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holding that "even if the [defendants] mistakenly believed that Dutch law protected their communications with an un-licensed in-house [Dutch] attorney, the reasonable belief exception would not apply"
Summary of this case from Circuitronix, LLC v. Shenzhen Kinwong Elec. Co.Opinion
For Securities & Investment Company Bahrain, Harel Insurance Company, Ltd., St. Stephen's School, Lead Plaintiffs: David A. Barrett, LEAD ATTORNEY, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL.
For AXA Private Management, Lead Plaintiff: David A. Barrett, LEAD ATTORNEY, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL.
For Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Lead Plaintiff: David A. Barrett, LEAD ATTORNEY, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; Natalie Marie MacKiel, Wolf Popper LLP, New York, NY.
For Fairfield Risk Services Ltd., Debtor: Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For Pasha S. Anwar, on behalf of themselves and all others similarly situated investors in the Greenwich Sentry, L.P. private investment limited partnership, Julia Anwar, on behalf of themselves and all others similarly situated investors in the Greenwich Sentry, L.P. private investment limited partnership, Plaintiffs: Christopher Lovell, LEAD ATTORNEY, Jody Krisiloff, Lovell Stewart Halebian Jacobson LLP, New York, NY; Victor E. Stewart, LEAD ATTORNEY, Lovell, Stewart, Halebian LLP, New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, Sashi Bach Boruchow, Stuart Harold Singer, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Inter-Amrerican Trust, Elvira 1950 Trust, Bonaire Limited, Carlos Gauch, Plaintiffs: David A. Barrett, LEAD ATTORNEY, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, Sashi Bach Boruchow, Stuart Harold Singer, PRO HAC VICE, Susan E. Klock, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; Jody Krisiloff, Lovell Stewart Halebian Jacobson LLP, New York, NY.
For Loana Ltd., Banco General, S.A., Harvest Dawn International Inc., Plaintiffs: Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Susan E. Klock, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
For Wall Street Securities, S.A., Plaintiff: Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Susan E. Klock, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
For El Prado Trading, Omawa Investment Corporation, Carmel Ventures Ltd., Blythel Associated Corp., Marrekesh Resources, Centro Inspection Agency, Kalandar International, Landville Capital Management S.A., Diversified Investments Associates Class A Units, ABR Capital Fixed Option/Income Strategic Fund LP, Plaintiffs: Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Traconcorp, Plaintiff: Adam S. Deckinger, Eli Justin Glasser, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For 20/20 Investments, Plaintiff: Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Ft. Lauderdale, FL.
For AXA Private Management, St. Stephen's School, Harel Investment and Financial Services Ltd., Plaintiffs: Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; James Abram Harrod, III, Wolf Popper LLP, New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL), Ft. Lauderdale, FL.
For Miguel Lomeli, Plaintiff: Robert Alan Wallner, LEAD ATTORNEY, Milberg LLP (NYC), New York, NY; Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Morning Mist Holdings Limited, Plaintiff: Robert Alan Wallner, LEAD ATTORNEY, Milberg LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Jitendra Bhatia, Plaintiff: Matthew W. Cheney, LEAD ATTORNEY, PRO HAC VICE, Crowell & Moring LLP (DC), Washington, DC; William M. O'Connor, LEAD ATTORNEY, Thompson & Knight, LLP (NYC), New York, NY; Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Gopal Bhatia, Kishanchand Bhatia, Jayshree Bhatia, Mandakini Gajaria, Plaintiffs: Matthew W. Cheney, LEAD ATTORNEY, PRO HAC VICE, Crowell & Moring LLP (DC), Washington, DC; Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; William M. O'Connor, Thompson & Knight, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Bahia del Rio S.A., Bevington Management, Ltd., Calwell Investment S.A., Diamond Hills Inc., Hedge Strategy Fund LLC, Kivory Corporation, North Club, Inc., PFA Pension A/S, Plaintiffs: Howard L. Vickery, II, Boies, Schiller & Flexner, LLP (NYC), New York, NY; Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Taurus the Fourth Ltd., Zenn Assets Holding, Ltd., Plaintiffs: Susan E. Klock, Boies, Schiller & Flexner LLP (FL).
For Carlos Mattos, Chandrashekar Gupta, Deepa Gupta, Ulrich Blass, Roberto Cioci, Sandra Marchi Cioci, John Paul Dougherty, E. Thomas Dougherty Novella, Muniandy Nalaiah, Lila Neemberry, Peter A. & Rita M. Carfagna Irrevocable Charitable Remainder UniTrust, Moshe Podhorzer, R. Wickneswari V. Ratnam, Enrique Santos, Enrique Santos Calderon, Jacqueline Urzola, Josefina Santos Urzola, Felipe J. Benavides, David Hopkins, Catalina Mejia, Cesar Mejia, R.M. Rademaker, The Alpha and Omega Partnership, LP, Plaintiffs: Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
Richmon Company Ltd., Plaintiff, Pro se.
For Pacific West Health Medical Center Employees Retirement Trust, On behalf of Itself, Consolidated Plaintiff: Carl Lester Stine, Chet Barry Waldman, Robert Craig Finkel, James Abram Harrod, III, LEAD ATTORNEYS, Natalie Marie MacKiel, Wolf Popper LLP, New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, Stuart Harold Singer, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; Brian Dale Graifman, David Alan Gehn, Gusrae, Kaplan, Nusbaum, PLLC, New York, NY; David A. Barrett, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Jody Krisiloff, Lovell Stewart Halebian Jacobson LLP, New York, NY.
For Pacific West Health Medical Center Inc., Employees Retirement Trust, on Behalf of All Others Similarly Situated, Consolidated Plaintiff: Carl Lester Stine, Chet Barry Waldman, Robert Craig Finkel, James Abram Harrod, III, LEAD ATTORNEYS, Wolf Popper LLP, New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, Stuart Harold Singer, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
For Shimon Laor, Consolidated Plaintiff: Catherine A. Torrell, LEAD ATTORNEY, Cohen Milstein Sellers & Toll P.L.L.C., New York, NY; Daniel Stephen Sommers, Steven Jeffrey Toll, PRO HAC VICE, Joshua Seth Devore, LEAD ATTORNEYS, Cohen Milstein Sellers & Toll PLLC (DC), Washington, DC; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
For David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, Consolidated Plaintiffs: Jean Lee, Kent Andrew Bronson, Kristi Stahnke McGregor, Robert Alan Wallner, LEAD ATTORNEYS, Milberg LLP (NYC), New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, LEAD ATTORNEY, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL.
For The Knight Services Holdings Limited, on behalf of itself and all others similarly situated, Consolidated Plaintiff: Daniel W. Krasner, Demet Basar, Gregory Mark Nespole, LEAD ATTORNEYS, Wolf Haldenstein Adler Freeman & Herz LLP, New York, NY; Adam S. Deckinger, Eli Justin Glasser, Jonathan Edgar Pollard, PRO HAC VICE, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; David A. Barrett, LEAD ATTORNEY, Boies, Schiller & Flexner LLP (FL), Fort Lauderdale, FL; Gustavo Fabian Bruckner, PRO HAC VICE, Pomerantz Haudek Block Grossman & Gross LLP, New York, NY.
For Nadav Zohar, on behalf of themselves and all others similarly situated, Consolidated Plaintiff: Hillary Sobel, Jeffrey Charles Zwerling, Robert S. Schachter, Stephanie Elizabeth Kirwan, LEAD ATTORNEYS, Zwerling, Schachter & Zwerling (Madison Avenue), New York, NY.
For Ronit Zohar, on behalf of themselves and all others similarly situated, Consolidated Plaintiff: Jeffrey Charles Zwerling, Robert S. Schachter, Stephanie Elizabeth Kirwan, LEAD ATTORNEYS, Zwerling, Schachter & Zwerling (Madison Avenue), New York, NY.
For Fairfield Sentry Ltd., Consolidated Plaintiff: David J. Molton, Martin S. Siegel, LEAD ATTORNEYS, Brown Rudnick LLP (NYC), New York, NY.
For Headway Investment Corp., Consolidated Plaintiff: Jorge Alejandro Mestre, LEAD ATTORNEY, Rivero Mestre & Castro, Coral Gables, FL; Paul Edouard Dans, Paul E. Dans, Attorney at Law, New York, NY.
For Jose Antonio Pujals, individually and in their representative capacities for all those similarly situated, Consolidated Plaintiff: David Alan Rothstein, LEAD ATTORNEY, Dimond Kaplan & Rothstein, Coconut Grove, FL; Jeffrey F. D. Bogert, LEAD ATTORNEY, Bogert & Rembold, P.L., Coral Gables, FL; Jeffrey Brett Kaplan, Lorenz Michel Pruss, LEAD ATTORNEYS, Dimond Kaplan & Rothstein PA, Coconut Grove, FL; Robert E. Linkin, PRO HAC VICE, Dimond Kaplan & Rothstein PA, Miami, FL.
For Rosa Julieta A De Pujals, individually and in their representative capacities for all those similarly situated, Consolidated Plaintiff: David Alan Rothstein, LEAD ATTORNEY, Dimond Kaplan & Rothstein, Coconut Grove, FL; Jeffrey F. D. Bogert, LEAD ATTORNEY, Bogert & Rembold, P.L., Coral Gables, FL; Jeffrey Brett Kaplan, Lorenz Michel Pruss, LEAD ATTORNEYS, Dimond Kaplan & Rothstein PA, Coconut Grove, FL; Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY; Richard A Speirs, Zwerling, Schachter & Zwerling (Madison Avenue), New York, NY; Robert E. Linkin, PRO HAC VICE, Dimond Kaplan & Rothstein PA, Miami, FL.
For Maridom Limited, Consolidated Plaintiff: Richard E. Brodsky, LEAD ATTORNEY, PRO HAC VICE, The Bronx Defenders, Bronx, NY.
For Ricardo Lopez, Consolidated Plaintiff: Laurence Edward Curran, III, LEAD ATTORNEY, Curran & Associates, Coral Gables, FL.
For Stanchart Securities International, Inc., Consolidated Plaintiff: Joseph Emanuel Neuhaus, LEAD ATTORNEY, Sullivan and Cromwell, LLP(NYC), New York, NY.
For Maria Akriby Valladolid, Consolidated Plaintiff: Michael Jules Aguirre, Aguirre, Morris & Severson LLP, San Diego, CA.
For Ricardo Rodriguez Caso, Consolidated Plaintiff: Brandon R. Levitt, PRO HAC VICE, Kachroo Legal Services, P.C., New York, NY; David S. Stone, Stone & Magnanini LLP, Short Hills, NJ; Gaytri D. Kachroo, John H. Ray, III, Kachroo Legal Services, P.C., Cambridge, MA; Mark Jackson Schirmer, Straus & Boies, LLP, Memphis, TN; Timothy D. Battin, PRO HAC VICE, Straus & Boies, LLP, Fairfax, VA.
Wong Yuk Hing de Lou, Consolidated Plaintiff, Pro se.
Moises Lou Martinez, Consolidated Plaintiff, Pro se.
For Sand Overseas LimitedSand Overseas Limited, Consolidated Plaintiff: Laurence Edward Curran, III, Curran & Associates, Coral Gables, FL.
For Blockbend Ltd, Baymall Investments Ltd, Eastfork Assets Ltd, Gerico Investments, Inc., Alicia Gaviria Rivera, Eduardo Child Escobar, Mailand Inevstment Inc., Consolidated Plaintiffs: Joel Steven Magolnick, LEAD ATTORNEY, PRO HAC VICE, Marko & Magolnick, P.A., Miami, FL.
For Fairfield Investor Group, Movant: Catherine A. Torell, LEAD ATTORNEY, Cohen Milstein Sellers & Toll P.L.L.C., New York, NY.
For Americas/SwissCo. Trusts, Movant: Gregory Mark Nespole, LEAD ATTORNEY, Wolf Haldenstein Adler Freeman & Herz LLP, New York, NY.
For Fairfield Greenwich Limited, a Cayman Island company, Defendant: Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY; Michael Joseph Chepiga, LEAD ATTORNEY, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Fairfield Greenwich Group, Fairfield Greenwich (Bermuda) Ltd., Defendants: Mark Geoffrey Cunha, Michael Joseph Chepiga, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Fairfield Greenwich Advisors L.L.C., Defendant: Jeffrey Edward Baldwin, Jeffrey Lawrence Roether, Mark Geoffrey Cunha, Michael Joseph Chepiga, Paige Elizabeth Fleming, Paul Jacob Sirkis, Peter Eric Kazanoff, Philip A. Mirrer-Singer, Sara Ann Ricciardi, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Walter M. Noel, Jr., Defendant: Glenn Kurtz, LEAD ATTORNEY, White & Case LLP (NY), New York, NY; Mark Geoffrey Cunha, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Andres Piedrahita, Defendant: Andrew J. Levander, LEAD ATTORNEY, Dechert, LLP (NYC), New York, NY; David Scott Hoffner, LEAD ATTORNEY, Hoffner PLLC, New York, NY; Jennie Boehm Krasner, Dechert, LLP (NJ), Princeton, NJ; Mark Geoffrey Cunha, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Jeffrey Tucker, Defendant: Adam K. Grant, Daniel R. Benson, Daniel J. Fetterman, Marc E. Kasowitz, LEAD ATTORNEY, Kasowitz, Benson, Torres & Friedman, LLP (NYC), New York, NY; Mark Geoffrey Cunha, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Amit Vigayvergia, Amit Vigayvergia: Helen Virginia Cantwell, Debevoise & Plimpton, LLP (NYC), New York, NY; Mark Geoffrey Cunha, Simpson Thacher & Bartlett LLP (NY), New York, NY; Mark P. Goodman, Debevoise & Plimpton LLP(919 Third Ave), New York, NY.
For CITCO Fund Services (Europe) B.V., Defendant: Allan J. Arffa, Brad Scott Karp, Patrick James Somers, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Amanda Mcgovern, LEAD ATTORNEY, PRO HAC VICE, Elizabeth A. Izquierdo, Gilbride Heller & Brown P.A, Miami, FL; Andrew Garry Gordon, Paul, LEAD ATTORNEY, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Leslie Gordon Fagen, LEAD ATTORNEY, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Anisley Tarragona, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL; Annette Urena, PRO HAC VICE, Brown and Heller, P.A., Miami, FL; Catherine Whitfield, PRO HAC VICE, Brown and Heller, P.A., Miami-Dade, FL; Dyanne Eyce Feinberg, PRO HAC VICE, Gilbride Heller & Brown P.A, Gilbride Heller & Brown P.A; Terence Michael Mullen, PRO HAC VICE, Gilbride Heller & Brown P.A, Miami, FL.
For Pricewaterhousecoopers L.L.P., Defendant: Andrew M. Genser, LEAD ATTORNEY, Kirkland & Ellis LLP (NYC), New York, NY; Amy E. Crawford, Emily Nicklin, Kirkland & Ellis LLP (IL), Chicago, IL; Brenton Rogers, Kirkland & Ellis LLP, Chicago, IL; Timothy A. Duffy, Timothy A. Duffy, Chicago, IL.
For Citco Fund Services (Bermuda) Limited, Citco Group Limited, Defendants: Allan J. Arffa, Brad Scott Karp, Patrick James Somers, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Andrew Garry Gordon, Leslie Gordon Fagen, LEAD ATTORNEYS, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Amanda Mcgovern, LEAD ATTORNEY, PRO HAC VICE, Gilbride Heller & Brown P.A, Miami, FL; Anisley Tarragona, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL; Annette Urena, PRO HAC VICE, Brown and Heller, P.A., Miami, FL; Catherine Whitfield, PRO HAC VICE, Brown and Heller, P.A., Miami-Dade, FL.
For Fairfield Heathcliff Capital LLC, Fairfield Risk Services Ltd., Defendants: Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For PricewaterhouseCoopers Accountants Netherlands N.V., Defendant: Gabrielle Sean Marshall, Sarah Loomis Cave, William R. Maguire, Hughes Hubbard & Reed LLP (NY), New York, NY.
For Carlos Gadala-Maria, Raul Mas, Robert Friedman, Rodolfo Pages, John G Dutkowski, Luisa Serena, Defendants: Ricardo Alejandro Gonzalez, PRO HAC VICE, Greenberg Traurig, P.A., Miami, FL.
For Miguel Calvo, Defendant: Stephen Lee Weinstein, Eiseman, Levine, Lehrhaupt & Kakoyiannis, P.C., New York, NY.
For EFG Capital International Corp., Defendant: Joseph Clay Coates, III., Greenberg Traurig, West Palm Beach, FL.
For EFG Capital International Corp., Defendant: Jon Andrew Jacobson, Lauren Whetstone, Greenberg Traurig, West Palm Beach, FL.
For Yanko Dellaw Schiava, Philip Toub, Lourdes Barreneche, Cornelis Boele, Vianney D'hendecourt, Harold Greisman, Jacqueline Harary, Richard Landsberger, David Lipton, Julia Luongo, Mark Mckeefry, Maria Teresa Pulido Mendozo, Charles Murphy, Santiago Reyes, Amit Vijayvergiyam, Lourdes Barenche, Daniel Lipton, Jacqueline Hararay, Corina Noel Piedrahita, Maria Teresa Pulido Mendozo, Consolidated Defendants: Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For David Horn, Consolidated Defendant: Edward M. Spiro, Robert James Anello, LEAD ATTORNEYS, Claudio Godinez RoumainOchoa, Gates Salyers Hurand, Morvillo, Abramowitz, Grand, Iason, & Anello P.C., New York, NY; Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For Andrew Smith, Consolidated Defendant: Peter Eric Kazanoff, LEAD ATTORNEY, Simpson Thacher & Bartlett LLP (NY), New York, NY; Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For CITCO Bank Nederland N.V. Dublin, Branch, Consolidated Defendant: Allan J. Arffa, Brad Scott Karp, LEAD ATTORNEYS, Patrick James Somers, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Amanda Mcgovern, LEAD ATTORNEY, Dyanne Eyce Feinberg, Elizabeth A. Izquierdo, Terence Michael Mullen, PRO HAC VICE, Gilbride Heller & Brown P.A, Miami, FL; Andrew Garry Gordon, Leslie Gordon Fagen, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Michael Joseph Moscato, Timothy Neil McCabe, LEAD ATTORNEYS, Curtis, Mallet-Prevost, Colt & Mosle, LLP(NYC), New York, NY; Anisley Tarragona, Annette Urena, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL; Catherine Whitfield, PRO HAC VICE, Brown and Heller, P.A., Miami-Dade, FL.
For CITCO Fund Services (Europe) B.V., Consolidated Defendant: Allan J. Arffa, Brad Scott Karp, LEAD ATTORNEYS, Patrick James Somers, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Amanda Mcgovern, LEAD ATTORNEY, Dyanne Eyce Feinberg, Terence Michael Mullen, PRO HAC VICE, Elizabeth A. Izquierdo, Gilbride Heller & Brown P.A, Miami, FL; Andrew Garry Gordon, Leslie Gordon Fagen, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Michael Joseph Moscato, Timothy Neil McCabe, LEAD ATTORNEYS, Curtis, Mallet-Prevost, Colt & Mosle, LLP(NYC), New York, NY; Anisley Tarragona, Annette Urena, Catherine Whitfield, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL.
For GlobeOp Financial Services LLC., Consolidated Defendant: Jonathan David Cogan, Michael Sangyun Kim, LEAD ATTORNEYS, David Harrison McGill, Kobre & Kim LLP, New York, NY; Bradley H. Samuels, PRO HAC VICE, Kobre & Kim, LLP (DC), Washington, DC; Justin G. Sommers, Davis Polk & Wardwell L.L.P., New York, NY.
For Citco Canada Inc., Consolidated Defendant: Allan J. Arffa, Brad Scott Karp, LEAD ATTORNEYS, Patrick James Somers, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Andrew Garry Gordon, Leslie Gordon Fagen, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Amanda Mcgovern, Gilbride Heller & Brown P.A, Miami, FL; Anisley Tarragona, Annette Urena, Catherine Whitfield, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL.
For Pricewaterhouse Coopers Accountants N.V., Consolidated Defendant: William R. Maguire, Hughes Hubbard & Reed LLP (NY), New York, NY.
For Fairfield Sentry Limited, Consolidated Defendant: David J. Molton, Martin S. Siegel, LEAD ATTORNEYS, Brown Rudnick LLP (NYC), New York, NY.
For Citgo Global Custody N.V., Consolidated Defendant: Citco Canada Inc., Consolidated Defendant: Allan J. Arffa, Brad Scott Karp, LEAD ATTORNEYS, Patrick James Somers, Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY), New York, NY; Andrew Garry Gordon, Leslie Gordon Fagen, LEAD ATTORNEYS, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY; Amanda Mcgovern, Gilbride Heller & Brown P.A, Miami, FL; Anisley Tarragona, John T Houchin, Joshua Daniel Clark, PRO HAC VICE, Brown and Heller P.A., Miami, FL.
For Fairfield Greenwich Advisors, L.L.C., Consolidated Defendant: Mark Geoffrey Cunha, LEAD ATTORNEY, Simpson Thatcher & Bartlett LLP, New York, NY; Michael Joseph Chepiga, LEAD ATTORNEY, Philip A. Mirrer-Singer, Simpson Thacher & Bartlett LLP (NY), New York, NY.
For Robert Blum, Consolidated Defendant: Claudio Godinez RoumainOchoa, Gates Salyers Hurand, Morvillo, Abramowitz, Grand, Iason, & Anello P.C., New York, NY; Mark Geoffrey Cunha, Simpson Thatcher & Bartlett LLP, New York, NY.
For Gregory Bowes, Standard Chartered Bank International (Americas) Limited, Consolidated Defendant: Bruce Allen Baird, LEAD ATTORNEY, Covington & Burling, L.L.P. (DC), Washington, DC; Matthew Fitzgerald Dunn, PRO HAC VICE, Covington & Burling, L.L.P. (DC), Washington, DC.
For Standard Chartered Bank International (Americas) Limited, Consolidated Defendant: Sharon L. Nelles, LEAD ATTORNEY, Sullivan & Cromwell, LLP(NYC), New York, NY; Ricardo Alejandro Gonzalez, PRO HAC VICE, Greenberg Traurig, P.A., Miami, FL.
For Standard Chartered PLC, Consolidated Defendant: Matthew Fitzgerald Dunn, PRO HAC VICE, Covington & Burling, L.L.P. (DC), Washington, DC.
For American Express Company, ADR Provider: Louis Smith, Greenberg Traurig LLP (New Jersey), Florham Park, NJ.
For Arjan Mohandas Bhatia, Kishin Mohandas Bhatia, Suresh M. Bhatia, All Plaintiffs: Howard L. Vickery, II, Boies, Schiller & Flexner, LLP(NYC), New York, NY.
For Tradwaves, Ltd., All Plaintiffs: Matthew W. Cheney, LEAD ATTORNEY, PRO HAC VICE, Crowell & Moring LLP (DC), Washington, DC.
Parasram Daryani, All Plaintiffs, Pro se.
Neelam P. Daryani, All Plaintiffs, Pro se.
Vikas P. Daryani, All Plaintiffs, Pro se.
Nikesh P. Daryani, All Plaintiffs, Pro se.
Ashokkumar Damodardas Raipancholia, All Plaintiffs, Pro se.
Dilip Damodardas Raipancholia, All Plaintiffs, Pro se.
Rajeshkumar Damodardas Raipancholia, All Plaintiffs, Pro se.
Kishu Nathurmal Uttamchandani, All Plaintiffs, Pro se.
Prerna Vinod Uttamchandani, All Plaintiffs, Pro se.
Rajendrakumar Patel, All Plaintiffs, Pro se.
Vandna Patel, All Plaintiffs, Pro se.
Bharat Mohandas, All Plaintiffs, Pro se.
Aarvee Ltd., All Plaintiffs, Pro se.
DISCOVERY ORDER
FRANK MAAS, United States Magistrate Judge.
This multi-district litigation consolidates numerous actions brought by investors against various funds, administrators, intermediary banks, and auditors in an attempt to recover losses arising out of the now-infamous Bernard Madoff investment scandal. On April 25, the Plaintiffs deposed Renger Boonstra, a senior in-house lawyer at Citco Bank Nederland, one of several defendant banks alleged to have provided financial account services for the Fairfield Greenwich " feeder" funds. During the deposition, counsel for the Citco Defendants instructed Mr. Boonstra not to answer certain questions, apparently on the theory that the Plaintiffs' inquiries related to matters protected by the attorney-client privilege.
Mr. Boonstra is a lawyer by education, but he is not a licensed attorney. Although licensure is not a requirement for serving as in-house counsel in the Netherlands, Dutch law does not recognize an attorney-client privilege for communications with unlicensed in-house lawyers. Accordingly, the Plaintiffs have requested an order overruling the Citco Defendants' privilege objections. In addition, the Plaintiffs seek to compel disclosure of several of Mr. Boonstra's email communications that the Citco Defendants have withheld on privilege grounds.
The Citco Defendants have a rather different view of the matter. They argue that American -- not Dutch -- law governs the dispute. As a consequence, the Citco Defendants contend that their communications with Mr. Boonstra are privileged even if he was unlicensed because Citco had a " reasonable belief" that Mr. Boonstra was its attorney.
In determining which country's law applies to a privilege dispute involving foreign attorney-client communications, courts in this Circuit consider the country with which the communications " touch base." Gucci America, Inc. v. Guess?, Inc. (" Gucci I" ), 271 F.R.D. 58, 64-65 (S.D.N.Y. 2010). Under this analysis, the Court applies " 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." Astra Aktiebolag v. Andrx Pharmaceuticals, Inc., 208 F.R.D. 92, 98 (S.D.N.Y. 2002) (quoting Golden Trade, S.r.L. v. Lee Apparel Co., 143 F.R.D. 514, 522 (S.D.N.Y. 1992)). " The jurisdiction with the 'predominant interest' is either 'the place where the allegedly privileged relationship was entered into' or 'the place in which that relationship was centered at the time the communication was sent.'" Id. Thus, American law typically applies to communications concerning " legal proceedings in the United States" or " advice regarding American law," while communications relating to " foreign legal proceeding[s] or foreign law" are generally governed by foreign privilege law. Gucci I, 271 F.R.D. at 65.
Mr. Boonstra's communications likely " touch base" with the United States because they are related to legal issues arising out of the Citco Defendants' role in the administration of key feeder funds involved in the Madoff scheme. I say " likely" because the communications at issue were not provided to me for in camera review, and my understanding of their contents is therefore based solely on the general descriptions set forth in the parties' letters. There is no need to resolve this question, however, because the same result obtains whether the communications " touch base" here or in the Netherlands.
If the Plaintiffs are correct that Dutch law applies, the Boonstra communications plainly are not privileged. Although Dutch law affords a " legal professional privilege" to licensed in-house counsel, there is no recognized Dutch privilege for unlicensed lawyers. In re X v. Stichting H9 Invest, HR Mar. 15, 2013, LJN BY6101. Nor does there appear to be any exception to that rule in circumstances where a client reasonably believes that its conversations are privileged.
If, on the other hand, the Citco Defendants are correct that American law governs, Mr. Boonstra's communications still are not privileged. In the United States, the attorney-client privilege generally applies only to communications with attorneys who are licensed to practice law. In re Grand Jury Subpoenas Dated January 20, 1998, 995 F.Supp. 332, 337 (E.D.N.Y. 1998) (Raggi, J.). Since Mr. Boonstra is unlicensed, no privilege could attach to his communications with the Citco Defendants. Notwithstanding the general rule that the attorney client privilege applies only to licensed attorneys, courts have found communications with non-attorneys to be privileged in limited circumstances in which the client " reasonab[ly] believe[s] that the person to whom the communications were made was in fact an attorney." Gucci America, Inc. v. Guess?, Inc. (" Gucci II" ), No. 09 Civ. 4373 (SAS), 2011 WL 9375, at *2 (S.D.N.Y. Jan. 3, 2011). In Gucci II, for example, the court applied this exception to the communications of a Gucci in-house lawyer in California who, despite having been admitted to the bar in California and two other jurisdictions, was unauthorized to practice law in California because his bar membership status there was " inactive." Id. at *4-5. To support its privilege claim, Gucci submitted, among other things, six declarations from its present and former executives stating that they considered the in-house lawyer to be an attorney. In addition, Gucci adduced evidence that the lawyer routinely appeared in court and before administrative agencies, and that it had paid his California bar membership fees throughout his tenure as in-house counsel. Id. at *5. Based upon this evidence, the court concluded that Gucci had demonstrated that it reasonably believed its lawyer was a licensed attorney, thus enabling it to assert privilege with respect to its communications with him. Id.
The facts here are not at all comparable to those in Gucci II. At the outset, it is undisputed that Mr. Boonstra is not -- and never has been -- licensed in any jurisdiction. Second, there is no evidence that Mr. Boonstra ever held himself out as a licensed attorney or performed tasks (such as appearing in court) that would have suggested that he was admitted to the Netherlands bar. Third, although in-house counsel must be admitted to the bar in order to practice in the United States, in-house lawyers in the Netherlands are permitted to be, and frequently are, unlicensed. Moreover, Dutch law requires that the employer of a licensed in-house attorney sign a professional charter committing the employer to honor its attorney's independence. See In re X v. Stichting H9 Invest, HR Mar. 15, 2013, LJN BY6101 (citing Art. 3(3) of the Practicing In-House Regulation of Nov. 27, 1996). Given that affirmative obligation, the Citco Defendants cannot credibly argue that they were reasonably mistaken as to Mr. Boonstra's licensure status.
Finally, even if the Citco Defendants mistakenly believed that Dutch law protected their communications with an unlicensed in-house attorney, the reasonable belief exception would not apply. Such an argument necessarily is predicated upon a mistake of law, but the reasonable belief exception applies only in situations where the client makes an " excusable mistake of fact." A.I.A. Holdings, S.A. v. Lehman Bros., Inc., No. 97 Civ. 4978 (LMM) (HBP), 2002 WL 31385824, at *4 (S.D.N.Y. Oct. 21, 2002). Indeed, a " client's beliefs, subjective or objective, about the law of privilege [do not] transform an otherwise unprivileged conversation into a privileged one." In re Grand Jury Subpoena Duces Tecum, 112 F.3d 910, 923-24 (8th Cir. 1997). The Citco Defendants' erroneous views on Dutch privilege law therefore cannot form the basis for the relief they presently seek.
Accordingly, the Citco Defendants' privilege objections are overruled and compel is GRANTED.
SO ORDERED.