendant sufficient
notice of the communications complained of to allow the defendant to defend him or herself.
Deutsche Asset Mgmt, Inc. v. Callaghan, No. 01 Civ 4426 CBM, 2004 WL 758303, at *12
(S.D.N.Y. April 7, 2004). Importantly, to meet this standard, plaintiff must specify who made
the statements, when they were made, to whom they were made and in what context they were
made. Id.
17
Here, the defamation claim is fatally deficient for three independent reasons: (1) when
viewed in context, the statements are not actionable defamatory statements; (2) the Complaint
does not allege to whom or where the statements were made; and (3) the Complaint lacks either
allegations of special damages or facts from which defamation per se could be established. Each
of these three faults, standing alone, is sufficient to warrant dismissal for failure to state a claim.
A. Viewed In Context, the Statements are Non-Actionable
The Complaint improperly contains only excerpts of Ms. Maxwell’s Statements, thereby
depriving the Court of the ability to adequately determine whether the Statements are actionable.
The Supreme Court has long recognized the inherent difficulty in deciding defamation claims
given the delicate balance between “the law of defamation and the freedoms of speech and press
protected by the First Amendment.” Gertz v. Robert Welch, Inc., 418 U.S. 323, 325 (1974). On
the one hand, the law of defamation is designed to “redress and compensate individuals who
suffered serious harm to their reputations due to the careless or malicious communications of
others.” Keohane v. Stewart, 882 P.2d 1293 (Colo. 1994). On the other hand, the First
Amendment protects “society’s interest in encouraging and fostering vigorous public debate.”
Id. (citing Abrams v. United States, 250 U.S. 616, 630 (1919) (Holmes, J. dissenting)).
Due to the complexity of these competing interests, it is essential for courts to resolve as
a matter of law whether the particular words alleged to be defamatory are in fact defamatory—
i.e. designed to cause reputational injury. See Celle v. Fillipino Reporter Enters, Inc., 209 F.3d
163, 177 (2d Cir. 2000). To do so, defamatory statements must be considered in the context of
the entire communication and the circumstances in which they were written. Id. at 178; see also
Keohane, 882 P.2d at 1299. As one court aptly stated, “Courts will not strain to find defamation
where none exists.” Couloute, Jr. v. Rynarz, No. 11 CV 5986 (HB), 2012 WL 541089, at *5
(S.D.N.Y. Feb. 17, 2012).
18
In this case, Plaintiff is essentially asking this Court to “strain to find defamation” based
on only snippets of Ms. Maxwell’s January 3 and January 4 Statements provided in the
Complaint. See Compl. ¶ 30. Her failure to provide the context within which the Statements
were delivered alone warrants dismissal. Dillon v. City of New York, 261 A.D.2d 34, 39-40 (1st
Dep’t 1999) (plaintiff’s failure to set forth the entirety of the alleged defamatory statement
resulted in only vague and conclusory allegations requiring dismissal); Edwards v. Great
Northern Ins. Co., No. 03 CV 2947 (NG) (RML), 2006 WL 2053717, at *5 (E.D.N.Y. July 21,
2006) (dismissing defamation claim for plaintiff’s failure, among other things, to plead the
context in which the statements were made); Wanamaker v. Columbian Rope Co., 713
F.Supp.533, 545 (S.D.N.Y. 1989) (same).
When Ms. Maxwell’s statements are actually viewed in context, it becomes clear why
Plaintiff only provided excerpts. The Complaint describes Ms. Maxwell’s Statements as an
attack on Plaintiff’s honesty and truthfulness and a “concerted and malicious campaign to
discredit Giuffre.” Compl. ¶¶ 28, 29. In reality, the statements are far from an attack by Ms.
Maxwell. When read in context and as set forth above, it is clear that the January 3 Statement
was issued in self defense and in anticipation of good-faith litigation against the news media.
The January 3 Statement appears, inter alia, in a telegraph article entitled “Prince Andrew denies
having relations with ‘sex slave’ girl.” Menninger Decl. Ex. E. The 12-page article contains
denials by Prince Andrew and Alan Dershowitz. Buried among those allegations is the
following response by Ms. Maxwell’s spokesman:
The allegations made against Ghislaine Maxwell are untrue. Miss
Maxwell strongly denies allegations of an unsavory nature, which
have appeared in the British press and elsewhere and reserves her
right to seek redress at the repetition of such old defamatory
claims.
19
Menninger Decl. Ex. E, at 2. As discussed above, such a statement, which was unequivocally
made in response to repeated reputation-harming allegations, is protected by both the privilege of
self-defense and the pre-litigation privilege and therefore is not actionable.
Further, general denials such as the January 3 Statement are not actionable as defamatory
statements. See McNamee v. Clemens, 762 F.Supp.2d 584, 601 (E.D.N.Y. 2011) (“general
denials of accusations aren’t actionable”); Independent Living Aids, Inc. v. Maxi-Aids, Inc., 981
F.Supp. 124, 128 (E.D.N.Y. 1997) (epithet “liar,” in context, where it reflects a mere denial of
accusations, was personal opinion and rhetorical hyperbole). The context surrounding the
January 3 Statement demonstrates it was a general denial made in self-defense and pre-litigation
and therefore not actionable as a defamation claim.
Likewise, when viewed in context, it is equally clear that the January 4 Statement is not
an actionable statement of fact. The Complaint avers that “Maxwell continued her campaign to
falsely and maliciously discredit” Plaintiff “when a reporter on a Manhattan street asked
Maxwell” about the allegations and she “responded” by saying “I am referring to the statement
that we made.” Compl. ¶ 37. It also alleges that the New York Daily News "published a video"
of “this response by Maxwell.” Yet the video found on the New York Daily News website of this
encounter reveals substantially more context. See supra at __. First of all, Ms. Maxwell is
accosted by the reporters as she emerged from an apartment on East 65th Street. The video is
entitled accurately enough “Ghislaine Maxwell declines comment on allegations she is a
madam.”12 The filmed encounter begins with Ms. Maxwell stating that “I wish you a happy new
year and thank you so much.” A voice then inquires, “so you’re basically not commenting, is
12 Available at http://www.nydailynews.com/news/world/alleged-madame-accused-supplying-princeandrew-
article-1.2065505 (accessed November 30, 2015).
20
that…”; her response, “I’m referring to the statement that was made,” is barely audible. Another
person questions, “is any of that true?” Ms. Maxwell then responds “C’mon guys” and walks
away.
The argument that the January 4 Statement is actionable defamation borders on frivolous.
There are not even any questions which give the “interview” context, i.e., what the reporters said
just before the camera clip begins, what “allegations” Ms. Maxwell was “responding” to.
Certainly nothing in the context of the video mentions Plaintiff or her allegations. Any
reasonable listener would understand the verbal video clip together with the heading “Ghislaine
Maxwell declines comment on allegations she is a madam” to be just that—a declination to
comment. The “statement that was made” is not even contextualized. Which statement? Made
when and to whom? Even the Complaint characterizes the verbal words as a “response” to
questions from a reporter. Even a strained reading of the allegations concerning the January 4
Statement does not demonstrate a defamatory meaning of and concerning Plaintiff, and any
claim based thereon should be dismissed.13
B. The Complaint Does Not Allege to Whom, Where or in What Manner
the January 3 Statement was Made
It is long settled that “[f]ailure to state the particular person or persons to whom the
allegedly slanderous or libelous comments were made as well as the time and manner in which
the publications were made warrants dismissal.” Hawkins v. City of New York, No. 99 Civ.
11704 (RWS), 2005 WL 1861855, at *18 (S.D.N.Y. Aug. 4, 2005); see also Cruz, 2012 WL
4513484, at *4 (dismissing a defamation claim for failure to specifically allege the “when, where
or in what manner the statements were made”).
13 Without the January 4 Statement to the New York Daily News reporter, it is entirely unclear that this
case has any nexus to the United States, much less New York.
21
In Hawkins, the Complaint generally alleged that the defendants made false
representations of fact about the plaintiff to “other supervisors of [p]laintiff with [the] NYPD.”
Id. This Court held that by not identifying the individuals to whom the statement was allegedly
made the claim was “fatally defective.” Id. Likewise, in J.P.R. Cafeteria, Inc. v. Kingsborough
Community College of City University of New York, 847 N.Y.S.2d 902 (N.Y. Sup. Ct. Aug. 21,
2007), the defendant alleged in a counterclaim that the plaintiff made libelous and slanderous
statements to employees and agents of his employer and the media. Id. at *5. Again, because
the counterclaim did not identify the particular persons to whom the defamatory comments were
made, it was dismissed. Id.; see also Cruz, 2012 WL 4513484, at *4 (dismissing a complaint
containing conclusory allegations that defendant made statements that ended up in the headlines
and quoted in the media). Here, as in Hawkins, the Complaint does not allege to whom the
January 3 Statement was made. Instead, it merely contains the general allegation that it was
“issued…to the media and public.” Compl. ¶ 30. This precedent establishes that merely
identifying a group or organization to whom the statement was published, such as “the media” or
“the NYPD” is insufficient. Thus, because the Complaint only identifies the “media and public”
as the recipient of the January 3 Statement, the pleading is insufficient.
C. Plaintiff Has Not Properly Pled Special Damages
a. The Alleged Defamatory Statement is Not Defamatory Per Se
Plaintiff also fails to properly establish either defamation per se or special damages. The
pleading is therefore defective. Thompson v. Bosswick, 855 F.Supp.2d 67, 77 (S.D.N.Y. 2012);
Kforce, 288 F.Supp.2d at 516. Defamation per se is limited in scope and is only applicable when
there is a direct link between “a particular profession and a particular disreputable vice of that
profession.” Id. While explaining defamation per se, this Court quoted the following passage
from Prosser and Keeton on the Law of Torts § 112, at 791 (5th ed. 1984):
22
[I]t is actionable without proof of damage to say of a physician that
he is a butcher…, of an attorney that he is a shyster, of a school
teacher that he has been guilty of improper conduct as to his
pupils, of a clergyman that is the subject of scandalous rumors, of a
chauffeur that he is habitually drinking, of a merchant that his
credit is bad or that he sells adulterated goods, of a public officer
that he has accepted a bribe or has used his office for corrupt
purposes…since these things discredit [one] in his chosen calling.
The New York Court of Appeals, elaborating on this same concept, further noted that the
defamatory “statement must be made with reference to a matter of significance and importance
for [the plaintiff’s profession, trade or office], rather than a more general reflection upon the
plaintiff’s character or qualities.” Liberman v. Gelstein, 80 N.Y.2d 429, 590 (N.Y. 1992). “The
statement must be targeted at the specific standards of performance relevant to the plaintiff’s
business and must impute conduct that is ‘of a kind incompatible with the proper conduct of the
business, trade, profession or office itself.’” Thompson, 855 F.Supp.2d at 77 (quoting Pure
Power Boot Camp, Inc. v. Warrior Fitness Boot Camp, LLC, 813 F.Supp.2d 489, 550 (S.D.N.Y.
2011)).
Here, it is impossible to determine a link between the January 3 or 4 Statements and
Plaintiff’s profession, because no profession is alleged. The only reference in the Complaint to
Plaintiff’s “profession” is in paragraphs 24 and 25 where she describes incorporating the Victims
Refuse Silence, Inc. organization. Importantly, she allegedly incorporated that organization on
December 23, 2014, approximately 10 days before the January 3 Statement. Compl. ¶ 24.
Further, other than stating the intent and goals of this newly incorporated organization, she has
not described any actions taken by the organization or provided any indication that the
organization is currently operating nor detailed her “occupation” within the organization.
Given the close temporal proximity between the creation of Plaintiff’s organization and
the issuance of the Statements, it strains credulity to suggest that Ms. Maxwell even knew about
23
the organization or Plaintiff’s supposed profession attendant thereto. If Ms. Maxwell had never
heard of Victims Refuse Silence—which is likely—it is equally impossible to suggest that she
directed any statements towards Plaintiff’s role therein. Even accepting Plaintiff’s allegations as
true, the January 3 Statement is at most a general reflection upon Plaintiff’s character or
qualities. More accurately, the Statement can only be characterized as a reaction to certain
specific allegations made by Plaintiff towards Ms. Maxwell. According to clear precedent set by
this Court and the New York Court of Appeals, the Statement therefore is not defamation per se.
b. Failure to Allege Special Damages Warrants Dismissal
Because the January 3 Statement is not per se actionable even accepting the Plaintiff’s
allegations as true, the Court then must scrutinize the Complaint for allegations of special
damages. Special damages are generally considered financial or economic damages that are
“causally related to the alleged acts.” Hawkins, 2012 WL 4513484, at *19. Special damages
“must be fully and accurately stated, with sufficient particularity to identify actual losses…The
particularity requirement is strictly applied, as courts will dismiss defamation claims for failure
to allege special damages with the requisite degree of specificity.” Thai v. Cayre Group, Ltd.,
726 F.Supp.2d 323, 330 (S.D.N.Y. 2010). Plaintiff has not and cannot claim special damages as
a result of Ms. Maxwell’s alleged defamatory statements. Instead, her allegations of damages
are vague and conclusory and provide no factual basis to establish a causal connection to the
alleged defamation. See Compl. ¶ 19 (“Maxwell’s false statements have caused, and continue to
cause, Giuffre economic damage…”). This obvious pleading defect also mandates dismissal.
CONCLUSION
For the reasons stated above, the Complaint fails to state a claim for which relief
can be granted. Ms. Maxwell therefore respectfully requests that this Court dismiss the
24
Complaint with prejudice. In addition, in light of Plaintiff’s failure to show any factual
basis for her claim, Ms. Maxwell requests permission to move for attorneys’ fees for the
filing of this motion and any subsequent action necessary to prevent from further
attempts by Plaintiff to direct additional unfounded and legally insufficient claims against
Ms. Maxwell.
Dated: November 30, 2015.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger, Esq.
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on November 30, 2015, I electronically filed this Ghislaine Maxwell’s
Memorandum of Law in Support of her Motion to Dismiss with the Clerk of Court using the
CM/ECF system which will send notification to the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
15-cv-07433-RWS
-------------------------------------------------X-X
DECLARATION OF LAURA A. MENNINGER IN SUPPORT OF
DEFENDANT GHISLAINE MAXWELL’S MOTION TO DISMISS COMPLAINT
I, Laura A. Menninger, declare as follows:
1. I am an attorney at law duly licensed in the State of New York and admitted to
practice in the United States District Court for the Southern District of New York. I am a
member of the law firm Haddon, Morgan and Foreman. P.C., counsel of record for Defendant
Ghislaine Maxwell (“Maxwell”) in this action. I respectfully submit this declaration in support
of Maxwell’s Motion to Dismiss the Complaint filed in this action by Plaintiff Virginia L.
Giuffre.
2. Attached hereto as Exhibit A is a true and correct copy of the article, “Prince
Andrew and the 17-year-old Girl His Sex Offender Friend Flew to Britain to Meet Him,” Daily
Mail.Com, Mar. 2, 2011, available at http://www.dailymail.co.uk/news/article-1361039/Prince-
Andrew-girl-17-sex-offender-friend-flew-Britain-meeet-him.html (last visited Nov. 30, 2015).
...............................................
Case 1:15-cv-07433-RWS Document 16 Filed 12/01/15 Page 1 of 2
2
3. Attached hereto as Exhibit B is a true and correct copy of “Statement on Behalf of
Ghislaine Maxwell,” PR Hub, Mar. 9, 2011, available at http://pr.gaeatimes.com/statement-onbehalf-
of-ghislaine-maxwell-42551/ (last visited Nov. 30, 2015).
4. Attached hereto as Exhibit C is a true and correct copy of Order Denying
Petitioner’s Motion to Join Under Rule 21 and Motion to Amend Under Rule 15, Jane Doe 1
and Jane Doe 2 v. U.S.A., Case No. 08-cv-80736-KAM (S.D. Fla. Apr. 15, 2008) (Doc.
No. 324).
5. Attached hereto as Exhibit D is a true and correct copy of Supplemental Order,
Jane Doe 1 and Jane Doe 2 v. U.S.A., Case No. 08-cv-80736-KAM (S.D. Fla. Apr. 15,
2008) (Doc. No. 325).
6. Attached hereto as Exhibit E is a true and correct copy of “Prince Andrew
denies having relations with ‘sex slave’ girl,” The Telegraph, Jan. 3, 2015, available at
http://www.telegraph.co.uk/news/uknews/theroyalfamily/11323872/Prince-Andrewdenies-
having-relations-with-sex-slave-girl.html (last visited Nov. 30, 2015).
I declare under penalty of perjury that the foregoing is true and correct. Executed
on November 30, 2015 in Denver, Colorado.
s/ Laura A. Menninger
Laura A. Menninger
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UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
15-cv-07433-RWS
Oral Argument Requested for January
7, 2016 at 12:00 pm
--------------------------------------------------X
DEFENDANT GHISLAINE MAXWELL’S NOTICE OF
MOTION FOR A STAY OF DISCOVERY PENDING DECISION ON
DEFENDANT’S MOTION TO DISMISS
PLEASE TAKE NOTICE THAT, upon the accompanying Memorandum of Law,
dated November 30, 2015, including Exhibit A attached hereto, and upon all prior
pleadings and proceedings in this action, other documents on file in this action, and any
oral argument of counsel, Defendant Ghislaine Maxwell (“Maxwell”) will move this
Court, before the Honorable Robert W. Sweet, at the Daniel Patrick Moynihan United
States Courthouse, 500 Pearl Street, New York, New York, Courtroom 18C, for an Order
pursuant to Federal Rule of Civil Procedure 26(c) staying discovery during the pendency
of Maxwell’s Motion to Dismiss.
...............................................
Case 1:15-cv-07433-RWS Document 17 Filed 12/01/15 Page 1 of 3
2
Dated: November 30, 2015
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
Case 1:15-cv-07433-RWS Document 17 Filed 12/01/15 Page 2 of 3
3
CERTIFICATE OF SERVICE
I certify that on November 30, 2015, I electronically filed this DEFENDANT
GHISLAINE MAXWELL’S NOTICE OF MOTION FOR A STAY OF DISCOVERY
PENDING DECISION ON DEFENDANT’S MOTION TO DISMISS with the Clerk of
Court using the CM/ECF system which will send notification to the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
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1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S FIRST REQUEST FOR PRODUCTION OF
DOCUMENTS TO DEFENDANT GHISLAINE MAXWELL
Plaintiff, by and through her undersigned counsel, hereby propounds Plaintiff’s First
Request for Production of Documents pursuant to Rules 26 and 34 of the Federal Rules of Civil
Procedure to the Defendant Ghislaine Maxwell. The responses are due at the offices of Boies,
Schiller & Flexner LLP, 401 East Las Olas Boulevard, Suite 1200, Fort Lauderdale, Florida
33301, within thirty (30) days of service hereof.
DEFINITIONS
Wherever they hereafter appear the following words and phrases have the following
meanings:
1. “Agent” shall mean any agent, employee, officer, director, attorney, independent
contractor or any other person acting, or purporting to act, at the discretion of or on behalf of
another.
2. “Correspondence” or “communication” shall mean all written or verbal
communications, by any and all methods, including without limitation, letters, memoranda,
and/or electronic mail, by which information, in whatever form, is stored, transmitted or
Exhibit A
Case 1:15-cv-07433-RWS Document 17-1 Filed 12/01/15 Page 1 of 13
2
received; and, includes every manner or means of disclosure, transfer or exchange, and every
disclosure, transfer or exchange of information whether orally or by document or otherwise,
face-to-face, by telephone, telecopies, e-mail, text, modem transmission, computer generated
message, mail, personal delivery or otherwise.
3. “Defendant” shall mean the defendant Ghislaine Maxwell and her employees,
representatives or agents.
4. “Document” shall mean all written and graphic matter, however produced or
reproduced, and each and every thing from which information can be processed, transcribed,
transmitted, restored, recorded, or memorialized in any way, by any means, regardless of
technology or form. It includes, without limitation, correspondence, memoranda, notes,
notations, diaries, papers, books, accounts, newspaper and magazine articles, advertisements,
photographs, videos, notebooks, ledgers, letters, telegrams, cables, telex messages, facsimiles,
contracts, offers, agreements, reports, objects, tangible things, work papers, transcripts, minutes,
reports and recordings of telephone or other conversations or communications, or of interviews
or conferences, or of other meetings, occurrences or transactions, affidavits, statements,
summaries, opinions, tests, experiments, analysis, evaluations, journals, balance sheets, income
statements, statistical records, desk calendars, appointment books, lists, tabulations, sound
recordings, data processing input or output, microfilms, checks, statements, receipts, summaries,
computer printouts, computer programs, text messages, e-mails, information kept in computer
hard drives, other computer drives of any kind, computer tape back-up, CD-ROM, other
computer disks of any kind, teletypes, telecopies, invoices, worksheets, printed matter of every
kind and description, graphic and oral records and representations of any kind, and electronic
“writings” and “recordings” as set forth in the Federal Rules of Evidence, including but not
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3
limited to, originals or copies where originals are not available. Any document with any marks
such as initials, comments or notations of any kind of not deemed to be identical with one
without such marks and is produced as a separate document. Where there is any question about
whether a tangible item otherwise described in these requests falls within the definition of
“document” such tangible item shall be produced.
5. “Employee” includes a past or present officer, director, agent or servant, including
any attorney (associate or partner) or paralegal.
6. “Including” means including without limitations.
7. “Jeffrey Epstein” includes Jeffrey Epstein and any entities owned or controlled by
Jeffrey Epstein, any employee, agent, attorney, consultant, or representative of Jeffrey Epstein.
8. “Person(s)” includes natural persons, proprietorships, governmental agencies,
corporations, partnerships, trusts, joint ventures, groups, associations, organizations or any other
legal or business entity.
9. “You” or “Your” hereinafter means Ghislaine Maxwell and any employee, agent,
attorney, consultant, related entities or other representative of Ghislaine Maxwell.
INSTRUCTIONS
1. Unless indicated otherwise, the Relevant Period for this Request is from July
1999 to the present. A Document should be considered to be within the relevant time frame if it
refers or relates to communications, meetings or other events or documents that occurred or were
created within that time frame, regardless of the date of creation of the responsive Document.
2. This Request calls for the production of all responsive Documents in your
possession, custody or control without regard to the physical location of such documents.
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4
3. If any Document requested was in any defendant’s possession or control, but is no
longer in its possession or control, state what disposition was made of said Document, the reason
for such disposition, and the date of such disposition.
4. For the purposes of reading, interpreting, or construing the scope of these
requests, the terms used shall be given their most expansive and inclusive interpretation. This
includes, without limitation the following:
a) Wherever appropriate herein, the singular form of a word shall be
interpreted as plural and vice versa.
b) “And” as well as “or” shall be construed either disjunctively or
conjunctively as necessary to bring within the scope hereof any
information (as defined herein) which might otherwise be construed to be
outside the scope of this discovery request.
c) “Any” shall be understood to include and encompass “all” and vice versa.
d) Wherever appropriate herein, the masculine form of a word shall be
interpreted as feminine and vice versa.
e) “Including” shall mean “including without limitation.”
5. If you are unable to answer or respond fully to any document request, answer or
respond to the extent possible and specify the reasons for your inability to answer or respond in
full. If the recipient has no documents responsive to a particular Request, the recipient shall so
state.
6. Unless instructed otherwise, each Request shall be construed independently and
not by reference to any other Request for the purpose of limitation.
7. The words “relate,” “relating,” “relates,” or any other derivative thereof, as used
herein includes concerning, referring to, responding to, relating to, pertaining to, connected with,
comprising, memorializing, evidencing, commenting on, regarding, discussing, showing,
describing, reflecting, analyzing or constituting.
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5
8. “Identify” means, with respect to any “person,” or any reference to the “identity”
of any “person,” to provide the name, home address, telephone number, business name, business
address, business telephone number and a description of each such person’s connection with the
events in question.
9. “Identify” means, with respect to any “document,” or any reference to stating the
“identification” of any “document,” provide the title and date of each such document, the name
and address of the party or parties responsible for the preparation of each such document, the
name and address of the party who requested or required the preparation and on whose behalf it
was prepared, the name and address of the recipient or recipients to each such document and the
present location of any and all copies of each such document, and the names and addresses of all
persons who have custody or control of each such document or copies thereof.
10. In producing Documents, if the original of any Document cannot be located, a
copy shall be produced in lieu thereof, and shall be legible and bound or stapled in the same
manner as the original.
11. Any copy of a Document that is not identical shall be considered a separate
document.
12. If any requested Document cannot be produced in full, produce the Document to
the extent possible, specifying each reason for your inability to produce the remainder of the
Document stating whatever information, knowledge or belief which you have concerning the
portion not produced.
13. If any Document requested was at any one time in existence but are no longer in
existence, then so state, specifying for each Document (a) the type of document; (b) the types of
information contained thereon; (c) the date upon which it ceased to exist; (d) the circumstances
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6
under which it ceased to exist; (e) the identity of all person having knowledge of the
circumstances under which it ceased to exist; and (f) the identity of all persons having
knowledge or who had knowledge of the contents thereof and each individual’s address.
14. All Documents shall be produced in the same order as they are kept or maintained
by you in the ordinary course of business.
15. You are requested to produce all drafts and notes, whether typed, handwritten or
otherwise, made or prepared in connection with the requested Documents, whether or not used.
16. Documents attached to each other shall not be separated.
17. Documents shall be produced in such fashion as to identify the department,
branch or office in whose possession they were located and, where applicable, the natural person
in whose possession they were found, and business address of each Document’s custodian(s).
18. If any Document responsive to the request is withheld, in all or part, based upon
any claim of privilege or protection, whether based on statute or otherwise, state separately for
each Document, in addition to any other information requested: (a) the specific request which
calls for the production; (b) the nature of the privilege claimed; (c) its date; (d) the name and
address of each author; (e) the name and address of each of the addresses and/or individual to
whom the Document was distributed, if any; (f) the title (or position) of its author; (g) type of
tangible object, e.g., letter, memorandum, telegram, chart, report, recording, disk, etc.; (h) its title
and subject matter (without revealing the information as to which the privilege is claimed); (i)
with sufficient specificity to permit the Court to make full determination as to whether the claim
of privilege is valid, each and every fact or basis on which you claim such privilege; and (j)
whether the document contained an attachment and to the extent you are claiming a privilege as
to the attachment, a separate log entry addressing that privilege claim.
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7
19. If any Document requested herein is withheld, in all or part, based on a claim that
such Document constitutes attorney work product, provide all of the information described in
Instruction No. 19 and also identify the litigation in connection with which the Document and the
information it contains was obtained and/or prepared.
20. Plaintiff does not seek and does not require the production of multiple copies of
identical Documents.
21. This Request is deemed to be continuing. If, after producing these Documents,
you obtain or become aware of any further information, Documents, things, or information
responsive to this Request, you are required to so state by supplementing your responses and
producing such additional Documents to Plaintiff.
DOCUMENTS REQUESTED
DOCUMENT REQUEST NO. 1
All documents relating to communications with Jeffrey Epstein from 1999 – present.
DOCUMENT REQUEST NO. 2
All documents relating to communications with Virginia Roberts Giuffre from 1999 – present.
DOCUMENT REQUEST NO. 3
All documents relating to communications with Andrew Albert Christian Edward, Duke of York
(a.k.a. Prince Andrew) from 1999 – present.
DOCUMENT REQUEST NO. 4
All documents relating to communications between you and Jeffrey Epstein regarding any
female under the age of 18 from the period of 1999 – present.
DOCUMENT REQUEST NO. 5
All documents relating to massages, including but not limited to any documents reflecting
recruiting or hiring masseuses, advertising for masseuses, flyers created for distribution at high
schools or colleges, and records reflecting e-mails or calls to individuals relating to massages.
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8
DOCUMENT REQUEST NO. 6
All documents relating to communications with any of the following individuals from 1999 –
present: Emmy Taylor, Sarah Kellen, Eva Dubin, Glen Dubin, Jean Luc Brunel, and Nadia
Marcinkova.
DOCUMENT REQUEST NO. 7
All video tapes, audio tapes, photographs or any other print or electronic media relating to
females under the age of 18 from the period of 1999 – present.
DOCUMENT REQUEST NO. 8
All documents relating to your travel from the period of 1999 – present, including but not limited
to, any travel on Jeffrey Epstein’s planes, commercial flights, helicopters, passport records,
records indicating passengers traveling with you, hotel records, and credit card receipts.
DOCUMENT REQUEST NO. 9
All documents identifying passengers, manifests, or flight plans for any helicopter or plane ever
owned or controlled by you or Jeffrey Epstein or any associated entity from 1999 – present.
DOCUMENT REQUEST NO. 10
All documents relating to payments made from Jeffrey Epstein or any related entity to you from
1999 – present, including payments for work performed, gifts, real estate purchases, living
expenses, and payments to your charitable endeavors including the TerraMar project.
DOCUMENT REQUEST NO. 11
All documents relating to or describing any work you performed with Jeffrey Epstein, or any
affiliated entity from 1999 –present.
DOCUMENT REQUEST NO. 12
All confidentiality agreements between you and Jeffrey Epstein or any entity to which he is
related or involved or such agreements which are or were in your possession or control related to
any other employee of Jeffrey Epstein, or any associated entity.
DOCUMENT REQUEST NO. 13
All documents from you, your attorneys or agents to any law enforcement entity, or from any
law enforcement entity to you or any of your representatives, related to any cooperation,
potential charge, immunity or deferred prosecution, or which relates to suspected or known
criminal activity.
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9
DOCUMENT REQUEST NO. 14
All documents relating to travel of any female under the age of 18 from the period of 1999 –
present.
DOCUMENT REQUEST NO. 15
All video tapes, audio tapes, photographs or any other print or electronic media taken at a time
when you were in Jeffrey Esptein’s company or inside any of his residences or aircraft.
DOCUMENT REQUEST NO. 16
All computers, hard drives or copies thereof for all computers in operation between 1999 –
2002.
DOCUMENT REQUEST NO. 17
All documents relating to communications with you and Ross Gow from 2005 – present.
DOCUMENT REQUEST NO. 18
All video tapes, audio tapes, photographs or any other print or electronic media relating to
Virginia Roberts Guiffre.
DOCUMENT REQUEST NO. 19
All documents relating to your deposition scheduled in the matter of Jane Doe v. Epstein, 08-
80893, United States Southern District of Florida.
DOCUMENT REQUEST NO. 20
All documents relating to any credit cards used that were paid for by Jeffrey Epstein or any
related entity from 1999 – present.
DOCUMENT REQUEST NO. 21
All telephone records associated with you, including cell phone records from 1999 – present.
DOCUMENT REQUEST NO. 22
All documents relating to calendars, schedules or appointments for you from 1999 – present.
DOCUMENT REQUEST NO. 23
All documents relating to calendars, schedules or appointments for Jeffrey Epstein from 1999-
present.
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10
DOCUMENT REQUEST NO. 24
All documents relating to contact lists, phone lists or address books for you or Jeffrey Epstein
from 1999 – present.
DOCUMENT REQUEST NO. 25
All documents relating to any hospital records for Virginia Roberts Guiffre.
DOCUMENT REQUEST NO. 26
All documents relating to any passport or license for Virginia Roberts Guiffre.
DOCUMENT REQUEST NO. 27
All documents relating to any gifts or monetary payments provided to Virginia Roberts Guiffre
by you, Jeffrey Epstein or any related entity.
DOCUMENT REQUEST NO. 28
All documents relating to Virginia Robert’s employment or work as an independent contractor
with you, Jeffrey Epstein or any related entity.
DOCUMENT REQUEST NO. 29
All documents identifying any individuals to whom Virginia Roberts provided a massage.
DOCUMENT REQUEST NO. 30
All documents relating to any employee lists or records associated with you, Jeffrey Epstein or
any related entity.
DOCUMENT REQUEST NO. 31
All documents relating to Victoria Secret, models or actresses, who were ever in the presence of
you or Jeffrey Epstein or Virginia Roberts between 1999 and 2005.
DOCUMENT REQUEST NO. 32
All documents related to communications with or interaction with Alan Dershowitz from 1999 to
present.
DOCUMENT REQUEST NO. 33
All travel records between 1999 and the present reflecting your presence in: (a) Palm Beach,
Florida or immediately surrounding areas; (b) 9 E. 71st Street, New York, NY 10021; (c) New
Mexico; (d) U.S. Virgin Islands; (e) any jet or aircraft owned or controlled by Jeffrey Epstein.
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DOCUMENT REQUEST NO. 34
All documents reflecting your ownership or control of property in London between the years
1999 and 2002.
DOCUMENT REQUEST NO. 35
All documents reflecting your or Jeffrey Epstein’s membership or visits to the Mar-a-Lago Club
in Palm Beach Florida between the years 1999 and 2002.
DOCUMENT REQUEST NO. 36
All documents you rely upon to establish that (a) Giuffre’s sworn allegations “against Ghislaine
Maxwell are untrue.” (b) the allegations have been “shown to be untrue.”; and (c) Giuffre’s
“claims are obvious lies.”
DOCUMENT REQUEST NO. 37
All documents reflecting communications you have had with Bill or Hillary Clinton (or persons
acting on their behalf), including all communications regarding your attendance at Chelsea’s
Clinton’s wedding ceremony in 2010.
DOCUMENT REQUEST NO. 38
All documents reflecting contact with you by any law enforcement or police agency, including
any contact by the FBI, Palm Beach Police Department, or West Palm Beach Police Department.
DOCUMENT REQUEST NO. 39
All documents reflecting training to fly a helicopter or experience flying a helicopter, including
any records concerning your operation of a helicopter in the U.S. Virgin Islands.
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12
Dated: October 27, 2015
By: /s/ David Boies
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
/s/ Sigrid McCawley
Sigrid McCawley
(Pro Hac Vice Pending)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
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13
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on the 27th day of October, 2015, I served the attached
document PLAINTIFF’S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT GHISLAINE
MAXWELL via Email to the following counsel of record.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 17-1 Filed 12/01/15 Page 13 of 13
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
15-cv-07433-RWS
--------------------------------------------------X
MEMORANDUM OF LAW IN SUPPORT OF MOTION FOR A STAY OF
DISCOVERY PENDING DECISION ON DEFENDANT’S MOTION TO DISMISS
Defendant Ghislaine Maxwell, through her attorney Laura A. Menninger of the law firm
Haddon, Morgan and Foreman, P.C., hereby respectfully submits this Memorandum of Law in
support of her Motion to Stay Discovery during the pendency of her Motion to Dismiss.
LEGAL STANDARD
Rule 26(c) of the Federal Rules of Civil Procedure grants courts broad discretion to stay
discovery “for good cause shown.” Spencer Trask Software and Info. Servs., LLC v. RPost Int’l
Ltd., 206 F.R.D. 367, 368 (S.D.N.Y 2002). Good cause may be shown where a party (1) has
filed a dispositive motion; (2) the stay is for a short period of time; and (3) the opposing party
will not be prejudiced by the stay. Id. Additional factors courts may consider are breadth of
discovery sought and the burden of responding to it as well as the strength of the dispositive
motion forming the basis for the stay application. Id.
...............................................
2
ARGUMENT
I. Ms. Maxwell’s Motion to Dismiss Provides “Good Cause” to Stay Discovery
A. The Pending Motion Cites Multiple, Independent Grounds for Dismissal
A stay of discovery is particularly appropriate where, as here, a pending motion to
dismiss has “substantial arguments for dismissal of many, if not all, of the claims asserted.”
Spinelli v. National Football League, No. 13-cv-7398 (RWS), 2015 WL 7302266, at *2
(S.D.N.Y. Nov. 17, 2015) (Sweet, J.). Here, Plaintiff’s Complaint consists of a single
defamation claim. In her motion to dismiss, Ms. Maxwell offers multiple grounds for dismissal
of the entire action, none of which are “unfounded in the law.” Johnson v. New York Univ. Sch.
of Educ., 205 F.R.D. 433, 434 (S.D.N.Y. 2002). Ms. Maxwell respectfully refers the Court to
her Memorandum of Law in Support of Motion to Dismiss wherein she argues as grounds for
dismissal both that the Complaint has various pleading deficiencies and that the alleged
defamatory statements are protected by not one, but two, applicable privileges. Courts in this
district have stayed discovery under similar circumstances. See e.g., Integrated Sys. and Power,
Inc. v. Honeywell Int’l, Inc., No. 09 CV 5874 (RPP), 2009 WL 2777076, at *1 (S.D.N.Y. Sept. 1,
2009) (“granting a stay upon noting that [defendant] has put forth in its motion multiple,
independent arguments for dismissal…”).
While the Court will ultimately decide the merits of Ms. Maxwell’s motion, the presence
of multiple, independent grounds for dismissal, warrants a stay of discovery.
B. The Requested Stay is for a Short Period of Time
Pursuant to Rule 6.1(b) of the Local Rules of this Court, briefing on the Motion to
Dismiss is scheduled to be completed on Monday, December 28. Accordingly, any delay in the
commencement of discovery will last for the time it takes the Court to rule on the Motion to
Dismiss. Such a short stay is unlikely to prejudice the Plaintiff. See id. When balanced against
3
the breadth of discovery required in this case, as detailed below, considerations of judicial
efficiency weigh in favor of a stay. Id. (granting a stay upon noting that doing so “could avoid
the need for costly and time-consuming discovery”).
C. The Nature of the Complaint Necessarily Calls for a Wide-Breadth of
Discovery
The allegations in the Complaint raise factual questions that stretch across multiple
decades, from as early as 1999 to the present, and involve hundreds of individuals. Compl. ¶ 9.
Discovery, therefore, necessarily will be burdensome. Lengthy discovery is inherent in
defamation actions because it is well-settled that in any such claim, “truth is an absolute,
unqualified defense.” Jewell v. NYP Holdings, Inc., 23 F. Supp.2d 348, 366 (S.D.N.Y. 1998).
Here, because the alleged defamatory statements consist of Ms. Maxwell’s denial of the multiple,
and complex allegations levied against her by the Plaintiff concerning events that allegedly
occurred 17 years ago, a wide breadth of discovery will be needed to address the veracity of each
allegation. The sheer number of depositions that will be required alone will be a tremendous
burden on the parties’ resources. This Court has granted a stay of discovery in a recent case
involving similarly complex factual questions. Spinelli, 2015 WL 7302266, at *2.
Plaintiff’s Rule 26 disclosures and First Request for Production of Documents to
Defendant Ghislaine Maxwell amply illustrate this point. In her Rule 26 disclosures, Plaintiff
lists as potential witnesses 94 individuals and four categories of people, such as “all staff at the
Mar-a-Largo Club during 1999.” As to the 94 individuals, she provides one phone number for
one witness and counsel’s contact information for two witnesses and the two parties. The
remaining 89 individuals’ addresses and phone numbers are “unknown at this time.”
In her First Request for Production of Documents, Plaintiff seeks records from the
“period of July 1999 to the present” of broad categories such as:
4
· All documents relating to your travel from the period 1999 – present,” (No. 8);
· All computers, hard drives or copies thereof for all computers in operation
between 1999 – 2002,” (No. 16);
· All telephone records associated with you, including cell phone records from
1999 – present.” (No. 21);
· All documents relating to calendars, schedules or appointments for you from 1999
– present,” (No. 22).
See Motion for Stay, Ex. A. Given the strength of Ms. Maxwell’s Motion to Dismiss, the burden
of responding to such expansive requests is unjustifiable.
II. In the Alternative, Ms. Maxwell Requests Additional Time to Respond to Plaintiff’s
Discovery Requests.
In the alternative, if this Court declines to grant an order staying discovery, for the same
reasons stated above, Ms. Maxwell respectfully requests additional time within which to respond
and/or object to Plaintiff’s First Request for Production of Documents to Defendant Ghislaine
Maxwell, served on October 27, 2015. The original date by which Ms. Maxwell was to respond
to Plaintiff’s First Request for Production is today, November 30, 2015. Ms. Maxwell has not
made any previous requests for an extension of this deadline. Counsel for the Plaintiff has
neither consented nor refused consent to this request. Finally, this extension will not affect any
other scheduled dates.
CONCLUSION
As detailed above, good cause exists to justify a stay of discovery pending Ms.
Maxwell’s motion to dismiss. The motion is dispositive and well founded in law, the stay is of
short duration, and the expected discovery is broad and burdensome. For these reasons, Ms.
Maxwell respectfully requests that this Court stay discovery in this action until this Court reaches
its decision on the motion to dismiss, or in the alternative, that Ms. Maxwell be granted
additional time to respond and/or object to Plaintiff’s First Request for Production.
5
Dated: November 30, 2015.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on November 30, 2015, I electronically filed this Motion for a Stay of
Discovery Pending Decision on Defendant’s Motion to Dismiss with the Clerk of Court using the
CM/ECF system which will send notification to the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S OPPOSITION TO DEFENDANT’S MOTION TO STAY
BOIES, SCHILLER & FLEXNER LLP
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 1 of 26
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. BACKGROUND.................................................................................................................1
II. ARGUMENT ......................................................................................................................6
A. Defendant Has Not Met Her Burden To Show Good Cause For
A Stay In Discovery. ...............................................................................................6
B. Ms. Giuffre’s Claim Is Meritorious And Defendant Has Not Made
An Adequate Showing To Defeat The Claim..........................................................7
1. The Qualified “Self-Defense” Privilege Does Not Protect
The Publication Of Deliberately False Statements......................................8
2. The Qualified Pre-Litigation Privilege Does Not Protect
Mass Publication Of Deliberately False Statements For The
Purpose Of Harassment. ..............................................................................9
3. The Complaint Properly Alleges Defamatory Statements. .......................10
C. Defendant Has Not Shown “Undue Burden”. .......................................................15
D. There Is Substantial Prejudice To Ms. Giuffre In Staying Discovery...................18
CONCLUSION .............................................................................................................................19
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 2 of 26
ii
TABLE OF AUTHORITIES
Page
Cases
Bank of New York v. Meridien Biao Bank Tanzania, Ltd.,
171 F.R.D. 135 (S.D.N.Y. 1997).................................................................................................6
Barrett v. Forest Labs., Inc.,
No. 12-CV-5224 (RA), 2015 WL 4111827 (S.D.N.Y. July 8, 2015) .........................................6
Brach v. Congregation Yetev Lev D'Satmar, Inc.,
265 A.D. 2d 360, 696 N.Y.S. 2d 496 (2d Dep't. 1999) .............................................................12
Brooks v. Macy's, Inc.,
No. 10 CIV 5304 (BSJ/HBP), 2010 WL 5297756 (S.D.N.Y. Dec. 21, 2010) ..........................16
Celle v. Felipino Reporter Enterprises Inc.
209 F. 3d 163 (2d Cir. 2000) .....................................................................................................11
Chesney v. Valley Stream Union Free Sch. Dist.,
236 F.R.D. 113 (E.D.N.Y. 2006).................................................................................................6
Davis v. Boeheim,
24 N.Y. 3d 262, 22 N.E. 3d 999 (2014) ....................................................................................13
Dunn v. Albany Med. Coll.,
No. 09-CV-1031 (LEK/DEP), 2010 WL 2326137 (N.D.N.Y. May 5, 2010) ...........................19
Edwards v. National Audubon Society, Inc.,
556 F. 2d 113 (2d Cir. 1977) .....................................................................................................12
Front v. Khalil,
24 N.Y. 3d 713 (2015).................................................................................................................9
Geordiadis v. First Boston Corp.,
167 F.R.D. 24 (S.D.N.Y. 1996).................................................................................................19
Harris v. Hirsh,
161 A.D. 2d 452, 55 N.Y.S. 2d 735 (1st Dept. 1990) .................................................................8
Howard v. Galesi,
107 F.R.D. 348 (S.D.N.Y. 1985)...............................................................................................15
Howard v. Gutterman,
3 B.R. 393 (S.D.N.Y. 1980) ......................................................................................................19
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 3 of 26
iii
In re Chase Manhattan Corp. Securities Litigation,
No. 90 Civ. 6092 (LMM), 1991 WL 79432 (S.D.N.Y. May 7, 1991) ......................................15
Integrated Sys. And Power Inc. v Honeywell Int'l Inc.,
No. 09 CV 5874 (RPP), 2009 WL 2777076 (S.D.N.Y. Sept. 1, 2009) .......................................7
Josei-Delerme v. Am. Gen. Fin. Corp.,
No. 08 Civ. 3166, 2009 WL 497609 (E.D.N.Y. Feb. 26, 2009) .................................................7
Kaminester v. Weintraub,
131 A.D. 2d 440, 516 N.Y.S. 2d 234 (1987).............................................................................12
Kermichi v. Weissman,
125 A.D. 3d 142, 1 N.Y.S. 3d 169 (N.Y. App. Div. 2014) .........................................................8
Mase v. Reilly,
206 A.D. 434, 201 N.Y.S. 470 (App. Div. 1923)......................................................................12
McNamee v. Clemens,
762 F. Supp. 2d 584 (E.D.N.Y. 2011).......................................................................................11
Mills v. Polar Molecular Corp.,
12 F. 3d 1170 (2d Cir. 1993) .......................................................................................................7
Mirabella v. Turner Broadcasting Systems, Inc.,
No. 01 Civ. 5563 (BSJ), 2003 WL 21146657 (S.D.N.Y. May 19, 2003) ...................................8
Moran v. Flaherty,
No. 92 Civ. 3200, 1992 WL 276913 (S.D.N.Y. Sept. 25, 1992).................................................6
Morien v. Munich Reins. Am., Inc.,
270 F.R.D. 65 (D. Conn. 2010) ...................................................................................................7
Salgado v. City of New York,
No. 00 CIV. 3667 (RWS), 2001 WL 88232 (S.D.N.Y. Feb. 1, 2001) ........................................6
Seung Jin Lee v. Tai Chul Kim,
16 Misc. 3d 1118(A), 847 N.Y.S. 2d 899 (Sup. Ct. 2007)........................................................12
Spinelli, v. National Football League,
No. 13 CIV. 7398 (RWS), 2015 WL 7302266 (S.D.N.Y. Nov. 17, 2015) .....................6, 17, 18
Teicher v. Bellan,
7 A.D. 2d 247, 181 N.Y.S. 2d 842 (1959)...................................................................................8
Usov v. Lazar,
No. 13 CIV. 818 (RWS), 2013 WL 3199652 (S.D.N.Y. June 25, 2013)....................................6
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 4 of 26
iv
Waltzer v. Conner,
No. 83 CIV. 8806 (SWK), 1985 WL 2522 (S.D.N.Y. Sept. 12, 1985)...............................16, 17
Weldy v. Piedmont Airlines, Inc.,
985 F. 2d 57 (2d Cir. 1993) .........................................................................................................8
Worldhomecenter.com, Inc. v. M.J. Resurrection, Inc.,
No. 11 CIV. 3371 (RWS), 2012 WL 12922 (S.D.N.Y. Jan. 3, 2012).........................................7
Other Authorities
Rodney A. Smolla, Vol. 1, Law of Defamation § 8:63 (2d ed. 2014).........................................8, 9
Rodney A. Smolla, Vol. 1, Law of Defamation § 8:64 (2d ed. 2014).........................................8, 9
Robert D. Sack, Sack On Defamation: Libel, Slander, and Related
Problems § 9.3 (4th ed. 2015)......................................................................................................8, 9
Robert D. Sack, Sack On Defamation: Libel, Slander, and Related
Problems § 9.3.1 (4th ed. 2015)...................................................................................................8, 9
Restatement (Second) of Torts § 600 (1977) ..............................................................................8, 9
Restatement (Second) of Torts § 605 (1977) ..............................................................................8, 9
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 5 of 26
1
Plaintiff, Virginia L. Giuffre, by and through her undersigned counsel, hereby files this
Opposition to Defendant’s Motion to Stay, and in support thereof, states as follows:
I. BACKGROUND
This is a single-count defamation case, turning on whether Defendant defamed Ms.
Giuffre by calling her a liar when Ms. Giuffre publicly reported the sexual abuse she suffered as
a minor child. Ms. Giuffre has propounded narrowly tailored discovery that goes to the heart of
the defamation, but rather than respond, Defendant has moved for a stay of all discovery pending
her Motion to Dismiss.
Defendant’s public, defamatory attack on Ms. Giuffre is an unabashed effort to bully this
sexual assault victim into silence. This is an old story. Defendant is calling Ms. Giuffre a “liar”
to deflect attention from her own conduct. Defendant’s main argument is that discovery should
be stayed because Defendant will be successful on her Motion to Dismiss as her defamatory
statements are protected by certain qualified privileges. The case law is clear that the qualified
privileges do not apply if a speaker deliberately published a false defamatory statement or if the
statements are outside the scope of the qualified privilege because their purpose was to bully,
harass, and intimidate. Ms. Giuffre is entitled to discovery to prove that not only were the
Defendant’s defamatory statements false, but also that she knew they were false.
The publicly-available information convincingly proves that Defendant’s statement that
she was not involved in the abuse of Ms. Giuffre is false. Overwhelming evidence – including
documents, witness testimony, and even photographs of Defendant - not only clearly corroborate
Ms. Giuffre’s report of the sex abuse, but also, importantly, show Defendant’s deep and
persistent participation. And obviously, because Defendant herself was helping orchestrate the
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 6 of 26
2
sexual abuse of Ms. Giuffre, her statements attacking Ms. Giuffre were not negligently uttered
but deliberately made.
The evidence begins with the fact that the Federal Bureau of Investigation (FBI) and the
U.S. Attorney’s Office for the Southern District of Florida identified Ms. Giuffre as a sexual
assault victim of Jeffrey Epstein. See Declaration of Sigrid McCawley at Exhibit 1,
Government’s September 9, 2008 Victim Notification Letter. Indeed, Epstein entered into a nonprosecution
agreement with the federal authorities obligating him to pay restitution for his crimes
against Ms. Giuffre. That agreement also protected any “co-conspirators” from prosecution.
The remaining question, then, is whether the Defendant was involved in this sexual
abuse. Again, publicly-available evidence (well known to Defendant) reveals that she was at the
heart of Epstein’s sex trafficking. Defendant cannot dispute that she recruited Ms. Giuffre at the
young age of fifteen (15) to come “massage” Jeffrey Epstein at his Palm Beach mansion.
Publicly available flight logs from convicted pedophile1 Jeffrey Epstein’s private jets show the
Defendant flying close to 360 times and at least 20 of those fights were with Jeffrey Epstein and
Ms. Giuffre, when she was a minor child2. See Decl. of Sigrid McCawley at Composite Exhibit
2, Flight Logs from Jeffrey Epstein’s Plane.3
While the Defendant attempts to argue that this victim’s claims are unbelievable because
she is accusing prominent and wealthy people of sexual abuse, the Defendant provides no
explanation for why she had Ms. Giuffre, who was a minor child at the time, in the Defendant’s
1 Jeffrey Epstein’s criminal case numbers were 2006-cf-009454AXXXMB and 2008-cf-
009381AXXXMB.
2 Over 30 underage victims of Jeffrey Epstein gave statements to the Palm Beach police during their
investigations. One female stated she was recruited to come to Jeffrey Epstein’s home by Ghislaine
Maxwell. See Decl. of Sigrid McCawley at Composite Exhibit 5, Palm Beach Police Reports dated
March 14, 2005 and July 28, 2006.
3 Only a fraction of Jeffrey Epstein’s private jet flight logs are publically available making these numbers
simply a snapshot of the actual flights.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 7 of 26
3
London home, late at night with Prince Andrew’s arm wrapped around her bare waist – all
shown with the Defendant smiling in the background. Despite the photographic evidence
corroborating Ms. Giuffre’s account, Defendant is quick to publicly denounce Ms. Giuffre – a
liar. See Decl. of Sigrid McCawley at Exhibit 3 (picture of Prince Andrew, Ghislaine Maxwell
and Virginia Roberts Giuffre 17 years old at the time of the picture); see also Decl. of Sigrid
McCawley at Exhibit 4, Alfredo Rodriguez July 29, 2009 Dep. Tr. at 200 - 202 (testimony
regarding the close connection between Defendant Maxwell, Prince Andrew and Jeffrey
Epstein).
During the investigation of Jeffrey Epstein, certain household staff were deposed.
Alfredo Rodriguez, who was Jeffrey Epstein’s household manager, testified that the Defendant
frequently stayed in Jeffrey Epstein’s home and assisted with bringing in young girls to act as
“masseuses” for Jeffrey Epstein.
Q. “Okay. Going back to where we started here was, does Ghislaine Maxwell have
knowledge of the girls that would come over to Jeffrey Epstein’s house that are in
roughly the same age group as C. and T. (minor children) and to have a good time as
you put it?
A. Yes.
Q. And what was her involvement and/or knowledge about that?
A. She knew what was going on.”
See Decl. of Sigrid McCawley at Exhibit 4, Alfredo Rodriguez July 29, 2009 Dep. Tr. at 176-
177. See also Decl. of Sigrid McCawley at Exhibit 4, Alfredo Rodriguez July 29, 2009 Depo Tr.
at 96-101 (noting that high school age girls come to the home where Jeffrey Epstein and Ms.
Maxwell reside). Juan Alessi, another household employee, also testified that young girls were
regularly present at Jeffrey Epstein’s home where Ghislaine Maxwell resides. See Decl. of
Sigrid McCawley at Exhibit 6, Juan Alessi September 8, 2009 Dep. Tr. at 10-18, 21-23.
Specifically, Juan Alessi informed the Palm Beach Police Detective as follows: “Alessi stated
that towards the end of his employment, the masseuses were younger and younger. When asked
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 8 of 26
4
how young, Mr. Alessi stated they appeared to be sixteen or seventeen years of age at most.”
(emphasis added.) See Decl. of Sigrid McCawley at Composite Exhibit 5, Palm Beach Police
Incident Report at p. 57.
On November 21, 2005, the Palm Beach Police Department took a sworn statement from
house employee Juan Alessi in which he revealed that girls would come over to give “massages”
and he observed Ms. Maxwell going upstairs in the direction of the bedroom quarters. See Decl.
of Sigrid McCawley at Exhibit 7, November 21, 2005 Sworn Statement at 10. He also testified
that after the massages, he would clean up sex toys that were kept in “Ms. Maxwell’s closet.” Id.
at 12-13. He added that he and his wife were concerned with what was going on at the house (Id.
at 14) and that he observed girls at the house, including one named “Virginia.” Id. at 21.
Defendant also had naked pictures of girls performing sexual acts on her computer
according to Mr. Rodriguez. See Decl. of Sigrid McCawley at Exhibit 4, Alfredo Rodriguez
August 7, 2009 Dep. Tr. at 311-312.
Q. “Did they appear to be doing any sexual?
A. Yes, ma’am.
Q. And in these instances were there girls doing sexual things with other girls?
A. Yes, ma’am.
Q. And I’m still talking about the pictures on Ms. Maxwell’s computer.
A. Yes, ma’am.”
Upon leaving his employment, Rodriguez testified that Defendant threatened him that he should
not tell anyone about what happened at the house:
A. “I have to say something. Mrs. Maxwell called me and told me not to ever discuss or
contact her again in a threaten(ing) way.
Q. When was this?
A. Right after I left because I call one of the friends for a job and she told me this, but,
you know, I feel intimidated and so I want to keep her out…
Q. She made a telephone call to you and what precisely did she say?
A. She said I forbid you that you’re going to be – that I will be sorry if I contact any of
her friends again…She said something like don’t open your mouth or something like
that. I’m a civil humble, I came as an immigrant to service people, and right now you
feel a little –I’m 55 and I’m afraid. First of all, I don’t have a job, but I’m glad this is
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 9 of 26
5
on tape because I don’t want nothing to happen to me. This is the way they treat you,
better do this and you shut up and don’t talk to nobody and—
Q. When you say this is the way they treat, who specifically are you talking about when
you say that word they?
A. Maxwell. ”
See Decl. of Sigrid McCawley at Exhibit 4, Alfredo Rodriguez July 29, 2009 Dep. Tr. at 169 –
172.
This is not the first time Defendant has tried to avoid discovery about her conduct.
Notably, in 2009, an attorney representing some of Epstein’s sexual abuse victims served
Defendant Maxwell with a subpoena for a deposition in a civil case against Jeffrey Epstein.
After extensive discussion and coordinating a convenient time and place, as well as ultimately
agreeing to a confidentiality agreement prepared by Defendant’s then attorney, at the eleventh
hour Maxwell’s attorney informed the victims’ attorney that Maxwell’s mother was very ill and
that consequently Maxwell was leaving the country with no plans to return. The deposition was
cancelled. Yet a short time later, Maxwell was photographed at a high-profile wedding in
Rhinebeck, New York, confirming the suspicion that she was indeed still in the country and
willing to say virtually anything in order to avoid her deposition. See Decl. of Sigrid McCawley
at Composite Exhibit 8, Maxwell Deposition Notice; Subpoena and Cancellation Payment
Notice, and January 13, 2015 Daily Mail Article.
Simply put, given the mountain of evidence proving that the Defendant was heavily
involved in Epstein’s sex trafficking – and evaded answering questions about her involvement –
she is not entitled to any delay in the normal litigation process. There is no basis to grant
Defendant a stay of discovery.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 10 of 26
6
II. ARGUMENT
A. Defendant Has Not Met Her Burden To Show Good Cause For A Stay In
Discovery.
Defendant’s main argument is that a stay should be granted because she believes she will
be successful in dismissing Ms. Giuffre’s defamation claim. If that were the standard, then
discovery in every civil case would be stayed at the commencement of the action until the court
ruled on the motion to dismiss because virtually all defendants in civil cases believe their
motions to dismiss will be successful. Of course, Defendant’s far-fetched position is not the law.
See Usov v. Lazar, No. 13 CIV. 818 (RWS), 2013 WL 3199652, at *8 (Sweet, J.) (S.D.N.Y. June
25, 2013) (citing Moran v. Flaherty, No. 92 Civ. 3200, 1992 WL 276913, at *1 (S.D.N.Y. Sept.
25, 1992)) (“[D]iscovery should not be routinely stayed simply on the basis that a motion to
dismiss has been filed;”...“had the Federal Rules contemplated that a motion to dismiss under
FRCP 12(b)(6) would [automatically] stay discovery, they would contain a provision.”).
Defendant has not met her burden of showing good cause to justify a stay of discovery
pending a ruling on her motion to dismiss.4 “The pendency of a dispositive motion is not an
automatic ground for a stay5; instead, courts consider three factors: (1) whether a defendant has
made a strong showing that the plaintiff's claim is unmeritorious, (2) the breadth of discovery
and the burden of responding to it, and (3) the risk of unfair prejudice to the party opposing the
stay.” Spinelli v. Nat'l Football League, No. 13 CIV. 7398 (RWS), 2015 WL 7302266, at *2
4 A party seeking a protective order has the burden to establish that such an order it warranted, showing
good cause. See Bank of New York v. Meridien Biao Bank Tanzania Ltd., 171 F.R.D. 135, 143 (S.D.N.Y.
1997); Salgado v. City of New York, No. 00 CIV. 3667 (RWS), 2001 WL 88232, at *1 (S.D.N.Y. Feb. 1,
2001).
5 “It, of course, is black letter law that the mere filing of a motion to dismiss the complaint does not
constitute ‘good cause’ for the issuance of a discovery stay.” Barrett v. Forest Labs., Inc., No. 12-CV-
5224 (RA), 2015 WL 4111827, at *4 (S.D.N.Y. July 8, 2015) (citing Chesney v. Valley Stream Union
Free Sch. Dist. No. 24, 236 F.R.D. 113, 115 (E.D.N.Y. 2006)).
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 11 of 26
7
(S.D.N.Y. Nov. 17, 2015) (citing Morien v. Munich Reins. Am., Inc., 270 F.R.D. 65, 66-67 (D.
Conn. 2010); Josie-Delerme v. Am. Gen. Fin. Corp., No. 08 Civ. 3166, 2009 WL 497609, at *1
(E.D.N.Y. Feb. 26, 2009)).6 Defendant has not met her burden as to any aspect of this test.
B. Ms. Giuffre’s Claim Is Meritorious And Defendant Has Not Made An
Adequate Showing To Defeat The Claim.
Of course, in ruling on a motion to dismiss, the Court must take all allegations in the
Complaint as true. Worldhomecenter.com, Inc. v. M.J. Resurrection, Inc., (Sweet, J.) No. 11
CIV. 3371 (RWS), 2012 WL 12922, at *2 (S.D.N.Y. Jan. 3, 2012) (citing Mills v. Polar
Molecular Corp., 12 F.3d 1170, 1174 (2d Cir.1993)). Taking the allegations here as true,
Defendant does not, and cannot, show that Ms. Giuffre’s claim is unmeritorious. Ms. Giuffre has
properly alleged a simple claim for defamation based on Defendant publically proclaiming that
Ms. Giuffre is a “liar” when Ms. Giuffre reported her sexual abuse. While Defendant has tried to
muddy the waters by raising privilege claims, those privileges do not save the Defendant.
Defendant argues that two privileges protect her defamatory statements: (1) the “self-defense”
privilege and (2) the “pre-litigation” privilege. But both of those privileges are qualified
privileges, which disappear in situations where a speaker has published statements knowing they
were false or when they were made to bully, harass and intimate, respectively. Here, Defendant
has not only made defamatory statements which were plainly false, but also made the statements
with the malicious intent to ruin the reputation of this sexual assault victim. Because Ms.
Giuffre’s complaint repeatedly and specifically alleges that Defendant has knowingly lied about
Ms. Giuffre, the Motion to Dismiss is frivolous.
6 The cases Defendant cites to support her stay are readily distinguished. For example, Defendant relies
on Integrated Sys. And Power Inc. v. Honeywell Int’l Inc., No. 09 CV 5874 (RPP), 2009 WL 2777076 at
*1 (S.D.N.Y. Sept. 1, 2009) for the proposition that the Court should grant a stay, yet that case involved a
number of complicated antitrust claims against multiple distributors which would require extensive
discovery. This case involves a single defamation claim between two individuals.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 12 of 26
8
1. The Qualified “Self Defense” Privilege Does Not Protect The Publication Of
Deliberately False Statements.
As will be explained fully in the Opposition to Maxwell’s Motion to Dismiss, the “selfdefense”
privilege does not protect the Defendant for a number of reasons. Most fundamentally,
the self-defense privilege is inapplicable because Ms. Giuffre has alleged that Defendant made
not only false and defamatory statements, but did so deliberately. See, e.g., Complaint, ¶ 8
(“Maxwell made her false statements knowing full well that they were completely false.
Accordingly, she made her statements with actual and deliberate malice, the highest degree of
awareness of falsity.”) This allegation alone defeats the application of the privilege.7 As the
Second Circuit has made clear, even if a qualified privilege otherwise applies, it “is nevertheless
‘forfeited if the defendant steps outside the scope of the privilege and abuses the occasion.’”
Weldy v. Piedmont Airlines, Inc., 985 F.2d 57, 62 (2d Cir. 1993) (quoting Harris v. Hirsh, 161
A.D.2d 452, 453, 55 N.Y.S. 2d 735, 737 (1st Dep’t 1990) which quoted Prosser and Keeton on
Torts §115, at 832 (5th ed. 1984); see also Mirabella v. Turner Broadcasting Systems, Inc., Case.
No. 01 Civ. 5563 (BSJ), 2003 WL 21146657, at *4 (S.D.N.Y. May 19, 2003) (court refusing to
dismiss slander claim as premature based on assertion of qualified privilege); see also Rodney
A. Smolla, Vol. 1, Law of Defamation § 8:63, 8:64 (2d ed. 2014); Robert D. Sack, Sack on
Defamation: Libel, Slander, and Related Problems § 9.3 and § 9.3.1 (4th ed. 2015); Restatement
(Second) of Torts §§ 600, 605 (1977).
In Weldy, the Second Circuit explained that a Plaintiff may defeat an assertion of a
qualified privilege by demonstrating abuse of the privilege “by proving that the defendant acted
(1) with common law malice, or (2) outside the scope of the privilege, or (3) with knowledge that
7 The case law also makes clear that a decision on a qualified privilege would be premature at the Motion
to Dismiss stage. See Teichner v. Bellan, 7 A.D. 2d 247, 252, 181 N.Y.S. 2d 842 (1959); See also
Kermichi v. Weissman, 125 A.D. 3d 142, 159, 1 N.Y.S. 3d 169, 182 (N.Y. App. Div. 2014). Accordingly,
there is no basis for staying discovery based on the assertion of a qualified privilege.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 13 of 26
9
the statement was false or with a reckless disregard as to its truth.” Id. at 62. Defendant’s
assertion of a privilege will also be defeated if the defamatory statement was made “in
furtherance of an improper purpose.” Id. Here, Ms. Giuffre’s Complaint repeatedly alleges that
not only was Defendant’s statement false, but also that she made the statement with malice and
knowledge of its falsity. Accordingly, the Defendant’s motion to dismiss based on a claim of
qualified “self-defense” privilege must be denied.
2. The Qualified Pre-Litigation Privilege Does Not Protect Mass Publication Of
Deliberately False Statements For The Purpose Of Harassment.
Defendant fares no better in asserting the “pre-litigation” privilege. As with the “selfdefense
privilege,” the privilege is (at most) a qualified privilege. And, like the self-defense
privilege, at the motion to dismiss stage, the privilege disappears in the face of a well-pleaded
allegation that the statement is not pertinent to a good faith anticipated litigation and, instead, the
Defendant has deliberately published the false statements for improper purposes, outside the
scope of the privilege. See Front, Inc. v. Khalil, 24 N.Y. 3d 713, 719-20 (2015) (“To ensure that
such [pre-litigation] communications are afforded sufficient protection the privilege should be
qualified… This requirement ensures that the privilege does not protect attorneys who are
seeking to bully, harass, or intimidate their client’s adversaries by threatening baseless litigation
or by asserting wholly unmeritorious claims, unsupported in law or fact, in violation of counsel’s
ethical obligations.”); See also Rodney A. Smolla, Vol. 1, Law of Defamation § 8:63; 8:64; (2d
ed. 2014); Robert D. Sack, Sack on Defamation: Libel, Slander, and Related Problems § 9.3 and
§ 9.3.1; (4th ed. 2015); Restatement (Second) of Torts §§ 600, 605 (1977). Simply put,
Defendant’s statements are outside the scope of the qualified pre-litigation privilege because they
were not made pertinent to a good faith anticipated litigation, but, instead, were made to bully,
harass, and intimidate the Defendant. Here, the 2015 actionable statement calling Ms. Giuffre’s
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 14 of 26
10
claims “obvious lies” was issued by Maxwell’s press agent, Ross Gow, to the media for national
and international publication. New York courts have only extended the pre-litigation qualified
privilege to communications among counsel and parties directly discussing issues related to
anticipated litigation, and Defendant cites to no case in which courts have extended this qualified
privilege to a press agent who issues a press release. Defendant’s motion to dismiss on this
ground is, accordingly, without merit and provides no basis for a stay of discovery.
3. The Complaint Properly Alleges Defamatory Statements.
Defendant’s motion to dismiss also argues that “[v]iewed in context,” the statements are
not actionable. Here again, at the motion to dismiss stage, such an argument is frivolous. To
prevail on her motion to dismiss, the Defendant would have to show that, as matter of law, the
“context” of the allegations rendered them non-defamatory. But to prevail on a claim of
“context”, the Defendant would have to show a fully developed factual record. Of course, that is
impossible at this early stage of the proceedings.
Moreover, Ms. Giuffre has properly alleged that the context of the statements proves a
defamatory statement. The Complaint, for example, alleges that “Maxwell’s false statements
directly stated and also implied that in speaking out against sex trafficking Giuffre acted with
fraud, dishonesty, and unfitness for the task.” ¶ 12. In addition, the Complaint alleges,
“Maxwell’s false statements directly and indirectly indicate that Giuffre lied about being
recruited by Maxwell and sexually abused by Epstein and Maxwell. Maxwell’s false statements
were reasonably understood by many persons who read her statements as conveying that specific
intention and meaning.” ¶ 12. And the Complaint alleges, “Maxwell’s false statements were
reasonably understood by many persons who read those statements as making specific factual
claims that Ms. Giuffre was lying about specific facts.” ¶ 14. In the teeth of these specific
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 15 of 26
11
allegations about context (never discussed by the Defendant), the Defendant’s Motion to Dismiss
is – once again – frivolous.
The Motion to Dismiss is frivolous for other reasons as well. Defendant argues that Ms.
Giuffre failed to allege defamation per se yet this is belied by the face of the Complaint. The
Complaint alleges that the Defendant’s false statements “also constitute libel per se inasmuch as
they intended to injure Ms. Giuffre in her professional capacity as the president of a non-profit
corporation designed to help victims of sex trafficking, and inasmuch as they destroyed her
credibility and reputation among members of the community that seek her help and that she
seeks to serve.” Complaint ¶ 11. See Celle v. Filipino Reporter Enterprises Inc., 209 F. 3d 163,
179 (2d Cir. 2000) (“a writing which tends to disparage a person in the way of his office,
profession or trade is defamatory per se and does not require proof of special damages.”)
(Emphasis original, quotations and citations omitted).
Defendant’s argument that her statement is not defamatory because it is a “mere denial”
is also flatly contradicted by the prevailing case law. Indeed, the case law makes quite clear that
the Defendant’s public accusation that Ms. Giuffre lied about her sexual abuse goes beyond a
“mere denial” and, therefore, properly alleges a defamatory meaning. In McNamee v. Clemens,
762 F. Supp. 2d 584, 601-602 (E.D.N.Y. 2011) the court held that “denials coupled with
accusations that the accuser will be proven a liar and has lied in front of members of Congress
cross the line from general denial to specific accusations reasonably susceptible of a defamatory
meaning,” because “some of Clemens’ statements branding McNamee a liar contain the
‘actionable implication that [Clemens] knows certain facts, unknown to his audience, which
support his opinion.’” Id., 762 F. Supp. 2d at 601. Accordingly, “[a]n attack on a person's
integrity by impugning his character as dishonest or immoral may form the basis of a defamation
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12
if an ordinary listener would tend to credit the statements as true.” Id. at 602. Here, Defendant
has attacked Ms. Giuffre’s integrity, calling her dishonest and a “liar,” implying that Defendant
knows certain facts unknown to her audience that support her opinion, and an ordinary listener
would tend to credit these accusations of lying as true because Defendant knew Ms. Giuffre
personally at the time of the alleged abuse.
It is well established under New York law and in the Second Circuit that falsely calling a
person a liar is defamatory and not subject to a motion to dismiss. See Edwards v. Natn’l
Audubon Soc., Inc. 556 F. 2d 113, 121-22 (2d Cir. 1977) (“The appellees were charged with
being “paid to lie”. It is difficult to conceive of any epithet better calculated to subject a scholar
to the scorn and ridicule of his colleagues than “paid liar.” It is this completely foundationless
accusation of venality that constitutes the essence of the calumny against the appellees.”); Seung
Jin Lee v. Tai Chul Kim, 16 Misc. 3d 1118(A), 847 N.Y.S.2d 899 (Sup. Ct. 2007) (denying a
motion to dismiss when the defendant stated that plaintiff “is a liar; she tried to cover all the
truth; how could she serve the Lord with lies; and she and her followers are satanic”); Brach v.
Congregation Yetev Lev D'Satmar, Inc., 265 A.D. 2d 360, 360-61, 696 N.Y.S. 2d 496, 498 (2d
Dep't 1999) (reversing an order of dismissal and reinstating defamation action based upon a
publication stating that a court action was won “by lies and deceit,” finding that the statements at
issue were actionable statements of “mixed opinion,” and noting that they suggested to the
average reader that they were supported by some unknown facts); Kaminester v. Weintraub, 131
A.D. 2d 440, 441, 516 N.Y.S. 2d 234, 234 (1987) (“inasmuch as the defendant Dr. Weintraub
accused the plaintiff of personal dishonesty, the allegedly libelous statements are not
constitutionally protected expressions of opinion”); Mase v. Reilly, 206 A.D. 434, 436, 201
N.Y.S. 470, 472 (App. Div. 1923) (“The charge that a man is lying, at least, in a matter of public
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13
interest, is such a charge as tends to hold him up to scorn, as matter of law, and prima facie a
complaint stating the making in writing of such a charge is good.”).
Indeed, just last year, the New York Court of Appeals addressed a case with facts
strikingly similar to this one. In Davis v. Boeheim, 24 N.Y. 3d 262, 22 N.E. 3d 999 (2014),
plaintiffs were victims of sexual molestation by Bernie Fine, a former associate head basketball
coach for Syracuse University. Following plaintiff’s accusations of sex abuse, James Boeheim,
Fine’s friend and another Syracuse Basketball coach, made statements to ESPN.com calling
plaintiffs liars. Plaintiffs filed a suit for defamation for those and other statements made by
Boeheim and published by the media.
The lower court granted a motion to dismiss on the basis that the statements were nonactionable
opinion because a reasonable reader would conclude that the statements were biased
personal opinion. But the Court of Appeals reversed, holding that the complaint was sufficient
to survive a motion to dismiss. Accordingly, the Boeheim court held that “[t]here is a reasonable
view of the claims upon which [plaintiffs] would be entitled to recover for defamation; therefore
the complaint must be deemed to sufficiently state a cause of action.” Id. at 274.
Similarly, Defendant asserted readily understood facts, not opinion, by falsely stating the
alleged “fact” that Ms. Giuffre’s accusations of sexual abuse are lies, an allegation that is capable
of being proven true or false. As we know, this is a specific allegation in the Complaint. See
Complaint, ¶ 14 (“Maxwell specifically directed her false statements at Giuffre’s true public
description of factual events, and many persons who read Defendant’s statements reasonably
understood that those statements referred directly to Ms. Giuffre’s account of her life as a young
teenager with Maxwell and Epstein.”). Also, similarly, given the close relationship between
Defendant and Epstein, and that Defendant knew Ms. Giuffre from the time when she was a
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14
child victim, the circumstances signal that what is being read is likely to be fact. Accordingly,
upon any reasonable view of the stated facts, plaintiff would be entitled to recovery for
defamation, and therefore, the complaint must be deemed to sufficiently state a cause of action.
Defendant also attempts to rely on the alleged fact that her press release from 2011 was
directed at the British Press as a threat that litigation could be forthcoming. Defendant
obfuscates the fact, however, that Ms. Giuffre’s defamation claim alleges a direct attack on Ms.
Giuffre’s character in 2015 – a separate attack and apart from any four-year-old theoretical
threats to the British press. As specifically recounted in the Complaint, the Defendant’s 2015
attack on Ms. Giuffre included this statement:
The Allegations made…against Ghislaine Maxwell are untrue. The Original
allegations are not new and have been fully responded to and shown to be untrue.
Each time the story is retold it changes, with new salacious details about public
figures. (The woman’s) claims are obvious lies and should be treated as such and
not publicized as news as they are defamatory. Ghislaine Maxwell’s original
response to the lies and defamatory claims remains the same. Miss Maxwell
strongly denies allegations of any unsavory nature, which have appeared in the
British press and elsewhere and reserves her right to seek redress at the repetition
of such claims.”
(Emphasis added to mirror statements set forth in paragraph 30 of the Complaint).
Nor is any merit to Defendant’s claim that the Complaint allegations are deficient.
Defendant does not deny making the statements, and Ms. Giuffre has adequately pled all of the
elements of a defamation claim with particularity and supporting facts. First, she has pled a
defamatory statement concerning another: Defendant stated, through her press agent, that Ms.
Giuffre’s reports of her child sexual abuse were “obvious lies.” Complaint at ¶ 30. Second, she
has pled publication to third parties, stating that Defendant’s agent “issued an additional false
statement to the media and public,” and to “a reporter on a Manhattan street.” Id. at ¶ 30, ¶ 37.
Third, Ms. Giuffre has alleged more than “fault amounting to at least negligence on the part of
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 19 of 26
15
the publisher.” Indeed, Ms. Giuffre has specifically alleged malice. Among other similar
allegations, the Complaint states: “Maxwell’s statements were published intentionally for the
malicious purpose of further damaging a sexual abuse and sexual trafficking victim; to destroy
Giuffre’s reputation and credibility” and that Defendant “made her false statements knowing full
well that they were completely false. Accordingly, she made her statements with actual and
deliberate malice, the highest degree of awareness of falsity.” Complaint at p. 8-9.
Even if there were some kind of technical deficiency in the pleadings, that does not
justify a stay of discovery. As Judge McKenna noted in In re Chase Manhattan Corp. Securities
Litigation, even if dismissal were to be granted, plaintiffs might thereafter successfully amend
their complaint, and allowing discovery to go forward could move the action along toward a
speedier resolution. No. 90 Civ. 6092 LMM, 1991 WL 79432, at *1 (S.D.N.Y. May 7, 1991)
(“Should the complaint (or an amended complaint) be sustained .., commencement of the
discovery process, while no doubt imposing some burden on defendants, will advance the
ultimate disposition of this action”). Defendant has not established that Ms. Giuffre’s pleading is
deficient in any way – much less that any deficiency could not be easily corrected through
amendment. Accordingly, her motion to stay discovery should be denied.
C. Defendant Has Not Shown “Undue Burden”
Defendant also falls woefully short of supporting her claim of undue burden in fulfilling
her discovery obligations. Her failure is understandable given the voluminous number of
decisions denying stay requests in contexts analogous to this case. See, e.g., Howard v. Galesi,
107 F.R.D. 348, 351 (S.D.N.Y. 1985) (denying a motion to stay discovery pending a motion to
dismiss because plaintiff’s discovery request was not futile, it was limited in scope, and the
“motion to dismiss was not necessarily dispositive since it concerns the particularity of the
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16
pleadings, which may be amended.”) (Emphasis added.); Waltzer v. Conner, No. 83 CIV. 8806
(SWK), 1985 WL 2522, at *1 (S.D.N.Y. Sept. 12, 1985) (denying a motion to stay discovery
pending resolution of the motion to dismiss, stating, “‘[b]urdensome and oppressive’ is a
shibboleth of little value to this Court. Furthermore, good cause is not necessarily established
solely by showing that discovery may involve inconvenience and expense”) (Emphasis added).
Two related factors a court may consider in deciding a motion for a stay of discovery are
the breadth of discovery sought and the burden of responding to it. See Brooks v. Macy's, Inc.,
No. 10 CIV 5304 (BSJ/HBP), 2010 WL 5297756, at *2 (S.D.N.Y. Dec. 21, 2010) (citing Anti–
Monopoly, Inc., 1996 WL 101277, at *3, 1996 U.S. Dist. LEXIS 2684, at *6–7).
Plaintiff served thirty (30) specific and narrowly tailored discovery requests that are
intended to gather information about the key documents and witnesses in this case. The requests
are not overly burdensome and relate directly to the Plaintiff’s claim that she was a victim of
sexual abuse, and therefore, Maxwell’s statement that she is a “liar” is defamatory.
Take Juan Alessi, the housekeeper for Jeffrey Epstein’s Palm Beach home, where
Defendant also resided. He testified that the Defendant kept a book of nude photos of females on
her desk. See Decl. of Sigrid McCawley at Exhibit 6, Juan Alessi September 8, 2009 Depo Tr. at
19. Plaintiff recalls being photographed in the nude by the Defendant when she was underage.
Plaintiff’s First Request for Production 18 seeks: “All video tapes, audio tapes, photographs or
any other print or electronic media relating to Virginia Roberts Giuffre.” See Decl. of Sigrid
McCawley at Exhibit 9, Plaintiff’s First Request for Production 18. Any photos or other media
that Defendant has in her possession, custody or control that relates to Ms. Giuffre would be
directly relevant to the sexual abuse underlying the defamatory statement in this case. Ms.
Giuffre also seeks documents evidencing communications between Ms. Giuffre and the
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 21 of 26
17
Defendant. See Decl. of Sigrid McCawley at Exhibit 9, Plaintiff’s First Request for Production
Request No. 2. These documents are highly relevant to establish the involvement of the
Defendant in Ms. Giuffre’s sexual abuse. Simply put, the discovery seeks all documents related
specifically to the issues in this case and is, therefore, not overly burdensome.
Defendant complains about the number of individuals in Plaintiff’s Rule 26 disclosures,
but the overwhelming majority of those witnesses were disclosed in an abundance of caution, in
order to identify all individuals who “may” have information relating to this case. Only a
fraction of those individuals will actually be witnesses in this case, and as discovery progresses,
the list will be further narrowed.8 Defendant further complains that the discovery concerns
events that took place 17 years ago, when Ms. Giuffre was a minor sexual abuse victim. Yet,
Defendant wholly fails to explain why producing older records should place an undue burden
upon her beyond a general claim of some “inconvenience and expense.” Waltzer, 1985 WL
2522, at *1. Defendant recruited Ms. Giuffre for sexual abuse in 1999. Any existing records
from that period are relevant to Ms. Giuffre’s claim, and she is entitled to their discovery.
Finally, Defendant’s invocation of Spinelli v. Nat'l Football League is inapposite. This
court granted a stay in discovery in Spinelli due to “the fact that there are currently 40 defendants
named in the lawsuit, the intricacy of the contractual provisions involved, and the complex
copyright and antitrust claims asserted” and because a stay “may also have the advantage of
simplifying and shortening discovery in the event that some of Plaintiffs' claims are dismissed
and others survive, by limiting the scope of the parties' inquiry to claims that have been
established as potentially viable.” Spinelli v. Nat'l Football League, No. 13 CIV. 7398 (RWS),
2015 WL 7302266, at *2 (S.D.N.Y. Nov. 17, 2015). None of those factors are present in this
simple defamation case. Instead of multiple claims brought by seven (7) plaintiffs against forty
8 As of the date of this filing, zero (0) disposition notices have been propounded on Defendant.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 22 of 26
18
(40) defendants in Spinelli, there is merely one claim brought by one plaintiff against one
defendant. Instead of complex issues of antitrust and copyright law in Spinelli, there is one,
simple defamation claim based upon Defendant’s widely-publicized statements. Furthermore,
there are no outstanding dispositive motions whose rulings would refine the scope of the claims
or reduce the number of parties, as in Spinelli. Instead, there is merely a motion to dismiss a
sole, well-pled count.
D. There Is Substantial Prejudice To Ms. Giuffre In Staying Discovery
There is risk of substantial prejudice to Ms. Giuffre in allowing discovery to be stayed.
Ms. Giuffre has already accommodated Defendant by agreeing to an extension of time that gave
her close to 70 days from the date of service to file her responsive pleading. On October 27,
2015, Ms. Giuffre served Defendant with Requests for Production of Documents that are
narrowly tailored to get to the heart of the issue in this case. By the date of the January 14, 2016
hearing on this Motion to Stay, Ms. Giuffre’s discovery requests will have been pending for two
and a half months without a response. The Court has set a tight schedule for the discovery in this
matter which must be completed in seven months. Defendant’s effort to stay discovery
indefinitely until the Court rules on the Motion to Dismiss would severely prejudice Ms. Giuffre.
There are key witnesses in this case who are living abroad and subpoenas will need to be
coordinated internationally. A stay in discovery may cause testimony of those key witnesses to
be forfeited if Defendant is allowed to run out the clock by shrinking the discovery period as she
proposes in the instant motion.
Moreover, the Court should be aware that the Defendant has, in the past, used delay in
discovery as a means to defeat any discovery at all. As recounted above, in 2009, the Defendant
stalled her deposition, only to apparently disappear to an overseas location.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 23 of 26
19
In addition, given that the underlying sexual abuse in this case happened a number of
years ago, it is imperative that Ms. Giuffre be able to obtain documents and depose witnesses
quickly to ensure that memories do not fade and documents are not destroyed. “A stay would
frustrate rather than advance judicial administration. As time progresses, evidence becomes stale,
memories fade, and the search for truth necessarily becomes more elusive.” Howard v.
Gutterman, 3 B.R. 393, 394 (S.D.N.Y. 1980). The problems of fading memories, destruction of
evidence and unavailability of witnesses are augmented in particular in this case, because much
of the discovery concerns events that took place beginning in 1999. See Dunn v. Albany Med.
Coll., No. 09-CV-1031 (LEK/DEP), 2010 WL 2326137, at *7 (N.D.N.Y. May 5, 2010) report
and recommendation adopted in part, No. 1:09-CV-1031 (LEK/DEP), 2010 WL 2326127
(N.D.N.Y. June 7, 2010) (in a case regarding events that occurred more than 16 years ago, the
Court determined that “the considerable prejudice to defendant in prolonging discovery any
further, given the passage of time since alleged events occurred, was sufficient to trump any
other countervailing factors weighing in favor of a stay”) (citing Geordiadis v. First Boston
Corp., 167 F.R.D. 24, 25 (S.D.N.Y. 1996) (“The passage of time always threatens difficulty as
memories fade. Given the age of this case [six years], that problem probably is severe already.
The additional delay that plaintiff has caused here can only make matters worse.”)) (emphasis
added.)
CONCLUSION
Based upon the foregoing, Plaintiff respectfully requests that this Court deny the stay and
allow for discovery to proceed as scheduled.
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 24 of 26
20
Dated: December 10, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 25 of 26
21
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on December 10, 2015, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 20 Filed 12/10/15 Page 26 of 26
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF
PLAINTIFF’S OPPOSITION TO DEFENDANT’S MOTION TO STAY
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Opposition to Defendant Maxwell’s Motion to Stay.
3. Attached hereto as Exhibit 1, is a true and correct copy of the Government’s
September 3, 2008 Victim Notification Letter.
4. Attached hereto as Composite Exhibit 2, is a true and correct copy of flight logs
for Jeffrey Epstein’s private jet, and a summary chart reflecting flights where Ms. Giuffre and
Defendant were listed as passengers, and a chart listing the airport codes.
5. Attached hereto as Exhibit 3, is a true and correct copy of a picture of Prince
Andrew, Ghislaine Maxwell and Virginia Roberts Giuffre.
Case 1:15-cv-07433-RWS Document 21 Filed 12/10/15 Page 1 of 4
2
6. Attached hereto as Exhibit 4, is a true and correct copy of Excerpts from the July
29, 2009 and August 7, 2009 Deposition Transcripts of Alfredo Rodriguez.
7. Attached hereto as Composite Exhibit 5, is a true and correct copy of the Palm
Beach Police Reports dated March 14, 2005 and July 28, 2006.
8. Attached hereto as Exhibit 6, is a true and correct copy of Excerpts from the
September 8, 2009 Deposition Transcript of Juan Alessi.
9. Attached hereto as Exhibit 7, is a true and correct copy of Juan Alessi’s
November 21, 2005 Sworn Statement.
10. Attached hereto as Composite Exhibit 8, is a true and correct copy of the Notice
of Deposition of Ghislaine Maxwell, Subpoena and Cancellation Payment Notice, and January
13, 2015 Daily Mail, “Bill Clinton pictured with Jeffrey Epstein’s social fixer at Chelsea’s
wedding AFTER severing links with disgraced pedophile.”
11. Attached hereto as Exhibit 9, is a true and correct copy of Plaintiff’s First Request
for Production of Documents to Defendant, dated October 27, 2015.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
Case 1:15-cv-07433-RWS Document 21 Filed 12/10/15 Page 2 of 4
3
Dated: December 10, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 21 Filed 12/10/15 Page 3 of 4
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on December 10, 2015, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 21 Filed 12/10/15 Page 4 of 4
COMPOSITE EXHIBIT 2
(Part 1)
DATE FROM TO PASSENGERS
12/11/2000 West Palm Beach, FL (PBI) (TEB) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
12/17/2000 (TEB) (TIST) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Alberto Pinto (AP)
01/26/2001 (TEB) West Palm Beach (PBI) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
01/27/2001 (PBI) (TIST) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
01/30/2001 (TIST) (PBI) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
03/05/2001 (PBI) (CYJT) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Gary Roxburgh
03/06/2001 (CYJT) LFPB) Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Gary Roxburgh
03/08/2001 LFPB LGGR Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Alberto & Linda Pinto, 1 female, Ricardo Legorgia
03/08/2001 LEGR GMTT Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Alberto & Linda Pinto, 1 female
03/09/2001 GMTT EGGW Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
03/11/2001 EGGW BGR Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
03/11/2001 BGR TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor
03/27/2001 PBI TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor, 2
females, Banu Kukuckoulu, RGR
03/29/2001 TEB SAF Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Alberto Pinto,
Banu Kukuckoulu, Marvin Minsky, Henry Jarecki
03/31/2001 SAF PBI Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Alberto Pinto,
Banu Kukuckoulu, Nadia Bjorlin, Henry Jarecki, Marvin Minsky
04/11/2001 TEB TIST Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Alberto Pinto,
Banu Kukuckoulu, Joann
04/16/2001 TIST PBI Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Alberto Pinto,
Banu Kukuckoulu, Gwendolyn Beck
05/14/2001 TIST TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Banu Kukuckoulu, 1 female
07/08/2001 PBI TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Alberto Pinto, Seridan Gibson, 1 female, Gary Roxburgh
07/11/2001 TEB CPS Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Gary Roxburgh
07/16/2001 SAF TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Emmy Taylor,
Gary Roxburgh
06/21/2002 PBI MYEF Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Sarah Kellen
Cindy Lopez, Jean Luc Brunel, Pete Rathgeb
08/17/2002 SAF TEB Virginia Roberts, Ghislaine Maxwell, Jeffrey Epstein, Sarah Kellen,
Cindy Lopez, Dan Mruan, Edwardo, Alfredo, Margarita, Mick Simmons
Total No. of Flights: 23

COMPOSITE EXHIBIT 2
(Part 2)
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UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF NEW YORK
Virginia L. Giuffre,
Plaintiff,
v.
Ghislaine Maxwell,
Defendant.
Case No.: 15-cv-07433-RWS
REPLY MEMORANDUM OF LAW IN SUPPORT OF
DEFENDANT’S MOTION FOR A STAY OF DISCOVERY
Laura A. Menninger
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
303.831.7364
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 1 of 14
i
Table of Contents
ARGUMENT ....................................................................................................................... 2
I. The Motion to Dismiss is Dispositive and Well Founded In Law ..................... 2
II. Discovery in This Case Will be Extremely Costly and Burdensome ................ 4
III. Plaintiff Cannot Establish Substantial Prejudice ............................................... 6
IV. Plaintiff’s “Background” Section Should Be Disregarded ............................... 9
CONCLUSION ................................................................................................................. 10
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1
Contrary to Plaintiff’s assertions, this is not a “simple defamation case.” Rather, under
the guise of a single claim for defamation, Plaintiff clearly seeks to litigate her false and
malicious accusations of sexual abuse against Ms. Maxwell. For years, Ms. Maxwell has
suffered Plaintiff’s unabated and unfiltered character attacks in both the media and in thinlyveiled
press releases masquerading as legal pleadings. Now, Ms. Maxwell has moved to dismiss
the Complaint with the hopes of ending further dissemination of Plaintiff’s decades-old sordid
allegations characterized by another court as “lurid,” “immaterial and impertinent.”
Given these circumstances, Ms. Maxwell has amply demonstrated good cause to stay
discovery pending resolution of her Motion to Dismiss. First, the Motion to Dismiss presents
multiple, independent bases upon which this Court may dismiss the Complaint pursuant to Rule
12(b)(6). Each basis for dismissal is legally well-founded and, with respect to the two
independent privileges, challenges the Complaint on matters of law rather than sufficiency of the
pleadings. Assuming either privilege applies, any amendment to the Complaint would be futile.
Second, in her Opposition to Defendant’s Motion to Stay (“Opposition” or “Pl’s Opp’n”) as well
as in her discovery requests, Plaintiff essentially concedes the breadth of potential discovery.
Any self-serving characterization of her own discovery requests as “narrowly tailored” is
disingenuous as even a cursory review can attest. The Opposition alone references dozens of
potential witnesses, many of whom reside abroad, and purported “mountain[s] of evidence”
spanning over sixteen years. Third, the length of the stay sought is negligible. Fourth, Plaintiff
has not demonstrated any unfair prejudice she will suffer as a result of the stay; given the 6 years
she has already been litigating the same underlying allegations against others, Plaintiff and her
various attorneys already possess substantially more documents concerning this case than does
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 3 of 14
2
Ms. Maxwell who has never been a party previously regarding any of Plaintiff’s frivolous
claims.
Finally but no less importantly, Ms. Maxwell takes issue with the nature of Plaintiff’s
Opposition. Instead of addressing factors relevant to a stay determination, Plaintiff improperly
(1) added new allegations not included or referenced in the Complaint; (2) referenced documents
and evidence not properly considered on a Motion to Dismiss; and (3) effectively extended the
number of pages allowed in this District in response to a motion to dismiss. Rule 2(D) of this
Court’s Individual Rules of Practice expressly limits memoranda of law in support of and
opposition to substantive motions to 25 pages. Because this Opposition actually represents a
substantive response to the Motion to Dismiss, Plaintiff should not be afforded an additional 25
pages for essentially a second bite at the Motion to Dismiss apple.
ARGUMENT
I. The Motion to Dismiss is Dispositive and Well Founded In Law
Good cause for a stay does not require a showing that Plaintiff’s claim is definitely
unmeritorious or that this Court will grant the Motion to Dismiss. Rather, Ms. Maxwell must
demonstrate that the Motion to Dismiss is “potentially dispositive and appears to be not
unfounded in the law.” Negrete and Negrete v. Citibank, N.A., 15 CIV. 7250 (RWS), 2015 WL
8207466, at * 3 (S.D.N.Y. Dec. 4, 2015) (J. Sweet). Ms. Maxwell has more than met this
burden. The Motion to Dismiss challenges the Complaint on multiple grounds, each affording a
substantial basis for dismissal.
First, the self-defense privilege is well founded in law and not defeated by Plaintiff’s
conclusory allegations of intent. See Mot. to Dism. at 8-13. Kane v. Orange Cnty. Publ’n, 232
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 4 of 14
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A.D.2d 526, 527 (2d Dept. 1996), illustrates this point. In that case, the appellate court found the
qualified privilege barred a defamation claim premised upon the defendant’s open letter to a
newspaper responding to unfavorable publicity against him -- “publicity concededly generated
with the cooperation of plaintiffs” -- despite that plaintiff’s claims that the letter “contained
numerous untruths, misrepresentations, and misstatements of fact, known to be false and
misleading by defendant.” Id. at 5261 (emphasis added). This Complaint is similarly premised
on Ms. Maxwell’s response to Plaintiff’s direct attacks in the media against her character.
Plaintiff ignores the well-settled law that bare allegations of malice are insufficient to defeat the
self-defense privilege. Compare Pl’s Opp’n at 8 (“This allegation alone defeats the application
of privilege.”) with Mot. to Dism. at 12 (quoting Biro v. Conde Nast, 883 F.Supp.2d 441, 457
(S.D.N.Y. 2012) (“Bare allegations that the defendant knew or should have known that the
statements were false is insufficient.”).2
Second, the pre-litigation privilege provides an independent and substantial basis for
dismissal of the Complaint. In opposition, Plaintiff argues that one of the statements was issued
in London by Ms. Maxwell’s press agent—a non-lawyer. Pl’s Opp’n at 10. New York courts
repeatedly apply the pre-litigation privilege to statements made by the “parties, counsel,
witnesses, and the court.” Int’l Pub. Concepts, LLC v. Locatelli, 9 N.Y.S.3d 593, Slip Op. 50049
at *3-4 (emphasis added). Of course, if Plaintiff is taking the position that Mr. Gow was not
speaking for Ms. Maxwell, such would provide an additional reason for dismissal of the
1 As Plaintiff recognizes, the court in Kane ultimately did not reach the question of malice,
finding no need given the “open letter” was a privileged response to the unfavorable publicity, as is the
case here, and therefore was not defamatory. Id.
2 Plaintiff also flagrantly ignores the federal case law providing that qualified privilege is
properly considered at the motion to dismiss stage. See Mot. to Dism. at 8 (to establish a proper claim for
defamation, plaintiff must demonstrate that defendant “lack[ed] a privilege”).
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Complaint. Otherwise, a communication by a party’s agent typically is treated as a
communication by the party itself. See In re Copper Market Antitrust Litig., 200 F.R.D. 213
(S.D.N.Y. 2001) (company’s public relations agent “can fairly be equated” with the company for
the purpose of analyzing the availability of the attorney-client privilege to protect
communications). Further, Plaintiff misstates the law when she claims to defeat the privilege
through her naked assertion that the intent of the statements were “to bully, harass and intimidate
the Defendant” Pl’s Opp’n at 9. Indeed, the Khalil court specifically declined to adopt any such
element equivalent to spite or malice, instead applying the pre-litigation privilege to any
statement made pertinent to “pending or contemplated litigation.” Front, Inc. v. Khalil, 24
N.Y.3d 713, 720 (2015); see also Int’l Pub. Concepts, Slip Op. 50049 at *3-4. Ms. Maxwell
respectfully refers the Court to the Motion to Dismiss in which she details that her January 3
Statement specifically “reserve[d] her right to seek redress at the repetition of such claims.”
Mot. to Dism. at 15.
Third, the Motion to Dismiss raises three potentially fatal pleading deficiencies in the
Complaint. For each pleading deficiency, Ms. Maxwell cites to binding and persuasive authority
(including several cases decided by this Court) that require dismissal of defamation claims which
fail to adequately plead the “to whom, where or in what manner” any such statements were
made, as well as the need for special damages. See Mot. to Dism. at 17-23; e.g., Cruz v.
Marchetto, No. 11 Civ. 8378, 2012 WL 4513484, at *4 (S.D.N.Y. 2012) (dismissing defamation
claim for failure to meet the pleading standards set forth in Fed. R. Civ. P. 8).
II. Discovery in This Case Will Be Extremely Costly and Burdensome
Not a single aspect of Plaintiff’s discovery requests have been “narrowly tailored” to the
heart of this action: the circumstances surrounding any allegedly defamatory statements.
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Instead, as is apparent from the new and increasingly outlandish allegations raised in opposition,
Plaintiff clearly intends a “kitchen sink” approach to discovery. In a case such as this that
encompasses allegations dating back over sixteen (16) years and involves hundreds of
individuals living in various countries, the costs and burden of discovery will be extremely high.
When facing such “mountains” of discovery, courts routinely grant a motion to stay pending the
outcome of a dispositive motion.3 Johnson v. N.Y.U. Sch. Of Educ. 205 F.R.D. 433 (S.D.N.Y.
2002) (granting stay of discovery to obviate burdensome discovery including extensive
interrogatories that “ask[] for information covering a span of more than five years”); Am.
Booksellers Assoc. v. Houghton Mifflin Co., Inc., 94 CIV. 8566 (JFK), 1995 WL 72376
(S.D.N.Y. Feb. 22, 1995) (“The discovery sought by plaintiffs is very broad and to require
defendants to respond to it at this juncture…would be extremely burdensome.”).
Emblematic of Plaintiff’s mischaracterization of the breadth of discovery in this case is
her claim that she served thirty (30) discovery requests when in fact she served thirty nine (39).
Mot. for Stay, Ex. A. In the Motion to Stay, Ms. Maxwell referenced four glaring examples of
Plaintiff’s so-called “narrowly tailored” discovery requests. The rest are no more “narrowly
tailored”; other examples include:
· All documents identifying passengers, manifests, or flight plans for any helicopter
or plane ever owned or controlled by your or Jeffrey Epstein or any associated
entity from 1999 – present. (No. 9)
· All documents relating to payments made from Jeffrey Epstein or any related
entity to you from 1999-present, including payments for work performed, gifts,
3 Interestingly, Plaintiff claims there exists a “voluminous number of decisions denying stay
requests in contexts analogous to this case” yet cites two cases—both from 1985— that are anything but
analogous to this case. See Howard v. Galesi, 107 F.R.D. 348, 350 (S.D.N.Y. 1985) (noting that
discovery requests were not served on the moving party, the moving party did not argue that document
requests were burdensome or overreaching, and the party to which the discovery requests were served did
not object); Waltzer v. Conner, No. 83 CIV 8806 (SWK), 1985 WL 2522, at *2 (S.D.N.Y. Sept. 12, 1985)
(denying motion to stay where moving party made only conclusory statements to establish good cause).
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 7 of 14
6
real estate purchases, living expenses, and payments to your charitable endeavors
including the TerraMar project. (No. 10)
· All documents reflecting communications you have had with Bill or Hillary
Clinton (or persons acting on their behalf), including all communications
regarding your attendance at Chelsea Clinton’s wedding ceremony in 2010. (No.
37)
· All documents reflecting training to fly a helicopter or experience flying a
helicopter, including any records concerning your operation of a helicopter in the
U.S. Virgin Islands. (No. 39).
Mot. for Stay, Ex. A.
Plaintiff claims that this Court’s decision in Spinelli is inapposite. Pl’s Opp’n. at 17. In a
sense, she is correct: the potential discovery in Spinelli pales in comparison to the anticipated
discovery here. Spinelli v. Nat’l Football League, No. 13 CIV. 7398 (RWS), 2015 WL 7302266,
at *2 (S.D.N.Y. Nov. 17, 2015). This case involves 94 potential witnesses, many of whom live
abroad, and decades-old factual allegations that purportedly involve the Clintons, members of the
British Royal Family, an esteemed Harvard Law Professor, flight manifests, helicopter lessons,
Victoria Secret models, and so on. This is not a “simple defamation claim.”
III. Plaintiff Cannot Establish Substantial Prejudice
Plaintiff presents a two-pronged complaint of prejudice: one, Plaintiff claims that a stay
of discovery “indefinitely” will “run out the clock” on Plaintiff’s discovery requests (Pl’s Opp’n
at 18); and two, memories of potential witnesses are bound to fade and evidence may grow stale
during the pendency of the Motion to Dismiss. (Id. at 19). Both positions are frivolous, not
supported by specific evidence, and incorrect.
To be clear, Ms. Maxwell seeks a stay of discovery for only the definite period of time it
takes this Court to decide the Motion to Dismiss. Briefing will be complete by December 28,
2015, and oral argument is scheduled for January 14, 2016. Doc. #19. Nothing suggests this
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 8 of 14
7
Court will decide the Motion in anything other than an expeditious manner. Thus, any stay
would last at most for a brief period.
Next, Plaintiff has been represented by counsel and publicly raised allegations against
Ms. Maxwell since at least May 4, 2009 (Compl. ¶ 4). Ms. Maxwell consistently has denied
Plaintiff’s allegations, both publicly and privately. Plaintiff cannot therefore complain of “fading
memories” and “stale evidence” during a months’ long stay when she waited years to bring a
claim against Ms. Maxwell regarding events she claimed occurred 16 years ago (including four
years since she claims Ms. Maxwell first issued a statement about her). In addition, Plaintiff has
not provided a single example of a memory at risk of fading or evidence that may become stale
during a potential stay. Absent specifics, Plaintiff cannot establish a substantial prejudice. See
Bethpage Water Dist. v. Northrop Grumman Corp., No. 13-CV-6362 SJF WDW, 2014 WL
6883529, at *3 (E.D.N.Y. Dec. 3, 2014); see also Gandler v. Nazarov, No. 94 Civ. 2272 (CSH),
1994 WL 702004, at *4 (S.D.N.Y. Dec. 14, 1994) (granting stay of discovery because, inter alia,
plaintiffs presented no evidence suggesting unfair prejudice caused by a stay.); cf. In re
LaBranche Sec. Litig., 333 F.Supp.2d 178, (S.D.N.Y. 2004) (J. Sweet) (finding plaintiffs would
be unduly prejudiced by a continued stay which would result in plaintiffs being the only
interested party without access to relevant documents rendering them unable to make informed
decisions about litigation strategy).
The court’s analysis in Bethpage Water is directly applicable here:
The risks of which plaintiff complain do not unfairly prejudice
plaintiff, but rather are usual litigation risks that affect all the
parties equally, regardless of the amount of time permitted for
discovery…Thus, any marginal impact on the evidence and/or
memories of witnesses does not outweigh the substantial burden
and expense of conducting time-consuming fact and expert
discovery on all issues in this case pending a decision on a
potentially dispositive motion.
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Id. (citing ITT Corp. v. Travelers Cas. & Surety Co., NO. 12-civ-38, 2012 WL 2944357, at *3-4
(D. Conn. July 18, 2012)).
Plaintiff already possesses numerous documents that she asserts are supportive of her
claims. See Pl’s Opp’n at 1 (“[o]verwhelming evidence” which is “publicly available”
purportedly “corroborates” Plaintiff’s claims); Decl. of Sigrid McCawley & Exs. 1-9 (including
police reports and deposition transcripts which likely are not publicly available). With the
assistance of able counsel, Plaintiff has litigated similar allegations based on the same facts
against Mr. Jeffrey Epstein from 2009 – 2011. Compl. ¶ 17. She has involved herself in
discussions with the FBI. Id. ¶ 22. And she has attempted to participate in the federal civil
action against the U.S. Attorney’s Office in the Southern District of Florida based on the Crime
Victim’s Rights Act. Id. ¶ 26-27. Plaintiff’s former counsel currently is actively participating in
defamation litigation against Professor Dershowitz in Florida state court, and Plaintiff through
her current counsel has participated repeatedly as a non-party in that action. See Bradley
Edwards and Paul Cassell v. Alan Dershowitz, Case No. 15-000072, Broward County, Fla.4 By
virtue of the deposition transcripts, police reports and other litigation papers Plaintiff already has
gathered, attached to her Opposition and claims are pertinent to her false allegations of abuse,
she has in effect demonstrated the absence of prejudice to her of any stay. See Chrysler Capital
Corp. v. Century Power Corp., 137 F.R.D. 209 (S.D.N.Y. 1991) (granting motion to stay where
discovery request are extensive and plaintiffs already possessed extensive discovery material as a
result of prior proceedings).
4 Docket available at http://www.clerk-17thflcourts.
org/Web2/CaseSearch/Details/?caseid=NzkzMzM0MQ%3d%3dzjTLrlvwx90%
3d&caseNum=CACE15000072&category=CV
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In sum, all of the factors weigh in favor of a stay of discovery under Fed. R. Civ. P.
26(c). Ms. Maxwell’s Motion to Dismiss contains multiple, substantial grounds for dismissal,
the breadth of discovery is poised to be nearly limitless, and Plaintiff cannot show any undue
prejudice resulting from a short stay. Ms. Maxwell’s motion should therefore be granted.
IV. Plaintiff’s “Background” Section Should Be Disregarded
Plaintiff’s “Background” section and supporting Declaration of Sigrid McCawley raise
factual allegations and reference documents that may not properly be considered on a Motion to
Dismiss.5 They therefore should not be considered in connection with this Motion to Stay
premised on, at least indirectly, the merits of the Motion to Dismiss.
In considering a motion to dismiss for failure to state a claim under Rule 12(b)(6), “a
district court must limit itself to facts stated in the complaint or in documents attached to the
complaint as exhibits or incorporated in the complaint by reference. Of course, it may also
consider matters of which judicial notice may be taken under Fed. R. Evid. 201.” Kramer v.
Time Warner Cable Inc., 937 F.2d 767, 773 (2d Cir. 1991). Before considering documents
outside of the complaint, several conditions must be met. Specifically, “even if a document is
‘integral’ to the complaint, it must be clear on the record that no dispute exists regarding the
authenticity or accuracy of the document…It must also be clear that there exists no material
disputed issues of fact regarding the relevance of the document.” Faulkner v. Beer, 463 F.3d
130, 134 (2d Cir. 2006). Finally, if the court elects to consider documents entirely outside the
complaint, it must convert the motion to one for summary judgment and give the parties an
5 Here, “Background” is a euphemism for “extrajudicial statements” that Plaintiff and her lawyers
are prohibited from making under New York Rules of Professional Conduct 3.6 and 8.4(d).
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 11 of 14
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opportunity to conduct appropriate discovery and submit additional supporting material
contemplated by Rule 56. Chambers v. Time Warner, Inc., 282 F.3d 147, 154 (2d Cir. 2002).
Plaintiff here attempts to use the “Background” section of her Opposition to slip
additional false accusations against Ms. Maxwell through the proverbial back door. Her
references to deposition transcripts in the 2009 litigation to which Ms. Maxwell was not a party,
and thus had no opportunity to defend herself, are particularly egregious. See Pl’s Opp’n at 3-5.
As Ms. Maxwell detailed in her Motion to Dismiss, this by no means represents the first time
Plaintiff has introduced salacious and false accusations in a court pleading. On April 7, 2015
U.S. District Court Judge Marra denied Plaintiff’s Rule 21 motion to join a 2008 CVRA
litigation in the U.S. District Court for the Southern District of Florida, ordered the portions of
the Joinder Motion pertaining to non-parties including Ms. Maxwell stricken as “immaterial and
impertinent,” and restricted the documents mentioning “lurid details” from public access. Mot.
to Dism. at 4-5.
Plaintiff’s undoubtedly included the superfluous false allegations, both in the Florida
actions and here in order to draw additional media attention as a means to further her malicious
character attack against Ms. Maxwell. The quotations from the deposition transcripts and
“sworn statements” to the Palm Beach Police Department are not relevant to the Motion to Stay
and may not be considered on a Motion to Dismiss. The entire “Background” section should
therefore be disregarded as impertinent, immaterial and scandalous.6
6 Ms. Maxwell also notes that this Court may follow Judge Marra’s lead and issue a sua sponte
order striking the allegations in the “background” section pursuant to F.R.Civ.P. 12(f).
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 12 of 14
11
CONCLUSION
As detailed above, good cause exists to justify a stay of discovery pending Ms.
Maxwell’s Motion to Dismiss.
Dated: December 15, 2015.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 13 of 14
12
CERTIFICATE OF SERVICE
I certify that on December 15, 2015, I electronically filed this Reply Memorandum of Law
in Support of Motion for a Stay of Discovery with the Clerk of Court using the CM/ECF system
which will send notification to all counsel of record including the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
Case 1:15-cv-07433-RWS Document 22 Filed 12/15/15 Page 14 of 14
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF VIRGINIA L. GIUFFRE’S OPPOSITION AND INCORPORATED
MEMORANDUM OF LAW TO DEFENDANT’S MOTION TO DISMISS
BOIES, SCHILLER & FLEXNER LLP
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 1 of 32
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
INTRODUCTION...........................................................................................................................1
ARGUMENT ..................................................................................................................................5
I.. Maxwell’s Statements Are Not Protected By A Qualified Privilege ......................5
A. It Is Premature For The Court To Determine Qualified Privilege...............7
B. The Qualified “Self-Defense” Privilege Does Not Exonerate
Defendant From Her Malicious Defamatory Statements ............................9
1. The Statements Were Made With Malice And With Knowledge
Of Their Falsity, Thus Defeating Any Privilege.. .................................9
2. Calling A Sexual Abuse Victim A “Liar” Is More Than
A “General Denial” And Qualifies As Defamation.............................10
3. Defendant’s Cited Cases Do Not Support Her Assertion
Of The Self-Defense Privilege... .........................................................11
C. The Qualified Pre-Litigation Privilege Does Not Exonerate
Defendant From Her Malicious Defamatory Statements. .........................13
1. Defendant’s Statements Are Outside The Scope Of The
“Pre-litigation” Qualified Privilege Because They Are Not
Made “Pertinent To Anticipated Good Faith Litigation.” ...................14
2. Defendant’s Statements Are Outside The Scope Of The
“Pre-Litigation” Qualified Privilege Because They Were Made
To Bully, Harass, And Intimidate........................................................17
II. Ms. Giuffre Has Properly Pled A Defamation Claim............................................18
A. Viewed In Context, Defendant’s Assault On Ms. Giuffre
Is Defamatory.. ..........................................................................................18
B. The Complaint Alleges Whom, Where, And In What Manner
The January Statement Was Made With Specificity And
Supporting Facts.. ......................................................................................20
C. Ms. Giuffre Has Pled Defamation Per Se And Does Not Need
To Plead Special Damages. .......................................................................23
CONCLUSION .............................................................................................................................25
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 2 of 32
ii
TABLE OF AUTHORITIES
Page
Cases
Albert v. Loksen,
239 F.3d 256 (2d Cir. 2001) ........................................................................................................6
Biro v. Conde Nast,
883 F. Supp. 2d 441 (S.D.N.Y. 2012) ...................................................................................7, 10
Block v. First Blood Associates,
691 F. Supp. 685 (S.D.N.Y. 1988) .....................................................................................passim
Brach v. Congregation Yetev Lev D'Satmar, Inc.,
265 A.D.2d 360, 696 N.Y.S.2d 496 (2d Dep't. 1999) ...............................................................10
Caplan v. Winslet,
218 A.D.2d 148, 637 N.Y.S.2d 967 (1996)...............................................................................15
Catalanello v. Kramer,
18 F. Supp. 2d 504 (S.D.N.Y. 2014) .........................................................................................20
Celle v. Felipino Reporter Enterprises Inc.
209 F.3d 163 (2d Cir. 2000) ......................................................................................................23
Colantonio v. Mercy Med. Ctr..
115 A.D.3d 902, 982 N.Y.S.2d 563 (2014).................................................................................8
Collier v. Postum Cereal Co.,
150 A.D. 169, 134 N.Y.S. 847 (App. Div. 1912)........................................................................8
Davis v. Boeheim,
24 N.Y.3d 262, 22 N.E.3d 999 (2014) ............................................................................4, 10, 19
Deutsche Asset Mgmt., Inc. v. Callaghan,
No. 01 Civ. 4426 CBM, 2004 WL 758303 (S.D.N.Y. Apr. 7, 2004)........................................22
Dillon v. City of New York,
261 A.D.2d 34, 704 N.Y.S.2d (1999)..................................................................................19, 21
Edwards v. Great N. Ins. Co.,
No. 03CV2947(NG)RML, 2006 WL 2053717 (E.D.N.Y. July 21, 2006)................................19
Edwards v. National Audubon Society, Inc.,
556 F.2d 113 (2d Cir. 1977) ......................................................................................................10
Fowler v. New York Herald Co.,
184 A.D. 608, 172 N.Y.S. 423 (App. Div. 1918)........................................................................8
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 3 of 32
iii
Frechtman v. Gutterman,
115 A.D.3d 102, 979 N.Y.S.2d 58 (2014).................................................................................15
Front v. Khalil,
24 N.Y.3d 713 (2015)..............................................................................................14, 16, 17, 18
Ge Dandong v. Pinnacle Performance Ltd.,
966 F. Supp. 2d 374 (S.D.N.Y. 2013) .........................................................................................3
Idema v. Wager,
120 F. Supp. 2d 361 (S.D.N.Y. 2000) aff'd, 29 F. App'x 676 (2d Cir. 2002) ...........................24
Independent Living Aids, Inc. v. Maxi-Aids, Inc.,
981 F. Supp. 124 (E.D.N.Y. 1997)............................................................................................11
Int'l Pub. Concepts, LLC v. Locatelli,
46 Misc. 3d 1213(A), 9 N.Y.S.3d 593 (NY Sup. Ct. 2015) ......................................................15
Kamchi v. Weissman
125 A.D.3d 142, 1 N.Y.S.3d 169 (N.Y. App. Div. 2014) ...........................................................8
Kaminester v. Weintraub,
131 A.D.2d 440, 516 N.Y.S.2d 234 (1987)...............................................................................10
Kane v. Orange Cty. Publications,
232 A.D.2d 526, 649 N.Y.S.2d 23 (1996).................................................................................13
Kirk v. Heppt,
532 F. Supp. 2d 586 (S.D.N.Y. 2008) .......................................................................................15
Lawson v. Stow,
2014 COA 26, 327 P.3d 340 .....................................................................................................21
Liberman v. Gelstein,
80 N.Y.2d 429, 605 N.E.2d 344 (1992) ....................................................................................24
Long v. Marubeni Am. Corp.,
406 F. Supp. 2d 285 (S.D.N.Y. 2005) .........................................................................................8
Mase v. Reilly,
206 A.D. 434, 201 N.Y.S. 470 (App. Div. 1923)......................................................................11
Massre v. Bibiyan,
No. 12 CIV 6615 KPF, 2014 WL 2722849 (S.D.N.Y. June 16, 2014).....................................25
Matherson v. Marchello,
100 A.D.2d 233, 473 N.Y.S.2d 998 (1984)...............................................................................23
McCarthy v. Dun & Bradstreet Corp.,
482 F.3d 184 (2d Cir. 2007) ........................................................................................................3
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 4 of 32
iv
McNamee v. Clemens,
762 F. Supp. 2d 584 (E.D.N.Y. 2011)...................................................................................4, 10
Mencher v. Chesley,
193 Misc. 829, 85 N.Y.S.2d 431 (Sup. Ct. 1948) .......................................................................8
Park Knoll Associates v. Schmidt,
59 N.Y.2d 205, 451 N.E. 2d 182 (1983) .....................................................................................6
Pure Power Boot Camp, Inc. v. Warrior Fitness Boot Camp,
813 F. Supp. 2d 489 (S.D.N.Y. 2011) .......................................................................................24
Roberti v. Schroder Inv. Mgmt. N. Am., Inc.,
No. 04CIV2404 (LTS) (THK), 2006 WL 647718 (S.D.N.Y. Mar. 14, 2006) ............................7
Seung Jin Lee v. Tai Chul Kim,
16 Misc. 3d 1118(A), 847 N.Y.S.2d 899 (Sup. Ct. 2007).........................................................12
Shenkman v. O'Malley,
2 A.D.2d 567, 157 N.Y.S.2d 290 (1956)...............................................................................8, 12
Teicher v. Bellan,
7 A.D.2d 247, 181 N.Y.S.2d 842 (1959).....................................................................................8
Thompson v. Bosswick,
855 F. Supp. 2d 67 (S.D.N.Y. 2012) .........................................................................................24
Wannamaker v. Columbian Rope Co.,
713 F. Supp. 533 (N.D.N.Y. 1989) aff'd, 108 F.3d 462 (2d Cir. 1997) ....................................19
Weldy v. Piedmont Airlines, Inc.,
985 F.2d 57 (2d Cir. 1993) ......................................................................................................6, 7
Whelehan v. Yazback,
84 A.D.2d 673, 446 N.Y.S.2d 626 (1981)...............................................................................7, 9
Worldhomecenter.com, Inc. v. M.J. Resurrection, Inc.,
No. 11 CIV. 3371 (RWS), 2012 WL 12922 (S.D.N.Y. Jan. 3, 2012).........................................5
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 5 of 32
1
Plaintiff Virginia L. Giuffre, by and through her undersigned counsel, hereby files this
Opposition to Defendant’s Motion to Dismiss, and in support thereof, states as follows:
INTRODUCTION
This is an old and familiar story. A Defendant, who committed repeated acts of sexual
abuse, publicly proclaims the victim is lying to try to deflect attention from the crimes and to bully
the victim back into silence. But this story will not end here. Defamation law protects victims
when they are courageous enough to stand up against their abuser’s false character assaults. Based
on her well-pled Complaint, Ms. Giuffre has stated a defamation claim, and, therefore, is entitled
to move forward with discovery to prove that Defendant’s statements were not only false, but
entirely fabricated out of malice.
The allegations Ms. Giuffre has made in her Complaint present a straightforward claim of
defamation. As she alleges in her Complaint, convicted sex offender Jeffrey Epstein and
Defendant, Ghislaine Maxwell, sexually abused Ms. Giuffre. Indeed, the Defendant herself
recruited and groomed Ms. Giuffre to be sexually abused when Ms. Giuffre was only fifteen (15)
years old. Over the next several years, Epstein and Defendant trafficked Ms. Giuffre to their
friends worldwide. Ultimately, Ms. Giuffre escaped.
Several years later, having gained a sense of safety and perspective, Ms. Giuffre sought to
join a long-running Crime Victims’ Rights Act (“CVRA”) lawsuit, which was brought by other
young girls who were also abused, and sought to challenge Jeffrey Epstein’s non-prosecution
agreement which also pardoned co-conspirators. Through lawyers1, Ms. Giuffre explained what
Epstein and Defendant had done to her, prompting a broadside of attacks earlier this year from the
1 Ms. Giuffre is represented in the CVRA case by a former Federal Judge for the District of Utah, Paul Cassell, and a
victim’s rights lawyer, Bradley Edwards. (Case No. 08-cv-80736-KAM, Southern District of Florida.)
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 6 of 32
2
Defendant.2
After sexually trafficking Ms. Giuffre for years, Defendant now has the audacity to
broadcast that Ms. Giuffre is a “liar” and that her life story is concocted. And Defendant even
claims that she is somehow “privileged” to launch these assaults.
Of course, the Court need not decide today who is lying and who is telling the truth. The
narrow issue before the Court now is only whether Ms. Giuffre has pled an actionable defamation
case. Ms. Giuffre’s Complaint sets forth specific well-pled allegations that present the elements of
a defamation claim, including precisely-described defamatory statements that the Defendant made
with actual malice:
· Ms. Giuffre “became a victim of sexual trafficking and repeated sexual abuse after being
recruited by Ghislaine Maxwell and Jeffrey Epstein when Giuffre was under the age of
eighteen…Between 1999 and 2002, with the assistance and participation of Maxwell,
Epstein sexually abused Giuffre at numerous locations including his mansions in West
Palm Beach Florida and in this District.” See Declaration of Sigrid McCawley
(“McCawley Decl.”), Ex. 1, Compl. at ¶¶ 8, 9 and 16.
· “As part of their sex trafficking efforts, Epstein and Maxwell intimidated Giuffre into
remaining silent about what happened to her.” Id. at ¶10.
· “With the assistance of Maxwell, Epstein was able to sexually abuse Giuffre for years until
Giuffre eventually escaped.” Id. at ¶18.
· “Ultimately as a mother and one of Epstein’s many victims, Giuffre believes that she
should speak out about her sexual abuse experience in the hopes of helping
2 Defendant spends a significant amount of time in her Motion to Dismiss discussing Judge Marra’s ruling in the
CVRA case that dealt with Alan Dershowitz’s Motion to Strike. Defendant flatly mischaracterizes the Order, which,
in any event, is irrelevant to this Motion to Dismiss. In the CVRA case, Ms. Giuffre filed a joinder motion to attempt
to join the other victims who were prosecuting the case. The Court found that joinder of another victim was
unnecessary because the two named plaintiffs were sufficient to represent the group of victims in their claim that the
government failed to properly notify them of the plea agreement with Jeffrey Epstein. Judge Marra held that “at this
juncture in the proceedings” the details about the sexual abuse that Ms. Giuffre had suffered was unnecessary to the
Court making a determination “of whether Jane Doe 3 [Ms. Giuffre] and Jane Doe 4 should be permitted to join [the
other victims’] claim that the Government violated their rights under the CVRA. The factual details regarding with
whom and where the Jane Does engaged in sexual activities are impertinent to this central claim (i.e. that they were
known victims of Mr. Epstein and the Government owed them CVRA duties) especially considering that the details
involve non-parties who are not related to the respondent Government.” No. 08-cv-80736-KAM, D.E. 324 at 5
(emphasis original). The Judge explained that Ms. Giuffre would be entitled to participate as a witness in the case to
offer her evidence as needed. (D.E. 324 at 8.)
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 7 of 32
3
others…Giuffre incorporated an organization called Victims Refuse Silence…Giuffre has
now dedicated her professional life to helping victims of sex trafficking.” Id. at ¶ 23-25.
· “In January 2015, Maxwell undertook a concerted and malicious campaign to discredit
Giuffre and damage her reputation that Giuffre’s factual reporting of what happened to her
would not be credited.” Id. at ¶ 28.
· “As part of Maxwell’s campaign she directed her agent, Ross Gow, to attack Giuffre’s
honesty and truthfulness and accuse Giuffre of lying.” Id. at ¶ 29.
· Defendant stated through her press agent that Ms. Giuffre’s reports of her child sexual
abuse were “obvious lies.” Id. at ¶ 30.
· Defendant published the defamatory statements to third parties including: “issu[ing] an
additional false statement to the media and public,” and to “a reporter on a Manhattan
street.” Id. at ¶ 30, ¶ 3.
· “Maxwell made the…defamatory statements…in the Southern District of New York…in a
deliberate effort to maliciously discredit Giuffre and silence her efforts to expose sex
crimes committed around the world by Maxwell, Epstein and other powerful persons…”
Id. at ¶ 32.
· “Maxwell’s statements were published intentionally for the malicious purpose of further
damaging a sexual abuse and sexual trafficking victim; to destroy Giuffre’s reputation and
credibility” and that Defendant “made her false statements knowing full well that they
were completely false. Accordingly, she made her statements with actual and deliberate
malice, the highest degree of awareness of falsity.” Id. at ¶¶ 8-9.
· Defendant’s defamatory statements “tended to injure Giuffre in her professional capacity
as the president of a non-profit corporation designed to help victims of sex trafficking,
inasmuch as they destroyed her credibility and reputation among members of the
community that seek her help and that she seeks to serve.”3 Id. at ¶ 11.
In response to the straight-forward Complaint, Defendant first argues that she was
privileged to launch these attacks on Ms. Giuffre because of either a self-defense privilege or a
3 Defendant’s effort to include information outside the four corners of the complaint should be rejected. See Ge
Dandong v. Pinnacle Performance Ltd., 966 F. Supp. 2d 374 (S.D.N.Y. 2013) (“It is well-established that when
deciding a motion to dismiss… a court's ‘review is limited to the facts as asserted within the four corners of the
complaint, the documents attached to the complaint as exhibits, and any documents incorporated in the complaint by
reference.’”) (quoting McCarthy v. Dun & Bradstreet Corp., 482 F.3d 184, 191 (2d Cir. 2007)). Notably, Defendant
switches gears in her Reply in Support of her Motion to Stay and agrees that the Court “must limit itself to facts stated
in the complaint.” (Maxwell’s Reply in Support of Stay Motion at 9). Accordingly, the 2011 article at Ex. A of Laura
Menninger’s Declaration in Support of her Motion to Dismiss should not be considered because it does not contain the
actionable statement set forth in the Complaint. (See Declaration of Laura Menninger at Ex. A). By her own words, it
must be disregarded.
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 8 of 32
4
pre-litigation privilege. As part of a motion to dismiss, these arguments must be rejected. First,
qualified privileges are forfeited when the defamatory statement is made with malice and is false.
Because Ms. Giuffre has specifically alleged that Defendant defamed her with actual malice, the
privileges provide no defense. Second, the Court should not consider Defendant’s qualified
privilege argument at the Motion to Dismiss stage because it is premature. See Block v. First
Blood Associates, 691 F. Supp. 685, 699-700 (Sweet, J.) (S.D.N.Y. 1988) (In a case in which
another defendant claimed a pre-litigation privilege based upon statements to the press, this Court
held, “[t]o prevail on a qualified privilege defense [defendant] must show that his claim of
privilege does not raise triable issues of fact that would defeat it. Here, sufficient evidence has
been adduced to support the inference that [defendant] acted with malice, and may not, therefore,
claim a qualified privilege under New York law . . . a genuine issue as to malice and appropriate
purpose has properly been raised and is sufficient to preclude summary judgment.”). Defendant’s
asserted qualified privileges are merely affirmative defenses to be raised in her answer.
Third, Defendant discusses a 2011 statement, which is not the statement at issue, in an
effort to confuse the Court into accepting her “pre-litigation privilege” argument. The actionable
statement was Defendant’s 2015 press release to the media charging Ms. Giuffre with lying about
being sexually abused. New York’s highest court found, in this exact situation, that where a sexual
abuse victim is called a “liar,” she has an actionable claim for defamation and it is more than a
“mere denial.” In Davis v. Boeheim, 245 N.Y.3d 262, 268, 22 N.E.3d 999 (2014), the court found
that stating that a person is lying about their sexual abuse is “susceptible of a defamatory
connotation” because the statement “tends to expose [Plaintiff] to public contempt, hatred,
ridicule, aversion or disgrace.” See also McNamee v. Clemens, 762 F. Supp. 2d 584, 602
(E.D.N.Y. 2011) (court explaining “[t]he statements that brand McNamee a liar and suggest that
there are unknown facts that when disclosed will support Clemens' denials and that suggest that
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 9 of 32
5
the statements meet the definition of defamation go beyond a general denial of accusations or
rhetorical name calling. The statements were direct and often forcefully made, there was nothing
loose or vague about them.”). Finally, Ms. Giuffre has pled all necessary elements of a defamation
claim in detail with supporting facts. For those reasons, as explained in full below, Defendant’s
Motion to Dismiss should be denied.
ARGUMENT
In ruling on a motion to dismiss, the Court must take all allegations in the Complaint as
true and all inferences are drawn in favor of the pleader. Worldhomecenter.com, Inc. v. M.J.
Resurrection, Inc., (Sweet, J.) No. 11 CIV. 3371 (RWS), 2012 WL 12922, at *2 (S.D.N.Y. Jan. 3,
2012). “The issue ‘is not whether a plaintiff will ultimately prevail but whether the claimant is
entitled to offer evidence to support the claims.’” Id. Ms. Giuffre has stated a colorable claim with
specificity, therefore, she is entitled to move forward and prove her claim.
I. Maxwell’s Statements Are Not Protected By A Qualified Privilege.
Defendant’s qualified privilege argument fails for three independent reasons, each
requiring this Court to deny Defendant’s Motion to Dismiss. First, a privilege is an affirmative
defense, which must be pled in an answer to a complaint and then properly proved. A motion to
dismiss is not a proper vehicle for presenting such an argument. Second, the qualified privileges
raised by Defendant (self-defense and pre-litigation) are forfeited if they are abused. Because Ms.
Giuffre has alleged that Defendant launched her assault with actual malice and for an improper
purpose, the privileges provide no defense. Third, the circumstances alleged by Defendant do not
fit the privileges she is alleging: under New York law, no qualified privilege, - neither “selfdefense”
nor “pre-litigation” - applies to Defendant’s statements.
As this Court has explained, “[u]nder New York law, a qualified or conditional privilege
may exist where statements are made, without malice, in furtherance of a common interest. There
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 10 of 32
6
is no qualified privilege under New York law when such statements are spoken with malice,
knowledge of their falsity, or reckless disregard for their truth.” Block at 699 (Sweet, J.) (Internal
citations omitted).
A defendant forfeits an alleged qualified privilege “by making a false, defamatory
statement with ‘malice’ of either the common-law or constitutional variety.” Albert v. Loksen, 239
F.3d 256, 272 (2d Cir. 2001). See also Park Knoll Associates v. Schmidt, 59 N.Y.2d 205, 211, 451
N.E.2d 182, 185 (1983) (“The complaint here contains sufficient allegations of malice to
withstand the motion to dismiss.”).
Even if a qualified privilege otherwise applies, it “is nevertheless forfeited if the defendant
steps outside the scope of the privilege and abuses the occasion.” Weldy v. Piedmont Airlines, Inc.,
985 F.2d 57, 62 (2d Cir. 1993) (internal quotations omitted). In Weldy, the Second Circuit
explained that a Plaintiff may defeat an assertion of a qualified privilege by demonstrating abuse
of the privilege “by proving that the defendant acted (1) with common law malice, or (2) outside
the scope of the privilege, or (3) with knowledge that the statement was false or with a reckless
disregard as to its truth.” Id. at 62. In this case, the Defendant has fulfilled all three of the above
conditions.
Here, Ms. Giuffre has pled facts to support her claim that Defendant’s defamatory
statements are false, and were published with the “malicious intent of discrediting and further
damaging [Ms. Giuffre] worldwide.” See McCawley Decl., Ex. 1, Compl. at ¶ 1. Defendant can
cite to no authority that supports her position that publicly stating that a victim of sexual abuse is
lying about being sexually abused as a minor child falls within any qualified privilege, and her
assertion of that proposition is a complete misreading of the law.
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 11 of 32
7
A. It Is Premature For The Court To Determine Qualified Privilege.
As an initial matter, under both federal and New York law, determining whether a
qualified privilege applies is premature and should not be decided at the Motion to Dismiss stage
because Ms. Giuffre is entitled to establish that Defendant knew the defamatory statement was
false and made for an improper purpose, thereby extinguishing any claim for a qualified privilege.
In another defamation case brought before this Court, in which the defendant also made
defamatory statements to the press and then tried to claim the pre-litigation privilege, this Court
held that where a genuine issue as to the malice and appropriate purpose has properly been raised,
a determination on the application of the privilege was precluded, even at the summary judgment
stage. See Block, 691 F. Supp. at 699-700 (Sweet, J.); see also Roberti v. Schroder Inv. Mgmt. N.
Am., Inc., No. 04CIV2404 (LTS) (THK), 2006 WL 647718, at *9 (Swain, J.) (S.D.N.Y. Mar. 14,
2006) (Judge Swain found the same, denying the motion to dismiss on a defamation claim because
“a claim of qualified privilege may be rebutted by a showing that the statement, or the implication
thereof, was made with spite or ill will or with a high degree of awareness of [its] probable falsity”
and plaintiff’s complaint “could support a finding that the statement was made with the requisite
high degree of awareness that it was probably false.”) (internal quotations omitted);4 Weldy, 985
F.2d at 63 (the Second Circuit found that whether the privilege had been abused and, therefore,
lost was a question for the jury to decide.).
New York state courts, examining alleged qualified privileges in defamation cases, have
held the same. For example, in Whelehan v. Yazback, 84 A.D.2d 673, 673, 446 N.Y.S.2d 626, 627
4 Defendant misleadingly cites Biro v. Conde Nast for the proposition that the affirmative defense of privileges may be
resolved on a motion to dismiss, but Biro dismissed claims based on absolute privileges, whose application required
no factual determinations, but could be determined on the face of the pleadings, in contrast to the qualified privileges
Defendant asserts here, which require a determination of malice and improper purpose. 883 F. Supp. 2d 441, 458
(S.D.N.Y. 2012) (dismissing some claims due to their being nonactionable opinion and protected by New York Civil
Rights Law § 74 (fair report privilege) because the court need only “consider the allegations and the statements in the
court records in order to determine whether the Article provides a ‘fair and true’ report of those allegations and
statements, but will not consider the documents to be evidence of any of the facts stated therein.”).
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 12 of 32
8
(1981), the court denied the motion for summary judgment based on the affirmative defense of
qualified privilege: “defendant's motion for summary judgment based on qualified privilege and
plaintiff's motion to strike this defense were properly denied since qualified privilege is a defense
to be pleaded and proved… and questions of fact exist as to its applicability here.” Further, as the
Bellan court explained, when reversing an order dismissing a defamation claim, “the defendant
cannot prevail upon this motion on the ground of a qualified privilege. Qualified privilege is an
affirmative defense to be pleaded and proved by the defendant.” Teichner v. Bellan, 7 A.D.2d 247,
252, 181 N.Y.S.2d 842 (1959). See also Colantonio v. Mercy Med. Ctr., 115 A.D.3d 902, 903,
982 N.Y.S.2d 563, 566 (2014) (“…this privilege…can be overcome by a showing of malice … At
this juncture [motion to dismiss], the allegations of malice that were set forth in the complaint …
preclude dismissal of the complaint…”); Kamchi v. Weissman, 125 A.D.3d 142, 159, 1 N.Y.S.3d
169, 182 (N.Y. App. Div. 2014) (the complaint “sufficiently alleged that [Defendant] made false
statements of fact with common-law malice so as to overcome the common interest qualified
privilege”); Long v. Marubeni Am. Corp., 406 F. Supp. 2d 285, 298 (S.D.N.Y. 2005) (denying a
motion to dismiss based, inter alia, upon an qualified privilege argument because the complaint
alleged the defamatory statements were made “with knowledge of their falsity,” and supported that
claim “with at least some facts,” and, therefore, “[n]othing more is required at this stage of
litigation [to maintain the claim]”).5 Accordingly, Defendant’s qualified privilege arguments are
not ripe for judicial determination upon a Motion to Dismiss.
5 Notably, the case law cited by Defendant also holds that qualified privilege is an issue for the jury to decide. See
Maxwell’s Memorandum in Support of Motion to Dismiss (“MTD”) at 8, Shenkman v. O'Malley, 2 A.D.2d 567, 576,
157 N.Y.S.2d 290, 299 (1956) (whether defendant’s statement fell under the self-defense qualified privilege “cannot
be said on the pleading alone,” but instead is “a proper question for the jury to determine”); MTD at 8, Fowler v. New
York Herald Co., 184 A.D. 608, 611, 172 N.Y.S. 423, 425 (App. Div. 1918), (“Whether the defendant in its
publication went beyond its legal privilege, and should be charged with malice, was a question of fact for the jury”);
MTD at 9, Mencher v. Chesley, 193 Misc. 829, 832, 85 N.Y.S.2d 431, 434 (Sup. Ct. 1948) (“Plaintiff contends,
however, that the defendant in any event went beyond his legal privilege in repelling the attack and that consequently
his privilege affords him no protection . . . the question whether the defendant went beyond his privilege is one of fact
for the jury to determine, and that it cannot be disposed of as a matter of law.”); MTD at 9, Collier v. Postum Cereal
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B. The Qualified Self-Defense Privilege Does Not Exonerate Defendant From Her
Malicious Defamatory Statements
Defendant contends that her statements are subject to a qualified privilege because they
were made in “self-defense.” Defendant’s statements went beyond simply denying the allegations;
instead, she attacked the moral character of this sexual abuse victim by publicly proclaiming her
claims of sexual abuse were “obvious lies” and suggesting that Defendant knew facts that were
unknown to the public. Defamatory statements of that type, as explained further below, are not
protected by a “self-defense” privilege, particularly when, as here, they are knowingly false.
1. The Statements Were Made With Malice And With Knowledge Of Their Falsity,
Thus Defeating Any Privilege.
Defendant’s attempts to fit her defamatory statements against a victim of sexual abuse
within the parameters of a qualified privilege must be rejected because Defendant made the
statements with malice, knowing that they were false. Plaintiff will be able to show, without
question, that Defendant knows that Plaintiff is not lying when she describes how Defendant
recruited her for sex as an underage girl and when she describes the other trafficking activities
Defendant engaged in. Once a defendant has proven the affirmative defense of qualified privilege,
which Defendant has not yet done, that privilege is nonetheless defeated if “plaintiff can establish
that the communication was actuated by malice.” See Block, 691 F. Supp. at 699 (Sweet, J.);
Whelehan, 446 N.Y.S.2d at 674 (“defendant's motion to dismiss the complaint for failure to state a
cause of action should have been denied. Plaintiff's pleading of ‘malice aforethought’ is sufficient
to avoid dismissal in view of the fact that qualified privilege is an affirmative defense to be
pleaded and proved by defendant and that, when malice is required to be pleaded, conclusory
Co., 150 A.D. 169, 179, 134 N.Y.S. 847 (App. Div. 1912) (evidence bearing on questions of privilege “were plainly
questions for the jury”).
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10
allegations of malice have been held sufficient.”).6 As pled in the Complaint, Defendant knew the
statements were false because Defendant engaged in and facilitated the sexual abuse of this minor
child.
2. Calling A Sexual Abuse Victim A “Liar” Is More Than A “General Denial” And
Qualifies As Defamation.
Though Defendant claims that she was merely issuing a “general denial,” she went well
beyond that and accused Ms. Giuffre of making claims that were “obvious lies,” with the clear
implication that Defendant had knowledge unknown to the audience that would support her
statement. Under New York law, such a statement constitutes grounds for a defamation claim. See
Davis, 245 N.Y.3d at 268 (New York’s highest court holding that stating someone is lying about
sexual abuse is “susceptible of a defamatory connotation.”); see also McNamee v. Clemens, 762 F.
Supp. 2d 584 (E.D.N.Y. 2011) (“[a]n attack on a person's integrity by impugning his character as
dishonest or immoral may form the basis of a defamation if an ordinary listener would tend to
credit the statements as true.”); Kaminester v. Weintraub, 131 A.D.2d 440, 516 N.Y.S.2d 234 (2d
Dep't 1987) (statements accusing plaintiff of personal dishonesty were not constitutionally
protected expressions of opinion); Edwards v. Nat’l Audubon Soc., Inc., 556 F.2d 113, 121-22 (2d
Cir. 1977) (“The appellees were charged with being ‘paid to lie’. It is difficult to conceive of any
epithet better calculated to subject a scholar to the scorn and ridicule of his colleagues than ‘paid
liar.’ It is this completely foundationless accusation of venality that constitutes the essence of the
calumny against the appellees.”); Brach v. Congregation Yetev Lev D'Satmar, Inc., 265 A.D.2d
360, 361, 696 N.Y.S.2d 496, 498 (2d Dep't 1999) (reversing an order of dismissal and reinstating
6 Defendant cites Biro v. Conde Nast, 2014 WL 4851901 (S.D.N.Y. Sept. 30, 2014) for the proposition that Ms.
Giuffre has not sufficiently pled malice. However, in Biro, the only accusation of malice was that the defendant
“‘knew or should have known’ that the statements were false,” and “the Complaint contains no factual allegations
indicating that [defendant] acted recklessly in making that assumption – or had any reason to entertain doubts about
the truth.” Id., 2014 WL 4851901, at *2. The facts here could not be more different: not only has Ms. Giuffre alleged
that Defendant knows the allegations are false because she was an active participant in the sexual abuse, but she
detailed Defendant’s involvement with the corroborating evidence of her involvement.
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11
defamation action based upon a publication stating that a court action was won “by lies and
deceit,” finding that the statements at issue were actionable statements of “mixed opinion,” and
noting that they suggested to the average reader that they were supported by some unknown facts);
Mase v. Reilly, 206 A.D. 434, 436, 201 N.Y.S. 470, 472 (App. Div. 1923) (reversing dismissal of
the complaint and holding: “The charge that a man is lying, at least, in a matter of public interest,
is such a charge as tends to hold him up to scorn, as matter of law, and prima facie a complaint
stating the making in writing of such a charge is good.”).
Here, Defendant has attacked Ms. Giuffre’s integrity, calling her dishonest and stating that
her claims of abuse were “obvious lies,” implying that Defendant knows certain facts unknown to
her audience that support her opinion. An ordinary listener would tend to credit the statements as
true because Defendant traveled with, and lived with, Ms. Giuffre while she was a child abuse
victim. As the Clemens court explained: “Clemens’ statements that McNamee is a liar are facts
capable of being proven true or false by a determination of whether or not McNamee injected
Clemens with steroids. The statements can be proven true or false by either truthful testimony or
conclusive evidence.” Id. at 601. Similarly, Defendant’s statement that Ms. Giuffre is lying is a
fact capable of being proven true or false by a determination of whether Ms. Giuffre was sexually
abused by Defendant.
3. Defendant’s Cited Cases Do Not Support Her Assertion Of The Self-Defense
Privilege.
Interestingly, the only case Defendant cites wherein a court holds that calling someone a
liar isn’t defamatory, Independent Living Aids, Inc. v. Maxi-Aids, Inc., 981 F. Supp. 124, 128
(E.D.N.Y. 1997), is a case that sounded in slander (spoken defamation), whereas this is a libel
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12
case (written defamation).7 What constitutes defamation for libel under New York law is a much
broader category, while defamation under slander is restricted to four specific categories of
statements, as discussed infra. Ms. Giuffre has sufficiently pled libel, and many New York courts
have held that calling someone a liar constitutes libel. Buried in a string cite, and presented
without explanation or argument, Defendant cites Shenkman v. O'Malley, 2 A.D.2d 567, 157
N.Y.S.2d 290, (1956), in which the Court reversed the lower court’s striking of the affirmative
defense of the self-defense qualified privilege. MTD at 8. Notably, Shenkman not only held that
the self-defense qualified privilege was a question for the jury to decide, but it also held that this
affirmative defense only applies when the defendant’s statement is in response to another
defamatory statement: the “defamatory reply to attack, if it is to be privileged, must, among other
things, be a reply to a defamatory attack.” Id. at 576. Therefore, under Shenkman, in order to meet
her burden, Defendant would have to prove - after the motion to dismiss stage - that Ms. Giuffre’s
accusations are defamatory - something she has not done, and never can, because the allegations
of sexual abuse are true.
Defendant’s other cases are also readily distinguished. For example, she cites Kane v.
Orange Cty. Publications, 232 A.D.2d 526, 649 N.Y.S.2d 23 (1996) in support of her self-defense
privilege, but this was an action brought pursuant to Civil Rights Law § 51, which authorizes a
civil action when the name or likeness of any living person is used for advertising without written
consent. Moreover, since it wasn’t a defamation claim, the court never made a ruling as to whether
to apply any privilege, but merely noted that the complaint allegations “correspond to elements of
a cause of action sounding in libel” and, then, “further note[d]” that it would be “covered by a
7 At least one New York court has found that calling someone a liar is defamation even under the slander standard.
See Seung Jin Lee v. Tai Chul Kim, 16 Misc. 3d 1118(A), 847 N.Y.S.2d 899 (Sup. Ct. 2007) (denying a motion to
dismiss when the defendant stated that the plaintiff “is a liar; she tried to cover all the truth; how could she serve the
Lord with lies; and she and her followers are satanic.”).
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13
qualified privilege” if the complaint had been brought in libel – which it wasn’t. There is no
holding in Kane applicable to this case.
C. The Qualified Pre-Litigation Privilege Does Not Exonerate Defendant From Her
Malicious Defamatory Statements.
Defendant’s assertion of the “pre-litigation privilege” is misplaced for several reasons, as
detailed below, but primarily because the pre-litigation privilege is meant to protect parties to a
justiciable controversy in their attempts to narrow or resolve their claims to avoid litigation.
Defendant relies upon a vaguely-worded portion of a 2015 statement that she “reserves her right to
seek redress at the repetition of such old defamatory claims.”8 The indeterminate portion of the
2015 statement does not so much as imply, let alone name, the person or entity against whom
Defendant has supposedly “reserve[d] the right to seek redress,” nor does it hint at what type of
“redress” she may seek. This unclear and vaguely-worded statement is insufficient to shroud
Defendant’s defamatory statements, contained in a press release, with the protection of a qualified
privilege that is intended to protect parties trying to resolve or narrow their issues in advance of
litigation.
Due to that obvious deficiency, Defendant spends many pages of her brief discussing a
statement she made four years ago, with the hope that the Court will evaluate that statement in
making a determination on the pre-litigation privilege because she knows that no privilege
attaches to her 2015 statements. But, no matter how much she references the 2011 statement, it is
8 The January 3, 2015 statement, issued by Ross Gow, Maxwell’s press agent and referred to by Maxwell provides:
“The allegations made…against Ghislaine Maxwell are untrue. The original allegations are not new and have been
fully responded to and shown to be untrue. Each time the story is retold it changes, with new salacious details about
public figures. (The woman’s) claims are obvious lies and should be treated as such and not publicized as news, as
they are defamatory. Ghislaine Maxwell’s original response to the lies and defamatory claims remains the same. Miss
Maxwell strongly denies allegations of an unsavory nature, which have appeared in the British press and elsewhere
and reserves her right to seek redress at the repetition of such claims.” (emphasis added to mirror quotation in ¶ 30 of
Plaintiff’s Complaint. See McCawley Decl. at Ex. C, January 4, 2015 Express Article.
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still not, and never will be, the statement at issue in this case.9 There is no controversy over the
2011 statement. Ms. Giuffre is bringing suit based on a defamatory statement made in 2015.
1. Defendant’s Statements Are Outside The Scope Of The “Pre-Litigation” Qualified
Privilege Because They Are Not Made “Pertinent To Anticipated Good Faith
Litigation.”
Defendant’s statements are outside the scope of any pre-litigation privilege because they
are not pertinent to a good faith anticipated ligation, and because they were made for the improper
purpose of bullying, harassing, and intimidation. This Court has already held that summary
judgment based upon an asserted privilege protecting defamatory pre-litigation communications is
precluded when a plaintiff raises “a genuine issue as to malice and appropriate purpose.” Block,
691 F. Supp. 685, 699 (Sweet, J.). Defendant’s statements that she is lying and her claims of
sexual abuse are “obvious lies” are not pertinent to a good faith anticipated litigation but, instead,
they were made for an inappropriate purpose, to bully, harass, and intimidate Ms. Giuffre. As pled
in the Complaint, Defendant knew the statements were false because Defendant engaged in and
facilitated the sexual abuse of this minor child, therefore, they were made for the inappropriate
purpose of “bullying,” “harassment,” and “intimidation.” See Front v. Khalil, 24 N.Y.3d 713, 720
(2015).
Defendant’s statements were a message for the public, not a message to the attorneys for
the British press. They were also not made by an attorney, but by a press agent, and they did
nothing to reduce or avoid the need to actually commence litigation because they neither discussed
9 The March 10, 2011 statement provides: “Ghislaine Maxwell denies the various allegations about her that have
appeared recently in the media. These allegations are all entirely false. It is unacceptable that letters sent by Ms.
Maxwell’s legal representatives to certain newspapers pointing out the truth and asking for the allegations to be
withdrawn have simply been ignored. In the circumstances, Ms. Maxwell is now proceeding to take legal action
against those newspapers. ‘I understand newspapers need stories to sell copies. It is well know that certain newspapers
live by the adage, “why let the truth get in the way of a good story”. However the allegations made against me are
abhorrent and entirely untrue and I ask that they stop.’ Said Ghislaine Maxwell. ‘A number of newspapers have shown
a complete lack of accuracy in their reporting of this story and a failure to carry out the most elementary investigation
or any real due diligence. I am now taking action to clear my name.’ she said.” See McCawley Decl. at Ex. B, March
2011 Statement.
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a justiciable controversy with the British press nor demanded that the coverage discontinue. The
2015, statement plainly shows Defendant using the press to bully, intimidate, and harass Ms.
Giuffre.
New York’s pre-litigation qualified privilege does not apply to the facts in this case.
Historically, statements made in the course of litigation were entitled to privilege from
defamations claims “so that those discharging a public function may speak freely to zealously
represent their clients without fear of reprisal or financial hazard.” Id. at 718. A 2015 New York
Court of Appeals case somewhat extended this privilege by holding that statements made by
attorneys prior to the commencement of the litigation are protected by a qualified privilege if those
statements are pertinent to a good faith anticipated litigation. Id. at 718. (“Although it is wellsettled
that statements made in the course of litigation are entitled to absolute privilege, the Court
has not directly addressed whether statements made by an attorney on behalf of his or her client in
connection with prospective litigation are privileged” . . . “to advance the goals of encouraging
communication prior to the commencement of litigation” . . . “we hold that statements made prior
to the commencement of an anticipated litigation are privileged, and that the privilege is lost
where a defendant proves that the statements were not pertinent to a good faith anticipated
litigation.”).10
10 The cases cited in Defendant’s own brief in support of this qualified privilege argument all concern actual
anticipated litigation over a justiciable controversy, where the protected communications involved statements like
cease and desist letters and counsel’s speech around the courthouse, and they exclusively involve statements made by
attorneys, or statements to and among parties to the anticipated litigation, and, in one case, the affected malpractice
insurance carrier. For example in, Int'l Pub. Concepts, LLC v. Locatelli, the communications at issue concerned cease
and desist letters written by an attorney. 46 Misc. 3d 1213(A), 9 N.Y.S.3d 593 (N.Y. Sup. Ct. 2015). Similarly, in
Frechtman v. Gutterman, the communication at issue was a letter sent by a client to his attorney terminating the
representation. 115 A.D.3d 102, 103, 979 N.Y.S.2d 58, 61 (2014). In Kirk v. Heppt, the communication at issue was
made by an attorney’s client to the attorney’s malpractice carrier concerning the client’s justiciable controversy
against the attorney. 532 F. Supp. 2d 586, 593 (S.D.N.Y. 2008). Finally, Caplan v. Winslet, cited by Defendant, is
wholly inapposite to Defendant’s argument as the statement at issue was not within the pre-litigation context at all, but
in the course of ongoing litigation: the alleged defamatory statement was a lawyer-to-lawyer remark made exiting the
courthouse. 218 A.D.2d 148, 150-51, 637 N.Y.S.2d 967 (1996). None of these cases involved statements that were
widely publicized.
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The Court of Appeals’ reason for allowing this qualified privilege could not be more clear:
“When litigation is anticipated, attorneys and parties should be free to communicate in order to
reduce or avoid the need to actually commence litigation. Attorneys often send cease and desist
letters to avoid litigation. Applying privilege to such preliminary communication encourages
potential defendants to negotiate with potential plaintiffs in order to prevent costly and timeconsuming
judicial intervention.” Id. at 719-20.
Under this rationale, the Khalil court found that an attorney’s letters to the potential
defendant were privileged because they were sent “in an attempt to avoid litigation by requesting,
among other things, that Khalil return the alleged stolen proprietary information and cease and
desist his use of that information.” Id. at 720. Neither the dicta in Khalil, the policy rationale
discussed, nor the holding suggests that the privilege should apply to a defamatory statement like
the one at issue in this case. Here, unlike Khalil, the Defendant’s statements were 1) made by a
non-attorney; 2) concerning a non-party to the alleged anticipated litigation; 3) making a
knowingly false statement; and 4) that was directed at, and disseminated to, the public at large.
Defendant’s statements cannot be can be considered “pertinent to a good faith anticipated
litigation,” such that the qualified privilege should apply.
Moreover, it strains credulity to ask the Court to somehow read the actionable 2015 press
release, calling Ms. Giuffre’s sex abuse claims “obvious lies,” as any type of “cease-and-desist”
statement. This statement was not a communication among the “attorneys and parties,” and it did
nothing to “reduce or avoid” or resolve any “anticipated” litigation. Indeed, Defendant’s
statements make no reference to any cause of action, and they lie in stark contrast to the protected
statements made in Khalil and in all the other cases Defendant cites.11
11 Unsurprisingly, Defendant cites to no case in which this qualified privilege has been extended to internationally
disseminated press releases slamming a non-party to the “anticipated” litigation.
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Most important, Defendant may never prevail in asserting this qualified privilege because,
in order to invoke this privilege, she must have “meritorious claims” for “good faith” litigation.
Defendant has neither. Defendant cannot have a “meritorious claim” for “good faith anticipated
litigation” because Ms. Giuffre’s reports of her sexual abuse are true, Defendant knows that they
are true, and Defendant made a knowingly false statement when she called Ms. Giuffre a liar.
Under these circumstances, Defendant has no “meritorious” claim to make in “good faith” relating
to either Ms. Giuffre’s statements or their coverage in the press, thereby making her defamatory
statements wholly outside the protection of this qualified privilege.
2. Defendant’s Statements Are Outside The Scope Of The “Pre-Litigation” Qualified
Privilege Because They Were Made To Bully, Harass, And Intimidate.
Khalil specifically states that the qualified privilege “does not protect attorneys who are
seeking to bully, harass, or intimidate their client's adversaries by threatening baseless litigation or
by asserting wholly unmeritorious claims, unsupported in law and fact, in violation of counsel's
ethical obligations.” Khalil, 24 N.Y.3d at 720. Defendant’s defamatory statement, that a sexual
abuse victim is lying about her abuse, is purposefully calculated to “bully, harass, or intimidate”
that victim, and keep her silent about Defendant’s wrongdoing. Again, this is an old story.
Defendant, through her press release, is merely trying to discredit Ms. Giuffre in the public eye,
and thereby deflect blame; calling Ms. Giuffre a liar has nothing to do with advancing her interest
in any pretended litigation with the British press. Defendant used the press to defame, discredit,
and intimidate Ms. Giuffre and, therefore, these statements lie wholly outside the scope of a
qualified pre-litigation privilege. See also Block, at 699 (Sweet, J.) (denying summary judgment
on the pre-litigation qualified privilege affirmative defense because there was “a genuine issue as
to malice and appropriate purpose”).
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In sum, the cases cited by both the Court of Appeals in Khalil and by Defendant’s Motion
to Dismiss applied this privilege only to statements made pertinent to good faith anticipated
litigation, among interested parties, because this qualified privileged is designed to facilitate the
negotiation, settlement, or refinement of claims prior to an action being filed. It should not be
applied to a socialite using her press agent to disseminate defamatory statements to the entire
world, least of all where it maligns a non-party to alleged anticipated litigation that cannot, in any
event, be brought in good faith because of Defendant’s personal role in the underlying sexual
abuse.
II. Ms. Giuffre Has Properly Pled A Defamation Claim.
As a fallback argument, Defendant raises various alleged technical deficiencies in Ms.
Giuffre’s complaints. These arguments, too, are totally without merit. Defendant claims that Ms.
Giuffre did not provide the “context” of Defendant’s defamatory statement, but (1) a motion to
dismiss is not a proper vehicle to litigate the “context” in which statements are made, and (2) Ms.
Giuffre did, in fact, provide sufficient “context” under New York law. What’s more, even if
further context were appropriate in the pleadings, it would only show that Defendant deliberately
made false, defamatory, and injurious statements about Ms. Giuffre. Defendant also alleges that
Ms. Giuffre failed to provide sufficient detail. This claim, too, lacks any merit because the
Complaint clearly specifies the nature of the statements made by Defendant.
A. Viewed In Context, Defendant’s Assault On Ms. Giuffre Is Defamatory.
Defendant asks the Court to conclude, on a motion to dismiss, that “when viewed in
context, the statements are not actionable defamatory statements.” MTD at p. 17. The Defendant
does not advise the Court how it could possibly begin to make such a “context” determination.
Presumably, the Court would have to have the full context for all statements covered by the
Complaint and then evaluate the context for defamatory meaning. Of course, because Ms. Giuffre
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has just filed her Complaint, a fully-developed record does not exist for any such evaluation. The
Defendant’s argument should be rejected for this reason.
Defendant also contends that because the Complaint did not set forth the immaterial and
nonactionable portions of Defendant’s defamatory press release, the Complaint is insufficiently
pled, but that is not the standard under New York law. The Complaint does not employ “vague
and conclusory allegation[s]”12 without specifying “the actual defamatory words,”13 nor does the
Complaint fail to “set forth in any manner the words which he claims are actionable so as to give
defendants notice of the statements at issue,”14 as was the situation in the inapposite cases
Defendant cites. To the contrary, the Complaint uses direct, word-for-word quotes of Defendant’s
press statements, giving all the particulars of their origination. For that reason, Ms. Giuffre’s
Complaint satisfies the pleading requirements.15
On the issue of context, this case is most closely akin to the recent New York Court of
Appeals case Davis v. Boeheim, 24 N.Y.3d 262, 265, 22 N.E.3d 999 (2014). In Boeheim, plaintiffs
were victims of sexual molestation by Bernie Fine, a former associate head basketball coach for
Syracuse University. Following plaintiffs’ accusations of sex abuse, James Boeheim, Fine’s
friend, published statements calling plaintiffs liars, and stating their allegations were financially
motivated. Plaintiffs sued for defamation.
The Court of Appeals specifically held that such defamation allegations easily survive a
motion to dismiss. The Court explained that, on a motion to dismiss, a court “merely examines
12 Dillon v. City of New York, 261 A.D.2d 34, 39-40, 704 N.Y.S.2d 1 (1999).
13 Edwards v. Great N. Ins. Co., No. 03cv2947(NG)(RML), 2006 WL 2053717, at *5 (E.D.N.Y. July 21, 2006).
14 Wanamaker v. Columbian Rope Co., 713 F. Supp. 533, 545 (N.D.N.Y. 1989) aff'd, 108 F.3d 462 (2d Cir. 1997) and
aff'd, 108 F.3d 462 (2d Cir. 1997).
15 Further, the Complaint incorporates by reference the remainder of Defendant’s published statements in the January
3, 2015, statement. See, e.g., McCawley Decl., Ex. 1, Compl. at ¶ 31, 37. All of Defendant’s published statements are
publically available, and Defendant has full notice of the statements at issue because she issued them to the press and
Defendant does not deny making them. In an abundance of caution, Plaintiff has the quotes herein and attached the
press release statements to her declaration as Ex.’s B and C.
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the adequacy of the pleadings,” asking “whether the contested statements are reasonably
susceptible of a defamatory connotation.” 22 N.E.3d at 1003. (Internal citations omitted.) The
Court emphasized that “[i]f, upon any reasonable view of the stated facts, plaintiff would be
entitled to recovery for defamation, the complaint must be deemed to sufficiently state a cause of
action.” Id. The Court minded trial courts to be wary of dismissing claims at the outset in light of
a plaintiff's “right to seek redress, and not have the courthouse doors closed at the very inception
of an action, where the pleading meets [the] minimal standard necessary to resist dismissal of [the]
complaint.” Id. at 1003-04.
The Court of Appeals went on to find the complaint fully stated a cause of action because
statements alleging that a person told lies about accusations of sexual abuse are “susceptible of a
defamatory connotation” because they “tend[] to expose [Plaintiff] to public contempt, hatred,
ridicule, aversion or disgrace.” Id. at 1004. The Court of Appeals also emphasized that the
statements were defamatory because they “are capable of being proven true or false, as they
concern whether plaintiffs made false sexual abuse allegations against Fine in order to get money,
and whether [one of the plaintiffs] had made false statements in the past.” Id. at 1006. Of course,
exactly the same points that the Court of Appeals made about the statements attacking the victims
of Fine apply to Defendant’s statements attacking Ms. Giuffre.
B. The Complaint Alleges Whom, Where, And In What Manner The January
Statement Was Made With Specificity And Supporting Facts.
Ms. Giuffre has pled every element for a cause of action for defamation under New York
and Colorado law which are substantively similar.16 Under New York law, the elements of a
defamation claim are: (1) a false statement, published to a third party; (2) without authorization or
16 The defamatory statements were made in New York, the Defendant resides in New York, and there is no conflict
between New York and Colorado law, therefore, New York has the most significant interest in the issue of this
litigation and New York law should apply. Catalanello v. Kramer, 18 F. Supp. 3d 504, 511 (S.D.N.Y. 2014).
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privilege; (3) fault, judged at a minimum by a negligence standard; and (4) special harm or
defamation per se. Dillon v. City of New York, 261 A.D.2d 34 (1999).17
Ms. Giuffre has met every requirement in her Complaint. Ms. Giuffre explained in her
Complaint that she “became a victim of sexual trafficking and repeated sexual abuse after being
recruited by Ghislaine Maxwell and Jeffrey Epstein when Giuffre was under the age of
eighteen…Between 1999 and 2002, with the assistance and participation of Maxwell, Epstein
sexually abused Giuffre at numerous locations including his mansions in West Palm Beach,
Florida, and in this District. With the assistance of Maxwell, Epstein was able to sexually abuse
Giuffre for years until Giuffre eventually escaped.” See McCawley Decl., Ex. 1, Compl. at ¶¶ 8, 9
and 16. With respect to the first elements of a defamation claim, Giuffre has pled a defamatory
statement concerning another: Defendant stated through her press agent that Ms. Giuffre’s reports
of her child sexual abuse were “obvious lies.” See McCawley Decl., Ex. 1, Compl. at ¶ 30.
Second, she has pled publication to a third parties, stating that Defendant’s agent “issued an
additional false statement to the media and public,” and to “a reporter on a Manhattan street.” Id.
at ¶ 30, ¶ 37. Third, Ms. Giuffre has alleged more than “fault amounting to at least negligence on
the part of the publisher;” she has alleged malice and that Defendant made the statements
knowingly because Defendant herself participated in the abuse. See McCawley Decl., Ex. 1,
Compl. at ¶ 9. (“Between 1999 and 2002, with the assistance and participation of Maxwell,
Epstein sexually abused Giuffre at numerous locations including his mansion in West Palm Beach,
Florida, and in this District.”). Among other similar allegations, the Complaint states: “Maxwell’s
statements were published intentionally for the malicious purpose of further damaging a sexual
17 Accord, Lawson v. Stow, 2014 COA 26, ¶ 15, 327 P.3d 340, 345 (Under Colorado law, the elements of a defamation
claim are “(1) a defamatory statement concerning another; (2) published to a third party; (3) with fault amounting to at
least negligence on the part of the publisher; and (4) either actionability of the statement irrespective of special
damages or the existence of special damages to the plaintiff caused by the publication.”).
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22
abuse and sexual trafficking victim; to destroy Giuffre’s reputation and credibility” and that
Defendant “made her false statements knowing full well that they were completely false.
Accordingly, she made her statements with actual and deliberate malice, the highest degree of
awareness of falsity.” Compl. at ¶¶ 8-9. Fourth, Ms. Giuffre pled defamation per se, alleging that
the false statements “exposed Giuffre to public contempt, ridicule, aversion, and disgrace, and
induced an evil opinion of her in the minds of right-thinking persons.” Furthermore, the Complaint
alleges that Defendant’s defamatory statements “tended to injure Giuffre in her professional
capacity as the president of a non-profit corporation designed to help victims of sex trafficking,
inasmuch as they destroyed her credibility and reputation among members of the community that
seeks her help and that she seeks to serve.” See McCawley Decl., Ex. 1, Compl. at ¶ 11.
Not only has Ms. Giuffre fully pled defamation, but also the Complaint alleges many
supporting facts, giving Defendant full notice of the nature of the action. Ms. Giuffre has
“specif[ied] who made the statements, when they were made, to whom they were made and in
what context they were made.” Deutsche Asset Mgmt., Inc. v. Callaghan, No. 01 Civ 4426 CBM,
2004 WL 758303, at *12. As to “who” made the statements, Ms. Giuffre specified that
Defendant’s “agent, Ross Gow” gave the statement under Defendant’s authority, and that
Defendant made the statement in Manhattan. See McCawley Decl., Ex. 1, Compl. at ¶ 29 and ¶ 37.
As to the “when,” the Complaint alleges the very days they were made: “On or about January 3,
2014” and “[o]n or about January 4, 2015.” See McCawley Decl., Ex. 1, Compl. at ¶ 29 and ¶ 37.
Additionally, paragraphs 9 through 29 of the Complaint provides ample “context,” narrating the
factual history of Defendant’s abuse of Ms. Giuffre and referring to Defendant’s statements
published by the media. These defamatory statements, as alleged in the Complaint, were widely
disseminated internationally and online, as acknowledged by Defendant in the instant motion.
MTD at p. 18. Accordingly, not only does the Complaint plead all of the elements of defamation
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 27 of 32
23
per se, but it gives ample factual backing to support those elements. Defendant does not deny
making these statements, nor challenge the accuracy of their dissemination by the media.
Finally, Defendant’s statements impugning Ms. Giuffre honesty and calling her a liar are
especially defamatory because they disparage Ms. Giuffre in her profession as president and
founder of the not-for-profit whose mission is to fight sexual abuse and human trafficking. Celle v.
Filipino Reporter Enterprises, Inc., 209 F.3d 163, 179-80 (2d Cir. 2000) (“[I]t is actionable
without proof of damage to say of a physician that he is a butcher ..., of an attorney that he is a
shyster, of a school teacher that he has been guilty of improper conduct as to his pupils, of a
clergyman that he is the subject of scandalous rumors, of a chauffeur that he is habitually drinking,
of a merchant that his credit is bad or that he sells adulterated goods, of a public officer that he has
accepted a bribe or has used his office for corrupt purposes … - since these things discredit [one]
in his chosen calling.”). Defendant’s statements that Ms. Giuffre lied about her own past sex abuse
discredits Ms. Giuffre in her “chosen calling” and profession of being an advocate for sex abuse
victims. They paint her as a faker. Defendant’s statements tell the audience that Defendant knows
that Ms. Giuffre’s professional endeavors are built upon a lie, thus destroying both Ms. Giuffre’s
reputation and the reputation and credibility of her foundation.
C. Ms. Giuffre Has Pled Defamation Per Se And Does Not Need To Plead Special
Damages.
Ms. Giuffre has sufficiently alleged defamation per se under New York law, suing in libel
based on Defendant’s published defamatory statements. Ms. Giuffre need not plead or prove
special damages because the defamatory statements “tend to expose the plaintiff to public
contempt, ridicule, aversion or disgrace, or induce an evil opinion of [her] in the minds of rightthinking
person, and to deprive [her] of their friendly intercourse in society.” Matherson v.
Marchello, 100 A.D.2d 233, 235, 473 N.Y.S.2d 998, 1000-01 (1984). Furthermore, Defendant is
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 28 of 32
24
wholly incorrect in stating that a defamation per se claim is limited to professionals who are
defamed within the context of their profession and suffer damages relating to their profession.
Here, Defendant confuses, or deliberately conflates, slander and libel, two types of
defamation with substantially different elements required to state a claim. Defendant cites
Liberman v. Gelstein, for the proposition that, in order to be actionable, Defendant’s statements
“‘must be made with reference to a matter of significance and importance for [the plaintiff’s
profession, trade or office].’” 80 N.Y.2d 429, 431, 605 N.E.2d 344 (1992). However, Liberman
concerned a slander case. Slander is defamation that is spoken by defendant, and an action lies in
slander for very limited types of speech. However, those limitations are irrelevant in this case
because this case concerns libel, a form of defamation that is a written or published statement
(and, as such, typically far more widely disseminated). Pleading and proving libel per se is not
limited to the four circumstances required for slander, but has a much broader definition.18
Similarly, the other cases cited by Defendant, Thompson v. Bosswick, 855 F. Supp. 2d 67
(S.D.N.Y. 2012) and Pure Power Boot Camp, Inc. v. Warrior Fitness Boot Camp, LLC, 813 F.
Supp. 2d 489, 503 (S.D.N.Y. 2011), also concerned slander, not libel and, therefore, their holdings
are inapplicable.
Instead, in libel actions, the “challenged language is actionable per se if it tends to expose
another to ‘public hatred, shame, obloquy, contempt, ridicule, aversion, ostracism, degradation, or
disgrace’ or ‘to induce an evil opinion of one in the minds of right-thinking persons and to deprive
one of one's confidence and friendly intercourse in society’ or tends to disparage a person in the
way of his office, profession or trade.” Idema v. Wager, 120 F. Supp. 2d 361, 367 (S.D.N.Y. 2000)
18 “[S]lander per se” consists of statements (i) charging plaintiff with a serious crime; (ii) that end to injure another in
his or her trade, business or profession; (iii) that plaintiff has a loathsome disease; or (iv) imputing unchastity to a
woman. Liberman v. Gelstein, 80 N.Y.2d 429, 435, 605 N.E.2d 344 (1992).
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 29 of 32
25
aff'd, 29 F. App'x 676 (2d Cir. 2002) (internal citations omitted); Massre v. Bibiyan, No. 12 CIV.
6615 KPF, 2014 WL 2722849, at *10 (S.D.N.Y. June 16, 2014).
Ms. Giuffre has pled libel per se, as the statement that Defendant lied about being a sexual
abuse victim is more than sufficient to expose her to “public contempt, ridicule, aversion, and
disgrace, and induced an evil opinion of her in the minds of right-thinking persons.” See
McCawley Decl., Ex. 1, Compl. at ¶ 10. Additionally, Ms. Giuffre pled that “Maxwell’s false
statements also constitute libel per se inasmuch as they tended to injure Giuffre in her professional
capacity as the president of a non-profit corporation designed to help victims of sex trafficking,
and inasmuch as they destroyed her credibility and reputation among members of the community
that seeks her help and that she seeks to serve.” See McCawley Decl., Ex. 1, Compl. at ¶ 11.
Accordingly, Ms. Giuffre has pled libel per se.
CONCLUSION
Ms. Giuffre has set forth a well pled claim for defamation. The Court should accordingly
deny Defendant’s Motion to Dismiss and allow the case to proceed.
Dated: December 17, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 30 of 32
26
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 31 of 32
27
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on December 17, 2015, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 23 Filed 12/17/15 Page 32 of 32
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF
PLAINTIFF’S OPPOSITION TO DEFENDANT’S MOTION TO DISMISS
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Opposition to Defendant Maxwell’s Motion to Dismiss.
3. Attached hereto as Exhibit 1, is a true and correct copy of the Complaint [D.E. 1].
4. Attached hereto as Exhibit 2, is a true and correct copy of the March 9, 2011 Press
Release Statement.
5. Attached hereto as Exhibit 3, is a true and correct copy of the January 3, 2015
Statement issued by Defendant’s spokesman Ross Gow, quoted in the Express.
Case 1:15-cv-07433-RWS Document 24 Filed 12/17/15 Page 1 of 4
2
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
Case 1:15-cv-07433-RWS Document 24 Filed 12/17/15 Page 2 of 4
3
Dated: December 17, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 24 Filed 12/17/15 Page 3 of 4
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on December 17, 2015, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 24 Filed 12/17/15 Page 4 of 4
EXHIBIT 1
Case 1:15-cv-07433-RWS Document 24-1 Filed 12/17/15 Page 1 of 13
1
United States District Court
Southern District of New York
VIRGINIA L. GIUFFRE,
Plaintiff, CASE NO:_____________________
v.
GHISLAINE MAXWELL,
Defendant.
________________________________/
COMPLAINT
Boies Schiller & Flexner LLP
575 Lexington Avenue
New York, NY 10022
(212) 446-2300
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2
Plaintiff, VIRGINIA L. GIUFFRE, formerly known as Virginia Roberts
(“Giuffre”), for her Complaint against Defendant, GHISLAINE MAXWELL (“Maxwell”), avers
upon personal knowledge as to her own acts and status and otherwise upon information and
belief:
NATURE OF THE ACTION
1. This suit arises out of Defendant Maxwell’s defamatory statements against
Plaintiff Giuffre. As described below, Giuffre was a victim of sexual trafficking and abuse while
she was a minor child. Defendant Maxwell not only facilitated that sexual abuse but, most
recently, wrongfully subjected Giuffre to public ridicule, contempt and disgrace by, among other
things, calling Giuffre a liar in published statements with the malicious intent of discrediting and
further damaging Giuffre worldwide.
JURISDICTION AND VENUE
2. This is an action for damages in an amount in excess of the minimum
jurisdictional limits of this Court.
3. This Court has jurisdiction over this dispute pursuant to 28 U.S.C. §1332
(diversity jurisdiction) as Giuffre and Maxwell are citizens of different states and the amount in
controversy exceeds seventy-five thousand ($75,000), exclusive of interest and costs.
4. This Court has personal jurisdiction over Maxwell. Maxwell resides in New York
City, and this action arose, and defamatory statements were made, within the Southern District of
New York.
5. Venue is proper in this Court as the cause of action arose within the jurisdiction of
this Court.
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3
PARTIES
6. Plaintiff Giuffre is an individual who is a citizen of the State of Colorado.
7. Defendant Maxwell, who is domiciled in the Southern District of New York, is
not a citizen of the state of Colorado.
FACTUAL ALLEGATIONS
8. Virginia Giuffre became a victim of sex trafficking and repeated sexual abuse
after being recruited by Ghislaine Maxwell and Jeffrey Epstein when Giuffre was under the age
of eighteen.
9. Between 1999 and 2002, with the assistance and participation of Maxwell,
Epstein sexually abused Giuffre at numerous locations including his mansions in West Palm
Beach, Florida, and in this District. Between 2001 and 2007, with the assistance of numerous
co-conspirators, Epstein abused more than thirty (30) minor underage girls, a fact confirmed by
state and federal law enforcement.
10. As part of their sex trafficking efforts, Epstein and Maxwell intimidated Giuffre
into remaining silent about what had happened to her.
11. In September 2007, Epstein entered into a Non-Prosecution Agreement (“NPA”)
that barred his prosecution for numerous federal sex crimes in the Southern District of Florida.
12. In the NPA, the United States additionally agreed that it would not institute any
federal criminal charges against any potential co-conspirators of Epstein.
13. As a co-conspirator of Epstein, Maxwell was consequently granted immunity in
the Southern District of Florida through the NPA.
14. Epstein ultimately pled guilty to procuring a minor for prostitution, and is now a
registered sex offender.
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15. Rather than confer with the victims about the NPA, the U.S. Attorney’s Office
and Epstein agreed to a “confidentiality” provision in the Agreement barring its disclosure to
anyone—including Epstein’s victims. As a consequence, the victims were not told about the
NPA.
16. On July 7, 2008, a young woman identified as Jane Doe No. 1, one of Jeffrey
Epstein’s victims (other than Giuffre), filed a petition to enforce her rights under the Crime
Victims’ Rights Act (“CVRA”), 18 U.S.C. ¶ 3771, alleging that the Government failed to
provide her the rights promised in the CVRA with regard to the plea arrangement with Epstein.
The litigation remains ongoing.
17. On or about May 4, 2009, Virginia Giuffre—identified then as Jane Doe No.
102—filed a complaint against Jeffrey Epstein in the United States District Court for the
Southern District of Florida. The complaint included allegations made by Giuffre that pertained
to Maxwell.
18. In pertinent part, the Jane Doe No. 102 complaint described in detail how
Maxwell recruited Giuffre (who was then a minor girl) to become a victim of sex trafficking by
introducing Giuffre to Jeffrey Epstein. With the assistance of Maxwell, Epstein was able to
sexually abuse Giuffre for years until Giuffre eventually escaped.
19. The Jane Doe No. 102 complaint contained the first public allegations made on
behalf of Giuffre regarding Maxwell.
20. As civil litigation against Epstein moved forward on behalf of Giuffre and many
other similarly-situated victims, Maxwell was served with a subpoena for deposition. Her
testimony was sought concerning her personal knowledge and role in Epstein’s abuse of Giuffre
and others.
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5
21. To avoid her deposition, Maxwell claimed that her mother fell deathly ill and that
consequently she was leaving the United States for London with no plans of ever returning. In
fact, however, within weeks of using that excuse to avoid testifying, Maxwell had returned to
New York.
22. In 2011, two FBI agents located Giuffre in Australia—where she had been hiding
from Epstein and Maxwell for several years—and arranged to meet with her at the U.S.
Consulate in Sidney. Giuffre provided truthful and accurate information to the FBI about
Epstein and Maxwell’s sexual abuse.
23. Ultimately, as a mother and one of Epstein’s many victims, Giuffre believed that
she should speak out about her sexual abuse experiences in hopes of helping others who had also
suffered from sexual trafficking and abuse.
24. On December 23, 2014, Giuffre incorporated an organization called Victims
Refuse Silence, Inc., a Florida not-for-profit corporation.
25. Giuffre intended Victims Refuse Silence to change and improve the fight against
sexual abuse and human trafficking. The goal of her organization was, and continues to be, to
help survivors surmount the shame, silence, and intimidation typically experienced by victims of
sexual abuse. Giuffre has now dedicated her professional life to helping victims of sex
trafficking.
26. On December 30, 2014, Giuffre moved to join the on-going litigation previously
filed by Jane Doe 1 in the Southern District of Florida challenging Epstein’s non-prosecution
agreement by filing her own joinder motion.
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6
27. Giuffre’s motion described Maxwell’s role as one of the main women who
Epstein used to procure under-aged girls for sexual activities and a primary co-conspirator and
participant in his sexual abuse and sex trafficking scheme.
28. In January, 2015, Maxwell undertook a concerted and malicious campaign to
discredit Giuffre and to so damage her reputation that Giuffre’s factual reporting of what had
happened to her would not be credited.
29. As part of Maxwell’s campaign she directed her agent, Ross Gow, to attack
Giuffre’s honesty and truthfulness and to accuse Giuffre of lying.
30. On or about January 3, 2015, speaking through her authorized agent, Maxwell
issued an additional false statement to the media and public designed to maliciously discredit
Giuffre. That statement contained the following deliberate falsehoods:
(a) That Giuffre’s sworn allegations “against Ghislaine Maxwell are untrue.”
(b) That the allegations have been “shown to be untrue.”
(c) That Giuffre’s “claims are obvious lies.”
31. Maxwell’s January 3, 2015, statement incorporated by reference “Ghislaine
Maxwell’s original response to the lies and defamatory claims remains the same,” an earlier
statement that had falsely described Giuffre’s factual assertions as “entirely false” and “entirely
untrue.”
32. Maxwell made the same false and defamatory statements as set forth above, in the
Southern District of New York and elsewhere in a deliberate effort to maliciously discredit
Giuffre and silence her efforts to expose sex crimes committed around the world by Maxwell,
Epstein, and other powerful persons. Maxwell did so with the purpose and effect of having
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7
others repeat such false and defamatory statements and thereby further damaged Giuffre’s
reputation.
33. Maxwell made her statements to discredit Giuffre in close consultation with
Epstein. Maxwell made her statements knowing full well they were false.
34. Maxwell made her statements maliciously as part of an effort to conceal sex
trafficking crimes committed around the world by Maxwell, Epstein and other powerful persons.
35. Maxwell intended her false and defamatory statements set out above to be
broadcast around the world and to intimidate and silence Giuffre from making further efforts to
expose sex crimes committed by Maxwell, Epstein, and other powerful persons.
36. Maxwell intended her false statements to be specific statements of fact, including
a statement that she had not recruited an underage Giuffre for Epstein’s abuse. Maxwell’s false
statements were broadcast around the world and were reasonably understood by those who heard
them to be specific factual claims by Maxwell that she had not helped Epstein recruit or sexually
abuse Giuffre and that Giuffre was a liar.
37. On or about January 4, 2015, Maxwell continued her campaign to falsely and
maliciously discredit Giuffre. When a reporter on a Manhattan street asked Maxwell about
Giuffre’s allegations against Maxwell, she responded by saying: “I am referring to the statement
that we made.” The New York Daily News published a video of this response by Maxwell
indicating that she made her false statements on East 65th Street in Manhattan, New York, within
the Southern District of New York.
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COUNT I
DEFAMATION
1. Plaintiff Giuffre re-alleges paragraphs 1 - 37 as if the same were fully set forth
herein. Maxwell made her false and defamatory statements deliberately and maliciously with the
intent to intimidate, discredit and defame Giuffre.
2. In January 2015, and thereafter, Maxwell intentionally and maliciously released to
the press her false statements about Giuffre in an attempt to destroy Giuffre’s reputation and
cause her to lose all credibility in her efforts to help victims of sex trafficking.
3. Maxwell additionally released to the press her false statements with knowledge
that her words would dilute, discredit and neutralize Giuffre’s public and private messages to
sexual abuse victims and ultimately prevent Giuffre from effectively providing assistance and
advocacy on behalf of other victims of sex trafficking, or to expose her abusers.
4. Using her role as a powerful figure with powerful friends, Maxwell’s statements
were published internationally for the malicious purpose of further damaging a sexual abuse and
sexual trafficking victim; to destroy Giuffre’s reputation and credibility; to cause the world to
disbelieve Giuffre; and to destroy Giuffre’s efforts to use her experience to help others suffering
as sex trafficking victims.
5. Maxwell, personally and through her authorized agent, Ross Gow, intentionally
and maliciously made false and damaging statements of fact concerning Giuffre, as detailed
above, in the Southern District of New York and elsewhere.
6. The false statements made by Gow were all made by him as Maxwell’s
authorized agent and were made with direct and actual authority from Maxwell as the principal.
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9
7. The false statements that Maxwell made personally, and through her authorized
agent Gow, not only called Giuffre’s truthfulness and integrity into question, but also exposed
Giuffre to public hatred, contempt, ridicule, and disgrace.
8. Maxwell made her false statements knowing full well that they were completely
false. Accordingly, she made her statements with actual and deliberate malice, the highest
degree of awareness of falsity.
9. Maxwell’s false statements constitute libel, as she knew that they were going to
be transmitted in writing, widely disseminated on the internet and in print. Maxwell intended her
false statements to be published by newspaper and other media outlets internationally, and they
were, in fact, published globally, including within the Southern District of New York.
10. Maxwell’s false statements constitute libel per se inasmuch as they exposed
Giuffre to public contempt, ridicule, aversion, and disgrace, and induced an evil opinion of her in
the minds of right-thinking persons.
11. Maxwell’s false statements also constitute libel per se inasmuch as they tended to
injure Giuffre in her professional capacity as the president of a non-profit corporation designed
to help victims of sex trafficking, and inasmuch as they destroyed her credibility and reputation
among members of the community that seeks her help and that she seeks to serve.
12. Maxwell’s false statements directly stated and also implied that in speaking out
against sex trafficking Giuffre acted with fraud, dishonesty, and unfitness for the task.
Maxwell’s false statements directly and indirectly indicate that Giuffre lied about being recruited
by Maxwell and sexually abused by Epstein and Maxwell. Maxwell’s false statements were
reasonably understood by many persons who read her statements as conveying that specific
intention and meaning.
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13. Maxwell’s false statements were reasonably understood by many persons who
read those statements as making specific factual claims that Giuffre was lying about specific
facts.
14. Maxwell specifically directed her false statements at Giuffre’s true public
description of factual events, and many persons who read Maxwell’s statements reasonably
understood that those statements referred directly to Giuffre’s account of her life as a young
teenager with Maxwell and Epstein.
15. Maxwell intended her false statements to be widely published and disseminated
on television, through newspapers, by word of mouth and on the internet. As intended by
Maxwell, her statements were published and disseminated around the world.
16. Maxwell coordinated her false statements with other media efforts made by
Epstein and other powerful persons acting as Epstein’s representatives and surrogates. Maxwell
made and coordinated her statements in the Southern District of New York and elsewhere with
the specific intent to amplify the defamatory effect those statements would have on Giuffre’s
reputation and credibility.
17. Maxwell made her false statements both directly and through agents who, with
her general and specific authorization, adopted, distributed, and published the false statements on
Maxwell’s behalf. In addition, Maxwell and her authorized agents made false statements in
reckless disregard of their truth or falsity and with malicious intent to destroy Giuffre’s
reputation and credibility; to prevent her from further disseminating her life story; and to cause
persons hearing or reading Giuffre’s descriptions of truthful facts to disbelieve her entirely.
Maxwell made her false statements wantonly and with the specific intent to maliciously damage
Giuffre’s good name and reputation in a way that would destroy her efforts to administer her
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11
non-profit foundation, or share her life story, and thereby help others who have suffered from
sexual abuse.
18. As a result of Maxwell’s campaign to spread false, discrediting and defamatory
statements about Giuffre, Giuffre suffered substantial damages in an amount to be proven at trial.
19. Maxwell’s false statements have caused, and continue to cause, Giuffre economic
damage, psychological pain and suffering, mental anguish and emotional distress, and other
direct and consequential damages and losses.
20. Maxwell’s campaign to spread her false statements internationally was unusual
and particularly egregious conduct. Maxwell sexually abused Giuffre and helped Epstein to
sexually abuse Giuffre, and then, in order to avoid having these crimes discovered, Maxwell
wantonly and maliciously set out to falsely accuse, defame, and discredit Giuffre. In so doing,
Maxwell’s efforts constituted a public wrong by deterring, damaging, and setting back Giuffre’s
efforts to help victims of sex trafficking. Accordingly, this is a case in which exemplary and
punitive damages are appropriate.
21. Punitive and exemplary damages are necessary in this case to deter Maxwell and
others from wantonly and maliciously using a campaign of lies to discredit Giuffre and other
victims of sex trafficking.
PRAYER FOR RELIEF
WHEREFORE, Plaintiff Giuffre respectfully requests judgment against Defendant
Maxwell, awarding compensatory, consequential, exemplary, and punitive damages in an
amount to be determined at trial, but in excess of the $75,000 jurisdictional requirement; costs of
suit; attorneys’ fees; and such other and further relief as the Court may deem just and proper.
CaCsaes e1 :11:51-5c-vc-v0-70473433-3R-WRWS S D oDcoucmumenetn 2t 41- 1 F iFleilde d0 91/22/11/71/51 5 P aPgaeg e1 11 2o fo 1f 213
12
JURY DEMAND
Plaintiff hereby demands a trial by jury on all causes of action asserted within this
pleading.
Dated September 21, 2015.
/s/ David Boies
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
/s/ Sigrid McCawley
Sigrid McCawley
(Pro Hac Vice Pending)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
/s/ Ellen Brockman
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
CaCsaes e1 :11:51-5c-vc-v0-70473433-3R-WRWS S D oDcoucmumenetn 2t 41- 1 F iFleilde d0 91/22/11/71/51 5 P aPgaeg e1 21 3o fo 1f 213
EXHIBIT 2
Case 1:15-cv-07433-RWS Document 24-2 Filed 12/17/15 Page 1 of 2
LONDON, March 10, 2011 /PRNewswire/ -- Ghislaine Maxwell denies the various allegations about her that have appeared
recently in the media. These allegations are all entirely false.
It is unacceptable that letters sent by Ms Maxwell's legal representatives to certain newspapers pointing out the truth and asking
for the allegations to be withdrawn have simply been ignored.
In the circumstances, Ms Maxwell is now proceeding to take legal action against those newspapers.
"I understand newspapers need stories to sell copies. It is well known that certain newspapers live by the adage, "why let the truth
get in the way of a good story." However, the allegations made against me are abhorrent and entirely untrue and I ask that they
stop," said Ghislaine Maxwell.
"A number of newspapers have shown a complete lack of accuracy in their reporting of this story and a failure to carry out the
most elementary investigation or any real due diligence. I am now taking action to clear my name," she said.
Media contact:
Ross Gow
Acuity Reputation
Tel: +44-203-008-7790
Mob: +44-7778-755-251
Email: ross@acuityreputation.com
SOURCE Devonshires Solicitors
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Statement on Behalf of Ghislaine Maxwell -- LONDON, March 10, 2011 /PR Newswire ... Page 1 of 1
http://www.prnewswire.co.uk/news-releases/statement-on-behalf-of-ghislaine-maxwell-1... 12/17/2015
Case 1:15-cv-07433-RWS Document 24-2 Filed 12/17/15 Page 2 of 2
EXHIBIT 3
Case 1:15-cv-07433-RWS Document 24-3 Filed 12/17/15 Page 1 of 3
Express. Home of the Daily and Sunday Express.
PUBLISHED: 00:10, Sun, Jan 4, 2015
Ghislaine Maxwell: ‘I was not a madam
for paedophile’
SOCIALITE Ghislaine Maxwell dismissed claims yesterday that she
acted as a “madam” to supply underage girls to US businessman
Jeffrey Epstein.
PUBLISHED: 00:10, Sun, Jan 4, 2015
8
REX
Ghislaine Maxwell, pictured with Epstein, says claims against her are ‘lies’
The daughter of disgraced Mirror newspapers chief Robert Maxwell said her character had been defamed.
Case 1:15-cv-07433-RWS Document 24-3 Filed 12/17/15 Page 2 of 3
Documents lodged with a court in Florida say the 53-year-old introduced her former boyfriend Epstein to powerful
individuals, including Prince Andrew, after moving to New York in 1991 following the death of her father on his
yacht.
According to the documents, a woman identified as Jane Doe 3 says Ms Maxwell asked her to visit Epstein’s
Florida mansion when she was 15 years old.
The document says: “Epstein and Maxwell turned it into a sexual encounter, as they had done with many other
victims.
"Maxwell took numerous sexually explicit pictures of underage girls, including Jane Doe 3.”
When the claims emerged on Friday, her spokesman, Ross Gow, said she would not be commenting and
referred journalists to a 2011 statement in which she said the allegations against her were “abhorrent”.
Ghislaine Maxwell’s original response to the lies and defamatory claims remains the same
Ross Gow
However, he issued a fresh denial yesterday, saying: “The allegations made… against Ghislaine Maxwell are
untrue.
"The original allegations are not new and have been fully responded to and shown to be untrue.
“Each time the story is retold it changes, with new salacious details about public figures.
“(The woman’s) claims are obvious lies and should be treated as such and not publicised as news, as they are
defamatory.
"Ghislaine Maxwell’s original response to the lies and defamatory claims remains the same.
“Miss Maxwell strongly denies allegations of an unsavoury nature, which have appeared in the British press and
elsewhere and reserves her right to seek redress at the repetition of such claims.”
Maxwell, a former student at Balliol College, Oxford, is the founder of an environmental charity.
Case 1:15-cv-07433-RWS Document 24-3 Filed 12/17/15 Page 3 of 3
UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF NEW YORK
Virginia L. Giuffre,
Plaintiff,
Ghislaine Maxwell,
Defendant.
Case No.: 15-cv-07433-RWS
REPLY MEMORANDUM OF LAW IN SUPPORT OF
DEFENDANT’S MOTION TO DISMISS COMPLAINT
Laura A. Menninger
HADDON, MORGAN AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 1 of 13
i
TABLE OF CONTENTS
INTRODUCTION ............................................................................................................... 1
ARGUMENT ....................................................................................................................... 1
I. PLAINTIFF FAILED TO PLAUSIBLY PLEAD DEFAMATION ........................ 1
A. Plaintiff Failed to Adequately Plead a Defamation Claim. ................................. 1
B. Ms. Maxwell’s Statement In Context Is Not Defamatory ................................... 3
II. MS. MAXWELL’S STATEMENTS ARE PROTECTED BY PRIVILEGE .......... 6
A. Qualified Privilege May Form the Basis for a Rule 12(b)(6) Dismissal ............. 6
B. Ms. Maxwell’s Statements Are Protected by the Self-Defense Privilege ........... 7
C. Ms. Maxwell’s Statements Are Protected by the Pre-Litigation Privilege ......... 9
CONCLUSION ................................................................................................................. 10
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 2 of 13
1
INTRODUCTION
The primary focus of any defamation claim should be the alleged defamatory statements
themselves. But Ms. Maxwell’s statements have never been Plaintiff’s primary focus in this case.
Instead, in a transparent attempt to direct the Court’s attention away from the actual issues under
consideration—whether Ms. Maxwell’s statements are truly defamatory, whether Plaintiff
properly pled a defamation claim, and whether Ms. Maxwell was privileged to make her
statements—Plaintiff spends the bulk of her opposition repeating the same conclusory,
unsupported and false allegations that she was sexually abused by Ms. Maxwell. Plaintiff spends
the remainder of her opposition selectively misunderstanding applicable federal and New York
state defamation law. When correctly applying the law, it is clear that there are ample grounds
for which this Court can, and should, dismiss Plaintiff’s claim.
ARGUMENT
I. PLAINTIFF FAILED TO PLAUSIBLY PLEAD DEFAMATION
A. Plaintiff Failed to Adequately Plead a Defamation Claim.
Apart from bombast, the Complaint fails to adequately plead a defamation claim. First,
the Complaint’s sentence fragments and selective quotes do not aver any defamatory statement.
Scholastic, Inc. v. Stouffer, 124 F.Supp.2d 836, 849 (S.D.N.Y. 2000) (defamation claim “only
sufficient if it adequately identifies the purported communication, and an indication of who made
the communication, when it was made, and to whom it was communicated”); Dillon v. City of
N.Y., 261 A.D.2d 34, 39-40 (1st Dep’t 1999) (dismissing defamation complaint for, among other
things, failing to specify the actual defamatory words). The only actual words attributed to Ms.
Maxwell in the Complaint are: “against Ghislaine Maxwell are untrue,” “shown to be untrue,”
“claims are obvious lies,” and “I am referring to the statement that we made.” Compl. ¶ 30.
Beyond that, Plaintiff relies on conclusory, self-serving and in some cases flatly incorrect
characterizations of the published Statement. The Complaint refers to an “additional false
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 3 of 13
2
statement” made on January 3 (Compl. ¶ 30), but never explains the words it was “in addition
to.” It describes a statement “incorporated by reference” issued “earlier,’ (Compl. ¶ 31), but
omits the earlier statement and to whom, when or where it was made.1 It alleges statements
made “in the Southern District and elsewhere” by Ms. Maxwell’s agent, Ross Gow, (Compl.
¶¶ 29, 30, 32), but attaches a 2011 statement attributed to Mr. Gow in London. McCawley Decl.,
Ex. 2. Because the Complaint lacks allegations of the subject Statement, with specificity and in
context, the defamation claim should be dismissed.
Second, the Complaint does not contain allegations as to whom statement was made. In
lieu of that information, Plaintiff offers only who made the statement, a point not in dispute. Pl.’s
Opp’n at 22. As to whom, she alleges the statements were “widely disseminated” to the “media
and public.” Pl.’s Opp’n at 22; Compl. ¶ 30. Twice this Court deemed similar pleadings
insufficient. Hawkins v. City of N.Y., No. 99 Civ. 11704 (RWS), 2005 WL 1861855, at *18
(S.D.N.Y. Aug. 4, 2005) (pleading fatally defective due to “failure to identify…the individuals to
whom the statement was allegedly made”); Cruz v. Marchetto, No. 11 Civ. 8378, 2012 WL
4513484, at *4 (S.D.N.Y. Oct. 1, 2012) (dismissing complaint which “alleges in a conclusory
manner that . . . statements . . . ended up in the headlines and quoted in the media”).
Third, the Complaint lacks sufficient allegations to establish defamation per se. Plaintiff
insists that the pleading standard is far more lenient for libel claims than for slander claims. Pl.’s
Opp’n at 24 (citing Liberman v. Gelstein, 80 N.Y.2d 429 (N.Y. 1992)). Not so. Rather, “the
standard for determining whether a statement concerning a plaintiff’s business, profession or
trade is libelous per se follows the same rules, articulated in Liberman…, as the standard for
slander per se.” Id. Jewell v. NYP Holdings, Inc., 23 F.Supp.2d 348, 400 (S.D.N.Y 1998). In
fact, addressing a libel claim, this Court specifically noted that “[d]efamation per se has been
1
Indeed, the Opposition further confounds by disclaiming the Complaint is based on the 2011 statement
(Pl.’s Opp’n at 4, 13 ) but then suggests the Complaint incorporates that very statement (Pl.’s Opp’n at 19 & n.15).
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 4 of 13
3
defined both as statements that cast doubt on a particular quality at the very heart of the
profession and statements that impugn the basic integrity of a business.” Kforce, Inc. v. Alden
Personnel, Inc., 288 F.Supp.2d 513, 516 (S.D.N.Y. 2003).
Plaintiff nevertheless unsuccessfully attempts to establish a connection between the
subject Statement and her “profession” by pointing to her incorporation of the Victims Refuse
Silence, Inc. organization. Pl.’s Opp’n at 25. This is a red herring. No court has recognized
“victim” as a “profession” as to which a plaintiff’s integrity could be impugned. In any event, her
status as a professional victim only sprang into existence a mere 10 days before the January 3
Statement was issued. Compl. ¶ 24. Unsurprisingly, the Complaint is devoid of any factual
allegations that Ms. Maxwell knew about Plaintiff’s newfound “chosen calling,” nor that Ms.
Maxwell targeted any statement at Plaintiff’s “profession.” Thompson v. Bosswick, 855 F.
Supp.2d 67 (S.D.N.Y. 2012) (“The statement must be targeted at the specific standards of
performance relevant to plaintiff’s business…”); Thai v. Cayre Grp., Ltd., 726 F.Supp.2d. 323,
336 (S.D.N.Y. 2010) (absence of “facts to support the inference that [the subject] statement
imputed incompetence, incapacity or unfitness in the performance of [her] profession” as a
bookkeeper warranted dismissal of defamation per se claim). Consequently, Plaintiff failed to
adequately plead facts supporting defamation per se or any special damages, and the defamation
claim should be dismissed.
B. Ms. Maxwell’s Statement2 In Context Is Not Defamatory
As to defamation claims, the Second Circuit holds “it is for the court to determine in the
2
Plaintiff apparently has abandoned any claim concerning the January 4 oral statement attributed to Ms.
Maxwell in the Complaint. Cf. Compl. ¶ 24 (oral statement by Maxwell); Pl.’s Opp’n at 11-12 (contrasting a case
“that sounded in slander (spoken defamation), whereas this is a libel case (written defamation)”); Id. at 24 (“[A]n
action lies in slander for very limited types of speech. However, those limitations are irrelevant in this case because
this case concerns libel, a form of defamation that is a written or published statement.”). Plaintiff’s Opposition also
failed to address how that spoken statement could be construed as defamatory. Compare Mot. to Dism. at 5-6, 19-20
(video published under headline “Ghislaine Maxwell denies comment on allegations she is a madam” not
defamatory); Pl.’s Opp’n (omitting any contrary argument).
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 5 of 13
4
first instance whether the words are susceptible of a defamatory meaning.” Idema v. Wager, 29
Fed.Appx. 676, 678 (2d Cir. 2002). “In performing this task, the court must read the offending
words in the context of the whole article and test them against the ‘understanding of the average
reader.’” Id. (emphasis added). Plaintiff suggests without citation that this contextual reading
cannot be performed absent “a fully developed record.” Pl.’s Opp’n at 18-19. The numerous
cases she cites in which courts have been able to perform their evaluation – because the
complaint included the entire subject statement – belie her claim. While Plaintiff purports to “use
direct, word-for-word quotes of Defendant’s press statements, giving all the particulars of their
origination,” (Pl.’s Opp’n at 19), the Complaint shows otherwise. This alone warrants dismissal.
Dillon, 261 A.D.2d at 39-40 (dismissing defamation claim absent entire subject statement, noting
“the defect is all the more curious in that [plaintiff] concedes being a recipient of the
[complained of] letter, presumably enabling him to quote from it at length”).
In apparent acknowledgement of her error, Plaintiff now includes a fuller version of the
subject statement “in an abundance of caution” on the last page of her attorney’s declaration.
McCawley Decl., Ex. 3 at 2. When that statement (still incomplete, with an ellipsis and brackets)
is read in context, no average reader could reasonably find it defamatory in meaning. First and
foremost, the Statement is a general denial. No matter how many times Plaintiff baldly asserts
she was “called a liar” or “dishonest,” the words “liar” or “dishonest” appear nowhere therein.
Thus, all of Plaintiff’s legal arguments concerning the term “liar” are inapposite. Pl.’s Opp’n at
10-11.3 Indeed, the portion of the Statement referencing “obvious lies” immediately follows the
sentence: “Each time the story is retold it changes, with new salacious details about public
figures.” Even Judge Marra noted in his April 7 Order that Plaintiff’s latest story involves
3
Plaintiff’s reference to Brach v. Congregation Yetev Lev D’Satmar, Inc., 696 N.Y.S.2d 496, 498 (2d
Dep’t 1999), is another example where a court found that the defendant did more than issue a general denial. There,
the defendant published an article stating that the defendants won a court case “by lies and deceit” and called
plaintiff a robber. Id. Plaintiff asks this Court to ignore the significance of the latter statement.
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 6 of 13
5
“lurid” claims concerning “numerous American politicians, powerful business executives,
foreign presidents, a well-known Prime Minister, and other world leaders.” Menninger Decl.,
Ex. C at 5. Plaintiff’s story is palpably incredible, as even Judge Marra suggested in his Order.
In any event, New York courts uniformly agree general denials cannot alone give rise to
defamation claims. Indep. Living Aids, Inc. v. Maxi-Aids, Inc., 981 F.Supp.124, 127-28
(E.D.N.Y. 1997) (“Read in the context of the entire article, [defendant’s] remarks, calling
[plaintiff] and others ‘liars’ can only be understood as a denial of their accusations.”)4; Porter v.
Saar, 688 N.Y.S. 2d 137, 139 (1st Dep’t 1999) (“The comments attributed to defendant…in the
New York Post were in the nature of a general denial of plaintiff[’s] accusations of misconduct,
not an attack on plaintiffs.”); McNamee v. Clemens, 762 F.Supp.2d 584, 601 (E.D.N.Y. 2011)
(“[G]eneral denials aren’t actionable.”); Davis v. Boeheim, 24 N.Y.3d 262, 271-72 (N.Y. 2014).
Plaintiff unsuccessfully attempts to analogize the subject Statement to those in Boeheim
and Clemens. Yet in both cases those statements clearly crossed the line from “general denial to
specific accusations reasonably susceptible of a defamatory meaning.” Clemens, 762 F.Supp.2d
at 601. Ms. Maxwell’s statement does not. First, in Boeheim, the defendant coupled statements
regarding plaintiff’s accusations as “false allegations” and “a lie” with detailed claims regarding
the accusers as “liars” who were financially motivated. Specifically, Boeheim stated inter alia “I
believe they saw what happened at Penn State [a similar case of sex abuse], and they are using
ESPN to get money.” Id. The N.Y. Court of Appeals while reiterating that “general denials are
not actionable,” found the assertion plaintiff lied “for monetary gain” would lead a “reasonable
reader” to believe “the challenged statements were conveying facts about the…plaintiff.” Id.
Similarly, in Clemens, the defendant, in addition to denying plaintiff’s allegations, called
4
Plaintiff attempts to distinguish Independent Living Aids as a slander case. Pl.’s Opp’n at 11-12. It is a
distinction without a difference. The allegedly defamatory statements there were contained in an interview intended
for and ultimately published in a magazine article. 981 F.Supp.at 127-28. The court analyzed the context within
which the statement was written. Id.
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 7 of 13
6
plaintiff “troubled and unreliable,” accused him of fabricating evidence, threatened “anybody
who [believes plaintiff] better start looking for a hell of a good lawyer,” and stated he is
“constantly lying. . . I warn you five to six months from now, any of you that have jumped on the
bandwagon that Roger took steroids and assumed anything Brian McNamee had to say will be
embarrassed.” 762 F.Supp.2d at 591. Based on the aggressive nature of Clemens’ statements
towards the plaintiff, the court had an easy time concluding they went beyond general denials. Id.
at 602. As the court noted, “[Clemens’] statements were direct and often forcefully made, there
was nothing loose or vague about them.” Id.
The Statement here stands in stark contrast to Boeheim and Clemens’. Each piece of Ms.
Maxwell’s alleged Statement shares one important characteristic: it decries Plaintiff’s allegations
as untrue, while saying nothing about Plaintiff herself. Ms. Maxwell never claimed Plaintiff had
an ulterior motive (Boeheim), or attacked the accuser’s mental state (Clemens), or referred to the
accuser as a criminal (Brach, a robber; Clemens manufacturing evidence).
Throughout her Opposition, Plaintiff improperly puts various words in Ms. Maxwell’s
mouth, e.g., repeatedly attributing to her the words “liar” and “dishonest.” Pl.’s Opp’n at 10-11.
Of course, she cannot point to any publication in which Ms. Maxwell used those words. By
Plaintiff’s logic, a general denial may give rise to a defamation lawsuit. Pl.’s Opp’n at 10.
Fortunately, the law provides otherwise. Because Ms. Maxwell simply denied Plaintiff’s
malicious accusations, her Statement is not actionable. See Foretich v. Cap. Cities/ABC, Inc., 37
F.3d 1541, 1562-63 (4th Cir. 1991) (measured replies non-actionable despite using labels such as
“heinous lies,” “downright filth,” and “filthy dirt…like from the bottom of a cesspool”).
II. MS. MAXWELL’S STATEMENTS ARE PROTECTED BY PRIVILEGE
A. Qualified Privilege May Form the Basis for a Rule 12(b)(6) Dismissal
Plaintiff’s protestations aside, numerous federal and state courts have dismissed
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 8 of 13
7
defamation complaints based on a qualified privilege. See, e.g., Front, Inc. v. Khalil, 24 N.Y.3d
713 (N.Y. 2015) (affirming motion to dismiss based on pre-litigation qualified privilege);
Orenstein v. Figel, 677 F.Supp.2d 706, 722 (S.D.N.Y. 2009); Fuji Photo Film U.S.A., Inc., v.
McNulty, 669 F.Supp.2d 405, 415-16 (S.D.N.Y. 2009). While conceding that the absence of
privilege is an element of defamation, Opp’n at 20-21, Plaintiff nevertheless cites to (primarily
N.Y. state) cases in which the plaintiffs, unlike herself, properly alleged facts which could serve
to defeat a qualified privilege. As New York’s highest court found:
While there are numerous cases in the books in which it is said that
as to privileged communications the good faith of the defendant
and the existence of actual malice are questions of fact for the jury,
the expression must not be misunderstood. Those questions are for
the jury only where there is evidence in the case warranting their
submission to the jury, and the burden of proof is on the plaintiff.
Shapiro v. Health Ins. Plan, 7 N.Y.2d 56, 61 (N.Y. 1959) (emphasis added). As detailed below,
Plaintiff has failed to carry her pleading burden here.
B. Ms. Maxwell’s Statements Are Protected by the Self-Defense Privilege
The long-recognized self-defense privilege “is available to one who has been defamed in
the first instance, and who, in response to the attack, responds in kind.” Shenkman v. O’Malley,
2 A.D.2d 567, 574 (1st Dep’t 1956). The “respon[se] in kind” is what is at issue here. Plaintiff
concedes she began the public verbal assault on Ms. Maxwell. Compl. ¶ 17, 26-27. Plaintiff also
correctly acknowledges that to defeat the privilege, the Complaint must properly allege it was
abused. Pl.’s Opp’n at 5. Abuse of privilege in this context requires a showing that the reply (1)
includes substantial defamatory matter irrelevant or non-responsive to the initial statement; (2)
includes substantial defamatory material disproportionate to the initial statement; (3) is
excessively publicized; or (4) is made with malice in the sense of spite or ill will.” Sack, Robert
D., Sack on Defamation: Libel Slander and Related Problems (Practicing Law Inst., Apr. 2015
ed.) at Kindle Loc. 20357-20370; Restatement (Second) of Torts, §§ 599, 603-605A (1977). It is
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 9 of 13
8
malice prong Plaintiff fundamentally misunderstands and inadequately pleads.
First of all, the malice, “in the sense of spite or ill will,” must, post-Twombly and Iqbal5,
be based on “factual content,” not mere “legal conclusions, deductions or opinions couched as
factual allegations.” Thai v. Cayre Grp., 726 F.Supp.2d at 327; see also Orenstein, 677
F.Supp.2d at 711 (dismissing conclusory claims of malice where Complaint “provide[d] neither
factual support for these conclusions nor any explanation of why [defendant] would have an
interest in acting maliciously toward the [plaintiff]”); Fuji Film, 669 F.Supp.2d at 416
(dismissing complaint in which “allegations [defendant] acted maliciously are conclusory and
unsupported by factual allegations).6 Here, Plaintiff resorted only to conclusory assertions of
malice, without factual support. See Compl. ¶¶ 8, 10, 17, 30, 32, 34-35, 37, Count I ¶¶ 1-5, 8.
Second, apart from her conclusory allegations, Plaintiff mistakenly claims she can defeat
malice simply by asserting the Statement was made with knowledge of its falsity. In the selfdefense
context, not so. As described in Buckley v. Vidal with regard to malice in the context of
the self-defense privilege:
The malice issue resolves itself into two questions—was it
reasonable for [defendant] to believe that his interests in his own
reputation had been unlawfully invaded by [plaintiff], and was the
letter which he published in response thereto reasonably necessary
to defend himself.
F.Supp. 1051, 1056 (1st Dep’t 1971). In addressing the malice question, the court noted that the
truth of defendant’s letter was irrelevant. Instead, the letter was privileged because it amounted
5
Bell Atlantic Corp. v. Twombly, 550 U.S. 544 (2007); Ashcroft v. Iqbal, 556 U.S. 662 (2009).
6 Not surprisingly, Plaintiff does not cite to a single federal authority post Twombly and Iqbal in support of
her argument that a qualified privilege can be defeated at the pleading stage by mere conclusory allegations of
malice. Pl.’s Opp’n at 7-9. In any event, contrary state cases cited by Plaintiff contained more than conclusory
allegations of malice. Kamchi v. Weissman, 1 N.Y.S.3d 169, 182 (2d Dep’t 2014) (complaint sufficiently alleged
malice supported by statements undermining Rabbi’s authority and statements reflecting adversely on his
competence as a rabbi); Long Marubeni Am. Corp., 406 F.Supp.2d 285, 298 (S.D.N.Y. 2005) (malice supported
“with at least some facts”). Likewise, in Block v. First Blood Assoc., 691 F.Supp. 685, 699-700 (S.D.N.Y. 1988),
this Court declined to grant summary judgment on the basis of a qualified privilege because “sufficient evidence
[was] adduced to support the inference that [defendant] acted with malice,” i.e., defendant threatened plaintiff with
demand for attorneys’ fees, which “may imply an intent to injure”—i.e. malice. Id.
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 10 of 13
9
to “a tempered and reasoned response…which constituted an appropriate reaction by [defendant]
to a situation which seemed to threaten his reputation.” Id. at 1056-57.
Here, as in Buckley, Ms. Maxwell’s Statement was a “tempered and reasoned response”
to Plaintiff’s vicious character attacks. The Statement addressed only Plaintiff’s allegations —
calling them “untrue” —while avoiding any attack on Plaintiff’s character generally. Plaintiff has
not and cannot point to any facts in the Complaint showing the subject Statement “includes
substantial defamatory matter that is irrelevant or non-responsive to the initial statement,” or
“that is disproportionate to the initial statement;” nor that the Statement was excessively
publicized,” relative to the wide publicity net cast by Plaintiff with her “exclusive interviews” to
British media and now-stricken litigation declaration. Without any evidence that Ms. Maxwell
“abused” the self-defense privilege, Plaintiff’s conclusory allegations to the contrary fall far
short of the federal pleading standards of Twombly and Iqbal and should not be accepted as true.
See Orenstein, 677 F.Supp.2d at 711 (“[Plaintiff] does not allege malice plausibly to overcome
the qualified privilege.”); see also Dillon, 704 N.Y.S.2d at 7 (“Actual malice is not supported in
these pleadings where allegations of ill-will and spite manifested by the letter rest solely on
surmise and conjecture.”) (emphasis added).
C. Ms. Maxwell’s Statements Are Protected by the Pre-Litigation Privilege
Each time Ms. Maxwell issued a statement in response to Plaintiff’s accusations, she
specifically noted that she would be forced to “seek redress,” including legal redress, upon
repetition by the press of the accusations. In 2011, Ms. Maxwell’s attorneys informed various
newspapers she intends to “take legal action” if the newspapers continue to print Plaintiff’s
defamatory accusations. Mot. to Dism. at 14; McCawley Decl., Ex. 2. The January 3 Statement
reaffirmed her “original response” (from 2011), further noting she “strongly denies allegations of
an unsavoury nature, which have appeared in the British press and elsewhere and reserves her
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 11 of 13
10
right to seek redress at the repetition of such claims.” Id. at 15; McCawley Decl., Ex. 3.
New York’s highest court stated recently in Khalil, 24 N.Y.3d at 720, such statements,
made in anticipation of litigation, are protected by a qualified privilege unless the statements
were made with the intent to “bully, harass, or intimidate” their adversaries. True to form,
Plaintiff baldly asserts that the Statement here was made “for an inappropriate purpose, to bully,
harass, and intimidate Ms. Giuffre.” Pl.’s Opp’n at 14. There is simply no factual basis alleged
in the Complaint, in Plaintiff’s Opposition, or certainly in the Statement itself to evidence such
an intent. Cf. Buckley, supra at 1056 (“There is nothing in either the content or tone of the letter
which could possibly suggest, as Vidal contends, that Buckley’s intent here was one of
‘poisoning and closing the available publishing markets of defendant as an author and essayist,
and so ruining him economically.’”). The privilege therefore applies so as to protect Ms.
Maxwell from a claim of defamation.
CONCLUSION
For the foregoing reasons, Ms. Maxwell respectfully requests that this Court grant her
Motion to Dismiss.
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 12 of 13
11
Dated: December 28, 2015.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on December 28, 2015, I electronically filed this Reply Memorandum of Law
in Support of Motion to Dismiss Complaint with the Clerk of Court using the CM/ECF system
which will send notification to all counsel of record including the following:
Sigrid S. McCawley
Boies, Schiller & Flexner, LLP
East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Case 1:15-cv-07433-RWS Document 25 Filed 12/28/15 Page 13 of 13
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAIINTIFF, VIRGINIA L. GIUFFRE’S NOTICE OF SUPPLEMENTAL AUTHORITY
In further support of her Opposition to Defendant’s Motion to Dismiss the Complaint,
Plaintiff Virginia L. Giuffre, by and through her undersigned counsel, respectfully submits the
recent decision in Green v. Cosby, 3:14-cv-30211-MGM, 2015 WL 5923553 (D. Mass., Oct. 15,
2015) (“Cosby”) (attached as Exhibit A).
In Cosby, the court denied Bill Cosby’s motion to dismiss the sexual assault victim’s
defamation complaint, holding that Cosby’s “suggestion that Plaintiff intentionally lied about
being sexually assaulted” could expose plaintiff to “‘scorn or ridicule,” and, therefore, Cosby’s
statement could be found to have a “defamatory meaning.” Green v. Cosby, No. CV 14-30211-
MGM, 2015 WL 5923553, at *11 (D. Mass. Oct. 9, 2015).
The Cosby decision is relevant to arguments advanced by Defendant in support of her
motion to dismiss, and therefore, Plaintiff respectfully requests that the Court take notice of this
supplemental authority.
2
Dated January 8, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
3
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on January 8, 2016, I electronically filed the foregoing document
with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing document is
being served this day on the individuals identified below via transmission of Notices of Electronic
Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
EXHIBIT A
Case 1:15-cv-07433-RWS Document 26-1 Filed 01/08/16 Page 1 of 26
Green v. Cosby, --- F.Supp.3d ---- (2015)
© 2016 Thomson Reuters. No claim to original U.S. Government Works. 1
2015 WL 5923553
Only the Westlaw citation is currently available.
United States District Court,
D. Massachusetts.
Tamara Green, Therese Serignese, and Linda
Traitz, Plaintiffs,
v.
William H. Cosby, Jr., Defendant.
Civil Action No. 14–30211–MGM | Signed October 9,
2015
Synopsis
Background: Alleged sexual assault victim filed
complaint alleging that male celebrity had publicly
defamed her in statements made by individuals operating
at his direction or within scope of their employment.
Complaint was subsequently amended to include similar
claims by two additional plaintiffs. Defendant moved to
dismiss.
Holdings: The District Court, Mastroianni, J., held that:
[1] newspaper’s republication of allegedly defamatory
statement gave rise to new defamation claim;
[2] celebrity’s statement that alleged victim’s accusation
that he had sexually assaulted her was “10-year-old,
discredited accusation that proved to be nothing at the
time, and is still nothing” was not substantially true;
[3] press release describing plaintiff’s allegation that
defendant had sexually assaulted her “fabricated or
unsubstantiated stories,” “ridiculous claims,” and “an
absurd fabrication” could form basis of viable defamation
claim;
[4] press release in which defendant criticized women who
had publicly accused him of sexually assaulting them
could form basis of viable defamation claim;
[5] plaintiffs pled plausible claim that defendant was
personally liable for allegedly defamatory statement made
by his agents under respondeat superior theory;
[6] plaintiffs pled plausible claim that defendant was
directly liable for alleged defamation; and
[7] dismissal on basis of self-defense privilege was not
warranted.
Motions denied.
West Headnotes (37)
[1] Federal Courts
Substance or procedure; determinativeness
Federal courts sitting in diversity apply state
substantive law and federal procedural law. 28
U.S.C.A. § 1332.
Cases that cite this headnote
[2] Federal Courts
Conflict of Laws; Choice of Law
Federal court sitting in diversity determines
which state’s law applies by applying forum
state’s choice of law rules.
Cases that cite this headnote
[3] Libel and Slander
What law governs
Under Massachusetts choice of law rules, law of
state where defamed person was domiciled at
time of publication applies if matter complained
of was published in that state.
Cases that cite this headnote
[4] Libel and Slander
By others in general
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Under California law, repetition by new party of
another person’s earlier defamatory remark
generally gives rise to separate cause of action
for defamation against original defamer, when
repetition was reasonably foreseeable.
Cases that cite this headnote
[5] Limitation of Actions
Torts
Under California law, newspaper’s republication
of allegedly defamatory statement gave rise to
new defamation claim against purported
defamer, and thus statute of limitations did not
bar plaintiff’s claim, even though statement was
originally published nine years earlier, where
plaintiff’s claim was based on entirely different
issuance of statement, and it was foreseeable to
purported defamer that his statement would be
republished if plaintiff’s allegations against him
were reported again in future. Cal. Civ. Proc.
Code § 340(c).
Cases that cite this headnote
[6] Libel and Slander
By same person
Under California law, “single-publication rule”
provides that, for any single edition of
newspaper or book, there was but single
potential action for defamatory statement
contained in newspaper or book, no matter how
many copies of newspaper or book were
distributed. Cal. Civ. Code § 3425.3.
Cases that cite this headnote
[7] Libel and Slander
Nature and elements of defamation in general
Under California and Florida law, essential
elements of defamation are: (1) publication; (2)
that is false; (3) defamatory, meaning damaging
to good reputation of person who is subject of
statement; (4) made by actor with requisite
degree of fault; (5) is not protected by any
privilege; and (6) causes injury to subject.
Cases that cite this headnote
[8] Libel and Slander
Actionable Words in General
Under California and Florida law, in order for
defamation claim to survive motion to dismiss,
allegedly defamatory statement must contain at
least one false factual assertion that is also
defamatory.
Cases that cite this headnote
[9] Libel and Slander
Truth as justification in general
Under California law, even if statement is
offensive, it cannot be basis for defamation suit
if it is true.
Cases that cite this headnote
[10] Libel and Slander
Truth of part of defamatory matter;
substantial truth
Under California law, while defendant need not
justify literal truth of every word to prevail in
defamation action, defendant must prove
charge’s substance to be true.
Cases that cite this headnote
[11] Libel and Slander
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Truth of part of defamatory matter;
substantial truth
Male celebrity’s statement that alleged victim’s
accusation that he had sexually assaulted her
was “10-year-old, discredited accusation that
proved to be nothing at the time, and is still
nothing,” was not substantially true, so as to
defeat victim’s defamation claim under
California law; statement could be understood as
expressing false factual assertions and could
reasonably be interpreted as insinuating that
plaintiff’s sexual assault allegation had been
discredited and was capable of negatively
impacting victim’s reputation within the
community.
Cases that cite this headnote
[12] Libel and Slander
Falsity
Under California law, statement is considered
false for purposes of defamation if it would have
different effect on reader’s mind from that
which pleaded truth would have produced.
Cases that cite this headnote
[13] Libel and Slander
Construction of defamatory language in
general
Under California law, court can, as matter of
law, find statement is not actionable, but when
allegedly defamatory statement can reasonably
be interpreted as either stating or implying false
fact or articulating opinion, court should put
issue before jury.
Cases that cite this headnote
[14] Libel and Slander
Construction of language used
Totality of circumstances test used in California
in determining whether an allegedly defamatory
statement is capable of being interpreted as
asserting or implying a fact has three parts: (1)
whether the general tenor of the entire work
negates the impression that the defendant was
asserting an objective fact, (2) whether the
defendant used figurative or hyperbolic
language that negates that impression, and (3)
whether the statement in question is susceptible
of being proved true or false.
Cases that cite this headnote
[15] Libel and Slander
Imputation of falsehood, dishonesty, or fraud
Male celebrity’s allegedly defamatory statement
that alleged victim’s accusation that he had
sexually assaulted her was a “10-year-old,
discredited accusation that proved to be nothing
at the time, and is still nothing” was not a
expression of opinion protected by the First
Amendment under California law; statement
was not a “predictable opinion” because there
was no pending litigation between the parties at
the time it was made, and general tenor of the
statement negated the impression that the
defendant was asserting an objective fact. USCA
Const. Amend. 1.
Cases that cite this headnote
[16] Libel and Slander
Imputation of falsehood, dishonesty, or fraud
Male celebrity’s statement that alleged victim’s
accusation that he had sexually assaulted her
was “10-year-old, discredited accusation that
proved to be nothing at the time, and is still
nothing” could be understood as having
defamatory meaning under California law;
statement suggested that plaintiff intentionally
lied about being sexually assaulted because
plaintiff’s allegations detailed a specific set of
events that either occurred substantially as
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© 2016 Thomson Reuters. No claim to original U.S. Government Works. 4
alleged or were fabricated, leaving no room for
an honest mistake.
Cases that cite this headnote
[17] Libel and Slander
Actionable Words in General
Under Florida law, to be actionable, defamatory
publication must convey to reasonable reader
impression that it describes actual facts about
plaintiff or activities in which she participated.
Cases that cite this headnote
[18] Libel and Slander
Construction of defamatory language in
general
Under Florida law, court must decide, as matter
of law, whether statement expresses pure
opinion or “mixed opinion” from which unstated
facts are likely to be inferred, but where
statement could be understood in more than one
way, question should be submitted to trier of
fact.
Cases that cite this headnote
[19] Libel and Slander
Construction of language used
Under Florida law, courts determining whether
allegedly defamatory statement is protected
expression of opinion must construe allegedly
defamatory statement in its totality, examining
not merely particular phrase or sentence, but all
words used in publication.
Cases that cite this headnote
[20] Libel and Slander
Imputation of falsehood, dishonesty, or fraud
Under Florida law, press release issued by one
of defendant’s agents, which described
plaintiff’s allegation that defendant had sexually
assaulted her after offering her drugs as
“fabricated or unsubstantiated stories,”
“ridiculous claims,” and “an absurd fabrication,”
and related details of plaintiff’s later, unrelated,
criminal history, could reasonably be interpreted
as communicating fact that plaintiff’s allegations
were lies, and thus could form basis of viable
defamation claim.
Cases that cite this headnote
[21] Libel and Slander
Actionable Words in General
Under Florida law, expressions of opinions are
non-actionable if speaker states facts on which
he bases his opinion, and those facts are not
false or inaccurately presented.
Cases that cite this headnote
[22] Libel and Slander
Actionable Words in General
Under Florida law, statement is non-actionable
pure opinion, as matter of law, when it is based
on facts that are otherwise known or available to
the reader or listener.
Cases that cite this headnote
[23] Libel and Slander
Construction of language used
Under Florida law, in determining whether any
portions of statement are defamatory, court must
consider statement in context of publication,
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including audience, means by which it was
delivered, and other circumstances surrounding
statement.
Cases that cite this headnote
[24] Libel and Slander
Imputation of falsehood, dishonesty, or fraud
Under Florida defamation law, press release in
which male celebrity criticized women who had
publicly accused him of sexually assaulting
them and media for their various roles in recent
dissemination of sexual assault allegations made
against him was not a non-actionable statement
of fact on which defendant based an opinion;
statement could reasonably be interpreted as
communicating fact that alleged victims’
allegations were false and entirely without merit,
even though press release contained accurate
statements regarding length of time between
when incidents allegedly occurred and date on
which any particular allegation became public,
and did not single out any individual by name.
Cases that cite this headnote
[25] Libel and Slander
Criticism and Comment on Public Matters;
Public Figures
To establish defamation claim if plaintiff is
public figure, then such plaintiff must show that
defendant, or defendant’s agent acting within
scope of agency, acted with actual malice in
uttering defamatory remark.
Cases that cite this headnote
[26] Principal and Agent
Rights and liabilities of principal
Under California and Florida law, when third
party is harmed by agent’s conduct, principal is
subject to respondeat superior liability, form of
vicarious liability, if agent was acting within
scope of work performed for principal and
principal controlled or had right to control
manner of agent’s work.
Cases that cite this headnote
[27] Principal and Agent
Rights and liabilities of principal
Under California and Florida law, plaintiffs’
allegation that defendant hired professional
spokespersons to issue defamatory statements
about them to media on his behalf was sufficient
to plead plausible claim that defendant was
personally liable for alleged defamation under
respondeat superior theory.
Cases that cite this headnote
[28] Principal and Agent
Rights and liabilities of principal
Under California and Florida law, if principal
purposefully directs agent to perform action, and
that agent performs action, then principal is
directly responsible for consequences of that
action.
Cases that cite this headnote
[29] Libel and Slander
Form and requisites in general
Under California and Florida law, plaintiffs’
allegations that defendant acted “by and
through” professional spokespersons he hired to
issue defamatory statements about them to
media on his behalf, that spokespersons gave
statements at defendant’s direction, and that
defendant knew claimed defamatory statements
were false at time they were published were
sufficient to plead plausible claim that defendant
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was directly liable for alleged defamation.
Cases that cite this headnote
[30] Libel and Slander
Self-defense
Under California law, there is no privilege to
defame in self-defense.
Cases that cite this headnote
[31] Libel and Slander
Self-defense
Under Florida law, as predicted by the district
court, there is no privilege to defame in
self-defense.
Cases that cite this headnote
[32] Libel and Slander
Self-defense
Self-defense privilege permits speaker to call
accuser liar, but she or he may not include in
reply defamatory matter that is irrelevant or that
speaker knows or believes to be false.
Cases that cite this headnote
[33] Federal Civil Procedure
Fact issues
Issue of whether defendant’s public responses to
plaintiffs’ accusations that he had sexually
assaulted them were knowingly false presented
fact question precluding dismissal of plaintiffs’
defamation claims against defendant on basis of
self-defense privilege.
Cases that cite this headnote
[34] Libel and Slander
Injury from Defamation
Libel and Slander
Nominal or substantial damages
Under “libel-proof plaintiff” doctrine, when
plaintiff’s reputation is so diminished at time of
publication of allegedly defamatory material that
only nominal damages at most could be awarded
because person’s reputation was not capable of
sustaining further harm, plaintiff is deemed to be
libel-proof as matter of law and is not permitted
to burden defendant with trial.
Cases that cite this headnote
[35] Libel and Slander
Injury from Defamation
Florida has not adopted libel-proof plaintiff
doctrine.
Cases that cite this headnote
[36] Libel and Slander
Injury from Defamation
“Incremental harm doctrine” measures harm
inflicted by allegedly defamatory statements
beyond harm imposed by rest of publication,
and if that harm is determined to be nominal or
nonexistent, statements are dismissed as not
actionable.
Cases that cite this headnote
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[37] Libel and Slander
Injury from Defamation
Under Florida law, incremental harm doctrine is
not defense to defamation claim.
Cases that cite this headnote
Attorneys and Law Firms
Joseph Cammarata, Matthew W. Tievsky, Cchaikin,
Sherman, Cammarata & Siegel, P.C., Washington, DC,
Andrew M. Abraham, Abraham & Associates, P.C.,
Boston, MA, for Plaintiffs.
Christopher Tayback, Marshall M. Searcy, III, Quinn
Emanuel Urquhart Oliver & Hedges, LLP, Los Angeles,
CA, Francis D. Dibble, Jr., Elizabeth S. Zuckerman,
Jeffrey E. Poindexter, Bulkley, Richardson & Gelinas,
John J. Egan, Egan, Flanagan & Cohen, PC, Springfield,
MA, Robert P. Lobue, Patterson Belknap Webb & Tyler,
LLP, New York, NY, for Defendant.
MEMORANDUM AND ORDER REGARDING
DEFENDANT’S MOTIONS TO DISMISS
PLAINTIFFS’ COMPLAINT
MASTROIANNI, United States District Judge
I. INTRODUCTION
*1 On December 10, 2014, Tamara Green filed a
complaint alleging that William H. Cosby, Jr.
(“Defendant”) publicly defamed her in statements made
by individuals operating at his direction and/or within the
scope of their employment. (Dkt. No. 1, Compl.) The
complaint was subsequently amended to include similar
claims by two additional plaintiffs, Therese Serignese and
Linda Traitz (collectively, the three are referred to as
“Plaintiffs”). (Dkt. No. 13, Am. Compl.) Defendant filed
motions to dismiss Plaintiffs’ amended complaint in its
entirety (Dkt. Nos. 21, 22, 23), which Plaintiffs opposed.
(Dkt. No. 31.) Plaintiffs then sought leave to file a second
amended complaint and, on April 16, 2015, the court
granted Plaintiffs’ request. Green v. Cosby, 99 F.Supp.3d
223, –––– – ––––, 2015 WL 1736487, at *2–3
(D.Mass.2015). Plaintiffs’ second amended complaint
(“SAC”) supplemented factual allegations with respect to
an allegedly defamatory statement directed at Green.1
(Dkt. No. 48, SAC.) The court held a hearing on the
matter and considered the written filings.
II. JURISDICTION
The SAC contains three defamation counts brought
pursuant to state law. Defamation is not actionable under
federal law. Federal courts have jurisdiction over suits
brought pursuant to state law where there is complete
diversity of citizenship between the adversaries and the
amount in controversy exceeds a threshold amount of
$75,000. 28 U.S.C. § 1332; Arbaugh v. Y&H Corp., 546
U.S. 500, 513, 126 S.Ct. 1235, 163 L.Ed.2d 1097 (2006).
Based on the content of the complaint, which Defendant
has not disputed, the court finds Defendant is a citizen of
Massachusetts and Plaintiffs are citizens of either
California or Florida. (SAC ¶¶ 2, 4-6.) Plaintiffs each
assert they are entitled to damages in excess of the
statutory threshold amount. In the absence of any
challenge from Defendant, the court finds it has
jurisdiction in this case pursuant to 28 U.S.C. § 1332.
III. MOTION TO DISMISS STANDARD
When considering a motion to dismiss pursuant to Rule
12(b)(6) of the Federal Rules of Civil Procedure, the court
must accept all well-pleaded facts as true and draw all
reasonable inferences in favor of the plaintiff. Ashcroft v.
Iqbal, 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d
868 (2009); see also San Gerónimo Caribe Project, Inc. v.
Acevedo–Vilá, 687 F.3d 465, 471 (1st Cir.2012). The
burden is on the moving party to demonstrate that even
when viewed in the light most favorable to the plaintiff,
the complaint lacks “sufficient factual matter” to state an
actionable claim for relief that is “ ‘plausible on its face.’
” Iqbal, 556 U.S. at 678, 129 S.Ct. 1937 (quoting Bell Atl.
Corp. v. Twombly, 550 U.S. 544, 570, 127 S.Ct. 1955,
167 L.Ed.2d 929 (2007)). “A claim has facial plausibility
when the plaintiff pleads factual content that allows the
court to draw the reasonable inference that the defendant
is liable for the misconduct alleged.” Id. When evaluating
the sufficiency of the factual allegations contained in the
complaint, the court must be careful both to credit the
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factual assertions made by the plaintiff and to disregard
“[t]hreadbare recitals of the elements of a cause of action,
supported by mere conclusory statements.” Id.
“Determining whether a complaint states a plausible
claim for relief” is a “context-specific task that requires
the reviewing court to draw on its judicial experience and
common sense.” Id. at 679, 129 S.Ct. 1937. A complaint
must survive a motion to dismiss if the facts alleged are
sufficient as to each element to “raise a right to relief
above the speculative level.” Twombly, 550 U.S. at 555,
127 S.Ct. 1955; see also Lister v. Bank of Am., N.A., 790
F.3d 20, 23 (1st Cir.2015) (“Dismissal for failure to state
a claim is appropriate if the complaint does not set forth
factual allegations, either direct or inferential, respecting
each material element necessary to sustain recovery under
some actionable legal theory.” (internal quotation marks
omitted)).
IV. FACTS AS ALLEGED BY PLAINTIFFS2
*2 During the 1970s, Defendant, “an internationally
known actor and comedian,” met each Plaintiff and
subsequently sexually assaulted her. (SAC ¶¶ 3, 7, 18-21,
39, 47-48, 57, 63.) With respect to Plaintiff Green, “[o]n a
certain date in the early 1970s,” Defendant offered her
two pills, telling her they were over-the-counter cold
medicine. (Id. ¶¶ 10, 12.) She took the pills and became
weak and dizzy. (Id. ¶¶ 13-14.) Defendant then drove
Plaintiff Green to her apartment, where he subjected her
to sexual contact against her will and despite her repeated
demands to stop. (Id. ¶¶ 17-21.) Plaintiff Green was
unable to defend herself during the sexual assault because
she remained weak and vulnerable. (Id. ¶ 22.)
In 1970, Plaintiff Traitz met Defendant while working as
a waitress. (Id. ¶ 57.) On one occasion she accepted a ride
home from Defendant, but he instead drove her to a
beach. (Id. ¶¶ 58-59.) He parked his car and then opened a
briefcase containing pills and urged Plaintiff Traitz to take
some pills “to relax.” (Id. ¶ 60.) When Plaintiff Traitz
declined the pills, Defendant groped her, pushed her
down, and attempted to lie on top of her, despite her
resistance. (Id. ¶¶ 62-63.)
Plaintiff Serignese met Defendant in Las Vegas in 1976
and attended his show. (Id. ¶¶ 39, 42-43.) Afterwards, she
was invited to a room backstage where Defendant gave
her two pills and instructed her to take them. (Id. ¶¶
43-44.) Plaintiff Serignese complied and the pills caused
her to be in an altered state of consciousness. (Id. ¶¶
44-45.) While she was in this altered state, Defendant
subjected her to sexual contact without her consent. (Id.
¶¶ 47-48.) Like Plaintiff Green, Plaintiff Serignese was
physically unable to defend herself. (Id. ¶ 49.)
Many years later, in February of 2005, the Philadelphia
Daily News published an interview with Plaintiff Green in
which she publicly disclosed the sexual assault that had
occurred in the 1970s. (Id. ¶ 24.) Plaintiff Green also
disclosed the allegations during appearances on television
shows around the same time. (Id.) Nine years later, on or
about February 7, 2014, Newsweek published an interview
with Plaintiff Green in which she repeated her description
of being sexually assaulted by Defendant in the 1970s.
(Id. ¶ 27.)
On November 18, 2014, Plaintiff Traitz made an entry on
her personal Facebook page publicly disclosing that
Defendant had sexually assaulted her. (Id. ¶ 64.) The
following day, Plaintiff Serignese publicly disclosed that
she had been sexually assaulted by Defendant.3 (Id. ¶ 50.)
Several days later, on November 22, 2014, details of
Plaintiff Green’s sexual assault were published by the
Washington Post. (Id. ¶ 31.)
Plaintiffs allege that Defendant, acting through his
agents,4 issued statements to the media in response to the
public disclosures made by Plaintiffs. (Id. ¶¶ 25-26,
28-29, 30, 32-35, 37-38, 51-53, 55-56, 65-68, 70-71.)
Defendant knew each statement was false at the time it
was made. (Id. ¶¶ 36, 54, 69, 79, 90, 101.) Despite
knowing the statements were false, Defendant directed the
statements be made. (Id. ¶¶ 37, 55, 70.) Each of the
statements was widely read by many people, including
Plaintiffs’ families, friends, and neighbors, and Plaintiffs
suffered damages, including to their reputations, as a
result of the publication of the statements. (Id. ¶¶ 38, 56,
71, 80-82, 91-93, 102-104.) The statements were made as
follows:
A. Newsweek Statement—February 7, 2014
*3 Prior to the publication of Newsweek’s interview with
Plaintiff Green in February of 2014, Defendant, acting
through a publicist, believed by Plaintiffs to be David
Brokaw (“Brokaw”), made a statement to Newsweek. (Id.
¶¶ 28-30.) The publicist provided the statement to
Newsweek while acting as Defendant’s authorized agent,
employee, or authorized representative and he knew or
should have known the statement was false when it was
made. (Id. ¶¶ 29, 77-78) The statement was appended to
the end of the story and read, in its entirety:
This is a 10-year-old, discredited
accusation that proved to be
nothing at the time, and is still
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nothing.
(Dkt. No. 25, Decl. re: Mem. Supp. Mot. to Dismiss
(“Decl. re: Mot. to Dismiss”), Ex. A at 3, hereinafter
“Newsweek Statement.”)
B. November 20, 2014 Statement
Two days after Plaintiff Traitz wrote on her personal
Facebook page about Defendant sexually assaulting her in
the 1970s, Defendant, acting through Martin D. Singer
(“Singer”), released a responsive statement to numerous
media outlets. (SAC ¶ 65.) Singer gave the statement
while acting as Defendant’s authorized agent, employee,
or authorized representative and he knew or should have
known the statement was false when it was made. (Id. ¶¶
53, 99-100.) The statement read, in its entirety, as
follows:
Ms. Traitz is the latest example of people coming out
of the woodwork with fabricated or unsubstantiated
stories about my client.
Linda Joy Traitz is making ridiculous claims and
suddenly seems to have a lot to say about a fleeting
incident she says happened with my client more than
40 years ago, but she hasn’t mentioned either her 3 ½
year incarceration or her extensive criminal record with
charges spanning from the 1980’s through 2008.
For the first time, she is claiming that in approximately
1970, my client supposedly drove her to the beach and
had a briefcase filled with drugs and offered her pills to
relax, which she says she turned down and demanded
to be taken home after Mr. Cosby came on to her.
There was no briefcase of drugs, and this is an absurd
fabrication.
Ms. Traitz’s long criminal record for numerous
offenses including charges for criminal fraud,
possession of Oxycodone, cocaine possession,
marijuana possession, and possession of drug
paraphernalia, speaks for itself.
As the old saying goes, “consider the source.”
(Decl. re: Mot. to Dismiss, Ex. F at 1, hereinafter
“November 20, 2014 Statement.”)
C. November 21, 2014 Statement
On November 21, 2014, Defendant, again acting through
Singer, released a responsive statement to numerous
media outlets. (SAC ¶¶ 51, 67.) Singer gave the statement
while acting as Defendant’s authorized agent, employee,
or authorized representative and he knew or should have
known the statement was false when it was made. (Id. ¶¶
53, 88-89, 99-100.) The statement responded to
allegations by Plaintiffs Traitz, Serignese, and other
individuals who are not parties to this suit, without
directly identifying any individuals by name, and read, in
its entirety, as follows:
The new, never-before-heard claims from women who
have come forward in the past two weeks with
unsubstantiated, fantastical stories about things they
say occurred 30, 40, or even 50 years ago have
escalated far past the point of absurdity.
These brand new claims about alleged decades-old
events are becoming increasingly ridiculous, and it is
completely illogical that so many people would have
said nothing, done nothing, and made no reports to law
enforcement or asserted civil claims if they thought
they had been assaulted over a span of so many years.
*4 Lawsuits are filed against people in the public eye
every day. There has never been a shortage of lawyers
willing to represent people with claims against rich,
powerful men, so it makes no sense that not one of
these new women who just came forward for the first
time now ever asserted a legal claim back at the time
they allege they had been sexually assaulted.
This situation is an unprecedented example of the
media’s breakneck rush to run stories without any
corroboration or adherence to traditional journalistic
standards. Over and over again, we have refuted these
new unsubstantiated stories with documentary
evidence, only to have a new uncorroborated story crop
up out of the woodwork. When will it end?
It is long past time for this media vilification of Mr.
Cosby to stop.
(Decl. re: Mot. to Dismiss, Ex. D at 1, hereinafter
“November 21, 2014 Statement.”)
D. Washington Post Statement, November 22, 2014
On November 22, 2014, the Washington Post published
its interview with Plaintiff Green, along with a responsive
statement from Defendant. (SAC ¶¶ 31-33.) Defendant,
acting through Walter M. Phillips Jr. (“Phillips”), either
“gave” the statement to the Washington Post in 2014, or
“originally published” the statement in 2005 with the
expectation and intent that the statement be republished if
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Plaintiff Green’s allegations were reported again in the
future, as occurred in November of 2014. (Id. ¶¶ 34-35.)
Phillips provided the statement while acting as
Defendant’s authorized agent, employee, or authorized
representative and he knew or should have known the
statement was false when it was made. (Id. ¶¶ 26, 77-78.)
The article quoted Phillips as stating Plaintiff Green’s
allegations were “absolutely false.” (Dkt. No. 20, Pls.’
Mem. Supp. re: Mot. for Leave to File Second Am.
Compl. (“Mem. re: Mot. to Am.”) 15, Exs. B and C.)
Phillips also stated: “Mr. Cosby does not know the name
Tamara Green or Tamara Lucier [her maiden name] and
the incident she describes did not happen.” (Id.) In
addition, Phillips stated the publication of “an
uncorroborated story of an incident that is alleged to have
happened thirty years ago” was “irresponsible.” (Id.)5
The Washington Post publishes articles both online and in
print. The online version of the article is dated November
22, 2014 (“November 22, 2014 Washington Post Online
Article”) and the print version is dated November 23,
2014 (“November 23, 2014 Washington Post Print
Article”). (Mem. re: Mot. to Am., Exs. B and C.) In the
November 23, 2014 Washington Post Print Article,
Phillips is identified as “[a]nother Cosby attorney” and
the statement is identified as having been “issued this past
week.” (Mem. re: Mot. to Am., Ex. B.) After publishing
the original articles, the Washington Post issued slightly
different correction notices with respect to both the online
and print versions of the article, and, by December 12,
2014, had incorporated the correction itself into the body
of the November 22, 2014 Washington Post Online
Article. (Mem. re: Mot. to Am, Ex. C; Dkt. No. 28, Decl.
re: Opp. to Pls.’ Mot. for Leave to File Second Am.
Compl., Ex. 1.) Plaintiffs attached a copy of the corrected
version of the November 22, 2014 Washington Post
Online Article, which included the correction notice at the
top of the article, as an exhibit in support of their motion
for leave to file a second amended complaint. (Mem. re:
Mot. to Am., Ex. C.) In this corrected version of the
November 22, 2014 Washington Post Online Article,
dated December 12, 2014, the text has been changed from
the print version6 to identify Phillips as “[a] previous
Cosby attorney” and the statement is identified as having
been “issued in 2005 when the allegations first surfaced.”
(Id. at 15.) The correction notice to the online version
reads in its entirety: “This story originally said Cosby
lawyer Walter M. Phillips Jr. had denied the allegations of
Tamara Green in a statement issued during the past week.
The statement was made when Green’s allegations first
surfaced in 2005. The story has been corrected.” (Id. at
1.)7
V. DISCUSSION
A. Choice of Law
*5 [1] [2]“[F]ederal courts sitting in diversity apply state
substantive law and federal procedural law.” Gasperini v.
Ctr. for Humanities, Inc., 518 U.S. 415, 427, 116 S.Ct.
2211, 135 L.Ed.2d 659 (1996). The court “determine[s]
which state’s law applies by applying the choice of law
rules of the forum state,” in this case, Massachusetts. In re
Volkswagen & Audi Warranty Extension Litig., 692 F.3d
4, 14 (1st Cir.2012). In tort cases, Massachusetts courts
“consider choice-of-law issues ‘by assessing various
choice-influencing considerations,’ ... including those
provided in the Restatement (Second) of Conflict of Laws
(1971).” Cosme v. Whitin Mach. Works, Inc., 417 Mass.
643, 632 N.E.2d 832, 834 (1994) (internal citation
omitted) (quoting Bushkin Assocs., Inc. v. Raytheon Co.,
393 Mass. 622, 473 N.E.2d 662, 668 (1985)).
[3]Pursuant to section 150 of the Restatement (Second) of
Conflict of Laws, “the law of the state where the defamed
person was domiciled at the time of publication applies ‘if
the matter complained of was published in that state.’ ”
Davidson v. Cao, 211 F.Supp.2d 264, 274 (D.Mass.2002)
(quoting Restatement (Second) Conflict of Laws § 150(2)
& cmt. b). The statements at issue in this case were
published nationally, so the court applies the law of the
state in which each Plaintiff was domiciled when the
alleged publication occurred. Accordingly, California law
applies relative to the claims of Plaintiff Green and
Florida law applies as to the claims of Plaintiffs Traitz
and Serignese.
B. Statute of Limitations as to Claim Based on the
Washington Post Statement
The original cause of action asserted by Plaintiff Green
referred to allegedly defamatory statements made by
Defendant, through his agents, published in Newsweek
and the Washington Post in 2014. Two days after this
action was filed, the Washington Post issued the
corrections indicating Phillips’ statement (on behalf of
Defendant) had actually been made in 2005 when Plaintiff
Green first publicly disclosed the alleged sexual assault,
and not in 2014 after Green publicly repeated these
allegations. Thereafter, Plaintiffs filed the SAC, in which
they continued to allege that Defendant, through Phillips,
“gave” the statement to the Washington Post in 2014.
(SAC ¶ 34.) The SAC also alleges “[i]n addition, or in the
alternative,” that the statement was originally published in
2005 with Defendant’s “expectation and intent that the
statement would be republished by news outlets in the
event that Plaintiff Green should repeat her accusations,
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and/or should these accusations be reported again, on a
later date.” (Id. ¶ 35.) Furthermore, Plaintiffs allege, “it
was reasonably foreseeable” that Defendant’s 2005
statement would be republished by news media in stories
regarding Green’s repeated allegations, including the
November 22, 2014 Washington Post article. (Id.)
Defendant argues Plaintiff Green’s claim based on the
November 22, 2014 Washington Post article is barred by
the statute of limitations. (Dkt. No. 24, Def.’s Mem. Supp.
of Mots. to Dismiss (“Def.’s Mem.”) 9-11); Dkt. No. 27,
Def.’s Opp’n to Pls.’ Mot. for Leave to File Second Am.
Compl.) California has adopted a one-year statute of
limitations for defamation claims. See Cal. Code Civ. Pro.
§ 340(c). According to Defendant, the “single publication
rule” mandates that the limitations period commences on
the date the statement was first published, in this case
2005, thereby rendering Green’s claim untimely.
As an initial matter, the parties contest whether the court
may even consider the Washington Post correction in
ruling on Defendant’s motion to dismiss. According to
Plaintiffs, because the correction contains no actionable
defamatory language, it is not central to Green’s claim
and thus is not incorporated into the pleadings. Plaintiffs,
however, attached a copy of the corrected November 22,
2014 Washington Post Online Article as an exhibit in
support of their motion for leave to file a second amended
complaint. (Mem. re: Mot. to Am., Ex. C.) Plaintiffs
cannot rightfully have benefited from their own reliance
on the correction and then assert they should also be
shielded from what it says. Accordingly, while Plaintiffs
did not attach the correction to the SAC following the
court’s allowance of their motion for leave to amend, the
court believes, as a matter of fair and practical application
of Rule 10(c) of the Federal Rules of Civil Procedure,
their strategic use of that correction should have the same
effect. See Trans–Spec Truck Serv. v. Caterpillar Inc.,
524 F.3d 315, 321 (1st Cir.2008) (“Exhibits attached to
the complaint are properly considered part of the pleading
‘for all purposes’ including Rule 12(b)(6).” (quoting Fed
R. Civ. P. 10(c))); West v. Temple, Civil Action No.
5:14–CV–86 (MTT), 2015 WL 757650, at *4 (M.D. Ga.
Feb. 23, 2015) (“The Court will consider the information
contained in the ‘carbon-copy grievance’ attached to [the
plaintiff’s] motion to amend as part of his Complaint.”);
cf. Cortec Indus., Inc. v. Sum Holding L.P., 949 F.2d 42,
48 (2d Cir.1991) ( “[T]he problem that arises when a
court reviews statements extraneous to a complaint
generally is the lack of notice to the plaintiff that they
may be so considered; it is for that reason—requiring
notice so that the party against whom the motion to
dismiss is made may respond—that Rule 12(b)(6)
motions are ordinarily converted into summary judgment
motions. Where plaintiff has actual notice of all the
information in the movant’s papers and has relied upon
these documents in framing the complaint the necessity of
translating a Rule 12(b)(6) motion into one under Rule 56
is largely dissipated.”). At the very least, therefore, the
court believes it may consider the correction to the
November 22, 2014 Washington Post Online Article,
even though Plaintiffs did not formally attach it to the
SAC.8
*6 Plaintiffs next assert that even if the court considers
the correction, it is not inconsistent with the allegation in
paragraph 34 of the SAC that Phillips in 2014 “gave” the
Washington Post the statement, even if it was originally
published in 2005.9 Defendant, on the other hand,
contends Plaintiffs’ allegation is contradicted by the
correction and the court cannot now credit their
allegation. See Yacubian v. United States, 750 F.3d 100,
108 (1st Cir.2014) (“ ‘[W]hen a written instrument
contradicts allegations in the complaint to which it is
attached, the exhibit trumps the allegations.’ ” (quoting
Young v. Wells Fargo Bank, N.A., 717 F.3d 224, 229 n. 1
(1st Cir.2013))). The court agrees with Plaintiffs that the
correction is not necessarily inconsistent with the
allegation that Defendant (through Phillips) “gave” the
statement to the Washington Post in 2014. The term
“gave” does not necessarily mean verbally speaking the
words but could be taken to mean, at this stage of the
litigation, that Defendant’s agent referred the Washington
Post to the old statement or otherwise made the
newspaper aware of the statement. Defendant asserts that
because this allegation is “threadbare” and “speculative,”
the court should disregard it. See Penalbert–Rosa v.
Fortuno–Burset, 631 F.3d 592, 595 (1st Cir.2011). The
Supreme Court has explained, however, that “the pleading
standard Rule 8 announces does not require ‘detailed
factual allegations.’ ” Iqbal, 556 U.S. at 678, 129 S.Ct.
1937 (quoting Twombly, 550 U.S. at 555, 127 S.Ct. 1955).
Plaintiffs have explained in their opposition to dismissal
that paragraph 34 of the SAC should be read to mean
“that in November of 2014, Mr. Phillips gave the
Washington Post a copy of a statement that he originally
published in 2005; or that, in November of 2014, Mr.
Phillips directed the Washington Post to republish the
older statement.” (Dkt. No. 32, Pls.’ Mem. Supp. Opp’n
to Def.’s Mots. to Dismiss (“Pls.’ Mem.”) 32-33.) See
Penalbert–Rosa, 631 F.3d at 596 (indicating that a
plaintiff may supply a missing detail in an opposition to a
motion to dismiss). Plaintiffs also argue the Washington
Post, in 2014, originally reported in an unambiguous way
the statement had been “issued this past week.” At this
stage of the litigation, before the commencement of the
discovery process, this provides a good-faith basis for
Plaintiffs to allege Defendant, through an agent, by some
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means “gave” the statement to the newspaper in 2014. See
Rodriguez–Vives v. P.R. Firefighters Corps, 743 F.3d
278, 286 (1st Cir.2014) (explaining that the “threadbare”
and “speculative” exception to assuming a plaintiff’s
factual allegations as true only applies when it is “clear
that the plaintiff is merely speculating about the fact
alleged and therefore has not shown that it is plausible
that the allegation is true”).
The online correction merely states “the statement was
made when Green’s allegations first surfaced in 2005.”
(Mem. re: Mot. to Am., Ex. C.) This does not rule out the
possibility, consistent with paragraph 34 of the SAC, that
although Phillips originally “made” the statement in 2005,
he also provided or directed the same statement to the
Washington Post in 2014 in response to Green’s more
recent public accusations. See Shively v. Bozanich, 31
Cal.4th 1230, 7 Cal.Rptr.3d 576,80 P.3d 676, 683 (2003)
(“The rule that each publication of a defamatory statement
gives rise to a new cause of action for defamation applies
when the original defamer repeats or recirculates his or
her original remarks to a new audience.”). The discovery
process may very well bear this issue out and sharpen the
parties’ arguments on this point, but at this stage the court
must resolve all reasonable inferences in Plaintiffs’
favor.10 Dismissal of a portion of Plaintiff Green’s claim
based on a correction made to the Washington Post article
is not warranted on statute of limitations grounds.
[4] [5]Most importantly, even if Defendant’s reading of the
correction were accurate and the court declined to accord
paragraph 34 of the SAC the presumption of truth,
Defendant’s statute of limitations argument would still
fail based on Plaintiffs’ theory asserted in paragraph 35 of
the SAC. As discussed, Plaintiffs allege in paragraph 35,
“[i]n addition, or in the alternative, to paragraph 34,” that
Phillips “originally published” the statement in 2005
“with the expectation and intent” that the statement be
republished if Plaintiff Green’s allegations were reported
again in the future. (SAC ¶ 35.) “In general, the repetition
by a new party of another person’s earlier defamatory
remark also gives rise to a separate cause of action for
defamation against the original defamer, when the
repetition was reasonably foreseeable.” Shively, 7
Cal.Rptr.3d 576, 80 P.3d at 683; see also Mitchell v.
Superior Court, 37 Cal.3d 268, 208 Cal.Rptr. 152, 690
P.2d 625, 633 (1984) (“According to the Restatement
(Second) of Torts (1977) section 576, the original defamer
is liable if either ‘the repetition was authorized or
intended by the original defamer’ (subd. (b)) or ‘the
repetition was reasonably to be expected’ (subd. (c)).
California decisions follow the restatement rule.”);
Schneider v. United Airlines, Inc., 208 Cal.App.3d 71,
256 Cal.Rptr. 71, 74 (1989) (“[T]he originator of the
defamatory matter can be liable for each ‘repetition’ of
the defamatory matter by a second party, ‘if he could
reasonably have foreseen the repetition.’ ” (quoting
McKinney v. Cty. of Santa Clara, 110 Cal.App.3d 787,
168 Cal.Rptr. 89, 93 (1980))). “It is the foreseeable
subsequent repetition of the remark that constitutes
publication and an actionable wrong in this situation, even
though it is the original author of the remark who is being
held accountable.” Shively, 7 Cal.Rptr.3d 576, 80 P.3d at
683. The court does not agree with Defendant’s assertion
that, under the “single publication rule,” Plaintiff Green’s
defamation claim accrued exclusively in 2005 and the
limitations period did not reset upon the issuance of the
November 22, 2014 Washington Post article.
*7 In Shively, the California Supreme Court extensively
set forth the history and rationale of the single publication
rule. The court explained:
Under the common law as it existed
in the 19th century and early part of
the 20th century, the principle that
each communication of a
defamatory remark to a new
audience constitutes a separate
“publication,” giving rise to a
separate cause of action, led to the
conclusion that each sale or
delivery of a copy of a newspaper
or book containing a defamation
also constitutes a separate
publication of the defamation to a
new audience, giving rise to a
separate cause of action for
defamation. ... This conclusion had
the potential to subject the
publishers of books and
newspapers to lawsuits stating
hundreds, thousands, or even
millions of causes of action for a
single issue of a periodical or
edition of a book. This conclusion
also had the potential to disturb the
repose that the statute of limitations
ordinarily would afford, because a
new publication of the defamation
could occur if a copy of the
newspaper or book were preserved
for many years and then came into
the hands of a new reader who had
not discovered it previously. The
statute of limitations could be
tolled indefinitely, perhaps forever,
under this approach.
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[6]Id., 7 Cal.Rptr.3d 576, 80 P.3d at 683–84 (internal
citations omitted). In response to these concerns, “courts
fashioned what became known as the single-publication
rule, holding that, for any single edition of a newspaper or
book, there was but a single potential action for a
defamatory statement contained in the newspaper or book,
no matter how many copies of the newspaper or the book
were distributed.” Id., 7 Cal.Rptr.3d 576, 80 P.3d at 684.11
Critically, however, “[n]otwithstanding the
single-publication rule, a new edition or new issue of a
newspaper or book still constitutes a new publication,
giving rise to a new and separate cause of action and a
new accrual date for the purpose of the statute of
limitations.” Id., 7 Cal.Rptr.3d 576, 80 P.3d at 685, n. 7;
see also id., 7 Cal.Rptr.3d 576, 80 P.3d at 685 (“Accrual
at that point is believed to provide adequate protection to
potential plaintiffs, especially in view of the qualification
that repetition of the defamatory statement in a new
edition of a book or newspaper constitutes a new
publication of the defamation that may give rise to a new
cause of action, with a new accrual date.”).
Therefore, if Green had asserted a claim based merely on
the original 2005 article containing Phillips’ statements,
the single publication rule would operate to bar such a
claim because accrual would have occurred “on the ‘first
general distribution of the publication to the public.’ ” Id.,
7 Cal.Rptr.3d 576, 80 P.3d at 685 (quoting Belli v.
Roberts Bros. Furs, 240 Cal.App.2d 284, 49 Cal.Rptr.
625, 629 (1966)). Because Green’s claim is instead based
on the November 22, 2014 Washington Post article, an
entirely different issuance, the single publication rule does
not apply. See id., 7 Cal.Rptr.3d 576, 80 P.3d at 685 & n.
7; Schneider, 256 Cal.Rptr. at 74–75 (“ ‘[T]he single
publication rule ... does not include separate aggregate
publications on different occasions.’ ” (quoting Kanarek
v. Bugliosi, 108 Cal.App.3d 327, 166 Cal.Rptr. 526, 530
(1980))); cf. Christoff v. Nestle USA, Inc., 47 Cal.4th 468,
97 Cal.Rptr.3d 798, 213 P.3d 132, 138 (2009) (“The
prefatory note to the uniform act states that under the
single-publication rule ‘any single integrated publication,
such as one edition of a newspaper or magazine, or one
broadcast, is treated as a unit, giving rise to only one
cause of action.’ ” (quoting Unif. Single Publ’n Act, 14
U.L.A. 469 (2005))). Accordingly, Defendant has not
established that Plaintiff Green’s claim based on the
November 22, 2014 Washington Post article is barred by
California’s statute of limitations and, consistent with
paragraph 35 of the SAC, he may be held liable for the
foreseeable republication of Phillips’ 2005 statement. See
Shively, 7 Cal.Rptr.3d 576, 80 P.3d at 683.
*8 Accordingly, the court will not dismiss any portion of
Plaintiff Green’s claim based on a single publication
theory that the statute of limitations has expired.
C. Adequacy of Plaintiffs’ Defamation Allegations
[7]Having determined the laws of California and Florida
are applicable and that the claim related to the
Washington Post Statement is not barred by the statute of
limitations, the court next considers the substance of
Plaintiffs’ defamation claims. Both California and Florida
recognize the following essential elements of defamation:
(1) a publication; (2) that is false; (3) defamatory,
meaning damaging to the good reputation of the person
who is the subject of the statement; (4) made by an actor
with the requisite degree of fault; (5) is not protected by
any privilege; and (6) causes injury to the subject.12 See,
e.g., Jews For Jesus, Inc. v. Rapp, 997 So.2d 1098, 1106
(Fla.2008); Taus v. Loftus, 40 Cal.4th 683, 54 Cal.Rptr.3d
775, 151 P.3d 1185, 1209 (2007), abrogated on other
grounds by Oasis West Realty, LLC v. Goldman, 51
Cal.4th 811, 124 Cal.Rptr.3d 256, 250 P.3d 1115 (2011);
Blatty v. N.Y. Times Co., 42 Cal.3d 1033, 232 Cal.Rptr.
542, 728 P.2d 1177, 1182–83, 1186 (1986). Defendant
moves to dismiss Plaintiffs’ claims, alleging inadequacies
related to several of these elements. These challenges can
generally be organized as follows. First, Defendant asserts
that none of the allegedly defamatory statements contain
false factual assertions that are also defamatory. As part
of this argument, Defendant specifically asserts the claim
based upon the November 20, 2014 Statement regarding
Plaintiff Traitz fails because the statement was
substantially true and the claims based upon the
November 21, 2014 Statement fail because that statement
was not sufficiently “of and concerning” Plaintiffs Traitz
or Serignese. Second, Defendant argues he cannot be
liable for defamation because Plaintiffs have failed to
plead that either Defendant or his agents acted with the
constitutionally required degree of fault. Third, Defendant
argues the November 20, 2014 Statement did not cause
Plaintiff Traitz to suffer incremental harm. Fourth,
Defendant asserts the allegedly defamatory statements are
protected by a “self-defense privilege.” The court
addresses these arguments in turn.
1. The Statements: Factual, True, Defamatory, Of and
Concerning
[8]In order for a defamation claim to survive a motion to
dismiss, the allegedly defamatory statement must contain
at least one false factual assertion which is also
defamatory. See, e.g., Jews For Jesus, Inc., 997 So.2d at
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1106; Taus, 54 Cal.Rptr.3d 775,151 P.3d at 1209.
Depending on the nature of the statement and the context
in which it was made, courts will place different emphasis
on these two components. In this case, Defendant argues
three of the four statements at issue do not contain factual
assertions that are false, or even capable of being false.13
Defendant further asserts that even if the statements can
be understood as expressing false factual assertions, they
are not defamatory because they do not hold Plaintiffs “
‘up to contempt, hatred, scorn, or ridicule or tend to
impair [their] standing in the community.’ ” (Def.’s Mem.
14-15 (quoting Yohe v. Nugent, 321 F.3d 35, 40 (1st
Cir.2003)).) The court addresses each statement
individually, applying California law to the Newsweek
Statement regarding Plaintiff Green and Florida law to the
November 20, 2014 and November 21, 2014 Statements
as to one or both of Plaintiffs Traitz and Serignese.
*9 Before delving into the state-specific analysis, the
court considers the Supreme Court case law applicable to
defamation cases in which the parties dispute whether a
statement contains actionable statements of fact or
protected statements of opinion. In Milkovich v. Lorain
Journal Co., the Supreme Court reviewed the history of
the tort of defamation and development of constitutional
protections to ensure the tort does not interfere with “the
freedom of expression guaranteed by the First
Amendment.” 497 U.S. 1, 21, 110 S.Ct. 2695, 111
L.Ed.2d 1 (1990). The Court reviewed existing
constitutional requirements, including that plaintiffs must
(a) establish the requisite level of fault on the part of a
defendant and (b) allege a statement that can “
‘reasonably [be] interpreted as stating actual facts’ about
an individual.” Id. at 20, 110 S.Ct. 2695 (quoting Hustler
Magazine, Inc. v. Falwell, 485 U.S. 46, 50, 108 S.Ct. 876,
99 L.Ed.2d 41 (1988)). The Court considered whether to
create an additional constitutional privilege for “anything
that might be labeled ‘opinion.’ ” Id. at 18, 110 S.Ct.
2695. In declining to adopt such a privilege, the Court
explained there is not a clear division between statements
of opinion and fact. “If a speaker says, ‘in my opinion
John Jones is a liar,’ [the speaker] implies a knowledge of
facts which lead to the conclusion that Jones told an
untruth” and, as a result, such a statement may imply a
false assertion of fact by failing to state what it was based
on or because any facts referenced are incorrect or
incomplete. Id. The Supreme Court directs courts to
determine “whether a reasonable factfinder could
conclude that the [allegedly defamatory] statements ...
imply an assertion [of fact]” and whether that assertion “is
sufficiently factual to be susceptible of being proved true
or false,” rather than simply determine whether a
statement expresses an opinion or asserts a fact. Id. at 21,
110 S.Ct. 2695. At this stage of the litigation, the court’s
concern is whether any fact contained in or implied by an
allegedly defamatory statement is susceptible to being
proved true or false; if so capable, Defendant cannot
avoid application of defamation law by claiming the
statement expresses only opinion. See Ferlauto v.
Hamsher, 74 Cal.App.4th 1394, 88 Cal.Rptr.2d 843, 849
(1999); Zambrano v. Devanesan, 484 So.2d 603, 606
(Fla.Dist.Ct.App.1986). Ultimately, if Plaintiffs’ claims
survive this initial challenge, Defendant will have the
opportunity, at the procedurally appropriate time, to fully
develop a defense based on the truth of the facts contained
in or implied by each statement.
a. The Newsweek Statement Pertaining to Plaintiff
Green
i. Substantially True
[9] [10] [11] [12]Defendant argues the Newsweek
Statement—“This is a 10-year-old, discredited accusation
that proved to be nothing at the time, and is still
nothing”—does not contain any defamatory content
because it is true. Even if a statement is offensive, it
cannot be the basis for a defamation suit if it is true. Smith
v. Maldonado, 72 Cal.App.4th 637, 85 Cal.Rptr.2d 397,
403 (1999). While a “defendant need not justify the literal
truth of every word,” to prevail in a defamation action, the
defendant must “prove[ ] true the substance of the
charge.” Id. An “ ‘imputation is substantially true’ ” if it
“justif[ies] the ‘gist or sting’ ” of the remark. Id. (quoting
Campanelli v. Regents of Univ. of Cal., 44 Cal.App.4th
572, 51 Cal.Rptr.2d 891, 897 (1996)). It is uncontested
that the meaning of the first part of the statement is
accurate—Plaintiff Green had first made her accusations
approximately ten years earlier. As to the rest of the
statement, Defendant argues the substance is true because
(1) Plaintiff Green’s attorney disciplinary issues in
California, which are not mentioned in the statement,
were sufficient to discredit her and (2) the substance of
the allegations was never the subject of a civil or criminal
legal proceeding. The court does not agree. First, Plaintiff
Green does not claim the language in the Newsweek
Statement is defamatory because it describes her as being
a discredited person related to her legal profession.
Rather, she argues the statement asserts that her sexual
assault allegation was discredited. Second, an absence of
civil or criminal proceedings does not establish that an
allegation was “discredited” or “proved to be nothing.” In
the absence of legal proceedings, Plaintiff Green’s
allegations could not have been established to lack legal
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merit at a court hearing. The statement attributable to
Defendant implies the allegations were somehow truly
disproven without stating how or where, thereby failing to
self-authenticate as a statement of true fact. A statement is
considered false for the purposes of defamation if “it
would have a different effect on the mind of the reader
from that which the pleaded truth would have produced.”
Hughes v. Hughes, 122 Cal.App.4th 931, 19 Cal.Rptr.3d
247, 251 (2004) (internal quotation marks and citation
omitted). For that reason, California courts “look to what
is explicitly stated as well as what insinuation and
implication can be reasonably drawn from the
communication.” Forsher v. Bugliosi, 26 Cal.3d 792, 163
Cal.Rptr. 628, 608 P.2d 716, 721 (1980).
ii. Opinion or Fact
[13] [14] [15]In addition to asserting the Newsweek Statement
is not defamatory since it is substantially true, Defendant
argues it is not defamatory because it expresses an
opinion rather than a fact capable of being proved false.
California courts have interpreted the Supreme Court’s
decision in Milkovich as establishing that the First
Amendment only prohibits defamation liability for the
expression of an opinion where the factual basis for the
opinion is provided, the facts provided are true, and the
opinion does not imply false assertions of facts. GetFugu,
Inc. v. Patton Boggs LLP, 220 Cal.App.4th 141, 162
Cal.Rptr.3d 831, 842 (2013) (citing Milkovich, 497 U.S.
at 18–19, 110 S.Ct. 2695 and McGarry v. Univ. of San
Diego, 154 Cal.App.4th 97, 64 Cal.Rptr.3d 467, 479
(2007)). Accordingly, “it is not the literal truth or falsity
of each word or detail used in a statement” which
determines whether it is a potentially defamatory
statement of fact; “rather, the determinative question is
whether the ‘gist or sting’ of the statement is true or false,
benign or defamatory, in substance.” Ringler Assocs. Inc.
v. Md. Cas. Co., 80 Cal.App.4th 1165, 96 Cal.Rptr.2d
136, 150 (2000) (emphasis omitted) (internal quotation
omitted); see also Campanelli, 51 Cal.Rptr.2d at 897. The
court can, as a matter of law, find a statement is not
actionable, but when an allegedly defamatory statement
can reasonably be interpreted as either stating or implying
a false fact or articulating an opinion, California courts
put the issue before a jury. See Ferlauto, 88 Cal.Rptr.2d at
849 (“If the court concludes the statement could
reasonably be construed as either fact or opinion, the issue
should be resolved by a jury.”). In determining whether a
statement is capable of being interpreted as asserting or
implying a fact, California courts use the “totality of the
circumstances test.” Id. This test has three parts: “(1)
whether the general tenor of the entire work negates the
impression that the defendant was asserting an objective
fact, (2) whether the defendant used figurative or
hyperbolic language that negates that impression, and (3)
whether the statement in question is susceptible of being
proved true or false.” Lieberman v. Fieger, 338 F.3d
1076, 1080 (9th Cir.2003) (citations omitted) (applying
California law).
*10 As to the first part—general tenor—Defendant points
out the statement was made “in response to serious
charges” and argues this “is a strong contextual signal that
the statement is non-actionable opinion.” (Def.’s Mem.
14.) Specifically, Defendant suggests the court should
treat the response as a “predictable opinion,” which an
average reader would understand as a one-sided attempt
to bolster his position in a dispute.14 Several California
courts have used the phrase “predictable opinion” to
describe a statement that, due to the context in which it is
made, is understood to be a one-sided expression of
opinion rather than fact. However, California courts have
only applied the principle to cases where the statements
related to pending or completed litigation. See
Dreamstone Entm’t Ltd. v. Maysalward Inc., No.
2:12–cv–02063–CAS(SSx), 2014 WL 4181026, at *6
(C.D.Cal. Aug. 18, 2014) (treating statement attributed to
attorneys, and linking to recently filed complaint, as
“predictable opinion” rather than statement of fact);
Amaretto Ranch Breedables, LLC v. Ozimals, Inc., No.
CV 10–5696 CRB, 2013 WL 3460707, at *4 (N.D.Cal.
July 9, 2013) (finding the broad context of a blog entry,
describing reasons for bringing lawsuit, demonstrated that
the statement was a “predictable opinion,” rather than an
actionable statement of fact); GetFugu, Inc., 162
Cal.Rptr.3d at 842 (finding tweet by attorney identifying
opposing lawsuit as frivolous was a “predictable opinion”
that could not be the basis for a defamation claim);
Ferlauto, 88 Cal.Rptr.2d at 850 (finding statements
describing lawsuit as “frivolous” expressed only
“predictable opinion” and could not be the basis of a
defamation action, especially because context and literary
tone of work where statements appeared clearly indicated
to readers they were reading the subjective views of
partisan participants to litigation); Info. Control Corp. v.
Genesis One Comput. Corp., 611 F.2d 781, 784 (9th
Cir.1980) (coining phrase “predicable opinion” to
describe a statement unlikely to be understood by
audience as a statement of fact because of the litigation
position of the maker of the statement).
The context in which Defendant’s agent made the
Newsweek Statement was different from the context in
which California courts have identified statements as
“predictable opinions”; at the time this statement was
made there was no pending litigation between Defendant
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and Plaintiff Green. Some readers may have understood
any statement from Defendant to have been predictably
self-serving, but there was no litigation pending when a
publicist for Defendant provided the statement to the
media. Accordingly, the court cannot determine at this
stage that the statement fits within the “predictable
opinion” doctrine recognized in California. Nor can the
court conclude that the general tenor of the statement
negates the impression that Defendant was asserting an
objective fact.
Turning next to the specific language of the statement, the
phrase—“discredited accusation that proved to be nothing
at the time, and is still nothing”—has an obvious literal
meaning, specifically, that Plaintiff Green’s allegations
are completely without merit and have been so proven.
The operative phrases are not surrounded by hyperbole or
figurative language that undercuts their literal meaning.
Cf. Standing Comm. on Discipline of U.S. Dist. Court v.
Yagman, 55 F.3d 1430, 1440 (9th Cir.1995) (applying
California law) (treating as rhetorical hyperbole the word
“dishonest” because it was used within a “string of
colorful adjectives”); see also Knievel v. ESPN, 393 F.3d
1068, 1077 (9th Cir.2005) (describing “slang phrases such
as ‘[d]udes rollin’ deep’ and ‘[k]ickin’ it with much
flavor’ ” as using loose and figurative language incapable
of a “literal interpretation”). The phrasing used here
allows a “reasonable factfinder [to] conclude the
[statement] impl[ies] an assertion of defamatory fact,”
specifically, that there was some unidentified
investigation or hearing into the allegations which
officially determined Plaintiff Green’s accusation was
false. Ringler Assocs. Inc., 96 Cal.Rptr.2d at 149
(emphasis omitted).
Finally, the court considers whether Defendant’s
response, directly or by implication, makes a statement
which is susceptible of being proved true or false. To the
extent Defendant’s response implies an investigation into
Plaintiff Green’s allegations was conducted, it is provable
as true or false. Additionally, the gist of the
statement—that Plaintiff Green fabricated her
allegations—is also provable as true or false. It may take
a trial to produce such proof, but Defendant’s allegations
are sufficiently specific “to be susceptible to proof or
disproof.” James v. San Jose Mercury News, Inc., 17
Cal.App.4th 1, 20 Cal.Rptr.2d 890, 898 (1993) (finding
statements not susceptible of being proved true or false
because the statements contained too many
generalizations, elastic terms, and subjective elements for
it to be clear what facts were stated or implied); see also
Amaretto Ranch Breedables, LLC, No. CV 10–5696
CRB, 2013 WL 3460707, at *5 (finding a statement might
be provable as true or false, though it would require a
lengthy lawsuit, but determining other factors prevented
statement from being defamatory). Based on this “totality
of the circumstances” analysis, the court concludes a
reasonable factfinder could determine, based on the
context and content, the Newsweek Statement asserted or
implied factual statements that were susceptible of being
proved true or false.
iii. Defamatory Meaning
*11 [16]The court considers next whether the statement
could be understood to have a defamatory meaning.
Analogizing to Gibney v. Fitzgibbon, 547 Fed.Appx. 111
(3d Cir.2013) (unpublished), Defendant argues an
assertion by a person that an allegation is unfounded
cannot reasonably be viewed as exposing the person who
made the allegation to “scorn or ridicule.” The facts of
this case are easily distinguished from those in Gibney
and the differences require the court to reach a different
conclusion here.
In Gibney, the plaintiff had contacted a company that did
business with his employer to allege his employer was
improperly billing the company. Id. at 112. The company
responded that the allegations had been investigated and
determined to be unfounded. Id. The Third Circuit held
that the company’s response, even if untrue, was not
capable of a defamatory meaning because a statement that
“his allegations were unfounded” would not “ ‘lower him
in the estimation of the community or ... deter third
parties from associating or dealing with him.’ ” Id. at 114
(quoting Tucker v. Phila. Daily News, 577 Pa. 598, 848
A.2d 113, 124 (2004)). This conclusion makes sense
where the detail of business billing procedures leaves
open the possibility that a person making an allegation of
wrongdoing could have made an honest mistake. In this
respect, it is hard to even compare an allegation regarding
billing procedures to a sexual assault allegation. A
neutral-toned response relative to an investigation of
billing history does not impart any flavor of fabrication or
moral repugnance, both of which attach to Defendant’s
statement and its suggestion that Plaintiff intentionally
lied about being sexually assaulted. Unlike a billing
dispute, Plaintiff Green’s allegations detail a specific set
of events that either occurred substantially as alleged or
were fabricated, leaving no room for an honest mistake.
The potential for reputational damage is increased where
the response lacks the neutral tone conveyed in Gibney by
the word “unfounded,” which means “lacking a sound
basis in ... fact.” Webster’s Third New International
Dictionary 2496 (1971). Defendant referred to serious
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sexual assault allegations as “discredited” and “nothing,”
both words suggesting that the allegations were not made
in good faith. Id. at 647, 1544. Given the different nature
of the allegations in this case and the wording of the
response, the court cannot conclude here that, as a matter
of law, Defendant’s response is incapable of negatively
impacting Plaintiff Green’s reputation within the
community. Ultimately, it will be up to a jury to decide
whether those who read the Newsweek Statement
understood it to have been defamatory. At this stage,
however, the court finds Defendant has not identified
sufficient grounds for dismissal of Plaintiff Green’s
claims based on the Newsweek Statement.
b. The Statements Pertaining to Plaintiffs Traitz and
Serignese
[17] [18]In Florida, as in California, “to be actionable, a
defamatory publication must convey to a reasonable
reader the impression that it describes actual facts about
the plaintiff or the activities in which [s]he participated.”
Fortson v. Colangelo, 434 F.Supp.2d 1369, 1379
(S.D.Fla.2006). Generally, a court must decide, as a
matter of law, whether a statement expresses a pure
opinion or a “mixed opinion” from which unstated facts
are likely to be inferred. Scott v. Busch, 907 So.2d 662,
668 (Fla.Dist.Ct.App.2005). However, where the
statement could be understood in more than one way, the
question should be submitted to the trier of fact. See Ford
v. Rowland, 562 So.2d 731, 735 (Fla.Dist.Ct.App.1990);
see also Scott, 907 So.2d at 667.
*12 [19]Courts determining whether an allegedly
defamatory statement is a protected expression of opinion
“ ‘must construe the [allegedly defamatory] statement in
its totality, examining not merely a particular phrase or
sentence, but all of the words used in the publication.’ ”
Keller v. Miami Herald Publ’g Co., 778 F.2d 711, 717
(11th Cir.1985) (applying Florida Law) (quoting Hay v.
Indep. Newspapers, Inc., 450 So.2d 293, 295
(Fla.Dist.Ct.App.1984)); accord Morse v. Ripken, 707
So.2d 921, 922 (Fla.Dist.Ct.App.1998). The context in
which a statement was published and whether the
publisher used cautionary terms must also be considered.
Keller, 778 F.2d at 717. Defendant argues the potentially
defamatory aspects of the November 20, 2014 Statement
(against Traitz) and the November 21, 2014 Statement
(against Traitz and Serignese) constitute opinions because
they are mere “rhetorical hyperbole,” and they express a
subjective view rather than objectively verifiable facts.
(Def.’s Mem. 19-20, 22.) With respect to the November
21, 2014 Statement, Defendant also argues the statement
is not defamatory as to either Traitz or Serignese because
the statement is not “of and concerning” either plaintiff.
The court disagrees.
i. November 20, 2014 Statement
The November 20, 2014 Statement was a press release
issued by one of Defendant’s agents for the purpose of
further dissemination. The statement had two
components: (1) descriptions of the allegations and (2) a
description of Plaintiff Traitz’s later, and unrelated,
criminal history. Plaintiff Traitz does not contest the truth
of the second component of the statement related to her
criminal history and does not base her defamation claim
on this portion of the statement. Plaintiff Traitz instead
bases her claim on the descriptions of her sexual assault
allegations as “fabricated or unsubstantiated stories,”
“ridiculous claims,” and, as to one particular
allegation—that Defendant offered her drugs from a
briefcase—“an absurd fabrication.” Defendant argues
these words are either non-defamatory because they are
technically accurate or rhetorical hyperbole that expresses
opinion rather than stating fact. He asserts Plaintiff
Traitz’s failure to publicly present any proof beyond her
own words, combined with her criminal record, make her
claims “unsubstantiated.”15 Defendant also argues the
word “ridiculous” did not imply any false facts, but was
simply rhetorical hyperbole, and the words “fabricated”
and “fabrication” expressed opinions about the nature of
the allegations based on her delay in coming forward and
her criminal record.
[20]These arguments are not persuasive because the court
is directed to consider the allegedly defamatory
statements within the context of the entire publication.
Smith v. Cuban Am. Nat’l Found., 731 So.2d 702, 705
(Fla.Dist.Ct.App.1999). Read in its entirety, one possible,
and clearly defamatory, implication of the entire press
release is that Plaintiff Traitz intentionally made absurdly
false sexual assault allegations against Defendant. A jury
must ultimately decide whether the statement asserted or
implied this actual fact or merely opined that the
allegations sounded far-fetched, without actually asserting
or implying the allegations were false. See Ford, 562
So.2d at 735 (reversing the dismissal of a libel claim
because whether statements described actual facts or were
merely absurd parodies depended on factual
determinations to be made by jury). When making this
determination, a jury can consider that the statement was
made by Defendant’s attorney. Perhaps, as Defendant
argues, a jury will conclude the denigration of Plaintiff
Traitz was a “one-sided” account expressing an opinion
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and providing the basis for that opinion, and therefore is
not defamatory. However, at this stage it appears that a
jury could conclude that the source of the statement—a
person close to the subject of the allegations—made the
statement in order to communicate the fact that Plaintiff
Traitz’s allegations were lies. Since the November 20,
2014 Statement can reasonably be understood as
describing the actual fact that Plaintiff’s allegations were
false and since, at this stage, the court must accept
Plaintiff Traitz’s allegations as true, the court concludes
Plaintiff Traitz has adequately pled her defamation claim
related to the November 20, 2014 Statement. Defendant’s
request to dismiss the claim based on the November 20,
2014 Statement is denied.
ii. November 21, 2014 Statement
*13 Defendant argues the November 21, 2014 Statement
cannot be the basis of a defamation claim because (1) it
expresses opinions rather than stating facts, (2) any
factual statements are not defamatory, or (3) any
defamatory facts are not defamatory as to Plaintiffs Traitz
and Serignese because this statement is not sufficiently
“of and concerning” them. The November 21, 2014
Statement is the longest of the four statements attributed
to Defendant in this suit and criticizes his accusers and the
media for their various roles in the recent dissemination
of the sexual assault allegations made against Defendant.
Neither Plaintiff Traitz nor Plaintiff Serignese is
identified by name within the statement, but it begins by
identifying itself as a response to the “new,
never-before-heard claims from women” who made
allegations “in the past two weeks.” Plaintiff Traitz made
her allegations public on November 18, 2014, and
Plaintiff Serignese made her allegations public on
November 19, 2014; this timing sequence clearly
indicates the statement refers to them.
[21] [22] [23]In Florida, expressions of opinions are
non-actionable “if the speaker states the facts on which he
bases his opinion,” and those facts are not “false or
inaccurately presented.” Lipsig v. Ramlawi, 760 So.2d
170, 184 (Fla.Dist.Ct.App.2000). A statement is also a
“pure opinion, as a matter of law, when it is based on
facts which are otherwise known or available to the reader
or listener.” Razner v. Wellington Reg’l Med. Ctr., Inc.,
837 So.2d 437, 442 (Fla.Dist.Ct.App.2002). In
determining whether any portions of the statement are
defamatory, the court must consider the statement “in the
context of the publication, including the audience, the
means by which it was delivered, and other circumstances
surrounding the statement.” Ranbaxy Labs. Inc. v. First
Databank, Inc., No. 3:13–CV–859–J–32MCR, 2015 WL
3618429, at *3 (M.D.Fla. June 9, 2015).
Defendant’s attorney provided the November 21, 2014
Statement to the media with the intent that the statement
be disseminated to the public. The statement begins by
describing the allegations that had been made against
Defendant during the previous two weeks as “new,
never-before-heard claims” that are “unsubstantiated,
fantastical stories” about events occurring “30, 40, or
even 50 years ago.” The allegations are characterized as
having “escalated past the point of absurdity” and
“becom[e] increasingly ridiculous.” Next, the statement
describes as “completely illogical” the silence, over many
years, of the accusers. Implicit in this portion of the
statement is the suggestion that the cause of the accusers’
decades of silence was that they did not really believe
they had been assaulted. The statement continues with
two sentences about the opportunities the accusers had to
sue Defendant and suggests “it makes no sense” that none
of the accusers had brought legal action closer in time to
the alleged sexual assaults. Defendant next shifts the
focus from the accusers to the media, critiquing the speed
with which allegations were reported and suggesting that
the reporting violated journalistic standards because the
stories were run without corroboration. Finally, the
statement characterizes the media’s reporting on the
allegations as a “vilification” of Defendant.
[24]The truth of portions of the statement, such as the
length of time between when the incidents allegedly
occurred and the date on which any particular allegation
became public, is uncontested. Defendant argues these
statements provide readers with the truthful facts on
which he based his opinion that the allegations were
unsubstantiated. This analysis is flawed because when
read in its entirety, the statement is capable of being
understood as asserting not just that the allegations made
during the previous two weeks were unsubstantiated, but
also as implying they were false and entirely without
merit. The court cannot predict whether a jury will
actually conclude the statement implied that fact and, if
so, whether the assertion of fact was false, but there is a
sufficient factual question as to the meaning readers
would have given to the statement to preclude dismissal at
this stage.
*14 Defendant maintains that, regardless of the analysis
on whether there was a false statement of fact, the
November 21, 2014 Statement was simply not
defamatory. A statement is capable of a defamatory effect
if it “naturally and proximately results in injury to
another.” Cuban Am. Nat’l Found., 731 So.2d at 705. As
previously discussed, to falsely accuse another of sexual
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assault is morally repugnant; the natural result of the
publication of a statement directly or indirectly indicating
Plaintiffs made such false accusations is injury to their
reputations.
Finally, the court turns to Defendant’s argument that,
even if the November 21, 2014 Statement contains
defamatory statements, they were not “of and concerning”
Plaintiffs Traitz and Serignese. As a matter of substantive
law “a cause of action for group libel cannot be
maintained unless it is shown that the libelous statements
are ‘of and concerning’ the plaintiff.” Thomas v.
Jacksonville TV, Inc., 699 So.2d 800, 805
(Fla.Dist.Ct.App.1997). A statement can be “of and
concerning” members of a group, provided the group
includes fewer than twenty-five individuals and the
statement identifies and describes each plaintiff. Cf. id.
The November 21, 2014 Statement was released three
days after Plaintiff Traitz made her public accusation and
two days after Plaintiff Serignese made hers. Nothing in
the statement indicates an intention to exclude any recent
accusers from its sweep, and Plaintiffs assert there were
eleven women who publicly made accusations against
Defendant during the two weeks prior to the publication
of the November 21, 2014 Statement. (Pls.’ Mem., Ex. 2
at ¶ 2.) Taken together, these factors lead the court to the
objectively reasonable inference that a factfinder could
conclude the statement was “of and concerning” Traitz
and Serignese. See Jacksonville TV, Inc., 699 So.2d at
805; see also Restatement (Second) of Torts § 617 cmt. a
(explaining that the question of whether the statement was
“of and concerning the plaintiff” is “ordinarily for the jury
or trier of fact to determine”).
2. Requisite Degree of Fault
[25]The Supreme Court requires the respective defamation
law of each state to include an element of fault. See Gertz
v. Robert Welch, Inc., 418 U.S. 323, 347–48, 94 S.Ct.
2997, 41 L.Ed.2d 789 (1974). Recognizing the tension
between providing protections for individuals’ reputations
and encouraging an open and free press, the Supreme
Court requires a plaintiff to demonstrate a higher level of
fault when the allegedly defamatory statement concerns a
public figure, rather than when it concerns a private
individual outside the public sphere. Id. at 342–46, 94
S.Ct. 2997. Private-figure plaintiffs need only
demonstrate a defendant (or defendant’s agent acting
within the scope of the agency) acted negligently. See
Mile Marker, Inc. v. Petersen Publ’g, LLC, 811 So.2d
841, 845 (Fla.Dist.Ct.App.2002); Sarver v. Hurt Locker
LLC, No. 2:10–cv–09034–JHN–JCx, 2011 WL
11574477, at *8 n. 11 (C.D.Cal. Oct. 13, 2011). By
contrast, if a plaintiff is a public figure, then such plaintiff
must show the defendant (or defendant’s agent acting
within the scope of the agency) acted with actual malice
in uttering the defamatory remark. See Nguyen–Lam v.
Cao, 171 Cal.App.4th 858, 90 Cal.Rptr.3d 205, 212
(2009); Miami Herald Publ’g Co. v. Ane, 423 So.2d 376,
382 (Fla.Dist.Ct.App.1982). Malice exists, generally, if a
defendant or a defendant’s agent makes the statement
knowing it is false or with reckless disregard to its truth.
See Nguyen–Lam, 90 Cal.Rptr.3d at 212; Ane, 423 So.2d
at 378, 382.
*15 The parties have not raised the issue of Plaintiffs’
public or private status for this litigation, and Defendant
argues a failure to plead sufficient facts to establish either
level of fault. Accordingly, the court considers Plaintiffs
to be private individuals at this stage of the litigation. See
Pan Am Sys., Inc. v. Hardenbergh, 871 F.Supp.2d 6, 16
(D.Me.2012) (employing this approach in similar
situation). Therefore, under both California and Florida
law, Plaintiffs have sufficiently pled the requisite degree
of fault if they allege facts demonstrating Defendant (or
his agents acting within the scope of their agency) acted
negligently. See Brown v. Kelly Broad. Co., 48 Cal.3d
711, 257 Cal.Rptr. 708, 771 P.2d 406, 425 (1989); Boyles
v. Mid–Florida TV Corp., 431 So.2d 627, 634
(Fla.Dist.Ct.App.1983), aff’d 467 So.2d 282, 283
(Fla.1985). Negligence exists if the statement is made
without first exercising reasonable care to determine if it
is, in fact, false. Hecimovich v. Encinal Sch. Parent
Teacher Org., 203 Cal.App.4th 450, 137 Cal.Rptr.3d 455,
471 (2012); Boyles, 431 So.2d at 634. Individuals not
only clearly fail to exercise reasonable care if they make a
statement known to be false, but also if a reasonable
person would have known the statement was false. See
Brown, 257 Cal.Rptr. 708, 771 P.2d at 430; Boyles, 431
So.2d at 634; Carney v. Santa Cruz Women Against Rape,
221 Cal.App.3d 1009, 271 Cal.Rptr. 30, 34 n. 2 (1990).
The two legal theories for establishing fault in this case
are: respondeat superior liability and direct liability.
Respondeat superior is a “doctrine holding an employer
or principal liable for the employee’s or agent’s wrongful
acts committed within the scope of the employment or
agency.” Black’s Law Dictionary 1505 (10th ed. 2014).
Under the direct liability theory, Defendant would be held
liable on the basis of his own fault for his conduct and
involvement regarding the statements.
a. Respondeat Superior Liability
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[26]Defendant asserts the SAC does not sufficiently allege
his agents possessed the requisite degree of fault
necessary to hold Defendant liable for defamation on the
basis of respondeat superior.16 When a third party is
harmed by an agent’s conduct, the principal is subject to
respondeat superior liability, a form of vicarious liability,
if the agent was acting within the scope of work
performed for the principal and the principal controlled or
had a right to control the manner of the agent’s work.
Restatement (Third) of Agency §§ 7.03, 7.07 (2006); see
also Rivera v. Nat’l R.R. Passenger Corp., 331 F.3d 1074,
1080 (9th Cir.2003) (“[U]nder California law [an
employer] may be held liable for defamatory statements
made by its employees under the doctrine of respondeat
superior ... if the defamation occurred within the scope of
the employee’s employment.”); Mercury Motors Express,
Inc. v. Smith, 393 So.2d 545, 549 (Fla.1981) (“An
employer is vicariously liable ... [for] the negligent acts of
employees committed within the scope of their
employment even if the employer is without fault.”). It
follows that, under this theory, “a principal’s vicarious
liability turns on whether the agent is liable.” Restatement
(Third) of Agency § 7.03 cmt. b; see id. (“In most cases,
direct liability requires fault on the part of the principal
whereas vicarious liability does not require that the
principal be at fault.”); accord Estate of Miller v. Thrifty
Rent–A–Car Sys., Inc., 637 F.Supp.2d 1029, 1037
(M.D.Fla.2009); Palomares v. Bear Stearns Residential
Mortg. Corp., No. 07cv01899 WQH (BLM), 2008 WL
686683, at *4 (S.D.Cal. Mar. 13, 2008). In order to
proceed on their theory of respondeat superior liability,
Plaintiffs’ SAC must include sufficient allegations
supporting a finding of fault on the part of those speaking
for Defendant—Phillips, Brokaw, and Singer. As
discussed above, both California and Florida use a
negligence standard when evaluating whether a defendant
has published a defamatory statement about a private
individual. See Mile Marker, Inc., 811 So.2d at 845;
Sarver, 2011 WL 11574477, at *8 n. 11. This standard
applies equally to authorized agents acting in the scope of
their agency. See Estate of Miller, 637 F.Supp.2d at 1037;
Palomares, 2008 WL 686683, at *4.
*16 [27]Defendant contends Plaintiffs’ allegations are
threadbare or conclusory and cannot be the basis of a
“plausible determination” that Defendant’s agents acted
with fault. (Def.’s Mem. 31-32.) This argument cannot
succeed if, after accepting Plaintiffs’ allegations as true,
the court can reasonably infer that those speaking for
Defendant—Phillips, Brokaw, and Singer—were
themselves negligent. The SAC states directly and by
inference that the individuals who issued the statements
were professionals, employed by Defendant for purposes
including speaking to the media on his behalf. (SAC ¶¶
25-26, 29-30, 33-35, 37, 51-53, 55, 65-68, 70, 77, 88, 99.)
Given Defendant’s prominence in the entertainment field,
the court infers he surrounded himself with people
accomplished in media relations and legal matters. The
court also infers those making Defendant’s public
statements had an open line of communication with him
as well as some historical perspective on his public
relations matters. Based on the facts and inferences, the
court finds it plausible at this point to conclude (1) those
agents would have had, at a minimum, some sense of
Defendant’s alleged conduct, such that their duty of care
would have required them to take steps to determine the
truth or falsity of the statements, and (2) the content of
their responsive statements demonstrates such reasonable
care was not taken.
In reaching its conclusions, the court notes that prior to
the formal discovery process, facts pertaining to state of
mind in defamation actions need not be alleged with
extreme detail, due to the difficulty of definitively
ascertaining them at this stage of litigation. See Schatz v.
Republican State Leadership Comm., 669 F.3d 50, 58 (1st
Cir.2012) (in the defamation context, state of mind may
be alleged generally); see also generally Fed. R. Civ. P.
9(b); Grajales v. P.R. Ports Auth., 682 F.3d 40, 49 (1st
Cir.2012).
The court, at this stage, accepting all of Plaintiffs’
well-pled averments as true, finds respondeat superior
liability is sufficiently pled. Therefore, Defendant’s
motion for dismissal on this point is denied.
b. Direct Liability
[28]Defendant asserts that Plaintiffs do not identify direct
liability as a legal theory upon which the defamation
claims can be proven. However, the SAC does state
Defendant acted “by and through” each of the people who
actually gave each statement alleged to be defamatory.
(SAC ¶¶ 25, 30, 33-35, 38, 51-52, 56, 65-68, 71, 73-74,
77, 80-82, 85, 88, 91-93, 96, 99, 102-04.) The SAC also
states that Defendant’s agents gave the statements “at the
direction of Defendant.” (Id. ¶¶ 37, 55, 70.) Additionally,
the SAC states Defendant knew the claimed defamatory
statements were false at the time they were published. (Id.
¶¶ 36, 54, 69, 79, 90, 101.) If a principal purposefully
directs an agent to perform an action, and that agent
performs the action, then the principal is directly
responsible for the consequences of the action. See
Restatement (Third) of Agency § 7.03; see also HBSC Ins.
Ltd. v. Scanwell Container Line Ltd., No. CV
00–05729SVW(SHX), 2001 WL 940673, at *2 (C.D.Cal.
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Jan. 17, 2001); Partington v. Metallic Eng’g Co., 792
So.2d 498, 501 (Fla.Dist.Ct.App.2001).
[29]The court is not persuaded by Defendant’s argument
that Plaintiffs did not adequately plead direct liability as a
named legal theory. Under the applicable federal
procedural requirements, a complaint need only put a
defendant on notice as to legal theories and this can be
done, as here, without formally naming them; a plaintiff
need not perfectly plead all legal theories. See Johnson v.
City of Shelby, ––– U.S. ––––, 135 S.Ct. 346, 190 L.Ed.2d
309 (2014) (reversing dismissal because “[f]ederal
pleading rules ... do not countenance dismissal of a
complaint for imperfect statement of the legal theory
supporting the claim asserted”); see also id. at 347 (“ ‘The
federal rules effectively abolish the restrictive theory of
the pleadings doctrine, making it clear that it is
unnecessary to set out a legal theory for the plaintiff’s
claim for relief.’ ” (quoting 5 Charles Alan Wright &
Arthur R. Miller, Federal Practice and Procedure § 1219,
at 277-78 (3d ed. 2002))).
Defendant rightfully concedes that if he had “approved
defamatory statements before they were issued, he would
be directly liable for defamation, irrespective of whether
he or his agents personally issued the statements.” (Dkt.
No. 41, Def.’s Reply Mem. Supp. Mot. to Dismiss 10
(“Def.’s Reply Mem.”).) See Overstock.com, Inc. v.
Gradient Analytics, Inc., 151 Cal.App.4th 688, 61
Cal.Rptr.3d 29, 48 (2007); Island City Flying Serv. v.
Gen. Elec. Credit Corp., 585 So.2d 274, 278 (Fla.1991).
But he asserts in his reply brief there was a failure to
plead sufficient facts to infer actual approval. (Def.’s
Reply Mem. at 10.) The court does not agree. From
examination of all the facts in the SAC, it does not take a
speculative leap for the court to conclude Defendant
would be personally involved in reviewing these types of
accusations against him, crafting or approving the
responsive statements, and directing the dissemination.
The SAC alleges Defendant was an “internationally
known” entertainment figure and the people making
public statements for him were acting either as attorney or
publicist and/or authorized representative or employee.
(SAC ¶¶ 3, 26, 29, 53.) At this stage of the litigation, it
would be unreasonable to view these particular
circumstances, responding to very serious accusations of
the nature involved here, as not having the direct
involvement of Defendant.
*17 The court therefore finds direct liability is sufficiently
pled. Accordingly, Defendant’s motion for dismissal on
this point is denied.
3. Self-Defense Privilege
The court turns to Defendant’s argument that Plaintiffs’
claims should be dismissed even if the statements at issue
are potentially defamatory because these statements are
protected by the common-law privilege of self-defense.
(Def.’s Mem. 22-25.) Defendant relies in part on a
Massachusetts case, contending “[t]he privilege of
self-defense includes the right to ‘brand the accusations as
false and calumnious’ and to ‘comment upon the motives
of the accuser.’ ” (Id. at 23 (quoting Conroy v. Fall River
Herald News Co., 306 Mass. 488, 28 N.E.2d 729, 730
(1940)).) Defendant also asserts, without citing any
authority, “[t]here is no requirement that, to avail oneself
of the self-defense privilege, the responsive statement be
truthful.” (Id. at 25.) The court concludes the state
substantive law governing Plaintiffs’ claims does not
recognize this privilege and, even if it were recognized,
the court at this stage could not find that it applies.
[30] [31]Neither California nor Florida recognize the
self-defense privilege. As the parties acknowledge,
California courts have rejected the notion of a privilege to
defame in self-defense. (Pls.’ Mem. 11; Def.’s Mem. 23
n.8.) See Finke v. Walt Disney Co., 110 Cal.App.4th
1210, 2 Cal.Rptr.3d 436, 459 (2003) (“California does not
recognize ‘self-help’ as an independent privilege.”),
review granted, 6 Cal.Rptr.3d 424, 79 P.3d 541 (2003),
review dismissed as settled, 19 Cal.Rptr.3d 828,99 P.3d 5
(2004).17 Similarly, while Florida recognizes several types
of conditional defensive privileges in the context of
defamation, self-defense is not one of them. See Nodar v.
Galbreath, 462 So.2d 803, 809–10 (Fla.1984)
(recognizing the privileges of mutuality of interest
between the speaker and the listener, protection of the
recipient’s interest, and statements to a political authority
regarding issues of public concern). Moreover, the court
is not persuaded by Defendant’s assertion that, because
Florida courts have never explicitly rejected the
self-defense privilege, it must be assumed the privilege
would be recognized in Florida. In the court’s view, the
absence of any indication that Florida courts would adopt
this privilege, especially when they have explicitly
adopted other common-law defamation privileges,
establishes no basis to assume the self-defense privilege
would be recognized in Florida. Cf. Klayman v. City
Pages, No. 5:13–cv–143–Oc–22PRL, 2015 WL 1546173,
at *17 n. 18 (M.D.Fla. Apr. 3, 2015) (declining to find
that the “libel-proof plaintiff” defamation defense exists
in Florida when the defendants failed to provide any
authority in support of that assertion).
[32]The court recognizes that some jurisdictions do apply a
version of the conditional self-defense privilege, which
allows individuals, in certain circumstances, to publish
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defamatory responsive statements necessary to defend
their reputation. However, as recognized by the cases
Defendant himself cites, as well as the Restatement, such
a privilege does not permit a defendant to knowingly
publish false statements of fact. See Conroy, 28 N.E.2d at
730 (“[O]ne has a right in good faith to brand the
accusations as false and calumnious.” (emphasis added));
Shepherd v. Baer, 96 Md. 152, 53 A. 790, 791 (1902)
(explaining that an individual relying on the self-defense
privilege “cannot avail himself of the occasion to make
false charges of fact”); Restatement (Second) of Torts §
593 (conditional privilege may not be “abused”); id. § 600
(conditional privilege is abused if publisher “(a) knows
the matter to be false, or (b) acts in reckless disregard as
to its truth or falsity”). As explained in a treatise relied
upon by both Plaintiffs and Defendant, the self-defense
privilege permits the speaker to “call the accuser a liar,
but she or he may not include in the reply defamatory
matter that is irrelevant or that the speaker knows or
believes to be false. To do so is to abuse, and therefore
lose, the privilege.” Sack on Defamation § 9:2.1, at 9-11
(4th ed. 2010) (emphasis added).
*18 [33]Accordingly, even in jurisdictions recognizing this
conditional privilege, there is a clash with the applicable
motion to dismiss standard. At the motion to dismiss
stage, Plaintiffs’ allegations are presumed true, San
Gerónimo Caribe Project, Inc. 687 F.3d at 471, so
Defendant’s allegedly defamatory self-defense responses,
made through his agents, would necessarily be viewed as
knowingly false under these specific circumstances. This
alone would negate the good faith requirement regarding
the self-defense privilege at the motion to dismiss stage.18
See Lundquist v. Reusser, 7 Cal.4th 1193, 31 Cal.Rptr.2d
776, 875 P.2d 1279, 1291 (1994) (conditional privileges
which California does recognize are lost “if the person
making the statement was ... [m]otivated by hatred or
ill-will toward the plaintiff which induced the publication;
or ... [w]as without a good-faith belief in the truth of the
statement”); Thomas v. Tampa Bay Downs, Inc., 761
So.2d 401, 404 (Fla.Dist.Ct.App.2000) (explaining that an
essential element for conditional privileges which Florida
does recognize is “good faith”); see also Bank of Am.
Corp. v. Valladares, 141 So.3d 714, 718
(Fla.Dist.Ct.App.2014) (conditional privilege to report a
crime is lost “if the reporter acts maliciously, meaning the
reporter either knows the report is false or recklessly
disregards whether the report is false”), review granted,
168 So.3d 231 (Fla.2015). The court would thus be
constrained to infer that Defendant abused, and therefore
lost, the privilege. See Sack on Defamation § 9:1, at 9-2
(“In some situations, a speaker will not be held liable for
false defamatory statements because the freedom to speak
in protection of certain interests is deemed to be more
important than the ability to redress harm to reputation
that such speech may cause. But for the speaker to be
protected in such situations, the statement must be made
in good faith and for proper motives and the occasion
must not be otherwise ‘abused.’ ”); see also id. §§
9:3.1-9:3.2, at 9-41 to 9-50 (discussing the different types
of “malice” which courts find to be an abuse of
conditional privileges).19 Therefore, even if Florida and
California did recognize this privilege, Defendant would
not be able to invoke it at this stage to support his motion
to dismiss.
4. Incremental Harm as to November 20, 2014
Statement about Plaintiff Traitz
Defendant argues the defamation claim by Plaintiff Traitz
that stems from the November 20, 2014 Statement should
be dismissed because she has not suffered incremental
harm as a result of the statement. According to Defendant,
the allegedly defamatory portion of Singer’s statement is
no more damaging to Traitz’s reputation than the true
reporting of her criminal convictions.
[34] [35] [36]The “incremental harm doctrine,” which some
courts have described as related to the “libel-proof
plaintiff doctrine,” see Thomas v. Tel. Publ’g Co., 929
A.2d 993, 1002 (N.H.2007); Stern v. Cosby, 645
F.Supp.2d 258, 270 (S.D.N.Y.2009), “measures the harm
‘inflicted by the challenged statements beyond the harm
imposed by the rest of the publication. If that harm is
determined to be nominal or nonexistent, the statements
are dismissed as not actionable.’ ” Masson v. New Yorker
Magazine, Inc., 960 F.2d 896, 898 (9th Cir.1992) (quoting
Herbert v. Lando, 781 F.2d 298, 311 (2d Cir.1986)); see
also Tel. Publ’g Co., 929 A.2d at 1002–03.20
*19 [37]Defendant has not provided any authority, and the
court has not found any, indicating that Florida (the
jurisdiction controlling resolution of Plaintiff Traitz’s
claims) recognizes this defense. Accordingly, just as the
court in Klayman, 2015 WL 1546173, at *17 n. 18,
refused to recognize the libel-proof plaintiff doctrine
under Florida law, this court, in the absence of any
indication to the contrary, cannot conclude the Florida
Supreme Court would adopt the incremental harm
doctrine. Cf. Masson, 960 F.2d at 899 (concluding that
“the incremental harm doctrine is not an element of
California libel law,” in part, “because the California
courts have never adopted it”); Noonan v. Staples, Inc.,
707 F.Supp.2d 85, 90 (D.Mass.2010) (“Since no court in
the Commonwealth has ever recognized the doctrine of
incremental harm, this Court refrains from doing so
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here.”). Even if Florida did recognize this doctrine, the
court would not conclude, especially at this stage of the
litigation, that the challenged portion of Singer’s
statement—asserting that Plaintiff Traitz fabricated the
sexual assault allegation—caused no more than nominal
harm beyond the reporting of her criminal convictions.
See, e.g., Church of Scientology Int’l v. Time Warner,
Inc., 932 F.Supp. 589, 594 (S.D.N.Y.1996) ( “[T]he
doctrine requires a court to measure the harm flowing
from the challenged statement as compared to the harm
flowing from the rest of the publication ... and the parties
have not yet conducted discovery on the issue of
damages.” (citation omitted)).
VI. CONCLUSION
For the reasons set forth above, Defendant’s motions to
dismiss (Dkt. Nos. 21, 22, and 23) are DENIED in their
entirety.
It is So Ordered.
All Citations
--- F.Supp.3d ----, 2015 WL 5923553
Footnotes
1 When the court granted leave for Plaintiffs to file the SAC, the court simultaneously afforded Defendant the opportunity
to “file a motion to dismiss which responds to the newly amended complaint, or which supplements the [motions to
dismiss] previously filed.” (Dkt. No. 46.) Defendant notified the court of his continued reliance on previously-filed
submissions. (Dkt No. 62, Def. Letter/request (non-motion).) Accordingly, the court evaluates Defendant’s
previously-filed motions to dismiss, and arguments in support thereof, in relation to Plaintiffs’ SAC.
2 The court’s factual summary includes an abbreviated version of those facts alleged by Plaintiffs. The court also makes
use of the full text versions of the allegedly defamatory statements. For three of those statements, the court utilizes full
text versions provided by Defendant as exhibits to his memorandum in support of his motions. (Dkt. No. 25, Decl. re:
Mem. Supp. Mot. to Dismiss, Exs. A, D, F.) Plaintiffs have not contested the accuracy of the full versions of these
statements provided by Defendant and the court considers them as “documents sufficiently referred to in the
complaint” and as “central to plaintiffs’ claims.” See Watterson v. Page, 987 F.2d 1, 3 (1st Cir.1993); see also Fudge v.
Penthouse Int’l, Ltd., 840 F.2d 1012, 1015 (1st Cir.1988) (affirming District Court’s decision, under similar
circumstances, to consider a copy of the article submitted by the defendant which had formed the basis of the
defamation action, as it was central to the plaintiff’s complaint). Additionally, the court uses the full text version of a
fourth statement provided by Plaintiffs as an exhibit to their motion for leave to file their SAC. (Dkt. No. 20, Pls.’ Mem.
Supp. re: Mot. for Leave to File Second Am. Compl., Ex. C.)
3 While Plaintiff Serignese is not specific as to how or where this allegation was disclosed (see SAC ¶ 50), Defendant
states that it was disclosed to the Huffington Post. (Dkt. No. 24, Def.’s Mem. Supp. Mots. to Dismiss (“Def.’s Mem.”) 5
(citing SAC ¶ 48).) Defendant has attached a document which he asserts to be the Huffington Post article in question.
(Decl. re: Mot. to Dismiss, Ex. C.) Plaintiff Serignese has not offered a conflicting explanation.
4 In the SAC, Plaintiffs describe two of the individuals who issued the statements as doing so while an “agent, authorized
representative, lawyer, servant, and/or employee” of Defendant and one as doing so while an “agent, authorized
representative, servant, and/or employee” of Defendant. (SAC ¶¶ 26, 29, 53.) As any distinctions among the meanings
of these terms are not material at this stage, throughout this opinion the court refers to these individuals as Defendant’s
“agents.”
5 The court will refer to these responsive statements, collectively, as the “Washington Post Statement.”
6 The parties have not provided the court with a copy of the original, uncorrected version of the November 22, 2014
Washington Post Online Article.
7 Defendant, in turn, has also provided the court with a copy of the correction notice issued with respect to the print
edition and dated December 12, 2014. (Dkt. No. 28, Decl. re: Opp. to Pls.’ Mot. for Leave to File Second Am. Compl.,
Ex. 1.) It reads in its entirety: “1A Nov. 23 Page One article about the allegations of sexual assault against Bill Cosby
misstated the timing of a statement of denial issued by an attorney for Cosby. The statement denying Tamara Green’s
allegations was issued by lawyer Walter M. Phillips Jr. when Green’s allegations first surfaced in 2005, not in the week
before the article was published.” (Id. at 2.)
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8 As mentioned, the correction notice issued with respect to the November 23, 2014 Washington Post Print Article,
provided by Defendant, is worded slightly differently than the correction notice for the November 22, 2014 Washington
Post Online Article used by Plaintiff. (See Dkt. 28, Decl. re: Opp. to Pls.’ Mot. for Leave to File Second Am. Compl., Ex.
1; Mem. re: Mot. to Am., Ex. C) The court generally limits its discussion to the correction with respect to the online
article, as that correction is treated as an attachment to the complaint, but recognizes both corrections make the same
operative point.
9 Plaintiffs also argue the court may not take judicial notice of the correction because Defendant is attempting to use it to
prove the truth of the matter asserted therein, i.e., that Phillips in fact provided his statement in 2005, not in 2014. See,
e.g., Kosilek v. Spencer, 889 F.Supp.2d 190, 215 n. 6 (D.Mass.2012), aff’d, 740 F.3d 733 (1st Cir.2014), rev’d en banc
on other grounds, 774 F.3d 63 (1st Cir.2014). The court is not taking judicial notice of the correction pursuant to Rule
201 of the Federal Rules of Evidence because Plaintiffs used it to support their motion to amend and relied on it in their
SAC, effectively attaching it to their complaint. Accordingly, this limitation (documents judicially noticed under Rule 201
may not be considered for the truth of the matter asserted) is a non-issue. See, e.g., Papadopoulos v. Amaker, No.
12–CV–3608 (DLI)(RLM), 2013 WL 3226757, at *1 n. 1 (E.D.N.Y. June 25, 2013).
10 The court notes that, if it were to consider both the online and print versions of the correction notices, the slightly
different wording between the two, which may well be innocuous, could arguably raise questions about the manner in
which the Washington Post came to include the Phillips statement in the article, further demonstrating the benefit in
allowing the parties to engage the discovery process to seek clarification of these factual issues; the need for fact
clarification is not a basis for dismissal at this stage.
11 California has adopted the Uniform Single Publication Act, codifying the single publication rule at Cal. Civ. Code §
3425.3. That section provides:
No person shall have more than one cause of action for damages for libel or slander or invasion of privacy or any
other tort founded upon any single publication or exhibition or utterance, such as any one issue of a newspaper or
book or magazine or any one presentation to an audience or any one broadcast over radio or television or any one
exhibition of a motion picture. Recovery in any action shall include all damages for any such tort suffered by the
plaintiff in all jurisdictions.
12 Relevant differences which may exist between California and Florida law regarding defamation are addressed as
applicable throughout this Discussion.
13 Defendant makes this argument as to the Newsweek Statement, the November 20, 2014 Statement, and the
November 21, 2014 Statement, but not as to the Washington Post Statement.
14 Defendant suggests California’s treatment of “predictable opinion” is similar to a “self-defense privilege.” One obvious
difference is that the phrase “predictable opinion” is used to describe a type of statement that is not defamatory
because it does not assert a fact capable of being proved true or false, while a self-defense privilege, in the defamation
context, generally prevents what may be a defamatory statement from being the basis for a defamation suit because of
a specific exception under state law.
15 Defendant’s contention that Plaintiff Traitz has offered no corroboration is, at least arguably, factually inaccurate
because of the multiplicity of similar claims, a fact acknowledged in Defendant’s statements of November 20th and
21st. The similar claims could be considered by a fact finder as a form of corroboration by a recognizably unique
pattern of conduct.
16 In the SAC, Plaintiffs specifically allege Defendant is liable for the statements given by his agents on the basis of
respondeat superior. (SAC ¶¶ 83, 94, 105.)
17 Defendant nonetheless asserts statements made in self-defense fall within the “predictable opinion” doctrine
recognized in California. This court, however, has already rejected Defendant’s predictable opinion arguments. See
Section V.C.1.a.ii., supra. Accordingly, his predictable opinion arguments fare no better here when linked to a
purported self-defense privilege.
18 Arguably, a self-defense privilege could protect a defendant who made a responsive good faith statement that later
turned out to be inaccurate. See Sack on Defamation § 9:1, at 9-3 & n.6.
19 The court notes that in some states, a defendant’s negligence in ascertaining the truth of a conditionally privileged
defamatory statement may constitute grounds for losing the privilege. See Sack on Defamation § 9:3.4, at 9-52 to 9-53.
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Under the Supreme Court’s decision in Gertz, 418 U.S. 323, 94 S.Ct. 2997, 41 L.Ed.2d 789, however, each state’s
defamation law must include an element of fault at least rising to negligence; therefore, “[e]stablishing the cause of
action would, ipso facto, establish defeasance of qualified privilege.” Sack on Defamation § 9:3.4, at 9-53. In any event,
the court need not delve further into the complications surrounding a self-defense privilege, the ways in which it may be
lost, and the tensions with the motion to dismiss standard, because neither California nor Florida recognizes the
self-defense privilege.
20 The libel-proof plaintiff doctrine, in contrast, looks to a plaintiff’s previously damaged reputation. See Tel. Publ’g Co.,
929 A.2d at 1002–04 (explaining the differences between the incremental harm and libel-proof plaintiff doctrines).
Under that doctrine, “when a plaintiff’s reputation is so diminished at the time of publication of the allegedly defamatory
material that only nominal damages at most could be awarded because the person’s reputation was not capable of
sustaining further harm, the plaintiff is deemed to be libel-proof as a matter of law and is not permitted to burden a
defendant with a trial.” Lamb v. Rizzo, 391 F.3d 1133, 1137 (10th Cir.2004) (internal citation omitted); see Tel. Publ’g
Co., 929 A.2d at 1005 (“To justify applying the doctrine, the evidence of record must show not only that the plaintiff
engaged in criminal or anti-social behavior in the past, but also that his activities were widely reported to the public.”
(internal citation omitted)). As Plaintiffs note, Defendant has only expressly requested dismissal pursuant to the
incremental harm doctrine, and not the separate libel-proof plaintiff doctrine. However, even if Defendant were pressing
both grounds for dismissal, his argument would fail because Florida has not adopted the libel-proof plaintiff doctrine,
see Klayman, 2015 WL 1546173, at *17 n. 18, and Defendant has not established that Traitz falls into the narrow
category of individuals with a sufficiently tarnished reputation such that a defamatory statement could not impair her
reputation, see Guccione v. Hustler Magazine, Inc., 800 F.2d 298, 303 (2d Cir.1986) (“The libel-proof plaintiff doctrine
is to be applied with caution ... since few plaintiffs will have so bad a reputation that they are not entitled to obtain
redress for defamatory statements.” (citation omitted)); Church of Scientology Int’l v. Time Warner, Inc., 932 F.Supp.
589, 594 (S.D.N.Y.1996) (“Dismissal based on the libel-proof plaintiff doctrine is not appropriate at this stage of the
litigation, because it requires the Court to make factual findings regarding plaintiff’s reputation for a particular trait.”).
End of Document © 2016 Thomson Reuters. No claim to original U.S. Government Works.
Case 1:15-cv-07433-RWS Document 26-1 Filed 01/08/16 Page 26 of 26
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S MOTION FOR LEAVE TO BRING PERSONAL ELECTRONIC
DEVICES AND GENERAL PURPOSE COMPUTING DEVICES INTO THE
COURTHOUSE FOR THE JANUARY 14, 2016 HEARING
Plaintiff, by and through undersigned counsel, hereby moves this Court for an Order
granting Plaintiff’s counsel leave to bring Personal Electronic Devices and General Purpose
Computing Device into the Courthouse for the hearing currently scheduled for January 14, 2016,
in the above-styled case.
Plaintiff respectfully requests that this Court allow attorney Sigrid McCawley to bring
with her to the Courthouse on January 14, 2016, a Personal Electronic Device and a General
Purpose Computing Device. Plaintiff has attached a proposed order as Exhibit A hereto. See
Exhibit A, Proposed Order Granting Plaintiff’s Motion for Leave to Bring Personal Electronic
Device and General Purpose Computing Devices to the Courthouse for the January 14, 2016
hearing. Plaintiff will comply with the obligations and restrictions imposed pursuant to Standing
Order M10-468, as Revised.
Case 1:15-cv-07433-RWS Document 27 Filed 01/11/16 Page 1 of 3
2
Dated: January 11, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 27 Filed 01/11/16 Page 2 of 3
3
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on January 11, 2016, I electronically filed the foregoing document
with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing document is
being served this day on the individuals identified below via transmission of Notices of Electronic
Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
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Case 1:15-cv-07433-RWS Document 28 Filed 01/20/16 Page 7 of 8
Case 1:15-cv-07433-RWS Document 28 Filed 01/20/16 Page 8 of 8
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
PLAINTIFF,
V.
GHISLAINE MAXWELL,
DEFENDANT.
DEFENDANT’S NOTICE OF
SUPPLEMENTAL AUTHORITY
15-cv-07433-RWS
--------------------------------------------------X
In further support of her Motion to Dismiss the Complaint, Defendant Ghislaine
Maxwell, through her attorney Laura A. Menninger of the law firm Haddon, Morgan and
Foreman, P.C., hereby respectfully submits the recent decision in Hill v. Cosby, 15 cv 1658
(W.D. Pa. January 21, 2016).
In Hill v. Cosby, the court dismissed, with prejudice, what it found to be a “very detailed
and complete Complaint1” alleging, among other things, that Cosby defamed an alleged sexual
assault victim by issuing statements to the press describing the allegations against him as
“unsubstantiated, fantastical stories…[that] have escalated far past the point of absurdity.” (Ex.
A at 8). Citing Gertz v. Robert Welch, Inc., 418 U.S. 323, 339 (1974), the court held that “[t]his
sort of purely opnionated speech…is protected and not actionable as defamatory speech.” Id. In
dismissing the case, the court further noted that Cosby’s public denial of the claims against him
was a “legal position” that does not “lead to an inference that Plaintiff is a ‘liar and an
extortionist.’” Id. at 8, 12.
1 In fact, the full text of each allegedly defamatory statement was set forth in the
Complaint. (Ex. A at 8).
...............................................
Case 1:15-cv-07433-RWS Document 29 Filed 01/22/16 Page 1 of 2
2
The facts and arguments set forth in Hill v. Cosby are analogous to those here, and thus
this newly issued decision is relevant to the arguments advanced by Ms. Maxwell in support of
her Motion to Dismiss. Ms. Maxwell therefore respectfully requests that the Court take notice of
this supplemental authority.
Dated: January 22, 2016.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on January 22, 2016, I electronically filed this Notice of Supplemental
Authority with the Clerk of Court using the CM/ECF system which will send notification to the
following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
Case 1:15-cv-07433-RWS Document 29 Filed 01/22/16 Page 2 of 2
IN THE UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF PENNSYLVANIA
RENITA HILL,
Plaintiff,
v.
WILLIAM HENRY COSBY, JR., an
individual also known as BILL COSBY,
Defendant.
15cv1658
ELECTRONICALLY FILED
MEMORANDUM OPINION
The very detailed and complete Complaint in this case alleges that by making or causing
to be made three very discreet statements: (1) Defendant defamed Plaintiff, (2) Defendant cast
Plaintiff in a false light, and (3) Defendant intentionally inflicted emotional distress upon
Plaintiff.1 Presently before the Court is a Motion to Dismiss and Brief in Support filed by
Defendant alleging that no justiciable claim or controversy exists. Doc. nos. 3, 4. Plaintiff filed
a Response and Brief in Opposition to the Motion to Dismiss. Doc. nos. 7, 11. Defendant filed a
Reply Brief. Doc. no. 18. The matter is now ripe for adjudication. For the reasons set forth
herein, the Court will grant the Motion to Dismiss the Complaint.
I. Standard of Review - Rule 12(b)(6)
I. Standard of Review - Rule 12(b)(6)
Under Rule 12(b)(6), a Complaint must be dismissed for “failure to state a claim upon
which relief can be granted.” Detailed factual pleading is not required – Rule 8(a)(2) calls for a
1 This case was removed to this Court by Defendant. Plaintiff originally filed her lawsuit in the Court of
Common Pleas of Allegheny County, Pennsylvania (case no. GD-15-18156). Plaintiff did not challenge
the removal. This Court has jurisdiction over this matter pursuant to 28 U.S.C. § 1332(a).
Case 2:15-cv-01658-AJS Document 19 Filed 01/21/16 Page 1 of 18
Exhibit A
Case 1:15-cv-07433-RWS Document 29-1 Filed 01/22/16 Page 1 of 18
2
“short and plain statement of the claim showing that the pleader is entitled to relief” – but a
Complaint must set forth sufficient factual allegations that, taken as true, set forth a plausible
claim for relief. Ashcroft v. Iqbal, 556 U.S. 662, 678 (2009). The plausibility standard does not
require a showing of probability that a claim has merit, Bell Atlantic Corp. v. Twombly, 550 U.S.
544, 556 (2007), but it does require that a pleading show “more than a sheer possibility that a
defendant has acted unlawfully.” Iqbal, 556 U.S. at 678. Determining the plausibility of an
alleged claim is “a context-specific task that requires the reviewing court to draw on its judicial
experience and common sense.” Id. at 679
Building upon the landmark United States Supreme Court decisions in Twombly and
Iqbal, the United States Court of Appeals for the Third Circuit explained that a District Court
must undertake the following three steps to determine the sufficiency of a Complaint:
First, the court must take note of the elements a plaintiff must plead to state a
claim. Second, the court should identify allegations that, because they are no
more than conclusions, are not entitled to the assumption of truth. Finally, where
there are well-pleaded factual allegations, a court should assume their veracity
and then determine whether they plausibly give rise to an entitlement for relief.
Connelly v. Steel Valley Sch. Dist., 706 F.3d 209, 212 (3d Cir. 2013) (citation omitted).
The third step requires this Court to consider the specific nature of the claims presented
and to determine whether the facts pled to substantiate the claims are sufficient to show a
“plausible claim for relief.” Covington v. Int’l Ass’n of Approved Basketball Officials, 710 F.3d
114, 118 (3d Cir. 2013); see also Santiago v. Warminster Twp., 629 F.3d 121, 130 (3d Cir. 2010)
(“[W]here there are well-pleaded factual allegations, the court should assume their veracity and
then determine whether they plausibly give rise to an entitlement for relief.”).
When adjudicating a motion to dismiss for failure to state a claim, the Court must view
all of the allegations and facts in the complaint in the light most favorable to the plaintiff, and
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3
must grant the plaintiff the benefit of all reasonable inferences that can be derived therefrom.
Kanter v. Barella, 489 F.3d 170, 177 (3d Cir. 2007) (quoting Evancho v. Fisher, 423 F.3d 347,
350 (3d Cir. 2005)). However, the Court need not accept inferences or conclusory allegations
that are unsupported by the facts set forth in the complaint. See Reuben v. U.S. Airways, Inc.,
500 F. App’x 103, 104 (3d Cir. 2012) (quoting Iqbal, 556 U.S. at 678); Fowler v. UPMC
Shadyside, 578 F.3d 203, 210-11 (3d Cir. 2009) (stating that District Courts “must accept all of
the Complaint’s well-pleaded facts as true, but may disregard any legal conclusions”). “While
legal conclusions can provide the framework of a Complaint, they must be supported by factual
allegations.” Iqbal, 556 U.S. at 664.
This Court may not dismiss a Complaint merely because it appears unlikely or
improbable that Plaintiff can prove the facts alleged or will ultimately prevail on the merits.
Twombly, 550 U.S. at 563 n.8. Instead, this Court must ask whether the facts alleged raise a
reasonable expectation that discovery will reveal evidence of the necessary elements. Id. at 556.
Generally speaking, a Complaint that provides adequate facts to establish “how, when, and
where” will survive a Motion to Dismiss. Fowler, 578 F.3d at 212.
In short, a Motion to Dismiss should be granted if a party fails to allege facts, which
could, if established at trial, entitle him/her to relief. Twombly, 550 U.S. at 563 n.8.
II. Discussion
As noted above, Plaintiff’s Complaint alleges three causes of action against Defendant:
(1) defamation, (2) false light, and (3) intentional infliction of emotional distress. Defendant
argues that each of these three claims must be dismissed because the claims are legally
unsustainable and/or are legally insufficient. Each claim will be addressed, seriatim.
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4
A. Defamation
1. Pennsylvania Law
Under Pennsylvania law – the law applicable to this case2 – a plaintiff must eventually
prove the following seven elements to state a claim for defamation: (1) the defamatory character
of the communication; (2) its publication by the defendant; (3) its application to the plaintiff; (4)
the understanding by the recipient of its defamatory meaning; (5) the understanding by the
recipient of it as intended to be applied to the plaintiff; (6) special harm resulting to the plaintiff
from its publication; and (7) abuse of a conditionally privileged occasion. 42 Pa.C.S.A. § 8343.
There is ample case law emanating from Pennsylvania state courts, as well as the United States
District Courts, applying Pennsylvania substantive law which defines these elements. A brief
summary of a portion of that body of law follows.
In an action for defamation, it is the Court’s duty to make the threshold determination
whether the challenged statements are capable of a defamatory meaning. Thomas Merton Center
v. Rockwell International Corp., 442 A.2d 213 (Pa. 1981), cert. den., 457 U.S. 1134 (1982);
Byars v. School Dist. of Phila., 942 F.Supp.2d 552 (Pa. E.D. 2013) (“Whether a statement is
capable of a defamatory meaning is a question of law for the court.”). If the communication
could be understood as defamatory, then it is for the jury to determine whether it was so
understood by the recipient. Agriss Roadway Exp., Inc., 483 A.2d 456 (Pa. Super. 1984).
For purposes of the threshold determination whether a communication could be
understood as defamatory, it is not necessary for the communication actually to have caused
harm to a plaintiff’s reputation; defamatory character depends on the general tendency of the
2 The parties agree, as does this Court, that Pennsylvania substantive law applies to the claims asserted in
this case. Pennsylvania has a substantial interest in this litigation as Plaintiff was (and is) domiciled in
Pennsylvania at the time the allegedly defamatory communications were published, and thus Plaintiff has
a reputational interest to protect in that forum.
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5
words to have such an effect. Id., citing Corabi v. Curtis Publishing Co., 273 A.2d 899 (Pa.
1971); Miller v. Hubbard, 207 A.2d 913 (Pa. Super. 1965); Restatement, supra, § 559 Comment
d. However, it is not sufficient for the words to merely embarrass or annoy the plaintiff.
Beckman v. Dunn, 419 A.2d 583 (Pa. Super. 1980). A communication is defamatory if it tends
to blacken a person’s reputation or expose that person to public hatred, contempt, or ridicule, or
injure the person in her business or profession. Livingston v. Murray, 612 A.2d 443, 447 (Pa.
Super. 1992), alloc. den., 617 A.2d 1275 (Pa. 1992). Defamatory communications tend to lower
a person in the estimation of the community, deter third persons from associating with him or
her, or adversely affect the person’s fitness for the proper conduct of his or her lawful business or
profession. Id.
A plaintiff claiming defamation need not be specifically named in the communication, if
the plaintiff is pointed to by description or circumstances tending to identify him or her.
Cosgrove Studio & Camera Shop, Inc. v. Pane, 182 A.2d 751, 753 (Pa. 1962). The test is
“whether the defamatory communication may reasonably be understood as referring to the
plaintiff.” Zerpol Corp. v. DMP Corp., 561 F.Supp. 404, 410 (E.D. Pa. 1983) (citing Farrell v.
Triangle Publ’ns, Inc., 159 A.2d 734 (Pa. 1960)).
The Pennsylvania Superior Court further explained in Dougherty v. Boyerton Times, 547
A.2d 778 (Pa. Super. 1988):
The nature of the audience is a critical factor in determining whether a
statement is capable of defamatory meaning. . . . Injury to reputation is
judged by the reaction of other persons in the community and not by the
party’s self-estimation. Rybas v. Wapner, 311 Pa.Super. 50, 457 A.2d 108
(1983). Specifically, a communication is defamatory if it “ascribes to
another conduct, character or a condition that would adversely affect his
fitness for the proper conduct of his lawful business, trade or profession.”
Baker v. Lafayette College, 350 Pa.Super. 68, 76, 504 A.2d 247, 251
(1986) quoting Thomas Merton Center, supra, 422 A.2d at 216.
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6
Id. at 783.
Pennsylvania case law also has concluded that only statements of fact can afford a basis
for a defamation action. Expressions of opinion cannot. Statements of fact and opinion
intermingled can give rise to a claim based on the factual portions of the statement. See
Dougherty, 547 A.2d at 782–83 (1988) and Restatement (Second) of Torts, § 556.
Whether a particular statement constitutes a fact or an opinion is a question of law for the
trial court to determine. Veno v. Meredith, 515 A.2d 571, 575 (Pa. Super. 1986) citing Braig v.
Field Communications, 456 A.2d 1366, 1372 (Pa. Super. 1983), cert. den., 466 U.S. 970 (1984).
In Braig, the Superior Court of Pennsylvania adopted Section 566 of the Restatement (Second)
of Torts, entitled Expression of Opinion, which provides as follows:
A defamatory communication may consist of a statement in the form of an
opinion, but a statement of this nature is actionable only if it implies the
allegation of undisclosed defamatory facts as the basis for the opinion.
Comment (b) to § 566 of the Restatement explains the two types of expressions of opinion:
(1) The pure type - which “occurs when the maker of the comment states
the facts on which he bases his opinion of the plaintiff and then expresses
a comment as to the plaintiff's conduct, qualifications or character.”
(2) The mixed type - which “while an opinion in form or context, is
apparently based on facts regarding the plaintiff or his conduct that have
not been stated by the defendant or assumed to exist by the parties to the
communication. Here the expression of opinion gives rise to the inference
that there are undisclosed facts that justify the forming of the opinion
expressed by the defendant.”
Restatement (Second) of Torts, § 566, comment (b). Comment (c) of § 566 explains the
constitutional significance of the distinction explained in comment (b):
A simple expression of opinion based on disclosed or assumed
nondefamatory facts is not itself sufficient for an action of defamation, no
matter how unjustified and unreasonable the opinion may be or how
derogatory it is. But an expression of opinion that is not based on
disclosed or assumed facts and therefore implies that there are undisclosed
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7
facts on which the opinion is based, is treated differently. The difference
lies in the effect upon the recipient of the communication. In the first
case, the communication itself indicates to him that there is no defamatory
factual statement. In the second, it does not, and if the recipient draws the
reasonable conclusion that the derogatory opinion expressed in the
comment must have been based on undisclosed defamatory facts, the
defendant is subject to liability. The defendant cannot insist that the
undisclosed facts were not defamatory but that he unreasonably formed
the derogatory opinion from them. This is like the case of a
communication subject to more than one meaning. As stated in § 563, the
meaning of a communication is that which the recipient correctly, or
mistakenly but reasonably, understands that it was intended to express.
Restatement (Second) of Torts, § 566, comment (c).
Thus, the trial court must determine whether the challenged statement is an opinion or a
fact. If the challenged statement is an opinion, it is actionable only if it “may reasonably be
understood to imply the existence of undisclosed defamatory facts justifying the opinion.” Veno,
515 A.2d at 575, quoting Beckman, 419 A.2d at 587, citing Restatement (Second) of Torts, §
566.
With these principles in mind, the Court proceeds to examine the three challenged
statements set forth in the instant case.
2. Plaintiff’s Allegations Related to Defamation
Turning to the detailed and specific facts alleged by Plaintiff, her Complaint first notes
that Plaintiff gave an interview with a reporter from KDKA on November 20, 2014 wherein she
accused Defendant of sexual abuse and rape (doc. no. 1-3, ¶ 38). Plaintiff asserts that as a result
of this interview, three separate communications (either made by Defendant, or on Defendant’s
behalf) led to her defamation claim.
The “Martin Singer Statement” is the first of the three communications which Plaintiff
alleges is defamatory. In it, Plaintiff alleges that a day or two after she gave her interview, the
Washington Post published a response whereby “[Defendant], aided by his attorney, Martin
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8
Singer, issued [a] statement . . .” which set forth, in relevant part, that “. . . new, never-beforeheard
claims from women[,] who have come forward in the past two weeks with unsubstantiated,
fantastical stories . . . have escalated far past the point of absurdity. These brand new claims
about alleged decades-old events are becoming increasingly ridiculous . . . . [I]t makes no sense
that not one of these new women who just came forward for the first time ever asserted a legal
claim back at the time they allege they had been sexually assaulted.” The remainder of the
Martin Singer Statement chastises “the media” for failing to corroborate the new
“unsubstantiated stories” before publishing their accounts.3
Second, with respect to the “Florida Today Statement,” Plaintiff alleges that the same day
the Martin Singer Statement was released, Defendant himself was interviewed by Florida Today,
and during that interview he declined to respond to the “innuendos” that had been made about
him and stated that “[p]eople should fact-check”.4
Third, with respect to the “Camille Cosby Statement,” Plaintiff alleges that on December
15, 2014, a letter written by Defendant’s wife, Camille Cosby, was published by the Washington
Post on Defendant’s behalf alleging that the news media failed to “vet” her husband’s accusers
(of which Plaintiff was one) before publishing or airing the accusers’ stories.5
3. Analysis
Defendant’s Brief in Support of its Motion to Dismiss contends that none of the three
statements are actionable as defamation. Doc. no. 4, p. 8. Plaintiff’s Brief in Opposition to
Motion to Dismiss contends that the sum of the three statements “share a common thread of
relying on undisclosed, defamatory facts to support the assertions each statement makes.” Doc.
no. 11, p. 7. Plaintiff contends that “[i]f it is reasonable to infer from the statements that
3 The full text of the Martin Singer Statement is set forth in the Complaint at doc. no. 1-3, ¶ 38.
4 The full text of the Florida Today Statement is set forth in the Complaint at doc. no. 1-3, ¶ 41.
5 The full text of the Camille Cosby Statement is set forth in the Complaint at doc. no. 1-3, ¶ 42.
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Defendant was actively and knowingly calling Plaintiff a liar and an extortionist, than [sic] the
statements are capable of defamatory meaning.” Id.
After careful consideration of each of the three statements set forth in the Complaint, and
after considering the arguments advanced by each party to this lawsuit as to how those
statements could or could not be defamatory under Pennsylvania law, this Court finds that none
of the three statements are defamatory.
a. The Martin Singer Statement
The Martin Singer Statement is a pure opinion. Per Plaintiff’s Complaint, the Martin
Singer Statement was made “in response” to Plaintiff’s interview wherein she accused Defendant
of sexually abusing and raping her. Doc. no. 1-3, ¶ 38. This statement suggests that “new”
claims asserted by “new” women – which presumably included Plaintiff’s allegations of sexual
abuse and rape – escalated beyond “the point of absurdity.” Id. Simply put, taking all well pled
facts as true, and viewed in the light most favorable to Plaintiff, the Martin Singer Statement
describes the Plaintiff’s and other women’s allegations against Defendant as “beyond absurd”
and labels their accounts of past events as “unsubstantiated, fantastical stories.”
The entire Martin Singer Statement (as quoted in Plaintiff’s Complaint) is an opinionated
statement; but, it is not one which implies or alleges that undisclosed, defamatory facts serve as
the basis for the opinion. It was a statement, made by Defendant’s attorney, in response to
serious allegations concerning Defendant’s alleged criminal behavior. As noted above, in
Pennsylvania, an opinion cannot be defamatory unless it “may reasonably be understood to
imply the existence of undisclosed defamatory facts justifying the opinion.” Remick v. Manfredy,
238 F.3d 248, 261 (3d Cir. 2001).
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Any attorney for any defendant must advance a position contrary to that of the plaintiff.
Here, Plaintiff publicly claimed she was sexually abused and raped by Defendant – which is her
position; and Defendant, through his attorney, publicly denied those claims by saying the
“claims” are unsubstantiated and absurd – which is his legal position. This sort of purely
opinionated speech articulated by Defendant’s attorney is protected and not actionable as
defamatory speech. See Gertz v. Robert Welch, Inc., 418 U.S. 323, 339 (1974) (“Under the First
Amendment there is no such thing as a false idea. However pernicious an opinion may seem, we
depend for its correction not on the conscience of judges and juries but on the competition of
other ideas. But there is no constitutional value in false statements of fact.”). This Court does
not find the Martin Singer Statement includes language which implies the existence of
undisclosed defamatory facts about Plaintiff. As such, this Court considers the Martin Singer
Statement to be purely an opinion proffered by an attorney who, while actively engaged in the
zealous representation of his client, did not cross the line and defame the Plaintiff. Accordingly,
the Court finds that the Martin Singer Statement fails to support Plaintiff’s claim for defamation.
b. The Florida Today Statement
Next, turning to the Florida Today Statement, this Court also finds that this statement
likewise is not defamatory. In this statement, Defendant refuses to respond to “innuendos” and
invites “people” to “fact-check.” Doc. no. 1-3, ¶ 41. Although Pennsylvania case law is clear
that a plaintiff claiming defamation need not be specifically named in the defamatory statement,
the Florida Today Statement fails to even generally refer to the group of women who publicly
asserted their allegations of sexual misconduct against Defendant.
However, viewing this statement in a light most favorable to Plaintiff, given the timing of
this statement, the Court will assume, arguendo, that Defendant was referring to Plaintiff’s and
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other women’s accusations as “innuendos,” and was encouraging the public to “fact-check” the
claims of these women. This is a far cry from labelling Plaintiff (and the other women who have
made similar public assertions) as liars or extortionists.
Pennsylvania law requires that Defendant’s words have the general tendency to cause
harm to Plaintiff’s reputation. It is not sufficient if the words are merely embarrassing or
annoying to Plaintiff. The words uttered by Defendant, and made public in his Florida Today
Statement, which invite the public to conduct its own investigation and draw its own conclusions
about the “innuendos,” i.e., the alleged sexual misconduct of Defendant, do not have the general
tendency to cause harm to anyone’s reputation and, thus, do not rise to the level of defamatory
comments.
c. The Camille Cosby Statement
Finally, the Camille Cosby Statement fails to meet Pennsylvania’s legal requirements
necessary to assert a claim for defamation. The majority of this statement expresses the
speaker’s opinion that the media outlets violated their own code of journalistic integrity by
publishing Plaintiff’s (and the other women’s) accounts of the alleged sexual abuse without
“vetting” these accusers. This statement targets the media as much, and arguably more so, than
the accusers, by claiming that the media failed to properly source or “vet” Plaintiff’s and the
other women’s stories before publishing them. The accusation made by Camille Cosby appears
to target the media for failing to get a second source before printing Plaintiff’s, and/or other
women’s very serious accusations regarding Defendant.6
6 Even assuming that the “vetting” referred to Plaintiff herself, and not Plaintiff’s “story,” the Camille
Cosby Statement suggests that the media did not do its job of investigating Plaintiff prior to publishing
Plaintiff’s account of the alleged sexual abuse. Even construed in a light most favorable to Plaintiff, the
Camille Cosby Statement does not infer that there is some undisclosed fact or facts about this specific
Plaintiff which Camille Cosby herself knew. Moreover, although Plaintiff has pled that Camille Cosby
was Defendant’s business manager, and claims that Camille Cosby’s statements could be attributable to
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In addition, the timing of this statement is further removed from the timing of Plaintiff’s
own accusations. This Court does not find that this Statement could be read to infer that Plaintiff
is a liar or an extortionist and it does not possess the general tendency to cause harm to Plaintiff’s
reputation. Thus, this Statement fails to support a claim for defamation.
d. All Three Statements Together
Finally, Plaintiff’s Brief in Opposition to the Motion to Dismiss contends that the sum of
the three statements “share a common thread of relying on undisclosed, defamatory facts to
support the assertions each statement makes.” Plaintiff contends that “[i]f it is reasonable to
infer from the statements that Defendant was actively and knowingly calling Plaintiff a liar and
an extortionist, than [sic] the statements are capable of defamatory meaning.” Doc. no. 11, p. 7.
Even considering these three statements together as a combined, single statement, this newly
“conjoined” statement does not lead to an inference that Plaintiff is a “liar and an extortionist.”
Accordingly, Defendant’s Motion to Dismiss Plaintiff’s claim for defamation will be granted.
B. False Light
Under Pennsylvania law, a claim for false light is one of four torts which can support a
claim for invasion of privacy. Santillo v. Reed, 634 A.2d 264 (Pa. Super. 1993). To establish a
false light invasion of privacy claim, Pennsylvania law requires a plaintiff to show that a highly
offensive false statement was publicized by a defendant with knowledge or in reckless disregard
of the falsity. Id., citing, Neish v. Beaver Newspapers, Inc., 581 A.2d 619, 624 (Pa. Super.
1990), alloc. den., 593 A.2d 421 (Pa. 1991).
Defendant, this is a legal conclusion which Plaintiff draws with no factual support. Thus, even if the
Camille Cosby Statement could be read to infer that Camille Cosby had undisclosed defamatory facts
related to this specific Plaintiff, the Court has no basis upon which it can legally conclude that this
Statement can be attributed to Defendant or was authorized by him.
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Pennsylvania Courts have relied upon the Restatement (Second) of Torts § 652E for
distinguishing a false light claim from a defamation claim. Comment “b.” to this Section of the
Restatement reads as follows:
b. Relation to defamation. The interest protected by this Section is
the interest of the individual in not being made to appear before the public
in an objectionable false light or false position, or in other words,
otherwise than as he is. In many cases to which the rule stated here
applies, the publicity given to the plaintiff is defamatory, so that he would
have an action for libel or slander under the rules stated in Chapter 24. In
such a case the action for invasion of privacy will afford an alternative or
additional remedy, and the plaintiff can proceed upon either theory, or
both, although he can have but one recovery for a single instance of
publicity.
It is not, however, necessary to the action for invasion of privacy
that the plaintiff be defamed. It is enough that he is given unreasonable
and highly objectionable publicity that attributes to him characteristics,
conduct or beliefs that are false, and so is placed before the public in a
false position. When this is the case and the matter attributed to the
plaintiff is not defamatory, the rule here stated affords a different remedy,
not available in an action for defamation.
Restatement (Second) of Torts § 652E, comment b. Comment “c.” defines the term
“highly offensive” in this manner:
c. Highly offensive to a reasonable person. The rule stated in this
Section applies only when the publicity given to the plaintiff has placed
him in a false light before the public, of a kind that would be highly
offensive to a reasonable person. In other words, it applies only when the
defendant knows that the plaintiff, as a reasonable man, would be justified
in the eyes of the community in feeling seriously offended and aggrieved
by the publicity. Complete and perfect accuracy in published reports
concerning any individual is seldom attainable by any reasonable effort,
and most minor errors, such as a wrong address for his home, or a mistake
in the date when he entered his employment or similar unimportant details
of his career, would not in the absence of special circumstances give any
serious offense to a reasonable person. The plaintiff's privacy is not
invaded when the unimportant false statements are made, even when they
are made deliberately. It is only when there is such a major
misrepresentation of his character, history, activities or beliefs that serious
offense may reasonably be expected to be taken by a reasonable man in
his position, that there is a cause of action for invasion of privacy.
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Restatement (Second) of Torts § 652E, comment c.
In the instant case, none of the three statements described above can be said to be “highly
offensive” as that term is defined. Plaintiff’s Complaint asserts that the three statements were
“highly offensive” (see doc. no. 1-3, ¶ 58), but this is a legal conclusion. The Complaint is
otherwise devoid of any facts which support Plaintiff’s legal conclusion that the three statements
are “highly offensive.”
Moreover, none of the three statements specifically malign Plaintiff individually. Even if
Plaintiff need not be specifically named in the statement which forms the basis for a false light
claim (as is true for a defamation claim) in order to prove that the statement cast her in a false
light, Plaintiff must still show that the conduct was “highly offensive” to her, as a reasonable
person. None of the three statements provide a factual basis upon which this Court could find
that “serious offense” could reasonably have been expected to be taken by a reasonable person in
Plaintiff’s position. As such, Plaintiff’s allegations set forth in her Complaint fall short of
providing a basis for her claim for false light, and thus, the Motion to Dismiss Plaintiff’s false
light claim will be granted.
C. Intentional Infliction of Emotional Distress
The Superior Court of Pennsylvania in Britt v. Chestnut Hill Coll. held as follows:
Intentional infliction of emotional distress is defined in the Restatement
(Second) of Torts as follows:
One who by extreme and outrageous conduct intentionally or
recklessly causes severe emotional distress to another is subject to
liability for such emotional distress, and if bodily harm to the other
results from it, for such bodily harm.
Restatement (Second) of Torts, § 46(1).
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In addition to requiring that a plaintiff establish that the conduct
complained of was outrageous, the Pennsylvania Supreme Court has
required that the plaintiff present competent medical evidence to support
the claim. In Kazatsky v. King David Memorial Park, 515 Pa. 183, 527
A.2d 988 (1987), our supreme court affirmed this court’s order sustaining
a compulsory nonsuit for a claim of intentional infliction of emotional
distress. Initially, the court noted that while it had previously
acknowledged Section 46, it had never “had occasion to specifically adopt
section 46 as the law in Pennsylvania”. Id. With that in mind, the court
ultimately held that “if section 46 of the Restatement is to be accepted in
this Commonwealth, at the very least, existence of the alleged emotional
distress must be supported by competent medical evidence.” Kazatsky,
515 Pa. at 197, 527 A.2d at 988 (1987). Applying that standard to the
facts before it, the supreme court sustained the compulsory nonsuit
because the record revealed that neither appellant had sought medical
treatment and that they failed to support their claim with competent
medical evidence.
Britt, 632 A.2d 557, 561 (Pa. Super. 1993). The Supreme Court of Pennsylvania has held that in
order to sustain a claim for intentional infliction of emotional distress, a plaintiff must allege that
the defendant “has acted with intent which is tortious or even criminal, or that he had intended to
inflict emotional distress, or even that his conduct has been characterized by ‘malice,’ or a
degree of aggravation that would entitle the plaintiff to punitive damages for another tort.” Hoy
v. Angelone, 720 A.2d 745 (Pa. 1998).
Turning to the facts of this case, Plaintiff’s claim for intentional infliction of emotional
distress (“IIED”) turns on the alleged facts that Defendant drugged her, sexually abused and
raped her, and then called her a “liar and extortionist” after she publicly disclosed what he had
allegedly done to her. Doc. no. 1-3, ¶¶ 65-66. The three statements referenced in the
Complaint, only one of which was uttered by Defendant himself, form the basis of her IIED
claim. Two of these statements – the Martin Singer Statement and the Camille Cosby Statement
– were not made by Defendant, the alleged attacker. Even assuming those two statements could
be attributable to Defendant, through his agents – his attorney and wife – these three statements
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would have to expressly and/or impliedly deny that Defendant sexually abused and raped
Plaintiff.
While none of the three statements go so far as to expressly deny that Defendant sexually
abused and raped Plaintiff, read in a light most favorable to Plaintiff, this Court will consider
whether they impliedly deny that Defendant did so. Assuming, arguendo, that the statements
deny Defendant sexually abused and raped Plaintiff, the question next becomes whether that
language so outrageous, atrocious, and contemptable that those statements could give rise to an
IIED claim. The Court finds that the language does not rise to the level of outrage necessary to
sustain an IIED claim under Pennsylvania law.
In addition, the Court notes – as do both Plaintiff and Defendant in their respective briefs
– that no Pennsylvania case law exists upholding an IIED claim which has been predicated upon
defamatory language. See doc. no. 4, p. 14 and doc. no. 11, p. 14. Plaintiff argues that simply
because Pennsylvania has not yet allowed such a cause of action, it has not prohibited one either.
Doc. no. 11, p. 14. This Court takes no position on what Pennsylvania Courts may or may
choose not do with respect to any future IIED claim predicated on an alleged defamatory
statement(s). However, this Court does not find that the type of denials published in the three
statements rise to the level of atrocious conduct necessary to preserve an IIED claim under
Pennsylvania law. Without any legal support suggesting that an IIED claim can be predicated
upon alleged defamatory language, and after concluding as a matter of law that the language
itself is not defamatory, this Court must dismiss Plaintiff’s IIED claim.
III. Conclusion
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As explained in detail above, each of the three claims asserted by Plaintiff will be
dismissed. Each of the claims as asserted by Plaintiff in her Complaint fails as a matter of law.
Even assuming the veracity of all that Plaintiff has pled here, the three statements do not support
a claim for defamation as defined by Pennsylvania law. Likewise, the Plaintiff’s Complaint fails
to establish viable claims for false light or intentional infliction of emotional distress as those
torts are defined by Pennsylvania law.
Typically, the Court allows a plaintiff to amend a Complaint that is legally deficient
unless doing so would be futile. See In re Burlington Coat Factory Sec. Litig., 114 F.3d 1410,
1434 (3d Cir.1997) (“ . . . a district court may exercise its discretion and deny leave to amend on
the basis of . . . futility.”). Given the state of the law on this matter, as will be discussed in
greater detail below, any amendment would be futile, and thus Defendant’s Motion to Dismiss
will be granted with prejudice.
The Complaint in this case is very detailed and complete, drafted by experienced counsel.
The three complained-of Statements are set forth in great detail. An Amended Complaint could
not add anything to these three Statements. The Court is confident that if counsel for Plaintiff
had additional complained-of statements, those additional statements would have been made part
of the Complaint.
Accordingly, the Court finds that allowing Plaintiff time to amend her Complaint would
be futile, and thus, the Court will grant Defendant’s Motion and dismiss this case with prejudice.
An appropriate Order shall follow.
s/Arthur J. Schwab
Arthur J. Schwab
United States District Judge
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cc: All Registered ECF Counsel and Parties
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United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAIINTIFF, VIRGINIA L. GIUFFRE’S RESPONSE
TO DEFENDANT’S NOTICE OF SUPPLEMENTAL AUTHORITY
In response to Defendant’s Notice of Supplemental Authority [D.E. # 29], Plaintiff
Virginia L. Giuffre, by and through her undersigned counsel, respectfully states as follows:
As recounted by Defendant’s Notice of Supplemental Authority, the Hill Court found that
Cosby’s statements were not defamatory because they did not “lead to an inference that Plaintiff
is a ‘liar and an extortionist.’” In vivid contrast, Maxwell called Ms. Giuffre’s assertions of
sexual abuse “obvious lies.” It is axiomatic that a person telling “obvious lies” is a liar, and,
therefore, the reasoning employed by the Hill court is inapplicable to the statements made by
Maxwell.
Dated January 25, 2015
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Case 1:15-cv-07433-RWS Document 30 Filed 01/25/16 Page 1 of 3
2
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 30 Filed 01/25/16 Page 2 of 3
3
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on January 25, 2016, I electronically filed the foregoing document
with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing document is
being served this day on the individuals identified below via transmission of Notices of Electronic
Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 30 Filed 01/25/16 Page 3 of 3
IN THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF NEW YORK
)
)
USA / Plaintiff(s) )
)
v. ) Case No.:
)
)
)
Defendant(s) )
)
)
NOTICE OF FILING OF OFFICIAL TRANSCRIPT
Notice is hereby given that an official transcript of a proceeding type held on date
proceeding held has been filed by the court reporter/transcriber in the above-captioned matter.
Redaction responsibilities apply to the attorneys of record or pro se parties, even if the
person requesting the transcript is a judge or a member of the public or media.
The parties have seven (7) calendar days from the date of filing of this NOTICE to file
with the court any NOTICE OF INTENT TO REQUEST REDACTION of this transcript. A
copy of said NOTICE must also be served on the court reporter. If no such NOTICE is filed, the
transcript may be made remotely electronically available to the public without redaction after
ninety (90) calendar days.
This process may only be used to redact the following personal data identifiers: Social-
Security numbers; dates of birth; minors’ names; and financial account numbers. See Federal
Rule of Civil Procedure 5.2, and Federal Rule of Criminal Procedure 49.1. Parties wishing to
request redaction of other information may proceed by motion.
_________________________
Court Reporter
Date:
VIRGINIA L. GIUFFRE
GHISLAINE MAXWELL
15 CV 7433
/s MICHAEL MCDANIEL
Case 1:15-cv-07433-RWS Document 32 Filed 01/28/16 Page 1 of 1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAIINTIFF, VIRGINIA GIUFFRE’S MOTION TO COMPEL THE PRODUCTION OF
DOCUMENTS SUBJECT TO IMPROPER CLAIM OF PRIVILEGE
BOIES, SCHILLER & FLEXNER LLP
Sigrid McCawley (Admitted Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. LEGAL ARGUMENT ...........................................................................................................2
1. Legal Standard...............................................................................................................2
a. New York Privilege Law Controls. ......................................................................2
b. The Common Interest Privilege Does Not Apply. ...............................................3
2. No Privilege Attaches To Communications Between Maxwell And
Non-Attorneys. ..............................................................................................................6
a. Communications With Non-Attorney Jeffrey Epstein And
Non-Attorney Ross Gow. .....................................................................................6
b. Communications Among Maxwell, Non-Attorney Ross Gow,
And Attorneys. .....................................................................................................7
c. Communications Among Maxwell, Non-Attorney Mark Cohen,
And Attorney ........................................................................................................9
d. Communications Involving Maxwell And Brett Jaffe Or
Philip Barden ......................................................................................................10
3. Maxwell’s Privilege Log Descriptions Are Inadequate. .............................................12
CONCLUSION .............................................................................................................................14
ii
TABLE OF AUTHORITIES
Page
Cases
Allied Irish Banks v. Bank of Am., N.A.,
240 F.R.D. 96 (S.D.N.Y. 2007)...............................................................................................2, 3
Aurora Loan Servs., Inc. v. Posner, Posner & Assocs., P.C.,
499 F. Supp. 2d 475 (S.D.N.Y. 2007) .......................................................................................12
Browne of N.Y.C., Inc. v. AmBase Corp.,
150 F.R.D. 465 (S.D.N.Y. 1993).................................................................................................3
Century Indem. Co. v. Brooklyn Union Gas Co.,
22 Misc. 3d 1109(A), 880 N.Y.S. 2d 222 (Sup. Ct. 2008)........................................................11
Chevron Corp. v. Donziger
296 F.R.D. 168 (S.D.N.Y. 2013).......................................................................................4, 6, 13
Delta Fin. Corp. v. Morrison,
13 Misc. 3d 442, 820 N.Y.S. 2d 745 (Sup. Ct. 2006)..................................................................3
Dixon v. 80 Pine St. Corp.,
516 F. 2d 1278 (2d Cir. 1975) .....................................................................................................2
Egiazaryan v. Zalmayev,
290 F.R.D. 421 (S.D.N.Y. 2013)........................................................................................passim
Fine v. Facet Aerospace Prod. Co.,
133 F.R.D. 439 (S.D.N.Y. 1990) ..............................................................................................11
Finkelman v. Klaus,
2007 WL 4303538 (N.Y.Sup. Ct. Nov. 28, 2007)...................................................................6, 7
Grinnell Corp. v. ITT Corp.
222 F.R.D. 74 (S.D.N.Y. 2003).................................................................................................13
In re Grand Jury Subpoena Duces Tecum Served Upon Shargel,
742 F.2d 61 (2d Cir. 1984) ........................................................................................................10
In re Nassau Cnty. Grand Jury Subpoena Duces Tecum Dated June 24, 2003,
4 N.Y. 3d 665, 797 N.Y.S. 2d 790, 830 N.E. 2d 1118 ................................................................2
In re Rivastigmine II Patent Litig.,
237 F.R.D. 69 (S.D.N.Y. 2006)...................................................................................................7
iii
Klein, Varble & Associates, P.C. v. DeCrescenzo,
39 Misc. 3d 1240(A), 975 N.Y.S. 2d 366 (Sup. Ct. 2013)......................................................7, 9
Nance v. Thompson Med. Co.,
173 F.R.D. 178 (E.D. Tex. 1997) ................................................................................................8
NXIVM Corp. v. O'Hara,
241 F.R.D. 109 (N.D.N.Y. 2007) ................................................................................................8
Pem-Am, Inc. v. Sunham Home Fashions, LLC,
No. 03 CIV. 1377JFKRLE, 2007 WL 3226156 (S.D.N.Y. Oct. 31, 2007).................................4
People v. Mitchell,
58 N.Y.2d 368, 461 N.Y.S. 2d 267, 448 N.E.2d 121 (1983) ......................................................3
Safeco Ins. Co. of America v. M.E.S., Inc.,
No. 09-CV-3312, 2013 WL 1680684 (E.D.N.Y. Apr. 17, 2013)..............................................13
Sarfati v. Bertino,
24 Misc. 3d 133(A), 890 N.Y.S.2d 371 (App. Term 2009) ......................................................10
S.E.C. v. Yorkville Advisors, LLC,
300 F.R.D. 152 (S.D.N.Y. 2014).....................................................................................1, 12, 13
Stenovich v. Wachtell, Lipton, Rosen & Katz
195 Misc. 2d 99, 756 N.Y.S. 2d 376 (Sup. Ct. 2003)................................................................11
United States v. Ackert,
169 F.3d 136 (2d Cir. 1999) ........................................................................................................9
United States v. Bilzerian,
926 F.2d 1285 (2d Cir. 1991) ....................................................................................................11
Von Bulow by Auersperg v. Von Bulow,
811 F. 2d 136 (2d Cir. 1987), 481 U.S. 1015, 107 S.Ct. 1891, 95 L.Ed. 2d 498 (1987) ............3
Statutes
Fed. R. Civ. P. 26 ..........................................................................................................................15
1
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submits
this Motion to Compel Production of Documents Subject to Improper Claim of Attorney-Client
Privilege and Common Interest Privilege. For the reasons set forth below, this Court should grant
Plaintiff’s Motion in its entirety.
I. PRELIMINARY STATEMENT
Defendant Maxwell asserts improper claims of attorney-client privilege and common
interest in her privilege log in a wrongful attempt to withhold responsive documents from
discovery. See Declaration of Sigrid McCawley (“McCawley Decl.”) at Exhibit 1, Maxwell’s
Privilege Log1. The documents at issue include communications solely between Maxwell and
other non-attorneys, and communications between Maxwell and an attorney in which third
parties are present, waiving the privilege. New York privilege law does not recognize such
communications as being privileged in any way. To the contrary, New York state and federal
courts require that such communications be produced.
In addition, Maxwell has failed to furnish an adequate privilege log, making it impossible
for Plaintiff to assess the propriety of the privilege claims, and that is grounds for rejecting a
claim of privilege, as discussed below. S.E.C. v. Yorkville Advisors, LLC, 300 F.R.D. 152, 164
(S.D.N.Y. 2014).
Finally, Ms. Maxwell’s privilege log states that she is withholding documents “pursuant
to British law” and Colorado law. However, British law and Colorado law do not apply to this
case, as Maxwell has already conceded. New York law applies to this case. See Defendant
Ghislaine Maxwell’s Memorandum of Law In Support of Motion to Dismiss [D.E. 15]
(“Maxwell MTD”) at 7. (“Here, because Ms. Maxwell is a resident of New York, and one of the
purported statements was made in New York, this state has arguably a more substantial
1 The number of each log entry has been added for ease of reference in this Motion.
2
relationship to the alleged tort . . . For these reasons, Ms. Maxwell asks the Court to apply New
York law . . .”). Accordingly, the privileges she claims must be under New York law, and all
other claims of purported privilege are invalid.
II. LEGAL ARGUMENT
1. Legal Standard
a. New York Privilege Law Controls
New York law governs the analysis of attorney-client privilege claims in this diversity
action arising out of New York law.2 See Allied Irish Banks v. Bank of Am., N.A., 240 F.R.D. 96,
102 (S.D.N.Y. 2007) (“Because this Court's subject matter jurisdiction is based upon diversity . .
. state law provides the rule of decision concerning the claim of attorney-client privilege”),
citing Fed.R.Evid. 501; Dixon v. 80 Pine St. Corp., 516 F.2d 1278, 1280 (2d Cir.1975). The
privilege laws of any other jurisdiction, including Colorado and the United Kingdom, do not
apply to Ms. Maxwell’s documents.
New York's statutory codification of the attorney-client privilege provides as follows: “an
attorney or his or her employee, or any person who obtains without the knowledge of the client
evidence of a confidential communication made between the attorney or his or her employee and
the client in the course of professional employment, shall not disclose, or be allowed to disclose
such communication, nor shall the client be compelled to disclose such communication ....” N.Y.
C.P.L.R. § 4503(a)(1).
“The attorney-client privilege protects confidential communications between a lawyer
and client relating to legal advice sought by the client.” In re Nassau Cnty. Grand Jury Subpoena
Duces Tecum Dated June 24, 2003, 4 N.Y.3d 665, 678, 797 N.Y.S.2d 790, 830 N.E.2d 1118
2 In the Motion to Dismiss, Maxwell does not dispute that NY law applies. See D.E. 15, Maxwell MTD
at 7.
3
(2005) (citing Priest v. Hennessy, 51 N.Y.2d 62, 68–69, 431 N.Y.S.2d 511, 409 N.E.2d 983
(1980)) (additional citation omitted). For the privilege to apply, the communication itself must
be “primarily or predominantly of a legal character.” Delta Fin. Corp. v. Morrison, 13 Misc. 3d
441, 444, 820 N.Y.S.2d 745, 748 (Sup. Ct. 2006) “The critical inquiry is whether, viewing the
lawyer's communication in its full content and context, it was made in order to render legal
advice or services to the client.” Allied Irish Banks, 240 F.R.D. at 103 (2007) (finding that party
had not met its burden showing the applicability of the attorney-client privilege nor met its
burden showing that any privilege has not been waived).
The party asserting privilege carries the burden to prove every element of the privilege.
People v. Mitchell, 58 N.Y.2d 368, 373, 461 N.Y.S.2d 267, 448 N.E.2d 121 (1983). The party
asserting privilege also has the burden to establish that there has been no waiver. Egiazaryan v.
Zalmayev, 290 F.R.D. 421, 428 (S.D.N.Y. 2013). Such showings must be based on competent
evidence, usually through affidavits, deposition testimony, or other admissible evidence. See Von
Bulow by Auersperg v. Von Bulow, 811 F.2d 136, 147 (2d Cir.), cert. denied, 481 U.S. 1015, 107
S.Ct. 1891, 95 L.Ed.2d 498 (1987); Bowne of N.Y.C., Inc. v. AmBase Corp., 150 F.R.D. 465, 472
(S.D.N.Y.1993). Egiazaryan v. Zalmayev, 290 F.R.D. 421, 428 (S.D.N.Y. 2013)
b. The Common Interest Privilege Dose Not Apply
Maxwell asserts a “common interest” privilege in entries 6, 7, 11, 14, 15, 19, and 20, but
on their face, as Maxwell herself describes them, these entries do not qualify for this privilege
because no attorney is involved in the communications. The common interest privilege also fails
for entry 16 because Ms. Maxwell fails to satisfy her burden in making such a claim.
“New York courts applying the common interest rule to civil proceedings have often
looked to federal case law for guidance.” Egiazaryan, 290 F.R.D. at 433. “The common interest
4
rule is an extension of the attorney-client privilege and not an independent basis for privilege.”
Pem-Am., Inc. v. Sunham Home Fashions, LLC, No. 03 CIV. 1377JFKRLE, 2007 WL 3226156,
at *2 (S.D.N.Y. Oct. 31, 2007). “In order for a communication to be privileged within the
common interest rule, it . . . must still meet the requirements of a privileged attorney-client
communication.” Id. (Emphasis added).
“[T]he so-called joint defense privilege or common interest rule . . . serves to protect the
confidentiality of communications passing from one party to the attorney for another party
where a joint defense effort or strategy has been decided upon and undertaken by the parties and
their respective counsel.” Chevron Corp. v. Donziger, 296 F.R.D. 168, 203 (S.D.N.Y. 2013)
(internal quotation marks omitted) (emphasis added). “A party asserting it first must establish
that the documents purportedly subject to the rule are in fact attorney-client communications
subject to the attorney-client privilege.” Id. Further:
[a]s in all claims of privilege arising out of the attorney-client relationship, a claim
resting on the common interest rule requires a showing that the communication in
question was given in confidence and that the client reasonably understood it to be so
given. And once the party claiming common interest privilege has established that the
documents in question are subject to the attorney-client privilege, it must further show
that (1) it shares a common legal interest with the party with whom the documents or
information were shared, and (2) the statements for which protection is sought were
designed to further that interest.
Id. (internal quotes omitted, emphasis added). The “joint defense” or “common interest”
privilege does not protect any of the documents for which Ms. Maxwell invokes the privilege.
The “common interest” or “joint defense” privilege can only be invoked when at least
one attorney for one of the parties is present for the communication. Egiazaryan v. Zalmayev,
290 F.R.D. 421, 434 (S.D.N.Y. 2013) (“communications are protected where there is a
disclosure by A to the attorney representing B and vice-versa”). Therefore, Maxwell’s
5
communications with other parties, outside the presence of counsel for either party, does not
come under the common interest or joint defense privilege under New York law, and Maxwell
must produce these communications.
Despite there being no attorney involved in the communications, Maxwell asserts the
common interest privilege in all her communications with convicted pedophile Jeffrey Epstein.
See entries 6, 7, 11, 14, 15, 19, and 20, Maxwell Privilege Log. In addition to the reasons above,
this assertion also fails because “[t]he common interest rule does not apply merely because two
parties share the same attorney or because one party has an interest in a litigation involving
another party. Rather, ‘[t]here must be a substantial showing by parties attempting to invoke the
protections of the privilege of the need for a common defense as opposed to the mere existence
of a common problem.’ Finkelman v. Klaus, 2007 WL 4303538, at *4 (N.Y.Sup.Ct. Nov. 28,
2007).” Egiazaryan v. Zalmayev, 290 F.R.D. at 434. To be sure, Ms. Maxwell and Jeffrey
Epstein share a common problem: they both trafficked an underage girl for prostitution.
However, Ms. Maxwell has offered no proof of a common interest under the applicable law
between herself and Epstein that would satisfy this doctrine, a doctrine which cannot be invoked
anyway, due to the absence of the attorney-client privilege for these non-attorney
communications.
The remaining document that purports to be covered by the “common interest” privilege,
entry 16, is an email communication between Philip Barden, Esq. and Martin Weinberg, Esq.
This assertion of privilege also fails. Ms. Maxwell has made no showing whatsoever that any
“common interest” exists between Barden and Weinberg; she doesn’t even identify who they are
or what clients they represent. Therefore, this communication does not fall within that privilege.
6
Furthermore, the burden of establishing that a “common interest” privilege applies
always rests upon the person asserting it. Chevron Corp. v. Donziger, 296 F.R.D. 168, 203
(S.D.N.Y. 2013). This showing must be made on a document-by-document basis, and based on
competent evidence, usually through the admission of affidavits, deposition testimony or other
admissible evidence. Id. Ms. Maxwell has put forth no evidence or argument that there exists a
joint defense agreement between the parties represented by Mr. Barden and Mr. Weinberg;
therefore, Maxwell has not met her burden in establishing that a “joint defense” agreement even
exists.
For the foregoing reasons, Ms. Maxwell should produce entries 6, 7, 11, 14, 15, 16, 19,
and 20 because she cannot, as a matter of law, show that the common interest privilege exist as
to entries 6, 7, 11, 14, 15, 19, and 20, and she has failed to satisfy her burden to make any
showing that there exists a common interest agreement that would protect entry number 16.
2. No Privilege Attaches to Communications Between Maxwell and Non-
Attorneys
a. Communications with Non-Attorney Jeffrey Epstein and Non-Attorney
Ross Gow3
Maxwell wrongly asserts a “common interest” privilege for communications with
convicted pedophile Jeffrey Epstein in entries 6, 7, 11, 14, 15, 19, 20, and with Ross Gow in
entries 3, 4, and 5. As discussed above, no privilege can attach because no legal advice was
sought or rendered among these three non-attorneys. Moreover, neither billionaire Epstein nor
Ms. Maxwell is a legal professional, paralegal, or part of a related trade, nor are they directly
supervised by an attorney. Therefore, the communications made among each other are not
covered by any privilege that attaches to the communications to those acting “under the authority
3 Ms. Maxwell’s communications with Gow are key documents in this case, as the sole claim concerns
Ms. Maxwell defaming Ms. Giuffre in the press, yet Maxwell has arbitrarily refused to produce this
highly relevant discovery.
7
or control of an attorney.” See, e.g., In re Rivastigmine II, 237 F.R.D. 69, 82 (S.D.N.Y. 2006).
Even if legal advice was being discussed back and forth among those non-attorneys, such
communications still would not fall under the ambit of attorney-client privilege (or, derivatively,
common interest privilege) under New York law. See Finkelman v. Klaus, 17 Misc. 3d 1138(A),
856 N.Y.S.2d 23 (Sup. Ct. 2007) (“[The attorney-client privilege] does not, however, cover
communications between a non-lawyer and a client that involve the conveyance of legal advice
offered by the non-attorney, except perhaps when the non-lawyer is acting under the supervision
or the direction of an attorney.”). Accordingly, there is no mechanism that would attach any
privilege to the communications between Ms. Maxwell and Jeffrey Epstein and between Ms.
Maxwell and Ross Gow.
b. Communications among Maxwell, Non-Attorney Ross Gow, and
Attorneys
Ms. Maxwell wrongly asserts attorney-client privilege for communications among her
press agent and attorneys in entries 8, 10, 12, 13, and 18. This also fails. Under New York law,
coordination of a media campaign among counsel and a public relations firm is not “legal
advice” subject to attorney-client privilege. See Egiazaryan v. Zalmayev, 290 F.R.D. 421, 431
(S.D.N.Y. 2013) (finding waiver of attorney-client privilege when the public relations firm
participated in attorney-client communications: “[the party] has not shown that [the public
relation’s firm’s] involvement was necessary to facilitate communications between himself and
his counsel, as in the case of a translator or an accountant clarifying communications between an
attorney and client”).4
4 “It is settled that communications made between a client and lawyer in the presence of a third party are
not privileged.” Klein, Varble & Associates, P.C. v. DeCrescenzo, 39 Misc. 3d 1240(A), 975 N.Y.S.2d
366 (Sup. Ct. 2013) aff'd as modified, 119 A.D.3d 655, 988 N.Y.S.2d 897 (2014).
8
The Egiazaryan court explained: “[the public relations firm] was not competent to act as
[the party’s] attorney and the mere fact that it was inserted into the legal decisionmaking process
does nothing to explain why [the public relation’s firm’s] involvement was necessary to [the
party’s] obtaining legal advice from his actual attorneys. Instead, it simply demonstrates the
circumstances under which the waiver occurred.” Id. See also NXIVM Corp. v. O'Hara, 241
F.R.D. 109, 141 (N.D.N.Y. 2007) (agency exception to the attorney-client privilege is
inapplicable under New York law to communications with a public relations firm “providing
ordinary public relations advice and assist[ing] counsel in assessing the probable public reaction
to various strategic alternatives”) (citation and internal quotation marks omitted); Nance v.
Thompson Med. Co., 173 F.R.D. 178, 182–83 (E.D.Tex. 1997) (waiver of attorney-client
privilege occurred under New York law when otherwise privileged documents were shared with
a public relations firm).
Ross Gow is a public relations professional. He is a managing partner at ACUITY
Reputation in London, a public relations firm.5 ACUITY Reputation does not provide legal
advice, but instead helps clients “manage reputation and forge opinion through Public Relations,
strategic communications and high-level networking.”6 Ms. Maxwell has made no representation
or showing that Gow was “called upon to perform a specific litigation task that the attorneys
needed to accomplish in order to advance their litigation goals - let alone a task that could be
characterized as relating to the “‘administration of justice.’” Egiazaryan, 290 F.R.D. at 432.
Rather, Ross Gow “was involved in . . . public relations activities aimed at burnishing” Ms.
Maxwell’s image. Id.
5 Upon information and belief, Ross Gow’s LinkedIn profile, detailing his profession, See McCawley
Decl. at Exhibit 2.
6 ACUITY Reputation website at: http://acuityreputation.com/
9
Therefore, any attorney-client privilege that may, have attached to her communications
with attorneys Jaffe and Barden7, was waived through their disclosure to the third-party public
relations professional because there has been no showing that Gow’s involvement was necessary
to facilitate communications between Ms. Maxwell and attorneys Jaffe and Barden. See
Egiazaryan, 290 F.R.D. at 433. In fact, such a showing would be impossible for Ms. Maxwell to
make under existing case law. There are no foreign language barriers or complex technical
jargon barriers between Maxwell and her counsel that would require a public relations
professional to act as an intermediary to translate the communications between attorney and
client.8 Gow is merely a public relations professional, working at a public relations firm, who
issued a statement to the press on behalf of Ms. Maxwell. Accordingly, Maxwell’s claims of
attorney-client privilege for entries 8, 10, 12, 13, and 18 fail.
c. The Communication among Maxwell, Not-Attorney Mark Cohen, and
Attorney
As stated above, “[i]t is settled that communications made between a client and lawyer in
the presence of a third party are not privileged.” Klein, Varble & Associates, P.C. v.
DeCrescenzo, 39 Misc. 3d 1240(A), 975 N.Y.S.2d 366 (Sup. Ct. 2013) aff'd as modified, 119
A.D.3d 655, 988 N.Y.S.2d 897 (2014). The communication between Ms. Maxwell and Philip
Barden, Esq. was in the presence of third party, non-attorney Mark Cohen. Therefore, Ms.
Maxwell’s claim of attorney-client privilege fails, and she must produce entry 17.
7 Ms. Maxwell has not met her burden to demonstrate that any attorney-client privilege attaches to her
communications with Jaffe and Barden. Indeed, she has not even alleged that they represent her.
8 “[A] communication between an attorney and a third party does not become shielded by the attorneyclient
privilege solely because the communication proves important to the attorney's ability to represent
the client.” United States v. Ackert, 169 F.3d 136, 140 (2d Cir.1999).
10
d. Communications Involving Maxwell and Brett Jaffe or Philip Barden
Maxwell has not carried out her burden of establishing that the attorney-client privilege
attaches to the communications with Brett Jaffe, Esq. or Philip Barden, Esq. First, she has not
even claimed that she has an attorney-client relationship with either Jaffe or Barden. Second, she
has not claimed that the communications were seeking legal advice or receiving legal advice, as
her “descriptions” are wholly inadequate, as discussed below. Every one of them simply states:
“Communication re: legal advice.” This is the same, rote description she gives even to her
emails with non-lawyers.
As this Court is aware, not all communications with an attorney are privileged. The
attorney-client privilege only encompasses confidential communications necessary to obtain
informed legal advice and advocacy. See In re Grand Jury Subpoena Duces Tecum Served Upon
Shargel, 742 F.2d 61, 62 (2d Cir.1984). Indeed, “[a] communication which has no direct
relevance to the legal advice to be given, unlike a communication which relates to the subject
matter of the attorney's professional employment, is a collateral matter, which is not privileged.”
Sarfati v. Bertino, 24 Misc. 3d 133(A), 890 N.Y.S.2d 371 (App. Term 2009).
The attorney-client privilege is also narrowly interpreted: “[s]ince the privilege prevents
disclosure of relevant evidence and thus impedes the quest for truth, ... it must ‘be strictly
confined within the narrowest possible limits consistent with the logic of its principle.” ’ See In
re Shargel, 742 F.2d at 62 . (quoting 8 J. WIGMORE, EVIDENCE § 2291 (McNaughton rev.
ed.1961)).
That Gow, a public relations professional, was involved in so many of the
communications with Jaffe and Barden, creates a presumption that these communications
focused on public relations matters, and were not centered on giving legal advice. The attorney11
client privilege “does not extend to business advice, even if provided by an attorney.” Stenovich
v. Wachtell, Lipton, Rosen & Katz, 195 Misc. 2d 99, 106-07, 756 N.Y.S.2d 367, 376 (Sup. Ct.
2003), citing Fine v. Facet Aerospace Prod. Co., 133 F.R.D. 439, 444 (S.D.N.Y.1990). By the
same principle, public relations advice, even if given by an attorney, is not privileged. For the
foregoing reasons, Maxwell has not met her burden to show that these communications are
privileged.
Finally, this Court should note that in Defendant’s Initial Disclosures, she stated that
“Email correspondence between Philip Barden and Ghislaine Maxwell concerning the issuance
of statements to the press (March 2011 – January 2015)” are among the documents that “may be
used to support Defendant’s claim or defenses.” Despite this statement in her Rule 26
disclosures, Maxwell still wrongfully asserts attorney-client privilege for these documents.
This is more evidence that this defendant is attempting to impermissibly use the attorneyclient
privilege as a sword and a shield, as her disclosures reveal she intends to selectively use
these purportedly privileged documents to make her defense. New York law does not permit
self-serving, selective disclosure of privileged materials. “[P]rivilege is a shield and must not be
used as a sword. Where a party places the subject matter of a normally privileged communication
or document at issue, or, where invasion of the privilege is required to determine the validity of
the claim or defense and the application of the privilege would deprive the adversary of vital
information, fairness requires the finding of waiver.” Century Indem. Co. v. Brooklyn Union Gas
Co., 22 Misc. 3d 1109(A), 880 N.Y.S.2d 222 (Sup. Ct. 2008) (internal quotations and citations
omitted). See also United States v. Bilzerian, 926 F.2d 1285, 1292 (2d Cir. 1991) (“[T]he
attorney-client privilege cannot at once be used as a shield and a sword. … The privilege takes
flight if the relation is abused…. A defendant may not use the privilege to prejudice his
12
opponent's case or to disclose some selected communications for self-serving purposes. …Thus,
the privilege may implicitly be waived when defendant asserts a claim that in fairness requires
examination of protected communications.”) (internal quotations and citations omitted).
For all of the foregoing reasons, Ms. Maxwell should disclose these documents relevant
to entry numbers 1, 2, and 9.
3. Maxwell’s Privilege Log Descriptions Are Inadequate
“Failure to furnish an adequate privilege log is grounds for rejecting a claim of attorney
client privilege.” Aurora Loan Servs., Inc. v. Posner, Posner & Assocs., P.C., supra, 499
F.Supp.2d 475, 479 (S.D.N.Y. 2007). The information set forth in Maxwell’s log is too sparse to
comply with Federal Rule of Civil Procedure 26(b)(5) and Local Rule 26.2(a)(2)(B)'s
requirement that a party asserting privilege disclose information sufficient “to enable other
parties to assess the claim.” The limited “descriptions” on the privilege log make it impossible
for Plaintiffs to assess the propriety of the privilege claims.
Over, and over again, each and every entry on the Maxwell Privilege Log insufficiently
describes the subject matter of the communications as “Communication re: legal advice.” See
McCawley Decl. at Composite Exhibit 1. Maxwell, has failed to comply with Local Rule
26.2(a)(2)(B), which requires that “the general subject matter of the communication” be stated in
the privilege log. The “subject matter” is not stated; it does not even indicate the matter or
general topic upon which the purported attorney-client communication was made. Therefore,
there is no “basis to conclude that the document contains legal advice that reelects a client
confidence.” Yorkville Advisors, LLC, 300 F.R.D. at 164. With these unvarying and scanty
descriptions, there is no way to assess if the withheld documents do, in fact, contain privileged
material.
13
For example, in Chevron Corp. v. Donziger, the Court held that descriptions such as,
“Email concerning litigation status and strategy,” and “Email concerning litigation status and
strategy re Lago Agrio litigation” were inadequate. No. 11 CIV. 0691 LAK JCF, 2013 WL
4045326, at *2 (S.D.N.Y. Aug. 9, 2013). Yet even those brief descriptions, rejected by the
Chevron Court, are a surfeit of information and detail compared to Ms. Maxwell’s paltry, onesize-
fits-all “Communication re: legal advice.” Therefore, controlling precedent requires a
finding that the Maxwell Privilege Log is inadequate.9
Furthermore, the descriptions do not provide the titles or the roles of the authors and
recipients, which also makes this privilege log inadequate. See S.E.C. v. Yorkville Advisors, LLC,
300 F.R.D. 152, 164 (S.D.N.Y. 2014). For example, for claims of attorney-client privilege, Ms.
Maxwell does not even assert that individuals such as Brett Jaffe, Philip Barden, or Martin
Weinberg represent her, or that any attorney-client relationship exists between them.
Furthermore, there is no explanation as to how she could possibly claim an attorney-client
privilege with non-attorney Ross Gow and non-attorney Jeffrey Epstein, as discussed above.
For the foregoing reasons, Maxwell’s Privilege Log fails to provide the information
required by Federal Rule of Civil Procedure 26(b)(5) and Local Civil Rule 26.2(a)(2)(A), and it
does not provide sufficient information to support the privilege claims asserted therein.
Accordingly, this Court should find that Maxwell has waived her privilege claim for every entry
which describes the subject matter as “Communication re: legal advice,” or at the very least,
9 At the very least, the Court must conduct an in camera inspection of these documents to test the
propriety of a claim of privilege where no attorney is part of the communication and the privilege log
description does not provide adequate detail. See Grinnell Corp. v. ITT Corp., 222 F.R.D. 74, 78
(S.D.N.Y.2003) (examining privilege log as well as documents themselves in order to determine
applicability of the privilege); Safeco Ins. Co. of America v. M.E.S., Inc., No. 09–CV–3312, 2013 WL
1680684, at *4 (noting that “[i]n camera review is ‘a practice both long-standing and routine in cases
involving claims of privilege.’ ”) (quoting In re Grand Jury Subpoenas Dated Mar. 19, 2002 & Aug. 2,
2002, 318 F.3d 379, 386 (2d Cir.2003)).
14
require Maxwell to submit the documents in question for in camera review to determine whether
they are actually subject to any privilege claim.
CONCLUSION
For the foregoing reasons, this Court should order Ms. Maxwell to produce the
documents listed in her privilege log, or at the very least, conduct an in camera inspection to
determine whether or not these documents are privileged under applicable law.10
Dated: February 26, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
10 Ms. Maxwell’s Privilege Log is also incomplete because she has unilaterally, arbitrarily, and
wrongfully withheld production of responsive documents from a great portion of the Relevant Period, as
addressed in detail in Ms. Giuffre’s Motion to Compel the Production of Documents Subject to Improper
Objections. Accordingly, to the extent that Ms. Maxwell claims responsive documents from the remainder
of the Relevant Period are privileged, she must furnish a revised privilege log bearing description of those
documents as well.
15
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on February 26, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF
PLAINTIFF’S MOTION TO COMPEL THE PRODUCTION OF DOCUMENTS
SUBJECT TO IMPROPER CLAIM OF PRIVILEGE
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Motion to Compel Production of Documents Subject to Improper Claim of Privilege.
3. Attached hereto as Exhibit 1, is a true and correct copy of Defendant Ghislaine
Maxwell’s Privilege Log.
4. Attached hereto as Exhibit 2, is a true and correct copy of Ross Gow’s LinkedIn
profile.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
Case 1:15-cv-07433-RWS Document 34 Filed 02/26/16 Page 1 of 3
2
Dated: February 26, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 34 Filed 02/26/16 Page 2 of 3
3
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on February 26, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-RWS Document 34 Filed 02/26/16 Page 3 of 3
EXHIBIT 1
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 1 of 6
1
United States District Court
For The Southern District of New York
Giuffre v. Maxwell 15-
cv-07433-RWS
***Per Local Rule 26.2, the following privileges are asserted pursuant to British law, Colorado law and NY law.
TAB DATE DOC.
TYPE
FROM TO CC RELATIONSH
IP
OF PARTIES
SUBJECT
MATTER
PRIVILEGE
1. 2011.03.15 E-Mails Ghislaine
Maxwell
Brett Jaffe, Esq. Attorney /
Client
Communication
re: legal advice
Attorney-Client
2. 2011.03.15 E-Mails Brett Jaffe,
Esq.
Ghislaine Maxwell Attorney /
Client
Communication
re: legal advice
Attorney-Client
3. 2015.01.02 E-Mails Ross Gow Ghislaine Maxwell Attorney
Agent /
Client
Communication
re: legal advice
Attorney-Client
4. 2015.01.02 E-Mail Ghislaine
Maxwell
Ross Gow Attorney
Agent /
Communication
re: legal advice
Attorney-Client
5. 2015.01.02 E-Mail Ross Gow Ghislaine Maxwell Brian Basham Attorney
Agent /
Client
Communication
re: legal advice
Attorney-Client
6. 2015.01.06 E-Mail Ghislaine
Maxwell
Jeffrey Epstein Common
Interest
Communication
re: legal advice
Common Interest
7. 2015.01.06 E-Mail Ghislaine
Maxwell
Jeffrey Epstein,
Alan Dershowitz, Esq.
Attorney /
Client
Communication
re: legal advice
Common Interest
8. 2015.01.10 E-Mail Ghislaine
Maxwell
Philip Barden, Esq., Ross
Gow
Attorney /
Client
Communication
re: legal advice
Attorney-Client
9. 2015.01.10 E-Mail Ghislaine
Maxwell
Philip Barden, Esq. Client /
Attorney
Communication
re: legal advice
Attorney-Client
10. 2015.01.09
2015.01.10
E-Mails Ross Gow Philip Barden, Esq. G.
Maxwell
Agent /
Attorney /
Client
Communication
re: legal advice
Attorney-Client
11. 2015.01.11 E-Mail Ghislaine
Maxwell
Jeffrey Epstein Common
Interest
Communication
re: legal advice
Common Interest
12. 2015.01.11 E-Mail Philip Barden,
Esq.
Ross Gow G.
Maxwell
Attorney /
Agent / Client
Communication
re: legal advice
Attorney-Client
13. 2015.01.11 E-Mail Philip Barden,
Esq.
Ghislaine Maxwell Ross Gow Attorney /
Agent / Client
Communication
re: legal advice
Attorney-Client
14. 2015.01.11 –
2015.01.17
E-Mails Jeffrey Epstein Ghislaine Maxwell Common
Interest
Communication
re: legal advice
Common
Interest
Privilege
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 2 of 6
2
TAB DATE DOC.
TYPE
FROM TO CC RELATIONSHI
P
OF PARTIES
SUBJECT
MATTER
PRIVILEGE
15. 2015.01.13 E-Mail Ghislaine
Maxwell
Jeffrey Epstein Common
Interest
Communication
re: legal advice
Common
Interest
16. 2015.01.13 E-Mail Philip Barden,
Esq.
Martin Weinberg, Esq. Common
Interest
Communication
re: legal advice
Common
Interest
Privilege
17. 2015.01.13 E-Mails Philip Barden,
Esq.
Ghislaine Maxwell Mark Cohen Attorney /
Client
Communication
re: legal advice
Attorney-Client
18. 2015.01.21 E-Mail Ross Gow Philip Barden, Esq.,
Ghislaine Maxwell
Agent /
Attorney /
Communication
re: legal advice
Attorney-Client
19. 2015.01.21 - E-Mails Jeffrey Epstein Ghislaine Maxwell Common
Interest
Communication re:
legal advice
Common Interest
2015.01.27 Privilege
20. 2015.01.21- E-Mails Ghislaine
Maxwell
Jeffrey Epstein Common
Interest
Communication re:
legal advice
Common Interest
2015.01.27 Privilege
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 3 of 6
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 4 of 6
1
United States District Court
For The Southern District of New York
Giuffre v. Maxwell
15-cv-07433-RWS
***Per Local Rule 26.2, the following privileges are asserted pursuant to British law, Colorado law and NY law.
DATE DOC.
TYPE
FROM TO
CC RELATIONSHIP
OF PARTIES
SUBJECT MATTER PRIVILEGE
2011.03.15 E-Mails Ghislaine Maxwell Brett Jaffe, Esq. Attorney / Client Communication re:
legal advice
Attorney-Client
2011.03.15 E-Mails Brett Jaffe, Esq. Ghislaine Maxwell Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mails Ross Gow Ghislaine Maxwell Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mail Ghislaine Maxwell Ross Gow Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mail Ross Gow Ghislaine Maxwell Brian
Basham
Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.06
E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
2015.01.06 E-Mail
Ghislaine Maxwell Jeffrey Epstein,
Alan Dershowitz, Esq.
Attorney / Client Communication re:
legal advice
Common Interest
2015.01.10 E-Mail Ghislaine Maxwell Philip Barden, Esq.,
Ross Gow
Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.10 E-Mail Ghislaine Maxwell Philip Barden, Esq. Client / Attorney Communication re:
legal advice
Attorney-Client
2015.01.09
2015.01.10
E-Mails Ross Gow Philip Barden, Esq. G.
Maxwell
Agent / Attorney /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
2015.01.11 E-Mail Philip Barden, Esq. Ross Gow G.
Maxwell
Attorney / Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 E-Mail Philip Barden, Esq. Ghislaine Maxwell Ross
Gow
Attorney / Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 –
2015.01.17
E-Mails Jeffrey Epstein Ghislaine Maxwell Common Interest Communication re:
legal advice
Common Interest
Privilege
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 5 of 6
2
DATE DOC.
TYPE
FROM TO
CC RELATIONSHIP
OF PARTIES
SUBJECT MATTER PRIVILEGE
2015.01.13 E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.13 E-Mail Philip Barden, Esq. Martin Weinberg, Esq. Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.13 E-Mails Philip Barden, Esq. Ghislaine Maxwell Mark
Cohen
Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.21 E-Mail Ross Gow Philip Barden, Esq.,
Ghislaine Maxwell
Agent / Attorney /
Client
Communication re:
legal advice
Attorney-Client
2015.01.21 -
2015.01.27
E-Mails Jeffrey Epstein Ghislaine Maxwell Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.21-
2015.01.27
E-Mails Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
Privilege
Case 1:15-cv-07433-RWS Document 34-1 Filed 02/26/16 Page 6 of 6
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1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF, VIRGINIA GIUFFRE’S MOTION TO COMPEL THE PRODUCTION OF
DOCUMENTS SUBJECT TO IMPROPER OBJECTIONS
BOIES, SCHILLER & FLEXNER LLP
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. LEGAL ARGUMENT ...........................................................................................................3
A. Legal Standard...............................................................................................................3
B. Maxwell’s General Objections Fail...............................................................................4
C. Maxwell’s Specific Objections Fail. .............................................................................8
1. Request No. 1 .......................................................................................................8
a. Maxwell’s Response....................................................................................8
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ....................................................................................................9
2. Request No. 3. ......................................................................................................9
a. Maxwell’s Response....................................................................................9
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................10
3. Request No. 6. ....................................................................................................10
a. Maxwell’s Response..................................................................................10
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................11
4. Request No. 7. ....................................................................................................12
a. Maxwell’s Response..................................................................................12
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................12
5. Requests Nos. 8 and 33. .....................................................................................13
a. Maxwell’s Response..................................................................................13
b. Request No. 33. .........................................................................................13
ii
c. Maxwell’s Response to Request No. 33....................................................14
d. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery...................................................................................................14
6. Request Nos. 10 and 11. .....................................................................................15
a. Request No. 10. .........................................................................................15
b. Maxwell’s Response to Request No. 10....................................................15
c. Request No. 11. .........................................................................................15
d. Maxwell’s Response to Request No. 11....................................................15
e. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery...................................................................................................16
7. Request No. 15. ..................................................................................................16
a. Maxwell’s Response..................................................................................16
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................17
8. Request No. 17. ..................................................................................................17
a. Maxwell’s Response..................................................................................17
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................18
9. Request Nos. 21 – 24 .........................................................................................19
a. Maxwell’s Response..................................................................................19
b. Request No. 22. .........................................................................................19
c. Maxwell’s Response to Request No. 22....................................................19
d. Request No. 23. .........................................................................................19
e. Maxwell’s Response to Request No. 23....................................................19
f. Request No. 24. .........................................................................................20
g. Maxwell’s Response to Request No. 24....................................................20
iii
h. Maxwell’s Objections To Requests 21-24 Fail, As The Requests Seek
Relevant Discovery....................................................................................20
10. Request No. 32. ..................................................................................................21
a. Maxwell’s Response..................................................................................21
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................21
11. Request No. 34. ..................................................................................................22
a. Maxwell’s Response..................................................................................22
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................22
12. Request No. 37. ..................................................................................................23
a. Maxwell’s Response..................................................................................23
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................23
13. Request No. 39. ..................................................................................................24
a. Maxwell’s Response..................................................................................24
b. Maxwell’s Objections Fail, As The Request Seeks Relevant
Discovery ..................................................................................................24
CONCLUSION .............................................................................................................................24
iv
TABLE OF AUTHORITIES
Page
Cases
Am. Rock Salt Co., LLC v. Norfolk S. Corp.,
228 F.R.D. 426 (W.D.N.Y. 2004) ...............................................................................................6
Edwards v. Am. Airlines, Inc.,
No. 95 CIV. 5356 (SAS), 1996 WL 432472 (S.D.N.Y. Aug. 1, 1996).......................................1
Gateway Logistics, Inc. v. Smay,
302 P. 3d 235 (Colo. 2013).................................................................................................passim
International Mining Co., Inc. v. Allen and Co.,
567 F. Supp.777 (S.D.N.Y. 1983) ...............................................................................................2
Ottoson v. SMBC Leasing and Finance, Inc.,
2015 WL 4597542 (S.D.N.Y. July 30, 2015)..............................................................................1
State Farm Mut. Auto. Ins. Co. v. Fayda.
No. 14CIV9792WHPJCF, 2015 WL 7871037 (S.D.N.Y. Dec. 3, 2015)..............................3, 23
Stinson v. City of New York,
2015 WL 4610422 (S.D.N.Y.) July 23, 2015) ............................................................................1
Zorn v. Howe,
276 A.D.2d 51, 716 N.Y.S. 2d 128 (2000)..................................................................................7
Zubulake v. UBS Warburg LLC,
220 F.R.D. 212 (S.D.N.Y. 2003).................................................................................................7
Statutes
Fed. R. Civ. P. 26 ......................................................................................................................3, 22
Fed. R. Civ. P. 37 ........................................................................................................................4, 8
Fed. R. Evid. 501....................................................................................................................passim
1
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submit
this Motion to Compel Production of Documents in Response to Request Nos. 1-39 and to
Compel Documents Subject to Improper Objections Including Refusals to Produce Documents
from Highly Relevant Time Periods. For the reasons set forth below, this Court should grant
Plaintiff’s Motion in its entirety.
I. PRELIMINARY STATEMENT
Plaintiff first served her request for production of documents on defendant on October 27,
2015. Now, almost four (4) months later, and even after this Court denied defendant’s attempts
to stay discovery and directed a response, defendant is still refusing to produce highly relevant
documents. Defendant is attempting to grant herself a de facto stay of discovery, without Court
approval, by refusing to produce documents or generally comply with a party’s clear and
unequivocal discovery obligations1. Indeed, in response to thirty-eight (38) requests for
production, the defendant has chosen to produce two emails.2 This represents a willful disregard
of her discovery obligations, something this Court should not condone.
“Although not unlimited, relevance, for purposes of discovery, is an extremely broad
concept.” Ottoson v. SMBC Leasing and Finance, Inc., (Sweet, J.) 2015 WL 4597542 at * 2
(S.D.N.Y. July 30, 2015) (granting motion to compel) (internal quotations omitted); Stinson v.
City of New York, (Sweet, J.), 2015 WL 4610422 (S.D.N.Y. July 23, 2015) (granting in part
motion to compel production).
In the Second Circuit, courts have dismissed actions where a party has demonstrated
willful disregard for its discovery obligations. Edwards v. Am. Airlines, Inc., No. 95 CIV. 5356
1 Maxwell also waited four (4) months to produce her initial Rule 26 Disclosures which she just served on February
24, 2016.
2 Notably, Maxwell even refuses to produce the defamatory press releases from her communications with her press
agent Ross Gow, which are at the heart of this case.
2
(SAS), 1996 WL 432472, at *3 (S.D.N.Y. Aug. 1, 1996). See also International Mining Co.,
Inc. v. Allen and Co., (Sweet, J.), 567 F.Supp 777 (S.D.N.Y. 1983) (failure to produce
documents and supply adequate answers to interrogatories without justifiable excuse warranted
the dismissal of the complaint). The blatant nature of the defendant’s failure to participate in
discovery is akin to the conduct for which the Second Circuit has awarded sanctions.
This case turns on whether or not Maxwell defamed Ms. Giuffre when she called Ms.
Giuffre’s account of her sexual abuse “obvious lies.” Ms. Giuffre intends to establish that
Maxwell’s defamatory statement was untrue, and that Ms. Giuffre was telling the truth. To
prove the truth of her sexual abuse, Ms. Giuffre seeks discovery of documents evidencing her
sexual abuse and sexual trafficking by Maxwell and her associates, including convicted sex
offender Jeffrey Epstein. Therefore, documents evidencing Ms. Giuffre’s encounters with
Maxwell, and documents evidencing Maxwell’s communications with her co-conspirators, are
plainly relevant and discoverable. For example, Request 6 seeks documents relating to
Maxwell’s communications with Sarah Kellen. At a prior deposition, Sarah Kellen invoked her
Fifth Amendment privilege when asked:
Q. Would you agree with me that Ghislaine Maxwell provides underage girls to Mr.
Epstein for sex?
***
A. Upon the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
Q. Take a look at what we marked as Exhibit 10. Do you recognize the two people in
that photograph?
A. On the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
Q. Would you agree with me that’s Ghislaine Maxwell on the right and Jeffrey Epstein
on the left?
A. On the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
***
Q. Do you recognize the young lady shown in Exhibit 11?
A. On the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
Q. Do you agree with me that the young girl shown in Exhibit 11 was recruited by
Ghislaine Mawell for sexual activity with Jeffrey Esptein?
A. On the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
3
See McCawley Decl. at Exhibit 1, March 24, 2010 Deposition Transcript of Sarah Kellen at 100-
103.
Clearly, communications Maxwell had with Sarah Kellen are highly relevant to
establishing Maxwell’s involvement in trafficking underage girls. Yet, Maxwell is refusing to
produce any communications with Sarah Kellen.
Moreover, defendant Maxwell has admitted that non-privileged,3 relevant documents
exist. She is simply refusing to produce them. See Declaration of Sigrid McCawley
(“McCawley Decl.”) at Exhibit 2, Defendant Maxwell’s Response to Plaintiff’s First Request for
Production Requests Nos. 1, 3, 6, 7, 8, 9, 10, 11, 15, 17, 19, 21, 22, 23, 24, 32, 33, 34, and 37.
Indeed, it is undisputed that Maxwell spent many years traveling with Ms. Giuffre. And, for
years thereafter, Maxwell continued her association with convicted sex offender Jeffrey Epstein.
Ms. Giuffre is entitled to those documents in discovery because they go directly to the claim at
issue in this litigation. Therefore, this Court should compel her to produce them.
II. LEGAL ARGUMENT
A. Legal Standard
Under Federal Rule of Civil Procedure 34(a), a party may request that another party
produce documents in its possession as long as the documents are within the scope of Fed. R.
Civ. P. 26(b), which allows for broad discovery regarding any non-privileged matter that is
relevant to any party’s claim or defense. Information within this scope of discovery need not be
admissible in evidence to be discoverable. Relevance is still to be “construed broadly to
encompass any matter that bears on, or that reasonably could lead to other matter that could bear
on” any party's claim or defense. State Farm Mut. Auto. Ins. Co. v. Fayda, No.
3 Ms. Maxwell’s privilege claims all fail as addressed in Ms. Giuffre’s Motion to Compel Production
Based on Improper Claim of Privilege.
4
14CIV9792WHPJCF, 2015 WL 7871037, at *2 (S.D.N.Y. Dec. 3, 2015) (granting motion to
compel). If the opposing party objects to producing the documents, the party seeking production
can file a motion to compel with the court pursuant to Fed. R. Civ. P. 37. Against this backdrop
of broad discovery rights, Maxwell has refused to produce responsive documents.
B. Maxwell’s General Objections Fail
The centerpiece of Maxwell’s general objections is her disingenuous limitation of her
discovery responses to a short window of time that she has unilaterally selected. Maxwell
wrongfully attempts to limit discovery to the month of December 30, 2014 – January 31, 2015
when her defamatory statement was issued and 1999 – 20024. Maxwell’s time period limitation
clearly violates both the letter and spirit of Rule 26. For example, a communication by
Maxwell’s press agent regarding the plaintiff is just as relevant if it was made on February 1,
2015 as the one that was made on January 3, 2015 and it is clearly discoverable. These
communications with her press agent are key documents in this case, as the sole claim concerns
Ms. Maxwell defaming Ms. Giuffre in the press, yet Maxwell has arbitrarily refused to produce
highly relevant discovery.
The abuse at issue in this case is alleged to have started in or around 1999 and there are
relevant documents and communications from that point to the present in that Maxwell
continued to associate with convicted pedophile Jeffrey Epstein up until at least 2015 as
evidenced by her privilege log. See McCawley Decl. at Exhibit 3, Maxwell’s Privilege Log.
Accordingly, plaintiff defined the relevant period for purposes of her requests for production as
1999 – present. While that may seem like a substantial period of time, all of the publically
4 Maxwell refers to her shortened time period as “the Relevant Time Period as defined in Paragraph 15”
of her objections. To be clear, Ms. Giuffre’s references herein to production for the “Relevant Time
Period” refer to the Relevant Time Period of 1999 to the present as defined in her original requests for
production.
5
available documents demonstrate that the whole period is highly relevant to the sexual abuse
allegations. For example, the flight logs demonstrate that Maxwell was flying on Jeffrey
Epstein’s planes over 360 times from 1999 – 2005. In addition, Maxwell flew with plaintiff
when she was a minor child in 2000 on Jeffrey Epstein’s planes. The flight logs reveal that
Maxwell continued to actively travel with Jeffrey Epstein and other unidentified “female”
passengers through at least as late as September 5, 2005.5 See McCawley Decl. at Exhibit 4.
Moreover, there is critical activity relevant to the abuse allegations happening in the mid-
2000s as evidenced by the Palm Beach Police report that identified over 30 underage girls who
were being victimized during that time period. In addition, house staff identifies Maxwell as the
person in charge during this time period. See McCawley Decl. at Exhibit 5, Alfredo Rodriguez
Deposition Transcript at 24-25.
The years of the mid to late 2000s are also highly relevant because that is during the time
when convicted sex offender Jeffrey Epstein entered his plea deal with the government. Law
enforcement conducted a trash pull from Jeffrey Epstein’s residence in Florida and uncovered his
house message pads. The message pads reveal that in 2004, Maxwell was coordinating
“training” with underage girls as indicated by the redactions in the message pads. See
McCawley Decl. at Exhibit 6, SAO 2830. Maxwell was also organizing “massages” for Epstein
in 2004 with underage girls and indicating which girls she had lined-up on given days. See
McCawley Decl. at Exhibit 6, SAO 02841.
Plaintiff here received a Victim Notification Letter on September 9, 2008. See
McCawley Decl. at Exhibit 7. In 2009, an attorney sought Maxwell’s deposition in connection
5 Only a fraction of the flight logs were made publically available. Therefore there are likely other records
in Maxwell’s possession, custody and control that would demonstrate Maxwell traveling with underage
females but to date she has refused to produce this information and indeed is limiting her responses to a
very narrow window of time.
6
with various sexual abuse allegations and Maxwell dodged the deposition claiming that her
mother was ill and she would be traveling outside the country with no plans of returning.
Despite this claim to avoid her deposition, she then was photographed thereafter at Chelsea
Clinton’s wedding in Rhinebeck, New York. See McCawley Decl. at Composite Exhibit 8
Maxwell Deposition Notice; Subpoena and Cancellation Payment Notice, and January 13, 2015
Daily Mail Article with photograph. In 2011, Maxwell started issuing press statements through
her agent Ross Gow. The offending defamatory statement was issued on January 3, 2015. As
demonstrated by the timeline, discussed above, any documents that Maxwell has from the period
from 1999 to the present are highly relevant. Ms. Giuffre respectfully requests that this Court
direct Maxwell to produce all responsive documents for the time period from 1999 to the
present.6
Defendant Maxwell has also asserted fundamentally improper general objections which
should be overruled. Am. Rock Salt Co., LLC v. Norfolk S. Corp., 228 F.R.D. 426, 432
(W.D.N.Y. 2004) (“generalized objections that discovery requests are vague, overly broad, or
unduly burdensome are not acceptable, and will be overruled.”).
Maxwell’s general objection to producing material that implicates “privacy interests” is
equally misplaced. Maxwell does not have a “privacy interest” in the illegal sexual abuse and
trafficking of Ms. Giuffre and other minors, nor does she have a “privacy interest” in the
communications with her co-conspirators, including convicted sex offender, Jeffrey Epstein and
6 Maxwell has asserted that she cannot find documents for Requests Nos.1, 2, 6, 12, 13, 14, 35 and 38.
The Requests are set forth in Appendix A. To the extent that these requests incorporate her General
Objection to the Relevant Period articulated in paragraph 15 of her Objections, Plaintiff requests that this
Court require Ms. Maxwell to search for and produce any responsive documents from the 1999 to the
present that may have been excluded from Maxwell’s original search for the reasons stated above.
7
others.7 See Zorn v. Howe, 276 A.D.2d 51, 57, 716 N.Y.S.2d 128, 133 (2000) (finding no
legitimate privacy interest in illegal activity). Unsurprisingly, Maxwell cites no authority that
would shield the production of those documents.8 These documents are responsive and relevant.
The only proper objection Maxwell can make is an assertion of her Fifth Amendment privilege.
Failing that assertion, she must produce them.
Furthermore, Maxwell claims that “prior to this litigation” she has “long had a practice of
deleting emails after they have been read.” First, Ms. Giuffre is entitled to a forensic examination
of Maxwell’s personal computers and devices to recover deleted emails and to discovery when
and if Maxwell has performed a “swipe” of her computers/devices to permanently destroy
deleted emails.
Second, in her Motion to Dismiss, Maxwell claims that in both 2011 and 2015 she
anticipated litigation against tabloids. Specifically, she stated that in 2011, “litigation . . . was
forthcoming,” and in 2015, she made her press release “’pertinent to’ anticipated good-faith
litigation.” When litigation is anticipated, it is incumbent on the party to preserve documents.
See Zubulake v. UBS Warburg LLC, 220 F.R.D. 212, 218 (S.D.N.Y.2003) (“Once a party
reasonably anticipates litigation, it must ... ensure the preservation of relevant documents.”)
Additionally, if Maxwell purposefully destroyed documents in 2015, this Court can instruct the
jury to made an adverse inference against Maxwell or enter a default judgment in favor of Ms.
7 Non-attorney Maxwell claims that her communications with co-conspirator, convicted pedophile, and
non-attorney Jeffrey Epstein are privileged, a specious claim that is challenged in Plaintiff’s Motion to
Compel for Improper Assertion of Privilege.
8 Maxwell cites a non-controlling and inapposite Colorado case. In Gateway, the moving party sought to
inspect personal computers, smartphones, and other devices belonging to the defendant and his wife, who
was a non-party to the case. The court remanded the decision on the motion to compel that discovery to
the trial court, requiring that the trial court make findings of fact balancing the defendants’ privacy
interest with the plaintiffs’ need for the information sought as required by another case. It did not hold
that such materials were not discoverable. Notably, Maxwell does not cite to any New York case in
opposing this request, nor does she cite to a case from any other jurisdiction that is at all on point.
8
Giuffre. See Rule 37(e)(2)(b),(c), Fed. R. Civ. P. (“If electronically stored information that
should have been preserved in the anticipation or conduct of litigation is lost because a party
failed to take reasonable steps to preserve it, and it cannot be restored or replaced through
additional discovery, the court . . . upon finding that the party acted with the intent to deprive
another party of the information’s use in the litigation may . . . instruct the jury that it may or
must presume the information was unfavorable to the party; or dismiss the action or enter a
default judgment.”) Similarly, Maxwell was served with a subpoena decus tecum on September
21, 2009 seeking her testimony in relations to Epstein’s underage sex ring. See McCawley Decl.
at Composite Exhibit 8, 2009 Subpoena issued to Maxwell. Maxwell avoided that deposition by
falsely claiming to be out of the country (she was, instead, photographed at Chelsey Clinton’s
New York wedding). See Composite Exhibit 8. Pursuant to that subpoena, Maxwell was placed
on notice that her documents were relevant to pending litigation. All of these events triggering
her duty to preserve documents center on Maxwell’s role in Epstein’s sex crimes; therefore, all
of the documents she had a duty to preserve are relevant to this litigation. Defendant Maxwell
must produce these documents or explain to the Court when and why they were destroyed.
C. Maxwell’s Specific Objections Fail
1. Request No. 1: All documents relating to communications with Jeffery
Epstein from 1999 – Present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Maxwell further objects
to this Request to the extent it seeks documents or information protected by the attorney/client
privilege, the work-product doctrine, the common interest privilege or any other applicable
privilege.
9
Subject to and without waiving the above objections, Maxwell is withholding documents
outside of the Relevant Periods described in paragraph15, supra9, and is withholding production
of documents that are privileged pursuant to a common interest agreement.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Maxwell must produce documents for the entire Relevant Period as discussed above.
Communications with convicted sex offender Jeffrey Epstein for whom Defendant Maxwell is
alleged to have assisted him with his sexual trafficking activities are of the highest relevance in
this case, and must be produced. Additionally, Maxwell has asserted an improper privilege with
regard to these documents, which is addressed fully in Plaintiff’s Motion to Compel for Improper
Claims of Privilege.
2. Request No. 3: All documents relating to communications with Andrew
Albert Christian Edward, Duke of York (a.k.a. Prince Andrew) from 1999 – present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad and calls for the
production of documents that are irrelevant to this action and not reasonably calculated to lead to
the discovery of admissible evidence. Maxwell further objects to this Request to the extent it
seeks documents or information protected by the attorney/client privilege, the work-product
doctrine, or any other applicable privilege. Maxwell also objects to this Request to the extent it
implicates her right to privacy. Gateway Logistics, Inc. v. Smay, 302 P .3d 235 (Colo.2013);
Fed.R.Evid .501.
Subject to and without waiving the above objections, Maxwell will produce nonprivileged
documents responsive to this Request limited to the Relevant Periods described in
9 Maxwell’s reference to her “redefined” Relevant Period comes from paragraph 15 of her Responses and
Objections which provides: “Ms. Maxwell objects to Instruction No. 1, in particular the definition of the
“Relevant Period” to include July 1999 to the present, on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not reasonably
calculated to lead to the discovery of admissible evidence. The Complaint at paragraph 9 purports to
describe events pertaining to Plaintiff and Defendant occurring in the years 1999 – 2002. The Complaint
also references statements attributed to Ms. Maxwell occurring in January 2015. Defining the “Relevant
Period” as July 1999 to the present” is vastly overbroad, irrelevant and not reasonably calculated to lead
to the discovery of admissible evidence, and as to certain of the Requests, is intended for the improper
purpose of annoying or harassing Ms. Maxwell and it implicates her privacy rights. Thus, Ms. Maxwell
interprets the Relevant Period to be limited to 1999 – 2002 and December 30, 2014 – January 31, 2015
and objects to production of any documents outside that period, except as specifically noted.”
10
paragraph15, supra, and with private phone numbers and related information redacted. Maxwell
is withholding production of documents outside of such Relevant Periods.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Defendant Maxwell’s communications with Prince Andrew, for the entire Relevant
Period, are relevant to this litigation. Maxwell is alleged to have trafficked Ms. Giuffre to Prince
Andrew when Ms. Giuffre was a minor. Indeed, there is photographic evidence of Prince
Andrew with his arm around Virginia’s waist, standing next to Maxwell, in Maxwell’s London
residence, when Virginia was a minor child. In the one email defendant did produce in Response
to the Requests for Production, Maxwell instructs Prince Andrew to “call me” after Prince
Andrew says he needs to speak about Virginia. See McCawley Decl. at Exhibit 9. Ms. Giuffre is
entitled to all of the communications between Maxwell and Prince Andrew not only to show the
communications between them regarding her trafficking, but also possible communications
between them, that would establish Maxwell furnishing him with other females or discussing
other individuals who may have been involved with this activity.
3. Request No. 6: All documents relating to communications with any of the
following individuals from 1999 – present: Emmy Taylor, Sarah Kellen, Eva Dubin, Glen Dubin,
Jean Luc Brunel, and Nadia Marcinkova.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Maxwell is withholding production
of documents relating to communications with Nadia Marcinkova, Sarah Kellen and Eva Dubin
that are outside of the Relevant Periods described in paragraph15, supra. Maxwell has been
unable to locate any such documents relating to Ms. Marcinkova, Ms. Kellen or Ms. Dubin
within the Relevant Periods. Maxwell also has been unable to locate any such documents
responsive to this Request relating to Glen Dubin, Jean Luc Brunel or Emmy Taylor for any time
period.
11
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Ms. Kellen was previously deposed regarding Jeffrey Epstein’s underage sex ring. When
asked about Maxwell’s involvement in the sex trafficking, Ms. Kellen asserted her Fifth
Amendment privileges and refused to answer. Ms. Kellen’s assertion implicates Maxwell in the
sex trafficking activity.
Q. Would you agree with me that Ghislaine Maxwell provides underage girls to Mr.
Epstein for sex?
***
A. Upon the instruction of my lawyer, I must invoke my Fifth Amendment privilege.
See McCawley Decl. at Exhibit 1, March 24, 2010 Deposition Transcript of Sarah Kellen at 100-
103.
Maxwell’s communications with Ms. Kellen, at any time during the original Relevant
Period, are relevant to the sexual abuse suffered by Ms. Giuffre and others at the hands of
Maxwell, and should not be withheld. Moreover, flight logs demonstrate that Sarah Kellen and
Maxwell flew together multiple times, including with Ms. Giuffre. See McCawley Decl. at
Exhibit 4.
Similarly, Nadia Marcinkova was a co-conspirator of Maxwell and Epstein, and
communicated with them frequently as evidenced by the message pads law enforcement
retrieved from Epstein’s residence. See McCawley Decl. at Exhibit 6. Nadia Marcinkova also
travelled on Jeffrey Epstein’s planes with Maxwell. See McCawley Decl. at Exhibit 4, flight
logs. Similarly, Emmy Taylor was Maxwell’s assistant during this time frame and also travelled
on Jeffrey Epstein’s planes with Ms. Giuffre. See McCawley Decl. at Exhibit 4. These
communications are relevant for the entire original Relevant Period and Maxwell must produce
them.
12
Regarding Glen and Eva Dubin, flight logs demonstrate that they also travelled on Jeffrey
Epstein’s planes with Maxwell. Maxwell has acknowledged having communications with Eva
Dubin, but she is refusing to turn them over. Eva and Glen regularly placed calls to Jeffrey
Epstein and to Maxwell as evidenced by the police report trash pull of message pads. See
McCawley Decl. at Exhibit 6, SAO2843, SAO2984, SAO2994, SAO3004, SAO3006, and
SAO3009. Maxwell’s communications with Glen and Eva Dubin are relevant for the entire
original Relevant Period and should be produced.
4. Request No. 7: All video tapes, audio tapes, photographs or any other print or
electronic media relating to females under the age of 18 from the period of 1999 – present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request which relate or pertain to Plaintiff or any of the
witnesses identified by Plaintiff in her Rule 26 disclosures. Maxwell is withholding production
of other documents responsive to this Request, including things like mainstream newspapers,
magazines, videos, DVDs or other media or family photographs which contain depictions of
female children, including Maxwell herself as a child.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
To clarify, Ms. Giuffre is not seeking the depictions of children under the age of 18 that
that include Maxwell as a child or Maxwell’s relatives as children. Nor is Ms. Giuffre seeking
mainstream images that are legally available, such as in mainstream newspapers, magazines,
videos, or DVDs. Instead, Ms. Giuffre is seeking the depictions of underage girls possessed by
Maxwell. For example, Alfredo Rodriguez, a former household manager for Epstein, testified
that Maxwell kept images of naked girls on her personal computer whose identities are unknown
to Ms. Giuffre:
13
Q. “Did they appear to be doing any sexual?
A. Yes, ma’am
Q. And in these instances were there girls doing sexual things with other girls?
A. Yes, ma’am.
Q. And I’m still talking about the pictures on Maxwell’s computer.
A. Yes, ma’am.”
See McCawley Decl. at Exhibit 5, Alfredo Rodriguez August 7, 2009, Dep. Tr. at 311-312.
Accordingly, Maxwell’s depictions of females under the age of 18, goes to Ms. Giuffre’s claims
of sexual abuse and should be produced for the entire original Relevant Period. These pictures
would reveal which underage girls Maxwell was interacting with and photographing or
videotaping which is highly relevant to this case. Importantly, this request is not limited to
depictions of Ms. Giuffre or the individuals in Ms. Giuffre’s Rule 26 disclosures, as Maxwell
tries to assert in her Objection.
5. Request Nos. 8 and 33: All documents relating to your travel from the period
of 1999 – present, including but not limited to, any travel on Jeffrey Epstein’s planes,
commercial flights, helicopters, passport records, records indicating passengers traveling with
you, hotel records, and credit card receipts.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence. Maxwell also objects to this Request to the extent it implicates her right
to privacy. Gateway Logistics, Inc. v. Smay, 302 P .3d 235 (Colo.2013); Fed.R.Evid. 501.
Subject to and without waiving the above objections, Maxwell is withholding production
of documents outside of the Relevant Periods described in paragraph15, supra, and is
withholding documents within the Relevant Period that are private and are not reasonably
calculated to lead to the discovery of admissible evidence. The documents reflecting flight plans
in Maxwell’s possession do not identify passengers or manifests.
b. Request No. 33
All travel records between 1999 and the present reflecting your presence in: (a) Palm Beach
Florida or immediately surrounding areas; (b) 9 E. 71st Street, New York, NY 10021; (c) New
Mexico; (d) U.S. Virgin Islands; (e) any jet or aircraft owned or controlled by Jeffrey Epstein.
14
c. Maxwell’s Response to Request No. 33
Ms. Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome an/or proponed for the improper purpose of annoying or harassing Maxwell. This
request is also duplicative and cumulative of Requests Nos. 8 and 14 above. Maxwell further
objects to this Request to the extent that it calls for the production of documents that are
irrelevant to this action and not reasonably calculated to lead to the discovery of admissible
evidence.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request for the Relevant Periods as defined in paragraph 15,
supra. Maxwell is withholding production of documents outside of such Relevant Period.
d. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Popularly known in mainstream media as the “Lolita Express,”10 Epstein is alleged to
have used his private plane to traffic females across state lines for sexual purposes. The
flightlogs available at this time to Ms. Giuffre only show a fraction of the flights made by the
Lolita Express, but even those logs show Maxwell and Ms. Giuffre on these flights multiple
times. See McCawley Decl. at Exhibit 4. This request concerning Maxwell’s travel will show
Maxwell’s involvement in the trafficking, including Ms. Giuffre, across state lines with and for
Epstein.
Jeffrey Epstein’s private island is only reachable by helicopter or boat. Maxwell was
known to fly the helicopter to the private island transporting guests. Therefore, her helicopter
flight records will show which girls and other individuals that Maxwell flew to Epstein’s private
island. The records will also demonstrate when and how many times Maxwell was operating the
helicopter.
Maxwell’s commercial flight, passport, hotel, and credit card records are highly relevant
because they will show, for example, that she flew to Paris, France with Ms. Giuffre while Ms.
10 See, e.g., “All aboard the ‘Lolita Express’: http://www.dailymail.co.uk/news/article-2922773/Newly-releasedflight-
logs-reveal-time-trips-Bill-Clinton-Harvard-law-professor-Alan-Dershowitz-took-pedophile-Jeffrey-Epsteins-
Lolita-Express-private-jet-anonymous-women.html.
15
Giuffre was a minor child. Additionally, these records will place Maxwell at other locations
around the United States and internationally at the same times Ms. Giuffre was in those
locations, which goes to the defamation claim in this case. The records will also link her to other
females who may have been trafficked for sex. Finally, Maxwell’s travel to Epstein’s residences
in Florida, New York, New Mexico, and USVI will support the allegations that Maxwell assisted
Jeffrey Epstein with his sexual trafficking operation. Accordingly, this is an improper objection.
Defendant Maxwell has admitted that she is withholding responsive documents from production,
and this Court should require her to produce them.
6. Request Nos. 10 and 11:
a. Request No. 10: All documents relating to payments made from
Jeffrey Epstein or any related entity to you from 1999 – present, including payments for work
performed, gifts, real estate purchases, living expenses, and payments to your charitable
endeavors including the TerraMar project.
b. Maxwell’s Response to Request No. 10:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Maxwell has been unable to
locate any documents responsive to this Request during the Relevant Periods as defined in
paragraph15, supra. Maxwell is withholding production of documents outside of such
Relevant Periods.
c. Request No. 11: All documents relating to or describing any work
you performed with Jeffrey Epstein, or any affiliated entity from 1999 –present.
d. Maxwell’s Response to Request No. 11:
Maxwell objects to this Request in that the terms “work,” “with” and “affiliated entity”
are vague, undefined and susceptible of multiple meanings and definitions. M. Maxwell objects
to this Request on the grounds that it is overly broad, unduly burdensome and/or propounded for
the improper purpose of annoying or harassing Maxwell. Maxwell further objects to this Request
on the grounds that it calls for the production of documents that are irrelevant to this action and
not reasonably calculated to lead to the discovery of admissible evidence.
16
Subject to and without waiving the above objections, Maxwell has been unable to
locate any documents responsive to this Request during the Relevant Periods as defined in
paragraph15, supra. Maxwell is withholding production of documents outside of such
Relevant Periods.
e. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Maxwell recruited Ms. Giuffre and groomed her to perform sexual acts for Jeffrey
Epstein. She also performed other services for Jeffrey Epstein, including recruiting and
scheduling girls to perform “massages” for Epstein. The household staff testified that they took
instructions from Maxwell. See McCawley Decl. at Exhibit 5, Rodriguez at 24-25. Therefore,
her work for Epstein and related entities is relevant. Discovery concerning Maxwell’s
compensation, formal or informal, for the work she performed for convicted sex offender Jeffrey
Epstein is highly relevant for the entire Relevant Period, from 1999 to the present, because
Maxwell performed these services, and received compensation and gifts during this entire time
period. For example, a 2003 Vanity Fair article, written before the Jeffrey Epstein scandal
broke, describes Maxwell as someone who “seems to organize much of [Epstein’s] life --
recently she was making telephone inquiries to find a California-based yoga instructor for
him.”11 The police records also reveal that Maxwell recruited a female to work for Jeffrey
Epstein. The message pads also reveal Maxwell regularly working for Jeffrey Epstein, including
organizing his schedule for training underage girls. See McCawley Decl. at Exhibit 6, SAO2830.
The work she performed for Epstein, and the compensation she received, is relevant to the claim
in this case for the entire Relevant Period. Therefore, Maxwell must produce the documents she
is withholding.
7. Request No. 15: All video tapes, audio tapes, photographs or any other print
or electronic media taken at a time when you were in Jeffrey Esptein’s company or inside any of
his residences or aircraft.
11 “The Talented Mr. Epstein,” Vanity Fair, March 2003,
http://www.vanityfair.com/news/2003/03/jeffrey-epstein-200303
17
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence. Maxwell further objects to this Request to the extent it implicates her
right to privacy. Gateway Logistics, Inc. v. Smay, 302 P .3d 235 (Colo.2013); Fed.R.Evid . 501.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request that are within the Relevant Periods described in
paragraph15, supra. Maxwell is withholding production of documents outside of such Relevant
Periods.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Maxwell must produce these documents for the entire Relevant Period, and not withhold
any. Photographs and other electronic recordings with Jeffrey Epstein likely contain the image of
other underage girls or trafficked women, and therefore, those photographs go to the claim in this
case. Additionally, such depictions would reveal other potential witnesses in this case.
Accordingly, Maxwell must not withhold these documents based on her revised time period
limitation for discovery.
8. Request No. 17: All documents relating to communications with you and
Ross Gow from 2005 – present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence. Maxwell also objects to this request to the extent it seeks documents or
information protected by the attorney/client privilege, the common interest privilege, the workproduct
doctrine, or any other applicable privilege.
Subject to and without waiving the above objections, Maxwell is withholding documents
responsive to this Request that are outside of the Relevant Periods defined in paragraph15, supra
as well as the period of January 1, 2011 to December 31, 2011,and also withholding documents
within the Relevant Periods that are privileged. Maxwell has been unable to locate any nonprivileged
documents that are within such Relevant Periods.
18
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Through her non-attorney12, public relations professional, Maxwell made a defamatory
statement to the press, and that statement is the genesis of this defamation lawsuit. The press
quoted portions of this defamatory statement in its publications. The full statement, distributed to
the press by Maxwell, through her agent Ross Gow, is clearly discoverable. Ms. Maxwell is in
possession of that full statement. Ms. Maxwell admitted to having a January 2, 2015 “Email from
Ross Gow to various news organizations,” “Subject: ‘Ghislaine Maxwell.” Its date is the day
before the known defamatory statements appeared in the press. It is clear that the full defamatory
statement is contained within that January 2, 2015 email; it is increasingly clear that the full
statement contains other defamatory remarks, which is why Ms. Maxwell is trying to hide it.
There are no privileges that attach to emails to the press or to press releases - their very
purpose is wide dissemination. The fact that Maxwell has not disclosed this press release places
her in clear violation of her discovery obligations: Ms. Giuffre is plainly entitled to the
defamatory statement Maxwell released to the press upon which this lawsuit is based, including
all communications with her press agent, and made by her press agent. Ms. Giuffre presumes that
the full statement contains additional defamatory statements, which would explain Maxwell’s
spurious attempt to circumvent her discovery obligations by trying to convince the Court that a
press release is somehow confidential and privileged.
In addition to the full statement released to the press, Ms. Giuffre is entitled to all
previous drafts of the statement, and all communications Maxwell had with Mr. Gow regarding
12 Ross Gow is not an attorney, and Maxwell has not alleged that he is an attorney. Upon information and
belief, Ross Gow is merely a public relations professional who works for a PR firm that Maxwell
employed. As a non-attorney, no attorney-client privilege attaches to Maxwell and Gow’s
communications. Maxwell’s communications with Gow listed on the Maxwell privilege log are
challenged in Plaintiff’s Motion to Compel for Improper Claim of Privilege.
19
the statement. Accordingly, Ms. Giuffre is entitled to communications relating to Mr. Gow -
particularly the January 2, 2015 email - for the entire Relevant Period.
9. Request No. 21-24: All telephone records associated with you including
cellphone records from 1999 –present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome, propounded for the improper purpose of annoying or harassing Maxwell, and seeks
documents outside of Maxwell’s possession, custody or control. Maxwell further objects to this
Request to the extent that it calls for the production of documents that are irrelevant to this action
and not reasonably calculated to lead to the discovery of admissible evidence. Maxwell further
objects to this Request to the extent it implicates her right to privacy. Gateway Logistics, Inc. v.
Smay, 302 P .3d 235 (Colo.2013); Fed.R.Evid. 501.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request during the Relevant Periods defined in paragraph15,
supra. Maxwell is withholding production of documents outside of such Relevant Periods.
b. Request No. 22: All documents relating to calendars, schedules or
appointments for you from 1999 –present.
c. Maxwell’s Response to Request No. 22:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome, propounded for the improper purpose of annoying or harassing Maxwell, and seeks
documents outside of Maxwell’s possession, custody or control. Maxwell further objects to this
Request to the extent that it calls for the production of documents that are irrelevant to this action
and not reasonably calculated to lead to the discovery of admissible evidence. Maxwell further
objects to this Request to the extent it implicates her right to privacy. Gateway Logistics, Inc. v.
Smay, 302 P. 3d 235 (Colo.2013); Fed.R.Evid. 501.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request during the Relevant Periods defined in paragraph15,
supra. Maxwell is withholding production of documents outside of such Relevant Periods.
d. Request No. 23: All documents relating to calendars, schedules or
appointments for Jeffrey Epstein from 1999 –present.
e. Maxwell’s Response to Request No. 23:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome, propounded for the improper purpose of annoying or harassing Maxwell, and seeks
documents outside of Maxwell’s possession, custody or control. Maxwell further objects to this
20
Request to the extent that it calls for the production of documents that are irrelevant to this action
and not reasonably calculated to lead to the discovery of admissible evidence.
Maxwell further objects to this Request to the extent it implicates her right to privacy.
Gateway Logistics, Inc. v. Smay, 302 P .3d 235 (Colo.2013); Fed.R.Evid. 501.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request during the Relevant Periods defined in paragraph15,
supra. Maxwell is withholding production of documents outside of such Relevant Periods.
f. Request No. 24: All documents relating to contact lists, phone lists or
address books for you or Jeffrey Epstein from 1999 –present.
g. Maxwell’s Response to Request No. 24:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence. Maxwell further objects to this Request to the extent it implicates her right
to privacy. Gateway Logistics, Inc. v. Smay, 302 P. 3d 235 (Colo. 2013); Fed.R.Evid. 501.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request within the Relevant Periods defined in paragraph15,
supra. Maxwell is withholding production of documents outside of such Relevant Periods.
h. Maxwell’s Objections To Requests 21-24 Fail, as the Requests Seek
Relevant Discovery
Requests Nos. 21-24 seek Maxwell’s telephone records, Maxwell and Jeffrey Epstein’s
calendars, and Epstein’s contact lists for the Relevant Period. Maxwell admits that she has
documents responsive to these request that she refuses to produce. Contact with, meetings with,
and contact information for the Maxwell and Epstein’s underage victims and adult coconspirators
will prove that Ms. Giuffre is truthful regarding her sexual abuse. The small
grouping of message pads pulled by law enforcement reflect that Maxwell was making
arrangements for Jeffrey Epstein and was in regular and frequent contact with him. See
SAO2847. Records of telephone calls and meetings are critical to this case. For example, in one
of the two documents produced by Maxwell, she instructs co-conspirator Prince Andrew to “call
21
me.” See McCawley Decl. at Exhibit 9. Another example is Jeffrey Epstein’s “black book” with
the contact information for underage girls and co-conspirators. See McCawley Decl. at Exhibit
10. Accordingly, Maxwell’s refusal to produce similar documents is not supported by law, and
this Court should order them to be produced. Similarly, Maxwell’s and Mr. Epstein’s calendars,
schedules and appointments reveal who they met with and when, including underage girls and
co-conspirators.
Maxwell and Epstein’s illegal and abusive behavior is not only relevant for the period of
time in which they trafficked Ms. Giuffre: their continued trafficking until Epstein’s 2008
indictment, and their continued collaboration up through the present regarding the related civil
suits also go to the claim in this case, and support Ms. Giuffre’s account of her own sex abuse.
Accordingly, Maxwell must produce the documents responsive to these four requests that she is
withholding.
10. Request No. 32: All documents related to communications with or
interaction with Alan Dershowitz from 1999 to present.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence. Maxwell further objects to this Request as being interposed for an improper
purpose, specifically Plaintiff and her counsel’s civil litigation currently pending in Broward
County, Florida in the matter of Cassell v. Dershowitz.
Subject to and without waiving the above objections, Maxwell will produce nonprivileged
documents responsive to this Request during the Relevant Periods defined in
paragraph15, supra. Maxwell is withholding production of documents outside of such Relevant
Periods.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Defendant Maxwell has been communicating with Alan Dershowitz about the sexual
trafficking allegations as evidenced by the one email she produced. Maxwell’s communications
22
with Dershowitz are directly relevant to the claim. Maxwell has admitted that she has documents
responsive to this request,13 but refuses to produce them under her arbitrary and self-serving
restrictive limitation to the Relevant Period. Accordingly, this Court should require that
Defendant Maxwell produce her communications with Dershowitz.
11. Request No. 34: All documents reflecting your ownership or control of
property in London between the years 1999 and 2002.
a. Maxwell’s Response
Maxwell objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence. Maxwell further objects to this Request on the grounds that it calls for
documents that are a matter of public record and are thus equally available to the Plaintiff.
Subjection to and without waiving the above objections, Maxwell is withholding
documents Responsive to this Request that are a matter of public record.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Defendant Maxwell and Jeffrey Epstein trafficked Ms. Giuffre when she was a minor
child to Prince Andrew in Maxwell’s own home in London, as evidenced by the photograph of
Ms. Giuffre, Maxwell, and Prince Andrew taken in her London home when Ms. Giuffre was
only seventeen years old. See McCawley Decl. at Exhibit 11. Evidence of Maxwell’s property in
London evidences this incident of sexual trafficking, and it is therefore relevant. The ownership
and property records are also relevant to establish whether any other individuals have ownership
rights in the property, like Jeffrey Epstein. The recent amendments to Rule 26(b) allow courts to
take into account “the parties' relative access to relevant information.” Fed. R. Civ. P. 26(b)(1).
Maxwell admitted that she already has responsive documents in her possession that she is
choosing to withhold, purporting that they are “a matter of public record,” without giving any
13 Alan Dershowitz is not Maxwell’s attorney, and Maxwell has not alleged that he is her attorney.
Therefore, no attorney-client privilege attaches to Maxwell and Dershowitz’s communications. Maxwell
has listed communications with Dershowitz on her privilege log. That entry is challenged in Plaintiff’s
Motion to Compel for Improper Claim of Privilege.
23
evidence or reasons supporting that statement, nor explaining how and whether such records can
be accessed by a foreigner. Indeed, Ms. Giuffre’s access to property records in a foreign
jurisdiction is slight compared to Maxwell’s access to documents already in her possession. The
party resisting disclosure bears the burden of establishing alternative sources for the information,
and Maxwell has not met that burden. See State Farm Mut. Auto. Ins. Co. v. Fayda, No.
14CIV9792WHPJCF, 2015 WL 7871037, at *4 (S.D.N.Y. Dec. 3, 2015) (internal citations and
quotations omitted). Accordingly, Maxwell must produce her property records.
12. Request No. 37: All documents reflecting communications you have had
with Bill or Hillary Clinton (or persons acting on their behalf), including all communications
regarding your attendance at Chelsea’s Clinton’s wedding ceremony in 2010.
a. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence.
Subject to and without waiving the above objections, Maxwell has been unable to locate
any documents responsive to this Request for the Relevant Periods as defined in paragraph 15,
supra. Maxwell is withholding production of documents outside of such Relevant Periods.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
As recounted above, in 2009, an attorney sought Maxwell’s deposition in connection with
various sexual abuse allegations and Maxwell said her mother was ill and she would be traveling
outside the country with no plans of returning. Despite this claim to avoid her deposition, she
then was photographed at Chelsea Clinton’s wedding in Rhinebeck, New York. See McCawley
Decl. at Exhibit 8, Maxwell Deposition Notice; Subpoena and Cancellation Payment Notice, and
January 13, 2015 Daily Mail Article with photograph. Maxwell admits that she has documents
responsive to this request, and this Court should require her to produce them. Other
communications she has had with the Clintons about Ms. Giuffre or the allegations in this case
24
are also highly relevant, particularly given that Mr. Clinton travelled with Maxwell, Jeffrey
Epstein and others on Jeffrey Epstein’s plane a number of times, including a trip to Thailand.
13. Request No. 39: All documents reflecting training to fly a helicopter or
experience flying a helicopter, including any records concerning your operation of a helicopter in
the U.S. Virgin Islands.
a. Maxwell’s Response:
Maxwell objects to this Request to the extent that it calls for the production of documents
that are irrelevant to this action and not reasonably calculated to lead to the discovery of
admissible evidence. Maxwell further objects to this Request to the extent it implicates her right
to privacy. Gateway Logistics, Inc. v. Smay, 302 P.3d 235 (Colo. 2013); Fed. R. Evid. 501.
Maxwell is withholding documents responsive to this Request as irrelevant and not
reasonably calculated to lead to the discovery of admissible evidence.
b. Maxwell’s Objections Fail, as the Request Seeks Relevant Discovery
Epstein’s private island in the United States Virgin Islands is only accessible via boat or
helicopter. Maxwell flew people back and forth from Epstein’s island as part of her sexual
trafficking of underage girls. Records of Maxwell’s operating a helicopter and training therefor
is relevant to the claims of sexual abuse in this case. Maxwell has admitted that she has
responsive documents; therefore, this Court should require her to produce them.
CONCLUSION
For the reasons set forth above, plaintiff Virginia Giuffre respectfully requests that the
Court grant her Motion to Compel and direct Defendant Maxwell to produce documents
responsive to Request Nos. 1 – 39 for the period of 1999 to the present.
Dated: February 26, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
25
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
26
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on February 26, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
APPENDIX A TO PLAINTIFF, VIRGINIA GIUFFRE’S MOTION TO COMPEL THE
PRODUCTION OF DOCUMENTS SUBJECT TO IMPROPER OBJECTIONS
A. Request No. 1
i. Verbatim Statement of Request No. 1:
All documents relating to communications with Jeffery Epstein from 1999 – Present
ii. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Maxwell further objects
to this Request to the extent it seeks documents or information protected by the attorney/client
privilege, the work-product doctrine, the common interest privilege or any other applicable
privilege.
Subject to and without waiving the above objections, Maxwell is withholding documents
outside of the Relevant Periods described in paragraph15, supra, and is withholding production
of documents that are privileged pursuant to a common interest agreement.
B. Request No. 2
i. Verbatim Statement of Request No. 2
All documents relating to communications with Virginia Roberts Giuffre from 1999 -
Present.
Case 1:15-cv-07433-RWS Document 35-1 Filed 02/26/16 Page 1 of 4
2
ii. Maxwell’s Response
Maxwell has been unable to locate any such documents.
C. Request No. 6
i. Verbatim Statement of Request No. 6
All documents relating to communications with any of the following individuals from
1999 – present: Emmy Taylor, Sarah Kellen, Eva Dubin, Glen Dubin, Jean Luc Brunel, and
Nadia Marcinkova.
ii. Maxwell’s Response:
Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Maxwell.
Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Maxwell is withholding production
of documents relating to communications with Nadia Marcinkova, Sarah Kellen and Eva Dubin
that are outside of the Relevant Periods described in paragraph15, supra. Maxwell has been
unable to locate any such documents relating to Ms. Marcinkova, Ms. Kellen or Ms. Dubin
within the Relevant Periods. Maxwell also has been unable to locate any such documents
responsive to this Request relating to Glen Dubin, Jean Luc Brunel or Emmy Taylor for any time
period.
D. Request No. 12
i. Verbatim Statement of Request No. 12
All confidentiality agreements between you and Jeffrey Epstein or any entity to which he
is related or involved or such agreements which are or were in your possession or control related
to any other employee of Jeffrey Epstein, or any associated entity.
ii. Maxwell’s Response:
Maxwell objects to this Request in that the terms “confidentiality agreements” and
“associated entity” are vague, undefined and susceptible of multiple meanings and definitions
Maxwell objects to this Request on the grounds that it is overly broad, unduly burdensome
and/or propounded for the improper purpose of annoying or harassing Maxwell. Maxwell further
objects to this Request on the grounds that it calls for the production of documents that are
irrelevant to this action and not reasonably calculated to lead to the discovery of admissible
evidence.
Case 1:15-cv-07433-RWS Document 35-1 Filed 02/26/16 Page 2 of 4
3
Subject to and without waiving the above objections, Maxwell has been unable to
locate any documents responsive to this Request
E. Request No. 13
i. Verbatim Statement of Request No.13:
All documents from you, your attorneys or agents to any law enforcement entity, or from any
law enforcement entity to you or any of your representatives related to any cooperation, potential
charge, immunity or deferred prosecution, or which relates to suspected or known criminal
activity.
ii. Maxwell’s Response:
Ms. Maxwell objects to this Request as vague and confusing. Ms. Maxwell objects to this
Request to the extent it requests documents subject to either the attorney-client or work product
privileges. Ms. Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Ms. Maxwell.
Ms. Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Ms. Maxwell has been unable to
locate any documents responsive to this Request.
F. Request No. 14
i. Verbatim Statement of Request No. 14:
All documents relating to travel of any female under the age of 18 from the period of
1999 - present.
ii. Maxwell’s Response:
Ms. Maxwell objects to this Request on the grounds that it is overly broad, unduly
burdensome and/or propounded for the improper purpose of annoying or harassing Ms. Maxwell.
Ms. Maxwell further objects to this Request on the grounds that it calls for the production of
documents that are irrelevant to this action and not reasonably calculated to lead to the discovery
of admissible evidence.
Subject to and without waiving the above objections, Ms. Maxwell has been unable to
locate any documents responsive to this Request.
Case 1:15-cv-07433-RWS Document 35-1 Filed 02/26/16 Page 3 of 4
4
G. Request No. 35
i. Verbatim Statement of Request No. 35:
All documents reflecting you or Jeffrey Epstein’s membership or visits to the Mar-a-Lago
Club in Palm Beach Florida between the years 1999 and 2002.
ii. Verbatim Statement of Response:
Ms. Maxwell has been unable to locate any documents responsive to this Request.
H. Request No. 38
i. Verbatim Statement of Request No. 38
All documents reflecting contact with you by any law enforcement or police agency,
including any contact by the FBI, Palm Beach Police Department, or West Palm Beach Police
Department.
ii. Verbatim Statement of Response:
Maxwell has been unable to locate any documents responsive to this Request.
Case 1:15-cv-07433-RWS Document 35-1 Filed 02/26/16 Page 4 of 4
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF
PLAINTIFF’S MOTION TO COMPEL THE PRODUCTION OF DOCUMENTS
SUBJECT TO IMPROPER OBJECTIONS
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Motion to Compel Production of Documents Subject to Improper Objections.
3. Attached hereto as Exhibit 1, is a true and correct copy of an Excerpt from the
March 24, 2010 Deposition Transcript of Sarah Kellen.
4. Attached hereto as Exhibit 2, is a true and correct copy of Defendant Ghislaine
Maxwell’s Responses and Objections to Plaintiff’s First Request for Production.
5. Attached hereto as Exhibit 3, is a true and correct copy of Defendant Ghislaine
Maxwell’s Privilege Log.
2
6. Attached hereto as Exhibit 4, is a true and correct copy of Jeffrey Epstein’s
private plane Flight Logs.
7. Attached hereto as Composite Exhibit 5, is a true and correct copy of excerpts
from the July 29, 2009 and August 7, 2009 Deposition Transcripts of Alfredo Rodriguez.
8. Attached hereto as Composite Exhibit 6, is a true and correct copy of the message
pads obtained from Jeffrey Epstein’s residence by law enforcement.
9. Attached hereto as Composite Exhibit 7, is a true and correct copy of the
September 9, 2008 Victim Notification Letter.
10. Attached hereto as Composite Exhibit 8, is a true and correct copy of the Notice
of Deposition of Ghislaine Maxwell, Subpoena and Cancellation Payment Notice, and January
13, 2015 Daily Mail Article.
11. Attached hereto as Exhibit 9, is a true and correct copy of Bates GM_00001 –
GM_00015.
12. Attached hereto as Exhibit 10, is a true and correct copy of Jeffrey Epstein’s
phone book.
13. Attached hereto as Exhibit 11, is a true and correct copy of a photo of Ghislaine
Maxwell, Prince Andrew, and Virginia Giuffre.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
3
Dated: February 26, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on February 26, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S MOTION FOR A PROTECTIVE ORDER
Defendant Ghislaine Maxwell, through undersigned counsel, moves this Court for the
entry of a Protective Order pursuant to Rule 26(c) of the Federal Rules of Civil Procedure. In
support of this motion, Ms. Maxwell states as follows:
Pursuant to F.R.C.P. 26(c) this Court “may, for good cause, issue an order to protect a
party…from annoyance, embarrassment, oppression, or undue burden or expense…” The nature
of this case concerns highly personal and sensitive information from both parties. In this action,
both parties have sought and will seek confidential information in the course of discovery from
the other party and from non-party witnesses. Release of such confidential information outside
of the litigation could expose the parties to “annoyance, embarrassment, [and] oppression” and
result in significant injury to one or more of the parties’ business or privacy interests.
Plaintiff seeks to take the deposition of defendant Ghislaine Maxwell. Based on written
discovery requests served to date, it is anticipated that Plaintiff will seek to question Ms.
Maxwell concerning her personal and professional relationships as well matters concerning her
...............................................
2
private affairs. Furthermore, Plaintiff has served Ms. Maxwell with document requests that seek
information of a sensitive and confidential nature. Dissemination of such information to third
parties could be significantly harmful to Ms. Maxwell’s business and personal privacy interests.
Good cause exists for entry of this Protective Order.
WHEREFORE, Defendant respectfully requests that the Court grant her Motion for
Protective Order in this matter in the form attached as Exhibit A to Declaration of Laura
Menninger in Support of Defendant’s Motion for a Protective Order.
Dated: March 2, 2016.
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
3
CERTIFICATE OF SERVICE
I certify that on March 2, 2016, I electronically filed this Defendant’s Motion for a
Protective Order with the Clerk of Court using the CM/ECF system which will send notification
to all counsel of record including the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DECLARATION OF LAURA A. MENNINGER IN SUPPORT OF
DEFENDANT’S MOTION FOR PROTECTIVE ORDER
I, Laura A. Menninger, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of a Haddon, Morgan & Foreman, P.C. and duly
licensed to practice in the States of New York and Colorado and admitted to practice in the
United States District Court for the Southern District of New York.
2. I respectfully submit this Declaration in support of Ms. Maxwell’s Motion for
Protective Order in this action.
3. Attached hereto as Exhibit A is a proposed Protective Order.
Dated: March 2, 2016.
..............................................
.
2
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
3
CERTIFICATE OF SERVICE
I certify that on March 2, 2016, I electronically filed this Declaration of Laura A.
Menninger in Support of Defendant’s Motion for a Protective Order with the Clerk of Court
using the CM/ECF system which will send notification to all counsel of record including the
following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Brenda Rodriguez
Brenda Rodriguez
EXHIBIT A
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 1 of 7
United States District Court
Southern District Of New York
--------------------------------------------------X
Virginia L. Giuffre,
Plaintiff,
v.
Ghislaine Maxwell,
Defendant.
15-cv-07433-RWS
-----------------------------------------------X
PROTECTIVE ORDER
Upon a showing of good cause in support of the entry of a protective order to
protect the discovery and dissemination of confidential information or information which
will improperly annoy, embarrass, or oppress any party, witness, or person providing
discovery in this case, IT IS ORDERED:
1. This Protective Order shall apply to all documents, materials, and information,
including without limitation, documents produced, answers to interrogatories,
responses to requests for admission, deposition testimony, and other
information disclosed pursuant to the disclosure or discovery duties created by
the Federal Rules of Civil Procedure.
2. As used in this Protective Order, “document” is defined as provided in
FED.R.CIV.P. 34(a). A draft or non-identical copy is a separate document
within the meaning of this term.
...............................................
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 2 of 7
2
3. Information designated “CONFIDENTIAL” shall be information that is
confidential and implicates common law and statutory privacy interests of (a)
plaintiff Virginia Roberts Giuffre and (b) defendant Ghislaine Maxwell.
4. CONFIDENTIAL information shall not be disclosed or used for any purpose
except the preparation and trial of this case.
5. CONFIDENTIAL documents, materials, and/or information (collectively
“CONFIDENTIAL INFORMATION”) shall not, without the consent of the
party producing it or further Order of the Court, be disclosed except that such
information may be disclosed to:
a. attorneys actively working on this case;
b. persons regularly employed or associated with the attorneys actively
working on this case whose assistance is required by said attorneys in the
preparation for trial, at trial, or at other proceedings in this case;
c. the parties;
d. expert witnesses and consultants retained in connection with this
proceeding, to the extent such disclosure is necessary for preparation, trial
or other proceedings in this case;
e. the Court and its employees (“Court Personnel”) in this case;
f. stenographic reporters who are engaged in proceedings necessarily incident
to the conduct of this action;
g. deponents, witnesses, or potential witnesses; and
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 3 of 7
3
h. other persons by written agreement of the parties.
6. Prior to disclosing any CONFIDENTIAL INFORMATION to any person
listed above (other than counsel, persons employed by counsel, Court
Personnel and stenographic reporters), counsel shall provide such person with
a copy of this Protective Order and obtain from such person a written
acknowledgment stating that he or she has read this Protective Order and
agrees to be bound by its provisions. All such acknowledgments shall be
retained by counsel and shall be subject to in camera review by the Court if
good cause for review is demonstrated by opposing counsel.
7. Documents are designated as CONFIDENTIAL by placing or affixing on them
(in a manner that will not interfere with their legibility) the following or other
appropriate notice: “CONFIDENTIAL.” Discovery material designated
CONFIDENTIAL shall be identified by Bates number. To the extent practical,
the respective legend shall be placed near the Bates number.
8. Designation of a document as CONFIDENTIAL INFORMATION shall
constitute a representation that such document has been reviewed by an
attorney for the designating party, that there is a valid and good faith basis for
such designation, made at the time of disclosure or production to the receiving
party, and that disclosure of such information to persons other than those
permitted access to such material would cause a privacy harm to the
designating party.
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 4 of 7
4
9. Whenever a deposition involves the disclosure of CONFIDENTIAL
INFORMATION, the deposition or portions thereof shall be designated as
CONFIDENTIAL and shall be subject to the provisions of this Protective
Order. Such designation shall be made on the record during the deposition
whenever possible, but a party may designate portions of depositions as
CONFIDENTIAL after transcription, provided written notice of the
designation is promptly given to all counsel of record within thirty (30) days
after notice by the court reporter of the completion of the transcript, and until
the expiration of such thirty (30) days after notice by the court reporter of the
completion of the transcript, no party or counsel for any such party may share
the contents of the deposition outside the limitations of this Protective Order.
10. Whenever a party seeks to file any document or material containing
CONFIDENTIAL INFORMATION with the Court in this matter, it shall be
accompanied by a Motion to Seal pursuant to Section 6.2 of the Electronic
Case Filing Rules & Instructions for the Southern District of New York.
11. A party may object to the designation of particular CONFIDENTIAL
INFORMATION by giving written notice to the party designating the disputed
information. The written notice shall identify the information to which the
objection is made. If the parties cannot resolve the objection within ten (10)
business days after the time the notice is received, it shall be the obligation of
the party designating the information as CONFIDENTIAL to file an
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 5 of 7
5
appropriate motion requesting that the Court determine whether the disputed
information should be subject to the terms of this Protective Order. If such a
motion is timely filed, the disputed information shall be treated as
CONFIDENTIAL under the terms of this Protective Order until the Court rules
on the motion. If the designating party fails to file such a motion within the
prescribed time, the disputed information shall lose its designation as
CONFIDENTIAL and shall not thereafter be treated as CONFIDENTIAL in
accordance with this Protective Order. In connection with a motion filed under
this provision, the party designating the information as CONFIDENTIAL shall
bear the burden of establishing that good cause exists for the disputed
information to be treated as CONFIDENTIAL.
12. At the conclusion of this case, unless other arrangements are agreed upon, each
document and all copies thereof which have been designated as
CONFIDENTIAL shall be returned to the party that designated it
CONFIDENTIAL, or the parties may elect to destroy CONFIDENTIAL
documents. Where the parties agree to destroy CONFIDENTIAL documents,
the destroying party shall provide all parties with an affidavit confirming the
destruction.
13. This Protective Order shall have no force and effect on the use of any
CONFIDENTIAL INFORMATION at trial in this matter.
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 6 of 7
6
14. This Protective Order may be modified by the Court at any time for good cause
shown following notice to all parties and an opportunity for them to be heard.
BY THE COURT
UNITED STATES DISTRICT JUDGE
Case 1:15-cv-07433-RWS Document 39-1 Filed 03/02/16 Page 7 of 7
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF VIRGINIA GIUFFRE’S RESPONSE TO DEFENDANT’S
MOTION FOR PROTECTIVE ORDER
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submits
this Response to Defendant’s Motion for A Protective Order.
I. BACKGROUND
On February 5, 2016, Plaintiff, Virginia Giuffre, noticed Defendant Maxwell’s deposition
for March 2, 2016. See Sigrid McCawley Declaration (hereinafter “McCawley Decl.”) at Exhibit
1. Due to Defendant’s counsel’s scheduling conflict, Ms. Giuffre re-noticed the deposition to
March 25, 2016. See McCawley Decl. at Exhibit 2. Defendant demanded that Ms. Giuffre agree
to a Protective Order before Defendant would agree to sit for her deposition. See McCawley
Decl. at Exhibit 3, (E-mail from Laura Menninger stating: “We have not and will not accept the
date of March 25, or any other date, for Ms. Maxwell’s deposition until a protective order is in
place.”). In an effort to move forward with the Defendant’s deposition without further delay,
Ms. Giuffre stated that she would be willing to “agree to a reasonable Protective Order being in
place in this case” and attached a redlined version of Defendant’s proposed Protective Order.
2
See McCawley Decl. at Exhibit 4, McCawley e-mail correspondence dated February 26, 2016.
Ms. Giuffre also communicated that she would agree to treat Maxwell’s deposition as
confidential until such time as the Court would enter a Protective Order, to remove any need to
delay Defendant’s March 25, 2016 deposition. Defendant never responded to Ms. Giuffre’s
proposed revisions to the Protective Order: instead, she filed this Motion.
II. ARGUMENT
Ms. Giuffre does not oppose the entrance of a Protective Order in this case, but does
oppose a Protective Order in the form proposed by Defendant because it is overly broad and can
lead to abuse and over designation of material as “confidential.” Ms. Giuffre’s proposal1, which
is attached in both a redlined version and a clean version (See McCawley Decl. at Exhibit 5),
addresses the following important issues:
· Opening Paragraph: Given the fact that this case involves sexual abuse
allegations of a minor child, Ms. Giuffre defined confidential information as:
“including sensitive personal information relating to a victim of sexual abuse,
copyright or trade secrets, commercially sensitive information or proprietary
information.” Ms. Giuffre disagrees with Defendant’s broad definition which
provided “or information which will improperly annoy, embarrass or oppress any
party, witness or person providing discovery in the case.” There are a number of
problems with Defendant’s proposed language, for example, evidence that
demonstrates that Maxwell engaged in abuse of a minor is clearly “embarrassing”
but that should not be deemed “confidential” solely because Maxwell does not
want her crimes to be made public. Allowing Maxwell to make overly broad
1 Exhibit 5 varies slightly from Exhibit 4, the version sent to opposing counsel, because Ms. Giuffre
corrected some typographical and spelling issues.
3
confidentiality designations of that type of discovery would wrongfully allow the
abuser to hide behind a claim of confidentiality.
· Purposes and Limitations: Ms. Giuffre’s proposed revisions include an
introductory “purpose” section which sets forth a requirement that confidential
designations must be made in “good faith.” Ms. Giuffre contends this section is
important to place an obligation on counsel to act in good faith and avoid broad
sweeping confidentiality designations.
· Paragraph 3: In paragraph 3, Ms. Giuffre struck the word “implicates” and
replaced it with “is covered by” because many things can “implicate” but only
those things that are actually “covered by a common law and statutory privacy
protection” should be deemed “confidential”. Ms. Giuffre also added “or any
non-party that was subject to sexual abuse” because she anticipates there will be
non-party witnesses in this case testifying to abuse they endured, and the nonparties
should, likewise, be able to protect that sensitive personal information with
a confidentiality designation. Accordingly, if Ms. Giuffre’s proposal is accepted,
Paragraph 3 will read: “Information designated “Confidential” shall be
information that is confidential and is covered by common law and statutory
privacy protections of (a) plaintiff Virginia Giuffre (b) defendant Ghislaine
Maxwell or (c) any non-party that was subject to sexual abuse.”
· Paragraph 4: Paragraph 4 provides: “Confidential information shall not be
disclosed or used for any purpose except the preparation and trial of this case.”
Ms. Giuffre proposed adding to this sentence: “and any related matter, including
but not limited to, investigations by law enforcement.” Ms. Giuffre’s addition is
4
important because Defendant should not be able to shield her conduct from
review by law enforcement by cloaking it in a “confidential” designation.
· Paragraph 5: Paragraph 5 addresses who may view confidential information and
Ms. Giuffre proposed adding to that list: “(h) any person (1) who authored or
received the particular Protected Material; (2) who has or had at any point in time
access to the Protected Material outside of the context of this action; or (3) for
which there is a good faith basis to conclude that the individual has earlier
received or seen such Protected Material. and (j) any other person by written
agreement of the parties or by Order of a Court of competent jurisdiction.” Ms.
Giuffre made the proposed addition above because she contends it will alleviate
debate over a document that has been marked “confidential” by one party but is a
document that has been previously disclosed to certain individuals.
· Paragraph 11: Ms. Giuffre revised the protocol for challenging the designation
of a document as “confidential” in order to stream line that process as follows:
“(a) A Party shall not be obligated to challenge the propriety of any designation of
discovery material under this Order at the time the designation is made, and a
failure to do so shall not preclude a subsequent challenge thereto. Moreover,
failure to challenge the designation of any discovery material as
CONFIDENTIAL shall not in any way constitute an admission that such material
contains any competitively sensitive information, trade secret information, or
other protectable material. (b) In the event that counsel for the Party receiving
Protected Material objects to the CONFIDENTIAL designation of any or all such
items, said counsel shall provide the Producing Party and, if different, the
5
Designating Party written notice of, and the basis for, such objections. The
Parties will use their best efforts to resolve such objections among themselves.
Should the Receiving Party, the Producing Party and, if different, the Designating
Party be unable to resolve the objections, the Receiving Party may seek a hearing
before this Court with respect to the propriety of the designation. The
Designating Party will cooperate in obtaining a prompt hearing with respect
thereto. Pending a resolution, the discovery material in question shall continue to
be treated as Protected Material as provided hereunder. The burden of proving
that Discovery Material is properly designated shall at all times remain with the
Designating Party.”
· Paragraph 13: Ms. Giuffre added paragraph 13 to provide protection for nonparty
witnesses who are subpoenaed in this case and are asked to disclose
sensitive information regarding sexual abuse they may have endured. This
paragraph provides a non-party with the opportunity to designate that sensitive
information as “confidential”. The added paragraph 13 provides: “With respect to
any Discovery Material produced by such non-party, the non-party may invoke
the terms of this Order in writing to all Parties by designating discovery material
“CONFIDENTIAL” or “HIGHLY CONFIDENTIAL—ATTORNEYS’ EYES
ONLY”. Any such Protected Material produced by the non-party designated
“CONFIDENTIAL” or ““HIGHLY CONFIDENTIAL—ATTORNEYS’ EYES
ONLY” shall be subject to the restrictions contained in this Order and shall only
be disclosed or used in a manner consistent with this Order.”
6
· Paragraph 14: Ms. Giuffre added paragraph 14 to protect a circumstance of an
inadvertent failure to designate and to include a protocol for how to handle a
retroactive designation in that circumstance. The added paragraph 14 provides:
“In the event that any Producing Party inadvertently produces Discovery Material
eligible for designation as CONFIDENTIAL or HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY without such designation, the Parties agree that the
Producing Party may retroactively apply the correct designation. If a Producing
Party makes a subsequent designation, the Receiving Party will treat the Protected
Material according to the retroactive designation, including undertaking best
efforts to retrieve all previously distributed copies from any recipients now
ineligible to access the Protected Material.”
· Paragraph 15: Ms. Giuffre also added a paragraph on “Limitations” to clarify
that information that has been previously disclosed or is publicly available cannot
be restricted from disclosure. Specifically, Ms. Giuffre added the following:
“Limitations. Nothing in this Order shall restrict in any way the use or disclosure
of Protected Material by a Receiving Party (a) that is or has become publicly
known through no fault of the Receiving Party; (b) that is lawfully acquired by or
known to the Receiving Party independent of the Producing Party; (c) that was
previously produced, disclosed, and/or provided by the Producing Party to the
Receiving Party or a non-party without an obligation of confidentiality and not by
inadvertence or mistake; (d) with the consent of the Producing Party and, if
different, the Designating Party; (e) pursuant to Order of the Court; or (f) for
purposes of law enforcement.”
7
As addressed above, Ms. Giuffre proposed revisions to ensure that the Protective Order is
fair and limited in scope so as not to be subject to abuse. For the foregoing reasons, Ms. Giuffre
respectfully requests that the Court grant Ms. Giuffre’s proposed revisions set forth in Exhibit 5.
See McCawley Decl. at Exhibit 5.
Dated: March 4, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
8
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 4, 2016, I electronically filed the foregoing document
with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing document is
being served this day on the individuals identified below via transmission of Notices of Electronic
Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF PLAINTIFF’S
RESPONSE TO DEFENDANT’S MOTION FOR PROTECTIVE ORDER
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Response to Defendant’s Motion for Protective Order.
3. Attached hereto as Exhibit 1, is a true and correct copy of Plaintiff’s February 5,
2016 Notice of Taking Videotaped Deposition of Defendant Ghislaine Maxwell.
4. Attached hereto as Exhibit 2, is a true and correct copy of the Re-Notice of
Taking Videotaped Deposition of Defendant Ghislaine Maxwell.
5. Attached hereto as Exhibit 3, is a true and correct copy of Defendant’s counsel,
Laura Menninger’s February 25, 2016 Email Correspondence to Sigrid McCawley.
2
6. Attached hereto as Exhibit 4, is a true and correct copy of the Plaintiff’s proposed
Protective Order in redline format and clean format sent to Laura Menninger on February 25,
2016.
7. Attached hereto as Exhibit 5, is a true and correct copy of Plaintiff’s proposed
Protective Order in redline format and clean version.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
3
Dated: March 4, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 4, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
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EXHIBIT 5
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 1 of 18
United States District Court
Southern District Of New York
Virginia L. Giuffre,
Plaintiff,
v. 15-cv-07433-RWS
Ghislaine Maxwell,
Defendant.
[PROPOSED] PROTECTIVE ORDER
Upon a showing of good cause in support of the entry of a protective order to protect
the discovery and dissemination of confidential information, including sensitive personal
information relating to a victim of sexual abuse, copyright or trade secrets, commercially
sensitive information, or proprietary information. or information which will improperly annoy,
embarrass, or oppress any party, witness, or person providing discovery in this case,
Purposes And Limitations
The Parties acknowledge that this Order does not confer blanket protections on all
disclosures during discovery. Designations under this Order shall be made sparingly, with care,
and shall not be made absent a good faith belief that the designated material satisfies the criteria
set forth herein. If it comes to a Designating Party’s attention that designated material does not
qualify for protection at all, or does not qualify for the level of protection initially asserted, the
Designating Party must promptly notify all other parties that it is withdrawing or changing the
designation.
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 2 of 18
IT IS ORDERED:
1. This Protective Order shall apply to all documents, materials, and information,
including without limitation, documents produced, answers to interrogatories,
responses to requests for admission, deposition testimony, and other information
disclosed pursuant to the disclosure or discovery duties created by the Federal
Rules of Civil Procedure.
2. As used in this Protective Order, “document” is defined as provided in
FED.R.CIV.P. 34(a). A draft or non-identical copy is a separate document within
the meaning of this term.
3. Information designated “CONFIDENTIAL” shall be information that is
confidential and implicates is covered by common law and statutory privacy
interests protections of (a) plaintiff Virginia Roberts Giuffre and (b) defendant
Ghislaine Maxwell or (c) any non-party that was subject to sexual abuse.
4. CONFIDENTIAL information shall not be disclosed or used for any purpose
except the preparation and trial of this case and any related matter, including
but not limited to, investigations by law enforcement.
5. CONFIDENTIAL documents, materials, and/or information (collectively
“CONFIDENTIAL INFORMATION”) shall not, without the consent of the
party producing it or further Order of the Court, be disclosed except that such
information may be disclosed to:
a. attorneys actively working on this case;
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 3 of 18
3
b. persons regularly employed or associated with the attorneys actively
working on this case whose assistance is required by said attorneys in the
preparation for trial, at trial, or at other proceedings in this case;
c. the parties;
d. expert witnesses and consultants retained in connection with this
proceeding, to the extent such disclosure is necessary for preparation, trial
or other proceedings in this case;
e. the Court and its employees (“Court Personnel”) in this case;
f. stenographic reporters who are engaged in proceedings necessarily incident
to the conduct of this action;
g. deponents, witnesses, or potential witnesses; and
h. any person (1) who authored or received the particular Protected Material; (2)
who has or had at any point in time access to the Protected Material outside of
the context of this action; or (3) for which there is a good faith basis to
conclude that the individual has earlier received or seen such Protected
Material; and
hi. any other persons by written agreement of the parties or by Order of a Court
of competent jurisdiction.
6. Prior to disclosing any CONFIDENTIAL INFORMATION to any person
listed above (other than counsel, persons employed by counsel, Court
Personnel and stenographic reporters), counsel shall provide such person with
a copy of this Protective Order and obtain from such person a written
acknowledgment stating that he or she has read this Protective Order and
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 4 of 18
4
agrees to be bound by its provisions. All such acknowledgments shall be
retained by counsel and shall be subject to in camera review by the Court if
good cause for review is demonstrated by opposing counsel.
7. Documents are designated as CONFIDENTIAL by placing or affixing on them
(in a manner that will not interfere with their legibility) the following or other
appropriate notice: “CONFIDENTIAL.” Discovery material designated
CONFIDENTIAL shall be identified by Bates number. To the extent practical,
the respective legend shall be placed near the Bates number.
8. Designation of a document as CONFIDENTIAL INFORMATION shall
constitute a representation that such document has been reviewed by an
attorney for the designating party, that there is a valid and good faith basis for
such designation, made at the time of disclosure or production to the receiving
party, and that disclosure of such information to persons other than those
permitted access to such material would cause a privacy harm to the
designating party.
9. Whenever a deposition involves the disclosure of CONFIDENTIAL
INFORMATION, the deposition or portions thereof shall be designated as
CONFIDENTIAL and shall be subject to the provisions of this Protective
Order. Such designation shall be made on the record during the deposition
whenever possible, but a party may designate portions of depositions as
CONFIDENTIAL after transcription, provided written notice of the
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 5 of 18
5
designation is promptly given to all counsel of record within thirty (30) days
after notice by the court reporter of the completion of the transcript, and until
the expiration of such thirty (30) days after notice by the court reporter of the
completion of the transcript, no party or counsel for any such party may share
the contents of the deposition outside the limitations of this Protective Order.
10. Whenever a party seeks to file any document or material containing
CONFIDENTIAL INFORMATION with the Court in this matter, it shall be
accompanied by a Motion to Seal pursuant to Section 6.2 of the Electronic Case
Filing Rules & Instructions for the Southern District of New York.
A party may object to the designation of particular CONFIDENTIAL
INFORMATION by giving written notice to the party designating the disputed
information. The written notice shall identify the information to which the objection is
made. If the parties cannot resolve the objection within ten (10) business days after the
time the notice is received, it shall be the obligation of the party designating the
information as CONFIDENTIAL to file an appropriate motion requesting that the Court
determine whether the disputed information should be subject to the terms of this
Protective Order. If such a motion is timely filed, the disputed information shall be
treated as CONFIDENTIAL under the terms of this Protective Order until the Court rules
on the motion. If the designating party fails to file such a motion within the prescribed
time, the disputed information shall lose its designation as CONFIDENTIAL and shall
not thereafter be treated as CONFIDENTIAL in accordance with this Protective Order. In
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 6 of 18
connection with a motion filed under this provision, the party designating the information
as CONFIDENTIAL shall bear the burden of establishing that good cause exists for the
disputed information to be treated as CONFIDENTIAL.
11. Challenging Designations Of Protected Material
(a) A Party shall not be obligated to challenge the propriety of any designation of
dDiscovery mMaterial under this Order at the time the designation is made, and a
failure to do so shall not preclude a subsequent challenge thereto. Moreover,
failure to challenge the designation of any dDiscovery mMaterial as
CONFIDENTIAL or HIGHLY CONFIDENTIAL—ATTORNEYS’ EYES
ONLY shall not in any way constitute an admission that such material contains
any competitively sensitive information, trade secret information, or other
protectable material.
12. (b) In the event that counsel for the Party receiving
CONFIDENTIALProtected Material objects to the CONFIDENTIAL or
HIGHLY CONFIDENTIAL—ATTORNEYS’ EYES ONLY designation of any
or all such items, said counsel shall provide the Producing Party and, if different,
the Designating Party written notice of, and the basis for, such objections. The
Parties will use their best efforts to resolve such objections among themselves.
Should the Receiving Party, the Producing Party and, if different, the Designating
Party be unable to resolve the objections, the Receiving Party may seek a hearing
before this Court with respect to the propriety of the designation. The
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 7 of 18
Designating Party will cooperate in obtaining a prompt hearing with respect
thereto. Pending a resolution, the discovery material in question shall continue to
be treated as CONFIDENTIALProtected Material as provided hereunder. The
burden of proving that dDiscovery mMaterial is properly designated shall at all
times remain with the Designating Party.
12. At the conclusion of this case, unless other arrangements are agreed upon, each
document and all copies thereof which have been designated as CONFIDENTIAL
shall be returned to the party that designated it CONFIDENTIAL, or the parties
may elect to destroy CONFIDENTIAL documents. Where the parties agree to
destroy CONFIDENTIAL documents, the destroying party shall provide all parties
with an affidavit confirming the destruction.
13. With respect to any dDiscovery mMaterial produced by such non-party, the nonparty
may invoke the terms of this Order in writing to all Parties by designating
dDiscovery mMaterial “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY”. Any such pProtected mMaterial produced by the
non-party designated “CONFIDENTIAL” or ““HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY” shall be subject to the restrictions contained in this
Order and shall only be disclosed or used in a manner consistent with this Order.
14. In the event that any Producing Party inadvertently produces dDiscovery
mMaterial eligible for designation as CONFIDENTIAL or HIGHLY
CONFIDENTIAL—ATTORNEYS’ EYES ONLY without such designation, the
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 8 of 18
Parties agree that the Producing Party may retroactively apply the correct
designation. If a Producing Party makes a subsequent designation, the Receiving
Party will treat the Protected Material according to the retroactive designation,
including undertaking best efforts to retrieve all previously distributed copies from
any recipients now ineligible to access the Protected Material.
13. .15. Limitations. Nothing in this Order shall restrict in any way the use or
disclosure of CONFIDENTIAL materialProtected Material by a Receiving Party
(a) that is or has become publicly known through no fault of the Receiving Party;
(b) that is lawfully acquired by or known to the Receiving Party independent of
the Producing Party; (c) that was previously produced, disclosed, and/or provided
by the Producing Party to the Receiving Party or a non-party without an
obligation of confidentiality and not by inadvertence or mistake; (d) with the
consent of the Producing Party and, if different, the Designating Party; (e)
pursuant to Order of the Court; or (f) for purposes of law enforcement.
14. 165. This Protective Order shall have no force and effect on the use of any
CONFIDENTIAL INFORMATION at trial in this matter.
17.17. This Protective Order may be modified by the Court at any time for good cause
shown following notice to all parties and an opportunity for them to be heard.
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Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 9 of 18
BY THE COURT
UNITED STATES DISTRICT JUDGE Formatted: Font: 12 pt
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 10 of 18
1
United States District Court
Southern District Of New York
Virginia L. Giuffre,
Plaintiff,
v. 15-cv-07433-RWS
Ghislaine Maxwell,
Defendant.
[PROPOSED] PROTECTIVE ORDER
Upon a showing of good cause in support of the entry of a protective order to protect
the discovery and dissemination of confidential information, including sensitive personal
information relating to a victim of sexual abuse, copyright or trade secrets, commercially
sensitive information, or proprietary information.
Purposes And Limitations
The Parties acknowledge that this Order does not confer blanket protections on all
disclosures during discovery. Designations under this Order shall be made sparingly, with care,
and shall not be made absent a good faith belief that the designated material satisfies the criteria
set forth herein. If it comes to a Designating Party’s attention that designated material does not
qualify for protection at all, or does not qualify for the level of protection initially asserted, the
Designating Party must promptly notify all other parties that it is withdrawing or changing the
designation.
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 11 of 18
2
IT IS ORDERED:
1. This Protective Order shall apply to all documents, materials, and information,
including without limitation, documents produced, answers to interrogatories,
responses to requests for admission, deposition testimony, and other information
disclosed pursuant to the disclosure or discovery duties created by the Federal
Rules of Civil Procedure.
2. As used in this Protective Order, “document” is defined as provided in
FED.R.CIV.P. 34(a). A draft or non-identical copy is a separate document within
the meaning of this term.
3. Information designated “CONFIDENTIAL” shall be information that is
confidential and is covered by common law and statutory privacy protections of
(a) plaintiff Virginia Roberts Giuffre and (b) defendant Ghislaine Maxwell or
(c) any non-party that was subject to sexual abuse.
4. CONFIDENTIAL information shall not be disclosed or used for any purpose
except the preparation and trial of this case and any related matter, including
but not limited to, investigations by law enforcement.
5. CONFIDENTIAL documents, materials, and/or information (collectively
“CONFIDENTIAL INFORMATION”) shall not, without the consent of the
party producing it or further Order of the Court, be disclosed except that such
information may be disclosed to:
a. attorneys actively working on this case;
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 12 of 18
3
b. persons regularly employed or associated with the attorneys actively
working on this case whose assistance is required by said attorneys in the
preparation for trial, at trial, or at other proceedings in this case;
c. the parties;
d. expert witnesses and consultants retained in connection with this
proceeding, to the extent such disclosure is necessary for preparation, trial
or other proceedings in this case;
e. the Court and its employees (“Court Personnel”) in this case;
f. stenographic reporters who are engaged in proceedings necessarily incident
to the conduct of this action;
g. deponents, witnesses, or potential witnesses;
h. any person (1) who authored or received the particular Protected Material; (2)
who has or had at any point in time access to the Protected Material outside of
the context of this action; or (3) for which there is a good faith basis to
conclude that the individual has earlier received or seen such Protected
Material; and
i. any other persons by written agreement of the parties or by Order of a Court
of competent jurisdiction.
6. Prior to disclosing any CONFIDENTIAL INFORMATION to any person
listed above (other than counsel, persons employed by counsel, Court
Personnel and stenographic reporters), counsel shall provide such person with
a copy of this Protective Order and obtain from such person a written
acknowledgment stating that he or she has read this Protective Order and
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 13 of 18
4
agrees to be bound by its provisions. All such acknowledgments shall be
retained by counsel and shall be subject to in camera review by the Court if
good cause for review is demonstrated by opposing counsel.
7. Documents are designated as CONFIDENTIAL by placing or affixing on them
(in a manner that will not interfere with their legibility) the following or other
appropriate notice: “CONFIDENTIAL.” Discovery material designated
CONFIDENTIAL shall be identified by Bates number. To the extent practical,
the respective legend shall be placed near the Bates number.
8. Designation of a document as CONFIDENTIAL INFORMATION shall
constitute a representation that such document has been reviewed by an
attorney for the designating party, that there is a valid and good faith basis for
such designation, made at the time of disclosure or production to the receiving
party, and that disclosure of such information to persons other than those
permitted access to such material would cause a privacy harm to the
designating party.
9. Whenever a deposition involves the disclosure of CONFIDENTIAL
INFORMATION, the deposition or portions thereof shall be designated as
CONFIDENTIAL and shall be subject to the provisions of this Protective
Order. Such designation shall be made on the record during the deposition
whenever possible, but a party may designate portions of depositions as
CONFIDENTIAL after transcription, provided written notice of the
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 14 of 18
5
designation is promptly given to all counsel of record within thirty (30) days
after notice by the court reporter of the completion of the transcript, and until
the expiration of such thirty (30) days after notice by the court reporter of the
completion of the transcript, no party or counsel for any such party may share
the contents of the deposition outside the limitations of this Protective Order.
10. Whenever a party seeks to file any document or material containing
CONFIDENTIAL INFORMATION with the Court in this matter, it shall be
accompanied by a Motion to Seal pursuant to Section 6.2 of the Electronic Case
Filing Rules & Instructions for the Southern District of New York.
11. Challenging Designations Of Protected Material
(a) A Party shall not be obligated to challenge the propriety of any designation of
discovery material under this Order at the time the designation is made, and a
failure to do so shall not preclude a subsequent challenge thereto. Moreover,
failure to challenge the designation of any discovery material as
CONFIDENTIAL or HIGHLY CONFIDENTIAL—ATTORNEYS’ EYES
ONLY shall not in any way constitute an admission that such material
contains any competitively sensitive information, trade secret information, or
other protectable material.
(b) In the event that counsel for the Party receiving CONFIDENTIAL Material
objects to the CONFIDENTIAL or HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY designation of any or all such items, said
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 15 of 18
6
counsel shall provide the Producing Party and, if different, the Designating
Party written notice of, and the basis for, such objections. The Parties will use
their best efforts to resolve such objections among themselves. Should the
Receiving Party, the Producing Party and, if different, the Designating Party
be unable to resolve the objections, the Receiving Party may seek a hearing
before this Court with respect to the propriety of the designation. The
Designating Party will cooperate in obtaining a prompt hearing with respect
thereto. Pending a resolution, the discovery material in question shall
continue to be treated as CONFIDENTIAL as provided hereunder. The
burden of proving that discovery material is properly designated shall at all
times remain with the Designating Party.
12. At the conclusion of this case, unless other arrangements are agreed upon, each
document and all copies thereof which have been designated as CONFIDENTIAL
shall be returned to the party that designated it CONFIDENTIAL, or the parties
may elect to destroy CONFIDENTIAL documents. Where the parties agree to
destroy CONFIDENTIAL documents, the destroying party shall provide all parties
with an affidavit confirming the destruction.
13. With respect to any discovery material produced by such non-party, the non-party
may invoke the terms of this Order in writing to all Parties by designating
discovery material “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY”. Any such protected material produced by the
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 16 of 18
7
non-party designated “CONFIDENTIAL” or ““HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY” shall be subject to the restrictions contained in this
Order and shall only be disclosed or used in a manner consistent with this Order.
14. In the event that any Producing Party inadvertently produces discovery material
eligible for designation as CONFIDENTIAL or HIGHLY CONFIDENTIAL—
ATTORNEYS’ EYES ONLY without such designation, the Parties agree that the
Producing Party may retroactively apply the correct designation. If a Producing
Party makes a subsequent designation, the Receiving Party will treat the Protected
Material according to the retroactive designation, including undertaking best
efforts to retrieve all previously distributed copies from any recipients now
ineligible to access the Protected Material.
15. Limitations. Nothing in this Order shall restrict in any way the use or disclosure
of CONFIDENTIAL material by a Receiving Party (a) that is or has become
publicly known through no fault of the Receiving Party; (b) that is lawfully
acquired by or known to the Receiving Party independent of the Producing Party;
(c) that was previously produced, disclosed, and/or provided by the Producing
Party to the Receiving Party or a non-party without an obligation of
confidentiality and not by inadvertence or mistake; (d) with the consent of the
Producing Party and, if different, the Designating Party; (e) pursuant to Order of
the Court; or (f) for purposes of law enforcement.
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 17 of 18
8
16. This Protective Order shall have no force and effect on the use of any
CONFIDENTIAL INFORMATION at trial in this matter.
17. This Protective Order may be modified by the Court at any time for good cause
shown following notice to all parties and an opportunity for them to be heard.
BY THE COURT
__________________________________
UNITED STATES DISTRICT JUDGE
Case 1:15-cv-07433-RWS Document 41-5 Filed 03/04/16 Page 18 of 18
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S COMBINED MEMORANDUM OF LAW IN
OPPOSITION TO PLAINTIFF’S MOTIONS TO COMPEL THE
PRODUCTION OF DOCUMENTS SUBJECT TO IMPROPER CLAIM OF
PRIVILEGE AND SUBJECT TO IMPROPER OBJECTIONS
Laura A. Menninger
HADDON, MORGAN AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
...........................................
....
1
ARGUMENT
I. PLAINTIFF FAILED TO COMPLY WITH HER REQUIREMENT TO
CONFER IN GOOD FAITH PRIOR TO FILING MOTIONS TO COMPEL
Rule 37(a)(1) of the Federal Rules of Civil Procedure mandates that a motion to
compel “must include a certification that the movant has in good faith conferred or
attempted to confer with the person or party failing to make disclosure or discovery in an
effort to obtain it without court action.” (emphasis added) Notwithstanding this Rule,
Plaintiff filed two Motions to Compel (Doc. #s 33 and 35), neither of which includes the
required certification. More importantly, Plaintiff, in direct contradiction to both the
letter and spirit of Rule 37, did not make any effort to confer with Ms. Maxwell’s counsel
regarding any of the issues presented in her Motions to Compel. This significant
deficiency alone warrants the denial of both Motions. Auto. Club of New York, Inc. v.
Port Auth. Of New York & New Jersey, No. 11 CIV. 6746 RKE HBP, 2012 WL 4791804,
at *6 (S.D.N.Y. Oct. 9, 2012) (failure to make any attempts to resolve any specific
discovery disputes “alone is a sufficient ground for denying the motion [to compel]”);
Prescient Partners, L.P. v. Fieldcrest Cannon, Inc. 96-CV-7590 (DAB)(JCF), 1998 WL
67672, at *3 (S.D.N.Y. Feb. 18, 1998) (“Ordinarily…a motion to compel must be denied
where the parties have failed to meet and confer.”); Dorchester Fin. Holdings Corp. v.
Banco BRJ, S.A., No. 11-CV-1529 KMW KNF, 2014 WL 3747167, at *5 (S.D.N.Y. July
28, 2014) (same).1
The purpose of Rule 37(a)(1) is to encourage the parties to informally resolve
discovery disputes in an effort to avoid the unnecessary time and expense of motion
1 Indeed, during the time period in which Plaintiff was drafting her voluminous Motions
to Compel, Ms. Maxwell’s counsel was busy conferring with Plaintiff’s counsel on a number of
different discovery disputes, including location of depositions, timing of depositions, a protective
order, and Plaintiff’s responses to interrogatories. See generally Plaintiff’s Letter Motion of
February 26, 2016, Attachments (filed in contravention of this Court’s Individual Practices 1(A),
“Copies of correspondence between counsel shall not be sent to this Court.”). The product of
those conferrals was resolution of many of the parties’ issues.
2
practice and formal court hearings. See Notes of Advisory Committee on Rules—1993
Amendment. Here, had Plaintiff conferred with Ms. Maxwell prior to filing her motions
to compel, several issues could have been resolved without Court intervention. While
this list is by no means exhaustive, Ms. Maxwell highlights the following disputed areas
that likely could be resolved by a conferral among counsel:
First, Plaintiff argues that the Ms. Maxwell’s privilege log is inadequate, in part
because she does not assert “that individuals such as Brett Jaffe, Philip Barden, or Martin
Weinberg represent her, or that any attorney-client relationship exists between them.”
(Mot. Compel Priv. at 13). Certainly, court intervention is unnecessary to resolve the
question of whether a certain attorney represented Ms. Maxwell at the time claimed in a
privilege log entry. Local Civil Rule 26.2 requires that for written communications, a
privilege log should include the author of the document, the addressees of the document,
and any other recipients and “where not apparent, the relationship of the author,
addressees and recipients to each other.” Neither the Local Rules nor the Federal Rules
require a privilege log to include explanation or proof that an attorney-client relationship
existed between an author and recipient of an email. In her log, Ms. Maxwell included
the names of the parties to the communication and described the relationship of the
parties. For example, in an entry for an email dated January 10, 2015, between Ms.
Maxwell and Philip Barden, Esq., Ms. Maxwell described the relationship of the parties
as “attorney/client.” If Plaintiff needed further clarification regarding that relationship,
she could have, and should have, conferred with Ms. Maxwell.2
Second, Plaintiff takes issue with Ms. Maxwell’s objection to Plaintiff’s asserted
“Relevant Time Period” of 1999 to the present. (Mot. Compel Imp. Obj. at 4-8). On this
issue, while the parties’ respective definitions of the Relevant Time Period are currently
far apart, it is likely that the parties would be able to reach a compromised limitation for
2 Perhaps Plaintiff needs reminding that she has in her possession, and indeed has filed
with this Court, documents reflecting Mr. Jaffe, Mr. Barden and Mr. Cohen’s representations of
Ms. Maxwell in the course of litigation and other proceedings associated with Plaintiff’s
allegations. A conferral on this point alone will save the parties’ expense in needlessly gathering
affidavits from various attorneys and will save the Court’s time.
3
many of Plaintiff’s requests. Such a compromise would either eliminate the need for
court intervention entirely or at the very least, drastically minimize the scope of any
potential motion to compel. For example, Plaintiff’s Request No. 22 asks for “All
documents relating to calendars, schedules or appointments for you from 1999 – present.”
The overbreadth of this request is obvious. And while this Request may technically yield
relevant documents, the Request could also yield such a large volume of unrelated
documents that the balance of the production would not be “proportional to the needs of
the case.” Fed. R. Civ. P. 26(b)(1).
Third, the majority of Plaintiff’s requests are presumptively overbroad. Plaintiff
routinely uses the phrases “all documents relating to” or “relating to” as part of her
requests for production of documents. See, e.g., Requests Nos. 1, 3, 6,7, 8, 10, 11, 17, 22,
23, 24, 32 and 33. Where the phrase “relating to” is not employed, Plaintiff uses equally
obtuse synonyms such as “reflecting” (Requests Nos. 34, 37) or “associated with.”
(Request No. 21).
“Relate” is a broad term. See, e.g., WEBSTER’S NEW WORLD DICTIONARY 1198
(2d Coll. Ed. 1986) (defining “relate” to mean, inter alia, “to connect or associate, as in
thought or meaning; show as having to do with,” “to have some connection or relation
(to),” and “to have reference (to)”). Courts have condemned the use of “related to” as
overbroad and have refused to compel a responding party to answer discovery requests
using the term. See, e.g., Meeker v. Life Care Ctrs. of Am., No. 14-CV-02101-WYDNYW,
2015 WL 4400533, at *4 (D. Colo. July 20, 2015) (denying motion to compel
response to interrogatory that required identification of all documents that “relate to”
drills or safety security training exercises “over a decade long span,” and holding that
interrogatory was “facially overbroad, and potentially sweep[s] in incidents that are not
proximate in location, time, and may not even be remotely of the “same type”); Avante
Int’l Tech., Inc. v. Hart Intercivic, Inc., No. CIV. 07-169-DRH, 2008 WL 2074093, at *3
(S.D. Ill. May 14, 2008) (“the court finds that the request to identify ‘all documents that
refer or relate to each such person's contribution’ to be overbroad and unduly
burdensome, and sustains the objection to that part of the interrogatory”); In re Urethane
4
Antitrust Litig., No. 04-MD-1616-JWL-DJW, 2008 WL 110896, at *1 (D. Kan. Jan. 8,
2008) (holding that a discovery request is overly broad and unduly burdensome on its
face if it uses an “omnibus term” such as “relating to,” because “such broad language
‘make[s] arduous the task of deciding which of numerous documents may conceivably
fall within its scope’”); Roda Drilling Co. v. Siegal, No. 07-CV-400-GFK-FHM, 2008
WL 2234652, at *2 (N.D. Okla. May 29, 2008) (finding that “many of the parties’
requests for production of documents are overbroad, as they request ‘all documents'
relating to or concerning a subject”), reconsideration denied in part, 2008 WL 3892067
(N.D. Okla. Aug. 14, 2008); Cotracom Commodity Trading Co. v. Seaboard Corp., 189
F.R.D. 655, 665 (D. Kan. 1999) (holding that challenged discovery request was facially
overbroad due to its use of the “omnibus phrase ‘relating to’”); Parsons v. Jefferson-Pilot
Corp., 141 F.R.D. 408, 412 (M.D.N.C. 1992) (“[b]road and undirected requests for all
documents which relate in any way to the complaint are regularly stricken as too
ambiguous”).
And, Plaintiff has expanded the dictionary definition of “relate” in her definition
section to make any attempt at deciding what documents might fall within the requests
impossible.
Respectfully, this is an issue that should be discussed by professional counsel to
attempt to craft a meaningful request, if possible. Here, no attempt has been made by
Plaintiff to do so.
In light of the many areas in which a compromise could be reached between the
parties, Plaintiff cannot claim her attempt to confer with Ms. Maxwell’s counsel would
have been futile. C.f. Alexander Interactive, Inc. v. Adorama, Inc., No. 12 CIV. 6680
PKC JCF, 2013 WL 6283511, at * 3 (S.D.N.Y. Dec. 4, 2013) (recognizing that the merits
of a discovery motion may be addressed despite a failure to confer where the papers
submitted by the parties “indicate[d] that both sides have dug in-indeed… Ordering the
parties to meet and confer is unlikely to resolve these disputes.”). Similarly, because this
case is in its relatively early stages (Ms. Maxwell has yet to answer the Complaint) there
are no temporal exigencies that would require immediate action. C.f. In re NASDAQ
5
Market-Makers Antitrust Litig., No. 94 Civ. 3996 (RWS), 1996 WL 187409, at *
(S.D.N.Y. April 18, 1996) (J. Sweet) (finding the failure to meet and confer was
mitigated by “the imminence of the deadlines for filing of papers relating to the class
certification motion…”).
II. PLAINTIFF’S COMPLAINT THAT MS. MAXWELL DID NOT “SUBMIT
EVIDENCE” TO SUPPORT HER CLAIMS OF PRIVILEGE IS
PREMATURE
In support of her Motion to Compel Documents Subject to Improper Claim of
Privilege, Plaintiff argues that Ms. Maxwell failed to satisfy her burden of establishing
privilege because she did not submit “competent evidence, usually through affidavits,
deposition testimony, or other admissible evidence.” Mot. Compel Priv. at 3. This
argument is premature.
The established practice in this Court is for the party to challenge an assertion of
privilege, after which the burden shifts to the withholding party to come forward with
evidence establishing the elements of the applicable privilege or protection. See Veleron
Holding, B.V. v. BNP Paribas SA,No. 12-CV-5966 CM RLE, 2014 WL 4184806, at *2
(S.D.N.Y. Aug. 22, 2014) (“Once an assertion of privilege is challenged, the withholding
party must ‘submit evidence…establishing only the challenged elements of the applicable
privilege or protection, with the ultimate burden of proof resting with the party asserting
the privilege or protection.’”) (quoting A.I.A. Holdings, S.A. v. Lehman Bros. Inc., 97-
CV-4978 (LMM), 2002 WL 31385824, at *6 (S.D.N.Y. Oct. 21, 2002)). Indeed, the
conferral process is exactly when the burden would shift to the withholding party. Thus,
the Motion to Compel should be denied as premature and Ms. Maxwell should be
afforded an opportunity to meet her burden.
For the foregoing reasons, Ms. Maxwell respectfully requests that the Court deny
Plaintiff’s Motions to Compel and order the parties to meet and confer in good faith, as
required under Rule 26(a)(1). Ms. Maxwell also respectfully requests permission to refile
her response to Plaintiff’s Motions in the event the conferral is unsuccessful.
Dated: March 4, 2016
6
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on March 4, 2016, I electronically filed this DEFENDANT’S
COMBINED MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFF’S
MOTIONS TO COMPEL THE PRODUCTION OF DOCUMENTS SUBJECT TO
IMPROPER CLAIM OF PRIVILEGE AND SUBJECT TO IMPROPER OBJECTIONS
with the Clerk of Court using the CM/ECF system which will send notification to all
counsel of record including the following:
Sigrid S. McCawley
Boies, Schiller & Flexner, LLP
East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/Nicole Simmons
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF, VIRGINIA GIUFFRE’S CONSOLIDATED REPLY IN SUPPORT OF
MOTIONS TO COMPEL THE PRODUCTION OF DOCUMENTS SUBJECT TO
IMPROPER OBJECTIONS AND IMPROPER CLAIM OF PRIVILEGE
BOIES, SCHILLER & FLEXNER LLP
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. ARGUMENT .........................................................................................................................2
1. Conference Is Futile When A Party Is Stonewalling Discovery. ..................................2
2. This Court Should Reject Defendant’s Improper Objections........................................5
3. This Court Should Grant Plaintiff’s Motion To Compel The
Production Of Documents Subject To Improper Claim Of Privilege. ..........................8
CONCLUSION .............................................................................................................................10
ii
TABLE OF AUTHORITIES
Page
Cases
Aqua Products, Inc. v. Aquaquality Pool & Spa, Inc.,
No. CV-05-2538 (DRH) (ARL), 2006 WL 2884913 (E.D.N.Y. Oct. 10, 2006).........................5
Egiazaryan v. Zalmayev,
290 F.R.D. 421 (S.D.N.Y. 2013).................................................................................................9
Gibbons v. Smith,
No. 01 CIV. 1224 (LAP), 2010 WL 582354 (S.D.N.Y. Feb. 11, 2010) .....................................2
Graham v. Ortiz,
No. 07-CV-1690 (JG)(LB), 2009 WL 4016055 (E.D.N.Y. Nov. 18, 2009) ...............................5
Metrokane, Inc. v. Built NY, Inc.,
No. 06-CIV-14447 (LAK-MHD), 2008 WL 4185865 (S.D.N.Y. Sept. 3, 2008) .......................2
Ottoson v. SMBC Leasing and Finance, Inc.
2015 WL 4597542 (S.D.N.Y. July 30, 2015)..............................................................................7
Rock Salt Co., LLC v. Norfolk S. Corp.,
228 F.R.D. 426 (W.D.N.Y. 2004) ...............................................................................................8
Safeco Ins. Co. of America v. M.E.S., Inc.,
No. 09-CV-3312, 2013 WL 1680684 (E.D.N.Y. Apr. 17, 2013)................................................3
Stinson v. City of New York,
No. 10 Civ. 4228(RWS), 2015 WL 4610422 (S.D.N.Y. July 23, 2015) ............................2, 5, 7
Time Inc. v. Simpson,
No. 02 Civ. 4917, 2002 WL 31844914 (S.D.N.Y. Dec. 18, 2002) .........................................3, 5
Veleron Holding, B.V. v. BNP Paribas SA,
No. 12-CV-5966 CM RLE, 2014 WL 4184806 (S.D.N.Y. Aug. 22, 2014)................................3
Statutes
Fed. R. Civ. P. 26 ........................................................................................................................1, 9
1
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submits this
Consolidated Reply in Support of her Motion to Compel the Production of Documents Subject to
Improper Claim of Privilege and Motion to Compel the Production of Documents Subject to
Improper Objections. For the reasons set forth below, this Court should grant Plaintiff’s Motions
in their entirety.
I. PRELIMINARY STATEMENT
It took an Order from this Court to force the Defendant to participate in and begin the
discovery process. From the moment this case began, it appears that the Defendant’s goal has
been obstruction and delay, with the apparent aim of avoiding discovery altogether. The
Defendant’s opposition brief is the perfect example of this ongoing tactic, because rather than
address the merits of her inadequate discovery responses, Defendant relies only on the misguided
argument that Ms. Giuffre failed to satisfy a meet and confer obligation. As Ms. Giuffre
demonstrates herein, no such requirement existed for these motions, as the Defendant’s persistence
in avoiding discovery rendered futile any attempt to engage in a meet and confer process.
From the outset of this litigation, the Defendant has consistently sought to avoid any
participation in the discovery process. Indeed, Ms. Giuffre served her discovery requests in
October – it is now March and the Defendant has only produced two (2) e-mails in response to
Ms. Giuffre’s discovery requests. This conduct began with a motion to stay all discovery in the
case, which this Court denied. Defendant also missed the deadline for filing her Rule 26
disclosures and then waited an additional three months before filing the Rule 26 disclosures.1
Additionally, when Ms. Giuffre’s counsel sought dates for Defendant’s deposition, Defendant’s
counsel responded that her client would not sit for deposition unless Ms. Giuffre agreed to waive
future rights in this case. See S. McCawley Decl. at Exhibit 1, Letter Brief to Judge Sweet
1 Rule 26(a)(1)(a), Fed. R. Civ. P. requires that parties produce certain discovery without awaiting a
discovery request.” (Emphasis added).
2
Regarding Defendant’s Refusal to Sit for a Deposition. To date, Defendant has still failed to agree
to sit for her deposition which was noticed a second time for March 25, 2016. Now, in response to
Ms. Giuffre’s requests for production, after requesting an additional extension of time to respond,
the Defendant submitted wholesale, blanket objections that are facially improper, and moreover,
Defendant unilaterally chose to eliminate over three-fourths of the time period of Ms. Giuffre’s
requests. With these responses, Defendant served a facially overbroad and legally deficient
privilege log, where, among other things, she repeatedly asserted attorney-client privilege over
communications that did not even involve an attorney. This repeated pattern of avoidance of
Defendant’s discovery obligations demonstrates the futility of any meet and confer.
Defendant’s meet and confer arguments are particularly ironic where, after waiting four
months to produce any discovery or her initial disclosures (then producing a mere two e-mails),
her opposition brief does not offer a single example of any willingness to reconsider her
improper, blanket objections. This Defendant appears to simply not want to participate in the
discovery process, and her failure to respond substantively is another effort to delay and prejudice
Ms. Giuffre’s ability to prosecute her case.
II. ARGUMENT
1. Conference Is Futile When A Party Is Stonewalling Discovery
“[C]ourts have recognized that the meet-and-confer requirement is not a prerequisite to
addressing the merits of a discovery motion and that it may be excused where the meet-and-confer
would be futile.” Gibbons v. Smith, No. 01 CIV. 1224 (LAP), 2010 WL 582354, at *2 (S.D.N.Y.
Feb. 11, 2010) (granting motion to compel). “[A] court may rule on a motion to compel even
where the meet and confer requirement is entirely lacking.” Stinson v. City of New York, (Sweet,
J.), No. 10 Civ. 4228(RWS), 2015 WL 4610422, at *5 (S.D.N.Y. July 23, 2015) (Internal citations
omitted) (granting in part motion to compel documents). See also Metrokane, Inc. v. Built NY,
3
Inc., No. 06CIV14447LAKMHD, 2008 WL 4185865, at *3 (S.D.N.Y. Sept. 3, 2008) (granting in
part motion for sanctions, finding that a met-and-confer session would have been futile); See also
Time Inc. v. Simpson, No. 02 Civ. 4917, 2002 WL 31844914, at *2 (S.D.N.Y. Dec. 18, 2002)
(holding that the moving party’s failure to satisfy meet and confer requirement does not warrant
rejecting its motion). 2
Similarly, where claims of privilege are in dispute, courts have recognized that there is no
“compromise” to be reached as to whether or not a document is privileged. See Veleron Holding,
B.V. v. BNP Paribas SA, No. 12-CV-5966 CM RLE, 2014 WL 4184806, at *3 (S.D.N.Y. Aug. 22,
2014) (“The principle separating the Parties was not amenable to compromise: either the privilege
applied or it did not.”) (rejecting argument of failure to meet and confer). See also Safeco Ins. Co.
of America v. M.E.S., Inc., No. 09–CV–3312, 2013 WL 1680684, at *4 (noting that “[i]n camera
review is ‘a practice both long-standing and routine in cases involving claims of privilege.”).
Defendant’s current attempt to stall discovery is through the submission of improper,
sweeping objections alleging overbreadth of Ms. Giuffre’s requests. As Ms. Giuffre demonstrated
in her motion, such objections are legally deficient, and the only way to move discovery forward
in this matter is to have the Court compel Defendant to produce the responsive documents that Ms.
Giuffre properly requested. It is also apparent that the only way Ms. Giuffre will be able to depose
Defendant – the opposing party in this case - is for this Court to Order her deposition. See S.
McCawley Decl. at Exhibit 1, Letter Brief to Judge Sweet Regarding Defendant’s Refusal to Sit
for a Deposition.
Defendant’s tactic of stonewalling and delay is the underlying problem, and requiring a
meet and confer prior to the Court addressing this conduct would reward Defendant’s
intransigence. The Complaint was filed September 21, 2015. Defendant’s responsive pleading
2 Defendant cites several cases from outside the jurisdiction. None are relevant because the facts and
circumstances in those cases make them inapposite as each result turned on specific facts not present here.
4
was due on October 13, 2015, but Defendant requested a month and a half extension of time until
November 30, 2015 to respond to the Complaint. The Court set the parties on a tight discovery
schedule with the close of discovery set for July 1, 2016. Ms. Giuffre served her discovery
requests on October 27, 2016. Defendant then waited until November 30, 2016, and rather than
respond to the discovery, she filed a Motion to Stay discovery which was ultimately denied by the
Court on January 20, 2016 (D.E. 28). The Court, in its January 20, 2016 Order, acknowledged
that Defendant already had substantial time to respond, noting that “Defendant was served with
the request on October 27, 2015 and has therefore had an additional month and a half to digest the
requests than is usually permitted by the Federal Rules of Civil Procedure.” See Order re Motion
to Stay Discovery, D.E. 28, at 7. After having delayed through more than half of the discovery
period granted by this Court, and after seeking an additional extension of time to respond to
discovery, rather than properly respond to Ms. Giuffre’s discovery, Defendant stonewalled,
lodging a litany of baseless objections including a substantial and unjustified reduction of the date
range covered by the requests. Ms. Giuffre’s requests were served in October, 2015. It is now
March, and Defendant has still failed to adequately respond to discovery.
Defendant has attempted to grant herself a de facto stay in discovery through intentional
delay, in contravention of this Court’s Order, and the Court must put an end to the gamesmanship.
These delay tactics are prejudicing Ms. Giuffre, as despite serving her requests in October of last
year, and despite it being less than four months before the discovery cut-off deadline, Defendant
has produced exactly two documents and has blocked any path forward in which to take her
deposition absent a Court order. See D.E. 13.
Courts consistently recognize that no meet and confer obligation exists in such a
circumstance, and this Court should reject defendant’s attempt at additional procedural delay.
“[Meet and confer] requirements are designed to promote efficiency in litigation, and that goal
5
would not be advanced by further delay in resolving these issues on the merits.” See Time Inc. v.
Simpson, No. 02 Civ. 4917, 2002 WL 31844914, at *2 (S.D.N.Y. Dec. 18, 2002) (holding that the
moving party’s failure to satisfy meet and confer requirement does not warrant rejecting its
motion).3
2. This Court Should Reject Defendant’s Improper Objections
Defendant’s overbreadth argument is a complete red herring, as Defendant does not -- and
cannot -- make the argument that any of the requests constitute an undue burden due to the volume
of the responsive documents at issue.4 Defendant is not a corporation; she is an individual with a
single set of emails and related electronic documents that would be responsive. This is not a case
where - and Defendant raises no claim that - complying with the document requests would result
in an unmanageable number of documents. Instead, Defendant is picking and choosing which
documents she will produce, and which documents she will keep hidden. She’s not making this
determination based on responsiveness, or based on undue burden, but, instead, based on
preference. This is impermissible.5 See Graham v. Ortiz, No. 07-CV-1690 (JG)(LB), 2009 WL
4016055, at *1 (E.D.N.Y. Nov. 18, 2009)(“Plaintiff does not get to pick and choose what
[discovery request] he will comply with”); Aqua Products, Inc. v. Aquaquality Pool & Spa, Inc.,
No. CV 05-2538 DRH ARL, 2006 WL 2884913, at *1 (E.D.N.Y. Oct. 10, 2006) (“Counsel cannot
3 While defendant argues that Ms. Giuffre’s counsel did not confer with her about her deficient discovery
responses, Ms. Giuffre’s counsel understood the Court’s individual practices to not require such a premotion
conference. Even if Ms. Giuffre’s counsel misunderstood the Court’s individual practices,
Defendant’s response proves that such conferral would have been futile because even in the response,
Defendant fails to make any concessions to her abusive refusal to produce responsive documents.
4 Defendant communicated neither to Ms. Giuffre nor to the Court that the requests would yield a
voluminous or unmanageable number of documents.
5 “When determining a motion to compel the production of ESI, a district court conducts a two-stage
inquiry: first, has the party resisting discovery shown that the information in question is not reasonably
accessible because of undue cost, and second, has the party requesting discovery nonetheless shown good
cause to obtain it?” Stinson v. City of New York, (Sweet, J.) 2015 WL 4610422, at *4 (Emphasis added).
6
pick and choose those documents that they believe satisfies the request; rather, they must provide
the plaintiff with all non-privileged responsive documents in their client's possession.”)
Most significant is the fact that Defendant unilaterally purports to limit her production,
which requested documents from 1999 to the present, to less than a quarter of what is requested,
arbitrarily refusing to produce highly relevant discovery.6 At the same time, she has propounded
discovery on Ms. Giuffre for a longer period of time: 1998 to the present.7 Ms. Giuffre sought
documents from 1999 to the present because the first part of that period is when she contends
convicted sex offender Jeffrey Epstein and Defendant were engaging in sexual trafficking conduct;
the later part of that period includes the investigations by law enforcement and the coconspirator’s
efforts to coordinate and cover up the abuse that occurred. Therefore, the entire time
period is highly relevant to the sexual abuse claims that underlie this defamation action.
Ms. Giuffre outlined in detail in her moving papers, using specific examples, why
documents from 1999 to the present are highly relevant to this action. (See D.E. 35 at 4-6.) For
example, flight logs show Defendant traveling on the convicted sex offender’s plane up to at least
2005; police reports in the Palm Beach investigation reveal the abuse occurred into the mid-
2000s; victim notification letters were sent in 2008; Defendant dodged a deposition in 2009 to
avoid having to answer questions about the abuse of Ms. Giuffre and others; and Defendant
continued to communicate with convicted sex offender Jeffrey Epstein until at least 2015. As
explained in Ms. Giuffre’s Motion to Compel, the abuse underlying this case started in or around
6 Defendant contends she will only produce documents for the month of December 31, 2014 to January 31,
2015 and from 1999 – 2002. Ms. Giuffre requested documents from 1999 to the present.
7 Specifically, Defendant does not define a “Relevant Period” in her Requests for Production. Instead, she
defines the time period within the individual requests, asking for documents from “1998 to the present,”
“since 1998,” “between 1998 and the present,” etc. This 1998-present “Relevant Period” applies to Nos. 5,
12, 14, 15, 17, 18, and 35, and many requests have no date restrictions whatsoever. See, e.g., Request No.
26, “All Documents concerning any prescription drugs taken by You, including the prescribing doctor, the
dates of said prescription, and the dates of any fulfillment of any such prescription.” In short, Defendant
requests documents from an even longer period of time than Ms. Giuffre does.
7
1999, and Defendant has continued her association with Jeffrey Epstein up until at least 2015,
when the defamatory statement was made, as evidenced by her privilege log. See McCawley
Decl. at Exhibit 2, Maxwell’s Privilege Log. Accordingly, Ms. Giuffre has shown good cause for
requiring the production of these documents. Indeed, this is not a situation where Defendant does
not have responsive documents during that time period. Defendant has admitted she has
responsive documents, but is simply refusing to produce the documents. Therefore, based upon
the timeline set forth in the moving papers, Ms. Giuffre respectfully requests that this Court direct
Defendant to produce responsive documents from 1999 to the present.
Defendant argues that the Requests for Production are “presumptively broad,” thus
apparently improper, because they employed terms such as “all documents” and “relating to.”8
That is not the law. “Although not unlimited, relevance, for purposes of discovery, is an
extremely broad concept.” Ottoson v. SMBC Leasing and Finance, Inc., (Sweet, J.) 2015 WL
4597542 at * 2 (S.D.N.Y. July 30, 2015) (granting motion to compel) (internal quotations
omitted); Stinson v. City of New York, (Sweet, J.), 2015 WL 4610422 (S.D.N.Y. July 23, 2015)
(granting in part motion to compel production).
8 In her Response, Defendant takes issue with Ms. Giuffre’s requests of “all documents” that “relate to”
various topics. However, Defendant also seeks from Ms. Giuffre “all documents” in 22 of her discovery
requests, and employs the term “relate” in 11 of her discovery requests, including requests such as “[a]ll
documents relating to any Communications occurring from 1998 to the present with . . .Sky Roberts,” who
is Ms. Giuffre’s father.
Furthermore, Defendant’s own definition of “relate” is expansive. Defendant states “relate,”
“related,” and “relating” “means concerning, referring to, responding to, relating to, pertaining to,
connected with, evidencing, commenting on, regarding, discussing, showing, describing, reflecting,
analyzing or constituting.” Defendant’s First Set of Discovery Requests to Plaintiff. Notably, her definition
also includes the terms “reflecting” and “regarding.”
Defendant’s Request for Production containing the term “all documents” are Nos. 2, 3, 4, 5, 10, 12,
13, 15,17,18, 21, 23,24, 25, 26, 27, 28, 29, 30, 31, 33, and 36. Defendant’s Request for Production
containing the term “any documents” are Nos. 9, 33, and 36. Defendant’s Request for Production
containing the term “relate” or “relating” are Nos. 3, 5, 10, 17, 21, 32, 33, 34, 35, and 36. The Requests for
Production containing the word “reflect” or “reflecting” are Nos. 4, 9, 11, 19, 20, 24, 28, 33, 35, and 36.
8
The contention that Ms. Giuffre’s Requests for Production are “presumptively overbroad”
is also directly refuted by the specific nature of the requests. Indeed, all of Ms. Giuffre’s
discovery requests with the term “relating to” are linked to specific topics that are highly relevant
to this action. For example, Request No. 6 seeks all communications that Defendant had with
Sarah Kellen. These documents are critical to this case because Sarah Kellen was questioned at
deposition in another action related to Defendant’s abuse of minor children, wherein Sarah Kellen
invoked her Fifth Amendment Privilege:
Q. Would you agree with me that Ghislaine Maxwell provides underage girls to
Mr. Epstein for sex?
***
A. Upon the instruction of my lawyer, I must invoke my Fifth Amendment
privilege.
See McCawley Decl. at Exhibit 3, Defendant’s Response to Plaintiff’s Request for Production of
Documents. For another example, Request No. 1 seeks “[a]ll documents relating to
communications with Jeffery Epstein from 1999 – Present.” These requests go to key issues in
this case. Defendant has admitted that she has documents responsive to request for documents
that go to the heart of this matter, she is simply refusing to produce them.
Defendant’s sweeping “overbroad” objections should be rejected because it is a
fundamentally misleading argument in furtherance of Defendant’s ongoing goal of delay. Am.
Rock Salt Co., LLC v. Norfolk S. Corp., 228 F.R.D. 426, 432 (W.D.N.Y. 2004) (“generalized
objections that discovery requests are vague, overly broad, or unduly burdensome are not
acceptable, and will be overruled.”). Therefore, this Court should require Defendant to produce
the documents she admits to withholding.
3. This Court Should Grant Plaintiff’s Motion To Compel The Production Of
Documents Subject To Improper Claim Of Privilege
There are four key problems with Defendant’s privilege log that result in finding of waiver,
or at least warrant in camera review. First, Defendant attempts to wrongfully claim that the
9
attorney-client privilege shields documents from production as to her communications with nonattorneys
(including communications between herself and public relations professional Ross Gow,
who was Defendant’s press agent who issued the defamatory statements that lie at the heart of this
matter). See Plaintiff’s Motion to Compel Improper Claim of Privilege D.E. 33 at 6-9).
Second, Defendant improperly claims a “common interest” privilege applies to her
communications with convicted sex offender – and non-attorney -- Jeffrey Epstein for which no
attorney-client privilege applies, thus, precluding the application of the “common interest”
privilege. See Egiazaryan v. Zalmayev, 290 F.R.D. 421, 434 (S.D.N.Y. 2013) (“communications
are protected where there is a disclosure by A to the attorney representing B and vice-versa”).
Defendant’s communications with her co-conspirator Jeffrey Epstein are not privileged in any way
and they are also highly relevant to the claim in this case.
Third, Defendant improperly claims the attorney-client privilege when the communications
involved the presence of a third party not involved in providing legal services, such as Ross Gow
or Mark Cohen. See Egiazaryan, 290 F.R.D. at 431 (finding waiver of attorney-client privilege
when the public relations firm participated in attorney-client communications: “[the party] has not
shown that [the public relation’s firm’s] involvement was necessary to facilitate communications
between himself and his counsel, as in the case of a translator or an accountant clarifying
communications between an attorney and client”).
Fourth, as explained in detail in Ms. Giuffre’s Motion to Compel (D.E. 33 at 12-14), the
descriptions of the communications in the log are inadequate. Every single communication on the
log, even those not involving any attorneys, is described as: “Communication re: legal advice.”
These sparse and unvaried descriptions simply do not comply with Federal Rule of Civil
Procedure 26(b)(5) and Local Rule 26.2(a)(2)(B), the former requiring that “the general subject
matter of the communication” be stated in the privilege log. These bare bones descriptions do not
10
provide sufficient information to support the privilege claims asserted therein, and obviously fail
to provide Ms. Giuffre with any ability to challenge those assertions.
Accordingly, this Court should find that Defendant has waived her privilege claim for
every entry which describes the subject matter as “Communication re: legal advice,” or at the very
least, require Defendant to submit the documents in question for in camera review to determine
whether they are actually subject to any privilege claim. In addition, the Court should direct the
production of documents on the privilege log that involve communications between the two nonlawyers.
CONCLUSION
This is a simple, straight-forward case that could stay on the Court’s imposed scheduled
with a close of discovery in July, 2016 if the Defendant would simply comply in a timely manner
with her discovery obligations. Since Defendant has refused to do so, Ms. Giuffre respectfully
requests that this Court grant her Motions to Compel Production of Documents Subject to
Improper Claim of Privilege and Improper Objections (D.E.’s 33 and 35), and require Defendant
to produce the documents she is withholding for the time period of 1999 to the present, to produce
the documents listed in her privilege log, or at the very least, conduct an in camera inspection to
determine whether or not these documents are privileged.
Dated: March 7, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
11
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
12
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 7, 2016, I electronically filed the foregoing document
with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing document
is being served this day on the individuals identified below via transmission of Notices of
Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF PLAINTIFF VIRGINIA
GIUFFRE’S CONSOLIDATED REPLY IN SUPPORT OF MOTION TO COMPEL
PRODUCTION OF DOCUMENTS SUBJECT TO IMPROPER OBJECTIONS AND
IMPROPER CLAIM OF PRIVILEGE
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Consolidated Reply In Support of Motions To Compel Production of Documents Subject To
Improper Objections and Improper Claim Of Privilege.
3. Attached hereto as Exhibit 1, is a true and correct copy of Plaintiff Virginia
Giuffre’s March 3, 2016 Letter Brief to Judge Robert Sweet Regarding Defendant’s Refusal to
Sit for a Deposition.
4. Attached hereto as Exhibit 2, is a true and correct copy of Defendant Ghislaine
Maxwell’s Privilege Log.
2
5. Attached hereto as Exhibit 3, is a true and correct copy of Defendant Ghislaine
Maxwell’s Response to Plaintiff’s Request for Production of Documents.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
3
Dated: March 7, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 7, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
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UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S SUPPLEMENTAL MEMORANDUM OF LAW IN
RESPONSE TO PLAINTIFF’S MOTION TO COMPEL PRODUCTION
OF DOCUMENTS SUBJECT TO IMPROPER OBJECTIONS
Laura A. Menninger
HADDON, MORGAN, AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
...........................................
....
ii
TABLE OF CONTENTS
INTRODUCTION .......................................................................................................................... 1
ARGUMENT .................................................................................................................................. 3
I. PLAINTIFF’S CHOSEN RELEVANT PERIOD FOR DISCOVERY IS GROSSLY
OVERBROAD AND NOT REASONABLY RELATED TO HER CLAIM ........................ 3
II. MS. MAXWELL’S SPECIFIC OBJECTIONS ARE PROPER ............................................ 4
III. EACH OF MS. MAXWELL’S OBJECTIONS IS APPROPRIATE ..................................... 6
IV. PLAINTIFF’S FAILURE TO CONFER WITH MS. MAXWELL PRIOR TO FILING
HER MOTIONS TO COMPEL IS DISPOSITIVE ............................................................. 13
iii
TABLE OF AUTHORITIES
Avante Int’l Tech., Inc. v. Hart Intercivic, Inc., No. CIV. 07-169-DRH, 2008 WL 2074093 ........ 5
Cotracom Commodity Trading Co. v. Seaboard Corp., 189 F.R.D. 655, 665 (D. Kan. 1999) ...... 5
Estee Lauder, Inc. v. Fragrance Counter, Inc., 189 F.R.D. 269, 273-74 (S.D.N.Y. 1999) ........... 2
Gomez v. Martin Marietta Corp., 50 F.3d 1511, 1520 (10th Cir.1995) ......................................... 2
Hardrick v. Legal Services Corp., 96 F.R.D. 617, 618 (D.D.C.1983) ........................................... 2
In re Urethane Antitrust Litig., No. 04-MD-1616-JWL-DJW, 2008 WL 110896 ......................... 5
McGee v. Hayes, 43 Fed.Appx. 214, 217 (10th Cir. 2002) ............................................................ 2
Meeker v. Life Care Ctrs. of Am., No. 14-CV-02101-WYD- NYW, 2015 WL 4400533 .............. 4
Parsons v. Jefferson-Pilot Corp., 141 F.R.D. 408, 412 (M.D.N.C. 1992) ..................................... 5
Piacenti v. Gen. Motors Corp., 173 F.R.D. 221, 223 (N.D.I11.1997) ........................................... 3
Roda Drilling Co. v. Siegal, No. 07-CV-400-GFK-FHM, 2008 WL 2234652 .............................. 5
Tottenham v. Trans World Gaming Corp., No. 00 Civ. 7697 (WK), 2002 WL 1967023 .............. 2
Zenith Electronics Corp. v. Exzec, Inc., No. 93 C 041, 1998 WL 9181 ......................................... 3
1
INTRODUCTION1
Plaintiff initiated this action purportedly in reaction to statements attributed to Ghislane
Maxwell on January 3, and 4, 2015. The first of the two statements, according to Plaintiff’s
complaint, was issued by Ross Gow in the United Kingdom. The second was made by Ms.
Maxwell in New York when she was accosted by reporters on the street. Both statements were
brief, contained no factual content, and can best be described as general denials of allegations
made by Plaintiff against Ms. Maxwell, to wit, that Ms. Maxwell “assisted” and participated in
sexual abuse of the Plaintiff between 1999 and 2002.
Plaintiff does not claim that any sexual abuse occurred after 2002 or that she had any
contact with Ms. Maxwell after 2002. Indeed, according to Plaintiff, in 2002 she relocated, first
to Thailand and then to Australia, where she married and started a family. Given that she has
been thousands of miles away from the United States for more than a decade it is unlikely that
Plaintiff has any personal knowledge about events involving Jeffrey Epstein after she left the
country and broke off all contact with both Mr. Epstein and Ms. Maxwell.
It would seem, then, that this lawsuit presents one relatively simple question: is
Plaintiff’s claim that she was sexually abused by Jeffrey Epstein between 1999 and 2002 “with
the assistance and participation of” Ms. Maxwell true?
Discovery that might be relevant to this relatively simple question could, theoretically,
include the names of people that observed the Plaintiff from 1999 to 2002; records establishing
the Plaintiff’s whereabouts between 1999 and 2002; communications about the Plaintiff from
1 Ms. Maxwell previously submitted a joint response (Doc. #42) to Plaintiff’s Motions to
Compel in which she argues that Plaintiff’s failure to confer prior to filing her motions is, alone,
grounds for this Court to deny her Motions. If the Court is inclined, however, to decide
Plaintiff’s Motions on the merits, Ms. Maxwell hereby submits a response to the merits of
Plaintiff’s Motion to Compel Production of Documents Subject to Improper Objections. This
response is timely to Plaintiff’s Motion, filed electronically on February 26, 2016.
2
1999 to 2002; and where Ms. Maxwell was located in relation to the Plaintiff during this time
frame. Plaintiff, however, does not seem to be interested in her claim. Rather, Plaintiff’s
pleadings are filled with other, more newsworthy and salacious allegations about which Plaintiff
has no personal knowledge. And, because her core claim has no merit, Plaintiff like a remora,
has repeatedly attempted to attach herself to these events that purportedly occurred while she was
on another continent raising a family.
Federal Rule of Civil Procedure 26(b)(1) provides, in relevant part, that "[p]arties may
obtain discovery regarding any matter, not privileged, that is relevant to the claim or defense of
any party ….”
Although the scope of discovery is deliberately broad, a Court is not "required to permit
plaintiff to engage in a `fishing expedition' in the hope of supporting his claim." McGee v. Hayes,
43 Fed.Appx. 214, 217 (10th Cir. 2002) (unpublished opinion); see Tottenham v. Trans World
Gaming Corp., No. 00 Civ. 7697 (WK), 2002 WL 1967023, at *2 (S.D.N.Y. June 21, 2002)
("Discovery, however, is not intended to be a fishing expedition, but rather is meant to allow the
parties to flesh out allegations for which they initially have at least a modicum of objective
support") (quotations omitted); Hardrick v. Legal Services Corp., 96 F.R.D. 617, 618
(D.D.C.1983) (courts should remain concerned about "fishing expeditions, discovery abuse and
inordinate expense involved in overbroad and far-ranging discovery requests") (quotation
omitted). "[B]road discovery is not without limits and the trial court is given wide discretion in
balancing the needs and rights of both plaintiff and defendant." Gomez v. Martin Marietta Corp.,
50 F.3d 1511, 1520 (10th Cir.1995) (quotation omitted); see also Estee Lauder, Inc. v.
Fragrance Counter, Inc., 189 F.R.D. 269, 273-74 (S.D.N.Y. 1999) (J. Sweet) (“[W]hile
discovery rules are broad, they do not permit discovery of matters that are [not] relevant to the
3
issues in the case…”). Although relevance in discovery is broader than that required for
admissibility at trial, "the object of inquiry must have some evidentiary value before an order to
compel disclosure of otherwise inadmissible material will issue." Zenith Electronics Corp. v.
Exzec, Inc., No. 93 C 041, 1998 WL 9181, at *2 (N.D.Ill.1998) (quoting Piacenti v. Gen. Motors
Corp., 173 F.R.D. 221, 223 (N.D.Ill.1997)). Courts have also recognized that "[t]he legal tenet
that relevancy in the discovery context is broader than in the context of admissibility should not
be misapplied so as to allow fishing expeditions in discovery." Id. (quotation omitted).
ARGUMENT
I. PLAINTIFF’S CHOSEN RELEVANT PERIOD FOR DISCOVERY IS GROSSLY
OVERBROAD AND NOT REASONABLY RELATED TO HER CLAIM
Plaintiff has not limited the temporal scope of her discovery requests. Instead, she
demands production of various documents (or documents related to those documents) for the last
17 years. Given the nature of the claim, the time period chosen by the Plaintiff is grossly
overbroad.
As instructed by Fed. R. Civ. P. 34, Ms. Maxwell objected to the 17-year time period and
limited the requests to a more reasonable time frame: the period during which Plaintiff claims to
have been abused and one month prior to the purported defamation. Plaintiff has offered no
plausible explanation for her expansive time frame as discussed below.
The gist of Plaintiff’s temporal relevance argument is that, according to Plaintiff, Ms.
Maxwell communicated or associated with Mr. Epstein after 2002 up to 2015. And, according to
Plaintiff, Mr. Epstein was suspected of or committed a sex crime after 2002. Therefore, says
Plaintiff, everything in that time frame is relevant. This is nonsense. Plaintiff, given her absence
from the country, cannot argue that she was victimized during this time frame. Ms. Maxwell has
never been charged with nor accused of any crime by a prosecuting body. Ms. Maxwell has
4
never been identified as an accomplice to any crime allegedly committed by Mr. Epstein; and
Ms. Maxwell has never been the subject of a civil lawsuit for sexual abuse under any theory of
liability.
The relevant issue, as framed by Plaintiff’s complaint, is did Ms. Maxwell assist or
participate in Plaintiff’s alleged sexual abuse by Mr. Epstein. General phone records, flight logs,
or other documents having nothing to do with Plaintiff, who was in Australia, are simply too
tangential and remote to be relevant even under the most broad definitions of relevance.
Accordingly, Ms. Maxwell’s objection is well founded and should be sustained by the Court.
II. MS. MAXWELL’S SPECIFIC OBJECTIONS ARE PROPER
Ms. Maxwell notes that all of Plaintiff’s requests are fatally flawed as a result of her use
of the phrases “all documents relating to” or “relating to” as part of her requests for production
of documents. See, e.g., Requests Nos. 1, 3, 6,7, 8, 10, 11, 17, 22, 23, 24, 32 and 33. Where the
phrase “relating to” is not employed, Plaintiff uses equally obtuse synonyms such as “reflecting”
(Requests Nos. 34, 37) or “associated with.” (Request No. 21).
“Relate” is a broad term. See, e.g., WEBSTER’S NEW WORLD DICTIONARY 1198 (2d Coll.
Ed. 1986) (defining “relate” to mean, inter alia, “to connect or associate, as in thought or
meaning; show as having to do with,” “to have some connection or relation (to),” and “to have
reference (to)”). Courts have condemned the use of “related to” as overbroad and have refused
to compel a responding party to answer discovery requests using the term. See, e.g., Meeker v.
Life Care Ctrs. of Am., No. 14-CV-02101-WYD- NYW, 2015 WL 4400533, at *4 (D. Colo. July
20, 2015) (denying motion to compel response to interrogatory that required identification of all
documents that “relate to” drills or safety security training exercises “over a decade long span,”
and holding that interrogatory was “facially overbroad, and potentially sweep[s] in incidents that
are not proximate in location, time, and may not even be remotely of the “same type”); Avante
5
Int’l Tech., Inc. v. Hart Intercivic, Inc., No. CIV. 07-169-DRH, 2008 WL 2074093, at *3 (S.D.
Ill. May 14, 2008) (“the court finds that the request to identify ‘all documents that refer or relate
to each such person's contribution’ to be overbroad and unduly burdensome, and sustains the
objection to that part of the interrogatory”); In re Urethane Antitrust Litig., No. 04-MD-1616-
JWL-DJW, 2008 WL 110896, at *1 (D. Kan. Jan. 8, 2008) (holding that a discovery request is
overly broad and unduly burdensome on its face if it uses an “omnibus term” such as “relating
to,” because “such broad language ‘make[s] arduous the task of deciding which of numerous
documents may conceivably fall within its scope’”); Roda Drilling Co. v. Siegal, No. 07-CV-
400-GFK-FHM, 2008 WL 2234652, at *2 (N.D. Okla. May 29, 2008) (finding that “many of the
parties’ requests for production of documents are overbroad, as they request ‘all documents'
relating to or concerning a subject”), reconsideration denied in part, 2008 WL 3892067 (N.D.
Okla. Aug. 14, 2008); Cotracom Commodity Trading Co. v. Seaboard Corp., 189 F.R.D. 655,
665 (D. Kan. 1999) (holding that challenged discovery request was facially overbroad due to its
use of the “omnibus phrase ‘relating to’”); Parsons v. Jefferson-Pilot Corp., 141 F.R.D. 408, 412
(M.D.N.C. 1992) (“[b]road and undirected requests for all documents which relate in any way to
the complaint are regularly stricken as too ambiguous”).
And, Plaintiff has expanded the dictionary definition of “relate” in her definition section
to make any attempt at deciding what documents might fall within the requests impossible.
Because all of the requests suffer from this fatal defect the court should sustain the objection and
deny the motion to compel. However, there is more.
6
III. EACH OF MS. MAXWELL’S OBJECTIONS IS APPROPRIATE
1. Request No. 1: All documents relating to communications with Jeffrey Epstein
from 1999-Present.
This request unabashedly seeks any record of 17 years of “communications” with Jeffrey
Epstein. If, for example, Ms. Maxwell wrote a note to herself that a mutual friend discussed a
recipe for rice pudding with Mr. Epstein in 2013 this “document” would be subject to
production. The request is not limited by subject matter and therefore encompasses everything.
This is a classic fishing expedition calculated to annoy, and harass Ms. Maxwell.
The rational for the request is particularly disturbing: Plaintiff, with no evidence other
than her self-serving and contradictory statements states: “ Communications with convicted sex
offender Jeffrey Epstein for whom Defendant Maxwell is alleged to have assisted with his sexual
trafficking activities are of the highest relevance in this case and must be produced.” (Pl.’s M.
Compel at 9). That’s it. No evidence, just hyperbole. The request is not limited to
communications about trafficking or even communications related to the Plaintiff. This
stunningly overbroad request fails and Ms. Maxwell’s objection should be sustained.
2. Request No. 3: All documents relating to communications with Andrew Albert
Christian Edward, Duke of York (a.k.a Prince Andrew) from 1999-present.
Even more tangential than Request No. 1, this request ask for “all documents relating to
communications” for 17 years with Prince Andrew. Again, the request is not limited by any
subject matter or person. It is not limited to communications about the Plaintiff, it is not even
limited to communications about females. The purported justification for this overbroad request
is Plaintiff’s unsupported claim that “Maxwell is alleged [by Plaintiff and no one else] to have
trafficked Ms. Giuffre to Prince Andrew when she was a minor.” (Pl’s M. Compel at 10).
Plaintiff’s unsatisfactory explanation for this request is that it may, uncover “communications
between them regarding her trafficking” and “possible” communications regarding other females
7
or other individuals “involved with this activity”. (Id.) The request, however, as propounded,
asks for much more than is rationally related to that explanation. The use of the word “possible”
reveals that this request is a classic, prohibited fishing expedition. The request is overbroad and
Ms. Maxwell’s objection should be sustained.
3. Request No. 6: All documents relating to communications with any of the
following individuals from 1999 -the present: Emmy Taylor, Sarah Kellen, Eva
Dubin, Glen Dubin, Jean Luc Brunel, and Nadia Marcinkova.
This request is also not limited by subject matter or person and is, actually, six separate
requests for production of documents. As support for these overbroad requests Plaintiff attached
a deposition transcript from a separate litigation to which Ms. Maxwell was not a party in which
the witness, Sarah Kellen, asserts her right to remain silent. (Id. at 11). Plaintiff neglects to
disclose that Ms. Kellen asserted her Fifth Amendment right to every question asked of the
witness. She refused to answer basic questions such as her then current address (3.24.2010 Tr. at
10); and what company she worked for as a model (id. at 97). There is no inference to be drawn
from the, apparently unchallenged, assertions of privilege in an action that Ms. Maxwell was not
a party and did not participate. There is no legal authority to support the claim that Ms. Kellen’s
assertion of a privilege somehow spills over to become evidence relating to Ms. Maxwell.
Plaintiff also attached partial documents purporting to be flight logs and phone records
that, according to Plaintiff, establish communication with some of the listed individuals. Again,
Ms. Maxwell’s reaction to this is “so what” because there is no nexus between any of this alleged
evidence and Plaintiff’s claims. Like the other requests the question is not reasonably targeted to
obtain communications about the Plaintiff or even “sex trafficking.”
8
4. Request No. 7: All video tapes, audio tapes, photographs or other print or
electronic media relating to females under the age of 18 from the period of 1999-
present.
This request appears to cover books, DVDs, CDs, personal photographs and every other
type of media that might “relate to” females under the age of 18. To respond to this request
Plaintiff would apparently have Ms. Maxwell comb through her library to find literature “relating
to” girls. A copy of the Nancy Drew series would be responsive to this request. Photographs of
Ms. Maxwell as a child would be included. Any CD referencing a “girl” might be responsive.
The list goes on and on. And, because Plaintiff failed to confer about this request before filing
her motion to compel her self-imposed limitations are too little, too late. This request, as written
is patently overbroad and the objection should be sustained.
Further, the attached testimony from Mr. Rodriguez, again occurring in a proceeding to
which Ms. Maxwell was not a party, lacks foundation and credibility. (Id. at 12) It also,
apparently, has nothing to do with the Plaintiff.
5. Request No. 8 : All documents relating to your travel from the period of 1999-
present, including but not limited to, any travel on Jeffrey Epstein’s planes,
commercial flights, helicopters, passport records, records indicating passengers
traveling with you, hotel records, and credit card receipts. ; and
Request No. 33: All travel records between 1999 and the present reflecting your
presence in: (a) Palm Beach Florida or immediately surrounding areas; (b) 9 E.
71st Street, New York , NY 10021; (c) New Mexico; (d) U.S. Virgin islands; (e)
any jet or aircraft owned or controlled by Jeffrey Epstein.
Request Number 33 appears to be subsumed by the globally inclusive, unrestricted
Request Number 8. Both requests fail in many ways. First, Plaintiff was living in another
continent for the vast majority of the time covered by these requests. Plaintiff, by her own
admission, was not traveling anywhere with Ms. Maxwell or Mr. Epstein after 2002. It would be
reasonable, then, to assume that none of the requested records would establish any nexus
9
between Ms. Maxwell’s post-2002 travel and the events at issue in Plaintiff’s claim. If Plaintiff
wanted records establishing her travel with Mr. Epstein or Ms. Maxwell that is what she should
have asked for. Instead, she asked for every piece of information relating to Ms. Maxwell’s
travel by planes, trains, automobiles, helicopters, boats, horses and bicycles.
Read literally, Request Number 8 would require the production of 17 years of receipts for
the purchase of gasoline at the neighborhood gas station, taxi receipts, lunch receipts, etc. for 17
years. The only records not covered would be those relating to Ms. Maxwell’s residence, which
unfortunately, is covered by another overbroad request, Request Number 34. Although slightly
more limited, Request Number 33 remains impermissibly overbroad. Again, Plaintiff was not in
the northern hemisphere after 2002 so could not have been in these places. Further, the phrases
“immediately surrounding areas” “travel records” are impermissibly vague.
6. Request No. 10: All documents relating to payments made from Jeffrey Epstein
or any related entity to you from 1999 – present, including payments for work
performed, gifts, real estate purchases, living expenses, and payments to your
charitable endeavors including the TerraMar project.
Request Number 10 is overbroad because it asks for, essentially, any document that
relates to anything of value, no matter how small, given from Mr. Epstein to Ms. Maxwell (or
their respective related entities) for 17 years. It is not targeted to any person, event, or job. The
request could be interpreted in many ways and could include any financial, banking or
accounting record compiled over a 17-year time frame. As such, the request fails and Ms.
Maxwell’s objection should be sustained.
10
7. Request No. 11: All documents relating to or describing any work you
performed with Jeffrey Epstein, or any affiliated entity from 1999-present.
Request Number 11 is unintelligible. Ms. Maxwell does not know what this request
means and should not have to guess. Because the request is too vague to respond to the
objection should be sustained.
8. Request No. 15: All video tapes, audio tapes, photographs or any other print or
electronic media taken at a time when you were in Jeffrey Epstein’s company or
inside any of his residences or aircraft.
This request is another obvious fishing expedition. It is not limited by person, place or
time and apparently includes pre-1999 material. According to Plaintiff, she hopes that these
records will contain the image of “other underage girls or trafficked women,” which, according
to Plaintiff “go to the claim in this case”. (Pl’s M. Compel at 17). Again, Plaintiff was not,
according to her complaint, involved with Mr. Epstein before 1999 or after 2002. Plaintiff does
not articulate how this material might “go to the claim in this case” and, accordingly, Ms.
Maxwell’s objection should be sustained.
9. Request No. 17: All documents relating to communications with you and Ross
Gow from 2005 – present.
For the reasons stated repeatedly above, this request is also overly broad as there are no
limitations for subject matter or person. Further, Plaintiff has offered no explanation as to the
seemingly random time period of 2005 – present.
More importantly, Ms. Maxwell has objected to this request on the grounds that it seeks
documents protected by the attorney/client privilege and/or the work product doctrine. As
discussed in her Supplemental Memorandum of Law in Response to Plaintiff’s Motion to
Compel Documents Subject to Improper Privilege, Ms. Maxwell’s withholding of these
documents as privileged is proper.
11
10. Request No. 21: All telephone records associated with you including cell phone
records from 1999 – present.
Request No. 22: All documents relating to calendars, schedules or appointments
for you from 1999 – present.
Request No. 23: All documents relating to calendars, schedules or appointments
for Jeffrey Epstein from 1999 – present.
Request No. 24: All documents relating to contact lists, phone lists or address
books for you or Jeffrey Epstein from 1999 – present.
These requests seek “all documents” “associated” with Ms. Maxwell’s phone records and
“all documents” “relating to” “the schedules and address books” of Ms. Maxwell and Jeffrey
Epstein for 17 years. Plaintiff, again, offers no coherent explanation as to how any of these
records might relate to her claim, in this case, that she was defamed. Because of the excessive
scope of the requests the objections should be sustained.
11. Request No. 32 : All documents related to communications with or interaction
with Alan Dershowitz from 1999 – present.
Here, Plaintiff is asking for information about communications with Alan Dershowitz for
17 years. Plaintiff’s only argument in support of this request is “Maxwell’s communications
with Dershowitz are directly relevant to the claim.” (Pl’s M. Compel at 22). Perhaps Ms.
Maxwell’s communications with Mr. Dershowitz about Plaintiff may be discoverable and even
relevant. Any and all documents “relating to communications” are not. Accordingly, the
objection should be sustained.
12. Request No. 34: All documents reflecting your ownership or control of property
in London between the years 1999 and 2002.
Whether Ms. Maxwell owned or controlled property in London between 1999 and 2002
is not relevant to any issue in this case. Plaintiff claims that a photograph of her when she was
17 somehow establishes she was “trafficked”. She offers no actual explanation, however, for
12
how “documents reflecting” ownership or control of any “London” property is relevant or
discoverable. The request is overbroad, not relevant, and the objection should be sustained.
13. Request No. 37: All documents reflecting communications you have had with
Bill or Hillary Clinton (or persons acting on their behalf), including all
communications
Whether or not Ms. Maxwell communicated with any member of the Clinton family is
not relevant to any issue in this case. Again, Plaintiff asks for “all documents reflecting
communications” for a 17-year time period. The only support for the request is Plaintiff’s
unsubstantiated claim that in an unrelated action Ms. Maxwell did not attend a deposition
scheduled for July 1, 2010 because she had to attend to her mother. However, according to
Plaintiff, Ms. Maxwell, 30 days later, attended the wedding of Chelsea Clinton. Taking care of
an elderly mother in England and attending a wedding ceremony are not mutually exclusive
events. This, again, has nothing to do with any issue in this case and the objection should be
sustained.
13. Request No. 39: All documents reflecting training to fly a helicopter or
experience flying a helicopter, including any records concerning your operation of
a helicopter in the U.S. Virgin Islands.
Seventeen years of “all documents reflecting training to fly a helicopter “ are not relevant
to any issue in this case. Plaintiff does not allege that Ms. Maxwell flew her to a private island
by helicopter; she does not allege that she has personal knowledge of someone actually being
flown by Ms. Maxwell to a private island for the purpose of “sexual trafficking of underage
girls.” She simply demands 17 years of documents because she says they are relevant. The
request is overbroad and not relevant and Ms. Maxwell’s objection should be sustained.
13
IV. PLAINTIFF’S FAILURE TO CONFER WITH MS. MAXWELL PRIOR TO
FILING HER MOTIONS TO COMPEL IS DISPOSITIVE
It is likely that a conferral could have minimized many of the issues described above.
Accordingly in addition to the substantive problems with the requests, detailed above, Plaintiff’s
Motions to Compel should be denied for the reasons articulated in Ms. Maxwell’s separate
response regarding the lack of any conferral (Doc. # 42) incorporated by reference.
Dated: March 7, 2016
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
14
CERTIFICATE OF SERVICE
I certify that on March 7, 2016, I electronically filed this Defendant Ghislaine
Maxwell’s Supplemental Memorandum of Law in Opposition to Plaintiff’s Motion to
Compel the Production of Documents Subject to Improper Objections with the Clerk of
Court using the CM/ECF system which will send notification to all counsel of record
including the following:
Sigrid S. McCawley
Boies, Schiller & Flexner, LLP
East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/ Brenda Rodriguez
United States District Court
Southern District Of New York
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S SUPPLEMENTAL MEMORANDUM OF LAW IN RESPONSE TO PLAINTIFF’S
MOTION TO COMPEL PRODUCTION OF DOCUMENTS
SUBJECT TO IMPROPER CLAIM OF PRIVILEGE
.........................................
......
Laura A. Menninger
HADDON, MORGAN, AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
ii
TABLE OF CONTENTS
INTRODUCTION .......................................................................................................................... 1
ARGUMENT .................................................................................................................................. 2
I. Failure to Confer Fatal to Plaintiff’s Motion ................................................................ 2
II. Defendant’s Communication with Attorneys Philip Barden, Mark Cohen, and Brett
Jaffe Are Protected by the Attorney-Client Communication Privilege (Entries 1, 2, 9
and 17) …………………………………………………………………………….….3
A. Choice of Law ......................................................................................................... 3
B. Maxwell’s Communications with her Attorneys Are Privileged ............................ 5
C. Plaintiff Well Aware These Attorneys Were Defendant’s Counsel ....................... 7
III. Communications Among Maxwell, Her Attorney, and Her Agent Protected by
Attorney-Client Privilege (Entries 8, 10, 12, 13, and 18) ............................................ 8
IV. Common Interest Privilege Protects Communications with Gow, Epstein and Others
................................................................................................................................... 10
A. Maxwell and her attorneys were involved in a common interest agreement with
Epstein and his attorneys ...................................................................................... 12
B. Maxwell and Epstein’s attorneys communicated with one another pursuant to the
common interest agreement (Entry 16)................................................................. 13
C. Maxwell and Epstein shared their attorneys’ respective legal advice, strategies
and mental impressions pursuant to the common interest agreement (Entries 11-
15) ......................................................................................................................... 13
D. Maxwell and Epstein exchanged documents pursuant to the common interest
agreement in order to obtain legal advice (Entries 6, 7 and 19) ........................... 14
E. Ms. Maxwell and Epstein shared information and advice to be forwarded to the
others’ attorney for purposes of legal advice (Entries 14, 19 and 20) .................. 15
V. Ms. Maxwell’s Privilege Log Is Sufficient ............................................................... 15
CONCLUSION ............................................................................................................................. 17
iii
TABLE OF AUTHORITIES
Ambac Assur. Corp. v. Countrywide Home Loans, Inc., 998 N.Y.S.2d 329, 331 .............. 11
Anwar v. Fairfield Greenwich Ltd., 982 F.Supp.2d 260, 264 (S.D.N.Y. 2013) ................. 3
Anwar, supra (citing Gucci Am., Inc. v. Guess?, Inc., 271 F.R.D. 58, 65 (S.D.N.Y. 2010)
......................................................................................................................................... 4
Aurora Loan Servs., Inc. v. Posner, Posner & Assocs., P.C., 499 F.Supp.2d 475, 479
(S.D.N.Y. 2007) ............................................................................................................. 16
Auto. Club of New York, Inc. v. Port Auth. Of New York & New Jersey, No. 11 CIV. 6746
RKE HBP, 2012 WL 4791804, at *6 (S.D.N.Y. Oct. 9, 2012) ....................................... 2
Cf. In re Grand Jury Subpoenas Dated March 24, 2003, 265 F.Supp.2d 321, 330
(S.D.N.Y. 2003) ............................................................................................................... 9
Chevron Corp v. Donziger, 2013 WL 4045326 (S.D.N.Y. 2013) ..................................... 17
Egiazarayan v. Zalmayev, 290 F.R.D. 421 (S.D.N.Y. 2013) .............................................. 9
Gucci Am., Inc. v. Gucci, No. 07–CV–6820 (RMB)(JCF), 2008 WL 5251989, at *1
(S.D.N.Y. Dec. 15, 2008) .................................................................................. 12, 14, 15
GUS Consulting GMBH v. Chadbourne & Parke LLP, 858 N.Y.S.2d 591, 593 (Sup. Ct.
N.Y. Cnty. 2008) .......................................................................................................... 11
Hendrick v. Avis Rent A Car Sys., Inc., 944 F. Supp. 187, 189 (W.D.N.Y. 1996). ............ 8
Mileski v. Locker, 178 N.Y.S.2d 911 (Sup. Ct. Queens Cnty. 1958) .................................. 8
Millenium Health LLC v. Gerlach, 15-cv-7235 (WHP)(JLC), 2015 WL 9257444, at * 2
(S.D.N.Y. Dec. 18, 2015) .............................................................................................. 12
iv
S.E.C. v. Yorkville Advisors, LLC, 300 F.R.D. 152, 155 (S.D.N.Y. 2014) ....................... 16
Shaeffler v. United States, 806 F.3d 34, 40 (2d. Cir. Nov. 10, 2015) ............................... 15
Stroh v. Gen. Motors Corp., 623 N.Y.S.2d 873, 874-75 (1st Dep’t 1995) ......................... 8
United States v. Kovel, 296 F.2d 918 (2d Cir. 1961). ....................................................... 10
United States v. Schwimmer, 892 F.2d 237 (2d Cir.1989) ................................................ 11
1
Defendant Ghislaine Maxwell, by and through undersigned counsel, hereby submits this
Response to Plaintiff’s Motion to Compel Production of Documents Subject to Improper Claim
of Attorney-Client Privilege and Common Interest Privilege1. For the reasons outlined below,
the Court should deny Plaintiff’s Motion to Compel Production of Documents Subject to
Improper Privileges.
INTRODUCTION
Without a single conferral (despite multiple email and telephonic contacts between
counsel in the interim weeks), Plaintiff unilaterally and frivolously challenges the assertions of
privilege properly contained on a valid privilege log that Ms. Maxwell produced in response to
Plaintiff’s First Request for Production of Documents to Ghislaine Maxwell. Plaintiff feigns
ignorance that Ms. Maxwell has been represented by Messrs. Philip Barden, Mark Cohen and
Brett Jaffe during the last five years, yet submits to the Court documents demonstrating not only
their representation but also Plaintiff’s knowledge of said representations. Plaintiff claims that
the presence of Ms. Maxwell’s agent Ross Gow on communications with her attorney destroyed
the privilege, despite binding New York law to the contrary. Plaintiff asserts that Ms. Maxwell
and Mr. Epstein and their counsel were not in a common interest agreement without once having
conferred regarding that fact and with knowledge that all of the elements of a common interest
agreement are satisfied in this case.
1 Ms. Maxwell previously submitted a joint response (Doc. #42) to Plaintiff’s Motions to
Compel in which she argues that Plaintiff’s failure to confer prior to filing her motions is, alone,
grounds for this Court to deny her Motions. If the Court is inclined, however, to decide
Plaintiff’s Motions on the merits, Ms. Maxwell hereby submits a response to the merits of
Plaintiff’s Motion to Compel Production of Documents Subject to Improper Privileges. This
response is timely to Plaintiff’s Motion, filed electronically on February 26, 2016.
2
Rule 37 requires a certification of good faith conferral, something Plaintiff concededly
failed to do, in advance of filing a Motion to Compel. While Plaintiff wishes to pick and choose
which Rules of Civil Procedure she thinks should apply to her litigation, the rules apply equally
to both sides. Raising proper objections and interposing appropriate privileges are demanded by
the Rules of Civil Procedure. Plaintiff’s hyperbole regarding “stonewalling” and un-reasonable
delays in discovery should be dismissed. All of the delays could have been prevented had she
served Requests for Production that tailored to the issues in this case and not some book or
media deals she hopes to fulfill in the future. Likewise, her frivolous positions concerning
privilege have caused the delay she decries. Plaintiff’s failure to confer, as well as the binding
Second Circuit and New York case law, dictate that her Motion to Compel Production of
Documents Subject to Improper Privileges should be denied.
ARGUMENT
I. Failure to Confer Fatal to Plaintiff’s Motion
Plaintiff failed to confer regarding this Motion in advance of its filing and failed to
include the required certificate pursuant to Rule 37(a)(1) of the Federal Rules of Civil Procedure
(motion to compel “must include a certification that the movant has in good faith conferred or
attempted to confer with the person or party failing to make disclosure or discovery in an effort
to obtain it without court action”). This significant deficiency alone warrants the denial of this
Motion. See, e.g., Auto. Club of New York, Inc. v. Port Auth. Of New York & New Jersey, No. 11
CIV. 6746 RKE HBP, 2012 WL 4791804, at *6 (S.D.N.Y. Oct. 9, 2012) (failure to make any
attempts to resolve any specific discovery disputes “alone is a sufficient ground for denying the
motion [to compel]”).
3
Issues concerning privilege such as Plaintiff presents here are precisely the type that
should be the subject of conferral. Plaintiff could simply ask whether any particular attorney was
representing Ms. Maxwell at a specific time. Plaintiff could ask for more detailed descriptions of
documents on the privilege log. Plaintiff could ask why British law was asserted on the privilege
log. Indeed, all of the cases cited by Plaintiff involve such conferrals prior to judicial
intervention. Such conferral would not be futile in this case with respect to privileges going
forward and this Court should enforce Plaintiff’s Rule 37 obligations with respect thereto.
II. Defendant’s Communications with Attorneys Philip Barden, Mark Cohen, and
Brett Jaffe Are Protected by the Attorney-Client Communication Privilege (Entries
1, 2, 9 and 17)
A. Choice of Law
Regarding Ms. Maxwell’s communications with Brett Jaffe in 2011 as noted on the
privilege log, she does not dispute that these are covered by the attorney-client communication
privilege as defined by New York state law. Mr. Jaffe is a New York attorney. Menninger Decl.
at Ex. B. Similarly, Mark Cohen likewise is a New York attorney. Id. at Ex. C. Ms. Maxwell
consulted both regarding litigation pending in the US. Id. at Ex. E, Maxwell Aff. at ¶ 9-12.
However, choice-of-law with respect to foreign attorney-client communications is
governed by the “touch base” test. Under this test, the court must ascertain the country with
which the communications “touch base.” “[A] court should apply the law of the country that has
the predominant or the most direct and compelling interest in whether [the] communications
should remain confidential, unless that foreign law is contrary to the public policy of this forum.”
Anwar v. Fairfield Greenwich Ltd., 982 F.Supp.2d 260, 264 (S.D.N.Y. 2013) (quoting Astra
Aktiebolag v. Andrx Parms., Inc., 208 F.R.D. 92, 98 (S.D.N.Y. 2002)). “Communications
concerning legal proceedings in the United States or advice regarding United States law are
4
typically governed by United States privilege law, while communications relating to foreign
legal proceedings or foreign law are generally governed by foreign privilege law.” Anwar, supra
(citing Gucci Am., Inc. v. Guess?, Inc., 271 F.R.D. 58, 65 (S.D.N.Y. 2010)).
As will be described more fully below, the privilege concerning Ms. Maxwell’s
communications with Mr. Barden should be construed pursuant to British law. Ms. Maxwell, a
dual-British / American citizen, retained Mr. Barden for the purposes of securing legal advice
from a British lawyer for potential litigation in England under British law concerning press
statements that were made in the British press. Id.at Ex. E. Likewise, to the extent that Mr. Gow
was a participant in communications as between Mr. Barden and Ms. Maxwell, those also should
be construed pursuant to British law. Mr. Gow is a British press relations specialist, hired as an
agent consistent with British law, to render assistance to Ms. Maxwell’s counsel in England, for
purposes of potential litigation in England. Id.
Given the time allotted for response in connection with this Motion to Compel
Documents Privileges and Plaintiff’s failure to confer regarding this issue, Ms. Maxwell has not
had sufficient time to secure appropriate affidavits, documents and legal opinions concerning
British law’s attorney-client privileges but has been advised that British law extends the
attorney-client communication to any of a client’s agents (also considered “associates” of the
client). Should the Court be inclined to overlook Plaintiff’s failure to confer, Ms. Maxwell
respectfully requests an additional two weeks within which to secure appropriate documentation
and supporting affidavits under British law with respect to the question of the attorney-client
privilege under British law and its applicability to a client’s agents. See also Fed. R. Civ. P. 44.1
(permitting Court to consider “any relevant material or source” to determine issue of foreign
law).
5
Without waiver of the choice-of-law issue, Ms. Maxwell submits that the privilege also
applies to her communications under New York law and so provides argument and authority
herein on that law as well.
B. Maxwell’s Communications with her Attorneys Are Privileged
The two Requests for Production Implicated in this Motion are:2
DOCUMENT REQUEST NO. 17
All documents relating to communications with you and Ross Gow from 2005 – present.
DOCUMENT REQUEST NO. 19
All documents relating to your deposition scheduled in the matter of Jane Doe v. Epstein,
08-80893, United States Southern District of Florida.
As argued elsewhere, both of these Requests are overly broad and not relevant to any
party’s claim or “proportional to the needs of this case.” FRCP 26(b)(1). Ms. Maxwell
interposed her objections and also produced a privilege log containing any documents responsive
to these requests which were privileged, specifically, documents covered by the attorney-client
privilege.
Ms. Maxwell has been represented at various times by attorneys Brett Jaffe, Mark Cohen
and Philip Barden. Mr. Jaffe represented Ms. Maxwell in connection with a scheduled
deposition. See Menninger Decl. at Ex. E, Maxwell Aff. at ¶ 9. After Mr. Jaffe left the firm, his
successor on the case was Mark Cohen. Both Mr. Jaffe and Mr. Cohen were affiliated with the
law firm Cohen & Gresser, LLP. Mr. Cohen, a named partner, is still associated with that firm.
See id. at Ex. C.
2 The entry number 9, a communication solely between Ms. Maxwell and her attorney
Philip Barden, was erroneously placed on the Privilege Log. It is not responsive to any of
Plaintiff’s discovery requests.
6
Ms. Maxwell also has been represented for quite some time in the United Kingdom by
solicitor Philip Barden. Mr. Barden is a partner with Devonshires Solicitors. See Menninger
Decl. at Ex. D. Devonshires Solicitors issued the cease and desist letter to the British press
following Plaintiff’s first paid interview with the Daily Mail in March 2011 in which she made
false allegations about and concerning Ms. Maxwell. That cease and desist letter was attached to
Defendant’s Motion to Dismiss (Menninger Decl. in Support of Motion to Dismiss, Doc. #16-1,
Ex. B) and to Plaintiff’s Reply (McCawley Decl. in Reply, Doc. #24-2, Ex. 2).
Mr. Barden’s representation of Ms. Maxwell relates to potential civil litigation in the
United Kingdom concerning defamation. Ms. Maxwell’s communications with Mr. Barden were
made for the purpose of seeking and obtaining legal advice, and Mr. Barden provided such legal
advice. Mr. Barden did not provide business advice to Ms. Maxwell. See Maxwell Aff. at ¶ 2.
Likewise, Messrs. Jaffe and Cohen’s representation of Ms. Maxwell related to and concerned a
deposition. Id. at ¶ 9. Ms. Maxwell solicited legal advice from Messrs. Jaffe and Cohen for the
purpose of that deposition and they in fact supplied legal advice.
Plaintiff speculates that Ross Gow “was involved in so many communications with Jaffe
and Barden” that the purpose of the communications must have been public relations matters.
First, not a single one of the communications with Jaffe involved Mr. Gow. Second, the
privilege log does not contain all of the communications Plaintiff had with her attorneys. Rather,
Plaintiff’s Request Number 17 sought “all communications related to communications with you
and Ross Gow from 2005 – present.” Thus, the only communications with Mr. Barden on the
privilege log are those between Mr. Gow and Mr. Barden in which Mr. Gow was a participant or
which were otherwise included in other privileged communications.
7
Plaintiff further complains that Defendant’s Rule 26 Disclosures revealed that Defendant
“may” use the email communications between herself and Mr. Barden “to support Defendant’s
claims or defenses.” (Pl.’s M. Compel at 11-12). Should Defendant choose to affirmatively
waive her attorney-client privilege with Mr. Barden, those emails would likely lose their
privileged status. However, that is not a decision Ms. Maxwell has yet reached, especially at this
early stage of the litigation given she has not even filed her Answer or Counterclaims.
C. Plaintiff Well Aware These Attorneys Were Defendant’s Counsel
Plaintiff knew or should have known at the time she filed this Motion to Compel that Messrs.
Jaffe, Cohen and Barden were Ms. Maxwell’s attorneys. In Plaintiff’s Motion to Compel based
on Improper Objections, she actually supplied to the Court an exhibit which lists Mr. Jaffe as
Ms. Maxwell’s counsel. (Pl’s Mot. Compel - Objections, Ex. 8, Doc. #36-9 at 11). Likewise,
Mr. Jaffe worked at Cohen & Gresser, LLP. Id. The named partner of Mr. Jaffe’s firm is Mark
Cohen, as a simple internet search confirms. Menninger Decl. at Ex. C. Thus, Plaintiff had in
her possession and actually provided to the Court proof that Ms. Maxwell was represented by
these two attorneys. Her assertion that Ms. Maxwell “has not even claimed that she has an
attorney-client relationship with … Jaffe” is patently frivolous. (Pl’s M. Compel at 10).
Likewise, her designation of Mark Cohen as a “non-attorney” (id. at 9) is similarly frivolous.
Further, Plaintiff submitted to the Court in Opposition to the Motion to Dismiss, a cease
and desist letter issued by Devonshires Solicitors, Mr. Philip Barden’s firm. See McCawley
Decl. in Support of Plaintiff’s Opp’n to Motion to Dismiss at Ex. 2. She also, admittedly,
possesses Defendant’s Rule 26 disclosures listing Mr. Barden as counsel for Ms. Maxwell and
his communications with her as attorney-client privileged. (Pl.s’ M. Compel at 11).
8
Finally, Ms. Maxwell’s privilege log lists Mr. Barden and Mr. Jaffe as “Esq.” and notes
their communications are attorney-client privileged. Plaintiff presents no credible argument that
Ms. Maxwell’s communications with her counsel should not be afforded the attorney-client
communication privilege.
Plaintiff’s Motion with respect to entry numbers 1, 2, 9 and 17 should therefore be
denied.
III. Communications Among Maxwell, Her Attorney, and Her Agent Protected by
Attorney-Client Privilege (Entries 8, 10, 12, 13 and 18)
Without waiver of Ms. Maxwell’s position that British law should control the question,
even under New York law, Mr. Gow’s participation in communications among and between Ms.
Maxwell and her counsel are privileged.
“New York courts have recognized that the attorney-client privilege may attach to
communications between a client's agent and an attorney.” Hendrick v. Avis Rent A Car Sys.,
Inc., 944 F. Supp. 187, 189 (W.D.N.Y. 1996). “As a general rule, a communication by a client
to his attorney by any form of agency employed or set in motion by the client is within the
privilege.” Mileski v. Locker, 178 N.Y.S.2d 911 (Sup. Ct. Queens Cnty. 1958); see also First
Am. Commercial Bancorp, Inc. v. Saatchi & Saatchi Rowland, Inc., 868 N.Y.S.2d 425, 427 (4th
Dep’t 2001) (“[w]hile communications made between a defendant and counsel in the known
presence of a third party generally are not privileged, an exception exists for ‘one serving as an
agent of either attorney or client’”); Stroh v. Gen. Motors Corp., 623 N.Y.S.2d 873, 874-75 (1st
Dep’t 1995) (“communications made to counsel through ... one serving as an agent of ... [the]
client to facilitate communication, generally will be privileged”).
Mr. Ross Gow is the agent for Ms. Maxwell, as Plaintiff acknowledges. Complaint ¶ 29
(Maxwell “directed her agent, Ross Gow”); ¶ 30 (“speaking through her authorized agent”).
9
Plaintiff wrongfully relies on Egiazarayan v. Zalmayev, 290 F.R.D. 421 (S.D.N.Y. 2013)
(Gorenstein, Magistrate J.). That case, unlike this one, involved a public-relations firm hired
specifically for litigation purposes by counsel to conduct a litigation-related public relations
campaign on behalf of the client. That public relations firm assisted in a media campaign
thereafter, which was relevant to the lawsuit alleging violation of New York anti-SLAPP
provision. The decision concerned a subpoena for documents that the client had shared with the
public relations firm. Id. at *4.
By contrast, Mr. Gow acted as Ms. Maxwell’s agent for a number of years. Maxwell Aff.
at ¶ 6. He provided information to Mr. Barden, Ms. Maxwell’s counsel, at Ms. Maxwell’s
request regarding press inquiries so as to further Mr. Barden’s ability to give appropriate legal
advice to Ms. Maxwell regarding potential defamation litigation in the United Kingdom. As Ms.
Maxwell’s agent, Mr. Gow’s involvement in providing Mr. Barden with information was
necessary and critical for Mr. Barden to render proper legal advice concerning, among other
things, the law of “fair comment” under UK law. Cf. In re Grand Jury Subpoenas Dated March
24, 2003, 265 F.Supp.2d 321, 330 (S.D.N.Y. 2003) (“the ability of lawyers to perform some of
their most fundamental client functions – such as (a) advising the client of the legal risks of
speaking publicly and of the likely impact of possible alternative expressions, (b) seeking to
avoid or narrow charges brought against the client, and (c) zealously seeking acquittal or
vindication – would be undermined seriously if lawyers were not able to engage in frank
discussions of facts and strategies with the lawyers’ public relations consultants.”).
This case is particularly distinguishable from those relied upon by Plaintiff because the
very nature of the issue in this case is defamatory statements to the press and responses thereto.
Whereas public relations may not be an integral topic to other litigations (or potential litigations),
10
the need for input from a client’s agent who is a press specialist is particularly potent when the
issue is fair comment, litigation against the British press or the ability to respond to false
statements levied by Plaintiff in the British press and elsewhere. In a scenario such as this, the
press specialist agent is as integral to the discussion as an accountant is to a litigation that
concerns a client’s finances. See United States v. Kovel, 296 F.2d 918 (2d Cir. 1961).
Additionally, the communications among Mr. Gow, Mr. Barden and Ms. Maxwell
occurred between January 9-21, 2015, a period which post-dates the issuance of Ms. Maxwell’s
only statement to the press on January 2, 2015 (and the alleged reference back to that statement
on January 4, 2015). See Complaint ¶ 30, 31, 37. Plaintiff has not demonstrated that these postpress
release documents are relevant, nor calculated to lead to relevant and admissible evidence.3
Mr. Gow acted as Ms. Maxwell’s agent in communications to, with and among Ms.
Maxwell and her attorney, Mr. Philip Barden on dates subsequent to the press release at issue
here. His provision of information was a necessary part of Mr. Barden’s ability to give cogent
legal advice to Ms. Maxwell concerning matters of litigation in the United Kingdom. To the
extent that New York law even applies to those communications, it shields involvement of a
client’s agent and Plaintiff’s Motion with respect to entry numbers 8, 10, 12, 13 and 18 should
therefore be denied.
IV. Common Interest Privilege Protects Communications with Gow, Epstein and Others
“The purpose of the attorney-client privilege is to enable attorneys to give informed legal
advice to clients, which would be undermined if an attorney had to caution a client about
3 Ms. Maxwell also objected to Request No. 17: “All documents relating to
communications with you and Ross Gow from 2005 – Present” on grounds other than privilege,
including inter alia, “calls for production of documents that are irrelevant to this action and not
reasonably calculated to the discovery of admissible evidence.” Plaintiff did not assert in her
Motion to Compel – Improper Objections that the period subsequent to the issuance of the press
release was relevant (See Doc. #35 at 17-18) and thus has waived that argument.
11
revealing relevant circumstances lest the attorney later be compelled to disclose those
circumstances.” Shaeffler v. United States, 806 F.3d 34, 40 (2d. Cir. 2015). “While the privilege
is generally waived by voluntary disclosure of the communication to another party, the privilege
is not waived by disclosure of communications to a party that is engaged in a ‘common legal
enterprise’ with the holder of the privilege. Under United States v. Schwimmer, 892 F.2d 237 (2d
Cir.1989), such disclosures remain privileged ‘where a joint defense effort or strategy has been
decided upon and undertaken by the parties and their respective counsel ... in the course of an
ongoing common enterprise ... [and] multiple clients share a common interest about a legal
matter.’ Id. at 243 ‘The need to protect the free flow of information from client to attorney
logically exists whenever multiple clients share a common interest about a legal matter.’ Id. at
243.”4 (emphases added).
As New York’s Appellate Division, First Department recently found, "pending or
reasonably anticipated litigation is not a necessary element of the common-interest privilege."
Ambac Assur. Corp. v. Countrywide Home Loans, Inc., 998 N.Y.S.2d 329, 331 (1st Dep’t 2014).
Moreover, “a total identity of interest among the participants is not required under New York
law. Rather, the privilege applies where an interlocking relationship' or a limited common
purpose' necessitates disclosure to certain parties.” GUS Consulting GMBH v. Chadbourne &
Parke LLP, 858 N.Y.S.2d 591, 593 (Sup. Ct. N.Y. Cnty. 2008) (internal citations omitted).
4 “The common interest privilege is an exception to the rule that the presence of a third
party will waive a claim that a communication is confidential. It requires that the communication
otherwise qualify for protection under the attorney-client privilege and that it be made for the
purpose of furthering a legal interest or strategy common to the parties asserting it.” San Diego
Gas & Elec. Co. v. Morgan Stanley Senior Funding, Inc., No. 150017/15, 2016 WL 634951, at
*1 (1st Dep’t Feb. 18, 2016).
12
Importantly for purposes of this case, “[t]he joint defense privilege may apply as between
two individuals within a joint defense effort, regardless of the presence of an attorney.”
Millenium Health LLC v. Gerlach, 15-cv-7235 (WHP)(JLC), 2015 WL 9257444, at * 2
(S.D.N.Y. Dec. 18, 2015). “If information that is otherwise privileged is shared between parties
that have a common legal interest, the privilege is not forfeited even though no attorney either
creates or receives that communication. For example, if an attorney provides legal advice to a
client ... the client can repeat that advice to a co-defendant outside the presence of any attorney
without causing the privilege to be waived.” Gucci Am., Inc. v. Gucci, No. 07–CV–6820
(RMB)(JCF), 2008 WL 5251989, at *1 (S.D.N.Y. Dec. 15, 2008).
A. Maxwell and her attorneys were involved in a common interest agreement with
Epstein and his attorneys.
Beginning at least on December 30, 2014, Ms. Maxwell and her attorneys were engaged
in a common interest agreement with Mr. Epstein and his attorneys. On that date, Plaintiff filed
a pleading in the U.S. District Court for the Southern District of Florida falsely alleging that Ms.
Maxwell participated in sex crimes against Plaintiff and others and also falsely alleged that Ms.
Maxwell conspired with Mr. Jeffrey Epstein in sex crimes committed by him.5 By her pleading,
Plaintiff sought to join that Crime Victims’ Rights Act litigation pursuant to pursue a remedy:
force the Government to withdraw its non-prosecution agreement against Mr. Epstein so that she
could pursue charges against him and others, including Ms. Maxwell. Plaintiff’s sworn pleading
contained false statements about both Ms. Maxwell and Mr. Epstein.
Her pleading was unsuccessful: In April 2015, District Court Judge Marra struck the
portions of her pleading having to do with Ms. Maxwell and others, denied Plaintiff the ability to
5 Curiously, Plaintiff has not even provided this pleading which she references in
Complaint under her Rule 26(a)(1) obligations.
13
join as a party to that case, and suppressed portions of her pleading from public access. Prior to
that, in January 2015, Ms. Maxwell and Epstein both shared a common legal interest in
defending themselves against Plaintiff’s false allegations. The fact that neither Ms. Maxwell nor
Epstein was a party to a litigation involving Plaintiff is immaterial to their shared legal interest.
Ambac, 998 N.Y.S.2d at 331. Likewise, that common shared interest extended not only to their
lawyers (Barden and Cohen for Maxwell; Weinstein and Dershowitz for Epstein), but also to Ms.
Maxwell’s agent, Ross Gow, who had issued the January 2, 2015, press statement.
B. Maxwell and Epstein’s attorneys communicated with one another pursuant to the
common interest agreement (Entry 16).
The attorneys orally engaged in to a common interest agreement and in reliance on that
agreement, shared documents, legal advice, impressions and strategies with one another to
facilitate their common goal of exposing Plaintiff’s false statements. Entry number 16 on the
privilege log reflects such communications between Plaintiff’s attorney, Philip Barden, and
Epstein’s attorney, Martin Weinberg on January 12-13, 2015. The emails’ subject lines read:
“Attorney Privileged Communication – subject to mutual interest privilege,” and the contents
include both attorneys’ mental impressions, references to evidence, litigation strategy decisions
and the like. Indeed, the emails would not be responsive to any request made by Plaintiff but for
the fact that Ms. Maxwell’s attorney forwarded the email chain to her and she forwarded it to
Epstein, as discussed more fully below.
C. Maxwell and Epstein shared their attorneys’ respective legal advice, strategies and
mental impressions pursuant to the common interest agreement (Entries 11-15).
Ms. Maxwell and Epstein forwarded to one another emails they had received from their
respective counsel containing counsel’s mental impressions, legal advice and litigation strategy.
· Entry number 11 is an email from Ms. Maxwell forwarding to Epstein (without
comment) emails reflected in entries 12 and 13, that is, communications from her
14
own attorney, Mr. Barden, to her (as to which Mr. Gow was copied on one, and
directed to Mr. Gow and copied to Ms. Maxwell as to the other). Mr. Barden
provided in emails at entries 12 and 13, legal advice to Ms. Maxwell.
· Entry numbers 14 and 15 likewise reflect emails on January 11 and January 13
wherein (a) Epstein forwards to Ms. Maxwell a communication to and from his
attorney (Alan Dershowitz in that case); (b) Epstein forwards to Ms. Maxwell a
communication from his attorney (Martin Weinberg in that case) regarding
Weinberg’s communications with Barden, and (c) Ms. Maxwell forwards to
Epstein emails from her counsel, Mr. Barden, containing Mr. Barden’s legal
advice and mental impressions.
“If an attorney provides legal advice to a client ... the client can repeat that advice to a codefendant
outside the presence of any attorney without causing the privilege to be waived.”
Gucci Am., 2008 WL 5251989, at *1; accord Millenium Health, 2015 WL 9257444, at * 2.
Pursuant to their common interest agreement, Ms. Maxwell and Mr. Epstein shared their
lawyers’ advice to one another via email and thus “outside the presence of any attorney,” without
causing their privilege to be waived.
Plaintiff’s Motion to Compel with Respect to entries 11-15 should therefore be denied.
D. Maxwell and Epstein exchanged documents pursuant to the common interest
agreement in order to obtain legal advice (Entries 6, 7 and 19).
Similarly, Ms. Maxwell engaged in communications with Mr. Epstein reflecting
exchanges of documents pursuant to the common interest agreement. As reflected at entries
numbered 6 and 7, Ms. Maxwell requests of Mr. Epstein a particular document and then send a
different document to Mr. Epstein (as well as his counsel, Mr. Dershowitz) of importance to their
common interest in disproving Plaintiff’s false allegations.
Similarly, in entry number 19 as pertains to the January 21 email, Ms. Maxwell
forwarded to Epstein a communication (entry number 18) received from her agent that was sent
to Barden for purposes of obtaining legal advice. In the same way that sharing one’s lawyer’s
15
legal advice with a fellow member of the common interest agreement does not waive the
privilege, nor does the sharing of documents. Gucci, supra (“If information that is otherwise
privileged is shared between parties that have a common legal interest, the privilege is not
forfeited even though no attorney either creates or receives that communication.”).
E. Ms. Maxwell and Epstein shared information and advice to be forwarded to the
others’ attorney for purposes of legal advice (Entries 14, 19 and 20).
Entry numbers 14, 19 and 20 contain some emails between Ms. Maxwell and Mr. Epstein
which reflect the sharing of their respective opinions, recollections, requests for information and
advice. The purpose of these communications was to communicate information to be shared
with their respective counsel for purposes of seeking and receiving legal counsel. These
communications ought likewise to be privileged under the common interest agreement. “The
need to protect the free flow of information from client to attorney logically exists whenever
multiple clients share a common interest about a legal matter.” Shaeffler v. United States, 806
F.3d 34, 40 (2d. Cir. Nov. 10, 2015) (quoting United States v. Schwimmer, 892 F.2d 237 (2d
Cir.1989) (“While the privilege is generally waived by voluntary disclosure of the
communication to another party, the privilege is not waived by disclosure of communications to
a party that is engaged in a ‘common legal enterprise’ with the holder of the privilege.”).
Plaintiff’s Motion to Compel as pertains to entry numbers 14, 19 and 20 that reflect
communications between Ms. Maxwell and Epstein for purposes of sharing information with
their attorneys should be denied as well.
V. Ms. Maxwell’s Privilege Log Is Sufficient
Finally, Plaintiff complains that Ms. Maxwell’s privilege log insufficiently describes the
“subject matter” of the communications. Plaintiff cites three cases from the Southern District of
16
New York, describes them as “controlling precedent” and demands an in camera review of the
subject documents.
First, Ms. Maxwell’s privilege log satisfies the requirements of FRCP 26(c)(5) and Local
Rule 26.2(a)(2). Local Rule 26.2(a)(2)(A) governs “documents”6 and requires “(i) the type of
document, e.g., letter or memorandum; (ii) the general subject matter of the document; (iii) the
date of the document; and (iv) the author of the document, the addressees of the document, and
any other recipients and, where not apparent, the relationship of the author, addressees, and
recipients to each other.” Notably, the Local Rule exempts the requirements where “divulgence
of such information would cause disclosure of the allegedly privileged information.” To have
provided more detailed descriptions of the subject matter in this case would have revealed the
privileged information contained within the documents and therefore the general descriptions are
sufficient.
Second, this type of issue is ripe for conferral among the parties in advance of court
intervention. The three cases cited by Plaintiff are instructive. In Aurora Loan Servs., Inc. v.
Posner, Posner & Assocs., P.C., 499 F.Supp.2d 475, 479 (S.D.N.Y. 2007), the privilege log did
not indicate the nature of the privilege asserted nor the parties to the communications.
Nevertheless, the parties engaged in conferral, after which additional documents and an amended
privilege log were produced which still omitted key information. It was only then the magistrate
judge found that the privilege had been waived. In S.E.C. v. Yorkville Advisors, LLC, 300 F.R.D.
152, 155 (S.D.N.Y. 2014), the privilege logs failed to include the identities of the parties, as well
as the subjects of the communications. Over the course of nine months, the parties engaged in
6 Plaintiff erroneously cites to the requirements of Local Rule 26.2(a)(2)(B) which apply
to “oral communications,” not relevant here.
17
several rounds of conferrals regarding the log, a pre-motion conference with the magistrate
during which he found the log inadequate, and only then the requesting party sought leave to file
a motion to compel.
Finally, in Chevron Corp v. Donziger, 2013 WL 4045326 (S.D.N.Y. 2013), the court held
that, while the document descriptions were insufficient, the log nevertheless contained the
authors, recipients, dates and specified a privilege and so the proper remedy was to afford the
withholding party the “opportunity to supplement his privilege log with descriptions of
communications adequate to allow [his opponent] to assess whether the privilege is properly
asserted.” Id at *3. Moreover, the complaint about the privilege log in that case arose after
several rounds of motions to compel over the course of months.
Ms. Maxwell’s privilege log complies with the Federal and Local Rules, any omitted
information from the descriptions would have revealed the privileged information, and Plaintiff
utterly failed to confer regarding any purported deficiencies. There is no ground for either
finding a waiver of privilege or conducting an in camera review under these circumstances.
CONCLUSION
For the foregoing reasons, Ms. Maxwell requests that Plaintiff’s Motion to Compel
Production of Documents Subject to Improper Claim of Privileges be denied. To the extent the
Court is inclined to disallow Ms. Maxwell’s assertion of attorney-client privilege with respect to
communications with British solicitor, Mr. Philip Barden, Ms. Maxwell requests an Order
permitting two weeks additional time to secure affidavits and other materials pertinent to British
law concerning attorney-client privilege, including its protection for agents of the client.
Alternatively, Ms. Maxwell requests the Court to hold the Motion in abeyance until such
time as the parties have actually met and conferred regarding the Motion’s contents.
18
Dated: March 7, 2016.
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on March 7, 2016, I electronically served this DEFENDANT’S
MEMORANDUM OF LAW IN RESPONSE TO PLAINTIFF’S MOTION TO COMPEL
PRODUCTION OF DOCUMENTS SUBJECT TO IMPROPER CLAIM OF PRIVILEGE via ECF
on the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/ Brenda Rodriguez
Brenda Rodriguez
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DECLARATION OF LAURA A. MENNINGER
IN SUPPORT OF DEFENDANT’S RESPONSE TO
PLAINTIFF’S MOTION TO COMPEL PRODUCTION
OF DOCUMENTS SUBJECT TO IMPROPER PRIVILEGE
I, Laura A. Menninger, declare as follows:
1. I am an attorney at law duly licensed in the State of New York and admitted to
practice in the United States District Court for the Southern District of New York. I am a
member of the law firm Haddon, Morgan and Foreman. P.C., counsel of record for Defendant
Ghislaine Maxwell (“Maxwell”) in this action. I respectfully submit this declaration in support
of Maxwell’s Response to Plaintiff’s Motion to Compel the Production of Documents Subject to
Improper Privilege.
2. Attached as Exhibit A is a true and correct copy of the statement dated January 2,
2015, issued by Ross Gow on behalf of Ghislaine Maxwell.
3. Attached as Exhibit B is a true and correct copy of the attorney profile for Brett
D. Jaffe of Alston & Bird, formerly of Cohen & Gresser, LLP.
...............................................
2
4. Attached as Exhibit C is a true and correct copy of the attorney profile for Mark
S. Cohen of Cohen & Gresser, LLP.
5. Attached as Exhibit D is a true and correct copy of the profile for Philip Barden of
Devonshires Solicitors.
6. Attached as Exhibit E is a true and correct copy of Affidavit of Ghislaine
Maxwell and two pertinent exhibits.
I declare under penalty of perjury that the foregoing is true and correct. Executed on
March 7, 2016 in Denver, Colorado.
By: /s/ Laura A. Menninger
Laura A. Menninger
EXHIBIT A
Case 1:15-cv-07433-RWS Document 47-1 Filed 03/07/16 Page 1 of 2
Case 1:15-cv-07433-RWS Document 47-1 Filed 03/07/16 Page 2 of 2
EXHIBIT B
Case 1:15-cv-07433-RWS Document 47-2 Filed 03/07/16 Page 1 of 4
Case 1:15-cv-07433-RWS Document 47-2 Filed 03/07/16 Page 2 of 4
Case 1:15-cv-07433-RWS Document 47-2 Filed 03/07/16 Page 3 of 4
Case 1:15-cv-07433-RWS Document 47-2 Filed 03/07/16 Page 4 of 4
EXHIBIT C
Case 1:15-cv-07433-RWS Document 47-3 Filed 03/07/16 Page 1 of 3
Case 1:15-cv-07433-RWS Document 47-3 Filed 03/07/16 Page 2 of 3
Case 1:15-cv-07433-RWS Document 47-3 Filed 03/07/16 Page 3 of 3
EXHIBIT D
Case 1:15-cv-07433-RWS Document 47-4 Filed 03/07/16 Page 1 of 3
Case 1:15-cv-07433-RWS Document 47-4 Filed 03/07/16 Page 2 of 3
Case 1:15-cv-07433-RWS Document 47-4 Filed 03/07/16 Page 3 of 3
EXHIBIT E
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 1 of 7
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 2 of 7
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 3 of 7
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 4 of 7
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 5 of 7
Exhibit A
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 6 of 7
Exhibit B Exhibit B
Case 1:15-cv-07433-RWS Document 47-5 Filed 03/07/16 Page 7 of 7

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S REPLY IN FURTHER SUPPORT OF
MOTION FOR PROTECTIVE ORDER
.........................................
......
Laura A. Menninger
HADDON, MORGAN, AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
ii
TABLE OF CONTENTS
INTRODUCTION .......................................................................................................................... 1
ARGUMENT .................................................................................................................................. 3
I. PLAINTIFF’S PROPOSED ORDER IS INADEQUATE AND CONTRARY TO FED.
R. CIV. P. 26...................................................................................................................... 3
A. The Proposed Opening Paragraph and the Purposes and Limitations
Paragraph are Based on False Premises ................................................................ 3
B. The Proposed Changes to Paragraph 3 are Unnecessary ........................................ 4
C. The Proposed Changes to Paragraph 4 Gut the Protective Order ............................ 5
D. The Proposed Changes to Paragraph 5 Make the Order Unenforceable .................. 6
E. Adopting the Proposed Changes to Paragraph 11 Would Make the Disclosure
Process Cumbersome and Unpredictable .............................................................. 7
F. Proposed Paragraph 13 Adds Another Layer of Unnecessary Uncertainty .............. 7
G. Proposed Paragraph 14 Should Be Subject to a Reasonable Time Limitation ........ 8
H. Paragraph 15 Fails for the Same Reasons as Paragraph 5 ...................................... 8
CONCLUSION ............................................................................................................................... 8
iii
TABLE OF AUTHORITIES
Martindell v. Int’l Tel. & Tel. Corp., 594 F.2d 291, 295 (2d Cir. 1979) ........................................ 2
Seattle Times Company v. Rhinehart, 467 U.S. 20, 35 (1984) ....................................................... 2
Securities and Exchange Commission v. Gilbert, 79 F.R.D. 683 (S.D.N.Y. 1978)........................ 3
United States v. Hines, 110 A.F.T.R.2d 2012-6363, 2012 WL 5182910 (E.D.N.Y. Oct. 17, 2012)
.................................................................................................................................................... 3
United States v. Parcels of Land, 903 F.2d 36, 43 (1st Cir. 1990) ................................................. 3
1
INTRODUCTION
Plaintiff’s response to a routine request for a plain vanilla protective order is both
disturbing and revealing. It is disturbing because Plaintiff incorrectly and disingenuously
attempts to re-cast the history of discovery issues in this case to support her equally disingenuous
“non-protective” order. Revealing, because the “non-protective” order proposed by Plaintiff
exposes her true motives: First, her continued desire to use this Court and the discovery process
to promote her fantastical story to the media; second, her tactical plan to bully potential
witnesses into silence by inappropriate threat of criminal prosecution. The Court should reject
the “non-protective” order proposed by Plaintiff and enter the reasonable, and enforceable, order
submitted by Ms. Maxwell.
The True Facts
Plaintiff, on February 4, 5 and 12, 2016, unilaterally and without conferral noticed a
number of depositions in Florida and New York to occur shortly after the notices were served. It
would have been obvious to any experienced trial lawyer that it was unlikely, given the short
time frame, lack of notice, and significant travel, that opposing counsel would not be available
on dates chosen without conferral in contravention of this Court’s Local Rule 26.4. Not
surprisingly, Counsel for Ms. Maxwell was unavailable on the dates unilaterally selected by
Plaintiff.
Counsel for Ms. Maxwell attempted to have a professional conversation about an orderly
discovery plan and, contemporaneously with that request, on February 12, suggested that the
parties present a stipulated motion for protective order to the Court. Counsel for Ms. Maxwell
received no response to this request and, accordingly, on February 20, sent a draft of a protective
order to Plaintiff. This draft was, at first, ignored. When pressed, Plaintiff provided a revised
2
protective order that contains traps and loopholes rendering it meaningless. Thus, Ms. Maxwell
was forced to file her request for a protective order with the Court.
Ms. Maxwell has a real need for a protective order in this case. Plaintiff and her counsel
have made numerous statements to the media about Ms. Maxwell and others. Plaintiff, in this
matter, has repeatedly attached transcripts from unrelated matters, news articles about public
figures, material obtained from government investigations, and discovery obtained in other cases
to her hyperbolic pleadings. These attachments appear to be directed at the media as they have
no real relation to any issues before the Court. The attachments are simply a mechanism to make
information available to the media in the hope of generating publicity. Likewise, and in
contravention of this Court’s Practice Standards 1(A), Plaintiff attaches correspondence between
counsel while misrepresenting the facts relating to those communications.
The Law
Under Rule 26(c) of the Federal Rules of Civil Procedure any party may move the court,
for good cause shown, for a protective order regarding pretrial discovery “which justice requires
to protect a party or person from annoyance, embarrassment, oppression or undue burden or
expense.” Fed. R.Civ.P. 26(c). “Although the Rule contains no specific reference to privacy or to
other rights or interests that may be implicated, such matters are implicit in the broad purpose
and language of the Rule.” Seattle Times Company v. Rhinehart, 467 U.S. 20, 35 (1984).
Confidentiality orders are intended “to ‘secure the just, speedy, and inexpensive
determination’ of civil disputes by encouraging full disclosure of all evidence that might
conceivably be relevant.” Martindell v. Int’l Tel. & Tel. Corp., 594 F.2d 291, 295 (2d Cir. 1979).
Unless protective orders are “fully and fairly enforceable,” persons relying upon such orders will
be inhibited from providing essential testimony and information in civil litigation, “thus
3
undermining a procedural system that has been successfully developed over the years for
disposition of civil differences.” Id.
ARGUMENT
I. PLAINTIFF’S PROPOSED ORDER IS INADEQUATE AND CONTRARY
TO FED. R. CIV. P. 26
A. The Proposed Opening Paragraph and the Purposes and Limitations
Paragraph are Based on False Premises
The “Opening Paragraph” of Plaintiff’s proposed protective order falsely claims that she
is a victim, other witnesses are victims, and Ms. Maxwell is a perpetrator. Thus, according to
Plaintiff, the language of a standard, neutral, protective order must be changed to accommodate
only those claiming to be victims and not those falsely accused. Plaintiff cites no authority for
this proposal which is inapposite to Fed. R. Civ. P. 26 and the law of this Circuit. It is a regular
practice for courts to include language in protective orders that protect the interests of parties and
witnesses who may be accused of crimes. See, e.g., Martindell, supra; United States v. Parcels
of Land, 903 F.2d 36, 43 (1st Cir. 1990) (acknowledging that the district court had entered a
protective order prohibiting the use of the claimant's “deposition transcript, interrogatory
answers and affidavit in any criminal proceeding brought against him by the United States
Attorney for the District of Massachusetts,” with certain exceptions); Securities and Exchange
Commission v. Gilbert, 79 F.R.D. 683, 687 (S.D.N.Y. 1978) (ordering the SEC “not to furnish
the U.S. Attorney specially with any information procured in the course of discovery in this
case”). Protective orders can also serve as “an accommodation to defendants that are entitled to
assert their Fifth Amendment rights in a civil lawsuit involving the government.” United States v.
Hines, 110 A.F.T.R.2d 2012-6363, 2012 WL 5182910, at *4 (E.D.N.Y. Oct. 17, 2012). The
Eastern District of New York discussed “the intersection of a court's power to issue a protective
4
order prohibiting the use of discovery obtained in a civil litigation in other proceedings, and a
party's constitutional right to assert the Fifth Amendment privilege ….” Id. at *3. The court held,
in part, that the magistrate judge had not erred by issuing a protective order “despite the potential
burden it may place on the government's ability to bring parallel civil and criminal proceedings
….” Id. at *7.
Plaintiff quibbles with the language describing the information to be protected, claiming
that it is “overbroad.” This language, however, is not Defendant’s creation, it is taken almost
verbatim from Fed. R. Civ. P. 26(c)(1) which states: “The court may, for good cause, issue an
order to protect a party or person from annoyance, embarrassment, oppression, or undue burden
or expense….”
Plaintiff proposes a Purposes and Limitations revision to include a “good faith”
certification. Counsel for Ms. Maxwell understand their professional obligations under the Rules
of Civil Procedure and the Rules of Professional Conduct. They have and will act pursuant to
those rules. No such provision is needed to regulate the conduct of Ms. Maxwell’s lawyers.
B. The Proposed Changes to Paragraph 3 are Unnecessary
Plaintiff takes exception to the use of the word “implicates” and substitutes “covered by”
and then proceeds to provide her own definition of “covered by” which cannot be found in any
dictionary. In fact, use of the colloquial phrase “covered by” is imprecise and subject to many
interpretations as the word “covered” has, depending on the dictionary, 13 to 14 definitions
including defining a sexual act between horses. See, e.g. “Cover,” Merriam-Webster Online
Dictionary, 2015 ed., available at www.merriam-webster.com/dictionary/cover (last accessed
March 9, 2016); see also “Cover,” Cambridge Dictionaries Online, 2016 ed., available at
dictionary.cambridge.org/us/dictionary/English/cover (last accessed March 9, 2016). Implicates,
5
on the other hand, is easily understood and means: to involve as a consequence, corollary, or
natural inference. “Implicate,” Merriam-Webster Online Dictionary, 2015 ed.
Plaintiff wants to add the phrase “or any non-party that was subject to sexual abuse.”
The obvious question raised by this proposal is: According to whom? Will the parties be able to
challenge the claim of the non-party that the individual was “subject to sexual abuse.” The
protective order proposed by Ms. Maxwell covers this problem by allowing either party to
designate information as confidential. Under Ms. Maxwell’s proposal if the Plaintiff wanted to
designate the information of a non-party as confidential she could, without any “sexual abuse”
qualifier.
C. The Proposed Changes to Paragraph 4 Gut the Protective Order
Paragraph 4 provides: “Confidential information shall not be disclosed or used for any
purpose except the preparation and trial of this case.” Plaintiff suggests adding: “and any related
matter, including but not limited to, investigations by law enforcement.” The use of the slippery
phrase “and any related matter, including but not limited to” makes any order meaningless. With
this language Plaintiff would be free to claim anything is a “related matter” and disseminate
confidential information to anyone.
As discussed above, protection from government investigations is a valid and “vital
function” of a protective order under F.R.C.P. 26(c). Martindell, supra, at 295. Given that the
allegations relating to Plaintiff’s claims, depending on the version, occurred over a decade ago,
the likelihood of any prosecution related to Plaintiff, as an alleged victim, appears unlikely.
However, Plaintiff seems to want the specter of some theoretical prosecution to hang over this
case as a scare tactic. A witness adverse to Plaintiff would be reluctant to testify and may be
bullied into asserting a Fifth Amendment privilege to avoid the potential of information being
forwarded to a prosecutor by the Plaintiff or her lawyers.
6
D. The Proposed Changes to Paragraph 5 Make the Order Unenforceable
Plaintiff proposes to dilute the enforceability of the order by adding the following to the
list of people who can lawfully possess the information: “(h) any person (1) who authored or
received the particular Protected Material; (2) who has or had at any point in time access to the
Protected Material outside of the context of this action; or (3) for which there is a good faith
basis to conclude that the individual has earlier received or seen such Protected Material; and (j)
any other person by written agreement of the parties or by Order of a Court of competent
jurisdiction.”
Proposed subjection (h)(1) seems to apply to anyone who is the recipient of the Protected
Material. Thus, an email or postage stamp renders the order meaningless. Plaintiff’s (h)(2)
makes it virtually impossible for an aggrieved party to enforce the order because the person in
possession of the Protected Material simply has to claim that they, at any point in time, “had
access to” the Protected Material. “Access to” is a very broad term. A burglar has “access to”
an unprotected house. A hacker has “access to” an unprotected computer. Simply because
someone has “access to” something does not confer the right to have it. And, it would be time
consuming, expensive, and likely futile to attempt to prove when someone did, or did not, have
“access to” the material.
Subsection (h)(3) further muddies Plaintiff’s murky swamp of disclosure. If Plaintiff or
her lawyers have a “good faith basis to conclude” that someone has either “received” (and
apparently not looked at) or “seen” (which would imply receipt followed by viewing) Plaintiff or
her lawyers can disseminate Protected Material to that person. Seemingly, if either Plaintiff or
her lawyers are tricked by someone in the press or otherwise and have a “good faith” but
7
mistaken “basis to conclude” that the reporter has at some time “received” or “seen” the material
they are free from sanctions.
E. Adopting the Proposed Changes to Paragraph 11 Would Make the
Disclosure Process Cumbersome and Unpredictable
As originally proposed, paragraph 11 provides for a very straightforward and predictable
process: a party designates information that she deems confidential as such; the other party can
object, in writing, to the designation. If the parties can resolve the disagreement within 10 days
it is resolved without Court intervention. If not, it is incumbent on the objecting party to file a
motion asking for the Court’s assistance in resolving the matter.
Plaintiff’s proposal, however, allows an unlimited amount of time to object to a
confidentiality designation. Invariably, this will lead to some attempt to game the process by
delaying the objection process. Moreover, if something is designated as confidential and the
parties rely on that designation it would be inappropriate to then, potentially months after the
fact, litigate the designation. This proposal results in sloppy work and an unreliable process. In
addition, Plaintiff in her proposed paragraph 11 has injected a new category of designation,
“highly confidential-attorneys’ eyes only.” It is unclear why this designation would apply in this
case and this designation, if appropriate, should be subject to a different, more individualized
process. And, the “highly confidential” documents are not referenced in paragraph 12.
Presumably these types of documents would be destroyed at the conclusion of the case.
F. Proposed Paragraph 13 Adds Another Layer of Unnecessary
Uncertainty
Ms. Maxwell’s proposed protective order does not limit any party’s ability to restrict
documents. Accordingly, should Plaintiff or Ms. Maxwell believe that a non-party’s deposition
contains confidential information either party is free to designate it as such. If neither of the
8
parties believed that the information should be afforded confidential treatment it makes no sense
for a non-party to, apparently at any time, request confidential treatment. If a non-party has a
particular interest that is inconsistent with that of the parties they are free to request a separate
protective order that addresses that concern.
G. Proposed Paragraph 14 Should Be Subject to a Reasonable Time
Limitation
Ms. Maxwell does not object to the addition of a provision that allows either party to
claw back documents inadvertently not designated as Confidential. However, without any
restriction as to the time each party has to exercise this right, the burden on the receiving party of
“undertaking best efforts to retrieve all previously distributed copies from any recipients now
ineligible to access the Protected Material” can become unreasonably onerous. Ms. Maxwell
thus proposes that paragraph 14 be modified to require that the producing party be given a
reasonable time, not to exceed thirty days, to claw back any inadvertently undesignated
document.
H. Paragraph 15 Fails for the Same Reasons as Paragraph 5
Paragraph 15 is a restatement of Plaintiff’s proposed changes to paragraph 5 and fails for
the same reasons.
CONCLUSION
The Orders of a United States District Court Judge should be understandable and
enforceable. The language proposed by Plaintiff renders the Protection Order neither. The
Protective Order offered by Ms. Maxwell is neutral, understandable, and enforceable. It is the
type of order routinely entered in U.S. District Courts and should be entered in this case.
9
Dated: March 9, 2016
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on March 9, 2016, I electronically served this DEFENDANT’S REPLY IN
FURTHER SUPPORT OF MOTION FOR PROTECTIVE ORDER via ECF on the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/ Nicole Simmons
Nicole Simmons
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Case 1:15-cv-07433-LAP Document 52 Filed 03/14/16 Page 1 of 2
Case 1:15-cv-07433-LAP Document 52 Filed 03/14/16 Page 2 of 2
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF, VIRGINIA GIUFFRE’S REPLY IN RESPONSE
TO DEFENDANT’S SUPPLEMENTAL MEMORANDUM OF LAW
IN RESPONSE TO PLAINTIFF’S MOTION TO COMPEL THE
PRODUCTION OF DOCUMENTS SUBJECT TO IMPROPER OBJECTIONS
BOIES, SCHILLER & FLEXNER LLP
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. ARGUMENT .........................................................................................................................2
A. Ms. Giuffre’s Relevant Period Is Appropriate...............................................................2
1. Defendant is Taking a Disingenuous Position Regarding Her Objections to
Plaintiff’s Time Period .........................................................................................2
2. Ms. Giuffre’s Post-2002 Discovery Requests Are Narrowly Tailored To
Seek Specific, Relevant Evidence Of Defendant’s Continued Involvement In
Jeffrey Epstein’s Underage Sex Trafficking .......................................................3
B. Defendant’s Objections Are Improper. .........................................................................5
C. Defendant’s Specific Objections Are Inappropriate......................................................6
1. Request No. 1, Request No. 10, and Request No. 11 ...........................................6
2. Request No. 3. ......................................................................................................7
3. Request No. 6. ......................................................................................................8
4. Request No. 37. ....................................................................................................8
5. Request No. 7 and Request No. 15.......................................................................9
6. Request No. 17. ..................................................................................................10
7. Request No. 8, Request No. 33, and Request No. 39. ........................................10
CONCLUSION .............................................................................................................................10
ii
TABLE OF AUTHORITIES
Page
Cases
Anwar v. Fairfield Greenwich Ltd.,
982 F. Supp. 2d 260 (S.D.N.Y. 2013) .........................................................................................1
Civil Aeronautics Bd. of Civil Aeronautics Auth. v. Canadian Colonial Airways,
41 F. Supp. 1006 (S.D.N.Y. 1940) ..............................................................................................4
In re A2P SMS Antitrust Litig.,
972 F. Supp. 2d 465 (S.D.N.Y. 2013) .........................................................................................1
In re 650 Fifth Ave.,
No. 08 CIV. 10934 KBF, 2013 WL 1870090 (S.D.N.Y. Apr. 24, 2013)....................................6
1
Plaintiff Virginia L. Giuffre, respectfully submits this Reply in Response to Defendant’s
Supplemental Response to Plaintiff’s Motion to Compel the Production of Documents Subject to
Improper Objections [D.E. 45]. For the reasons set forth below, this Court should grant Ms.
Giuffre’s Motion to Compel in its entirety.
I. PRELIMINARY STATEMENT1
After sitting on Ms. Giuffre’s First Request for Production for four months, Defendant
only produced two documents. Defendant acknowledges that she has other responsive
documents, but she is withholding them from production.2
Flight logs demonstrate the incredibly close relationship between Defendant and
convicted pedophile Jeffrey Epstein during the time they were abusing Ms. Giuffre and, then,
other minors: Defendant flew on Jeffrey Epstein’s private plane no less than 360 times, and over
20 times with Ms. Giuffre when Ms. Giuffre was a minor child.3 Message pads from Law
Enforcement’s trash pull of Jeffrey Epstein’s Palm Beach mansion show Maxwell in regular
contact with him, including Defendant arranging for Epstein to meet with underage girls. This
evidence alone rebuts Defendant’s specious objections that seeking documents relating to
Defendant’s trafficking of other underage girls is merely a “fishing expedition.” Indeed, over
thirty underage girls were recruited for Epstein’s sex abuse, most of which were recruited after
1 Ms. Giuffre views Defendant’s “Supplemental Responses” (D.E. 45 and 46) as impermissible sur-replies.
Defendant already filed a Response, and her “supplemental” responses were filed after Ms. Giuffre filed her Reply
to Defendant’s Response. See In re A2P SMS Antitrust Litig., 972 F. Supp. 2d 465, 500 (S.D.N.Y. 2013) (striking
sur-reply because it does not respond to “new issues which are material to the disposition of the question before the
[C]ourt,”); Anwar v. Fairfield Greenwich Ltd., 982 F. Supp. 2d 260, 263 (S.D.N.Y. 2013) (“the Court notes that
Plaintiffs' letter is a sur-reply filed without permission of the Court and does not identify new controlling law, and
therefore will not be considered.”). To the extent that this Court has not yet made a sua sponte ruling to strike them
from the docket to date, Ms. Giuffre hereby files her reply briefs within the time allotted under the Local Rules.
2 She is also adamantly refusing to sit for her deposition. Most recently, Defendant is attempting to hold hostage Ms.
Giuffre’s effort to take Defendant’s deposition by refusing to agree on a basic privilege log production parameters
unless Ms. Giuffre agrees to cancel the most critical deposition in this case – that of the Defendant.
3 These numbers are based only upon the partial and incomplete flight logs available to Ms. Giuffre at this time.
2
Ms. Giuffre escaped.4 Therefore, discovery requests concerning Defendant’s continued
trafficking of minors, and continued contact with her co-conspirators (including payments from
Epstein), are relevant and discoverable.
II. ARGUMENT
A. Ms. Giuffre’s Relevant Period Is Appropriate
1. Defendant is Taking a Disingenuous Position Regarding Her Objections to
Plaintiff’s Time Period
Defendant argues that, “[g]iven the nature of her claim, the time period chosen by the
Plaintiff [17 years] is grossly overbroad.” (See D.E. 45 at 3.)5. However, Defendant’s own
document requests belie this contention. Defendant requested documents from an even greater
period of time, and many requests have no date restrictions (“NDR”) whatsoever:
Defendant’s Requests:
Request Years Request Years Request Years Request Years
No. 1 18 No.11 N/A No. 21 5 No. 31 NDR
No. 2 18 No. 12 18 No. 22 16 No. 32 NDR
No. 3 NDR No. 13 4 No. 23 16 No. 33 NDR
No. 4 NDR No. 14 18 No. 24 14 No. 34 NDR
No. 5 18 No. 15 18 No. 25 NDR No. 35 18
No. 6 NDR No. 16 6 No. 26 NDR No. 36 NDR
No. 7 4 No. 17 18 No. 27 NDR No. 37 NDR
No. 8 4 No. 18 16 No. 28 NDR
No. 18 No. 19 NDR No. 29 NDR
No. 10 N/A No. 20 NDR No. 30 NDR
For example, Defendant’s Request No. 26 seeking “All Documents concerning any
prescription drugs taken by You,” has no date restrictions. Defendant, therefore, must believe
that every prescription drug Ms. Giuffre has taken - from infancy - will likely be helpful to prove
4 See Declaration of Sigrid McCawley (“McCawley Decl.”) at Exhibit 1, Palm Beach Police Report.
5 Defendant disregarded Ms. Giuffre’s requested date range of 1999 to the present and unilaterally limited her
production to the years 1999 – 2002 and for one month from December 31, 2014 to January 31, 2015.
3
or disprove the claim in this case.6 Defendant cannot hold the position that documents relevant
to the claim in this case arise solely from a self-serving fraction of the requested date range if
collected from her, while concomitantly holding the position that documents from an even larger
date rage are relevant when collecting from Ms. Giuffre. With her briefing in one hand, and her
requests for production in the other, Defendant is engaging in double-speak. Accordingly, this
Court cannot take Defendant’s argument regarding the Relevant Period at face value, and should
reject it.
2. Ms. Giuffre’s Post-2002 Discovery Requests Are Narrowly Tailored To
Seek Specific, Relevant Evidence Of Defendant’s Continued Involvement
In Jeffrey Epstein’s Underage Sex Trafficking
As articulated in Ms. Giuffre’s moving brief and her consolidated reply (D.E. 35, and
43), Ms. Giuffre has shown the relevance of her narrowly-tailored requests seeking certain
documents from the period of time after Ms. Giuffre escaped Defendant’s abuse. To recount,
Defendant continued to recruit underage girls for sex with convicted sex offender Jeffrey Epstein
after Ms. Giuffre escaped.7 This fact is established by documentary evidence, sworn testimony,
and other statements by third parties. Indeed, flight logs show Defendant traveling on the
convicted sex offender’s plane up to at least 2005; and police reports in the Palm Beach
investigation reveal the abuse occurred into the mid-2000s.8 In addition, message pads from law
enforcement trash pulls from Jeffrey Epstein’s home show that Defendant arranged to have
underage girls come over for “training.”9
6 Despite issuing multiple requests like the one quoted above, Defendant’s “Supplemental Response” brief
complains of a “fishing expedition” by Ms. Giuffre seven times.
7 Indeed, over thirty underage girls were recruited for Epstein’s sex abuse. See McCawley Decl. at Exhibit 1.
8 See McCawley Decl. at Exhibit 2, Flight Logs from Jeffrey Epstein’s private plane and Exhibit 1, Palm Beach
Police Report.
9 See McCawley Decl. at Exhibit 3, Message Pads from Law Enforcement trash pulls of Jeffrey Epstein’s Palm
Beach home.
4
Documents showing Defendant recruiting underage girls from that time period are
relevant because they help establish Ms. Giuffre’s contention that Defendant recruited her while
she was underage. Again, over thirty underage girls were recruited for Epstein’s sex abuse in
Florida alone, most of which were recruited after Ms. Giuffre escaped.10 Such documents would
show a pattern and practice of Defendant’s behavior and also show Defendant’s role within
Jeffrey Epstein’s criminal enterprise. That Ms. Giuffre was in Australia while Defendant
continued her illegal activities does not lessen the weight of that evidence.11 To the contrary, the
fact that Defendant and Jeffrey Epstein recruited other girls for abuse gives more weight to Ms.
Giuffre’s allegations.
Furthermore, for the period after Epstein was indicted for sex crimes against children,
documents showing Defendant’s continued communications with Epstein and his associates,
documents showing receipt of payments from Epstein, and documents showing her attempts to
cover up her wrongful sexual abuse of minors are relevant.
There are already materials implicating Defendant’s post-2008 involvement with Epstein
and the related cover-up. For example, Defendant dodged a deposition in 2009 to avoid
answering questions about the abuse of Ms. Giuffre and others.12 Additionally, since 2005, when
the investigation started, to the present, Defendant has been engaged in a joint defense agreement
with Jeffrey Epstein.13 And, Defendant has continued to communicate with convicted sex
offender Jeffrey Epstein, at least, through 2015, when she made her defamatory statement.14
10 See McCawley Decl. at Exhibit 1.
11 “If it be that defendant has violated the provisions of law, and continues so to do, there is no good reason why the
plaintiff may not produce evidence of defendant's continuing wrongful conduct.” Civil Aeronautics Bd. of Civil
Aeronautics Auth. v. Canadian Colonial Airways, 41 F. Supp. 1006, 1008 (S.D.N.Y. 1940).
12 See McCawley Decl. at Exhibit 4, Notice of Deposition of Ghislaine Maxwell, Subpoena and Cancellation
Payment Notice, and January 13, 2015 Daily Mail Article.
13 See McCawley Decl. at Exhibit 5, January 12, 2016 Deposition Transcript of Alan Dershowitz at 527; see also
March 7, 2016 Affidavit of Ghislaine Maxwell, attached at Exhibit E to D.E.47-5.
14 This is evidenced by Defendant’s privilege log, McCawley Decl. at Exhibit 6.
5
Documents evidencing these acts and occurrences after Epstein’s indictment show her continued
involvement in the conspiracy.
Defendant states that “this lawsuit presents one relatively simple question: is Plaintiff’s
claim that she was sexually abused by Jeffrey Epstein between 1999 and 2002 ‘with the
assistance and participation of’ Ms. Maxwell true?” (D.E. 45 at 1). She cannot claim that
evidence of her involvement in Jeffrey Epstein’s abuse of other girls, after 2002, does not tend to
prove the allegations that Defendant was involved in the abuse of Ms. Giuffre.15 In short,
evidence of Defendant trafficking other girls, and evidence of Defendant covering up the abuse
after the fact, is relevant to proving that she was involved in the abuse and trafficking of Ms.
Giuffre. Defendant has admitted she has responsive documents for this period. Therefore, this
Court should direct that she produce them.
B. Defendant’s Objections Are Improper
Defendant’s argument against Ms. Giuffre’s use of the phrase “all documents” or
“relating to” is disingenuous because she uses those phrases in her requests to Ms. Giuffre.
Defendant argues that the terms, “all documents” and “relate,” are too broad to be employed in
Requests for Production, thus making all of Ms. Giuffre’s requests “fatally flawed.” At the same
time she makes this argument, Defendant has propounded 37 requests for production on Ms.
Giuffre. Twenty-five of them seek “all documents” or “any documents.” Twenty of them seek
documents “relat[ing] to” or “reflecting” various topics. Only 8 of her 37 requests are free of
these “obtuse” terms that she claims are “fatal defect[s].” Presumably, Defendant is neither
conceding that the majority of her Requests for Production are “fatally flawed,” nor is she
15 Accordingly, Defendant’s objections to Request Nos. 21, 22, 23, 24, and 27 are improper.
6
withdrawing the 29 of them. Accordingly, Ms. Giuffre respectfully requests the Court reject this
argument.16
C. Defendant’s Specific Objections Are Inappropriate
1. Request No. 1: All documents relating to communications with Jeffrey
Epstein from 1999-Present.
Request No. 10: All documents relating to payments made from Jeffrey
Epstein or any related entity to you from 1999-present, including
payments for work performed, gifts, real estate purchases, living expenses,
and payments to your charitable endeavors including the TerraMar
Project.
Request No. 11: All documents relating to or describing any work you
performed with Jeffrey Epstein, or any affiliated entity from 1999-Present.
Jeffrey Epstein’s message pads, pulled from trash by law enforcement, show that
Defendant arranged for a minor child to come over to Jeffrey Epstein’s house for “training”.17
The Palm Beach Police Department collected these incriminating message pads from Epstein’s
home. A member of Jeffrey Epstein’s household staff, Juan Alessi, testified under oath that
Defendant lived with Epstein, and ran his household.18 These are just some examples of
evidence showing that Defendant was employed by convicted sex offender Jeffrey Epstein to
traffic minor children for him.
Despite this evidence, Defendant claims that discovery requests seeking evidence of work
she performed for Epstein, the payments she received from Epstein,19 and the communications
she had with and about Epstein, constitutes a “fishing expedition.” (D.E. 45 at 6.) These
requests are not merely “reasonably calculated” to lead to the discovery of admissible evidence,
16 In discovery disputes, “[w]hat is good for the goose is good for the gander.” In re 650 Fifth Ave., No. 08 CIV.
10934 KBF, 2013 WL 1870090, at *3 (S.D.N.Y. Apr. 24, 2013) (requiring that the government produce a privilege
log in order to persist in its allegations that the defendants’ privilege logs are inadequate).
17 See McCawley Decl. at Exhibit 3, Message Pads from Jeffrey Epstein’s house.
18 See McCawley Decl. at Exhibit 7, Deposition Transcript of Juan Alessi.
19 Indeed, substantial payments received from Epstein at key times during the Government investigation can show if
he paid her in exchange for her silence. Evidence of Epstein (or Epstein’s attorney, see McCawley Decl. at Exhibit
8, February 2, 2015 Page Six Article) paying for her New York home (recently listed at $19M), and evidence of
Epstein’s continued payments throughout the Relevant Period, are also indicative of Maxwell’s ongoing
involvement with Epstein.
7
but they zero-in on exactly the type of admissible evidence that would directly support Ms.
Giuffre’s claim of being sexually abused.
Defendant argues she should not have to produce communications related to Jeffrey
Epstein and “rice pudding.” Ms. Giuffre disagrees. Communications revealing Defendant’s
frequent and constant contact with Epstein, particularly regarding the minutia of his life, shows
the depth of her access to, and involvement with, Epstein. Indeed, frequent communications
showing how Defendant was the intimate caretaker of Epstein’s private life - from rice pudding
recipes to his predilection for underage girls - reveal her role as a participant in the trafficking
and, importantly, thoroughly refute any affirmative defense she might make that she was
unaware of the abuse.
2. Request No. 3: All Documents Relating To Communications With
Andrew Albert Christian Edward, Duke Of York (A.K.A Prince Andrew)
From 1999-Present.
Ms. Giuffre has alleged that Defendant trafficked Ms. Giuffre to Andrew while she was a
minor child. Ms. Giuffre has a photograph of Andrew’s arm around her bare waist in the
presence of Defendant, in Defendant’s London apartment, while Ms. Giuffre was under age.
Defendant has never answered the question: what was this child doing in her London townhouse
with them? Another witness has supplied some of the details on Ms. Giuffre’s trafficking to
Andrew. Johanna Sjoberg reported that “Virginia, another girl there, sat on a chair and had the
puppet on her lap. Andrew sat on another chair, I sat on his lap and he put his hand on my
breast. Ghislaine puppet’s hand on Virginia’s breast, then Andrew put his hand on mine . . .”.20
Accordingly, communications with Andrew are relevant, and they would likely show
Defendant’s arrangements to traffic Ms. Giuffre to him, and possibly the trafficking of other girls
to him.
20 See McCawley Decl. at Exhibit 9, September 23, 2007 Red Ice Creations Article.
8
3. Request No. 6: All Documents Relating To Communications With Any
Of The Following Individuals From 1999 -The Present: Emmy Taylor,
Sarah Kellen, Eva Dubin, Glen Dubin, Jean Luc Brunel, And Nadia
Marcinkova
Both Sarah Kellen and Nadia Marcinkova asserted their Fifth Amendment privilege when
asked under oath about Defendant’s involvement in trafficking underage girls.21 For example,
co-conspirator Nadia Marcinkova testified:
Q. Isn’t it true that yourself, Ghislaine Maxwell and Sarah Kellen had access to a master
of list of underage minor females names and phone numbers so they could be called for
the purpose of coming to Jeffrey Epstein’s house to be sexually molested? . . .
A. Fifth.. . .
Q. And also typical of Ghislaine Maxwell and Jeffrey Epstein to prostitute or pimp out
underage minors to friends? . . .
A. Fifth.22
Co-conspirator Jean Luc Brunel left a note for Epstein on a message pad saying he had a
sixteen-year-old girl who could “teach Russian” to Epstein for “free.”23 Finally, Emmy Taylor,
is photographed with Maxwell and Jeffrey Epstein on a trip to Europe with Ms. Giuffre when she
was a minor, and the Dubins are on flight logs with Defendant and Epstein.24 Therefore, the
communications with these individuals are relevant, and show the sexual trafficking.
4. Request No. 37: All Documents Reflecting Communications You Have
Had With Bill Or Hillary Clinton (Or Persons Acting On Their Behalf),
Including All Communications
Defendant has a history of avoiding deposition in relation to sex abuse claims. In 2009,
Maxwell’s deposition was sought in connection with various sexual abuse allegations. Maxwell
avoided her deposition, claiming her mother was ill, so she would be traveling outside the
country with no plans of returning. Despite this claim to avoid her deposition, she was
21 Contrary to Defendant’s claims, Sarah Kellen did not assert her Fifth Amendment rights in response to every
question in her deposition. See McCawley Decl. at Exhibit 11, March 24, 2010 Deposition Transcript of Sarah
Kellen.
22 See McCawley Decl. at Exhibit 10, April 13, 2010 Deposition Transcript of Nadia Marcinkova at 34 and 48.
23 See McCawley Decl. at Exhibit 10, April 13, 2010 Deposition Transcript of Nadia Marcinkova.
24 See McCawley Decl. at Exhibit 12, Picture taken by Ms. Giuffre of Defendant Maxwell, Jeffrey Epstein, and
Emmy Taylor while she is in Europe. See also McCawley Decl. at Exhibit 2, Flight logs.
9
photographed shortly thereafter in the United States at Chelsea Clinton’s wedding in Rhinebeck,
New York.25 Most recently, when Ms. Giuffre attempted to meet and confer on the procedure
for the production of her privilege log, Defendant refused to reach any agreement relating to the
procedural issue unless Ms. Giuffre would cancel the Defendant’s deposition.
Further, other communications Defendant has had with the Clintons about Ms. Giuffre or
the allegations in this case are also highly relevant, particularly given that former President
Clinton travelled with Defendant, Jeffrey Epstein and others on Jeffrey Epstein’s plane a number
of times, including a trip to Thailand. Maxwell admits that she has documents responsive to this
request, and this Court should require her to produce them.
5. Request No. 7: All Video Tapes, Audio Tapes, Photographs Or Other
Print Or Electronic Media Relating To Females Under The Age Of 18
From The Period Of 1999-Present.
Request No. 15: All video tapes, audio tapes, photographs or any other
print or electronic media taken at a time when you were in Jeffrey
Epstein’s company or inside any of his residences or aircraft.
Regarding Request No. 7, Alfredo Rodriguez, Epstein’s former house manager, testified
that Defendant kept naked pictures of girls on her computer.26 As explained in her moving brief,
Ms. Giuffre is not seeking mainstream, legally available depictions of minors. She is seeking the
photos described by Mr. Rodriguez and any other (non-family) under-age girls, including Ms.
Giuffre, photographed or otherwise recorded by Defendant. Regarding Request No. 15, media
depicting individuals in Epstein’s company or inside his residences or aircraft are relevant to Ms.
Giuffre’s claims that she was trafficked to others.
25 See McCawley Decl. at Exhibit 4, Maxwell Deposition Notice; Subpoena and Cancellation Payment Notice, and
January 13, 2015 Daily Mail Article with photograph.
26 See McCawley Decl. at Exhibit 13, Deposition Transcripts of Alfredo Rodriguez.
10
6. Request No. 17: All Documents Relating To Communications With You
And Ross Gow From 2005 – Present.
Defendant’s defamatory statements to the press were issued by Ross Gow, and it is the
genesis of this action. Accordingly, requests seeking Defendant’s communications with Gow are
reasonably calculated to lead to admissible evidence. Additionally, Ms. Giuffre only seeks
documents from Ross Gow from 2005 - present, because Defendant had not been publically
implicated in an underage sex trafficking ring prior to 2005. Therefore, any other
communications with Mr. Gow prior to that time are irrelevant.
7. Request No. 8: All Documents Relating To Your Travel From The Period
Of 1999- Present, Including But Not Limited To, Any Travel On Jeffrey
Epstein’s Planes, Commercial Flights, Helicopters, Passport Records,
Records Indicating Passengers Traveling With You, Hotel Records, And
Credit Card Receipts.
Request No. 33: All Travel Records Between 1999 And The Present
Reflecting Your Presence In: (A) Palm Beach Florida Or Immediately
Surrounding Areas; (B) 9 E. 71st Street, New York , NY 10021; (C) New
Mexico; (D) U.S. Virgin Islands; (E) Any Jet Or Aircraft Owned Or
Controlled By Jeffrey Epstein.
Request No. 39: All documents reflecting training to fly a helicopter or
experience flying a helicopter, including any records concerning your
operation of a helicopter in the U.S. Virgin Islands.
These requests seek information about Defendant’s sexually trafficking of minors,
including documents relating to her flying girls to be with Epstein.27 Related to the trafficking,
Epstein’s Caribbean property is only reachable via helicopter or boat, and Defendant’s records of
transporting underage girls or other individuals to that property are relevant to Ms. Giuffre’s
claims of Defendant’s sexually trafficking her.
CONCLUSION
Plaintiff respectfully requests that the Court grant her Motion to Compel.
27 Ms. Giuffre is in possession of some of Epstein’s private aircraft flight logs, but they are incomplete.
11
Dated: March 14, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
12
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 14, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
1
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
ANSWER
Defendant Ghislaine Maxwell, through her attorneys Haddon, Morgan & Foreman, P.C.,
answers the Complaint as follows:
Introduction
1. Ghislaine Maxwell did not participate in, facilitate, manage or otherwise conspire
to commit sex trafficking as alleged by Plaintiff Virginia Roberts Giuffre (“Giuffre”). Giuffre’s
unsubstantiated allegations concerning Ms. Maxwell are false. Giuffre’s fantastical claims,
contained in news stories and press-releases masquerading as legal pleadings over the last five
years have been well-crafted with the assistance of high-priced attorneys to facilitate Giuffre’s
media exposure, to enhance her marketability, to extract financial gain for herself and her family,
and to promote her sham non-profit, Victims Refuse Silence, Inc.
2. No law enforcement agency pursued any criminal charges against Ms. Maxwell,
even after both federal and state investigators fully scrutinized Ms. Maxwell’s one-time
.........................................
......
2
employer, Jeffrey Epstein, who was jailed for soliciting underage prostitution. No court or jury
has ever determined Ms. Maxwell responsible for any criminal conduct against Giuffre or
anyone else. No civil complaint has ever been lodged against Ms. Maxwell for sexual
misconduct nor abuse nor has she settled privately any private claims for such. Indeed, no other
person has ever made any claim of any sort against Ms. Maxwell.
3. Rather, Giuffre fabricated a story of abuse at the hands of Ms. Maxwell in
exchange for hundreds of thousands of dollars from British tabloids with a motive for selling
papers and advertisements and without regard for truth, veracity or substantiation. The more
time that passes and the more potential for monetary gain she and her attorneys perceive, the
more Giuffre’s story, like Pinocchio’s nose, continues to grow without limitation: more and
more famous people, more lurid accounts of tawdry sexual encounters, and more exploitive
circumstances. Giuffre’s stories have proven wildly contradictory and, even by her own words,
have been definitively proven untrue.
4. Giuffre published her false allegations and accusations about Ms. Maxwell in
tabloids and in media interviews and then in press-releases disguised as legal pleadings which
she shared with the press. Faced with unrelenting negative press and harassment by the media in
the United Kingdom spurred by Giuffre’s false claims, Ms. Maxwell was obligated by British
law to set the record straight and to defend herself by issuing a denial of Giuffre’s claims about
her and pointing out that her more fantastical stories contained obvious lies.
5. Giuffre filed this defamation action against Ms. Maxwell for financial and media
gain and for her 15 minutes of fame. Ms. Maxwell submits this Answer to Giuffre’s
unsubstantiated Complaint in order to seek vindication from Giuffre’s vicious lies and improper
abuse of this country’s judicial system.
3
NATURE OF THE ACTION1
1. Ms. Maxwell denies the factual allegations and legal conclusions contained in
Paragraph 1.
JURISDICTION AND VENUE
2. Paragraph 2 contains legal conclusions for which no response is required. To the
extent the Court determines a response is required, Ms. Maxwell denies knowledge or
information sufficient to form a belief as the allegations in paragraph 2.
3. Ms. Maxwell admits the allegations concerning her residency. Ms. Maxwell is
without knowledge or information sufficient to form a belief as to Plaintiff’s residency. Ms.
Maxwell denies that the amount in controversy exceeds $75,000. The remaining allegations are
legal conclusions for which no response is required. To the extent the Court determines a
response is required, Ms. Maxwell denies knowledge or information sufficient to form a belief as
the allegations in paragraph 3.
4. Ms. Maxwell admits the allegations concerning her residency and denies the
remaining allegations in Paragraph 4.
5. Paragraph 5 contains legal conclusions for which no response is required. To the
extent the Court determines a response is required, Ms. Maxwell denies knowledge or
information sufficient to form a belief as the allegations in paragraph 5.
1 Because Plaintiff’s Complaint repeats paragraph numbers throughout, this Answer tracks the
headings and paragraph numbers contained therein to facilitate cross-reference between the two
documents.
4
PARTIES
6. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
Plaintiff’s residency.
7. Ms. Maxwell admits that she is not a citizen of the state of Colorado and admits
that she was domiciled in the Southern District of New York at the time this action commenced.
FACTUAL ALLEGATIONS
8. Ms. Maxwell denies the allegations contained in Paragraph 8.
9. Ms. Maxwell denies the allegations contained in Paragraph 9.
10. Ms. Maxwell denies the allegations contained in Paragraph 10.
11. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 11.
12. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 12.
13. Ms. Maxwell denies that she was a co-conspirator of Epstein and is without
knowledge or information sufficient to form a belief as to the remaining allegations contained in
Paragraph 13.
14. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 14.
15. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 15.
16. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 16.
5
17. Ms. Maxwell admits that Virginia Roberts made allegations about Ms. Maxwell
in a lawsuit she instituted against Jeffrey Epstein. Ms. Maxwell is otherwise without knowledge
or information sufficient to form a belief as to the remaining allegations contained in Paragraph
17.
18. Ms. Maxwell admits that Virginia Roberts made allegations about Ms. Maxwell
in a lawsuit she instituted against Jeffrey Epstein but denies the allegations contained in
Paragraph 18, including that allegation that she engaged in any sex trafficking or any recruiting
of any minor for purposes of sexual crimes.
19. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 19.
20. Ms. Maxwell admits that her attorney received a document entitled “subpoena” in
connection with some litigation against Mr. Epstein. Ms. Maxwell is without knowledge or
information sufficient to form a belief as to the remaining allegations contained in Paragraph 20.
21. Ms. Maxwell admits that her then 89 year old mother was very ill in 2010 and that
she traveled to the United Kingdom to help with her care. Ms. Maxwell denies the remaining
allegations contained in Paragraph 21.
22. Ms. Maxwell denies that she committed or participated in any sexual abuse. Ms.
Maxwell is without knowledge or information sufficient to form a belief as to the allegations
contained in Paragraph 22.
23. Ms. Maxwell denies that Giuffre was a victim of sexual trafficking or abuse
insofar as those allegations relate to Ms. Maxwell and is without knowledge or information
sufficient to form a belief as to the remaining allegations contained in Paragraph 23.
6
24. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 24.
25. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 25.
26. Ms. Maxwell is without knowledge or information sufficient to form a belief as to
the allegations contained in Paragraph 26.
27. Ms. Maxwell admits that Ms. Giuffre made false allegations about her in a motion
filed in the United States District Court for the Southern District of Florida that were stricken by
that Court as “impertinent and immaterial” and Ms. Maxwell denies those allegations.
28. Ms. Maxwell denies the allegations contained in Paragraph 28.
29. Ms. Maxwell denies the allegations contained in Paragraph 29.
30. Ms. Maxwell denies the allegations contained in Paragraph 30, including the
allegations in sub-paragraphs 30 (a) – (c).
31. Ms. Maxwell denies the allegations contained in Paragraph 31.
32. Ms. Maxwell denies the allegations contained in Paragraph 32.
33. Ms. Maxwell denies the allegations contained in Paragraph 33.
34. Ms. Maxwell denies the allegations contained in Paragraph 34.
35. Ms. Maxwell denies the allegations contained in Paragraph 35.
36. Ms. Maxwell denies the allegations contained in Paragraph 36.
37. Ms. Maxwell admits that she made a verbal statement to a reporter in Manhattan
on or about January 4, 2015 after the reporter accosted her outside her home with a camera, in
which she referenced the statement that had been made and declining further questions. The
video speaks for itself. Ms. Maxwell denies the remaining allegations in Paragraph 37.
7
COUNT 1: DEFAMATION
1. Ms. Maxwell restates all of the foregoing answers contained in paragraphs 1-37
above. Ms. Maxwell denies that she or her representatives made any defamatory statements. To
the extent paragraph 1 of the Complaint states conclusions or characterizations of the law, no
response is required. To the extent the Court determines a response is required, Ms. Maxwell
denies knowledge or information sufficient to form a belief as the allegations in paragraph 1.
Ms. Maxwell denies the remaining factual allegations contained in Paragraph 1.
2. Ms. Maxwell denies the allegations contained in Paragraph 2.
3. Ms. Maxwell denies the allegations contained in Paragraph 3.
4. Ms. Maxwell denies the allegations contained in Paragraph 4.
5. Ms. Maxwell denies that she or Mr. Ross Gow made any defamatory statement.
To the extent Paragraph 5 states conclusions or characterizations of the law, no response is
required. Ms. Maxwell otherwise denies the legal conclusions contained in Paragraph 5.
6. Ms. Maxwell denies that she or Ross Gow made any defamatory statement. To
the extent Paragraph 6 states conclusions or characterizations of the law, no response is required.
7. Ms. Maxwell denies that she or Ross Gow made any defamatory statement. To
the extent Paragraph 7 states conclusions or characterizations of the law, no response is required.
8. Ms. Maxwell denies the allegations contained in Paragraph 8.
9. Ms. Maxwell denies the allegations contained in Paragraph 9.
10. Ms. Maxwell denies the allegations contained in Paragraph 10.
11. Ms. Maxwell denies the allegations contained in Paragraph 11.
12. Ms. Maxwell admits that Plaintiff lied about being recruited by Maxwell and lied
about being sexually abused by Maxwell. Ms. Maxwell otherwise denies the allegations
contained in Paragraph 12.
8
13. Ms. Maxwell admits that Plaintiff lied about specific facts. Ms. Maxwell denies
that she made any false or defamatory statements. Ms. Maxwell is without information or
knowledge sufficient to form a belief as to what other persons understood. Ms. Maxwell
otherwise denies the allegations contained in Paragraph 13.
14. Ms. Maxwell denies that Giuffre’s public description of factual events was true
and therefore denies that her own statements were false. Ms. Maxwell is without information or
knowledge sufficient to form a belief as to what other persons understood.
15. Ms. Maxwell denies the allegations contained in Paragraph 15.
16. Ms. Maxwell denies the allegations contained in Paragraph 16.
17. Ms. Maxwell denies that her own statements were false. Ms. Maxwell denies the
remaining allegations and legal conclusions contained in Paragraph 17.
18. Ms. Maxwell denies the allegations contained in Paragraph 18.
19. Ms. Maxwell denies the allegations contained in Paragraph 19.
20. Ms. Maxwell denies the allegations contained in Paragraph 20.
21. Ms. Maxwell denies the allegations contained in Paragraph 21.
22. As to all the entire Complaint, Ms. Maxwell denies any allegation not specifically
admitted.
AFFIRMATIVE DEFENSES
23. The Complaint fails to state a claim upon which relief could be granted.
24. Plaintiff’s claims may be barred by the statute of limitations.
25. Plaintiff’s claims are barred by the “single publication” rule.
26. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) were constitutionally protected opinions.
9
27. Plaintiff’s claims are barred in whole or in part by the United Kingdom’s
Defamation Act of 2013.
28. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) were non-defamatory statements of fact.
29. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) were protected by the self-defense privilege.
30. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) were protected by qualified or conditional privileges.
31. Plaintiff’s claims are barred because she is a public figure and unable to prove
that Ms. Maxwell acted with “actual malice.”
32. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) were substantially true.
33. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) constituted “fair comment.”
34. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) cannot realistically have caused impairment to Plaintiff’s reputation.
35. This Court lacks subject matter to adjudicate Plaintiff’s claims because they do
not exceed the sum or value of $75,000, exclusive of interest and costs. 28 U.S.C. § 1332(a).
36. Plaintiff’s claims are barred because the statements made by Ms. Maxwell or her
agent (if any) did not cause or contribute to any damages suffered by Plaintiff.
37. To the extent Plaintiff suffered an injury, she failed to take reasonable, necessary,
appropriate and feasible steps to mitigate her alleged damages, and to the extent of such failure
to mitigate, she should be barred from recovering some or all of the alleged damages she seeks.
10
38. Plaintiff’s damages, if any, are the proximate result of intervening causes, preexisting
medical and mental conditions of Plaintiff, and/or causes that occurred without
knowledge or participation of Ms. Maxwell and for which Ms. Maxwell is not responsible.
39. Plaintiff’s damages, if any, were the result of her own conduct or the conduct of
others and were not proximately caused by any action of Ms. Maxwell.
40. Plaintiff voluntarily or negligently assumed a known risk.
41. Plaintiff’s claims are barred, in whole or in part, by the affirmative defenses of
waiver, estoppel, laches, and/or unclean hands.
JURY DEMAND
Ghislaine Maxwell demands a jury trial.
WHEREFORE, Defendant Ghislaine Maxwell demands judgment as follows:
A. That Plaintiff Virginia Giuffre take nothing by way of her Complaint;
B. That the Complaint be dismissed with prejudice;
C. That Judgment be entered in favor of Defendant Ghislaine Maxwell and against Plaintiff
Virginia Giuffre;
D. That Defendant Ghislaine Maxwell be awarded her costs and fees in this action, including
reasonable attorneys’ fees and pre- and post-judgment interest; and
E. All other such relief as this Court deems just and proper.
11
Dated: March 14, 2016
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on March 14, 2016, I electronically served this Answer via ECF on the
following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/ Nicole Simmons
Nicole Simmons
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF PLAINTIFF VIRGINIA
GIUFFRE’S REPLY IN RESPONSE TO DEFENDANT’S SUPPLEMENTAL RESPONSE
TO MOTION TO COMPEL PRODUCTION OF DOCUMENTS SUBJECT TO
IMPROPER OBJECTIONS
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Reply In Response to Defendant’s Supplemental Response to Motion To Compel Production of
Documents Subject To Improper Objections [D.E. 45].
3. Attached hereto as Exhibit 1, is a true and correct copy of the Palm Beach Police
Department’s Report.
4. Attached hereto as Exhibit 2, is a true and correct copy of the Flight Logs from
Jeffrey Epstein’s private plane.
2
5. Attached hereto as Exhibit 3, is a true and correct copy of the Message Pads from
Law Enforcement’s trash pulls from Jeffrey Epstein’s Palm Beach mansion.
6. Attached hereto as Exhibit 4, is a true and correct copy of the 2009 Notice of
Deposition of Ghislaine Maxwell, Subpoena and Cancellation Payment Notice, and January 13,
2015 Daily Mail Article.
7. Attached hereto as Exhibit 5, is a true and correct copy of Excerpts from the
January 12, 2016 Deposition Transcript of Alan Dershowitz.
8. Attached hereto as Exhibit 6, is a true and correct copy of Defendant Ghislaine
Maxwell’s Privilege Log.
9. Attached hereto as Exhibit 7, is a true and correct copy of the Deposition
Transcripts of Juan Alessi.
10. Attached hereto as Exhibit 8, is a true and correct copy of the February 2, 2015
Page Six Article.
11. Attached hereto as Exhibit 9, is a true and correct copy of the September 23, 2007
Red Ice Creations Article.
12. Attached hereto as Exhibit 10, is a true and correct copy of the April 13, 2010
Deposition Transcript of Nadia Marcinkova.
13. Attached hereto as Exhibit 11, is a true and correct copy of the March 24, 2010
Deposition Transcript of Sarah Kellen.
14. Attached hereto as Exhibit 12, is a true and correct copy of a photograph taken by
Ms. Giuffre of Defendant Ghislaine Maxwell, Emmy Taylor, and Jeffrey Epstein while they
were all in Europe.
3
15. Attached hereto as Exhibit 13, is a true and correct copy of the Deposition
Transcripts of Alfredo Rodriguez.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
4
Dated: March 14, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
5
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 14, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
EXHIBIT 1
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EXHIBIT 1
PART 2
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EXHIBIT 2
PART 1
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EXHIBIT 2
PART 2
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EXHIBIT 3
PART 1
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EXHIBIT 3
PART 2
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EXHIBIT 3
PART 3
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EXHIBIT 3
PART 4
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EXHIBIT 4
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EXHIBIT 5
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(888)811-3408
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462
IN THE CIRCUIT COURT OF THE SEVENTEENTH JUDICIAL
CIRCUIT IN AND FOR BROWARD COUNTY, FLORIDA
CASE NO.: CACE 15-000072
BRADLEY J. EDWARDS and PAUL G.
CASSELL,
Plaintiffs,
vs.
ALAN M. DERSHOWITZ,
Defendant.
________________________________/
VIDEOTAPE CONTINUED DEPOSITION OF
ALAN M. DERSHOWITZ
VOLUME 4
Pages 462 through 647
Tuesday, January 12, 2016
1:05 p.m. - 4:45 p.m.
Tripp Scott
110 Southeast 6th Street
Fort Lauderdale, Florida
Stenographically Reported By:
Kimberly Fontalvo, RPR, CLR
Realtime Systems Administrator
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1 APPEARANCES:
2
On behalf of Plaintiffs:
3
SEARCY, DENNEY, SCAROLA
4 BARNHART & SHIPLEY, P.A.
2139 Palm Beach Lakes Boulevard
5 West Palm Beach, Florida 33402-3626
BY: JACK SCAROLA, ESQ.
6 jsx@searcylaw.com
7
8 On behalf of Defendant:
9 COLE, SCOTT & KISSANE, P.A.
Dadeland Centre II - Suite 1400
10 9150 South Dadeland Boulevard
Miami, Florida 33156
11 BY: THOMAS EMERSON SCOTT, JR., ESQ.
thomas.scott@csklegal.com
12 BY: STEVEN SAFRA, ESQ. (Via phone)
steven.safra@csklegal.com
13 --and--
14 SWEDER & ROSS, LLP
131 Oliver Street
15 Boston, MA 02110
BY: KENNETH A. SWEDER, ESQ.
16 ksweder@sweder-ross.com
17 --and--
18 WILEY, REIN
17769 K Street NW
19 Washington, DC 20006
BY: RICHARD A. SIMPSON, ESQ.
20 RSimpson@wileyrein.com
21
22
23
24
25
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1 APPEARANCES (Continued):
2
3 On behalf of Jeffrey Epstein:
4 DARREN K. INDYKE, PLLC
575 Lexington Ave., 4th Fl.
5 New York, New York
BY: DARREN K. INDYKE, ESQ. (Via phone)
6
7 On behalf of Virginia Roberts:
8 BOIES, SCHILLER & FLEXNER, LLP
401 E. Las Olas Blvd., Ste. 1200
9 Fort Lauderdale, Florida 33301
BY: SIGRID STONE MCCAWLEY, ESQ.
10 smccawley@bsfllp.com
11
12 ALSO PRESENT:
13 Edward J. Pozzuoli, Special Master
14 Sean D. Reyes, Utah Attorney General Office
15 Travis Gallagher, Videographer
16
17
18
19
20
21
22
23
24
25
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1 Q. Okay. And Ghislaine Maxwell, you are
2 aware, is involved in litigation with Virginia
3 Roberts right now, correct?
4 A. She is being sued by Virginia Roberts for
5 defamation, not for the underlying offenses, which
6 are beyond the statute of limitations, as I
7 understand it, correct.
8 Q. And have you spoken with Ghislaine Maxwell
9 about the allegations against her and her denials?
10 MR. INDYKE: Same objection, same
11 instruction.
12 MR. SCOTT: Don't answer it. It's
13 privileged.
14 BY MR. EDWARDS:
15 Q. I'm asking about your conversations with
16 Ghislaine Maxwell, who's in a separate litigation,
17 civil litigation for defamation. Have you
18 personally spoken with Ghislaine Maxwell since these
19 allegations?
20 A. If there's no objection, I will answer.
21 MR. INDYKE: There was an objection. Same
22 objection, same instruction.
23 BY MR. EDWARDS:
24 Q. Is there a joint defense agreement related
25 to the civil allegation -- actions regarding the
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1 defamation actions that involve Ghislaine Maxwell
2 and yourself?
3 MR. INDYKE: Same objection.
4 SPECIAL MASTER POZZUOLI: What's the
5 basis -- can you explain to me what the basis
6 of the objection is -- and what was the
7 question?
8 MR. EDWARDS: Has Mr. Dershowitz spoken
9 with Ghislaine Maxwell since the allegations --
10 since this defamation suit came about as well
11 as the defamation suit with Ghislaine Maxwell.
12 BY MR. EDWARDS:
13 Q. Let me ask it cleaner. Have you spoken
14 with Ghislaine Maxwell since January 2015?
15 MR. INDYKE: Same objection, same
16 instruction.
17 BY MR. EDWARDS:
18 Q. So that I'm clear, there is a joint
19 defense of the allegations regarding Ghislaine
20 Maxwell that's New York litigation and this
21 defamation case?
22 MR. INDYKE: There's a common interest
23 agreement in effect with respect to the
24 New York case and a common interest agreement
25 with respect to this case.
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1 BY MR. EDWARDS:
2 Q. Okay. Was Virginia Roberts lying when she
3 says that she was taken by Ghislaine Maxwell and --
4 MR. SCAROLA: Who negotiated the agreement
5 and when?
6 BY MR. EDWARDS:
7 Q. Is there a common interest agreement in
8 existence with respect to the allegations that have
9 arisen since January of 2015 or that you contend
10 covers that?
11 MR. INDYKE: Same objection, same
12 instruction.
13 BY MR. EDWARDS:
14 Q. If there is, who negotiated this
15 agreement?
16 MR. SCAROLA: Can we have a ruling on
17 propriety?
18 SPECIAL MASTER POZZUOLI: You haven't
19 pushed me, so I let you go.
20 MR. SCAROLA: Can we have a ruling as to
21 whether we get to know whether Mr. Dershowitz
22 is a party to a common interest agreement with
23 Ghislaine Maxwell?
24 SPECIAL MASTER POZZUOLI: Counsel --
25 MS. McCAWLEY: Also, just this is Sigrid
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1 McCawley, if any of the individuals on the
2 phone are representing Ghislaine Maxwell, my
3 understanding is the person on the phone is
4 representing Jeffrey Epstein, not Ghislaine
5 Maxwell. That needs to be clarified.
6 MR. INDYKE: Correct. Correct.
7 SPECIAL MASTER POZZUOLI: The answer is
8 correct?
9 MR. INDYKE: With respect to Mr. Epstein,
10 I can tell you there's a common interest
11 agreement with respect to this matter and a
12 common interest agreement with respect to the
13 Ghislaine Maxwell suit in New York.
14 SPECIAL MASTER POZZUOLI: Is
15 Mr. Dershowitz party to that?
16 MR. INDYKE: Mr. Dershowitz is party to a
17 common interest agreement with Jeffrey in this
18 case. And I believe -- I'd have to check, but
19 I believe that that would extend --
20 MR. SCAROLA: We want an answer from the
21 witness as to whether the witness is a party to
22 a common interest agreement with Ghislaine
23 Maxwell.
24 SPECIAL MASTER POZZUOLI: Then ask the
25 question, because I haven't seen the question
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1 asked yet.
2 BY MR. EDWARDS:
3 Q. Are you a party to a common interest
4 agreement with Ghislaine Maxwell?
5 A. If there's no objection, I'll answer it.
6 MR. INDYKE: I apologize. I thought we
7 were still operating under the original set of
8 objections. So I will repeat it. Same
9 objection, same instruction.
10 SPECIAL MASTER POZZUOLI: With respect to
11 that question, you can answer.
12 A. My understanding is that I am still
13 Jeffrey Epstein's lawyer. Jeffrey Epstein, I
14 understand, has a common interest or joint defense
15 agreement with Ghislaine Maxwell, so I have -- my
16 understanding is that I am bound by a common
17 agreement.
18 BY MR. EDWARDS:
19 Q. Is this the same common interest agreement
20 that we were talking about from 2005, or is this a
21 separate common interest agreement that has been
22 signed as a consequence of the lawsuits that have
23 been filed since January 2015?
24 MR. INDYKE: If this is a new question,
25 I'll assert the same objection and the same
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1 instruction.
2 SPECIAL MASTER POZZUOLI: And I'm going to
3 overrule the objection. And you can answer
4 that.
5 A. My understanding is that it's a
6 combination; that is, it reflects the previous
7 agreement and that there is a new agreement that
8 supplemented the previous agreement.
9 BY MR. EDWARDS:
10 Q. When you say it's your understanding, is
11 this understanding in writing; meaning, is there a
12 written common interest agreement that has been put
13 in place since January of 2015?
14 A. I don't know.
15 MR. INDYKE: Same objection, same
16 instruction.
17 MR. SCOTT: Can we take a recess when we
18 get a chance?
19 SPECIAL MASTER POZZUOLI: Yes, but I'm
20 going to instruct you --
21 A. I don't know. I don't know the answer to
22 that, whether there's additional writing or not.
23 BY MR. EDWARDS:
24 Q. Last question, then we take a break. Have
25 you signed any such agreement --
Case 1:15-cv-07433-LAP Document 55-10 Filed 03/14/16 Page 10 of 10
EXHIBIT 6
Case 1:15-cv-07433-LAP Document 55-11 Filed 03/14/16 Page 1 of 3
1
United States District Court
For The Southern District of New York
Giuffre v. Maxwell
15-cv-07433-RWS
***Per Local Rule 26.2, the following privileges are asserted pursuant to British law, Colorado law and NY law.
DATE DOC.
TYPE
FROM TO
CC RELATIONSHIP
OF PARTIES
SUBJECT MATTER PRIVILEGE
2011.03.15 E-Mails Ghislaine Maxwell Brett Jaffe, Esq. Attorney / Client Communication re:
legal advice
Attorney-Client
2011.03.15 E-Mails Brett Jaffe, Esq. Ghislaine Maxwell Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mails Ross Gow Ghislaine Maxwell Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mail Ghislaine Maxwell Ross Gow Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.02 E-Mail Ross Gow Ghislaine Maxwell Brian
Basham
Attorney Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.06
E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
2015.01.06 E-Mail
Ghislaine Maxwell Jeffrey Epstein,
Alan Dershowitz, Esq.
Attorney / Client Communication re:
legal advice
Common Interest
2015.01.10 E-Mail Ghislaine Maxwell Philip Barden, Esq.,
Ross Gow
Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.10 E-Mail Ghislaine Maxwell Philip Barden, Esq. Client / Attorney Communication re:
legal advice
Attorney-Client
2015.01.09
2015.01.10
E-Mails Ross Gow Philip Barden, Esq. G.
Maxwell
Agent / Attorney /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
2015.01.11 E-Mail Philip Barden, Esq. Ross Gow G.
Maxwell
Attorney / Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 E-Mail Philip Barden, Esq. Ghislaine Maxwell Ross
Gow
Attorney / Agent /
Client
Communication re:
legal advice
Attorney-Client
2015.01.11 –
2015.01.17
E-Mails Jeffrey Epstein Ghislaine Maxwell Common Interest Communication re:
legal advice
Common Interest
Privilege
Case 1:15-cv-07433-LAP Document 55-11 Filed 03/14/16 Page 2 of 3
2
DATE DOC.
TYPE
FROM TO
CC RELATIONSHIP
OF PARTIES
SUBJECT MATTER PRIVILEGE
2015.01.13 E-Mail Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.13 E-Mail Philip Barden, Esq. Martin Weinberg, Esq. Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.13 E-Mails Philip Barden, Esq. Ghislaine Maxwell Mark
Cohen
Attorney / Client Communication re:
legal advice
Attorney-Client
2015.01.21 E-Mail Ross Gow Philip Barden, Esq.,
Ghislaine Maxwell
Agent / Attorney /
Client
Communication re:
legal advice
Attorney-Client
2015.01.21 -
2015.01.27
E-Mails Jeffrey Epstein Ghislaine Maxwell Common Interest Communication re:
legal advice
Common Interest
Privilege
2015.01.21-
2015.01.27
E-Mails Ghislaine Maxwell Jeffrey Epstein Common Interest Communication re:
legal advice
Common Interest
Privilege
Case 1:15-cv-07433-LAP Document 55-11 Filed 03/14/16 Page 3 of 3
EXHIBIT 7
PART 1
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 1 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
1 (Pages 1 to 4)
Page 1
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE No.08-CV-80119-CIV-MARRA/JOHNSON
JANE DOE NO. 2,
Plaintiff,
-vs-
JEFFREY EPSTEIN,
Defendant.
_____________________________________________________
Related cases:
08-80232, 08-80380, 98-80381, 08-80994,
08-80993, 08-80811, 08-80893, 09-80469,
09-80591, 09-80656, 09-80802, 09-81092
______________________________________________________
VIDEOTAPED DEPOSITION OF JUAN ALESSI
VOLUME I
Tuesday, September 8, 2009
10:12 a.m. - 3:45 p.m.
2139 Palm Beach Lakes Boulevard
West Palm Beach, Florida 33401
Reported By:
Sandra W. Townsend, FPR
Notary Public, State of Florida
PROSE COURT REPORTING AGENCY
West Palm Beach Office
Page 2
1 APPEARANCES:
2 On behalf of the Plaintiffs:
3 RICHARD WILLITS, ESQUIRE
RICHARD H. WILLITS, P.A.
4 2290 10th Avenue North, Suite 404
Lake Worth, Florida 33461
5 Phone: 561.582.7600
reelrhw@hotmail.com
6
7 STUART MERMELSTEIN, ESQUIRE
MERMELSTEIN & HOROWITZ, P.A.
8 18205 Biscayne Boulevard, Suite 2218
Miami, Florida 33160
9 Phone: 305.931.2200
ssm@sexabuseattorney.com
10 ahorowitz@sexabuseattorney.com
11 WILLIAM J. BERGER, ESQUIRE
ROTHSTEIN ROSENFELDT ADLER
12 401 East Las Olas Boulevard, Suite 1650
Fort Lauderdale, Florida 33301
13 Phone: 954.522.3456
bedwards@rra-law.com
14
15 KATHERINE W. EZELL, ESQUIRE
PODHURST ORSECK, P.A.
16 25 West Flagler Street, Suite 800
Miami, Florida 33130
17 Phone: 305.358.2800
rjosefsberg@podhurst.com
18 kezell@podhurst.com
19 ADAM J. LANGINO, ESQUIRE
LEOPOLD KUVIN
20 2925 PGA Boulevard, Suite 200
Palm Beach Gardens, Florida 33410
21 Phone: 561.515.1400
skuvin@leopoldkuvin.com
22
23
24
25
Page 3
1 On behalf of the Defendant:
2 ROBERT J. CRITTON, ESQUIRE
BURMAN, CRITTON & LUTTIER
3 515 North Flagler Drive, Suite 400
West Palm Beach, Florida 33401
4 Phone: 561.842.2820
rcrit@bclclaw.com
5 mpike@bclclaw.com
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
Page 4
1 - - -
2 E X H I B I T S
3 - - -
4
NUMBER DESCRIPTION PAGE
5
6 Exhibit number 1 Photographs 45
7 Exhibit number 2 Transcript 130
8 Exhibit number 3 Incident Report 137
9 Exhibit number 4 Incorporation Papers 149
10 Exhibit number 5 Incorporation Papers 150
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
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Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
2 (Pages 5 to 8)
Page 5
1 P R O C E E D I N G S
2 - - -
3 Deposition taken before Sandra W. Townsend, Court
4 Reporter and Notary Public in and for the State of
5 Florida at Large, in the above cause.
6 - - -
7 VIDEOGRAPHER: Today is September 8, 2009.
8 The time is 12 minutes after 10:00 in the morning.
9 This is the videotaped deposition of Juan
10 Alessi in the matter of Jane Doe number two versus
11 Jeffrey Epstein. This deposition is being held at
12 2139 Palm Beach Lakes Boulevard in West Palm Beach,
13 Florida.
14 My name is Stan Sanders. I'm the videographer
15 representing Visual Evidence, Incorporated.
16 Would the attorneys please announce their
17 appearances for the record.
18 MR. WILLITS: Richard Willits, representing
19 Carolyn Andriano.
20 MR. BERGER: William J. Berger, representing
21 E.W., L.M. and Jane Doe number two.
22 MR. MERMELSTEIN: Stuart Mermelstein of
23 Mermelstein and Horowitz, representing Jane Does
24 numbers two through eight.
25 MR. LANGINO: Adam Langino, on behalf of B.B.
Page 6
1 MS. EZELL: Katherine Ezell from Podhurst
2 Orseck, on behalf of Jane Does 101 and 102.
3 MR. CRITTON: Bob Critton, on behalf of
4 Jeffrey Epstein.
5 THEREUPON,
6 JUAN ALESSI,
7 having been first duly sworn or affirmed, was examined
8 and testified as follows:
9 THE WITNESS: I do.
10 DIRECT EXAMINATION
11 BY MR. WILLITS:
12 Q. Good morning, sir.
13 A. Good morning.
14 Q. I introduced myself through the videographer.
15 My name is Richard Willits.
16 A. Okay.
17 Q. I represent a young lady by the name of
18 Carolyn Andriano.
19 A. Okay.
20 Q. Is that name familiar to you at all?
21 A. Whose name?
22 Q. Carolyn Andriano. Do you recognize that name?
23 A. No.
24 Q. What is your residence address, sir?
25 A. My address is 6791 Fairway Lakes Drive,
Page 7
1 Boynton Beach, Florida, 33472.
2 Q. All right, sir. Did you ever work for Jeffrey
3 Epstein?
4 A. Yes, I did.
5 Q. In what capacity?
6 A. Everything. I started with Jeffrey Epstein
7 around 19 -- please bear with the dates because I
8 trying --
9 Q. Sure.
10 A. -- to remember. 1969 as a part-time
11 maintenance guy.
12 And then I become a full-time employee, I
13 think it was January 1, 2 -- '91, '92, so '92. Sorry.
14 Q. You said you started in 1969? That would
15 be --
16 A. No. No. No. No. No.
17 Q. Okay.
18 A. '99.
19 Q. 1999?
20 A. Yeah.
21 Q. All right. And how did you happen to get that
22 job? Was it through an employment agency --
23 A. No.
24 Q. -- or an ad in the paper?
25 A. I had a company at that time used to take care
Page 8
1 of a lot of residents in Palm Beach. And I got to know
2 Jeffrey through Lesley Wexner. And I used to work in
3 about 20 different, 20, 25 different homes in Palm Beach
4 as a maintenance guy.
5 Q. Okay.
6 A. And I have basically my own company and I do
7 repairs for them. I did home sit in for them.
8 Q. And what was -- did you work for Jeffrey
9 Epstein? What was your position when you started?
10 A. When I started, he hire me to -- he just
11 bought the house.
12 Q. I'm sorry?
13 A. He just had bought the house --
14 Q. Okay.
15 A. -- where he live on El Brillo. And he hire me
16 through Mr. Wexner's references to do repair works. And
17 basically what I did the most was taking walls apart,
18 windows and stuff that he didn't want to have it, --
19 Q. I see.
20 A. -- fix it.
21 Q. And when you started working for Mr. Epstein,
22 were you still working for other people in Palm Beach?
23 A. Yes, I did.
24 Q. Okay. And about how long a period of time did
25 you do this type of work for Mr. Epstein, the
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
3 (Pages 9 to 12)
Page 9
1 maintenance and taking out walls?
2 A. It was couple months. It was couple months
3 before.
4 Q. And what was the name of your company?
5 A. Alessi Maintenance.
6 Q. And how were you paid?
7 A. By him?
8 Q. Yes.
9 A. Usually by check or cash sometimes.
10 Q. Do you know what company actually paid your
11 company?
12 A. It was Jeffrey Epstein and Company.
13 Q. So you said you had that position for a couple
14 of months.
15 What happened next?
16 A. Then Mr. Epstein asked me to, if I wanted to
17 be his employee, because I was going from one house to
18 another house to another house, one hour here. I was
19 just running around Palm Beach all day.
20 So he asked me if I would just work for him,
21 exclusively for him.
22 Q. Okay.
23 A. And we agreed with the terms and I become a
24 full-time employee as a maintenance guy. And I was
25 taking care of everything, as far as maintenance.
Page 10
1 Then my job changed little by little to house
2 man, estate manager, and then to a majordomo.
3 Q. Okay. When you first agreed to terms with
4 Mr. Epstein and you first started working for him full
5 time, what were those terms, do you remember?
6 A. The terms is basically was how much -- he
7 asked me how much I was making in all the properties.
8 And I says, well, I make this -- this amount
9 of money.
10 And he says, fine.
11 Q. And how much was that, did he pay you?
12 A. Around $45,000. I think I started with 45.
13 Q. Okay. And when you started to work for him as
14 a full-time employee, did you have anybody that you
15 reported to or did you deal directly with Mr. Epstein?
16 A. At the beginning with Mr. Epstein, directly to
17 him.
18 Q. Did that change?
19 A. Later on, yes.
20 Q. And how did that change?
21 A. When Ms. Maxwell, Ghislaine Maxwell came to
22 the picture.
23 Q. Okay. About when was it that she came into
24 the picture?
25 A. Exactly date, I cannot remember. But it was
Page 11
1 about seven months before -- after I become a full-time
2 employee.
3 Q. Okay. And how did Ms. Maxwell come into the
4 picture?
5 A. It was his girlfriend, his main girlfriend.
6 Q. Okay. Had you known her before she became --
7 A. No.
8 Q. -- your --
9 A. Never know her before.
10 Q. I'm sorry. I didn't get a chance to finish my
11 question.
12 Would you have referred to her as your
13 supervisor or your superior or what would you have
14 called Mrs. Maxwell?
15 A. I used to call her Ghislaine.
16 Q. Okay. And how was it explained to you that
17 you were now to deal with Ms. Maxwell, as opposed to
18 Jeffrey Epstein?
19 A. She would tell me, I am going to take care of
20 the house.
21 Q. Okay. That was explained to you by
22 Ms. Maxwell?
23 A. Uh-huh.
24 Q. Is that a yes?
25 A. Yes.
Page 12
1 Q. And when Ms. Maxwell started assuming
2 responsibility for the house, did your duties change at
3 that time?
4 A. Not much.
5 Q. Okay.
6 A. Not much.
7 Q. And at that time when Ms. Maxwell started
8 taking responsibility for the house, what were your
9 duties?
10 A. Basically I was still doing the maintenance
11 work.
12 Q. Okay.
13 A. Was doing -- they were trying to remodel the
14 home and they would told me, okay, tear down this wall.
15 We want to see how it's going to look. Or put this
16 windows and tear down -- we had a fishing tank. We took
17 it out -- I took it out. A kitchen on the second floor.
18 I took it out. So it was basically dismantling the
19 house.
20 Q. Okay. And about how long a period of time did
21 that project last?
22 A. I would says, six to seven months.
23 Q. Okay. And after the remodeling slacked off or
24 stopped, did your duties then change?
25 A. Yeah. Increasingly they change.
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 4 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
4 (Pages 13 to 16)
Page 13
1 Q. Okay. Who --
2 A. Periodically. It didn't change from one day
3 to another.
4 Q. And who would tell you that your duties were
5 increasing?
6 A. Either Mr. Epstein or Ms. Maxwell.
7 Q. Okay. And how did your duties increase?
8 A. In -- I become more -- more involved in the
9 daily running operation of this home. This home was run
10 like a hotel basically.
11 Q. Okay. Were you given any manuals or rules or
12 procedures that you had to follow?
13 A. At the end of my stay, yes, I was.
14 Q. Okay. At the end. And I'm going to jump to
15 the end now and then come back.
16 What was it that you were given at the end of
17 your stay; what kind of papers or manuals?
18 A. It was a manual. I can't remember how many
19 pages, but it was quite thick manual that was -- that
20 was done by estate manager, that she will manage all --
21 all the properties. And that was also to be in force in
22 Palm Beach.
23 Q. I see. Do you still have a copy of that
24 manual?
25 A. No, I don't.
Page 14
1 Q. Do you have any papers whatsoever that were
2 prepared while you were working --
3 A. No.
4 Q. -- for Mr. Epstein?
5 A. I left everything in there.
6 Q. Did you make any diary notes yourself or any
7 notes for your own private use while you worked for
8 Mr. Epstein?
9 A. No, sir. The only thing I have is my
10 separation agreement. That's it.
11 Q. Okay. Did you bring that with you today?
12 A. No, I didn't.
13 Q. Okay. Did your duties ever include taking
14 telephone messages?
15 A. Yes, sometimes.
16 Q. And when did that start approximately?
17 A. When I move from the outside to the inside of
18 the house.
19 Q. All right.
20 A. I -- when I start the position, I never had an
21 apartment in the house. And when I definite they want
22 me inside to run the house, I had an apartment. I have
23 a small service quarters in the house, inside the house.
24 Q. Okay. And when you say, outside the house, do
25 you mean outside the property or were you -- or were you
Page 15
1 living on the property, but outside the house?
2 A. I was living in the property. No. No. No.
3 I was working outside the property.
4 Q. Yes.
5 A. And because it was multiple jobs that I had to
6 do.
7 Q. Okay.
8 A. Had to do with the pool, the service, the
9 landscaping, taking care of that. I didn't do it
10 myself, but I have people working for me.
11 Q. Okay. Approximately when was it in
12 relationship to Ms. Maxwell taking over the
13 responsibility of the house did you then move inside the
14 house?
15 A. I will says, after it was done, a big
16 renovation, when architects and engineers. And that was
17 after I did the breaking down of this renovation, they
18 hire architects, they hire decorators and engineers, and
19 did the -- they did the work. It was a big renovation,
20 one of the renovations.
21 And then they make our quarters. They even
22 built our -- my quarters in there.
23 Q. When you said "our," was there someone else
24 who had quarters there, too?
25 A. About three years later, after I start
Page 16
1 working, my wife came to help me.
2 Q. I see. And are you able to describe for me
3 where the quarters were, like, what floor?
4 A. Yes. It was in the second floor and the --
5 let me trying to remember -- northeast corner of the
6 property. Northeast corner, yes.
7 Q. Did anyone else work for Mr. Epstein while you
8 were working for him there at the house?
9 A. During the whole time?
10 Q. Yes, sir.
11 A. Yes.
12 Q. All right. When you first started there,
13 there was no one else?
14 A. When I started there, was a -- it was a
15 Jamaican girl that she was doing the cooking.
16 Q. Okay. Do you happen to remember her name?
17 A. No.
18 Q. All right.
19 A. She worked for couple months.
20 Q. I see. All right. When did any other
21 employees begin to work for Mr. Epstein while you were
22 there?
23 A. They hire chefs. There was mostly European
24 chefs. It was an English chef, but I cannot -- Rupert.
25 I know his name was Rupert. A french chef that was
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 5 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
5 (Pages 17 to 20)
Page 17
1 Didier. A kid from New York who was a chef, also. But
2 they were one after another one. They were hiring chefs
3 when I doing -- sometimes I did most of the cooking.
4 When they wanted to bring their chef, they bring their
5 chef in their plane. And the chef will stay, will work
6 there and then will travel with them.
7 Q. Were there any other employees that worked for
8 Mr. Epstein while you were worked for him, that you know
9 of?
10 A. No, except my wife.
11 Q. Did you know a lady by the name of Sarah
12 Kellen?
13 A. Sarah, yes, I do. Sarah Kellen came at the
14 end of my stay there, probably two or three months
15 before I left.
16 Q. Okay. Did she do any work for Mr. Epstein,
17 that you know of?
18 A. Yes. She was a -- I don't know her deterrent,
19 but she was an assistant to him or to her. I don't
20 know.
21 Q. All right. There is a -- I've seen a
22 reference in -- and the spelling has changed in my
23 various references -- is there a N. or N.? Do you
24 recognize that name?
25 A. N.
Page 18
1 Q. N.
2 A. N. Yes, I know N.B.
3 Q. Want to take a chance at spelling that last
4 name?
5 A. I think it was B. But she was not an
6 employee. She was a guest.
7 Q. Was she a full-time guest?
8 A. No.
9 Q. When would she visit?
10 A. She was a girl that was very, very talented.
11 Mr. Epstein help her become an actress. Now she's a
12 movie actress and she's in a soap opera. She came with
13 her mother to the house. And she -- he help her come up
14 with her career.
15 Q. Okay. Do you -- are you familiar with any
16 other individuals by the name of N. or N. who worked for
17 Mr. Epstein?
18 A. No.
19 Q. After the renovations were complete, did you
20 have access to the entire house while you worked for
21 Mr. Epstein?
22 A. Absolutely, yeah.
23 Q. Was there any particular portion of the house
24 that was denied access by -- to you?
25 A. No.
Page 19
1 Q. Were there any photographs of nude females in
2 the house while you were there?
3 MR. CRITTON: Form.
4 MR. WILLITS: What's the matter with that
5 form?
6 MR. CRITTON: Overly broad. Nude? You mean,
7 completely naked?
8 MR. WILLITS: However you want to interpret
9 it.
10 THE WITNESS: Excuse me. Can you repeat that
11 again?
12 MR. CRITTON: Form.
13 BY MR. WILLITS:
14 Q. Yes. Were there any photographs of nude
15 females in the house while you worked for Mr. Epstein?
16 A. Yes. Sometimes I saw nude photographs.
17 Q. Are you able to describe where you saw those,
18 where in the house?
19 A. Most of the times those photographs were taken
20 by Ms. Maxwell. And they usually are her desk. And she
21 kept a big album.
22 Q. Do you remember any pictures of nude or
23 partially unclothed females on the walls at
24 Mr. Epstein's house?
25 MR. CRITTON: Form.
Page 20
1 BY MR. WILLITS:
2 Q. He's just making objections for the record
3 that he can take -- he will take it up with the Judge
4 later on.
5 A. Okay.
6 Q. You don't need to worry about --
7 A. Yes, it was. It was pictures of partially
8 nude.
9 Q. And where were they?
10 A. Most of the times they were in the pool.
11 Q. How about on the stairway?
12 A. No. On the stairway there were no pictures
13 when I was there.
14 Q. How many stairways were there?
15 A. It was the service stairway that is very
16 narrow coming from the service quarters to the kitchen.
17 And the main stairway, that it was quite wide
18 and to the second floor.
19 Just those two.
20 And also there was a stairway outside through
21 the pool to the balcony upstairs.
22 Q. And do you have a recollection of pictures of
23 any females whatsoever on either of the inside
24 stairways?
25 A. No, I don't.
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 6 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
6 (Pages 21 to 24)
Page 21
1 Q. What is your understanding, sir, of the -- a
2 reference to a girl, as opposed to a woman? Are you
3 familiar with the term, girl?
4 A. Of course.
5 Q. Are you familiar with the term, woman?
6 A. I interpret most a woman, a married woman, a
7 married person.
8 Q. Are you -- how would you describe a 14 year
9 old, a woman or a girl?
10 A. A girl, of course.
11 Q. How would you describe a 16 year old, a woman
12 or a girl?
13 A. Again, I don't know. I am not -- I don't
14 think I can tell you exactly she is 14 or 16.
15 Q. But if you knew --
16 A. Sixteen, I would think is a girl, of course.
17 Q. Were there ever any visitors to the Epstein
18 house that you considered to be girls, as opposed to
19 women?
20 A. Yes. Yes. I think I would says, I never
21 check her i.d.
22 Q. Right.
23 A. Or I was not told to check i.d.s. --
24 Q. Of course.
25 A. -- on these girls. But one, I would says,
Page 22
1 N.B. was very young because she was in high school. And
2 sometimes either I pick her mother and herself from her
3 house or I pick her from The School of the Arts or the
4 ballet place, ballet in West Palm Beach. I can't
5 remember exactly what that place is, the name of the
6 place.
7 Q. Did you give -- provide transportation for any
8 other females while you worked for Mr. Epstein?
9 A. Occasionally, yes, I did.
10 Q. Do you happen to remember the names of any of
11 those females?
12 A. I remember one, specifically one. It was V.
13 Her name was V. I can't remember her last name, but I
14 think it was P. I'm not sure. I can be wrong on that.
15 Q. And how many times did you provide
16 transportation services for this female?
17 A. Whenever I had -- I been told. Whenever I was
18 told to go get them or bring them back to their house.
19 Q. Did you consider V. to be a girl or a woman?
20 A. Again, I think it was a woman, from myself,
21 her dressing and her -- I think it was -- again, I don't
22 know if she was 16, 17 or 18 or 19, could have been.
23 But she was not -- I never pick her up from a school or
24 anything like that. The only girl that I picked up from
25 the school was N.
Page 23
1 Q. Okay. Do you remember any other females being
2 present at the house, other than the females that you've
3 mentioned, which were N., her mother, Sarah Kellen, V.
4 Were there any others that you --
5 A. Many, many, many, many, many.
6 Q. When did you first --
7 MR. CRITTON: Can I just have the last
8 question read back?
9 MR. WILLITS: Of course you can.
10 MR. CRITTON: Please.
11 MR. WILLITS: But only once.
12 MR. CRITTON: That's all I need.
13 MR. WILLITS: You sure.
14 Go ahead.
15 (Previous question was read.)
16 MR. CRITTON: And can I just ask for a
17 clarification from you? Are you going to use -- if
18 you use the word woman, are you --
19 MR. WILLITS: I said, females.
20 MR. CRITTON: No, no, I understand. But in
21 the future if you use woman, does that mean, at
22 least to Mr. Alessi, that that's married, and if
23 it's a girl she has to be 14 or 16? Because that's
24 how you asked the question.
25 MR. WILLITS: All I'm going to talk about is
Page 24
1 females.
2 MR. CRITTON: Okay.
3 MR. WILLITS: And ask --
4 MR. CRITTON: I'll be alert to the questions
5 then.
6 MR. WILLITS: All right. So you don't need to
7 sleep through the next few questions.
8 MR. CRITTON: I don't sleep at all.
9 MR. WILLITS: All right. Now I'm totally
10 confused.
11 BY MR. WILLITS:
12 Q. When did you first become aware of females
13 visiting the Epstein house?
14 A. Since I know him.
15 Q. During the renovations?
16 A. Yeah.
17 Q. Were there --
18 A. Before the -- before Ms. Maxwell.
19 Q. Okay. All right. Let's use that as a
20 milepost.
21 Before Ms. Maxwell --
22 A. Before it was Ms. Maxwell, it was only one
23 woman that it was Mr. Epstein's girlfriend. And her
24 name was Dr. -- she was a doctor of medicine -- Eva
25 Anderson. And I really liked this girl. She was very
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 7 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
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7 (Pages 25 to 28)
Page 25
1 nice, nice person.
2 Q. Did you say Anderson or Underson?
3 A. Anderson, A-N.
4 Q. A-N-D-E-R-S-O-N?
5 A. Yeah.
6 MR. BERGER: What was her first name?
7 THE WITNESS: Eva.
8 BY MR. WILLITS
9 Q. Before Ms. Maxwell assumed responsibilities
10 for the house, were there any other female visitors to
11 the house, except for Dr. Eva Anderson?
12 A. No, not that I remember. She was one.
13 Q. All right. After Ms. Maxwell assumed
14 responsibility for the house, do you recall any female
15 visitors?
16 A. Many.
17 Q. When did that start in relationship to when
18 Ms. Maxwell assumed responsibilities?
19 A. Immediately.
20 Q. Were there visitors who came back more than
21 once?
22 A. Yes.
23 Q. And when I say, "visitors," I mean, female?
24 A. And males.
25 Q. I'm only interested in females. Mr. Critton
Page 26
1 may be interested in the males. I'm not sure.
2 Did you have any information as to where these
3 visitors came from?
4 A. They were mostly European girls.
5 Q. And when you say, "girls," do you mean 14 to
6 16, --
7 A. No.
8 Q. -- or do you mean females?
9 A. They all were, I would says, under -- over 20
10 years old.
11 Q. Okay. And it has been explained to us in
12 another deposition that sometimes females travelled with
13 Mr. Epstein.
14 A. Yes, they did.
15 Q. Are these females that you are referring to,
16 did they travel with Mr. Epstein or did they get to the
17 house in other ways?
18 MR. CRITTON: Form.
19 THE WITNESS: Both.
20 BY MR. WILLITS:
21 Q. Both. Okay. Were you aware of any female
22 visitors to the Epstein house from the local area of
23 Palm Beach County?
24 A. Yes.
25 Q. How -- and why did you become aware of that?
Page 27
1 A. Because they were local. Some people, they
2 live in Palm Beach. Some of these girls, they live in
3 Palm Beach.
4 Q. How did you know that?
5 A. They become friends.
6 Q. Okay. Do you happen to remember the names of
7 any of those friends?
8 A. I remember there were some girls that come
9 multiple times and they're usually there for dinners or
10 lunches. One was G.B., G.B.
11 Q. Okay.
12 A. I think she was a -- she used to work for
13 Stanley, Morgan Stanley. My son work at that time same
14 person.
15 Q. Okay.
16 A. Try to remember names, but there were a lot of
17 visitors in the house, a lot of female visitors.
18 Q. Are you aware of female visitors to the house
19 who were there to perform massage services?
20 A. Yes.
21 Q. Do you recall the first time that you observed
22 a female come into the Epstein house for the purposes of
23 massage?
24 A. I don't recall that.
25 Q. How many different individuals came to the
Page 28
1 Epstein house for the purpose of massage, as far as you
2 understood it?
3 A. In the -- I would says, between 50 and a
4 hundred different persons.
5 Q. Do you happen to know any of those names?
6 A. I remember couple names.
7 Q. Okay.
8 A. And the last name I asked -- I going to tell
9 you there were girls that come multiple times and there
10 are girls who come one times and that was it.
11 Of the multiple time the girl -- the girls
12 come to the house -- "girls," again, mean -- I'm going
13 to refer everybody as girls.
14 Q. Okay. But you don't necessarily mean under
15 the age of 18 when you say --
16 A. None of these girls were under the age of 18.
17 Then again, I don't know. They could have been 18 or 19
18 or 20 or 25. I don't know. But they were all masseuses
19 and they came to the house.
20 One of the names that I remember was D.D.
21 Q. That's D.?
22 A. Uh-huh. D. I think it was.
23 So many. J., A., C., J.
24 There were also massage therapists from
25 Europe. They sometimes travel with him in the plane.
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 8 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
8 (Pages 29 to 32)
Page 29
1 And some just names that I cannot -- I cannot go on.
2 Q. Sure. How did you know that D. or J. were
3 there for purposes of a massage?
4 A. Because I was told to either Ms. Maxwell will
5 call, I will call or Mr. Epstein will told me, call this
6 girl at that time. Sometimes it was 1:00 in the
7 morning. Sometimes it was within the afternoon.
8 Sometimes it was after the movies. They usually go into
9 a movie every night after dinner. And sometimes were
10 girls that come at 10:00, 10:30.
11 Q. How would you know what number to call?
12 A. I had a list.
13 Q. Okay. Was this a list that you prepared or
14 was given to you?
15 A. I had a list that it was in my Roladex.
16 Q. Okay. So as part of your job there was a
17 Roladex?
18 A. Yes.
19 Q. Who put the information on the Roladex?
20 A. I think I did most of the times or I was given
21 a piece of paper, says, call this girl, put a number.
22 And I will call her. And if she was coming back, then
23 I'd put her as a regular massage therapist.
24 Q. Do you know how these females would be
25 transported to the Epstein house?
Page 30
1 A. Ninety-nine percent they -- they would drive
2 their own cars.
3 Q. And when they did not drive their own cars,
4 how --
5 A. Some, they were transported by the boyfriends
6 or the husbands and they wait outside.
7 Q. How about, are you aware of any of the females
8 being transported to the house by virtue of a taxi?
9 A. I think it was an occasional time that I have
10 to send a girl in a taxi, if I was going to be busy for
11 transporting them.
12 Q. Did you ever provide transportation to any of
13 the females who were there for purposes of massage?
14 A. Yes, I did.
15 Q. Okay. Do you remember where you went?
16 A. I remember specifically on V., --
17 Q. Okay.
18 A. -- that she used to live with her boyfriend in
19 Royal Palm Beach.
20 Q. All right.
21 A. And when she went the first time, she -- she
22 went by herself. I never had to bring her back. But
23 later I was told by Mr. Epstein to go and pick her up.
24 And she give me the -- or he give me the address and the
25 phone, so I call her and I went and pick her up from
Page 31
1 Royal Palm Beach.
2 She had -- she was living with a boyfriend and
3 another person in this apartment complex in Royal Palm
4 Beach.
5 Q. Okay. Do you happen to remember any other
6 areas of the county where you transported any of the
7 females?
8 A. I transport her -- one back to a house in
9 Jupiter.
10 Q. Okay.
11 A. That's what I can remember now.
12 Q. Did you ever speak to any of these females
13 that you have mentioned -- let's talk specifically about
14 the ones that you have named, D., J., A., C., J. --
15 about what they did there at the Epstein house?
16 A. No. They did massage therapy.
17 Q. And how did you know they were actually
18 providing massages?
19 A. Most of them, they had business card and they
20 left me business cards. And some of them asked me to
21 call them to provide them work.
22 And I says that was not my job. My job was to
23 call whoever they wanted. Either when she --
24 Ms. Maxwell want a massage, she will told me, I want a
25 massage at this time with this person.
Page 32
1 Q. Uh-huh.
2 A. Or Mr. Epstein will call me and he says, get
3 this girl at this time.
4 So it was not my job to pick and choose these
5 girls.
6 Q. Did you have anything to do with paying any of
7 these females?
8 A. Occasionally, yes, I did.
9 Q. Can you describe that?
10 A. The most -- the regular girls that came to the
11 house, sometimes they got paid once every night or every
12 day or I knew them and they would just say, just keep a
13 tab of the hours and I will pay amount at the end of the
14 week.
15 Q. And how were they paid, by cash or check?
16 A. Most of the times, I would says, 95 percent of
17 the times I was paid by check.
18 Q. I mean, the females?
19 A. The females, --
20 Q. The females were paid?
21 A. -- I would pay them by check.
22 Q. Out of what account?
23 A. I was -- I have an account that I was from the
24 bank for Jeffrey Epstein and my name was on it. I would
25 sign the checks. I will make a copy of a check. I will
Case 1:15-cv-07433-LAP Document 55-12 Filed 03/14/16 Page 9 of 21
Electronically signed by Sandra Townsend (401-377-676-2895) 76ef564a-4a1c-4dee-87ac-479898cc7004
Electronically signed by Sandra Townsend (401-377-676-2895)
(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
9 (Pages 33 to 36)
Page 33
1 make the girl sign a paper that they receive check for
2 $500 for five massages.
3 Q. And do you remember where that -- what bank
4 that account was with?
5 A. I think Palm Beach National Bank on Worth
6 Avenue.
7 Q. Did you ever have any occasions to make
8 deposits to that account?
9 A. Yeah.
10 Q. Where would the cash or checks come from to
11 make deposits?
12 A. Checks. There was checks, big checks for
13 Mr. Epstein.
14 Matter of fact, one time I was so scared. It
15 was a couple million dollar checks that I -- he told me
16 to go and deposit.
17 Q. You said that usually these girls were paid by
18 check. Were there occasions when the females would
19 be --
20 A. There were occasions --
21 Q. -- paid by cash?
22 A. -- where the girls says, do you have any cash,
23 John? They were asking for cash.
24 I says, let me take a look. So I check my
25 petty cash box that we have for the house for the
Page 34
1 expenses. And if I have it, I pay it. If not,
2 Mr. Epstein will pay.
3 Q. Did you ever have any concerns that any of the
4 females coming to the Epstein house for the purposes of
5 massage might be under the age of 18?
6 A. No, because I never saw younger, young, young
7 girls. And mostly that I was told they were massage
8 therapists.
9 Q. Told by who?
10 A. By Ms. Maxwell or Mr. Epstein.
11 Q. Did you ever have any dealings with Sarah
12 Kellen about the females who came to provide massage
13 services?
14 A. No. Sarah Kellen came about, I would says,
15 the most two months before my departure.
16 Q. Okay. Do you think that you would be able to
17 recognize any of the females if you saw them or their
18 pictures?
19 A. Pictures? Yeah, I think so.
20 Q. Did you ever have any discussions with any
21 fellow employees about the females who were coming to
22 provide massage services?
23 A. No.
24 Q. At the time that you left --
25 A. Yes, sir.
Page 35
1 Q. -- the employment of Mr. Epstein, who were the
2 other employees? You mentioned Sarah Kellen. Anybody
3 else there?
4 A. The chef, but the chef also work in Europe, so
5 he was travelling with him.
6 Q. Right.
7 A. He had a room.
8 Then it was another renovation of the house in
9 the middle -- about a year and a half before my
10 departure. And there was a house built for the -- away
11 from the -- from the main house. It was a service
12 house. There was couple rooms in there with a kitchen
13 and a living room. So he will have a room in there, the
14 chefs.
15 Q. Okay. Does the name L. ring a bell?
16 A. No. Never saw her.
17 Q. Do you recognize the name Joe Joe as somebody
18 who worked for Mr. Epstein?
19 A. Joe Joe? Joe Joe, as far as I knew, it was --
20 I met him. He was the house man in New York.
21 Q. Okay.
22 A. It was him and his wife --
23 Q. All right.
24 A. -- that were the people, they handled the
25 house in New York.
Page 36
1 Q. Did you ever personally observe a massage
2 taking place in the Epstein house?
3 A. Never.
4 Q. Did you ever have occasion to clean
5 Mr. Epstein's bedroom after a massage?
6 A. Every time.
7 Q. Did anyone assist you with that?
8 A. Sometimes.
9 Q. Who would be -- who would assist you?
10 A. Depends on the day of the hour. Sometimes the
11 cleaning crew that we had, if it was the right date, the
12 right time, they will go out and clean up. But most of
13 the time I was involved. I was the one.
14 Q. Did you ever observe any vibrators in
15 Mr. Epstein's bedroom after a massage?
16 A. Yes, I did.
17 Q. How many?
18 A. Two.
19 Q. How many massage tables were there at the
20 Epstein residence while you worked there?
21 A. It was permanent massage tables or we had
22 tables for every room of the house. So it was about the
23 blue room, the red room. It was a massage table for the
24 balcony. It was on Mr. Epstein's bathroom,
25 Ms. Maxwell's bathroom. There was Ms. Maxwell's
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
10 (Pages 37 to 40)
Page 37
1 bathroom was in the same quarters, his quarters.
2 So we had quite a bit of expensive tables.
3 Q. Did you ever get a massage while you were
4 working for Mr. Epstein?
5 A. I wasn't that lucky.
6 Q. Okay. I'm sorry.
7 A. I don't want to lie. Yes, I did. By a guy.
8 It was a -- occasionally it was male massage
9 therapists there, there were called. They did massages
10 for Mr. Epstein and Ms. Maxwell.
11 And one time I had some pains in my back and I
12 was given as a gift.
13 Q. Now, there came to be an incident where you
14 were arrested that caused you to be terminated from
15 Mr. Epstein?
16 A. No.
17 Q. Were you terminated from Mr. Epstein's
18 employment?
19 A. Yes.
20 Q. Did you promise to pay him back some money?
21 A. Yes.
22 Q. Did you make all the payments?
23 A. Yes, I did.
24 Q. When was the last time you made a payment?
25 A. I made a payment immediately, the same
Page 38
1 payment, same amount.
2 Q. The full amount?
3 A. Full amount.
4 Q. Okay. It wasn't a payment plan?
5 A. No.
6 MR. WILLITS: I don't have any other
7 questions. You want to take a short break?
8 MR. CRITTON: Would you like to take a short
9 break?
10 THE WITNESS: I'm fine.
11 VIDEOGRAPHER: Off the record, 10:56.
12 (Brief recess.)
13 CROSS EXAMINATION
14 BY MS. EZELL:
15 Q. I'm Catherine Ezell. I want to ask you a few
16 questions about some things that came up during your
17 deposition, your earlier questioning in this deposition.
18 A. Okay.
19 Q. The book of policies that you mentioned that
20 was there by the time you left, I just wanted to
21 clarify, was that done by somebody in Palm Beach to be
22 used by different households in Palm Beach or was it
23 done by someone employed by Jeffrey Epstein to apply to
24 all the homes he --
25 A. Yes.
Page 39
1 Q. The latter?
2 A. The latter.
3 Q. What, if anything, can you remember or tell us
4 about your separation agreement?
5 A. It was basically an agreement between him and
6 myself that we will leave after all those years of
7 service.
8 And I regret to agree with the amount, but it
9 was $30,000 for me and $20,000 for my wife.
10 And it was -- he give my wife the car that she
11 usually drive. It was a minivan, Chrysler minivan, as
12 part of the -- as part of the separation. She loved
13 that car and she did all the shopping, it was done in
14 that car.
15 So Mr. Epstein was kind enough to give her the
16 car.
17 The rest of the stuff is, was mainly lawyer
18 stuff that you can't understand. But basically that was
19 it. And that it was a part that I think I can -- I
20 would says, it was more or less that I will not sue him
21 later or he cannot sue me for any reasons or -- and it
22 was like a confidentiality issue in that separation
23 agreement.
24 Q. And do you understand that in this instance
25 you are subpoenaed under the power of the Court?
Page 40
1 A. Absolutely.
2 Q. And that would include matters that would
3 otherwise be confidential?
4 A. Can you repeat that again?
5 Q. Yeah. Do you understand that because you're
6 under subpoena by the Court to give your testimony, --
7 A. Today.
8 Q. -- truthfully -- yes.
9 A. Uh-huh.
10 Q. That the confidentiality agreement would not
11 control; the Court's subpoena --
12 A. Oh, yeah.
13 Q. -- controls?
14 A. I understand that.
15 Q. You mentioned Ghislaine Maxwell did photo
16 shoots and kept an album?
17 A. Yes. She was fanatic about photographs --
18 camera. She had a whole bunch of different cameras and
19 she took all the pictures all over.
20 Q. Did you ever observe her doing a photo shoot
21 of V.?
22 A. No.
23 Q. Did you ever observe her doing a photo shoot
24 of any of the other young women whose names you
25 mentioned?
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
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Page 41
1 A. Young woman?
2 Q. Yes.
3 A. No, I can't remember. I know that she went
4 out and took pictures in the pool because later on I
5 would see them at the desk or at the house.
6 And nude -- 99.9 percent of the time they were
7 topless. They were European girls. They were --
8 Q. You stated that you believe V.'s name was P.,
9 but you weren't sure?
10 A. Not sure.
11 Q. Could it have been R.?
12 A. R., yeah. Yeah. Could have been.
13 Q. I want to show you a picture and have it
14 marked as an Exhibit to this deposition.
15 MS. EZELL: And did we have the agreement
16 beforehand that we've been having all along that
17 we're just using initials and not names?
18 MR. WILLITS: My client has waived the
19 confidentiality as to herself. But I certainly
20 agree as to everybody else.
21 MR. LANGINO: As do I.
22 MS. EZELL: Is that okay?
23 MR. CRITTON: That's what we agreed to on the
24 last.
25 MS. EZELL: Right.
Page 42
1 MR. CRITTON: For the court reporter, at
2 least, in terms of the -- I guess in terms of the
3 transcript she gives to us, if you would just use a
4 first initial and a last initial.
5 MR. WILLITS: So when you ask about V., it
6 would be V.R. is what the court reporter would
7 write down?
8 MS. EZELL: Right.
9 MR. CRITTON: But make sure everybody uses the
10 full name, because that way we'll have two
11 initials.
12 MR. WILLITS: When they speak, but she's going
13 to write it down as initials. Is that what you're
14 saying? I'm confused about everything.
15 MR. CRITTON: The reason is, is there may be
16 25, you know, there may be three V.s. So if you
17 just mention V. and it just shows up as a V., it
18 won't make sense. So ergo you need to do that.
19 But Carolyn Andriano, his client, she gets the
20 whole megillah.
21 MR. WILLITS: Right.
22 MR. BERGER: How is it preserved that we're
23 talking about your client? You gave her full name
24 a minute ago. How is it preserved if she's -- the
25 court reporter is going to change the full name to
Page 43
1 V.R.? Obviously the tape preserves it. We're not
2 asking the tape gentleman to edit it.
3 MS. EZELL: Right.
4 MR. BERGER: So how is it preserved that V.R.
5 means your client's full name?
6 MS. EZELL: Well, we had just agreed in
7 previous depositions that that's the way it would
8 read. The written transcript would not have the
9 full name, but would just have the initials.
10 MR. BERGER: I'm not so sure that constitutes
11 an identification by Mr. Alessi that's going to be
12 clear. But this is the first deposition I've
13 attended, so I'm not sure if I'm -- if what I'm
14 saying has been dealt with or not.
15 MR. MERMELSTEIN: I think we're working on
16 good faith. Mr. Critton is agreeing that the
17 name -- and I don't think anyone's going to come
18 back later and say, oh, you meant Vince Robinson or
19 anything like that, so...
20 MR. BERGER: Well, I'm not -- I'm not talking
21 about Mr. Critton. Bob Critton I have the full
22 trust in. I'm just talking about a jury watching
23 this or reading this transcript believing that
24 Mr. Alessi has accurately identified one of these
25 victims. That's all. I don't know if you've all
Page 44
1 thought about that.
2 MS. EZELL: Well, for one thing, the jury
3 might, if they're -- if they're hearing or reading
4 his testimony, they most likely would be seeing the
5 video, which would have the full name. Unless the
6 Judge allows us to block out names and we haven't
7 come to that point.
8 MR. MERMELSTEIN: I think the idea at trial,
9 V.R., if it's read to the jury would become then
10 V.R. It would be read as V.R. But if it's filed
11 with the Court, this transcript, it will be V.R.,
12 and that way it doesn't have to be redacted.
13 MR. WILLITS: As I also understood it, if
14 there would be any question at all, we could simply
15 ask the court reporter and she would say, according
16 to my notes, V.R. is Virgil Robinson and not -- or
17 whatever her notes show. Wouldn't she be the final
18 authority?
19 MS. EZELL: Well, she would certainly have
20 that record.
21 MR. CRITTON: You could listen to the tape.
22 It would be pretty easy. I think we're making it a
23 lot more complicated than it need be.
24 MR. WILLITS: For once, I agree.
25 MR. CRITTON: I think it will be all right.
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
12 (Pages 45 to 48)
Page 45
1 MS. EZELL: I'm going to ask -- I don't know
2 whether you've still been serially designating
3 Exhibits or whether we're doing them separately for
4 deposition.
5 MR. CRITTON: I think we cannot trust that
6 people will do them serially. I'd do them with
7 each one.
8 MS. EZELL: Then would you mark this, please,
9 as Exhibit 1 to this deposition.
10 And I'm just going to state on the record that
11 I will keep that original. We will not attach it
12 to the deposition.
13 (Exhibit number 1 was marked for
14 identification purposes and retained by Counsel for the
15 Plaintiffs.)
16 THE WITNESS: Yes, that's --
17 BY MS. EZELL:
18 Q. Can you identify that -- the young woman in
19 those pictures?
20 A. Yes.
21 Q. Who is it?
22 A. That's V. -- V. Now that you says R., that
23 is V.R. definite, a hundred percent.
24 MR. CRITTON: Let me just note my objection,
25 as I did in A. Rod's deposition or Mr. Rodriguez's
Page 46
1 deposition, that I know you're going to confiscate
2 Exhibit number 1. I think it's inappropriate. I
3 think I should be allowed to have a copy of
4 Exhibits that are being used in deposition. But
5 I'll file a motion with the Court so we don't get
6 into a pulling match over your Exhibits.
7 MR. BERGER: I would ask that the court
8 reporter initial that.
9 MS. EZELL: Sure.
10 Oh, you did?
11 MR. WILLITS: She marked it.
12 MR. BERGER: Did she put her initials or did
13 she just put a number or a letter?
14 MR. CRITTON: She's nodding that she did
15 everything that she usually does, which means,
16 initials, date and number.
17 MR. MERMELSTEIN: You can talk.
18 MR. WILLITS: But when you talk, use your
19 initials.
20 BY MS. EZELL:
21 Q. How old did you think V.R. was at the time she
22 began coming to Mr. Epstein's home?
23 A. She could have been 17, 18, 19.
24 Q. Could she have also been 15?
25 MR. CRITTON: Form.
Page 47
1 THE WITNESS: Could have been. But, you know,
2 I am not -- I don't think I am a very good judge of
3 ages. If you ask me how old you are, I really
4 couldn't tell you.
5 MR. CRITTON: Kathy thinks she's 25.
6 MS. EZELL: In my dreams.
7 THE WITNESS: Now, again, I must tell you, I
8 was never told to check any i.d.s on any of the
9 people who work at the house.
10 BY MS. EZELL:
11 Q. I understand that. And, so, I think I'm just
12 trying to establish that you didn't consider it part of
13 your job description to worry about or consider the
14 ages --
15 A. No.
16 Q. -- of the young women that came there?
17 A. Absolutely not. Absolutely not.
18 Q. And, so, you never really focused on that or
19 particularly thought about it if they seemed young?
20 MR. CRITTON: Form.
21 THE WITNESS: I don't -- I didn't see that
22 many young girls, you know, young, underage girls
23 at the house. I never saw except the two girls
24 that I mentioned that I think it was underage was
25 N. for sure because she was still in high school.
Page 48
1 And she -- she had dinner with her mother, a couple
2 times with her mother. And she become an actress.
3 She's an actress and she has done movies. And he
4 help her in her career.
5 That's the only girl that I knew she was young
6 because she was going to high school and I pick her
7 up from high school sometimes. But she was not a
8 massage therapist. She will go for dinner. And
9 they will go for the movies and she sang sometimes
10 because she was a singer. So she sung at the
11 house. Beautiful girl. Very talented.
12 That's the only girl that I know that it
13 was -- I would says, underage.
14 BY MS. EZELL:
15 Q. Okay. Did -- who told you that V.R. was a
16 massage therapist?
17 A. Nobody.
18 Q. Did you assume that she was a massage
19 therapist because you were told she was coming to give a
20 massage?
21 A. No. I assumed she was a massage therapy
22 because I was -- I drove Ms. Maxwell to Mar-a-lago,
23 Donald Trump's residence. And I wait in the car while
24 Ms. Maxwell got a -- I think it was a facial or massage.
25 I don't know. But that day I remember this girl, V.,
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
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Page 49
1 walking down from the main lobby towards the spa of
2 Mar-a-lago. And I was driving Ms. Maxwell up, up the
3 ramp. It's a little ramp there.
4 And Ms. Maxwell says, stop. And she went and
5 talked to -- she went inside.
6 And that afternoon around 5:00 I saw V. came.
7 She came to the house already, so she was there already.
8 That was the first day I knew. And then she would come
9 regularly.
10 Q. Did you ever meet any of V.'s family?
11 A. No. I think she was -- one time I think her
12 father drove her there. And I met -- I don't know if it
13 was the boyfriend or husband or -- but he had to wait,
14 make him wait outside while she was at the house.
15 Q. Do you know the name or recognize the name
16 Tony Santiago?
17 A. I think it was him.
18 Q. That was her --
19 A. I know he had an old beat-up car, Camaro or
20 Mustang. I know it was very old car that I make him
21 wait on the street one time. I make him come out of the
22 driveway because we have to move some cars around.
23 Q. Did there ever come a time when Tony Santiago
24 was welcome in the kitchen?
25 A. I think he came once in the kitchen, but
Page 50
1 Ms. Maxwell told me to get him out.
2 Q. Did she tell you why?
3 A. No. She didn't -- I guess she didn't want to
4 become, you know, everybody -- because some of these
5 people came with their husbands and they wait outside.
6 And I guess she didn't want this to become a norm for
7 everybody to bring their companions while they have --
8 they will do a massage for her.
9 Q. During the time you were there, did you ever
10 know of Tony Santiago bringing any other girls to
11 Mr. Epstein?
12 A. No. I knew that sometimes I saw V. bring
13 other girls with her, not Tony Santiago.
14 Q. Do you remember the names of any of those
15 girls --
16 A. No, I don't.
17 Q. -- that V. brought?
18 A. That was at the end of my stay there. No.
19 That was a very -- at the very end of the last month of
20 my stay.
21 Q. Did you give -- I don't believe I asked you,
22 but if I did, forgive me. Did you give us an
23 approximate year in which you were taking Ms. Maxwell to
24 Mar-a-lago and saw V.R. for the first time?
25 A. That was at the -- at the end of my stay
Page 51
1 there. So I would says, between three months maybe
2 before I left. And I think I left at the end of the
3 year, so it could have been -- I remember it was a very
4 hard day because I had to wait in the sun outside in a
5 convertible and I was dying, waiting for an hour for
6 Ms. Maxwell. I think it was in the summer of 2002.
7 Q. And if I remember correctly, you left in
8 November or December of 2002?
9 A. Yes.
10 Q. So that might have been perhaps July or August
11 of 2002?
12 A. Uh-huh.
13 Q. And, so, as I understand it, you only saw V.R.
14 come to that house during the last three months of your
15 time at Mr. Epstein's?
16 A. Yes.
17 Q. Do you have any -- any sense or can you
18 approximate how many times she came?
19 A. I cannot give you a number, but I would says,
20 two, three times a week.
21 Q. You mentioned that sometimes you would have to
22 call these massage therapists in the middle of the
23 night. Did you ever have to call V. for Mr. Epstein in
24 the middle of the night?
25 MR. CRITTON: Form.
Page 52
1 THE WITNESS: No. No.
2 BY MS. EZELL:
3 Q. Did there come a time while you were there
4 that V.R. stayed in the house?
5 MR. CRITTON: Form.
6 THE WITNESS: I don't think so. I cannot
7 remember. No.
8 BY MS. EZELL:
9 Q. How many bedrooms were there upstairs?
10 A. One, two, three -- one, two, three, four --
11 four -- so that would be five, five bedrooms.
12 Q. Five. And, so, would one have been
13 Mr. Epstein's bedroom?
14 A. Yes. His quarters was big, huge quarters.
15 Q. Sort of a suite?
16 A. Yeah. And he has -- this is the room. His
17 bathroom was here and her bathroom was here. The main
18 room was here. And we have -- it was two sets of doors
19 before -- two sets of double doors before you can go
20 into the suite. There was one on top of the stairway
21 and one in the middle of the hallway. And then you walk
22 into the -- into the suite.
23 Q. Okay. And you -- you just put a red eight by
24 11 folder in front of you?
25 A. Yeah.
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(561) 832-7500 PROSE COURT REPORTING AGENCY, INC. (561) 832-7506
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Page 53
1 Q. And you said, "this is the room."
2 Do you mean that is Mr. Epstein's room?
3 A. And Ms. Maxwell.
4 Q. And Ms. Maxwell?
5 A. Yes.
6 Q. And his bath was on one side and hers was on
7 the other?
8 A. Yes. Yes, ma'am.
9 Q. So did she not have a separate bedroom?
10 A. Ms. Maxwell? No. Sometimes she slept in a
11 different bedroom. Don't ask me why.
12 Q. Okay. But generally at that point in time she
13 was still --
14 A. Yeah.
15 Q. -- sleeping in, for most nights, the same
16 bedroom --
17 A. Yeah.
18 Q. -- as Mr. Epstein?
19 A. Uh-huh.
20 Q. And then there was the service quarters, the
21 service department?
22 A. The service quarters before we moved down to
23 the other house, it was in one corner of the property in
24 the second floor.
25 Q. And what -- what other bedrooms were there?
Page 54
1 A. In the service quarters?
2 Q. No.
3 A. In the total amount?
4 Q. On the second floor.
5 A. On the second floor.
6 Q. Other than --
7 A. It was the -- it was a pink room, we called
8 the pink room. We called the blue room. And the parrot
9 room. We call a parrot room because there was a crazy
10 designer, all full of parrots. It look like you were in
11 the jungle. But that was changed, so that became the
12 blue room.
13 So it was the blue room, the red room and the
14 pink room. That was the main guest, for the main guest
15 rooms.
16 Then it was my room and we have like a little
17 sitting area for ourselves, for myself.
18 And upstairs there were one, two, three, four,
19 five, six, six bathrooms.
20 Q. During the time you were there who, if anyone,
21 stayed in the pink room?
22 A. Many people.
23 Q. Guests?
24 A. Yes.
25 Q. Who would come and go?
Page 55
1 A. Yes.
2 Q. And who, if anyone, stayed in the blue room?
3 A. Yes, many.
4 Q. Guests who would come and go?
5 A. (Nods head.)
6 Q. And in the red room?
7 A. Same thing.
8 Q. Again, guests?
9 A. Yes.
10 Q. And did you say that N.B. did spend nights
11 there?
12 A. No, not that I remember.
13 Q. She never did?
14 A. Not that I remember, no. Because she was not
15 there until the whole length of time that I work for
16 Mr. Epstein. She was there for maybe a year or two
17 years. Then she moved to California. She was -- moved
18 the whole family to Hollywood.
19 Q. And that's N.B.?
20 A. N.
21 Q. You mentioned Dr. Eva Anderson?
22 A. Uh-huh.
23 Q. I believe you said she had been a girlfriend
24 of Mr. Epstein's --
25 A. Yeah.
Page 56
1 Q. -- before --
2 A. I understand.
3 Q. -- Ms. Maxwell?
4 A. Yeah.
5 Q. And were there times when she would stay in
6 the house?
7 A. Yes.
8 Q. Would she stay in the house when Ms. Maxwell
9 was there as well?
10 A. Yes.
11 Q. And did she have sort of a regular room there?
12 A. Let me repeat. Can you repeat that again, the
13 questions before? Because I think I says, yes, when
14 Eva -- when Maxwell was there, I not think -- I can't
15 remember Eva being there. She was there for a little
16 bit because they become friends after that and they have
17 dinners and lunches and she would come, because Eva got
18 married and she had kids and -- and they were -- called
19 Mr. Epstein, Uncle Jeffrey.
20 So they become friends. And -- but I don't
21 think she ever slept at the house again because she had
22 her own house in Palm Beach.
23 Q. When you first went there to work would she
24 sometimes sleep at the house? Was that before she was
25 married?
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Page 57
1 A. Yes. Before she was married, yeah. They
2 split up and she went her own way.
3 Q. Did she marry a Glen Dubin (phonetics)?
4 A. That's correct. And Mr. Dubin used to come to
5 the house, too.
6 Q. Do you know, was Sarah Kellen ever one of the
7 massage therapists before she became an assistant?
8 A. I don't know if she was a massage therapist.
9 I don't remember setting up a massage table for her. I
10 think she was an assistant. And she would call -- at
11 the end of my stay, I was -- tried to pull aside from my
12 obligations and Sarah was doing all the phone calls and
13 all the arrangement and all the looking out for these
14 girls for the -- for massage therapists. They were
15 constantly.
16 Q. When did that role get transferred from you to
17 Ms. Maxwell, the role of looking after girls and calling
18 the girls?
19 A. I didn't look after -- out for girls.
20 Ms. Maxwell was the one that recruit -- I remember one
21 occasion or two occasions she would says to me, John,
22 give me a list of all the spas in Palm Beach County.
23 And I will drive her from one to the other one to PGA
24 and Boca. And she will go in, drop credit cards -- not
25 credit cards, but business cards, and she come out. And
Page 58
1 then we go to -- she will recruit the girls. Was
2 never -- never done by me or Mr. Epstein or anybody
3 else, that I know.
4 I don't know about Sarah because Sarah was
5 there at the last, last -- probably last weeks of my
6 stay there. So I cannot say anything about Sarah.
7 Q. Was there any point in time -- well, let me
8 ask you this way: Did -- you said sometimes you would
9 call the girls to come --
10 A. Uh-huh.
11 Q. -- to give them massage. And sometimes
12 Ms. Maxwell would?
13 A. Yeah.
14 Q. Did there come a time when she took that over
15 entirely from you --
16 A. No.
17 Q. -- or that continued --
18 A. That's continued.
19 Q. -- until you left?
20 A. Yeah.
21 Q. Do you remember, is Jeffrey Epstein godfather
22 to one of the Dubin children?
23 A. I don't know if he godfather. I don't
24 remember that. But he was very fond to these children,
25 the children.
Page 59
1 Q. And they called him uncle, you said?
2 A. They called him uncle.
3 Q. Did you ever learn what Tony Santiago did for
4 a living?
5 A. No.
6 Q. Have you had any occasion to see him since the
7 time you left Mr. Epstein's employ?
8 A. No.
9 Q. And you don't -- do you have any idea where he
10 is?
11 A. I have no idea. I remember an incident, one
12 time the -- I went to pick her up at Royal Palm Beach
13 and she was crying and I went and knock at the door and
14 she was crying. And she says, well, -- I think it was
15 Tony or -- because she used to live with these other
16 guys, too. There were two guys and her or two couples.
17 I don't know the arrangements there. But I remember
18 that she told me the -- Tony or her boyfriend had got
19 mad and ripped the furniture, he cut the furniture in
20 pieces and he even broke the screens. Because I was --
21 when I went into to knock the door, the screen was all
22 ripped up like it was cut.
23 And she told me that he got mad at -- I don't
24 know what happened. I never saw him in there.
25 Q. Did she tell you he had hit her or beaten her
Page 60
1 at all?
2 MR. CRITTON: Is the she, V., V.R.?
3 MS. EZELL: Yes. Thank you.
4 BY MS. EZELL:
5 Q. Did you ever see during the time you were
6 there photographs of V. in the house, the Epstein house?
7 V.R. in the Epstein house?
8 A. I don't think so. I don't think so.
9 Q. Did you ever see photographs of V.R. in
10 Ms. Maxwell's albums?
11 A. No.
12 Q. At the time you were employed by Mr. Epstein,
13 were there any hidden cameras?
14 A. No.
15 Q. You do know that he installed some after you
16 left, correct?
17 MR. CRITTON: Correct.
18 THE WITNESS: I don't know.
19 BY MS. EZELL:
20 Q. Wasn't there a camera involved in the incident
21 that -- the incident in which you took money from
22 Mr. Epstein?
23 A. Yeah. Yes. But I don't know if he install it
24 or not. That's what he told me.
25 Q. Okay.
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Page 61
1 A. But we settled that completely out of Court.
2 It was a, I will pay you back. I'm sorry. I made a
3 mistake. And that was the end of it.
4 Q. I understand. And, so, you have no idea then
5 where the cameras were --
6 A. No idea.
7 Q. -- installed?
8 A. I was never back at the house after that.
9 Q. Okay. I just want to ask you if you recognize
10 any other names.
11 Do you recognize a name, E., who was a friend
12 of Ms. Maxwell?
13 A. E.T.? Yes.
14 Q. And was she English?
15 A. English. And she travel all the time with
16 them. Not -- I would says, not a hundred percent of the
17 time, but she travel maybe 60, 70 percent of the time
18 for a period of years.
19 MR. CRITTON: So I'm clear, is it Annie?
20 MS. EZELL: E.
21 THE WITNESS: E.T.
22 MS. EZELL: E. or E. I'm not sure.
23 MR. CRITTON: Thank you.
24 BY MS. EZELL:
25 Q. Did she have a regular room in which she
Page 62
1 stayed --
2 A. Yes.
3 Q. -- when she was there? Which one was that?
4 A. That was the pink room. When she came, she
5 stay in the pink room.
6 Q. And do you have any idea what her relationship
7 to Ghislaine Maxwell was?
8 A. I understand she was her assistant. And she
9 will answer the phones. And she will go shopping with
10 her sometimes. And she will -- basically they were
11 friends. I don't think she -- I don't think she was a
12 massage therapist ever. I don't think she ever was a
13 massage therapist.
14 Q. Do you know whether the young women that you
15 referred to as massage therapists came there to give
16 massages to both Mr. Epstein and Ms. Maxwell?
17 A. Yes.
18 Q. And do you know if E. was ever included in
19 that activity?
20 A. I have no idea because when they went upstairs
21 they shut all the doors and it was absolutely pitch
22 black in the room. It was no -- we never saw any
23 massages done. Occasionally we saw a massage, like, if
24 Ms. Maxwell wants a massage by the pool, I would set up
25 the table by the pool and they will have a massage at
Page 63
1 the pool. But other than that, they were regular
2 massages.
3 Q. Did you know a young lady named C. who would
4 come to the home?
5 A. C. She was also English?
6 Q. I don't know?
7 A. I think I remember a C.
8 Q. And was she one that came to give massages?
9 A. C., C., C., C., C., C.
10 When you deal with all these girls' names. I
11 think C. was, yes, she was a massage therapist. But I
12 think she used to -- I could be wrong, but I think she
13 live in New York and she travelled with them once in a
14 while.
15 Q. Were some of the women that travelled with
16 Mr. Epstein models, to your understanding?
17 A. Very beautiful models. Very nice. Very,
18 very -- most of them were models, models.
19 Q. Did you know anyone named C.F.?
20 A. No. C.F. no. No.
21 Q. Jean Luc Bruhel?
22 A. Jean Luc? Jean Luc was a guy.
23 Q. I know that. Did you know him?
24 A. Yes, I know him.
25 Q. Who was he?
Page 64
1 A. He was -- he -- matter of fact, I went to his
2 house a couple of times with Mr. Epstein. And he was a
3 friend of Mr. Epstein. He was a -- he was French, I
4 think, French. And he was -- as far as I know, he had a
5 model agency in Miami, one of the big model agencies in
6 Miami.
7 Q. And do you know whether or not Mr. Epstein had
8 any interest in that model agency?
9 A. No. No idea.
10 Q. Do you know whether or not they were business
11 partners in any way?
12 A. No, I don't.
13 Q. Did he ever come over for massages?
14 A. He came to the house couple times. I think
15 he -- it might have been occasions where he stay
16 overnight.
17 MR. CRITTON: Move to strike as
18 non-responsive, to at least your question.
19 BY MS. EZELL:
20 Q. You indicated that you had been to his home.
21 So did he have a home in Palm Beach?
22 A. No. He has a home in Miami Beach.
23 Q. Miami Beach.
24 Did you know anyone named D. or D.B.?
25 A. D.?
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Page 65
1 Q. D.
2 A. It sounds familiar, but I cannot tell you for
3 sure.
4 Q. You mentioned some of the chefs. You didn't
5 mention --
6 A. There was --
7 Q. -- Ryan Dion (phonetics). Was there someone
8 there named Ryan Dion?
9 A. No. It was a kid from New York. His name was
10 Don Perry. Perry?
11 Q. And would he travel with Mr. Epstein?
12 A. Yeah.
13 Q. Now, when -- before the addition out back was
14 done, I believe you said the chefs would stay back there
15 sometimes?
16 A. Uh-huh.
17 Q. Before then, where did the chefs stay?
18 A. In the blue room in the back, the one close to
19 mine.
20 Q. Did you ever meet any of Mr. Epstein's family;
21 his brother, for instance?
22 A. Absolutely, yes.
23 Q. And what was his brother's name?
24 A. Mark Epstein.
25 Q. Would he come and visit regularly?
Page 66
1 A. Regularly.
2 But I was more involved with her mother. I
3 took care of her mother, Mr. Epstein's mother. She was
4 a very ill lady. I don't know if she's still alive or
5 not, but I lost contact.
6 Q. How often would she come to visit?
7 A. She didn't come to visit too often. She had
8 an accident, a very bad accident. She lost her trachea,
9 so she had a -- how they call the -- the thing they put
10 them in your neck to talk?
11 Q. Sort of a voice box. I don't know the
12 technical name.
13 A. I don't know the technical name, --
14 Q. Right.
15 A. -- but they open her throat and she had this
16 thing to talk and she had to cover her throat to talk.
17 And I was more involved with her than her own
18 kids. I took her to Miami for the operation. I was
19 there for the operation. And she -- we have a lot of
20 fun with her. I mean, she -- she was a very good lady.
21 Q. Now, other than Mark Epstein, were there any
22 other brothers and sisters?
23 A. No. He only has one brother that I know.
24 Q. And where does he live?
25 A. He lives in New York.
Page 67
1 Q. And do you know what he did for a living?
2 A. He has -- I knew he had a printing company,
3 printing the big logos, the big movie projection
4 company.
5 Matter of fact, my son, when he graduate, he
6 went to work for Mark for about couple months in New
7 York as a -- as a -- as a trainee. I don't think he
8 ever got paid, but he -- he was trying to learn the
9 business and Mark gave him a job. That was for few
10 months.
11 Q. How often would Mark Epstein come to Miami?
12 A. Not too often. Not too often.
13 Q. When he came, do you know, did he participate
14 in having the massages?
15 A. No.
16 MR. CRITTON: Form.
17 THE WITNESS: Never.
18 BY MS. EZELL:
19 Q. He did not?
20 A. Never.
21 Q. And how do you know that?
22 A. Because it was never -- I was never told to
23 set up a massage in any of the rooms for Mark or his
24 mother. They were not too close.
25 Q. Mark and Jeffrey Epstein are not too close?
Page 68
1 A. I would says, they were not. I don't think
2 so. That was my opinion.
3 Q. Do you know the name Daniel Estes?
4 A. No.
5 Q. Do you know the name Matt Groning (phonetics)
6 -- Groning?
7 A. No.
8 Q. I think you mentioned Mr. Wexler?
9 A. I believe so.
10 Q. That you knew him early on?
11 A. Yes.
12 Q. And did some work for him?
13 A. Also his mother. I work on his mother house
14 in Palm Beach.
15 Q. Did he also have a home in Palm Beach?
16 A. Before -- he had a home in Palm Beach before I
17 went to work for his mother. So I never work on his
18 home. But I work on his mother home. I don't know if
19 it was his home or that was used to -- Mrs. Wexler used
20 to live there.
21 Q. Did he come over to the Epstein home
22 frequently?
23 A. Occasionally.
24 Q. Did he ever participate in the massages?
25 A. No.
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Page 69
1 MR. CRITTON: Form.
2 THE WITNESS: No, not that I can remember.
3 BY MS. EZELL:
4 Q. Do you know if he and Mr. Epstein were
5 involved in any businesses together?
6 A. Mr. Epstein, I never knew what businesses he
7 was involved. He will -- I was completely shut off of
8 all of the business, except for the office, transfer of
9 communications or faxes. But I have no idea of the
10 relationship with other business partners.
11 Q. Did you ever have to deal with his -- the
12 office in New York with someone named Lesley in New
13 York?
14 A. The secretary?
15 Q. Yes.
16 A. Yeah. I would call -- I would call Lesley
17 almost every day or other secretaries, they live in New
18 York. Basically it came a point when Mr. Epstein will
19 call New York and New York call me to do things for
20 Mr. Epstein. But he was on the phone or busy or
21 something and he would call the office and the office
22 will send me an e-mail or call me or -- it was a
23 constant report with the office in New York.
24 Q. And did you in turn sometimes call New York to
25 get a message to Mr. Epstein?
Page 70
1 A. Yes.
2 Q. Did you ever overhear Mr. Epstein talking to
3 any people that you would consider celebrities?
4 A. Yes. I knew some -- many celebrities.
5 Q. Who -- what celebrities did you understand
6 that he spoke with?
7 A. He spoke to it?
8 Q. Yes.
9 A. I don't know who he spoke to because I never
10 listen to his conversations. But I saw guests at the
11 house that were celebrities.
12 Q. Who did you see at house?
13 A. Many. It was senators. It was Senator
14 Mitchell, George Mitchell. It was Prince Andrew. It
15 was Princess Sarah.
16 Q. Princess?
17 A. Sarah, the wife of Andrew.
18 Q. Sarah Ferguson?
19 A. Ferguson.
20 And it was a couple Misses, Misses Yugoslavia,
21 Miss Germany that I don't even know the names. But they
22 were a lot of queens and other famous people that I
23 can't remember. It was a very famous lawyers that I'm
24 sure you know, Alan Dershowitz, who spend at the house a
25 couple times. And he slept there. He -- Princess
Page 71
1 Diane's secretary, she stay there for a week with her
2 kids and we took care of her.
3 Who else? Mr. Trump. That's a celebrity.
4 Mr. Robert Kennedy, Junior. Mr. Frederick Fekkai.
5 Q. Who is that?
6 A. Fekkai, Frederick Fekkai, the famous
7 hairstylist. Who else? I don't think I can remember
8 anymore.
9 Q. David Copperfield, the magician?
10 A. No, I never saw him.
11 Q. You never saw him.
12 Now, would these -- the people that you named
13 were all people that you saw visiting in the home?
14 A. Yes. Also was a Noble Prize winners, the -- I
15 can't remember his name. It was an old gentleman. He
16 was a Noble Prize, chemistry, I think, or mathematics.
17 There was a couple -- a couple of those, very -- also,
18 we had at one time at the house, it was a reunion of
19 very Noble Prize winners. But I don't know. They're
20 not famous, I guess. I can't remember their names.
21 Very important people.
22 Q. Was that a dinner or a reception?
23 A. I think it was a lunch.
24 Q. A lunch.
25 President Clinton, did you ever --
Page 72
1 A. I met President Clinton on Mr. Epstein's plane
2 in the last, I think it was the last month or just
3 before I left -- I left, I met President Clinton in
4 Miami at his plane. We drove him to Miami.
5 Q. And do you know, was that a trip -- were they
6 going on a trip to Africa?
7 A. I hear about it, but it was not when I was
8 there.
9 Q. So that was not the time that you drove --
10 A. No, I was already out.
11 Q. And Kevin Spacey, did you ever meet him?
12 A. No. I hear about it on the news, but I never
13 met him.
14 Q. Were Prince Andrew and Princess Sarah friends
15 of Ms. Maxwell?
16 A. Both of them.
17 Q. Both Ms. Maxwell and Mr. Epstein?
18 A. Yeah.
19 Q. Did -- did they ever have massages when they
20 were there?
21 A. Prince Andrew did. I think Sarah was there
22 only once and for a short time. I don't think she slept
23 in there. I cannot remember. I think she was visiting
24 Wellington and she came to the house and we met her.
25 But Prince Andrew, yes, Prince Andrew spent weeks with
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Page 73
1 us.
2 Q. Where would he sleep?
3 A. In the main room, the main guest bedroom.
4 That was the blue room.
5 Q. And, so, when he would come and stay, during
6 that time would he frequently have massages?
7 MR. CRITTON: Form.
8 THE WITNESS: I would says, daily massages.
9 They have a daily massage.
10 BY MS. EZELL:
11 Q. Was it sometimes more than one a day?
12 A. I can't remember if he had more than one, but
13 I think it was just a massage for him. We set up the
14 tables and --
15 Q. Do you have any recollection of V.R. coming to
16 the house when Prince Andrew was there?
17 A. It could have been, but I'm not sure.
18 Q. Not sure. When Mr. Dershowitz was
19 visiting, --
20 A. Uh-huh.
21 Q. -- how often did he come?
22 A. He came pretty -- pretty often. I would says,
23 at least four or five times a year.
24 Q. And how long would he stay typically?
25 A. Two, three days.
Page 74
1 Q. Did he have massages sometimes when he was
2 there?
3 A. Yes. A massage was like a treat for
4 everybody. If they want it, we call the massage and
5 they have a massage.
6 Q. Now, Mr. Trump had a home in Palm Beach,
7 correct?
8 A. Uh-huh.
9 Q. So he didn't come and stay there, did he?
10 A. No, never.
11 Q. He would come for a meal?
12 A. He would come, have dinner. He never sat at
13 the table. He eat with me in the kitchen.
14 Q. Did he ever have massages while he was there?
15 A. No. Because he's got his own spa.
16 Q. Sure.
17 MS. EZELL: I don't have any other questions
18 right now. I'd just like to reserve if something
19 comes up to ask. But, otherwise, you may go ahead.
20 MR. LANGINO: It is noon, so I don't know what
21 everybody else's schedule is. I don't know how
22 you're feeling.
23 THE WITNESS: I am fine.
24 MS. EZELL: I do have another question. May I
25 ask it?
Page 75
1 MR. LANGINO: Go ahead. Sure.
2 BY MS. EZELL:
3 Q. You said that you set up the massage tables.
4 And would you also set up the oils and the towels?
5 A. Yes, ma'am.
6 Q. And I think I read one time you said they used
7 40 or 50 towels a day?
8 MR. CRITTON: Form.
9 THE WITNESS: That's correct. There was a
10 tremendous amount of work in the house, especially
11 laundry towels, because they were -- we have
12 towels, piles of towels. And they use in the pool.
13 There was a lot of people in the pool and there
14 were a towel that went in the floor, we have to go
15 and pick it up, wash it. So it was -- it was a lot
16 of towels, yes.
17 BY MS. EZELL:
18 Q. And did you ever have occasion to go upstairs
19 and clean up after the massages?
20 A. Yeah, uh-huh.
21 Q. Did you ever find any vibrators in that area?
22 A. Yes. I told him, yes.
23 MS. EZELL: And did you ask that? I'm sorry.
24 MR. CRITTON: Yes.
25 MS. EZELL: I don't know how I missed that.
Page 76
1 BY MS. EZELL:
2 Q. Since I did miss it, if you don't mind, let me
3 just ask you again.
4 Would you describe for me what kinds of
5 vibrators you found?
6 A. I'm not familiar -- not too familiar with the
7 names, but they were big dildos, what they call the big
8 rubber things like that (indicating). And I used to go
9 and put my gloves on and pick them up, put them in the
10 sink, rinse it off and put it in Ms. Maxwell --
11 Ms. Maxwell had in her closet, she had, like, a laundry
12 basket, one of those laundry basket that you put laundry
13 in. She have full of those toys. And that was -- and
14 that was me being professional, leaving the room ready
15 for bed when he would come back to the room again.
16 Q. Okay.
17 A. That happened a few times, few times.
18 Q. Were there other sex toys that you found in
19 the area --
20 A. No.
21 Q. -- sometimes? You mentioned she kept them in
22 a basket in her closet?
23 A. She kept them in her basket. She had some
24 videos there and she have a costume there. I know that
25 she bought it, that she brought it with her.
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Page 77
1 Q. What kind of costume?
2 A. I don't know. It was a black, shiny costume.
3 I never saw it on her.
4 Q. Was it leather?
5 A. No. I think it was like a vinyl. But we were
6 very fussy about touching any of that stuff. We just...
7 MS. EZELL: No other questions. Thank you,
8 sir.
9 THE WITNESS: You're welcome.
10 MR. LANGINO: I shouldn't have more than a
11 half hour's worth of questions, if everybody is
12 okay to power through.
13 MR. BERGER: I probably have a half hour to an
14 hour.
15 MR. LANGINO: Okay.
16 MR. BERGER: Unless you cover what I cover.
17 MR. MERMELSTEIN: I could say the same thing,
18 so probably less than that.
19 MR. LANGINO: So I guess my question is --
20 MR. BERGER: I think we ought to take a break.
21 MR. LANGINO: That was my question.
22 MR. BERGER: We're going to take a break.
23 Do you have any problem with that?
24 THE WITNESS: No. Whatever you guys want to
25 do.
Page 78
1 (Lunch recess.)
2 (Continued to Volume II.)
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Page 79
1 CERTIFICATE OF OATH
2 STATE OF FLORIDA
3 COUNTY OF PALM BEACH
4
5
6 I, the undersigned authority, certify that
7 JUAN ALESSI personally appeared before me and was duly
8 sworn on the 8th day of September, 2009.
9
10 Dated this 19th day of September, 2009.
11
12
13
14
____________________________________
15
Sandra W. Townsend, Court Reporter
16 Notary Public - State of Florida
My Commission Expires: 6/26/12
17 My Commission No.: DD 793913
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Page 80
1 C E R T I F I C A T E
2 STATE OF FLORIDA
3 COUNTY OF PALM BEACH
4
5 I, Sandra W. Townsend, Court Reporter and
Notary Public in and for the State of Florida at Large,
6 do hereby certify that the aforementioned witness was by
me first duly sworn to testify the whole truth; that I
7 was authorized to and did report said deposition in
stenotype; and that the foregoing pages numbered 1 to
8 78, inclusive, are a true and correct transcription of
my shorthand notes of said deposition.
9
I further certify that said deposition was
10 taken at the time and place hereinabove set forth and
that the taking of said deposition was commenced and
11 completed as hereinabove set out.
12 I further certify that I am not attorney or
counsel of any of the parties, nor am I a relative or
13 employee of any attorney or counsel of party connected
with the action, nor am I financially interested in the
14 action.
15 The foregoing certification of this transcript
does not apply to any reproduction of the same by any
16 means unless under the direct control and/or direction
of the certifying reporter.
17
18
Dated this 19th day of September, 2009.
19
20
_____________________________________
21
Sandra W. Townsend, Court Reporter
22
23
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EXHIBIT 7
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EXHIBIT 7
PART 3
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EXHIBIT 8
Case 1:15-cv-07433-LAP Document 55-15 Filed 03/14/16 Page 1 of 2
February 2, 2015 | 9:38pm
Accused Epstein ‘madam’ quietly selling townhouse
Ghislaine Maxwell is quietly selling her New York townhouse on East 65th Street amid
renewed gossip about her relationship with disgraced mogul Jeffrey Epstein.
Maxwell’s been accused of acting as a “madam” and “procuring girls” for wealthy sex
offender Epstein — claims that she strongly denies.
Her home’s said to be nearly 7,000 square feet and was reportedly purchased in 2010
by an attorney with long-standing links to Epstein.
Now, sources tell Page Six, “Ghislaine is putting the word out to her wealthy friends
that she is ready to sell,” and wants more than $20 million.
Perhaps she hopes to put some distance between herself and Epstein, who owns a
mansion a few blocks away.
Her rep didn’t comment.
FILED UNDER GHISLAINE MAXWELL, JEFFREY EPSTEIN
By Emily Smith
Photo: INFphoto.com
Ghislaine Maxwell on the Upper East Side
Recommended by
Accused Epstein ‘madam’ quietly selling townhouse | Page Six Page 1 of 1
http://pagesix.com/2015/02/02/accused-epstein-madam-quietly-selling-ues-townhouse/ 3/10/2016
Case 1:15-cv-07433-LAP Document 55-15 Filed 03/14/16 Page 2 of 2
EXHIBIT 13
PART 1
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7115 Rue Notre Dame, Miami Beach, FL 33141
Kress Court Reporting, Inc. 305-866-7688
Page 1
1 UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
2
3 JANE DOE NO. 2, Case No: 08-CV-80119
4 Plaintiff,
5 Vs
6 JEFFREY EPSTEIN,
7 Defendant.
___________________/
8
JANE DOE NO. 3, Case NO: 08-CV-80232
9
Plaintiff,
10 Vs
11 JEFFREY EPSTEIN,
12 Defendant.
___________________/
13
JANE DOE NO. 4, Case No: 08-CV-80380
14
Plaintiff,
15
Vs.
16
JEFFREY EPSTEIN,
17
Defendant.
18 ___________________/
19 JANE DOE NO. 5, Case No: 08-CV-80381
20 Plaintiff,
21 Vs
22 JEFFREY EPSTEIN,
23 Defendant.
___________________/
24
25
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1 JANE DOE NO. 6, Case No: 08-CV-80994
2 Plaintiff,
3 Vs
4 JEFFREY EPSTEIN,
5 Defendant.
___________________/
6
JANE DOE NO. 7, Case No. 08-CV-80993
7
Plaintiff,
8
Vs
9
JEFFREY EPSTEIN,
10
Defendant.
11 ___________________/
12 C.M.A., Case No: 08-CV-80811
13 Plaintiff,
14 Vs
15 JEFFREY EPSTEIN,
16 Defendant.
___________________/
17
JANE DOE, Case No: 08-CV-80893
18
Plaintiff,
19
Vs
20
JEFFREY EPSTEIN,
21
Defendant.
22 ___________________/
23
24
25
Page 3
1 JANE DOE NO. II, Case No: 08-CV-80469
2 Plaintiff,
3 Vs
4 JEFFREY EPSTEIN,
5 Defendant.
___________________/
6
JANE DOE NO. 101, Case No: 09-CV-80591
7
Plaintiff,
8
Vs
9
JEFFREY EPSTEIN,
10
Defendant.
11 ___________________/
12 JANE DOE NO. 102, Case No: 09-CV-80656
13 Plaintiff,
14 Vs
15 JEFFREY EPSTEIN,
16 Defendant.
___________________/
17
18
19
20 1031 Ives Dairy Road
Suite 228
21 North Miami, Florida
July 29, 2009
22 11:00 a.m. to 5:30 p.m.
23
24
25
Page 4
1 V I D E O T A P E D
2 D E P O S I T I O N
3 of
4 ALFREDO RODRIGUEZ
56
taken on behalf of the Plaintiffs pursuant
7 to a Re-Notice of Taking Deposition (Duces Tecum)
89
- - -
10 APPEARANCES:
11
MERMELSTEIN & HOROWITZ, P.A.
12 BY: STUART MERMELSTEIN, ESQ.
18205 Biscayne Boulevard
13 Suite 2218
Miami, Florida 33160
14 Attorney for Jane Doe 2, 3, 4, 5,
6, and 7.
15
16 ROTHSTEIN ROSENFELDT ADLER
BY: BRAD J. EDWARDS, ESQ., and
17 CARA HOLMES, ESQ.
Las Olas City Centre
18 Suite 1650
401 East Las Olas Boulevard
19 Fort Lauderdale, Florida 33301
Attorney for Jane Doe and E.W.
20 And L.M.
21
PODHURST ORSECK
22 BY: KATHERINE W. EZELL
25 West Flagler Street
23 Suite 800
Miami, Florida 33130
24 Attorney for Jane Doe 101 and 102.
25
Page 5
1
APPEARANCES:
23
LEOPOLD-KUVIN
ADAM J. LANGINO, ESQ.
4 2925 PGA Boulevard
Suite 200
5 Palm Beach Gardens, Florida 33410
Attorney for B.B.
67 RICHARD WILLITS, ESQ.
2290 10th Avenue North
8 Suite 404
Lake Worth, Florida 33461
9 Attorney for C.M.A.
10
BURMAN, CRITTON, LUTTIER &
11 COLEMAN, LLP
BY: ROBERT CRITTON, ESQ.
12 515 North Flagler Drive
Suite 400
13 West Palm Beach, Florida 33401
Attorney for Jeffrey Epstein.
14
15
16
ALSO PRESENT:
17
JOE LANGSAM, VIDEOGRAPHER
18
19
- - -
20
21
22
23
24
25
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3 (Pages 6 to 9)
Page 6
1 INDEX OF EXAMINATION
2
WITNESS DIRECT CROSS
3
ALFREDO RODRIGUEZ
4
(By Mr. Mermelstein) 12
5
(By Mr. Edwards) 157
6
(By Mr. Langino) 260
789
10 INDEX OF EXHIBITS
11 EXHIBITS PAGE
12 1 Message pad 72
13 2 Documents 115
14
15
16
17
18
19
20
21
22
23
24
25
Page 7
1 Deposition taken before MICHELLE PAYNE, Court
2 Reporter and Notary Public in and for the State of
3 Florida at Large, in the above cause.
4 - - -
5 THE VIDEOGRAPHER: This is the case of
6 Jane Doe No. 2, plaintiff, versus Jeffrey
7 Epstein, defendant. Jane Doe No. 3,
8 plaintiff, versus Jeffrey Epstein,
9 defendant. Jane Doe No. 4, plaintiff,
10 versus Jeffrey Epstein, defendant. And Jane
11 Doe No. 5, plaintiff, versus Jeffrey
12 Epstein, defendant. Jane Doe No. 6,
13 plaintiff, versus Jeffrey Epstein,
14 defendant. Jane Doe No. 7, plaintiff,
15 versus Jeffrey Epstein, defendant. CMA,
16 plaintiff, versus Jeffrey Epstein,
17 defendant. And Jane Doe, plaintiff, versus
18 Jeffrey Epstein, et al, defendant. And Jane
19 Doe -- is there a shorter thing that we can
20 do here? It's also missing this one right
21 here.
22 MR. MERMELSTEIN: Do we have a problem
23 with saying Jane Doe 2 and the Epstein and
24 related cases?
25 THE VIDEOGRAPHER: I'm missing this Jane
Page 8
1 Doe right here on the copy you gave me. I'm
2 missing which Jane Doe this is.
3 They're all different case numbers. Do
4 you want me to go through each case number?
5 MR. CRITTON: I'm going to note my
6 objection. Obviously if this deposition
7 gets played -- not obviously, I'm going to
8 object to the litany of each one so I don't
9 know how we can separate it out. Maybe if
10 and when at the time of trial and depending
11 on how the Court determines what comes in
12 and what doesn't with regard to the
13 consolidated aspects of this. I have no
14 great idea other than just saying Jane Doe
15 versus Epstein, et al, or something like
16 that, or Jane Doe, et al.
17 MS. EZELL: Couldn't we just say and
18 those cases which have been consolidated
19 with it for Discovery purposes?
20 MR. EDWARDS: Although there is cases
21 here that have cross noticed this from state
22 court that haven't been consolidated so that
23 may not work. You may have to read them
24 all, if it works out your way that will just
25 get edited out, at least he will have read
Page 9
1 that caption, every caption. Right? Is
2 there a better suggestion?
3 MR. CRITTON: No. There may be a better
4 suggestion if he starts this is such and
5 such day, it's the deposition of Mr.
6 Rodriguez in the case such and such, and we
7 can almost fill it in depending on which
8 tape it goes, how it fills in, at least
9 we'll have the context of the first and
10 depending on whether the Judge reads it in
11 from a consolidated or they all come
12 related, I have no great idea.
13 MR. EDWARDS: I was thinking if he read
14 every one of them and it was the seventh in
15 line then you just would edit it so you
16 would only read that one.
17 MR. CRITTON: I'm okay with that too.
18 THE VIDEOGRAPHER: On page number three
19 there is something missing on the top here.
20 Do you want me to read each case number
21 separately?
22 MR. MERMELSTEIN: I don't think it's
23 necessary.
24 MR. EDWARDS: I don't think it's
25 necessary either.
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Page 10
1 THE VIDEOGRAPHER: So just go through
2 just the names.
3 MR. MERMELSTEIN: That's sufficient. And
4 there is a cross notice for one of the state
5 cases?
6 MR. LANGINO: That would be our case.
7 MR. MERMELSTEIN: So he's got that
8 notice? Off the record.
9 (Thereupon, a discussion was held off the
10 record.)
11 THE VIDEOGRAPHER: This is the case of
12 Jane Doe No. 2, plaintiff, versus Jeffrey
13 Epstein, defendant. Jane Doe No. 3,
14 plaintiff, versus Jeffrey Epstein,
15 defendant. Jane Doe No. 4, plaintiff,
16 versus Jeffrey Epstein, defendant. Jane Doe
17 No. 5, plaintiff, versus Jeffrey Epstein,
18 defendant. Jane Doe No. 6, plaintiff,
19 versus Jeffrey Epstein, defendant. Jane Doe
20 No. 7, plaintiff, versus Jeffrey Epstein,
21 defendant. CMA, plaintiff, versus Jeffrey
22 Epstein, defendant. Jane Doe, plaintiff,
23 versus Jeffrey Epstein, et al, defendant.
24 Jane Doe 3, plaintiff, versus Jeffrey
25 Epstein, et al, defendant. Jane Doe No.
Page 11
1 101, plaintiff, versus Jeffrey Epstein,
2 defendant. Jane Doe No. 102, plaintiff,
3 versus Jeffrey Epstein defendant. B.B.,
4 plaintiff, versus Jeffrey Epstein,
5 defendant.
6 This is in the Circuit Court of the 15th
7 Judicial Circuit in and for Palm Beach
8 County, Florida.
9 This is the deposition of Alfredo
10 Rodriguez. Today is July the 29th, starting
11 time -- the year 2009, starting time
12 approximately 11:16 a.m.
13 Will attorneys please state their
14 appearance?
15 MR. MERMELSTEIN: Stuart Mermelstein for
16 plaintiffs Jane Doe 2, Jane Doe 3, Jane Doe
17 4, Jane Doe 5, and Jane Doe 6, and Jane Doe
18 7.
19 MR. EDWARDS: Brad Edwards for plaintiff
20 Jane Doe.
21 MR. LANGINO: Adam Langino on behalf of
22 plaintiff, B.B.
23 MS. EZELL: Cathy Ezell on behalf of Jane
24 Doe 101 and 102.
25 MR. CRITTON: Bob Critton on behalf of
Page 12
1 Jeffrey Epstein.
2 MR. WILLITS: Richard Willits on behalf
3 of plaintiff C.M.A.
4 MR. EDWARDS: And Brad Edwards on behalf
5 of plaintiffs E.W. and L.M.
6 Thereupon,
7 ALFREDO RODRIGUEZ,
8 having been first duly sworn or affirmed, was
9 examined and testified as follows:
10 DIRECT EXAMINATION
11 BY MR. MERMELSTEIN:
12 Q. Can you state your full name for the
13 record, please?
14 A. My name is Alfredo Rodriguez.
15 Q. And where do you live?
16 A. I live in Kendall, 11349 Southwest 86
17 Lane, Miami, Florida 33173.
18 Q. Are you currently employed?
19 A. No.
20 Q. Okay. When was the last time you were
21 employed?
22 A. December of 2008.
23 Q. Was there a time you were employed in
24 Palm Beach, Florida?
25 A. Yes, I was.
Page 13
1 Q. When was that?
2 A. I began on September of 2004.
3 Q. And where were you employed?
4 A. I work -- well, I have several employers
5 in Palm Beach. One of them was Jeffrey Epstein.
6 Q. By several employers in Palm Beach you
7 mean --
8 A. Different employers.
9 Q. At the same time?
10 A. No, different times. From 2005 to 2006 I
11 was employed by Dana Hammond.
12 Q. Donna Hammond?
13 A. D-A-N-A, Hammond. Or Aimes is her single
14 name. Dana Aimes Hammond.
15 Q. Dana Aimes Hammond?
16 A. Yeah.
17 Q. That was in Palm Beach?
18 A. Yes.
19 Q. And in September 2004 you were employed
20 by whom?
21 A. Jeffrey Epstein.
22 Q. Did Mr. Epstein employ you as an
23 individual or through any business or corporate
24 entity?
25 A. As an individual.
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Page 14
1 Q. And what was your position with Jeffrey
2 Epstein?
3 A. I was the household manager.
4 Q. And what does the household manager do?
5 A. Oversees all aspects of the maintenance
6 of the estate, payroll of the gardeners,
7 scheduling staff and security, food, coordinating
8 activities with the chef, and pilots, etc.
9 Q. I'm sorry, what was the last one?
10 A. Activities with the pilots.
11 Q. Oh pilots.
12 A. Yes.
13 Q. What kind of activities do you coordinate
14 with the pilots?
15 A. What time Mr. Epstein will arrive, how
16 many cars will I need and so on and so forth.
17 Q. Was there a particular place that you
18 were employed?
19 A. Yeah, I was employed by 358 El Brillo
20 Way.
21 Q. Did you have any other duties other than
22 what you've mentioned?
23 A. Driving. Well, I used to prepare coffee
24 for Mr. Epstein every morning, 6:30 in the
25 morning. Other than that is little problems
Page 15
1 arise, you know, the maintenance, the
2 electricians, I have to deal with the contractors
3 on a daily basis.
4 Q. Now, what is located at 358 El Brillo Way
5 in Palm Beach?
6 A. It's called the estate section of Palm
7 Beach. It's off North Ocean Boulevard.
8 Q. So is it a single-family residence?
9 A. Yes, it is.
10 Q. When you say you were a household
11 manager, you were managing that residence?
12 A. Yes, sir.
13 Q. And how did you come about obtaining this
14 position as household manager?
15 A. Through an employment agency.
16 Q. Do you know which employment agency it
17 was?
18 A. Barbara Goldberg. She has an agency
19 called Regal Domestics.
20 Q. Had you worked in household services
21 before September of '04?
22 A. Yes.
23 Q. Did you work in Palm Beach before that?
24 A. Long Island.
25 Q. When did you move from Long Island?
Page 16
1 A. I moved to Florida in 1996.
2 Q. Between 1996 and 2006 when you started to
3 work for Mr. Epstein did you have household
4 management jobs in that period?
5 A. On and off, yes, in Fisher Island,
6 Florida.
7 Q. Fisher Island?
8 A. Yeah.
9 Q. I take it that Barbara Goldberg
10 specializes in placing employees for wealthy
11 households?
12 A. Yes.
13 Q. Did you know Mr. Epstein before you began
14 to work for him?
15 A. No.
16 Q. Did you interview with him?
17 A. Yes, I did.
18 Q. And what did the interview entail?
19 A. He asked me what I did before, and he
20 wanted to know where my capabilities of running
21 his estate, and what was my salary potentials, we
22 discuss the time he was going to be in the Island,
23 et cetera.
24 Q. What did he tell you at that time as to
25 the time he was going to be in the Island?
Page 17
1 A. He will say he will be traveling on and
2 off, and like when he's in the Island he needs a
3 lot of attention but when he's off I will be more
4 relaxed.
5 MR. EDWARDS: I'm sorry, Stuart, I'm
6 missing some of this just because the noise
7 on the other end of Richard's phone.
8 Richard, do you have a mute or anything?
9 MR. WILLITS: I'm sorry?
10 MR. EDWARDS: Do you have a mute or
11 anything? We're getting a lot of noise
12 coming out of the phone.
13 MR. WILLITS: I'm sorry.
14 THE VIDEOGRAPHER: Do you want to go off
15 the record?
16 MR. EDWARDS: Sure.
17 (Thereupon, a discussion was held off the
18 record.)
19 THE VIDEOGRAPHER: We're back on the
20 record.
21 BY MR. MERMELSTEIN:
22 Q. So Mr. Epstein told you that when he
23 wasn't there you would be more relaxed but when he
24 was there it would be more intense, I assume?
25 A. Yes.
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Page 18
1 Q. And how often did he indicate he would be
2 in Palm Beach?
3 A. He will say once a month, like two weeks
4 out of the month, something like that. This is a
5 long time ago so I'm trying to remember the words.
6 Q. That's all right. You can only answer to
7 the extent that you recall the information that's
8 asked for in the question.
9 By the way, have you had your deposition
10 taken before?
11 A. I was subpoena by the State Attorney in
12 Palm Beach but not here.
13 Q. Did you give a transcribed statement to
14 the State Attorney?
15 A. I believe it was recorded. I don't know
16 with this method but it was recorded.
17 Q. With a tape machine?
18 A. Yeah.
19 Q. Now, after you were interviewed did he
20 give you the job on the spot or did he call you
21 afterward?
22 A. He hired me on the spot.
23 Q. What was your salary?
24 A. 55,000.
25 Q. And when did you start to work for him?
Page 19
1 A. I believe it was the last week of August
2 of 2004.
3 Q. Now, I take it your day to day job duties
4 were different from when he was there to when he
5 wasn't there. Correct?
6 A. Yes.
7 Q. Let's take a day when he's there. What
8 would your -- what would be your routine, what
9 would your day entail?
10 A. Well, coffee at 6:30 in the morning.
11 Check the cars, you know, see -- he like the
12 cabana to be in his computer, I would be sure that
13 the cabana was clean and, you know, tidy.
14 Q. I'm sorry, what does that have to do with
15 the computer?
16 A. He would like to work in the cabana so I
17 would pay attention to that.
18 Q. So he would go to the computer in the
19 cabana and you would make sure that the cabana was
20 clean?
21 A. Yes, sir.
22 Q. So he had coffee at 6:30 a.m. Did he
23 start working immediately after that?
24 A. Yes.
25 Q. Continue. What did you do then?
Page 20
1 A. We have guests that particular day and
2 arrange, coordinate with the chef if I have to go
3 buy the groceries, gas the cars. That was a
4 routine everyday. Relay instructions to the
5 housekeepers and the gardeners and the pool
6 people. Arrange meals. This was done by the chef
7 but I was trying to be sure Mr. Epstein was fed at
8 his lunch time. And then of course through the
9 day he will give me instructions.
10 Q. So he would give you instructions himself
11 personally?
12 A. Secretary.
13 Q. Okay. Now, let's go through who the
14 household staff was at the time that you started.
15 Who would you say worked under your
16 supervision as the household manager?
17 A. It was a Filipino lady by the name of
18 Louella. I don't recall her last name.
19 Q. Louella Rabuyo?
20 A. Yes, exactly, yes.
21 Q. What did she do?
22 A. She would be the housekeeper in charge of
23 the laundry, cleaning the household, everything
24 inside the house.
25 Q. And who else?
Page 21
1 A. Jerome. Jerome Pierre was the gardener.
2 Q. And he was full-time?
3 A. Full-time, yes.
4 Q. Who else?
5 A. And then we have a young lady who used to
6 take care of the pool but I don't recall her name
7 right now. She used to come three times a week,
8 sometimes four times. Most every day we used to
9 have John Cassidy air conditioner came to the
10 house because it's hot and it's humid. What
11 contractor that's almost on a daily basis there.
12 Q. Because there was problems with the air
13 conditioner?
14 A. Well, the house is big, and all the house
15 in Palm Beach need constant attention.
16 Q. Okay.
17 A. That's the full -- and the chef, David, I
18 can't remember his last name.
19 Q. Was it Mullen?
20 A. I don't recall, sir, right now.
21 Q. Muller. But his first name was David?
22 A. David, yes.
23 Q. Was there a butler as well?
24 A. Well, I used to double as household
25 manager slash butler.
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Page 22
1 Q. Was there a Michael Liffman that was
2 hired as a butler at some point?
3 A. That was before me.
4 Q. Okay. Who was the household manager
5 before you?
6 A. I understand there were several in one
7 year. There was Mike Friedman, there is Joe
8 Alessi. There was a couple of Filipino girls --
9 no, they were from Bangladesh. I can't remember.
10 I used to send his -- I used to forward his mail
11 to Maryland but I can't recall right now, sir.
12 Q. Okay. And at the time you took the job
13 it was open, he didn't have anyone in that
14 position. Is that correct?
15 A. What I find is the staff from his house
16 in Manhattan they gave me the briefing on what he
17 likes and what he doesn't like. Belinda Retta
18 from Mrs. Maxwell, they were due to give me an
19 inside look because it was too much to learn in
20 48 hours so they were there handling the house
21 before me, so there were two couples.
22 Q. Two couples. All right. Let's walk
23 through that. So the first day you come to work
24 you're basically you received some training?
25 A. Exactly.
Page 23
1 Q. And tell us who provided that training?
2 A. Joe-Joe is his nickname but he runs Mr.
3 Epstein's estate in Manhattan as well as his wife.
4 They were very nice people telling me because you
5 have to understand, there is a lot of specifics,
6 where to park the car, here and there, if the
7 plane lands here you have to park the Mercedes,
8 you know, very specific details, and he gave me an
9 inside of all of that.
10 Q. Okay. So you would pick up Mr. Epstein
11 at the airport?
12 A. Yes.
13 Q. And how long did this training last?
14 A. Two or three days.
15 Q. Okay. And it was Joe-Joe and his wife?
16 A. Joe-Joe, yes.
17 Q. You don't remember the last name or full
18 names?
19 A. No, sir.
20 Q. Anything else you can remember that you
21 were told specifically regarding his preferences?
22 A. He likes Columbian coffee, that's the
23 only type of coffee he drinks, and it was shipped
24 from New York from Balducci's, stuff like that.
25 Where to buy the groceries. And he's allergic to
Page 24
1 garlic, maybe something like that, you know,
2 personal things.
3 Q. You mentioned Ms. Maxwell?
4 A. Yes.
5 Q. Who is she?
6 A. She was her companion.
7 Q. Whose companion?
8 A. Mr. Epstein.
9 Q. By companion what do you mean?
10 A. Well, in the beginning I assume they were
11 husband and wife but, you know, they were not
12 married, but I treated her as such. Mrs. Maxwell
13 was like the lady of the house.
14 Q. Okay. So it was your understanding they
15 were in a romantic relationship?
16 MR. CRITTON: Form.
17 THE WITNESS: Something like that.
18 BY MR. MERMELSTEIN:
19 Q. But they just weren't married?
20 A. No, sir.
21 Q. So you took instructions from Ms. Maxwell
22 as well as Mr. Epstein?
23 A. She gave me the instructions of how to
24 run the household directly. In other words, she
25 likes the towels, the sheets and all that so I
Page 25
1 give the instructions to Louella how to proceed
2 with the cleaning and the upkeep of the house.
3 Q. You went through the employees who worked
4 under you as household manager. Who would you say
5 was your direct supervisor, was it both
6 Ms. Maxwell and Mr. Epstein?
7 A. Mrs. Maxwell.
8 Q. Was your supervisor?
9 A. Yes, sir.
10 Q. I think I interrupted you. You were
11 going through the daily routine, and I'm not sure
12 you had completed going through what you would do
13 in a day.
14 A. Until noon we have all the -- we knew
15 that the food that was going to be served for
16 lunch and dinner. And then in the afternoon it
17 was open to shopping, maybe have to drive him to
18 the airport to pick up somebody, or answering the
19 phones.
20 Q. Was there a procedure or protocol for
21 answering the phones?
22 A. Yes, there was.
23 Q. And what was that?
24 A. I couldn't relay the message directly to
25 Mr. Epstein but take message on a piece of paper
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Page 26
1 with a copy.
2 Q. Were you the only one who was allowed to
3 answer the phone?
4 A. Yes.
5 Q. I'm sorry, what would you do --
6 A. I would leave it on the counter next to
7 the kitchen so when I find that piece all crumbled
8 I knew that Mr. Epstein saw the message, so we
9 communicated like that.
10 Q. Now, you mentioned Mr. Epstein would give
11 you instructions during the course of the day.
12 A. Through his assistant.
13 Q. And his assistant was whom?
14 A. Sarah Kellen.
15 Q. But you didn't view her as your
16 supervisor?
17 A. She take orders from Mrs. Maxwell but she
18 will tell me, Alfredo, we need to buy this, we
19 need to do this, and so and so was coming. I
20 couldn't talk directly to Mr. Epstein.
21 Q. Okay. So any communications from Mr.
22 Epstein always came through Ms. Kellen?
23 A. Or from the office in New York. Lesley,
24 his secretary, or somebody else, the comptroller,
25 the architect, any lawyer.
Page 27
1 Q. Lawyer, what kind of instructions would
2 you get from lawyers?
3 A. We used to have a lot of time, for
4 instance, the dock construction, you need to have
5 a lot of permits in Palm Beach so they were there
6 for that reason.
7 Q. Okay. Now, so you would interact with
8 the staff from New York and that would include I
9 think you said Lesley?
10 A. Lesley, Bella.
11 Q. What was Lesley's position?
12 A. Lesley is the secretary, secretary to Mr.
13 Epstein.
14 Q. Okay. Is that Lesley Groff?
15 A. I believe it was, I don't remember the
16 last name.
17 Q. Bella, who was Bella?
18 A. Bella was the assistant comptroller.
19 Q. Anyone else that you dealt with in New
20 York?
21 A. Doug Shadow was the architect and he used
22 to come to the house in a regular basis because we
23 used to have a lot of projects going on.
24 Q. Okay. Would you get advance notice when
25 Mr. Epstein was going to arrive in Palm Beach?
Page 28
1 A. Yes. Sometimes very short notice but,
2 yes, I was.
3 Q. So that varied?
4 A. Yes.
5 Q. Who would give you that notice?
6 A. Mrs. Maxwell or Sarah or Larry, the
7 pilot.
8 Q. And then you would drive to pick them up
9 at the airport?
10 A. Yes.
11 Q. And who traveled with him?
12 A. The three pilots and some guests.
13 Q. What do you mean by guests?
14 A. He will have some friends from Harvard,
15 he will have -- well, very important people that,
16 you know, friends, acquaintances from New York or
17 Europe because I was just told the number of
18 people was coming on the plane.
19 Q. Were there people who were employed by
20 him who came regularly?
21 A. Yes.
22 Q. And who would they be?
23 A. Like I said, they were the pilots, Larry
24 Bisosky, George, and I don't remember the flight
25 engineer, and he will have two girlfriends.
Page 29
1 Q. The pilot would have two girlfriends?
2 A. Mr. Epstein. This is all people coming
3 in the plane together.
4 Q. Right. What do you mean by girlfriends?
5 A. Friends, you know, that he was always
6 having friends that he will befriend in New York,
7 I don't know, or some other places.
8 But I was just told -- my concern was how
9 many people I have to feed, how many cars do I
10 need to transport these people from the airport to
11 the house, and to arrange accommodations in the
12 house.
13 Q. What about Sarah Kellen, did she travel
14 with him?
15 A. Yes.
16 Q. So she was on the plane?
17 A. Yes.
18 MR. CRITTON: Form.
19 BY MR. MERMELSTEIN:
20 Q. And Ms. Maxwell?
21 MR. CRITTON: Form.
22 THE WITNESS: No, she will have different
23 plane.
24 BY MR. MERMELSTEIN:
25 Q. Okay.
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Page 30
1 A. She will rent and Mr. Epstein will fly
2 his own plane.
3 Q. Did you also go to the airport to pick up
4 Ms. Maxwell?
5 A. Yes.
6 Q. Did she travel with anyone on a regular
7 basis when she came in?
8 A. No.
9 Q. She was usually alone?
10 A. (Shakes head.)
11 Q. Now, going back to Mr. Epstein when he
12 traveled, these girlfriends that Mr. Epstein had,
13 you said there were usually two?
14 A. Two, three, you know.
15 Q. And did you know who they were or did you
16 ever talk to them?
17 A. No, I never seen them before.
18 Q. So each time he came it would be
19 different girls?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes, sometimes it's the
22 same.
23 BY MR. MERMELSTEIN:
24 Q. Do you remember any of their names?
25 A. No, sir.
Page 31
1 Q. And would they stay at the El Brillo Way
2 residence until he left?
3 A. Yes.
4 Q. So they were given a bedroom?
5 A. Yes.
6 Q. Did you know how old these girls were?
7 A. No, sir.
8 Q. Did they appear to be young to you?
9 MR. CRITTON: Form.
10 THE WITNESS: They were young but, you
11 know, I have two daughters so I believe they
12 were over 20.
13 BY MR. MERMELSTEIN:
14 Q. Did you at any point get to know how Mr.
15 Epstein came to know any of these girls?
16 A. No, sir.
17 Q. You had no idea?
18 A. No.
19 Q. And so Mr. Epstein would typically stay
20 for two weeks or so?
21 A. I will say that.
22 Q. And what did these girls who came with
23 him, what did they do during that two week period?
24 MR. CRITTON: Form.
25 THE WITNESS: They would go to the
Page 32
1 movies.
2 BY MR. MERMELSTEIN:
3 Q. Did you drive them to the movies?
4 A. Yes. Or sometimes they would take one of
5 the cars. Comedy clubs.
6 Q. Comedy clubs?
7 A. In Palm Beach, West Palm Beach.
8 Q. What did they do in the house?
9 A. They will be on the internet most of the
10 time, by the pool. I think they were having a
11 good time.
12 Q. Could they use any of the computers in
13 the house?
14 A. Yes.
15 Q. About how many computers did he have?
16 MR. CRITTON: Form.
17 THE WITNESS: Five or six and plus
18 laptops, you know, more or less.
19 BY MR. MERMELSTEIN:
20 Q. What about Sarah Kellen, did she stay in
21 the house during that two week period as well?
22 A. Yes.
23 Q. And they all had their own bedroom?
24 A. Yes.
25 Q. How many bedrooms were in the house?
Page 33
1 A. Master bedroom plus I think it was four
2 extra bedrooms.
3 Q. And when Ms. Maxwell, she would arrive at
4 some point during this two week period?
5 MR. CRITTON: Form.
6 THE WITNESS: Yes.
7 BY MR. MERMELSTEIN:
8 Q. But she would come and leave at different
9 times?
10 A. Yes.
11 Q. And where would she sleep?
12 A. Sometimes in the master bedroom,
13 sometimes in the yellow room.
14 Q. Other room?
15 A. Yellow room.
16 Q. What's the yellow room?
17 A. We used to give them colors because they
18 will all have different bathrooms so we need to
19 take care of towels and stuff like that.
20 Q. So each of the four other bedrooms had a
21 color?
22 A. Yes. Blue room, yellow room, pink room,
23 some other, I don't remember.
24 Q. Now, were there individuals who didn't
25 stay in the house but came to the house during the
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Page 34
1 course of the day?
2 MR. CRITTON: Form.
3 THE WITNESS: Yes.
4 BY MR. MERMELSTEIN:
5 Q. And who would these be?
6 A. The architect, Doug Shadow, some lawyer
7 like I said for some business, masseuse, sometimes
8 we have masseuse. We have guests, you know,
9 sometimes David Copperfield would go to the house
10 and have dinner.
11 Q. David Copperfield. So David Copperfield
12 obviously is a famous person. Right?
13 A. Yes.
14 Q. He would stay in the house?
15 A. No, just for the day, you know, he
16 wouldn't stay overnight.
17 Q. Any other famous guests you recall?
18 A. Larry Dershowitz. Before my time I know
19 President Clinton was in the house but --
20 Q. You would say a masseuse would come over?
21 A. Yes.
22 Q. Who was the masseuse?
23 A. Some lady that would give massage.
24 Q. Was it a particular lady or more than
25 one?
Page 35
1 A. They were different ones.
2 Q. Did they have -- or did Mr. Epstein make
3 appointments?
4 MR. CRITTON: Form.
5 THE WITNESS: Sarah did the appointments.
6 BY MR. MERMELSTEIN:
7 Q. Okay. So Sarah Kellen would make
8 appointments for massages?
9 A. Yes.
10 Q. Was there like a schedule of appointments
11 for the house?
12 A. Not for the -- just for employees, we
13 have a schedule who was working.
14 Q. You mean -- the employees as to who would
15 be there and who would not be there?
16 A. Yes.
17 Q. Were you advised as to, you know, from
18 people coming from outside the house coming to the
19 house what times they would be there?
20 A. No, I didn't do that.
21 Q. Okay. And it's your understanding that
22 Ms. Kellen would arrange for Mr. Epstein's
23 appointments?
24 A. She will tell me so and so is coming, so
25 I will open the door, greet them, and then I would
Page 36
1 leave.
2 Q. How far in advance would she tell you so
3 and so is coming?
4 A. One hour, sometimes half an hour.
5 Q. Okay. And would she tell you the
6 person's name or would she just say a masseuse?
7 A. She will say Johanna is coming, so I will
8 meet Johanna at the door and I will show her
9 inside the house because we used to have a code to
10 get inside the house and I would leave and go to
11 the staff house or do my duties.
12 Q. Is Johanna a particular name that you
13 remember?
14 A. Yeah, she was a very nice masseuse.
15 Q. Would she come with her own massage
16 table?
17 A. No, we used to have our own.
18 Q. Okay. So you mentioned that there was a
19 code to get in the house?
20 A. Yes.
21 Q. Okay. And so --
22 A. I will open the door for them.
23 Q. Okay. How would they get to the house;
24 do you recall?
25 MR. CRITTON: Form.
Page 37
1 THE WITNESS: What do you mean?
2 BY MR. MERMELSTEIN:
3 Q. How would the masseuse arrive at the
4 house?
5 MR. CRITTON: Form.
6 THE WITNESS: They drive their own car.
7 BY MR. MERMELSTEIN:
8 Q. Would they come in a particular entrance?
9 A. Yes, the main entrance, that means the
10 big gate.
11 Q. Okay. And then you would have to enter a
12 code for them to enter?
13 A. I will tell them to wait at the kitchen
14 that Sarah will get them from there.
15 Q. And then you would leave?
16 A. Yes.
17 Q. I think you said there were a lot of
18 difference masseuses?
19 A. They have preferences but a few.
20 MR. CRITTON: Form.
21 BY MR. MERMELSTEIN:
22 Q. I'm sorry. Do you remember the names of
23 the ones he preferred?
24 A. No, sir.
25 Q. How often would Mr. Epstein get massages?
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Page 38
1 A. I would say almost on a daily basis.
2 Q. Would he get one a day or more than one a
3 day?
4 A. Sometimes there were two.
5 Q. Were there times when they were more than
6 that?
7 A. No, I don't think so.
8 Q. And the routine was always the same, they
9 come to the door, you would let them in and bring
10 them to the kitchen?
11 A. Yes, sir.
12 Q. And then Ms. Kellen would greet them?
13 A. Yes.
14 Q. And you always walked out?
15 A. Yes, I would go to the staff house or I
16 will be on my phone, you know.
17 Q. Is the staff house a separate house?
18 A. Yes.
19 Q. You didn't live on the premises; did you?
20 A. Yes, I did.
21 Q. You lived on the premises. And so who on
22 the staff lives on the premises?
23 A. I was the only one.
24 Q. Were there days you had off?
25 A. Yes. When Mr. Epstein will leave we'll
Page 39
1 clean the house and he will tell me, Alfredo, take
2 the Mercedes go to Miami for the weekend or four
3 days.
4 Q. But that would be when he wasn't there?
5 A. Exactly.
6 Q. But when he was there you would always be
7 living there in the staff house?
8 A. Yes.
9 Q. Where was the staff house in conjunction
10 with the main house?
11 A. It's adjacent right next to each other.
12 Q. So you could enter the main house without
13 going outside from the staff house?
14 A. Yes.
15 Q. Okay. So you don't ever recall being
16 there at the time that Sarah Kellen would greet
17 this person in the kitchen, the masseuse?
18 A. I was there sometimes, yes, we meet but
19 she will take over that and I would leave the
20 house.
21 Q. On those occasions while you were waiting
22 for Sarah Kellen would you ever have a
23 conversation with the masseuse?
24 A. Not really. I was busy to do a lot of
25 things, I will be sure that they have something to
Page 40
1 drink and I will leave them.
2 Q. Do you remember any of them telling you
3 anything personal about themselves?
4 A. No.
5 Q. These were -- were these sometimes men,
6 sometimes women?
7 A. Women.
8 Q. They were always women?
9 A. Yes.
10 Q. Did you know how old these women were?
11 A. No, sir.
12 Q. You mentioned before you had -- because
13 you have a daughter. Correct? How old is your
14 daughter?
15 A. 20.
16 Q. So you have a sense as to, you know --
17 A. They were 20 something, you know.
18 Q. You think they were 20 something, these
19 girls who came over?
20 A. (Shakes head.)
21 MR. CRITTON: You need to answer out
22 loud. Yes, no?
23 BY MR. MERMELSTEIN:
24 Q. You need to answer out loud, you shook
25 your head.
Page 41
1 A. I'm sorry. I think they were 20 years
2 old.
3 Q. And what do you base that on?
4 A. They were very tall to begin with, the
5 way they talk, some they told me about college,
6 something you learn past high school.
7 Q. Some would tell you about college?
8 A. Yes.
9 Q. So you did have personal discussions with
10 some of them?
11 A. While I was driving with them they would
12 tell me they were from Minnesota, for instance,
13 they will tell me I want to go to this college or
14 Miami this college.
15 Q. So on what occasions would you have to
16 drive with them?
17 A. Almost on daily basis because I was doing
18 most of the driving for them to go shopping or
19 pick them up.
20 Q. Okay. Now I'm a little confused. Are we
21 talking about the girls who came with Mr. Epstein?
22 A. Yes.
23 Q. On the plane?
24 A. Yes.
25 Q. No, I'm talking about the masseuses.
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Page 42
1 A. No, no, I never drove them.
2 Q. You never drove any masseuse?
3 A. No.
4 Q. And again, so I'm talking about the girls
5 who would come to give massage to Mr. Epstein. Do
6 you understand that?
7 A. Yes, I do.
8 Q. And these girls, you understand they
9 would drive?
10 A. Yes.
11 Q. To the El Brillo house. Correct? They
12 would enter in the front. Correct?
13 A. Yes.
14 Q. And you would take them to the kitchen?
15 A. Yes, and I would leave.
16 Q. Okay. Was there sometimes more than one
17 girl who came at one time?
18 A. Yes, there were two girls.
19 Q. Okay. And why were there two girls?
20 A. I never asked them, I don't know, sir.
21 Q. Okay. Did both girls give Mr. Epstein a
22 massage?
23 MR. CRITTON: Form.
24 THE WITNESS: I don't know, sir.
25 BY MR. MERMELSTEIN:
Page 43
1 Q. You don't know what happened after you
2 walked out of the kitchen?
3 A. No.
4 MR. CRITTON: Correct, as to what he
5 said? I got double negative. I just want
6 to make certain that the answer is clear.
7 Can you read the question back?
8 (Thereupon, a portion of the record was
9 read by the reporter.)
10 THE WITNESS: No.
11 BY MR. MERMELSTEIN:
12 Q. And with respect to these girls who came
13 over to give massages, you don't recall having a
14 conversation with them. Correct?
15 A. No, sir.
16 Q. And again, I think we're a little bit
17 confused as to which girls we're talking about.
18 The girls who came over for massages,
19 what age generally did they appear to be to you?
20 MR. CRITTON: Form.
21 THE WITNESS: I don't know, sir.
22 BY MR. MERMELSTEIN:
23 Q. Did it appear some of these girls or all
24 of them were high school age?
25 MR. CRITTON: Form.
Page 44
1 THE WITNESS: I don't know, sir.
2 BY MR. MERMELSTEIN:
3 Q. Did they seem particularly young to you?
4 MR. CRITTON: Form.
5 THE WITNESS: They were attractive, sir,
6 but, you know, it's hard to say the age.
7 BY MR. MERMELSTEIN:
8 Q. Okay. You said they were tall you
9 noticed?
10 A. Yes.
11 Q. And they were attractive?
12 A. Yes.
13 Q. Do you recall the interview that you gave
14 to the police?
15 A. Yes, I do.
16 Q. Do you recall that that was recorded?
17 A. Yes.
18 Q. Do you recall telling the police that the
19 girls who came to the house were approximately
20 15 years old?
21 MR. CRITTON: Form.
22 THE WITNESS: No, I don't remember that.
23 BY MR. MERMELSTEIN:
24 Q. You don't remember saying that?
25 A. (Shakes head.)
Page 45
1 MR. CRITTON: Form.
2 BY MR. MERMELSTEIN:
3 Q. Could it be that you said that?
4 MR. CRITTON: Form.
5 THE WITNESS: I don't think so, sir. But
6 I don't remember saying an age.
7 BY MR. MERMELSTEIN:
8 Q. Okay. Do you remember telling the police
9 detective that these girls, the masseuses,
10 appeared very young in age?
11 MR. CRITTON: Form.
12 THE WITNESS: I don't remember, sir.
13 BY MR. MERMELSTEIN:
14 Q. Did you offer them food when they were in
15 the kitchen?
16 A. Something to drink, yes, a glass of
17 water.
18 Q. Did you offer to feed them anything to
19 eat?
20 A. No, sir.
21 Q. Do you remember telling the police that
22 the girls would eat tons of cereal and drink milk
23 all the time?
24 MR. CRITTON: Form.
25 THE WITNESS: But these are the girls
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Page 46
1 that were living in the house.
2 BY MR. MERMELSTEIN:
3 Q. Okay. It seems that we may be confusing
4 that a little bit.
5 Did the police ask you about both the
6 girls who were living in the house and the girls
7 who came over for massages?
8 A. They never specified that, sir.
9 Q. So what was your understanding as to what
10 you were telling them about?
11 A. The girls who living in the house.
12 Q. Okay. You understood that the police
13 were asking about the girls who were living in the
14 house, the girls who came with Mr. Epstein --
15 A. Yes.
16 Q. Let me finish the question.
17 The girls who came with Mr. Epstein on
18 the plane and then left with him on the plane.
19 Correct?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes.
22 BY MR. MERMELSTEIN:
23 Q. You didn't understand that the police
24 were asking about the girls who came over during
25 the course of a particular day to give a massage
Page 47
1 to Mr. Epstein?
2 A. And leave, no.
3 Q. As we sit here today you don't remember
4 anything in particular about the ages of these
5 girls who came over?
6 A. No, sir.
7 Q. Sometimes there were two girls who came?
8 A. I'm sorry?
9 MR. CRITTON: Form.
10 BY MR. MERMELSTEIN:
11 Q. Sometimes there was two girls who came to
12 give a massage to Mr. Epstein?
13 A. Yes.
14 Q. Do you remember how often it was one girl
15 versus how often it was two girls?
16 A. No, sir.
17 Q. Were there times where one girl stayed in
18 the kitchen while another girl gave the massage?
19 A. That I don't know, sir.
20 Q. Okay. And that was because you left the
21 kitchen?
22 A. Yes. Like I said, I was doing my duties.
23 Q. Now, was it your understanding that the
24 massage was given upstairs?
25 A. Yes.
Page 48
1 Q. Who set up the massage table?
2 A. Sarah or some of the girls they will set
3 the table.
4 Q. So was the massage -- the massage table
5 was upstairs. Is that correct?
6 A. Yes.
7 Q. Okay. Where was it upstairs?
8 A. In the master bedroom.
9 Q. Was there more than one massage table?
10 A. Yes.
11 Q. Which room?
12 A. One on each master bath.
13 Q. One in each master bath?
14 A. Yes.
15 Q. There is more than one master bedroom?
16 A. Yes. No, no, there is one master
17 bedroom, two baths.
18 Q. Okay. I see. And so each bath had a
19 massage table in there?
20 A. Yes.
21 Q. And did Mr. Epstein do you know have a
22 preference for one massage table or another?
23 MR. CRITTON: Form.
24 THE WITNESS: I don't think so.
25 BY MR. MERMELSTEIN:
Page 49
1 Q. It was just he would use one of those for
2 the massage?
3 MR. CRITTON: Form.
4 THE WITNESS: Yes.
5 BY MR. MERMELSTEIN:
6 Q. And the masseuse would come and open the
7 table?
8 A. I don't know, sir, because I send Louella
9 to arrange everything, the table was in place
10 already so I don't know who set the table.
11 Q. I'm sorry, when you sent Louella?
12 A. When we clean the house the table was
13 already set so it was not neither us, the
14 employees, to go upstairs and set the table, the
15 table was already set.
16 Q. The table was set in position to give a
17 massage?
18 A. Yes.
19 Q. It was open?
20 A. Yes.
21 Q. And so it wasn't your understanding that
22 Louella had done it?
23 A. No, I don't think so.
24 Q. So you think it was either --
25 MR. CRITTON: Form.
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Page 50
1 THE WITNESS: Somebody, yes.
2 BY MR. MERMELSTEIN:
3 Q. Okay. You don't know who did it?
4 A. No, sir.
5 Q. Okay. And what happened after the girl
6 completed the massage?
7 MR. CRITTON: Form.
8 THE WITNESS: Sometimes I noticed that
9 they leave after awhile because they didn't
10 tell me when they were leaving, so I was in
11 the staff house I was not aware what time
12 they leave.
13 BY MR. MERMELSTEIN:
14 Q. Sometimes you wouldn't even know that
15 they left?
16 A. Exactly.
17 Q. Okay. About how long were they there do
18 you believe?
19 A. One hour, two hours.
20 MR. CRITTON: Form.
21 BY MR. MERMELSTEIN:
22 Q. Didn't you have to be called to let them
23 out?
24 A. No.
25 Q. I thought there's a code on the door.
Page 51
1 A. Just to get in, to get out you go.
2 Q. Okay. Did you have any duties or perform
3 any tasks relating to cleanup after the massage?
4 A. Yes.
5 Q. And what was that?
6 A. We used to go with Louella and see to
7 replace used towels or sheets in the beds.
8 Q. This was after the massage?
9 A. Yes.
10 Q. Were the beds made in the morning after
11 Mr. Epstein woke up?
12 A. Yes.
13 Q. Okay. So would the sheets need to be
14 replaced after the massage?
15 A. We couldn't go upstairs unless he will be
16 out of the house. So when he leave we used to
17 find minutes to go upstairs and put everything
18 tidy again. So it was not always a routine.
19 Q. Okay. Well, as generally in your
20 routine, when would he leave during the course of
21 the day?
22 A. 10:00 a.m. I would say, go for a drive, I
23 don't know where they go.
24 Q. So he would typically go some place at
25 10:00 a.m.?
Page 52
1 MR. CRITTON: Form.
2 THE WITNESS: No, I don't remember. They
3 took the cars, you know.
4 BY MR. MERMELSTEIN:
5 Q. Who drove them?
6 A. He will drive sometimes.
7 Q. And you don't know where he went?
8 A. No, sir.
9 Q. And what time would he come back?
10 MR. CRITTON: Form.
11 THE WITNESS: 12, two hours.
12 BY MR. MERMELSTEIN:
13 Q. Would he leave any other time during the
14 day?
15 A. In the afternoon they will go to the
16 movies, early evening.
17 Q. So would he go with the girls who came
18 with him on the plane?
19 A. Yes, everybody together, yes.
20 Q. Including Ms. Kellen?
21 A. Yes.
22 Q. So about how many people total would go?
23 MR. CRITTON: Form.
24 THE WITNESS: Four or five people.
25 BY MR. MERMELSTEIN:
Page 53
1 Q. So Mr. Epstein, the two to three girls
2 who came with him in the plane. Correct?
3 A. I'm sorry?
4 Q. The two or three girls who came with him
5 on the plane?
6 A. Yes.
7 Q. And Ms. Kellen?
8 A. Yes.
9 Q. Anyone else?
10 A. No.
11 Q. Ms. Maxwell?
12 A. No.
13 Q. So anyplace else he would go in the car
14 by himself?
15 A. He never drove by himself.
16 Q. You just said sometimes he would drive.
17 A. Yeah, but with everybody.
18 Q. Okay. But he would never go just by
19 himself?
20 A. No.
21 Q. Okay. So either in the morning when he
22 went out to drive or in the afternoon when he went
23 to the movies that's when you and Louella would go
24 upstairs?
25 A. Exactly, sir.
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Page 54
1 Q. Okay. And you would cleanup?
2 A. Yes.
3 Q. Again, why did the sheets need to be
4 replaced at that particular point in time?
5 A. Because they were in disarray so we need
6 to straighten the bed, the sheets, towels need to
7 be replaced.
8 Q. But the bed was made after Mr. Epstein
9 woke up?
10 A. Yes, it was.
11 MR. CRITTON: Form.
12 BY MR. MERMELSTEIN:
13 Q. Correct?
14 A. If he will leave the house we'll do the
15 bed.
16 Q. I see what you're saying. If he didn't
17 leave the house until the afternoon when he went
18 to the movies then the bed wouldn't be made?
19 A. Exactly.
20 Q. What else did you do when you went
21 upstairs?
22 A. We need to take a look around, the
23 temperature of the A/C. Mostly laundry, sir, you
24 know, because we used to go through a lot of
25 laundry, that's all.
Page 55
1 Q. Did Mr. -- strike that.
2 Were there sex toys anywhere in the
3 master bedroom?
4 MR. CRITTON: Form.
5 THE WITNESS: Yes, they were in the
6 master bedroom.
7 BY MR. MERMELSTEIN:
8 Q. Okay. Where were they?
9 A. In the armoire in front of Mr. Epstein's
10 bed.
11 Q. In front of his bed?
12 A. Yes.
13 Q. Did you ever do anything with the sex
14 toys?
15 MR. CRITTON: Form.
16 THE WITNESS: The things I did I cleaned
17 the back -- there is a vibrator to keep
18 massage to your back. We used to wipe them,
19 put them away, massage creams, put them
20 away, fold the table, folding the massage
21 table.
22 BY MR. MERMELSTEIN:
23 Q. Okay. You mentioned there was a back
24 massager?
25 A. Yes.
Page 56
1 Q. The back massager vibrated?
2 A. Yes.
3 Q. I started this questioning by asking you
4 about sex toys. Correct?
5 A. Yes. Go ahead.
6 Q. What were the sex toys?
7 A. In the armoire.
8 Q. Yes. Okay.
9 A. I never see them outside laying around.
10 Q. You never saw them out of the armoire?
11 A. I don't think so, sir.
12 Q. Do you remember what kind of sex toys
13 they were?
14 A. Like spouses, you know, what do you call
15 that? Handcuffs, or a vibrator. They called
16 dildos?
17 Q. Yes. Were there many of them?
18 MR. CRITTON: Form.
19 THE WITNESS: A few.
20 BY MR. MERMELSTEIN:
21 Q. Describe them.
22 A. You know, personal vibrators for women.
23 Q. Were they a particular color, a
24 particular size?
25 A. I don't remember, sir.
Page 57
1 Q. You remember he had a few vibrators?
2 A. Yes.
3 Q. Any other kind of toys that you can
4 remember?
5 A. No, sir.
6 Q. And it's your testimony here today that
7 they were always on the shelf?
8 A. Yes.
9 Q. You never had to do anything with them?
10 MR. CRITTON: Form.
11 THE WITNESS: Not me personal, sir, I
12 don't know if Louella saw them, but this is
13 what I did and when we went upstairs.
14 BY MR. MERMELSTEIN:
15 Q. Do you recall telling the police that
16 when you cleaned Mr. Epstein's bedroom after the
17 massages you would discover a massager, vibrators,
18 and sex toys scattered on the floor?
19 MR. CRITTON: Form.
20 THE WITNESS: Yeah, what I did was the
21 back massager, the back rubber, this was
22 always on the floor.
23 BY MR. MERMELSTEIN:
24 Q. Okay. But it says sex toys.
25 MR. CRITTON: Form.
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Page 58
1 THE WITNESS: I don't think so, sir.
2 BY MR. MERMELSTEIN:
3 Q. Okay. You don't recall telling that to
4 the --
5 MR. CRITTON: Form.
6 MR. MERMELSTEIN: Why don't we take a
7 break?
8 (Thereupon, a recess was had.)
9 THE VIDEOGRAPHER: We're back on the
10 record with tape number two.
11 BY MR. MERMELSTEIN:
12 Q. You mentioned before the break that you
13 would escort these girls who came to the house to
14 the kitchen and then typically you would leave the
15 kitchen and Sarah Kellen would meet them there.
16 A. Yes.
17 Q. And then to your understanding they would
18 provide Mr. Epstein with a massage.
19 MR. CRITTON: Form.
20 THE WITNESS: Yes.
21 BY MR. MERMELSTEIN:
22 Q. Now, how would they get upstairs from the
23 kitchen?
24 MR. CRITTON: Form.
25 THE WITNESS: There was a stairwell from
Page 59
1 the kitchen.
2 BY MR. MERMELSTEIN:
3 Q. There was a stairwell from the kitchen
4 upstairs?
5 A. Yes.
6 Q. Okay. And were there any paintings or
7 drawings or artwork or photos on the stairwell?
8 A. Yeah, there was some art.
9 Q. There was art?
10 A. Yes.
11 Q. Describe the art that was on the
12 stairwell.
13 A. Pictures in black and white of places and
14 some girls.
15 Q. Okay. There were pictures of girls?
16 A. (Shakes head.)
17 Q. You have to say yes or no.
18 A. Yes.
19 Q. Were they photos or drawings?
20 A. Photos.
21 Q. Photos of girls. And they were in
22 frames?
23 A. Yes.
24 Q. And they were on the stairwell?
25 A. Yes.
Page 60
1 Q. About how many photos of girls were
2 there?
3 A. In the stairwell there were three
4 pictures, one from Havana, one in Mountain, and
5 then you have a foyer upstairs it was a big like a
6 beach, and then there was two girl pictures.
7 Q. There were two girl pictures in the
8 foyer?
9 A. Yes.
10 Q. As you arrive at the top of the stairs?
11 A. No, as you cross the foyer.
12 Q. Okay. Upstairs?
13 A. Yes.
14 Q. There is only two floors. Correct?
15 A. Yes.
16 Q. And describe the photos of the girls, the
17 two photos of the girls.
18 A. There was a young girl pulling her --
19 pulling her swimsuit a little bit showing her
20 fanny a little bit and the other one smiling.
21 Q. So neither one of them was a girl nude?
22 A. No.
23 Q. Okay. There was one girl showing what,
24 she had her back to the camera?
25 A. Yes.
Page 61
1 Q. And she was pulling down --
2 A. She was showing one of her cheeks let's
3 put it.
4 Q. One of her cheeks. Okay. And the other
5 one was a girl --
6 A. Smiling. You see the face but it was not
7 nudity there.
8 Q. And were there other photos of girls?
9 A. Yes, the only ones in that area.
10 Q. The only ones in that area were those
11 two?
12 A. Yes.
13 Q. There were no other photos of girls?
14 A. No.
15 Q. None on the staircase?
16 A. No.
17 Q. From the kitchen stairs once you arrived
18 in this foyer where was the master bedroom from
19 there?
20 A. To the west side of the house.
21 Q. So you would make a left when you got --
22 A. There is two stairwells to go in, one is
23 the main and the staircase from the kitchen would
24 kind of spiral down. Yeah, you have to make a
25 right to go to the master bedroom.
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Page 62
1 Q. Okay. Did you pass any other bedrooms on
2 the way to the master bedroom or was the master
3 bedroom right there?
4 A. As soon as you leave the stairwell there
5 was a bedroom right in front of that.
6 Q. Which bedroom was there?
7 A. That was the yellow bedroom. I can't
8 remember, sir, but it was one -- I believe it was
9 the yellow room.
10 Q. And then there was a master suite?
11 A. Then you have to make a right, cross the
12 foyer to go to the master bedroom.
13 Q. Is it your understanding that the
14 massages were always in the master bedroom?
15 A. As I understand, yes, sir.
16 Q. Were there photos of girls elsewhere in
17 the house that you recall?
18 A. Mr. Epstein's closet.
19 Q. In his closet?
20 A. Yes.
21 Q. Were any of those photos were the girls
22 nude or in any stage of undress?
23 A. Yes, sir.
24 Q. Okay.
25 MR. CRITTON: Object to the form on the
Page 63
1 last question.
2 BY MR. MERMELSTEIN:
3 Q. How many of those photos were there?
4 A. There was a mosaic of pictures. I don't
5 know, it had 10, 12, 14.
6 Q. I'm sorry, a what?
7 A. Mosaic.
8 Q. Mosaic. So it was like in a single
9 frame?
10 A. Yes.
11 Q. And there were photos of nude women in
12 this frame?
13 A. Yes, sir.
14 Q. Okay.
15 MR. CRITTON: Form.
16 BY MR. MERMELSTEIN:
17 Q. Did you know any of the girls in those
18 photos?
19 A. No, sir.
20 Q. Do you recall ever seeing any of them
21 before?
22 A. No, sir.
23 Q. Did you have any impressions as to how
24 old these girls were in the photos?
25 MR. CRITTON: Form.
Page 64
1 THE WITNESS: No, sir.
2 BY MR. MERMELSTEIN:
3 Q. Did they look young to you?
4 MR. CRITTON: Form.
5 THE WITNESS: No, sir.
6 BY MR. MERMELSTEIN:
7 Q. They did not look young?
8 A. They were young in terms of -- when you
9 say young?
10 Q. Did they appear to be under 18 years old?
11 A. No, sir.
12 Q. Any other photos of girls in any stage of
13 undress that you recall in the house?
14 A. There were pictures of Mr. Epstein and
15 Mrs. Maxwell, but I mean they were adults, I mean,
16 they were plus 45.
17 Q. No, I understand. There were nude photos
18 of them?
19 A. Yes.
20 Q. Okay. Any nude photos of girls other
21 than Ms. Maxwell around the house that you recall?
22 A. Yeah, the one I just mentioned.
23 Q. Other than what you've mentioned, are
24 there any others?
25 A. No, sir.
Page 65
1 Q. You say Sarah Kellen would greet the girl
2 in the kitchen, the girl or girls who were coming
3 to give the massage. Correct?
4 A. Yes.
5 Q. What would she do while the massage was
6 going on?
7 MR. CRITTON: Form.
8 THE WITNESS: I don't know, sir.
9 BY MR. MERMELSTEIN:
10 Q. Were you ever in the kitchen when the
11 girl went upstairs?
12 A. No, sir.
13 Q. Never?
14 A. No.
15 Q. How are these girls paid for their
16 services for giving massages?
17 A. I pay them.
18 Q. You paid them?
19 A. Yes.
20 Q. Okay. I thought before you said that you
21 didn't necessarily see them when they left?
22 A. When Sarah told me so and so is going to
23 get so much, so not necessarily when they leave,
24 they will came the next day, or I leave an
25 envelope in the kitchen.
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Page 66
1 Q. Okay. Well, what would determine how you
2 went about paying them?
3 A. Sarah told me.
4 Q. Sarah told you to leave an envelope or to
5 pay them in person?
6 A. Yes.
7 Q. Okay. When would she tell you this?
8 MR. CRITTON: Form.
9 THE WITNESS: Sometimes in the afternoon,
10 you know. It depends, it varies, you know,
11 because she will call me and say so and so
12 will get paid $300. I never ask, you know.
13 BY MR. MERMELSTEIN:
14 Q. Well, how did you know whether to leave
15 it in the kitchen or to hand it to the girl?
16 A. She would give me the instructions.
17 Q. She would always give you instructions as
18 to how the payment was to be made?
19 A. Yes.
20 Q. Sometimes it wasn't that day?
21 A. No, sir.
22 Q. Okay. And because you knew the girl was
23 coming back?
24 A. She will probably make arrangements with
25 Sarah because I didn't know she was coming back.
Page 67
1 Q. And how much did you know to pay?
2 MR. CRITTON: Form.
3 BY MR. MERMELSTEIN:
4 Q. How much did you know to pay the girl?
5 A. It varies, 300, 400, 500.
6 Q. And Ms. Kellen would always instruct you
7 as to how much it would be?
8 A. Yes.
9 Q. Did you write a check or how did you make
10 the payment?
11 A. Cash.
12 Q. It was always cash?
13 A. Yes.
14 Q. Do you know why that is?
15 A. I'm sorry?
16 Q. Do you know why you always paid cash?
17 A. I was supposed to have cash with me, sir,
18 at all times. The checks were made for paying
19 payroll so -- or purchasing items.
20 Q. Okay. So you used checks for the payroll
21 for the employees who were under you?
22 A. Jerome the gardener.
23 Q. Okay. Now, was Jerome an independent
24 contractor or an employee?
25 A. No, he will be under -- he was under
Page 68
1 my -- he was an employee of Mr. Epstein.
2 Q. So he was a regular employee?
3 A. Yes, sir.
4 Q. So there would be like -- so he would
5 receive a check. Correct?
6 A. Yes.
7 Q. And there would be withholdings from the
8 check, etc. Right?
9 MR. CRITTON: Form.
10 THE WITNESS: Yes.
11 BY MR. MERMELSTEIN:
12 Q. But the girls who gave massages, they
13 would just receive cash?
14 A. Yes.
15 Q. And how were other household expenses
16 paid?
17 A. Food, gas, flowers, gifts.
18 Q. How were they paid?
19 A. Cash or check, you know. I will buy --
20 in a store I will pay with a check, and sometimes
21 I will use cash or credit card, sir.
22 Q. So you had your own credit card?
23 A. They give me credit card, they give me
24 the checks and they give me the cash.
25 Q. Okay. What kind of credit card was it?
Page 69
1 A. It was like -- I don't remember, Visa,
2 Master Card.
3 Q. It was like -- was it a debit card or
4 credit card?
5 A. It was a credit and debit card.
6 Q. It was both?
7 A. Yes.
8 Q. Was there an account that you had
9 signatory authority on?
10 A. Yes, I did.
11 Q. And anyone else have signatory authority
12 on this account?
13 A. No, sir. Yeah, well, Mrs. Maxwell.
14 Q. So there was an account with you and
15 Ms. Maxwell had signatory authority on?
16 A. Yes.
17 Q. And you would pay expenses of the
18 household from that account?
19 A. Yes.
20 Q. And you would write checks?
21 A. Yes.
22 Q. You would pay payroll from that account?
23 A. Yes.
24 Q. And did you have an understanding as to
25 why the girls that gave massages were always paid
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Page 70
1 in cash as opposed to check?
2 MR. CRITTON: Form.
3 THE WITNESS: I was told to pay them
4 cash, sir.
5 BY MR. MERMELSTEIN:
6 Q. Simply you were told and didn't ask why?
7 A. No.
8 Q. Do you recall telling the detective who
9 interviewed you for the police that you thought of
10 yourself as a human ATM machine?
11 MR. CRITTON: Form.
12 THE WITNESS: Yes.
13 BY MR. MERMELSTEIN:
14 Q. You recall saying that?
15 MR. CRITTON: Form.
16 THE WITNESS: Because I always had cash
17 in my pocket.
18 BY MR. MERMELSTEIN:
19 Q. And why was there always cash in your
20 pocket?
21 A. That was part of my job to have, you
22 know, for emergencies or paying somebody cash.
23 Q. Okay. What kind of emergencies?
24 A. It's hard to say. I was supposed to put
25 cash on each Mercedes Benz on each ashtray. The
Page 71
1 idea behind this is you get stranded nobody accept
2 credit card or check you have cash.
3 Q. How much did you leave in the ashtray?
4 A. 300.
5 Q. And did you ever have to replenish that
6 money?
7 A. Yes.
8 Q. Because the Mercedes was stranded?
9 A. No, because when Mr. Epstein will leave I
10 have to collect that money because I will send the
11 cars to the car wash so to avoid that money being
12 stolen we used to keep track, you know, when to
13 retrieve that money and then when he's coming put
14 it back there again.
15 Q. So you use cash for that purpose and you
16 also use cash to pay the masseuses. Correct?
17 A. Yes.
18 Q. Did you use cash for any other purpose?
19 A. Car wash for the guy who used to came to
20 the house and wash all the cars. Tipping
21 sometimes for getting a good spot in the
22 restaurant you have to have cash, something like
23 that.
24 Q. Okay. Would you drive Mr. Epstein to a
25 restaurant?
Page 72
1 A. Not him. I will drive anybody else but
2 he would rather eat at home.
3 Q. So you would drive house guests to
4 restaurants?
5 A. Yes.
6 Q. And when you did that you would -- didn't
7 you stay with the car or did you eat with them?
8 A. No, I will stay with the car.
9 Q. So who did you tip?
10 A. If you want to park in front of the
11 restaurant you got to tip the valet otherwise
12 you're taking one of the spots.
13 Sometimes I used to take -- I'm sorry.
14 Aviation, you know, you need to go to aviation and
15 help those guys move your cars around, you need --
16 they carry luggage, so I used to tip those too.
17 Q. That would be when you picked up or
18 dropped off Mr. Epstein. Correct?
19 A. Yes.
20 MR. MERMELSTEIN: We'll mark this as an
21 exhibit, composite exhibit.
22 (Composite Exhibit 1 was marked for
23 Identification.)
24 MR. CRITTON: Just out of curiosity, on
25 depositions are we going to use instead of
Page 73
1 doing plaintiff and defendant designations
2 do you just want to run them one, two,
3 three, four?
4 MR. MERMELSTEIN: That's fine with me as
5 long as we remember where we left off.
6 MR. CRITTON: Well, are we going to do it
7 consecutive with all of the depositions?
8 I'm okay with that if someone can keep track
9 of that.
10 MR. EDWARDS: I've had that go wrong
11 before, especially when we have some parties
12 who aren't here, such as Mr. Garcia, he's
13 going to join depositions, we have to start
14 at 27 or whatever.
15 MR. CRITTON: For each deposition one
16 through whatever without necessarily giving
17 them a plaintiff or defendant.
18 BY MR. MERMELSTEIN:
19 Q. Mr. Rodriguez, I've marked as Exhibit 1 a
20 composite document which includes four per page of
21 what appear to be message slips.
22 First of all let me ask you, let me
23 direct your attention to the first page of this
24 exhibit. And the upper left message has initials
25 at the bottom. Is that correct?
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Page 74
1 A. Yes.
2 Q. Are those your initials?
3 A. Yes.
4 Q. And was it the household policy to
5 initial messages when they were taken?
6 A. Yes.
7 Q. Okay. You were instructed to do that?
8 A. Yes.
9 Q. Who instructed you to do that?
10 A. Ms. Maxwell. There was a manual, sir, in
11 the house, we had to follow the instructions of
12 the manual.
13 Q. There was -- okay.
14 A. Estate manager, household manager for all
15 the houses, so I will abide to that, you know, so
16 I take message with my initial, the time, who
17 called.
18 Q. So there were all sorts of policies and
19 procedures in this manual?
20 A. Yes.
21 Q. Who wrote it?
22 A. It was the estate manager for all the
23 properties and so I was --
24 Q. Who was the estate manager for all the
25 properties?
Page 75
1 A. I never met him, sir, he was fired before
2 I came along.
3 Q. But you don't remember his name?
4 A. No, sir.
5 Q. And you remember one of the things that
6 said in this manual was that every message has to
7 be signed?
8 A. Yes.
9 Q. I'm not necessarily going to go through
10 every single message. Let me go back to the one
11 on the upper left on the first page. It's from
12 Jean-Luc. Is that correct?
13 A. Yes, sir.
14 Q. Who is Jean-Luc?
15 A. He had modeling agency.
16 Q. How do you know that?
17 A. He gave me his card, sir.
18 Q. Was he a frequent guest at the house?
19 A. Yes, sir.
20 Q. Did he stay over?
21 A. Sometimes he will stay, sometimes I will
22 drive him to Miami.
23 Q. Do you recall his last name?
24 A. No, sir.
25 Q. And so you had a conversation with him
Page 76
1 and he told you he owned a modeling agency?
2 A. Yes, sir.
3 Q. Anything else he told you?
4 A. He spoke, you know, five, six languages,
5 always speaking Spanish, Italian.
6 Q. Did the girls who were -- you know, who
7 travelled with Mr. Epstein, were they from his
8 agency?
9 MR. CRITTON: Form.
10 THE WITNESS: I don't know, sir.
11 BY MR. MERMELSTEIN:
12 Q. You didn't discuss that?
13 A. No.
14 Q. Let's look at the message next to it.
15 MR. CRITTON: Still on page one?
16 MR. MERMELSTEIN: Still on page one.
17 BY MR. MERMELSTEIN:
18 Q. It appears the one under it is to the
19 same person. Is that correct? Who is that?
20 A. Alicia.
21 Q. Who is Alicia?
22 A. I don't know, sir. Please tell Jeffrey
23 that I called so I just wrote the name.
24 Q. Now, some of these messages if you look
25 through appears to be a different handwriting and
Page 77
1 there is no signature on the bottom.
2 A. That's not mine, I don't know who's that
3 is, sir.
4 Q. I thought you said earlier you were the
5 one who was responsible for taking messages.
6 A. Exactly, yes, I was, sir.
7 Q. But there were other people who took
8 messages as well?
9 A. Maybe this is after or before my time,
10 sir.
11 Q. Okay. Because there is no date on it.
12 A. I used to put my dates and I know I used
13 to do that all the time, but you know.
14 Q. These style of message pads. It was a
15 pad. Correct?
16 A. Yes.
17 Q. And this is the old fashion message pad
18 that it's like duplicate?
19 A. Exactly, the original stays with the
20 spiral.
21 Q. Okay. So there was a spiral notebook?
22 A. Exactly.
23 Q. And you would write the message on the
24 top copy and then you would take that out and put
25 it on the counter in the kitchen?
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Page 78
1 A. Yes, sir.
2 Q. And Mr. Epstein knew to look there for
3 his messages. Correct?
4 A. Yes, sir.
5 Q. Then there was a carbon copy that was
6 with -- that remained with the spiral notebook.
7 Correct?
8 A. Yes.
9 Q. Now, if you look at the way this is
10 copied it appears to be that this was taken from
11 the spiral notebook. Is that fair to say?
12 A. Yes, sir.
13 Q. Okay. So it would appear that, for
14 example, that these ones that aren't dated are on
15 the same pages as the ones that are dated. Is
16 that fair to say?
17 A. Yes, sir.
18 MR. CRITTON: Form.
19 BY MR. MERMELSTEIN:
20 Q. Does that help at all as to who may have
21 been the one to take these other messages?
22 A. I don't know, sir, I don't know.
23 Q. But it's your understanding that no one
24 else other than you took messages?
25 A. Exactly.
Page 79
1 Q. There is a fairly distinctive AR
2 signature on many of these message slips. And
3 that's your signature. Correct?
4 A. Yes, it is.
5 Q. Let me direct your attention to a message
6 that was taken on November 8, 2004.
7 MR. CRITTON: I think that's page nine.
8 I just numbered mine.
9 MR. MERMELSTEIN: It is page nine,
10 correct.
11 MS. EZELL: What was the date again?
12 MR. MERMELSTEIN: November 8, 2004.
13 BY MR. MERMELSTEIN:
14 Q. Now, it appears that there is information
15 that was redacted from here, meaning that it was
16 whited out or blacked out, one or the other. Do
17 you see that?
18 A. On the right.
19 Q. Because you would have written down a
20 name and phone number. Correct?
21 A. Yes.
22 Q. And the message is, quote, "I have a
23 female for him."
24 A. Yes.
25 Q. Do you remember this message?
Page 80
1 A. Probably so, sir.
2 Q. Okay. Tell me what this was about.
3 A. Probably so, sir.
4 MS. EZELL: What was that answer?
5 MR. CRITTON: He said probably so.
6 THE WITNESS: Maybe C.
7 BY MR. MERMELSTEIN:
8 Q. C. So you think that -- would that be
9 C.W.?
10 A. I didn't know the last name, sir.
11 Q. Who is C.?
12 A. C. was a masseuse.
13 Q. Okay. She was one of the masseuses who
14 would come to the house?
15 A. Yes.
16 Q. I thought you didn't know any of the
17 names.
18 A. I remember Johanna. There is so many
19 names, sir, this is 2004.
20 Q. You remember Johanna. I understand. You
21 remember C.?
22 A. Yes.
23 Q. Do you remember any others?
24 A. No, sir.
25 MR. CRITTON: Can I ask, did you all blot
Page 81
1 it out or redact it?
2 MR. EDWARDS: The State Attorney's
3 office.
4 MR. MERMELSTEIN: We did not redact it.
5 THE WITNESS: For the record, I can make
6 it out because I know my writing that's why
7 I remember the name.
8 BY MR. MERMELSTEIN:
9 Q. I see. From what we can see here it
10 appears to be C.?
11 A. Yeah.
12 Q. I see. The message, I have a female for
13 him, what was that, what was that about?
14 A. They tell me that message. I never ask
15 them, I never inquired. I mean, I never -- I took
16 the messages literally and I write it down, that's
17 why I put quotations.
18 My job, sir, was to take messages and who
19 are you, last names, or, you know, it was never in
20 my job descriptions to, you know, if they accept
21 the message then they will give me further
22 instructions.
23 Q. So your feeling was it's none of your
24 business what this message means. Is that what
25 you're saying?
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Page 82
1 A. Something like that, sir.
2 Q. Did you have an understanding as to what
3 she meant?
4 MR. CRITTON: Form.
5 THE WITNESS: Yes.
6 BY MR. MERMELSTEIN:
7 Q. What was that?
8 MR. CRITTON: Form.
9 THE WITNESS: That she had a female.
10 It's self-explanatory.
11 BY MR. MERMELSTEIN:
12 Q. Female for what?
13 A. I don't know, sir. Maybe a massage,
14 maybe to go out as his companion.
15 MR. CRITTON: Form, and move to strike
16 the answer as speculation.
17 BY MR. MERMELSTEIN:
18 Q. And the 561 area code is Palm Beach.
19 Correct?
20 A. Yes.
21 Q. Was C. there often to your recollection?
22 A. I don't think so, sir.
23 Q. You don't remember her coming over to the
24 house?
25 A. No, not in the house.
Page 83
1 Q. Let me direct you to page 11, two pages
2 in.
3 A. Where do you see the page number?
4 Q. Just go down two pages. I'm just
5 counting in my head.
6 Now, other than the message on the upper
7 left, that's your signature at the bottom.
8 Correct?
9 A. Yes.
10 Q. Did you take these other messages?
11 A. No.
12 Q. Now, was there a different system or
13 protocol at night?
14 A. No, it's the same.
15 Q. So if you were in the staff house would
16 the phone ring in there and you would pick it up
17 in there?
18 A. Yes, I will take the information and
19 transfer to this, this was in the main house.
20 Q. Okay. But the phone would ring in the
21 staff house?
22 A. Yes.
23 Q. So as we sit here today you have no
24 explanation as to why someone else is writing down
25 messages on this pad?
Page 84
1 A. No.
2 Q. Let me direct your attention to page 13.
3 MR. CRITTON: When you reference a page
4 you may want to tell him what the message is
5 and the date, if he's got it, that's fine.
6 MR. EDWARDS: It needs to be cleaner on
7 the record anyway.
8 BY MR. MERMELSTEIN:
9 Q. There is a message on the upper left
10 dated November 20, 2004.
11 A. Yes.
12 Q. That's a message that you took. Correct?
13 A. Yes, sir.
14 Q. Ms. B. Do you recall who that is?
15 A. No, sir.
16 Q. You have no recollection?
17 A. No.
18 Q. That was the message you took for Sarah?
19 A. Yes.
20 Q. It was your understanding that Sarah made
21 the appointments for the massages?
22 A. Yes.
23 MR. CRITTON: Form.
24 BY MR. MERMELSTEIN:
25 Q. Let me direct your attention to a message
Page 85
1 dated 12/4/04.
2 MR. CRITTON: Page 15.
3 BY MR. MERMELSTEIN:
4 Q. On the bottom right that's your
5 signature. Correct?
6 A. Yes.
7 Q. And Johanna is the name?
8 A. Yes.
9 Q. And is that the same Johanna you
10 testified to earlier was the one you remember?
11 A. Yes, I believe so, sir.
12 Q. Can you describe Johanna for us?
13 A. Johanna, she was -- I remember she was
14 pregnant at the time, so very sweet lady, she live
15 in West Palm Beach, always talkative.
16 Q. What kind of things did you talk about?
17 A. How are you doing and everything, but
18 cheerful person, you know, nothing specific, but
19 she will always greet me cheerfully, nice person
20 to be around.
21 Q. Did she go to school, did she have
22 another job?
23 A. I think she was a professional masseuse.
24 Q. Now, it was your understanding that
25 generally the girls who came to the house for
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Page 86
1 massages were not professional masseuses. Is that
2 correct?
3 MR. CRITTON: Form.
4 THE WITNESS: I don't know, sir.
5 BY MR. MERMELSTEIN:
6 Q. How do you know Johanna was a
7 professional?
8 A. She tell me all the time that she was
9 coming from another work so she -- or she will
10 mention that I have to leave because I have to be
11 in another place.
12 Q. Okay. But you mentioned that she was a
13 professional masseuse, that indicated to me that
14 your understanding was that the others may not
15 have been professional masseuses.
16 MR. CRITTON: Form.
17 THE WITNESS: I think she was more busy
18 than the others giving masseuse -- massage.
19 BY MR. MERMELSTEIN:
20 Q. Again, why do you say that the others
21 were not busy giving massages?
22 A. They didn't have the scheduled
23 appointments like Johanna did.
24 Q. How do you know that?
25 A. Johanna was always -- let's say I need to
Page 87
1 leave by five, and she will leave at five. Like I
2 mentioned, she was, you know, probably she was
3 going to have a kid in two months or something
4 like that because she was like --
5 Q. How do you know the other girls didn't
6 have appointments of that nature?
7 A. They seemed more relaxed, sir.
8 Q. Go to the message dated December 7, 2004.
9 Do you see that on the upper left?
10 A. Yes.
11 MR. CRITTON: That's page 17.
12 MR. MERMELSTEIN: Thank you.
13 MR. CRITTON: Who is it just so I know
14 because there is others December 7th?
15 MR. MERMELSTEIN: I'm sorry, N.
16 MR. CRITTON: That's page 18.
17 BY MR. MERMELSTEIN:
18 Q. You took that message. Correct?
19 A. Yes.
20 Q. Do you recall who N. is?
21 A. No, I don't remember, sir.
22 Q. And the message next to it is Lesley
23 Wexner. Is that correct?
24 A. Yes.
25 Q. And that's your signature as well?
Page 88
1 A. Correct.
2 Q. Do you recall who Lesley Wexner is?
3 A. He's the owner of Victor Secret, the
4 Limited.
5 Q. Okay. What was his association with Mr.
6 Epstein?
7 A. He was Mr. Epstein's boss.
8 Q. He was Mr. Epstein's boss?
9 A. Yes.
10 Q. How did you know that?
11 A. I think it's public domain through
12 internet I did my research who he was.
13 Q. Okay. Before you went to work for Mr.
14 Epstein you did your research of who he was?
15 A. No.
16 Q. At what point did you do your research?
17 A. During working you get curious so you
18 went to Google the name and it's there.
19 Q. So you would Google the names --
20 A. Lesley Wexner.
21 Q. In other words, you Google names
22 generally of --
23 A. No, not necessarily, not all the time,
24 but he used to call all the time and so I want to
25 know who this gentleman was.
Page 89
1 Q. Did you Google Jean-Luc?
2 A. No.
3 Q. Okay. You talked to him that's --
4 A. It never occurred to me, sir.
5 Q. Who else do you recall Googling?
6 A. Prince of -- Prince Andrew, or Barak, the
7 Prime Minister of Israel because he used to call.
8 Donald Trump.
9 Q. Go to the next page, there is a message
10 dated December 9th from Ms. Svetlana.
11 A. Yes.
12 Q. Who is that?
13 A. I don't know.
14 Q. You don't recall?
15 A. No.
16 Q. Do you recall a masseuse by the name of
17 Svetlana?
18 A. I don't recall that, sir, I don't
19 remember.
20 Q. You look at the next page there is a
21 message on the upper left corner with the name
22 redacted again. Do you see that?
23 A. Yes, sir.
24 Q. That's a message you took?
25 A. Yes.
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Page 90
1 Q. Is that C. again?
2 A. It looks like it is, sir.
3 Q. So that was a message from C.?
4 A. Yes.
5 Q. You don't recall what she was calling
6 about on December 15, 2004?
7 A. No, sir.
8 Q. If you look at a message dated January 8,
9 2005.
10 MR. CRITTON: In the upper left hand
11 corner?
12 MR. MERMELSTEIN: Yes.
13 MR. CRITTON: I think it's page 25.
14 MR. MERMELSTEIN: Right.
15 BY MR. MERMELSTEIN:
16 Q. Ms. Amya?
17 A. Yes.
18 Q. Who is that?
19 A. A friend and acquaintance, sir.
20 Q. The message next to it is from Nadia.
21 A. Yes.
22 Q. Who is Nadia?
23 A. Mr. Epstein girlfriend.
24 Q. Okay. Nadia Marcenacova?
25 A. Yes.
Page 91
1 Q. And when you say girlfriend, what do you
2 mean by that?
3 MR. CRITTON: Form.
4 THE WITNESS: She used to be more times
5 than the other girls with her -- with him.
6 BY MR. MERMELSTEIN:
7 Q. Would she arrive on a plane with Mr.
8 Epstein?
9 A. Yeah.
10 Q. And the time that you worked for Mr.
11 Epstein how often was Nadia with him?
12 A. Half the time I would say.
13 Q. Did you ever have a discussion with her
14 or talk to her about personal matters?
15 A. No.
16 Q. Did she have any duties or functions at
17 the house?
18 A. For awhile she was like a coordinator or
19 assistant or something.
20 Q. What did she coordinate?
21 A. Phone calls.
22 Q. Would she take messages like you would?
23 A. Yeah, sometimes.
24 Q. Okay. So again, I'm a little confused.
25 So she was authorized to take -- to give messages
Page 92
1 as well?
2 A. What happened, she being too close to Mr.
3 Epstein she will -- it's no big deal to take a
4 message, but I mean, I was the only one who
5 supposed to take message, but I don't know, for
6 instance, who took this message, who wrote it, I
7 don't know.
8 Q. You're referring to the message from
9 Nadia?
10 A. Nadia, yes.
11 Q. So I'm trying to understand when you said
12 that she was a coordinator.
13 A. She will give me sometimes orders, like
14 Alfredo, can you give me ice cream, or send me to
15 the store, or buy some clothes.
16 Q. Okay. Did the other girls who would fly
17 with Mr. Epstein and stay in the house, would they
18 give you orders as well?
19 A. No.
20 Q. Okay. But it was your understanding that
21 she was -- that you were supposed to follow her
22 orders. Correct?
23 A. I knew it was coming from the boss.
24 Q. Okay. And how did you know that?
25 A. Because she told me.
Page 93
1 Q. Okay.
2 A. Mr. Epstein says he wants you to do this.
3 I didn't contest that so I will do that.
4 Q. Okay. Did she have her own bedroom or
5 did she sleep in the master bedroom?
6 A. She used to have her own bedroom.
7 Q. Okay. I'm not sure what page this is but
8 there is a message dated January 11, 2005. Do you
9 see that?
10 A. Yes.
11 Q. That's your signature. Correct?
12 A. Yes, sir.
13 Q. From Cecilia, the New York office.
14 A. Yes.
15 Q. Who is that?
16 A. Cecilia is another secretary, she works
17 in the New York office.
18 Q. Would you have any contact or interaction
19 with Cecilia?
20 A. She used to call me sometimes when Lesley
21 was not available.
22 Q. Okay. And so it was your understanding
23 she worked under Lesley?
24 A. Yes.
25 Q. What was her last name?
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Page 94
1 A. I don't remember, sir.
2 Q. The next page is a message in the upper
3 left dated January 13, 2005, from C.W. Correct?
4 A. Yes.
5 Q. That's the same C. that we've been
6 talking about. Correct?
7 A. Yes.
8 Q. That was at 7:30 p.m. Correct?
9 A. Yes.
10 Q. And you don't recall what that particular
11 call was about. Right?
12 A. No, sir.
13 Q. The message dated January 20, 2005, from
14 Maria. Do you see that on the bottom right?
15 A. Yes.
16 Q. Do you know who that is?
17 A. I think I have a different page.
18 Q. You're a little ahead of me. January 20,
19 2005.
20 MR. CRITTON: I think that's page 31.
21 THE WITNESS: I don't remember who she
22 was, sir.
23 BY MR. MERMELSTEIN:
24 Q. You don't recall what that message was
25 about?
Page 95
1 A. No, sir.
2 Q. What about the next page there is a
3 message that Eva called?
4 A. Yes.
5 Q. Dated January 21, 2005?
6 A. Yes.
7 Q. Do you know who Eva is?
8 A. Yes.
9 Q. Who is Eva?
10 A. The assistant comptroller from the New
11 York office.
12 Q. Do you remember her last name?
13 A. Polish last name I guess. She was
14 Russian. She is Russian actually.
15 Q. Did you ever travel to any other
16 residences that Mr. Epstein had?
17 A. No.
18 Q. Are you aware he had a residence in the
19 Virgin Islands?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes.
22 BY MR. MERMELSTEIN:
23 Q. And would he sometimes travel to that
24 residence from Palm Beach?
25 A. Yes.
Page 96
1 Q. Okay. Do you recall on any occasion who
2 would travel with him to the Virgin Islands?
3 MR. CRITTON: Form.
4 THE WITNESS: No, sir.
5 BY MR. MERMELSTEIN:
6 Q. I think we were talking about the money
7 before, the household account, sometimes you gave
8 gifts?
9 A. Yes, I was told to buy some gifts.
10 Q. For whom?
11 A. For the guests.
12 Q. Okay. And what kind of gifts?
13 A. Shoes, sweaters, clothes.
14 Q. So were you instructed to buy something
15 in particular at a particular store?
16 A. They would go to the store, if they like
17 something I will go after and pay them and
18 retrieve it.
19 Q. Okay. So would this be a girl who was
20 staying at the house?
21 A. Yes.
22 Q. Okay. This was one of the girls who
23 travelled with Mr. Epstein to Palm Beach.
24 Correct?
25 A. Yes.
Page 97
1 Q. And so Mr. Epstein would instruct you to
2 go shopping with this girl?
3 A. Yes.
4 Q. And instructed you to pay for whatever it
5 is she wanted to buy?
6 A. Yes.
7 Q. Was there a price limit or anything of
8 that nature?
9 A. No, sir.
10 Q. So when the girl decided what she wanted
11 you would --
12 A. I would write them a check.
13 Q. In that instance you would pay by check?
14 A. Yes.
15 Q. Any other instances where you gave gifts
16 to girls at the instruction of Mr. Epstein?
17 A. No. I was just told, you know, when they
18 told me I will buy the item.
19 Q. I'm sorry?
20 A. You know, when I was told to purchase
21 this item for them, you know, I will do that, but
22 not on any other occasions.
23 Q. What do you mean not in any locations?
24 A. Any other occasions.
25 Q. Not any other occasions. Okay. Did you
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Page 98
1 ever buy flowers for a girl?
2 A. Yes, sir.
3 Q. Tell me about that.
4 A. I was told to buy flowers and roses for a
5 girl performing in high school.
6 Q. Which girl was that?
7 A. I don't remember the name, sir.
8 Q. What was Mr. Epstein's relationship to
9 this girl?
10 MR. CRITTON: Form.
11 THE WITNESS: I think she was an
12 acquaintance, friend.
13 BY MR. MERMELSTEIN:
14 Q. She was a friend?
15 A. Yes, sir.
16 Q. Now, she was performing at the high
17 school in what capacity?
18 A. There was like a -- like a play in the
19 graduation for high school.
20 Q. A play for graduation?
21 A. Yes, in the high school theatre there was
22 some kind of performance.
23 Q. Was it like a theatre production?
24 A. Yeah, something like that. I didn't go
25 inside so I didn't know what was going on inside.
Page 99
1 Q. Why do you say it was for graduation?
2 A. Because everybody was the graduation
3 outside, there were parents, there were a lot of
4 people at the school.
5 Q. Okay. A lot of high schools have theatre
6 production companies and they put on plays.
7 Correct?
8 MR. CRITTON: Form.
9 THE WITNESS: It was towards the end of
10 the year. Well, I think I overheard that
11 there was a graduation performance of some
12 kind.
13 BY MR. MERMELSTEIN:
14 Q. But you didn't go in so you don't know?
15 A. No, sir.
16 Q. But this was a high school student you
17 were bringing the flowers to. Is that correct?
18 A. Yes.
19 Q. Had you seen this girl before at the El
20 Brillo Way property?
21 A. Yes, sir.
22 Q. You had seen her a number of times?
23 A. Yes, sir.
24 Q. Do you recall her name?
25 A. I don't remember her name, sir.
Page 100
1 Q. Now, you said you never went inside the
2 theatre?
3 A. No, sir.
4 Q. Okay. How did you get to the flower
5 store?
6 A. I called the girl to her cell and she
7 will come to the back door and I give her the
8 flowers.
9 Q. Was anyone else around at the time?
10 A. No, sir.
11 Q. And you mentioned this was a girl you had
12 seen before?
13 A. Yes.
14 Q. Was this girl who had come to give
15 massages to Mr. Epstein?
16 MR. CRITTON: Form.
17 THE WITNESS: I don't know if she was
18 doing massages but she was at the house.
19 BY MR. MERMELSTEIN:
20 Q. What would she have been there for?
21 A. To visit him.
22 Q. This was a high school girl who was
23 coming to visit Mr. Epstein at the house?
24 A. She came to the house, I open the door
25 and I left, you know.
Page 101
1 Q. Did you take her to the kitchen like you
2 did --
3 A. Yes.
4 Q. So you brought her to the kitchen just
5 like you did for the girls who gave him massages.
6 Correct?
7 A. Yes, sir.
8 Q. Did you ever pay her?
9 A. I don't remember, sir, but probably I
10 did.
11 MR. CRITTON: Form, move to strike,
12 speculation.
13 BY MR. MERMELSTEIN:
14 Q. Why do you say you probably did?
15 A. Because I was the only one paying --
16 well, not the only one but, you know, but chances
17 are I paid her but I don't remember that
18 particular instance that I gave her money.
19 Q. Is it fair to say that the girls who came
20 to the Palm Beach residence, these are not the
21 girls who are staying there, the girls who came --
22 were there to give massages. Correct?
23 MR. CRITTON: Form.
24 THE WITNESS: Yes.
25 BY MR. MERMELSTEIN:
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Page 102
1 Q. And to the extent that this girl had come
2 to the estate that's most likely what it would
3 have been for, to give a massage. Correct?
4 MR. CRITTON: Form.
5 THE WITNESS: I didn't see the massage
6 was occurring, sir.
7 BY MR. MERMELSTEIN:
8 Q. I understand that. But can you think of
9 any other reason why this girl would have come to
10 the Palm Beach residence?
11 MR. CRITTON: Form.
12 THE WITNESS: To visit, you know. You
13 can get visits from these ladies so I don't
14 know if they were giving the massage to be
15 honest to you because if I say all the girls
16 who gave a massage that would be -- I don't
17 know, I don't think.
18 BY MR. MERMELSTEIN:
19 Q. Were there high school girls who just
20 came to visit him?
21 MR. CRITTON: Form.
22 THE WITNESS: I don't know if they were
23 in high school, sir, except this one that I
24 give flowers.
25 BY MR. MERMELSTEIN:
Page 103
1 Q. Okay. Were there girls who just came to
2 visit and then came and then left during the same
3 day? Who weren't there to perform any service?
4 A. I'm sorry?
5 Q. Were there girls who just came to visit
6 who weren't there to perform any service during
7 the course of a day?
8 MR. CRITTON: Form.
9 THE WITNESS: Yes, there were masseuses.
10 BY MR. MERMELSTEIN:
11 Q. Masseuses came there to give a service;
12 didn't they?
13 A. Yes.
14 Q. Was there any girls who came to the Palm
15 Beach residence just to visit, not to perform a
16 service during the course of a day?
17 MR. CRITTON: Form.
18 THE WITNESS: I don't know, sir. I don't
19 know.
20 BY MR. MERMELSTEIN:
21 Q. You don't recall that ever happening; do
22 you?
23 A. Well, sir, I brought them into the house,
24 my duties was to call Sarah, Sarah will get them
25 from the kitchen. I don't know if they get a
Page 104
1 masseuse -- they get a massage or they went to --
2 I don't know what they did. Anything that
3 happened upstairs in the house we didn't know it.
4 I'm talking we the staff.
5 Q. Okay. But this girl who you gave the
6 flowers to was a girl that came to the front door
7 and you brought into the kitchen and Sarah then
8 met her there. Correct?
9 A. Yes.
10 Q. Just like the girls who would come for
11 massages. Correct?
12 A. Yes.
13 Q. As we sit here today you don't know of
14 any girls who just came to visit for no other
15 reason other than to visit?
16 MR. CRITTON: Form.
17 THE WITNESS: For me they were visitors
18 as I treat as a massage, you know. And like
19 I say, I cannot say so and so came just for
20 this or this purpose.
21 BY MR. MERMELSTEIN:
22 Q. Did you ever recall any of these girls
23 saying that they were coming to work?
24 MR. CRITTON: Form.
25 THE WITNESS: No, sir.
Page 105
1 BY MR. MERMELSTEIN:
2 Q. Did you ever refer to that term or
3 expression, do you recall any girl ever using
4 that?
5 A. No.
6 Q. Do you recall any girl ever calling the
7 house and saying she wanted to work?
8 A. No, sir, I don't remember.
9 Q. You don't recall that?
10 A. No.
11 MR. MERMELSTEIN: All right. Let's take
12 a break.
13 (Thereupon, a recess was had.)
14 THE VIDEOGRAPHER: Back on the record
15 with tape number three.
16 BY MR. MERMELSTEIN:
17 Q. Mr. Rodriguez, at some point --
18 (Thereupon, an interruption was had.)
19 BY MR. MERMELSTEIN:
20 Q. Mr. Rodriguez, at some point you spoke to
21 a Palm Beach Police Detective.
22 A. Yes.
23 Q. Is that correct?
24 A. Yes.
25 Q. He was asking you questions about Mr.
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Page 106
1 Epstein?
2 A. Yes.
3 Q. And you had an interview with him?
4 A. Yes.
5 Q. Did you also hand him documents at some
6 point?
7 A. Yes.
8 Q. What did you give to him?
9 A. I'm sorry?
10 Q. What did you give to him? What did you
11 hand him?
12 A. A list of -- let me -- it was a list of
13 -- it was like a yellow, what you call it, pad
14 like that, my own writings of contractors, people
15 who used to go there and phones.
16 And I don't remember exactly what I give
17 him but, you know, I have it with me and say can I
18 have them and say can I borrow them and to this
19 day I gave it to Detective Joe something.
20 Q. Was it Detective Recarey?
21 A. Yes.
22 Q. Okay. Was this a journal of some kind
23 that you maintained?
24 A. Not necessarily, no. It was just my own
25 notes and I had it with me so he asked me can I
Page 107
1 borrow this from you.
2 Q. You had it with you?
3 A. Yes.
4 Q. With you for what; your interview?
5 A. No, because I was subpoena with the
6 District Attorney and I had some notes and so I
7 had it with me.
8 Q. So you brought the notes with you to the
9 interview?
10 A. Yes.
11 Q. Okay. And when you were there you were
12 interviewed -- and this is the interview you
13 mentioned was tape recorded?
14 A. Yes.
15 Q. And when you arrived for the interview
16 during the course of the interview did Mr. Recarey
17 ask you to hand over these papers?
18 A. He saw me going through my papers and
19 said can I have those.
20 Q. And you handed it to him right there?
21 A. You know, I was -- yes.
22 Q. Okay. And describe again what was on
23 these papers.
24 A. As far as I remember they were my
25 personal notes of people coming to the house,
Page 108
1 among them contractors. And because this is five
2 years ago, you know, I don't exactly remember
3 that.
4 Q. Okay. Did you include in this list of
5 people who came into the house the girls who had
6 come to give massages?
7 A. Probably there were some names there,
8 sir.
9 Q. Why were there only some names?
10 MR. CRITTON: Form.
11 THE WITNESS: Because it was an informal
12 list, you know, it was not like A to Z
13 thing, I just write it down sometimes.
14 BY MR. MERMELSTEIN:
15 Q. Did Sarah Kellen or Mr. Epstein or
16 Ms. Maxwell instruct you to maintain a list of the
17 people who came into the house?
18 A. No, I do this, this is my job, you know.
19 I do this in another place I used to work to have
20 those telephone numbers handy because it's
21 basically day to day, you know, you want to have
22 some reference.
23 Q. Okay. So this list included a person's
24 name?
25 A. Yes.
Page 109
1 Q. And their telephone number?
2 A. Yes.
3 Q. Did it have any other information?
4 A. I don't remember.
5 Q. How many pages was it? You mentioned it
6 was like a legal pad?
7 A. Yes. I put it in the file probably,
8 there were four or five pages.
9 Q. Was it single spaced, you had a name and
10 a phone number on each line?
11 A. Yeah, they were single spaced.
12 Q. Did you write anything about who that
13 person was, what their relationship to Mr. Epstein
14 was?
15 A. No.
16 Q. Just a name and a phone number?
17 A. A name and phone number and sometimes
18 dates.
19 Q. What were the dates for?
20 A. It was for me to know that this person
21 was in the house a week ago.
22 Q. Okay. So it indicated when they were
23 there?
24 A. These people were familiar because I was
25 in charge of security, I need to see if these
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Page 110
1 people, they were sometimes, you know, you need to
2 have some kind of reference to yourself because
3 you have too many information in your head, so it
4 was like a cross reference for me that these
5 people were in the house before so I used to jot
6 around telephone numbers and names.
7 Q. And this was a reference you kept for
8 yourself?
9 A. Yes, it was personal.
10 Q. Okay. And that way if you were ever
11 asked by Mr. Epstein or Ms. Kellen or Ms. Maxwell
12 about someone who had come into the house you
13 would have it on your pad?
14 A. Yes.
15 Q. Were there entries there for each day
16 that people came?
17 A. No, not necessarily.
18 Q. People come to the house every day.
19 Right?
20 A. Yes.
21 Q. And on some occasions it was the first
22 time they were there. Correct?
23 A. Yes.
24 Q. And you would write down their name and
25 phone number?
Page 111
1 MR. CRITTON: Form.
2 THE WITNESS: Yes.
3 BY MR. MERMELSTEIN:
4 Q. As you indicated this would include girls
5 who came for massages. Correct?
6 A. Yes.
7 Q. And wouldn't the list have been longer
8 than four or five pages if it recorded all this
9 information about who was coming into the house?
10 MR. CRITTON: Form.
11 THE WITNESS: I don't remember, sir, to
12 be honest with you. He probably have it in
13 his possession but --
14 BY MR. MERMELSTEIN:
15 Q. Okay. So it could have been longer than
16 four or five pages; is that what you're saying?
17 MR. CRITTON: Form.
18 THE WITNESS: Yes.
19 BY MR. MERMELSTEIN:
20 Q. It's in Detective Recarey's possession?
21 A. Yes.
22 Q. Or you haven't seen it since you gave it
23 to him?
24 A. No.
25 Q. Okay. Now, when would you write down the
Page 112
1 information on this pad? If someone came to the
2 front door you would escort them to the kitchen.
3 Correct? What point would you get their name and
4 phone number?
5 MR. CRITTON: Form.
6 THE WITNESS: At the end of each day I
7 will have to prepare stuff for the next day
8 so I will always make this is what happened
9 today because sometimes it's very hectic so
10 I make notes for tomorrow, this is what
11 we're going to do, so I used to for my own
12 information give these numbers and names,
13 like I said, they were not only masseuses
14 they were, you know, names of contractors
15 that need to get back in the house. Notes
16 for myself that was basically instead of
17 having a personal computer I used to have
18 that.
19 BY MR. MERMELSTEIN:
20 Q. When you came to the front door to let
21 someone in you had to enter the code on the wall.
22 Correct?
23 A. Yes.
24 Q. Did you have in your hand something to
25 write with and a pen?
Page 113
1 MR. CRITTON: Form.
2 THE WITNESS: No, that was kept in the
3 staff house.
4 BY MR. MERMELSTEIN:
5 Q. The note pad you're referring to --
6 A. I used to have my own office, I used to
7 keep these in my office.
8 Q. Okay. Well, I'm trying to -- obviously,
9 someone who walked into the house you escorted
10 them into the kitchen. Correct?
11 A. Yes.
12 Q. You didn't memorize their name and phone
13 number at that point?
14 A. No, but I used to go and write it down.
15 Q. Okay. They would give it to you and you
16 would go and write it down?
17 A. No, no, no. I would escort this lady or
18 this person into the house, go to my staff house
19 in my office and write it down.
20 Q. Okay. But you wouldn't write down her
21 telephone number as she gave it to you?
22 A. No.
23 Q. You would memorize it then write it down
24 when you got to the staff house?
25 A. I would get it from this.
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Page 114
1 Q. You would get it from the message pad?
2 A. Yeah. Then I will match the name with
3 the number as a source of information for me
4 because if somebody walks into the house and says,
5 I'm Maria, how you going to know really -- it was
6 a source of -- it was a tool for making my job
7 easier.
8 Q. Okay. So if someone walks in the house
9 and says they're Maria, then you could always
10 cross reference them with a message?
11 A. Yes.
12 Q. Okay. It would always be a message
13 indicating their name and phone number on it?
14 A. Yes.
15 MR. CRITTON: Form.
16 BY MR. MERMELSTEIN:
17 Q. And then you would take that and put it
18 on your pad?
19 A. Yes.
20 Q. Okay. So if I understand the
21 progression, you would -- the person would come to
22 the door, you would escort them into the kitchen,
23 they would say I'm Maria, you would then at some
24 point during the day you would go to your message
25 pad that we looked at was Exhibit 1, you would see
Page 115
1 there was a message with the name Maria and her
2 phone number and then you would write it down on
3 your yellow pad?
4 A. Yes.
5 Q. Okay. Did I misstate anything there in
6 terms of how it went?
7 A. No.
8 Q. Okay. You didn't keep a copy of this
9 when you gave it to Detective Recarey?
10 A. No.
11 Q. Were there any other papers or documents
12 that you gave to Detective Recarey?
13 A. There was some other stuff but I don't
14 remember exactly, you know, they were notes that I
15 have. Nothing I don't think fan notes or anything
16 of that.
17 MR. MERMELSTEIN: Let me mark this as the
18 next Exhibit 2.
19 (Exhibit 2 was marked for
20 Identification.)
21 BY MR. MERMELSTEIN:
22 Q. Take a look through Exhibit 2 and let me
23 know if there is any papers or documents in here
24 that you gave to Detective Recarey.
25 MR. WILLITS: This is Richard Willits. I
Page 116
1 must have been cut off by the lightening
2 strike, I'm not aware of Exhibit 2.
3 MR. MERMELSTEIN: It's just a compilation
4 of papers that I've handed him.
5 MR. WILLITS: Okay.
6 MR. CRITTON: The question is did he give
7 any of the documents in Exhibit 2 to
8 Detective Recarey?
9 MR. MERMELSTEIN: Yes.
10 THE WITNESS: I believe there were these
11 notes.
12 BY MR. MERMELSTEIN:
13 Q. Okay. I got to go through this exercise
14 because it was helpful on Exhibit 1, but I'm going
15 to number the pages.
16 MR. CRITTON: You got twelve pages. Is
17 that right?
18 MR. MERMELSTEIN: Yes.
19 BY MR. MERMELSTEIN:
20 Q. Okay. You started to say that you did
21 turn over certain of the pages in this Exhibit 2
22 to Mr. Recarey and you're referencing page five?
23 A. Yes.
24 Q. Okay. And what about page six?
25 A. Yes.
Page 117
1 Q. Any other pages in this exhibit?
2 A. No.
3 Q. Okay. Do you recall giving him anything
4 other than these two pages out of your note pad?
5 A. I don't remember, sir.
6 Q. Let's look at what's on pages five and
7 six. What's this referring to? Is that your
8 handwriting? I'm sorry, strike the first
9 question.
10 Is this your handwriting on page five?
11 A. At the bottom is.
12 Q. The reference to Dollar Rent a Car?
13 A. Yes.
14 Q. That's your handwriting?
15 A. Yes.
16 Q. The handwriting on top is not yours?
17 A. No.
18 Q. What's the reference to Dollar Rent a
19 Car, what's that there?
20 A. I rent a car for -- for one of the girls,
21 and the rental car was only because when you go
22 over a month you have to go into a lease contract
23 so the Dollar Rent a Car Company contact me to
24 renew that and I can have the car for another
25 month.
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Page 118
1 Q. Who was the girl that you rented the car
2 for?
3 A. I don't remember, sir.
4 Q. If you look at page six, is this your
5 handwriting?
6 A. No.
7 Q. That's not your handwriting?
8 A. No.
9 Q. Is it Mr. Epstein's handwriting?
10 MR. CRITTON: Form.
11 THE WITNESS: I don't think so.
12 BY MR. MERMELSTEIN:
13 Q. Is it Sarah Kellen's handwriting?
14 A. Could be, I'm not sure, sir.
15 Q. Explain to me what is on page six, what's
16 that information?
17 MR. CRITTON: Form. Do you want him to
18 read what's there? Form.
19 THE WITNESS: To get an extension the
20 rental car for another month because it was
21 not lease it was rental. Then buy bucket of
22 roses from Royal Palm Beach and deliver it
23 to Royal Palm Beach High School, here's the
24 name, A.
25 BY MR. MERMELSTEIN:
Page 119
1 Q. So A. would be the girl who you delivered
2 the flowers to?
3 A. Yes.
4 Q. The girl you testified earlier that you
5 delivered flowers to the high school performance.
6 Correct?
7 A. Yes.
8 Q. That was only one time you ever did that.
9 Correct?
10 A. Yes.
11 Q. So this A. must be that girl. Correct?
12 A. Yes.
13 Q. Now, there is a one and a two here,
14 number one is it appears that it's whited out but
15 it says A. car. Is that correct?
16 A. Yes.
17 Q. Okay. Extension one month. Is that what
18 you were just referring to?
19 A. Yes.
20 Q. So it would appear to be the same girl
21 you gave the flowers to you extended the rent a
22 car for?
23 A. Yes.
24 Q. Was there any other girls that you rented
25 cars for while you were --
Page 120
1 A. No, I don't think so.
2 Q. Okay. Did you have an understanding as
3 to why Mr. Epstein was renting a car for A.?
4 A. No, sir.
5 Q. And you understood it was a rental for
6 over a month. Correct?
7 A. Yes.
8 Q. Now, as I understand, she already had the
9 car. Correct?
10 A. Yes.
11 Q. So you just had to go to the rent a car
12 place, the Dollar Rent a Car and do the paperwork.
13 Is that correct?
14 A. Yes.
15 Q. Okay. So they didn't have to see the car
16 again, you didn't have to bring it back?
17 A. No.
18 Q. So, with respect to what's on this page
19 six of Exhibit 2, your contact with A. was to hand
20 her the flowers. Correct?
21 A. Yes.
22 Q. Okay. You didn't need her for purposes
23 of re-renting the car. Correct?
24 A. No.
25 Q. Did you go with her to rent the car in
Page 121
1 the first instance?
2 A. No, I brought it to the house.
3 Q. Okay. You rented the car and brought it
4 to the house. Correct?
5 A. Yes.
6 Q. Did you list her as a driver on the
7 application?
8 A. I don't remember, sir.
9 Q. But it's your understanding that only she
10 was driving the car. Correct?
11 A. Yes.
12 Q. Let me go to some of the other pages in
13 this exhibit. If you look at page one, that's
14 your signature on this check?
15 A. Yes.
16 Q. And this Colonial Bank, is that the
17 account where the house account was located?
18 A. Yes.
19 Q. As you indicated you were a signatory on
20 that account and so was Ghislaine Maxwell?
21 A. Yes.
22 Q. Okay. And is this how you would obtain
23 generally cash from the account, you would write a
24 check to cash?
25 A. Yes.
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Page 122
1 Q. I see on this page two you endorsed the
2 check. Correct?
3 A. Yes.
4 Q. And then there is another page three of
5 the check dated December 8, 2004. Correct?
6 A. Yes.
7 Q. And that's also a thousand dollars?
8 A. Yes.
9 Q. And one of the uses of this cash would be
10 to pay the girls who came to give massages.
11 Correct?
12 MR. CRITTON: Form.
13 THE WITNESS: Yes.
14 BY MR. MERMELSTEIN:
15 Q. That's your endorsement on page four of
16 this exhibit. Correct?
17 A. Yes.
18 Q. Exhibit 2?
19 A. Yes.
20 Q. The page 7 through 11 appear to be
21 statement history or statement list. Do you see
22 that?
23 A. Yes.
24 MR. CRITTON: Form.
25 BY MR. MERMELSTEIN:
Page 123
1 Q. And this is for the account that --
2 A. Household account.
3 Q. That's for the household account?
4 A. Uh-huh.
5 Q. Do you recall why this was printed out
6 or --
7 MR. CRITTON: Form.
8 THE WITNESS: I don't remember, sir.
9 BY MR. MERMELSTEIN:
10 Q. I notice there are some incoming wires
11 indicated on this dated December 6th and
12 December 15th. I take it the account was funded
13 through the incoming wires. Correct?
14 A. Yes.
15 Q. Would there be communication that more
16 money is needed in the account, how would that
17 work?
18 A. I would call Bella in New York and she
19 would put money into that account.
20 Q. Okay. Did you say how much you needed or
21 you just said you need more money?
22 A. I will say the amount and she put in the
23 money.
24 Q. Okay. It seems to be an odd amount
25 $13,551.17, how did you determine that?
Page 124
1 MR. CRITTON: Form.
2 THE WITNESS: Probably it came from
3 another account, sir, but I don't know.
4 BY MR. MERMELSTEIN:
5 Q. I'm sorry, a what?
6 A. Another account, but the amount why is
7 that odd, I don't know.
8 Q. You don't recall the reason for that
9 particular amount?
10 A. No.
11 Q. And the next, 9,747.32, you don't recall?
12 A. No.
13 Q. Okay. Was there like a minimum which
14 would trigger you to say I need more money in that
15 account?
16 A. Below 2,000, yes, I would have to call
17 for more money.
18 Q. Below 2,000 was the rule. Correct?
19 A. Yes, more or less, sir.
20 Q. Okay. Just look at the last page of the
21 exhibit. Again, is that your handwriting?
22 A. Yes.
23 Q. On the upper left where it says check
24 written by Alfredo Rodriguez --
25 A. Yes.
Page 125
1 Q. -- what's the first word there?
2 A. Last check written by.
3 Q. Alfredo Rodriguez. I take it this is the
4 last check written while you were employed?
5 A. Something like that, yes.
6 Q. Okay. But that's your handwriting?
7 A. Yes, it is.
8 Q. And this was a payroll check. Is that
9 correct?
10 A. Yes.
11 Q. For Jerome Pierre?
12 A. You know, why I wrote this is because he
13 went until he become under the New York office
14 jurisdiction so I didn't pay him after that.
15 Q. So he went to New York?
16 A. Yes.
17 Q. And worked for Mr. Epstein?
18 A. No, no, he work here but his check came
19 from New York.
20 Q. Okay. Now, was it shortly after this
21 that you left the employ of Mr. Epstein?
22 A. I left at the end of February.
23 Q. Why did you leave?
24 A. The reason I was let go because they told
25 me I took the wrong Suburban to Miami. Mrs.
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Page 126
1 Maxwell called me and said Jeffrey was upset
2 because you took the wrong Suburban, and it was an
3 excuse to fire me.
4 Q. Okay. And Ms. Maxwell gave you the news?
5 A. Yes.
6 Q. You never spoke to Jeffrey Epstein about
7 that?
8 A. No.
9 Q. By wrong Suburban I take it he had more
10 than one?
11 A. There were two identical black Suburbans.
12 One had XM radio the other one didn't.
13 Q. I see. By Suburban you mean Chevrolet
14 Suburban?
15 A. Yes, sir.
16 Q. SUV?
17 A. Yes.
18 Q. And you had instructions to take the one
19 with --
20 A. Without the XM radio.
21 Q. Without the XM radio.
22 A. But somehow, you know, they're both
23 identical vehicles, you know.
24 Q. And do you recall what you were doing on
25 this trip with that Suburban?
Page 127
1 A. I went to my house to Miami.
2 Q. So you took it home for a weekend?
3 A. More or less, yes.
4 Q. That's when Mr. Epstein wasn't there?
5 A. He allowed me to go there while he was
6 there and he find out that I took the wrong
7 Suburban.
8 Q. Okay. Was that unusual that he would
9 allow you to go to Miami while he was there?
10 A. No.
11 Q. Okay. Because I thought earlier you
12 testified --
13 A. He arrived early one day and he wanted to
14 have the Suburban there.
15 Q. I see. So you didn't know he was going
16 to be in Palm Beach at the time?
17 A. Sarah told me that it's not necessary you
18 have to be right here now but you can come here
19 later, and then they find out I have the wrong
20 Suburban, something like that.
21 Q. I see. And did he give you like a
22 notice, two weeks?
23 A. No, he told me at the end of the month --
24 yeah, something like two or three weeks. He paid
25 me for two months, I guess.
Page 128
1 MR. CRITTON: Form of the last question
2 as to did he tell you.
3 THE WITNESS: No, no, he didn't. I kept
4 getting checks but I knew I was no longer
5 with them.
6 BY MR. MERMELSTEIN:
7 Q. Okay. But you continued to work until
8 the end of February?
9 A. Yes.
10 Q. And this was sometime before that?
11 A. Yeah.
12 Q. Two or three weeks before that?
13 A. Could be two weeks, yeah.
14 Q. Have you had any occasion to speak to Mr.
15 Epstein after you've left his employ?
16 A. I called the office and I talk to Lesley
17 but not Mr. Epstein.
18 Q. And what was your occasion to call the
19 office and speak to Lesley?
20 A. I wanted to confirm that I work for him
21 to put in my resume as a reference so Lesley wrote
22 a letter to me.
23 Q. Okay. So Lesley, again, she is in New
24 York?
25 A. Yes.
Page 129
1 Q. And she wrote a letter of reference for
2 you at your request?
3 A. Yes.
4 Q. What about Mr. Epstein himself, did you
5 ever speak to him after you left his employment?
6 A. No, never.
7 Q. What about Sarah Kellen, did you ever
8 speak to her after that?
9 A. Never again.
10 Q. Did any investigators contact you for Mr.
11 Epstein after you left his employment?
12 A. Yes.
13 Q. Okay. Tell me about that.
14 A. They went to my house in Miami and they
15 tell me that they work for Mr. Jeffrey Epstein, so
16 that we make a meeting in Miami Lakes at Don Shula
17 Hotel, we spoke for a couple of hours.
18 Q. When was this?
19 A. This was in two years after that,
20 probably -- 2005, I think.
21 Q. Well it was --
22 A. No, no, I'm sorry, 2006. I left in '05
23 and this started in 2006.
24 Q. Okay. Do you recall when in 2006?
25 A. I can call my wife but I don't remember
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Page 130
1 the month.
2 Q. Now, why would your wife know?
3 A. Because they knock on my door and, you
4 know, say well we are the head of security Mr.
5 Epstein, and my wife knew where I work and
6 everything and so she called me.
7 Q. Where were you working at the time?
8 A. I had my own restaurant in Miami.
9 Q. What was the name of your restaurant?
10 A. El Cristol.
11 Q. El Cristol?
12 A. Yes.
13 Q. That's with a C?
14 A. E-L C-R-I-S-T-O-L.
15 Q. Okay. And you own the restaurant?
16 A. No, I sold it.
17 Q. But at the time you owned it?
18 A. Yes, my wife and I.
19 Q. So these two people knock on your door
20 when your wife is there. Correct?
21 A. Yes.
22 Q. And they say they're head of security for
23 Mr. Epstein. Correct?
24 A. Yes.
25 Q. And do you know what their names were?
Page 131
1 A. I don't remember, sir, right now.
2 Q. Okay. And then you met with them at the
3 Don Shula Hotel?
4 A. Yes.
5 Q. For approximately two hours?
6 A. Yes.
7 Q. And what did you discuss?
8 A. They ask me who I talk to and that Mr.
9 Epstein wanted to offer me a lawyer, I declined
10 because I was working there, I had nothing to do
11 with this. My wife told me this but, you know, I
12 don't need a lawyer, why do I need a lawyer.
13 Q. Your wife told you you didn't need a
14 lawyer?
15 A. Yeah, something to that, you know. They
16 offered me because working for Mr. Epstein maybe I
17 had something to do, anything, I haven't done
18 anything wrong so I said I declined.
19 Q. Did they interview you about what you
20 observed while you were working at the house?
21 A. I'm sorry, what?
22 Q. Did they interview you about what you
23 observed while you were working at Mr. Epstein's
24 residence?
25 A. Yes.
Page 132
1 Q. And what do you recall telling them?
2 A. I told them that my job duties, the
3 hours, if I remember any names, where did I go.
4 Q. Was this before or after you spoke to
5 Detective Recarey?
6 A. Before.
7 Q. About how long before?
8 A. Three months before.
9 Q. And for your interview with Detective
10 Recarey you were subpoenaed. Is that correct?
11 A. Yes.
12 Q. Had you spoken to Detective Recarey or
13 anyone from the Palm Beach Police before that
14 time?
15 A. No, he went to my house.
16 Q. Did these investigators tell you to
17 expect that you were going to get contacted by the
18 Palm Beach Police?
19 A. No.
20 Q. Did they tell you what you should say if
21 you were interviewed about Mr. Epstein?
22 A. No.
23 Q. Anything else you can recall them saying
24 to you during this conversation during the meeting
25 at the Don Shula Hotel?
Page 133
1 A. No.
2 Q. Did they make any kind of threat to you?
3 A. No, I don't believe so.
4 Q. You don't believe so?
5 A. No.
6 Q. Was there anything they knew about you
7 that you may have been surprised about?
8 A. I'm sorry, what was that?
9 Q. Was there any information that they knew
10 about you that you were surprised they knew about?
11 A. No, no.
12 Q. Did you have any other meetings with
13 them?
14 A. I saw them twice.
15 Q. Okay. Once was at the Don Shula Hotel?
16 A. Yes. And the other one we met I think
17 that was outside my house. He came into my house.
18 Q. Was that a planned meeting?
19 A. No, he just -- my main gate told me that
20 so and so is -- you know, so he was waiting at my
21 house.
22 MS. EZELL: I'm sorry, who told you?
23 THE WITNESS: I have security at the
24 complex where I live and they told me that
25 this gentleman was waiting for me.
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1 MS. EZELL: The main gate, is that what
2 you said?
3 THE WITNESS: Yes.
4 BY MR. MERMELSTEIN:
5 Q. Okay. So that was an unplanned visit?
6 A. Yes.
7 Q. That was after the meeting at the Don
8 Shula Hotel or before?
9 A. That was before.
10 Q. So I understand the sequence, two men
11 came to your door when your wife was there.
12 Correct?
13 A. Actually -- yes, yes, exactly. Then we
14 met at the Don Shula.
15 Q. So then you met at the Don Shula?
16 A. Yes.
17 Q. And when did the man come to your house?
18 A. It was like two weeks before that or
19 something like that.
20 Q. Two weeks before you met at the Don
21 Shula?
22 A. Yes.
23 Q. And what did you discuss when he came to
24 your house?
25 A. The same questions I told the guy in Don
Page 135
1 Shula, and he sit down in a pad in my house and
2 took notes who do I know, the phone numbers, if I
3 talk to anybody. That was it.
4 Q. And you hadn't spoken to anybody about
5 Mr. Epstein before that?
6 A. No.
7 Q. The man who came to your house, was he
8 one of the same men that you met with at the Don
9 Shula Hotel?
10 A. Yes.
11 Q. And you don't recall his name?
12 A. No, sir.
13 Q. Did he explain to you why he was
14 conducting this investigation and asking you these
15 questions and seeking information from you?
16 A. No. He just wanted to know if I talked
17 to anybody outside the house. I was bound by a
18 confidential agreement so I stick to that.
19 Q. Okay. So you signed a confidentiality
20 agreement with Mr. Epstein?
21 A. Yes.
22 Q. Okay. When did you sign that?
23 A. When I was hired.
24 Q. And what did that agreement provide?
25 A. I shouldn't discuss anything, you know.
Page 136
1 Q. And your understanding of that was that
2 was indefinite, that would last --
3 A. To this day I don't understand the extent
4 of that but, you know, I think I did my job and
5 I'm out of it, you know.
6 At the moment when these people went to
7 ask me questions I thought I was bound with that
8 confidentiality agreement but because I was
9 subpoena in Palm Beach County and they asked me if
10 you know this and this and the phone numbers, you
11 have to tell the truth.
12 Q. All right. I understand. But you
13 understand that a confidentiality agreement -- let
14 me strike that.
15 I assume your understanding or is your
16 understanding -- let me start again.
17 Is your understanding that under a
18 confidentiality agreement if you're not outside of
19 a subpoena, outside of a legal obligation to talk
20 with someone you weren't allowed to talk to anyone
21 about Mr. Epstein?
22 A. Exactly.
23 Q. When these investigators came to your
24 door did you have to verify that they in fact
25 worked for Mr. Epstein?
Page 137
1 A. They gave me all the information, they
2 told me I'm the head of security for Mr. Epstein.
3 Q. Okay.
4 A. They identified themselves with a name
5 and number and everything. I have probably for
6 awhile a business card, but I don't remember their
7 names.
8 Q. Okay. You think you still have the
9 business cards still?
10 A. Yes.
11 Q. What about the confidentiality agreement,
12 do you still have that?
13 A. No, that was kept with Mr. Epstein.
14 Q. He didn't give you a copy?
15 A. No.
16 Q. Did you have an employment contract?
17 A. No.
18 Q. Did you ever speak to any lawyer
19 representing Mr. Epstein?
20 A. Yes.
21 Q. Who did you speak to?
22 A. Jack Goldberger.
23 Q. When did you talk to Mr. Goldberger?
24 A. This was a year ago -- no, two years ago.
25 Q. Was this before or after you had spoken
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Page 138
1 to the detective --
2 A. After.
3 Q. Let me finish the question. Was this
4 before or after you spoke to Detective Recarey?
5 A. After.
6 Q. And what did Mr. Goldberger say to you,
7 what did you say to him?
8 A. I said to him the FBI is involved now and
9 I want to know what I'm supposed to do.
10 Q. Did you contact Mr. Goldberger?
11 A. Yes.
12 Q. So he didn't call you, you called him?
13 A. No, I called him.
14 Q. How did you know to call him?
15 A. Because I looked in the yellow pages.
16 Q. But you knew Mr. Epstein's lawyer was
17 Jack Goldberger?
18 A. Yeah, exactly, because I was looking at
19 the news. I read the Palm Beach Daily News every
20 day so I call him and then the FBI, very nice
21 people, they said they wanted to meet with me.
22 Q. Okay. So this is before you met with the
23 FBI agents you spoke with Jack Goldberger.
24 Correct?
25 A. Yes.
Page 139
1 Q. Okay. And you knew Jack Goldberger was
2 the attorney for Jeffrey Epstein because you read
3 that in the newspaper?
4 A. Yes.
5 Q. Again, about how long ago was this?
6 A. That was -- I was working for the
7 Hammond's so that was in 2006.
8 Q. Okay. Had you received a grand jury
9 subpoena?
10 A. No, no. We just -- they asked me, they
11 went to my house again.
12 Q. The FBI again?
13 A. Yes. A male and female agents, my wife
14 told them I was working in Palm Beach and I
15 couldn't leave so they wanted to meet me there.
16 Q. In Palm Beach?
17 A. Yes.
18 Q. But you found out that they were looking
19 for you, you called Jack Goldberger?
20 A. No, no, that was --
21 Q. Go ahead and clarify that, sorry.
22 A. Okay. Yeah, I called him before I met
23 the FBI I called Jack Goldberger.
24 Q. I guess my question is, at the time you
25 called him did you know that the FBI wanted to
Page 140
1 speak with you?
2 A. Yes.
3 Q. So before you spoke with them you called
4 Mr. Goldberger?
5 A. Yes.
6 Q. Why?
7 A. Because I wanted to see if I have any --
8 I don't know, I didn't have a lawyer on my side, I
9 wanted to see -- I feel like -- I don't know, I
10 needed legal advice and somehow I call him. I
11 should have had my own attorney but, you know, he
12 said it's okay, you know, just speak the truth.
13 Q. Okay. Again, what else do you recall
14 about the conversation that you had?
15 A. With Jack Goldberger?
16 Q. Yes.
17 A. That was very brief conversation, you
18 know, I ask him this and he said tell the truth.
19 Q. Was it by telephone?
20 A. Yes, by phone, I never met him in person.
21 Q. And all you recall him telling you was
22 say the truth?
23 A. Yes.
24 Q. And then you met with the FBI agents?
25 A. Yes.
Page 141
1 Q. In Palm Beach?
2 A. In Palm Beach.
3 Q. And that was when you were working there?
4 A. I'm sorry?
5 Q. That was when you were working as a house
6 manager in Palm Beach?
7 A. Yes.
8 Q. Any other lawyers you speak to for Mr.
9 Epstein?
10 A. I contacted him.
11 Q. You contacted Mr. Critton?
12 A. Yes.
13 Q. Okay. When did you do that?
14 A. When I find out that Mr. Epstein was
15 going to be out and I say, well, I don't know if
16 anybody was going to contact me or something.
17 Like I said before, you know, he was
18 probably on my side that I want to know if I need
19 to do something because I'm a witness, very
20 important witness in this case and so I told him
21 exactly what I'm telling you today, and he pay for
22 my gas because my car was -- and that's it.
23 Q. Okay. So you called Mr. Critton, he
24 didn't call you?
25 A. No, I call him.
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Page 142
1 Q. Okay. And this was when you found out
2 that Mr. --
3 A. No, I called Jack Goldberger, I'm sorry,
4 and somebody give me his number.
5 Q. I see. And what prompted you to call him
6 was you saw that Mr. Epstein was getting out of
7 jail?
8 A. Yes.
9 MR. CRITTON: Him meaning Mr. Goldberger?
10 MR. MERMELSTEIN: Yes.
11 BY MR. MERMELSTEIN:
12 Q. I'll restate the question.
13 When you called Mr. Goldberger it was
14 because you had read that Mr. Epstein was getting
15 out of jail?
16 A. Yes.
17 Q. Why did that prompt you to seek legal
18 advice or legal counsel?
19 A. Because I know -- I don't have money for
20 lawyers right now, I'm unemployed. So the normal
21 thing for me is to say, okay, what I'm supposed to
22 do here, you know, maybe they can refer me to
23 another lawyer or something.
24 Q. Okay. Was this after you received a
25 subpoena for the deposition that you're here on
Page 143
1 today, the first subpoena?
2 A. Before.
3 Q. Before you were subpoenaed?
4 A. Before.
5 Q. I'm trying to understand why did you
6 think that you would be contacted again as a
7 witness because Mr. Epstein was getting out of
8 jail?
9 A. I think you're right. I got the
10 subpoena, yes, yes.
11 Q. Okay. You got the subpoena for the civil
12 deposition?
13 A. Yes, exactly.
14 Q. Which is why we're here today?
15 A. Exactly.
16 Q. And after you received that subpoena you
17 called Mr. Goldberger?
18 A. Yes.
19 Q. And he referred you to Mr. Critton?
20 A. Yes.
21 Q. And then you spoke to Mr. Critton?
22 A. Yes.
23 Q. And what did you say to him, what did he
24 say to you?
25 A. I'm going to subpoena -- I don't have a
Page 144
1 lawyer, what I'm supposed to do here. And he told
2 me the same thing, to tell the truth, you know.
3 It was with his assistant.
4 Q. It was with his assistant?
5 A. Yes.
6 Q. You didn't speak to him personally?
7 A. No, we sit down in a room.
8 Q. So you drove up to West Palm Beach?
9 A. Yeah.
10 Q. Okay. And you had a sit down meeting
11 with Mr. Critton?
12 A. Yes.
13 Q. About how long did that last?
14 A. Two hours, something like that.
15 Q. Any other lawyers did you speak to about
16 Mr. Epstein?
17 A. No.
18 Q. Any other investigators that you haven't
19 mentioned yet today that you spoke to about Mr.
20 Epstein?
21 A. No.
22 Q. Okay. Any other person employed by Mr.
23 Epstein did you speak to after --
24 A. No.
25 Q. Current or former employees, did you
Page 145
1 speak to anyone else after you left his employ?
2 A. No.
3 Q. You never spoke to Sarah Kellen again?
4 A. No.
5 Q. Did you have a cell phone when you worked
6 for Mr. Epstein?
7 A. Yes, I did.
8 Q. Was that a cell phone provided by Mr.
9 Epstein?
10 A. Yes.
11 Q. What was the phone number on that?
12 A. Area code 561 but I don't remember.
13 Q. What was the -- do you remember the
14 service provider?
15 A. AT&T.
16 Q. That account was in the name of Mr.
17 Epstein?
18 A. Yes.
19 MR. CRITTON: Form.
20 BY MR. MERMELSTEIN:
21 Q. Other than what you turned over to Mr.
22 Recarey is there any other papers that you kept
23 relating to your employment with Mr. Epstein?
24 A. No.
25 Q. And he never gave anything back to you;
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Page 146
1 correct, that you handed to him?
2 A. I'm sorry, who?
3 Q. Detective Recarey.
4 A. No, sir.
5 Q. Did you ever give any papers to any of
6 the lawyers for Mr. Epstein either Mr. Goldberger
7 or Mr. Critton?
8 A. No.
9 Q. What about the investigators, did you
10 give them any papers or documents?
11 A. No.
12 Q. I'm going to ask you some names of girls
13 who are alleged to have come over to the house,
14 Mr. Epstein's residence in Palm Beach and ask you
15 if you recall these girls or what you recall.
16 H.R.?
17 A. I believe so.
18 MR. CRITTON: I'm sorry?
19 THE WITNESS: I believe so.
20 BY MR. MERMELSTEIN:
21 Q. What do you remember about H.R.?
22 A. She used to come to the house.
23 Q. And did you bring her into the kitchen?
24 A. All the girls I brought into the kitchen,
25 it was the same routine.
Page 147
1 Q. Okay. Was it your understanding she came
2 to give Mr. Epstein a massage?
3 MR. CRITTON: Form.
4 THE WITNESS: I don't know, sir.
5 BY MR. MERMELSTEIN:
6 Q. Did she come with another girl?
7 A. I don't remember, sir.
8 Q. Did she come often?
9 A. I'm sorry?
10 Q. Would she come to the house often?
11 A. Yes.
12 Q. You don't remember whether she came
13 alone, with another girl, or two other girls?
14 MR. CRITTON: Form.
15 THE WITNESS: I don't remember, sir.
16 BY MR. MERMELSTEIN:
17 Q. Did you ever see Mr. Epstein and H.R.
18 together?
19 A. No.
20 Q. You would just escort her into the
21 kitchen?
22 A. Yes, sir.
23 Q. Did you pay H.R.?
24 A. I don't remember, sir. Probably I did,
25 sir.
Page 148
1 Q. But you don't remember?
2 A. I don't remember.
3 Q. Why do you say probably you did?
4 A. Because I was the person in charge of
5 paying and I probably did because if it was not me
6 it was her.
7 Q. Because what?
8 A. If it was not me it was Sarah.
9 Q. If it wasn't you it was Sarah. Okay.
10 But you were paying girls for massages.
11 Correct?
12 MR. CRITTON: Form.
13 THE WITNESS: Yes.
14 BY MR. MERMELSTEIN:
15 Q. V., do you recall a girl named V.?
16 A. No.
17 Q. V.Z.?
18 A. No.
19 Q. Does that ring a bell at all?
20 A. No.
21 Q. How about Y.?
22 A. No, sir.
23 Q. Y.L.?
24 A. No.
25 Q. M.L.?
Page 149
1 A. No.
2 Q. What about F.P.?
3 A. Who?
4 Q. F.P.
5 A. No, sir.
6 Q. You don't recall any of those names. You
7 indicated you used the computer in the house?
8 A. Yes.
9 Q. Did he have a server where all the
10 computers are linked?
11 A. We used to Citrix but because there were
12 too many properties we used to have a guy who used
13 to take care of the --
14 Q. Were the computers linked in Florida and
15 New York?
16 A. I believe so, yes.
17 Q. Were there data files on the computers --
18 MR. CRITTON: Form.
19 BY MR. MERMELSTEIN:
20 Q. -- in the house?
21 A. I don't know, sir, because I was using my
22 own computer and they have their own computers
23 inside the house.
24 Q. Okay. So you had your own computer?
25 A. Yes.
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Page 150
1 Q. You had a laptop?
2 A. No, it was desktop.
3 Q. Okay. So you had your own desktop in the
4 staff house?
5 A. Yeah. Exactly.
6 Q. And you don't know what was -- what was
7 the files in that computer versus on the other
8 computers?
9 A. No, sir.
10 Q. Did you ever see any pornography on any
11 of the computers?
12 A. No, sir.
13 Q. Are you sure about that?
14 A. Pornography as in sexual acts, no.
15 Q. Pornography as in naked people, men or
16 women.
17 A. Yeah, there were some.
18 Q. Okay. And describe to me what that was.
19 A. They were like models.
20 Q. And where were those in the computer? I
21 mean, how did you access that?
22 A. They were in the files and some of it
23 in -- you mean which file they were, what was your
24 question?
25 Q. Where were they in the computer? There
Page 151
1 were downloaded files on computer?
2 A. They were downloaded, yes.
3 MR. CRITTON: Form.
4 BY MR. MERMELSTEIN:
5 Q. Okay. There were photographs of naked
6 women?
7 A. Models.
8 Q. And why do you say models?
9 A. Because it was like a catalog so you have
10 models, you know.
11 Q. And what was your understanding as a
12 source of these photos?
13 A. I don't know, sir. It was just a
14 curiosity on myself and it was -- it was none of
15 my business but, you know, I just happen to see
16 them there.
17 Q. Did these girls appear very young to you?
18 MR. CRITTON: Form.
19 THE WITNESS: No, sir. They were young
20 but not underage.
21 BY MR. MERMELSTEIN:
22 Q. Is there anything in particular that
23 makes you draw that conclusion?
24 A. Because they are developed, you know.
25 It's hard to say, sir, you know.
Page 152
1 Q. The girls who came to the house for
2 massages, did you ever call a cab to bring any of
3 the girls home?
4 A. Probably on a few occasions.
5 Q. So is it your understanding that they
6 would have arrived by cab as well?
7 MR. CRITTON: Form.
8 THE WITNESS: Yes.
9 BY MR. MERMELSTEIN:
10 Q. And how would that come about, were you
11 given instructions to call a cab by anyone?
12 A. No, I would call the cab, the taxi.
13 Q. How did you know a cab needed to be
14 called?
15 A. Because Sarah would tell me can you get
16 me a taxi.
17 Q. So when the girl was finished what she
18 was doing Sarah would come to you and say --
19 A. She would call me.
20 MR. CRITTON: Form.
21 BY MR. MERMELSTEIN:
22 Q. She would call you?
23 A. Yes.
24 Q. Okay. You would be in the guest house at
25 the time?
Page 153
1 A. Yes.
2 Q. Do you recall having to do that often?
3 A. No, not very often, sir.
4 Q. Did Mr. Epstein keep photograph equipment
5 in the house?
6 A. I don't remember seeing it.
7 Q. Do you recall seeing any video equipment?
8 A. No, sir.
9 Q. Do you recall any video or photograph
10 equipment in the master bedroom?
11 A. No, sir.
12 Q. The models that you saw on the computer,
13 did you recognize any of them as having been at
14 the house?
15 A. No.
16 Q. The girls who stayed at the house, did
17 any of them speak with a foreign accent?
18 A. Yes.
19 Q. Many of them?
20 MR. CRITTON: Form.
21 THE WITNESS: Some of them.
22 BY MR. MERMELSTEIN:
23 Q. Would any of them not speak any English?
24 A. No.
25 Q. They all spoke English?
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Page 154
1 A. They all --
2 Q. But some of them had accents?
3 A. Yes.
4 Q. Were they from one place in particular?
5 A. Europe.
6 Q. Eastern Europe?
7 A. Could be.
8 MR. CRITTON: Did you say could be, is
9 that what you said?
10 THE WITNESS: Could be.
11 MR. CRITTON: Form.
12 BY MR. MERMELSTEIN:
13 Q. That would be your guess as to where they
14 were from?
15 A. Yes, but I'm not an expert in languages,
16 sir, but they had accent.
17 Q. Do you know how Mr. Epstein came into
18 contact with these girls or became friends with
19 them?
20 A. No, sir.
21 Q. Did you ever talk to any of them about
22 how they met Mr. Epstein?
23 A. No.
24 Q. Did you and the other members of the
25 staff that worked for you, did you ever talk about
Page 155
1 Mr. Epstein?
2 A. Sometimes.
3 Q. What kind of things would you talk about?
4 A. Where do you think these girls are from,
5 what are they doing, you know, are they going to
6 college, Louella used to ask me that, but I mean,
7 beyond that we didn't --
8 Q. By these girls which ones are you
9 referring to?
10 A. The one that were coming in the plane.
11 Q. Plane. You didn't have that kind of --
12 A. Louella was gone by 5:00. Five p.m. she
13 was gone. She would work from eight to five. So
14 most of the early evening I was there by myself.
15 Q. Okay. But the question was, did you ever
16 talk with Louella about the girls who were coming
17 for massages?
18 A. No.
19 Q. And that would have been before 5:00 as
20 well. Right?
21 A. Yeah.
22 Q. So she saw girls coming?
23 A. Yeah, exactly, but we never -- we didn't
24 have a chance because we were busy, you know. But
25 we never had that conversation.
Page 156
1 Q. Okay. But you did speculate with Louella
2 about the girls who stayed at the house and flew
3 in with Mr. Epstein. Correct?
4 MR. CRITTON: Form.
5 THE WITNESS: Sometimes, yes.
6 BY MR. MERMELSTEIN:
7 Q. Were there rumors that either you or her
8 heard about those girls?
9 MR. CRITTON: Form.
10 THE WITNESS: No.
11 BY MR. MERMELSTEIN:
12 Q. Do you remember anything more specific
13 about things Louella may have observed about these
14 girls?
15 A. No.
16 Q. Anyone else that you spoke to about --
17 A. No, nobody.
18 Q. Nobody else on the staff you ever spoke
19 to about any of the girls?
20 A. No.
21 MR. MERMELSTEIN: Why don't we break and
22 I'm going to pass the baton.
23 THE VIDEOGRAPHER: We're off the record.
24 (Thereupon, a recess was had.)
25 THE VIDEOGRAPHER: We're back on the
Page 157
1 record tape with number four.
2 EXAMINATION
3 BY MR. EDWARDS:
4 Q. Mr. Rodriguez, my name is Brad Edwards, I
5 represent in these cases E.W. who is -- and I'll
6 tell you right now, C.W., we talked about
7 earlier --
8 (Thereupon, an interruption was had.)
9 MR. CRITTON: We're ready.
10 BY MR. EDWARDS:
11 Q. I represent L.M., who is T.M., I'm going
12 to ask you some questions about her as well, and
13 Jane Doe, S.R.
14 Are those names that you're familiar
15 with?
16 A. Currently, yes.
17 Q. How about T.?
18 A. How do you spell her?
19 Q. (Off the record.)
20 A. Yeah, I remember her.
21 Q. You remember what she looks like?
22 A. If I see her I will remember her.
23 Q. During the six month or so period that
24 you worked there how often would you see T.?
25 A. Okay, to answer the question, when Mr.
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Page 158
1 Epstein was not there obviously the house was shut
2 down. When Mr. Epstein was here probably twice a
3 week.
4 Q. Okay. And going back to C.W., how often
5 would you see her?
6 A. More often.
7 Q. More often then T.?
8 A. Yeah.
9 Q. If you saw T. twice a week then how often
10 would you see C.?
11 A. I will say three to four times.
12 Q. Per week?
13 A. Yes.
14 Q. And do you remember S.R. at all?
15 A. She goes under another name?
16 Q. I wouldn't think so.
17 A. No, I don't remember her.
18 Q. Okay. And when you would see either T.
19 or C., in what context would you see them; at
20 Jeffrey Epstein's house?
21 A. Yes. C. used to call me.
22 Q. She used to call you directly?
23 A. Yeah, no, well, I used to take the
24 message from her, I clearly remember that, but not
25 S. or --
Page 159
1 Q. T.?
2 A. T.
3 Q. When C. would call you what would she
4 typically say to you?
5 A. I just looking at some of the messages I
6 took, that's exactly what it is, I got females for
7 him.
8 Q. Okay. And when C. herself would come to
9 Jeffrey Epstein's house, what would she come there
10 to do?
11 MR. CRITTON: Form.
12 THE WITNESS: I assume they were
13 massages.
14 BY MR. EDWARDS:
15 Q. Okay. You thought that C.W. was a
16 masseuse?
17 A. Yes.
18 Q. Okay. You mentioned earlier you have a
19 daughter. Right?
20 A. Yes.
21 Q. And your daughter is 20?
22 A. 20, and I have a 16 year old.
23 Q. C.W. is 21, so back in 2004, 2005, we're
24 talking about a 15 year old girl.
25 Is that you thought that the 15 year old
Page 160
1 girl was at Jeffrey Epstein's house, just so the
2 record is clear, to give a massage, you thought
3 she was a masseuse?
4 MR. CRITTON: Form.
5 THE WITNESS: It's hard to answer to say
6 yes or no. At that time -- let me put it
7 this way. I saw these girls coming into the
8 house to have a good time. But I didn't
9 know or I was not interested if it was going
10 to be a massage or something else, that was
11 my opinion. Now, they look young but, I
12 mean, I never thought they were underage.
13 BY MR. EDWARDS:
14 Q. Okay. Do you recall C. when she would
15 come to the house she actually had braces when she
16 was visiting Mr. Epstein?
17 MR. CRITTON: Form.
18 THE WITNESS: I don't remember that.
19 BY MR. EDWARDS:
20 Q. Okay. C. when she was coming over the
21 house -- I'm using her for an example because it
22 seems you remember her the best of T., C., and S.
23 Right?
24 A. Yes.
25 Q. It seemed like she was relatively the age
Page 161
1 of your daughter?
2 MR. CRITTON: Form.
3 THE WITNESS: It's hard to say.
4 BY MR. EDWARDS:
5 Q. You wouldn't be shocked to know that she
6 was the age of your daughter though. Right?
7 MR. CRITTON: Form.
8 THE WITNESS: No.
9 BY MR. EDWARDS:
10 Q. Okay. And T. the same, I mean, you
11 wouldn't be surprised if you learned that she was
12 14, 15, 16 years old going over to Jeffrey
13 Epstein's house, that doesn't shock you either.
14 Right?
15 MR. CRITTON: Form.
16 THE WITNESS: (Shakes head.)
17 BY MR. EDWARDS:
18 Q. For the record, I just need you to answer
19 out loud.
20 A. No.
21 Q. Okay. You mentioned that you knew that
22 they were coming over, you thought they were
23 coming over to have a -- I'll use your words, to
24 have a good time.
25 What made you believe these girls were
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Page 162
1 coming over to his house to have a good time? And
2 then I think you finished by saying I didn't know
3 if they were doing massages or something else.
4 Just elaborate on that, what did you mean by that?
5 MR. CRITTON: Form.
6 THE WITNESS: Because they were cheerful,
7 they were happy, like any young girl, you
8 know, they would listen to I-pods, stuff
9 like that. I think they were having a good
10 time.
11 BY MR. EDWARDS:
12 Q. Okay. Other than being cheerful, happy,
13 and listening to I-pods, what else do you remember
14 about them that indicated to you that they were
15 there to have a good time?
16 A. I will say that knowing Jeffrey Epstein
17 everybody that will met him he was -- because he
18 was a reclusive mysterious man, getting to know
19 him that close it was like a matter that you're
20 going to get advance in life as modeling or acting
21 career or something like that. Even so for men
22 that used to go there they will have the probably
23 doing business with him. Girls like that, the
24 girls like including I'm talking about my girls,
25 they like danger, so not danger with him but, I
Page 163
1 mean, that's my opinion, you know, they were
2 having a good time, that's what I can say.
3 Q. And when you said you're talking about
4 your girl, did that mean for that minute you were
5 thinking about your own daughter?
6 A. Yes.
7 Q. And that she would be impressed by
8 somebody like Mr. Epstein?
9 MR. CRITTON: Form.
10 THE WITNESS: Yes, exactly.
11 BY MR. EDWARDS:
12 Q. And somebody -- and that was common of
13 visitors of Mr. Epstein to be impressed by him and
14 hope that he could reward them by modelling or
15 something else?
16 MR. CRITTON: Form.
17 THE WITNESS: Yes.
18 BY MR. EDWARDS:
19 Q. And getting to know him as well as you
20 did, did that seem typical of the clientele or
21 guests that would visit his house?
22 MR. CRITTON: Form.
23 THE WITNESS: I would say yes.
24 BY MR. EDWARDS:
25 Q. Okay. And you called him mysterious and
Page 164
1 reclusive and obviously you told us about his vast
2 wealth. Right?
3 A. Yes.
4 MR. CRITTON: Form.
5 BY MR. EDWARDS:
6 Q. Are those characteristics things that you
7 believe he used to get people over to his house
8 such as these girls, C. and T.?
9 MR. CRITTON: Form.
10 THE WITNESS: Yes.
11 BY MR. EDWARDS:
12 Q. Okay. And when C. or T. -- and just so
13 that we're not only talking about C. and T., those
14 are two of the girls, but there were also many
15 other girls that were relatively the same age as
16 C. and T. that came over to his house to have a
17 good time. Right?
18 MR. CRITTON: Form.
19 THE WITNESS: Can you rephrase that?
20 BY MR. EDWARDS:
21 Q. Yes. I mean, you told me that T. came
22 over roughly twice a week, and C. came over three
23 to four times a week. In addition to C. and T., I
24 mean, obviously there is other attorneys in this
25 room right now that represent other girls, there
Page 165
1 were many other girls roughly or approximately the
2 same age as you would observe as C. and T. that
3 came to his house frequently to have a good time?
4 MR. CRITTON: Form.
5 THE WITNESS: Yes.
6 BY MR. EDWARDS:
7 Q. During the six month period of time that
8 you were there, can you give us your best
9 approximation as to the number of girls that would
10 come to Jeffrey's house in that age group of C.
11 and T. that were there to have a good time?
12 MR. CRITTON: Form.
13 BY MR. EDWARDS:
14 Q. As you've classified it.
15 MR. CRITTON: Form.
16 THE WITNESS: I would say eight.
17 BY MR. EDWARDS:
18 Q. There is eight that you remember?
19 A. Eight, ten.
20 Q. Could be more, could be less?
21 MR. CRITTON: Form.
22 BY MR. EDWARDS:
23 Q. But that's your best approximation?
24 A. (Shakes head.)
25 Q. Do you have the names of these people
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Page 166
1 written down anywhere?
2 A. No.
3 Q. It's my understanding that C. and T.
4 either came to his house alone to visit with Mr.
5 Epstein or brought other girls in their age group
6 to Mr. Epstein.
7 Were you familiar with that type of
8 recruitment process of girls bringing other girls?
9 MR. CRITTON: Form.
10 THE WITNESS: Yes.
11 BY MR. EDWARDS:
12 Q. Can you tell me more about what you know
13 about girls bringing other girls that are
14 relatively the same age to come to Jeffrey
15 Epstein's house and to use your words, have a good
16 time?
17 MR. CRITTON: Form.
18 THE WITNESS: It's hard to know who they
19 knew. But I think that was -- they feel
20 better themselves when they're in a group
21 than going by themselves, but I don't know
22 somebody recruiting.
23 BY MR. EDWARDS:
24 Q. Okay. And you've talked about, at least
25 referred to yourself I believe to the police and
Page 167
1 as well today as a human ATM machine. Right?
2 MR. CRITTON: Form.
3 THE WITNESS: Something like that. I was
4 supposed to carry cash at all times.
5 BY MR. EDWARDS:
6 Q. One of the primary reasons why you
7 carried cash was to pay the girls in this age
8 group of C. and T. for whatever happened at the
9 house. Right?
10 MR. CRITTON: Form.
11 THE WITNESS: Yes.
12 BY MR. EDWARDS:
13 Q. That's a fair statement. Right?
14 MR. CRITTON: Form.
15 THE WITNESS: Yes.
16 BY MR. EDWARDS:
17 Q. Okay. And when C., let's use her for
18 example, would bring somebody else to the house,
19 did you pay C. as well as whomever she brought to
20 the house, pay them both?
21 A. No, I pay only one person.
22 Q. Okay. My understanding, and tell me if
23 this is wrong or you can corroborate this, is that
24 Mr. Epstein would pay the girl that was actually
25 performing whatever was happening in the room --
Page 168
1 for now we'll call it a massage -- as well as
2 anybody who brought that person over to the house,
3 they would both get paid cash. Are you familiar
4 with that?
5 MR. CRITTON: Form.
6 THE WITNESS: No.
7 BY MR. EDWARDS:
8 Q. If C. brought another girl over to the
9 house and C. stayed downstairs but this other girl
10 went upstairs with Mr. Epstein, which one would
11 you pay?
12 A. I don't know because I was told who to
13 pay.
14 Q. And Sarah Kellen always told you?
15 A. Sarah told me pay so and so.
16 Q. So if we were going to ask anybody else
17 about the exact method in terms of who would get
18 paid and for what, who would the people be? I
19 mean, other than Mr. Epstein who else could we ask
20 these questions?
21 A. Sarah.
22 Q. Sarah Kellen?
23 A. Yes.
24 Q. She would know this?
25 A. Yes.
Page 169
1 Q. What about Ghislaine Maxwell?
2 MR. CRITTON: Form.
3 THE WITNESS: You're talking about the
4 boss. I don't know.
5 BY MR. EDWARDS:
6 Q. To your knowledge was Ghislaine Maxwell
7 aware of these girls that are in the age group of
8 C. and T. coming to Jeffrey Epstein's house to
9 have a good time?
10 MR. CRITTON: Form.
11 THE WITNESS: I have to say something.
12 Mrs. Maxwell called me and told me not to
13 ever discuss or contact her again in a
14 threaten way.
15 BY MR. EDWARDS:
16 Q. When was this?
17 A. Right after I left because I call one of
18 the friends for a job and she told me this, but,
19 you know, I feel intimidated and so I want to keep
20 her out.
21 Q. What exactly did she say? First of all,
22 was this a telephone call?
23 A. Yes, she was in New York.
24 Q. She called you on your cell phone?
25 A. Yes.
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Page 170
1 Q. Is this the cell phone that was issued to
2 you by Mr. Epstein?
3 A. No, it was my personal phone. I was
4 already --
5 Q. Gone?
6 A. Yeah, this is three, four months down the
7 road.
8 Q. So if you left in --
9 A. February, March -- it was May or June.
10 Q. Of 2005?
11 A. Yes.
12 Q. And you got a call from Ghislaine Maxwell
13 out of the blue?
14 A. Yes.
15 Q. And do you know what prompted that
16 telephone call?
17 A. Because I contact somebody in New York to
18 get a job.
19 Q. Who was that person?
20 A. I contact Jean-Luc and I contact Eva, the
21 Swedish girl, she used to be very good friends
22 with Mr. Epstein because she asked me she need
23 somebody in New York.
24 Q. What does Eva do?
25 A. Eva was a model many years ago and he
Page 171
1 married -- Eva is the mother of the girl who was
2 on the wall.
3 Q. Who is on the wall of Mr. Epstein's
4 house?
5 A. Yeah.
6 Q. All right. There is a younger girl model
7 that's on the wall of Mr. Epstein's house and this
8 lady Eva is her mother?
9 A. Yes.
10 Q. And at some point in time you called her
11 in New York to get a job?
12 A. That's right.
13 Q. And you also called Jean-Luc Bernell?
14 That's his name. Right?
15 A. Jean-Luc, yeah, I don't remember his last
16 name.
17 Q. Does that sound familiar to you, Jean-Luc
18 Bernell?
19 A. Yeah.
20 Q. What did Eva and/or Jean-Luc say about
21 employing you?
22 A. No, they said they're going to find out
23 and obviously the first thing they did was talk to
24 Mrs. Maxwell.
25 Q. She made a telephone call to you and what
Page 172
1 precisely did she say?
2 A. She said I forbid you that you're going
3 to be -- that I will be sorry if I contact any of
4 her friends again.
5 Q. Okay. Other than you will be sorry if
6 you contact any of my friends again did she say
7 anything else about what you know about Mr.
8 Epstein and/or what goes on at his house?
9 A. She said something like don't open your
10 mouth or something like that. But you have to
11 understand, I'm a civil humble, I came as an
12 immigrant to service people, and right now you
13 feel a little -- I'm 55 and I'm afraid. First of
14 all, I don't have a job, but I'm glad this is on
15 tape because I don't want nothing to happen to me.
16 This is the way they treat you, better do this and
17 you shut up and don't talk to nobody and --
18 Q. When you say this is the way they treat,
19 who specifically are you talking about when you
20 say the word they?
21 A. Maxwell.
22 Q. And usually when you say the word they,
23 you're not only talking about one person --
24 A. Wealthy people.
25 Q. Are you also putting Jeffrey Epstein in
Page 173
1 that category?
2 MR. CRITTON: Form.
3 THE WITNESS: I didn't talk to him
4 directly most of the time.
5 BY MR. EDWARDS:
6 Q. What's the reason why if you were his
7 head of security that you wouldn't have more
8 direct contact with him? Why is that?
9 MR. CRITTON: Form.
10 THE WITNESS: He wanted that way, you
11 know, so, yeah, I have to talk to Sarah,
12 Sarah is not available talk to Lesley in New
13 York. He didn't want to be disturbed.
14 BY MR. EDWARDS:
15 Q. Even while you were in the same house
16 with him he still had other people you could talk
17 to directly but he was not one of them?
18 A. Yeah.
19 Q. When you were fired you were not fired
20 directly by him?
21 A. No.
22 Q. It was through somebody else?
23 A. Ms. Maxwell.
24 Q. Okay. But it was for upsetting him for
25 taking the wrong car?
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Page 174
1 A. Yes.
2 Q. Okay. Ever since this communication that
3 Ms. Maxwell made to you where she called you
4 sometime in May or June of 2005, and have you felt
5 threatened?
6 A. Yes.
7 MR. CRITTON: Form.
8 BY MR. EDWARDS:
9 Q. Have you felt reluctant to come forward
10 and give truthful, honest, and full disclosure of
11 all information that you know about this case?
12 MR. CRITTON: Form.
13 THE WITNESS: I said this off the record
14 but I will say it on the record, being in
15 the Epstein case for me resulted in two
16 years I have -- I won't bring the names but
17 I was in the third interview to get hired as
18 a household manager in Palm Beach and they
19 told me you are the Jeffrey Epstein guy.
20 Not in the sense I did something wrong
21 because of the scandal, so they shun the job
22 away from me. And so I was afraid that --
23 this is very powerful people and one phone
24 call and you finish, so I'm the little guy.
25 Even I'm wearing a tie I'm a -- I'm talking
Page 175
1 from my heart. This is the way it is.
2 BY MR. EDWARDS:
3 Q. I feel for you, I'm sorry that you have
4 to be in this position.
5 MR. CRITTON: Move to strike this.
6 BY MR. EDWARDS:
7 Q. Well, when you applied for these jobs and
8 they turned you down and gave you the reason that
9 you're the person involved in the Jeffrey Epstein
10 scandal, was it that they are associated or
11 friends with Jeffrey Epstein or is it that you
12 have information and you have this confidentiality
13 but you're revealing some certain information that
14 Mr. Epstein would not like?
15 MR. CRITTON: Form.
16 THE WITNESS: Both.
17 BY MR. EDWARDS:
18 Q. Both?
19 A. Both.
20 Q. And since then given what you just told
21 us about these people being very powerful, are you
22 afraid for your life given the fact that you're
23 involved to some extent in this case?
24 MR. CRITTON: Form.
25 THE WITNESS: I just start thinking about
Page 176
1 this. Because I went through -- the first
2 time I went to the deposition I was in Palm
3 Beach and I did my duty, I mean, I tell what
4 I know, but now I know there is more
5 digging, all I want is this to be to get on
6 with my normal life and stuff.
7 BY MR. EDWARDS:
8 Q. So when you come here today to testify,
9 your main objective is to get back to your normal
10 life and get out of the spotlight of this case.
11 Yes?
12 A. Yes.
13 Q. And in doing so have you held back some
14 of the details that you know about that happened
15 in this case to remove yourself from the
16 spotlight?
17 MR. CRITTON: Form.
18 THE WITNESS: No, sir.
19 BY MR. EDWARDS:
20 Q. Okay. Have you ever talked to Ghislaine
21 Maxwell after that telephone call where she called
22 you and you felt threatened?
23 A. No.
24 Q. Okay. So going back to where we started
25 here was, does Ghislaine Maxwell have knowledge of
Page 177
1 the girls that would come over to Jeffrey
2 Epstein's house that are in roughly the same age
3 group as C. and T. and to have a good time as you
4 put it?
5 MR. CRITTON: Form.
6 THE WITNESS: Yes.
7 BY MR. EDWARDS:
8 Q. And what was her involvement and/or
9 knowledge about that?
10 MR. CRITTON: Form.
11 THE WITNESS: She knew what was going on.
12 BY MR. EDWARDS:
13 Q. You referred to her at one point in time
14 as Jeffrey Epstein's companion. But then later on
15 you said that if she flew she flew on a different
16 airplane and oftentimes or sometimes she slept in
17 a different bed from Mr. Epstein. Did that seem
18 unusual to you?
19 MR. CRITTON: Form.
20 THE WITNESS: It was odd but, I mean, and
21 again, everything is odd in Palm Beach.
22 BY MR. EDWARDS:
23 Q. Okay, I don't mean to laugh.
24 A. Mr. Epstein fly to Jet Aviation, she fly
25 to Galaxy Aviation, but they never flew the same
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Page 178
1 plane, I don't know why.
2 Q. And did you ever find out why?
3 A. No.
4 Q. You never really inquired why?
5 A. No.
6 Q. That wasn't your job?
7 A. (Shakes head.)
8 Q. You were just there to do your job?
9 A. Exactly.
10 Q. Obviously at some point in time you see
11 these girls coming over to Mr. Epstein's house to
12 have a good time and over time you start wondering
13 what is going on with Mr. Epstein and these girls.
14 Right?
15 MR. CRITTON: Form.
16 THE WITNESS: Yes.
17 BY MR. EDWARDS:
18 Q. And you understand that Mr. Epstein is a
19 wealthy person that could have the best masseuse
20 in the world come to his house. Yes?
21 MR. CRITTON: Form.
22 THE WITNESS: Yes.
23 BY MR. EDWARDS:
24 Q. These were not professional masseuses
25 that were coming to his house to give massages.
Page 179
1 Right?
2 MR. CRITTON: Form.
3 THE WITNESS: Yes.
4 BY MR. EDWARDS:
5 Q. They were not?
6 MR. CRITTON: Form.
7 THE WITNESS: They were not the best but
8 they say they were masseuses.
9 BY MR. EDWARDS:
10 Q. They said that or Sarah Kellen said that?
11 Who is they? Is it Sarah Kellen and Jeffrey
12 Epstein or is it C. and T. that would come and
13 announce themselves as masseuses?
14 MR. CRITTON: Form.
15 THE WITNESS: We wanted to put the title
16 masseuse.
17 BY MR. EDWARDS:
18 Q. Who is we?
19 A. We the staff and Sarah.
20 Q. Who taught you that these girls that are
21 in T. and C. age group should be referred to as
22 masseuses? Who taught you that title?
23 MR. CRITTON: Form.
24 THE WITNESS: I just heard them, you
25 know.
Page 180
1 BY MR. EDWARDS:
2 Q. Who heard who?
3 A. I heard Sarah going to be coming to give
4 a massage.
5 Q. Okay. When the girls would come in to
6 Mr. Epstein's house, would you be the first one to
7 meet them and greet them or would that be Sarah?
8 A. Me.
9 Q. And if C. came would she normally come
10 alone or with somebody else?
11 A. Sometimes she had a companion sometimes
12 she was by herself.
13 Q. Given C.'s age you never truly believed
14 she was there as a masseuse; did you?
15 MR. CRITTON: Form.
16 THE WITNESS: From the father point of
17 view, no.
18 BY MR. EDWARDS:
19 Q. And that in conjunction with the fact
20 that when she called she gives you messages such
21 as I have girls to bring for Mr. Epstein lead you
22 to believe that there was something more going on
23 then massages at Mr. Epstein's house with these
24 girls?
25 MR. CRITTON: Form.
Page 181
1 THE WITNESS: When I was working I didn't
2 have the time to realize that, but now
3 you're out and you start -- yes, it is more
4 than that.
5 BY MR. EDWARDS:
6 Q. And when C. would come over and she would
7 bring a companion, who would lead them to the area
8 -- I guess it's the upstairs bedroom, who would
9 lead them up there, would it be Sarah or would it
10 be yourself?
11 MR. CRITTON: Form.
12 THE WITNESS: Sarah.
13 BY MR. EDWARDS:
14 Q. Let's say two of them come over, I know
15 that there is numerous times that she is coming
16 three or four times a week for the six month
17 period that you're there, but if it is C. and
18 another companion, and that other companion would
19 usually be roughly her age. Right?
20 MR. CRITTON: Form.
21 THE WITNESS: It was something like that.
22 BY MR. EDWARDS:
23 Q. I mean, there were not people bringing
24 over massage tables to give him a massage, these
25 were girls who were C. and T. age, approximately,
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Page 182
1 all of them?
2 MR. CRITTON: Form.
3 THE WITNESS: They were not carrying
4 massage tables, no.
5 BY MR. EDWARDS:
6 Q. So when C. and a friend would be lead
7 upstairs would they go into the room with Mr.
8 Epstein together?
9 A. I was not there.
10 Q. All right. So that's when you exited to
11 the other house?
12 A. I escorted them to the kitchen and they
13 went through the stairwell upstairs.
14 Q. All right. Sometimes you went in after
15 the massages to clean up the room. Is that right?
16 A. Right, when Mr. Epstein go out of the
17 house.
18 Q. After he was out of the house?
19 A. Yes.
20 Q. What other indications besides their age,
21 what other indications were there that there was
22 something more than a massage going on in the
23 room?
24 MR. CRITTON: Form.
25 THE WITNESS: I don't know.
Page 183
1 BY MR. EDWARDS:
2 Q. Just your fatherly instinct told you
3 that; is that it?
4 MR. CRITTON: Form.
5 THE WITNESS: Yes.
6 BY MR. EDWARDS:
7 Q. And when T. would come over would she
8 normally bring others with her?
9 A. Usually they came in couples, but
10 sometimes I wouldn't say never happened but
11 probably they were by themselves.
12 Q. Okay. But your feeling was when they
13 came in groups was because they felt more
14 comfortable in a group?
15 A. Yes.
16 MR. CRITTON: Form.
17 BY MR. EDWARDS:
18 Q. Were you ever aware or am I the first to
19 tell you that Mr. Epstein would offer them money
20 for their services in the bedroom as well as money
21 for every single girl that they brought him? Am I
22 the first to tell you that?
23 MR. CRITTON: Form.
24 THE WITNESS: No, I didn't know that.
25 BY MR. EDWARDS:
Page 184
1 Q. You didn't?
2 A. No.
3 Q. I'm going to go to the police report that
4 we have that mentions your name in it in several
5 places. All right. I think the first time that
6 we find your name is page 50 at the bottom. This
7 is not a transcript of any statement that you gave
8 so I want to read some of it and you tell me is
9 this accurate or does it accurately reflect what
10 you told Detective Recarey. Okay.
11 A. Okay.
12 MR. CRITTON: Just object to the
13 procedure. I think that's improper, if
14 you're trying to accredit him it's improper,
15 if you're trying to impeach him it's
16 improper. But go, do what you want.
17 MR. EDWARDS: I said it's not a
18 statement. Do you want to give me the
19 statement?
20 BY MR. EDWARDS:
21 Q. Mr. Rodriguez stated he had worked with
22 Epstein for approximately six months after the
23 previous houseman left. Correct?
24 MR. CRITTON: Form.
25 THE WITNESS: Yes.
Page 185
1 BY MR. EDWARDS:
2 Q. He stated that it was his responsibility
3 to keep the identity of the masseuses private.
4 A. Yes.
5 MR. CRITTON: Form.
6 BY MR. EDWARDS:
7 Q. And is that something that you told Mr.
8 -- Detective Recarey that it was your
9 responsibility to keep the identity of the
10 masseuses private?
11 A. That was part of my job.
12 Q. Who delegated that particular
13 responsibility, is that Sarah Kellen or Jeffrey
14 Epstein?
15 A. Sarah Kellen.
16 Q. What specifically did she tell you about
17 keeping the identity of the masseuses private?
18 A. Everything in the house was confidential.
19 And we didn't -- several times, you know, whatever
20 was going on in the house Sarah told me, you know
21 you're not suppose to say this, we know because I
22 signed 27 pages of confidentiality agreement.
23 Q. The confidentiality agreement that you
24 referred to earlier was 27 pages long?
25 A. Yes, something like that.
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Page 186
1 Q. You've worked for other people in a
2 similar fashion in terms of being a housekeeper.
3 Right?
4 A. Yes.
5 Q. And with each of those people did you
6 have to sign a confidentiality agreement?
7 A. No.
8 Q. That's something that only applied to
9 your position with Jeffrey Epstein?
10 A. Yes.
11 Q. Who did you work for? I'm going to come
12 back to this. Who did you work for just prior to
13 Mr. Epstein?
14 A. Mr. Arturo Torres in Fisher Island.
15 MR. EDWARDS: Do you need a spelling?
16 THE WITNESS: T-O-R-R-E-S.
17 BY MR. EDWARDS:
18 Q. Okay. Did you have to sign a
19 confidentiality agreement with him?
20 A. No.
21 Q. Were your duties fairly similar?
22 A. Same thing.
23 Q. Manage the house?
24 A. Yes, sir.
25 Q. This is another wealthy person that
Page 187
1 needed someone to manage the house?
2 A. Yes.
3 Q. And how long did you work for him?
4 A. Four years and two different occasions.
5 Q. One in Fisher Island?
6 A. One in Fisher Island, the other one in
7 his ranch in Texas.
8 Q. Why did you leave him and start with Mr.
9 Epstein?
10 A. His health declined and he didn't need
11 anybody like me so he moved back to Spain, he came
12 once in awhile, I used to take care of his car,
13 and then finally he passed away two years ago.
14 Q. After you were relieved of your duties
15 with Mr. Epstein where is the next place where you
16 were employed?
17 A. I worked for Sidney Goldman, a gentleman
18 in Fort Lauderdale, a wealthy individual also, he
19 was in his 80's, and I did some functions.
20 Q. Okay. How long did you work for him?
21 A. Probably six months.
22 Q. And why did you stop there?
23 A. Because he also 83 or 84 at the time and
24 they start reducing staff. He used to go out, he
25 didn't need a chauffeur so they slash one of my
Page 188
1 duties and then I started work for Mrs. Hammond.
2 Q. And where was that?
3 A. In Palm Beach.
4 Q. How long did you work there?
5 A. For Mrs. Hammond on and off for two or
6 three years.
7 Q. In any of those other places did any of
8 the people that you worked for ever get massages
9 at their house?
10 A. Yes.
11 Q. Which of those people?
12 A. Mrs. Hammond.
13 Q. And who would usually give the massages
14 at her house?
15 A. She would call somebody from West Palm
16 Beach.
17 Q. And did you see the masseuse that would
18 show up?
19 A. Yes.
20 Q. Male or female?
21 A. Female.
22 Q. And what age group was that masseuse?
23 A. Actually she was older, 40's.
24 Q. Did she bring a massage table or was
25 there one in the house?
Page 189
1 A. There was one in the house.
2 Q. There was one?
3 A. Yeah.
4 Q. And what about that person told you that
5 that is a legitimate masseuse when they showed up
6 at Ms. Hammond's house?
7 MR. CRITTON: Form.
8 THE WITNESS: Nothing, just maybe
9 Ms. Hammond tried it the first time and she
10 liked it, you know, nothing indicated to me,
11 I didn't see her license or anything.
12 BY MR. EDWARDS:
13 Q. Was this specific responsibility that
14 we're talking about your responsibility to keep
15 the identity of the masseuses private, was that
16 something that Sarah Kellen told you more than
17 once after you signed the confidentiality
18 agreement?
19 A. I believe so.
20 Q. And why would that subject matter come up
21 to where she would need to reiterate that?
22 MR. CRITTON: Form.
23 THE WITNESS: Maybe for directions from
24 the boss.
25 MR. CRITTON: Move to strike a guess.
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Page 190
1 BY MR. EDWARDS:
2 Q. When you were at his house, I think you
3 said earlier that he would get one or two massages
4 everyday he was there. Is that right?
5 A. Yes.
6 Q. And each of the massages, just so we're
7 clear, that you're talking about are given by the
8 girls that are in the age group of C. and T. that
9 were at his house to have fun. Right?
10 MR. CRITTON: Form.
11 THE WITNESS: I didn't know who was
12 giving the massages but obviously the
13 massages was going on. But I don't know how
14 to answer your question. I don't know if
15 these girls giving the massage itself.
16 BY MR. EDWARDS:
17 Q. No, no, no. You're misunderstanding my
18 question, or I'm just not communicating well with
19 you.
20 I'm not saying there was a massage or not
21 a massage going on. I'm saying that you were
22 taught to label these girls as masseuses. Right?
23 A. Yes.
24 MR. CRITTON: Form.
25 BY MR. EDWARDS:
Page 191
1 Q. And when we're talking about these girls,
2 we are talking about the group of girls that would
3 come to his house that are roughly in the age
4 group of C. and T. Right?
5 MR. CRITTON: Form.
6 THE WITNESS: More or less.
7 BY MR. EDWARDS:
8 Q. We're not talking about some professional
9 massage service that would show up at his house to
10 give a massage, that's not what we're talking
11 about. Right?
12 MR. CRITTON: Form.
13 THE WITNESS: It's hard to say. It's
14 hard to say because there are young
15 masseuses too. It's hard to say.
16 BY MR. EDWARDS:
17 Q. Well, you testified that some of them
18 would show up in taxicabs. Right?
19 A. Yeah.
20 Q. That's a little odd for a masseuse.
21 Right?
22 MR. CRITTON: Form.
23 THE WITNESS: (Shakes head.)
24 BY MR. EDWARDS:
25 Q. I mean, that's one indication that this
Page 192
1 is not a professional masseuse that's showing up
2 at his house, they're showing up in a taxicab.
3 Right?
4 MR. CRITTON: Form.
5 THE WITNESS: Yes.
6 BY MR. EDWARDS:
7 Q. So that's something else that you as
8 somebody who has common sense had told you that
9 these are young girls that are at his house to
10 have fun and that has very little, if anything, to
11 do with a massage.
12 MR. CRITTON: Form.
13 BY MR. EDWARDS:
14 Q. Right?
15 MR. CRITTON: Form, argumentative.
16 THE WITNESS: In fairness it's hard to
17 say.
18 BY MR. EDWARDS:
19 Q. What was going on behind closed doors?
20 A. Exactly.
21 Q. Why earlier did you say you had the
22 feeling that there was something more going on
23 than a masseuse?
24 A. In terms of fun. You don't know if it's
25 -- I have to say this. Some of this lawsuit is
Page 193
1 because forceful violation or something of a girl,
2 I mean a rape. Okay. So it's hard to say if it
3 was nothing except having fun.
4 MR. CRITTON: Let me put an objection in,
5 move to strike, I'm not sure what that was
6 responsive to.
7 BY MR. EDWARDS:
8 Q. We're talking about a time period when
9 Mr. Epstein is 50 years old plus, and we're
10 talking about these girls coming over to his house
11 that are 14, 15, or 16 years old, and you're
12 categorization is they're just there to have fun.
13 Right?
14 MR. CRITTON: Form.
15 THE WITNESS: Is that what you asked me?
16 BY MR. EDWARDS:
17 Q. Yes.
18 A. Yes.
19 Q. Okay. And that in your mind was okay or
20 that was strange or that was it's none of my
21 business?
22 MR. CRITTON: Form.
23 THE WITNESS: I have to say yes or no or
24 I have to give my opinion on that?
25 BY MR. EDWARDS:
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1 Q. Sure, go ahead and answer however you
2 want.
3 MR. CRITTON: Form.
4 THE WITNESS: I don't think it was right.
5 BY MR. EDWARDS:
6 Q. Did you ever voice that opinion that you
7 didn't think that it was right that these young
8 girls were over behind closed doors upstairs with
9 Mr. Epstein in his bedroom?
10 MR. CRITTON: Form.
11 THE WITNESS: I been asked that question
12 before.
13 BY MR. EDWARDS:
14 Q. Excuse me?
15 A. I been asked that question before.
16 Q. By whom?
17 A. Palm Beach Police Department.
18 Q. Did you give the same answer that you did
19 not think it was right?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes.
22 BY MR. EDWARDS:
23 Q. And what about it to you aside from the
24 fact that you had a daughter roughly the same age,
25 what besides that told you that it wasn't right?
Page 195
1 MR. CRITTON: Form.
2 THE WITNESS: Ask me your question again.
3 BY MR. EDWARDS:
4 Q. My question is, why is it your opinion
5 that it wasn't right for these young girls to be
6 up in Mr. Epstein's --
7 A. It wasn't.
8 MR. CRITTON: Form.
9 BY MR. EDWARDS:
10 Q. It wasn't right?
11 A. It wasn't.
12 Q. And why not?
13 MR. CRITTON: Form.
14 THE WITNESS: Because I'm a father, I
15 have two daughters.
16 BY MR. EDWARDS:
17 Q. And given Mr. Epstein's wealth and power
18 and influence, is that something that you as a
19 father could have seen your daughters doing at
20 that age?
21 MR. CRITTON: Form.
22 THE WITNESS: I don't think that my
23 daughters would be doing that.
24 BY MR. EDWARDS:
25 Q. You would hope not.
Page 196
1 A. No, exactly.
2 MR. CRITTON: Form.
3 BY MR. EDWARDS:
4 Q. I think that the next time you're
5 mentioned in the report, I believe it's page 70.
6 MS. EZELL: Off the record briefly.
7 (Thereupon, a discussion was had off the
8 record.)
9 BY MR. EDWARDS:
10 Q. Page 64. It says, Alfredo Rodriguez
11 resides in Miami had eluded, meaning you were
12 trying to evade or avoid service of process
13 servers previously and was not served the
14 investigative subpoena.
15 This is an investigator saying you just
16 weren't home or something. Right?
17 A. But I never elude anybody.
18 Q. You never intentionally tried to avoid
19 the police officers?
20 A. No, no, never.
21 Q. Okay.
22 MR. CRITTON: So much for the police
23 report.
24 BY MR. EDWARDS:
25 Q. All right. The bottom of page 70 says, I
Page 197
1 brought Mr. Rodriguez to the interview room.
2 Were you taken to an interview room, to a
3 room in the police department?
4 A. This was in the District Attorney's
5 Office.
6 Q. Oh, it was at the State Attorney's
7 Office?
8 A. Yes.
9 Q. Okay. Was a State Attorney there as
10 well?
11 A. Yes, Mrs. Weiss.
12 Q. Daliah Weiss?
13 A. Young lady, Weiss. D-E-I-S-S.
14 Q. Okay. I have D-A-L-I-A-H, Daliah Weiss,
15 W-E-I-S-S.
16 A. Yes.
17 Q. That's her?
18 A. Yeah.
19 Q. Okay. Did she ask you any questions?
20 A. Both of them.
21 Q. Okay. So it was both -- if there is a --
22 I think you said earlier there is a taped
23 statement, there is a tape of this?
24 A. Yes.
25 Q. If we listen to that tape if we ever get
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Page 198
1 that tape it's going to be Assistant Attorney
2 Weiss and Detective Recarey asking questions?
3 A. Yes.
4 Q. It says, during the sworn taped statement
5 Mr. Rodriguez stated he was employed by Jeffrey
6 Epstein for approximately six months.
7 I think we already talked about that.
8 I'm skipping ahead a little bit.
9 If Rodriguez needed to relay a message to
10 Epstein he would have to notify Epstein's
11 secretary Lesley in New York who would then notify
12 Epstein's personal assistant Sarah who would relay
13 the message to Epstein.
14 A. Yeah.
15 MR. CRITTON: Form.
16 BY MR. EDWARDS:
17 Q. That's pretty much the process you
18 described?
19 A. Yes, it was normal procedure.
20 Q. Rodriguez stated Epstein did not want to
21 see or hear the staff when he was in the
22 residence?
23 MR. CRITTON: Form.
24 THE WITNESS: That's correct.
25 BY MR. EDWARDS:
Page 199
1 Q. That's something you agree with?
2 A. Yes.
3 MR. CRITTON: Form.
4 BY MR. EDWARDS:
5 Q. Rodriguez advised Mr. Epstein had many
6 guests.
7 In addition to the girls who are roughly
8 C. and T. age who had come to the house to have a
9 good time, who were some of the other guests that
10 you know of, if you know their name?
11 MR. CRITTON: Form.
12 THE WITNESS: I mentioned Alan
13 Dershowitz.
14 BY MR. EDWARDS:
15 Q. That's a lawyer from Harvard?
16 A. Yes. The magician, David Copperfield,
17 some other lawyers from New York, you know. There
18 were some other guests.
19 Q. And how frequently would these other
20 guests come over?
21 A. Once a month, something like that.
22 Q. Okay. So if it's only once a month and
23 you were only there six months you're saying you
24 only saw six guests come over in addition to --
25 A. They have people, you know, they have
Page 200
1 friends, I will say, yeah.
2 Q. Then you mentioned that you typed into
3 Google, I guess you Googled Prince Andrew and Bill
4 Clinton. Why would you pick those names, were
5 they associated with Mr. Epstein?
6 A. Yes.
7 Q. And what is your understanding as to how
8 Prince Andrew is associated with Jeffrey Epstein?
9 A. Because there were pictures with him
10 together.
11 Q. In the house?
12 A. Yes.
13 Q. Many pictures or are we talking about
14 one?
15 A. Many pictures.
16 Q. Were these pictures that looked that
17 appeared to be at social events, at Mr. Epstein's
18 house or where?
19 A. Mrs. Maxwell took him to England to
20 introduce him to the royalty.
21 Q. Is it's your understanding that Ghislaine
22 Maxwell knew Prince Andrew and introduced --
23 A. Yes.
24 Q. Is it also your understanding that at
25 some point in time Ghislaine dated or had a
Page 201
1 romantic relationship with Prince Andrew?
2 MR. CRITTON: Form.
3 THE WITNESS: I don't know that.
4 BY MR. EDWARDS:
5 Q. Do you know around what time period it
6 was that Mr. Epstein was introduced to Prince
7 Andrew?
8 A. 2003, I believe.
9 Q. How do you know that?
10 A. I've heard dates.
11 Q. From people in the Epstein group?
12 A. Yes.
13 Q. Okay.
14 MR. CRITTON: Let me note my objection,
15 move to strike, it's based on -- his
16 testimony is based on hearsay.
17 BY MR. EDWARDS:
18 Q. During the six month period of time when
19 you worked directly for Mr. Epstein, how often did
20 Mr. Epstein get together with or hangout with
21 Prince Andrew; if you know?
22 A. I didn't see him once.
23 Q. You never saw Prince Andrew at the house?
24 A. No, no, he called.
25 Q. I'm sorry, how often would he call?
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Page 202
1 A. I will say once a week we used to get a
2 call from him.
3 Q. Did you ever hear or did you ever know of
4 Prince Andrew being involved with any of the same
5 girls that Jeffrey Epstein was involved?
6 A. No.
7 Q. All right. Same question with Bill
8 Clinton, were you ever aware of him being involved
9 with any girls?
10 A. No.
11 Q. And David Copperfield?
12 A. No.
13 Q. What would he do when he was in town?
14 A. He came to the house, played tricks and
15 he leave.
16 Q. Did you watch?
17 A. Yeah. Cards and --
18 Q. That's nice, you get an up close and
19 personal show from David Copperfield.
20 How often would David Copperfield and
21 Jeffrey Epstein talk?
22 A. When I was there he was maybe two or
23 three times in the house.
24 Q. Besides those guests have you pretty much
25 listed the guests that you were aware of?
Page 203
1 A. Mr. Dershowitz was there, I took him two
2 or three times to the airport. And like I say,
3 lawyers from New York, business matters.
4 Q. Okay. And Donald Trump, did you ever see
5 him at the house?
6 A. No, he used to call.
7 Q. Is it your understanding that -- or
8 through your knowledge do you know if Donald Trump
9 owned or runs the Mara Lago Club?
10 A. Yes.
11 Q. Did Mr. Epstein go to the Mara Lago Club?
12 A. No.
13 Q. Why not?
14 MR. CRITTON: Form.
15 THE WITNESS: He's a very private person.
16 BY MR. EDWARDS:
17 Q. So it's your understanding that Mr.
18 Epstein didn't go to the Mara Lago Club just
19 because he's private?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes.
22 BY MR. EDWARDS:
23 Q. Are you aware, has he ever been there?
24 A. That I don't know.
25 Q. Do you know if he's a member?
Page 204
1 A. Probably is.
2 MR. CRITTON: Form, move to strike, it's
3 a guess, speculation.
4 BY MR. EDWARDS:
5 Q. When you say he probably is, what are you
6 basing that on?
7 A. Because he belongs to all the clubs in
8 Palm Beach.
9 Q. Okay. But you don't have a list of all
10 of the clubs that he belongs to?
11 A. I used to.
12 Q. And on that list --
13 A. I don't remember, you know.
14 Q. Okay. Do you know where that list is?
15 A. Probably it's in the house.
16 Q. Skipping down on page 71 of the report to
17 the third paragraph, Rodriguez stated once the
18 masseuses would arrive, he would allow them entry
19 into the kitchen area and offer them something to
20 eat or drink. Do you agree with that?
21 A. Yes.
22 MR. CRITTON: Form.
23 BY MR. EDWARDS:
24 Q. They would then be encountered by Sarah
25 or Epstein.
Page 205
1 MR. CRITTON: Form.
2 THE WITNESS: (Shakes head.)
3 BY MR. EDWARDS:
4 Q. Yes?
5 A. (Shakes head.)
6 Q. They would then be taken upstairs to
7 provide a massage. Right?
8 MR. CRITTON: Form.
9 THE WITNESS: Yes.
10 BY MR. EDWARDS:
11 Q. Again, you don't know what happened
12 behind closed doors?
13 A. No.
14 Q. But you were told to refer to these girls
15 as masseuses?
16 A. Yes.
17 Q. Aside from being told that, you have
18 absolutely no idea what went on up there?
19 A. No.
20 Q. All right. I asked Rodriguez any of the
21 masseuses appeared to be young in age, he advised
22 he didn't ask their ages but felt they were very
23 young.
24 A. Early 20's, you know. They're all very
25 young, but I mean, it's hard to say who's underage
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Page 206
1 now, you know. It's a fine line, you know.
2 Q. Okay. You didn't ask their ages?
3 A. No.
4 Q. And these are the masseuses where you
5 were told to keep their identities private anyway?
6 MR. CRITTON: Form.
7 THE WITNESS: Yes.
8 BY MR. EDWARDS:
9 Q. Rodriguez stated they would eat tons of
10 cereal and drink milk all the time. Is that true?
11 MR. CRITTON: Form.
12 THE WITNESS: Yes.
13 BY MR. EDWARDS:
14 Q. So the masseuses would come over and
15 either before or after going up to Mr. Epstein's
16 bedroom they would go to the kitchen and eat
17 cereal and milk?
18 A. And ice cream.
19 Q. That's what the kids would eat?
20 A. (Shakes head.)
21 Q. Yes?
22 A. Yes.
23 MR. CRITTON: Let me object to the form
24 of the last question.
25 BY MR. EDWARDS:
Page 207
1 Q. Rodriguez stated the girls that would
2 come appeared to be too young to be masseuses.
3 Is that something you agree with?
4 MR. CRITTON: Form.
5 THE WITNESS: Some of them, you know.
6 BY MR. EDWARDS:
7 Q. Especially when we're talking about C.
8 and T, those girls, they appeared to be too young
9 to be masseuses. Right?
10 MR. CRITTON: Form.
11 THE WITNESS: Yes.
12 BY MR. EDWARDS:
13 Q. He stated one time under Epstein's
14 direction he delivered a dozen roses to Royal Palm
15 Beach High School for one of the girls that came
16 to provide a massage.
17 And that is the -- that is the girl that
18 we talked about earlier, A.?
19 A. Yes.
20 Q. Okay. And that's a girl who also came
21 over to Mr. Epstein's house and was one of the
22 girls who was up in the bedroom privately with Mr.
23 Epstein at times. Right?
24 A. I never see them upstairs.
25 MR. CRITTON: Form.
Page 208
1 THE WITNESS: But he was in the house.
2 BY MR. EDWARDS:
3 Q. Okay. You don't know why she was there?
4 A. Honestly the truth, you know, I cannot
5 say, they all came for the same motive but --
6 Q. To have fun?
7 A. To have fun.
8 MR. CRITTON: Form.
9 BY MR. EDWARDS:
10 Q. Okay. Let me try to figure this out
11 then. They all came over in your mind to have
12 fun.
13 Did you ever see any contact between
14 Epstein, Mr. Epstein, and any of these girls other
15 than whatever contact he was having with them in
16 the bedroom?
17 MR. CRITTON: Form.
18 THE WITNESS: No, no.
19 BY MR. EDWARDS:
20 Q. Okay. So when you say they came over to
21 have fun, you're talking about whatever fun was
22 going on behind closed doors in the bedroom?
23 MR. CRITTON: Form.
24 THE WITNESS: They go to the pool during
25 the daytime.
Page 209
1 BY MR. EDWARDS:
2 Q. Without Mr. Epstein?
3 A. With Mr. Epstein.
4 Q. He would go with them?
5 A. (Shakes head.)
6 Q. Do you ever remember C. or T. or A.
7 going to the pool with Mr. Epstein?
8 A. The pool was used everyday, so probably
9 they were there, but I cannot -- I cannot say yes,
10 I saw her, you know.
11 Q. So you know that some of these girls who
12 were -- who you labelled as masseuses that were
13 very young in age came over to the house and they
14 oftentimes used the swimming pool area but you
15 can't say that any of those girls were C. or T.
16 or A.?
17 MR. CRITTON: Form.
18 THE WITNESS: No, because when they were
19 at the pool it was off limits for any of the
20 staff.
21 BY MR. EDWARDS:
22 Q. Why is that? Is that in the rule book?
23 A. No, because they were naked. Louella
24 told me to leave them alone, so until they leave
25 the area we couldn't go, so we couldn't -- I
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Page 210
1 didn't see nothing, you know.
2 Q. How do you know they were naked?
3 A. Because Louella told me one time.
4 MR. CRITTON: Move to strike, predicate
5 with regard to his last testimony.
6 BY MR. EDWARDS:
7 Q. How do you know that the young girls that
8 would come over that were labelled as masseuses
9 were naked in the swimming pool area?
10 MR. CRITTON: Form.
11 THE WITNESS: How do I know, because
12 Louella spot them or one other time the girl
13 who takes care of the pool say, Alfredo,
14 I'll come back tomorrow because they are
15 playing around here and doing this, I mean,
16 naked.
17 BY MR. EDWARDS:
18 Q. Just naked or doing something more?
19 A. No, naked, naked.
20 Q. And who was the girl who takes care of
21 the pool?
22 A. I forgot, I don't remember.
23 Q. Well, there was a point in time where I
24 sent interrogatories which are questions under
25 oath to Mr. Epstein in this case and I asked
Page 211
1 specifically what is the current name, address,
2 and telephone number of each person that resided
3 or worked within the home located at 358 El Brillo
4 Way, West Palm Beach, between 2001 to the present.
5 The answer was -- and just so the record
6 is very clear in terms of what the answer was
7 talking about, plaintiff's complaint alleges a
8 time period of approximately August 2002 and
9 continuing until approximately September 2005, so
10 the answer is within that time period of 2002 and
11 2005.
12 I'm going to list -- I'm going to tell
13 you all the names that were provided to me and you
14 tell me if any of these people is that person that
15 we're talking about who maintained the pool.
16 Okay?
17 A. No.
18 Q. Ryan Dionne?
19 A. No.
20 Q. David Mullen?
21 A. No.
22 Q. Brent Tindall?
23 A. No.
24 Q. Mark Tafoya?
25 A. (Shakes head.)
Page 212
1 Q. Do you know any of these people that I'm
2 telling you?
3 A. I don't remember.
4 Q. Okay.
5 A. She's a female, what I'm talking about,
6 the pool taker.
7 Q. Okay. Janusz Banasiak?
8 A. Could be.
9 Q. I believe that that's a male but I'm not
10 sure.
11 A. I don't remember.
12 Q. It lists house manager, I don't know that
13 that would be somebody you'd categorize as a house
14 manager but --
15 A. What's the name?
16 Q. Janusz Banasiak?
17 A. (Shakes head.)
18 Q. Michael and Rosalie Friedman?
19 A. Yes, Michael Friedman was before me.
20 Q. Okay. Is Rosalie Friedman the lady that
21 you're referring to that cleaned the pool?
22 A. No.
23 Q. Louella Rabuyo?
24 A. Louella is still there, I hired her, the
25 housekeeper.
Page 213
1 Q. Is that somebody who would provide
2 information as to what was going on in this house?
3 A. Could be.
4 Q. Is that somebody who would also have had
5 to sign this confidentiality agreement?
6 A. Yes.
7 Q. And in addition to you signing this
8 confidentiality agreement is that an agreement
9 that you know all of the staff working with
10 Jeffrey Epstein had to sign?
11 MR. CRITTON: Form.
12 THE WITNESS: Yes.
13 BY MR. EDWARDS:
14 Q. So anybody that was hired and worked at
15 this house has had to sign this confidentiality
16 agreement?
17 A. Yes.
18 Q. And are you aware of anybody other than
19 Mr. Epstein having access to this confidentiality
20 agreement?
21 A. Ghislaine Maxwell.
22 Q. Ghislaine Maxwell. Okay. Alfredo
23 Rodriguez, you made the list. Michael Liffman?
24 A. Michael, yeah, I think he was before
25 Friedman.
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Page 214
1 Q. Okay. Adriana Ross?
2 A. There were two house managers in one year
3 prior to me.
4 Q. Do you know what Adriana Ross's position
5 was at the house?
6 A. No.
7 Q. There is only a few more names.
8 Brahakmana Mellawa and -- I can't even pronounce
9 it. Mr. and Mrs. Mellawa?
10 A. Yeah, they are from Bangladesh, they were
11 the couple taking care --
12 Q. That's the couple you referred to earlier
13 from Bangladesh?
14 A. Yes.
15 Q. And Sarah Kellen. And Juan and Maria
16 Alessi?
17 A. Joe Alessi.
18 Q. Do you still speak to any of those
19 people?
20 A. No. When I was there there was some mail
21 that arrive so I contact them and say I have some
22 mail, but other than that, no.
23 Q. Okay. Do you know how to get in touch
24 with any of these people?
25 A. They're in the area. Joe Alessi has
Page 215
1 apartments there.
2 Q. The lady that you're referring to that at
3 some point in time saw these kids naked by the
4 pool --
5 A. Louella.
6 MR. CRITTON: Form.
7 BY MR. EDWARDS:
8 Q. But was there another girl who was in
9 charge of cleaning the pool?
10 A. No, no, the pool lady was a contractor
11 from outside, she used to park the truck outside,
12 and when she see that they're there she will tell
13 me, Alfredo, I'll come back tomorrow because --
14 Q. Were you familiar with another husband
15 and wife that worked there, Patrick and Eve?
16 A. Yeah, I believe so, Patrick, yeah.
17 Q. And did he work there the same time you
18 worked there?
19 A. No, before me.
20 Q. And do you know why they left?
21 A. I think everybody quit because of the
22 hectic schedule, you know, to be honest with you,
23 but I don't know.
24 Q. All right. But of the names that I
25 listed is there anybody else that you remember
Page 216
1 that worked for Mr. Epstein or at that house?
2 A. Jerome the gardener.
3 Q. Okay.
4 A. Jerome Pierre and the staff from New
5 York. Once in awhile, Doug Shadow, he was the
6 architect who used to come in in charge of
7 renovation.
8 Q. What about Nicole Hess?
9 A. No.
10 Q. You don't know who that is. All right.
11 The exhibit that I believe is number one right now
12 which is this message pad, there are numerous
13 messages that have your initials, AR. But there
14 are also messages that are on the same pad
15 which --
16 MR. CRITTON: What date are you looking
17 at?
18 BY MR. EDWARDS:
19 Q. The very last day of this compilation
20 1/30/05 and 2/2/05.
21 A. These three are not my writing.
22 Q. That's what I was going to ask you. This
23 is a message pad that was in the house. Right?
24 A. In the house, yes.
25 Q. So you would think that the person that
Page 217
1 made that signature whoever that person is was
2 also in the house. Right?
3 A. Yes.
4 Q. Who possibly would that be with the J.,
5 it's just a J.?
6 A. I don't know.
7 Q. When you sat down today I remember you
8 making a statement that something to the effect
9 of, and I'm going to paraphrase, can you believe
10 that they pulled these message pads out of the
11 trash. Do you remember saying that?
12 A. Yes.
13 Q. How did you learn that they pulled the
14 message pads from the trash?
15 A. Because it was in the Palm Beach Daily
16 News.
17 Q. You read it in the paper?
18 A. Yes.
19 Q. So in addition to Googling the various
20 people that were friends of Mr. Epstein you've
21 kept up with what's going on in the investigation?
22 A. Yeah, because it was my job so I'm
23 working next door to this other lady and I want to
24 know, it was in the news, you know, it's like a --
25 MR. EDWARDS: All right. I have a lot to
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Page 218
1 go but we can take a break.
2 THE VIDEOGRAPHER: We're off the record.
3 (Thereupon, a recess was had.)
4 THE VIDEOGRAPHER: We're back on the
5 record, tape number five.
6 BY MR. EDWARDS:
7 Q. I stopped with knew the girls -- sorry.
8 I stopped with the sentence in the police
9 report, page 71, he delivered a dozen roses to
10 Royal Palm Beach High School.
11 And that's something you told us about
12 earlier. Right?
13 A. Yes.
14 Q. Then it says, he knew the girls were
15 still in high school and were of high school age.
16 Speaking of the girls who were coming
17 over labelled as masseuses, is that something --
18 (Thereupon, an interruption was had.)
19 BY MR. EDWARDS:
20 Q. The statement is, he knew the girls were
21 still in high school and were of high school age.
22 That's something you agree with?
23 MR. CRITTON: Form, out of context.
24 THE WITNESS: I saw them in high school.
25 BY MR. EDWARDS:
Page 219
1 Q. The girls that we were talking about, and
2 I'm talking about C. and T. specifically, but
3 these are girls that looked of high school age to
4 you.
5 MR. CRITTON: Form.
6 THE WITNESS: It's hard to say.
7 BY MR. EDWARDS:
8 Q. That wouldn't shock you though?
9 MR. CRITTON: Form.
10 THE WITNESS: No.
11 BY MR. EDWARDS:
12 Q. Doesn't surprise you?
13 A. No.
14 MR. CRITTON: Form.
15 BY MR. EDWARDS:
16 Q. I asked Rodriguez about the massages, he
17 felt there was a lot more going on than just
18 massages.
19 Is that something you told him?
20 MR. CRITTON: Form.
21 THE WITNESS: Yes.
22 BY MR. EDWARDS:
23 Q. Do you know if it was a feeling that --
24 well, let me ask you this way.
25 Did you ever talk about that feeling that
Page 220
1 there was more going on than just massages with
2 anybody else that worked at the house?
3 A. No.
4 Q. Did you talk about that with anybody
5 else?
6 A. No, nothing. This is the first time that
7 I said this openly because I was subpoenaed and
8 there were these things, you know.
9 Q. Right. And right now is the second time
10 you said it openly because you're subpoenaed
11 again?
12 A. Yes.
13 MR. CRITTON: Form.
14 BY MR. EDWARDS:
15 Q. Otherwise you have not expressed those
16 feelings to anybody else?
17 A. No.
18 Q. What about when you spoke with Mr.
19 Epstein's attorneys or investigators, did you talk
20 to them about that?
21 A. No.
22 Q. And why did you choose not to tell them
23 that you felt there were more -- that there was
24 more going on in the bedroom with these young
25 girls than just massages?
Page 221
1 MR. CRITTON: Form.
2 THE WITNESS: The only reason I contacted
3 the attorneys was to see what's my position
4 because I didn't have money to go to an
5 attorney myself.
6 BY MR. EDWARDS:
7 Q. Why would you feel like you may need an
8 attorney though if you didn't do anything wrong?
9 A. I didn't need an attorney.
10 Q. You were just frightened by the process?
11 A. The process and the people who was
12 involved in this.
13 Q. The people involved meaning Ghislaine
14 Maxwell and Jeffrey Epstein?
15 MR. CRITTON: Form.
16 BY MR. EDWARDS:
17 Q. I'll ask you, which people are you
18 talking about?
19 A. Ghislaine Maxwell.
20 Q. And were you still frightened because of
21 the threat that she --
22 A. I don't think so now, you know, I'm
23 protected because I'm doing this publicly.
24 Q. Okay. Well, going back to my other
25 question about why didn't you reveal to Mr.
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Page 222
1 Epstein's investigators that you felt there was
2 more going on in the bedroom than just massages?
3 MR. CRITTON: Form.
4 THE WITNESS: Because they were more
5 interested in how much I know, they didn't
6 ask me anything else, and I told them
7 exactly what I knew and what I was doing.
8 BY MR. EDWARDS:
9 Q. Okay. You were asked by Mr. Mermelstein
10 when he was asking you about the meeting with Mr.
11 Epstein's investigators he said, did they make any
12 threat or did they threaten you, and you paused
13 and said I don't believe so.
14 A. Yeah, I think they didn't tell me
15 anything that I will feel -- they told me that
16 they want to know what I know and if I need an
17 attorney.
18 Q. Okay. Did you find that strange at all
19 that they offered you an attorney?
20 A. I went to have dinner at my house and I
21 told this to my wife and she told me, Alfredo, you
22 don't need an attorney, so I called him the next
23 day and that was it.
24 Q. You called the investigators?
25 A. Yes. I declined, I don't need an
Page 223
1 attorney.
2 Q. If we want to know the exact names of the
3 investigators that you met at Don Shula's and at
4 your house, how would we get that information, do
5 you have it somewhere?
6 A. Probably I have it in the house.
7 Q. So if we do have to come back here and
8 finish this up, the next time would you be able to
9 bring that?
10 A. I think so.
11 Q. Okay. Do you know where in your house
12 that you have it, I mean, have you kept it in a
13 certain place?
14 A. I have to look.
15 Q. All right. After the sentence that we
16 left off it says, he, speaking of Mr. Rodriguez,
17 would clean Mr. Epstein's bedroom after the
18 alleged massages and would discover massagers
19 slash vibrators and sex toys scattered on the
20 floor.
21 Can you tell us what types of sex toys
22 that you found scattered on the floor after the
23 massages with these young girls?
24 MR. CRITTON: Form.
25 THE WITNESS: Like I explain, there was a
Page 224
1 massage with a handle with two rubber things
2 that you can do massage yourself, this was
3 always on the floor, maybe one or two.
4 BY MR. EDWARDS:
5 Q. Okay. When you say this is always on the
6 floor, do you mean 24 hours a day it's on the
7 floor?
8 A. No, no, no, after each massage. Because
9 I assume the masseuses or anybody they were doing,
10 they were taken out of the closet wherever they
11 belong and they would leave there. So Louella and
12 myself, we always find this on the floor.
13 Q. And this is a massager that belongs to or
14 is owned by Mr. Epstein?
15 A. Yes.
16 Q. This isn't something that these girls
17 would bring over to the house?
18 A. No, no, it's in the house, it's part of
19 the inventory.
20 Q. And that statement is a few statements
21 after you felt that there was a lot more going on
22 than just massages, is there something about that
23 object being left on the ground and the type of
24 object that it was that also lead you to believe
25 that there is something more going on here than
Page 225
1 just massages?
2 MR. CRITTON: Form.
3 THE WITNESS: Yes.
4 BY MR. EDWARDS:
5 Q. What about it, just tell us?
6 MR. CRITTON: Form.
7 THE WITNESS: I thought they were having
8 a good time, I never thought it was
9 something done against anybody's will, but
10 of course, you know that it's more than
11 massage.
12 BY MR. EDWARDS:
13 Q. Right, I'm just asking you to explain how
14 you know that.
15 MR. CRITTON: Let me just move to strike
16 his last answer as speculation. Form as to
17 your statement.
18 THE WITNESS: You're 50 years old and
19 it's -- you're an old -- you know, it's just
20 instinct.
21 MR. CRITTON: Move to strike.
22 BY MR. EDWARDS:
23 Q. It was obvious to you?
24 A. Yes.
25 MR. CRITTON: Form.
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Page 226
1 BY MR. EDWARDS:
2 Q. He also said he would wipe down the
3 vibrators and sex toys and put them away in the
4 armoire.
5 MR. CRITTON: Form.
6 THE WITNESS: These things have a tip,
7 they have the cream, they have all kinds of
8 cream for giving massage.
9 BY MR. EDWARDS:
10 Q. How many of these massagers or vibrators
11 would you wipe down?
12 MR. CRITTON: Form.
13 THE WITNESS: This big one all the time.
14 BY MR. EDWARDS:
15 Q. Right. Other than the big one all the
16 time did you wipe down at any time any of the
17 other sex toys or vibrators?
18 A. No.
19 MR. CRITTON: Form.
20 BY MR. EDWARDS:
21 Q. So if there were any other sex toys or
22 vibrators or I believe you used the term dildo
23 earlier that were ever used, those are items that
24 you did not find on the floor and were put away in
25 the armoire?
Page 227
1 MR. CRITTON: Form.
2 THE WITNESS: Louella told me I did this,
3 I did that.
4 BY MR. EDWARDS:
5 Q. So tell us what did Louella tell you?
6 A. She find toys on the floors, she have to
7 clean them.
8 Q. Did she tell you when she found the toys
9 on the floor?
10 A. After his massages, you know.
11 Q. With the young girls that we're talking
12 about?
13 A. Yes.
14 Q. Okay. And when did Louella tell you
15 that?
16 A. Almost every other time when she found
17 it, you know, Alfredo I found this thing again
18 because she despised to clean this, she had to put
19 the gloves or whatever.
20 Q. Okay. So it sounds like you had an
21 actual conversation about this where she's
22 describing she doesn't want to clean it.
23 A. Because I told her to tell me up to date
24 on things that are not normal, so she told me, you
25 know, I found this, I found that, or some
Page 228
1 underwear she brought it to the laundry and we
2 used to label it.
3 Q. Just so that the record is clear as to
4 what we're talking about with this and that, I
5 want you to tell us what Louella would tell you
6 specifically, I found this and then would she show
7 you what it was?
8 A. No, she didn't show me, she said I
9 cleaned this and I put it away, it was a vibrator.
10 Q. Did she describe the vibrator for you so
11 that you knew which one she was talking about?
12 A. The vibrator that a female would use for
13 personal use.
14 Q. Not the same long one that you've been
15 describing?
16 A. No.
17 Q. One that is a penis shaped vibrator.
18 MR. CRITTON: Form.
19 THE WITNESS: Yes.
20 BY MR. EDWARDS:
21 Q. That's what she was talking about?
22 A. Yes.
23 Q. And did she tell you on how many
24 occasions after these --
25 A. Several times.
Page 229
1 Q. And can you explain to us why it is that
2 -- and maybe it's just I don't understand the
3 process of cleaning the room who went in first and
4 second and whatever, but my question is why is it
5 that she would always be the one to encounter the
6 penis shaped vibrators and you would encounter
7 this other longer vibrator?
8 MR. CRITTON: Form.
9 THE WITNESS: Because it was her job to
10 clean the room. When she was busy she will
11 ask me, Alfredo, can you help me carry, I
12 have a lot of towels, because there were
13 mountains because being an older woman I
14 help her carry to the -- and put the towels
15 downstairs, take it to the laundry. But she
16 told me I found these things, I clean it, I
17 put it in that armoire, they're over there.
18 So she will give me -- we used to
19 communicate all those little details, but it
20 was her job to be in the room first.
21 BY MR. EDWARDS:
22 Q. And what did she say about liking or
23 disliking the fact that she had to clean these
24 vibrators?
25 A. She didn't like to clean those.
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Page 230
1 Q. Did she tell you why?
2 A. Because, you know, she knew what they
3 were for and probably she despised to clean
4 objects.
5 Q. Did she ever make any comments about how
6 young the girls were that were in the room with
7 Mr. Epstein just before she had to go in and clean
8 these vibrators?
9 MR. CRITTON: Form.
10 THE WITNESS: No.
11 BY MR. EDWARDS:
12 Q. Is the age of the girls that were coming
13 over and going behind closed doors with Mr.
14 Epstein a subject that ever came up between you
15 and Louella?
16 A. Sometimes.
17 Q. And what would the conversation consist
18 of?
19 A. She will be surprised and say some of the
20 girls are too young, and I said -- we just wonder,
21 you know, but we comment each other.
22 Q. Did it ever -- as a father did it ever
23 occur to you that maybe I should say something or
24 I shouldn't be here or I shouldn't be apart of
25 this considering how young they are and how old he
Page 231
1 is?
2 MR. CRITTON: Form.
3 THE WITNESS: Yes.
4 BY MR. EDWARDS:
5 Q. Is that something that on more than one
6 occasion you thought to yourself this is just
7 wrong?
8 MR. CRITTON: Form.
9 THE WITNESS: Yes.
10 BY MR. EDWARDS:
11 Q. And did you ever have a conversation with
12 Louella about the fact that that's not right?
13 A. We had.
14 Q. And Louella stayed there and she's still
15 employed there?
16 A. I believe she was.
17 Q. And did she ever mention to you that she
18 thought that the situation was wrong and that she
19 was contemplating --
20 A. She was a deeply religious --
21 MR. CRITTON: Form to the last question.
22 THE WITNESS: -- Catholic Filipino girl
23 -- lady, and one day she came crying because
24 she found a picture of the Pope next to
25 naked girl, both pictures, and she said it's
Page 232
1 a lack of respect. So, you know, she was
2 shocked. So obviously she needed a job but
3 she expressed her --
4 MR. WILLITS: I'm sorry, I did not hear
5 that, could the witness repeat that?
6 THE WITNESS: I was just talking about
7 Louella, deeply religious staff member that
8 worked with me and she told me one occasion
9 that she was crying because the picture of
10 the Pope was next to a naked girl.
11 MR. WILLITS: Okay.
12 BY MR. EDWARDS:
13 Q. Okay. Besides Louella did you ever have
14 a conversation with anybody else that works in the
15 house about the young age of the girls and Mr.
16 Epstein being in the bedroom and the fact that
17 there are sex toys on the floor afterwards being
18 wrong?
19 MR. CRITTON: Form.
20 THE WITNESS: Nobody else inside the
21 house was allowed except just the two of us,
22 so I never commented on this with anybody.
23 BY MR. EDWARDS:
24 Q. All right. The next sentence starts a
25 new paragraph, Epstein ordered Rodriguez to go to
Page 233
1 the Dollar Rent a Car and rent a car for the same
2 girl he brought the roses to.
3 I guess we're talking about A.
4 So that she could drive herself to
5 Epstein's house without incident. Rodriguez said
6 the girl always needed rides to and from the
7 house.
8 Are those statements you agree with?
9 MR. CRITTON: Form.
10 THE WITNESS: I took her a few times to
11 her house.
12 BY MR. EDWARDS:
13 Q. You took A. to and from her house?
14 A. In Royal Palm Beach.
15 Q. Okay. Did she say anything in the car to
16 you about what was going on in the bedroom with
17 Mr. Epstein?
18 A. I always try to keep the conversation to
19 a minimum when I was with them because it was my
20 job, you know, I didn't want to talk so the
21 conversation was minimal.
22 Q. And these are girls that you're talking
23 to that are roughly the same age as a daughter
24 that you have?
25 A. Yeah.
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1 MR. CRITTON: Form.
2 BY MR. EDWARDS:
3 Q. And so you never inquired of them as to
4 what was going on behind closed doors?
5 A. Never.
6 Q. Other than A. did you take any of the
7 other girls to or from -- and the girls I'm
8 talking about are these young girls that are
9 roughly the same age as C. and T. that you
10 labelled masseuses.
11 Did you take any of them to or from their
12 homes on any occasion?
13 MR. CRITTON: Form.
14 THE WITNESS: Probably a couple of times.
15 BY MR. EDWARDS:
16 Q. Do you remember if you ever took C. or T.
17 to or from their homes?
18 A. I don't remember but if it was somewhere
19 in West Palm Beach or Royal Palm Beach, probably,
20 yes.
21 Q. All right. And the homes you would take
22 these girls to, can you describe the neighborhood?
23 A. They were blue collar neighborhoods.
24 Q. Much different than Mr. Epstein?
25 MR. CRITTON: Form.
Page 235
1 THE WITNESS: Very different.
2 MR. CRITTON: Argumentative.
3 BY MR. EDWARDS:
4 Q. Did any of the girls ever talk to you in
5 the car about anybody else that they ever gave a
6 massage to?
7 A. No, they were very private.
8 Q. Rodriguez referred to himself as a human
9 ATM machine and was ordered by Epstein to maintain
10 a minimum balance of $2,000 on him at all times.
11 That's something you've told us already.
12 Right?
13 MR. CRITTON: Form.
14 THE WITNESS: Yeah.
15 BY MR. EDWARDS:
16 Q. When a girl would come by the house and
17 Mr. Epstein was either not in the residence or was
18 not at home at the time Rodriguez was to provide
19 the girl, in parenthesis, masseuse, several
20 hundred dollars for their time and to notify
21 Epstein the amount they were given.
22 MR. CRITTON: Form.
23 THE WITNESS: Well, I have to give this
24 report to the comptroller in New York to
25 keep track of the cash. I never talk to Mr.
Page 236
1 Epstein.
2 BY MR. EDWARDS:
3 Q. Okay. But this is talking about a
4 situation where girls come to the house, and these
5 young girls come to the house and Mr. Epstein is
6 not at the house at all. That happened?
7 MR. CRITTON: Form.
8 THE WITNESS: Well, they left and --
9 BY MR. EDWARDS:
10 Q. Wait. Who are you talking about?
11 A. Mr. Epstein, the girls, and Sarah, they
12 go away.
13 Q. You're talking about a different set of
14 girls now, now you're talking about the girls that
15 fly with him on the airplane.
16 A. Exactly. But they're out of the house.
17 But Sarah will call me and leave me instructions
18 on my phone that I have to pay so and so and they
19 will be there this evening or this afternoon,
20 that's why there was nobody in the house but I
21 still have to pay them.
22 Q. Okay. Would these girls usually arrive
23 by taxicab and you would have to pay them?
24 MR. CRITTON: Form.
25 THE WITNESS: Sometimes taxi and
Page 237
1 sometimes their own cars.
2 BY MR. EDWARDS:
3 Q. And you mentioned that you would
4 sometimes be the person to call them a cab.
5 Right?
6 A. Yes.
7 Q. How did you know which cab service to
8 use?
9 A. We used to have in the house two or three
10 numbers and people knew the house because
11 sometimes it was hard to -- it was easy to get
12 lost to get to the house.
13 Q. So were there certain taxicab drivers
14 that you would ask to come specifically?
15 A. Yes.
16 Q. Who?
17 A. I don't remember, but they knew the house
18 right away, it's like Joe, come here, I need you.
19 Q. Would you have that name of that person
20 that would typically drive these girls, you know,
21 in taxicabs to and from the house anywhere?
22 MR. CRITTON: Form.
23 THE WITNESS: I don't think so.
24 BY MR. EDWARDS:
25 Q. Do you remember whether it was Yellow Cab
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Page 238
1 Cab Company?
2 A. West Palm Beach Taxi. No, it's not
3 Yellow. Could be Yellow, but I don't know.
4 Q. Would Mr. Epstein have the names or the
5 list?
6 A. Probably.
7 MR. CRITTON: Form.
8 BY MR. EDWARDS:
9 Q. Anybody else?
10 A. Sarah.
11 Q. Sarah would have?
12 A. Yes.
13 Q. In addition to Mr. Epstein obviously
14 knowing who's coming to and from the house, would
15 Sarah also be familiar with the names of the girls
16 and who they were?
17 A. Yes.
18 Q. In addition to Sarah and Mr. Epstein
19 would Ghislaine Maxwell be familiar with the names
20 of some of these girls?
21 MR. CRITTON: Form.
22 THE WITNESS: Yes.
23 BY MR. EDWARDS:
24 Q. Are these names kept in a database in a
25 computer system?
Page 239
1 A. Could be.
2 MR. CRITTON: I'm sorry, did you say
3 could be?
4 THE WITNESS: Yeah.
5 MR. CRITTON: Move to strike as
6 speculation.
7 BY MR. EDWARDS:
8 Q. When you say could be, why do you say
9 that?
10 A. Because there were too many and they were
11 very organized and there is nothing you write on a
12 piece of paper.
13 Q. When you say they were very organized,
14 are we talking --
15 A. Mr. Epstein and Sarah.
16 Q. Anybody else beside Mr. Epstein and
17 Sarah, I guess beside Sarah that would do the
18 scheduling to coordinate the times these girls
19 would come to the house?
20 A. I'm sorry, anybody else you say?
21 Q. Right, aside from Sarah.
22 A. No, no.
23 Q. And do you know what role, if any, Nadia
24 Marcenacova ever played in any of what would go on
25 behind the bedroom door with Mr. Epstein?
Page 240
1 A. Nadia was the number one girlfriend for
2 Mr. Epstein. Very sweet girl, and she was always
3 -- she would come over to the house but different
4 girls with her all the time.
5 Q. Okay. But Nadia, that's somebody who
6 lives in New York?
7 A. Nadia, I believe, yes, her address is in
8 New York.
9 Q. So how often would she stay at 358 El
10 Brillo?
11 A. Very often.
12 Q. Usually every time when Mr. Epstein was
13 there?
14 A. Yes.
15 Q. And she would for the most time fly on
16 the plane with Mr. Epstein?
17 A. Yes.
18 Q. And it would be her and Mr. Epstein and
19 oftentimes some other girls?
20 A. Exactly.
21 Q. Where some points I think earlier when
22 Mr. Mermelstein was asking you questions where
23 there was some confusion was we're talking about
24 two different sets of girls, the girls that would
25 come over and be labelled masseuses from the Palm
Page 241
1 Beach area, and the girls that would fly on the
2 plane with Mr. Epstein and Ms. Marcenacova.
3 So, what I'm asking you is what, if any,
4 involvement did Nadia Marcenacova have with the
5 girls that would arrive and be labeled as
6 masseuses behind closed doors with Mr. Epstein?
7 MR. CRITTON: Form.
8 THE WITNESS: He was the second -- the
9 first role was Sarah and she was always --
10 Nadia is a very shy person so she will be in
11 the background.
12 BY MR. EDWARDS:
13 Q. Did you ever know of Nadia Marcenacova to
14 engage in -- to be in the room with Mr. Epstein
15 while any of these young girls were up there?
16 MR. CRITTON: Form.
17 THE WITNESS: Yeah.
18 BY MR. EPSTEIN:
19 Q. How often do you remember Nadia and Mr.
20 Epstein being in the room with any of these young
21 girls?
22 A. I would say most of the time.
23 Q. Nadia would go up there too?
24 A. Yeah.
25 Q. Did you ever believe that Nadia was
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Page 242
1 engaging in sex acts with these young girls?
2 MR. CRITTON: Form.
3 THE WITNESS: No, I don't know.
4 BY MR. EDWARDS:
5 Q. No one ever told you that?
6 A. No.
7 Q. Well, since you've been keeping up with
8 what's been written in the newspapers, at some
9 point in time you've read that Nadia Marcenacova
10 joined in some of these sex acts with some of
11 these girls. Right?
12 MR. CRITTON: Form.
13 THE WITNESS: I believe so.
14 BY MR. EDWARDS:
15 Q. I'm not the first person telling you
16 that?
17 A. No, no, no, I read it in the newspaper.
18 MR. CRITTON: He read your press release.
19 MR. EDWARDS: Long before I ever had
20 anything to do with this case.
21 BY MR. EDWARDS:
22 Q. Were you surprised when you read that?
23 MR. CRITTON: Form.
24 THE WITNESS: No.
25 BY MR. EDWARDS:
Page 243
1 Q. Were you surprised when the story started
2 coming out that these girls that were coming over
3 to the house were under the age of 18 and Mr.
4 Epstein was engaging in sex acts with them?
5 MR. CRITTON: Form.
6 THE WITNESS: No.
7 BY MR. EDWARDS:
8 Q. When was the first time that you knew for
9 sure 100 percent that -- well, let me say it this
10 way.
11 When was the first time that you read
12 that information?
13 A. Underage?
14 Q. Yes.
15 A. When this scandal broke out when the Palm
16 Beach Police Department --
17 Q. Contacted you?
18 A. Yeah.
19 MR. CRITTON: Why don't you let him
20 finish his answer instead of suggesting or
21 giving him the answer.
22 THE WITNESS: The West Palm Beach Police
23 Department got involved.
24 BY MR. EDWARDS:
25 Q. Skipping to the second paragraph of
Page 244
1 page 72, Rodriguez stated the amount of girls that
2 came to the house was approximately 15.
3 That's the estimate that you gave back --
4 A. All the girls that I saw coming in and
5 out.
6 Q. Well, when I read this, you can tell me
7 what it actually means, when I read this I
8 interpreted that as because they were talking
9 about masseuses I interpreted that as the number
10 of girls of the Palm Beach area that came over and
11 you labeled masseuses. Is that correct?
12 MR. CRITTON: Form.
13 THE WITNESS: Yes.
14 BY MR. EDWARDS:
15 Q. Okay. Could you name -- I mean, I know
16 that we've named T. and C., could you name any of
17 the other --
18 A. C. comes all the time, you know, I
19 remember her.
20 Q. Okay. No other names pop out though?
21 A. To be honest with you, no.
22 Q. A.?
23 A. Yeah, because I remember because the car.
24 Q. All right. It goes on to say, when asked
25 to identify these girls, so somebody else asked
Page 245
1 you the same question I just did, Rodriguez stated
2 he could not at the moment but knew he wrote their
3 names down on a journal he kept during his employ
4 with Mr. Epstein. Is that true?
5 A. Yes.
6 MR. CRITTON: Form.
7 BY MR. EDWARDS:
8 Q. Did you ever find that journal?
9 A. Probably has some pages at home.
10 Q. Because later on it seems like you met up
11 with the police officer and produced a green
12 folder that contained documents, but that's not
13 the same thing as the journal. Right?
14 A. No, this is my writings.
15 Q. Okay. So if we want to obtain that
16 journal from you what's the best way to go about
17 getting it?
18 A. I probably have to look in my house.
19 Q. Okay. Well, it looks like we're going to
20 come back for a second part of this, so by next
21 time maybe you could find it. Right?
22 A. Okay.
23 Q. All right. Mr. Mermelstein asked you if
24 anybody had contacted you about this case that was
25 either an -- that was an investigator with Mr.
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Page 246
1 Epstein. Right?
2 A. Yes.
3 Q. And the first thing that I wrote was that
4 two investigators met you for a couple of hours at
5 Don Shula's. Is that right?
6 A. Yes.
7 Q. How did that whole meeting come together,
8 did they call you?
9 A. Well, they came to my house and then we
10 agreed for a more detailed meeting, and halfway
11 through -- I was in the area something he said I
12 can meet you there, so he suggest Don Shula Hotel.
13 Q. How long did you talk with them at your
14 house?
15 A. Probably an hour or two.
16 Q. So there was an hour or two at your
17 house?
18 A. Yes.
19 Q. And then they decided you weren't
20 finished talking with them yet and they talked
21 with you two more hours at Don Shula's?
22 A. Yes.
23 Q. So you spent up to four hours with these
24 investigators for Mr. Epstein?
25 MR. CRITTON: Form.
Page 247
1 THE WITNESS: Yes.
2 BY MR. EDWARDS:
3 Q. And I know that you told us a couple of
4 things, they wanted to know what you knew, but did
5 they suggest a way for you to testify to help Mr.
6 Epstein?
7 MR. CRITTON: Form, asked and answered.
8 THE WITNESS: The way the meeting went is
9 he took notes and asked me questions how do
10 you know, he asked me about -- it's like I'm
11 going to a job, what do you know about this,
12 running this, who is this person, so it was
13 like questions and answers, questions and
14 answers.
15 BY MR. EDWARDS:
16 Q. Okay.
17 A. And that was it, you know, but mostly the
18 questions from their side.
19 Q. Okay. And then the next contact that you
20 had was with Jack Goldberger?
21 A. Yeah.
22 Q. And you called Jack Goldberger --
23 A. Yeah, because the subpoena.
24 Q. Okay. Well, the first time you call Jack
25 Goldberger had something to do with the FBI.
Page 248
1 Right?
2 A. Yeah, exactly, we talked before, yes.
3 Q. So this is before the subpoena --
4 A. Yes, yes.
5 Q. And you called him and said the FBI is
6 wanting to talk to me, what should I do?
7 A. Yeah. He told me, you know, tell them
8 the truth. And so actually he didn't call me back
9 but he know the FBI sat down with me in the
10 morning in Green's Pharmacy in Palm Beach.
11 Q. Where?
12 A. In Green's Pharmacy, it's in front of the
13 church.
14 Q. How long did you talk to the FBI?
15 A. From 8 to 12, more or less.
16 Q. So another four hour talk?
17 A. More or less, yes. It was the same thing
18 as the Palm Beach Police Department but they told
19 me this is a new investigation because the same
20 questions that Palm Beach Police Department ask me
21 they start with the same thing, what was going on,
22 this and that, and so -- but in a different -- in
23 a different character they ask me the same
24 questions but they went on and on and on.
25 Q. Okay. When did you have your sit down
Page 249
1 meeting with Mr. Critton?
2 A. In his office.
3 Q. When?
4 A. Oh when? Last week.
5 Q. Last week?
6 A. Or I believe two weeks ago, something
7 like that, before this.
8 Q. So you received the subpoena for your
9 deposition that was scheduled for last week --
10 A. Exactly.
11 Q. -- but you had car problems. And you
12 called Jack Goldberger again?
13 A. Yeah. And he told me he was out of town,
14 and then one guy came to my house -- actually, one
15 of the securities from Epstein.
16 Q. A security guard for Epstein?
17 A. No, security expert.
18 Q. So an investigator?
19 A. An investigator, sorry. And he said get
20 in touch with Mr. Critton.
21 Q. Do you remember who that is?
22 A. I have his card at home.
23 Q. Do you remember what the card looks like?
24 A. It's a yellow card, security or
25 investigation or something.
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Page 250
1 Q. Would you know the name if I said it?
2 A. Yeah.
3 Q. Bill Riley?
4 A. Yes.
5 Q. Okay. Have you ever spoken with an
6 investigator Paul Lavery?
7 A. Could be, I'm not sure.
8 Q. Okay. So Bill Riley came by your house
9 personally?
10 A. Yes.
11 Q. And how long did you meet with him?
12 A. Five minutes. He gave me his card, he
13 gave me Mr. Critton telephone number, he said
14 don't talk to Mr. Goldberger.
15 Q. Did he tell you why you should call Mr.
16 Critton?
17 A. No. I assume that he was not on the case
18 anymore, but I didn't ask questions but --
19 Q. You assumed that who wasn't on the case
20 anymore?
21 A. Mr. Goldberger, Jack Goldberger.
22 Q. Okay. But what I'm asking you, I guess,
23 is did this investigator, Mr. Riley, tell you why
24 it was important for you to call any attorney
25 that's associated with Mr. Epstein, why was that
Page 251
1 important?
2 A. He didn't say that. He didn't say that.
3 He just said that get in touch and that's it.
4 Because I said what am I going to do, because I
5 said I thought this was -- you know, but I didn't
6 know I was going to be subpoena. And like I said
7 in the beginning of this deposition, I don't have
8 an attorney so I don't have money, first of all,
9 to pay for an attorney. First of all, I don't
10 think I'm in trouble, but every time you hear high
11 powered lawyers you feel intimidated so I said,
12 listen, what am I going to do, and that was my
13 basic question.
14 Q. Okay. So then you spoke with somebody at
15 Mr. Critton's office and arranged to meet with him
16 personally?
17 A. Yes. I called his secretary and we sit
18 down with his assistant, the three of us.
19 Q. So it was Mr. Critton, yourself, and
20 somebody else?
21 A. Yes.
22 Q. And you sat down for another two hour
23 period of time?
24 A. Yes.
25 Q. And what did you go over in that meeting?
Page 252
1 A. We discuss -- he asked me a lot of
2 questions, obviously he didn't know a lot of
3 things about the case, and I told him who I was,
4 what I did in the house.
5 Q. He told you he didn't know a lot about
6 the case?
7 A. No, no, no. He asked me questions about
8 so I got the feeling that Mr. Critton didn't know
9 as much as other lawyers.
10 Q. Okay. Did you tell him what you told us
11 here today?
12 A. No. He asked me tell the truth, you
13 know, just go over there, you know, he advise me
14 like you're on your own, Alfredo, just tell the
15 truth, you know. He didn't give me any advice.
16 He paid for my gas. Thank you very much.
17 And that's it, you know.
18 The main thing I wanted to have a lawyer
19 on my side but then I keep going to the first
20 instance when my wife told me you don't need a
21 lawyer, and I'm here today to say that, I'm here,
22 I'm speaking the truth.
23 Q. Okay. You mentioned there were five or
24 six computers in the house?
25 A. Yes.
Page 253
1 Q. And do you know what happened to the
2 computers?
3 A. No.
4 Q. You don't know where they are?
5 A. (Shakes head.)
6 Q. Nobody has told you?
7 A. No.
8 Q. You also mentioned there were photographs
9 in the house?
10 A. In the computers in the files.
11 Q. Okay. But there were also still
12 photographs around the house?
13 A. Oh yes, yes.
14 Q. Some of the girls have made the
15 allegation that there were photographs of them
16 nude in the house. Do you remember seeing that?
17 A. In the closet, yeah, in a mosaic. It was
18 one frame with probably 15 pictures, small
19 pictures.
20 MR. CRITTON: Repeat the question back.
21 BY MR. EDWARDS:
22 Q. Okay. Some of the girls that have
23 lawsuits against Mr. Epstein with allegations
24 similar to the allegations that C. and T. have
25 made, which is that they were underage when Mr.
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Page 254
1 Epstein was engaging in sex or sex acts with them,
2 also say that they have seen pictures of
3 themselves in frames in Mr. Epstein's house naked.
4 A. In his closet.
5 Q. Other than the picture -- and these are
6 girls who are making the allegation that they were
7 underage and there were pictures of them nude in
8 his house.
9 A. I didn't see pictures of C. there.
10 Q. I'm not talking about C. I'm saying
11 other girls that were underage or have made
12 allegations that they have seen pictures of
13 themselves in Mr. Epstein's house.
14 MR. CRITTON: Form.
15 BY MR. EDWARDS:
16 Q. Where would those photos have been, or
17 did you see them?
18 A. Yes, I see them inside his closet.
19 Q. It's one mosaic?
20 A. Yes, one mosaic.
21 Q. Other than there did you see any of these
22 pictures of young girls nude anywhere else in the
23 house?
24 MR. CRITTON: Form.
25 THE WITNESS: Nude with an art, yes, but
Page 255
1 not pornography. You know, I saw them, they
2 were all over the place. For instance, in
3 the back only showing part of the rear, you
4 know.
5 BY MR. EDWARDS:
6 Q. But the photographs that I'm concerned
7 with --
8 A. Not frontal pictures.
9 Q. The photographs I'm concerned with are
10 photographs of these West Palm Beach girls that
11 were labeled as masseuses that are being displayed
12 around the house anywhere in some state of
13 undress.
14 MR. CRITTON: Form.
15 THE WITNESS: No, I don't remember that.
16 BY MR. EDWARDS:
17 Q. Okay. The only girls that -- the only
18 photograph that you remember of young girls nude
19 was in a mosaic that is in his closet?
20 A. Yes.
21 Q. Nothing that you remember that was on
22 display?
23 A. Downstairs, yes, but they were not these
24 girls, they were somebody else.
25 Q. Okay. Do you know who was -- who were in
Page 256
1 those photos?
2 A. One was a Columbian lady and one was --
3 one from Spain, beautiful girls, that, you know,
4 but they were not -- not the ones the girls we're
5 talking about here.
6 Q. Okay. When you were hired were you hired
7 by Mr. Epstein or were you hired by one of his
8 companies?
9 A. Mrs. Maxwell.
10 Q. So it was -- was it a company owned by
11 Mrs. Maxwell?
12 A. Not directly. My paycheck was Jeffrey
13 Epstein. I mean, I was hired by Mr. Epstein
14 but --
15 Q. Okay. I just understood you to say you
16 were hired by Mrs. Maxwell.
17 A. Exactly, she told me you're hired but
18 you're going to get paid by Mr. Epstein.
19 Q. And he wrote you personal checks?
20 A. No. The checks that came from New York,
21 Jeffrey Epstein Companies.
22 Q. It was out of his company?
23 A. Yes.
24 Q. Which company; do you know?
25 A. 456 Madison Avenue. It's next to the New
Page 257
1 York Palace now.
2 Q. The name of the company is 456 Madison
3 Avenue?
4 A. No, no, it's -- I got it on the tip of my
5 tongue. Something like Caribbean or island
6 something investments, something like that.
7 If you call Lesley, her secretary, she
8 will tell you exactly. Because they answer the
9 phone like that, you know.
10 Q. What's Lesley's number?
11 A. Lesley, I don't have it. I can find out
12 for you.
13 Q. Do you think you could get Lesley's
14 number for us?
15 A. Yes. It's in Manhattan.
16 Q. Does she work for this company in
17 Manhattan?
18 MR. CRITTON: Form.
19 THE WITNESS: Manhattan, yes.
20 BY MR. EDWARDS:
21 Q. If the check was issued did Jeffrey
22 Epstein actually sign it himself?
23 A. No, it came through the comptroller.
24 Q. Who was the comptroller?
25 A. Bella was the assistant comptroller and
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Page 258
1 there was somebody else. It was so long ago.
2 Q. And the money that you would hold on you
3 in cash, that's money that came out --
4 A. Colonial Bank in 4th Avenue.
5 Q. And is that Colonial Bank account, is
6 that registered to Jeffrey Epstein personally
7 or to his company?
8 A. No, Ghislaine Maxwell.
9 Q. To Ghislaine Maxwell.
10 MR. CRITTON: Did you say it's her
11 account?
12 THE WITNESS: Well, I was the secondary,
13 you know, because her name was there, but I
14 know it was Jeffrey Epstein's money.
15 BY MR. EDWARDS:
16 Q. Okay. What I'm holding is what's already
17 been attached to this as Exhibit 2. I'll show you
18 again, can you tell me what bank that is?
19 A. Yeah, this is Colonial Bank in Palm
20 Beach.
21 Q. And is --
22 A. His name is here.
23 Q. Right. The three names on the account
24 are Jeffrey Epstein, Ghislaine Maxwell, and
25 Alfredo Rodriguez.
Page 259
1 A. Yes.
2 Q. Is this a company account or a personal
3 account?
4 A. I think it's a personal account.
5 Q. And do you know what account funds this
6 account?
7 A. The one in New York.
8 Q. The same account that you are paid from
9 in New York --
10 A. No, no, it's not the same.
11 Q. Different account in New York?
12 A. Yes.
13 Q. All right. Which account in New York
14 funds the account that is Exhibit 2?
15 A. The one Bella knows, she's the assistant
16 comptroller.
17 Q. And do you know Bella's number?
18 A. I can find out for you.
19 Q. Do you know the name of that company?
20 A. I have in my house.
21 Q. You have the name of that company?
22 A. Yes.
23 Q. All right. So you have the name of the
24 company or either you can get me Lesley's number
25 who has the name of the company that paid you, and
Page 260
1 you also have the name of the company at the house
2 which is associated with this person Bella as well
3 that financed the account that you withdrew money
4 from to pay the girls?
5 A. Yeah.
6 Q. Okay. Do you know what account Sarah
7 Kellen was paid out of?
8 A. No.
9 MR. EDWARDS: Somebody else want to go.
10 I mean, we're obviously not going to finish
11 so I don't want to take up the rest.
12 MR. LANGINO: I only have about ten
13 minutes of question.
14 EXAMINATION
15 BY MR. LANGINO:
16 Q. My name is Adam Langino from the Law Firm
17 of Leopold Kuvin and we represent B.B. in this
18 case.
19 So you've obviously been here for about
20 six hours so I don't have to reinvent the wheel,
21 so I'm going to ask you a couple of questions that
22 came to mind.
23 Any of the individuals that provided
24 massage to Mr. Epstein, were they provided any
25 drugs?
Page 261
1 A. No, I don't think so.
2 Q. Were they provided any alcohol?
3 A. No, there was no alcohol in the house.
4 Q. When they arrived did any of them appear
5 to be under the influence of drugs?
6 A. There was one girl who came and looked
7 like she was shooting heroin.
8 Q. Can you describe what that girl looked
9 like?
10 A. Very skinny with under mark on her eyes I
11 saw a couple of times.
12 Q. Do you remember which month that girl
13 came to the house?
14 A. That was December or January of 2005.
15 Q. Do you know why she was at the house?
16 A. She asked me when I met her, she said I'm
17 looking for a job, I want to help doing the
18 laundry, so I related this message to Sarah and
19 Sarah told me I'll take care of her from here, but
20 I don't know.
21 Q. Do you know if she gave a massage to Mr.
22 Epstein?
23 A. No, I don't know.
24 Q. Do you remember any individual who came
25 to the house to give Mr. Epstein a massage was
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Page 262
1 under the influence of alcohol?
2 A. No, I don't know.
3 Q. When Mr. Epstein's investigators first
4 contacted you, did you want to speak with them?
5 A. If I wanted to talk to the investigators?
6 Q. Did you want to speak with them?
7 A. Yes, because I was concerned if I was in
8 trouble with Mr. Epstein or I was in trouble with
9 anything.
10 Q. In December 2005, early January 2006 when
11 you cooperated with the police, how come you
12 cooperated with the police?
13 A. They give me an introduction of what was
14 going on, and the investigation, at that time
15 nobody knew, the press, nobody, and they told me
16 they needed my cooperation and I -- they asked me
17 we like to know your honest answers, and that's
18 what I did.
19 Q. How did you feel about cooperating?
20 A. I feel good.
21 Q. You stated --
22 A. Sorry, go ahead.
23 Q. Did you have anything else to add?
24 A. No, I hope, I thought I did the right
25 thing.
Page 263
1 Q. You stated that you picked up I guess
2 some of the oils and creams that were left over
3 after the massage.
4 A. Yes.
5 Q. Do you remember the names of any of those
6 products?
7 A. Names of those products. Spa is one of
8 them, like the place spa.
9 Q. Any other names?
10 A. And it's a big tube like this, no, I
11 don't remember right now.
12 Q. Do you know if any of those massages or
13 oils had any kind of a sexual connotation to the
14 name or the product?
15 MR. CRITTON: Form.
16 THE WITNESS: No.
17 BY MR. LANGINO:
18 Q. Do you know if any masseuse that came to
19 Epstein's home ever provided massage to someone
20 else besides Mr. Epstein?
21 A. No, I don't know.
22 Q. Before you talked about a massager that
23 was always present after a massage and you stated
24 that you placed that massager back into inventory.
25 A. Yes.
Page 264
1 Q. Where was that inventory?
2 A. It was kept in an armoire in the master
3 bedroom -- master bath.
4 Q. Was that massager that was always found
5 after these massages kept in the same armoire with
6 the sex toys?
7 A. No, it's a different armoire, different
8 furniture.
9 Q. Were any other massagers kept in that
10 armoire?
11 A. Yes.
12 Q. Can you describe them?
13 A. Two, two big ones, the two rubber tips,
14 they were kept in the bathroom.
15 Q. And where was this armoire in relation to
16 the one that held the sex toys?
17 A. The one with the sex toys was in his
18 bedroom in front of his table, in front of his
19 bed, and the other ones were inside the bathroom.
20 Q. Did you ever cleanup female clothes after
21 a massage?
22 A. No.
23 Q. Did you ever cleanup any towels after a
24 massage?
25 A. No.
Page 265
1 Q. Did you ever inspect any blood on any
2 type of item in the massage room after a massage?
3 A. No.
4 Q. I know we spoke about pictures, do you
5 know if Mr. Epstein kept any videotapes of any of
6 these massages?
7 A. No.
8 Q. Do you know if he has any videotape of
9 any of these masseuses?
10 A. No, I don't know.
11 Q. Do you hold any significant feeling
12 regarding Mr. Epstein finishing his jail sentence
13 now that he's free?
14 MR. CRITTON: Form.
15 THE WITNESS: If he was sentenced for
16 solicitation of prostitution and he did
17 leave before that, you know, I think it's
18 not -- I don't think he has been doing what
19 he was supposed to do, you know, the full
20 18 months, and to be monitored after that
21 and what have you. But I don't think --
22 answering your question, I don't think it's
23 been done justice.
24 MR. CRITTON: Let me move to strike as
25 irrelevant to anything.
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1 BY MR. LANGINO:
2 Q. Are you currently in fear of Mr. Epstein?
3 A. Not at this particular moment but it's
4 something I have to be worry about, yes.
5 Q. Are you personally afraid of criminal
6 prosecution?
7 A. No.
8 Q. Do you believe that you did anything
9 illegal?
10 A. Illegal, no.
11 MR. LANGINO: I have no further
12 questions. Thank you.
13 MR. CRITTON: We're going to break in
14 about 15 minutes. Do you want to start and
15 go for 15 minutes or do you want to -- it's
16 up to you.
17 MS. EZELL: I'll start.
18 MR. WILLITS: When are we going to quit,
19 folks?
20 MR. CRITTON: In 15 minutes.
21 THE VIDEOGRAPHER: Might as well change
22 tapes.
23 MR. EDWARDS: Bob has to get back so
24 we've agreed we're going to come back some
25 other time.
Page 267
1 MR. WILLITS: Why don't we just stop now?
2 MS. EZELL: Okay.
3 MR. EDWARDS: Rather than you start.
4 MS. EZELL: Yeah, I won't get very far.
5 MR. EDWARDS: Sorry to do this with you,
6 we didn't finish.
7 MR. CRITTON: So we're stopped?
8 MR. EDWARDS: We're stopped.
9 THE VIDEOGRAPHER: Off the record.
10 (Thereupon, the videotaped deposition was
11 adjourned at 5:30 p.m.)
12 - - -
13
14
15
16
17
18
19
20
21
22
23
24
25
Page 268
1 THE STATE OF FLORIDA, )
2 COUNTY OF DADE. )
345
I, the undersigned authority, certify
6 that ALFREDO RODRIGUEZ personally appeared before
7 me on the 29th day of July, 2009 and was duly
8 sworn.
9
10 WITNESS my hand and official seal this
11 31st day of July, 2009.
12
13
14
15 ______________________________________
MICHELLE PAYNE, Court Reporter
16 Notary Public - State of Florida
17
18
19
20
21
22
23
24
25
Page 269
1 C E R T I F I C A T E
2
The State Of Florida, )
3 County Of Dade. )
45
I, MICHELLE PAYNE, Court Reporter and
Notary Public in and for the State of Florida at
6 large, do hereby certify that I was authorized to
and did stenographically report the videotaped
7 deposition of ALFREDO RODRIGUEZ; that a review of
the transcript was requested; and that the
8 foregoing pages, numbered from 1 to 269,
inclusive, are a true and correct transcription of
9 my stenographic notes of said deposition.
10 I further certify that said videotaped
deposition was taken at the time and place
11 hereinabove set forth and that the taking of said
videotaped deposition was commenced and completed
12 as hereinabove set out.
13 I further certify that I am not an
attorney or counsel of any of the parties, nor am
14 I a relative or employee of any attorney or
counsel of party connected with the action, nor am
15 I financially interested in the action.
16 The foregoing certification of this
transcript does not apply to any reproduction of
17 the same by any means unless under the direct
control and/or direction of the certifying
18 reporter.
19 DATED this 31st day of July, 2009.
20
21 _____________________________________
MICHELLE PAYNE, Court Reporter
22
23
24
25
Case 1:15-cv-07433-LAP Document 55-21 Filed 03/14/16 Page 69 of 69
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF, VIRGINIA GIUFFRE’S REPLY IN RESPONSE TO
DEFENDANT’S SUPPLEMENTAL MEMORANDUM OF LAW IN RESPONSE
TO PLAINTIFF’S MOTION TO COMPEL THE PRODUCTION
OF DOCUMENTS SUBJECT TO IMPROPER CLAIM OF PRIVILEGE
BOIES, SCHILLER & FLEXNER LLP
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. ARGUMENT .........................................................................................................................1
A. Under The Second Circuit’s “Touch Base” Test, New York Law Applies. .................1
B. Under English Law, The Privilege Log Is Still Deficient. ............................................4
1. The English “Legal Advice” Privilege Does Not Apply...................................4
a. Confidentiality Under English Law..........................................................5
b. Communication Via An Agent Under English Law.................................6
c. Under English Law, The Communications Must Be For
The Purpose Of Giving Or Receiving Legal Advice................................6
C. Under New York Law, The Privilege Log Is Deficient. ...............................................7
CONCLUSION ...............................................................................................................................8
ii
TABLE OF AUTHORITIES
Page
Cases
Aetna Cas. & Sur. Co. v. Certain Underwriters at Lloyd's London,
176 Misc. 2d 605, 676 N.Y.S. 2d 727 (Sup. Ct. 1998)................................................................2
Aetna Cas. & Sur. Co. v. Certain Underwriters at Lloyd's
263 A.D. 2d 367, 692 N.Y.S. 2d 384 (1999)...............................................................................2
Anwar v. Fairfield Greenwich Ltd,,
982 F. Supp. 2d 260 (S.D.N.Y. 2013) .........................................................................................1
Astra Aktiebolag v. Andrx Pharm., Inc.,
208 F.R.D. 92 (S.D.N.Y. 2002)...................................................................................................2
Curley v. AMR Corp.,
153 F. 3d 5, (2d Cir. 1998) ..........................................................................................................4
Egiazaryan v. Zalmayev,
290 F.R.D. 421 (S.D.N.Y. 2013).................................................................................................7
In re A2P SMS Antitrust Litigation,
972 F. Supp. 2d 465 (S.D.N.Y. 2013) .........................................................................................1
In re Grand Jury Subpoenas Dated March 24, 2003,
265 F. Supp. 2d 321 (S.D.N.Y. 2003) .........................................................................................7
In re: Lyondell Chem. Co.,
543 B.R. 428 (Bankr. S.D.N.Y. 2016) ........................................................................................4
Nance v. Thompson Med. Co.,
173 F.R.D. 178 (E.D. Tex. 1997) ................................................................................................7
On Time Aviation, Inc. v Bombardier Capital, Inc.,
354 F. App'x 448 (2d Cir. 2009)..................................................................................................2
Pem-Am., Inc. v. Sunham Home Fashions, LLC,
No. 03 CIV. 1377JFKRLE, 2007 WL 3226156 (S.D.N.Y. Oct. 31, 2007).................................7
Rutgerswerke AG & Frendo A.p.A. v. Abex Corp.,
No. 93 Civ. 2914 (JFK), 2002 WL 1203836 (S.D.N.Y. June 4, 2002) .......................................4
Tansey v. Cochlear Ltd.,
No. 13-CV-4628 SJF SIL, 2014 WL 4676588 (E.D.N.Y. Sept. 18, 2014).................................4
iii
USP Strategies v. London General Holdings Ltd.,
[2004] EWHC 373 (Ch) ..........................................................................................................5, 6
Waugh v. British Railways Board,
[1980] AC 521 (H.L.) ..................................................................................................................2
West London Pipeline and Storage v Total UK,
[2008] 2 CLC 258........................................................................................................................5
Statutes
Fed. R. Civ. P. 26(b)(5) ...................................................................................................................7
Fed. R. Civ. P. 26.2(a)(2)(B) ...........................................................................................................7
Fed. R. Civ. P. 44.1 .........................................................................................................................4
1
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submits this
Reply in Response to Defendant’s Supplemental Memorandum of Law in Response to Plaintiff’s
Motion to Compel the Production of Documents Subject to Improper Claim of Privilege (D.E.
46).1 For the reasons set forth below, this Court should grant Ms. Giuffre’s Motions to Compel in
their entirety.
I. PRELIMINARY STATEMENT2
This Reply references and incorporates Ms. Giuffre’s arguments on Defendant’s improper
assertion of privilege on Defendant’s privilege log as iterated in Ms. Giuffre’s Motion to Compel
the Production of Documents Subject to Improper Claim of Privilege (D.E. 33). In order to
comply with page limit restrictions, this Reply primarily addresses new arguments raised in
Defendant’s Supplemental Memorandum of Law in Response to Plaintiff’s Motion to Compel the
Production of Documents Subject to Improper Claim of Privilege (D.E. 46).
II. ARGUMENT
A. Under The Second Circuit’s “Touch Base” Test, New York Law Applies
This Court need not even reach a choice-of-law analysis for three reasons. First, while
Defendant claims that English privilege law applies, she does not claim a privilege under English
law. For every entry on her privilege log, she claims attorney-client privilege, a privilege
1 Ms. Giuffre notes that Defendant’s combined “responses” are over the page limit pursuant to this Court’s
individual practice rules.
2 Ms. Giuffre views Defendant’s “Supplemental Responses” (D.E. 45 and 46) as impermissible sur-replies.
Defendant already filed a Response, and her “supplemental” responses were filed after Ms. Giuffre filed
her Reply to Defendant’s Response. See In re A2P SMS Antitrust Litig., 972 F. Supp. 2d 465, 500
(S.D.N.Y. 2013) (striking sur-reply because it does not respond to “new issues which are material to the
disposition of the question before the [C]ourt,”); Anwar v. Fairfield Greenwich Ltd., 982 F. Supp. 2d 260,
263 (S.D.N.Y. 2013) (“the Court notes that Plaintiffs’ letter is a sur-reply filed without permission of the
Court and does not identify new controlling law, and therefore will not be considered.”).
To the extent that this Court has not yet made a sua sponte ruling to strike them from the docket to
date, Ms. Giuffre hereby files her reply briefs within the time allotted under the Local Rules.
2
recognized by New York (and the remainder of United States jurisdictions). She does not claim
the “legal advice privilege,” the analog to the attorney-client privilege in England.
Second, English “legal advice privilege” law is substantially similar to that of New York’s
“attorney-client privilege” law (the privilege claimed in Defendant’s privilege log), making the
analysis unnecessary. On Time Aviation, Inc. v. Bombardier Capital, Inc., 354 F. App'x 448, 450
(2d Cir. 2009) (declining to reach a choice of law analysis as the result would the same under the
various jurisdiction’s law). “The parties appear to agree that the relevant privilege law is that of
New York, rather than of England . . . the court will follow the parties' decision to apply New
York law. The English rule, which is apparently similar, appears also to require that legal
advice be a predominant purpose of the communication (see Waugh v. British Ry. Bd., [1980]
AC 521 (H.L.).”3 Aetna Cas. & Sur. Co. v. Certain Underwriters at Lloyd's London, 176 Misc. 2d
605, 609, 676 N.Y.S.2d 727, 730 (Sup. Ct. 1998) aff'd sub nom. Aetna Cas. & Sur. Co. v. Certain
Underwriters at Lloyd's, 263 A.D.2d 367, 692 N.Y.S.2d 384 (1999) (Emphasis added). Therefore,
because New York’s “attorney-client privilege” is substantially similar to the British “legal advice
privilege,” this Court need not reach a choice-of-law analysis.
Third, the facts do not support the application of the choice-of-law test cited by defendant.
In Astra Aktiebolag v. Andrx Pharm., Inc., the court explained, “[w]here, as here, alleged
privileged communications took place in a foreign country or involved foreign attorneys or
proceedings, this court defers to the law of the country that has the ‘predominant’ or ‘the most
direct and compelling interest’ in whether those communications should remain confidential,
unless that foreign law is contrary to the public policy of this forum.” 208 F.R.D. 92, 98
3 Waugh v. British Ry. Bd., [1980] AC 521 (H.L.), attached hereto to the McCawley Decl. at Exhibit 1,
states, at p. 521-522, “Held . . . that the due administration of justice strongly required that a document such
as the internal inquiry report, which was contemporary, contained statements by witnesses on the spot and
would almost certainly be the best evidence as to the cause of the accident, should be disclosed; that for the
important public interest to be overridden by a claim of privilege the purpose of submission to the party’s
legal advisers in anticipation of litigation must be at least the dominant purpose for which it had been
prepared.”
3
(S.D.N.Y. 2002). Here, there are not sufficient facts to trigger the application of this
“predominance” analysis, but several facts militate against its application. First, the
communication as at issue did not “take place in a foreign country,” as defendant participated in
these communications from the United States.4 Second, the communications at issue5 did not all
involve a “foreign attorney;” many were just between Defendant and her non-attorney press agent.
Finally, this analysis does not apply as there are no “foreign proceedings” involved, as discussed
in greater detail infra. Therefore, the Court need not reach a choice-of-law analysis because New
York’s attorney-client privilege law and English legal advice privilege law are substantially
similar, and the facts do not trigger the application of Defendant’s choice-of-law test.
However, should the Court choose to employ a choice-of-law analysis regarding the
applicable privilege law, New York law controls. There were no foreign proceedings, the damage
control on Defendant’s tarnished New York socialite reputation was the predominant purpose of
the communications involving Gow, and Defendant’s reputation that was harmed, primarily, in
New York where she resides. Finally, absent any declaration or other evidentiary showings that
English law applies, this Court should find that New York law applies.
4 Defendant addressed a journalist on a Manhattan street the day after her initial defamatory statement was
released and she referred reporters to her statement.
5 For example, Defendant claims attorney-client privilege with communications from Ross Gow to
Defendant. See log entry from January 2, 2015 email on Defendant’s Privilege Log.
4
B. Under English Law, the Privilege Log is Still Deficient6
Should the Court determine Defendant has met her burden in showing that English law
should apply to the determinations of privilege, 7 Ms. Giuffre submits that it must reach the same
conclusion as under New York law: (1) there is no legal advice privilege (i.e. the English
equivalent of attorney-client privilege) that attaches to the communications in which an attorney is
not present, (2) no legal advice privilege attaches to communications with attorneys when made in
the presence of a third party, such that the communications are not confidential and (3) no
litigation privilege applies when litigation is not reasonably in prospect or ongoing at the time the
communications are made.
1. The English “Legal Advice” Privilege Does Not Apply
Under English law, a document can be withheld from disclosure on grounds of legal advice
privilege if it is: (1) a confidential communication; which passes between a client and his/her
lawyer (including via an agent); and (2) which has come into existence for the purpose of giving
6 This discussion in this brief on the application of English privilege law is based upon the legal opinions of
attorneys in the London branch of the undersigned’s law firm, as well as English case law, cited through
and attached as exhibits.
Under Rule 44.1 of the Federal Rules of Civil Procedure, in determining foreign law, “the court may
consider any relevant material or source, including testimony, whether or not submitted by a party or
admissible under the Federal Rules of Evidence.” Fed. R. Civ. P. 44.1. Rule 44.1 gives a court “wide
latitude” to determine foreign law, Rutgerswerke AG & Frendo S.p.A. v. Abex Corp., No. 93 Civ.
2914(JFK), 2002 WL 1203836, at *16 (S.D.N.Y. June 4, 2002), and the Second Circuit has “urge[d]
district courts to invoke the flexible provisions of Rule 44.1 to determine issues relating to the law of
foreign nations,” Curley v. AMR Corp., 153 F.3d 5, 13 (2d Cir.1998).
“In making rulings regarding foreign law, courts have employed various methods: they have
considered the plain text of applicable foreign law; made assumptions regarding the interpretation of
translated foreign law sources; considered expert affidavits submitted by parties; evaluated experts’
credibility; assessed experts’ opinions and the basis of such opinions as supported by the foreign country’s
civil law, cases, treatises, and logic.” In re: Lyondell Chem. Co., 543 B.R. 428, 444 (Bankr. S.D.N.Y.
2016).
Accordingly, Ms. Giuffre respectfully requests that the Court consider the plain text of the attached
case law should the Court decide to make a ruling based upon English law.
7 “[T]he party relying on foreign law has the burden of showing such law bars production of documents.”
Tansey v. Cochlear Ltd., No. 13-CV-4628 SJF SIL, 2014 WL 4676588, at *4 (E.D.N.Y. Sept. 18, 2014)
(Internal quotation and citation omitted).
5
or receiving legal advice about what should prudently and sensibly be done in the relevant legal
context. Where there is no attorney involved in the communication (such as those
communications between Defendant and other non-attorneys), there can be no “legal advice”
privilege under English Law.
a. Confidentiality Under English Law
Under English law, the fact that a third party is present at the time legal advice is
sought/obtained (as with communications Defendant made with attorneys with a third party
involved) does not necessarily prevent the communication from being confidential. If a
communication is provided to a third party on express terms that it is to remain confidential and
was not generally available outside the limited group of recipients, privilege will not necessarily
be lost to the outside world (USP Strategies v London General Holdings Ltd, [2004] EWHC 373
(Ch)).8 On that basis, Defendant must bear the burden of proving that the documents are
privileged.9 Defendant has not submitted any evidence, such as a Non-Disclosure Agreement, that
expressly places Ross Gow under an obligation of confidence in respect to information received
by him relating to legal advice/litigation. In absence of any express obligation of confidentiality,
Ms. Giuffre submits that privilege does not attach to communications involving Ross Gow and the
lawyer.
8 USP Strategies v London General Holdings Ltd, [2004] EWHC 373 (Ch), attached hereto to the
McCawley Decl. at Exhibit 2, states, “[i]f A shows a privileged document to his six best friends, he will not
be able to assert privilege if one of the friends sues him because the document is not confidential as
between him and the friend. But the fact six other people have seen it does not prevent him claiming
privilege as against the rest of the world.” I think that it follows from that that A would be able to restrain
each of the friends from disclosing to the outside world what they were told on the basis that it remained
privileged. The friends could not give secondary evidence of the privileged material – it would be
“evidence of [privileged] communications”, or their evidence would be “evidencing such communications”
within the formulation in Three Rivers. By the same token, if a client summarizes or extracts advice in a
letter to a third party, that written communication is capable of retaining or attracting the privilege which
attached to the original advice, subject to waiver. It, too, is something which evidences a privileged
communication.”
9 Under English law, “the burden of establishing that a communication is privileged lies on the party
claiming privilege”. West London Pipeline and Storage v Total UK [2008] 2 CLC 258, at para. 50,
McCawley Decl. at Exhibit 3.
6
b. Communication Via An Agent Under English Law
Under English Law, communications between client and lawyer through an agent will be
protected by legal advice privilege, but this will only apply in situations where the agent functions
as no more than a mere conduit (e.g. a translator). Third parties engaged to provide their own
intellectual input (e.g. accountants) will not be regarded as agents for the purposes of legal advice
privilege. Whether Ross Gow functioned as a true agent for the purposes of privilege must be
assessed by reference to the type of information that was being provided to the attorney. USP
Strategies v London General Holdings Ltd, [2004] EWHC 373 (Ch). 10
c. Under English Law, The Communication Must Be For The Purpose
Of Giving Or Receiving Legal Advice
Ross Gow’s website notes that he is a “Reputation Manager” – not a lawyer. Maxwell
states that Mr. Gow provided information to Mr. Barden “regarding press inquiries so as to further
Mr. Barden’s ability to give appropriate legal advice to Ms. Maxwell regarding potential
defamation litigation in the United Kingdom” (D.E. 46 at 9). Even if legal advice were obtained
from Mr. Barden as a result of the information provided by Mr. Gow, it is not clear that the
information provided by Ross Gow was itself confidential, particularly if it related to information
that is already in the press/public domain. Maxwell should be put to prove that the written
communications were confidential, came into existence specifically for the purpose of giving or
10USP Strategies v London General Holdings Ltd, [2004] EWHC 373 (Ch), attached hereto to the
McCawley Decl. at Exhibit 2, states, “[i]f A shows a privileged document to his six best friends, he will not
be able to assert privilege if one of the friends sues him because the document is not confidential as
between him and the friend. But the fact six other people have seen it does not prevent him claiming
privilege as against the rest of the world.” I think that it follows from that that A would be able to restrain
each of the friends from disclosing to the outside world what they were told on the basis that it remained
privileged. The friends could not give secondary evidence of the privileged material – it would be
“evidence of [privileged] communications”, or their evidence would be “evidencing such communications”
within the formulation in Three Rivers. By the same token, if a client summaries or extracts advice in a
letter to a third party, that written communication is capable of retaining or attracting the privilege which
attached to the original advice, subject to waiver. It, too, is something which evidences a privileged
communication.”
7
receiving legal advice and were not simply for damage control purposes to her socialite reputation
relating to her intimate involvement with convicted sex offender Jeffrey Epstein.
C. Under New York Law, The Privilege Log Is Deficient
Defendant submitted a 16-entry, facially deficient log under Federal Rule of Civil
Procedure 26(b)(5) and Local Rule 26.2(a)(2)(B) and the governing case law. First, Defendant
attempts to wrongfully claim that the attorney-client privilege shields documents from production
as to her communications with non-attorneys. Second, Defendant improperly claims a “common
interest” privilege applies to her communications with convicted sex offender – and non-attorney -
- Jeffrey Epstein, for which no attorney-client privilege applies, thus, precluding the application of
the “common interest” privilege. This is simply wrong. “The common interest rule is an extension
of the attorney-client privilege and not an independent basis for privilege.” Pem-Am., Inc. v.
Sunham Home Fashions, LLC, No. 03 CIV. 1377JFKRLE, 2007 WL 3226156, at *2 (S.D.N.Y.
Oct. 31, 2007). “In order for a communication to be privileged within the common interest rule, it
. . . must still meet the requirements of a privileged attorney-client communication.” Id.
(Emphasis added). See Egiazaryan v. Zalmayev, 290 F.R.D. 421, 434 (S.D.N.Y. 2013)
(“communications are protected where there is a disclosure by A to the attorney representing B
and vice-versa”).
Third, Defendant improperly claims the attorney-client privilege when the communications
involved the presence of a third party not involved in providing legal services, such as Ross Gow
or Mark Cohen. See Egiazaryan, 290 F.R.D. at 431.11 Fourth, the descriptions of the
11 Defendant attempts to base her argument on In re Grand Jury Subpoenas Dated March 24, 2003, 265 F.
Supp. 2d 321, 330 (S.D.N.Y. 2003), but that the facts are so different between that case and the instant case
that the comparison is inapt. Instead, for this case, Egiazaryan v. Zalmayev, 290 F.R.D. 421 (S.D.N.Y.
2013) and NXIVM Corp. v. O’Hara, 241 F.R.D. 109, 141 (N.D.N.Y. 2007) should control. See also Nance
v. Thompson Med. Co., 173 F.R.D. 178, 182–83 (E.D. Tex. 1997). The bulk of the relevant authority, in
circumstances similar to the case at hand, does not extend attorney-client privilege to communications with
public relations firms - even if attorneys are present for the communications - and for good reason. Public
relations firms are not in the business of giving legal advice; they exist to manage their client’s public
8
communications in the log are inadequate. Every single communication on the log, even those not
involving any attorneys, is described as “Communication re: legal advice.”
These sparse and unvaried descriptions simply do not comply with Federal Rule of Civil
Procedure 26(b)(5) and Local Rule 26.2(a)(2)(B), and are not sufficient to support the privilege
claims asserted therein.
Accordingly, this Court should find that Defendant has waived her privilege claim for
every entry which describes the subject matter as “Communication re: legal advice,” or at the very
least, require Defendant to submit the documents in question for in camera review to determine
whether they are actually subject to any privilege claim. In addition, the Court should direct the
production of documents on the privilege log that involve communications between the two nonlawyers.
12
CONCLUSION
For the foregoing reasons this Court should order Defendant to produce the documents
listed in her privilege log, or at the very least, conduct an in camera inspection to determine
whether or not these documents are privileged under applicable law.
reputations. And management of her public reputation is why Defendant retains Gow, and has for many
years. (D.E. 56 at 9).
12 Defendant inexplicably states that Ms. Giuffre has somehow waived her argument that she is entitled to
communications from Gow subsequent to the issuance of the press release. In the section on
communications with Gow, Ms. Giuffre stated: Accordingly, Ms. Giuffre is entitled to communications
relating to Mr. Gow - particularly the January 2, 2015 email - for the entire Relevant Period. (D.E. 35 at p.
19, emphasis added). The Relevant Period is defined as 1999 through the present. Therefore, there is no
waiver.
9
Dated: March 14, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
10
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 14, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF PLAINTIFF VIRGINIA
GIUFFRE’S REPLY IN RESPONSE TO DEFENDANT’S SUPPLEMENTAL RESPONSE
TO MOTION TO COMPEL PRODUCTION OF DOCUMENTS SUBJECT TO
IMPROPER CLAIM OF PRIVILEGE
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Reply In Response to Defendant’s Supplemental Response to Motion To Compel Production of
Documents Subject To Improper Claim of Privilege [D.E. 47], or, in the alternative, Motion to
Strike “Supplement Response” as Impermissible Sur-Reply.
3. Attached hereto as Exhibit 1, is a true and correct copy of Waugh v. British Ry.
Bd., [1980] AC 521 (H.L).
4. Attached hereto as Exhibit 2, is a true and correct copy of USP Strategies v.
London General Holdings Ltd., [2004] EWHC 373 (Ch).
2
5. Attached hereto as Exhibit 3, is a true and correct copy of West London Pipeline
and Storage v. Total UK, [2008] 2 CLC 258.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
3
Dated: March 14, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 14, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
EXHIBIT 1
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 1 of 26
521
A.C.
[HOUSE OF LORDS]
WAUGH APPELLANT
AND
BRITISH RAILWAYS BOARD RESPONDENTS
B
1979 May 16, 17, 21; Lord Wilberforce, Lord Simon of Glaisdale,
July 12 Lord Edmund-Davies, Lord Russell of Killowen
and Lord Keith of Kinkel
Practice — Discovery — Privilege — Accident report by servants
of railways board in pursuance of practice of board—Partly
p prepared for safety purposes and partly for obtaining legal
^ advice in anticipation of legal proceedings—Whether latter
purpose to be dominant for claim to privilege to succeed—
Whether form of wording of report conclusive as to purpose
for which prepared
The plaintiff's husband was employed by the defendant
railways board. In a collision between locomotives, he
received injuries from which he died. The practice of the
D board when an accident occurred was that on the day of the
accident a brief report was made to the railway inspectorate,
soon afterwards a joint internal report (" the joint inquiry
report") was prepared incorporating statements of witnesses,
which was also sent to the inspectorate, and in due course a
report was made by the inspectorate for the Department of the
Environment. The heading of the joint inquiry report stated
that it had finally to be sent to the board's solicitor for the
E purpose of enabling him to advise the board. The plaintiff
brought an action against the board under the Fatal Accidents
Acts, alleging that the collision had been caused by their
negligence, and sought discovery of, inter alia, the joint inquiry
report. The board, who denied negligence and alleged that
the collision had been caused or contributed to by the
deceased's own negligence, refused to disclose the report on
the ground, as stated in an affidavit sworn on their behalf,
^ that one of the principal purposes of preparing it had been
so that it could be passed to their chief solicitor to enable
him to advise the board on its legal liability and, if necessary,
conduct their defence to the proceedings, and that it was
accordingly the subject of legal professional privilege. On
an interlocutory application by the plaintiff for discovery of
the report, the master ordered discovery, but an appeal by the
_, board from his order was allowed by Donaldson J., and the
*-* Court of Appeal by a majority (Eveleigh L.J. and Sir David
Cairns, Lord Denning M.R. dissenting) dismissed an appeal
by the plaintiff from Donaldson J.'s order.
On appeal by the plaintiff: —
Held, allowing the appeal, that the due administration of
justice strongly required that a document such as the internal
inquiry report, which was contemporary, contained statements
n by witnesses on the spot and would almost certainly be the
best evidence as to the cause of the accident, should be disclosed;
that for that important public interest to be overridden
by a claim of privilege the purpose of submission to the party's
legal advisers in anticipation of litigation must be at least the
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 2 of 26
522
Waugh v. British Railways Board (H.L.(E.)) [19803
dominant purpose for which it had been prepared; and that,
in the present case,, the purpose, of obtaining legal advice in A
anticipation of litigation having been no more than of equal
rank and weight with the purpose of railway operation and
safety, .the board's claim for privilege.failed and the.report
should be disclosed (post, pp. 531A-B, H—532B, 533B-D,
534F-G, 535B-C, 537E-G, 538A-B, 543c—545A, D-F).
■:-;•■'.. . Birmingham and Midland Motor Omnibus Co. Ltd: v.
London and North Western Railway Co. [1913] 3 K.B. 850,
C.A.; Ankinv. London and North Eastern Railway Co. [1930] "
. 1 K.B.' 527, C.A. and Ogden v. London Electric Railway Co.
. (1933) 49 T.L.R. 542, C.A. overruled.
Anderson v. Bank of British Columbia (1876) 2 Ch.D. 644,
Sir George Jessel M.R. and C.A. and Grant v. Downs (1976)
135 C.L.R. 674 considered. ■•...•■,.-
Per curiam. The fact that the report stated on its face that
it had finally to be sent to the board's solicitor for the .-,
purpose of- enabling him to advise it cannot be conclusive
- as to the dominant purpose for which.it was prepared (post,
pp. 53 1A, 538A-B, 539E-G, 545E-F). .
Dictum of Lord Strathclyde, Lord. President, in Whitehill
v. Glasgow Corporation, 1915 S.C. 1015, 1017 applied.
Decision of the Court of Appeal reversed.
The following cases are referred to in their Lordships' opinions: j)
Anderson v. Bank of British Columbia (1876) 2,Ch.D. 644, Sir George
Jessel M.R. and C.A.
Ankin v. London and North Eastern Railway Co. [1930] 1 K.B. 527, C.A.
Birmingham and Midland Motor Omnibus Co. Ltd. v. London and North
Western Railway Co. [1913] 3 K.B. 850, C.A.
Conway v. Rimmer [1968] A.C. 910; [1968] 2 W.L.R. 998; [1968] 1 F
All E.R. 874, H.L.(E.).
Crofter Hand Woven Harris Tweed Co. Ltd. v. Veitch [1942] A.C. 435;
[1942] 1 All E.R. 142, H.L.(Sc).
Crompton (Alfred) Amusement Machines Ltd. v. Customs and Excise
Commissioners (No. 2) [1974] A.C. 405; [1973] 3 W.L.R. 268;
[1973] 2 All E.R. 1169, H.L.(E.).
D. v. National Society for the Prevention of Cruelty to Children [1978] F
A.C. 171; [1977] 2 W.L.R. 201; [1977] 1 All E.R. 589, H.L.(E.).
Grant v. Downs (1976) 135 C.L.R. 674; 11 A.L.R. 577.
Jones v. Great Central Railway Co. [1910] A.C. 4, H.L.(E.).
Jones v. Monte Video Gas Co. (1880) 5 Q.B.D. 556, C.A.
Konia v. Morley [1976] 1 N.Z.L.R. 455.
Lawrence v. Campbell (1859) 4 Drew. 485.
Longthorn v. British Transport Commission [1959] 1 W.L.R. 530; [1959] G
2 All E.R. 32.
Northern Construction Co. v. British Columbia Hydro and Power Authority
(1970) 75 W.W.R. 21.
Ogden v. London Electric Railway Co. (1933) 49 T.L.R. 542, C.A.
Reg. in Right of Canada v. Hawker Siddeley Canada Ltd. (1976) 73
D.L.R. (3d) 453. H
Seabrook v. British Transport Commission [1959] 1 W.L.R. 509; [1959]
2 All E.R. 15.
Southwark and Vauxhall Water Co. v. Quick (1878) 3 Q.B.D. 315, C.A.
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 3 of 26
523
A.C. Waugh v. British Railways Board (H.L.(E.) )
Vernon v. Board of Education for the Borough of North York (1975) A 9 O.R.(2d) 613.
Whitehill v. Glasgow Corporation, 1915 S.C. 1015.
The following additional cases were cited in argument:
Adam Steamship Co. Ltd. v. London Assurance Corporation [1914] 3
K.B. 1256, C.A.
B Collins v. London General Omnibus Co. (1893) 68 L.T. 831, D.C.
Cook v. North Metropolitan Tramway Co. (1889) 54 J.P. 263, D.C.
London and Tilbury Railway Co. v. Kirk and Randall (1884) 28 S.J. 688,
D.C.
Westminster Airways Ltd. v. Kuwait Oil Co. Ltd. [1951] 1 K.B. 134;
[1950] 2 All E.R. 596, C.A.
Woolley v. North London Railway Co. (1869) L.R. 4 C.P. 602.
C
INTERLOCUTORY APPEAL from the Court of Appeal.
By an action against the respondent defendants, the British Railways
Board, the appellant plaintiff, Alice Simpson Waugh (widow of John
Wallace Waugh, deceased), claimed damages against the board in respect
of the death of the deceased under the provisions of the Fatal Accidents
J-J Acts 1846-1959, alleging that a collision between two of the board's
locomotives that had resulted in the death of the deceased, who had been
employed by the board, had been caused by the negligence of the board,
their servants or their agents. By their defence, the board denied negligence,
and alleged that the collision had been caused or contributed to by
the deceased's own negligence. The plaintiff sought discovery of an internal
inquiry report made by two officers of the board two days after the
E accident, but the board refused discovery on the ground of legal professional
privilege. On an interlocutory application by the plaintiff, Master
Bickford Smith, on January 26, 1978, ordered disclosure of the report, but
Donaldson J., on May 8, 1978, allowed an appeal by the board from that
order. The Court of Appeal, on July 28, 1978, by a majority (Eveleigh L.J.
and Sir David Cairns, Lord Denning M.R. dissenting) dismissed an appeal
p by the plaintiff. The plaintiff appealed by leave of the Court of Appeal.
The facts are set out in their Lordships' opinions.
Peter Weitzman Q.C. and Michael Brent for the plaintiff. Where a
report is brought into existence for several reasons or purposes only one
of which is to obtain professional legal advice in litigation that is pending
or anticipated, is it protected by legal professional privilege from dis-
G covery? What is the test? There are a number of possible answers.
(1) It is enough to secure privilege if the intention to obtain legal advice is
a purpose, inter alia. (2) The intention to obtain legal advice must be at
least a substantial purpose. (3) The purpose for which the document is
brought into existence must be wholly or mainly that of obtaining professional
legal advice, or it must have been " the primary," " the substan-
JJ tive," or " the dominant," purpose (these different phrases have all been
used in the cases). (4) It must be the sole purpose. The plaintiff says
that the answer is (4), alternatively, possibly, (3).
As to the authorities, the following preliminary observations may be
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 4 of 26
524
Waugh v. British Railways Board (H.L.(E.)) [1980]
made. At one time, the practice differed as between equity and com- .
mon law. (2) R.S.C., Ord. 24, r. 5, first came into existence in 1894 as
R.S.C., Ord. 31, r. 19A. It was not until then that there was power in
the court to inspect the documents in respect of which privilege was
claimed. The authorities fall into three groups: (i) pre-1913; (ii) Birmingham
and Midland Motor Omnibus Co. Ltd. v. London and North Western
Railway Co. [1913] 3 K.B. 850 and Ogden v. London Electric Railway
Co. (1939) 49 T.L.R. 542; (iii) the cases after that, which do not add B
much. Southwark and Vauxhall Water Co. v. Quick (1878) 3 Q.B.D. 315
is strong authority for the " sole purpose " test, and Collins v. London
General Omnibus Co. (1893) 68 L.T. 831 is also clear authority that at
that stage the test was the " sole purpose " test. [Reference was made
to Woolley v. North London Railway Co. (1869) L.R. 4 C.P. 602;
Anderson v. Bank of British Columbia (1876) 2 Ch.D. 644; London and
Tilbury Railway Co. v. Kirk and Randall (1884) 28 S.J. 688; Cook v. C
North Metropolitan Tramway Co. (1889) 54 J.P. 263; and the Sixteenth
Report of the Law Reform Committee (Privilege in Civil Proceedings)
(1967) (Cmnd. 3472), pp. 8 (para. 17), 13.]
Birmingham and Midland Motor Omnibus Co. Ltd. v. London and
North Western Railway Co. [1913] 3 K.B. 850 turns, to begin with, on
the form of words used in the affidavit (Eveleigh L.J. in the present case D
said that the judgment of Buckley L.J. there could be read in that way).
It was not, therefore, intended to deal with the proper principles or test to
be applied. Alternatively, Buckley and Hamilton L.JJ. were by implication
referring to the " dominant purpose " test. The plaintiff relies on the
passage at p. 860: " The only authority . . ." Hamilton L.J. is at least
saying that there is no authority for the view that the purpose does not
at least have to be the primary or substantial purpose, and the judgment
of Buckley L.J., even taken on its own, does not go to the extent of
contradicting that of Hamilton L.J.: see at p. 856: "It is not I think
necessary . . ." (In Southwark and Vauxhall Water Co. v. Quick, 3
Q.B.D. 315, the word " merely " was used a number of times by Brett L.J.)
The argument in the Birmingham case was directed largely to the form
of the affidavit. There is no suggestion in the report that there was any F
other purpose. The judgment of Buckley L.J. relates primarily to the
wording of the affidavit rather than to the substance of it. [Reference
was made to Adam Steamship Co. Ltd. v. London Assurance Corporation
[1914] 3 K.B. 1256 and Ankin V. London and North Eastern Railway
Co. [1931] 1K.B.527.]
Ogden V. London Electric Railway Co., 49 T.L.R. 542, is moving to
the position that, as a matter of substance, it is enough that one, substan- ®
tial, purpose for bringing the document into existence is that it shall be
available for legal advice. This is inconsistent with the judgments in
Southwark and Vauxhall Water Co. v. Quick, 3 Q.B.D. 315. Scrutton L.J.
misinterpreted that case, and wrongly extended what the Birmingham case
decided. Ogden was wrongly decided, if it is authority that a substantial
purpose is sufficient. Westminster Airways Ltd. v. Kuwait Oil Co. Ltd; JJ
[1951] 1 K.B. 134 is against the plaintiff: it shows that, since Ogden, the
courts have been following Ogden and taking the view that a substantial
purpose is enough. There is a reference to " other purposes " at p. 143.
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 5 of 26
525
A.C. Waugh v. British Railways Board (H.L.(E.))
[Reference was made to Seabrook v. British Transport Commission [1959]
A 1 W.L.R. 509; Longthorn v. British Transport Commission [1959] 1
W.L.R. 530 and Alfred Crompton Amusement Machines Ltd. v. Customs
and Excise Commissioners (No. 2) [1974] A.C. 405.]
The privilege should only be accorded where it is necessary in order
to achieve the purpose for which it is designed. Where the party would
have brought the document into existence apart from the seeking of legal
B advice, there is no need for the privilege. Before 1894, when only the
affidavit was produced, the inability of the court to inspect the actual
documents could lead to abuse or mistake. Birmingham and Midland
Motor Omnibus Co. Ltd. v. London and North Western Railway Co.
[1913] 3 K.B. 850 was the first case where the court examined what the
affidavit had to say and also looked at the documents. Thus, the language
of the affidavit was no longer vital. There were now two questions:
C should the court inspect the documents, and was the form of words
conclusive? Because the court could inspect the documents, the form of
words was no longer conclusive. [Reference was made to Grant v.
Downs (1976) 135 C.L.R. 674; Wigmore's Law of Evidence (1905), vol. iv,
paras. 2317-2319 and R.S.C., Ord. 38, r. 29.]
The plaintiff's submissions, in summary, are as follows. 1. Ogden v.
D London Electric Railway Co., 49 T.L.R. 542, was wrongly decided. One
can go back to the situation before Birmingham and Midland Motor
Omnibus Co. Ltd. v. London and North Western Railway Co. [1913] 3
K.B. 850, where, as was said in Southwark and Vauxhall Water Co. v.
Quick, 3 Q.B.D. 315, the sole purpose test was the appropriate test.
What is said by Lord Cross of Chelsea in Alfred Crompton Amusement
Machines Ltd. v. Customs and Excise Commissioners (No. 2) [1974]
E A.C. 405, with the concurrence of the others of their Lordships, is that
the matter is now open for the House to decide what is the appropriate
test to be applied—that is, presumably, that which is most desirable in
the interests of justice. If privilege is to be accorded to a document, it
is only to be accorded where that is necessary for the basic rationale
of the rule, as expressed, inter alia, by Sir George Jessel M.R. in
p Anderson v. Bank of British Columbia (1876) 2 Ch.D. 644, 648-649.
If a document comes into existence in circumstances such that it
cannot be shown that it would not have come into existence but for
the purposes of litigation, then in truth the privilege does not serve
the purpose that is the basis of the rule, but merely provides an adventitious
advantage. This is particularly the case with large corporate
employers who are obliged to collect knowledge, as in this case. These
^ points were made in Grant v. Downs, 135 C.L.R. 674, on which
the plaintiff very much relies. The problem posed can best be met by
applying the sole purpose test; alternatively, the dominant purpose test,
on the basis that the dominant purpose is the one that, if it had not
existed, would mean that the document would not have come into existence.
Here, the litigation purpose is at the highest one of two equal
JJ purposes.
Francis Irwin Q.C. and Frederick Marr-Johnson for the board. The
powers of the inspectors appointed by the Secretary of State are set out
in section 4 of the Regulation of Railways Act 1871. The report of
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 6 of 26
526
Waugh v. British Railways Board (H.L.(E.)) [1980]
October 29, 1976, can be obtained by. anyone from the Ministry of Transport
or Her Majesty's Stationery Office.
One of the objects of privilege is to prevent one party from seeing in
detail what the other party's case is. It is very difficult to define " substantial."
As to the tests, (1) once duality has been raised, there is no
English case that has approved the sole purpose test. The only case,
relied on by the plaintiff, is Grant v. Downs, 135 C.L.R. 674. (2) the
dominant purpose test has not been used by any judge except Barwick
C.J. in Grant v. Downs. How does one assess dominance? Dominance
in whose eyes? At what particular time?
[LORD EDMUND-DAVIES. In a civilised society, would not the dominant
purpose be to find out what happened, so as to prevent it from
happening again?]
In this case, there was no dominant purpose. The second report, the C
joint inquiry report of May 6, 1976, was really the collection of evidence.
One difficulty of this approach is to distinguish between one aspect and
another: which is the important one? The answer here should therefore
be that the real test here can be described as a " substantial purpose "-r-
" a substantial purpose "—test, or an " appreciable purpose " test. " An
appreciable " means that it is something of consequence. The board does -Q
not accept the substantial purpose test because there was not a substantial
purpose here. If there had been one, they would not go as far as to
accept that test. They would accept that it is a question of "dominant
in whose eyes? " Even there, there is difficulty, because one might have,
for example, two members of a family charged with making a report about
an accident that had happened to them: one might regard the dominant
purpose of the report as liability, the other safety. " A dominant pur- E
pose " means a substantial purpose without the need to inquire whether it
was the dominant purpose. There are two basic criteria: (1) that the test
should be fair to both parties to the litigation; (2) that it should be simple
to understand and easy to apply in practice. Support for the " a substantial
purpose " test is found in the judgment of Diplock J. in Longthorn
V. British Transport Commission [1959] 1 W.L.R. 530, 534; see also Konia p
v. Morley [1976] 1 N.Z.L.R. 455 and the test that Eveleigh L.J. applied
in the present case. Provided that the board establish a substantial purpose,
they concede that there may be cases—not this one-^-where there may be
a more important function. Thus, the substantial, appreciable purpose
test ought to be applied. It represents the law and practice of at least
the last 60 years. It is fair to both parties, in the sense that the privilege
attaching to the document supports the case of the board in this instance. G
It has that advantage, but it precludes the plaintiff, on general grounds,
from having access to information to which otherwise she would be
•entitled.
[LORD SIMON OF GLAISDALE. There are two conflicting principles—
curiously, both advanced to further the administration of justice. They
point in different directions. One usually tries to resolve such a conflict JJ
[by finding a middle line.]
■< That is the difficulty here: to find a workable middle line. This
advances the board's case for "substantial" or "appreciable."
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 7 of 26
527
\.C. ' ;Waugh V.British Railways Board (H.L.(E.))
[LORD.RUSSELL OF KILLOWEN. What about the preliminary accident
report?. There must also have been a report to the police?]
The accident report was not disclosed. The coroner's notes were disclosed.
The board could hold two inquiries, one as to liability and..one
as to safety. It could not then be said that the first would be disclosable:
The second would be.
The plaintiff says.that Southwark and Vauxhall Water Co. v. Quick;
B 3 Q.B.D. 315, is strong authority for the sole purpose test. There, the
court was not concerned with any duality of purpose, and they were not
directing their mind to that point. "Secondly, the plaintiff says that
Birmingham and Midland Motor Omnibus Co. Ltd. v. London and
North Western Railway Co. [1913] 3 K.B. 850 turned mainly on the
form of words used in the affidavit and was not, therefore, intended to
deal with the proper principles and the test to be applied; alternatively,
C she suggests that Buckley and Hamilton LJJ. were by implication referring
to the dominant purpose test. That case has been considered ever since
it was decided as settling matters of principle, and it is not correct to say
that within the language used the court were favouring the dominant
purpose test. There is no distinction between " primary " and " domim
ant"; that is why one should prefer the substantial purpose test.
D ' The plaintiff said that Ogden v. London Electric Railway Co., 49
T.L.R. 542, was Wrongly decided: Scrutton L.J. misinterpreted the
Southwark and Vauxhall case and extended what had been decided in the
Birmingham case. Ogden, like the Birmingham case, has been regarded
as settling matters of principle now for "a great number of years; Scrutton
L.J. took a correct view of the Southwark and Vauxhall Case and correctly
interpreted and applied the Birmingham case. The present state of the
E law, based principally on the Birmingham case, the Ogden case and othef
cases referred to in Seabrook. v. British Transport Commission [1959]
1 W.L;R. 509, may be summarised as follows. (1) All communications
between a client or his legal adviser and third parties are prima facie
privileged if one of the purposes for which they are made is the purpose
of pending or contemplated litigation. (2) This purpose need not be the
p " dominant" purpose for the document's existence, but it must be a
"substantial" or "appreciable" purpose. (3) Whether or not the purpose
is sufficiently substantial to attract the cloak of privilege will be a
question of fact and degree in every case. There is no magic in any
particular form of words, and (for example) it is not necessary that the
affidavit should state that information was obtained " solely " o r " merely "
or " primarily " for the legal adviser. (4) Such a communication remains
G privileged notwithstanding the fact that it is brought into existence as a
matter of routine, or in accordance with standing instructions, and notwithstanding
the fact that it may pass through various hands before
coming finally to the legal adviser.
If the test is dominant purpose, it is possible to argue that the dominant
purpose of the joint inquiry report was an inquiry into liability. The
JJ " label" on the affidavit of the assistant to the general manager of the
board's Eastern Region in support of the board's claim of privilege artd
on the joint inquiry report cannot be more than an indication of its pur-;
pose. Paragraph 2 of the board's list of documents, stating that they have
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 8 of 26
528
Waugh v. British Railways Board (H.L.(E.)) [1980]
in their possession, custody or power the documents " relating to the .
matters in question in this action" enumerated in the first schedule, is
standard form.
Marr-Johnson following on the Commonwealth authorities. As to
Grant v. Downs, 135 C.L.R. 674, the House should have in mind the
principle set out by the majority there. Using shorthand, they applied the
sole purpose test. The judgment of the majority is based on a fallacy,
based on a misunderstanding of Anderson v. Bank of British Columbia B
(1876) 2 Ch.D. 644: see at pp. 687-689. It can be reduced to four propositions.
(1) An ordinary individual can always be compelled to disclose
his own knowledge of relevant facts. (2) A corporation generally
has to acquire knowledge of relevant facts through the written communications
of its agents. (3) It would be extraordinary if a corporation could
claim the benefit of a privilege that was not available to an ordinary
individual. (4) The majority conclude that, if the dual purpose claim
is allowed the effect would be precisely that. The board agrees with
(3), but (4) does not follow from (1) and (2). (1) is correct, but " relevant
facts" means the basic facts of the transaction, the res gestae, one
might almost say: the written documents in an accident case—typically,
the entry in the accident book in a factory case—or, in a commercial
case, the bank account in question. Anderson v. Bank of British D
Columbia is probably right if one reads it from end to end. The facts
were wholly different from those in Grant v. Downs. That is plain,
especially from the judgment of Mellish L.J., at p. 658: " . . . as to the
question that we have to decide in this case . . . "
It is well-established that a client is entitled to act on behalf of his
legal adviser in obtaining information from third parties. A corporation
is in no different position from an individual. That point was made
clearly by Cotton L.J. in Southwark and Vauxhall Water Co. v. Quick,
3 Q.B.D. 315, 321. There is no difference at all that the board is aware
of. It is plain from all the judgments in Anderson v. Bank of British
Columbia, 2 Ch.D. 644, particularly that of Mellish L.J., that all the documents
there would legitimately have been the subject of discovery if the
bank had been in England: they were, in truth, bankers' records. F
The board is not aware of any case other than Grant v. Downs, 135
C.L.R. 674, where the sole purpose test has been applied. It is not right
to draw the line at that particular point. If one is to draw a line at
all, one should draw it where it is capable of being applied easily in
practice (it is not only High Court judges who have to apply it).
Apart from Australia, the Commonwealth authorities all apply the substantial
purpose test, which does work adequately in practice. One "
might have two different safety officers, one concerned with safety, one
with liability. Or one might have a document 90 per cent, of which was
concerned with safety, 10 per cent, with liability. These Commonwealth
cases follow the practice in England and Wales, and in two of them where
the substantial purpose test was applied the claim to privilege failed:
Northern Construction Co. v. British Columbia Hydro and Power JJ
Authority (1970) 75 W.W.R. 21 and Vernon v. Board of Education
for the Borough of New York (1975) 9 O.R. (2d) 613. Alfred Crompton
Amusement Machines Ltd. v. Customs and Excise Commissioners (No. 2)
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 9 of 26
529
A.C. Waugh v. British Railways Board (H.L.(E.))
[1974] A.C. 405 was considered in Reg. in Right of Canada v. Hawker
A Siddeley Canada Ltd. (1976) 73 D.L.R. (3d) 453. [Reference was made
to Konia v. Morley [1976] 1 N.Z.L.R. 455.]
Weitzman Q.C. in reply. One should not go through this report line
by line, but should look at what the person says who inspired it. There
is confusion in the board's argument between the function of pleadings on
the one hand and particulars on the other. One should distinguish
B between the purpose for which the report was made and the use eventually
made of its contents. As to the proposition that the test should be
simple to understand and easy to apply, that is the whole question here.
It is very difficult to say exactly where such a test as " a substantial
purpose " draws the line. It seems as though the Law Reform Committee
in its Sixteenth Report (Privilege in Civil Proceedings) (1967) (Cmnd.
r 3472) were recommending the dominant purpose test: see at p. 8, para.
C 17: "wholly or mainly."
Even if the board's historical summation of the authorities be right,
the House in Alfred Crompton Amusement Machines Ltd. v. Customs
and Excise Commissioners (No. 2) [1974] A.C. 405 regarded the matter
as open for reconsideration.
It is quite impossible that the board should succeed on the dominant
D purpose test, because their affidavit falls far short of it. That was
recognised by Eveleigh L.J.
As to the Commonwealth authorities, see Grant v. Downs, 135 C.L.R.
674: the Commonwealth cases more or less follow what was said in
Seabrook v. British Transport Commission [1959] 1 W.L.R. 509 and
Longthorn v. British Transport Commission [1959] 1 W.L.R. 530.
E Fairness and good sense suggest that the privilege should be limited to
those cases where it is essential that it should be granted. Where a document
would have been produced anyway, whether there was to be litigation
or not, that suggests that the privilege is not necessary.
Their Lordships took time for consideration.
F
July 12. LORD WILBERFORCE. My Lords, the appellant's husband was
an employee of the British Railways Board. A locomotive which he was
driving collided with another so that he was crushed against a tank wagon.
He received injuries from which he died. The present action is brought
under the Fatal Accidents Acts 1846-1959 and this appeal arises out of an
interlocutory application for discovery by the board of a report called the
G " joint inquiry report," made by two officers of the board two days after
the accident. This was resisted by the board on the ground of legal professional
privilege. The Court of Appeal, Eveleigh L.J. and Sir David
Cairns, Lord Denning M.R. dissenting, refused the application.
When an accident occurs on the board's railways, there are three reports
which are made. 1. On the day of the accident a brief report of the
JJ accident is made to the Railway Inspectorate. 2. Soon afterwards a joint
internal report is prepared incorporating statements of witnesses. This too
is sent to the Railway Inspectorate. Preparation of this report, it appears,
is a matter of practice: it is not required by statute or statutory regula-
A.C. 1980—20
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 10 of 26
530
Lord Wilberforce .Waugh v. British Railways Board (H.L.(E.)) [1980]
tion. 3. In due course a report is made by the Railway Inspectorate for .
the Department of the Environment.
The document now in question is that numbered 2. The circumstances
in which it came to be prepared, and the basis for the claim of privilege,
were stated in an affidavit sworn on behalf of the board by Mr. G. T.
Hastings, assistant to the general manager of the Eastern Region. I find
it necessary to quote the significant passages in this affidavit.
D " 3. The general manager of the Eastern Region is required (as are the
general managers of the other railways regions) to submit returns to the
Department of [the] Environment in respect of accidents occurring on
or about any railway . . . 6. It has long been the practice of the board
and its predecessors to require that returns and reports on all accidents
occurring on the railway and joint internal departmental inquiries
into the causes of the said accident be made by the local officers of C
the board who would forward them to their superiors in order to
assist in establishing the causes of such accidents. 7. Such reports
and the statements of witnesses to such accidents are made for the
purposes mentioned in paragraphs 3 and 6 of this affidavit and equally
for the purpose of being submitted to the board's solicitor as material
upon, which he can advise the board upon its legal liability and for ]-»
the purpose of conducting on behalf of the board any proceedings
arising out of such accidents . . . 9. It is commonly anticipated by the
board that: (a) where an employee of the board suffers personal injury
or death at. work or (b) where a passenger suffers loss [or] personal
injury- or death while on or about the railway a claim for damages
will be made against the board and proceedings will ensue if liability
is repudiated. The present action is brought as the result of a fatal E
accident suffered at. work by the late husband of the plaintiff and
it was anticipated from the very outset that a claim for damages would
almost certainly ensue.i 10. The documents in this action namely the
reports made by the board's officers and servants and the report
referred to in correspondence as the internal inquiry report for
which the defendants have claimed privilege in part 2 of the first p
schedule of their list of documents dated November 11, 1977, came
into existence by reason of the fact that the appropriate officer, in
this case the divisional manager at Newcastle, in accordance with long
standing practice was required to and did so call for such reports and
statements. One of the principal purposes for so doing was so that
they could be passed to the board's chief solicitor to enable him to
advise the board on its legal liability and if necessary conduct its G
defence to these proceedings. 11. The internal inquiry report in fact
states on the face of it that it has finally to be sent to the solicitor for
the purpose of enabling him to advise the board."
This last paragraph refers to the wording which appears at the head of the
report: '
. ' JJ
: :" For the information of the board's solicitor: This form is to be
used by every person reporting an occurrence when litigation by or
-:: against the B.R.B.: is anticipated. It as to beprovided by the person
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 11 of 26
531
A.C. . Waugh v. British Railways Board (H.L.(E.)) Lord Wilberforce
making it to his immediate superior officer and has finally to be sent
to the solicitor for the purpose of enabling him to advise the B.R.B.
in regard thereto."
Whatever this heading may say, the affidavit makes it clear that the
report was prepared for a dual purpose: for what may be called railway
operation and safety purposes and for the purpose of obtaining legal
B advice in anticipation of litigation, the first being more immediate than
the second, but both being described as of equal rank or weight. So
the question arises whether this is enough to support a claim of privilege,
or whether, in order to do so, the second purpose must be the sole purpose,
or the dominant or main purpose. If either of the latter is correct, the
claim of privilege in this case must fail.
My Lords, before I consider the authorities, I think it desirable to
C attempt to discern the reason why what is (inaccurately) called legal professional
privilege exists. It is sometimes ascribed to the exigencies of the
adversary system of litigation under which a litigant is entitled within limits
to refuse to disclose the nature of his case until the trial. Thus one side
may not ask to see the proofs of the other side's witnesses ■ or the
opponent's brief or even know what witnesses will be called: he must
D wait until the card is played and cannot try to see it in the hand. This
argument cannot be denied some validity even where the defendant is a
public corporation whose duty it is, so it might be thought, while taking
all proper steps to protect its revenues, to place all the facts before the
public and to pay proper compensation to those it has injured. A more
powerful argument to my mind is that everything should be done in order
to encourage anyone who knows the facts to state them fully and candidly
E ^-as Sir George Jessel M.R. said, to bare his breast to his lawyer: Anderson
y. Bank of British Columbia (1876) 2 Ch.D. 644, 699. This he may not do
unless he knows that his communication is privileged. <
'■ But the preparation of a case for litigation is not the only interest
which call for candour. In accident cases " . . . the safety of the public
may well depend on the candour and completeness of reports made by
P subordinates whose duty it is to draw attention to defects": Conway v.
Rimmer [1968] A.C. 910, per Lord Reid, at p. 941. This however does
not by itself justify a claim to privilege since, as Lord Reid continues:
" . . . no one has ever suggested that public safety has been endangered
by the candour or completeness of such reports having been inhibited
by the fact that they may have to be produced if the interests of the
Q ( due administration of justice should ever require production at any
time." ""..':'' : .'. .
So one may deduce from this the principle that while privilege may
be required in order to induce candour in statements made for the purposes
of litigation it is not required in relation to statements whose purpose is
different—for example to enable a railway to operate safety.
JJ It is clear that the due administration of justice strongly requires disclosure
and production of this report: it was contemporary; it contained
statements by witnesses on the spot; it would be not merely, relevant
evidence, but almost certainly the best evidence as to the cause of the
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 12 of 26
532
Lord Wilberforcc Waugh v. British Railways Board (H.L.(E.)) [1980]
accident. If one accepts that this important public interest can be over- .
ridden, in order that the defendant may properly prepare his case, how
close must the connection be between the preparation of the document
and the anticipation of litigation? On principle I would think that the
purpose of preparing for litigation ought to be either the sole purpose
or at least the dominant purpose of it: to carry the protection further into
cases where that purpose was secondary or equal with another purpose
would seem to be excessive, and unnecessary in the interest of encouraging B
truthful revelation. At the lowest such desirability of protection as might
exist in such cases is not strong enough to outweigh the need for all relevant
documents to be made available.
There are numerous cases in which this kind of privilege has been considered.
A very useful review of them is to be found in the judgment
of Havers J. in Seabrook v. British Transport Commission [1959] 1
W.L.R. 509 which I shall not repeat. It is not easy to extract a coherent
principle from them. The two dominant authorities at the present time
are Birmingham and Midland Motor Omnibus Co. Ltd. v. London and
North Western Railway Co. [1913] 3 K.B. 850 and Ogden V. London
Electric Railway Co. (1933) 49 T.L.R. 542, both decisions of the Court
of Appeal. These cases were taken by the majority of the Court of
Appeal in the present case to require the granting of privilege in cases D
where one purpose of preparing the document(s) in question was to enable
the defendants' case to be prepared whether or not they were to be
used for another substantial purpose. Whether in fact they compel such a
conclusion may be doubtful—in particular I do not understand the
Birmingham case to be one of dual purposes at all: but it is enough that
they have been taken so to require. What is clear is that, though loyally
followed, they do not now enjoy rational acceptance: in Longthorn v. ^
British Transport Commission [1959] 1 W.L.R. 530 the manner in which
Diplock J. managed to escape from them, and the tenor of his judgment,
shows him to have been unenthusiastic as to their merits. And in Alfred
Crompton Amusement Machines Ltd. v. Customs and Excise Commissioners
(No. 2) [1974] A.C. 405 Lord Cross of Chelsea, at p. 432,
pointedly left their correctness open, while Lord Kilbrandon stated, at p
p. 435, that he found the judgment of Scrutton L.J. in Ogden v. London
Electric Railway Co., 49 T.L.R. 542, 543-544, "hard to accept." Only
Viscount Dilhorne (dissenting) felt able to follow them in holding it to be
enough if one purpose was the use by solicitors when litigation was
anticipated.
The whole question came to be considered by the High Court of
Australia in 1976: Grant V. Downs, 135 C.L.R. 674. This case involved G
reports which had " as one of the material purposes for their preparation "
submission to legal advisers in the event of litigation. It was held that
privilege could not be claimed. In the joint judgment of Stephen, Mason
and Murphy JJ., in which the English cases I have mentioned were discussed
and analysed, it was held that " legal professional privilege " must
be confined to documents brought into existence for the sole purpose of JJ
submission to legal advisers for advice or use in legal proceedings.
Jacobs J. put the test in the form of a question, at p. 692: " . . . does
the purpose "—in the sense of intention, the intended use—" of supplying
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 13 of 26
533
A.C. Waugh v. British Railways Board (H.L.(E.)) Lord Wilberforce
the material to the legal adviser account for the existence of the
^ material? " Barwick C.J. stated it in terms of " dominant" purpose.
This is closely in line with the opinion of Lord Denning M.R. in the
present case that the privilege extends only to material prepared
" wholly or mainly for the purpose of preparing [the defendant's] case."
The High Court of Australia and Lord Denning M.R. agree in refusing
to follow Birmingham and Midland Motor Omnibus Co. Ltd. v. London
B and North Western Railway Co. [1913] 3 K.B. 850 and Ogden v. London
Electric Railway Co., 49 T.L.R. 542, as generally understood.
My Lords, for the reasons I have given, when discussing the case in
principle, I too would refuse to follow those cases. It appears to me that
unless the purpose of submission to the legal adviser in view of litigation
is at least the dominant purpose for which the relevant document was
prepared, the reasons which require privilege to be extended to it cannot
^ apply. On the other hand to hold that the purpose, as above, must be the
sole purpose would, apart from difficulties of proof, in my opinion, be
too strict a requirement, and would confine the privilege too narrowly: as
to this I agree with Barwick C.J. in Grant v. Downs, 135 C.L.R. 674, and
in substance with Lord Denning M.R. While fully respecting the necessity
for the Lords Justices to follow previous decisions of their court, I find
D myself in the result in agreement with Lord Denning's judgment. I would
allow the appeal and order disclosure of the joint report.
LORD SIMON OF GLAISDALE. My Lords, the appellant's late husband,
an employee of the respondents, was killed in an accident on part of their
railway system. In accordance with their usual practice, shared by many
industrial and commercial undertakings in such circumstances, a report
E was made about the accident. As so often, the report came into being
partly for the purpose of ascertaining whether the working system was
defective and could be improved so as to obviate such accidents, partly
for the purpose of informing the respondents' solicitors in case of the
threat or initiation of litigation, which, at the time when the report was
made, was contemplated by the respondents as possible or probable.
p The report, as is usual, contains statements by all such persons
as could throw light on the circumstances of the accident, the majority of
whom could be witnesses in any ensuing litigation. Litigation having in
fact been started by the appellant against the respondents, the former has
sought disclosure of the report to assist her in the preparation and /or
conduct of her case. The respondents resist its disclosure, on the ground
that it is protected by legal professional privilege.
G The situation being far from unusual, the issue has quite frequently
been before the courts. The English authorities were meticulously reviewed
by Havers J. in Seabrook v. British Transport Commission [1959] 1
W.L.R. 509. His conclusion was that he was bound by what had been
said by the majority of the Court of Appeal in Birmingham and Midland
Motor Omnibus Co. Ltd. v. London and North Western Railway Co.
H [1913] 3 K.B. 850, and by the ensuing Court of Appeal decisions in Ankin
v. London and North Eastern Railway Co. [1930] 1 K.B. 527 and Ogden
v. London Electric Railway Co., 49 T.L.R. 542. The law thus laid
down was that such a report need not be disclosed if one of its purposes
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 14 of 26
§34
J-?1* Simon Waugh v. British Railways Board (H.L.(E.)) [1980]
of Glaisdale "
(even though subsidiary) was to inform the solicitor with a view to »
litigation contemplated as possible or probable. That this was the correct
distillation of the prevailing case law was recognised by Diplock J. in
Longthorn V. British Transport Commission [1959] 1 W.L.R. 530; though
he deftly avoided its application. It was also recognised as the prevailing
English law, and applied, by various Canadian courts: see Northern
Construction Co. v. British Columbia Hydro and Power Authority (1970)
75 W.W.R. 21; Vernon v. Board of Education for the Borough of North B
York (1975) 9 O.R.(2d) 613; Reg. in Right of Canada v. Hawker Siddeley
'Canada Ltd, (1976) 73 D.L.R. (3d) 453. In New Zealand, too, the
Court of Appeal held that to attract privilege its use in reasonably
apprehended litigation need not be the only purpose of the document
(though it must be an appreciable purpose): Konia v. Morley [1976] 1
N.Z.L.R. 455. Ankin V. London and North Eastern Railway Co. [1930] r
1 K.B. 527 and Ogden v. London Electric Railway Co., 49 T.L.R. 542 ^
being English Court of Appeal decisions, the law declared there was
binding on, and applied by the majority of, the Court of Appeal in the
instant case.
The earlier authorities are, however, by no means so categorical; and
the views of Hamilton LJ. in Birmingham and Midland Motor Omnibus
Co. Ltd. v. London and North Western Railway Co. [1913] 3 K.B. 850 D
were preferred, though not as a matter of decision, by the majority of the
members of the Appellate Committee in Alfred Crompton Amusement
Machines Ltd. V. Customs and Excise Commissioners (No. 2) [1974]
A.C. 405; and it was the Birmingham case which was the foundation of
Ankin and Ogden. In Grant v. Downs, 135 C.L.R. 674, the majority of
the High Court in Australia took those earlier authorities into account p
and also the doubt that had been thrown on the more recent ones in
Alfred Crompton Amusement Machines Ltd. V. Customs and Excise
Commissioners (No. 2); and, weighing various other considerations, held
that to attract privilege the use of the document for reasonably anticipated
litigation must be its sole purpose. Barwick C.J., at p. 677, " Having
considered the decisions, the writings and the various aspects of the
public interest which claim attention," thought that use of the document F
either for legal advice or to be used in reasonably apprehended litigation
had to be the dominant purpose in order to attract privilege from disclosure.
The Law Reform Committee, in its Sixteenth Report (Privilege
in Civil Proceedings) (1967) (Cmnd. 3472) thought that, under the subsisting
English law, the test of privilege was that the document should
be " wholly or mainly" for the purpose of preparing one's case in _,
litigation then pending or contemplated (para. 17); and, although I do not
myself consider that that was the prevailing law (nor, indeed, I think, did
Lord Denning M.R. in the instant case, for all that he favoured it as the
test), the views of such an eminent committee are entitled to great
respect.
The upshot of this cursory conspectus of the authorities is that your
Lordships are, in my view, free to consider the issue on grounds of
principle and convenience, unembarrassed by previous authority, which,
rather, constitutes diverse springboards. The appellant argues that the
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 15 of 26
535'
A.C. Waugh v. British Railways Board (H.L.(E.) ) Lord Simon!
* V V " o f QI a j s d a | e -
A correct test is that preferred by the majority of the High Court in-
Grant v. Downs, 135 C.L.R. 674, namely the sole purpose; or, alternatively,
that preferred by Barwick C.J. in that case, namely the dominant
purpose. The respondents argue that Ankin v. London and North
Eastern Railway Co. [1930] 1 K.B. 527 and Ogdenv. London Electric
Railway Co., 49 T.L.R. 542, were correctly decided, and that it is
sufficient to attract privilege from disclosure if one of the purposes
B (however subsidiary) is with a view to apprehended litigation.
The issue exemplifies a situation which frequently causes difficulties—
where the forensic situation is covered by two valid legal principles which
point each to a different forensic conclusion. Here, indeed, both principles
subserve the same legal end—the administration of justice. The first
principle is that the relevant rules of law should be applied to the
Q whole body of relevant evidence—in other words, in principle all relevant
evidence should be adduced to the court. The report in question in this
appeal undoubtedly contains information relevant to the matters in issue
in the litigation here. The first principle thus indicates that it should be
disclosed, so that the appellant may make use of it if she wishes.
The second general principle arises out of the adversary (in contradiction
to the inquisitorial) system of administration of justice. Society
provides an objective code of law and courts where civil contentions
can be decided. But it contents itself with so providing a forum and a
code (and nowadays some finance for those who could not otherwise
get justice). Having done so much, society considers that it can safely
leave each party to bring forward the evidence and argument to establish
his/her case, detaching the judge from the hurly-burly of contestation
E and so enabling him to view the rival contentions dispassionately. It is
true that this does not in itself give rise to legal professional privilege.
Sir Thomas More, before his time for judicial and administrative
responsibility, had a different system for the Utopians: .
' " For they thinke it most mete, that euery man shuld pleade his owne
matter, and tell the same tale before the iudge, that he'would'tel to
F his man of lawe. So shall there be lesse circumstaunce of wordes,
and the trwth shal soner cum to light; whiles the • iudge with a
discrete judgement doth waye the wordes of hyni whom no lawier
hath instruct with deceit; and whiles he helpeth and beareth out
simple wittes agaynst the false and malicious circumuertions "of craftie'
chyldren." (Utopia, 1516, tr. Ralph Robinson, 1551, Bk. 2, [ch. 7].)
G This is all very fine; but that great moralist and master of. common
sense, Dr. Johnson, saw. the snag. Quite apart, from the descent of the
judge into the arena:
"As if rarely happens that a man is fit to plead his own'cause,
lawyers are a class of the community, who, by study and experience,
have acquired the art and power of arranging evidence, and- of
JJ applying to the points at issue what the law has settled. A lawyer
is to do for his client all that his client might fairly do for himself;
if he could." (Boswell, Life of Johnson, ed. Birkbeck Hill (1950),
vol. v, 26),
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 16 of 26
536;
of°Giiis°ai°e Waugh v. British Railways Board (H.L.(E.)) [1980]
So the adversary system calls for legal representation if it is to operate .
with such justice as is vouchsafed to humankind.
., This system of adversary forensic procedure with legal professional
advice and, representation demands that communications between lawyer
and client should be confidential, since the lawyer is for the purpose of
litigation merely the client's alter ego. So too material which is to go
into the lawyer's (i.e. the client's) brief or file for litigation. This is the
basis for the privilege against disclosure of material collected by or on B
behalf of a client for the use of his lawyer in pending or anticipated
litigation: see Cotton L.J. in Southwark and Vauxhall Water Co. v.
Quick (1878) 3 Q.B.D. 315, 321-322; D. v. National Society for the
Prevention of Cruelty to Children [1978] A.C. 171, 231; Sixteenth
Report of the Law Reform Committee, paras. 17-21. Apart from
the limited exception of some expert evidence, for which the Rules
of the Supreme Court make express provision (Ord. 38, r. 37), a
party in civil litigation is not entitled to see the adversary's proofs of
what his witnesses will say at the trial; there has been no suggestion
that he should be so entitled; and any such development would require
the most careful consideration based on widespread consultation. The
report in question in this appeal undoubtedly contains material collected
by or on behalf of the respondents for the use of their solicitors in anti- D
cipated litigation. The second principle thus indicates that the respondents
are entitled to claim that it is confidential as between themselves
and their solicitors and that they are not bound to disclose it.
Historically, the second principle—that a litigant must bring forward
his own evidence to support his case, and cannot call on his adversary
to make or aid it—was fundamental to the outlook of the courts of
common law. The first principle—that the opponent might be compelled "
to disclose relevant evidence in his possession—was the doctrine of the
Chancery, a court whose conscience would be affronted by forensic success
contrary to justice obtained merely through the silent non-cooperation
of the defendant (see Y.B. 9 Ed. IV, Trin. 9), and which therefore had
some inclination to limited inquisitorial procedures. The conflict between
the Chancery and the courts of common law was, here as elsewhere, p
ultimately resolved by compromise and accommodation.
I can see no intrinsic reason why the one principle rather than the
other should prevail in a situation where they are counter-indicative.
Neither is absolute: both' are subject to numerous exceptions. For
example, if a document protected by legal professional privilege (or
secondary evidence of it) has been obtained by the opposite party
independently—even through the default of the legal adviser—even by "
dishonesty—either will probably be admissible: Phipson on Evidence,
12th ed. (1976), p. 241, para. 584; Sixteenth Report of the Law Reform
Committee, para. 31. The numerous exceptions to the principle that all
relevant evidence should be disclosed arise partly from historical reasons
(the tensions between the courts of common law, where questions of
fact were tried, and the Court of Chancery, where the remedy of discovery JJ
was developed), partly from considerations of justice, partly from wider
social considerations: see D. v. National Society for the Prevention of
Cruelty to Children [1978] A.C. 171, at pp. 231 et seq. Thus the
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 17 of 26
537
A.C. Waugh v. British Railways Board (H.L.(E.)) L„ord Simon
of Glaisdale
. historical exclusion of hearsay evidence, " the best evidence " rule and
" without prejudice" communications are examples of exceptions to
the principle of adduction of all relevant evidence. So too is the rule
excluding, in general, evidence going merely to the discredit of a witness,
even though the credibility of the witness may be decisive of the case.
But the exception which most nearly touches the issue facing your
Lordships was cogently invoked in this very connection by James L.J.
B in Anderson v. Bank of British Columbia, 2 Ch.D. 644, 656:
" . . . as you have no right to see your adversary's brief, you have
no right to see that which comes into existence merely as the materials
for the brief."
The adversary's brief will contain much relevant material; nevertheless,
Q you cannot see it because that would be inconsistent with the adversary
forensic process based on legal representation. I would, though, draw
attention to the word " merely " in James L.J.'s dictum.
There is, then, no a priori reason why the one general principle should
yield to the other. But in my judgment each party's main contention
would virtually result in the total exclusion of the principle relied on by
the other. The rule in Ogden in effect means that reports such as that
D in the instant case will always be excluded, because it is unlikely that
there is not in such circumstances even the subsidiary purpose of informing
the legal advisers. On the other hand, to enjoin that privilege can
only be claimed if the information of legal advisers is the sole purpose
of the report will in effect mean that such reports must always be disclosed,
because it is unlikely that in such circumstances there will not be
g even the subsidiary purpose of ascertaining whether the system of work
can be improved. Indeed, in this type of report causation and fault can
hardly be kept apart.
Your Lordships will therefore, I apprehend, be seeking some intermediate
line which will allow each of the two general principles scope
in its proper sphere. Various intermediate formulae as a basis for
the privilege have been canvassed in argument before your Lordships,
most based on some authority—the obtaining of legal advice was " an
appreciable purpose"; " a substantial purpose"; " the substantial
purpose"; it was "wholly or mainly" for that purpose; that was its
" dominant" purpose; that was its " primary " purpose.
Some of these are in my view too vague. Some give little or no
scope to the principle of open litigation with the minimum exclusion of
G relevant evidence. The one that appeals most to me is " dominant"
purpose, as it did to Barwick C.J. in Grant v. Downs, 135 C.L.R. 674.
It allows scope to each of the governing principles. It seems to me less
quantitative than " mainly "; and I think it would be easier to apply—
the law is already cognisant of the concept of a dominant purpose—in
the law of conspiracy, for example (see Crofter Hand Woven Harris
H Tweed Co. Ltd. v. Veitch [1942] A.C. 435, especially at pp. 445
(Viscount Simon L.C.), 452 (Viscount Maugham)), and in the law as to
fraudulent preference in bankruptcy (see Halsbury's Laws of England,
4th ed., vol. 3 (1973), pp. 496, 499, paras. 908, 913).
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 18 of 26
538
I f i 1'^,50? Waugh v. British Railways Board (HX.(E.)) [1980]
of Glaisdale
I would therefore overrule Ankih v. London and North Eastern *
Railway Co. [1930] 1 K.B. 527 and Ogden v. London Electric Railway
Co., 49 T.L.R. 542.
My noble and learned friend on the Woolsack has already cited the
crucial passages from the affidavit of Mr. Hastings. These show that
the procuring of legal advice or preparation for litigation was not the
dominant purpose of the report. It follows that the claim for legal
professional privilege fails, and the report must be disclosed. B
Accordingly, I would allow the appeal.
LORD EDMUND-DAVIES. My Lords, the circumstances of the fatal
accident on May 4, 1976, giving rise to this litigation have already been
related by my noble and learned friend Lord Wilberforce. A copy of
the short report sent the same day by the respondent board to the c
Ministry of Transport in accordance with section 6 of the Regulation of
Railways Act 1871 has been furnished to the appellant's solicitors. They
have also been supplied with a copy of the report of October 29, 1976,
prepared by the Railway Inspectorate of the Department of Transport.
But what has not been disclosed is the May 6, 1976, report based upon
a joint internal inquiry conducted by the board's personnel. The
importance to the appellant of such a report, made only two days after ^
the accident and when the memory of witnesses were fresh, is manifest.
But from the outset disclosure of its contents has been resisted. In their
list of documents the board claimed that they were
" . . . documents which came into existence and were made by the
defendants or their officers or servants after this litigation was in
contemplation and in view of such litigation for the purpose of E
obtaining for and furnishing to the solicitor of the defendants
evidence and information as to the evidence which will be obtained
or otherwise for the use of the said solicitor to enable him to
conduct the defence in this action or to advise the defendants."
But that the reports referred to were not made solely for litigation
purposes emerged when the board, being nevertheless pressed for disclosure
of the internal inquiry report, responded by an affidavit sworn
by Mr. Hastings, assistant to the general manager of their Eastern
Region. So important is it that I must quote from it at some length:
;. "6. It has long been.the practice of the board and its predecessors
'::, to require that returns and reports on all accidents occurring on the
railway and joint internal departmental inquiries into the causes of *■*
.'.". the said accident be.made by the local officers of the board who
would forward them to their superiors in order to assist in establishing
the causes of such accidents. 7. Such reports and the statements
of witnesses to such accidents are made for the purposes mentioned
in paragraphs 3 and 6 of this affidavit and equally for the purpose
of being submitted to the board's solicitor as material upon which JJ
he can advise the board upon its legal liability and for the purpose
. of conducting on behalf of the board any proceedings arising out of
such accidents. 8. This system of reporting accidents and making
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 19 of 26
539
A.C. Waugh v. British Railways Board (H.L.(E.)) Lord Edmund-Davies
joint internal departmental inquiries into the causes of the said,
^ accidents and laying down the necessary instructions to the relevant
staff to do so for the purposes aforesaid continues today. '9. It-is
commonly anticipated by the board that: (a) where an employee of
the board suffers personal injury or death at work or.(b) where a
passenger suffers loss [or] personal, injury or, death while on or
about the railway a claim for damages will be made against the
B board and proceedings will ensue if liability is repudiated. The
■ present action is brought as the result of a fatal accident suffered at
work by the late husband of the plaintiff and it was anticipated from
the very outset that a claim for damages would almost certainly
ensue. 10. The documents in this action namely the reports made
by the board's officers and servants and the report referred to in
correspondence as the infernal inquiry report for which the defendants
^ have claimed privilege in part 2 of the first schedule of their list of
documents dated November 11, 1977, came into existence by reason
of the fact that the appropriate officer, in this case the divisional
manager at Newcastle, in accordance with long standing practice
was required to and did so call for such reports and statements.
One of the principal purposes for so doing was so that they could
D be passed to the board's chief solicitor to enable him to advise the
board on its legal liability and if necessary conduct its defence to
these proceedings. 11. The internal inquiry report in fact states on
the face of it that' it has finally to be sent to the solicitor for the
purpose of enabling him to advise the board."
In the light of such affidavit, counsel for the appellant accepts that he
E cannot challenge that litigation arising out of the fatal accident was
anticipated when the report of May 6, 1976, was prepared: see Jones
v. Monte Video Gas Co. (1880) 5 Q.B.D. 556. The fact that the report
states on its face that it has finally to be sent to the solicitor for the
purpose of enabling him to advise the board cannot, however, be deter-"
minative of the outcome of this appeal, for, as the Lord President (Lord
F Strathclyde) said in Whitehill V. Glasgow Corporation, 1915 S.C. 1015,
1017—quoted with approval by Lord Kilbrandon in Alfred Crompton
Amusement Machines Ltd. V. Customs and Excise Commissioners (No. 2)
[1974] A.C. 405, 435^*36:
" These words cannot alter the character of the report which is.made
by the employee for the purpose of informing his employers of the
Q accident, and made at the time."
My Lords, in the light of their own affidavit, are the board. entitled
to resist disclosure? There is a very large body of case law on the topic
of legal professional privilege, much of which was reviewed in Seabrook
v. British Transport Commission [1959] 1 W.L.R. 509 by Havers J.,
who quoted extensively from earlier decisions. It would not, I think, be
H helpful were I to make a further attempt to do that which that learned
judge so admirably accomplished. Instead, I propose to consider first
whether Eveleigh L.J. and Sir David Cairns in the present case were
right in holding that the earlier Court of Appeal decisions in Birmingham
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 20 of 26
540
Lord Edmund-Davies Waugh v. British Railways Board (H.L.(E.)) [1980]
and Midland Motor Omnibus Co. Ltd. V. London and North Western .
Railway Co. [1913] 3 K.B. 850 and Ogden v. London Electric Railway A
Co., 49 T.L.R. 542 compelled them to dismiss the plaintiff's appeal from
the decision of Donaldson J. refusing disclosure.
In the Birmingham case Buckley L.J. (with whom Vaughan Williams
L.J. concurred) said, at p. 856:
"It is not I think necessary that the affidavit should state that the
information was obtained solely or merely or primarily for the B
solicitor, if it was obtained for the solicitor, in the sense of being
procured as materials upon which professional advice should be
taken in proceedings pending, or threatened, or anticipated."
That passage was cited with approval in Ogden v. London Electric
Railway Co., the facts of which were strikingly similar to those of the
present case, Scrutton L.J. saying, at pp. 543-544, with reference to a C
non-privileged purpose for which accident reports had been obtained:
"It may be that that is part of the purpose of making the reports,
but there is also the substantial purpose that if a writ is issued these
are the materials that will be wanted by the solicitor conducting the
litigation, and they are obtained for that purpose, among others, and
as appears from the form at which we look . . . the reports are made
on a form headed: ' For the information of the company's solicitors
only,' which is a very important heading to have, because if you
know that you are making a confidential report to the solicitor you
are much more likely to state accurately what has happened than if
you are afraid that somebody presently seeing that report may take
proceedings against you in respect of the statements that you have ^
made, which may be defamatory." (Italics added.)
I have already indicated my inability (in concurrence with Lord Denning
M.R. in the present case) to have regard to such a heading. Nevertheless,
Birmingham and Midland Motor Omnibus Co. Ltd. v. London and
North Western Railway Co. [1913] 3 K.B. 850 and Ogden v. London „
Electric Railway Co., 49 T.L.R. 542, are authorities for the proposition
that reports such as that compiled in the instant case two days after the
fatal accident are privileged even though they were obtained for other
purposes as well as to meet impending or anticipated litigation. And
they led the majority of the Court of Appeal to hold here that the
internal inquiry report need not be disclosed, Eveleigh L.J. going to the
length of saying: G
" . . . I believe that in so far as this court is concerned it has been
firmly established that the documents in question in the present case
are privileged. They were obtained for the purpose of being sent to
the solicitors to serve in preparing the defendant's case for litigation
which was anticipated. And they would also be used for another
very substantial and even more important purpose. On the authori- JJ
ties I do not believe that this entitles me to say that the privilege
which otherwise would have attached [to them] has been removed."
(Italics added.)
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 21 of 26
541
A.C. Waugh v. British Railways Board (H.L.(E.)) Lord Edmund-Davics
But Lord Denning M.R., in the course of his dissenting judgment, refused
to be bound by such earlier Court of Appeal decisions. Instead, he
adverted to the view expressed in the Sixteenth Report of the Law
Reform Committee, para. 17, that
" . . . it is, we think, essential . . . that [a party] should be entitled
to insist upon there being withheld from the court any material
which came into existence . . . wholly or mainly for the purpose.of
preparing his case in litigation then pending or contemplated by him."
Lord Denning M.R. added:
" We should not extend it further. If material comes into being for
a dual purpose—one to find out the cause of the accident—the other
to furnish information to the solicitor—it should be disclosed,
C because it is not then ' wholly or mainly' for litigation. On this
basis all the reports and inquiries into accidents—which are made
shordy after the accident—should be disclosed on discovery and
made available in evidence at the trial."
Applying that test to the facts of this case, Lord Denning M.R. said:
" The main purpose of this inquiry and report was to ascertain the
cause of the accident and to prevent further accidents or similar
occurrences. Its nearby purpose was to put before the departmental
inspectorate. Its far-off purpose was to put before the solicitors of
the board, should a claim be made and litigation ensue."
My Lords, it will later emerge how closely I am at one with Lord
E Denning M.R. in this matter. I must, however, say that I am in respectful
agreement with the view adopted by Eveleigh L.J. and Sir David Cairns
that Birmingham and Midland Motor Omnibus Co. Ltd. v. London and
North Western Railway Co. [1913] 3 K.B. 850 and Ogden V. London
Electric Railway Co., 49 T.L.R. 542, were binding upon the Court of
Appeal and that none of the many other cases cited—such as Jones v.
Great Central Railway Co. [1910] A.C. 4, Alfred Crompton Amusement
F Machines Ltd. v. Customs and Excise Commissioners (No. 2) [1974]
A.C. 405, Seabrook v. British Transport Commission [1959] 1 W.L.R. 509
and Longthorn V. British Transport Commission [1959] 1 W.L.R. 530—
enabled them to escape from that thraldom. In these circumstances, I
regard it as fortunate for justice that an appeal has reached this House,
for in my judgment a grievous wrong might have been done had Master
Q Bickford Smith's original order in favour of disclosure not been finally
upheld.
It is for the party refusing disclosure to establish his right to refuse.
It may well be that in some cases where that right has in the past been
upheld the courts have failed to keep clear the distinction between (a)
communications between client and legal adviser, and (b) communications
between the client and third parties, made (as the Law Reform Committee
H put it)
" . . . for the purpose of obtaining information to be submitted to the
client's professional legal advisers for the purpose of obtaining advice
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 22 of 26
542
Lord Edmund-Davies Waugh v. British Railways Board (H.L.(E.)) [1980]
upon pending 'or contemplated litigation." (Sixteenth Report, .
para. 17 (c).) A
In cases falling within (a), privilege from disclosure attaches to communications
for the purpose of obtaining legal advice and it is immaterial
whether or not the possibility of litigation were even contemplated,
Kindersley V.-C. saying in Lawrence v. Campbell (1859) 4 Drew. 485,
490: fi
" . . . it is not now necessary as it formerly was for the purpose of
obtaining production that the communications should be made either
during or relating to an actual or even to an expected litigation. It
is sufficient if they pass as professional communications in a
professional capacity."
But in cases falling within (b) the position is quite otherwise. Litigation, C
apprehended or actual, is its hallmark. Referring to " the rule which
protects confidential communications from discovery as regards the other
side," Sir George Jessel M.R. said in Anderson v. Bank of British
Columbia, 2 Ch.D. 644, 649:
"The object and meaning of the rule is this: that as, by reason of
the complexity and difficulty of our law, litigation can only be D
properly conducted by professional men, it is absolutely necessary
that a man, in order to prosecute his rights or to defend himself
from an improper claim, should have recourse to the assistance of
professional lawyers, and it being so absolutely necessary, it is equally
necessary,. to use a vulgar phrase, that he should be able to make a
clean breast of it to the gentleman whom he consults with a view ._
to the prosecution of his claim, or the substantiating his defence
against the claim of others; that he should be able to place unrestricted
and unbounded confidence in the professional agent, and
that the communications he so makes to him should be kept secret,
unless with his consent (for it is his privilege, and not the privilege
of the confidential agent), that he should be enabled properly to
conduct his litigation. That is the meaning of the rule." [ F
And in the Court of Appeal James L.J. summed up the position, at
p. 656, by speaking succinctly of
" . . . an intelligible principle, that as you have no right to see your
adversary's brief, you have no right to see that which comes into
existence merely as the materials for the brief." Q
Preparation with a view to litigation—pending or anticipated—being
thus the essential purpose which protects a communication from disclosure
in such cases as the present, what in the last resort is the touchstone of
the privilege? Is it sufficient that the prospect of litigation be merely
one of the several purposes leading to the communication coming into
being? And is that sufficient (as Eveleigh L.J. in the present case held) JJ
despite the fact that there is also " another . . . and even more important
purpose " ? Is it enough that the prospect of litigation is a substantial
purpose, though there may be others equally substantial? Is an
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 23 of 26
543
X.C. Waugh v. British Railways Board (H.L.(E.)) Lord Edmund-Davies
appreciable'purpose sufficient? Or does it have to be the main purpose?
Or one of its main purposes (as in Ogden v. London Electric Railway
Co., 49 T.L.R. 542)? Ought your Lordships to declare that privilege
attaches only to material which (in the words of Lord Denning M.R.)
"comes within the words 'wholly or mainly' for the purpose of
litigation " ? Or should this House adopt the majority decision of the
High Court of Australia in Grant v. Downs, 135 C.L.R. 674, that legal
B professional privilege must be confined to documents brought into
existence for the sole purpose of submission to legal advisers for advice
or for use in legal proceedings?
An affirmative answer to each of the foregoing questions can be
supported by one or more of the many reported decisions. And so can
a negative answer. But no decision is binding upon this House, and
„ your Lordships are accordingly in the fortunate position of being free to
choose and declare what is the proper test. And in my judgment we
should start from the basis that the public interest is, on balance, best
served by rigidly confining within narrow limits the cases where material
relevant to litigation may be lawfully withheld. Justice is better served
by candour than by suppression. For, as it was put in the Grant v.,
Downs majority judgment, at p. 686: " . . . the privilege . . . detracts
D from the fairness of the trial by denying a party access to relevant
documents or at least subjecting him to surprise."
Adopting that approach, I would certainly deny a claim to privilege
when litigation was merely one of several purposes of equal or similar
importance intended to be served by the material sought to be withheld
from disclosure, and a fortiori where it was merely a minor purpose.
p On the other hand, I consider that it would be going too far to adopt
the " sole purpose" test applied by the majority in Grant v. Downs,
which has been adopted in no United Kingdom decision nor, as far as
we are aware, elsewhere in the Commonwealth. Its. adoption would
deny privilege even to material whose outstanding purpose is to serve
litigation, simply because another and very minor purpose was also being
„ served. But, inasmuch as the only basis of the claim to privilege in such
cases as the present one is that the material in question was brought:
into existence for use' in legal proceedings, it is surely right to insist
that, before the claim is conceded or upheld, such a purpose must be
shown to have played a paramount part. Which phrase or epithet should
be selected to designate this is,a matter of individual judgment. Lord
P Denning M.R., as we have seen, favoured adoption of the phrase employed
in the Law Reform Committee's Sixteenth Report, viz., " material which.
came into existence . . . wholly or mainly " for the purpose of litigation
(para. 17). " Wholly " I personally would reject for the same reason as
I dislike "solely," but "mainly" is nearer what I regard as the preferable
test. Even so, it lacks the element of. clear paramouhtcy which
„ should, as I think, be the touchstone. After considerable deliberation, I
have finally come down in favour of the test propounded by. Barwick
C.J. in Grant v. Downs, 135 C.L.R. 674, in the following words, at.
p. 6 7 7 : ... ' ■' ■ - >
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 24 of 26
544
Lord Edmund-Davies Waugh v. British Railways Board (H.L.(E)) [1980]
"Having considered the decisions, the writings and the various
aspects of the public interest which claim attention, I have come to
the conclusion that the court should state the relevant principle as
'.. follows: a document which was produced or brought into existence
either with the dominant purpose of its author, or of the person or
authority under whose direction, whether particular or general, it
was produced or brought into existence, of using it or its contents
in order to obtain legal advice or to conduct or aid in the conduct B
of litigation, at the time of its production in reasonable prospect,
should be privileged and excluded from inspection." (Italics added.)
Dominant purpose, then, in my judgment, should now be declared by
this House to be the touchstone. It is less stringent a test than " sole "
purpose, for, as Barwick C.J. added, 135 C.L.R. 674, 677:
" . . . the fact that the person . . . had in mind other uses of the C
document will not preclude that document being accorded privilege,
if it were produced with the requisite dominant purpose."
Applying such test to the facts of the present case, we have already
seen that privilege was claimed in Mr. Hastings's affidavit on several
grounds. Thus, the report of May 6, 1976, was produced in accordance
with the long-standing practice of the board regarding " accidents occurring
on or about any railway . . . in order to assist in establishing the
causes of such accidents," and this whether or not (so your Lordships
were informed) any personal injuries were sustained and even where
there was no prospect of litigation ensuing. This particular report was
called for in accordance with such practice and:
"One of the principal purposes for so doing was so that they could E
be passed to the board's chief solicitor to enable him to advise the
board on its legal liability and if necessary conduct its defence to
these proceedings." (Italics added.)
Were the " sole purpose " test adopted and applied, on the board's own
showing their claim to privilege must fail. Then what of the " dominant p
purpose " test which I favour? Dominance again is not claimed by the
board, but merely that use in litigation was " one of the principal
purposes." Such moderation is only to be expected in the face of a
claim arising out of a fatal accident. Indeed, the claims of humanity
must surely make the dominant purpose of any report upon an accident
(particularly where personal injuries have been sustained) that of discovering
what happened and why it happened, so that measures to prevent G
its recurrence could be discussed and, if possible, devised. And, although
Barwick C.J. in Grant v. Downs, 135 C.L.R. 674, observed, at p. 677, that
" . . . the circumstance that the document is a ' routine document'
will not be definitive. The dominant purpose of its production may
none the less qualify it for professional privilege,"
H
the test of dominance will, as I think, be difficult to satisfy when inquiries
are instituted and reports produced automatically whenever any mishap
occurs, whatever its nature, its gravity, or even its triviality,
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 25 of 26
545
A.C. Waugh v. British Railways Board (H.L.(E)) Lord Edmund-Davies
My Lords, if, as I hold, "dominant purpose" be the right test of
privilege from disclosure, it follows that the board's claim to privilege
must be disallowed, and the same applies if the " sole purpose " test be
applied. I would therefore allow this appeal and restore the order of
Master Bickford Smith in favour of disclosure.
LORD RUSSELL OF KILLOWEN. My Lords, it has already been
B demonstrated by my noble and learned friend Lord Wilberforce that if,
in order to attract privilege from its production, it is necessary that the
joint internal report should owe its genesis to either the sole or the
dominant purpose that it should be used for the purpose of obtaining
legal advice in possible or probable litigation, the evidence in this case
falls short of both those standards. At the conclusion of the arguments
_ in this appeal I was minded, while agreeing that anything less than the
standard of the dominant purpose would not suffice to support a claim
for privilege from production, to prefer the higher standard of the sole
purpose, in line with as I understand them the judgments of the majority
in the High Court of Australia in Grant v. Downs, 135 C.L.R. 674. It
appeared to me that such a standard had the merit of greater simplicity
in a decision on a claim for privilege from production, as being a line
D easier to draw and to apply to the facts of a particular case. However
on reflection I am persuaded that the standard of sole purpose would be
in most, if not all, cases impossible to attain, and that to impose it would
tilt the balance of policy in this field too sharply against the possible
defendant. Moreover to select the standard of dominant purpose is not
to impose a definition too difficult of measurement. It is to be met
with in other fields of the law, of which I need instance only the question
in bankruptcy law whether there has been a fraudulent preference of a
creditor.
In summary, therefore, my Lords, I am in agreement with the speech
of my noble and learned friend Lord Wilberforce, and would allow this
appeal and order the production to the plaintiff of the joint internal
report.
F
LORD KEITH OF KINKEL. My Lords, I have had the advantage of
reading in draft the speech of my noble and learned friend Lord
Wilberforce. I agree with it, and accordingly I too would allow the
appeal.
Appeal allowed with costs.
G
Solicitors: Robin Thompson & Partners; Evan Harding.
M. G.
H
Case 1:15-cv-07433-RWS Document 57-1 Filed 03/14/16 Page 26 of 26
EXHIBIT 2
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 1 of 30
Neutral Citation Number: [2004] EWHC 373 (Ch)
Case No: HC 00 04556
IN THE HIGH COURT OF JUSTICE
CHANCERY DIVISION
Royal Courts of Justice
Strand, London, WC2A 2LL
Date: 1 March 2004
Before :
THE HONOURABLE MR JUSTICE MANN
- - - - - - - - - - - - - - - - - - - - -
Between :
(1) USP Strategies Plc
(2) Unicorn Strategies LLC
Claimants
- and -
(1) London General Holdings Limited
(2) AON Warranty Group Limited
(3) AON Warranty Services Limited
Defendants
- - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - -
Mr Anthony Watson Q.C. (instructed by Denton Wilde Sapte) for the Claimants
Mr Andrew Monson (instructed by Berwin Leighton Paisner) for the Defendants
Hearing dates: 2nd, 3rd, 4th and 5th February 2004
- - - - - - - - - - - - - - - - - - - - -
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 2 of 30
Judgment
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 3 of 30
Mr Justice Mann :
Background
1. The two applications before me are related applications which turn on the question of
legal professional privilege and, to a more limited extent, general obligations of
disclosure and listing. In 1998 the claimants prepared, or caused to be prepared,
documentation for a warranty scheme which they sought to sell to retailers to replace
insurance based schemes which had been rendered commercially unattractive by a
change in the tax regime. A Mr Chan and a Mr Cooper, solicitors on the Isle of Man,
devised a scheme involving moneys being held off-shore and in trust. In the course of
devising the scheme a document known in these proceedings as a CAA (an acronym for
Collections Account Agreement) was prepared. Copyright in that document vested in the
second claimant; in due course it was transferred to the first claimant. I shall not
distinguish between those two companies for the purposes of this judgment (because it is
not necessary to do so) and shall treat all relevant copyright and confidentiality rights as
being vested in what I will call "USP". The CAA came into the possession of the first
defendant ("LGH") because that company was, at the time, the administrator of the
scheme in question ("the Scottish Power scheme"), but it was the subject of a
confidentiality agreement. Modifications were carried out to it, and a finalised version
was used in that scheme. As a result of joint input into the final document, the judge at
the hearing on liability referred to below found that copyright in that final version vested
jointly in Scottish Power and USP.
2. In 2000 the claimants and LGH were rivals in bidding to participate in another scheme,
this time for an entity which I will call Powerhouse. In this context LGH and the other
two defendants, who are all companies in the same group (the AON group), used the final
form draft CAA as a starting point for the drafting of a similar document which they put
forward in their bid to devise and operate a scheme for Powerhouse. In doing so they are
said to have been able to maintain a bidding position in competition with the claimants
until Powerhouse ultimately decided that the claimants' scheme was one that they
preferred. In a judgment delivered on 8th November 2002 HH Judge Weeks QC held that
that use was an infringement of the copyright in the 1998 original and a breach of
confidentiality, and he ordered an inquiry as to the damages arising from those wrongs.
That inquiry is not confined to the actual breaches that he found; it is set to be held at the
end of April before a Master.
3. In the context of the inquiry questions of privilege arise. In the course of considering their
participation in the Powerhouse scheme LGH instructed lawyers on the Isle of Man. The
results of their deliberations were apparently passed to Powerhouse. It is in relation to
that advice and certain matters passing among the defendants and between the defendants
and Powerhouse that privilege questions arise. In addition, the inquiry will consider
infringements relating to another transaction in relation to a concern identified as Apollo.
The defendants, or their group, did enter into a scheme with Apollo, and it is not alleged
that the final scheme involved the use of any documents over which copyright or
confidentiality is claimed. However, it is said that at some stage consideration was given
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 4 of 30
to using the CAA, and that there were infringements at that stage of the transaction.
Questions of privilege and disclosure arise in relation to that too.
The Powerhouse claim facts – detail
4. The background to this matter leading up to the infringements found by HH Judge Weeks
is set out in some detail in his judgment; I do not propose to set them out again here. For
present purposes I can take the story up at the beginning of 2000. At that point of time, as
HH Judge Weeks QC stated, LGH and USP found themselves in competition. The
claimants offered their scheme at a given price (the details do not matter). A Mr
Brimacombe of LGH had a copy of the Scottish Power CAA on his computer. It was
copied for a Mr Mian, a sales director of LGH, with names blanked out. In due course it
was sent to Powerhouse's lawyers, on 7th March (which was the infringement relied on
and established at the trial). Part of the case of the claimants is that the defendants did this
in order to establish that they had a workable (or "robust", as it was put at the time)
scheme, so that they remained in the game. That gave Powerhouse competing bidders and
they were able to play one off against the other. As a result of this Powerhouse were able
to come back to the claimants at the end of March and negotiate a reduction in the price
quoted. A deal was done at that reduced price. This reduction in price forms part of the
damages claim. The claimants say that the infringement helped to keep the defendants in
the running, and the fact that they were in the running enabled Powerhouse to come back
and require a reduction in price. I do not need to consider this chain of causation – that is
a matter for the inquiry.
5. However, the claimants also now rely on earlier matters. The claimants seek to establish
an earlier breach. I have already referred to a reduction of price at the end of March.
However, earlier, on 1st March 2000 Powerhouse had been also been able to negotiate a
reduction in price from the claimants. In the inquiry the claimants will seek to establish
that that reduction was attributable to earlier infringements. In mid-February 2000 LGH
had sought advice from Manx lawyers. According to a chronology submitted by Mr
Monson, who appeared for the defendants, a letter from Mr de Freitas, the solicitor acting
for the defendants, stated that:
"The nature of the advice sought from the solicitors in the Isle of Man concerned whether
a trust based arrangement could be set up to protect monies from the Powerhouse scheme
from being merged, or treated as merged, with other moneys held by AWS for other
clients";
but at the same time it was made clear that in providing those details privilege was not
waived in the instructions and the advice. The claimants will seek to establish that in
order to get that advice, the CAA was copied, and that copying was a further
infringement of copyright and of confidentiality rights. The advice that was obtained was
apparently passed on to Powerhouse; it is said that it was the subject of a confidentiality
agreement operating between the defendants and Powerhouse. The agreement is dated
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 5 of 30
15th March 2000 and is made between "Aon Warranty Group" and Powerhouse Retail
Ltd. The relevant clauses are as follows:
In consideration of AON making available to the Recipient [i.e. Powerhouse] certain
information, the Recipient hereby undertakes to AON in the terms set out below:
Confidential Information
For the purposes of this confidentiality agreement the expression Confidential
Information includes information available (whether before or after this confidentiality
agreement is agreed) in writing (including by fax) and other forms of electronic
transmission (including but not limited to information relating to clients data belonging to
AON, know-how, trade secrets and any other information concerning the Purpose and
also any information or analyses derived from, containing or reflecting such
information…
The recipient shall:
Keep the Confidential Information secret and confidential and not disclose any of it to
any person other than the persons who need to know the same for the purposes of
considering, evaluating, advising on or furthering the Purpose and whom the Recipient
shall procure are informed of the terms of this confidentiality agreement and observe the
terms of this confidentiality agreement as if they were party hereto;
Only use the Confidential Information for the sole purpose of considering, evaluating,
advising on or furthering the Purpose and, in particular, not for any other commercial
purpose;…
Keep the Confidential Information and any copies thereof secure and in such a way so as
to prevent unauthorised access by any third party, shall not make copies of it or reproduce
it in any form except for the purpose of supplying the same to those to whom disclosure
is permitted in accordance with this confidentiality agreement.
[There is a provision for the return of all written Confidential Information within 7 days
of termination of the agreement].
The Purpose is defined as being the wish of the group to "[launch] an offshore extended
warranty programme".
6. In late February 2000, Mr Borrill of the claimants was told by Mr Turner of Powerhouse
that their bid was still too high, and on 1st March 2000 Mr Turner was able to negotiate a
drop in the price that the claimants had originally quoted for their scheme. This price
drop was bigger in amount than that negotiated at the end of the month. The case of the
claimants is that Mr Turner was only able to do this because of what he had been told by
the defendants; and the defendants were only able to say what they said by dint of their
legal advice; and they were only able to get that legal advice by infringing copyright in
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 6 of 30
the CAA, and breaking the confidentiality agreement. Since this earlier price drop is
greater than the later one, it is a more valuable part of the claimant's claim. The losses
flowing from this price drop are a material part of what the claimants seek in this action
as flowing from the wrongs alleged. Again, it is not for me to comment on the merits of
this chain of causation.
7. It is in the context of that earlier part of the claim that the material which is the subject of
this part of the present application came into existence. I am not asked to rule on
relevance; both parties accept that the documents and material that I have to consider are
relevant. The question for me is whether it is privileged. The material, and the issues
relating to each part of it, can be summarised as follows:
a. There are documents or parts of documents where the documents have already
been disclosed by the defendants but in respect of which privilege is claimed in
whole or as to part. Where privilege is claimed as to the whole, the document has
not been produced for inspection. Where it has been claimed in part, the allegedly
privileged part has been obscured for the purposes of inspection. These
documents are e-mail or letter correspondence passing between one or more of the
defendants of the one part and Powerhouse of the other, one e-mail from the
Manx solicitors to the third defendant, and one e-mail from the third defendant to
the first defendant.
b. I am asked to strike out parts of certain witness statements which are said to refer
to privileged communications in a manner which makes it improper for the
witnesses to give evidence of that material. The witnesses are witnesses for the
claimants. One is Mr Turner, who at certain points in his evidence makes
reference to the legal advice which the defendants had told him they had received,
and at one point sets out the terms of an e-mail referring to it. The second and
third are Mr Borrill (a director of each of the claimant companies) and Mr Chan,
another director and also a Manx solicitor. The allegedly objectionable parts of
their witness statements are those containing what Mr Turner told them in the
negotiations leading up to the Powerhouse contract, and in which Mr Turner made
reference to the advice which the defendants had obtained on their (the
defendants') scheme. In Mr Chan's case objection is taken to a reference to legal
advice which, it is to be inferred, he heard about from Mr Turner and one
paragraph in an e-mail that he sent at the time which refers to the same sort of
thing.
c. I am asked to order the removal from the evidence of part of two Powerhouse
internal memoranda which Powerhouse has disclosed to the claimants and which
contain, among other things, a reference to the legal advice which had been
obtained in the Isle of Man. It is that reference which I am asked to order the
deletion of.
d. There was one document, a copy letter from LGH to Powerhouse (document 15),
in respect of which privilege was originally maintained, but which on reflection
was sought to be excluded from inspection on the grounds that further
consideration of the letter indicated that it was not relevant. The parties agreed
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 7 of 30
that that dispute would be resolved by my looking at the document and ruling on
the point. The claimants have not seen it, but were happy to adopt that expedient.
e. I am asked to strike out parts of the Particulars of Claim in the inquiry on the
footing that they are abusive because they refer to and rely on privileged material,
or can only be pleaded because the claimants are in possession of material which
has been obtained in infringement of the rights of the defendants.
f. I am asked to order that the defendants serve a formal list of documents in relation
to the inquiry.
The contentions of the parties
8. Mr Monson, for the defendants, maintains that privilege exists in all the material that he
seeks to have excluded, and that it has not been waived. That being the case, the
documentary material containing privileged material ought to be excluded, with limited
exceptions. All the material fell within the proper definition of material that was the
subject of legal professional privilege. For the purposes of the exercise of analysis, and to
distinguish various types of material for the purposes of the debate, the written material
was divided into three categories or levels:
a. Level 1 – this was a reference which merely referred to the fact of getting
solicitors advice, without indicating the instructions, advice or even the subject
matter.
b. Level 2 – these were indications that advice had been obtained from solicitors,
and indicating its subject matter but not its content or the instructions given.
c. Level 3 – written advice, or written instructions, or paraphrases, summaries or
extracts from that advice.
Using this categorisation he was able to go through the redacted documents and explain
the basis, in respect of each, on which privilege was claimed. The same categorisation
was adopted for the purposes of considering the witness statement material and the
Powerhouse documents, but Mr Monson did abandon his claims to strike out the Level 1
and 2 material from those statements and documents, which narrowed the scope of the
debate (but not by much).
9. The principal dispute between the parties was the extent to which the defendants could
claim privilege in relation to the substance of communications between the client (in
effect, the defendants) and a third party where what was communicated was, or referred
to, privileged advice given to the client. Mr Monson's case was that the advice started out
as privileged and it remained privileged notwithstanding its wider dissemination, as a
result of two strands of authority. The first is The Good Luck [1992] 2 Lloyds Rep 540,
which demonstrates that privileged material disseminated within the client company that
obtained it is capable of retaining its privilege, but he seeks to apply it to show that
privilege exists in documents communicated to a third party on the facts of this case. The
second is Gotha City v Southeby's [1998] 1 WLR 114. That case is said to demonstrate
that it is possible to disclose advice to an outsider without destroying or waiving the
privilege which attaches to it other than as between the privilege owner and the third
party. Those principles entitle the defendants to redact material which would otherwise
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 8 of 30
be disclosed. So far as restraining material which emanates from Powerhouse is
concerned (the Powerhouse documents, Mr Turner's evidence and evidence from USP
witnesses as to what Mr Turner told them at the time about legal advice) Mr Monson says
that the defendants are entitled to restrain that on the footing that the material was and
remained privileged, and its use ought to be restrained on principles to be gleaned from
Lord Ashburton v Pape [1913] 2 Ch 469 and Goddard v Nationwide Building Society
[1987] QB 670. This applies whether or not Mr Turner, Mr Chan or Mr Borrill is giving
evidence of it, or whether it is in documents revealed voluntarily by Powerhouse. So far
as the Particulars of Claim go, the claim which attempts to base itself on this material
must similarly be struck out as an abuse of the process.
10. Mr Watson QC, for the claimants, comes at this from a slightly different angle. He
obviously starts by accepting that there is privilege in the original advice from the Manx
lawyers. He also accepts that it remains privileged while being passed within the client
company, and he accepted that there would be common interest privilege where the
advice was shared between the defendants. (This last concession makes it unnecessary for
me to distinguish between the various defendants and enables me to treat the defendants
as if they were one body for the purposes of considering the issues I have to decide).
However, with the exception of a passing on of the advice verbatim and in whole, which
he accepts remains privileged, he says that passing on summaries or parts of the advice to
a third party does not amount to a privileged communication. This is because those
communications do not fall within what he says are the requisite elements of privileged
communications (which he extracts from the decision of Moore-Bick J in United States of
America v Philip Morris & others, unreported, 10th December 2003) because:
a. They are not communications passing between lawyer and client – they are
communications passing between client and a third party.
b. They are not confidential, on the facts of this case. This means that the
communications were not privileged, and if privilege might otherwise attach it has
been waived.
c. They were not for the dominant purpose of obtaining or giving legal advice – the
legal advice was conveyed as part of a sales pitch.
11. Mr Watson goes on to submit that so far as Level 1 and Level 2 communications are
concerned, they do not even contain a sufficient reference to advice to get a privilege case
off the ground, and in any event there has been waiver of privilege because of material
already deployed by the defendants in this litigation. Gotha is irrelevant, he says, because
it is a case about waiver, and the question of whether a communication is privileged has
to be answered first. So far as restraining the use of information that has already been
obtained is concerned, he says that the principles to be extracted from Goddard and Lord
Ashburton do not apply so as to restrain officers of the claimants giving evidence of what
they were told in negotiations by Mr Turner, and Mr Turner should not be constrained
from giving the evidence sought because his communications did not infringe any
confidentiality rights of the defendants. He has various particular points on the wording
which is sought to be excluded and in addition says that even if some of the material
would otherwise be within an unwaived privilege, I should exercise my discretion not to
strike it out, or otherwise restrain witnesses from giving evidence, because the defendants
are using privilege to cover up wrong-doing (a sort of "clean hands" point), the claimants
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 9 of 30
were innocent recipients of the information from Powerhouse and there has been delay on
the part of the defendants in making their application.
12. In relation to this last point Mr Watson relies on an e-mail which has already, as a matter
of form, already appeared in evidence in this case. He relies on this as showing not only
that the defendants were or ought to have been aware of disclosures by Mr Turner as long
ago as August 2001, when it was disclosed in this action as part of the disclosure process,
but also in support of a proposition that much if not all of the position that the defendants
seek to protect has been put in the public domain by the previous (and current) use of that
e-mail. I need to set out this material.
13. On 6th March 2000 Mr Chan, who it will be remembered is a director of the Claimant
companies, wrote to Mr Turner in the course of his negotiations. Apparently, Mr Turner
had asked for a copy of the Claimants' collection account agreement for the purpose of
comparing it with the scheme proposed by the AON Group. He declined to supply it. The
email observes that at that stage Mr Chan suspected that the Defendants had used "a draft
prepared from our precedent". The sentence relied on by Mr Watson is a paragraph which
reads as follows:
"The solution promoted to you by AON and their advisors is that a Collections Account
Agreement (sic) in the form of a trust will attain this and that therefore they have
demonstrated the robustness required of them."
(This, I would observe, is the passage that the defendants seek to have removed from the
evidence, as referred to above. It will appear below that I am against redacting this
material, so I am free to set it out in this judgment.) This email was annexed to a witness
statement used by Mr Chan at the trial on liability. Mr Watson says that this email points
to the fact that Mr Turner was saying things about legal advice, and that accordingly the
Defendants have been aware of his disclosures, or the possibility of his disclosures, ever
since the discovery process. So far as publicity is concerned, Mr Watson also relies on
this email as demonstrating that the present position which the Claimants rely on in their
particulars of claim is already in the public domain because the judge will be taken to
have read this material at the trial, and it was formally part of Mr Chan's evidence on that
occasion, although it does not appear that any specific reference was made to it at the
trial. I shall deal with the significance, if any, of this email below.
The legal principles involved
14. One doctrine can be put on one side for the purposes of this judgment, and that is the
doctrine of common interest privilege. I have already indicated that Mr Watson for his
part accepted that common interest privilege existed as between the three defendant
companies, so that communications of advice between the three of them attracted this
form of privilege. Mr Monson for his part accepted that the doctrine did not operate as
between the defendants on the one hand and Powerhouse on the other, because one of the
tests which have to be fulfilled in order for joint privilege to exist is that the parties in
question have to be capable of acting by the same solicitor in the matter in question,
which requirement could not be fulfilled in the case of the defendants and Powerhouse.
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 10 of 30
15. It is therefore necessary to consider the extent to which privilege is maintained in
material which is communicated to a third party by the client, which is the issue lying at
the heart of these applications. This involves considering whether the communication was
capable of being privileged, and if so whether the privilege has been waived.
16. Mr Watson's submissions rely heavily on the effect of the Court of Appeal decision in
Three Rivers District Council v The Governor & The Company of the Bank of England
(no 7) [2003] EWCA Civ 474. He claims that that authority confines privilege to
communications between solicitor and client, or vice versa. Communications with a third
party fall outside that, because they do not fall within the description of communications
between solicitor and client. While the case allows evidence of the contents of
communications to attract privilege, that is limited to internal communications
disseminating the information in question. Since the communication of advice to
Powerhouse was not a solicitor/client communication, it cannot be privileged.
17. I do not think that that is a correct application or analysis of the Three Rivers case. That
case concerned not advice given by the solicitors, but preparations for the giving of
instructions which were to lead to advice. In that context it was held that information
gathered for that purpose was not within the privilege, because only communications
were. But before too much is read into that, it must be born in mind that it concerns
instructions, not advice. The Court of Appeal in that case did not have before it the extent
to which the product of those instructions (the advice) was or was not communicated and
what might happen to it thereafter, and care must be taken before taking the concept of
"communication" too literally for these purposes.
18. In my view, a correct reading of the case indicates that it does not support Mr Watson's
proposition, and that reading is consistent with authority preceding Three Rivers. In
paragraph 19 of his judgment Longmore LJ stated that "By the end of the nineteenth
century it was, therefore, clear that legal advice privilege … [applied] only to
communications passing between [the] client and his solicitor (whether or not through
any intermediary) and documents evidencing such communications" (my emphasis). A
document evidencing the communication cannot be the communication itself, so
Longmore LJ's formulation goes beyond the communication itself. Again, at paragraph
21 he concludes that the 19th century authorities allowed privilege to "documents …
passing between the client and his legal advisers and evidence of the contents of such
communications", (again, my emphasis) and went on to apply that principle. Again,
therefore, records of communications were privileged. If emphasis be needed, it can be
seen in the form of order made by the Court of Appeal, which is set out in a judgment of
Tomlinson J in a later hearing in the same case ([2003] EWHC 2565 (Comm)) – the
declaration as to privilege encompassed:
"(1) Communications passing between the Bank and its legal advisers (including any
solicitor seconded to the Bank) for the purposes of seeking or obtaining legal advice;
(2) Any part of a document which evidences the substance of such a communication."
19. That extended formulation would be capable of catching a number of things beyond the
actual communication (oral or written) between solicitor and client, when applied to
advice rather than instructions, all of which would be consistent with the policy
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 11 of 30
underlying privilege and with a common sense application of that policy to the
practicalities of everyday commercial life.
a. First, it obviously applies to a letter of legal advice, or a letter containing legal
advice.
b. Second, it would cover the client's own written record of what his solicitor had
told him orally. There is every reason why it should.
c. Third, it would cover the situation where a client representative who obtains the
advice passes that advice internally in the organisation in question. This would
apply whether the advice is passed on verbatim or whether it is summarised or
extracted. This is in line with The Good Luck, referred to above. In that case the
relevant issue was whether or not breaches of duty by insurers were causative of a
bank lending money to the owners of a vessel. The bank obtained some legal
advice, and parts of the advice were disseminated internally so that the bank could
decide whether to lend the money. It was submitted that the advice so extracted
was not privileged because "such documents cannot be described (using the words
of Lord Justice Taylor in Balabel v Air India) as part of that necessary exchange
of information of which the object is the giving of legal advice as and when
appropriate nor (again using the words of the Lord Justice) as documents made
confidentially for the purposes of legal advice …". That argument looks rather
like an argument that only solicitor/client communications strictly so called can
be privileged. Saville J rejected that argument. First, he pointed out that if the
argument were right then in a great number of commercial cases the ability of a
client to get legal advice in confidence (which underlay the doctrine of privilege)
would be destroyed. He saw "no good reason or valid reason for the suggestion
that the confidence which it is accepted attaches to the lawyer client
communication itself, should somehow be lost once the advice is put to the
commercial use for which it was sought in the first place". After pointing out that
the logic of the argument he was rejecting would allow cross-examination of the
officers of the client company about privileged advice, which would be a strange
conclusion, he ended this section in his judgment by saying:
"[The argument] is, in truth, based on the false premise that that which is
communicated ceases to be a communication and thus loses the privilege
attaching to lawyer-client communications."
This last sentence is, perhaps (and with all due respect) a little dense. In The
Sagheera [1997] 1 Lloyds Rep 160 at p 169 Rix J wondered whether it should not
be understood in the sense "the false premise that that which is communicated
internally ceases to be confidential" (his emphasis). Without wishing to pore over
the sentence as if it were a statute, I think that it probably has a different meaning.
I take it to mean that a record of a privileged communication has the same sort of
quality as the communication itself for the purposes of privilege. In a literal sense
a communication ceases to be that once it is communicated; but the law of
privilege is not so blinkered as to regard privilege as attaching just to that event
and to nothing else whatsoever. For privilege purposes a record of a
communication is the same as the communication itself, and that is as true of
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 12 of 30
summaries as of the verbatim original communication. That, I think, is what
Savile J is saying. That formulation and reasoning recognises that something
beyond the initial communication itself, strictly so called, is and should be within
the privilege. It remains good law after Three Rivers, and is consistent with it.
d. It would continue to cover cases such as Gotha City and the examples discussed
in that case. In Gotha City, the apparent owner of a picture wished to sell it
through Sothebys. It took advice from Messrs Herbert Smith (presumably relating
to the sale, though the report does not say so) and sent a copy of the letter of
advice to Sotheby's. Sotheby's also sat in on a meeting between the seller and
Herbert Smith in respect of which an attendance note was produced. The plaintiff,
who claimed to own the picture, sought inspection of the letter and attendance
note. The argument was, in effect, about waiver of privilege, and it was held on
the facts that there was no waiver. I shall return to that in the context of the
present case. For the moment it should be noted that privilege was assumed to
exist in both documents; it was not argued that the copy letter sent to Sotheby's
was not a privileged communication. If Mr Watson's argument were correct then
logically it ought not to be, subject to his distinction between verbatim content
(privileged) and summarising content (not privileged); yet the argument did not
occur to anyone in that case. In fact, it is quite clear that Staughton LJ had no
difficulty with the concept of preserving privilege in privileged advice
notwithstanding that it was communicated by the client to the third party, because
at page 119 he cited, obviously with approval, a passage from Style & Hollander
on Documentary Evidence:
"If A shows a privileged document to his six best friends, he will not be able to
assert privilege if one of the friends sues him because the document is not
confidential as between him and the friend. But the fact six other people have
seen it does not prevent him claiming privilege as against the rest of the world."
I think that it follows from that that A would be able to restrain each of the friends
from disclosing to the outside world what they were told on the basis that it
remained privileged. The friends could not give secondary evidence of the
privileged material – it would be "evidence of [privileged] communications", or
their evidence would be "evidencing such communications" within the
formulation in Three Rivers. By the same token, if a client summarises or extracts
advice in a letter to a third party, that written communication is capable of
retaining or attracting the privilege which attached to the original advice, subject
to waiver. It, too, is something which evidences a privileged communication.
e. This analysis gives rise to a regime which maintains intellectual consistency and
maintains the policy underlying privilege, which is that a man is entitled to make
a clean breast of matters to his lawyers without fear of disclosure, a policy which
covers both the giving of instructions and the receiving of advice. It means that a
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 13 of 30
client can reproduce the advice for his own purposes without necessarily risking
that reproduction not being privileged, which in my view is essential to the
sensible operation of the doctrine. It also means that he can discuss the advice
with others without necessarily risking the same thing. A client may well wish to
discuss advice received with a partner, or with another adviser, or (as in Gotha
City) with a contractual counterparty who might be affected. The effect of
privilege would be seriously dented if those communications were held to be not
privileged so that, if evidence of them could be obtained, an insight as to the
advice would become available. That is not a sensible result.
20. The position therefore seems to me to be as follows. Where privileged advice is disclosed
to a third party the privilege is capable of attaching to the third party communication
because that communication is evidence of the privileged advice within the formulation
in Three Rivers. It does not matter whether that third party communication is of the whole
of the advice (like the letter in Herbert Smith) or a paraphrase of or extract from the
advice. To be fair to Mr Watson, he conceded that privilege would be maintained in
relation to actual full copies of written advice obtained, so that in the present case he did
not press for inspection of one document, or part of a document, which (on the evidence)
is a straight reproduction, or forwarding, of the Manx legal advice verbatim. However, he
sought to distinguish between the complete advice and summaries, extracts or
paraphrases. Those, he said, were not privileged. The only justifications he was able to
advance for this distinction were first that the paraphrases were not the original
communication, and second that there was a potential for inaccuracy in any summary or
paraphrase. Any inaccurate summary would not be the original advice. These
submissions are not convincing. If it is right that the original verbatim advice remains
privileged, then it is illogical to exclude paraphrases or parts of it. If 100% is privileged,
then would communicating 99% of it remain privileged? – it is hard to see why not. But
if that is right, then why not 90%, or 75%, or 50%? There is no reason to draw a line
anywhere, and every reason not to. Mr Watson's demarcation would also, in practice,
mean that any passing on of oral advice would be likely to be unprivileged, because it is
most unlikely that it would be passed on in whole and verbatim. That, again, is an
unmeritorious distinction. The proper analysis, consistent with Three Rivers, is to
continue to afford privilege to material which evidences or reveals the substance of legal
advice (subject, of course, to waiver). The possibility of inaccuracy is not a reason for
departing from this principle. If the passed on "advice" were so inaccurate that it could no
longer be properly described as a summary of the advice, then it might be that that
communication would not be privileged (though even then it might attract privilege if it
tended to reveal instructions given, which it might well), but there is no suggestion that
that is the case here and I need not consider it further. Short of that, I do not see why
some degree of inaccuracy, even if it exists, should necessarily destroy the privilege; so
there is all the more reason for saying that the possibility of inaccuracy should not
destroy the privilege which would otherwise exist in paraphrases or summaries.
21. This means that the subsistence or otherwise of privilege, where advice is communicated
to a third party, turns on the extent to which there is a waiver of privilege on that
occasion. Gotha City demonstrates that it is not inevitable that there is a waiver in those
circumstances. In that case it was held that the receipt of the advice by Sotheby's was
attended by a degree of confidentiality which meant that, while there was waiver as
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 14 of 30
between the owner and Sotheby's, there was no waiver vis-à-vis the outside world. The
question in the present case, therefore, is whether and to what extent there was a waiver. I
consider the application of these principles to the facts of this case below.
22. In these proceedings the question was raised whether the Level 1 and Level 2 references
were capable of being privileged. This raises (in theory) the question of whether, after
Three Rivers and its emphasis on privilege attaching only to communications, there can
be privilege attaching to evidence of the fact of instructing solicitors or getting advice
from them (Level 1), or to evidence of the fact of instructing solicitors and getting advice
on a particular subject (Level 2) because those facts are not communications or evidence
of communications. I do not propose to consider this as a matter of principle, because on
the facts of this case there has been a plain waiver even if there was privilege.
23. The next question of law which arises is the extent to which a party entitled to an
unwaived privilege is entitled to restrain those in possession of the information from
disclosing it or otherwise making use of it. It arises in this case if and insofar as Mr
Turner received privileged information in confidence and then disclosed it to
representatives of the claimants, if and insofar as Powerhouse has disclosed documents
which contain unwaived privileged material. It is accepted by both sides that this material
contains some Level 3 documents, though they do not always entirely agree as to which
pieces of evidence fall into that category.
24. There is not much disagreement between the parties as to the principles applicable in this
area, although there is serious disagreement as to how they should be applied. It is
sufficient for these purposes to refer to only two authorities. The first is Goddard v
Nationwide Building Society [1987] Q.B. 670. In that case the Court of Appeal was asked
to consider whether or not to restrain the use of a note, containing privileged information,
which a solicitor, who had at one stage been acting for both the plaintiff and defendant,
had passed to the defendant. Privilege in the material contained in the note was held to
belong to the Plaintiff. Having determined that, the Court of Appeal granted relief
restraining use of the material contained in that note, which relief included striking out
allegations in the pleading which were based on that note, an injunction restraining the
Defendant from relying upon the note and orders for delivery up of all copies. In his
leading judgment May L.J. considered the case of Lord Ashburton v Pape [1913] 2 Ch.
469 and another authority, and pronounced the following proposition (at page 683):
"If a litigant has in his possession copies of documents to which legal professional
privilege attaches he may nevertheless use such copies as secondary evidence in his
litigation: however, if he has not yet used the documents in that way, the mere fact that he
intends to do so is no answer to a claim against him by the person in whom the privilege
is vested for delivery up of the copies or to restrain them from disclosing or making any
use of any information contained in them."
His citation of authority indicates, I think, that he considered that he would normally
expect the restraint to be ordered. That last point is rather clearer in the judgment or
Nourse L.J. He made the following points, relevant to this application:
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 15 of 30
"The crucial point is that the party who desires the protection must seek it before the
other party has adduced the confidential communication in evidence or otherwise relied
on it at trial.
"… Although the equitable jurisdiction [that is to say, the jurisdiction to restrain the
misuse of confidential information] is of much wider application, I have little doubt that
it can prevail over the rule of evidence [viz the rule of evidence which allows secondary
evidence to be given of primary material where the latter is privileged] only in cases
where privilege can be claimed …
"Once it is established that a case is governed by Lord Ashburton v Pape, there is no
discretion in the court to refuse to exercise the equitable jurisdiction according to its view
of materiality of the communication, the justice of admitting or excluding it or the like.
The injunction is granted in aid of privilege which, unless and until it is waived, is
absolute. In saying this I do not intend to suggest that there may not be cases where an
injunction can properly be refused on general principles affecting the grant of a discretion
remedy, for example on the ground of inordinate delay."
25. From this it is clear that not only does the court have jurisdiction to grant appropriate
relief to prevent reliance upon privileged material where privilege has not been waived,
the starting point is that one would expect that relief to be granted. That was certainly the
view of Lawrence Collins J in the second relevant authority, ISTIL Group Inc. v Zahoor
[2003] 2 All E.R. 252. At paragraph 91 of that judgment (at page 273) he observed that
"in such cases the court should 'ordinarily' intervene". The court is "not concerned with
weighing the materiality of the document and the justice of admitting it". (Paragraph 92).
He went on to say this:
"93 Fifth, there is nothing in the authorities which would prevent the application of the
rule that confidentiality is subject to the public interest. In this context, the emergence of
the truth is not of itself of sufficient public interest. The reason why the balancing
exercise is not appropriate is because the balance between privilege and truth has already
been struck in favour of the former by the establishment of the rules concerning legal
professional privilege.
"94 Sixth, other public interest factors may still apply. So there is no reason in principle
why the court should not apply the rule that the court will not restrain publication of
material in relation to misconduct of such a nature that it ought in the public interest to be
disclosed to others… there is no confidence as to the disclosure of iniquity. But the
defence of public interest is not limited to iniquity."
He went on to hold that on the facts of his particular case, the public interest in the proper
administration of justice meant that equitable relief, which would otherwise be granted to
preserve the confidentiality in the privilege material, should not be granted. The facts of
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 16 of 30
that case were very strong. They involved a clear forgery, and the apparent possibility of
the court actually being misled by the proposed evidence.
26. I therefore approach this point on the footing that the normal starting point would be for
appropriate relief to be granted to restrain the use of privileged material. So far as I have
a discretion to do otherwise, it is not to be exercised merely on the footing that if I do not
exercise it, the truth is more likely to come out. There must be some other factors, such as
delay, acquiescence or other equitable defences which must be sufficiently strong to
override the normal, very strong principle, that privileged communications are protected
from disclosure. I shall consider the application of these principles to the facts of the case
before me in a separate section of this judgment below.
The application of the law to the facts
27. It follows from the above that, subject to waiver, communications by the Defendants to
Powerhouse which contain or refer to the content of legal advice are capable of being
privileged. This includes Level 3 communications. Whether or not it includes Level 1 and
Level 2 communications I do not have to decide, because on any footing there has been a
waiver of such privilege as might otherwise have existed in those references. At the trial
on liability Mr Mian gave evidence. That evidence included his dealings with Mr Turner
of Powerhouse. Having referred to the opening stages of the negotiation, when Mr Mian
was trying to convince Mr Turner that he had an appealing scheme, he then said the
following:
"13 Stuart Turner wanted confirmation of a protected trust account. At this stage I sought
advice from our lawyers and then passed on this advice to Stuart. This was in late
February 2000. I wish to make it clear that I am not waiving the privilege that attaches
these communications."
28. Since that is a clear indication both that solicitors were instructed and as to the subject
matter of the instructions, I do not see how it can conceivably be argued that similar
references, containing the same information, in documents or otherwise can have
maintained any privilege if, indeed, it ever had any. To the same effect is the extract from
the letter from Mr de Freitas, which I have quoted from above. I expect that both those
references occurred because it never occurred to the Defendant that, in the context of this
case, the fact that legal advice was obtained on this transaction was, in itself, in the least
bit confidential. If that were right then it would mean that documents containing a
reference to such limited matters would not have the necessary confidentiality to attract
privilege in the first place, and my first instinct is that such references would not in any
event, as a matter of principle, be privileged. However, as I have indicated above, I do
not need to decide that in this case. I can and do deal with the point as a matter of waiver.
In fairness to Mr Monson, I should record that he did not press privilege in relation to
these matters particularly strongly. His main concern was that leaving them in the
documents might amount to a waiver.
29. That leaves the level 3 communications. These are communications which somehow
reveal the content of the advice that was obtained. Despite the fact this was contained in
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 17 of 30
communications with a third party (Powerhouse), on the reasoning set out above, and
unless waived, that privilege can be maintained. The question therefore arises whether or
not there was a waiver when the material was conveyed to Powerhouse, and in particular
to Mr Turner. The Gotha City case demonstrates that privileged matters can be conveyed
to a third party in circumstances which limit the extent of the waiver. I consider that that
was the case here. I have already set out the terms of the confidentiality agreement which
operated between the Defendants and Powerhouse. Mr Watson submitted that it did not
apply to legal advice, but only to such matters as know-how and trade secrets. I do not
think that that submission is right. The expression "Confidential Information" is not
defined in the agreement – the wording says what the expression includes but not what it
means. That being the case, I have to consider what the expression actually does mean,
particularly in its context. The very use of the word "confidential" connotes information
with a degree of confidentiality, and it seems to me that legal advice is something that is
likely to fall fairly and squarely within that concept. On 16th September 2003 Mr Turner
signed a witness statement in which he conceded that the Defendants had asked him to
keep the actual advice received from the lawyers, and forwarded to him, confidential.
Indeed, confidentiality in the actual advice is in effect conceded by Mr Watson, although
not in terms, when he concedes that he is not entitled to see the verbatim version of the
advice which was forwarded to Powerhouse. In his witness statement Mr Turner states
that he did not consider that more general statements as to the nature or the effect of the
advice (the nature of which I had seen in some of the material that I am invited to strike
out of witness statements) was confidential, but in my view he is wrong about that. It
follows, then, that the advice retained its privileged character and any waiver of privilege
was limited to Powerhouse, and the use to which it could be put was limited by the terms
of the confidentiality agreement. The terms of that agreement permit only a very limited
use. Accordingly, conveying the lawyers' advice to Mr Turner and Powerhouse, under
those terms of confidentiality, did not destroy the confidential nature of the advice, and
therefore any waiver of privilege was limited to Powerhouse and was not general.
30. Those conclusions can be summarised in relation to the redactions which have been made
in the Defendants' disclosed documents is as follows:
(a) References to the mere obtaining of legal advice are not privileged.
(b) References to the obtaining of legal advice on a given subject matter are not
privileged.
(c) Level 3 references, which evidence the content of that advice, are prima facie
privileged.
31. I add one small point which arises in another context in this case and which may or may
not arise in relation to the redacted material. The Defendants have shown some sensitivity
as to the identification of the lawyers concerned. Some of the documents which I have to
come on to consider later on in this judgment actually identify the Manx lawyers. In the
light of the conclusion that I have come to in relation to Levels 1 and 2, I do not think
that the identity of the lawyers involved is capable of attracting privilege either.
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 18 of 30
32. That brings me to the material which the Defendants wish to have struck out of the
documents voluntarily disclosed by Powerhouse, and various witness statements. I will
take the witness statement material first.
33. Some of the disputed material is no longer in issue in the light of Mr Monson's
concession that he does not seek to strike out Level 1 and Level 2 material from the
witness statements. That leaves it for me to consider what to do about what is said to be
Level 3 material. So far as there is any such reference, this is made in two ways. First,
there is a witness statement from Mr Turner in which he describes what he obtained from
the AON Group in the course of the negotiations, which is said to include some Level 3
material; and second there is some material in witness statements of Mr Borrill and Mr
Chan in which they reproduce what Mr Turner told them at the time of the negotiations,
which is itself said to include some Level 3 disclosure. What is said by Mr Monson on
behalf of the Defendants is that Mr Turner was not entitled to disclose the advice of the
Manx lawyers to the Plaintiffs' negotiators, and it remained privileged and confidential.
Privilege has not been waived, and in accordance with the "ordinary course" relief should
be granted to make sure that that material is not deployed. He has applied in time.
34. To this analysis Mr Watson had a number of ripostes. They were (although not in the
same order as he advanced them) as follows:
a. On the facts, Mr Turner was at liberty to disclose what was disclosed to him
within what was allowed to him by the confidentiality agreement. This
distinguishes the present case from the other authorities where the disclosee was
not similarly at liberty. I do not agree with this. Since it was confidential, he was
not at liberty to disclose it – see above.
b. The blatant aim of the Defendants in seeking to have parts of the witness
statements excised and to have the witness barred from giving evidence of the
excised contents was to hide a wrongdoing, so the discretion of the court should
not be exercised in favour of the Defendants. Again, I think this begs the question.
Whether or not there was a wrongdoing at the end of February 2000 is precisely
the question the court will have to decide on the enquiry. Even in a case where the
sole evidence of wrongdoing is in a privileged communication, that does not
justify the court in exercising its discretion against the invocation of the privilege.
By and large, a party can only prove what he or she can prove without the aid of
the other side's privileged material.
c. So far as the evidence of the Claimants' own officers is concerned they wish to
give evidence of material that came into their possession without any wrongdoing
on their part. That, said Mr Watson, is a reason for not restraining their use of that
information. However, I do not think that that is a determining, or even a strong,
factor. The converse may well be true – wrongdoing on the part of the recipient
may strengthen a claim for relief - but it does not follow that the absence of
wrongdoing means that an injunction should not be granted. I note that in
Goddard there was no suggestion that the Defendant was guilty of wrongdoing in
obtaining the privileged information from the solicitor. The solicitor was, of
course, technically guilty of breaching the Plaintiff's confidentiality, but by the
same token, on the facts of this case, so was Mr Turner.
d. If the Level 3 material, such as it is, were excised from the witness statements of
Mr Borrill and Mr Chan, then they would not be able to give full and frank
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 19 of 30
evidence of what had actually happened and what their motivation was. Their
evidence will be that they received certain information and encouragement from
Mr Turner and they adjusted their conduct accordingly. If they are not allowed to
give their full evidence then their evidence will have an air of artificiality about it,
or even potentially a misleading quality. I am rather more troubled about this.
They did what they did, and they relied on what they relied on. To prevent them
from telling the court what they actually relied on in reaching their conclusions as
to pricing, when that is an issue which lies at that heart of the enquiry as to
damages, would be a very strong thing. However, I think that the answer to this
problem may be a practical one. I do not consider that their case will be harmed if
they are allowed to give evidence (which it seems to me they must be) that they
relied on what they had been told about the advice given by the Manx lawyers
without actually identifying precisely what it was that they were told. What lies at
the heart of the causation question on this part of the enquiry is not the advice
given by Manx lawyers but whether or not an infringing copy of the CAA had
been made. That is a different, though related, question. I do not think that the
proper conduct of the enquiry will be effected if the evidence were limited in that
way; it is not necessary for them to go further and state what the advice was, and
on my findings they are not entitled to anyway. It not infrequently happens in a
trial that a witness states that "as a result of the legal advice received, I did X",
and it is well understood that in those circumstances the witness does not have to
give evidence of what the advice was. This is therefore not a reason for departing
from the normal course. On the facts of this particular case, if the Defendants
were in fact to challenge that sort of evidence as to causation, then they might
well risk the fact that the witness would be able to justify the statement by
amplifying what he had understood the advice received by the Defendants to have
been, but that is a risk for the Defendants to assess, and whether or not the matter
is opened up would be a matter for the Master at the enquiry.
e. Next Mr Watson submitted that since privilege was waived vis-à-vis Mr Turner,
even if it was not waived vis-à-vis the rest of the world, Mr Turner was free to use
the rest of the information disclosed to him in legal proceedings. I am not sure
that Mr Watson was prepared to press this submission very strongly, but in any
event it is wrong. The use to which Mr Turner was entitled to put the privileged
material was governed by the Confidentiality Agreement, and, as the extracts set
out above demonstrate, that use was strictly limited. It did not include disclosing
legal advice to competitors, whether for use as a bargaining counter or not.
f. Next, Mr Watson said that in effect the material had been deployed, so it was too
late to be prevent its further deployment – see Goddard. The privileged material
had already been deployed because of the Chan e-mail referred to above, so the
defendants are too late. Since this email was part of the documentation at the trial,
and should be taken to have been read by the trial judge (even though no one says
that it played any material part in the trial), the matter has already been given a
form of publicity which means it has been deployed, so it is too late to prevent
evidence of other disclosures of the same sort of material. Related to this is a
laches point. He says that the fact that Mr Turner had made disclosures of the
advice given would have been apparent to the Defendants on disclosure in the
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 20 of 30
main action, which took place on 24th August 2001 when the defendants would
have seen the Chan e-mail. Its wording, it will be remembered, contained the
following paragraph.
"The solution promoted to you by AON and their advisors is that a Collections Account
Agreement [sic] in the form of a trust will attain this and that therefore they will have
demonstrated the robustness required of them. You are now seeking counsels advice on
the proposed trust."
This, says Mr Watson, should have alerted the Defendants to the fact that the Claimants
had found out that legal advice had been obtained on the Defendants proposed
transactions, and I infer that Mr Watson would say that they should have inferred that Mr
Turner was the source of this information. They should therefore have inferred at that
stage that privilege information had been crossing the divide; and since about two years
elapsed before the Defendants took any point on the alleged wrongful disclosure of
privileged information, it was by then too late for them to do so. Mr Monson's response
to this is that in the context of the claim made at the trial, when there was no suggestion
that a claim of infringement of copyright was being made as early as the end of February,
this passage had no great significance. He also said that the oral evidence of Mr Borrill at
the trial as to the infringement of copyright contained no suggestion that the relevant date
was being put as early as this. Since the email did not actually figure at the trial, and even
though it was in trial bundles, that did not mean that the whole question of the legal
advice given at the time had been sufficiently aired in public so as to amount to
deployment of the material and so as to make it wrong to restrain its further being aired
now. Since the point now in issue was not then in play, it is not surprising that the
significance of this email passage was overlooked, and the fact that it was overlooked
should now not be held against the Defendants now that the focus of the case had shifted,
or a little more precisely now that the case had acquired a second point of focus to which
it had become relevant. In my view Mr Monson is right. I do not think that this single
sentence, in the circumstances, amounts to deployment of the other material. It does not
amount to an airing of the other privileged material, so it does not give it a relevant
degree of publicity to mean that the defendants are now too late. So far as laches is
concerned, in the light of the absence of any significance of that piece of evidence at the
trial, and in the light of the fact that the pre-1st March infringement claim only came after
the trial, I think it would be unfair on the Defendants to say that they are too late because
the material has been deployed, and that in general laches terms they should have taken
the point (so far as they have one) any earlier than they did.
35. My conclusion on this point is that, if there is Level 3 material relating to privileged
matter, then there are no factors of any real weight which would lead me to take anything
other than the ordinary course which is to exclude such matter. I therefore have to go on
to consider how much of the material falls into that category. In this context, I shall take
the various passages which the Defendants say infringe their privilege in turn. Where I
come to the conclusion that a matter is revealed in breach of privilege, I will not actually
set out the material.
i. Borrill Fourth Witness Statement paragraph 25
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 21 of 30
Two sentences are sought to be excised in order, in effect to prevent Mr
Borrill giving indirect evidence of material passed to him in breach of
privilege and in breach of confidence. The first sentence refers to legal
advice, the firm from which it was obtained, (by inference and in its
context) the subject matter to which it related, and a very short expression
summarising the advice it given. The last of those elements is
objectionable; the first three are not. The sentence as it stands ought to be
struck out, but I can see no objection to a replacement sentence which
gives the first three elements and otherwise refers to the advice without
stating what it was. The second sentence describes how he had got the
advice ("this advice had been forwarded by LGH to Stuart Turner"). This
sentence is unobjectionable.
ii. Borrill Fourth Witness Statement paragraph 26
The words objected to are words in which Mr Turner is recorded as having
passed on to Mr Borrill the view of the Manx lawyers as to the workability
of the Defendants' proposals. Again, this is material said to come from Mr
Turner; and again, it was imparted by the latter in breach of his duty of
confidence by way of infringing the Defendants' privilege. The words as
they stand ought to be struck out because the court ought not to receive
evidence of privileged matter obtained in this way.
iii. Stuart Turner First Witness Statement paragraph 22
In this paragraph Mr Turner narrates part of the history of his dealings
with Mr Mian. The first sentence describes the instruction of the Manx
lawyers to advise on the Defendants' scheme structure. It is not
objectionable. The first half of the second sentence refers to the fact that
on 22nd February he saw the advice provided by those lawyers (Cains).
That, as it stands, again seems to me to be unobjectionable. It does not
reveal the contents of that advice. The second half of that sentence
contains a reference to a document referred to in the advice which it goes
on to describe it in a certain way. The third sentence contains a further
description of the document just referred to. There is no statement as to
what the advice actually was. The paragraph then goes on "I was asked by
AON to keep the Cains' advice confidential. I told Mr Mian on that day
that the advice did not really address my particular concerns and that I
would need to see a copy of [a particular document, just referred to] in
order to know whether it protected customers' money. He said that he
would have to clear this with AON and AON Legal, and that he would
have to delete the existing client names from the document; but subject to
that he agreed to provide a copy." The last sentences that I have quoted do
not disclose the advice, and this part of the evidence does not contravene
Mr Turner's obligation of confidentiality apart from the implicit crossreference
back. They are unobjectionable, apart from that. The
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immediately preceding elements, which I have not yet dealt with, present a
little more difficulty. One could argue that where a third party, who is
within the privilege, merely mentions the fact that a privileged
communication refers to a given document is not an infringement of
privilege because it is not disclosing information which tends to indicate
what the advice was. However, I do not think that is right. The question is
whether a communication is privileged. To the extent that it is, production
or proof of it cannot be compelled or allowed. It is not appropriate to
dissect very small elements out of it and say that disclosure of small
elements is not an infringement of privilege. It is either privileged or not,
and if it is it is wrong to allow Mr Turner to give evidence of its content.
In any event, in relation to the references in this particular case, it could be
argued that what Mr Turner says might reveal what instructions were
given to the lawyers, and those instructions are as privileged as the advice.
Accordingly, I consider that Mr Turner is not entitled to refer to, and give
evidence of, the content of this advice so far as it contains a description of
a document referred to within it. Those parts of paragraph 22 will have to
be struck out. The remaining sentences will have to be modified so that
they do not cross-refer to a document referred to in privileged advice. He
would be entitled to give evidence that he asked for a copy of a document,
but not in such a way to suggest that the advice referred to it. I accept that
this tends to have an air of unreality or artificiality about it, but that is the
position at which one sometimes arrives when a witness is required to
skate delicately around the edge of privileged communications.
iv. Turner First Witness Statement paragraph 23 – last sentence
In this sentence, Mr Turner refers to the fact of receiving further advice
from Cains via Mr Mian, and goes on to indicate something that it
mentions. The first part of that sentence is permissible; the second part is
not because it reveals an element of a privileged communications.
v. Turner First Witness Statement paragraph 25
This contains a statement which is quite clearly a Level 2 Statement. Mr
Monson does not pursue the excision of this sentence, and in any event I
would not have required its removal.
vi. Chan Second Witness Statement paragraph 5
This paragraph seeks to give evidence of a conversation that he had with Mr Turner
during the negotiations. The objected to part reads:
"However, he [i.e. Mr Turner] told me on the phone that AON and their advisors, Cains,
had nonetheless demonstrated that their scheme was sufficiently robust for the purposes
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of Powerhouse, by describing how their collections account agreement would ring fence
customer monies in the scheme."
I am not prepared to order the excision of this part of the witness statement. It would be
unobjectionable without the words "and their advisors, Cains", but it would also have a
slight air of falsity about it if Mr Turner in fact referred to them. I do not consider that a
reference such as that contravenes privilege in any particular communication by revealing
its content.
36. Next I have to deal with Mr Monson's claim that I should order the redaction of certain
parts of two documents emanating from Powerhouse. The first is a memo from Mr
Turner to Mr Broomfield and Mr Stanley, two of his colleagues in Powerhouse. It refers
to the competing bids, and compares various aspects of them. Under the heading "AON"
it contains first an innocuous sentence stating that the concern that Powerhouse had was
to ring fence service fees and that that concern has yet to be satisfactorily resolved. There
is then a sentence which states what the "initial indications" from Cains are. That
sentence seems to summarise the advice of that firm, and as such it contains a reference
to privileged information and ought to be redacted. The second sentence is equivocal in
that it refers to a suggestion which might or might not have been contained in Cains
advice. Mr Monson tells me on instructions that he and Mr de Frietas have checked
whether or not it does reflect advice, and he tells me that it does. On that footing, it falls
to be redacted as does the first sentence. The document then goes on, in a separate
paragraph, to state as follows:
"We need to take into account that no precedent (as at the date of this memo) has been set
in law, and therefore no proof exists to prove that the trust solution presented to
Powerhouse by AON would have any legal weight. It would seem only wise to secure
further independent legal advice."
37. I do not see how a case can be made for excising this material and in the end Mr Monson
did not press for the redaction.
38. The second Powerhouse document is an undated document which was generated
internally so that someone could consider the various proposals that were before it. On
page 2, under the heading "The Issue" it contains wording that is identical to that which I
have just considered. That wording should be treated similarly. There is one additional
sentence under the heading "The Question", and it reads as follows:
"Powerhouse have read the Cains response (attached) with some interest but are
concerned that they seem to have "skated around" the core issue for Powerhouse."
The Cains response referred to is not disclosed. This sentence is objected to, but I cannot
really see why. It certainly does not contain any evidence of what the Cains advice was.
There is nothing objectionable about it.
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39. The last document is the Chan email that I have referred to above. I am not prepared to
order the excision of this part of the evidence. It is no more objectionable than paragraph
5 of his witness statement, which I have already declined to excise.
40. Next I turn to the particulars of claim in the enquiry. Mr Monson says I should strike out
certain allegations made in the Particulars of Claim because they were only able to be
made because of unauthorised disclosure by Mr Turner. In effect, he invites me to take
the same approach in relation to this statement of case as the Court of Appeal took to the
relevant pleading in the Goddard case. Some of the objected to parts correspond to parts
of witness statements which I have allowed to stand in that they refer merely to the
receipt and transmission of legal advice. However, two sentences go further and refer to
the content of legal advice, in a similar manner to parts of Mr Turner's witness statement
which I have ordered should be excised. I was at first tempted to accede to Mr Monson's
application to strike out at least those limited parts. However, I have decided I should not
do so. Now that the position as to admissible evidence has (I hope) become clearer as a
result of this judgment, Mr Watson may well wish to reconsider how he is going to make
his case, since part of his submissions to me involve assertions that he could get to where
he wanted through different routes in any event. If he is right about that then he may wish
to consider re-pleading. I do not think it is necessary, in that context, for me to start
striking out parts of the existing statement of case. If Mr Watson has no other way of
getting to where he wants apart from relying on evidence that I have required to be
removed, then he will not be able to make good the allegations in the Particulars of
Claim. No harm is done by leaving them in. If he thinks he can get there through another
route, then he should be at liberty to do so. It may be that in fact he may wish to
reconsider how he puts his case and remove or amend certain parts of the present claim.
That is obviously a matter for him. At the moment I think the most sensible course is to
leave the particulars of claim where they are.
Apollo Transaction
41. In his judgment on the trial of liability, Judge Weeks Q.C. observed:
"I suspect that in the morass of documents the parties may have lost sight of their
commercial interests and the purpose of litigation".
42. In some ways I cannot help sharing that view in relation to this section of the application
before me. I find it difficult to see that the events to which I now have to refer can give
rise to any particular material claim, and I cannot help thinking that what I shall call the
Apollo claim is a storm in a teacup, and Mr Watson at one stage was disposed to accept
that that was an accurate description of at least part of the dispute in relation to this
matter. However, it is a matter which is raised in the enquiry as to damages, and there has
been no attempt to strike it out on the basis that it is frivolous or otherwise that it should
not be dealt with, so I am forced to deal with it.
43. In 1999 the AON Group entered into a warranty support scheme with a concern that can
be described as Apollo. It is common ground that this scheme was not a trust-based
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 25 of 30
scheme so documents of the nature of the CAA played no part in it in its final form.
Furthermore, there is no suggestion that the Claimants were in competition with the
Defendants for that scheme, so there is no suggestion that they have suffered direct
financial loss because the Defendants got the contract. However, the allegation is that in
the course of considering the Apollo transaction, consideration was given at some stage
to a trust-based scheme to which the CAA would have been appropriate, and that in that
context there was some copying of the Scottish Power CAA or otherwise some
infringement of the claimants' rights in respect to it. There is evidence for supposing that
the CAA was considered in the context of the Apollo scheme, because the infringing
copy forwarded to Powerhouse had originally been saved on the Defendants' computer
systems under a file name whose path included something which appears to be a
directory designated to "Apollo 2000". The case of the claimants, as described to me by
Mr Watson, was that if there was some copying in this context, even if (as seems clearly
to be the case) the copies were in no way deployed in the actual Apollo Scheme, the
Defendants are liable to pay a payment in the nature of a royalty. They therefore seek
disclosure of all drafts of the CAA prepared for the purpose of the Apollo transactions,
and they also seek all memoranda and similar notes referring to any such documents.
44. The disclosure sought by the Claimants is in terms as follows:
"All drafts of the collections account agreement or equivalent agreement (in both
electronic and hard copy form) which have been prepared, used or intended to be used by
the Defendants or any of them for the purposes of putting into effect the warranty scheme
for:
[Apollo];
Any other Retailer
All memoranda, attendance notes, board minutes and correspondence (including emails)
which refer to any document referred to in [the preceding paragraph] (including internal
documents prepared by the Defendants' and documents passing between any two or more
the Defendants)."
45. Mr Monson accepted that his clients were under an obligation to disclose documents
relating to the use of the CAA in Apollo but said that they have already been disclosed
(and the Claimants have been given copies,) apart from such privileged documents as
may exist. I should say at this stage that in case there is any daylight between Mr
Monson's concession and formulation of the category of documents sought by the
Claimants, I would make an order in those terms, but I do not think that there would be
much debate about that. The debate in this area centred around the question of privilege.
Paragraph 17 of the particulars of claim in the enquiry states that:
"It is to be inferred from [certain pleaded material] that the first and/or second Defendant
also copied the CAA for the purpose of sending it and/or sent it to Apollo 2000."
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 26 of 30
46. It does not appear that a copy of any document specifically created at this stage has been
disclosed, whether as a document that the defendants have in their possession or as a
document which they once had. Mr Watson seeks to make a case that CAA must at some
stage have been copied for the purpose of considering whether or not to deploy it in a
scheme for Apollo, even if it never was so used, and even if a copy was never sent to
Apollo, and the suggestion is that such a document was, or may have been, sent to the
defendants solicitors. The debate before me was principally about privilege. Various
documents were debated, each of them hypothetical - they were hypothetical because the
Defendants deliberately said nothing about the existence or non-existence of such
documents because if they had then they would or might be admitting that which they
claim they were entitled to decline to admit (because of privilege), and I suspect they
were also concerned about waiver of privilege. Those documents were as follows:
i. Copies of the CAA prepared for the purposes of being submitted to
solicitors for their consideration.
ii. Any amended CAA arising as a result of work by the solicitors.
iii. Versions of the CAA thus amended and put back in the hands of the
Defendants or any of them.
47. Mr Watson's final position in argument was that such documents could not be privileged.
Those described under (i) would simply be copies of an unprivileged document, and
would not be privileged because of the Three Rivers case. Next he said that documents in
category (ii) would not be privileged because once the to-ing and fro-ing on advice had
been concluded it no longer formed part of the advice. So far as the drafts back in the
hands of the clients were concerned (category (iii), then they were not privileged either
because they fell within category (ii) or because the disclosure of a later draft to
Powerhouse waived privilege in the predecessor draft on which it was apparently based.
As an alternative line of attack in relation to this alleged batch of infringements, Mr
Watson also relied on the principle that "advice sought or given for the purpose of
effecting iniquity is not privileged" Barclays Bank Plc –v- Eustice [1995] 1 WLR 1238 at
1249b. The iniquity relied on by him was giving a lawyer a draft, in respect of which
copyright existed, for the lawyer to improve.
48. I think that it is appropriate to deal with this part of the case shortly. It is tempting to take
the view that since it was not clearly proved that there were any documents which are
worth debating (because of the position taken by Mr Monson) I should not deal with this
at all. However, it has been a matter of some dispute between the parties, and I think that
it would be useful and proper for me to make some rulings for the guidance of the parties,
and in particular for the guidance of the defendants who can be seen to have taken a line
in relation to privilege that was not justified (see their insistence on redacting level 1 and
level 2 references, above). However, I shall not deal with the point at great length
because I think that the answers are relatively straightforward and, because I find it very
hard to believe that any significant amount of damages can turn on them. I consider the
legal position to be as follows:
a. Any copy of the CAA which was created with a view to its being submitted to
solicitors for advice does not, despite its purpose, attract privilege. That this is
clearly the case appears from Dubai Bank Limited v Galadari [1990] Ch 1980.
This principle was recently applied and approved in Sumitomo Corporation v
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 27 of 30
Credit Lyonnais Rouse Limited [2002] 1 WLR 479. Any such copy ought
therefore to be disclosed and produced.
b. Any version produced by the solicitor in draft for the purpose of carrying out his
function of giving legal advice to a client would, in my view, be privileged. Such
drafts, until communicated, are not communications, but it is quite apparent from
paragraph 29 of the judgment of Longmore L.J. in the Three Rivers case that that
judge considered that solicitors' drafts are privileged – "all documents passing
between the BIU and Freshfield are privileged as, indeed, are Freshfields' own
drafts and memoranda." (my emphasis).
c. Drafts passed back to the clients, on the assumption that they were part and parcel
of legal advice, are again privileged. I do not understand on what principle it can
be said that privilege in those drafts is waived when a yet further draft, which is
derived from them, is disclosed in circumstances such that that later draft is not
privileged. Mr Watson advanced no authority in support of his proposition that
privilege was waived, and I hold that it was not.
d. There is no evidential basis upon which the iniquity principle can be invoked in
this case. While I accept Mr Watson's submission that dishonesty as such is not
necessary in order to invoke the principle, and reject Mr Monson's submission
that it is, there is no evidence on which I can find that the Defendants were guilty
of any conduct which even comes close to the level of iniquity which is required
in order to bar the privilege that would otherwise cloak the communications
between solicitor and client. Since there is no evidence at all that solicitors were
involved, but merely supposition, that is not surprising. However, even if one
were minded to suppose that solicitors were instructed, there is nothing in this
case to suggest that the Defendants were anything other than innocent in what
they did. Indeed, in the trial on liability HH Judge Weeks Q.C. expressly rejected
a finding that the later breach of copyright was flagrant. He had that issue before
him in the context of an assertion that the Powerhouse breach was flagrant within
the meaning of Section 97 (2) of the Copyright, Design and Patents Act 1988. He
held that it was not. In that instance the person who authorised the release to
Powerhouse (Mr Witt) could be identified, as could the circumstances in which it
happened. He is said to have been honest and mistaken in believing that he was
entitled to release it. I have not been given evidence to suggest that any other
servant or officer of the Defendants held any more iniquitous view. I therefore
reject the submission that the iniquity principle operated so as to deprive the
Defendants of any privilege which might have arisen in respect of the putative
instructions to solicitors.
Issues Relating to Statements of Case
49. The applications before me include an application that the Defendants be ordered to
provide some further information in relation to their pleaded case. However, it was
agreed that I need not deal with that, and accordingly I do not do so. There is also an
application by the Claimants to amend their particulars of claim in the enquiry. That was
resisted on the grounds that those amendments introduced some inconsistencies. I believe
that most of those points, if not all of them, were ironed out, but the fate of this
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 28 of 30
application was, so far as I can see, a little lost in the detailed debate on the other, more
substantial, issues that arose before me. As I understand it, at present there is no longer
any opposition to these amendments, and if that is right then I shall allow them so far as I
need to do so. If I am wrong about that, then I shall entertain such debate as may be
necessary in order to resolve outstanding points.
One Relevance Point
50. The documents produced by the Defendants in respect of which redactions in whole or in
part were made were comprised in a further list produced by the Defendants. There were
15 of them. It has not been necessary for me to describe those documents in detail in this
judgment.; I have described their nature in general terms. One special point arises in
relation to the 15th document, which is the last chronological document. It is described as
a "copy letter from the first Defendant to Powerhouse Retail Limited" dated 10th April
2000. this is after the date when the effective deal was done between Powerhouse and the
claimants, and therefore after the second price reduction which underpins the claim for
damages. The Defendants objected to the production of the whole of this document – it
was not a question of merely redacting part – and the original basis of objection was
privilege. During the course of the hearing, Mr Monson told me that on further reflection
this document was irrelevant as well, since it did not go to the issues in the inquiry, and
he sought to resist inspection on that ground too. The parties agreed that rather than have
an extended debate, or even a short debate, on the appropriate course to be adopted in
those changed circumstances, the convenient course would be for me to look at the
document and express my view as to whether it was indeed irrelevant and need not be
produced. Mr Watson in terms agreed to that course. I have looked at that document and
read it carefully. Having done so, I am satisfied that Mr Monson is right – while related
to the overall situation, it is of no relevance (in the disclosure sense) to the issues to be
debated in the enquiry. I also record that it does contain privileged material, though in my
view (which does not matter for these purposes in the light of my conclusion on
relevance) only part of the content is privileged. I therefore will make no disclosure order
in relation to that document.
Judicial inspection of other documents
51. I should also record one further thing in relation to the disputed documents. The debate as
to what redactions should be made to witness statements and the documents emanating
from Powerhouse took place with the benefit of both parties and my knowing what words
in question were. That was not the case in respect of the documents which the Defendants
have themselves redacted. It was at one stage suggested that I should look at all those
documents (including document 15 to which I have referred) so that I could express a
view as to whether they were or were not in fact privileged. That suggestion was not
actively pursued, and the debate took place with only the Defendants knowing what was
in the allegedly privileged material, as is common in these situations. Nevertheless during
the course of the hearing, I was provided with a bundle which had unredacted versions of
all those documents. The provisional view which I reached was that it would not be
necessary for me to consider the content of those documents if I were able to lay down,
Case 1:15-cv-07433-RWS Document 57-2 Filed 03/14/16 Page 29 of 30
with sufficient clarify, the principles with which should be applied in deciding whether
those documents were privileged. Having come to the conclusions which I have set out in
this judgment, I maintain that view. The parties agreed that I should retain the unredacted
bundle in my possession whilst writing this judgment, so that if I thought it necessary or
useful to refer to it I should be at liberty to do so. The position is that I consider that I
have been able to lay down sufficient principles to enable Mr Monson and his instructing
solicitors to do their job of ascertaining which parts of the relevant documents are
privileged, and it is neither necessary nor appropriate for me to substitute my judgment
for theirs in the circumstances now obtaining. Accordingly, with the exception of
document 15 which I have referred to above, I have not looked at any of those
documents.
The Requirement for a New List
52. The Claimants have applied for an order that the Defendants should provide a further list
of documents relevant to the inquiry. The Defendants have resisted this suggestion on the
basis that there are no additional documents requiring disclosure beyond those that they
have specifically listed for the purposes of the privilege claim, and beyond those which
were already comprised within a list, or lists in the context of the trial on liability. Mr
Watson countered this by saying it was still appropriate that a proper list should be
supplied, not least because the Defendants ought to particularise what searches they have
made. I am quite clear that the Defendants ought to provide a list. At the end of the trial
on liability, HH Judge Weeks Q.C made an order providing for the enquiry, and
paragraph 9 of that Order provides for the parties to give standard disclosure by a date in
May 2003. Standard disclosure requires for the production of a list. I cannot see why the
Defendants should not provide one, even if all it did was to relist documents already
supplied, or even annex the old list. At the same time they could and should have given
such statements as to searches made as were appropriate in the circumstances. That
would have been very much easier and more cost effective than bringing the matter
before me (albeit that the time in debate was short), and it and might well have done
something to allay the suspicion that the Claimants clearly feel in relation to this matter.
Declining to supply a list is only likely to fuel suspicion, not to allay it. Of course, were it
the case that a further list were not being provided because the Defendants did not wish to
say something that would have to be said in connection with such a list (as to which there
is no evidence) then that would be all the more reason for their providing one; if it is not
the case then dealing with the situation would be extremely simple. Either way, the
Defendants should provide the list sought by the Claimants.
Conclusions
53. I shall therefore make such orders as are appropriate in the light of the findings I have
made in this judgment. The parties will doubtless want to consider that point and decide
what is technically the best way of going about the matter. In the case of any dispute, I
shall rule further.
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EXHIBIT 3
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West London Pipeline and Storage Ltd & Anor v Total UK Ltd &
Ors.
[2008] EWHC 1729 (Comm)
Queen’s Bench Division (Commercial Court).
Beatson J.
Judgment delivered 22 July 2008.
Specific disclosure – Litigation privilege – Cross-examination – When court
could go behind affidavit of documents – Third party sought specific disclosure
of documents – Litigation privilege claimed – Material sought gathered in course
of investigations into incident – Dominant purpose of investigations so that
solicitors could provide legal advice in connection with expected proceedings
– Implied statutory duty to investigate but no duty to report – Affidavits did
not enable court to conclude that claim for privilege established – Maker of
affidavits required to swear further affidavit dealing with matters on which
earlier affidavits not satisfactory – Not appropriate to order cross-examination
– Civil Procedure Rules 1998, r. 32.7 – Control of Major Hazard Regulations
1999.
This was an application by the third party (TAV) for specific disclosure of
documents over which the defendants had asserted litigation privilege.
The proceedings arose out of the explosion and fire at the Buncefield
Oil Terminal in Hertfordshire in December 2005. The fire engulfed a large
proportion of the terminal’s site and caused injuries to individuals and very
significant damage to properties in the area. Negligence had been admitted.
There was to be a trial of preliminary issues to determine, among other things,
who was the operator of the site for the purposes of the Control of Major Hazard
Regulations 1999 (‘the COMAH Regulations’), which applied to the site, and
who was responsible for the negligence and thus liable for the consequences of
the incident. Those issues involved determining whether the relevant persons
working at the terminal were ‘embedded’ into Hertfordshire Oil Storage Ltd
(HOSL) so that HOSL alone would be vicariously liable for any negligence on the
part of those persons. HOSL was a joint venture between Total and Chevron.
TAV was the engineering company which designed and manufactured the
high level switch which was fitted to Tank 912 from which the fuel spilled. The
material TAV sought from the Total defendants and from HOSL was factual
material gathered by them in the course of their investigations into the incident.
It included interviews conducted, the outcome of the investigations the operator
of the site undertook as part of the safety management system it was required to
have by the COMAH Regulations, and the reports of the accident investigation
teams set up by Total and HOSL. The Total defendants and HOSL resisted the
258 West London Pipeline v Total UK [2008] 2 CLC
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applications on the ground that the investigations fell within the rule in Waugh
v British Railways Board [1980] AC 521 and were covered by litigation privilege.
Their evidence was that it was expected that civil and criminal proceedings might
be brought against them and that the dominant purpose of the investigations
was to identify the causes of the explosion so that their solicitors could provide
legal advice in connection with the expected proceedings. They argued that
the dominant purpose of the accident investigations was to obtain factual
information so that the lawyers could provide advice about the contemplated
proceedings, and that there was no jurisdiction to go behind an affidavit as to
disclosure, including one claiming privilege, by ordering cross-examination.
Held, ruling accordingly:
1. Where a report was prepared pursuant to a statutory obligation the purposes
of the instigator of the report were irrelevant. There should be no difference in
principle where the obligation was a regulatory rather than a statutory obligation.
However, the Total defendants’ claim for privilege could not be rejected on the
ground that the Total accident investigation reports and communications were
produced pursuant to Total’s regulatory duties under the COMAH Regulations:
while there might be an implied duty under the regulations to investigate, there
was no duty to report; more fundamentally, it had not been established that Total
was the operator of the site for the purpose of the COMAH Regulations. That
would be a major issue at the trial. (Lonrho plc v Fayed (No. 3) (The Times, 24
June 1993) and Re Barings plc [1998] 1 All ER 673 considered.)
2. There were a number of respects in which the Total defendants’ affidavits
were not satisfactory. They did not enable the court to conclude that the claim
for privilege had been established. They exhibited no documents in support of
what was said as to the purpose of establishing the Total accident investigation.
However, in the light of the statement that the dominant purpose in setting up
the investigation was to prepare for contemplated legal proceedings, it would
not be appropriate to order inspection of the documents on the ground that the
defendants had not satisfied the burden of proof. The affidavits did not disclose
all that they ought to disclose. A further affidavit should be sworn to deal with
the matters which the earlier affidavits did not cover or on which they were
unsatisfactory. (Birmingham & Midland Motor Omnibus Co Ltd v London &
North Western Railway Co [1913] 3 KB 850, Ankin v London & North Eastern
Railway Co [1930] 1 KB 527 and National Westminster Bank plc v Rabobank
Nederland [2006] EWHC 2332 (Comm) considered.)
3. On the assumption that there was jurisdiction to order cross-examination in
this context, this was not an appropriate case for doing so.
QB West London Pipeline v Total UK 259
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The following cases were referred to in the judgment:
Ankin v London & North Eastern Railway Co [1930] 1 KB 527.
Atos Consulting Ltd v Avis plc (No. 2) [2007] EWHC 323 (TCC).
Attorney-General v Emerson (1882) 10 QBD 191.
Bank Austria Akt v Price Waterhouse (16 April 1997).
Barings plc, Re [1998] 1 All ER 673.
Biguzzi v Rank Leisure plc [1999] 1 WLR 1926.
Birmingham & Midland Motor Omnibus Co Ltd v London & North Western
Railway Co [1913] 3 KB 850.
Fiona Trust Holding Corp v Privalov [2007] EWHC 39 (Comm).
Frankenstein v Gavin’s House-to-House Cycle Cleaning and Insurance Co [1897]
2 QB 62.
Grant v Downs (1976) 135 CLR 674.
Guinness Peat Properties Ltd v Fitzroy Robinson Partnership [1987] 1 WLR
1027.
Highgrade Traders Ltd, Re [1984] BCLC 151.
House of Spring Gardens Ltd v Waite [1985] FSR 173.
Jones v Monte Video Gas Co (1880) 5 QBD 556.
L (A Minor) (Police Investigation: Privilege), Re [1997] AC 16.
Lask v Gloucester Health Authority (6 December 1985).
London Fire and Emergency Planning Authority (LFEPA) v Halcrow Gilbert & Co
Ltd [2004] EWHC 2340 (QB).
Lonrho plc v Fayed (No. 3) (The Times, 24 June 1993).
McAvan v London Transport Executive [1982] CA Transcript 498.
Motorola Credit Corp v Uzan [2003] 2 CLC 1026; [2004] 1 WLR 113.
National Westminster Bank plc v Rabobank Nederland [2006] EWHC 2332
(Comm).
Neilson v Laugharne [1981] 1 QB 736.
Nomura International plc v Granada Group Ltd [2007] EWHC 642 (Comm);
[2007] 1 CLC 479.
Purdy v Cambran (17 December 1999).
R v Derby Magistrates’ Court, ex parte B [1996] AC 487.
R (on the application of Morgan Grenfell & Co Ltd) v Special Commissioner of
Income Tax [2003] 1 AC 563.
Sumitomo Corp v Credit Lyonnais Rouse Ltd (2001) 151 NLJ 272; [2002] 1 WLR
479 (CA).
Three Rivers District Council v Bank of England [2005] 1 AC 610.
Visx Inc v Nidek Co Ltd [1999] FSR 91.
Waugh v British Railways Board [1980] AC 521.
Winterthur Swiss Insurance Co v AG (Manchester) Ltd [2006] EWHC 839
(Comm).
Yukong Lines v Rendsburg (17 October 1996, CA).
260 West London Pipeline v Total UK [2008] 2 CLC
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G Pollock QC and C Blanchard (instructed by Halliwells) for the third party/
applicant.
Lord Grabiner QC and A Maclean (instructed by Davies Arnold Cooper) for the
first and second defendants/respondents.
P Edey (instructed by Edwards Angel) for the third defendant/respondent.
JUDGMENT
Beatson J: Introduction
1. The principle issue in the applications before me is whether the court can go
behind an affidavit sworn by a person claiming litigation privilege, and, if so, in
what circumstances and by what means. The proceedings in which the applications
have been made arise out of the explosion and fire at the Buncefield Oil Terminal
in Hertfordshire on 11 December 2005. The fire engulfed a large proportion of the
terminal’s site and caused injuries to individuals and very significant damage to
properties in the area. Several hundred million pounds are claimed. There is to be
a trial of preliminary issues before David Steel J in October 2008. Negligence has
been admitted. The principal issues now are between the defendants, Total UK Ltd,
Total Downstream UK plc (the ‘Total defendants’) and Hertfordshire Oil Storage Ltd
(‘HOSL’).
2. The principal issues include: who was the operator of the site on December 11
for the purposes of the Control of Major Hazard Regulations 1999 (the ‘COMAH
Regulations’), which applied to the site, and who was responsible for the negligence
and thus liable for the consequences of the incident. These issues involve determining
whether the relevant people working at the terminal were ‘embedded’ into HOSL
so that HOSL alone would be vicariously liable for any negligence on the part of
those people. HOSL is a joint venture between Total and Chevron. If HOSL alone is
responsible for the incident, the joint venture arrangements may mean that 40% of the
financial consequences will ultimately be borne by Chevron.
3. TAV Engineering Ltd (‘TAV’) is the engineering company which designed and
manufactured the high level switch which was fitted to Tank 912 from which the fuel
spilled. It is the third party in this action. In application notices dated 22 May and 17
June 2008 it seeks specific disclosure of documents over which the Total defendants
and HOSL have asserted litigation privilege. TAV also applied to cross-examine Mr
Malcolm Jones, the Managing Director of Total UK Ltd, and Mr Richard Jones, a
director of HOSL, who served affidavits in opposition to the applications, although no
application notice supported by evidence was issued as required by CPR 32.7. During
the course of the hearing the applications concerning HOSL were abandoned. TAV
was right to do so. For reasons I give at the end of this judgment, those applications
were unsustainable.
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4. The material TAV seeks from the Total defendants and sought from HOSL is
factual material gathered by them in the course of their investigations into the incident.
It includes interviews conducted, the outcome of the investigations the operator of the
site undertook as part of the safety management system it was required to have by
the COMAH Regulations, and the reports of the accident investigation teams set up
by Total and HOSL. The Total defendants and HOSL resist the applications on the
ground that the investigations fall within the rule in Waugh v British Railways Board
[1980] AC 521 and are covered by litigation privilege. In affidavits sworn on their
behalf it is stated that it was anticipated that civil and criminal proceedings would
be brought against them and that the dominant purpose of the investigations was to
identify the causes of the explosion so that their solicitors could provide legal advice
in connection with the anticipated proceedings.
5. The Total defendants have also brought Part 20 proceedings against Chevron
and Motherwell Control Systems (‘MCS’) who installed a computer controlled
automatic tank gauging system and was responsible for maintaining that and the
alarm system. The claim against TAV is for an indemnity or contribution on the basis
that TAV was negligent in the design, manufacture and supply of the switch that
failed to operate, a failure which caused or contributed to the incident. The switch
manufactured by TAV was fitted by MCS. It was designed to be triggered when the
fuel rose to a predetermined distance from the tank top. When it was triggered, an
alarm would sound in the control room and the flow of oil into the tank would cease.
TAV has claimed an indemnity or contribution from MCS in the event that it is held
liable to pay Total anything.
The evidence
6. The evidence before me consists of three witness statements by Mr Robert
Campbell, a partner in Halliwells LLP solicitors, on behalf of TAV, respectively dated
22 May and 17 and 19 June 2008, affidavits by Malcolm Jones, on behalf of the Total
defendants, sworn on 27 June and 7 July 2008, and affidavits on behalf of HOSL
by David Young, the partner in Eversheds LLP who attended the board meetings of
HOSL on 5 and 12 January 2006, and Richard Jones, both sworn on 30 June 2008. I
leave aside the vital question of the purpose for which the investigations were set up,
and summarise the non-contentious evidence in a broadly chronological way.
7. At midday on 12 December 2005, the day after the incident, Davies Arnold
Cooper gave legal advice to Total’s lawyers in Paris. This was forwarded to Total UK
soon afterwards and, on the same day the Total Accident Inspection Team (the ‘Total
AIT’) was set up. Its members were; Steve Ollerhead, then the Logistics Coordinator
of Marketing Europe for Total France, Jon Cook, Total’s Safety Environmental and
Quality Manager, John Donald, a Process Safety Expert, and Russell Poynter, Total
UK’s Head of Legal and HSEQ. The Total AIT was supported by a back office team
which included individuals from Total’s Paris headquarters. By then representatives
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of the Health and Safety Executive and the Environmental Agency were on the site
and had taken control of it and all computer files and paperwork on the site. A notice
dated 12 December and headed ‘Buncefield update for colleagues’ was posted on
Total’s intranet in the name of Malcolm Jones.
8. Mr Ollerhead’s accident investigation progress report for 11–18 December,
dated 18 December, states that on 12 December Messrs Chamoux, Sebbane, Gabillet,
Jegousse, and Blanckaert arrived from Paris and that Mr Poynter and another Total
representative interviewed the two staff present at the time of the incident and the
manager of the Buncefield terminal. Mr. Gabillet was at that time the Department
Head of HSEQ Logistics Marketing for France.
9. The entry in the progress report for 13 December refers to a list of questions of
a general nature developed by Mr. Gabillet for the Executive Overview Group. It also
states that it was agreed on that day that all email communication should be channelled
through Mr Ollerhead to ensure confidentiality and that there was a meeting with the
Health and Safety Executive on site to discuss how the HSE investigation would
proceed and to discuss eventual handover of the site to Total.
10. A notice dated 14 December posted on Total UK’s intranet over Malcolm
Jones’s name and headed, ‘Total UK Investigation Team’ states that Malcolm Jones
had appointed a Total UK team to investigate the incident.
11. Mr Ollerhead’s accident investigation progress report records that on Thursday
15 December ‘the AIUK team met to discuss the terms of reference of the AI (see
separate note)’.
12. HOSL’s Board met on 16 December and resolved to appoint lawyers to conduct
the defence of any criminal proceedings and to advise the Board whether the company
needed to carry out its own investigation into the incident.
13. A document dated 18 December by Mr Ollerhead, and headed ‘Confidential
and Legally Privileged’ deals with the organisation and objectives of the Total AIT.
Its introduction states:
‘It is of course vitally important that the accident investigation is carried out as
effectively and quickly as possible in order to learn the lessons from this incident
and to implement whatever actions are deemed necessary at other terminals.’
14. This document lists and describes the members of the team and the back office
team. There is an organogram with the Total UK accident investigation team in the
middle and lines above it to Total Paris and to Total UK’s Managing Director, Mr
Malcolm Jones. There is a line below the Total AIT to the back office team, to Total
UK and HOSL personnel as necessary (and through them to the Health and Safety
Executive and the Environmental Agency), to consultants if required, and to Chevron-
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Texaco personnel. There was a query with regard to Chevron-Texaco whose role had
not then been agreed. There is also a line to Mr Coull of Total UK HSE on whose
HSE expertise Mr Poynter is stated to have relied heavily.
15. Under the heading ‘terms of reference’, the document states that Total UK’s
investigation would take place in parallel with the HSE investigation and that
experience from earlier investigations suggested that the HSE would probably not be
interested in Total’s investigation and their main interest in Total at that stage was to be
confident that they were cooperating fully. The proposed deliverables include ‘make
recommendations for measures to be put in place to prevent a recurrence’, ‘reappraise
existing risk assessments’ and ‘satisfy legal reporting and recording duties’. It is also
stated that, ‘due to the urgent need to learn lessons and to make recommendations it
is suggested that a preliminary report is published by Friday 23 December’.
16. A memorandum from Mr Ollerhead dated 19 December 2005 was sent to a
number of people in Total, including Mr Malcolm Jones, Mr Poynter, and others
from locations in the UK, France and Belgium. It states inter alia that the Buncefield
explosion had many similarities to an explosion which occurred at Saint Herblain
near Nantes and recommends that the ‘back office’ team in Paris look into the lessons
learned from that incident ‘and what we know so far of the incident at Buncefield
to come up with proposals for a ‘SAFETY/FLASH’ report for rapid implementation
in order to minimise the risk of this type of explosion happening again’. This
memorandum is headed ‘Confidential and legally privileged’ and Mr Ollerhead states
that recipients should ensure that any replies by email also have this heading. On 19
December Russell Poynter emailed Barbara Dyer at Chevron, stating inter alia that
‘the TOTAL investigation team will be required by its parent to continue with its
work’.
17. On 20 December 2005 the Health and Safety Commission exercised its power to
require the Health and Safety Executive and the Environmental Agency to investigate
the incident. The Buncefield Major Incident Investigation Board (‘BMIIB’) was set
up under the chairmanship of Lord Newton of Braintree and is doing so. Its terms
of reference include; a thorough investigation of the incident, establishing causation
including root causes, identification of information requiring immediate action and
recommendations for future action to ensure management of major incident risk
sites governed by the COMAH regulations. The terms of reference envisage that the
BMIIB’s report for the HSE and the EA would, subject to legal considerations, be
made public. The BMIIB has produced progress reports in February, April and May
2006 and an ‘initial report’ in July 2006. The health and safety investigations after
the incident suggest that the TAV switch fitted to Tank 912 did not have the padlock
used to hold the check lever in its normal operational position in place and that the
check lever had either fallen or been left considerably below its proper operational
position.
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18. On 21 December DLA Piper Rudnick Gray Cary LLP met Total’s in-house
legal team and were instructed in relation to possible criminal proceedings against
Total.
19. On 22 December HOSL’s Board authorised its Company Secretary and inhouse
lawyer to seek advice from solicitors as to whether it should carry out its
own investigation. Following receipt of such advice, on 5 January 2006 HOSL’s
Board resolved to set up a separate HOSL accident investigation team. The team
was approved at a Board meeting on 12 January and it reported to the Board through
HOSL’s solicitors, Eversheds.
20. The material before the court includes a number of other documents published
by Total UK Ltd. There are a number of versions of Total UK Ltd’s Incident Reporting
and Investigation Application Guide (‘the Guide’), dated between January 2004 and
February 2006, but there are no material differences between them. The cover of the
Guide states ‘this Application Guide provides a mandatory system for the reporting
and investigation of all incidents and near misses throughout Total UK Ltd’.
21. In the section on its scope, it is stated that the Guide applies throughout all
of the various operating areas of the company and that all significant incidents or
near misses involving Total UK’s staff or contract staff that occur on Total premises,
or while working for Total, must be reported. It is also stated that the guide covers
investigation and that the investigation’s purpose is to examine the events leading up
to the incident, during the incident and the final outcome. This, it is stated ‘will aid the
discovery of root causes from which remedial action plans can be developed’.
22. The Guide states there is provision for the electronic recording of incident
reports and investigations and the downloading of such material onto a database
system. The information held on the database includes relevant data concerning the
incident to allow prompt reporting to line management, the insurance department,
the HSEQ department and the relevant authorities. It includes a calculation of the
loss potential to determine the level of investigation required, and a description of
any immediate actions that have been taken to rectify the situation and to prevent the
incident from occurring again. The ‘investigation and review’ section of the database
contains information about the investigation taken to identify the immediate and root
causes of the incident and an action plan to address them. It also refers to a review
of high potential incidents by senior management to ensure that all necessary steps
have been taken to prevent the incident from happening again, and a final review
by the HSEQ department to ensure that the incident was appropriately reported and
investigated and that suitable corrective and preventive actions have been identified
and put in place.
23. In the case of incidents with a high potential there is a mandatory requirement
of a formal team SCTA (Systematic Causal Tree Analysis) investigation. The
Guide states that the categorisation of an incident as of ‘low’, ‘medium’, or ‘high’
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potential depends on the score achieved in matrices of potential severity factors and
probability of reoccurrence factors. Guidance is given as to the application of the
two matrices. Thus an incident that causes multiple fatalities, or major pollution
with sustained environmental consequences, or over £6 million loss is categorised
as catastrophic. To qualify as being of high potential a score of 8 or more has to
be achieved. Accordingly, an incident with ‘catastrophic’ potential severity but a
‘remote probability’ of reoccurrence would only qualify as of ‘medium’ potential.
The Guide requires an incident report to be completed within one working day, and
an investigation to be completed within 10 working days. It states that ‘any fire or
explosion’ should be reported on the database.
24. The major accident prevention policy, applicable to the Buncefield site, which
is headed ‘Totalfina Terminal: HOSL’ and ‘Totalfina Great Britain Ltd.’ states that
the company are committed to ‘evaluate and report our accidents and near misses’. It
also states that procedures, systems and processes have been put in place to manage
the integrity of the company’s activities. Paragraph 4 of the section concerned with
realising the policy states ‘we will report and investigate incidents and near misses
and follow up as necessary to improve our performance’. This document is signed
by Mr White, then Buncefield’s Terminal Manager, and Mr Ollerhead, then Total’s
Director of Logistics. It will be recalled that Mr Ollerhead was a member of the Total
Accident Investigation Team.
25. Element 5 of Total’s Loss Control Manual is headed ‘Accident Investigation’
This states:
‘There is a formal procedure HSEQ20, for investigating accidents or near misses.
This procedure is aimed at fact finding rather than fault finding, and seeks to
establish basic or root causes of any accident or incident in an effort to prevent
a reoccurrence.’
26. HSEQ20 is Total’s Incident reporting and Investigation Application Guide
to which I have referred. The Loss Control Manual also states that in the case of
specified accidents or near-misses, including major fires and spillages:
‘A report must be completed and sent within one working day, with any necessary
immediate actions recorded. Where an investigation is required this must be
completed within ten working days, followed by a review meeting to ensure that
all required actions have either been implemented or programmed.’
27. An undated document entitled ‘Spillage Procedure EP03’ states that spillages
are considered ‘critical failures’ which are to be reported. The September 2005 job
specification for safety advisers at terminals includes responsibility for ensuring ‘that
all incidents are appropriately investigated within 10 working days and that copies are
sent to the relevant persons as defined in the Application Guide’.
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28. Total UK’s corporate social responsibility policy, authorised in May 2005,
contains a statement by Mr Malcolm Jones that ‘health and safety is a paramount
priority for the company’ and that it is committed to complying with legislation
appropriate to its activities to minimise the risk to health and safety at work to
all employees, contractors, customers, local communities, and general public. Its
environmental charter signed by Thiery Desmarest, its Chairman and CEO, also refers
to safety as a paramount priority, the formulation of relevant action plans and suitable
control procedures and ‘emergency facilities and procedures … in order to respond
effectively in the case of accidents’.
29. Total UK’s Environment and Social Responsibility Report 2006 contains an
introduction signed by Michel Contie, a senior vice president for Northern Europe.
The introduction states that Total continues ‘to put safety at the forefront of everything
we do and the company acts on near misses’. The introduction also states:
‘We are still analysing lessons learned from the December 2005 fire at the
Buncefield terminal operated by Hertfordshire Oil Storage Ltd (HOSL), in
which we are a 60% share holder. While still awaiting the findings of the official
enquiry, we are nonetheless working with the industry and the regulators to share
information and consider lessons learned.’
30. The Corporate Social Responsibility section of the report refers to safety
reporting and internal audits. The section on health and safety has a section entitled
‘Lessons from Buncefield’. This states:
‘Following the fire at Buncefield terminal in 2005, investigations have been
carried out by the Health and Safety Executive (HSE), the Environment Agency,
site operator Hertfordshire Oil Storage Ltd (HOSL) and Total. In parallel, a
task group comprising a number of working groups with both regulator and
industry representatives has very successfully brought together all the industry
stakeholders including unions to share learnings and recommend improvements
across the industry.
Although we still await the HSE’s final report and response, along with the rest
of the industry we have already taken many actions including assessments of
remotely operated shut off valves and tank alarms set points.’
31. An update notice about the Buncefield incident posted on Total UK’s intranet
on 10 February 2006 over Malcolm Jones’s name states inter alia ‘there are three
investigation teams currently working to ascertain the cause of the incident. One each
from the HSE, Total and HOSL’.
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The COMAH Regulations
32. These regulations impose obligations on the operator of the Buncefield site.
The COMAH Regulations define the operator of a site as ‘a person who is in control
of the operation of an establishment or installation’: reg. 2(2). Regulation 5 requires
the operator to have a Major Accident Prevention Policy (‘MAPP’) document with
sufficient particulars to demonstrate it has established a Safety Management System
(‘SMS’), taking account of the principles specified in the regulations (reg. 5(3)).
33. Regulation 4 imposes a general duty on operators to take ‘all measures
necessary to prevent major accidents and limit their consequences to persons and
the environment’. It was submitted on behalf of TAV that the ‘measures’ include
investigations into incidents. Regulation 5(5) requires the operator to implement the
policy set out in its MAPP document.
34. Regulation 7(7) requires the operator of an existing establishment to send to
the competent authority (the Health and Safety Executive and Environmental Agency
combined) a safety report containing the information specified in the schedule.
Schedule 2, which applies to regulation 5(3), provides that the Safety Management
System issue shall address monitoring performance and ‘the mechanisms for
investigation and taking corrective action in the case of non compliance’ (paragraph
4(f)). Paragraph 4(f) also provides that the procedures should cover the operator’s
system for reporting major accidents or near misses, ‘and their investigation and
follow up on the basis of lessons learned’. The purpose of safety reports, including
those required by regulation 7(7), is to demonstrate that a safety management system
for implementing the major accident prevention policy has been put into effect
and that adequate safety and reliability have been incorporated into the design and
construction, and operation and maintenance of any installation and equipment.
The requests for the documents and the claim to privilege
35. On 13 March 2008 Pinsent Masons, which acts of behalf of some of the
claimants in the action, wrote to Total’s solicitors, Davies Arnold Cooper, about a
number of disclosure matters. Paragraph 9 of this letter states:
‘… There are certain categories of post-incident documents, including (i)
investigation report or “root cause” analysis carried out by your clients or HOSL
and (ii) documents generated as a result of the HSE investigation which ought
to have been, but do not appear to have been, disclosed. As to (i) it is common
practice within the industry for oil companies to prepare such reports/analyses
following major health and safety incidents which occur during the course of
their operation. Indeed, the COMAH regulations require the operator of sites
such as HOSL to have in place a major accident prevention policy, which
includes procedures for reporting major accidents or near misses, particularly
those involving failure of protective measures … Any such report would go into
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significant detail as to the causes of the incident and would be of considerable
evidential value. There is no obvious reason why any such documents would
be privileged. As to (ii), we consider that documents which passes between
your clients/HOSL and the HSE in the course of its investigation would not be
privileged and ought to be disclosed, including final witness statements.’
36. On 4 April, Pinsent Masons wrote to Davies Arnold Cooper and Herbert
Smith noting that although Davies Arnold Cooper had indicated it would revert
on the matters raised in paragraph 9 and other paragraphs ‘in due course’. They
had not had a response. The letter states that they are principally concerned to see
documents pertaining to Total’s post incident investigation or root cause analysis into
the incident. The letter enclosed a copy of the email from Russell Poynter to Barbara
Dyer at Chevron to which I have referred.
37. Davies Arnold Cooper responded to Pinsent Masons in a letter dated 23 April.
The material parts of this letter state:
‘In the immediate aftermath of the Buncefield incident, by which we mean the
morning of the incident itself, Sunday 11 December 2005, it was apparent to
senior members of our client’s management structure, including Mr Russell
Poynter, Head of Legal at Total UK Limited (“Total”), that the size and scale
of the incident was such that civil claims for compensation were inevitable and
that, given our clients’ connection with the terminal amongst others, it was likely
that they would be parties to those proceedings. It was also apparent that there
was a real prospect of criminal prosecution under health and safety legislation.
There was therefore an immediate recognition that it would be necessary to
ascertain the causes of the explosion in order to obtain properly informed legal
advice and to defend Total’s position in the anticipated legal proceedings.
Accordingly, whilst there also existed Total’s own internal requirements for
an accident investigation and the requirement under the COMAH regulations
for the reporting of major incidents, the immediate and primary purpose of the
investigation which followed was to obtain a detailed factual understanding of
the causes of the incident in order that Total’s legal advisers could be properly
informed when providing legal advice and more specifically when defending
Total’s interests in the anticipated legal proceedings.
At midday on 12 December 2005, that is fewer than 36 hours after the incident,
this firm provided a report containing detailed legal advice to Total’s Parisian
lawyers which was forwarded to our clients at 14.57 on 12 December 2005. That
document, inter alia, highlighted the requirement for investigations to ascertain
the cause of the incident so that lawyers could be properly instructed for the
purposes of the anticipated civil and criminal proceedings.
It is in this context that Total’s Accident Investigation Team (“AIT”) was created
on Monday 12 December. …
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On 21 December 2005, a meeting was held between six members of Total’s in
house legal team, including Mr Poynter, and Total’s newly appointed criminal
solicitors, Messrs DLA Piper Rudnick Gray Cary LLP (“DLA”). At that meeting,
DLA repeated that in order to be able to provide clear and unambiguous advice
in connection with the anticipated criminal proceedings, they needed to know
the full facts surrounding the incident. DLA emphasised the requirement for
Total’s investigations to be aimed at explaining the factual position in order
that Total’s defence to the contemplated criminal prosecution could be properly
formulated. The advice provided during the course of that meeting was reiterated
and amplified in detail in a briefing note to Total dated 6 January 2006, which
was acted upon by Mr Poynter in his capacity as Total’s Head of Legal and as a
AIT member.
We confirm that the AIT referred to above produced various reports between
22 December 2005 and 23 June 2006. Those documents were created for the
dominant purpose of identifying the causes of the explosion in order that our
clients’ solicitors could provide legal advice in contemplation of the expected
civil litigation and criminal proceedings and to assist them to defend Total’s
interests in the civil proceedings once they were commenced. They are
therefore privileged. It is not disputed that the AIT investigation and reports also
address lessons that could be learned from the incident and fulfilled COMAH
requirements. However, for the reasons already explained, those purposes were
subsidiary and subservient to the dominant purpose as set out above.’
38. The letter also deals with other reports which it states were prepared for the
dominant purpose of assisting Total in its defence of civil and criminal proceedings
and notes of interviews by the competent authority prepared by Total’s lawyers who
were present and in respect of which legal advice privilege as well as litigation
privilege is asserted. It also deals with other interviews and the HOSL post incident
investigation in respect of which both legal professional privilege and common
interest privilege were claimed.
39. On 7 May, Halliwells replied stating they did not agree that Total’s
investigations were privileged and that the relevant question should be whether the
investigation following the incident would have been undertaken even if there was
no reasonable anticipation of proceedings. On 14 May, Davies Arnold Cooper replied
stating that they had nothing to add to their further letter and maintaining their claim
to privilege.
40. Following TAV’s application against the Total defendants, Halliwells wrote
stating that they would be issuing a specific disclosure application against HOSL and
stating that Davies Arnold Cooper’s position in the letters dated 23 April and 14 May
‘can be characterised as a bare assertion that the documents in question were created
for the dominant purpose of obtaining legal advice in anticipation of litigation’ and
that despite the invitation to do so ‘you have chosen not to expand on that assertion
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in correspondence’. The letter then sets out the basis upon which TAV disputes the
claim that the applicable ‘dominant purpose’ test has been satisfied and particularises
the documents sought.
41. On 17 June the application was issued against HOSL. Halliwells’ letter dated
18 June accepts that the documents had not previously been requested directly from
HOSL and that HOSL and its solicitors had not expressed any comments in relation
to HOSL’s entitlement to assert privilege.
42. There were further exchanges between the solicitors about the service of
evidence. In their letter dated 27 June enclosing Mr Malcolm Jones’ affidavit, Davies
Arnold Cooper provided two of the documents sought by TAV, a report entitled ‘Initial
Findings on the Ultra High Alarm Functioning Testing carried out by HSE and HOSL’
and the preliminary analysis of the Motherwell disk data. The letter states that these
reports are subject to legal professional privilege but that Total is willing to waive
privilege in these documents which were not prepared under the auspices of either the
Total accident investigation team or the HOSL accident investigation team.
43. In a letter dated 30 June 2008, Halliwells asked Davies Arnold Cooper to
confirm that Mr Malcolm Jones would be available for cross-examination at the
hearing. A similar request was made to Edwards Angel Palmer and Dodge in respect
of Mr Richard Jones. Neither request gives a reason for the request for crossexamination
of the affidavit of a witness at an interlocutory hearing. No reasons were
given in relation to the request concerning Mr Richard Jones. In a letter dated 2 July to
Davies Arnold Cooper, Halliwells state, relying on LFEPA v Halcrow [2004] EWHC
2340 (QB) that the court has jurisdiction to order cross examination on an affidavit
and this ‘is particularly so when the affidavit in question cries out for elucidation, as
is the case with Mr [Malcolm] Jones’ affidavit’.
44. Although Davies Arnold Cooper’s letter of 23 April containing reasons the
writer regards the documents sought as privileged is before the court, there is no
affidavit in support of the claim from a member of the firm. The evidence in support
of the claim is contained in Mr Malcolm Jones’ first affidavit. Paragraph 5 lists the
members of the Total AIT and states that Russell Poynter is a member ‘in his capacity
as Total’s Legal Manager’. The affidavit also states:
‘4. As Managing Director of TUKL, my duty is to protect its best interests. In
that capacity, I was responsible for setting up the Total Accident Investigation
Team (“AIT”) on 12 December 2005 in response to the major fire and explosion
at Buncefield on Sunday 11 December 2005 (the “incident”).
6. At the time that I set up the AIT, the Health and Safety Executive (“HSE”)
and the Environmental Agency (“EA”) were already on site and had started
their investigation. These investigations are ongoing. The HSE took control
of the Buncefield site and of all access to all computer files and paperwork
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on site in order to carry out their investigation. The investigation was then the
HSE’s highest priority investigation and in the region of 40 HSE personnel were
involved from the outset. The purpose of the HSE’s investigation was to find out
what happened and the cause or causes of the incident. Total has at all times fully
cooperated with the HSE’s investigation.
7. As soon as I learned of the incident, my immediate concern was to ascertain
the extent of any injuries and other damage. Having quickly established that only
minor injuries had been suffered, I then turned my mind to the risks affecting
Total as a Company. I was fully aware of the likelihood of both civil and criminal
proceedings and that Total needed to establish the facts in order to be in a position
to defend its interests in relation to any proceedings.
8. In setting up the AIT, the main risks to Total which I was concerned with were:
(1) the risk of criminal proceedings being brought either by HSE or the EA; (2)
the risk of civil claims being brought by third parties; and (3) the risk to the
image and reputation of Total. I considered TUKL to be at real risk of potential
proceedings following the Incident. The fact that the terminal was under joint
venture control through Hertfordshire Oil Storage Limited did not make me
feel Total was free of risk of litigation. I expected that parties who had suffered
damage might very well explore the chance to claim from Total. My objective in
setting up the AIT was therefore to gather facts in order that Total could address
these risks and, in particular, secure legal advice in respect of any criminal and
civil proceedings.
9. Given that the primary purpose of the AIT was to prepare for criminal and civil
claims and get legal advice, I appointed Russell Poynter, Total’s Legal Manager,
to the AIT from the outset. There is no provision for the inclusion of a legal
representative on accident investigation teams in Total’s procedures and this was
the first time that Russell Poynter, or any other legal representative, had been
included in a Total accident investigation team. Russell Poynter reported to me
routinely in line with the primary purpose of the AIT and following the Incident,
he took immediate steps to instruct external solicitors to act for Total. Davies
Arnold Cooper were instructed to advise Total in respect of potential civil claims
on the day of the Incident. DLA Piper (“DLA”) were instructed on 21 December
2005 to advise Total in respect of potential criminal liability.
10. On their appointment DLA took over responsibility for the AIT and from
then onwards Russell Poynter and DLA reported to me in respect of the AIT’s
progress. I had regular updates from both Roy Tozer, the partner at DLA, and
Russell Poynter as to the progress of the AIT.
11. Of course, the AIT investigation would by necessity carry out a factual
analysis and look at what went wrong and what lessons could be learned.
However, this was not the primary purpose for which the AIT was established.
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I knew that the HSE investigation would consider the lessons to be learned by
Total and others in the industry. My main concern was to protect Total from the
risks I have outlined above. Steve Ollerhead, Jon Cook and John Donald’s role
on the AIT was to provide the appropriate expertise to establish the facts in order
that the legal risks could be addressed. I wanted the members of the team to have
a free rein to investigate the facts in order that the lawyers and I could understand
the risks identified above as soon as possible.
12. I have been shown a note prepared by Steve Ollerhead dated 18 December
2005 attached to an email from Steve Ollerhead dated 19 December 2005 to,
amongst others, me. [The email and the documents attached to it are exhibited
to Mr Jones’s affidavit.] I understand that this email and its exhibits are among
the documents over which TAV has challenged Total’s claim to privilege in this
application. For the avoidance of doubt by referring to in and exhibiting this
document to this Affidavit for the limited purposes of this application, I am not
waiving Total’s legal professional privilege in it or in any other document or
legal advice received by Total. I do not recall seeing this document at the time
and do not believe I would have looked at the document as we were working
mainly through oral communication at the time. In the aftermath of the Incident
most of my days were spent either in meetings or on the telephone, and I was
only reading emails which were specifically being brought to my attention. In
his note of 18 December 2005, Steve Ollerhead sets out his understanding of the
terms of reference of the AIT, in particular under the “Proposed Deliverables”
heading. Steve Ollerhead’s note reflects an incorrect understanding of my aims in
instituting the investigation and does not encapsulate the primary purpose of the
AIT as set out above. While the fact-finding exercise was important, the primary
purpose of the AIT was not in relation to learning lessons for the future.
13. It has been explained to me that TAV have asserted that (i) the AIT may
have been set up in accordance with either HOSL’s Safety Management System
(“SMS”) or TUKL’s corporate emergency response plan and (ii) that it would
have been undertaken even if there were no resulting damage to non-Total
property and no reasonable anticipation of litigation. Those assertions are not
correct.
14. In respect of HOSL’s SMS, that was only relevant to HOSL and had no
bearing on Total’s response to the Incident. I presumed that HOSL would have
had an SMS in place but I had no knowledge of its contents. As regards TUKL’s
corporate emergency response plan, this is aimed at business recovery and
focuses on how emergencies are handled by TUKL. In setting up the AIT, I did
not have regard to any internal Total (or HOSL) procedures. In the normal course
of events if an incident occurred at a joint venture site, the joint venture would
carry out the investigation itself, not Total. I am aware of a number of occasions
prior to the Incident when HOSL carried out its own investigation into incidents
at the Buncefield site.
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15. In respect of TAV’s hypothetical suggestion that the AIT would nevertheless
have been undertaken even if there were no resulting damage to non-Total
property and no reasonable anticipation of litigation, I do not agree. The AIT was
only set up because litigation was reasonably anticipated given the extraordinary
nature of the Incident.’
45. Mr Jones states, of the one day and ten day reports required by the Safety
Management System, that ‘no such documents were produced’. Nor were any
documents required by the Total UK Emergency Response Plan produced.
46. The information contained in Mr Ollerhead’s email and the documents attached
to it is summarised in paragraphs 8-9, 11, and 13-16 of this judgment. After the
service of Mr Jones’ affidavit, Halliwells wrote to Davies Arnold Cooper asking to
see the complete chain of correspondence from which the emails exhibited to Mr
Jones’ statement were extracted and for disclosure of all documents evidencing the
purpose of the Total investigation referred to in Mr Jones’ affidavit. Davies Arnold
Cooper replied in a letter dated 1 July stating that the email exhibited to Mr Jones’
affidavit was not part of a chain of emails, that Mr Jones did not reply to it, and that
there were no further documents evidencing his purpose in establishing the Total
investigation. Halliwells responded requesting disclosure of all documents relating to
the same subject matter as the documents exhibited to Mr Jones’ affidavit and stating
that its request was not limited to Mr Jones’ purpose but extended to all documents
evidencing the purpose of the Total investigation.
47. On 4 July, Davies Arnold Cooper again stated that there were no further
documents evidencing Mr Jones’ purpose and enclosed the extracts from notices
posted on Total’s intranet in the name of Mr Jones, some of which touch on the
Total AIT and other investigations, to which I have referred. This letter was written
while Mr Jones was out of the country and he dealt with the material referred to in
his second affidavit sworn on 7 July. Mr Jones states that these postings do not deal
with the purpose of the Total AIT investigation and do not record that his primary
purpose in setting up the Total AIT was to gather facts in order to secure legal advice
in respect of prospective civil and criminal proceedings. He states that although the
postings bear his name, they were drafted by Total’s corporate communications team.
He does not recall commenting on the drafts although it was likely he would have
reviewed them. He states that there is nothing in the postings that causes him concern
as they simply advise staff that the fact-finding exercise was underway. He also states
that Total’s internal web pages are not an appropriate place to advertise to Total’s staff
his motive for setting up the AIT enquiry. The final paragraph of this affidavit states
that, as set out in his first affidavit, Mr Jones’ primary objective in setting up the AIT
enquiry was to gather the facts in order that Total could secure legal advice in respect
of any criminal and civil proceedings.
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Summary of the parties’ submissions
48. Mr Pollock QC’s submissions on behalf of TAV can be summarised as
follows:
(1) Mr Malcolm Jones’s affidavit is unsatisfactory for a number of reasons.
(a) It states that, but for the anticipated legal proceedings, Mr Jones would not have
set up an AIT. However:
(i) It does not deal with the Total documents. These show that there is a mandatory
investigation of all major incidents and near misses.
(ii) It does not explain the roles of others in the company and the role of the Paris HQ
although there was input from Paris to the AIT. Mr Ollerhead’s organogram suggests
the AIT reported to Paris. In considering the evidence, it is important that the parties
claiming privilege are Total UK Ltd. and Total Downstream Oil Storage Ltd. It is
their status and their purpose that is important. Mr Jones’ evidence must be assessed
in the light of this.
(iii) The statement is not consistent with Davies Arnold Cooper’s letter of 23 April.
That letter refers to Total’s own internal requirements and to the COMAH regulations
but states that the immediate and primary purpose of the investigation was to obtain a
factual understanding so the lawyers could be properly informed when advising.
(b) It states (paragraph 10) that Mr Poynter and DLA Piper reported to him in respect
of the AIT’s progress. However, the emails exhibited to the affidavit suggest that
information went to a wide variety of people within the Total group including a
number of people in Total France, who were more likely to be interested in safety
given the number of Total sites. Moreover, Mr Ollerhead’s organogram does not
include links to the legal advisers.
(c) It states that they were working mainly though oral communication at that time
and that was why he did not read Mr Ollerhead’s email and its attachments, but there
is no evidence of oral communication with Mr Ollerhead, whose progress report states
that it had been agreed that all email communications be channelled through him.
(d) It states that Mr Ollerhead’s note misunderstands Mr Jones’s aims in instituting
the investigation but does not say what, if anything, he said to Mr Ollerhead or other
members of the AIT about those aims. The purposes and the timetable set by Mr
Ollerhead reflected ‘the urgent need to learn lessons’ and suggest that Mr Jones did
not explain his objectives to the AIT team.
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(e) His statement that he had no regard to any of Total or HOSL’s procedures does not
make clear whether he did not know about these or whether he knew about them but
did not consider they were applicable or decided to bypass them.
(f) Mr Jones’ statements as to what his ‘objective’ was do not make it clear whether
the stated one was his only objective. His statement in paragraph 9 that preparation
for anticipated legal proceedings was the ‘primary purpose’ of the AIT, does not
exclude another non-privileged purpose.
(g) Mr Jones states that his duty was to protect Total UK’s best interests and in that
capacity he was ‘responsible’ for setting up the Total AIT. Mr Pollock submitted that
‘responsible’ means that it was Mr Jones who appointed the members of the AIT, and
not that it was he who decided to have an AIT.
(2) It must be possible to go behind an affidavit as to discovery because otherwise
a party would be able conclusively to claim litigation privilege by his ipse dixit.
The Rules of the Supreme Court did not make provision for cross-examination on
affidavits prior to trial as CPR 32.7 does. The effect of CPR 32.7 taken together with
the procedure in CPR 31.19 for challenging a claim of privilege means that the old
authorities do not survive. Accordingly, there is jurisdiction under the CPR to order
cross-examination on an affidavit as to discovery where the court, having carried out
the necessary balancing, considers that the overriding objective requires it.
(3) Total’s position as the operator of the site within the COMAH regulations meant
it was under a regulatory duty to investigate with the result that, irrespective of what
Mr Jones’ purpose was in setting up the Total AIT, in the light of the decision of Sir
Richard Scott V-C in Re Barings plc [1998] 1 All ER 673 the AIT’s reports were not
protected. That decision is authority for the proposition that, where a person or entity
is under a statutory or regulatory duty to investigate and report, the purposes of those
who instigate the investigation that leads to the report are irrelevant. Mr Pollock
recognised the difficulty faced by the court that arises from the fact that a major issue
in the litigation is whether it was Total or HOSL that was the operator of the site for
the purpose of the COMAH regulations.
49. Lord Grabiner QC’s submissions on behalf of Total (and those of Mr Edey on
behalf of HOSL) can be summarised as follows:
(1) The affidavits sworn on behalf of the Total defendants and HOSL clearly state
that the dominant purpose for the AITs was to obtain factual information so that the
lawyers could provide advice about the contemplated proceedings.
(2) There is no jurisdiction to go behind an affidavit as to disclosure (including one
claiming privilege) by ordering cross-examination. If there is such jurisdiction, it
is confined to the very narrow circumstance where the maker of the affidavit or
the responsible authority contradicts what is said in the affidavit. In the case of the
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Total defendants, the issue is Malcolm Jones’s purpose in setting up the Total AIT,
not Mr Ollerhead’s or anyone else’s. None of the material relied on by TAV directly
contradicts what Mr Jones says. There should be no cross-examination where it would
lead to a mini-trial at an interlocutory stage on what is an important issue in the case,
as will often be the case. It would in this case because one important issue is whether
Total or HOSL was the operator of the site within the COMAH regulations. Mr Edey
also submitted that there should be no cross-examination where cross-examination
was likely to stray into areas undoubtedly covered by legal professional privilege.
Cross-examination of Richard Jones would necessarily have involved questions about
the purposes of the HOSL Board at meetings attended by Mr Young who was present
and gave the Board legal advice about the setting up of a HOSL AIT.
(3) TAV’s reliance on Re Barings plc is misplaced. First, there is no duty under the
COMAH regulations to investigate and report. Secondly, both Total and HOSL deny
they were the COMAH operator of the site. Which of them was the operator will be a
major issue in the litigation. It is not possible for the court to resolve the submission
that as a result of Re Barings plc the AIT reports and papers are not privileged without
resolving who is the COMAH operator, and it is not appropriate to do this in respect
of a major issue at an interlocutory stage. Thirdly, Re Barings plc is not authority for
the proposition for which it is cited by TAV.
Discussion
Litigation privilege
50. Legal professional privilege is recognised as a fundamental substantive right
which prevails over the public interest in all relevant material being available to
courts when deciding cases: see R v Derby Magistrates’ Court, ex parte B [1996] AC
487, 507–508; Re L (A Minor) (Police Investigation: Privilege) [1997] AC 16, 32; R
(Morgan Grenfell & Co Ltd) v Special Commissioner of Income Tax [2003] 1 AC 563
at [7]. The burden of establishing that a communication is privileged lies on the party
claiming privilege. This is implicit in Lord Edmund Davies’s words in Waugh’s case,
quoted in paragraph [52] below, and is also implicit in the other speeches in Waugh’s
case: see also Re Highgrade Traders Ltd [1984] BCLC 151, at 175d; National
Westminster Bank plc v Rabobank Nederland [2006] EWHC 2332 (Comm) at [53];
LFEPA v Halcrow Gilbert & Co Ltd [2004] EWHC 2340 (QB) at [48]; Matthews &
Malek on Disclosure (2007) 11-46.
51. Litigation privilege differs from legal advice privilege, which protects all
communications to lawyers. It relates only to communications at the stage when
litigation is pending or in contemplation, and only those made for the sole or dominant
purpose of obtaining legal advice or conducting that litigation. The modern law on
litigation privilege stems from the decision of the House of Lords in Waugh v British
Railways Board [1980] AC 521, a decision in which the approach of the High Court
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of Australia in Grant v Downs (1976) 135 CLR 674, and in particular the formulation
of Barwick CJ (at 677), was adopted.
52. In Waugh’s case Lord Edmund Davies stated that he would certainly deny
a claim for privilege when litigation was merely one of several purposes of equal
or similar importance intended to be served by the material sought to be withheld
from disclosure. He stated (at 542) ‘it is surely right to insist that, before the claim is
conceded or upheld, such purposes must be shown to have played a paramount part’
and (at 543) that ‘the public interest is, on balance, best served by rigidly conforming
within narrow limits the cases where material relevant to litigation may lawfully be
withheld’. Lord Wilberforce said (at 531) that it was clear that the due administration
of justice strongly required the disclosure and production of the Board’s report on
an accident, and that in order to override this public interest the sole or dominant
purpose of the report had to be to prepare for litigation. In Bank Austria Akt v Price
Waterhouse (16 April 1997) Neuberger J said:
‘A claim for privilege is an unusual claim in the sense that the legal advisers to
the party claiming privilege are, subject to one point, the judges in their own
client’s cause. The court must therefore be particularly careful to consider how
the claim for privilege is made out.’
53. Thus, affidavits claiming privilege whether sworn by the legal advisers to the
party claiming privilege as is often the case, or, as in this case, by a Director of the
party, should be specific enough to show something of the deponent’s analysis of the
documents or, in the case of a claim to litigation privilege, the purpose for which they
were created. It is desirable that they should refer to such contemporary material as
it is possible to do so without making disclosure of the very matters that the claim
for privilege is designed to protect. On the need for specificity in such affidavits, see
for example, Andrew Smith J in Sumitomo Corp v Credit Lyonnais Rouse Ltd (2001)
151 NLJ 272 at [39], referred to without criticism by the Court of Appeal [2002] 1
WLR 479 at [28], although the court did not (see [81]) consider the criticisms of the
affidavit in that case were justified.
54. Notwithstanding these threshold requirements, and the care the court must
show, once it is established that a communication was made when litigation was
contemplated or pending and for the dominant purpose of obtaining legal advice,
the privilege cannot be overridden by another public interest. As Lord Scott stated in
Three Rivers District Council v Bank of England (No. 6) [2005] 1 AC 610 at [25]:
‘if a communication or document qualifies for legal professional privilege, the
privilege is absolute. It cannot be overridden by some supposedly greater public
interest. It can be waived by the person, the client, entitled to it and it can be
overridden by statute but it is otherwise absolute.’
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55. The principles applicable to litigation privilege were usefully summarised by
Aikens J in Winterthur Swiss Insurance Co v AG (Manchester) Ltd [2006] EWHC
839 (Comm) at [71]:
‘“Litigation privilege” extends, in time, to information (which must include
information stored in electronic form as well as in documentary form) which is
produced either during the course of adversarial (as opposed to inquisitorial or
investigative) litigation, or when such litigation is in contemplation. The privilege
obviously covers legal advice given by a lawyer to his client for the purposes
of such existing or contemplated litigation. It also extends to communications
between the lawyer and his client and the lawyer and third parties, provided that
those communications are made for the sole or dominant purpose of obtaining
legal advice or conducting that litigation. (Grant v Downs (1976) 135 CLR 674,
per Barwick CJ (dissenting in the result) at p. 677, Waugh v British Railways
Board [1980] AC 521, Three Rivers DC v Bank of England (No. 6) at paras 100
to 102 per Lord Carswell.) In deciding whether a communication is subject to
“litigation privilege”, the court has to consider objectively the purpose of the
person or authority that directed the creation of the communication. (Guinness
Peat Properties Ltd v Fitzroy Robinson Partnership [1987] 1 WLR 1027 at 1037
per Slade LJ, with whom Woolf LJ and Sir George Waller agreed.)’
56. Aikens J considered (see [83]) that in considering whether material might be
subject to litigation privilege three questions arise. These are:
‘First, at the time that the relevant communications were created, was litigation
contemplated? Secondly, were the communications created for the dominant
purpose of obtaining legal advice for that litigation or in aid of that litigation?
Thirdly, under the direction of which person or entity, objectively speaking, were
those communications created.’
57. In the present case, there is an issue as to the second and third of these
questions. The issue as to the second question depends on the approach of the court
to the affidavits sworn by Mr Malcolm Jones. The issue as to the third question
depends on whether what is relevant is the purpose of Mr Jones, the purpose of Total
UK and Total Downstream Oil Storage Ltd., or the purpose of the wider Total group.
In Guinness Peat Properties v Fitzroy Robinson Partnership [1987] 1 WLR 1027 the
defendant architects were required by the terms of their insurance policy to notify
their insurers of any potential claim and their administrative partner Mr McLeish did
so. He wrote the letter because of that requirement and not to obtain legal assistance.
The letter was held to be privileged. Slade LJ stated (at 1036C–1037C):
‘In my judgment the proposition that the dominant purpose of a document
does not necessarily fall to be ascertained by reference to the intention of its
actual composer is borne out by a number of recent authorities. Barwick CJ’s
formulation of the test [in Grant v Downs] itself refers to the dominant purpose of
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its author “or of the person or authority under whose direction, whether particular
or general, it has produced or brought into existence”. These words are not to be
read as if they had statutory force. Nevertheless, I think that in the present case
the insurers are to be regarded as the persons under whose direction the McLeish
letter was brought into existence, within the sense and spirit of this formulation.
In Waugh itself, it seems clear that their Lordships were directing their attention
not so much to the intentions of the two officers of the British Railways Board
who prepared the report there under consideration as to the intentions of the
board in directing them to prepare it. In that case the claim for privilege failed
only because the purpose of obtaining legal advice in anticipation of litigation
was of no more than equal weight with the board’s purpose of railway operation
and safety.’
58. Slade LJ stated that, similarly, in McAvan v London Transport Executive [1982]
CA Transcript 498 and Re Highgrade Traders Ltd [1984] BCLC 151 the Court of
Appeal reached its decisions by reference to the intentions respectively of the London
Transport Executive and the insurance company which procured the reports rather
than by reference to the intentions of the writers of the reports.
59. The Guinness Peat case and Re Highgrade Traders differed from Waugh’s case
because in Waugh’s case it was officers within the defendant who prepared the report
whereas in the other cases it was an entity other than the party seeking privilege, in
Guinness Peat, the architectural partnership, and in Re Highgrade, the loss adjusters.
In Re Highgrade Traders the affidavit had been made by Mr Alexander, the responsible
officer in the insurance company dealing with the claims. There was no suggestion
that what he stated about the insurance company’s purpose was unauthorised or did
not reflect that purpose.
60. In the present case, Mr Pollock submitted that, in the light of the decision in Re
Barings plc [1998] 1 All ER 673, whatever the purpose of Total UK Ltd and Mr Jones,
the reports of the Total AIT are not protected by litigation privilege. In Re Barings a
firm of solicitors prepared a report for the Department for Trade and Industry at the
request of the administrators of a company ‘in compliance with’ the administrators’
statutory duty to report to the DTI pursuant to section 7 of the Company Directors
Disqualification Act 1986. The statutory intention in requiring a report to be made is
to place the Secretary of State in the possession of facts and opinions necessary to
enable him to decide whether to commence disqualification proceedings: see [1998]
1 All ER at 676b. Inspection was resisted on the grounds of privilege and lack of
sufficient relevance. The latter ground was rejected.
61. As to the claim of privilege, Scott V-C stated (at 678g–h) that his initial reaction
on being told that legal professional privilege was being claimed for a statutory report
was one of ‘some incredulity’. He stated that, despite the weight of authority cited
by Miss Gloster QC, that sense of incredulity remained but (at 685j and 686e–f)
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accepted, in the light of Re Highgrade Traders Ltd and Guinness Peat Properties
Ltd v Fitzroy Robinson Partnership, that the dominant purpose test in litigation
privilege is a free-standing criterion which, if satisfied, will entitle a document to
privilege regardless to whether the production might impinge on the inviolability of
lawyer/client communications. But (see 687e–688b) none of the authorities involved
a statutory report.
62. Scott V-C stated that in the case of a statutory report the maker has no choice
and is obliged by law to make the report; ‘the only relevant purpose … is a statutory
purpose’. He did not accept that the question whether such a report or information
for such a report is to be protected by legal professional privilege is to be determined
by reference to the purposes of the administrators who make the reports or by their
expectations as to the use that will be made of those reports. He considered the
question whether such statutory reports are privileged depends on whether there is
a public interest requiring protection from disclosure to be afforded to them which
overrides the administration of justice reasons that are reflected in the discovery rights
given to litigants. He concluded that in the absence of any public immunity claim
there was no public interest that required privilege to be afforded to the report. The
decision has been cited with approval by the Court of Appeal in Visx v Nidex [1999]
FSR 91 and, although Hollander’s Documentary Evidence 14-23–14-24 criticises
the use of a balancing exercise in this context, the issue of a report produced under a
statutory obligation is not addressed.
Going behind an affidavit
63. It is necessary to distinguish the wider issue of when a court may go behind an
affidavit of documents (including one claiming privilege) from the narrower issue of
whether, and, if so, when, it may order the deponent of such an affidavit to be crossexamined.
I first consider the authorities on the wider issue.
64. In Frankenstein v Gavin’s House-to-House Cycle Cleaning and Insurance Co
[1897] 2 QB 62, a decision of the Court of Appeal concerned with the 1875 Rules, the
defendants’ affidavit objected to producing documents for inspection on the ground
that they were part of the evidence supporting its case and did not support or tend
to support the plaintiff’s case. It was held that such an affidavit must be accepted as
conclusive save in very limited circumstances, and the plaintiff was not entitled to
inspect the documents. There was no discussion of cross-examination upon affidavits
of documents.
65. Lord Esher MR referred to the earlier case of Attorney-General v Emerson
(1882) 10 QBD 191, in which he had been a member of the Court of Appeal. He
stated (at 64) that Attorney-General v Emerson had decided that an affidavit of
documents ‘must be accepted as conclusive, unless the Court can see, that is to say, is
reasonably certain, from the statements of the party making it, that he has erroneously
represented or has misconceived the character of the document in question’. Chitty
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LJ (at 65) stated that there are a few exceptions to the rule, and that the exception
material to Frankenstein’s case was that stated in Attorney-General v Emerson,
which he formulated in the same terms as Lord Esher. AL Smith LJ’s formulation of
the exception was not tied to the circumstances in Attorney-General v Emerson and
Frankenstein’s case and was broader. He stated (at 64–65):
‘…it lies upon the plaintiff to get rid of the effect of [the statement in the
affidavit] by falsifying it, by which I do not mean that he must necessarily shew
that it is wilfully untrue, but he must establish by some means other than by a
conflicting affidavit that the defendants’ affidavit is incorrect. … In order that the
plaintiff may succeed in doing so, the Court must be satisfied with reasonable
certainty either from the defendants’ own statements that they have erroneously
represented or misconceived the nature of the documents, as was held to have
been the case in Attorney-General v Emerson, or from some source other than by
affidavit that the defendants’ affidavit is incorrect.’
AL Smith LJ thus appeared to be prepared to go behind an affidavit where it appears
from a source other than the defendants’ own statements that the defendants’ affidavit
is incorrect, but stated that the source could not be a counter-affidavit.
66. Neilson v Laugharne [1981] 1 QB 736 is an example of a court going behind
an affidavit in determining the dominant purpose of documents for which privilege
had been claimed. The court relied on contemporary correspondence and the evidence
of the person responsible for instituting the inquiry which led to the creation of the
documents in making a claim that the documents were subject to public interest
immunity. The case concerned a claim against the Chief Constable of Lancashire
for trespass, wrongful imprisonment, false arrest and assault. The Chief Constable’s
response to the letter before action was to write to the plaintiff’s solicitors stating
he had decided to call for an investigation under section 49 of the Police Act 1964,
that the investigating officer would be contacting them and the plaintiff, and that the
question of compensation would be considered at the conclusion of the investigation.
The defendant claimed that, save for the plaintiff’s own statement, statements taken
from the plaintiff and a number of other people were protected on public interest
grounds and by litigation privilege. The affidavit in support of the public interest
claim was by the deputy chief constable. That in support of the claim of litigation
privilege was by a common law clerk who stated that the dominant purpose of the
investigating officer’s inquiry was to obtain evidence for the defence to the action.
The claim to public interest immunity succeeded but that to litigation privilege did
not.
67. The Court was not prepared to accept the affidavit of the common law clerk in
the face of the Chief Constable’s letter to the plaintiff’s solicitor, which was direct and
contemporaneous evidence by the person responsible for instituting the inquiry: see
Lord Denning MR, and Oliver and O’Connor L JJ, at 745G, 750B–E and 757C. Oliver
LJ stated that the Chief Constable’s letter to the plaintiff’s solicitors demonstrated that
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the dominant purpose of the investigation was the statutory purpose and that had its
dominant purpose been to provide material for the threatened legal proceedings it
was a very tricky letter indeed because it in effect invited the prospective plaintiff to
make a statement to the representative of the prospective defendant under the guise
of carrying out a statutory inquiry.
68. The issue came before the Court of Appeal again in Lask v Gloucester Health
Authority (6 December 1985). The question was whether the Court could go behind
affidavits sworn by the defendant’s solicitor and one of its administrators that an
accident report prepared on a report form by the defendant was for submission to
solicitors in the event of a claim and subject to litigation privilege. O’Connor LJ
considered Frankenstein’s case and Attorney-General v Emerson and concluded that
it could, and that the claim of privilege was not established.
69. In Lask’s case the administrator’s affidavit stated the only reason for requiring
accident report forms to be completed was to enable them to be given to solicitors in
the event of a claim. The solicitor’s affidavit stated that he approved a standard form
for use in accident cases in the 1950s, the form in that case was virtually identical
to the standard form, and privilege had always been maintained for such forms. His
affidavit also referred to and exhibited a 1955 National Health Service Circular which
suggested that an appropriate form be used. Paragraph 1 of the circular, which was
still in force, stated ‘from time to time accidents or other untoward occurrences arise
at hospitals which may give rise to complaints followed by claims for compensation
or legal proceedings, and which may also call for immediate enquiry and action to
prevent a repetition’.
70. The report form itself stated that the report was prepared for the use of
solicitors in the event of a complaint or legal proceedings and it was to be submitted
to the head of department, who should forward it to the unit administrator for onward
transmission to the sector and district administrators. O’Connor LJ stated that the
circular differed from the report form because in paragraph 1 the Department stated
in terms that the report had a double function; to assist in dealing with claims, and to
consider whether action is necessary to prevent a repetition. The rest of the circular,
however, was concerned with the importance of getting a report would attract the
privilege which it was, before the decision in Waugh’s case, thought a dual purpose
report would attract and the solicitor’s affidavit referred to correspondence about the
form in 1977 which showed the intention was that the form was to be for solicitors’
use in the event of a claim and thus would attract the privilege.
71. O’Connor LJ applied the test stated in Frankenstein’s case and Attorney-
General v Emerson: were there statements from the party making the affidavit that
they had erroneously misconceived or represented the character of the accident report.
He concluded that it was plain from the circular that the report was prepared for a dual
purpose. He also considered this was plain from the form itself because he saw no
legal professional purpose in submitting the form to the head of department and the
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other administrators before sending it to the person who was to hold it for submission
to the solicitor unless there was a second purpose as envisaged in the circular. The
county court judge’s decision that the report was a document prepared for a dual
purpose was upheld. The question of cross-examination on an affidavit of documents
was not discussed in either Lask’s case or Neilson v Laugharne.
72. In Re Highgrade Traders Ltd [1984] BCLC 515 the liquidators of a company
successfully applied under section 268 of the Companies Act 1948 for an order to
examine an officer in an insurance company about reports by loss adjusters, fire
experts and accountants prepared for the insurance company in respect of which
litigation privilege was claimed. Affidavits were sworn by the insurance company’s
solicitors stating that the dominant purpose for which the reports came into existence
was in anticipation of litigation and for the purpose of obtaining legal advice.
The Court of Appeal accepted a submission by the officer that he could not have
anticipated the need for more detailed evidence before the hearing. A further affidavit
was sworn and taken into account by the court which, was, however, not convinced
that it added anything to what was reasonably deducible from the material before it.
73. Oliver LJ analysed the evidence before the court and concluded that it
established overwhelmingly that the insurers were actuated by the motive of
obtaining legal advice in relation to contemplated litigation, which was confirmed
by a letter written by the insurers’ solicitors. Oliver LJ (with whom Goff LJ agreed)
stated (at 175) that:
‘I would not want it to be thought that the mere writing of such a letter by
solicitors, whether for insurers or for anyone else, sometimes perhaps as a matter
almost of routine drill, is in all cases going to be determinative of the question.
At highest, it is no more [than] evidence of a fact which may require to be
independently proved.’
See also Simon J in National Westminster Bank plc v Rabobank Nederland [2006]
EWHC 2332 (Comm) at [52]. Earlier in his judgment (at 162) Oliver LJ said:
‘[I]f there is something in the circumstances of the case which shows that the
affidavit evidence is wrong (as there was in Nielson v Laugharne), the court is
entitled to go behind the affidavit, but I would not … feel able to subscribe to
the view that the court is necessarily bound to accept a bare assertion as to the
dominant motive of a deponent, unaccompanied by some explanation of the
circumstances, at any rate in a case where more than one motive is possible.’
74. Where the Court is minded to go behind an affidavit, there are four options
open to it. It may conclude, as happened in Neilson v Laugharne and Lask’s case, that
the evidence in the affidavit does not establish that which it seeks to establish, i.e.
that the person claiming privilege has not discharged the burden that lies on him, and
order disclosure or inspection. It may order a further affidavit to deal with matters the
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earlier affidavit does not cover or on which it is unsatisfactory. This is seen in cases on
inadequate affidavits disclosing assets in response to freezing orders, but also in the
case of an affidavit as to disclosure or inspection: see Birmingham and Midland Motor
Omnibus Co Ltd v London and North Western Railway Co [1913] 3 KB 850. See also
National Westminster Bank plc v Rabobank Nederland [2006] EWHC 2332 (Comm)
at [53] and [63]; Atos Consulting Ltd v Avis plc (No. 2) [2007] EWHC 323 (TCC) at
[36]–[37], although in those cases the evidence was by witness statement rather than
by affidavit: see [2006] EWHC 2332 (Comm) at [34]–[44] and [2007] EWHC 323
(TCC) at [7], [12], [18]. They are also cases on the third option open to the Court, to
inspect the documents, which it may do in the circumstances set out in the next two
paragraphs. The fourth option is that, subject to the restrictions in paragraphs 79–84
of this judgment, the court may order cross-examination of the deponent.
75. Neither TAV not the Total defendants invited me to inspect documents in this
case. Neuberger J’s view in Bank Austria Akt v Price Waterhouse that inspection of
documents should be a solution of last resort (in part because of the danger of looking
at documents out of context) was shared by Simon J in National Westminster Bank plc
v Rabobank Nederland see [54–55], and by Ramsay J in Atos Consulting Ltd v Avis
plc (No. 2) [2007] EWHC 323 (TCC) at [36]–[37]. Simon J stated that Rabobank’s
evidence about the dominant purpose of the report the court was invited to inspect
was difficult to reconcile with both its documents created at the time and some of its
other evidence so that, if there is a threshold which has to be crossed before a court
can properly be invited to look at documents, that threshold had been crossed and the
court had discretion to do so: see [34] and [49]–[51]. Simon J stated that the court
should not inspect the documents unless there is credible evidence that the lawyers
have either misunderstood their duty, or are not to be trusted, or there is no reasonably
practical alternative. He did not inspect them but ordered Rabobank’s solicitors
to make an affidavit verifying the claims to privilege in relation to the documents
withheld.
76. Although inspection is not at issue in this case, what is said in cases on
inspection gives guidance as to the general approach of the court where a claim to
privilege is challenged. In Atos Consulting Ltd v Avis plc (No. 2) Ramsay J stated
(at [37]) that the appropriate course to be adopted where privilege or irrelevance is
relied on is for the Court to proceed by way of stages. Ramsay J’s first two stages
are to consider whether the evidence produced on the application establishes the
right to withhold inspection of a document and there are no sufficient grounds for
challenging the correctness of that asserted right. If these conditions are met, the
Court should uphold the right. His third stage arises where the Court is not satisfied
that the right to withhold inspection is established because, for instance, the evidence
does not establish a legal right to withhold inspection. He states that in such a case the
Court will order inspection of the documents. His fourth stage arises where sufficient
grounds are shown for challenging the correctness of the asserted right. He states
that in this situation the Court may order further evidence to be produced on oath
or, if there is no other appropriate method of properly deciding whether the right to
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withhold inspection should be upheld, it may decide to inspect the documents. If it
inspects the documents it may invite representations. Neither Ramsay J nor Simon J
referred to the possibility of cross-examination, to which I now turn.
77. CPR 32.7 makes provision for cross-examination at a hearing other than the
trial where evidence is given in writing. CPR 31.19(5) provides for a challenge to
a claim of privilege made under CPR 31.19(3), which when made, is supported
by a statement of truth. Cross-examination on an affidavit at an interlocutory stage
has been considered in the context of affidavits disclosing assets sworn in response
to the order of the court when making a freezing injunction. In that context, it has
been recognised that the circumstances may mean that it is more sensible, if only for
reasons of speed and urgency, not to order further affidavits in order to fill the vacuum
alleged to exist in the affidavits but to order cross-examination: see House of Spring
Gardens Ltd v Waite [1985] FSR 173 at 183 per Stephenson LJ.
78. In Yukong Lines v Rendsburg (17 October 1996, CA) Phillips LJ stated that
the background of applications for freezing orders is often a situation in which it is
urgently necessary for the court to intervene in order to assist the claimant to prevent
the defendant from frustrating the object of the proceedings. He also stated that the
test is whether it is just and convenient to order cross-examination, and that crossexamination
is not only available where there is no alternative relief. Even in the
context of an affidavit in response to a freezing order, however, he regarded ordering
cross-examination as ‘an exceptional measure’. Motorola Credit Corp v Uzan [2003]
2 CLC 1026; [2004] 1 WLR 113 is an example of the circumstances in which crossexamination
may be ordered. In that case the court found (see at [141] and [147]) that
there had been piecemeal, late, untruthful and manifestly incomplete disclosure by
the defendants.
79. Does the position in relation to affidavits of documents (including those
claiming privilege) differ? It was submitted on behalf of the Total defendants and
HOSL that no cross-examination of such affidavits is to be ordered. Matthews &
Malek on Disclosure (2007) 6-44 states that the weight of authority under the RSC
‘was to the effect that an opposing party could not cross-examine the deponent on his
verifying affidavit at all’ because the affidavit did not go to any of the issues in the
action, and that the position is the same under the CPR. The authors state that in the
context of freezing and search orders the position at an interlocutory stage is different
because it may be crucial to establish what has happened to assets prior to trial.
80. Matthews & Malek rely on the decisions of the Court of Appeal in Birmingham
and Midland Motor Omnibus Co Ltd v London and North Western Railway Co [1913]
3 KB 850 and Lonrho plc v Fayed (No. 3) (14 June 1993, The Times, 24 June 1993).
In Birmingham and Midland Motor Omnibus Co Ltd v London and North Western
Railway Co the defendants’ affidavit of documents claimed litigation privilege for
certain documents. The case was primarily concerned with whether the Court could
inspect the documents for the purpose of deciding the validity of the claim of privilege,
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but also considered the affidavit. The Court of Appeal inspected the documents, as the
judge in chambers had, and decided that privilege had properly been claimed. As to
the affidavit, Buckley LJ (with whom Vaughan Williams LJ agreed) stated (at 855):
‘An affidavit of documents is sworn testimony which stands in a position which
is in certain respects unique. The opposite party cannot cross-examine upon it
and cannot read a contentious affidavit to contradict it. He is entitled to ask the
Court to look at the affidavit and all the documents produced under the affidavit,
and from those materials to reach the conclusion that the affidavit does not
disclose all that it ought to disclose. In that case he can obtain an order for a
further and better affidavit.’
81. Buckley LJ also stated that, under the rule then applicable to a specific
document, the party who is seeking discovery may file an affidavit specifying further
documents and calling upon the party making the affidavit of documents to account
for them. Hamilton LJ, citing Jones v Montevideo Gas Co (1880) 5 QBD 556, stated
(at 858) that although an affidavit of discovery cannot be challenged by crossexamination,
counter-affidavit or administration of interrogatories:
‘If from the affidavit itself, or from the documents therein referred to, or from
an admission in the pleadings of the party from whom discovery is sought, the
Master or judge is of the opinion that the affidavit is insufficient, he ought to
make an order for a further affidavit …’
82. The Birmingham and Midland Motor Omnibus case was considered in Ankin
v London and North Eastern Railway Co [1930] 1 KB 527. Scrutton LJ (at 534)
stated:
‘It has long been settled that a deponent stating grounds on which he claims
privilege is not to be met by an opposing affidavit either contradicting him or
cross-examining him with a view of showing that what he has stated is untrue.
The other party can only look at the affidavit itself. If it is ambiguously or too
ingeniously worded, so that its meaning is obscure, he may take the objection that
the claim for privilege is not sufficient and may obtain a more precise statement
of facts.’
83. The authorities were reviewed in Lonrho plc v Fayed (No. 3) (14 June 1993,
The Times, 24 June 1993). Lonrho sought discovery of documents relating to very
large profits which the Fayed brothers said they had made from an oil trading
partnership in the Middle East since 1979 and about their fortune in Egypt prior to
1961. The Fayed brothers made affirmations stating there were no such documents in
their possession. On behalf of Lonrho it was argued that it was incredible that if such a
partnership existed over many years generating huge profits there were no documents
in the Fayeds’ possession. Swinton Thomas J ordered that the Fayed brothers should
be cross-examined on their affidavits of documents. In the Fayed brothers’ appeal, it
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was submitted on behalf of Lonrho that an affidavit of documents made pursuant to
an order for specific discovery under RSC Order 24 Rule 7 was not conclusive, and
that, if it was conclusive, the Court would be powerless to enforce its orders. Stuart-
Smith LJ (with whom Kennedy and McCowan L JJ agreed) stated (at p. 19C–D of the
transcript) that the authorities led him to the conclusion that:
‘… on whatever ground the order for a further affidavit is made, whether because
of some admission by the deponent or the belief of the opposite party that other
documents exist, the oath of the deponent in answer is conclusive; it cannot be
contravened by a further contentious affidavit and cannot be the subject of crossexamination.’
84. His Lordship stated that dicta in a number of more recent cases and the cases
in which cross-examination on affidavits is ordered at an interlocutory stage in aid
of Mareva relief did not alter or modify the well-established rule laid down in the
authorities for over a century. He said that applications in those cases are for the most
part concerned with discrete issues which do not impinge on the issues at trial. He said
(see pp. 24–26 of the transcript) that in other cases ‘the reasons for the rule that the
statement in the affidavit of documents is conclusive save to the extent that a further
affidavit may be ordered are not far to seek’. He referred to the fact that the issue to
be canvassed at the interlocutory stage may impinge on, and be crucially relevant to
the issues in the trial. To try it at an interlocutory stage could involve injustice, and
replace the adversarial process at trial by an inquisitorial inquiry. He also stated that
protracted interlocutory applications add to both delay and expense and should be
avoided as far as possible. He stated (see p. 28 of the transcript) that, if he was wrong
in holding that the statement in an affidavit of documents is conclusive so that the
court has no power to order cross-examination, ‘the exercise of that power should
… be reserved for those cases where the existence or non-existence of the document
raises a discrete issue which does not impinge to any serious extent on the issue in
the action’.
85. Finally, there is LFEPA v Halcrow Gilbert & Co Ltd [2004] EWHC 2340
(QB), a decision of the Technology and Construction Court, in which HH Judge
Toulmin QC dealt with a claim to privilege of a report prepared for the London Fire
and Emergency Planning Authority sought by the defendants in proceedings about
a construction project that had overrun. The Deputy Head of Legal Services of the
Authority had made a witness statement and gave evidence that a reference in the
statement to the report being part of a ‘technical audit’ meant a legal audit for the
purpose of litigation. It appears that she was cross-examined. The judge stated (at
[48]) that the burden of proof lies on the party claiming privilege. He rejected the
evidence of the Deputy Head of Legal Services and concluded that the dominant
purpose of the report was not for the purposes of litigation.
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Summary of law
86. It is possible to distil the following propositions from the authorities on
challenges to claims to privilege:
(1) The burden of proof is on the party claiming privilege to establish it: see Matthews
& Malek on Disclosure (2007) 11-46, and paragraph [50] above. A claim for privilege
is an unusual claim in the sense that the party claiming privilege and that party’s legal
advisers are, subject to the power of the court to inspect the documents, the judges
in their or their own client’s cause. Because of this, the court must be particularly
careful to consider how the claim for privilege is made out and affidavits should be
as specific as possible without making disclosure of the very matters that the claim
for privilege is designed to protect: Bank Austria Akt v Price Waterhouse; Sumitomo
Corp v Credit Lyonnais Rouse Ltd (per Andrew Smith J).
(2) An assertion of privilege and a statement of the purpose of the communication
over which privilege is claimed in an affidavit are not determinative and are evidence
of a fact which may require to be independently proved: Re Highgrade Traders Ltd;
National Westminster Bank plc v Rabobank Nederland.
(3) It is, however, difficult to go behind an affidavit of documents at an interlocutory
stage of proceedings. The affidavit is conclusive unless it is reasonably certain from:
(a) the statements of the party making it that he has erroneously represented or has
misconceived the character of the documents in respect of which privilege is claimed:
Frankenstein v Gavin’s House to House Cycle Cleaning and Insurance Co, per Lord
Esher MR and Chitty LJ; Lask v Gloucester Health Authority.
(b) the evidence of the person who or entity which directed the creation of the
communications or documents over which privilege is claimed that the affidavit is
incorrect: Neilson v Laugharne (the Chief Constable’s letter), Lask v Gloucester HA
(the NHS Circular), and see Frankenstein v Gavin’s House to House Cycle Cleaning
and Insurance Co, per A L Smith LJ.
(c) the other evidence before the court that the affidavit is incorrect or incomplete on
the material points: Jones v Montevideo Gas Co; Birmingham and Midland Motor
Omnibus Co v London and North Western Railway Co; National Westminster Bank
plc v Rabobank Nederland.
(4) Where the court is not satisfied on the basis of the affidavit and the other evidence
before it that the right to withhold inspection is established, there are four options
open to it:
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(a) It may conclude that the evidence does not establish a legal right to withhold
inspection and order inspection: Neilson v Laugharne; Lask v Gloucester Health
Authority.
(b) It may order a further affidavit to deal with matters which the earlier affidavit does
not cover or on which it is unsatisfactory: Birmingham and Midland Motor Omnibus
Co Ltd v London and North Western Railway Co; National Westminster Bank plc v
Rabobank Nederland.
(c) It may inspect the documents: see CPR 31.19(6) and the discussion in National
Westminster Bank plc v Rabobank Nederland and Atos Consulting Ltd v Avis plc
(No. 2). Inspection should be a solution of last resort, in part because of the danger
of looking at documents out of context at the interlocutory stage. It should not be
undertaken unless there is credible evidence that those claiming privilege have either
misunderstood their duty, or are not to be trusted with the decision making, or there
is no reasonably practical alternative.
(d) At an interlocutory stage a court may, in certain circumstances, order crossexamination
of a person who has sworn an affidavit, for example, an affidavit
sworn as a result of the order of the court that a defendant to a freezing injunction
should disclose his assets: House of Spring Gardens Ltd v Waite; Yukong Lines v
Rensburg; Motorola Credit Corp v Uzan. However, the weight of authority is that
cross-examination may not be ordered in the case of an affidavit of documents:
Frankenstein’s case; Birmingham and Midland Motor Omnibus Co Ltd v London and
North Western Railway Co and Fayed v Lonrho. In cases where the issue is whether
the documents exist (as it was in Frankenstein’s case and Fayed v Lonrho) the
existence of the documents is likely to be an issue at the trial and there is a particular
risk of a court at an interlocutory stage impinging on that issue.
87. Mr Pollock submitted that, had the framers of CPR 32.7 wished to preserve the
old rule and to exclude a power to cross-examine in disputes concerning privilege,
they could have done so. The Rule does not do so and there is no reference in the
notes to the White Book to the authorities cited by Matthews and Malek. He submitted
that there is provision in CPR 31.19(5) for a challenge to a claim of privilege made
under CPR 31.19(3) which is made, supported by a statement of truth. There is no
indication that a court considering a challenge to such a claim cannot order the crossexamination
of the person claiming privilege. Mr Pollock argued that the CPR is a self
contained code to which effect should be given. He relied on Biguzzi v Rank Leisure
plc [1999] 1 WLR 1926 at 1934 where Lord Woolf MR stated that, once the CPR
applies, ‘earlier authorities are no longer generally of any relevance’. He also relied
on the statement of May LJ in Purdy v Cambran (17 December 1999). May LJ stated
that Lord Woolf ‘was not saying that the underlying thought processes of previous
decisions should be completely thrown overboard’ but that decisions will depend on
the justice in all the circumstances of an individual case and that it is necessary to
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concentrate on the intrinsic justice of a particular case in the light of the overriding
objective rather than on authorities under the former rules.
88. Notwithstanding Mr Pollock’s submissions, I have concluded that, in view of
the fact that Rule 32.7 follows the old County Court Rules Order 20 Rule 5 which has
the same effect as RSC Order 38 Rule 2(3), the old law cannot be discarded in the way
he submitted it should be. Even if there is no longer a jurisdictional bar to ordering
cross-examination of the deponent on his affidavit in this context, the exercise of that
power should be reserved for extreme cases where there is no alternative relief.
89. In Nomura International plc v Granada Group Ltd [2007] EWHC 642 (Comm);
[2007] 1 CLC 479 Cooke J stated (at [25]–[26]) that ‘where the new rule under the
CPR follows the same form and appears to have the same underlying intention’ as
the rule in the RSC, regard should be had to the principles which the court previously
applied under the old rule. That statement was made in the context of consideration
of whether an abuse of process had taken place. The same approach in substance
was taken in the context of disclosure of documents for the purpose of interlocutory
proceedings (albeit without reference to the old rules) in Fiona Trust Holding Corp v
Privalov [2007] EWHC 39 (Comm) at [25]–[27].
90. The procedure under the CPR is, in substance, the same as that under the RSC
although now the claim for privilege is made in a disclosure statement instead of an
affidavit. The rationale of avoiding mini-trials at an interlocutory stage is still there.
Mr Pollock was not able to point to any post CPR authority in support except for
LFEPA v Halcrow Gilbert and Co. Lord Grabiner and Mr Edey submitted inter alia
that case was different because the evidence challenged was in a witness statement
rather than an affidavit. While there are, no doubt, differences between witness
statements supported by a statement of truth and sworn affidavits, it is difficult to see
why cross-examination should be permitted where the claim for privilege is made in a
witness statement but not where the claim is made in an affidavit. That case, however,
proceeded without consideration of any of the authorities to which I have referred
and it does not appear from the judgment that there was any argument as to whether
cross-examination on the evidence given in support of the claimed privilege was a
proper course. In those circumstances it is of limited assistance, save as indicating
(see Hollander’s Documentary Evidence (9th edn.), 2-33) that the position in practice
may be less dogmatic than the theory.
91. As to whether there is still a jurisdictional bar to ordering cross-examination
of the deponent on his affidavit in this context, the need to avoid the party claiming
privilege being judge in his own case and the statements in the cases that an assertion
of privilege is not determinative and may require to be independently proved are
difficult to reconcile with an absolute bar. In the light of the overall approach in the
CPR, in an extreme case where there is no alternative relief, it may be just to order
such cross-examination rather than concluding, without such examination, that the
evidence before the Court does not establish a legal right to withhold inspection and
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ordering inspection. This in turn, however, should only be contemplated if it can be
done without impinging to any material extent on the issues in the action, and only
after the court has considered whether the position can be addressed by ordering
further evidence to be produced on oath, or by inspecting the documents. Even at that
stage cross-examination is unlikely to be necessary. If the deponent is not able to deal
with any gaps and inadequacies in a further affidavit it is likely that the burden of
proof that lies on a person claiming privilege will not have been satisfied.
Application of the principles to the circumstances of this case
92. Having summarised the relevant legal principles, I turn to their application in
the circumstances of this case.
93. I first deal with the submissions based on the decision in Re Barings plc. That
case is authority for the proposition that where a report is prepared pursuant to a
statutory obligation the purposes of the instigator of the report are irrelevant. There
should be no difference in principle where the obligation is a regulatory rather than a
statutory obligation. However, I reject the submission that the Total defendants’ claim
for privilege should be rejected because the Total AIT reports and communications
were produced pursuant to Total’s regulatory duties under the COMAH Regulations.
94. While there may well be an implied duty under the regulations to investigate,
there is no duty to report. More fundamentally, it has not been established that Total
is the operator of the site for the purpose of the COMAH Regulations. That will be
a major issue at the trial. Mr Pollock recognised the difficulty facing the court in
dealing with this issue. He submitted that I should decide the matter as a question
of principle, or on alternative assumptions. I am not, however, in a position to deal
with this issue at this stage, even as a matter of principle. It would risk prejudging
the issue at the trial on the basis of very limited, indeed almost no, material. The
only material before me concerning this issue was the exchange of correspondence
between HOSL and the competent authority which Mr Pollock relied on as showing
that HOSL had held itself out to the authority as the operator of the site. Apart from
the fact that that was used as an argument in support of the contention that HOSL
was the operator under the COMAH Regulations, I was informed that there were
similar communications between Total and the competent authority. At the trial, there
is bound to be a substantial quantity of evidence on this issue. I have not seen any of
that evidence. This issue is a classic example of the dangers to which Stuart-Smith LJ
adverted in Lonrho plc v Fayed.
95. The next issue concerns Mr Malcolm Jones’s affidavits. Are there grounds for
going behind them? I have concluded that there are a number of respects in which the
first affidavit is guarded and not satisfactory and that those matters are not addressed
in the second affidavit. The affidavits do not enable me to conclude that the claim for
privilege has been established. They exhibit no documents in support of what Mr Jones
says as to the purpose of establishing the Total AIT. The only documents exhibited are
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Mr Ollerhead’s memoranda which are said by Mr Jones to reflect a misunderstanding,
and the postings on Total’s intranet. I set out my reasons for concluding that the first
affidavit is not satisfactory and then consider the consequence and the appropriate
course of action.
96. I do not accept Mr Pollock’s submission based on Mr Jones’s statement of
what his ‘objective’ was and the references in the affidavit to the ‘primary purpose’
of the AIT. It is clear, on a fair reading of the affidavit as a whole, that Mr Jones’s
evidence is that his dominant purpose in setting up the investigation was to prepare
for contemplated legal proceedings. Moreover, in referring only to Mr Poynter’s role
as Head of Legal and not his HSEQ role the affidavit is guarded, but, in the light of
what Mr Ollerhead’s memorandum says about Mr Poynter having to rely on Mr Coull
on HSEQ matters, this may reflect the reality.
97. Mr Jones does not say that he made the decision alone. As Managing Director
of Total UK Ltd, he no doubt had considerable authority, but the affidavit does not
state what roles, if any, were played by others in the company, in particular members
of the Board, on 12 December when the decision to set up the AIT was taken, or
what part was played by the French parent company at that time. There is evidence
of initial contact with people from the French parent company and Davies Arnold
Cooper advised Total’s French lawyers on 12 December. Since what is relevant is
the purpose of Total UK and Total Downstream Oil Storage Ltd. at the time the AIT
was established on 12 December, these are matters which are relevant and which
should have been addressed. Mr Jones states (in paragraph 12) that at that time they
were working ‘mainly through oral communication’, which suggests there were
some documents, but he does not refer to any document other than the Ollerhead
memoranda which he mistakenly (see below) considered were privileged.
98. Mr Jones may not have told Mr Ollerhead of his purpose, or Mr Ollerhead
may have misunderstood what he was told. There is, however, no explanation of
how a misunderstanding by Mr Ollerhead may have come about, or whether it was
shared by others within Total. The affidavit does not state whether Mr Jones told Mr
Ollerhead or anyone in Total UK or the group what his purpose was and whether that
was the corporate purpose. Mr Jones states that Mr Poynter and (after 21 December)
DLA Piper reported to him in respect of the AIT’s progress. There is, however, no
explanation of why, if the dominant purpose was to prepare for contemplated legal
proceedings and Mr Ollerhead’s understanding of the purpose of the investigation
was wrong, Mr Poynter, who was copied in to all the emails, did not correct him.
99. Mr Jones states in paragraphs 13 and 15 of his first affidavit that, but for
the contemplation of litigation, the Total AIT would not have been set up. The
affidavit states that he had no regard to any internal Total procedure and that the one
day and ten day reports required by element 5 of the Safety Management System
were not produced. It is not explained whether he was not aware of the mandatory
requirements in place under the Application Guide or whether he decided not to use
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them, or why the required reports were not produced. There is no explanation in
either of his affidavits as to why no account was taken of the lesson-learning culture
expressed in the Application Guide and other documents and how this fits with, for
example, the section on ‘Lessons from Buncefield’ in Total’s Environment and Social
Responsibility Report 2006. The legitimacy within the Total corporate structure of
the Managing Director having no regard to procedures described as mandatory which
have specified ‘lesson learning’ purposes is not explained. There is also no explanation
of the difference with the DAC letter which refers to Total’s internal requirements and
does not suggest that, but for the legal proceedings contemplated, no AIT would have
been set up. The affidavit is thus, at a minimum, incomplete on matters which it is
necessary for the court to know in order to determine the claim to privilege.
100. Paragraph 12 of Mr Jones’s affidavit can only be understood as a claim of
privilege in relation to documents concerning the setting up of the AIT. As Lord
Grabiner recognised at the hearing, there is no ground for such a claim. Lord Grabiner
gave an undertaking that Total would look for and disclose other documents in this
class. However, Mr Jones’s affidavit shows a misapprehension as to the extent of any
privilege to which Total is entitled which requires elucidation.
101. Having concluded that the affidavits are not satisfactory, the question is what
order should be made. I have said that they do not enable me to conclude that the
claim for privilege is established. I have considered whether this means that the Total
defendants have not satisfied the burden of proof and that I should order inspection of
the documents. The affidavits do not disclose all that they ought to disclose. However,
in the light of Mr Jones’s unequivocal statements as to his purpose and the time some
of TAV’s evidence was served (Mr Poynter’s email – paragraph 16 above – referring
to what Total’s parent company would require was produced during the hearing) this
would not be appropriate. I have decided that, having regard to the decisions such
as Birmingham and Motor Omnibus Co Ltd v London and North Western Railway
Co, Ankin v L & NE Railway Co, and National Westminster Bank plc v Rabobank
Nederland, Mr Jones should be ordered to swear a further affidavit to deal with the
matters which the earlier affidavits do not cover or on which they are unsatisfactory.
As to cross-examination, for the reasons I have given, on the assumption there is
jurisdiction to order cross-examination in this context, I do not consider this is an
appropriate case for doing so.
The applications in respect of the HOSL AIT
102. I have referred to the abandonment of the applications in respect of HOSL and
Mr Richard Jones, and said that they were unsustainable. The documents had not been
requested from HOSL prior to the application. Nor were HOSL’s solicitors contacted
on the issue. As in the case of Mr Malcolm Jones, there was no formal application to
cross-examine him supported by evidence as required by the CPR. Since TAV’s case
was in effect that Mr Jones’ affidavit should not be believed, a serious allegation, it
should have been made by application supported by the evidence on which it was
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proposed to rely. The supporting material on which TAV relied was in fact served only
on 4 July, very shortly before the hearing.
103. There was nothing in the material before the court which cast doubt on the
affidavits sworn on behalf of HOSL by Mr Richard Jones and Mr Young. In view of
HOSL’s status, the existence of the HSC’s Buncefield Major Incident Investigation
Board and Total’s Accident Inspection Team’s investigations, it was unsurprising that
HOSL’s dominant purpose in setting up its accident investigation team was to assist
HOSL’s legal advisers in advising it in relation to contemplated civil and criminal
proceedings. Although a number of other points were relied on in TAV’s written
submissions, at the hearing its case that the HOSL investigation was also for lessonlearning
purposes rested on HOSL having held itself out to the competent authority as
the operator of the site and was therefore under a duty under the COMAH Regulations
to investigate incidents and near misses. Mr Young’s affidavit, which is unchallenged,
addresses this issue. Moreover, Mr Young was at the relevant board meetings and
advised the board. His evidence is that the sole purpose of setting up the HOSL AIT
was to assist in relation to contemplated criminal and civil proceedings. His evidence
is not challenged. The application to cross-examine Mr Richard Jones thus falls at
the first hurdle.
104. There were other fundamental difficulties in the application. I have dealt
with the position as to cross-examination in relation to an affidavit as to disclosure
including one claiming privilege, elsewhere in this judgment. In the case of HOSL,
cross-examination would have been wholly inappropriate for two reasons. First,
in the light of the close involvement of the lawyers in the decision to establish the
HOSL AIT, it would be difficult to examine Mr Jones without straying into the legal
advice Eversheds gave the HOSL board. Secondly, a major issue in the litigation is
whether Total or HOSL were the operators of the site for the purposes of the COMAH
regulations. It is established that it is inappropriate to deal with such a matter at an
interlocutory stage on the basis of limited evidence. In any event, as I have observed,
Mr Young’s affidavit addresses the Regulations point and states that there was no
suggestion that the HOSL AIT should be set up for the purposes of the COMAH
regulations or pursuant to any internal procedures.
Conclusion
105. In the light of what is stated in paragraphs 95–101 of this judgment, the
appropriate course is to require a further affidavit to be sworn by Mr Malcolm Jones
dealing with the matters which his earlier affidavits do not cover or on which they are
unsatisfactory. I shall hear submissions as to the time within which this is to be done.
If the gaps and inadequacies are not addressed, it is difficult to see that the burden of
proof that lies on a person claiming privilege will have been satisfied.
(Order accordingly)
_____________
Case 1:15-cv-07433-RWS Document 57-3 Filed 03/14/16 Page 39 of 39

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
Motion for Protective Order
Regarding Deposition of Defendant
.........................................
......
Laura A. Menninger
Jeffrey S. Pagliuca
HADDON, MORGAN, AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
ii
TABLE OF CONTENTS
TABLE OF AUTHORITIES ............................................................................................................ iii
INTRODUCTION ..............................................................................................................................1
ARGUMENT ......................................................................................................................................5
I. PLAINTIFF PROPOUNDED IMPROPER RESPONSES, OBJECTIONS AND
PRIVILEGES TO DEFENDANT’S DISCOVERY REQUESTS ............................................5
A. Plaintiff interposed improper objections . ............................................................................5
B. Plaintiff propounded inapplicable Privileges, Responses & Objections to the Request
for Production of Documents. ..............................................................................................8
1. Plaintiff asserted inapplicable privileges..................................................................8
2. Plaintiff interposed inapplicable objections. ..........................................................10
3. Plaintiff failed to state whether she was withholding documents ..........................11
II. PLAINTIFF’S INTERROGATORY RESPONSES AND PRODUCTION CONTAINED
ALMOST NONE OF THE REQUESTED ANSWERS OR DOCUMENTS .........................12
III. PLAINTIFF FAILED TO TIMELY AND PROPERLY MAKE DISCLOSURES ................14
IV. OTHER DISCOVERY ISSUES NOT YET RESOLVED ......................................................15
V. PLAINTIFF’S DISCOVERY TACTICS DESIGNED TO AMBUSH DEFENDANT AT
HER DEPOSITION .................................................................................................................15
VI. PLAINTIFF WILL SUFFER NO HARM BY POSTPONING DEPOSITION ......................16
CONCLUSION .................................................................................................................................17
iii
TABLE OF AUTHORITIES Cases
In re Waterscape Resort LLC, No. 11-11593 (SMB), 2014 WL 302856 (Bankr. S.D.N.Y. Jan. 28,
2014) ........................................................................................................................................... 9
Johnson v. Kraft Foods North America, Inc., 236 F.R.D.535 (D. Kans. 2006) ............................. 8
Jones v. J.C. Penny’s Dep’t Stores, Inc., 228 F.R.D. 190 (W.D.N.Y. 2005) ............................... 10
Kolenc v. Bellizzi, No. 95 CIV. 4494 (LMM KNF), 1999 WL 92604 (S.D.N.Y. Feb. 22, 1999) .. 8
Lyman v. Felter, No. 1:12-CV-530 MAD/RFT, 2015 WL 1415270, (N.D.N.Y. Mar. 26, 2015) .. 9
SEC v. Yorkville Advisors, LLC, No. 12 Civ. 7728 (GBD)(HBP), 2015 WL 855796 (S.D.N.Y.
Feb. 27, 2015) ........................................................................................................................... 10
Walls v. Paulson, 250 F.R.D. 48 (D.D.C. 2008) ............................................................................. 6
1
INTRODUCTION
This Court has inherent authority to control the order, means and method of discovery in
an action to promote fairness and justice between the parties.
Here, Defendant properly served discovery requests for Plaintiff, due on March 16, and
thereafter accepted a deposition date of March 25, after the discovery responses and document
productions were due so that she would properly have time to review the documents and prepare
her client for her deposition.
Following the scheduling of the deposition, Plaintiff failed to (a) properly and timely
respond to interrogatories and a request for production of documents due before the deposition
date, (b) improperly asserted privileges and objections for which she has no good faith basis, and
(c) failed to properly disclose matters subject to Fed. R. Civ. P. 26(a)(1). Plaintiff touted to this
Court her “thousands of pages” produced in response to the discovery requests, but upon closer
inspection, that production is essentially empty: it consists largely of numerous copies of
lengthy transcripts, and defendant’s pleadings in this case, which are not responsive to any
discovery request. Now Plaintiff has stated her intent to produce thousands more pages on the
eve of Ms. Maxwell’s deposition, knowing that her counsel will have insufficient time to review
the materials, show them to their client, and use them to properly prepare her for her deposition.
Plaintiff’s counsel clearly hopes to ambush Ms. Maxwell at her deposition, either by showing her
a document that she has not had a chance to review, or by making her look foolish on videotape
for not remembering the contents of documents that relate back to witnesses and events
occurring more than 17 years ago.
The Federal Rules of Civil Procedure are designed to preclude such litigation by ambush
and surprise. Plaintiff has articulated no good reason, nor any reason at all, why the deposition
2
cannot be held in 2-3 weeks’ time, after proper Responses & Objections are produced, after her
key documents in this case have been produced, after privilege issues have been resolved, and
after counsel has had an opportunity to review the documents and to properly prepare their client
for her deposition. Plaintiff has created the problem by failing to timely produce interrogatory
responses, documents and her Rule 26 disclosures. She should not be rewarded for gaming the
system.
Rule 26(c) permits the Court to issue, for good cause, a protective order in order to
“protect a party or person from annoyance, embarrassment, oppression or undue burden or
expense” by “specifying terms, including time and place…for the disclosure or discovery”
and/or “prescribing a discovery method other than the one selected by the party seeking
discovery.” Fed. R. Civ. P. 26(c)(1)(B) & (C). Ms. Maxwell asks the Court to adjourn her
deposition until mid-April so that the above-listed discovery issues can be properly resolved in
advance of that time.
Certificate of Conferral
Counsel has conferred numerous times regarding the issues contained herein, most
recently in a one hour and 45 minute phone call on March 21, 2016. Although Plaintiff has
promised to supplement her production, revise her Responses & Objections, and to withdraw
some of her privilege assertions, sign her Interrogatories and Objections and to consult with her
client and her client’s other attorneys as to whether she can produce other information (like her
client’s current address), Plaintiff refuses to postpone the deposition of Ms. Maxwell for even the
period of time it would take for her to make complete disclosures. Therefore, defense counsel
believes that their obligations pursuant to Rule 26(c) as well as this Court’s directive of March
17, 2016, have been fulfilled.
3
Procedural Background
Ms. Maxwell served her First Discovery Requests on Plaintiff on February 12, 2016.
Responses were thus due by March 16, 2016. Thereafter, counsel conferred regarding deposition
dates for Ms. Maxwell and two other witnesses. It was on February 20, 2016 that defense
counsel proposed that she could be available for Ms. Maxwell’s deposition in New York on
either March 24 or March 25, 2016, anticipating that discovery responses would timely be
provided 8-9 days prior to the deposition. Declaration of Laura A. Menninger In Support of
Motions (“Menninger Decl.”) Ex. E. The parties kept that date open, though Ms. Maxwell
repeatedly reiterated the need for a protective order prior to the deposition.
Three weeks passed, and it was not until March 8, that Plaintiff’s counsel wrote a letter
claiming that she would not be able to timely produce all responsive documents. In that letter,
she expressed her desire to produce documents on a “rolling basis,” to be completed on or about
April 15, 2016. Defense counsel responded saying that would be fine, however, Ms. Maxwell’s
deposition should then be postponed until after the document production was complete. Defense
counsel proposed dates as early as mid-April for the continued deposition. Menninger Decl.
Ex. I. Plaintiff disagreed and she filed a motion seeking permission from the Court to (a)
produce her documents over the course of a month but (b) keep Ms. Maxwell’s deposition on
March 25, 2016, despite her incomplete and untimely production, and incorrectly stating that Ms.
Maxwell had demanded she “cancel” her deposition. (Doc. # 59 at 3)
On March 16, 2016, Plaintiff served Response and Objections to Defendant’s First Set of
Discovery Requests and provided 3,190 pages of documents. The next day, argument was heard
by this Court concerning, inter alia, Plaintiff’s Motion for Leave to Serve Production on a
Rolling Basis. During that argument, Plaintiff’s counsel represented a number of times to this
Court the supposed breadth of her production the night before and minimized the number of
4
outstanding documents there remained to be produced. See Transcript of March 17, 2016
Hearing (“Tr.”) at 12:7-10 (“We produced 3,000 pages last night. We are continuing that
production. We are moving as fast as we can. We produced a privilege log with over 134
entries on it.”); id. at 15:21 (“Like I said, we produced 3,000 pages yesterday.”); id. at 17:5 (“I
produced 3,000 pages”). She also offered to produce any documents that she intended to “use”
at the March 25 deposition.
Counsel engaged in a conferral on March 21, 2016, regarding the deficiencies in
Plaintiff’s document production, the improper privileges and objections, and her incomplete Rule
26 disclosures. During conferral, Plaintiff’s counsel conceded that many of her objections and
assertions of privilege were improper and that her responses failed to adhere to Rule
34(b)(2)(C)’s requirement that she state whether she has withheld documents. Counsel for
Plaintiff stated she will “supplement” her Response and Objections and will provide numerous
additional documents in the coming days and weeks. As to other categories of documents,
Plaintiff demanded that she be provided with legal authority to support the request, and as to
others, she stated her need to confer with her client and her client’s other attorneys before even
knowing whether she had or could respond to the requests.
As of the date of this Motion, three days prior to the deposition, no additional documents
have been produced. Defense counsel will be traveling to New York tomorrow for the court
appearance on Thursday.
5
ARGUMENT
I. PLAINTIFF PROPOUNDED IMPROPER RESPONSES, OBJECTIONS AND
PRIVILEGES TO DEFENDANT’S DISCOVERY REQUESTS IN ORDER TO
AVOID TIMELY PRODUCING DOCUMENTS PRIOR TO DEFENDANT’S
DEPOSITION
Defendant’s First Set of Discovery Requests included 14 interrogatories and 37 document
requests. Because Plaintiff stated yesterday her intent to amend her Response & Objections and
to supplement her discovery, a Motion to Compel pursuant to Rule 37 is premature. However,
this Court can and should consider Plaintiff’s deficient Response & Objections in deciding
whether or not a deposition of Ms. Maxwell should proceed without the benefit of legally sound
and appropriate responses to interrogatories and document production.
A. Plaintiff interposed improper objections to – and failed to even answer most
– interrogatories.
Plaintiff requested of this Court leave to produce documents on a rolling basis. She made
no such request with respect to her Interrogatory Responses, and thus, one can presume, she
believes her Interrogatory Responses of March 16, 2016, to be complete. They are not.
The Responses are not signed by Plaintiff, nor are the Objections signed by Ms.
McCawley. See Rule 33(b)(5); Menninger Decl. at Ex. A. “The plaintiff apparently
misinterprets the Federal Rules as optional. They are not. Rule 33(b)(5) could not be more
clear: “The person who makes the answers must sign them, and the attorney who objects must
sign any objection. This requirement is critical because ‘interrogatories serve not only as a
discovery device but as a means of producing admissible evidence; there is no better example of
an admission of a party opponent, which is admissible because it is not hearsay, than an answer
to an interrogatory.’” Walls v. Paulson, 250 F.R.D. 48 (D.D.C. 2008) (sanctioning Plaintiff for
failure to sign interrogatories) (internal citations omitted).
6
Plaintiff refused to answer at all Interrogatory Nos. 5-14. Id. at 10-17. With respect to
Interrogatory Nos. 1-4, she gave incomplete and partial answers. Id. at 5-10. Her assertions of
privilege track the same nonsensical bases as she used in Response to the Requests for
Production of Documents, discussed more fully below.1 By way of example, again, she
propounds the same assertion of all possible privileges, and completely refuses to answer, in
response to Interrogatories seeking:
· Her and her attorneys’ communications with journalists, media organizations, and
publishers (Interrog. No. 5).
· Any employment she has had since 1996, including the names and contact
information for her employers, the dates of her employment, and her titles and
income from such employment (Interrog. No. 9).
· Income she has received apart from employment (Interrog. No. 10).
· Facts in support of her claims for lost wages (Interrog. No. 11).
· Her past and current treating physicians and psychiatrists (Interrog. No. 12, 13).
Most egregiously, Plaintiff refused to answer interrogatories which strike at the heart of
her allegations. Ms. Maxwell interposed Interrogatories concerning which “false statements”
attributed to Ms. Maxwell were “published globally” as contended in paragraph 9 of Count 1 of
the Complaint (Interrog. No. 6) and whether Plaintiff has been defamed by anyone other than
1 Plaintiff additionally asserts that no interrogatories are permitted pursuant to Local Rule 33.3
prior to the last 30 days of discovery. See Menninger Decl. Ex. A. Her objection is unfounded,
as defense counsel explained to her by letter of February 20, 2016. Id.at Ex. D. First, many of
the interrogatories sought, consistent with Local Rule 33.3(a), the names of witnesses and the
custodians of records, such as her treating physicians, her employers, her attorneys, as well as the
bases for her computation of damages, such as any employment income, non-employment
income and facts supporting her claim for lost wages. Second, Local Rule 33.3(b) authorizes,
“during discovery,” interrogatories which “are a more practical method of obtaining the
information sought than a request for production or deposition. The remainder of the
interrogatories propounded fall within this category – the kind of minutiae that Plaintiff is
unlikely to “recall” at the time of her deposition, such as all cellphone numbers she has used, the
dates she and her attorneys communicated with the media, etc. Plaintiff’s blanket assertion of
Local Rule 33.3 is clearly interposed in bad faith.
7
Ms. Maxwell (Interrog. No. 7). Both of these requests are standard requests in a defamation suit
and directly relate to the liability and damages claimed by Plaintiff. Plaintiff refused, claiming
the laundry-privilege list and stating that the “information is in the possession of Defendant who
has failed to comply with her production obligations.”
Likewise, Plaintiff refused to identify, in advance of Ms. Maxwell’s deposition or ever,
the individuals to whom Plaintiff claims Ms. Maxwell sexually trafficked her. Interrogatory No.
8 asked her to specify the individuals referred to generally in her Florida CVRA pleading that
were the supposed participants of the alleged sexual trafficking, “including numerous prominent
American politicians, powerful business executives, foreign presidents, a well-known Prime
Minister and other world leaders.” Plaintiff refused, claiming every applicable privilege, and
additionally “because naming some such individuals would jeopardize her physical safety based
on credible threats to the same (sic).” Menninger Decl. Ex. A at 12-13. Does that mean that
Plaintiff’s counsel does not intend to ask about these world leaders during Ms. Maxwell’s
deposition? Does it mean that Ms. Maxwell’s statements to the press that Plaintiff’s claims
regarding world leaders were “obvious lies” cannot be tested for their truth or falsity during this
litigation? Or by failing to name these individuals does Plaintiff seek to use the deposition as a
fishing expedition as to any famous person Ms. Maxwell has ever met?
Plaintiff has brought a lawsuit claiming her allegations about Ms. Maxwell are true, now
she doesn’t even want to say what her allegations are, or she wants to wait and try to conform her
proof to sometime after Ms. Maxwell is deposed. There is no excuse for these untimely,
improper and incomplete responses, and fairness dictates that the answers be provided in
advance of defendant’s deposition. Kolenc v. Bellizzi, No. 95 CIV. 4494 (LMM KNF), 1999 WL
8
92604, at *3 (S.D.N.Y. Feb. 22, 1999) (“Failure to respond timely to a party’s request for
documents results in a waiver of all objections which could have been seasonably asserted.”).
B. Plaintiff propounded inapplicable Privileges, Responses & Objections to the
Request for Production of Documents.
1. Plaintiff asserted inapplicable privileges.
As discussed during oral argument before this Court on March 17, Plaintiff’s counsel
interposed every single possible objection to every single discovery request, without regard to
whether that privilege was applicable to the specific request. Such a blanket objection amounts
to no objection at all. Johnson v. Kraft Foods North America, Inc., 236 F.R.D.535, 538 (D. Kan.
2006) (a general objection which objects to a discovery request “to the extent” it may apply is
tantamount to asserting no objection at all as it makes “no meaningful effort to show the
application of any such theoretical objection to any request for discovery.”). Plaintiff responded
to each and every of the thirty-seven (37) Requests for Production of Documents with the
following privilege assertion: “Ms. Giuffre objects to this request in that it seeks information
that is protected by the attorney-client, work product, joint defense, investigative, spousal and
other applicable privileges.” See Menninger Decl. Ex. A.2 Among the type of items to which
Plaintiff asserted these privileges:
· Request No. 9 – “Any Documents reflecting rental agreements or purchase
agreements for residential addresses identified by You in response to
Interrogatory No. 1.”
· Request No. 10 – “All Documents relating to Your Employment and/or
association with the Mar-A-Lago Club located in Palm Beach, FL, including any
application for Employment.”
2 Today at 3:15 p.m. EST, Plaintiff served “Supplemental Response and Objections to
Defendant’s First Set of Discovery Requests.” The new version does not indicate where, if any,
supplements were provided and a cursory review does not reveal any. Counsel will be prepared
to address at the argument on Thursday whether any of these additions alter the arguments
presented herein.
9
· Request No. 21 – “All Documents relating to Your driver’s license from 1998-
2002.”
· Request No. 22 – “A copy of Your marriage license(s) from 1999 to present.”
· Request No. 24 – “All Documents concerning Your employment in Australia,
including, but not limited to employment applications, pay stubs, Documents
reflecting Your Income including any tax Documents.”
There is simply no good faith basis to assert “attorney-client” or “work product” privileges to
documents such as a marriage license or employment records.
Plaintiff added equally non-applicable privileges to other of her responses. For example,
she claimed an “agency privilege,” “investigative privilege” and “accountant client privilege”
with respect to Request No. 13 – “All Documents concerning any allegations of theft by You
from the Roadhouse Grill in Palm Beach, Florida from 1999-2002.” A simple Westlaw search
for “agency privilege” in New York and in the Second Circuit did not reveal that one exists,
certainly not for an individual rather than an “agency”. Nor is an “investigative privilege” a
recognized privilege. See Lyman v. Felter, No. 1:12-CV-530 MAD/RFT, 2015 WL 1415270, at
*3 (N.D.N.Y. Mar. 26, 2015) report and recommendation adopted, No. 1:12-CV-530
MAD/DEP, 2015 WL 3549667 (N.D.N.Y. June 8, 2015) (chastising a pro se plaintiff for
assertion of non-applicable privileges such as the “investigative” privilege). Further, “New York
does not recognize an accountant-client privilege.” In re Waterscape Resort LLC, No. 11-11593
(SMB), 2014 WL 302856, at *3 (Bankr. S.D.N.Y. Jan. 28, 2014). But that did not stop Plaintiff
from asserting this privilege in response to a request for her tax returns, Request No. 14.
Because Plaintiff asserted privileges that do not exist under New York or federal law, and
asserted privileges that clearly do not apply to certain documents, her assertions cannot have
been propounded in good faith. See Jones v. J.C. Penny’s Dep’t Stores, Inc., 228 F.R.D. 190,
201 (W.D.N.Y. 2005) (concluding that the plaintiff and her attorney engaged in bad faith and
10
willful misconduct in conducting discovery, warranting sanctions, where, among other things,
counsel “merely asserted a general objection to the production [of a relevant] file based on the
attorney-client privilege lacking any colorable basis.”). Such improper assertions of privilege
amount to a waiver of any applicable privilege. SEC v. Yorkville Advisors, LLC, No. 12 Civ.
7728 (GBD)(HBP), 2015 WL 855796, at *1 (S.D.N.Y. Feb. 27, 2015) (holding that plaintiff’s
unjustified failure to serve indices of privileged documents in a timely and proper manner
operated as a waiver of any applicable privilege.)
2. Plaintiff interposed inapplicable objections.
Plaintiff also interposed equally inapplicable objections to her responses to document
requests. For example, Plaintiff asserted:
· Response to Requests No. 5, 7, 8, 21, 25 – “Ms. Giuffre objects to this request in
that documents responsive to this request are within the possession, custody and
control of the defendant and Jeffrey Epstein with whom she claims a joint defense
privilege and defendant has refused to produce responsive documents to Ms.
Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre.”
· Response to Request No. 6 - “Defendant has documents responsive to this request
that she should produce.”
· Response to Request No. 16, 28, 29, 30, 31, 32, 34 – “Ms. Giuffre objects to this
request to the extent it seeks proprietary and copyright protected materials.”
It is well-settled that a party may not object to a discovery request on the grounds that she
thinks the other party “already has the materials,” nor is there any legal authority for saying that
because a party thinks a third party has the same materials, they do not have to produce it and the
requesting party must secure them elsewhere. Nor does Plaintiff have a good faith basis to assert
a “copyright” or “proprietary protection” for her “diary, calendar and journal” that she sold to a
11
news organization, Radar Online,3 or a book deal that she is attempting to sell (or has sold) to a
publisher, regarding her allegations at issue in this Complaint. Resp. to Req. No. 32.
These responses, like Plaintiff’s assertions of privilege, were interposed in bad faith.
3. Plaintiff failed to state whether she was withholding documents
Rule 34(b)2)(C), as amended December 2, 2015, now requires that “an objection must
state whether any responsive materials are being withheld on the basis of that objection. An
objection to part of a request must specify the part and permit inspection of the rest.” Despite the
clear requirements of the rule, Plaintiff interposed numerous objections and then failed
repeatedly to state whether she was withholding any documents on the basis of any particular
objection or to permit discovery of the un-objected to portions of the request.
For example, in Response to Request No. 1, Plaintiff interposed objections based on
Local Rule 33.3, the numerous privileges listed above, the request was “overly broad,” “seeks to
invade the privacy rights of a sex abuse victims (sic),” and “is meant for the improper purpose of
harassing and intimidating this victim.” Then Plaintiff stated that “subject to the forgoing
objections,” she is producing 3,190 documents and will continue to supplement this production,
but “is withholding documents based on her objections.” Additionally adding to the confusion,
Plaintiff repeatedly states that she either “has produced non-privileged documents” or she “does
not have any non-privileged documents”, but fails to say whether she is withholding any
“privileged” documents, which Rule 34 clearly requires her to state. It is absolutely impossible
to tell from Plaintiff’s responses whether (a) she is persisting in any particular objection, (b)
3 Compare Response to Request No. 16 – “Any diary, journal or calendar concerning Your
activities between 1996-2002” with “Diary of Virginia Roberts Who Claims She Had Sex With
Prince Andrew Reveals Details,” Daily Mail.com (Jan. 13, 2015),
http://www.dailymail.co.uk/news/article-2908852/Teen-diary-belonging-woman-claimsunderage-
sex-Prince-Andrew-reveals-explicit-details-night-London.html (last accessed March
20, 2016).
12
persisting in any particular privilege, (c) she placed responsive documents on a privilege log, (d)
what grounds she asserts for withholding documents, and (e) which portion is being disclosed
and which portion withheld. See also Responses to Requests No. 2, 3, 4,
The Advisory Committee Notes reflecting the 2015 amendment to Rule 34 provide that
“[t]his amendment should end the confusion that frequently arises when a producing party states
several objections and still produces information, leaving the requesting party uncertain whether
any relevant and responsive information has been withheld on the basis of the objections.” Far
from ending the confusion, Plaintiff’s responses amplify it.
II. PLAINTIFF’S INTERROGATORY RESPONSES AND 3,190 PAGE
PRODUCTION CONTAINED ALMOST NONE OF THE REQUESTED
ANSWERS OR DOCUMENTS, INCLUDING KEY DOCUMENTS FOR THIS
CASE
Plaintiff stated over and over during Court that she had made a good-faith production of
thousands of pages of documents and therefore could be excused for not having timely produced
all of the requested documents, nor would Ms. Maxwell suffer prejudice in going forward with
her deposition in the absence of a timely production.
After having had a chance to review the 3,190 page document production, however, it is
clear that it contains almost none of the requested documents, but rather is filled with multiple
copies of a few lengthy deposition transcripts, pleadings in this case, and other similarly nonresponsive
documents. Plaintiff has simply inflated her document production to make it look
like she did a thorough job of reviewing and producing documents, when the opposite is true. To
wit:
· Juan Alessi deposition (139 pages), produced twice.
· Alfredo Rodriguez deposition (68 pages), produced thrice
· Palm Beach police reports (redacted), (89 pages), produced twice
13
· Sarah Kellen deposition (116 pages), produced once
· Nadia Marcincova deposition (50 pages), produced once
· Message book (185 pages)
· Flight logs (138 pages), produced twice
· Photos (21 pages), produced four times.
Thus, the same eight documents account for more than half of the total production.
More telling are the documents that Plaintiff failed to produce, including documents that
are key to this case. Plaintiff contends that Ms. Maxwell began her “campaign to discredit” her
following her December 30, 2014 pleading in the U.S. District Court in which she attempted to
join the Crime Victims’ Rights Act lawsuit there. Indeed, that is the pleading in which some of
Plaintiff’s most outlandish claims were first set forth, and that pleading preceded by three days
Ms. Maxwell’s denial of Plaintiff’s allegations. Yet Plaintiff has not even produced an
unredacted copy of the pleading setting forth her allegations about Ms. Maxwell. Instead, she
produced a redacted copy in which the allegations about Ms. Maxwell and the legions of famous
people to whom she claims Ms. Maxwell trafficked her are blacked out. They were blacked out
in response to Judge Marra’s Order which struck those allegations as “impertinent” but does
Plaintiff and her counsel not even possess an unredacted version? Plaintiff wants to take the
deposition of Ms. Maxwell concerning her denial of a statement that Plaintiff won’t even provide
in advance.
Other documents that Plaintiff has failed to timely produce include:
· Her own deposition testimony in the defamation suit between her counsel and
Alan Dershowitz, in which she no doubt discussed Ms. Maxwell
· Her fee agreements with her counsel
· Her communications with Mr. Epstein and with Ms. Maxwell
14
· Her employment records with Mar-A-Lago (which is where she claimed she met
Ms. Maxwell when she was 14, or 15 or 16, depending on her various versions of
events).
· Her education records (reflecting not only whether she was in school when she
was a 14-16 year old) but also reflective of her potential future earnings.
· Her travel records (which might help refute her claims that she was sexually
trafficking incidents abroad).
· Her confidential settlement agreement with Mr. Epstein.
Plaintiff now agrees that she will look for some of these documents and produce them at
some time in the future, presumably after her deposition of Ms. Maxwell.
III. PLAINTIFF FAILED TO TIMELY AND PROPERLY MAKE DISCLOSURES
PURSUANT TO FED. R. CIV. P. 26
As detailed in the simultaneously filed pleading, Plaintiff has failed to properly make
disclosures pursuant to Rule 26(a)(1). While these disclosures may not directly impact the
subject matter of Defendant’s depositions, they demonstrate the bad-faith of Plaintiff in fulfilling
her discovery obligations and also, ultimately, may likely impact the discovery deadlines that
have been set in this case.
Plaintiff’s argument to go forward on March 25, 2016, rather than some date in mid-April
after her own disclosures and discovery responses are complete, is due to the “looming” fact
discovery cut-off of July 1. Yet she has been denying Ms. Maxwell all the clearly disclosable
items that Ms. Maxwell is entitled to in order to defend her case – the computation of damages
and any supporting documentation, the names of medical professionals who can supposedly
verify her past and future medical treatment needs, her prior wages (if any), her bases for
claiming $30 million in non-economic damages. Plaintiff has admitted that some of the treating
professionals she will be relying on live in Australia but said she couldn’t understand why we
15
thought we would need to take their depositions or that it might be difficult to get those
depositions scheduled in the remaining 99 days of discovery.
To the extent Plaintiff complains of difficulties in completing discovery as the basis for
need to take Ms. Maxwell’s deposition on March 25 versus mid-April, the discovery deadlines
are equally problematic for Defendant to complete discovery based on Plaintiff’s lack of
diligence and forthrightness in providing proper Rule 26 disclosures.
IV. OTHER DISCOVERY ISSUES NOT YET RESOLVED INCLUDING PRIVILEGE
BEFORE THIS DEPOSITION
Based on this Court’s Order, Ms. Maxwell will be providing supplemental materials in
support of her claims of privilege within the two week deadline established by this Court.
Presumably there will be a ruling sometime shortly thereafter, and, should any additional
documents be disclosed to Plaintiff, she will not have had access to those records on March 25.
Similarly, Ms. Maxwell fully intends to submit a complete Motion to Compel regarding
Plaintiff’s deficient discovery responses should Plaintiff fail to withdraw improper objections
and privileges, comply with the requirement that she state whether she is withholding
documents, the deficiencies in Plaintiff’s privilege log, and her incomplete and non-responsive
Interrogatory responses.
V. PLAINTIFF’S DISCOVERY TACTICS DESIGNED TO AMBUSH DEFENDANT
AT HER DEPOSITION
Plaintiff has been litigating the matters in this case since 2009, with cadres of expensive
lawyers, and big law firms, behind her. Her lawyers have been working together to coordinate
her media strategy, to make book deals, to give on-air interviews about Plaintiff’s allegations,
securing hundreds of thousands of dollars in media-money. Ms. Maxwell has not. She has not
previously been a party to any criminal or civil litigation. Despite the years of litigation, here on
the eve of her deposition, Plaintiff and her counsel are still sitting on thousands of pages of
16
documents representing Plaintiff’s version of events, statements taken by witnesses,
communications to the press, which published false and defamatory statements about Ms.
Maxwell, and they have interposed baseless, frivolous and frankly sanctionable privileges,
discovery responses and have refused to even answer the most simple of interrogatories. Those
discovery requests were due on March 16, and Plaintiff knew when she proposed the deposition
date of March 25 that her discovery was due prior to that time. Three days before the deposition,
she still has not rendered answers or provided documents that go to the heart of this case – what
were her statements to the Florida court and to the press to which Ms. Maxwell was responding?
What statements were false? To whom did Ms. Maxwell supposedly sexually traffic her?
Plaintiff’s gamesmanship is clear: she wants to get Ms. Maxwell on a videotaped
deposition camera, show her documents that she has not had a chance to review either because
they were not produced or because they were produced so late in the day buried amidst
thousands of pages of meaningless discovery that her attorneys have not had the opportunity to
review and to refresh her recollection. Or Plaintiffs want to ask Ms. Maxwell questions about
events that occurred 17 years ago, while in possession of documents that would refresh her
recollection but not show those to her, so that they can later spring them on her at trial and ask
about her new refreshed memories.
This is a discovery ambush and the Court should not permit it, certainly not when the
discovery requests came first, and were propounded before the deposition date was set.
VI. PLAINTIFF WILL SUFFER NO HARM BY POSTPONING DEPOSITION FOR
2-3 WEEKS
Notably absent from any of Plaintiff’s pleadings or argument is the harm she would
suffer by having to wait 2-3 weeks for a deposition delay caused by her own lack of diligence in
17
producing interrogatory responses and documents. There is none. No other witnesses
depositions have now been scheduled, no other discovery requests are outstanding, no expert
disclosures have been made.
CONCLUSION
Plaintiff’s discovery responses are riddled with improper objections, non-existent
privileges, failures to respond, failures to follow the basic requirements of the Rules, and her
initial disclosures are the same. In a case where Plaintiff has made the most serious of
allegations against Ms. Maxwell, that she is a sexual abuser and trafficker, she should be held to
the requirements of the Rules of Civil Procedure. Allowing her to game the system, to sit on
responsive documents, to evade providing the very allegations that she has decried Ms. Maxwell
from denying, is to permit her the opportunity to try to game the system and ambush Ms.
Maxwell at her videotaped deposition. Particularly in the absence of any articulated harm to
postponing the deposition until she serves responsive answers, provides responsive documents
and withdraws frivolous objections, a delay of defendant’s deposition for a period of 2-3 weeks
will serve the interests of justice and fairness as well as the spirit of the Rules of Civil Procedure.
18
Dated: March 22, 2016
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorney for Ghislaine Maxwell
19
CERTIFICATE OF SERVICE
I certify that on March 22, 2016, I electronically served this MOTION FOR PROTECTIVE
ORDER REGARDING DEFENDANT’S DEPOSITION with the clerk of the court using the
CM/ECF system which will send notification to all counsel of record including the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
/s/ Nicole Simmons
EXHIBIT D
Case 1:15-cv-07433-LAP Document 65-4 Filed 03/22/16 Page 1 of 3
Case 1:15-cv-07433-LAP Document 65-4 Filed 03/22/16 Page 2 of 3
Case 1:15-cv-07433-LAP Document 65-4 Filed 03/22/16 Page 3 of 3
EXHIBIT E

EXHIBIT F

EXHIBIT G

EXHIBIT H

1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF, VIRGINIA GIUFFRE’S RESPONSE IN OPPOSITION TO DEFENDANT’S
MOTION FOR PROTECTIVE ORDER REGARDING DEPOSITION OF DEFENDANT
BOIES, SCHILLER & FLEXNER LLP
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES.......................................................................................................... ii
I. PRELIMINARY STATEMENT ............................................................................................1
II. ARGUMENT .........................................................................................................................2
A. All Of Defendant’s Interrgatories Seek Information Beyond The Scope Permitted
Under Rule 33.3.............................................................................................................8
B. Interrogatory Nos. 6, 8, And 11 Are Premature Contention Interrogatories. ..............10
CONCLUSION .............................................................................................................................11
ii
TABLE OF AUTHORITIES
Page
Cases
Ferguson v. Ferrante,
No. 13 CIV 4468 VEC, 2014 WL 1327968 (S.D.N.Y. Apr. 3, 2014) .........................................9
In re Payment Card Interchange Fee & Merch. Dis.,
No. MD-05-1720 (JG)(JO), 2007 WL 121426 (E.D.N.Y. Jan. 12, 2007)....................................5
J. Goldman & Co., L.P. v. Kowal,
96 CIV. 7868 DAB HBP, 1997 WL 452332 (S.D.N.Y. Aug. 8, 1997) .......................................8
Kunstler v. City of New York,
No. 04CIV1145(RWS)(MHD), 2006 WL 2516625 (S.D.N.Y. Aug. 29, 2006) ......................8, 9
Labarbera v. Ulster Cty. Soc'y for Prevention of Cruelty to Animals,
277 A.D.2d 672, 673, 716 N.Y.S.2d 421, 422 (N.Y. App. Div. 2000) ........................................3
Liveperson, Inc. v. 24/7 Customer, Inc.,,
No. 14 CIV. 1559 RWS, 2015 WL 4597546 (S.D.N.Y. July 30, 2015) ....................................10
Matter of Klein v. Lake George Park Commn.,
261 A.D. 2d 774, 689 N.Y.S.2d 782 (N.Y. App. Div. 1999) .......................................................3
Nunez v. City of New York,
No. 04CIV1145(RWS)(MHD), 2006 WL 2516625 (S.D.N.Y. Aug. 29, 2006) ..........................9
Regeneron Pharm, Inc. v. Merus B.V.,
No 14 CIV. 1650 KBF, 2014 WL 2447600 (S.D.N.Y. May 29, 2014) .....................................10
Shannon v. New York City Transit Auth.,
No. 00 Civ. 5079, 2001 U.S. Dist. LEXIS 3162 (S.D.N.Y. Mar. 22, 2001) ..............................10
Trilegian Corp. v. Sitel Corp.,
272 F.R.D. 360 (S.D.N.Y. 2010)................................................................................................10
Statutes
Fed. R. Civ. Proc. 26 .......................................................................................................................7
Fed. R. Civ. Proc. 33.3 ....................................................................................................................4
Fed. R. Civ. Proc. 34 ..............................................................................................................passim
1
Plaintiff Virginia L. Giuffre, by and through undersigned counsel, respectfully submits this
Response in Opposition to Defendant’s Motion for Protective Order Regarding Defendant’s
Deposition [D.E. 63]. For the reasons set forth below, this Court should deny Defendant’s motion
in its entirety.
I. PRELIMINARY STATEMENT
Unfortunately, even after the Court’s strong words to the parties at the hearing last
Thursday, March 17, 2016, Defendant continues to misrepresent basic facts in an effort to
wrongfully postpone the deposition of the Defendant in this case. The facts are that Plaintiff
issued a formal Notice of Deposition to the Defendant on February 2, 2016, well before Defendant
issued her first set of discovery requests. Allowing the Defendant to dictate when she is deposed
based on her dilatory discovery practices turns the Rules of Civil Procedure on their head. If this
were the rule, then a defendant could continuously issue discovery requests to a plaintiff in order
to postpone being deposed until the close of discovery. Such a ridiculous result is not
contemplated by the Federal Rules of Civil Procedure.
More importantly, Defendant can claim no prejudice here because, as Plaintiff agreed to do
at the hearing last Thursday, Plaintiff has provided the Defendant with a list of all the documents
Plaintiff intends to use at the deposition on Friday, March 25, 2016, along with all the
documents. See Declaration of Sigrid McCawley (“McCawley Decl.”) at Exhibit 1, March 22,
2016 correspondence listing documents to be used at deposition.
The parties participated in a meet and confer on Monday, March 21, 2016, that lasted close
to two hours, during which Plaintiff made a number of concessions in order to avoid additional
and unnecessary motion practice with this Court. Despite this, Defendant persists in trying to
create issues with Plaintiff’s discovery production and responses. Plaintiff served discovery
requests back in October - four months ago - which still have not been properly responded to. At
2
a minimum, she should be entitled to move discovery forward by taking the deposition of the
Defendant. Indeed Local Rule 33.3 provides that rather than serving interrogatories, the parties
should press discovery forward by seeking information through depositions. That is exactly what
the Plaintiff is trying to do here and she is being stonewalled. Critical to this case is whether the
Defendant is going to answer questions about her involvement in the alleged sexual trafficking
and abuse of females or whether she is going to invoke her Fifth Amendment rights. Plaintiff
should be entitled to answers, by way of a deposition, in order to shape her discovery going
forward in this case. Discovery closes in three months and Plaintiff has not yet been able to
depose the Defendant. That is simply wrong.
Defendant, who has only produced two e-mails in response to Plaintiff’s thirty-nine (39)
discovery requests now complains that Plaintiff produced too many documents in response to
Defendant’s expansive discovery requests. If Defendant did not want to receive responsive
documents of that magnitude, she should have narrowly tailored her discovery requests. In fact, if
anyone should be complaining about prejudice, it should be the Plaintiff who has only received
two documents in Defendant’s discovery production. There is absolutely no valid reason that
Defendant’s deposition should be postponed.
ARGUMENT
Despite engaging in a lengthy meet and confer call during which Plaintiff made a number
of concessions in an effort to move this case forward, Defendant filed this baseless motion without
acknowledging any of those concessions and instead relying on Plaintiff’s original response,
instead of her supplemental response, in an effort to convince the Court to postpone the
Defendant’s deposition. Defendant misrepresents Plaintiff’s discovery in this case in the
following ways:
3
· Defendant’s Position: Defendant says Plaintiff lodged baseless objections and is
withholding documents.
· Reality: Plaintiff produced non-privileged documents without withholding anything,
except pictures of her minor children, in response to 34 of the 37 document requests and
thus far has produced 4,134 pages of documents.
· Defendant’s Position: Defendant says Plaintiff should not have listed certain objections
like “agency” or “investigative privilege.”
· Reality: Plaintiff agreed during the meet and confer to revise, and did in fact revise, her
objections to narrow her objections and they now mirror exactly the Defendant’s privilege
objections. Thus, Defendant has no basis for complaint. See McCawley Decl. at Exhibit 2,
Plaintiff’s Supplemental Responses and Objections to Defendant’s First Set of Discovery
Requests to Plaintiff. Plaintiff has asserted the “public interest privilege” to protect
information she has regarding ongoing criminal investigations regarding the Defendant’s
alleged sexual abuse. New York law “recognizes a public interest privilege which shields
from disclosure information received by governmental entities where the public interest
requires that such communications, or the sources thereof, should be kept confidential and
not subject to the normal, liberal discovery rules.” Labarbera v. Ulster Cty. Soc'y for
Prevention of Cruelty to Animals, 277 A.D.2d 672, 673, 716 N.Y.S.2d 421, 422 (N.Y.
App. Div. 2000) (citing Matter of World Trade Ctr. Bombing Litig., 93 N.Y.2d 1, 8, 686
N.Y.S.2d 743, 709 N.E.2d 452 (N.Y. 1999); Matter of Klein v. Lake George Park Commn.,
261 A.D.2d 774, 689 N.Y.S.2d 782 (N.Y. App. Div. 1999)).
· Defendant’s Position: Defendant says Plaintiff should not reference in her objection that
the Defendant has in its possession, custody and control the information being requested.
4
· Reality: Plaintiff preserved her objections because if Defendant had timely produced
documents in this case, Plaintiff would have the material necessary to respond to the
discovery request. There is no prejudice in asserting this objection because Plaintiff did
not withhold documents based on this objection.
· Defendant’s Position: Defendant complains that Plaintiff asserted a copyright protection.
· Reality: Plaintiff did not withhold any documents based on her copyright protection
assertion, but rather she marked any copyright material as such to preserve her rights, as
she is entitled to do.
· Defendant’s Position: Defendant wrongly states that Plaintiff failed to state whether she
was withholding documents.
· Reality: Plaintiff could not have been clearer – in accordance with Rule 34(b)(2)(c),
Plaintiff clearly stated when she was withholding documents. For the small amount of
documents she did withhold, she plainly stated that she is “withholding documents based
on her objections.” Due to the concerns Defendant raised at the meet and confer about
Defendant’s apparent confusion, Plaintiff went a step further and revised her answers to
mirror the language that the Defendant used when she was withholding a documents. See
McCawley Decl. at Exhibit 3, Original Responses and Objections, and Exhibit 4
Supplemental Responses and Objections. Accordingly, there is no way Defendant can
claim confusion.
· Defendant’s Position: Defendant, who only produced two emails in this case, complains
that Plaintiff produced duplicate documents in her production of documents.
· Reality: In accordance with her obligations when dealing with electronic discovery,
Plaintiff retained an electronic discovery and litigation support firm, Rational Retention, to
assist with the forensic searching and producing of responsive electronic files in this case.
5
Rational Retention performed, as part of their contract, de-duping services, which
eliminates duplicates. See McCawley Decl. at Exhibit 5, Affidavit of Robert Conley from
Rational Retention. As with any electronic discovery production, a document may appear
to be a “duplicate” but if it has different metadata it must be produced. Defendant’s
misguided argument that Plaintiff has artificially inflated the volume of her document
production by producing “duplicate” documents reveals a misunderstanding of basic
electronic discovery law and practices. Plaintiff utilized an electronic deduplication
process prior to production. True duplicates were eliminated from the production.
However, even documents that look alike contain different metadata. Any variance in
metadata from document-to-document renders documents non-duplicative, even if they
appear identical on their face. As courts in the Second Circuit has instructed, metadata is
different for each document, but it may not show up when the documents are reduced to
print. See In re Payment Card Interchange Fee & Merch. Disc., No. MD 05-1720(JG)(JO),
2007 WL 121426, at *1 (E.D.N.Y. Jan. 12, 2007) (“metadata (that is, data about data; in
this context, information about an electronically stored document that may or not be visible
if the document is reduced to printed form)”). Defendant served incredibly broad requests
and is now complaining about the results they yielded. Defendant’s complaint about
duplicates should be rejected because if a document is produced in a particular context, for
example in a different litigation, and that was covered by a request, it was reproduced so
that Defendant would have the exact information that satisfied her request. Moreover,
there is no prejudice to Defendant in receiving a duplicate copy of a document.
· Defendant’s Position: Defendant argues that Plaintiff has failed to produce certain
documents so she would be prejudiced by her deposition going forward on Friday, March
25, 2016.
6
· Reality: There is no prejudice to Defendant because, on March 22, 2016, Ms. Giuffre
produced and provided to Defendant a list of all the documents she may use at the
deposition as well as all of those documents.
o Defendant wrongfully states that Plaintiff has not produced travel records when she
has indeed produced travel records.
o Defendant wrongfully states that Plaintiff has not produced education records,
when she has indeed produced everything she has relating to education.
o Defendant wrongfully states that Plaintiff has not produced her communications
with Epstein and Maxwell when she has indeed produced everything she has
relating to those communications.
o Defendant complains that Plaintiff has not produced “employment records for Mara
Lago” but Plaintiff’s search did not yield any responsive documents, and she stated
that in her responses.
o Defendant wrongfully states that Plaintiff will not produce a copy of her settlement
agreement with Epstein when in fact, Plaintiff agreed to produce the settlement
agreement upon receipt of the necessary waiver from Defendant and Epstein so she
will not be in violation of its confidentiality provision. See McCawley Decl. at
Exhibit 2, Supplemental Responses and Objections.
o Defendant wrongfully states that Plaintiff has not produced a deposition transcript
from the case of Edwards/Cassell v. Dershowitz, Case no. CACE 15-000072, when
Defendant knows that Plaintiff is precluded from producing the transcript as it has
been sealed by the Court in that matter, and Ms. Giuffre produced to Defendant a
copy of the order sealing it.
o Most importantly, none of these issues preclude the Defendant from being deposed
in this case.
· Defendant’s Position: Defendant argues that Plaintiff failed to make timely Rule 26
disclosures. Defendant admits it is wasting the Court’s time by stating: “[w]hile these
disclosures may not directly impact the subject matter of Defendant’s deposition, they
demonstrate the bad-faith of Plaintiff fulfilling her discovery obligations, and also,
ultimately may likely impact the discovery deadlines that have been set in this case.”
(Def’s MPO at 14.) Defendant is throwing everything but the kitchen sink at the Court in
the desperate attempt to avoid discovery by way of a deposition in this case.
7
· Reality: Plaintiff filed her initial Rule 26 disclosures on November 11, 2015 in accordance
with the Rules. Defendant delayed four months until February 2016 before submitting her
initial Rule 26 disclosures. Plaintiff supplemented her Rule 26 disclosures on March 11,
2016 and added an addendum of information requested during the meet and confer on
March 22, 2016. Ms. Giuffre has fully complied with her Rule 26 obligations, as fully
briefed in her Response In Opposition to Defendant’s Motion to Compel Plaintiff to
Disclose Pursuant to Fed. R. Civ. P. 26(a)(1). See McCawley Decl. at Exhibit 6, March 20,
2016 Correspondence from Sigrid McCawley to Defendant’s counsel.
· Defendant’s Position: Defendant says Plaintiff has wrongfully objected to interrogatories.
· Reality: Local Rule 33.3 is clear that Defendant’s interrogatories are premature at this
stage of the litigation and in violation of that Rule. Rule 33.3 provides:
(a) Unless otherwise ordered by the Court, at the commencement of discovery,
interrogatories will be restricted to those seeking names of witnesses with knowledge of
information relevant to the subject matter of the action, the computation of each category
of damage alleged, and the existence, custodian, location and general description of
relevant documents, including pertinent insurance agreements, and other physical
evidence, or information of a similar nature.
(b) During discovery, interrogatories other than those seeking information described in
paragraph (a) above may only be served (1) if they are a more practical method of
obtaining the information sought than a request for production or a deposition, or (2) if
ordered by the Court.
(c) At the conclusion of other discovery, and at least 30 days prior to the discovery cut-off
date, interrogatories seeking the claims and contentions of the opposing party may be
served unless the Court has ordered otherwise.
S.D.N.Y. Civil R. 33.3.
Defendant’s interrogatories seek information far beyond the scope of information specified
in subparagraph (a) and Defendant has not demonstrated that these interrogatories are a more
practical method of obtaining the requested information. See McCawley Decl. at Exhibit 7,
Correspondence requesting Defendant’s counsel withdraw her premature Interrogatories.
8
Additionally, several of Defendant’s interrogatories are contention interrogatories, which
subparagraph (c) makes clear are improper and premature at this early stage of discovery.
A. Defendant’s interrogatories seek information beyond the scope permitted under
Rule 33.3.
Rule 33.3 limits interrogatories at the outset of discovery “to requests for witness names,
computation of damages, and the location, custodian and general nature of pertinent documents.”
Kunstler v. City of New York, No. 04CIV1145(RWS)(MHD), 2006 WL 2516625, at *5 (S.D.N.Y.
Aug. 29, 2006) aff'd, 242 F.R.D. 261 (S.D.N.Y. 2007) (Sweet, J.) (citing S.D.N.Y. Civil R. 33.3(a)
& (b)). These limits are to be enforced unless (1) interrogatories “are a more practical method of
obtaining the information sought than a request for production or a deposition, or (2) if ordered by
the court.” Id.
Defendant’s Interrogatories seek information that does not fall into those exceptions. The
requested information includes descriptions of medical treatment (Nos. 12-13) and employment
records (No. 9); details and descriptions regarding income Ms. Giuffre has received over a period
of 20 years (No. 10); information about Ms. Giuffre’s email and social media accounts (No. 2);
descriptions of “the nature” of legal representation that Ms. Giuffre received (No. 3); details and
descriptions concerning specific communications (Nos. 4-5), details about other incidents of
defamation not at issue in this case (No. 7); and details concerning incidents of sexual assaults
(No. 14). Defendant claims that “many of the interrogatories sought, consistent with Local Rule
33.3(a), seek the names of witnesses and the custodians of records,” (Def’s MPO at FN 1). That
does not excuse her violation of the rule since each interrogatory seeks far more than the
identification of a name. J. Goldman & Co., L.P. v. Kowal, No. 96 CIV. 7868 DAB HBP, 1997
WL 452332, at *1 (S.D.N.Y. Aug. 8, 1997) (“To the extent the interrogatories seek information
beyond the identification of persons and transactions, depositions are more practical vehicles for
obtaining the information.”).
9
The information that Defendant’s interrogatories seek can be obtained more practically
through other discovery methods. For instance, the information that Defendant seeks concerning
Ms. Giuffre’s medical and employment histories and sources of income can be obtained more
practically by deposing her and through issuing requests for production. See Kunstler, 2006 WL
2516625, at *5 (denying defendants' request to compel response to interrogatory because
“descriptions of the nature and extent of injuries, medical diagnoses, the course of treatment, and
prescriptions are ordinarily more efficiently obtained through the production of pertinent medical
records and through depositions” and thus exceed the scope of Local Civil Rule 33.3); Ferguson v.
Ferrante, No. 13 CIV. 4468 VEC, 2014 WL 1327968, at *2 (S.D.N.Y. Apr. 3, 2014) (finding that
request for identifying information of certain bank accounts could be more efficiently obtained
from plaintiff at a deposition rather than through interrogatories); Nunez v. City of New York, No.
11 CIV. 5845 LTS JCF, 2013 WL 2149869, at *8 (S.D.N.Y. May 17, 2013) (denying motion to
compel response to interrogatory seeking information about plaintiff’s injuries and medical
treatment because requests exceeded the scope of interrogatories permitted by Rule 33.3). As in
the cases cited, the information that Defendant seeks regarding specific incidents and
communications are more properly obtained through deposition testimony or document requests.
In an attempt to justify her clear contravention of Rule 33.3, Defendant asserts that her
interrogatories seek “the kind of minutiae that Plaintiff is unlikely to ‘recall’ at the time of her
deposition.” (Def’s MPO at FN 1.) However, to date, Defendant has yet to take a single
deposition in this case. Moreover, Defendant did not serve her first request for production until
February 12, 2016, and the production in response to those requests is ongoing. Thus, her
conclusory claim that “the remainder of interrogatories propounded” are “a more practical method
of obtaining the information sought than a request for production or deposition,” id., is purely
speculative and without any basis. For example, Ms. Giuffre has produced medical records, and
10
will produce more, that will satisfy Interrogatory No. 9. At this early stage in discovery,
Defendant has not and cannot justify interrogatories as a more practical way of obtaining the
breadth of information requested in her interrogatories.
B. Interrogatory Nos. 6, 8, And 11 Are Premature Contention Interrogatories.
In addition to seeking information outside the scope permitted under Rule 33.3(a),
Interrogatories Nos. 6, 8 and 11 are contention interrogatories, which seek identification of Ms.
Giuffre’s claims and the facts underlying them. For instance, Interrogatory No. 6 directs Ms.
Giuffre to “[i]dentify any ‘false statements’ attributed to Ghislaine Maxwell which were
‘published globally’ … as You contend in … Your Complaint[.]” Interrogatory No. 8 directs Ms.
Giuffre to identify, among other things, the dates, locations, and witnesses to Mr. Epstein’s sexual
trafficking of Ms. Giuffre described in pleadings that Ms. Giuffre has filed in another action.
Local Rule 33.3(c) clearly proscribes contention interrogatories such as these until “the
conclusion of other discovery.” S.D.N.Y. Civil R. 33.3(c); see also Liveperson, Inc. v. 24/7
Customer, Inc., No. 14 CIV. 1559 RWS, 2015 WL 4597546, at *7 (S.D.N.Y. July 30, 2015)
(Sweet, J.) (noting that “contention interrogatories” are “available at the close rather than the
beginning of discovery”). In applying this rule, this Court has found that contention
interrogatories are improper when served early in discovery, before any depositions have been
taken. Shannon v. New York City Transit Auth., No 00 Civ. 5079, 2001 U.S. Dist. LEXIS 3162, at
*9-10 (S.D.N.Y. Mar. 22, 2001) (Sweet, J.)(denying motion to compel responses to contention
interrogatories where the only discovery that had occurred to date was document discovery and
depositions had yet to be conducted); see also Regeneron Pharm., Inc. v. Merus B.V., No. 14 CIV.
1650 KBF, 2014 WL 2447600, at *3 (S.D.N.Y. May 29, 2014) (denying party’s motion to compel
responses to contention interrogatories at early stage in discovery); Trilegiant Corp. v. Sitel Corp.,
272 F.R.D. 360, 367 (S.D.N.Y. 2010) (same).
11
Defendant was not entitled to serve improper and premature interrogatories in clear
violation of Local Rule 33.3, and Ms. Giuffre was under no obligation to respond. While
Defendant has elected to ignore the limitations in Rule 33.3, Ms. Giuffre has complied with the
terms of the rule and, to date, has not served any interrogatories whatsoever. Moreover, Ms.
Giuffre provided responses to some of Defendant’s interrogatories, subject to objections, and
despite the fact that she was not required to do so. Defendant’s attempt to base her Motion for a
Protective Order on interrogatory responses is in direct violation of Local Rule 33.3 and should be
denied.
CONCLUSION
For the reasons set forth above, Ms. Giuffre respectfully requests that the Court deny
Defendant’s Motion for Protective Order and direct Defendant to sit for her deposition scheduled
for March 25, 2016.
Dated: March 23, 2016 Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
12
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 23, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
Jeffrey S. Pagliuca, , Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
Email: jpagliuca@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF PLAINTIFF VIRGINIA
GIUFFRE’S RESPONSE IN OPPOSITION TO DEFENDANT’S MOTION FOR
PROTECTIVE ORDER REGARDING DEFENDANT’S DEPOSITION
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Response in Opposition to Defendant’s Motion for Protective Order Regarding Defendant’s
Deposition [D.E. 63].
3. Attached hereto as Exhibit 1, is a true and correct copy of Sigrid McCawley’s
March 22, 2016 Correspondence.
4. Attached hereto as Exhibit 2, is a true and correct copy of Plaintiff’s
Supplemental Responses and Objections to Defendant’s First Set of Discovery Requests.
5. Attached hereto as Exhibit 3, is a true and correct copy of Plaintiff’s original
Responses and Objections to Defendant’s First Set of Discovery Requests dated March 16, 2016.
2
6. Attached hereto as Exhibit 4, is a true and correct copy of the Affidavit of Robert
Conley from Rational Retention.
7. Attached hereto as Exhibit 5, is a true and correct copy of Sigrid McCawley’s
March 20, 2016 Correspondence to Defendant’s Counsel.
8. Attached hereto as Exhibit 6, is a true and correct copy of Sigrid McCawley’s
February 19, 2016 Correspondence to Defendant’s Counsel.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley______
Sigrid S. McCawley, Esq.
3
Dated: March 23, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on March 23, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
Jeffrey S. Pagliuca, , Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
Email: jpagliuca@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
EXHIBIT 1
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EXHIBIT 2
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1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S AMENDED SUPPLEMENTAL RESPONSE AND OBJECTIONS
TO DEFENDANT’S FIRST SET OF DISCOVERY REQUESTS TO PLAINTIFF
Plaintiff hereby serves her amended supplemental responses and objections to
Defendant’s First Set of Discovery Requests.
GENERAL OBJECTIONS
Defendant’s First Set of Discovery Requests violates Local Civil Rule 33.3. Defendant
has served interrogatories that are in direct violation of that Rule because the interrogatories are
not “restricted to those seeking names of witnesses with knowledge of information relevant to
the subject matter of the action, the computation of each category of damage alleged, and the
existence, custodian, location and general description of relevant documents, including pertinent
insurance agreements, and other physical evidence, or information of a similar nature.” Local
Civil Rule 33.3(a). Instead, they seek information under subsections (b) and (c) of Local Civil
Rule 33.3, and therefore, they should not be served because they are not “a more practical
method of obtaining the information sought than a request for production or a deposition,” and
because they were served in advance of the period “30 days prior to the discovery cut-off date.”
Local Civil Rule 33.3(b), (c). The interrogatories you served violate Local Rule 33.3 and we ask
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 2 of 45
2
that you immediately withdraw those interrogatories. See Rule 33.3, Local Rules for the
Southern District of New York; see also Shannon v. New York City Transit Auth., No. 00 CIV.
5079 (Sweet, J.), 2001 WL 286727, at *3 (S.D.N.Y. Mar. 22, 2001); accord Gary Friedrich
Enterprises, LLC v. Marvel Enterprises, Inc., No. 08 CIV. 1533 BSJ JCF, 2011 WL 1642381, at
*4 (S.D.N.Y. Apr. 26, 2011). Specifically, Rule 33.3 provides:
(a) Unless otherwise ordered by the Court, at the commencement of discovery,
interrogatories will be restricted to those seeking names of witnesses with
knowledge of information relevant to the subject matter of the action, the
computation of each category of damage alleged, and the existence, custodian,
location and general description of relevant documents, including pertinent
insurance agreements, and other physical evidence, or information of a similar
nature.
(b) During discovery, interrogatories other than those seeking information described
in paragraph (a) above may only be served (1) if they are a more practical method
of obtaining the information sought than a request for production or a deposition,
or (2) if ordered by the Court.
(c) At the conclusion of other discovery, and at least 30 days prior to the discovery
cut-off date, interrogatories seeking the claims and contentions of the opposing
party may be served unless the Court has ordered otherwise.
Similarly, Requests for Production numbers 1, 2, 4, 6(i), 9, 12, 30, 35 and 37 also violate
Local Rule 33.3 in that they rely on the offending interrogatory requests. The Rule provides that
a party must first try to obtain discovery through document production and testimony. Discovery
does not close in this case until July 1, 2016, and Defendant has not yet noticed a deposition. As
such, these interrogatories violate Local Rule 33.3 and are premature.
Defendant’s First Set of Discovery Requests also violates Rule 33, Fed. R. Civ. P., which
provides “a party may serve on any other party no more than 25 interrogatories, including all
discrete subparts” – in that Defendant has served a total of 59 interrogatories, including subparts,
in violation of Rule 33. We ask that you immediately withdraw those interrogatories that exceed
the 25 interrogatory limit set by Rule 33.
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 3 of 45
3
Ms. Giuffre objects to Defendant’s First Set of Discovery Requests to the extent they
seek information that is protected by any applicable privilege, including but not limited to,
attorney client privilege, work product privilege, joint defense/common interest privilege, public
interest privilege, and any other applicable privilege.
Ms. Giuffre objects to the requests to the extent Defendant’s First Set of Discovery
Requests call for the production of documents or information that is already in the possession,
custody, or control of the Defendant. Ms. Giuffre further objects to the requests to the extent that
Defendant’s First Set of Discovery Requests is duplicative of documents and information that
can equally or more readily be obtained by the Defendant.
Ms. Giuffre objects to the requests to the extent that they seek documents that are not
relevant, material, or necessary to this action and, thus, are not reasonably calculated to lead to
the discovery of admissible evidence. Many of the requests in the Defendant’s First Set of
Discovery seek documents that are in no way limited to their relation to this case. Indeed, they
seek documents that are not important to resolving the issues; documents that are not relevant to
any party’s claim or defense; and documents that are not proportional to the needs of the case.
Such requests create a heavy burden on Ms. Giuffre that outweighs any benefit. Such discovery
is prohibited by the Federal Rules of Civil Procedure, particularly under the 2015 amendments to
Rule 26(b)(1), Fed. R. Civ. P., and is wholly inappropriate.
Ms. Giuffre objects to the requests to the extent that they are overly broad and unduly
burdensome, as individually logging all privileged responsive documents would be overly
burdensome. Plaintiff contends that requests targeting such privileged information are overly
broad under Rule 26(b)(1), Fed. R. Civ. P. Specifically, Ms. Giuffre objects to the requests as
overly burdensome to the extent that they would require logging voluminous and ever-increasing
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 4 of 45
4
privileged communications between Ms. Giuffre and her counsel after the date litigation
commenced on September 21, 2015. Ms. Giuffre objects to the requests as overly burdensome to
the extent that they would require logging voluminous privileged documents between Ms.
Giuffre and her counsel related to Jane Doe #1 and Jane Doe #2 v. United States, Case no. 08-
80736-CIV-Marra, pending in the Southern District of Florida; Bradley Edwards and Paul
Cassell v. Alan Dershowitz, Case no. CACE 15-000072, pending in the Seventeenth Judicial
Circuit, Broward County, Florida; and Jane Doe No. 102 v. Jeffrey Epstein, Case No. 09-80656-
CIV-Marra/Johnson (Southern District of Florida). Accordingly, due the undue burden of
individually logging responsive privileged documents related to Defendant’s overly broad
requests, Plaintiff has employed categorical logging of such privileged responsive documents
pursuant to Local Civil Rule 26.2(c).
Ms. Giuffre objects to the requests in that they seek to invade her privacy for the sole
purpose of harassing and intimidating Ms. Giuffre who was a victim of sexual trafficking. Ms.
Giuffre objects to the requests to the extent they are overly broad and unduly burdensome.
Ms. Giuffre objects to Defendant’s definition of “your attorneys” because it includes
names of attorneys that do not represent her, including Spencer Kuvin and Jack Scarola.
Ms. Giuffre’s responses to Defendant’s First Set of Discovery Requests are being made
after reasonable inquiry into the relevant facts, and are based only upon the information and
documentation that is presently known to her. Ms. Giuffre reserves the right to modify and/or
supplement her responses. Ms. Giuffre is producing documents and information herewith, and
she will continue to review and produce relevant documents until completion.
Ms. Giuffre incorporates her above-listed general objections in the responses herein.
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 5 of 45
5
INTERROGATORIES
1. State:
a. Your present residential address;
b. Each residential address You have had since 1998, including any
residential treatment facilities;
c. the dates You lived at each address;
d. the other Persons who lived with You at each address and for what period
of time they lived at such address.
Response to Interrogatory One:
Ms. Giuffre objects to this interrogatory in part because it violates Rule 33.3. Ms.
Giuffre objects to this interrogatory in that it seeks information that is sought by Defendant only
to harass and intimidate Ms. Giuffre who was a victim of sexual trafficking. Per the Plaintiff’s
First Responses and Objections, and per our representations during the March 21, 2016 meet and
confer phone call, we are working diligently to find information to supplement the below
information with regard to address and dates, and once that information is obtained, Plaintiff will
serve supplemental responses. Additionally, per the March 21, 2016 meet and confer phone call,
we are addressing with the Plaintiff whether she will reveal here address to Defendant’s counsel
confidentially and we will update you with her response.
a. Due to safety concerns with respect to Ms. Giuffre and her minor children,
she is not at liberty to reveal her present residential location. To ensure that
Defendant is not prejudiced by the failure to provide information about Ms.
Giuffre’s specific residential location, Ms. Giuffre agrees to have her
attorney’s accept service on her behalf of any necessary communication or
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 6 of 45
6
filings in this matter to be addressed to: Sigrid McCawley, Esq. Boies
Schiller & Flexner LLP, 401 East Las Olas Blvd., Suite 1200, Fort
Lauderdale, FL 33316.
b. Ms. Giuffre can recall living at the following addresses during the period of
1998 to the present. Ms. Giuffre may have lived at other locations for which
she does not presently have the address. Ms. Giuffre is providing the
information she has presently to the best of her recollection and review of
documents and will supplement to the extent she obtains additional
information responsive to this interrogatory.
c. Ms. Giuffre believes she has lived at the following residences:
· In January 1998, Ms. Giuffre was 14 years old. Ms. Giuffre recalls
one facility named “Growing Together” that was located in or around
Palm Beach, but she does not recall the dates when she resided at the
facility.
· From 1999-2002, Ms. Giuffre lived and travelled with Jeffrey
Epstein and stayed at his various mansions in New York (9 E.
71st Street, New York, NY 10021-4102), Palm Beach (358 El
Brillo Way, Palm Beach, Florida 33480, New Mexico (Zorro
Ranch, 49 Zorro Ranch Rd., Stanley, New Mexico 87056),
U.S.V.I. (Little St. James, 6100 Red Hook Quarters, Suite B3,
St. Thomas, Virgin Islands 00802), and Paris (22 Avenue Foch
Apt 2DD, Paris, France 75116).
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 7 of 45
7
· Jeffrey Epstein also rented a residence for Ms. Giuffre in Royal Palm
Beach, the exact address and dates of rental are in the possession,
custody and control of Jeffrey Epstein. Tony Figueroa, James Michael
Austrich and a few other individuals for whom Ms. Giuffre cannot
recall the names of, stayed with her from time to time at the residence
that Jeffrey Epstein rented.
· Ms. Giuffre’s parents’ address was 12959 Rackley Road, Loxahatchee,
Florida 33470, and she lived there from time to time with her mother,
her father, and her brothers.
· 2C Quentin St. Basshill NSW in approximately 2003, but she is not
certain of that date. At this location, Ms. Giuffre lived with Robert
Giuffre.
· N. Paramentata, NSW from approximately 2003 - 2005, but she is not
certain of those dates. At this location, Ms. Giuffre lived with Robert
Giuffre.
· Blue Bay, NSW from approximately 2005 - 2008 but is not certain of
those dates. At this location, Ms. Giuffre lived with Robert Giuffre.
· 3 Elk St., NSW from approximately 2008 - 2009 but is not certain of
those dates. At this location, Ms. Giuffre lived with Robert Giuffre.
· 50 Robertson Road, Basshill, NSW, but is not certain of the date. At
this location, Ms. Giuffre lived with Robert Giuffre.
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 8 of 45
8
· 50 Bundeena Rd., Glenning Valley, NSW from approximately 2009 -
2013 but is not certain of those dates. At this location, Ms. Giuffre
lived with Robert Giuffre.
· 5035 Winchester Drive, Titusville, FL from approximately November
6, 2013 to 2014 but is not certain of those dates. At this location, Ms.
Giuffre lived with Robert Giuffre.
· 1270 J. Street, Penrose, CO 81240, from approximately 2014 – 2015.
At this location Ms. Giuffre lived with Robert Giuffre.
2. Identify any email address, email account, cellphone number and cellphone
provider, social media account and login or screen name, text or instant messaging account name
and number, that You have used, applied for or been supplied between 1998 and the present.
Response to Interrogatory No. 2
Ms. Giuffre objects to this request in that it violates Rule 33.3. Ms. Giuffre objects to this
request in that it is overly broad and seeks information solely to harass and intimidate Ms. Giuffre.
For the period of 1998 to the present Ms. Giuffre provides the following information.
During the time period that she was sexually trafficked by Jeffrey Epstein and the defendant, the
defendant provided Ms. Giuffre with a cellphone so that she could be reached by the Defendant
and Jeffrey Epstein at any time. Defendant is in possession of the information relating to this
cellphone that she provided to Ms. Giuffre. Ms. Giuffre is responding with the information she
can presently recall, but to the extent she obtains additional information she will supplement this
response. Ms. Giuffre’s e-mail address is robiejennag@y7mail.com. She can recall having the
following cell numbers (321) 271-4948, +61414651273, 0407.433.252. Ms. Giuffre had a
Facebook account for a short time but it is no longer active. Per our representations during the
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March 21, 2015 meet and confer phone call, we are working diligently to find information to
supplement the above information, and once that information is obtained, Plaintiff will serve
supplemental responses.
3. Identify each attorney who has represented you from 1998 to the present, the
dates of any such representation, and the nature of the representation.
Response to Interrogatory No. 3
Ms. Giuffre objects to this interrogatory as it seeks privileged information relating to her
representation by attorneys. Ms. Giuffre responds that she has been represented by the following
attorneys: Bob Josefsberg and members of his firm; Stan Pottinger, Brad Edwards from Farmer,
Jaffe, Weissing, Edwards, Fistos & Lehrman, P.L.; Paul Cassell, a Professor of Criminal Law at
the S.J. Quinney College of Law at the University of Utah; David Boies, Sigrid McCawley, and
other attorneys and staff at Boies Schiller & Flexner LLP.
4. Identify each Communication, including the transmission of any Document, that
You or Your Attorneys have had with any local, state or federal law enforcement agent or
agency, whether in the United States or any other country, whether in Your capacity as a
purported victim, witness, or perpetrator of any criminal activity, and whether as a juvenile or as
an adult, including without limitation:
a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if
written, the format of any such Communication;
c. the identities of all persons involved in the Communication, including the
identity of the law enforcement agency with whom the agent is or was
affiliated;
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d. the case number associated with any such Communication;
e. the subject matter of any such Communication;
f. the disposition of any case associated with any such Communication,
irrespective of whether the matter was sealed, expunged or later dismissed.
Response to Interrogatory No. 4
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this interrogatory in that it seeks protected information regarding confidential
investigations. Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege, the
public interest privilege, and any other applicable privilege. Ms. Giuffre objects to the extent
this seeks information regarding sexual assaults that occurred prior to her involvement with the
Defendant and Jeffrey Epstein. Ms. Giuffre responds as follows: Ms. Giuffre met with the FBI
on or about March 17, 2011. Ms. Giuffre also corresponded with Maria Villafano from the U.S.
Attorney’s office and that correspondence has been produced. As to other investigations by law
enforcement, Ms. Giuffre objects as this seeks information covered by the public interest
privilege.
5. Identify each Communication that You or Your Attorneys have had with any
author, reporter, correspondent, columnist, writer, commentator, investigative journalist,
photojournalist, newspaper person, freelance reporter, stringer, or any other employee of any
media organization or independent consultant to the same, including:
a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if
written, the format of any such Communication;
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c. the identities of all persons involved in such Communication,
including the identity of the media organization with whom the agent
is or was affiliated;
d. the article title, date of publication, and means of publication of any
article, report, or re-printing of any such Communication made by
You or Your Attorneys;
e. the amount of Income that You and/or Your Attorneys received in
exchange for any such Communication;
f. the dates on which You and/or Your Attorneys received any such Income
for any such Communication.
Response to Interrogatory No. 5
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the public interest privilege, and any
other applicable privilege. Ms. Giuffre objects in that this request is overly broad and unduly
burdensome.
6. Identify any “false statements” attributed to Ghislaine Maxwell which were
“published globally, including within the Southern District of New York” as You contend in
paragraph 9 of Count 1 of Your Complaint, including:
a. the exact false statement;
b. the date of its publication;
c. the publishing entity and title of any publication containing the
purportedly false statement;
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d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some
other form of media.
Response to Interrogatory No. 6
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms.
Giuffre objects in that it seeks information protected by the attorney-client privilege, the
attorney work product privilege, joint defense/common interest privilege, the public interest
privilege, and any other applicable privilege. Ms. Giuffre further objects because the
information requested above is in the possession of Defendant who has failed to comply with
her production obligations in this matter.
7. State whether You believe that You have ever been defamed by anyone other than
Ghislaine Maxwell. If so, as to each alleged act of Defamation, state
a. the exact false statement;
b. the date of its publication;
c. the publishing entity and title of any publication containing the
purportedly false statement;
d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some
other form of media.
Response to Interrogatory No. 7
Ms. Giuffre objects to this request in that it violates Local Rule 33.3. Ms. Giuffre objects
to this request in that it seeks information protected by the attorney client and work product
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privileges. Ms. Giuffre objects to this interrogatory in that it is not limited in time or to the
subject nature of this litigation.
8. Identify the individuals referenced in Your pleadings filed in the U.S. District
Court for the Southern District of Florida, Jane Doe 1 and Jane Doe 2 v. United States of
America, 08-cv-80736-KAM, as the “high-profile non-party individuals” to whom Mr. Jeffrey
Epstein sexually trafficked You, “including numerous prominent American politicians, powerful
business executives, foreign presidents, a well-known Prime Minister, and other world leaders,”
including as to each episode of alleged sexual trafficking:
a. the date of any such sexual trafficking;
b. the location of any such sexual trafficking;
c. any witnesses to any such sexual trafficking;
d. any Income You received in exchange for such sexual trafficking; and
e. any Documents You have to support or corroborate Your claim of such
sexual trafficking.
Response to Interrogatory No. 8
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the public interest privilege, and any
other applicable privilege. Additionally, Ms. Giuffre objects to this interrogatory because naming
some such individuals would jeopardize her physical safety based on credible threats to the
same. Ms. Giuffre refers to the list of witnesses identified in her Revised Rule 26 Disclosures.
9. Identify any Employment You have had from 1996 until the present, including
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without limitation, the name of Your employer or the name of any Person who engaged You for
such Employment, the address and telephone number for any such Employment, the beginning
and ending dates of any such Employment, Your job title in such Employment, and Your
Income from such Employment.
Response to Interrogatory No. 9
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the public interest privilege, and any
other applicable privilege. Ms. Giuffre objects to this request in that it is overly broad and
unduly burdensome, and seeks information that is not relevant to this case.
10. Identify any Income from any source other than Your Employment that You have
received from January 1, 1996 until the present, including the Person or entity providing such
Income, the amount of the Income, the dates on which any such Income was received, and
the nature of the Income, whether a loan, investment proceeds, legal settlement, asset sale,
gift, or other source.
Response to Interrogatory No. 10
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms.
Giuffre objects to this request in that it is overly broad and seeks confidential financial
information. Ms. Giuffre objects to this interrogatory in that it seeks information covered by
confidentiality provisions. Ms. Giuffre objects to this information in that any payment
information for the sexual trafficking she endured at the hands of Jeffrey Epstein and
Ghislaine Maxwell is in the possession, custody and control of the Defendant and Jeffrey
Epstein.
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Ms. Giuffre is in possession of a responsive document that contains a confidentiality
provision. If Defendant obtains, and produces to Ms. Giuffre, a written waiver from her coconspirator,
Mr. Epstein, of the confidentiality provision, freeing Ms. Giuffre from any
liability whatsoever under the confidentiality provision, she will produce the document.
11. Identify any facts upon which You base Your contention that You have suffered
as a result of the Alleged Defamation by Ghislaine Maxwell “past and future lost wages and
past and future loss of earning capacity and actual earnings – precise amounts yet to be
computed, but not less than $5,000,000.”
Response to Interrogatory No. 11
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this interrogatory in that it prematurely seeks expert witness disclosures. Ms. Giuffre
incorporates by reference herein her Revised Rule 26 disclosures, which includes her
computation of damages.
12. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, that You suffered from subsequent to any
Alleged Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
f. whether health insurance or some other person or organization or entity
has paid for the medical expenses; and
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g. for each such Health Care Provider, please execute the medical and mental
health records release attached hereto as Exhibit A.
Response to Interrogatory No. 12
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim and is not limited in scope to the issues in this case Ms. Giuffre objects in that it
seeks information protected by the attorney-client privilege, the attorney work product privilege,
joint defense/common interest privilege, the public interest privilege, and any other applicable
privilege.
13. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, including addiction to alcohol, prescription or illegal
drugs, that You suffered from prior to the Alleged Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
f. whether health insurance or some other person or organization or entity
has paid for the medical expenses; and
g. For each such Health Care Provider, please execute the medical and mental
health records release attached hereto as Exhibit A.
Response to Interrogatory No. 13
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Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim and is not limited in scope to the issues in this case. Ms. Giuffre objects in that it
seeks information protected by the attorney-client privilege, the attorney work product privilege,
joint defense/common interest privilege, and any other applicable privilege. Ms. Giuffre
objects to this request in that it is not limited in scope to the medical information relating to the
abuse she suffered from Defendant and Jeffrey Epstein.
14. Identify any Person who You believe subjected You to, or with whom You
engaged in, any illegal or inappropriate sexual contact, conduct or assault prior to June 1999,
including the names of the individuals involved, the dates of any such illegal or inappropriate
sexual contact, conduct or assault, whether Income was received by You or anyone else
concerning such event, whether a police report was ever filed concerning such event and the
outcome of any such case, as well as the address and location of any such event.
Response to Interrogatory No. 14
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim. Ms. Giuffre objects to this request in that it seeks sexual assault information for a
period prior to the sexual abuse at issue in this matter for a period when she was a minor child
from the time Ms. Giuffre was born until she was 15. Ms. Giuffre objects to this request in that
it is sought solely to harass, and intimidate Ms. Giuffre who is a victim of sexual abuse by the
defendant.
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REQUESTS FOR PRODUCTION
1. All Communications and Documents identified in Interrogatories 1-14,
above.
Response to Request No. 1
Ms. Giuffre objects to this request in that Defendant’s interrogatories violate Local Rule
33.3. Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the public interest
privilege, and any other applicable privilege. Ms. Giuffre objects to this request on the grounds
that it is overly broad and unduly burdensome, incorporating the interrogatories that total 59
subparts, and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request in that it seeks to invade the privacy rights of a sex abuse victims, and is meant for the
improper purpose of harassing and intimidating this victim.
Subject to and without waving the above objections, Ms. Giuffre is withholding
production of documents that are privileged pursuant to the attorney-client privilege, the work
product privilege, and the public interest privilege. Ms. Giuffre is also withholding electronic
renditions of photographs that depict the faces of her minor children, including school portraits
and other photographs taken that reveal the faces of her minor children.
Subjection to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
non-privileged documents responsive to this Request limited to documents that do not depict
images of her minor children as described supra and will continue to supplement her production.
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2. All Documents reviewed or relied upon in answering Interrogatory Nos.
1-14 above.
Response to Request No. 2
Ms. Giuffre objects to this request in that defendant’s interrogatories violate Local Rule
33.3. Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, and public interest, and other applicable privileges. Ms. Giuffre
objects to this request in that it is overly broad incorporating the interrogatories that total 59
subparts. Ms. Giuffre objects to this request in that it seeks to invade the privacy rights of a sex
abuse victims and is meant for the improper purpose of harassing and intimidating this victim.
Subject to and without waving the above objections, Ms. Giuffre is withholding
production of documents that are privileged pursuant to the attorney-client privilege, the work
product privilege, and the public interest privilege. Ms. Giuffre is also withholding electronic
renditions of photographs that depict the faces of her minor children, including school portraits
and other photographs taken that reveal the faces of her minor children.
Subjection to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
non-privileged documents responsive to this Request limited to documents that do not depict
images of her minor children as described supra and will continue to supplement her production.
3. All Documents from any law enforcement agency, whether local, state or
federal, whether in the United States or elsewhere, which concern or relate to You in any
way. These Documents should include, without limitation, any witness statements,
including statements made by You.
Response to Request No. 3
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Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, public interest privilege and other applicable privileges. Ms.
Giuffre objects to this request in that it is not limited in time period.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will
produce non-privileged documents responsive to this Request and will continue to
supplement her production. Ms. Giuffre is withholding documents that concern or relate to
any currently ongoing investigation by any law enforcement agency under the public interest
privilege and other applicable privileges.
4. All Documents reflecting any letter of engagement, any fee agreement, or
any other type of writing reflecting an engagement of any attorney identified in
response to Interrogatory No. 3.
Response to Request No. 4
Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, joint defense and other applicable privileges. Ms. Giuffre is
withholding documents based on this objection. Specifically, Ms. Giuffre is withholding
documents reflecting the engagements between herself and her attorneys she has engaged in
relation to the above-captioned action and other actions as those documents involve
privileged communications.
5. All Documents relating to any Communications occurring from 1998 to the
present with any of the following individuals or with their attorneys, agents or
representatives:
a. Jeffrey Epstein;
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b. Ghislaine Maxwell
c. Any witness disclosed in Plaintiff’s Rule 26(a) disclosures;
d. Any witness identified by You in response to Interrogatory No. 8 and No.
14;
e. Sky Roberts;
f. Lynn Roberts;
g. Kimberley Roberts;
h. Daniel LNU, half-brother of Plaintiff;
i. Carol Roberts Kess;
j. Philip Guderyon;
k. Anthony Valladares;
l. Anthony Figueroa;
m. Ron Eppinger
Response to Request No. 5
Ms. Giuffre objection to this request on the grounds that it is overly broad and unduly
burdensome, particularly as it seeks documents relating to over 60 individuals, and calls for the
production of documents that are irrelevant to this action and not reasonably calculated to lead to
the discovery of admissible evidence. Ms. Giuffre objects because compliance with this request
is unduly burdensome. Ms. Giuffre objects to this request in that documents responsive to this
request are within the possession, custody and control of the defendant and Jeffrey Epstein with
whom she claims a joint defense privilege and defendant has refused to produce responsive
documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre. Ms. Giuffre objects to this request to the
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extent is seeks documents protected by the attorney client, work product, joint defense, public
interest or any other applicable privilege. Ms. Giuffre objects to this request in that it is sought
solely to harass and intimidate Ms. Giuffre, and invade her privacy, by seeking her private
communications with her various family members, including aunts, uncles and parents and
siblings.
Subject to and without waving the above objections, Ms. Giuffre is withholding
production of documents that are privileged pursuant to the attorney-client privilege, the work
product privilege, and the public interest privilege. Ms. Giuffre is also withholding electronic
renditions of photographs that depict the faces of her minor children, including school portraits
and other photographs taken that reveal the faces of her minor children.
Subjection to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
non-privileged documents responsive to this Request limited to documents that do not depict
images of her minor children as described supra and will continue to supplement this production.
6. All photographs or video containing any image of You and the following
individuals. To the extent You have such photographs and video in their original, native
format, please produce them in that format (not a paper copy).
a. Ghislaine Maxwell
b. Alan Dershowitz
c. Jeffrey Epstein
d. Andrew Albert Christian Edward, the Duke of York (aka Prince
Andrew)
e. Ron Eppinger
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f. Bill Clinton
g. Stephen Hawking
h. Al Gore
i. Any of the individuals identified by You in response to Interrogatory
No. 8 and No. 14.
Response to Request No. 6
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
non-privileged documents responsive to this Request and will continue to supplement her
production. Ms. Giuffre does not have “original, native format,” as requested so she is
producing the paper copies she has in her possession, custody and control.
7. All photographs and video of You in any of Jeffrey Epstein’s properties,
including, but not limited to: his home in Palm Beach, Florida; his home in New York
City, New York; his ranch in Santa Fe, New Mexico; and Little Saint James Island in the
U.S. Virgin Islands. To the extent You have such photographs and video in their original,
native format, please produce them in that format (not a paper copy).
Response to Request No. 7
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Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
documents responsive to this Request and will continue to supplement her production. Ms.
Giuffre does not have “original, native format,” as requested so she is producing the paper
copies she has in her possession, custody and control. The Defendant has documents
responsive to this request that she should produce.
8. All photographs or video of You in any of Ms. Maxwell’s properties,
including her home in London, England and her home in New York City, New York. To
the extent You have such photographs or video in their original, native format, please
produce them in that format (not a paper copy).
Response to Request No. 8
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce
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non-privileged documents responsive to this Request and will continue to supplement her
production. Ms. Giuffre does not have “original, native format,” as requested so she is
producing the paper copies she has in her possession, custody and control. The Defendant has
documents responsive to this request that she should produce.
9. Any Documents reflecting rental agreements or purchase agreements for the
residential addresses identified by You in response to Interrogatory No. 1.
Response to Request No. 9
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request in that it seeks confidential financial information that is irrelevant to this action. Ms.
Giuffre objects to this request to the extent is seeks documents protected by the attorney client,
work product, joint defense, public interest or any other applicable privilege. Ms. Giuffre objects
to this request in that the information regarding rental agreements for the apartments that
Defendant and Jeffrey Epstein rented for her are in the Defendant’s possession, control and
custody.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production.
10. All Documents relating to Your Employment and/or association with the
Mar-a-Lago Club located in Palm Beach, Florida, including any application for
Employment.
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Response to Request No. 10
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, public interest or any other applicable privilege.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production.
11. Any Document reflecting any confidentiality agreement by and between, or
concerning, You and the Mar-a-Lago Club.
Response to Request No. 10
Ms. Giuffre objects to this request to the extent is seeks documents protected by
the attorney client, work product, joint defense, public interest or any other applicable
privilege.
Ms. Giuffre has been unable to locate any such documents.
12. All Documents concerning any Employment by You from 1998 to the
present or identified by You in response to Interrogatory No. 9, including any records of
Your Employment at the Roadhouse Grill in Palm Beach, Florida.
Response to Request No. 12
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request to the extent is seeks documents protected by the attorney client, work product, joint
defense, public interest or any other applicable privilege.
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Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production.
13. All Documents concerning any allegations of theft by You from the
Roadhouse Grill in Palm Beach, Florida from 1999 – 2002.
Response to Request No. 13
Ms. Giuffre objects to this request in that it seeks information solely to harass, embarrass,
and intimidate Ms. Giuffre. Ms. Giuffre objects to this request to the extent is seeks documents
protected by the attorney-client privilege, the attorney work product privilege, joint
defense/common interest privilege, public interest privilege, and any other applicable privilege.
Ms. Giuffre objects to this request in that it wrongfully characterizes a “theft by You”. Ms.
Giuffre objects to this request as it seeks documents of sealed juvenile records, and the only
means of obtaining such records are either through court order or illegal means.
Ms. Giuffre has been unable to locate any such documents.
14. A copy of Your federal, state or local tax returns for the years 1998 to the
present, whether from the United States or any other country.
Response to Request No. 14
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request in that it seeks confidential financial information that is irrelevant to this action. Ms.
Giuffre objects to this request in that it seeks financial information from her when she was a
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minor child starting at age 14. Ms. Giuffre objects in that it seeks information protected by the
attorney-client privilege, the attorney work product privilege, joint defense/common interest
privilege, the accountant client privilege, and any other applicable privilege.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production.
15. All Documents concerning Your attendance at or enrollment in any
school or educational program of whatever type, from 1998 to the present.
Response to Request No. 15
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request to the extent is seeks documents protected by the attorney-client privilege, the attorney
work product privilege, joint defense/common interest privilege, the public interest privilege, and
any other applicable privilege. Ms. Giuffre objects to this request in that her school records from
when she was a minor child are an invasion of privacy, and sought only to harass and embarrass
her.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production.
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29
16. Any diary, journal or calendar concerning Your activities between 1996 –
2002.
Response to Request No. 16
Ms. Giuffre objections to this Request on the grounds that the time period is overly
broad and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects
to this request to the extent it seeks proprietary and copyright protected materials. Ms.
Giuffre objects in that it seeks information protected by the attorney-client privilege, the
attorney work product privilege, joint defense/common interest privilege, and any other
applicable privilege. Ms. Giuffre objects to this request in that it seeks highly personal
and sensitive material from a time when she was being sexually trafficked.
Ms. Giuffre has been unable to locate any such documents.
17. All Documents relating to Your travel from the period of 1998 to the
present, including, but not limited to a copy of Your passport that was valid for any
part of that time period, any visa issued to You for travel, any visa application that
You prepared or which was prepared on Your behalf, and travel itinerary, receipt, log,
or Document (including any photograph) substantiating Your travel during that time
period.
Response to Request No. 17
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects in that
it seeks information protected by the attorney-client privilege, the attorney work product
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30
privilege, joint defense/common interest privilege, and any other applicable privilege. Ms.
Giuffre objects to this request in that it is overly broad and not limited to travel records relevant
to the abuse she suffered. Ms. Giuffre objects to this request in that it seeks information that is
wholly irrelevant to this lawsuit.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement this
production. Per the agreements made in the March 21, 2016 meet and confer, we will attempt to
locate and make copies of Plaintiff’s current passport book.
18. All Documents showing any payments or remuneration of any kind
made by Jeffrey Epstein or any of his agents or associates to You from 1999 until the
present.
Response to Request No. 18
Ms. Giuffre objects to this request in that documents responsive to this request are within
the possession, custody and control of the defendant and Jeffrey Epstein with whom she claims a
joint defense privilege and defendant has refused to produce responsive documents. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the public interest privilege, and any
other applicable privilege.
At this point in time, Ms. Giuffre has been unable to locate any such documents, but
continues to search for responsive documents.
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31
19. Any Document reflecting a confidentiality agreement, settlement agreement,
or any contractual agreement of any kind, between You and Jeffrey Epstein, or any
attorneys for You and/or Mr. Epstein.
Response to Request No. 19
Ms. Giuffre objects to this request in that the documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents. Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege, the
public interest privilege, and any other applicable privilege. Ms. Giuffre is in possession of a
responsive document that contains a confidentiality provision. As discussed during the
March 21, 2016 meet and confer, If Defendant obtains, and produces to Ms. Giuffre, a
written waiver from her co-conspirator, Mr. Epstein, of the confidentiality provision,
releasing Ms. Giuffre from any liability whatsoever under the confidentiality provision, she
will produce the document.
20. Any Document reflecting Your intent, plan or consideration of, asserting
or threatening a claim or filing a lawsuit against another Person, any Document
reflecting such a claim or lawsuit, including any complaint or draft complaint, or any
demand for consideration with respect to any such claim or lawsuit against any Person.
Response to Request No. 20
Ms. Giuffre objections to this Request on the grounds that it is overly broad and
unduly burdensome and calls for the production of documents that are irrelevant to this
action and not reasonably calculated to lead to the discovery of admissible evidence. Ms.
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Giuffre objects to this request to the extent is seeks documents protected by the attorney
client, work product, joint defense or any other applicable privilege. Ms. Giuffre objects
because this request is overly broad and unduly burdensome in that it seeks wholly privileged
communications from other cases the logging of which on a privilege log would be unduly
burdensome. As such, Ms. Giuffre is providing categorical privilege entries relating to those
matters.
At this point in time, Ms. Giuffre has not found any non-privileged documents
responsive to this request, but continues to search for responsive documents.
21. All Documents relating to Your driver’s license from 1998 – 2002.
Response to Request No. 21
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request in that documents responsive to this request are within the possession, custody and
control of the defendant and Jeffrey Epstein for whom she claims a joint defense privilege and
defendant has refused to produce responsive documents.
At this point in time, Ms. Giuffre has not found any documents responsive to this request,
but continues to search for responsive documents.
22. A copy of Your marriage license(s) from 1999 to the present.
Response to Request No. 22
Ms. Giuffre objections to this Request on the grounds that it is irrelevant to this action
and not reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre
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33
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, and any other applicable privilege.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this request, and will continue to supplement this production.
23. All documents concerning Your naturalization application to Australia from
1999 to the present.
Response to Request No. 23
Ms. Giuffre objections to this Request on the grounds that it is irrelevant to this action
and not reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, and any other applicable privilege.
Ms. Giuffre has been unable to locate any such documents.
24. All Documents concerning Your Employment in Australia, including, but not
limited to employment applications, pay stubs, Documents reflecting Your Income
including any tax Documents.
Response to Request No. 24
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request in that it seeks confidential financial information Ms. Giuffre objects to this request to
the extent is seeks documents protected by the attorney client, work product, joint defense, or
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34
any other applicable privilege. Ms. Giuffre objects to this request in that it seeks overly broad
financial information not tailored to the sexual abuse and defamation issues in this case.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this request, and will continue to supplement this production.
25. All Documents concerning any massage therapist license obtained by
You, including any massage therapy license issued in the United States, Thailand and/or
Australia.
Response to Request No. 25
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein for whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents. Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, and any other applicable privilege.
At this point in time, Ms. Giuffre has not found any non-privileged documents
responsive to this request, but continues to search for responsive documents.
26. All Documents concerning any prescription drugs taken by You,
including the prescribing doctor, the dates of said prescription, and the dates of any
fulfillment of any such prescription.
Response to Request No. 26
Ms. Giuffre objections to this Request on the grounds that it is overly broad and
unduly burdensome and calls for the production of documents that are irrelevant to this
action and not reasonably calculated to lead to the discovery of admissible evidence. Ms.
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35
Giuffre objects to this request in that it is not limited in date range in any way; therefore if
she was on a prescription drug when she was 2 years old, she would have to produce that
document. Ms. Giuffre also objects to this request in that it is not limited to prescription
drugs she has taken as a result of the abuse she endured. Ms. Giuffre objects to this request
to the extent it seeks confidential medical records that are not relevant to this action. Ms.
Giuffre objects to this request to the extent is seeks documents protected by the attorney
client, work product, or any other applicable privilege.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and is
producing non-privileged documents responsive to the Request limited to documents
relating to prescription drugs relating to her treatment for sexual abuse she suffered at the
hands of the Defendant and Jeffrey Epstein, and relating to conditions or symptoms arising
after Defendant’s defamatory statement, and will continue to supplement this production.
27. All Documents, written or recorded, which reference by name, or
other description, Ghislaine Maxwell.
Response to Request No. 27
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the public interest
privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the extent it
seeks proprietary or copyright protected materials.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce non-
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36
privileged documents responsive to this Request, and will continue to supplement her
production.
28. All Documents reflecting notes of, or notes prepared for, any
statements or interviews in which You referenced by name or other description,
Ghislaine Maxwell.
Response to Request No. 28
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege,
the public interest privilege, and any other applicable privilege. Ms. Giuffre objects to
this request to the extent it seeks proprietary or copyright protected materials.
At this point in time, Ms. Giuffre has not found any non-privileged documents
responsive to this request, but continues to search for responsive documents.
29. All Documents concerning any Communications by You or on Your behalf
with any media outlet, including but not limited to the Daily Mail, Daily Express, the
Mirror, National Enquirer, New York Daily News, Radar Online, and the New York Post,
whether or not such communications were “on the record” or “off the record.”
Response to Request No. 29
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, and any other applicable privilege. Ms.
Giuffre objects to this request to the extent it seeks proprietary or copyright protected
materials.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will
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37
produce non-privileged documents responsive to this Request, and will continue to
supplement her production.
30. All Documents concerning any Income received by You from any media
outlet in exchange for Your statements (whether “on the record” or “off the record”)
regarding Jeffery Epstein, Alan M. Dershowitz, Prince Andrew, Bill Clinton or Ghislaine
Maxwell or any of the individuals identified by You in response to Interrogatory Nos. 8
and 14.
Response to Request No. 30
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, and any other applicable privilege. Ms.
Giuffre objects to this request to the extent it seeks proprietary or copyright protected
materials. Ms. Giuffre objects to this request in that it seeks confidential financial
information.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will
produce non-privileged documents responsive to this Request, and will continue to
supplement her production.
31. All Documents concerning any actual or potential book, television or movie
deals concerning Your allegations about being a sex slave, including but not limited to a
potential book by former New York Police Department detective John Connolly and writer
James Patterson.
Response to Request No. 31
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38
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, and any other applicable privilege. Ms.
Giuffre objects to this request to the extent it seeks proprietary or copyright protected
materials. Ms. Giuffre objects to this request in that it seeks confidential financial
information.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will
produce non-privileged documents responsive to this Request, and will continue to
supplement her production.
32. All manuscripts and/or other writings, whether published or unpublished,
created in whole or in part by or in consultation with You, concerning, relating or
referring to Jeffrey Epstein, Ghislaine Maxwell or any of their agents or associates.
Response to Request No. 32
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, and any other applicable privilege. Ms.
Giuffre objects to this request to the extent it seeks proprietary or copyright protected
materials. Ms. Giuffre objects to this request in that it seeks confidential financial
information.
Subject to and without waiving the above objections, Ms. Giuffre has already
produced documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will
produce non-privileged documents responsive to this Request, and will continue to
supplement her production.
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39
33. All Documents concerning or relating to Victims Refuse Silence, the
organization referred to in the Complaint, including articles of incorporation, any financial
records for the organization, any Income You have received from the organization, and any
Documents reflecting Your role within the organization or any acts taken on behalf of the
Organization.
Response to Request No. 33
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, and any other applicable privilege. Ms. Giuffre objects to
this request to the extent it seeks proprietary or copyright protected materials. Ms. Giuffre
objects to this request in that it seeks confidential financial information.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement her
production.
34. To the extent not produced in response to the above list of requested
Documents, all notes, writings, photographs, and/or audio or video recordings made or
recorded by You or of You at any time that refer or relate in any way to Ghislaine
Maxwell.
Response to Request No. 34
Ms. Giuffre objects to this request in that documents responsive to this request are within
the possession, custody and control of the defendant and Jeffrey Epstein for whom she claims a
joint defense privilege and defendant has refused to produce responsive documents. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 40 of 45
40
product privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the
extent is seeks proprietary and copyright protected material.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement her
production.
35. All phone records, including text messages, emails, social media
Communications, letters or any other form of Communication, from or to You or
associated with You in any way from 1998 to the present, which concern, relate to,
identify, mention or reflect Ghislaine Maxwell, Jeffrey Epstein, Alan Dershowitz, Prince
Andrew, Bill Clinton, or any of the individuals identified in response to Interrogatory Nos.
8 and 14.
Response to Request No. 35
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to this
request to the extent it seeks documents from “anyone associated with you” as that is vague and
ambiguous. Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein for whom she
claims a joint defense privilege and defendant has refused to produce responsive documents.
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege, the
attorney work product privilege, the public interest privilege, and any other applicable privilege.
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41
Ms. Giuffre objects to this request to the extent is seeks proprietary and copyright protected
material.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement her
production. While Ms. Giuffre has produced her documents, Ms. Giuffre’s response does not
include documents “from anyone associated with you” based on the above referenced objection.
36. All Documents relating to massages, including but not limited to any
Documents reflecting the recruiting or hiring of masseuses, advertising for masseuses,
flyers created for distribution at high schools or colleges, and records reflecting e-mails
or calls to Persons relating to massages.
Response to Request No. 36
Ms. Giuffre objections to this Request on the grounds that it is overly broad and unduly
burdensome and calls for the production of documents that are irrelevant to this action and not
reasonably calculated to lead to the discovery of admissible evidence. Ms. Giuffre objects to
this request in that it is not time limited in any way. Ms. Giuffre objects to this request in that
documents responsive to this request are within the possession, custody and control of the
defendant and Jeffrey Epstein for whom she claims a joint defense privilege and defendant has
refused to produce responsive documents. Ms. Giuffre objects in that it seeks information
protected by the attorney-client privilege, the attorney work product privilege, public interest
privilege, and any other applicable privilege.
Ms. Giuffre has been unable to locate any such documents.
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42
37. Statements or records from any bank into which You deposited money
received from Jeffrey Epstein, any Person identified in Interrogatory No. 8 or 14, any
witness disclosed in Your Rule 26(a) disclosures, any media organization or any employee
or affiliate of any media organization.
Response to Request No. 37
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the public interest
privilege, and any other applicable privilege. Ms. Giuffre objects to this request in that it seeks
personal financial information. Ms. Giuffre objects to this request in that it is overly broad as it
has no time limitation.
Subject to and without waiving the above objections, Ms. Giuffre has already produced
documents Bates labelled GIUFFRE000001 to GIUFFRE003190, and will produce nonprivileged
documents responsive to this Request, and will continue to supplement her
production.
Dated: March 22, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
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43
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 44 of 45
44
CERTIFICATE OF SERVICE
I certify that on March 22, 2016, I electronically served Plaintiff Virginia Giuffre’s
Amended Supplemental Responses and Objections to Defendant’s First Set of Discovery
Requests on the following:
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
Jeffrey S. Pagliuca, , Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: jpagliuca@hmflaw.com
By: /s/ Sigrid McCawley______
Sigrid McCawley
Case 1:15-cv-07433-RWS Document 71-2 Filed 03/23/16 Page 45 of 45
EXHIBIT 3
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1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S RESPONSE AND OBJECTIONS TO DEFENDANT’S
FIRST SET OF DISCOVERY REQUESTS TO PLAINTIFF
Plaintiff hereby serves her responses and objections to Defendant’s First Set of
Discovery Requests.
GENERAL OBJECTIONS
Defendant’s First Set of Discovery Requests violates Local Civil Rule 33.3. Defendant
has served interrogatories that are in direct violation of that Rule because the interrogatories are
not “restricted to those seeking names of witnesses with knowledge of information relevant to
the subject matter of the action, the computation of each category of damage alleged, and the
existence, custodian, location and general description of relevant documents, including pertinent
insurance agreements, and other physical evidence, or information of a similar nature.” Local
Civil Rule 33.3(a). Instead, they seek information under subsections (b) and (c) of Local Civil
Rule 33.3, and therefore, they should not be served because they are not “a more practical
method of obtaining the information sought than a request for production or a deposition,” and
because they were served in advance of the period “30 days prior to the discovery cut-off date.”
Local Civil Rule 33.3(b), (c). The interrogatories you served violate Local Rule 33.3 and we ask
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2
that you immediately withdraw those interrogatories. See Rule 33.3, Local Rules for the
Southern District of New York; see also Shannon v. New York City Transit Auth., No. 00 CIV.
5079 (Sweet, J.), 2001 WL 286727, at *3 (S.D.N.Y. Mar. 22, 2001); accord Gary Friedrich
Enterprises, LLC v. Marvel Enterprises, Inc., No. 08 CIV. 1533 BSJ JCF, 2011 WL 1642381, at
*4 (S.D.N.Y. Apr. 26, 2011). Specifically, Rule 33.3 provides:
(a) Unless otherwise ordered by the Court, at the commencement of discovery,
interrogatories will be restricted to those seeking names of witnesses with
knowledge of information relevant to the subject matter of the action, the
computation of each category of damage alleged, and the existence, custodian,
location and general description of relevant documents, including pertinent
insurance agreements, and other physical evidence, or information of a similar
nature.
(b) During discovery, interrogatories other than those seeking information described
in paragraph (a) above may only be served (1) if they are a more practical method
of obtaining the information sought than a request for production or a deposition,
or (2) if ordered by the Court.
(c) At the conclusion of other discovery, and at least 30 days prior to the discovery
cut-off date, interrogatories seeking the claims and contentions of the opposing
party may be served unless the Court has ordered otherwise.
Similarly, Requests for Production numbers 1, 2, 4, 6(i), 9, 12, 30, 35 and 37 also violate
Local Rule 33.3 in that they rely on the offending interrogatory requests. The Rule provides that
a party must first try to obtain discovery through document production and testimony. Discovery
does not close in this case until July 1, 2016, and Defendant has not yet noticed a deposition. As
such, these interrogatories violate Local Rule 33.3 and are premature.
Defendant’s First Set of Discovery Requests also violates Rule 33, Fed. R. Civ. P., which
provides “a party may serve on any other party no more than 25 interrogatories, including all
discrete subparts” – in that Defendant has served a total of 59 interrogatories, including subparts,
in violation of Rule 33. We ask that you immediately withdraw those interrogatories that exceed
the 25 interrogatory limit set by Rule 33.
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3
Ms. Giuffre objects to Defendant’s First Set of Discovery Requests to the extent they
seek information that is protected by any applicable privilege, including but not limited to,
attorney client privilege, work product privilege, joint defense/common interest privilege, agency
privilege, investigative privilege, spousal privilege, doctor/patient privilege, accountant/client
privilege, and any other applicable privilege.
Ms. Giuffre objects to the requests to the extent Defendant’s First Set of Discovery
Requests call for the production of documents or information that is already in the possession,
custody, or control of the Defendant. Ms. Giuffre further objects to the requests to the extent that
Defendant’s First Set of Discovery Requests is duplicative of documents and information that
can equally or more readily be obtained by the Defendant.
Ms. Giuffre objects to the requests to the extent that they seek documents that are not
relevant, material, or necessary to this action and, thus, are not reasonably calculated to lead to
the discovery of admissible evidence. Many of the requests in the Defendant’s First Set of
Discovery seek documents that are in no way limited to their relation to this case. Indeed, they
seek documents that are not important to resolving the issues; documents that are not relevant to
any party’s claim or defense; and documents that are not proportional to the needs of the case.
Such requests create a heavy burden on Ms. Giuffre that outweighs any benefit. Such discovery
is prohibited by the Federal Rules of Civil Procedure, particularly under the 2015 amendments to
Rule 26(b)(1), Fed. R. Civ. P., and is wholly inappropriate.
Ms. Giuffre objects to the requests to the extent that they are overly broad and unduly
burdensome, as individually logging all privileged responsive documents would be overly
burdensome. Plaintiff contends that requests targeting such privileged information are overly
broad under Rule 26(b)(1), Fed. R. Civ. P. Specifically, Ms. Giuffre objects to the requests as
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4
overly burdensome to the extent that they would require logging voluminous and ever-increasing
privileged communications between Ms. Giuffre and her counsel after the date litigation
commenced on September 21, 2015. Ms. Giuffre objects to the requests as overly burdensome to
the extent that they would require logging voluminous privileged documents between Ms.
Giuffre and her counsel related to Jane Doe #1 and Jane Doe #2 v. United States, Case no. 08-
80736-CIV-Marra, pending in the Southern District of Florida; Bradley Edwards and Paul
Cassell v. Alan Dershowitz, Case no. CACE 15-000072, pending in the Seventeenth Judicial
Circuit, Broward County, Florida; and Jane Doe No. 102 v. Jeffrey Epstein, Case No. 09-80656-
CIV-Marra/Johnson (Southern District of Florida). Accordingly, due the undue burden of
individually logging responsive privileged documents related to Defendant’s overly broad
requests, Plaintiff has employed categorical logging of such privileged responsive documents
pursuant to Local Civil Rule 26.2(c).
Ms. Giuffre objects to the requests in that they seek to invade her privacy for the sole
purpose of harassing and intimidating Ms. Giuffre who was a victim of sexual trafficking. Ms.
Giuffre objects to the requests to the extent they are overly broad and unduly burdensome.
Ms. Giuffre objects to Defendant’s definition of “your attorneys” because it includes
names of attorneys that do not represent her, including Spencer Kuvin and Jack Scarola.
Ms. Giuffre’s responses to Defendant’s First Set of Discovery Requests are being made
after reasonable inquiry into the relevant facts, and are based only upon the information and
documentation that is presently known to her. Ms. Giuffre reserves the right to modify and/or
supplement her responses. Ms. Giuffre is producing documents and information herewith, and
she will continue to review and produce relevant documents until completion.
Ms. Giuffre incorporates her above-listed general objections in the responses herein.
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INTERROGATORIES
1. State:
a. Your present residential address;
b. Each residential address You have had since 1998, including any
residential treatment facilities;
c. the dates You lived at each address;
d. the other Persons who lived with You at each address and for what period
of time they lived at such address.
Response to Interrogatory One:
Ms. Giuffre objects to this interrogatory in part because it violates Rule 33.3. Ms.
Giuffre objects to this interrogatory in that it seeks information that is sought by Defendant only
to harass and intimidate Ms. Giuffre who was a victim of sexual trafficking.
a. Due to safety concerns with respect to Ms. Giuffre and her minor children,
she is not at liberty to reveal her present residential location. To ensure that
Defendant is not prejudiced by the failure to provide information about Ms.
Giuffre’s specific residential location, Ms. Giuffre agrees to have her
attorney’s accept service on her behalf of any necessary communication or
filings in this matter to be addressed to: Sigrid McCawley, Esq. Boies
Schiller & Flexner LLP, 401 East Las Olas Blvd., Suite 1200, Fort
Lauderdale, FL 33316.
b. Ms. Giuffre can recall living at the following addresses during the period of
1998 to the present. Ms. Giuffre may have lived at other locations for which
she does not presently have the address. Ms. Giuffre is providing the
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6
information she has presently to the best of her recollection and will
supplement to the extent she obtains additional information responsive to
this interrogatory.
c. Ms. Giuffre believes she has lived at the following residences:
· In January 1998, Ms. Giuffre was 14 years old. Ms. Giuffre recalls
one facility named “Growing Together” that was located in or around
Palm Beach, but she does not recall the dates when she resided at the
facility.
· Ms. Giuffre lived and travelled with Jeffrey Epstein and stayed at his
various mansions in New York, Palm Beach, New Mexico (Zorro
Ranch), and U.S.V.I.
· Jeffrey Epstein also rented a residence for Ms. Giuffre in Royal Palm
Beach, the exact address and dates of rental are in the possession,
custody and control of Jeffrey Epstein. Tony Figueroa, James Michael
Austrich and a few other individuals for whom Ms. Giuffre cannot
recall the names of, stayed with her from time to time at the residence
that Jeffrey Epstein rented.
· Ms. Giuffre’s parents’ address was 12959 Rackley Road, Loxahatchee,
Florida 33470, and she lived there from time to time with her family.
· 2C Quentin St. Basshill NSW in approximately 2003, but she is not
certain of that date. At this location, Ms. Giuffre lived with Robert
Giuffre.
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· N. Paramentata, NSW from approximately 2003 - 2005, but she is not
certain of those dates. At this location, Ms. Giuffre lived with Robert
Giuffre.
· Blue Bay, NSW from approximately 2005 - 2008 but is not certain of
those dates. At this location, Ms. Giuffre lived with Robert Giuffre.
· 3 Elk St., NSW from approximately 2008 - 2009 but is not certain of
those dates. At this location, Ms. Giuffre lived with Robert Giuffre.
· 50 Robertson Road, Basshill, NSW, but is not certain of the date. At
this location, Ms. Giuffre lived with Robert Giuffre.
· 50 Bondeena Rd., Glenning Valley, NSW from approximately 2009 -
2013 but is not certain of those dates. At this location, Ms. Giuffre
lived with Robert Giuffre.
· 5035 Winchester Drive, Titusville, FL from approximately 2013 to
2014 but is not certain of those dates. At this location, Ms. Giuffre
lived with Robert Giuffre.
· 1270 J. Street, Penrose, CO 81240, from approximately 2014 – 2015.
At this location Ms. Giuffre lived with Robert Giuffre.
2. Identify any email address, email account, cellphone number and cellphone
provider, social media account and login or screen name, text or instant messaging account name
and number, that You have used, applied for or been supplied between 1998 and the present.
Response to Interrogatory No. 2
Ms. Giuffre objects to this request in that it violates Rule 33.3. Ms. Giuffre objects to this
request in that it is overly broad and seeks information solely to harass and intimidate Ms. Giuffre.
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For the period of 1998 to the present Ms. Giuffre provides the following information.
During the time period that she was sexually trafficked by Jeffrey Epstein and the defendant, the
defendant provided Ms. Giuffre with a cellphone so that she could be reached by the Defendant
and Jeffrey Epstein at any time. Defendant is in possession of the information relating to this
cellphone that she provided to Ms. Giuffre. Ms. Giuffre is responding with the information she
can presently recall, but to the extent she obtains additional information she will supplement this
response. Ms. Giuffre’s e-mail address is robiejennag@y7mail.com. She can recall having the
following cell number (321) 271-4948. Ms. Giuffre had a Facebook account for a short time but it
is no longer active.
3. Identify each attorney who has represented you from 1998 to the present, the
dates of any such representation, and the nature of the representation.
Response to Interrogatory No. 3
Ms. Giuffre objects to this interrogatory as it seeks privileged information relating to her
representation by attorneys. Ms. Giuffre responds that she has been represented by the following
attorneys: Bob Josefsberg and members of his firm; Stan Pottinger, Brad Edwards from Farmer,
Jaffe, Weissing, Edwards, Fistos & Lehrman, P.L.; Paul Cassell, a Professor of Criminal Law at
the S.J. Quinney College of Law at the University of Utah; David Boies and Sigrid McCawley of
Boies Schiller & Flexner LLP.
4. Identify each Communication, including the transmission of any Document, that
You or Your Attorneys have had with any local, state or federal law enforcement agent or
agency, whether in the United States or any other country, whether in Your capacity as a
purported victim, witness, or perpetrator of any criminal activity, and whether as a juvenile or as
an adult, including without limitation:
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a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if
written, the format of any such Communication;
c. the identities of all persons involved in the Communication, including the
identity of the law enforcement agency with whom the agent is or was
affiliated;
d. the case number associated with any such Communication;
e. the subject matter of any such Communication;
f. the disposition of any case associated with any such Communication,
irrespective of whether the matter was sealed, expunged or later dismissed.
Response to Interrogatory No. 4
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this interrogatory in that it seeks protected information regarding confidential
investigations. Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege, the
agency privilege, investigative privilege, spousal privilege, accountant client privilege, and any
other applicable privilege. Ms. Giuffre responds as follows: Ms. Giuffre met with the FBI on
or about March 17, 2011. Ms. Giuffre also corresponded with Maria Villafano from the U.S.
Attorney’s office and that correspondence has been produced. As to other investigations by law
enforcement, Ms. Giuffre objects as this seeks information covered by the investigative
privilege.
5. Identify each Communication that You or Your Attorneys have had with any
author, reporter, correspondent, columnist, writer, commentator, investigative journalist,
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photojournalist, newspaper person, freelance reporter, stringer, or any other employee of any
media organization or independent consultant to the same, including:
a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if
written, the format of any such Communication;
c. the identities of all persons involved in such Communication,
including the identity of the media organization with whom the agent
is or was affiliated;
d. the article title, date of publication, and means of publication of any
article, report, or re-printing of any such Communication made by
You or Your Attorneys;
e. the amount of Income that You and/or Your Attorneys received in
exchange for any such Communication;
f. the dates on which You and/or Your Attorneys received any such Income
for any such Communication.
Response to Interrogatory No. 5
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege. Ms.
Giuffre objects in that this request is overly broad and unduly burdensome.
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6. Identify any “false statements” attributed to Ghislaine Maxwell which were
“published globally, including within the Southern District of New York” as You contend in
paragraph 9 of Count 1 of Your Complaint, including:
a. the exact false statement;
b. the date of its publication;
c. the publishing entity and title of any publication containing the
purportedly false statement;
d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some
other form of media.
Response to Interrogatory No. 6
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms.
Giuffre objects in that it seeks information protected by the attorney-client privilege, the
attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
applicable privilege. Ms. Giuffre further objects because the information requested above is
in the possession of Defendant who has failed to comply with her production obligations in
this matter.
7. State whether You believe that You have ever been defamed by anyone other than
Ghislaine Maxwell. If so, as to each alleged act of Defamation, state
a. the exact false statement;
b. the date of its publication;
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c. the publishing entity and title of any publication containing the
purportedly false statement;
d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some
other form of media.
Response to Interrogatory No. 7
Ms. Giuffre objects to this request in that it violates Local Rule 33.3. Ms. Giuffre objects
to this request in that it seeks information protected by the attorney client and work product
privileges. Ms. Giuffre objects to this interrogatory in that it is not limited in time or to the
subject nature of this litigation.
8. Identify the individuals referenced in Your pleadings filed in the U.S. District
Court for the Southern District of Florida, Jane Doe 1 and Jane Doe 2 v. United States of
America, 08-cv-80736-KAM, as the “high-profile non-party individuals” to whom Mr. Jeffrey
Epstein sexually trafficked You, “including numerous prominent American politicians, powerful
business executives, foreign presidents, a well-known Prime Minister, and other world leaders,”
including as to each episode of alleged sexual trafficking:
a. the date of any such sexual trafficking;
b. the location of any such sexual trafficking;
c. any witnesses to any such sexual trafficking;
d. any Income You received in exchange for such sexual trafficking; and
e. any Documents You have to support or corroborate Your claim of such
sexual trafficking.
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Response to Interrogatory No. 8
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege.
Additionally, Ms. Giuffre objects to this interrogatory because naming some such individuals
would jeopardize her physical safety based on credible threats to the same. Ms. Giuffre refers to
the list of witnesses identified in her Revised Rule 26 Disclosures.
9. Identify any Employment You have had from 1996 until the present, including
without limitation, the name of Your employer or the name of any Person who engaged You for
such Employment, the address and telephone number for any such Employment, the beginning
and ending dates of any such Employment, Your job title in such Employment, and Your
Income from such Employment.
Response to Interrogatory No. 9
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege. Ms.
Giuffre objects to this request in that it is overly broad and unduly burdensome, and seeks
information that is not relevant to this case.
10. Identify any Income from any source other than Your Employment that You have
received from January 1, 1996 until the present, including the Person or entity providing such
Income, the amount of the Income, the dates on which any such Income was received, and
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14
the nature of the Income, whether a loan, investment proceeds, legal settlement, asset sale,
gift, or other source.
Response to Interrogatory No. 10
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms.
Giuffre objects to this request in that it is overly broad and seeks confidential financial
information. Ms. Giuffre objects to this interrogatory in that it seeks information covered by
confidentiality provisions. Ms. Giuffre objects to this information in that any payment
information for the sexual trafficking she endured at the hands of Jeffrey Epstein and
Ghislaine Maxwell is in the possession, custody and control of the Defendant and Jeffrey
Epstein.
11. Identify any facts upon which You base Your contention that You have suffered
as a result of the Alleged Defamation by Ghislaine Maxwell “past and future lost wages and
past and future loss of earning capacity and actual earnings – precise amounts yet to be
computed, but not less than $5,000,000.”
Response to Interrogatory No. 11
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this interrogatory in that it prematurely seeks expert witness disclosures. Ms. Giuffre
incorporates by reference herein her Revised Rule 26 disclosures, which includes her
computation of damages.
12. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, that You suffered from subsequent to any
Alleged Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
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15
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
f. whether health insurance or some other person or organization or entity
has paid for the medical expenses; and
g. for each such Health Care Provider, please execute the medical and mental
health records release attached hereto as Exhibit A.
Response to Interrogatory No. 12
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim and is not limited in scope to the issues in this case. Ms. Giuffre objects in that it
seeks information protected by the attorney-client privilege, the attorney work product privilege,
joint defense/common interest privilege, the agency privilege, investigative privilege, spousal
privilege, accountant client privilege, and any other applicable privilege.
13. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, including addiction to alcohol, prescription or illegal
drugs, that You suffered from prior to the Alleged Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
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f. whether health insurance or some other person or organization or entity
has paid for the medical expenses; and
g. For each such Health Care Provider, please execute the medical and mental
health records release attached hereto as Exhibit A.
Response to Interrogatory No. 13
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim and is not limited in scope to the issues in this case. Ms. Giuffre objects in that it
seeks information protected by the attorney-client privilege, the attorney work product privilege,
joint defense/common interest privilege, the agency privilege, investigative privilege, spousal
privilege, accountant client privilege, and any other applicable privilege. Ms. Giuffre objects to
this request in that it is not limited in scope to the medical information relating to the abuse she
suffered from Defendant and Jeffrey Epstein.
14. Identify any Person who You believe subjected You to, or with whom You
engaged in, any illegal or inappropriate sexual contact, conduct or assault prior to June 1999,
including the names of the individuals involved, the dates of any such illegal or inappropriate
sexual contact, conduct or assault, whether Income was received by You or anyone else
concerning such event, whether a police report was ever filed concerning such event and the
outcome of any such case, as well as the address and location of any such event.
Response to Interrogatory No. 14
Ms. Giuffre objects to this interrogatory in that it violates Local Rule 33.3. Ms. Giuffre
objects to this request in that it is overbroad and seeks confidential medical information of a sex
abuse victim. Ms. Giuffre objects to this request in that it seeks sexual assault information for a
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period prior to the sexual abuse at issue in this matter for a period when she was a minor child
from the time Ms. Giuffre was born until she was 15. Ms. Giuffre objects to this request in that
it is sought solely to harass, and intimidate Ms. Giuffre who is a victim of sexual abuse by the
defendant.
REQUESTS FOR PRODUCTION
1. All Communications and Documents identified in Interrogatories 1-14,
above.
Response to Request No. 1
Ms. Giuffre objects to this request in that Defendant’s interrogatories violate Local Rule
33.3. Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, joint defense, investigative, spousal and other applicable
privileges. Ms. Giuffre objects to this request in that it is overly broad, incorporating the
interrogatories that total 59 subparts. Ms. Giuffre objects to this request in that it seeks to invade
the privacy rights of a sex abuse victims, and is meant for the improper purpose of harassing and
intimidating this victim. Subject to the forgoing objections Ms. Giuffre produces herewith nonprivileged
documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue to
supplement this production. Ms. Giuffre is withholding documents based on her objections.
2. All Documents reviewed or relied upon in answering Interrogatory Nos.
1-14 above.
Response to Request No. 2
Ms. Giuffre objects to this request in that defendant’s interrogatories violate Local Rule
33.3. Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, joint defense, investigative, spousal and other applicable
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privileges. Ms. Giuffre objects to this request in that it is overly broad incorporating the
interrogatories that total 59 subparts. Ms. Giuffre objects to this request in that it seeks to invade
the privacy rights of a sex abuse victims and is meant for the improper purpose of harassing and
intimidating this victim. Subject to the forgoing objections Ms. Giuffre has produced nonprivileged
documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue to
supplement this production. Ms. Giuffre is withholding documents based on her objections.
3. All Documents from any law enforcement agency, whether local, state or
federal, whether in the United States or elsewhere, which concern or relate to You in any
way. These Documents should include, without limitation, any witness statements,
including statements made by You.
Response to Request No. 3
Ms. Giuffre objects to this request in that it seeks information that is protected by the
attorney client, work product, joint defense, investigative, spousal and other applicable
privileges. Ms. Giuffre objects to this request in that it is not limited in time period. Subject
to the forgoing objections, Ms. Giuffre has produced non-privileged documents bates
labelled GIUFFRE000001 to GIUFFRE003190 and will continue to supplement this
production. Ms. Giuffre is withholding documents based on her objections.
4. All Documents reflecting any letter of engagement, any fee agreement, or
any other type of writing reflecting an engagement of any attorney identified in
response to Interrogatory No. 3.
Response to Request No. 4
Ms. Giuffre objects to this request in that it seeks information that is protected by the
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19
attorney client, work product, joint defense and other applicable privileges. Ms. Giuffre is
withholding documents based on this objection.
5. All Documents relating to any Communications occurring from 1998 to the
present with any of the following individuals or with their attorneys, agents or
representatives:
a. Jeffrey Epstein;
b. Ghislaine Maxwell
c. Any witness disclosed in Plaintiff’s Rule 26(a) disclosures;
d. Any witness identified by You in response to Interrogatory No. 8 and No.
14;
e. Sky Roberts;
f. Lynn Roberts;
g. Kimberley Roberts;
h. Daniel LNU, half-brother of Plaintiff;
i. Carol Roberts Kess;
j. Philip Guderyon;
k. Anthony Valladares;
l. Anthony Figueroa;
m. Ron Eppinger
Response to Request No. 5
Ms. Giuffre objects to this request in that it is overly broad seeking documents relating to
over 60 individuals. Ms. Giuffre objects because compliance with this request is unduly
burdensome. Ms. Giuffre objects to this request in that documents responsive to this request are
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within the possession, custody and control of the defendant and Jeffrey Epstein with whom she
claims a joint defense privilege and defendant has refused to produce responsive documents to
Ms. Giuffre’s request seeking communications between the Defendant and Ms. Giuffre and
between Jeffrey Epstein and Ms. Giuffre. Ms. Giuffre objects to this request to the extent is
seeks documents protected by the attorney client, work product, joint defense, investigative or
any other applicable privilege. Ms. Giuffre objects to this request in that it is sought solely to
harass and intimidate Ms. Giuffre, and invade her privacy, by seeking her private
communications with her various family members, including aunts, uncles and parents and
siblings. Ms. Giuffre is producing herewith non-privileged documents bates labelled
GIUFFRE000001 to GIUFFRE003190 and will continue to supplement this production.
6. All photographs or video containing any image of You and the following
individuals. To the extent You have such photographs and video in their original, native
format, please produce them in that format (not a paper copy).
a. Ghislaine Maxwell
b. Alan Dershowitz
c. Jeffrey Epstein
d. Andrew Albert Christian Edward, the Duke of York (aka Prince
Andrew)
e. Ron Eppinger
f. Bill Clinton
g. Stephen Hawking
h. Al Gore
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i. Any of the individuals identified by You in response to Interrogatory
No. 8 and No. 14.
Response to Request No. 6
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre. Ms. Giuffre objects to this request to
the extent is seeks documents protected by the attorney client, work product, joint defense,
investigative or any other applicable privilege. Ms. Giuffre is producing herewith nonprivileged
documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue
to supplement this production. Ms. Giuffre does not have “original, native format,” as
requested so she is producing the paper copies she has in her possession, custody and control.
The Defendant has documents responsive to this request that she should produce.
7. All photographs and video of You in any of Jeffrey Epstein’s properties,
including, but not limited to: his home in Palm Beach, Florida; his home in New York
City, New York; his ranch in Santa Fe, New Mexico; and Little Saint James island in the
U.S. Virgin Islands. To the extent You have such photographs and video in their original,
native format, please produce them in that format (not a paper copy).
Response to Request No. 7
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom
she claims a joint defense privilege and defendant has refused to produce responsive
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documents to Ms. Giuffre’s request seeking communications between the Defendant and Ms.
Giuffre and between Jeffrey Epstein and Ms. Giuffre. Ms. Giuffre objects to this request to
the extent is seeks documents protected by the attorney client, work product, joint defense,
investigative or any other applicable privilege. Ms. Giuffre is producing herewith nonprivileged
documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue
to supplement this production. Ms. Giuffre does not have “original, native format,” as
requested so she is producing the paper copies she has in her possession, custody and control.
The Defendant has documents responsive to this request that she should produce.
8. All photographs or video of You in any of Ms. Maxwell’s properties,
including her home in London, England and her home in New York City, New York. To
the extent You have such photographs or video in their original, native format, please
produce them in that format (not a paper copy).
Response to Request No. 8
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein for whom she
claims a joint defense privilege and defendant has refused to produce responsive documents to
Ms. Giuffre’s request seeking communications between the Defendant and Ms. Giuffre and
between Jeffrey Epstein and Ms. Giuffre. Ms. Giuffre objects to this request to the extent is
seeks documents protected by the attorney client, work product, joint defense, investigative or
any other applicable privilege. Ms. Giuffre is producing herewith non-privileged documents
bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue to supplement this
production. Ms. Giuffre does not have “original, native format,” as requested so she is
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producing the paper copies she has in her possession, custody and control. The Defendant has
documents responsive to this request that she should produce.
9. Any Documents reflecting rental agreements or purchase agreements for the
residential addresses identified by You in response to Interrogatory No. 1.
Response to Request No. 9
Ms. Giuffre objects to this request in that it seeks confidential financial information that
is irrelevant to this action. Ms. Giuffre objects to this request to the extent is seeks documents
protected by the attorney client, work product, joint defense, investigative or any other applicable
privilege. Ms. Giuffre objects to this request in that the information regarding rental agreements
for the apartments that Defendant and Jeffrey Epstein rented for her are in the Defendant’s
possession, control and custody. Ms. Giuffre objects to this request in that it is not limited to
rental agreements relevant to this action, so it is overly broad and unduly burdensome. Ms.
Giuffre produces is producing non-privileged documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement this production.
10. All Documents relating to Your Employment and/or association with the
Mar-a-Lago Club located in Palm Beach, Florida, including any application for
Employment.
Response to Request No. 10
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, investigative or any other applicable privilege. Ms.
Giuffre produces herewith documents bates labelled GIUFFRE000001 to GIUFFRE003190 and
will continue to supplement this production.
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11. Any Document reflecting any confidentiality agreement by and between, or
concerning, You and the Mar-a-Lago Club.
Response to Request No. 10
Ms. Giuffre objects to this request to the extent is seeks documents protected by
the attorney client, work product, joint defense, investigative or any other applicable
privilege. Ms. Giuffre does not have any non-privileged documents responsive to this
request
12. All Documents concerning any Employment by You from 1998 to the
present or identified by You in response to Interrogatory No. 9, including any records of
Your Employment at the Roadhouse Grill in Palm Beach, Florida.
Response to Request No. 12
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, investigative or any other applicable privilege. Ms.
Giuffre produces herewith documents bates labelled GIUFFRE000001 to GIUFFRE003190 and
will continue to supplement this production.
13. All Documents concerning any allegations of theft by You from the
Roadhouse Grill in Palm Beach, Florida from 1999 – 2002.
Response to Request No. 13
Ms. Giuffre objects to this request to the extent is seeks documents protected by
the attorney-client privilege, the attorney work product privilege, joint defense/common
interest privilege, the agency privilege, investigative privilege, spousal privilege,
accountant client privilege, and any other applicable privilege. Ms. Giuffre objects to this
request in that it wrongfully characterizes a “theft by You”. Ms. Giuffre objects to this
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25
request as it seeks documents of sealed juvenile records, and the only means of obtaining
such records are either through court order or illegal means. Ms. Giuffre does not have
any non-privileged documents responsive to this request.
14. A copy of Your federal, state or local tax returns for the years 1998 to the
present, whether from the United States or any other country.
Response to Request No. 14
Ms. Giuffre objects to this request in that it seeks confidential financial information that
is irrelevant to this action. Ms. Giuffre objects to this request in that it seeks financial
information from her when she was a minor child starting at age 14. Ms. Giuffre objects in that
it seeks information protected by the attorney-client privilege, the attorney work product
privilege, joint defense/common interest privilege, the agency privilege, investigative privilege,
spousal privilege, accountant client privilege, and any other applicable privilege. Ms. Giuffre
produces herewith documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will
continue to supplement this production.
15. All Documents concerning Your attendance at or enrollment in any
school or educational program of whatever type, from 1998 to the present.
Response to Request No. 15
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney-client privilege, the attorney work product privilege, joint defense/common interest
privilege, the agency privilege, investigative privilege, spousal privilege, accountant client
privilege, and any other applicable privilege. Ms. Giuffre objects to this request in that her
school records from when she was a minor child are an invasion of privacy, and sought only to
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26
harass and embarrass her. Ms. Giuffre produces herewith non-privileged documents bates
labelled GIUFFRE000001 to GIUFFRE003190 and will continue to supplement this production.
16. Any diary, journal or calendar concerning Your activities between 1996 –
2002.
Response to Request No. 16
Ms. Giuffre objects to this request to the extent it seeks proprietary and copyright
protected materials. Ms. Giuffre objects in that it seeks information protected by the
attorney-client privilege, the attorney work product privilege, joint defense/common
interest privilege, the agency privilege, investigative privilege, spousal privilege,
accountant client privilege, and any other applicable privilege. Ms. Giuffre objects to this
request in that it seeks highly personal and sensitive material from a time when she was
being sexually trafficked. Ms. Giuffre does not have any non-privileged documents
created during the time period responsive to this request.
17. All Documents relating to Your travel from the period of 1998 to the
present, including, but not limited to a copy of Your passport that was valid for any
part of that time period, any visa issued to You for travel, any visa application that
You prepared or which was prepared on Your behalf, and travel itinerary, receipt, log,
or Document (including any photograph) substantiating Your travel during that time
period.
Response to Request No. 17
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
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27
applicable privilege. Ms. Giuffre objects to this request in that it is overly broad and not limited
to travel records relevant to the abuse she suffered. Ms. Giuffre objects to this request in that it
seeks information that is wholly irrelevant to this lawsuit. Ms. Giuffre produces herewith
documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will continue to supplement
this production.
18. All Documents showing any payments or remuneration of any kind
made by Jeffrey Epstein or any of his agents or associates to You from 1999 until the
present.
Response to Request No. 18
Ms. Giuffre objects to this request in that documents responsive to this request are within
the possession, custody and control of the defendant and Jeffrey Epstein with whom she claims a
joint defense privilege and defendant has refused to produce responsive documents. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege. At
this point in time, Ms. Giuffre has not found any non-privileged documents responsive to this
request, but continues to search for responsive documents.
19. Any Document reflecting a confidentiality agreement, settlement agreement,
or any contractual agreement of any kind, between You and Jeffrey Epstein, or any
attorneys for You and/or Mr. Epstein.
Response to Request No. 19
Ms. Giuffre objects to this request in that the documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein with whom she
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claims a joint defense privilege and defendant has refused to produce responsive documents.
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege, the
attorney work product privilege, joint defense/common interest privilege, the agency privilege,
investigative privilege, spousal privilege, accountant client privilege, and any other applicable
privilege. Ms. Giuffre is in possession of a document that contains a confidentiality provision.
If Defendant obtains, and produces to Ms. Giuffre, a written waiver from her co-conspirator, Mr.
Epstein, of the confidentiality provision, she will produce the document.
20. Any Document reflecting Your intent, plan or consideration of, asserting
or threatening a claim or filing a lawsuit against another Person, any Document
reflecting such a claim or lawsuit, including any complaint or draft complaint, or any
demand for consideration with respect to any such claim or lawsuit against any Person.
Response to Request No. 20
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, investigative, spousal or any other applicable
privilege. Ms. Giuffre objects because this request is overly broad and unduly burdensome in
that it seeks wholly privileged communications from other cases the logging of which on a
privilege log would be unduly burdensome. As such, Ms. Giuffre is providing categorical
privilege entries relating to those matters. At this point in time, Ms. Giuffre has not found
any non-privileged documents responsive to this request, but continues to search for
responsive documents.
21. All Documents relating to Your driver’s license from 1998 – 2002.
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29
Response to Request No. 21
Ms. Giuffre objects to this request in that documents responsive to this request are within
the possession, custody and control of the defendant and Jeffrey Epstein for whom she claims a
joint defense privilege and defendant has refused to produce responsive documents. Ms. Giuffre
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege. At
this point in time, Ms. Giuffre has not found any documents responsive to this request, but
continues to search for responsive documents.
22. A copy of Your marriage license(s) from 1999 to the present.
Response to Request No. 22
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
applicable privilege. Ms. Giuffre produces herewith documents bates labelled GIUFFRE000001
to GIUFFRE003190 and will continue to supplement this production.
23. All documents concerning Your naturalization application to Australia from
1999 to the present.
Response to Request No. 23
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
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30
applicable privilege. At this point in time, Ms. Giuffre has not found any non-privileged
documents responsive to this request, but continues to search for responsive documents.
24. All Documents concerning Your Employment in Australia, including, but not
limited to employment applications, pay stubs, Documents reflecting Your Income
including any tax Documents.
Response to Request No. 24
Ms. Giuffre objects to this request in that it seeks confidential financial information Ms.
Giuffre objects to this request to the extent is seeks documents protected by the attorney client,
work product, joint defense, investigative or any other applicable privilege. Ms. Giuffre objects
to this request in that it seeks overly broad financial information not tailored to the sexual abuse
and defamation issues in this case. Ms. Giuffre produces herewith documents bates labelled
GIUFFRE000001 to GIUFFRE003190 and will continue to supplement this request.
25. All Documents concerning any massage therapist license obtained by
You, including any massage therapy license issued in the United States, Thailand and/or
Australia.
Response to Request No. 25
Ms. Giuffre objects to this request in that documents responsive to this request are
within the possession, custody and control of the defendant and Jeffrey Epstein for whom
she claims a joint defense privilege and defendant has refused to produce responsive
documents. Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege, the
agency privilege, investigative privilege, spousal privilege, accountant client privilege, and
any other applicable privilege. At this point in time, Ms. Giuffre has not found any non-
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31
privileged documents responsive to this request, but continues to search for responsive
documents.
26. All Documents concerning any prescription drugs taken by You,
including the prescribing doctor, the dates of said prescription, and the dates of any
fulfillment of any such prescription.
Response to Request No. 26
Ms. Giuffre objects to this request in that it is not limited in date range in any way;
therefore if she was on a prescription drug when she was 2 years old, she would have to
produce that document. Ms. Giuffre also objects to this request in that it is not limited to
prescription drugs she has taken as a result of the abuse she endured. Ms. Giuffre objects to
this request to the extent it seeks confidential medical records that are not relevant to this
action. Ms. Giuffre objects to this request in that it seeks confidential financial information
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, investigative or any other applicable privilege.
Ms. Giuffre is limiting her production to prescription drugs that relate to the abuse she
suffered and the defamation by Defendant. Ms. Giuffre is withholding responsive
documents that are irrelevant to this lawsuit, but is producing documents relating to
prescription drugs relating to her treatment for sexual abuse she suffered, and relating to
conditions or symptoms arising after Defendant’s defamatory statement. Ms. Giuffre
produces herewith documents bates labelled GIUFFRE000001 to GIUFFRE003190 and
will continue to supplement this request.
27. All Documents, written or recorded, which reference by name, or
other description, Ghislaine Maxwell.
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32
Response to Request No. 27
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
applicable privilege. Ms. Giuffre objects to this request to the extent it seeks proprietary or
copyright protected materials. Ms. Giuffre produces herewith documents bates labelled
GIUFFRE000001 to GIUFFRE003190 and will continue to supplement her production. Ms.
Giuffre is withholding documents responsive to this request based on her objections.
28. All Documents reflecting notes of, or notes prepared for, any
statements or interviews in which You referenced by name or other description,
Ghislaine Maxwell.
Response to Request No. 28
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege,
the agency privilege, investigative privilege, spousal privilege, accountant client
privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the
extent it seeks proprietary or copyright protected materials. At this point in time, Ms.
Giuffre has not found any non-privileged documents responsive to this request, but
continues to search for responsive documents.
29. All Documents concerning any Communications by You or on Your behalf
with any media outlet, including but not limited to the Daily Mail, Daily Express, the
Mirror, National Enquirer, New York Daily News, Radar Online, and the New York Post,
whether or not such communications were “on the record” or “off the record.”
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33
Response to Request No. 29
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege,
the agency privilege, investigative privilege, spousal privilege, accountant client
privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the
extent it seeks proprietary or copyright protected materials. Ms. Giuffre produces
herewith non-privileged documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production.
30. All Documents concerning any Income received by You from any media
outlet in exchange for Your statements (whether “on the record” or “off the record”)
regarding Jeffery Epstein, Alan M. Dershowitz, Prince Andrew, Bill Clinton or Ghislaine
Maxwell or any of the individuals identified by You in response to Interrogatory Nos. 8
and 14.
Response to Request No. 30
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege,
the agency privilege, investigative privilege, spousal privilege, accountant client
privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the
extent it seeks proprietary or copyright protected materials. Ms. Giuffre objects to this
request in that it seeks confidential financial information. Ms. Giuffre produces
herewith non-privileged documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production.
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34
31. All Documents concerning any actual or potential book, television or movie
deals concerning Your allegations about being a sex slave, including but not limited to a
potential book by former New York Police Department detective John Connolly and writer
James Patterson.
Response to Request No. 31
Ms. Giuffre objects in that it seeks information protected by the attorney-client
privilege, the attorney work product privilege, joint defense/common interest privilege,
the agency privilege, investigative privilege, spousal privilege, accountant client
privilege, and any other applicable privilege. Ms. Giuffre objects to this request to the
extent it seeks proprietary or copyright protected materials. Ms. Giuffre objects to this
request in that it seeks confidential financial information. Ms. Giuffre produces
herewith non-privileged documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production. Ms. Giuffre is
withholding documents responsive to this request.
32. All manuscripts and/or other writings, whether published or unpublished,
created in whole or in part by or in consultation with You, concerning, relating or
referring to Jeffrey Epstein, Ghislaine Maxwell or any of their agents or associates.
Response to Request No. 32
Ms. Giuffre objects to this request to the extent is seeks documents protected by the
attorney client, work product, joint defense, investigative or any other applicable privilege. Ms.
Giuffre objects to this request to the extent it seeks proprietary or copyright protected materials.
Ms. Giuffre objects to this request in that it seeks confidential financial information. Ms.
Giuffre produces herewith non-privileged documents bates labelled GIUFFRE000001 to
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35
GIUFFRE003190 and will continue to supplement her production. Ms. Giuffre is withholding
documents responsive to this request.
33. All Documents concerning or relating to Victims Refuse Silence, the
organization referred to in the Complaint, including articles of incorporation, any financial
records for the organization, any Income You have received from the organization, and any
Documents reflecting Your role within the organization or any acts taken on behalf of the
Organization.
Response to Request No. 33
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
applicable privilege. Ms. Giuffre objects to this request to the extent it seeks proprietary or
copyright protected materials. Ms. Giuffre objects to this request in that it seeks confidential
financial information. Ms. Giuffre produces herewith non-privileged documents bates labelled
GIUFFRE000001 to GIUFFRE003190 and will continue to supplement her production.
34. To the extent not produced in response to the above list of requested
Documents, all notes, writings, photographs, and/or audio or video recordings made or
recorded by You or of You at any time that refer or relate in any way to Ghislaine
Maxwell.
Response to Request No. 34
Ms. Giuffre objects to this request in that documents responsive to this request are within
the possession, custody and control of the defendant and Jeffrey Epstein for whom she claims a
joint defense privilege and defendant has refused to produce responsive documents. Ms. Giuffre
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36
objects in that it seeks information protected by the attorney-client privilege, the attorney work
product privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege. Ms.
Giuffre objects to this request to the extent is seeks proprietary and copyright protected material.
Ms. Giuffre produces herewith non privileged documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production.
35. All phone records, including text messages, emails, social media
Communications, letters or any other form of Communication, from or to You or
associated with You in any way from 1998 to the present, which concern, relate to,
identify, mention or reflect Ghislaine Maxwell, Jeffrey Epstein, Alan Dershowitz, Prince
Andrew, Bill Clinton, or any of the individuals identified in response to Interrogatory Nos.
8 and 14.
Response to Request No. 35
Ms. Giuffre objects to this request to the extent it seeks documents from “anyone
associated with you” as that is vague and ambiguous. Ms. Giuffre objects to this request in that
documents responsive to this request are within the possession, custody and control of the
defendant and Jeffrey Epstein for whom she claims a joint defense privilege and defendant has
refused to produce responsive documents. Ms. Giuffre objects in that it seeks information
protected by the attorney-client privilege, the attorney work product privilege, joint
defense/common interest privilege, the agency privilege, investigative privilege, spousal
privilege, accountant client privilege, and any other applicable privilege. Ms. Giuffre objects to
this request to the extent is seeks proprietary and copyright protected material. Ms. Giuffre
produces herewith documents bates labelled GIUFFRE000001 to GIUFFRE003190 and will
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37
continue to supplement her production. While Ms. Giuffre has produced her documents, Ms.
Giuffre’s response does not include documents “from anyone associated with you” based on the
above referenced objection.
36. All Documents relating to massages, including but not limited to any
Documents reflecting the recruiting or hiring of masseuses, advertising for masseuses,
flyers created for distribution at high schools or colleges, and records reflecting e-mails
or calls to Persons relating to massages.
Response to Request No. 36
Ms. Giuffre objects to this request in that it is not time limited in any way. Ms. Giuffre
objects to this request in that documents responsive to this request are within the possession,
custody and control of the defendant and Jeffrey Epstein for whom she claims a joint defense
privilege and defendant has refused to produce responsive documents. Ms. Giuffre objects in
that it seeks information protected by the attorney-client privilege, the attorney work product
privilege, joint defense/common interest privilege, the agency privilege, investigative
privilege, spousal privilege, accountant client privilege, and any other applicable privilege.
Ms. Giuffre produces herewith documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production.
37. Statements or records from any bank into which You deposited money
received from Jeffrey Epstein, any Person identified in Interrogatory No. 8 or 14, any
witness disclosed in Your Rule 26(a) disclosures, any media organization or any employee
or affiliate of any media organization.
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38
Response to Request No. 37
Ms. Giuffre objects in that it seeks information protected by the attorney-client privilege,
the attorney work product privilege, joint defense/common interest privilege, the agency
privilege, investigative privilege, spousal privilege, accountant client privilege, and any other
applicable privilege. Ms. Giuffre objects to this request in that it seeks personal financial
information. Ms. Giuffre objects to this request in that it is overly broad as it has no time
limitation. Ms. Giuffre produces herewith documents bates labelled GIUFFRE000001 to
GIUFFRE003190 and will continue to supplement her production.
Dated: March 16, 2016
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
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CERTIFICATE OF SERVICE
I certify that on March 16, 2016, I electronically served Plaintiff Virginia Giuffre’s
Responses and Objections to Defendant’s First Set of Discovery Requests on the following:
Laura A. Menninger, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
By: /s/ Sigrid McCawley______
Sigrid McCawley
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EXHIBIT 4
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EXHIBIT 5
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EXHIBIT 6
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EXHIBIT A
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United States District Court
Southern District Of New York
--------------------------------------------------X
Virginia L. Giuffre,
Plaintiff,
v.
Ghislaine Maxwell,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
DEFENDANT’S FIRST SET OF
DISCOVERY REQUESTS TO PLAINTIFF
Pursuant to Federal Rules of Civil Procedure 26, 33 and 34, defendant Ghislaine Maxwell
propounds this First Set of Discovery Requests to Plaintiff Virginia Giuffre. Plaintiff shall
respond in writing to the Interrogatories, and shall produce documents as requested, within thirty
(30) days of service at the offices of Haddon, Morgan & Foreman, P.C., 150 E. 10th Avenue,
Denver, Colorado.
DEFINITIONS AND INSTRUCTIONS
1. “Any” means any and all.
2. “You,” “Your,” or “Plaintiff” means Plaintiff Virginia Roberts Giuffre, whether
known at the relevant time as Virginia Roberts, Virginia Roberts Giuffre, or some other alias,
and anyone acting on her behalf, as her agent, associate, employee or assignee.
3. “Your Attorneys” includes any attorney who You have engaged to represent You,
whether for remuneration or pro bono, from 1999 until today, including without limitation,
David Boies, Paul Cassells, Bradley Edwards, Spencer Kuvin, Sigrid McCawley, and Jack
Scarolla.
...............................................
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4. “Document” is intended to be defined as broadly as permitted by Rule 34 and
includes every writing or record of every type and description that is or has been in Your
possession, custody or control, or of which You have knowledge, including but not limited to, emails,
text messages, instant messages, videotapes, photographs, notes, letters, memoranda,
forms, books, magazines, resumes, notebooks, ledgers, journals, diaries, calendars, appointment
books, papers, agreements, contracts, invoices, analyses, transcripts, plaques, correspondence,
telegrams, drafts, data processing or computer diskettes and CD disks, tapes of any nature and
computer interpretations thereof, instructions, announcements, and sound recordings of any
nature. “Document” also means all copies which are not identical to the original document as
originally written, typed or otherwise prepared. The term “Document” shall also include all
documents of any nature that have been archived or placed in permanent or temporary storage
including electronic storage.
5. “Communication” means any transmission or exchange of information between
two or more persons, orally or in writing or otherwise, and includes, but is not limited to, any
correspondence, conversation or discussion, whether face-to-face, or by means of telephone, email,
text message, electronic message via apps such as Facebook, What’s App, Snapchat,
LinkedIN or similar, or other media or Documents.
6. “Alleged Defamation” means a false statement of fact or mixed statement of fact
and opinion about You which was published to a third person and caused You damage or harm.
With respect to “Alleged Defamation” which You contend was committed by Ghislaine Maxwell
or at her direction or request, it refers to the statements either contained in, referenced by, or
alluded to in Your Complaint, or any that could be included in any amended complaint in this
action.
7. “Employment” includes without limitation, the provision of work and/or services,
whether paid or unpaid, whether as an employee, intern, or independent contractor, whether
hourly or for a salary, and whether full or part time.
8. “Health Care Provider” means a hospital, treatment center, doctor, nurse,
psychiatrist, psychologist, counselor, therapist, social worker, or other medical or mental health
care practitioner, and includes any Person or entity referred to as a “Health Care Professional” or
“Health Care Institution” in Colorado Revised Statute § 13-64-202(3) and (4).
9. “Identify” means to specify as to a “Person,” the name, address, telephone
number and any other identifying information possessed by You or Your Attorneys.
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3
10. “Income” includes, without limitation, any revenue, payments, compensation,
remuneration, financial benefit or support or any other financial consideration, or provision of
any other thing of value.
11. “Person” means any natural person, individual, firm, partnership, association,
joint venture, estate, trust, receiver, syndicate, enterprise or combination, corporation or other
legal, business or government entity.
12. “Relate,” “relating,” “relates” means concerning, referring to, responding to,
relating to, pertaining to, connected with, evidencing, commenting on, regarding, discussing,
showing, describing, reflecting, analyzing or constituting.
13. Please restate each discovery request immediately before providing Your answer
or objection thereto.
14. Regardless of the tense employed, all verbs should be read as applying to the past,
present and future, as is necessary to make any paragraph more, rather than less, inclusive.
15. If, in answering these interrogatories, You encounter any ambiguity in construing
them, explain what is ambiguous and how You construed the interrogatory in Your response. If,
after exercising due diligence to obtain the information requested, You are unable to answer an
interrogatory fully, please so state and answer to the extent possible, specifying the reason or
reasons why You cannot answer fully and providing whatever information You do have about
the unanswered portion.
16. With respect to any Documents withheld on the basis of a privilege, provide a log
consistent with Local Rule 26.2.
17. Nothing in these interrogatories or requests for production should be construed as
an admission by Ghislaine Maxwell.
INTERROGATORIES
1. State:
a. Your present residential address;
b. Each residential address You have had since 1998, including any residential
treatment facilities;
c. the dates You lived at each address;
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4
d. the other Persons who lived with You at each address and for what period of time
they lived at such address.
2. Identify any email address, email account, cellphone number and cellphone
provider, social media account and login or screen name, text or instant messaging account name
and number, that You have used, applied for or been supplied between 1998 and the present.
3. Identify each attorney who has represented you from 1998 to the present, the
dates of any such representation, and the nature of the representation.
4. Identify each Communication, including the transmission of any Document, that
You or Your Attorneys have had with any local, state or federal law enforcement agent or
agency, whether in the United States or any other country, whether in Your capacity as a
purported victim, witness, or perpetrator of any criminal activity, and whether as a juvenile or as
an adult, including without limitation:
a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if written, the
format of any such Communication;
c. the identities of all persons involved in the Communication, including the identity
of the law enforcement agency with whom the agent is or was affiliated;
d. the case number associated with any such Communication;
e. the subject matter of any such Communication;
f. the disposition of any case associated with any such Communication, irrespective
of whether the matter was sealed, expunged or later dismissed.
5. Identify each Communication that You or Your Attorneys have had with any
author, reporter, correspondent, columnist, writer, commentator, investigative journalist,
photojournalist, newspaper person, freelance reporter, stringer, or any other employee of any
media organization or independent consultant to the same, including:
a. the date of any such Communication;
b. the form of any such Communication, whether oral or written and if written, the
format of any such Communication;
c. the identities of all persons involved in such Communication, including the
identity of the media organization with whom the agent is or was affiliated;
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 8 of 19
5
d. the article title, date of publication, and means of publication of any article,
report, or re-printing of any such Communication made by You or Your
Attorneys;
e. the amount of Income that You and/or Your Attorneys received in exchange for
any such Communication;
f. the dates on which You and/or Your Attorneys received any such Income for any
such Communication.
6. Identify any “false statements” attributed to Ghislaine Maxwell which were
“published globally, including within the Southern District of New York” as You contend in
paragraph 9 of Count 1 of Your Complaint, including:
a. the exact false statement;
b. the date of its publication;
c. the publishing entity and title of any publication containing the purportedly false
statement;
d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some other
form of media.
7. State whether You believe that You have ever been defamed by anyone other than
Ghislaine Maxwell. If so, as to each alleged act of Defamation, state
a. the exact false statement;
b. the date of its publication;
c. the publishing entity and title of any publication containing the purportedly false
statement;
d. the URL or internet address for any internet version of such publication; and
e. the nature of the publication, whether in print, internet, broadcast or some other
form of media.
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 9 of 19
6
8. Identify the individuals referenced in Your pleadings filed in the U.S. District
Court for the Southern District of Florida, Jane Doe 1 and Jane Doe 2 v. United States of
America, 08-cv-80736-KAM, as the “high-profile non-party individuals” to whom Mr. Jeffrey
Epstein sexually trafficked You, “including numerous prominent American politicians, powerful
business executives, foreign presidents, a well-known Prime Minister, and other world leaders,”
including as to each episode of alleged sexual trafficking:
a. the date of any such sexual trafficking;
b. the location of any such sexual trafficking;
c. any witnesses to any such sexual trafficking;
d. any Income You received in exchange for such sexual trafficking; and
e. any Documents You have to support or corroborate Your claim of such sexual
trafficking.
9. Identify any Employment You have had from 1996 until the present, including
without limitation, the name of Your employer or the name of any Person who engaged You for
such Employment, the address and telephone number for any such Employment, the beginning
and ending dates of any such Employment, Your job title in such Employment, and Your Income
from such Employment.
10. Identify any Income from any source other than Your Employment that You have
received from January 1, 1996 until the present, including the Person or entity providing such
Income, the amount of the Income, the dates on which any such Income was received, and the
nature of the Income, whether a loan, investment proceeds, legal settlement, asset sale, gift, or
other source.
11. Identify any facts upon which You base Your contention that You have suffered
as a result of the Alleged Defamation by Ghislaine Maxwell “past and future lost wages and past
and future loss of earning capacity and actual earnings – precise amounts yet to be computed, but not
less than $5,000,000.”
12. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, that You suffered from subsequent to any Alleged
Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 10 of 19
7
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
f. whether health insurance or some other person or organization or entity has paid
for the medical expenses; and
g. for each such Health Care Provider, please execute the medical and mental health
records release attached hereto as Exhibit A.
13. Identify any Health Care Provider from whom You received any treatment for any
physical, mental or emotional condition, including addiction to alcohol, prescription or illegal
drugs, that You suffered from prior to the Alleged Defamation by Ghislaine Maxwell, including:
a. the Health Care Provider’s name, address, and telephone number;
b. the type of consultation, examination, or treatment provided;
c. the dates You received consultation, examination, or treatment;
d. whether such treatment was on an in-patient or out-patient basis;
e. the medical expenses to date;
f. whether health insurance or some other person or organization or entity has paid
for the medical expenses; and
g. For each such Health Care Provider, please execute the medical and mental health
records release attached hereto as Exhibit A.
14. Identify any Person who You believe subjected You to, or with whom You
engaged in, any illegal or inappropriate sexual contact, conduct or assault prior to June 1999,
including the names of the individuals involved, the dates of any such illegal or inappropriate
sexual contact, conduct or assault, whether Income was received by You or anyone else
concerning such event, whether a police report was ever filed concerning such event and the
outcome of any such case, as well as the address and location of any such event.
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 11 of 19
8
REQUESTS FOR PRODUCTION
1. All Communications and Documents identified in Interrogatories 1-14, above.
2. All Documents reviewed or relied upon in answering Interrogatory Nos. 1-14
above.
3. All Documents from any law enforcement agency, whether local, state or federal,
whether in the United States or elsewhere, which concern or relate to You in any way. These
Documents should include, without limitation, any witness statements, including statements
made by You.
4. All Documents reflecting any letter of engagement, any fee agreement, or any
other type of writing reflecting an engagement of any attorney identified in response to
Interrogatory No. 3.
5. All Documents relating to any Communications occurring from 1998 to the
present with any of the following individuals or with their attorneys, agents or representatives:
a. Jeffrey Epstein;
b. Ghislaine Maxwell
c. Any witness disclosed in Plaintiff’s Rule 26(a) disclosures;
d. Any witness identified by You in response to Interrogatory No. 8 and No. 14;
e. Sky Roberts;
f. Lynn Roberts;
g. Kimberley Roberts;
h. Daniel LNU, half-brother of Plaintiff;
i. Carol Roberts Kess;
j. Philip Guderyon;
k. Anthony Valladares;
l. Anthony Figueroa;
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 12 of 19
9
m. Ron Eppinger.
6. All photographs or video containing any image of You and the following
individuals. To the extent You have such photographs and video in their original, native format,
please produce them in that format (not a paper copy).
a. Ghislaine Maxwell
b. Alan Dershowitz
c. Jeffrey Epstein
d. Andrew Albert Christian Edward, the Duke of York (aka Prince Andrew)
e. Ron Eppinger
f. Bill Clinton
g. Stephen Hawking
h. Al Gore
i. Any of the individuals identified by You in response to Interrogatory No. 8 and
No. 14.
7. All photographs and video of You in any of Jeffrey Epstein’s properties,
including, but not limited to: his home in Palm Beach, Florida; his home in New York City, New
York; his ranch in Santa Fe, New Mexico; and Little Saint James island in the U.S. Virgin
Islands. To the extent You have such photographs and video in their original, native format,
please produce them in that format (not a paper copy).
8. All photographs or video of You in any of Ms. Maxwell’s properties, including
her home in London, England and her home in New York City, New York. To the extent You
have such photographs or video in their original, native format, please produce them in that
format (not a paper copy).
9. Any Documents reflecting rental agreements or purchase agreements for the
residential addresses identified by You in response to Interrogatory No. 1.
10. All Documents relating to Your Employment and/or association with the Mar-a-
Lago Club located in Palm Beach, Florida, including any application for Employment.
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 13 of 19
10
11. Any Document reflecting any confidentiality agreement by and between, or
concerning, You and the Mar-a-Lago Club.
12. All Documents concerning any Employment by You from 1998 to the present or
identified by You in response to Interrogatory No. 9, including any records of Your Employment
at the Roadhouse Grill in Palm Beach, Florida.
13. All Documents concerning any allegations of theft by You from the Roadhouse
Grill in Palm Beach, Florida from 1999 – 2002.
14. A copy of Your federal, state or local tax returns for the years 1998 to the present,
whether from the United States or any other country.
15. All Documents concerning Your attendance at or enrollment in any school or
educational program of whatever type, from 1998 to the present.
16. Any diary, journal or calendar concerning Your activities between 1996 – 2002.
17. All Documents relating to Your travel from the period of 1998 to the present,
including, but not limited to a copy of Your passport that was valid for any part of that time
period, any visa issued to You for travel, any visa application that You prepared or which was
prepared on Your behalf, and travel itinerary, receipt, log, or Document (including any
photograph) substantiating Your travel during that time period.
18. All Documents showing any payments or remuneration of any kind made by
Jeffrey Epstein or any of his agents or associates to You from 1999 until the present.
19. Any Document reflecting a confidentiality agreement, settlement agreement, or
any contractual agreement of any kind, between You and Jeffrey Epstein, or any attorneys for
You and/or Mr. Epstein.
20. Any Document reflecting Your intent, plan or consideration of, asserting or
threatening a claim or filing a lawsuit against another Person, any Document reflecting such a
claim or lawsuit, including any complaint or draft complaint, or any demand for consideration
with respect to any such claim or lawsuit against any Person.
21. All Documents relating to Your driver’s license from 1998 – 2002.
22. A copy of Your marriage license(s) from 1999 to the present.
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 14 of 19
11
23. All Documents concerning Your naturalization application to Australia from 1999
to the present.
24. All Documents concerning Your Employment in Australia, including, but not
limited to employment applications, pay stubs, Documents reflecting Your Income including any
tax Documents.
25. All Documents concerning any massage therapist license obtained by You,
including any massage therapy license issued in the United States, Thailand and/or Australia.
26. All Documents concerning any prescription drugs taken by You, including the
prescribing doctor, the dates of said prescription, and the dates of any fulfillment of any such
prescription.
27. All Documents, written or recorded, which reference by name, or other
description, Ghislaine Maxwell.
28. All Documents reflecting notes of, or notes prepared for, any statements or
interviews in which You referenced by name or other description, Ghislaine Maxwell.
29. All Documents concerning any Communications by You or on Your behalf with
any media outlet, including but not limited to the Daily Mail, Daily Express, the Mirror,
National Enquirer, New York Daily News, Radar Online, and the New York Post, whether or not
such communications were “on the record” or “off the record.”
30. All Documents concerning any Income received by You from any media outlet in
exchange for Your statements (whether “on the record” or “off the record”) regarding Jeffery
Epstein, Alan M. Dershowitz, Prince Andrew, Bill Clinton or Ghislaine Maxwell or any of the
individuals identified by You in response to Interrogatory Nos. 8 and 14.
31. All Documents concerning any actual or potential book, television or movie deals
concerning Your allegations about being a sex slave, including but not limited to a potential book
by former New York Police Department detective John Connolly and writer James Patterson.
32. All manuscripts and/or other writings, whether published or unpublished, created
in whole or in part by or in consultation with You, concerning, relating or referring to Jeffrey
Epstein, Ghislaine Maxwell or any of their agents or associates.
33. All Documents concerning or relating to Victims Refuse Silence, the organization
referred to in the Complaint, including articles of incorporation, any financial records for the
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 15 of 19
12
organization, any Income You have received from the organization, and any Documents
reflecting Your role within the organization or any acts taken on behalf of the Organization.
34. To the extent not produced in response to the above list of requested Documents,
all notes, writings, photographs, and/or audio or video recordings made or recorded by You or of
You at any time that refer or relate in any way to Ghislaine Maxwell.
35. All phone records, including text messages, emails, social media
Communications, letters or any other form of Communication, from or to You or associated with
You in any way from 1998 to the present, which concern, relate to, identify, mention or reflect
Ghislaine Maxwell, Jeffrey Epstein, Alan Dershowitz, Prince Andrew, Bill Clinton, or any of the
individuals identified in response to Interrogatory Nos. 8 and 14.
36. All Documents relating to massages, including but not limited to any Documents
reflecting the recruiting or hiring of masseuses, advertising for masseuses, flyers created for
distribution at high schools or colleges, and records reflecting e-mails or calls to Persons relating to
massages.
37. Statements or records from any bank into which You deposited money received from
Jeffrey Epstein, any Person identified in Interrogatory No. 8 or 14, any witness disclosed in Your
Rule 26(a) disclosures, any media organization or any employee or affiliate of any media
organization.
Dated: February 12, 2016
Respectfully submitted,
s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 16 of 19
13
CERTIFICATE OF SERVICE
I certify that on February 12, 2016, I electronically served Defendant Ghislaine
Maxwell’s First Set of Discovery Requests to Plaintiff on the following:
Sigrid S. McCawley
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
s/ Laura A. Menninger
Laura A. Menninger
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 17 of 19
Authorization to Disclose Protected Health Information
Name:
Address:
Date of Birth:
Soc. Sec. #
I hereby authorize the use and/or disclosure of my protected health information as
described in this authorization.
1. Specific person/organization (or class of persons) authorized to provide the
information:
2. Specific person/organization (or class of persons) authorized to receive and
use the information:
Haddon, Morgan and Foreman, P.C.
150 East 10th Avenue, Denver, Colorado 80203
3. Specific description of the information: Complete medical record from
inception of treatment to present, including, but not limited to, all of my office medical
records, hospital medical records, patient information sheets, questionnaires, x-rays, other
diagnostic studies and laboratory tests, emergency room records, out-patient records,
consultation records, therapy records, and all other in-patient or out-patient hospital
notes, charts, documents, all personal notes and all billing records.
4. Specific purpose for the use and/or disclosure of the protected health
information: At my request in connection with litigation pending in the County District
Court.
5. I understand this authorization will expire, without my express revocation,
one year from the date of signing, or if I am a minor, on the date I become an adult
according to state law. I understand that I may revoke this authorization in writing at any
time except to the extent that action has been taken based on this authorization. I
understand that revocation will not apply to information that has already been released as
specified by this authorization or to my insurance company when the law provides my
insurer with the right to contest a claim under my policy or the policy itself.
6. I understand that the medical information released by this authorization
may include information concerning treatment of physical and mental illness,
alcohol/drug abuse and past medical history.
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 18 of 19
7. I understand that after this information is disclosed, federal law might not
protect it and the recipient might disclose it.
8. I understand that I am entitled to receive a copy of this authorization.
9. I understand that I may refuse to sign this authorization and that my refusal
to sign will not affect my ability to obtain treatment from the above-named medical
provider.
10. Photocopies of this authorization are to be given the same effect as the
original.
Date
Case 1:15-cv-07433-RWS Document 71-6 Filed 03/23/16 Page 19 of 19
04/ 05/ 2016 15:49 FAX
!410002/ 0002
B 0 I E S. S C H I L L E R & F L E X N E R L L P
401 EAST LAS OLAS BOULEVARD• SUITE 1200• FORT LAUDERDALE. FL 33301-2211• PH. 954.356.0011 •FAX 954.356.0022
Via Facsimile Transmission
212-805-7925
Honorable Robert W. Sweet
US District Judge
Daniel Patrick Moynihan
United States Courthouse
500 Pearl Street
New York, NY 10007-1312
April 5, 2016
Re: Virginia Giuffre v. Maxwell
Case No. 15-cv-07433-RWS
Dear Judge Sweet:
Sigrid S. McCawley, Esq.
Email: smccawley@bsfllp.com
1(0) ~ © ~ n \YI~ rm
/JS. APR 052016 J1
JUDGE SWEET CHAMBERS
!"'*"-.....
Counsel for Ms. Giuffre inadvertently filed a confidential document as Exhibit 4 to Docket
Entry 79. In order to rectify the error, counsel for Ms. Giuffre spoke with an employee with the
ECF help desk who instructed us to inform the Court via letter that he placed a temporary seal on
Exhibit 4 to Docket Entry 79, Declaration of Sigrid S. McCawley, pursuant to this Court's
Protective Order (Docket Entry 62). Thank you for your consideration and my apologies for the
error.
Sincerely,
Sigrid S. Mccawley
SSM/dk
Cc: Laura A. Menninger, Esq.
Jeffrey Pagliuca, Esq.
WWW.BSFLLP.COM

.---- - 1 ,.-
' 1 USDC SDNY
1\noCUMENT
11 ELECTRONICALLY
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK rn .r:n
----------------------------------------f DOC #: ---fr't-rri.;;-rr-
1 DATE FILED: VIRGINIA L. GIUFFRE,
Plaintiff,
15 Civ. 7433 (RWS)
- against -
ORDER
GHISLAINE MAXWELL,
Defendant.
----------------------------------------x
Sweet, D.J.
Plaintiff's motion to compel Defendant to Produce Documents
Subject to Improper Objections, filed February 26 , 2016, ECF No.
35, was granted in part and denied in part as set forth in open
court on March 17, 2016. See ECF Nos. 66, 98. Defendant's
motion for a protective order regarding deposition of Defendant,
filed March 22 , 2016, ECF No. 63, was granted in part and denied
in part as set forth in open court on March 24 , 2016. Tr. 4:7 -
7:16, ECF No. 82 . Defendant's motion to compel Plaintiff to
disclose pursuant to Federal Rule of Civil Procedure 26, filed
March 22, 2016 , ECF No. 64 , was denied with leave granted to
refile as set forth in open court on March 24, 2016. Tr. 3:19
4: 6.
It is so ordered .
New York, NY
April !/ , 2016
U.S.D.J.

United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v .
Ghislaine Maxwell,
Defendant.
______________________________/
REDACTED DECLARATION OF SIGRID S. McCAWLEY IN SUPPORT OF
PLAINTIFF VIRGINIA GIUFFRE’S REPLY IN SUPPORT OF MOTION FOR
FORENSIC EXAMINATION
I, Sigrid S. McCawley, declare that the below is true and correct to the best of my
knowledge as follows:
1. I am a partner with the law firm of Boies, Schiller & Flexner LLP and duly
licensed to practice in Florida and before this Court pursuant to this Court’s September 29, 2015
Order granting my Application to Appear Pro Hac Vice.
2. I respectfully submit this Declaration in support of Plaintiff Virginia Giuffre’s
Reply In Support of Motion For Forensic Examination.
3. Attached hereto as Exhibit 1, is a true and correct copy of Letter dated April 11,
2016 from Laura Menninger, Counsel for Defendant.
4. Attached hereto as Exhibit 2, is a true and correct copy of Message Pads
messages.
Case 1:15-cv-07433-RWS Document 122 Filed 04/25/16 Page 1 of 4
5. Attached hereto as Exhibit 3, is a true and correct copy of Defendant Ghislaine
Maxwell’s Responses and Objections to Plaintiff’s First Request For Production of Documents.
6. Attached hereto as Exhibit 4, is a true and correct copy of
7. Attached hereto as Exhibit 5, is a true and correct copy of correspondence dated
April 7, 1026 from Sigrid McCawley, Counsel for Plaintiff.
8. Attached hereto as Exhibit 6, is a true and correct copy of correspondence dated
March 10, 2016 from Sigrid McCawley, Counsel for Plaintiff.
9. Attached hereto as Exhibit 7, is a true and correct copy of an excerpt from the
Deposition of Ghislaine Maxwell taken April 22, 2016.
10. Attached hereto as Exhibit 8, is a true and correct copy of an excerpt from the
Deposition of Ghislaine Maxwell taken April 22, 2016.
I declare under penalty of perjury that the foregoing is true and correct.
/s/ Sigrid S. McCawley ____
Sigrid S. McCawley, Esq.
Case 1:15-cv-07433-RWS Document 122 Filed 04/25/16 Page 2 of 4
Dated: April 25, 2016.
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Boies, Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite
1200 Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies, Schiller & Flexner LLP
333 Main Street
Armonk, NY 10504
Ellen Brockman
Boies, Schiller & Flexner LLP
575 Lexington Ave
New York, New York 10022
(212) 446-2300
Case 1:15-cv-07433-RWS Document 122 Filed 04/25/16 Page 3 of 4
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on April 25, 2016, I electronically filed the foregoing
document with the Clerk of Court by using the CM/ECF system. I also certify that the foregoing
document is being served this day on the individuals identified below via transmission of Notices
of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
Jeffrey Paliuca, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley, Esq.
Case 1:15-cv-07433-RWS Document 122 Filed 04/25/16 Page 4 of 4
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B 0 I E S. S C H I L L E R & F L E X N E R L L P
40! EAST LAS OLAS BOULEVARD• SUITE 1200 • FORT LAUDERD.ALE, FL 3330i 2 21 i • PH 954.356.001 • FAX 954.356.002 2
Sigrid S. Mccawley, Esq.
Email: smccawley@bsfllp.com
April 25, 2016
Via CM/ECF .. ' .... ~
Re: Giuffre v. Maxwe ,
Case no. 15-cv-07433-RWS - Regarding Protective Order
Dear Judge Sweet:
This is a letter motion to file Ms. Giuffre's Non-Redacted Reply in Support of Motion for
Forensic Examination ("Reply Brief') and certain accompanying exhibits under seal pursuant to
this Court's March 18, 2016, Protective Order and the Southern District of New York Electronic
Case Filing Rules & Instructions 6.2.
The Protective Order states:
Whenever a party seeks to file any document or material containing CONFIDENTIAL
INFORMATION with the Court in this matter, it shall be accompanied by a Motion to
Seal pursuant to Section 6.2 of the Electronic Case Filing Rules & Instructions for the
Southern District of New York.
See Protective Order [DE 62] signed on March 17, 2016, at p. 4. Defendants have designated
certain documents as Confidential Information and have designated Defendant's entire
deposition testimony as confidential. Ms. Giuffre takes no position at this time on whether
Defendant's designations are proper. Because of the Protective Order, however, Ms. Giuffre
believes that she cannot presently produce or reference such documents in public court filings.
Accordingly, as Ms. Giuffre's Reply Brief contains material that Defendant has designated as
confidential, she seeks leave to file the Non-Redacted Reply Brief and certain related exhibits
under seal.
Respectfully submitted,
~~ ,/
/;ig~ Mc;:~.
cc: Laura Menninger via CM/ECF
WWW BSFLLP.COM
> ,, ,
r
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
----------------------------------------x
VIRGINIA L. GUIFFRE,
Plaintiff,
- against -
GHISLAIN.E MAXWELL,
Defendant.
--------------------------------------~-x
A P P E A R A N C ~ S:
Counsel for plaintiffs
.. z 1.
BOEIS, SCHILLER & FLEXNER LLP
· 401 Ea'st L'a.s 01·as Boulevard, ·sufte
Fort Lauderdale, FL 33301
By: ·'' Sigrid$. Mccawley, E:sq.
Meredith L. Schultz, Esq.
Counsel for Defendants
HADDON, MORGAN AND FOREMAN, P.C.
150 East Tenth Avenue
Denver, CO 80203
By: Laura A. Menninger, Esq.
Jeffrey S. Pagliuca, Esq.
15 Civ. 7433 (RWS_
OPINION
1200
USDCSDNY
..
DOCUivfENT
ELECrRONICAL .. Y FILED
DOC#:
DATE FI-LE..D- -: ',J.=.-. lf -)...+-[+'(""",",
~
1
. r
( I i !
} t
.-----------------------------------~---·'-.
Sweet, D.J.
Plaintiff Virginia Giuffre ("Giuffre" or "Plaintiff") has
moved to compel De fendant Ghislaine Maxwell ("Maxwell" or
"qefendant") .";:.~o J?l;Oduce documents withheld on the grounds of
privile'ge':E Ba'Sed on the conclusions set forth below, the motion
'''· ;.:'.'''1'"''.·'.::-·
is granted in p~rt and d$nied in p~rt. ·.;. ,:.,
l.
l : .~.
forth in the · Court's Feb.r:_tjA~Y 2'.6', , 2,016 ~ Opinion denying
:'"' .' . ~ . .
Defendant's motion to dismiss, this case concerns Defendant's
statements denying Plaintiff's allegations concerning
Defendant's role in Plaintiff's sexual abuse as a minor.
On February 26, 2016,,. Plaintiff fi led the instant motion to
compel Defendant to respond to interrogatories to which
Defendant has claimed the protection of the attorney-client,
attorney-cl ient-agent , and common interest privileges. Oral
argument was held on Marc h 17, 2016. During argument, the Court
held that in camera review was warranted for purposes of
2
.,
determining whether privilege applied to the doc uments in
quest i on, and Defendant was directed to file any further
submiss ions necessary to establish her privilege claim. On March
31, 2016, Defendant submitted a declaration and exhibits in
opposition to Plaintiff's motion, at which point the matter was
deemed fullyc submitted. ·.
II. The J?riv;i.l.ege Claim$ at l$l?rie
:
Defendant has withheld 99 pages of emails with
communications involving various combinations of Brett Jaffe,
Esq. ("Jaffe"), Mark Cohen, Esq. ("Cohen"), Philip Barden
' ·' . ,i~ ' :;;
("Barden"), Ross Gow ("Gow"), Brian Basham ("Basham"),
andfacts
that follow summarize
Defendant's assertions regarding her relationship to each of
these individuals.
Defendant h i red Jaffe , th~n of Cohen & Gresser LLP, to
represent her in connection wlth l ega l matte r s in the United
States a t some indeterminate point in 2009 . Def.'s Deel . of L.A .
Menninger in Supp. Def.'s Resp . to Pl .' s Mot. to Compel
Production of Docs. Subject to Improper Privilege, ECF . No. 47 ,
3
Ex. E, :SI :~ '' {:,'Maxwell Deel."). Detendant does not set forth an.
end date.: .. t _o . Jaf~e! s , representation·, but swears that when JaH~E;
·i ,1~$ t .C.phen,.&, G:resse.;r-1· M~rlc ·•• .Coben continued as her counsel· . . I:d ;, '][
·"
Defendant hired Barden of Devonshire : Solic-Jtor;:>;" on Ma•r .ch·~A,
2011 to represerit her in connection with legal matters in
England, .C!.n.d Wa-les. ) p,. <J[ 1. befendant hired Gow, her "media
agerit," on tlie. same d~t,e • . Id .. '][ 6.
Defenc:lant conununi.cated · pursuant to a.
conunon interest agreement betwe.en them and their respective
De;e~,~~~~ ~nderst~od ... ~:"~e act in~ ::s
:: ; ·"·.•,..,•··· 1;;{:-:,.· _;,
understood for some
. f ~ '.
unidentified period of time. Id. '][ 15.
.,, ,,
Defendant has not established the nature of her
relationship with Basham.
"
4
-----------------------------------'--------- -·
Defe ndant's withheld emails c a n be organized as fo ll ows l:
1 . Communications wi th Jaffe on March 15, 2011, #1000-19. 2
2 . Communications with Gow on January 2 , 2011, #1020-26.
3. Communications with Gow and Basham on January 2, 2015, #1027-
1028.
4. Communications with Barden
a. On January 10, 2015, #1045-51
5. Communications wf th Barden ·and Gow
a. On January 10, 2015, #1044
b. On January 9 ~rid ~ to, 2015, #1052-55
c. On January 11, 2015, #1055-58
d~ - On · January 21::,c: :·,2'Q11Sy #108'8-90 · ·
6. Communications with
a. On January '6, 2trf5", ~ #T02 9
b. On January 11, 2015, #1055-58
c. Between January 11 and 17, 2015, #1059-' 83,'·,including
for~arded email between Barden #1069-73,
#1076- 79, and including forwarded email between Barden,
Defendant, and Cohen, #1068-69, 1074-76.
d. Between January 21 and 27, 2015, #1084-1098, #1099.
7. Communications with . · on Janffary 6,
2015, #1030-43.
Some emails w~te forw~rdea ~or carbon copied ("C~ i d") later in
the chain, le'adihg to some· oVerlap and duplication. Whether one
party or ~nother ~was ~ ; dir~ct r~~ipient or a CC'd recipient of •
a n email is n6t significant f6r purposes of the privilege
a nal ysis, as the waiver issue i s determined by the purpose of
the third-party's inclusion in the cormnunications, not
necessarily whether the com~un i cation was d irected toward them
by copy or di rect email. See ~' MOE9..~E1:_Y..:_~i::~o rk St ate
1 This organizat ion is derived from Defenda nt ' s privi l ege log_
Is s ue s with respect to characterizations in the log will be
address e d -in-f-ra- § v_ 2 All references preceded by # refer to the Bates s tamp number of
Defendant ' s in came ra submi ssion s .
5
=.~
-~
Dep't of Envtl. , ConsE?~vat;\.on, 9 A.D.3d.S86, 5$8, 779 N.Y.S.2d
64 3, 645 (2004) (pri'[il~ge ;J,9st whep · dos;urnen:ts were carbon
copied to a t~i~d ;;P?rtyf;, ~~~::.~lso . ~nfra irv. ·.'i
Defendant claims the ~,4tor::n,~y ;.client :pr:ivilege .. ~ppLie.s to ..
::;¥·;,; ; __ i~· '< ~ '. .. ;r ,.. -~.'~'
groups l and 5, the Ci•ti:t<1?.~%~Y~~cJ.i.t£EIJt :q.g:e!;l.?, ,:priyiJ,eg_e,' applies to
• ;·.. .;. ·.'.'./ ... '.;_rt • ....
groups 2 through 4; and the,,.:toqf!W,)b)1<· ~n,.t~~.es)I•;P_~i;yq_~He ,9pplies to
~ ..
, . DE;;~ er:dan ~ ~·hc;ts f.:,~1?~B~.e? .:,:.~~~ ~p J?8.t~.9t, ~ QJ} , 8; ·. p~ iyi ~e9¢ , for
communications with. New, ... ':i:'o.rk. -co.unsel Jaffe and London solici toL ... · :;·, .;' I"'.<:'.':.· · ·".;, ::-•:{,Y~-~:;;.: f'1'JJ~:':::> ~:{_:j.,_~.: ·.;•::._., ~:,•,;"• "· _;·::'.·. '. '.'i'. ' ; :·/,''.J. .:· .. •".i·• .. :· t
Barde11. O~f e.nda,nt . c;loes . ,no_t,. pi~J21f,te that :th,e COJllffiunicat_;io n~ witl}.
Jaffe are, governe<J; by_ th~ . pr~v .. He9e law 9£ NE!"t York State.
Def.' s Supp . . Mem . . of ,L,(;l\'f . . iD . Resp. to fl.' s Mo.t. to Compel . , . , ~ -. ·- '-• ., ·~ •'. ·j!. ;-1 ... . .. .
Production of D9c.umel)t~ , .. ~pb.ji;;c.t . to Improper Claim of . Privilege,
ECF No. 461 at .3 ("Def.' ,s . S?P,P· Opp."); see also Fed. R. Civ. P.
501; Alli.ed IrishBanks:y. ,, BankofArn., N.A., 240 F.R.D. 96, 102
(S.D.N .Y . 2007) ("Because this Court's subject matter
jurisdiction is based upon diversity ... state law provides
the r ule of decision concerning the c laim of at t orney-client
6
,·
"
_______________________________________ ........ _ .
privilege."). However, Defendant submits that a choice of law
issue arises with respect to her communications with Barden. Id.
at 3~5.
Defendant has not specified whether she seeks to withhold
documents containing communications with Ba'rd~n subject to the
Bri ti.Sh l~gal-advice or litigation, pri Vile·g$s.:. Rather;,
Defendaht":r'.s privilege log 'lists the "attorney"-client prfV:;i,.lege'f
with respciC't t:o the, B·arden commurilcati9hs - i:i.nd h]'.'oa(;lly ... asseri;s'.
that all privileges asserted are "pursuant to· Br. itish liaWT
Colorado law and NY law. 11 Privilege Log at 1. Defendant argues
construed pursuant' to British law." Def.'s • Supp. Opp; at '. 4~
It is only in Defendant's in camera filing that Defendant
has provided any legal argument supporting an assertion of
protection under British privilege law.3
Defendant's claim is based on two suppositions: first, that
" [tJhe UK litigation privilege protects communications to and
3 Defendant argued in s uppl emental opposition that "Ms . . Maxwell
has not had sufficient time to secure appropriate affidavits,
documents and legal opinions concerning British law's attorneyclient
privi l ege s ," see king additional time to submit these
materials. Def.'s Supp. Opp. a t 4.
·•
from~ cli~nt ;,and he r atftorney and . to a third party[.]" Deel. of
L, A. Menninger: in :' ;Supp,. . D.~f. ' .S, I,n" Camera Submissions ("Menninger
Deel.") <JI 24 (emphasis in original). Second, that the scope of
privilege is wider tnan explicit legal advice provided in the
context ._qf lu ~'.i.<g4t:io,n,.;. encqmpassing .c;ornrnunications related to
"actual;; o·f: : i:;qn t;,~~~f:i'lt~d ;Jlt!i.f,t;i.gatrion./ ', ;:I<;l, <temphasis in origiIJa.J,): ..
Defendant ,s,uP,P,q~t .s. J:q.~ s:.e.;,·::a';r:g .!Jmepts :,with'. ci>tC1tion to, <Be.label ,v; .;:
Air:, d;ri~·~q:id i~~s:,8J.;;:.~:D/•;-0 ·f';I~, ~- L9'.J'.'d,:~:r'.a y,l ;q,t: .aI).d,:- ;:i, t::~ p,rog_eny :Trrre:~ ·· ·.·,
Riye:r:s r1 DC:: v.::.f-JB~.f1;)<_ t qf~i.Ehg·}.aJ1d,j,. tpi:scJ;_q5q,i:$·l i.'~;<No' ~ ' A)-,_ [20_0:5J, .1 . ~· . q .
610 and :!:· (No·~:·J:?l0::l itk'f:2:.0.,0Hd:OJ{}!L ;>~'8 .c;,'·i n,. ,, ... ,, ..
Lo:tq,/I'q:Y%9,~;s ;;; : ,9p,;i.n)l;pn, ·.tn ;B.e;labw;;,explioitly · addr~ss~ w · P
"wheU1e;r;'•: ;[tn<?~rfleg~,J.;.r.pr~ofess »ion~d.J j pr·iY.iJ.~ge . ex-tends ·Only .to -.
communications seeking or conveying legal advice, or to all that
pass~ _s , b~.t;weeJl) .l'?oiil.:icitor;,,:<;iDO' clien-_t on;. matters within the ·
ordinary . busines~ ;;_ o£,,. a · s .olic:i,ctor." · BC1label, Ch. 317, 321-332.
Lord Taylor discusses at 1-ength,; whether communications between a
solicitor and client are privileged if they do not contain
explici.t 1~gal .- advice 1 • ultimately deciding the scope of the
privilege i,s wider; rd, at 330 ("the test is whether the
communica tion or other document was made confidentially for the
purpose of legal advice."). However, Defendant ' s citation does
not supp6rt the statem ~nt for which it is directly cited: t hat
waiver does not apply to coinmu nications includi ng a thi rd-party
8
----------------------------------·- ····-·.,··
if for the purpose of contemplated litigation. Plaintiff, with
the aid of British counsel and without having seen Defendant's
British law argument, s6bmits an interpretation of British law
directly contradicting Defendant's. 4
• • . ~ ·f
This precarious support provides an insufficient foundation
for the Court to apply foreign law to Defendant's claims. See
Tansey ·v. Cochlear ' ttd., No.···13-"CV-4628 SJF ' SI·L,· 2014 WL .
4676588, at *'4 (E.';D; N.Y; · Sept. 18, 2014) ("the party relying on
foreign law has the ''l:forden of showing such law bars production '
of documents." (quoting: ;B'rigl:itEdge Techs-.·, !nc. v.
Searchmetrics; · GtnbH, '14-'cv-1009-WHO; 2014 WL 3~r65062 *2
(N. D. Cal. Aug / 13/ 2014) (internal quotation· marks omitted)) .
Moreover, at ~ea~t cirie New York court has fourid that
British ~rivilege iaw is "apparently similar" to New York'~.
Aetna Cas. & SuL Co. · v. Certain Underwriters at Lloyd's London,
4 "Where there is no attorney involved in the communication ... ,
there can be no 'lega l advice' privilege unde r English La w";
"(i]n absence of any express obligation of confidentiality,
[Plaintiff] submits that privilege does not attach to
communications involving Ross Gow and the lawyer."; "Under
Eng.lish Law, communicati ons between client and lawyer through an
agent will be protected by l egal advice privilege, but thi s will
only apply in situations where the agent f unct i ons as no more
than a mere conduit." Pl.'s Reply in Response to Def .'s Supp .
Mem. of L. in Resp . to Pl.'s Mot. to Compel the Production of
Documents Subject to Improper Claim of Priv. at 4-6 (emphas i s
removed ) ("Pl.' s Reply") .
9
.. ~ ..
/.
176 t'lisc. 2d ~05, 609, .. ,676N.Y ., S.?d 727 (Sup. ct. 1998) (citirg
Waugh v .. Eriti.sti J\ys ;,: BQ. ,., .<19~Q i {\C_ .S?l [H. L.]), aff' d sub . nom ..
A~tna cc;i.s. : & Sur. _ Cq_. , v; . . <:;er:tain .,Urn:ferwri ter.s . i'lt . Lloyd,' s / 2?3·
A.D.2d 367, 692 N.Y.S.2d 384 (19~Q). -/L'hat .(!ourt found that both
do~trines ~require that legal advice be a ptedominate purpose of
L''·.
The,.~nP ~-~. Y~:.l ~S].E'{~,911ci,:~Y~: ~:§-.:,-;li !;!(}er ef U~ ,·):ci\f '.,}?1?.~;3.l,)- ~ ~-s · tl:le ... ~-n-~J,Xf~ s
un,der,. New,.Ybr-k ~,laW.;F·.l'i'eql,Jir"iitg (d: ) a <:.<;::ominunicaotion , between .'anr, .1
~~·~_.;-· -~·-:·-"'\.:.~'.:-<. . . ·~.c:· -~:(<~-,,.~¥·••~· 'J.;,··;:-, _'.·:,_ '.~.-~~_:···; .. ! , .• l ~~;_ ·::~ •• '':-' ~:-<' ::~_ ... -~':.', .:· . ·-1._,.i_ •• '--~ .
atJ:,pr.,11eY.;;. a,,n~d .. 61Je~~:~:< J;i,4) .. W}1.,q~ j ;h. ~J1,e '.'·YPPJ:-~e ,..o:t, tli,13
represent a:tion ':/. S:~:.~tr!.: : Sc:ii¥t:f;~h;':_:);~~f:-~~·~r~ ;.3f:·.; P.~9:V;~~gj, ng·. ~~~a.),. i ,actyi c;e-.
CorriEar~ . T;h:ree .. "'R·:i:·~er s~~pG . .;;tn.~spJ.;R?~E-~Jt .,.{N,o .:A.'.> ,<;i lJ?:O OSJ. :;,.l /~·~,r:;, .- .6:1.Q
1t1ith .. ~,e:o.vle .,_.;y .• ,M,i;t~Jii:;i-:I;)!•,-.i .5. 8, .. N;· Y\·}ci. : 3;6,8~ .. 3,7.3, , .. 448 ' ~ ~: E ;2 dJ1_2:1 ., i. ·
(1983). The policy purposes 6f privilege in both jurisdictions
also mi..r ~fn<gr:ie : aqp.t:l1e_;I:;,·. '·" Qori)p.::u::e , B~;Lab~l at .. 324. (" [TJ.he, basic
princ;ip},~ . j u,s,;t:;j fy;~ng, )e,g!]31 pro;tes_qi\?!}al priyilege arises .•<Grom
the public .in;t~re.st , .;req:u_iTir,i_g_ ,ful.,l .fl.nd· frank exchange of
::.:. . . . . . ·-.. ,. . .. .. . . '..: .. : ; . _,. -: .;. -~- : .
confidence between soli citor and client to enable the latter to
receive necessaty ·legal"' advice.''!) ·• with People ·v. · Mitchell, 58
·' -~
N.Y. 2d 368 , 373; 448: N',E.2d 1.21 (1983) ("[C.P~L.R. § 45'03's]
purpose is to· ensure· that one seeking legal advice will be able
5 As reasoned ~£1..~ra, the .predominate purpose of the
communicat.ions is the primary issue with respect to Defendant's
claim t hat privilege applies to the communications with Barden.
10
to confide fully and freely in his attorney, secure in the
knowledge that his confidence will not later be revealed to the
public to his detriment -or .'his embarrassment") . Even the
purposes for which Defendant cites British law--to assert that
the scope of :privilege ·can (i) .-encompass communications to non-
·attorneys, (.iik made outside of the context of pending
: .. ,.,T ..
litigation--are directly addressed hy ~lements .of .New York law.
Respectively,
~ ,:,.. .::·; ;.. ' . ;· . .• ,:-<''" '
(i) New York; s agency and common intere.st
-- -~ ,, .0 .... ~~:~~;, ,...
privileges extend the umbrella of attorney-client communications
;:.! -~{ .:. ~-~<~ ·. ·; ;~ ~ ;.
"
to third parties, and (ii) the analysis regarding the
j··
predominance of legal advice in the communications at issue and
Ambac Assur. Corp. v. Countrywide Home Loans, Inc.6 both expand
the scope of privilege to protect certain content unrelated to
ongoing litigation. See infra § IV. Indeed, Defendant refers to
New York law citations to support her argument about the
: ;.·
protection provided "[p]ursuant to British legal authority."
Menninger Deel. t 25 ("citing NY law for same principle."). A
choice of law analys is need not be reached where the law applied
is not outcome determinative. On Time Aviation, Inc. v.
Bombardie r Capital, Inc., 354 F. App'x 448, 450 n.l (2d Cir.
2009).
6 12 4 A.D.3d 129, 998 N.Y.S.2d 329 (20 1 4) (holding l i tigati on i s
no t p e r se ne cessary for appl i c ation of the c ommon inte r es t
privi.l e g e ).
11
Finallyi app~ying ~ the v choice of 1aW ' test tesults irr • · .
applicati·on of. New · York -1 law~., .. J\s:t:--ha_s !ibeen heil:d in this district;
",,: f w) here, ,as · he.rei!:;:alTeged ,~pri vileg~d ·communications·· took
pla~e in a for~ign country or involved foreign attorneys or
,; proc::eeding$,;'! t :hii.s G;9u.L1t~:nde:fers ; to1 t ·hei>' l ,aw;. of ,,the country:
that has the ·"predoininant" or "the most direct and
corrip~d;iki,f:lg,tfii'itei;;eis,t;<:1~i~!i;Dn ;;: wbe tl;per"~An hose ·. cornmunicationsri'shbuld
remain conUdentiaL Ur,ile§·s that foreign law is contrary to
vbe: ':1puJ:~J::i c ~po:l'·;L¢,y,;i~d;t;:·' t::J1:is,,\.\iff.o:i:urit·i;c~ \i; f.;.:.J _..,"_" ,, ,,
Astra Aktie}:)olag .v·. Ail.dJ:"x dl?harm., .,Inc. / 208 ;F. R. o. 92, 98
)!'f. ,, ;.<'; dL ·L:!~;~r4~}:·~· h:if~~' ~'.h>;;j;!1 i{};. :.; ';.,·~:;1Y , T' ; ... : , ,. ·· ..
(S~D.N,Y. 2oo;a; (quoting G9lcte.;n Trad~, S.r.L, v. Lee Apparel
;i~ :.t ~<.: ~>_/~;:0:~~~~~.'.i -~;(- =~fft.~~~ ~;: r:~~;;';~:~~-~:~~ ;~ <~~-.t~--~~ .tr··.. J ·.:,~: -":1 ~ ;,. ~~.< ~3;J} .,~ ~ :;; : ,. '~ • ·~ ~ ·- ~ .:~Lt:~:;~'.~· :.:·:;.' ~. 'Ji t
Co., 143 !r, R.i'.L 514, 5.22 : o. N.Y. 1992); Bayer AG & f1iles, Inc.
v. Barr Labs . . , In!'.;., Nc,L 92 CIV. 0381 CWK)t 1.994 WL 705331, at
r~.t~ ~-- ·. ·.r .~<:;~··:~~·;tr;;ti:r:~~~:r(:*+~:~·i~~~:fi~f-~t'li ;::-··itrdt:~~- .': ·r=1 :r r1· .• ,
*4 (S.D.N.Y. Dec.· 161 ~994)).
t~. ~~€-.
,·. ::
. .
The Court has previously held that New York has the
'. :i ·;1 '.;: .. _.,,.;!,•· :': ... .. , ,_:· ·. ,: ,:;·
predominate interest in this case. ~iuffre v. Maxwell, No. 15
CIV. 7433 (RWS)~ 2016 WL 831949, at *2 n.2 (S.D.N.Y. Feb. 29,
2016) ("Because New York has the most significant interest, New
York law applies.~) . The potential litigation for which
.. ·~., '"": ·'· .{.: ;":0.. •. "t ·' ·'i .•.•
Defendant sought Barden's advice never came to fruition and no
·."? .P: ' ·:..:::•.<
pending is s ues i n or relating to Britain have been pled. Thus,
any c onsequence resulting from a ruling on the confide nt i a l ity
of the Barden commun i cations will sound only in New York, the
s itu s of th i s case and the location of the allegedly defamatory
s tat eme n t s a t issue: New York therefore has the predominate
12
interest .in whether these communications remain confidential.
The similarity bet weeh New ~ork and British attorney-client
privileg~ demonstrates that no public polidy conflict exi~ts.
Consequently, New York law applies to all of Plaintiff's
privilege ~laims. ; . ~
-. . .. ~
IV. Applicable Sti:l.ndali(:t
.1 :: .
The purpose of the attorney~client privilege is to
facilitate and safeguard the provision of legal advice; "to
•... ,.,_,.,,. .. ~ .. ,_;;, :: ,.,., .. • ~- '='·
ensure that one seeking legal advice will be able to confide
:r. .. _:; -~ ·: ,:•;.·. ;. ~ .
fully and freely in his attorney.u Mitchell, 58 N.Y.2d at 373.
New York law provides:
:'!.
Unless the client waives the privilege, an attorney or his
or her employee, or any pe~son who obtains without the
knowledge of the client evidence of a confidential
corrununication ma.de · between th.e attorney or his. or her
employee and the client in the course of professional
employment, shal1.· not .. disclose r or be allowed to disclose
such communication, nor shall the client be compelled t o
disclose such communication, in any action(.]
N.Y.C.P.L.R. § 4503(a) (1).
The privilege only applies to attorney-client
communications "primarily or predominately of a l ega l
character." Hossi v. Blue Cross & Blue Shi.el.?..._C?l._ . .S:;r ~_<: ter N . ..1_:_,
13
:··
l>
.·.:~i , ...
73 N, Y . .2d 588, 594 1 542 : N :~Y.$, ,.2d 508" 540 N.E.2d 703 (1989));
are protect;e,d r Ic:U "The ::cri-tica.J.,; ... ingui.ry i-s .whether,, ,v;:i:e....,,ing ; the
lawyer's communication in its full content and .c.ontex,t, '.i ,t wqs
made in order t6 tend~i legal advice or setvites to the client."
Id . . -· - ·
. .
(quoting :?eect . .rurn $y$, I.nJ'.l C(>rp, . v~ C,hem, qBank, 78 N. Y .2d
. ~~~tJf E~?i:f~:~;~ S.. :2:=. :·;· :ti.~i·~{~ ·i
371, 379, 575 N.Y.S.2d 8'09:, 5'81 N .• E.2d 105·5 (199·J,: )).
The party during communication or
·:. ·~·
1185 (1989). There exiiti a:n ekception, re{erred to as the
agency· pri vi'lege ,< w h'ert· Hi h·e·;~;thi td::.party faci ltt a te$ "the rendering
'.':· =•,: ·:·. 7
··~,,;
of legal·: a dvice·;· :sucb•· a·s i co:rrtmufricat i0nsnn2fde, by the client to
. ;,; .. #'•
the· attorney's emp1oyees, i through "an·, interpreter, or, to 1~ one
serving as an agent: of·, e j.tMe:.t · tbe· a ttor.ney ·or .client·." :Id .. :
Similarly, the common interest privilege extends the
attorney-client privilege to "protect the confidentiality of
communications passing fr om one party to the at t orney for
another party where a j oint defense ef f ort or strategy has been
d e cided upon and undert a ke n by the part ies and thei r respec tive
14
..
l'i
counsel." United States v. Schwi1TUT1er, 892 F.2d 237, 243 (2d Cir.
1989). To show the corrunon interest privilege applies, the party
claiming its protection must show the co1TUT1unication was made in
the course of the ongoing common enterprise with the intention
of furthering that enterprise. Id .. A limited common purpose
necessitating disblosure ·is sufficient, and ~a total 'identity of
interest '.among -theC:participants is not requir~d under''J'leW ; Yo.z;-k
law. " "GUS Consulting·. GMEH v. · C::hadbourne · & ''Parke . LLP, 20 Misc: .·-3d
539, 542;· 858 N.Y.S ~ 2d 591; ·593 (Sup. Ct;: 2008).
;"!···
Despite· their shor-thi:i"nd names, , neither th.e agenc;y privilege
may only exist to pardon the presumptive w~'fver that would
result from disclosure of otherwise privileged attorney-client
communications to a third party when that third-party is
fLt 'l · t ~:· •· . . " '··
included under the umbrella of the agency or comrnon-interes~
doctrines. See U.S. Bank Nat. Ass'n v. APP Int'l Fin. Co., 33
A.D.3d 430, 431, 823 N. Y.S.2d 361, 363 (2006) ("Before a
communication can be protected under the co1TUT1on interest rule,
the communication must satisfy the requirements of the attorneyclient
privilege."); Don v. Singer, 19 Misc. 3d 1139 (A), 866
N.Y. S . 2d 91 (Sup. Ct. 2008) ("The attorney-client privilege may
extend to the agent of a client whe re the communications are
15
intended to facilitate< the p;rovision of lega~ services to the
client." . (citations, qnql ir.rt;.ernal quotation ma.rks omitted)) . . i . . .
. The party assertJ:J1 9 •;p:rotect.:i;Q.n peFrs· the burden o{ p;rov4,ng
·+ 1'l • ,'{ ,29 cat ;84. b ,;54·9 ,,;N.; § 1'\'?,d .;;it / Ll $.'Y:c•(1qi t .?,t:h:90l;! V9ffii.tJ;eq); " Eg;i,a~Ciryan
v ':: •;;Zi?liU~YeV;;L~;~O ~;:~ (J1.,:i:t9'Y ±4~·l-r• 1·;?8 ;~ W.~ Q.:.N. (~ ;~g ~ O ~)J. ~ }~ $uro;h ; shO\,'l~ngs
. .
· ffi,μs t:;.;.Q~·tb"?se<;i:_:'.9l1 •. ,f,~!1Ul~t~;2.Q®:;~.~~¥:~/4~:2£~:L:.,~~}:!·~f.~¥f;±!J;·,~p.~9!)'.:J:i3.f!t~glavi-ts'
. depos i ti.on test:i,;rtjQ!P:,y/;/:g l.ft±.o~~<?!.'.da~m ~ssj;~~e:h ~v i'.dence :cTg V' (ci,t:i.ng·
von Bulow by Auersperg v~ von B~~6w, 811 F.2d 136, 147 (2d
· ·i.~i i:;-• ..:: ).·:1.;.··1.<?.e l:~~ti·t'.'.¢l~n j;•e..91, ·ti~~::ig~',P · •·;r1;;'.L;Ehl;~Y .t:HJ;7f";$i•' <;;,p;; ... ~:~:fNNt1 :~9·5.• ·r,'.~ :·:Eld ; . 2d · ·
. .
4 98~ A i .98})r;: t:.Bpwne .,;Q~~; . .;N •:r¥.:l+;.@~~,,r,.r·Irtc;,;.,, N;_;,, X\m~ai~.~ ,:: co;rp.' ~ '', 1{~0,, __ F ~-·J3. '0 ;;' .: :
4 65 I 47;2::, ( s .D~. N. Y: • .i\iJ,\Q. ~~8 H~ ·.T ;:;·
• .. • . t :·· ... ~..':"'' .' ·•.;
v ,
{ .. :~ ·;':-· ,; :: , ..
in Part
;.._. =~: '; "' '
Consistent with the afore~entioned standards, to survive
· ..•. . l •:; ..
the instant motion to compel, Defendant must establ ish (1) an
; -:
attorney-client relationship ex i sted, (2) the withheld documents
contain a communication made within the context of that
relationshi p, (3) for. the purpose of obta ining l egal advice , and
(4) the intended confidentiality of that communication, and (5)
16
.. ··
.. :;-
maintenance of confidential ity via a lack of waiver or an
exception to waiver such as extension via the common interest
privilege or the agency privilege. See ~'Safeco Ins. Co. of
Am. v. M.E.S., Inc., 289 F.R.D. 41, 46 (-E";D.N .. Y. ,201,i,) (applying
New York law) (citing Abu Dhabi Commercial Bank v. Morgan
Stanley, 08 CV 7508 (SAS), 2011 WL 47'16334-; .at *2 (S.D.N·.·Y. Oct.
3; 2011)) . .. J:: 'I ~ i'· '/'
·~" ·,
•. t
1.. ·,conununications with Jaffe Are! P.r:tvile~ed ,,. ,
',~··
·"An attorney-client relationship is.r established where there
is an explicit undertaking to perform a specific task/ ' .·• ' ·
Pellegrino v. Oppenheimer &Co., 49 A ~ D.3d 94, 99;; 8$i· N.Y.S.2d
19 (2008). oe .fendant has sworn that she 'hired Jaffe in· 2009 to
represent her in connection with a deposition. Maxwell Deel: 1
9. Though Defendant ha s failed to s pecify the· end-date ·of
Jaffe's representationj the in came ra submissions demonstrate
that these communications were made within the context of an
ongoing attorney-client relationship for the purpose of
providing legal advice re l ated to t he specific task for which
Defendant hi red Jaffe . Defe nda nt i nt ended that the
communications remain confident i al. Maxwell Deel. '1l 12-13. The
communications themselves were sol e ly b e tween attorney and
17
-----------------------------------~--~·--- •>-•······--···
client, :.·demons.tra ting la.ck of waiver. Accordingly, Defendant's
sl..ibrni ssions · lH000,~19 .are privileged .
. ;' . • 2 .,.,, G,Qtim\Unicati6ns with .Gow Alone Must Be Produceq.
so1el:'y betwE?en Gow .and. Defendant regarding release of a . p\i:J:>Iic;
r.e1:at.ton.s stat.e,inent in .response to inquiries · from journalists
., ·. ,;
. .
De~efida~t ·provides no argument relevant to the application of
, · ··p)}.&,;r;t· h!:;!'t;J~::i:::tf o•s, em~'.ll~~"~ r;i.evo;~~d • •9£ ,•·any' at to rn.ey.;, Cl i:eI1t· ·commu n .t'C"a.t.ibn ·;· · · ·
The only ID.eri.Lion->o'r ·' 0enteAt'' of a legal ch$•ra.c·ter refers · tE:> ... . ;. .·' :· .. · : . . .
a\·i~i;·tH1:g+~ c(?ntenv from Barden, indicating .that- a·r1y communic9ti9n:·,
w.i:.:t;i )"i .Ba :~den : was · ;tor; the:'pu:tpose of facilitating .. Gowr-.$ public
re11:ati6n~ efafiort.s. Regardless, without an attorney-client•
totrununi'catd!Ont,to< facilitate., ,it cannot bi:! said that Gow' '.s
pre:set'ta:e-'' and,.. i:nput .· was".necessary to somehow clarify or improve.
comprehension rof Defendant communications.• with counsel, as the·
standard reguires. ; See Egiazar yan.1 290 F.R.D. at 431..1 As such ,
., Defendant argues Egia zarz-9_!2 doe s not apply. Def.' s Supp. Opp.
at 9 .. Defendant distinguishes that case as involving a public
relaiions firm , where thi s case involves ~ public relations
"agent." Id. As r easoned inf.i::'.'.! §V(S), the Court does not r ely on
Eg~azaryan for the principle that a public r e l ations firm (or
agent or spec i alist) ca nno t be deemed an agent for purpos es o f
privilege protection.
18
------ ·--- ------~----------------- - ---------· - - ---------- , ___ .
Defendant has not met her burden of demonstrating that the
communications fall -beneath the umbrella of attorney-client
privilege and cannot be rehabilitated by the extension provided
by the agency privilege. Defendant must produce the emails in
#1020-26.
3. Communications with Gow and Basham Must :ae :P;:-od~ced '
Tliese emails, ' documents #1027-28, are between Defendant and
Gow, with ·s~sham CC' d. Basham was therefore a th:i.'rd-party privy
to these corrunuhicatd:ons between Defendant ·and · Gow > Defendant hCIS
not :identified· Basham.· Therefore, Defendant has failed to
:establish an attorney'"client .relationship, an attorney-client
communication of a predominately legal character, and lack of
waiver. Accordingly, documents #1027-28 are not privileged and
Defendant must produce these emails.
4. Comrriunications· with Barden Alone Are Privileged
Defendant submits in her suppl ementa l reply and in camera
submissions that these communications, ftl045-51, are nonresponsive
as they c ontain only communications between Defendant
and Barden and "(n]o other party parti c ipated in t his email
19
correspondence. 0
• Menninger. Deel.. 'lI 11; Supp. Reply at 5 n. 2 :·
Documents .:·#1,045-:4 6 . conta.iri ·c,ommunications · b'etween Defendant.,and
B.i',\)7.den:;: · rowe.YeX., .. .documents ;·#.-l04 7-:51· include Gow (and iCOntain
inf;r~, § · V ( 5), as these documents are responsive to Plaintiff'· s
Document Request No. 17.a Defendant's representations of t)1is
batch ·bf comrounicatiohs being unclear, the Court address.es their
' '
··· •,.. , a:t;,t<D¥B e,y;;:''.'.· 'r+ :~,,,·+f~p.'1it'1 mapy;:;cy.e~~r:$·;:;;i n ·conne;qt·i •on . \'J,'i:th:.· potent''i ail ~ j• ii .. - ~:~· ., '· •'
the;;,e m?tte+s L and:~ Ba;r<;ien ·:. con;t inue~»·· to,, repres~ilt her" Mc;i){wel:l · '
DeoJ;. %1ij6 ? ~Defendar,it $Ubmit·S .that ·Barden issued ,a · cease and
•t• 0 "': .... ~, ...... M, ••'•'
8 "Plaintiff's Document Request No. 17: Al l documents relating to
communications with [Defendant] and Ross Gow from 2005-Present."
Mccawley,, Qecl, iri $.l)PP, • ...,CorsglidaJ:ed . R~ply. ir,i ,$upp . <Mot. to
Compel P~od~ctlon of 'Dbcs '.'' Subject to Impr ope~ ' bi:)'jections and
Improper Claim of Priv., ECF No. 44, Ex. 2, at 9.
9 Defendant has not provided a contract or representation
agree~ent to substantiate t~e dates of the relationship, though
she ~ l ieges on~ ~xfsis: · ~enriing~r Deel. 'lI 17. Likewise, no
material substantiates Barden's role other th~n a l argely blank
print-out from th~ Devonshii~s Solicitors w~bsite. Maxwell
Deel., Ex. 0. This print-out does not contain Barden's legal
ed~cation, prof~ssional accreditation, or any other explicit
indication that he was qualified counsel at the time of the
communications other than the implicit logical assumption t ha t
20
·~,
i:H
1<
---------------------------------------.----.-·-·
desist to British press, though no litigation ever materialized.
Maxwell Deel. 'JI 5. Defendant's sworn affidavit, coupled with the
content of the communications (including a comment by Barden
referring to having been retained by Defendant) are sufficient
~:° e.stablish Barden undertook the specific task for which ·
Defep¢(il)t, has al;t.~gfi!<) s~.e hired him in sworn affidavit. See ..
Pellegrinp, 4 9 A. D;~ ~c:l .. qt 99 ... It is siz:nilarl,y e~. tabJ,ished by ..
these qi_ateri.~ls that . t~,ese communications were z:nade in the
q>ritext of. tha~ rel?-t~On$hip. Defendant's affidavit swears t;.he '
communic~~ions we,:i;e irrt::e11?:ed to be confidentia;t . Maxwell Deel . . 'JI
' f ( .. ,{._.
Defendant has sworn that all .of he.i;- conununications with
,: i
.. Barden ,were fqr the purpose of seeki ng legal advi~e. Howevei::,
the content of the communicatiof)S addresses matters not .legal on
their face (specifically, a press statement). See id. Not all
comrpunicat,ions be,t:. .. w ~e n an attorney ,and cl.ient - ~_r.e . privileged,
and "one who seeks out an attorney f or business or personal
advice may not asse.rt a privilege as to those communications."
Matter of Bekins Record Storage Co. , Inc ., 62 N.Y.2d 324, 329,
465 N. E.2d 345 (1984). Moreove r , even if inherently related t o
ongoing litigat ion, "fc]ase law makes clear that a media
having been called a "hard nosed litigator," he must have been
qualified to practice law at some point in time .
21
campaigrf' .i's ' not a l'itigabon 'strategy . " g_g}azaryan, 290, F.R.6.'.
.· . :_.i~. N9H/i th~rta n&:i.:rl.~~ , the;; char.:t must · consider the cofumudi:cafiolis
ih the d;r " :fuirs· 2oht~~t ·. '. Ros!s:i1 73 ' N: Y·. 2d at 594 '. :_Aion-e; ' 'it \.1bu'i'd
: be d&::J;;~:i.~~·]/fd'Ft6 1 ~i~ein :t·&Bffitnμfrid~rt f6frs : lh~ f · pre1ctbtnirtat'e"ly·~!:t{tj:ctte:'!31~:' a
pp¢s'~ '-~s't~tl:~rtt~h-~j, ~,~ i~g$ i .?·,~ctttic~ . ' Nev~lfth~1'e'ks,;;· Defknctifrtk'.i.' s '
' . - ! .. ·""
ass~r~·~6:n·•tt,bge11;~-· e·~~'~:s~:;~~·~·t~nl~HY 'l$'" a·:·fi~E~s~\:r£} pttiit:ui-~.~<t· t-8•nt"'
iiffg ~t~~rrr~,, - Ad~if· :. ~~#Fr:4ir';: 2onllrieht · ia~.~·"· i:5t ,. the··· u f<~J,~ 6han9'~')5u tFrr~Ji
~·cont:'~:it I~_s.e~.f'Me,nAxti~@·~<'6~2t. ~ ·'2b :' cori'$Td@£.ing ' 't':h<'{' 1e~~fi ·2 '":1:::i<'::">~:i
b(9'cie$siE'Y'.~·\SI'if 'p~~ss~ statem~iit 111 the context: 6>f the Tegali~~t~ ·
. . ::·: . .
' '
for wM cll _Defendant s·oU.qht Bardeh's advice; the coriunuriication
wi tnc~:M·~JaI&ri i·i'~ :;'~.t~·a:orltfn ~t·;¥1;, ·tot ""tn~ pur'p6·§~s : or prb\ti8 ltr9· lega1
serviie:·ei·~r(s·:~o~f'erid'~·At ~h~t$' ~th-~~rE"i:fote ~met . het bu.t'den 'of e~tJh!ti.shfrlg
•• ' ,. -1 '· .~ .... .
, tietenctaht· claims the protecfiori of t11e 'attO':rney-Cli'ent ai1d
ag'en'cy privil-cges· apply to communications with Barden and Gow.'
See' Pri Vi·l~ge Ldg. These cominunications include documents # 104 4,
1047-51 (as set forth above) , 1052-58,10 and 1088-90 . Defendant's
10 Two ch.ains in thi s series, # 1052-SS and # 1055-5, appear to be
forwarded in their entirety The messages to
22
privilege log does not list #1063-64 as a communication between
Defendant, Barden, and Gow, · but the chain nonetheless does
include a message between this group, and it is analyzed
acco·.rdin'gly .
. ~ :. •. - ...
Defendant argues "Gow is the ag·ent for Ms. Maxwell,'' thus
rrt~y apply to ' cort\municatioris between an: agent "; and~- tht! client''s ••
dounsel: . . ;;Def.'s. Supp .. " Opp' at 8. The test dividing' agency (and
thus .. pt'.:i.v,i1.eg.e ,; p1L'Otection):. anci' ·l 'ack thereof (and thUS WaiVer) is
the :neces•sictiy of" the :third,,.part:y -·iri,· facilitatiRg• the· · · ·
confi·dential> cornfuunicati·ons "between counsel arid'' client •~ 1·~ Mil~ski
v. Locker, 14 Misc. 2d 252, 256, 178 N;Y.S •2d «9111 916 (Sup : •i;ct.
1958); accord Don, 866 N.Y.S.2d 91; Egiazaryan, 290 F.R.D. at
431.
Defe... :~d'~nt' s · citations w.i t h respect to this issue are ,
inappos,ite, · ref~rring to a9ents who more explicitly facilitated
attorn~y-cllent · C:ommGnication . 12 Defendant's most relevant
will .be addressed infra §V(6). The messages contained
between Defendant, Barden, and Gow are addressed in this
section.
11 The titie· "agent" is not determihative of whe ther Defendant's
privilege assertion survives t he applicable test.
12 F'or example, Hendrick v. A':' i~ _Bent -~~~_£_~., I nc . . involved
a quadriplegic plaintiff who has been involved in a
"catastrophic " car accident rendering him unable to seek l egal
23
---------------------_,-~,-,,-,---·--·-"·--··
citatiorhis,, t,Q .; In :,re _ Grctnd :-· Jury Subpoenas, .265 F . . Supp. ,. 2d 321,
( S. D;;:N;,Y. :~- 2- 00:3- Yr -:•'!"hich ; directJ:y i3ddressed the roole .. of public
":··.'.:·
(1) confidential cornmunications (2) between lawyers ~~- and : ..
ptiblic relations consultants (3) hired by the lawyers to
_assist them in dealing with the media in cases such as this
( 4) t:hc;r.t are . mad"e for the purpose of giving or receiving
1J'L! a'.d,v;.i!'.~e:j• (•§~ ,d•:J:Lte.c •t;·ec;i';Cl;j;,;,1han'ci'li11g ,th~ G'l"i~pt' s ':•t1e·gal•Jproblems
ar~ - ~rotect~d ~y~he attothey-Client privil~ge.
_ s0·;,I~q:;Ji:t1;£ti~~$~'.?·J.~.:;;l~'12i,;l},a.:-s.:;;:):l,o;t::;~bE";!:~rH 'al;ilieg.ed-_ith ,atrf£'arden•·~;hj,: r.ed '.:(fo\\f• :''.· '.Dn 1;
••fa"'bfa1:i•~D~¥.~r1aa.nt~T$F~'.<l·:rr~.i:t:hat she:··h:ire.d :; Go.w,;·a!n:c:h.-Bax.deri
- ~ll}~a·:~,a,p~q»-~»¥k• .i.~M.a~}l.eld.,; 1Pec.•1.1:'i' - '.ll.-·:6 . •i.Thes~"-fa·~,μ•$, - a,r·eu::s:i'·gnifd:caFi~b
i-1:;p;9f;t· c:i. ·s~1'0:~~~h'rl:'g-1~13t,e} t'.Q~;,pow f. :s :if'el.P-t.'i:-onsh,i:p: ;t :o" ;o.e-.fenda:n_t'.';~::but " ,,,ff• _
--- ---- ---,: · P§S:~use '.:.e ri'eMf' s u;§J,9:e:s.lt;$~"JJi:ia.:tff ~c>:w''J:i:,' nepe's .s'i:tY _;±rif t~he ·-iiP~aiil'.-&s_&on :~<li~~
A!~$~~~;±1 ki·9y_;i:ee,r w·\3 s'ii'•-:D ot~-m~t·~;:-.i a<bd~ oFw h ether Jih:ef tw asiid n cluded-:4'iiri\fo,;'; :;,
· .. .!" ~; ;. '·: .i
''.,_i
counsel both physically and emotionally. 944 F. Supp. 1871 189
(W.b.N.Y. 199~). M~leski v. Locker involved interpretation to
surrnoup.\: ,., a ,,. )-angua.ge _.parrie~ ., :j.4 f1isc:;. 2tj. at 2~5~ · 1 r8 N_'.Y, S. 2d at
915-6; "in First A.m .' coimn~~cial B~ ncorp, - I nc. :;;. . - saat'chi &.
§eil,;S0f : ~?~L:m? t,;·, ~~c.,,,_ y rdj, k~j n , th ~ : ~nstan,t (:(3_ ,se,_, ai;i. expJusiv~
agency ~gree~ent b~tw~en the Defendant company and third party
was prov;i_.9,~ci,, to .. :the co ur:~. and upon which _ the ,court . relied,_ Stroh
v. Geher'a1 'Motors CorJi:: 'inv~lv e d a tragic ul1derlying car -- -
accident wherein the 76-year old Plaintiff had lost control of
h e r vehicle driven into a park. Stroh v . __ <;>en . Motors Co~:. , 213
A.D ~Zd ! 267, 623 N.Y.S.2ct 873 (1 995 ) . That court, "presented with
an aged .. woman required to recall, and perhaps relive ; -what was
probably the most traumatic experience of her life," held the -
presence ;of Plaintiff's daughter, who had selected Plaintiff's
counsel and driven her to .the law office , was .necessary to
facilitate Plaintiff's communications with counsel; Id. at 874-
5 .
2 4
;". ·- ' .•.... : -~
Defendant ha s fail ed to positive ly estab l ish t ha t Gow was
necessary to implementing Barden's lega l advi ce . Defendant
repeatedly tefers to Gow -as an agent and r e fe rences that Gow
provided i nformation to Barden at Defe nda nt' s reque s ts "so as t o
further.Mr. •Bar den' s ability to give appropriate legal advice."
T>efendant-, ·• ·'cts cited ;;i·bove, · rel i es on fair-comment law ,to ·prov·e
GJ:>'tJ·': s.'n.~ c essi t;:r. in'' the t e1ationship with Barden. Def.' s Supp;
'Opp : -at 9,•. ' -Howe-Ver'/ '· at best,· ·this establishes only that Gow'~-
,,±fiput- and presence'.; potent ially added· value to Barden; s legal ,,
'''adv:ice. -· "-[Tlf Jiie ne·ce:Ss-ity elerneht means more than j ust useful- and
convenient but requires the involvement be indispensable · or '•'
serve some speciialized purpose in facilitating attorney cli~ nt
communications.-" Don ; 866 N ; Y ~ S.2d ·: 91 (citing·'Nat':l Educ.
Training , Grp.r Inc. v. -Skillsoft ;Corp., 1999 WL 378337 ~ *4
(S.D , N.Y. 1999)").
The structure of fair comment l aw may r equi t e counsel t o
engage i n -public r e la t ions matters by p r oviding a comment to
press, but i t ·ctoes not f oll ow that c o unsel i s unable to
communicate with his c lient on that i ssue wit hout a pub lic
relat i ons s peci a l ist . Advice on the legal impl icat ions of
i s suing a s tatemen t or i ts content is not predicat ed on p ublic
relat i ons i mplications. Li kewise , it ha s not been establ is hed
tha t the Defenda nt was incapable of unde r s t anding counsel' s
25
adv ice on;,that :.$qQ,j ec:t wit:.hout ,the intex:ven.tion of . a ,"media
agent;lr ,, 9r1, that Gow .was tra,nsl;at;;i,ng ,i.nforrnation between Barden·r
·is·s .ued .. the: ?$J:qtei:nent,d'liaf:ted by. Bard.en or signed· a coht-ract with
' Defe.ndant.',·: ~peak,s 1,to ::J;i •i-:s.:::r~·nt;,ima.te; ·invq;l,vemene, but not :·to; ·:h;i::s ' ,,.,
ne.G~:§,~i.•t;y ..• ,.1?dw..:J rb~:io.e?·:t·h~ ;third :p .a;.:p;ty? s ,-pre.S.encer is m.ere:lyv"use:hll
bu,t :Jt~ot ,:flee:~}>;§ aJ::Yi:;,.:~tb:.e · -~Pr!iy i:J.J~g e P i i,$ .. :l os;t . f~: '. ,J\J:h~ ed1. ;;(.μ:d;°o? Q<JBarrk$11'.,
-~ .;;L·~1.$-;.}f' '.':~~O Ri Ff, ;B:"<J:) ~Ji:;'¢:t•i:~-0.:~,,"(0;itat::ion ... a.n:cl~ interna:J.;-.:,quota~tion . tn~W:ks
omi,t.;~~-<tl,!) ·A· ~~~.:f~enl'fiifrt,;· hi~$ !ffti9t],,.rr\et,•s'- h!'!t : :Olii¢let1~,,:t o,~:e,s.t'abJti sh~ -hai:r:.:1910:w
.~;;.,wfisl~,p'~!;;e:.?Sacifj'.\· t,o;L:faci·;Jfi::4atf¢:k1~:Me ;J,xeJ;·a.:t:iopsf,).;ip:""with 1·B~·roen., :1 as.:,,the
Siw:iti'iL~riY:t t.J!>e~endant hasL fa:i:led,•.to ,·estab.+ish: tha1J:;;·the> ·r-·: -- -,.c··-' -•")t. •;.•• _~ ....... -;.- ...... ·- ' :····- ,,,-..... -·
ultim~te pr6vi~ion of legal advic~. Throughout th~ ~~; ~ ~ ·
corrimunic.ations, Gow is involved for public relations matters.
Like -sevenal 'Other
exchanges involving Gow, this line of emails was prompted by an
inqtiiry from B " reporter.
26
,;rhese are not
the necessary elements or evidence of facilitating legal advice
between client and counsel.
To be sure, some legal advice is included in the
communications bet""'.een 1Barden, Defendant, and- Gow. However; .. as
the quotes above demonstrate, ,both Barden :a.nc,:i Gow ·provide ,c
Defendant with what amounts to public relations, not l~gai,
advice. It is something between bus:i<ness: and .personal· advice,
neither of which are privileged even when coming from counsel.
Matter ·of ::Bekins., 6.2 cN·.Y .,:Zd 324 ,·,.Furthermore; the protect ion of
privi1ege is· presumpt~vely. ,narrow, not -broad. In re Sha-r:gel, , }42
F.2d 61,.:62 (2d Cir. 1984) '("S·ince the privilege prevents,
discJo,sure of .relevant .. -evidence .and thus impedes. the quest for
truth, ... it must be· strictly confined within the narrowest
possible limits consistent with the logic of its principle."
(citation and -internal quotation marks omitted)). Accordingly,
where Gow's necessity has not been established, ,Defendant cannot
include the entire field of public rela t ions matters into the
realm of legal advice by virtue of a law that implicates press
coverage.
It has not been established that Gow's input on public
relat ions matters was necessary for Barden to conununica te w.i t h
27
' __ , _ ,,, __ ...... _, __ . ___ . , ,,,_, __ ._ .... ,,,,_,, , ___ --- ----
:!
: I
·; i
.'l I
I
I
i
I i
I
Defendant orx :provi:de'.· legal ' advice, or that the prima]'.'y . purpose
of these·; coriuntinications·--·wa$ the provision of legal advice~
Consequsntly, Defendant has failed to demonstrate 'the element~
necessary to sti$tain the protection of privilege with respect to
the comrnunicat fdns1'iW;itih t:$c;irden·~ana·<'.Gow ..: fai. do·cuments(. # 104 4 ~· 104 7-
::-t ... · ~: -~;
,_ ·,,
...... ,
. .
·.pfii~i,9J0~g~,f~i?,p.il,~i.E£~ ·to1i~pmfuU:n1itca,t:ii.0n~s.~wi"8h'-~speci1'.1fica'Jf1.:y ':~
encompa:s·si'ngr dooumen'.t:::fr :;#:•102·9'; ~1'06S}:: 58; iclil'd 10'5:9'-BJ·_i Th'ese" ·:x w
<;,[) ; ;
,.·11:.:, '(;,
'· The coinmuni'cation$ 'ini each of these chains include messages
between Defendant, Barden, and Gow that were ultimat ely
forwarded to-As reasoned above, attorney --client
p rivilege does riot apply to the underlying emails between
De fendant, Barderi, and Gow. Accordingly, they canno t be
28
! ;
'·
'
..
rehabilitated by the corrunon interest privilege. Thus, this field
of documents and the common interest claim with -is
narrowed to the conununications with-found on #1055,
#1063, and #1088, as the remainder of the documents in question
have already failed to ·qualify as protected under the attorneyclient
and .,agency privileges.
;,
To 'as'serL.the cofnrnbrt' interest privilege, the party e:1a·iming
its protection :must'est'abl.ish. fi·) the :documents in question are
attorne'y-:-client communications subject to the attorney-client
privilege, (ii) the parties >l.nvo1ved' share' a common legal ·
i·nt'erest!,~ and> (fii) ."the' st'atern:ents for which protection is ·
sought were designed: to fu'rther that' interest." Chevron Corp; v.
ponziger, 296 F.R.D. 168, 203 (S:D.N,Y. 2013) · (citations
omitted) .13 To merit any analysis regarding the presence of the
attorney-client privilege'/ ei'Cher the underlying forwarded
messages must include communications protected by the attorneyclient
privilege, or . the messages t~(excluding the
forwarded materials) must themselves show some attorney-client
communication.
13 "New York courts applying the common interest rule to civil
proceedings ha~e often looked to federal case law for guidance.a
Egiazaryan v. Zalmayev, 290 F'.R.D. 421, 433 (S.D.N.Y. 2013)
(collecting cases).
29
;;,;.··· ,. .'
As ~et forth ?f?o:v~, . th~ 1Jnd~rlying communications -that: were
sent tc;>-4-n: tl),is ~pat·ch .. all: fQ,iJ, tq qualify as .protected,·
demonstrate -that GoW' $ inclusion did.<not: :: cons:titute ·).vaiver
purspaf)t .to . t,he a51enc::y privilege. The em9ils between Defendant
',P,A.~~(:,ei(qwqdA:.~.H· i1::;?i;::,. ·£.pt.WEl:J2.4.~d.1 kCC?!lill\hlOi cat.:i;oriS ·~·}1,at :.:~incl i.lde
- ..
B~;f,9~r.h :8.p.,<:!r~GP\:.'1) t ·tjg~;•n9tc;;::tJ1.§rri~·¢.lv,o/~sL i11pl.uO.e. · .. c.ou1}$.e'l : G i\ .~ev:~):r r1,egq:1
advili~l=:~ :.: ah,(:l:, , t·ru,,q~~.¢ann9t;,,.t hem.s.~jl;y,es,j, gu:a k;i: :f,;y ;" a's:(. attq·rney,,..; c).-:il:~nt· • •" .. ·.,-." .l .· · ·• ' '. v ... ·.:; .• • ·:·;.•··I"_ ·: •. . _ _; •
------ c otnm,un fH'~!:i~f:Prr§;:!j':C;';li,e,t: · 9i~n~e•r; pndfv.i~l;~,gep C.Q!@l\,\P+~at; 'ii. ort$~~;,-·
-Acco.t:,9Jq,g):,yf>:l1tJ1~;~F ~~.#1¥?:4·fs;;,.~fa1:~·i}:,prwegt • 'tJ1e·, ·fi·r;,stt.}'.!J,em,en:t;r:·o f , . .:,the':
/ •,
. Unlike, the · erni,3.ils including messages between
Defendant, Barden, and Gow, the messages between
-~merit an inquiry regarding the presence of a privileged
attorney-client communication.
30
:i ··· μ .
Defendant swears-represented -"span { ing J
, .. , •..... ,, ... ._,, -,;;~::~-~-.~~;
several y~ars, including 2~is,u w~en the email in question was
sent. Maxwell Deel. ! 14. Defendant has not produced an
affidavit from attesting to this fact or any
representation agreement. However, the communications contained
. .
i n Def~ndant's . in . camera submissions themselv~s demonstrate an
attorney:_ cli~'nt: reia't iori ~hlp ·' existed.· -refer~ to hims~ lf
on January 12, 2015 as '
1
primary counselu in
the present-te nse C:rnd with r
0
espect t o specif'ic ongoing legal
mattei s. Accordl ngiy, a~ attorney~cilent relationship is
\-~ n document #1059 also demonstrates it was made w'.ithin
the context of that relationship, both topically and
chronologically. Det~~'~aril ,'~,' affidavTt establishes her intent
that her communication with - tifegarding legal advice was
to b~ kept confidential. Maxwell Deel. t 16.
. . .
The law distinguishes between a common legal defense
interest, which cloaks related communications in privilege, and
a common probJern, to which the privilege does not apply .
Egiazar,Y9_~ , 290 F.R.O. at 434 (citi ng finkelman v. K}aus, 2007
WL 4303538 , at *4 (N.Y.Sup .Ct . Nov. 28 , 2007)) . "[A) Jimited
common p urpose (that] necessitates disclosure" meets the
standard . Defendant and - :had more than a common prob1 em
31
< I
or a conunon interest in one another's vindication. -
:;~;t:llllll,l1.:~~~,~1~·~~,f~~ ~,~.~t ~o:·~-~.~f1.3:~TR~t¥..;;.;~,~~2r;,"'~~fP?$e,. t.~a.~,;.~,p?r~n.g
the~r lE?gal advice was filflC.~$Sary to put . ;fort)) a common , defense•
}, :; :,~r.j!J'.! .i ':"f· · :'..:.~,..l;1
: ~~·~;~;;f;:·}~?··~: p r ·:-:.,~.~ i!A t.1_~P~ · · -<_·::/~-:<~ ?:~- -~ ~:e_:·;J >i,{'j~~-?'. ·-t;r·~--: ·>.:: :: ~-1 ~: ~.: :·::~-;: ~- · !' .; :~-:~r--'.;;-i;:~; • ·'
log:i,sticall.Y . feJ.~i;:~d. .... t;.o .. fu,rtl;lerfng tl,1~ common interest between
, .;~:·: i !.\J; :~-~- ~TYit~·;·=.Y: ·:·f;:fi·' -,~- ~;,,_ 7· >"!'.!i ~; · -f ./ :';-. , .. ,:::1}'.:f {?.-:-:-,.-(; ~ :~· ·: r·,, .t~:~;~ ,:·· .: :'.~:-~ · ·. · ~~:::2 ~-_s -~- ;-; :1:=-i'"'·
~"111'1~~1:l~ ·:i~~~~~~~8:~;ii~~c~9~~*;~·~,l:~h":dg~~!1!~·n,·~•:;; # AP.. ~ .~· r. ;:- --------··
"
:.1;1,• -, ~- ~>.' .·.:.?:
...
Documents #106b-61.:· .i nf/c lude. messages between ,;;:.~ ~ ·~ .-:
-~~hichl,1, ...1 ... 1, ••J~then forwarded to Defendant. Defendant has
sworn that she understands
" Maxwell Aff. t 15. It i~ not
established when those years were, or even that the period of
time encompass~d the communications in question . This belief i s
completely unco,rroborated, and no content within the
communications tends to show that wa s acting in a
representative capacity for- To the contrary, t he in
32
i
1
4
•" •
came.ra __ submissions .with " :· ·,~. ... ,. .. ·-: .. it.~.,.- -. ·, -. . ; . ·~ '•· ' show hi!Tl to ,,be acting more _
l ~ k!if, 3:\Y', q.11 •;_h.l,~:· own , be.ha):f ;and in his ~ Qw.n i qterest, dis~ussing
·: tbi,s in;fq:rgT)at.i 8 .n. ;w-:i,:t\1 ::gh~,J,ng}e, :i\ipfa' tj ~of w91'--Q,-in...g 1H? :[)efen_d,al?t:.,,
Car~~~·h\~ b·t'L'.(i,,J;,w•J<e r-fS~'Yi~-:r;?.lr:· q~he.;t;:,/~-le.J'!le,n•ts ·pf. ,.the. in came.ra " _; ·:•-'-~''·
s\jbm±ssioT1s:;£ t;J1,:l,;$;-EJ:~.t>r00rnni_-c~~~,i,0,n.,:t;.en_qs ;to; :;.d,~mo11s.tr9·t.e.~ "'that,'.;;.:: __ : ''C'«,
~~.~!'.h19 ~~f;.$P,Q~ '.ltJ,;i:n t~e):'e,~: ~.s., .__ i.n,1,.,qpt;\1f:J:.,i;p t '•.,-1;.i,;t h :
at the :tA%~~·~Q-~.!(~pe4-,~9.9.m!fitj~:~ c.q,tj:,o,g,s .,~!): qμ;,~$:!;,~Qll:, .c\1"gua,p_;}y .. ,, :tt "H ::T1~::~,
·precl~;PJ.-Jlgj,i9h _ i.~'\;,;j:ofn;~>yfc),d.,~P:k•~:t:.e:J,gJ: i .C>n:~j):jLP,;•.;,,jpef,e;i1d,ant. ~R~ ''" -,
' • •:. •", :" • O ~ ••' , :. o' '=~·f·· ~ ,•>,.; .. ~A0•·::: • O ••,,;o'r.• .;.; - ·•
:' h"'~-~, •• ~,.., ... , .• ,..., .. ~ _;ti;:;;;,
y ~ti:-£9,?:,g:ing.ly / i:: t•P,,$fe :.~i.9 ·no_, t.q1.pe;r-J.y:i 'D9;,9 ttorn.@-.y~c l i,~p_J:; : :;;:;
cojJm1u,p;!: q.9~i9pt, J: o:. -r.1hi .cri.~~¥,};i? .-c;,ommpp,;.ir:iterest-::p_r,i,v:i·lege_ c9.ul5:t•. • • '·'
attach,, a~qg ; :Q.o.<;:μm~nt;;>.•,r ttJ 0_~0 ;:-6l 1 must .. be p;rop_l:lc.~,<;t.
!:'.'.:' ~ ... t>r} O·'.\j,i}/: .;_ ~··:,. :· ·~; ::;,;_._ ~· :,N:; ~- -~- -'i ., -:;~t,_~L-.<~r .... ;~ ;::-":
d. Pocuinent:s #102-9, #1062, #1065, #1066, #1080, #1081 i
~4 0,e2_ ,. .#1;1,.0~~·ff· #:10$;4;; #1oa,~ -- a :-r1 " #j,,,Q91,. #10~2 ·, ·#).,09}.""
94, #109$-- 96, #l.0:97, and #1098 Must Be Produced
i.J "'.:ft, )~ -· i
Each of these documents concerns emails solely between
Defendant and5,- As reasoned above, Defendant andwere
i<_n_ ,;9 .,_ ~pmrn_on ·interes.t _ :relationship •'for• -'the. ,purposes of these
emails. However, the c ommon inte r est privilege does not apply t o
all communications between two parties sharing a common
interest; a privil eged attorney-client communication mu s t -stil l
33
'' .
",.
~1 .5,i!,
~1
!"
.... .
be involved. Rem-Am., Inc. v. Sunham Home Fashions, LLC, No. 03
CIV. 1377JFKRLE, 2007 WL 3226156, at *2 · (S.D.N.Y. Oct. 31, 2007)
(finding the common interest privilege did not apply where the
document · in 'question was not ra communicat 'ion where in the party
claiming privilege sotight'.''· confidentia:l legal advice). 'For
example, co·unsel to two •pa.rrties' sha'ring a common interest may
communicate: ·with ohe 'ah6ther "1§'0 proV:ide ·legal ad-vic e in ·
furtherance· of''·thei1r ' -interest> 'E':gfaza:Cyah, 290 F. R. D. ·1·at '434.
However, the :<;:om1non inte·:r·~s·t: piivileg·e onl'y '''operates t "o ·protect ·
otherwis·e · be wai veCI ' by' "Cfi-s 'c'l'o'stire ~" Id. These communicat'ions 'are ·
mostly muhdane <'exchanges · ancr' c6ht'a"in•'·no ·indication that there is
any underlying communication fromt·any attorney, ·even with
respect to the few communications that discuss legal issues.
f~ ~~ '·'\. r. ~.·~ -~_:,\ ·f'1 il ·~ ,. ;~, f, ' ,; x
Defendant has riot :·pied ari y · d"f:h'er' u1Merlyiri"g"' pr"i vilege applies.
:r··:. ' ' . At:,,, :. ·f- f:'·· .:: ;·i ."·
Accordingly, Defendant has failed to meet her burden and these
documents must be produced.
e . Documents #1067-1073 and #1074-'79 Are Privileged
Documents #1067-1073 and #1074-79 are mostly duplicative.
In the #1074-79 series, communications between Barden, Defendant
34
..
and Cohen and between ):Ba.r ,Q€!.n 'anci-:are .forwar.ded. This
same series is duplicated in #1067-73, with an additional email
Defendant, ··t :' .. · :~
---:· c• • >' : ';. ..• ;.·, .--.•.•· =-~ ;=~--· .. ~-·.
;; ,, d~s :: qi~,C::t1 s s~d ;'<;~}j;o;it~N:;~,t:l{q:tJi~}}i '*J.;'.ient,>lf¢ia tr.d,.on shi JD~ <hq ve! r been::·
est a,t?)i !:i;9e.di•':.f Q,f;f:.yl},E;(~:i;¢,;l gv..:pnt_,,}~·.1.m~ ~1fH?r:;:¥0 ~$) g:12tV!.e,~,l} ·Oe 1ieng9n~ . ·and
Barden and~ betwe~~n ·
.. ..
Cohen, of ' CobH~h ~ Gresse'r ·~ l.LP, cpl;ltinued ~s her counsel after
Ja :t;~{e::.;.:k~.~·t1.;~o.lJ.~1¥'•:~tJ-t~.ei$~~~.t'1~,; t1~~w~ l-ll.ii B,e.o.l: . .,,'Jfo;~.;l,~v {~~:fen,cJ.ant . has
submitted . a ... ~ irm . p~o f *l .e,: sl)ow;);11g .. CQ.;QJ~n1t"~¢,.,~~~;ta ·:" ~rQ!.?;•t n~Jt,,,,.ci,,~,~;Q<;i he n. .
& Gresser; Maxwe.11 Deel,, · Ex·. C. Cohen is copied on a single
ema_il flJom,.. Jil.~rrden;",cqfip,a;;'.id1io!1JJ:iIW:e.ga\l. ;a .dy:'i .ce. if~: .. t.)1e context.: of· ·;the
purposes': '. f or<:W!1 4'9J1i !)J;~feri.ctf!n:t : 11.i .tz~,cb B;Rr:d~n' and, ,o_rig:inally, .. ·
Jaffe . Th~ .- cori1;,e q t :1 pf::·,th~~;. e .ma:il.;;$,Uppo.r.ts .O.~fen.dc:int' s conten.tig.n
that C9h~n repr,esenJ:ed. ,her. Jn, J:be. Qni:t,ed Stotes, whil ~ ; Ba+cten .
represented'> her inter,estS··.·in the UK, · Accordingly, .. Cohen! S · . . ' ,. " -~ ''· ., .• ' .. · .. . ' '' . . . . .. .
there.;fo:i;-e · establi·:=>hed . to :t:he unde.rlying communications .tha.t .were
ultimately for.warded ttf - . Likewi.se , as reasone.d above,
Defendant :was in a common int.erest relationship with -
with respect to advice relating to
Consequently, this e ntire s tring of communication s .i..s
privi l e ged .
35
' .
I·
: 'j
f. Docume'Qt #1099 Must Be Produced
Defendant's privilege lbg cites doc~ment #1099, an e~ail
between Defendant a p£~~-!as responsive but protected by
the common interest privilege. This document was not provided
for in camera review. Accordingly,· 'Defendant has failed to meet
her burden of establishing ·'the-'.elements of pri vil'ege apply ·an'd
this docume·nt -.must b'e··produced;
: .r
-- 7 ~· · Communiaia-t:i-oris wi~--and,,,•,"lrl.••••• · Doc'Umerfts' ' ·.
:~103·0.-4.3 / :}:1uilt. ·Be: )?:r¢dut:ea-·
;; . /: ::·
Documents #103ff-43 coriti:d!n a single email' from Defendant to •
· corita·infng a · lengthy attachment of a
transcript ~ rea:Sohed above ,
Defendant ha~ failed· to ~stablish '.'Were in
an attorney-client rel~tiortship. Defendant has not pled any
information regarding - or relating to the conununications
included in the attachment. Therefore , no underlying attorneyc
lient privilege has been established and the common interest
privilege cannot apply. These documents must be produced.
36
;! . ''
•
• ~ < ~ ..
VI. Conclusion
For the foregoing reasons and as set forth above,
Plaintiff's motion to compel is granted in part and denied in
pa rt . Defendant is directed to produce documents as set forth
above on or before April 18, 2016.
This matter being subject to · ~ Protective Order dated March
17, 2016, the parties are directed to meet and confer regarding
redactions to this Opini6n consistent with that Order. The parties
are further directed to jointly file a proposed redacted version
. .
of this Opiniori or notify the Court that none ~re necessary within
two weeks of the date of receipt of this Opinion.
It i s :so o t d~re d . _
New York, NY
April / :S--: 2016
37
1
United States District Court
Southern District of New York
Virginia L. Giuffre,
Plaintiff, Case No.: 15-cv-07433-RWS
v.
Ghislaine Maxwell,
Defendant.
________________________________/
PLAINTIFF’S REDACTED MOTION TO COMPEL DEFENDANT
TO ANSWER DEPOSITION QUESTIONS FILED UNDER SEAL1
Plaintiff Virginia Giuffre, by and through her undersigned counsel, hereby files this
Motion to Compel Defendant to Answer Deposition Questions. During her recent deposition,
Defendant refused to answer numerous questions about allegedly “adult” sexual activity related
to Jeffrey Epstein. Because this activity is highly relevant to this case, Defendant should be
ordered to answer questions about it.
As the Court is aware, this defamation case involves Ms. Giuffre’s assertions that she and
other females were recruited by Defendant to be sexually abused by Jeffrey Epstein under the
guise of being “massage therapists.” See Complaint, (DE 1), at ¶ 27 (Giuffre “described
Maxwell’s role as one of the main women who Epstein used to procure under-aged girls for
sexual activities and a primary co-conspirator and participant in his sexual abuse and sex
trafficking scheme”). In response to these assertions, Defendant has made the sweeping claim
that Ms. Giuffre’s assertions are “entirely false” and “entirely untrue.” Complaint, DE 1, at ¶ 31.
1 Defendant has labelled her entire deposition transcript as Confidential at this time. Counsel for
the parties conferred at the deposition regarding answering questions.
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 1 of 10
2
Yet during her deposition, Defendant refused to answer any questions that she construed
as having something to do with “consensual adult sex.” Defense counsel supported that position
that “frankly, [that’s] none of your business and I instruct the witness not to answer.” See
Declaration of Sigrid S. McCawley (“McCawley Decl.”) at Exhibit 1, Tr. of Maxwell Depo.
(Apr. 22, 2016) at 21. The result was that at a number of points throughout her deposition,
Defendant refused to answer questions about subjects integral to this lawsuit, including questions
about what the alleged “massage therapists” were doing at Jeffrey Epstein’s house and the sexual
nature of those massages.
For example, Defendant refused to answer questions about whether she had given Jeffrey
Epstein a massage:
Q. Have you ever given Jeffrey Epstein a massage?
MR. PAGLIUCA: Object to the form, foundation. And I'm going to
instruct you not to answer that question. I don't have any problem with you
asking questions about what the subject matter of this lawsuit is, which would
be, as you've termed it, sexual trafficking of Ms. Roberts.
To the extent you are asking for information relating to any consensual
adult interaction between my client and Mr. Epstein, I'm going to instruct her not
to answer because it's not part of this litigation and it is her private confidential
information, not subject to this deposition.
MS. McCAWLEY: You can instruct her not to answer. That is your
right. But I will bring her back for another deposition because it is part of the
subject matter of this litigation so she should be answering these questions. This
is civil litigation, deposition and she should be responsible for answering these
questions.
MR. PAGLIUCA: I disagree and you understand the bounds that I put on
it.
MS. McCAWLEY: No, I don't. I will continue to ask my questions and
you can continue to make your objections.
Q. Did you ever participate from the time period of 1992 to 2009, did
you ever participate in a massage with Jeffrey Epstein and another female?
MR. PAGLIUCA: Objection. Do not answer that question. Again, to the
extent you are asking for some sort of illegal activity as you've construed in
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 2 of 10
3
connection with this case I don't have any problem with you asking that question.
To the extent these questions involve consensual acts between adults, frankly,
they're none of your business and I will instruct the witness not to answer.
MS. McCAWLEY: This case involves sexual trafficking, sexual abuse,
questions about her having interactions with other females is relevant to this case.
She needs to answer these questions.
MR. PAGLIUCA: I'm instructing her not to answer.
MS. McCAWLEY: Then we will be back here again.
See McCawley Decl. at Exhibit 2, Tr. of Maxwell Depo. (Apr. 22, 2016) at 19-22 (emphasis
added).
Defendant’s participation in massages with Epstein is a central part of this case. Ms.
Giuffre has explained that during her first sexual encounter with Jeffrey Epstein, it was
Defendant who provided instruction on how to do it and how to turn the massage into a sexual
event. Obviously, proof that Defendant had previously massaged Epstein – include massages
with sexual component – would provide important corroboration for Ms. Giuffre’s testimony at
trial. And proof that Defendant was involved in massages will further help prove that
statements to the press that Virginia’s allegations were “obvious lies” was itself an obvious lie.
As another example, Defendant refused to answer questions about her knowledge that
Johanna Sjoberg was hired to work for Epstein and provided massages. In the police report,
Johanna admitted that Maxwell recruited her to work for Epstein. See McCawley Decl. at
Exhibit 3, Giuffre000076-77 (police report indicating that Johanna was recruited by Maxwell).
Yet during Defendant’s deposition, she refused to answer questions regarding Johanna Sjoberg.
Q. Do you know what tasks Johanna was hired to performance?
A. She was tasked to answer telephones.
Q. Did you ever ask her to rub Jeffrey's feet? . . .
A. I believe that I have read that, but I don't have any memory of it.
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 3 of 10
4
Q. Did you ever tell Johanna that she would get extra money if she
provided Jeffrey massages?
A. I was always happy to give career advice to people and I think that
becoming somebody in the healthcare profession, either exercise instructor or
nutritionist or professional massage therapist is an excellent job opportunity.
Hourly wages are around 7, 8, $9 and as a professional healthcare provider you
can earn somewhere between as we have established 100 to $200 and to be able to
travel and have a job that pays that is a wonderful job opportunity. So in the
context of advising people for opportunities for work, it is possible that I would
have said that she should explore that as an option.
Q. Did you tell her she would get extra money if she massaged Jeffrey?
A. I'm just saying, I cannot recall the exact conversation. I give career
advice and I have done that.
Q. Did you ever have Johanna massage you?
A. I did.
Q. How many times?
A. I don't recall how many times.
Q. Was there sex involved?
A. No. . . .
Q. Did you ever have sexual contact with Johanna?
MR. PAGLIUCA: Object to the form and foundation. You need to give
me an opportunity to get in between the questions.
Anything that involves consensual sex on your part, I'm instructing you
not to answer.
Q. Did you ever have sexual contact with Johanna?
A. [MR. PAGLIUCA?] Again, she is an adult --
Q. I’m asking you, did you ever have sexual contact with Johanna?
A. I’ve just been instructed not to answer.
Q. On what basis?
A. You have to ask my lawyer.
See McCawley Decl. at Exhibit 4, Tr. of Maxwell Depo. (Apr. 22, 2016) at 60-62 (emphasis
added).
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 4 of 10
5
Here again, this information is critical to the case. Among other things, these questions
are designed to show a modus operani (“M.O”) for Epstein and Maxwell – specifically, how they
recruited for a non-sexual massage than converted the massage into sexual activities.
One last illustration comes from Defendant’s refusal to answer about her knowledge of
Epstein’s sexual interests during massages:
Q. Does Jeffrey like to have his nipples pinched during sexual
encounters?
MR. PAGLIUCA: Objection to form and foundation.
A. I'm not referring to any advice on my counsel. I'm not talking about
any adult sexual things when I was with him.
Q. When Jeffrey would have a massage, would he request that the
masseuse pinch his nipples while he was having a massage?
A. I'm not talking about anything with consensual adult situation.
See McCawley Decl. at Exhibit 5, Tr. of Maxwell Depo. (Apr. 22, 2016) at 82.
While Epstein himself might also provide answers to these questions, it appears likely
that he will assert his Fifth Amendment privilege regarding his sexual activities. Accordingly,
Ms. Giuffre must pursue questioning of Maxwell to obtain information on this subject. Here
again, information about Epstein’s sexual idiosyncrasies will provide important corroboration to
Ms. Giuffre’s testimony that she had sexual interactions of an identical nature with Epstein.
These refusals are not an isolated instance. Instead, similar refusals to answer questions
occurred repeatedly throughout the deposition. See, e.g., McCawley Decl. at Composite Exhibit
6. 52-55; 64-65; 82; 92-93; 137-38; 307-09.
The Court should compel Defendant to answer all these questions. In addition to the
specific points made above, the “big picture” here reveals how vital such discovery is. At the
core of Ms. Giuffre’s allegations is the allegation that Defendant lured her into a sexual situation
with the offer of a job making money as a massage therapist; that Epstein always habitually tried
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 5 of 10
6
to turn massages into sex (that was his modus operandi and plan all along); and that Maxwell
recruited other females for an ostensibly proper position, such as therapeutic masseuse, with
knowledge that the intent was for that person would be pressured to provide sexual gratification
to Epstein. As a result, Epstein’s use of massages for sexual purposes is a central part of this
case.
And Defendant’s role in those massages – and knowledge of the purposes of those
massages – is a critical piece of evidence showing her state of mind when she attacked Ms.
Giuffre’s assertions as “entirely untrue.” Ms. Giuffre intends to prove at trial that Defendant
knew full well the sexual purpose for which she was recruiting females – including underage
females like Ms. Giuffre. Ms. Giuffre is entitled to explore Defendant’s knowledge of the sexual
activities that took place under the guise of “massages.” Otherwise Defendant will be able to
portray to the jury an inaccurate picture of that what was happening at Epstein’s house what
nothing more than run-of-the-mill massage therapy. See, e.g., McCawley Decl. at Exhibit 7, Tr.
of Maxwell Depo. (Apr. 22, 2016) at 51 (“Q: Did [the pay for massage therapists] vary on what
sexual acts they performed? . . . A: No, it varied depending on how much time, some massage
therapists charge more and some charge less.”).
Defendant’s refusal to answer questions about alleged “adult” consensual sex also blocks
Ms. Giuffre from seeking legitimate discovery in this case. By refusing to answer questions
about her and Epstein’s sexual activities with alleged “adults,” Defendant is essentially given the
ability to refuse to answer any sexual question she does not wish to answer. Defendant simply
has to deem the question as involving “consensual adult sex” and no need be given. The result is
to leave Ms. Giuffre with no way of exploring the identity of these alleged adults, the ages of
these alleged adults, and indeed whether they were adults at all. This allows Defendant to claim
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 6 of 10
7
that she is unaware of any sexual activity involving underage females, because (she claims) the
only sexual activity she was aware involved adults.
The Court should compel Ms. Maxwell to answer all questions about her knowledge
relating to sexual activities with Epstein and other females while at Epstein’s various homes. See
Fed. R. Crim. P. 37(a)(3)(B)(i); see, e.g., Kelly v. A1 Tech., No. 09 CIV. 962 LAK MHD, 2010
WL 1541585, at *20 (S.D.N.Y. Apr. 12, 2010) (“Under the Federal Rules, when a party refuses
to answer a question during a deposition, the questioning party may subsequently move to
compel disclosure of the testimony that it sought. The court must determine the propriety of the
deponent's objection to answering the questions, and can order the deponent to provide
improperly withheld answers during a continued deposition” (internal citations omitted)). Of
course, the party objecting to discovery must carry the burden of proving the validity of its
objections, particularly in light of “the broad and liberal construction afforded the federal
discovery rules . . . .” John Wiley & Sons, Inc. v. Book Dog Books, LLC, 298 F.R.D. 184, 186
(S.D.N.Y. 2014). For purposes of a deposition, the information sought “need not be admissible
at the trial if the discovery appears reasonably calculated to lead to the discovery of admissible
evidence.” Chen-Oster v. Goldman, Sachs & Co., 293 F.R.D. 557, 561 (S.D.N.Y. 2013) (citing
Fed.R.Civ.P. 26(b)(1)).
Defendant cannot carry her burden of showing that the questions asked are not
reasonably calculated to lead to the discovery of admissible evidence. This is a case in which
sexual activities lie at the heart of the issues in dispute. As a result, it is hardly surprising to find
that discovery pertains to alleged “adult” sexual activities – and questions about such subjects are
entirely proper. See, e.g., Condit v. Dunne, 225 F.R.D. 100, 113 (S.D.N.Y. 2004) (in defamation
case, “Plaintiff is hereby ordered to answer questions regarding his sexual relationships in so far
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 7 of 10
8
as they are relevant to a defense of substantial truth, mitigation of damages, or impeachment of
plaintiff.”); Weber v. Multimedia Entm't, Inc., No. 97 CIV. 0682 PKL THK, 1997 WL 729039, at
*3 (S.D.N.Y. Nov. 24, 1997) (“While discovery is not unlimited and may not unnecessarily
intrude into private matters, in the instant case inquiry into private matters is clearly relevant to
the subject matter of the suit. Accordingly, plaintiff Misty Weber shall respond to defendants'
interrogatories concerning her sexual partners . . . .”).
Generally speaking, instructions from attorneys to their clients not to answer questions at
a deposition should be “limited to [issues regarding] privilege.” Morales v. Zondo, Inc., 204
F.R.D. 50, 54 (S.D.N.Y. 2001). In this case, defense counsel ranged far beyond the normal
parameters of objections and sought to decide for himself what issues were relevant. That was
improper and the Court should order a resumption of the Defendant’s deposition so that she can
answer questions about her knowledge of sexual activity relating to Jeffrey Epstein.
CONCLUSION
Defendant should be ordered to sit for a follow-up deposition and directed to answer
questions regarding her knowledge of alleged “adult” sexual activity.
Dated: May 5, 2016.
Respectfully Submitted,
BOIES, SCHILLER & FLEXNER LLP
By: /s/ Sigrid McCawley
Sigrid McCawley (Pro Hac Vice)
Meredith Schultz (Pro Hac Vice)
Boies Schiller & Flexner LLP
401 E. Las Olas Blvd., Suite 1200
Ft. Lauderdale, FL 33301
(954) 356-0011
David Boies
Boies Schiller & Flexner LLP
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 8 of 10
9
333 Main Street
Armonk, NY 10504
Bradley J. Edwards (Pro Hac Vice)
FARMER, JAFFE, WEISSING,
EDWARDS, FISTOS & LEHRMAN, P.L.
425 North Andrews Avenue, Suite 2
Fort Lauderdale, Florida 33301
(954) 524-2820
Paul G. Cassell (Pro Hac Vice)
S.J. Quinney College of Law
University of Utah
383 University St.
Salt Lake City, UT 84112
(801) 585-52022
2 This daytime business address is provided for identification and correspondence purposes only
and is not intended to imply institutional endorsement by the University of Utah for this private
representation.
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 9 of 10
10
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that on the 5th day of May, 2016, I electronically filed the
foregoing document with the Clerk of Court by using the CM/ECF system. I also certify that the
foregoing document is being served this day on the individuals identified below via transmission
of Notices of Electronic Filing generated by CM/ECF.
Laura A. Menninger, Esq.
Jeffrey Pagliuca, Esq.
HADDON, MORGAN & FOREMAN, P.C.
150 East 10th Avenue
Denver, Colorado 80203
Tel: (303) 831-7364
Fax: (303) 832-2628
Email: lmenninger@hmflaw.com
jpagliuca@hmflaw.com
/s/ Sigrid S. McCawley
Sigrid S. McCawley
Case 1:15-cv-07433-LAP Document 143 Filed 05/05/16 Page 10 of 10
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
MOTION TO COMPEL ALL ATTORNEY-CLIENT COMMUNICATIONS AND
ATTORNEY WORK PRODUCT
PLACED AT ISSUE BY PLAINTIFF AND HER ATTORNEYS
Laura A. Menninger
Jeffrey S. Pagliuca
HADDON, MORGAN, AND FOREMAN, P.C.
East 10th Avenue
Denver, CO 80203
303.831.7364
.............................................
..
i
TABLE OF CONTENTS
TABLE OF AUTHORITIES ....................................................................................................... ii
CERTIFICATE OF CONFERRAL ............................................................................................ 1
INTRODUCTION......................................................................................................................... 1
BACKGROUND FACTS RELEVANT TO DISPUTE ................................................................. 2
1. Correspondence re: Jane Doe #1 and Jane Doe #2 v. United States .................................... 2
2. Correspondence re: Giuffre v. Maxwell, 15-cv-07433-RWS .............................................. 2
3. Correspondence re: Bradley Edwards and Paul Cassell v. Alan Dershowitz ...................... 3
4. Correspondence re: Jane Doe No. 102 v. Jeffrey Epstein.................................................... 3
5. Categorical Entry re: correspondence potential legal action against entities and individuals
3
I. The Attorney-Client and Work Product Privilege Standards and Limitations ............. 7
a. The Attorney-Client Privilege .............................................................................................. 7
b. Work Product Privilege ....................................................................................................... 7
II. Plaintiff and her Attorneys Waived Attorney-Client and Work Product Privileges by
Putting Plaintiff’s Representation At Issue in the Dershowitz Case ............................... 8
a. Plaintiff’s Waiver of the Attorney-Client Privilege ........................................................... 10
b. Edwards and Cassell’s Waivers of Attorney-Client and Work Product Privilege in the
Dershowitz Case ............................................................................................................ 15
c. The elements for finding an at issue waiver are satisfied .................................................. 18
III. There is No Privilege as to Communications with Scarola ............................................ 22
a. There is no Attorney-Client Relationship .......................................................................... 22
b. Work Product Privilege has been Waived ......................................................................... 23
c. There is no basis to claim common interest or joint defense privilege .............................. 23
CONCLUSION ............................................................................................................................. 24
CERTIFICATE OF SERVICE ..................................................................................................... 25
ii
TABLE OF AUTHORITIES
Bank Brussels Lambert v. Credit Lyonnais (Suisse), S.A., 210 F.R.D. 506, 509-10 (S.D.N.Y.
2002) ........................................................................................................................................... 9
Bowne of New York City, Inc. v. AmBase Corp., 150 F.R.D. 465, 488 (S.D.N.Y. 1993) ....... 15, 21
Calvin Klein Trademark Trust v. Wachner, 198 F.R.D. 53, 55 (S.D.N.Y. 2000) .......................... 8
Chevron Corp. v. Salazar, 275 F.R.D. 437, 445-46 (S.D.N.Y. 2011) .......................................... 10
Chin v. Rogoff & Co., P.C., No. 05 CIV. 8360(NRB), 2008 WL 2073934, at *6 (S.D.N.Y. May
8, 2008) ..................................................................................................................................... 21
Drimmer v. Appleton, 628 F.Supp. 1249, 1252 (S.D.N.Y.1986) .................................................. 20
In re Horowitz, 482 F.2d 72, 82 (2d Cir.) ..................................................................................... 20
In re von Bulow, 828 F.2d . ..................................................................................................... 15, 20
In re. Steinhardt Partners, 9 F.3d 230, 235 (2d Cir. 1993) …………………………………….9
Koumoulis v. Indep. Fin. Mktg. Grp., Inc., 295 F.R.D. 28, 39-40 (E.D.N.Y. 2013). ..................... 9
McGrath v. Nassau Cty. Health Care Corp., 204 F.R.D. 240, 244 (E.D.N.Y. 2001) .............. 9, 22
Schaeffler v. United States, 806 F.3d 34, 40 (2d Cir.2015)………………………………..........16
S.E.C. v. Yorkville Advisors, LLC, 300 F.R.D. 152, 162 (S.D.N.Y. 2014) ................................... 25
United States ex rel Edney v. Smith, 425 F.Supp. 1038, 1052 (E.D.N.Y. 1976) .......................... 20
United States v. Bilzerian, 926 F.2d 1285, 1292 (2d Cir.1991 ................................................. 9, 15
United States v. Mejia, 655 F.3d 126, 132 (2d Cir. 2011) .............................................................. 8
iii
United States v. Nobles, 422 U.S. 225, 238 (1975). ....................................................................... 9
United States v. Schmidt, 105 F.3d 82, 89 (2d Cir. 1997) ............................................................ 15
Upjohn Co. v. United States, 449 U.S. 383, 389 (1981) ................................................................. 8
Urban Box Office Network, Inc. v. Interfase Managers, L.P., No. 01 Civ. 8854, 2004 WL
2375819, at *3–4 (S.D.N.Y. Oct. 21, 2004) ............................................................................. 10
Wultz v. Bank of China Ltd., 304 F.R.D. 384, 391 (S.D.N.Y.2015) ......................................... 8, 24
1
Defendant Ghislaine Maxwell (“Ms. Maxwell”) files this Motion to Compel All
Attorney-Client Communications and Attorney Work Product Placed At Issue By Plaintiff and
Her Attorneys (“Motion”), and as grounds therefore states as follows:
CERTIFICATE OF CONFERRAL
Pursuant to Federal Rule of Civil Procedure 37(a)(1), undersigned counsel certifies that
she conferred with opposing counsel regarding the issues contained herein and was unable to
resolve the matter.
INTRODUCTION
Plaintiff and her attorneys have tied a Gordian knot of overlapping litigations, client
representations and joint defense agreements. Through these multiple litigations and
representations, they attempt to strategically leverage attorney-client communications and
attorney work product to their tactical advantage by selectively disclosing information.
Simultaneously, they desperately seek to avoid disclosure of related materials they know are
unfavorable, would destroy Plaintiff’s claim that she has been truthful, and reveal her attorneys’
knowledge of Plaintiff’s false statements in multiple sworn filings and her concerted media
campaign. The law, however, does not permit such a manipulation of the attorney-client and
work product privileges. Rather, the selective disclosure of privileged materials results in a
waiver of privilege as to all such material. This waiver is broad-sweeping when, as here, the
persons asserting the privileges have affirmatively put the subject matter of the materials at issue.
In the most recent of their serial litigations (apart from this case), Plaintiff’s own
attorneys Bradley Edwards (“Edwards) and Paul Cassell (“Cassell”) sued Harvard Law Professor
Alan Dershowitz (“Dershowitz”) for defamation in Florida state court. The subject matter of that
litigation concerned whether Mr. Dershowitz defamed Plaintiff’s attorneys by claiming
a) Plaintiff is lying; b) Edwards and Cassell knew Plaintiff is lying; c) Edwards and Cassell helped
2
Plaintiff lie and helped her concoct her stories; d) Edwards and Cassell failed to properly
investigate Plaintiff’s allegations before filing pleadings and sworn statements on Plaintiff’s
behalf; and e) Edwards and Cassell were motivated to take these actions by a desire to achieve
personal economic gain. This litigation put at issue all communications between Plaintiff and
her attorneys as well as her attorneys’ complete work product in the investigations of Plaintiff’s
stories and accusations. The truth of the matters put at issue in the Dershowitz litigation can only
be tested by examination of privileged materials, resulting in a sweeping waiver.
BACKGROUND FACTS RELEVANT TO DISPUTE
In her privilege log, Plaintiff has “categorically” logged five separate groups of
documents she has withheld on the basis of “AC Privilege and Work Product/joint
defense/common interest.” The documents are identified as:
1. Correspondence re: Jane Doe #1 and Jane Doe #2 v. United States, Case No. 08-
80736-CIV-Marra, pending in the Southern District of Florida. ("CVRA Case")
Plaintiff withheld documents purportedly to and from her attorneys (and others) related to
legal advice regarding the CVRA Case (to which Plaintiff is not a party), and documents
purportedly giving attorney mental impressions related to the CVRA Case and
“evidence” related thereto. Declaration of Laura A. Menninger (“Menninger Decl..”),
Exhibit A.
(i) The date range of the documents is 2011 – Present. Id.
(ii) Persons identified as involved in the communications are: Plaintiff Virginia
Giuffre (“Giuffre”), Brad Edwards (“Edwards”), Paul Cassell (“Cassell”),
Brittany Henderson (“Henderson”), Sigrid McCawley (“McCawley”),
Meredith Schultz (“Shultz”), David Boies (“Boies”), Jack Scarola (“Scarola”),
Stan Pottinger (“Pottinger”), Ellen Brockman (“Brockman”), Legal Assistants
(“Legal Assistants”), Professionals retained by attorneys to aid in the rendition
of legal advice and representation (“Other Professionals”). Id.
2. Correspondence re: Giuffre v. Maxwell, 15-cv-07433-RWS, pending in the
Southern District of New York (“Maxwell Case”). Id.
(i) The date range of the documents is September 21, 2015– Present. Id.
3
(ii) Persons identified as involved in the communications are: Giuffre, Edwards
Cassell, Henderson, McCawley, Schultz, Boies, Pottinger, Stephen Zach
(“Zach”), Brockman, Legal Assistants and Other Professionals. Id.
3. Correspondence re: Bradley Edwards and Paul Cassell v. Alan Dershowitz
(“Dershowitz Case”), Case No. 15000072, pending in the Seventeenth Judicial Circuit,
Broward County, Florida. (“Dershowitz Case”). Id.
(i) The date range of the documents is January 2015 -Present. Id.
(ii) Persons identified as involved in the communications are: Giuffre, Edwards
Cassell, Henderson, McCawley, Schultz, Boies, Pottinger, Zach, Brockman,
Legal Assistants and Other Professionals. Id.
4. Correspondence re: Jane Doe No. 102 v. Jeffrey Epstein (“Epstein Case”), Case
No. 09-80656-CIV-Marra/Johnson (Southern District of Florida) (“Epstein case”)
(i) The date range of the documents is 2009 – Present
(ii) Persons identified as involved in the communications are: Giuffre, Bob
Josefsberg, Katherine W. Ezell, Amy Ederi, other Podhurst attorneys, Legal
Assistants, and Professionals retained by attorneys to aid in the rendition of
legal advice. Id.
5. “This categorical entry is regarding correspondence potential legal action against
entities and individuals.” (same description re potential litigation)
(i) The date range of the documents is from January 2015 –Present.
(ii) Persons identified as involved in the communications are: Giuffre, Edwards
Cassell, Henderson, McCawley, Schultz, Boies, Pottinger, Zach, Brockman,
Legal Assistants and Other Professionals.
Plaintiff is withholding “Approx. 1.3 kilobytes [of documents] overlapping with other
cases” based on the categorically logged entries in Paragraph 1.
According to her most recent interrogatory response, Plaintiff has been represented in
various litigation matters identified above as follows:
(a) Pottinger, Boies, and McCawley (along with other Boies Schiller & Flexner LLP
(“Boies Schiller”) attorneys represent Ms. Giuffre as a non-party in the Dershowitz Case,
starting in February 2015.
(b) Edwards (along with other Farmer, Jaffe, Weissing, Edwards, Fistos & Lehrman,
P.L. attorneys), Cassell, Pottinger, Boies and McCawley and Boies Schiller attorneys
represent Ms. Giuffre in the Maxwell case, “the complaint of which was filed in
September, 2015.” Id.
4
(c) Cassell represents Ms. Giuffre as a non-party in the CVRA Case, starting in May
of 2014. Id.
(d) Edwards and other Farmer, Jaffe attorneys represent Ms. Giuffre as a non-party in
the CVRA Case, starting in 2011. Id.
(e) Cassell provided Ms. Giuffre with legal advice concerning potential legal action
starting in early 2011. Id.
(f) Cassell, Edwards and other Farmer, Jaffe attorneys, Pottinger, Boies (along with
other Boies Schiller attorneys) represent Ms. Giuffre regarding investigations into
potential legal action starting in the second half of 2014. Id.
(g) According to Plaintiff, she has never been represented by Scarola.
Menninger Decl., Ex. B at 4.
The CVRA Case
In the CVRA Case, Edwards (starting in 2011) and Cassell (starting in May 2014) have
represented Plaintiff in attempting to obtain joinder in the pending action. On December 30,
2014, Cassell and Edwards filed a pleading titled "Jane Doe #3 and Jane Doe #4's Motion
Pursuant to Rule 21 for Joinder in Action" in the CVRA Case. Menninger Decl., Ex C (the
"Joinder Motion"). The Joinder Motion contained a number of allegations on behalf of “Jane
Doe # 3,” who is actually Ms. Giuffre, the Plaintiff in this case. The allegations include that
“Epstein also sexually trafficked the then-minor Jane Doe [#3], making her available for sex to
politically-connected and financially-powerful people." The "politically-connected and
financially powerful people" identified by Edwards and Cassell by name in the Joinder Motion
as having had sexual relations with Jane Doe #3 were Prince Andrew, Duke of York ("Prince
Andrew"), Ms. Maxwell, Jean Luc Brunel ("Brunel") and Alan Dershowitz (“Dershowitz”). Id.
at 3-6.1
1 The judge in the CVRA case subsequently struck these allegations, stating “[a]t this juncture in the proceedings,
these lurid details are unnecessary to the determination of whether Jane Doe 3 and Jane Doe 4 should be permitted
to join Petitioners’ claim that the Government violated their rights under the CVRA. The factual details regarding
with whom and where the Jane Does engaged in sexual activities are immaterial and impertinent to this central claim
5
Following the Joinder Motion, Dershowitz made numerous public appearances in which
he vigorously denied the allegations, stated that Edwards and Cassell “are lying deliberately,”
and that if Cassell and Edwards “had just done an hours’ worth of work, they would have seen
she [Plaintiff] is lying through her teeth.” See Menninger Decl., Ex. E at 9-10.
The Dershowitz Case
On January 6, 2015, Edwards and Cassell initiated litigation against Dershowitz - the
Dershowitz Case. See Menninger Decl., Ex. F.
In the Dershowitz Case, Edwards and Cassell sued Dershowitz for defamation claiming
that Dershowitz’s public statements – that they and their client were lying and that they failed to
investigate their client’s claims – were false. The Complaint by Edwards and Cassell alleged that
“[i]mmediately following the filing of what Dershowitz knew to be an entirely proper and wellfounded
pleading, Dershowitz initiated a massive public media assault on the reputation and
character of Bradley J. Edwards and Paul G. Cassell accusing them of intentionally lying in their
filing, of having leveled knowingly false accusations against the Dershowitz without ever
conducting any investigation of the credibility of the accusations, and of having acted unethically
to the extent that their willful misconduct warranted and required disbarment.” Menninger Decl.,
Ex. F, ¶ 17.
Edwards and Cassell claimed as false Dershowitz’s statements that “Edwards and Cassell
failed to minimally investigate the allegations advanced on behalf of their client [Virginia
Giuffre] and even that they sat down with her to contrive the allegations.” Menninger Decl., Ex.
E at 9. During the Dershowitz litigation, Edwards and Cassel responded to interrogatories and
requests for production issued by Dershowitz. Menninger Decl., Ex. G. Interrogatory No.1 asked:
(i.e., that they were known victims of Mr. Epstein and the Government owed them CVRA duties), especially
considering that these details involve non-parties who are not related to the respondent Government. These
unnecessary details shall be stricken.” See Menninger Decl., Ex. D.
6
“State verbatim or as close as possible Each statement by Dershowitz that You assert defamed You,”
to which Edwards and Cassel responded with nine pages of statements made by Dershowitz in the
press where Dershowitz states: 1) Plaintiff is lying; 2) Edwards and Cassel know Plaintiff is lying; 3)
Edwards and Cassel helped Plaintiff lie and “put words in her mouth”; and 4) Edwards and Cassel
failed to properly investigate Plaintiff’s allegations before publicizing Plaintiff’s statements.
Menninger Decl., Ex. G at 3-11.
Edwards and Cassell further stated that the listed Dershowitz press statements were
defamatory because “[t]he factual assertions contained or implied in the statements quoted in
answer to Interrogatory Number 1 were not true, notably with regard to claims that Edwards and
Cassell were deliberately lying, had failed to conduct an investigation of the allegations before
filing them, had manipulated or conspired with Jane Doe No. 3 to make intentionally false
allegations about Mr. Dershowitz, and that Plaintiffs were motivated to participate in the filing of
knowingly false accusations against the Defendant by a desire to achieve personal economic
gain.” Menninger Decl., Ex. G at 11, Response to Interrog. 2.
At the time the Dershowitz Case was filed, Edwards, Cassell and Boies represented
Plaintiff regarding “potential litigations.” See supra at ¶ 3f.
Plaintiff, Edwards and Cassell claim to be in a joint defense or common interest
agreement relating to the Dershowitz Case (Menninger Decl., Ex. H at 205:19-206:7), although
no such agreement has ever been produced.
Plaintiff and her counsel actively participated in the Dershowitz Case. Plaintiff provided
a declaration in the Dershowitz Case in support of the claims against Dershowitz. Menninger
Decl., Ex. I. Plaintiff also sat for a deposition in the Dershowitz Case and testified in a manner
expected to support Edwards’ and Cassell’s claims. Menninger Decl., Ex. H. Her counsel filed
12 pleadings in that matter.
7
I. The Attorney-Client and Work Product Privilege Standards and Limitations
a. The Attorney-Client Privilege
“The attorney-client privilege protects communications (1) between a client and his or
her attorney (2) that are intended to be, and in fact were, kept confidential (3) for the purpose of
obtaining or providing legal advice.” United States v. Mejia, 655 F.3d 126, 132 (2d Cir. 2011).
The purpose of the privilege “is to encourage full and frank communication between attorneys
and their clients and thereby promote broader public interests in the observance of law and
administration of justice.” Upjohn Co. v. United States, 449 U.S. 383, 389 (1981). “In order to
balance this protection of confidentiality with the competing value of public disclosure, however,
courts apply the privilege only where necessary to achieve its purpose and construe the privilege
narrowly because it renders relevant information undiscoverable.” Mejia, 655 F.3d at 132.
Because the privilege “stands in derogation of the search for truth so essential to the effective
operation of any system for justice ... the privilege must be narrowly construed.” Calvin Klein
Trademark Trust v. Wachner, 198 F.R.D. 53, 55 (S.D.N.Y. 2000) (citing United States v. Nixon,
418 U.S. 683, 710 (1974)). “The party invoking the privilege also has the burden to show that the
privilege has not been waived.” Wultz v. Bank of China Ltd., 304 F.R.D. 384, 391
(S.D.N.Y.2015).
b. Work Product Privilege
The work-product privilege protects documents either created by counsel or at counsel's
directive, in anticipation of litigation. See In re Grand Jury Subpoenas Dated March 19, 2002 &
August 2, 2002, 318 F.3d 379, 383 (2d Cir. 2003). The attorney work-product privilege “shelters
the mental processes of the attorney, providing a privileged area within which he can analyze and
prepare his client's case.” United States v. Nobles, 422 U.S. 225, 238 (1975). Again, the party
8
asserting the work-product privilege “bears the heavy burden of establishing its applicability.” In
re Grand Jury Subpoena Dated July 6, 2005, 510 F.3d 180, 183 (2d Cir. 2007). Work product
“includes both opinion work product, such as an attorney's mental impressions or legal theories,
and fact work product, such as factual investigation results.” Koumoulis v. Indep. Fin. Mktg.
Grp., Inc., 295 F.R.D. 28, 39-40 (E.D.N.Y. 2013), aff'd, 29 F. Supp. 3d 142 (E.D.N.Y. 2014).
“Both the attorney-client and work-product privileges may be waived if a party puts the
privileged communication at issue by relying on it to support a claim or defense.” Id.
II. Plaintiff and her Attorneys Waived Attorney-Client and Work Product Privileges
by Putting Plaintiff’s Representation At Issue in the Dershowitz Case
“The [attorney-client] privilege may implicitly be waived when [a party] asserts a claim
that in fairness requires examination of protected communications.” United States v. Bilzerian,
926 F.2d 1285, 1292 (2d Cir.1991); see also McGrath v. Nassau Cty. Health Care Corp., 204
F.R.D. 240, 244 (E.D.N.Y. 2001) (“Parties may waive any work product protection by putting
the privileged information at issue”). Courts determine whether a subject matter has been placed
at issue based on whether “(1) assertion of the privilege was a result of some affirmative act,
such as filing suit, by the asserting party; (2) through this affirmative act, the asserting party put
the protected information at issue by making it relevant to the case; and (3) application of the
privilege would have denied the opposing party to information vital to his defense.” Bank
Brussels Lambert v. Credit Lyonnais (Suisse), S.A., 210 F.R.D. 506, 509-10 (S.D.N.Y. 2002)
(quoting Hearn v. Rhay, 68 F.R.D. 574, 581 (E.D.Wash.1975)). “[C]ourts have generally
applied the Hearn [at issue] doctrine liberally, finding a broad waiver of attorney-client privilege
where a party asserts a position “the truth of which can only be assessed by examination of the
privileged communication.” Bank Brussels Lambert, 210 F.R.D. at 508.
9
After a party voluntarily discloses attorney-client communications or work-product
information “to an adversary in one proceeding, it cannot withhold the same documents on the
basis of privilege in a subsequent proceeding, even if that subsequent proceeding involves a
different adversary.” Chevron Corp. v. Salazar, 275 F.R.D. 437, 445-46 (S.D.N.Y. 2011); see
also In re Steinhardt Partners, 9 F.3d 230, 235 (2d. Cir. 1993) (“The waiver doctrine provides
that voluntary disclosure of work product to an adversary waives the privilege as to other parties
[in a subsequent proceeding].”); Urban Box Office Network, Inc. v. Interfase Managers, L.P.,
No. 01 Civ. 8854, 2004 WL 2375819, at *3–4 (S.D.N.Y. Oct. 21, 2004) (applying same principle
to waive attorney-client privilege). This, of course, makes sense because “where a party
voluntarily undertakes actions that will predictably lead to the disclosure of [a] document, then
waiver will follow.” Chevron Corp., 275 F.R.D. at 445-46 (internal citations omitted).
“The scope of the attorney-client privilege waiver is determined on a case by case basis
by considering the context of the waiver and the prejudice caused to the other party by permitting
partial disclosure of privileged communications.” McGrath, 204 F.R.D. at 244 (E.D.N.Y. 2001)
(citing In re Grand Jury Proceedings, 219 F.3d 175, 190 (2d Cir.2000)). “As in the attorneyclient
context, fairness and prejudice concerns define the scope of any work product waiver.” Id.
at 192. Factors considered by the Second Circuit to find a broad waiver appropriate include
“(1) whether substantive information has been revealed; (2) prejudice to the opposing party
caused by partial disclosure; (3) whether partial disclosure would be misleading to a court; (4)
fairness; and (5) consistency.” Id.
10
a. Plaintiff’s Waiver of the Attorney-Client Privilege
Edwards and Cassell sued Dershowitz for defamation claiming that Dershowitz’s public
statements about their representation of client were false. At the time those claims were filed,
Edwards and Cassell represented Plaintiff in the CVRA Case. She was also represented by
Edwards, Cassell and Boies regarding “potential litigation.” The statements Edwards and
Cassell claimed as false included that “Edwards and Cassell failed to minimally investigate the
allegations advanced on behalf of their client [Virginia Giuffre] and even that they sat down with
her to contrive the allegations.” The allegations Edwards and Cassell failed to minimally
investigate and/or contrived where the allegations made by Plaintiff in the CVRA Joinder
Motion. Dershowitz counterclaimed against Edwards and Cassell suing them for 1) the
publication of the false allegations of Giuffre in the Joinder Motion and 2) defamation for their
extra-judicial false statements concerning Dershowitz and his alleged involvement with Giuffre.
Plaintiff and her counsel McCawley actively participated in the Dershowitz Case and
affirmatively waived any attorney-client privilege over Plaintiff’s communications. Plaintiff
produced documents, sat for a deposition (Menninger Decl., Ex. H) and provided a sworn
declaration (Menninger Decl., Ex. I). Through her participation in the case, Plaintiff specifically
discussed her communications with Edwards and Cassell. In her sworn declaration, she
discussed the following attorney communications:
· Her conversation with Brad Edwards in 2011 when she first told him her story. This was
followed by a telephone conversation with Edwards and his attorney, Scarola, which was
recorded with her knowledge and consent and which has been filed in multiple court
papers and given to the press2 (Menninger Decl., Ex I at ¶ 55-56);
2 Edwards participated in this call as Plaintiff’s attorney. Plaintiff believed that the conversation was covered by
attorney-client privilege. See Menninger Decl., Ex. J, (email between Plaintiff and Sharon Churcher crafting
communication to Edwards regarding publication of privileged communication). Yet, when the conversation was
sent to the press, and used in later court filings, Plaintiff did nothing to stop the publication of this privileged
11
· Her discussions with Edwards and Cassell of her representation in the CVRA Case (id. at
¶ 61);
· Her directions to counsel to pursue criminal charges (id. at ¶ 65);
· In her conversations with her attorneys “no one” has “pressured” her to identify
Dershowitz as a person who allegedly abused her (id. at ¶ 67);
· Her authorization to her attorney to file various affidavits including her stories (id. at
¶ 67);
· Her attorneys’ belief in the truth of her statements (id. at ¶ 68).
Plaintiff’s waiver of her attorney-client privilege was solidified during her deposition in
the Dershowitz Case. At the conclusion of questioning by Dershowitz’s counsel, and after off
the records discussions between and among McCawley, Edwards, Cassell and Jack Scarola
(counsel for Edwards and Cassell), Mr. Scarola then asked Plaintiff a series of questions directly
discussing her communications with her counsel. McCawley made no objection and Plaintiff
responded to each question. Scarola asked if Edwards pressured or encouraged her to lie:
Menninger Decl., Ex. H at 202:5-202:12. Scarola asked similar questions concerning Cassell.
Id. at 202-03. The questioning, however, was not limited to Plaintiff’s conversations with
Edwards and Cassell. Scarola’s final question, again answered without objection by McCawley,
was:
communication. This alone is sufficient to waive the attorney-client privilege communication as between Edwards
and Plaintiff. See infra, p. 19-20.
12
Menninger Decl., Ex. H at 203:18-204:7.
There is no mechanism by which Plaintiff could respond to any of these questions with
the answer “never” unless she is recollecting and relying on the content of each and every
communication she had with Edwards, Cassell and any other person (including each and every
one of her attorneys) about the “topics covered” in the deposition. The topics covered in the
deposition were wide ranging including the full breadth of statements she and her counsel had
made in the CVRA Case, identification of the “high powered” individuals with whom she claims
to have had sexual relations, when and how she allegedly met Epstein, the timing and specifics
of her alleged encounters with Dershowitz, Prince Andrew, Maxwell and others, and her
interviews with and statements to media outlets. In other words, the topics included every story
Plaintiff has ever told concerning the time she claims she was a “sex slave.”
Notably, the Special Master overseeing Plaintiff’s deposition in the Dershowitz Case
immediately recognized the waiver. On re-direct, the following colloquy occurred:
13
Menninger Decl., Ex. H at 205:15-206:10.
This testimony directly placed Plaintiff’s attorney-client communications and work
product at issue in the Dershowitz Case. Edwards and Cassell took the affirmative position that
Dershowitz’s statements that Edwards and Cassell helped Plaintiff fabricate her stories were
false and defamatory. See Menninger Decl., Ex E, p. 2 (“Dershowitz went so far as to repeatedly
accuse Edwards and Cassell of criminal misconduct in actively suborning perjury and fabricating
the allegations of misconduct against him - acts that would warrant their disbarment from the
legal profession. . . . Put simply, Dershowitz has made highly defamatory allegations that have
no basis in fact”). Communications between Plaintiff and her attorney were a central issue in the
claims brought by Edwards and Cassell, and Plaintiff voluntarily testified regarding those
communications.
Plaintiff was acutely aware of how the information was being utilized in the Dershowitz
Case. According to Plaintiff, she is a party to a joint defense or common interest agreement with
Messrs. Edwards and Cassell. When the Dershowitz Case was filed, a mere week after the filing
of the Joinder Motion on Plaintiff’s behalf, Edwards and Cassell represented Plaintiff, who
Dershowitz had also threatened to sue. Thus, Edwards and Cassell allegedly act both as
Plaintiff’s attorneys and her joint-defense or common interest partners. Plaintiff was aware that
what was, or in this case was allegedly not, said between her and her attorney would be
affirmatively used by her counsel/joint defense partners in support of their claims. She
authorized the disclosure and testified, both with the assistance of McCawley.
14
Plaintiff, on behalf of her joint defense partners, provided evidence to support the factual
claim neither Edwards or Cassell (nor anyone else) asked Plaintiff to lie about her stories of
alleged sexual abuse and trafficking. The only way the truth of that issue can be tested is
through the examination of all her communications about her stories, with attorneys or
otherwise. See Bowne v. AmBase Corporation, 150 F.R.D. 465, 488 (S.D.N.Y.1993), aff'd by
161 F.R.D. 258 (S.D.N.Y.1995) (otherwise privileged communications put in issue where party
“asserts a factual claim the truth of which can only be assessed by examination of a privileged
communication”); United States v. Bilzerian, 926 F.2d 1285, 1292 (2d Cir.1991) (“[a] defendant
may not use the privilege to prejudice his opponent's case or to disclose some selected
communications for self-serving purposes. Thus, the privilege may implicitly be waived when
defendant asserts a claim that in fairness requires examination of protected communications.”);
In re von Bulow, 828 F.2d at 101–02 (“[I]t has been established law for a hundred years that
when the client waives the privilege by testifying about what transpired between her and her
attorney, she cannot thereafter insist that the mouth of the attorney be shut. From that has grown
the rule that testimony as to part of a privileged communication, in fairness, requires production
of the remainder.”); United States v. Schmidt, 105 F.3d 82, 89 (2d Cir. 1997) (criminal defendant
who testified that she was never advised by her attorney of the fifth amendment implications of
proceeding pro se put at issue all communications with her former attorney and her knowledge
of the law as informed by her attorney-client communications).
“[T]he attorney-client privilege cannot at once be used as a shield and a sword. . . . A
defendant may not use the privilege to prejudice his opponent's case or to disclose some selected
communications for self-serving purposes.” Bilzerian, 926 F.2d 1285, 1292 (2d Cir. 1991)
(internal citations omitted); Locascio, 357 F.Supp.2d 536, 550 (E.D.N.Y. 2004) (“The privilege
15
may not simultaneously be used as a shield and a sword; where a defendant opens the door by
waiving the attorney-client privilege, . . . the [party] cannot open the door only to the information
he would like to admit.”) Plaintiff has used her attorney communications as a sword on behalf of
her joint defense partners, and therefore her communications with her attorneys are no longer
shielded.
Plaintiff also testified that she shared her conversations and communications with
Edwards to unrelated third parties. In particular, she shared her communications with a reporter
for the Daily Mail Online, Sharon Churcher. See Menninger Decl., Ex. K, at 297:5-300:6. There
is no doubt that sharing attorney-client communications with a third-party, particularly when that
third party is a member of the press, acts to waive any claim of privilege. Schaeffler v. United
States, 806 F.3d 34, 40 (2d Cir.2015). (“A party that shares otherwise privileged communications
with an outsider is deemed to waive the privilege by disabling itself from claiming that the
communications were intended to be confidential.”).
b. Edwards and Cassell’s Waivers of Attorney-Client and Work Product Privilege in
the Dershowitz Case
In addition to Plaintiff’s direct waiver, Plaintiff’s counsel/joint defense partners Edwards
and Cassell waived both attorney-client privilege and protection of their work product by putting
those matters at issue in the Dershowitz Case. The scope of the subject matter put at issue in the
Dershowitz Case could not be broader. Edwards and Cassell pleaded and argued at every
conceivable turn that: 1) they had a good faith belief that Ms. Giuffre’s allegations –
communicated to them by Giuffre -- were true; 2) they conducted a thorough investigation of
Ms. Giuffre’s claims (their work product regarding Plaintiff and her allegations); 3) that Ms.
Giuffre and her story were credible; 4) they did not have any communications or encourage
16
Plaintiff to fabricate facts or portions of her stories; and 5) they were not motivated in taking
their actions by potential financial gain . Edwards and Cassell point to both communications
with Plaintiff and their own work product in an attempt to prove their claims.
By way of example, in the Motion for Summary Judgement in the Dershowitz Case,
Edwards and Cassell make the following assertions, citing attorney-client-privileged
communications and work product documents in support of their claims and defenses:
· “Ms. Giuffre has submitted a sworn affidavit, not only attesting to the truthfulness of her
allegations against Dershowitz but also about the fact that she told her lawyers about
these claims.” (emphasis supplied) (attorney-client communications);
· “The assertions of sexual abuse are more than adequately corroborated by compelling
circumstantial evidence which is detailed at length by Cassell in his deposition.” (work
product/investigations);
· “Regardless of whether Dershowitz sexually abused Ms. Giuffre, Edwards and Cassell
clearly had a good faith basis for relying on the sworn representations of their client.”
(attorney-client communications, attorney thought process);
· “Edwards and Cassell had clearly conducted extensive investigation into the basis for Ms.
Giuffre's allegations” (work product);
· “the undisputed record evidence establishes that Edwards and Cassell had every right
following their detailed investigation to rely on Ms. Giuffre's credibility” (attorney-client
communication, work-product and investigations, thought process and credibility
assessments);
· “The good faith basis for Edwards and Cassell's reliance on Giuffre's allegations is laid
out in detail by Professor Cassell in more than 50 pages of sworn testimony during his
deposition. See Depo. Transcript of Paul Cassell (Oct. 16 & 17, 2015), at 61-117 (Exhibit
#3)” (attorney investigative activities, work-product and attorney thought process based
on what they “knew” through attorney-client communications).
· “Edwards and Cassell clearly had a powerful basis for believing their client's allegation
that she had been sexually abused by Dershowitz, particularly where she had made this
allegation to them as far back as 2011” (attorney-client communications)
· “Dershowitz made false and defamatory statements by alleging that two experienced and
capable attorneys who thoroughly investigated and believed Ms. Giuffre's allegations in
good faith should be disbarred” (work-product, investigation of alleged acts and
investigation of credibility).
Menninger Decl., Ex E, at 1-13.
17
In addition to the Motion for Summary Judgment, Mr. Cassell in his deposition spent
more than 50 pages detailing the investigations and assessment of all of the evidence used as a
factual basis for the Joinder Motion in the CVRA Case on behalf of Plaintiff. Menninger Decl.,
Ex. L at 61-117. During this soliloquy, Cassell details his and Edwards thought processes in
assessing the claims, their evaluation of the evidence they reviewed, and all other information
that he had to believe Plaintiff’s stories. He specifically refers to Plaintiff, their evaluation of the
evidence in light of the information they “knew” about Plaintiff, and their evaluation and thought
process of how the evidence supported her stories. Of course, the information they “knew”
about Plaintiff was a direct result of her attorney-client communications with them, and their
evaluation of that evidence in the case is clearly work product. In reciting the work product he
believes supports “Virginia’s” story, Cassell states that this is “important to Virginia” and “I
want to do a good job for Virginia Roberts on -- on representing all the -- the evidence that is
available to support her.” Menninger Decl.., Ex. L at 102:1-3 & 118:7-8. Having put these
matters directly at issue, and utilizing both their work-product and attorney-client
communications in support of the claims, there is a complete waiver of protection over 1) the
content of communications between Plaintiff and her attorneys, and 2) her attorneys’ work
product and thought process in investigating and “reasonable belief” in the claims.3
3 In a joint press release relating to the settlement of the Dershowitz Case, Plaintiff and her attorneys again
affirmatively cite to Plaintiff’s communications with them, their investigation of her statements, and their
assessment of her credibility. The references include the time frame prior to their initial filing as well as information
discovered throughout the course of the Dershowitz Cases. In that press release, Edwards and Cassel stated
“Edwards and Cassell maintain that they filed their client's allegations in good faith and performed the necessary
due diligence to do so, and have produced documents detailing those efforts.” Menninger Decl., Ex. M, p.1. The
press release continues in stating that it was a “mistake” to have filed sexual misconduct allegations against
Dershowitz citing, among other things, “the records and other documents produced by the parties.” Id. at 2. These
public statements provide a further waiver over the work product that led to the public acknowledgement that filing
the lawsuit and reliance on Plaintiff’s allegations was a “mistake.”
18
c. The elements for finding an at issue waiver are satisfied
As discussed above, “courts have generally applied the [at issue] doctrine liberally,
finding a broad waiver of attorney-client privilege where a party asserts a position “the truth of
which can only be assessed by examination of the privileged communication.” Bank Brussels
Lambert, 210 F.R.D. at 508. All of the factors for waiver have been met: “(1) assertion of the
privilege was a result of some affirmative act, such as filing suit, by the asserting party; (2)
through this affirmative act, the asserting party put the protected information at issue by making
it relevant to the case; and (3) application of the privilege would have denied the opposing party
to information vital to his defense.” Id. 210 F.R.D. at 509-10. Here, Edwards and Cassell, with
the full knowledge and consent of Plaintiff, took the affirmative act of filing and participating in
the Dershowitz Case. Through this affirmative act, they put at issues what Plaintiff told her
attorneys, whether it was true, whether her attorneys helped her concoct additional allegations
that would help her position, whether they adequately investigated her claims, their basis for
believing Plaintiff was credible, and if they and their client were motivated to file false claims by
a desire for financial gain.
As discussed above, Plaintiff voluntarily and affirmatively waived the attorney-client
privilege through her testimony. That alone is sufficient to find an at issue waiver. Plaintiff also
permitted the waiver of the attorney-client privilege by permitting Edwards and Cassell to put
her communications with them and her attorneys’ work product at issue with her full knowledge
and consent. Plaintiff is a party to a joint defense agreement with Edwards and Cassell. She and
her attorneys were involved in communication about the Dershowitz Case beginning in January
2015. The case was preemptively filed to beat Dershowitz to the courthouse, before he could act
on his public statements that he intended to sue both Plaintiff and her attorneys for, among other
19
things, defamation. Plaintiff did nothing to stop her counsel from filing the Complaint, despite
the fact that it would necessarily put her communications with her counsel at issue. And, she
actively participated in the litigation. Indeed, the testimony of Cassell makes clear that the
purpose of the litigation was for Plaintiff’s benefit, and that he wanted to do a “good job” for her.
Normally, an attorney cannot waive the attorney-client privilege without his client’s
knowledge and consent. In re von Bulow, 828 F.2d at 101. But, “[a] client may nonetheless by
his actions impliedly waive the privilege or consent to disclosure.” Id., 828 F.2d 94, 101 (2d Cir.
1987) (citing See United States ex rel Edney v. Smith, 425 F.Supp. 1038, 1052 (E.D.N.Y. 1976)
(implied waiver), aff'd, 556 F.2d 556 (2d Cir.), cert. denied, 431 U.S. 958 (1977); Drimmer v.
Appleton, 628 F.Supp. 1249, 1252 (S.D.N.Y.1986) (implied consent); Wigmore, supra, § 2327)).
In certain circumstances, an attorney may have “an implied authority to waive the privilege on
behalf of his client.” Drimmer, 628 F.Supp. at 1251; see also In re von Bulow, 828 F.2d at 101.
“It is the client's responsibility to ensure continued confidentiality of his communications.” Id.
If a client is aware of her attorney’s waiver of privilege and takes no action to preserve
confidentiality, the privilege is lost. Id.; In re Horowitz, 482 F.2d 72, 82 (2d Cir.), cert. denied,
414 U.S. 867 (1973) (“[i]t is not asking too much to insist that if a client wishes to preserve the
privilege under such circumstances, he must take some affirmative action to preserve
confidentiality”).
This situation is analogous to a client asserting advice of counsel as a defense, a situation
in which an at issue waiver of the full scope of attorney-client communications is automatic. See
Bilzerian, 926 F.2d at 1292 (defendant’s testimony that he thought his actions were legal would
have put his knowledge of the law and the basis for his understanding of what the law required
into issue, directly implicating his conversations with counsel); Chin v. Rogoff & Co., P.C., No.
20
05 CIV. 8360(NRB), 2008 WL 2073934, at *6 (S.D.N.Y. May 8, 2008) (in suit for damages
against tax advisor for negligence in providing tax advice, reliance and causation could only be
assessed through invading the attorney-client privilege and examining the nature of counsel’s
advice to determine different advice was given by attorneys). The at issue waiver is complete
“even if a party does not attempt to make use of a privileged communication” Bowne of New
York City, Inc. v. AmBase Corp., 150 F.R.D. 465, 488 (S.D.N.Y. 1993) (discussing Bilzerian,
926 F.2d 1285); Chin, 2008 WL 2073934, at *6 (waiver occur even where client does not
reference attorney communications if review of communications is necessary to establish an
element of a claim). Here, Edwards and Cassell put the issue of their “good faith” reliance on
Plaintiff’s communications to them affirmatively at issue, as well as their investigation of what
she told them in those communications. Having done so with Plaintiff’s knowledge and consent,
and without her protest, the waiver is complete.
The application of the privilege here, after it has been selectively waived, denies Ms.
Maxwell information vital to her defense. By way of very limited example, in the case at bar,
Plaintiff claims that she was defamed when Ms. Maxwell stated that the allegations Plaintiff
made in the Joinder Motion, included allegations regarding Dershowitz, Ms. Maxwell and Prince
Andrew, were false. In the Joinder Motion Edwards and Cassell boldly state “Epstein required
Jane Doe #3 to have sexual relations with Dershowitz on numerous occasions while she was a
minor, not only in Florida but also on private planes, in New York, New Mexico, and the U.S.
Virgin Islands.” Menninger Decl., Ex. C at 4. Edwards and Cassell, however, had doubts about
Plaintiff’s allegations based on their own investigation, including whether Dershowitz and
Plaintiff were ever on Epstein’s plane together. Cassell identified flight logs Edwards and he
reviewed as supporting the allegations made by Plaintiff. Menninger Decl., Ex. L at 69-70. He
21
admits, however, that there is not a single log entry that put Dershowitz and Plaintiff on the same
plane.4 Having put at issue their investigation and “good faith belief” in Plaintiff’s stories, they
must provide all information about anything that both supports and undermines Plaintiff’s story
and their own belief in the credibility of that story.
Plaintiff will undoubtedly attempt to prop-up her claims that she was telling the truth
through use of the investigative material, work product, mental impressions and opinions on her
credibility offered by her attorneys/joint defense partners, Edwards and Cassell. Ms. Maxwell
cannot be denied access to information showing her attorney’s work and investigation shows
Plaintiff’s stories were fabricated, including the details uncovered demonstrating Plaintiff’s lack
of credibility.
Each of the factors considered by the Second Circuit to find a broad waiver weighs in
favor of finding such a waiver here. The factors are “(1) whether substantive information has
been revealed; (2) prejudice to the opposing party caused by partial disclosure; (3) whether
partial disclosure would be misleading to a court; (4) fairness; and (5) consistency.” McGrath v.
Nassau Cty. Health Care Corp., 204 F.R.D. 240, 244.
Cassell and Edwards have revealed in extensive detail their work-product demonstrating
why they believed Plaintiff’s allegations and incorporated them in the Joinder Motion. It would
be prejudicial for Plaintiff to be able to support her claim in this case that she is not a liar using
her attorney’s testimony and work product, while preventing discovery of work-product and
communications that would prove otherwise or cast doubts on Plaintiff’s credibility. It would be
4 My question, Mr. Cassell, is: You reviewed the flight logs, correct?
A. Correct.
Q. You reviewed them in some detail, correct?
A. Correct.
Q. Is there any entry on those flight lines -- logs that you read as putting Professor Dershowitz and Miss Roberts on
the same plane?
A. No.
Menninger Decl., Ex. L 206:3-11.
22
misleading to the court or any jury to hear testimony from Plaintiff’s counsel about all the factual
basis, work product and thought process on which they relied in making the allegations in the
Joinder Motion, but refusing to permit Ms. Maxwell discovering or presenting contradicting
information that Plaintiff’s attorneys had, including information that led them to conclude that it
was a “mistake” to have filed sexual misconduct allegations against Dershowitz. Fairness and
consistency require that Plaintiff and her attorneys be required to disclose all work product and
attorney-client communications relating their investigations of Plaintiff’s statements and story as
alleged in the CVRA Case, their investigations of the allegations, their assessment of the
credibility of the allegations, and contradictory evidence uncovered.
III. There is No Privilege as to Communications with Scarola
Plaintiff listed on her privilege log Jack Scarola, Edwards and Cassell’s attorney, as an
individual who received or sent communications or documents relating to the CVRA Case. The
log does not state what these documents are, instead including them as part of the “categorical”
logging. The “Types of Privileges” identified are Attorney Client, Work Product, and Joint
Defense/Common Interest. It is entirely unclear how any of these protections can be invoked
regarding communications including Scarola or over documents provided by or to him.
a. There is no Attorney-Client Relationship
Plaintiff specifically states in her interrogatory responses that Scarola is not and has never
been her attorney. Thus, there can be no attorney-client-communications between Plaintiff and
Scarola. If there were, Plaintiff has clearly and voluntarily waived any privilege.
23
b. Work Product Privilege has been Waived
In 2011, Scarola acted as Edward’s attorney in a case captioned Epstein v. Edwards, Case
No. 502009CA040800XXXMB, in the Circuit Court for the Fifteenth Judicial Circuit, Palm
Beach County, Florida (the “Epstein v. Edwards Case.”). That action is still pending. According
to the most recent discovery responses, Edwards represented Plaintiff in the CVRA Case at the
same time. SOF, ¶(d).
On April 7, 2011, Edwards, Scarola and Plaintiff had a telephone conversation, recorded
with the knowledge and consent of Plaintiff. Menninger Decl., Ex N at 1. The content of the
conversation is a detailed interview of Plaintiff recounting her story of her time with Epstein.
The transcript of that conversation, clearly marked “Work Product,” has been produced widely
and attached to multiple court filings. It was used affirmatively in the Epstein v. Edwards Case
and filed on May 17, 2011 in that case. See Menninger Decl., Ex. O (Notice of Filing). It was
also used affirmatively in the CVRA Case. See Menninger Decl., Ex. P, DE #290, Exhibit 3. It
was produced in this case and in the Dershowitz Case by Plaintiff and her counsel. See
Menninger Decl., Ex. Q. It apparently was also transmitted to the press. See Menninger Decl.,
Ex. J.
As discussed above, putting information contained in this “work product” document at
issue waives of any protection and extends to any and all work product of Scarola related to
Plaintiff or her claims and stories.
c. There is no basis to claim common interest or joint defense privilege
It bears repeating that “[t]he party asserting the privilege ... bears the burden of
establishing its essential elements.” Mejia, 655 F.3d at 132; see also Wultz v. Bank of China Ltd.,
24
304 F.R.D. 384, 391 (S.D.N.Y.2015) (“The party invoking the privilege also has the burden to
show that the privilege has not been waived.”).
Plaintiff provides no basis for claiming a common interest or joint defense with anyone
related to the CVRA case. The only two people Scarola represents, to Ms. Maxwell’s
knowledge, are Edwards and Cassell. They are the attorneys in the CVRA case, and by
definition should not have a personal or common interest with the parties in that litigation.
Regardless, it is Plaintiff’s burden to establish that such and interest exists, who is involved, and
Scarola’s role. Having failed to provide any of the information necessary to establish the
applicability of these privileges, they are waived. See S.E.C. v. Yorkville Advisors, LLC, 300
F.R.D. 152, 162 (S.D.N.Y. 2014) (failure to provide adequate descriptions of the subject matter,
authors and recipients of the withheld documents resulted in waiver of privilege). There is
simply no basis for withholding any communication with or work product of Scarola.
CONCLUSION
Plaintiff and her lawyers waived any privilege as to their communications related to the
subject matters of (a) the CVRA litigation and (b) the Edwards and Cassell v. Dershowitz Case.
Similarly, Plaintiff’s lawyers waived any claim of work product to material gathered in relation
to those litigations.
Accordingly, Ms. Maxwell requests that the Court enter an order finding (a) a waiver of
the attorney-client privilege as to the subject matter of the CVRA and Dershowitz litigations and
(b) a work product exemption for materials gathered in relation to those matters. She further
requests an Order directing Plaintiff to provide Ms. Maxwell with all documents as to which
such the attorney-client privilege and work product have been waived.
Dated: May 26, 2016.
25
Respectfully submitted,
/s/ Laura A. Menninger
Laura A. Menninger (LM-1374)
Jeffrey S. Pagliuca (pro hac vice)
HADDON, MORGAN AND FOREMAN, P.C.
150 East 10th Avenue
Denver, CO 80203
Phone: 303.831.7364
Fax: 303.832.2628
lmenninger@hmflaw.com
Attorneys for Ghislaine Maxwell
CERTIFICATE OF SERVICE
I certify that on May 26, 2016, I electronically served this Motion to Compel all
Communications and Work Product Put At Issue by Plaintiff and Her Attorneys via ECF on the
following:
Sigrid S. McCawley
Meridith Schultz
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
mschultz@bsfllp.com
Paul G. Cassell
383 S. University Street
Salt Lake City, UT 84112
cassellp@law.utah.edu
Bradley J. Edwards
FARMER, JAFFE, WEISSING, EDWARDS,
FISTOS & LEHRMAN, P.L.
425 North Andrews Ave., Ste. 2
Ft. Lauderdale, FL 33301
brad@pathtojustice.com
/s/ Nicole Simmons
Nicole Simmons
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
--------------------------------------------------X
VIRGINIA L. GIUFFRE,
Plaintiff,
v.
GHISLAINE MAXWELL,
Defendant.
15-cv-07433-RWS
--------------------------------------------------X
Declaration Of Laura A. Menninger In Support Of
Motion To Compel All Attorney-Client Communications and Attorney
Work Product Placed At Issue by Plaintiff and Her Attorneys
I, Laura A. Menninger, declare as follows:
1. I am an attorney at law duly licensed in the State of New York and admitted to
practice in the United States District Court for the Southern District of New York. I am a
member of the law firm Haddon, Morgan & Foreman, P.C., counsel of record for Defendant
Ghislaine Maxwell (“Maxwell”) in this action. I respectfully submit this declaration in support of
Ms. Maxwell’s Motions to Compel All Attorney-Client Communications and Attornty Work
Product Placed At Issue by Plaintiff and Her Attorney.
2. Attached as Exhibit A is a true and correct copy of excerpts categorically logged
entries from Plaintiff Giuffre's Revised Supplemental Privilege Log dated April 29, 2016.
3. Attached as Exhibit B is a true and correct copy of Plaintiff Giuffre’s Discovery
Second Amended Supplemental Response to Interrogatory No. 3 concerning her attorney
representations, dated April 29, 2016.
..........................................
......
Case 1:15-cv-07433-LAP Document 165 Filed 05/26/16 Page 1 of 4
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4. Attached as Exhibit C (filed under seal)
5. Attached as Exhibit D is a true and correct copy of the Order in the CVRA Case
dated April 6, 2015.
6. Attached as Exhibit E is a true and correct copy of the Motion for Summary
Judgment in the Edwards and Cassell v. Dershowitz, Case No. 15-00072, In and for the
Seventeenth Judicial District, Broward County, Florida (“Dershowitz Case”) dated November
25, 2015.
7. Attached as Exhibit F is a true and correct copy of the Complaint in the
Dershowitz Case dated January 6, 2015.
8. Attached as Exhibit G is a true and correct copy of the Notice of Serving Answers
to Interrogatories in Dershowitz Case dated March 13, 2015.
9. Attached as Exhibit H (filed under seal)
10. Attached as Exhibit I is a true and correct copy of the Declaration of Virginia
Giuffre in the Dershowitz Case dated November 20, 2015.
11. Attached as Exhibit J (filed under seal)
Case 1:15-cv-07433-LAP Document 165 Filed 05/26/16 Page 2 of 4
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12. Attached as Exhibit K (filed under seal)
13. Attached as Exhibit L is a true and correct copy of the October 16, 2015
Deposition of Paul G. Cassell taken in the Edwards and Cassell v. Dershowitz, In and for the
Seventeenth Judicial District, Broward County, Florida matter.
14. Attached as Exhibit M is a true and correct copy of the press release issued by the
parties in the Dershowitz Case on April 8, 2016.
15. Attached as Exhibit N is a true and correct copy of the interview of Virginia
Roberts by Edwards and Scarola in the Epstein v. Rothstein, Edwards, and L.M, In and for the
Fifteenth Judicial District, Palm Beach County, Florida (“Epstein Case”).
16. Attached as Exhibit O is a true and correct copy of the May 17, 2011 Notice of
Filing of the interview in the Epstein Case.
17. Attached as Exhibit P is a true and correct copy of a portion of the ECF Docket
Sheet in the CVRA Case.
18. Attached as Exhibit Q is a true and correct copy of the document produced by
Plaintiff in this matter as GIUFFRE000862-000887.
By: /s/ Laura A. Menninger
Laura A. Menninger
Case 1:15-cv-07433-LAP Document 165 Filed 05/26/16 Page 3 of 4
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CERTIFICATE OF SERVICE
I certify that on May 26, 2016, I electronically served this Declaration Of Laura A.
Menninger In Support Of Motion To Compel All Attorney-Client Communications and Attornty
Work Product Placed At Issue by Plaintiff and her Attorney via ECF on the following:
Sigrid S. McCawley
Meridith Schultz
BOIES, SCHILLER & FLEXNER, LLP
401 East Las Olas Boulevard, Ste. 1200
Ft. Lauderdale, FL 33301
smccawley@bsfllp.com
mschultz@bsfllp.com
Paul G. Cassell
S.J. Quinney College of Law, University of
Utah
383 S. University Street
Salt Lake City, UT 84112
cassellp@law.utah.edu
Bradley J. Edwards
FARMER, JAFFE, WEISSING, EDWARDS,
FISTOS & LEHRMAN, P.L.
425 North Andrews Ave., Ste. 2
Ft. Lauderdale, FL 33301
brad@pathtojustice.com
/s/ Nicole Simmons
Nicole Simmons
Case 1:15-cv-07433-LAP Document 165 Filed 05/26/16 Page 4 of 4