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Securities and Exchange Commission v. Fiore

United States District Court, S.D. New York

December 28, 2019

SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v.
JOSEPH A. FIORE, BERKSHIRE CAPITAL MANAGEMENT COMPANY, INC., and EAT AT JOE'S, LTD. n/k/a SPYR, INC., Defendants.

          John J. Bowers Securities and Exchange Commission Counsel for Plaintiff Securities and Exchange Commission

          Marc S. Gottlieb Ortoli Rosenstadt LLP Counsel for Defendants

          STIPULATION AND [PROPOSED] ORDER REGARDING THE PROTECTION AND CONFIDENTIALITY OF SENSITIVE PERSONAL INFORMATION

          KENNETH M. KARAS UNITED STATES DISTRICT JUDGE

         1. This Stipulation and [Proposed] Order is made between the United States Securities and Exchange Commission ("Commission") and the defendants in this action ("Defendants") to protect confidential and/or sensitive information received by the Commission during the course of its investigation of this matter and by the parties during the litigation.

         2. As used in this Stipulation and Order, the term "Sensitive Personal Information" shall mean any documents or other information containing any one or more of the following categories of personal and private documents or information: (a) a social security or tax identification number; (b) individuals' financial account statements, including statements for any bank account, credit card account, brokerage account, mortgage, student loan, or other loan; (c) any financial account number, including for a bank account, credit card account, brokerage account, mortgage, student loan, or other loan; (d) tax returns; (e) the home address and phone number of any individual person; (f) the birth date of any individual person; (g) the name of any individual person who, at the time of the filing of this matter, was known to be less than 18 years old; or (h) medical information. Sensitive Personal Information does not include the last four digits of a financial account number or phone number, the city and state of an individual's home address, the year of an individual's birth, or copies of unredacted filings by regulated entities or registrants that are available on the Commission's public website.

         3. Sensitive Personal Information disclosed to any Defendant in this action or to defense counsel during the course of this action:

a. Shall be used only for the purpose of preparation, trial, and appeal of this matter and for no other purpose, and shall not be disclosed except in accordance with the terms hereof;
b. Shall not be used for any business or commercial purposes;
c. Shall not be published to the public in any form, except as permitted below;
d. May be disclosed only to the following persons, on an as-needed basis in the course of the litigation, with reasonable precautions taken to ensure that the confidentiality of the information is protected and maintained:
i. A Defendant;
ii. Employees or contractors of any law firm that represents a Defendant, including attorneys and secretarial, clerical, paralegal, legal, or student personnel, and any person or entity with whom a Defendant's counsel contracts to reproduce or manage documents;
iii. Non-party witnesses;
iv. A document's author(s) or ...

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