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United States v. Carroll

United States District Court, S.D. New York

January 9, 2020

UNITED STATES OF AMERICA,
v.
MICHAEL CARROLL and MICHAEL PAPPAGALLO, Defendants.

          DECISION AND ORDER ON NON-PARTY BRIXMOR PROPERTY GROUP INC.'S MOTION TO QUASH CERTAIN RULE 17(c) SUBPOENA REQUESTS BY DEFENDANTS

          Colleen McMahon Chief Judge.

         Michael Carroll and Michael Pappagallo are charged with conspiracy to commit various securities offenses, as well as actual substantive violations of securities law. The matter is in the pretrial motions stage-no trial date has been set.

         Before the Court is a motion by non-party Brixmor Property Group Inc., to quash certain subpoena requests by the defendants.

         Defendant Carroll's subpoena to Brixmor seeks documents from the period January 1, 2011 to December 31, 2016:

Request 1: All Documents and Communications contained in Michael Carroll's Brixmor e-mail account, including, but not limited to all attachments to any Communications, sent or received during the Relevant Period.
Request 2: All entries from the electronic calendar maintained by Michael Carroll at Brixmor during the Relevant Period.
Request 3: All Documents reviewed or prepared by PricewaterhouseCoopers in connection with creating Brixmor's historical financial records prior to its initial public offering in 2013.
Request 4: All Documents relied upon by the Board in deciding that Michael Carroll, Michael Pappagallo, Steven Splain, and Michael Mortimer should resign from Brixmor.
Request 5: All Documents and Communications contained in Stacy Slater's Brixmor e- mail account that were exchanged with any Analyst covering Brixmor, including but not limited to all attachments to any Communications, sent or received during the Relevant Period.

         Pappagallo's subpoena to Brixmor seeks:

Request 1: Communications sent or received between January 1, 2012 and May 19, 2013 from the e-mail accounts of Steven Splain and Michael Mortimer.
Request 2: Communications concerning eight broad subject matters, including lease settlement income and the 2617 account, from the e-mail accounts of Michael Mortimer, Steven Splain, Jeong (John) Chang, Ralph Lalli, Daniel Reilly, William Gribbin, John Mobley, Rachel Shopf, Gregory Berger, and Terry Weiler.
Request 3: Documents reflecting the internal control framework, testing, and procedures concerning the 2617 Account and the LSI Account.
Request 4: Documents relied upon by the Board in deciding that Carroll, Pappagallo, Splain, and Mortimer should ...

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