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FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021
NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022
EXHIBIT
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FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021
NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022
STATE OF NEW YORK
OFFICE OF THE ATTORNEY GENERAL
SUBPOENA DUCES TECUM AND AD TESTIFICANDUM
THE PEOPLE OF THE STATE OF NEW YORK
GREETINGS
TO: SHAKE A PAW – Hicksville
285 S Broadway, Delco Plaza
Hicksville, NY 11801
SHAKE A PAW – Lynbrook
1 Atlantic Avenue
Lynbrook, NY 11563
YOU ARE HEREBY COMMANDED, pursuant to New York General Business Law §§ 349
and 350 and Executive Law § 63(12) to deliver and turn over to Letitia James, the Attorney General
of the State of New York, or a designated Assistant Attorney General, on the 22nd day of February
2021, by 10:00 a.m., or any agreed upon adjourned date or time, at 200 Old Country Road, Suite
240, Mineola, New York 11501, all documents and information requested in the attached Schedule
in accordance with the instructions and definitions contained therein.
YOU ARE ALSO HEREBY COMMANDED to testify on the 26th day of March, 2021 at 9:30
a.m., either in person at the Nassau County Regional Office of the Attorney General, 200 Old
Country Road, Suite 240, Mineola, New York 11501, or by remote means, using
videoconferencing technology.
TAKE NOTICE that the Attorney General deems the documents, information and testimony
requested by this Subpoena to be relevant and material to an investigation and inquiry undertaken
in the public interest.
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TAKE FURTHER NOTICE that Your disobedience of this Subpoena, by failing or refusing
to deliver the documents and information requested in the attached Schedule on the date, time and
place stated above or on any agreed upon adjourned date or time, or your failure or refusal to give
testimony on the date, time and place stated above or on any agreed upon adjourned date or time,
may subject You to penalties and any other lawful punishment.
WITNESS, The Honorable Letitia James, Attorney General of the State of New York, this
4th day of February, 2021.
Christina H. Bedell
By: ______
Christina H. Bedell
Assistant Attorney General
200 Old Country Road, Suite 240
Mineola, New York 11501
(516) 248-3322
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SCHEDULE
A. General Definitions
1. The word “all” shall mean each and every.
2. The word “any” shall be construed as “any and all.”
3. “Shake a Paw,” “You,” “Your,” “Its,” or “the Company” shall mean “Shake a Paw”,
Gerard O’Sullivan, Marc Jacobs, and all names under which these entities or individuals
have done business or are currently doing business; any of its predecessors, successors,
present or former parents, subsidiaries, or affiliates, whether direct or indirect; and all
directors, officers, partners, employees, agents, contractors, consultants, representatives,
and attorneys of the foregoing, or any other Persons associated with or acting on behalf of
the foregoing, or acting on behalf of any predecessors, successors, or affiliates of the
foregoing.
4. “Advertisement,” or “Solicitation” shall mean any oral, recorded, electronic, audio,
printed, electronic transmission or written communication, or communication by any
other means used by or on behalf of Shake a Paw or its agents to contact or solicit or
otherwise communicate with any New York State resident or property owner, regarding
Shake a Paw or any affiliates’ services in connection with any tutoring service, or any
other business carried on by Shake a Paw or any of its affiliates.
5. “Recipient” shall mean any New York State resident or property owner who was
contacted by any means by Shake a Paw or any of its affiliates, agents, employees, and
outside contractors, or any company, group or individual hired by Shake a Paw.
6. “Communication” means any advertisement, conversation, discussion, letter, email,
memorandum, meeting, note or other transmittal of information or message, whether
transmitted in writing, orally, electronically or by any other means, and shall include any
Document that abstracts, digests, transcribes, records or reflects any of the foregoing.
7. “Concerning” means, directly or indirectly, in whole or in part, relating to, referring to,
describing, evidencing or constituting.
8. The word “document(s)” shall mean all records and other tangible forms of expression
including without limitation originals, drafts or finished versions, or annotated or
nonconforming copies, however created, produced or stored (manually, mechanically,
electronically or otherwise), including electronic mail, Blackberry or similar messages,
instant messages, books, papers, files, notes, confirmations, account statements,
correspondence, memoranda, reports, press releases, contracts, agreements, records,
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journals, registers, analyses, plans, manuals, policies, telegrams, faxes, telexes, wires,
telephone logs, telephone messages, message slips, minutes, notes or records or
transcriptions of conversations or communications or meetings, tape recordings,
videotapes, disks, drives, and other electronic media or storage devices, microfilm,
microfiche, calendars, date books, appointment books, diaries, notices and summaries.
9. “Identify” or “Identity,” as applied to any entity, means such entity’s legal name, any
d/b/a, former, or other names, any parent, subsidiary, officers, employees, or agents
thereof, and any address(es) and any telephone number(s) thereof.
10. “Identify” or “Identity,” as applied to any natural person, means the natural person’s
name, title(s), any aliases, place(s) of employment, telephone number(s), e-mail
address(es), mailing addresses and physical address(es).
11. “Subpoena” means this subpoena and any schedules or attachments thereto.
12. The use of the singular form of any word includes the plural and vice versa.
B. Instructions
1. Preservation of Relevant Documents and Information; Spoliation. You are reminded of
Your obligations under law to preserve Documents and information relevant or
potentially relevant to this Subpoena from destruction or loss, and of the consequences
of, and penalties available for, spoliation of evidence. No agreement, written or
otherwise, purporting to modify, limit or otherwise vary the terms of this Subpoena, shall
be construed in any way to narrow, qualify, eliminate or otherwise diminish Your
aforementioned preservation obligations. Nor shall You act, in reliance upon any such
agreement or otherwise, in any manner inconsistent with Your preservation obligations
under law. No agreement purporting to modify, limit or otherwise vary Your
preservation obligations under law shall be construed as in any way narrowing,
qualifying, eliminating or otherwise diminishing such aforementioned preservation
obligations, nor shall You act in reliance upon any such agreement, unless an Assistant
Attorney General confirms or acknowledges such agreement in writing, or makes such
agreement a matter of record in open court.
2. Possession, Custody, and Control. The Subpoena calls for all responsive Documents or
information in Your possession, custody or control. This includes, without limitation,
Documents or information possessed or held by any of Your officers, directors,
employees, agents, representatives, divisions, affiliates, subsidiaries or Persons from
whom You could request Documents or information. If Documents or information
responsive to a request in this Subpoena are in Your control, but not in Your possession
or custody, You shall promptly Identify the Person with possession or custody.
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3. Documents No Longer in Your Possession. If any Document requested herein was
formerly in Your possession, custody or control but is no longer available, or no longer
exists, You shall submit a statement in writing under oath that: (a) describes in detail the
nature of such Document and its contents; (b) Identifies the Person(s) who prepared such
Document and its contents; (c) Identifies all Persons who have seen or had possession of
such Document; (d) specifies the date(s) on which such Document was prepared,
transmitted or received; (e) specifies the date(s) on which such Document became
unavailable; (f) specifies the reason why such Document is unavailable, including
without limitation whether it was misplaced, lost, destroyed or transferred; and if such
Document has been destroyed or transferred, the conditions of and reasons for such
destruction or transfer and the Identity of the Person(s) requesting and performing such
destruction or transfer; and (g) Identifies all Persons with knowledge of any portion of the
contents of the Document.
4. No Documents Responsive to Subpoena Requests. If there are no Documents responsive
to any particular Subpoena request, You shall so state in writing under oath in the
Affidavit of Compliance attached hereto, identifying the paragraph number(s) of the
Subpoena request concerned.
5. Format of Production. You shall produce Documents and information responsive to this
Subpoena in the format requested by the Office of the New York State Attorney General.
Productions in electronic format shall meet the specifications set out in Section C hereof.
6. Existing Organization of Documents to be Preserved. Regardless of whether a
production is in electronic or paper format, each Document shall be produced in the same
form, sequence, organization or other order or layout in which it was maintained before
production, including but not limited to production of any Document or other material
indicating filing or other organization. Such production shall include without limitation
any file folder, file jacket, cover or similar organizational material, as well as any folder
bearing any title or legend that contains no Document. Likewise, all Documents that are
physically attached to each other in Your files shall remain so attached in any production;
or if such production is electronic, shall be accompanied by notation or information
sufficient to indicate clearly such physical attachment.
7. Document Numbering. All Documents responsive to this Subpoena, regardless of
whether produced or withheld on ground of privilege or other legal doctrine, and
regardless of whether production is in electronic or paper format, shall be numbered in
the lower right corner of each page of such Document, without disrupting or altering the
form, sequence, organization or other order or layout in which such Documents were
maintained before production. Such number shall comprise a prefix containing the
producing Person’s name or an abbreviation thereof, followed by a unique, sequential,
identifying document control number.
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8. Privilege Placeholders. For each Document withheld from production on ground of
privilege or other legal doctrine, regardless of whether a production is electronic or in
hard copy, You shall insert one or more placeholder page(s) in the production bearing the
same document control number(s) borne by the Document withheld, in the sequential
place(s) originally occupied by the Document before it was removed from the production.
9. Privilege. If You withhold any Document responsive to this Subpoena on ground of
privilege or other legal doctrine, You shall submit with the Documents produced a
statement in writing under oath, stating: (a) the document control number(s) of the
Document withheld; (b) the type of Document; (c) the date of the Document; (d) the
author(s) and recipient(s) of the Document; (e) the general subject matter of the
Document; and (f) the legal ground for withholding the Document. If the legal ground
for withholding the Document is attorney-client privilege, You shall indicate the name of
the attorney(s) whose legal advice is sought or provided in the Document.
10. Your Production Instructions to be Produced. You shall produce a copy of all written or
otherwise recorded instructions prepared by You concerning the steps taken to respond to
this Subpoena. For any unrecorded instructions given, You shall provide a written
statement under oath from the Person(s) who gave such instructions that details the
specific content of the instructions and any Person(s) to whom the instructions were
given.
11. Cover Letter. Accompanying any production(s) made pursuant to this Subpoena, You
shall include a cover letter that shall at a minimum provide an index containing the
following: (a) a description of the type and content of each Document produced
therewith; (b) the paragraph number(s) of the Subpoena request to which each such
Document is responsive; (c) the Identity of the Custodian(s) of each such Document; and
(d) the document control number(s) of each such Document.
12. Affidavit of Compliance. A copy of the Affidavit of Compliance provided herewith shall
be completed and executed by all natural persons supervising or participating in
compliance with this Subpoena, and You shall submit such executed Affidavit(s) of
Compliance with Your response to this Subpoena.
13. Identification of Persons Preparing Production. In a schedule attached to the Affidavit of
Compliance provided herewith, You shall Identify the natural person(s) who prepared or
assembled any productions or responses to this Subpoena. You shall further Identify the
natural person(s) under whose personal supervision the preparation and assembly of
productions and responses to this Subpoena occurred. You shall further Identify all other
natural person(s) able competently to testify: (a) that such productions and responses are
complete and correct to the best of such person’s knowledge and belief; and (b) that any
Documents produced are authentic, genuine and what they purport to be.
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14. Continuing Obligation to Produce. This Subpoena imposes a continuing obligation to
produce the Documents and information requested. Documents located, and information
learned or acquired, at any time after Your response is due shall be promptly produced at
the place specified in this Subpoena.
15. No Oral Modifications. No agreement purporting to modify, limit or otherwise vary this
Subpoena shall be valid or binding, and You shall not act in reliance upon any such
agreement, unless an Assistant Attorney General confirms or acknowledges such
agreement in writing, or makes such agreement a matter of record in open court.
16. Time Period. Unless otherwise specified, the time period covered by this Subpoena shall
be from January 1, 2016 through the present.
C. Format in Which Documents Are to Be Produced
1. All documents are to be produced in hard copy (paper format) or on computer CD/DVD
media, in .TIF image format with an accompanying searchable text file and image load
file (image load files shall be provided in an option (.opt) file format suitable for loading
into Concordance). All emails and attachments must be provided with all metadata and
bibliographical data in text delimited format (with field headers) as well as TIFF (Tag
Image File Format) attachments and attachment text. All attachments must be linked to
their parent Document. All emails and attachments requested shall include all items that
may have been removed from email accounts and placed in any other server, folder, file,
or deleted. The image load file shall be provided in an option (.opt) file format suitable
for loading into Concordance. Documents include all emails, other electronic documents
and hard copy documents responsive to this Subpoena. Hard copy documents must be
scanned and passed through optical character recognition software and follow the same
format.
2. The Office of the Attorney General prefers encryption using Winzip (.zip) files (use
AES-256 bit encryption option or greater). The Office accepts encryption using
WinRAR (.rar) files, and the Trucrypt (TC) and Sophos/Utimaco (UTI) software. The
Office does not accept self-extracting .exe files bundled with the data produced.
D. Documents to be Produced
1. Any and all documentation, including but not limited to: any and all contracts, receipts of
sale, information statements, guarantees, pet dealer certifications, immunizations
information, veterinarian records, fit for sale certificates, complaints, notice of consumers’
rights under the New York State Pet Lemon Law and any other documents provided to each
of the following consumers:
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116.
2. Copies of all complaints received from consumers during the time period of January 1,
2019 through the present.
3. Any and all documentation associated with complaints received from consumers during
the time period of January 1, 2019 through the present, including but not limited to: any and all
contracts, receipts of sale, information statements, guarantees, pet dealer certifications,
immunizations information, veterinarian records, fit for sale certificates, complaints, notice of
consumers’ rights under the New York State Pet Lemon Law and any other documents provided
to consumers other than those individuals identified in # 1, above.
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AFFIDAVIT OF COMPLIANCE WITH SUBPOENA
State of
County of }
I, , being duly sworn, state as follows:
1. I am employed by Shake A Paw in the position of ;
2. Shake A Paw’s productions and responses to the Subpoena of the Attorney General of the
State of New York, dated February 4th, 2021 (the “Subpoena”) were prepared and
assembled under my personal supervision;
3. I made or caused to be made a diligent, complete and comprehensive search for all
Documents and information requested by the Subpoena, in full accordance with the
instructions and definitions set forth in the Subpoena;
4. Shake A Paw’s productions and responses to the Subpoena are complete and correct to
the best of my knowledge and belief;
5. No Documents or information responsive to the Subpoena have been withheld from
Shake A Paw’s production and response, other than responsive Documents or
information withheld on the basis of a legal privilege or doctrine;
6. All responsive Documents or information withheld on the basis of a legal privilege or
doctrine have been identified on a privilege log composed and produced in accordance
with the instructions in the Subpoena;
7. The Documents contained in Shake A Paw’s productions and responses to the Subpoena
are authentic, genuine and what they purport to be;
8. Attached is a true and accurate record of all persons who prepared and assembled any
productions and responses to the Subpoena, all persons under whose personal supervision
the preparation and assembly of productions and responses to the Subpoena occurred, and
all persons able competently to testify: (a) that such productions and responses are
complete and correct to the best of such person’s knowledge and belief; and (b) that any
Documents produced are authentic, genuine and what they purport to be; and
9. Attached is a true and accurate statement of those requests under the Subpoena as to
which no responsive Documents were located in the course of the aforementioned search.
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Signature of Affiant Date
Printed Name of Affiant
* * *
Subscribed and sworn to before me
this ______ day of __________________, 20___.
_____________________________
Notary Public
My commission expires: _____________________
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Preview
FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 EXHIBIT I FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 STATE OF NEW YORK OFFICE OF THE ATTORNEY GENERAL SUBPOENA DUCES TECUM AND AD TESTIFICANDUM THE PEOPLE OF THE STATE OF NEW YORK GREETINGS TO: SHAKE A PAW – Hicksville 285 S Broadway, Delco Plaza Hicksville, NY 11801 SHAKE A PAW – Lynbrook 1 Atlantic Avenue Lynbrook, NY 11563 YOU ARE HEREBY COMMANDED, pursuant to New York General Business Law §§ 349 and 350 and Executive Law § 63(12) to deliver and turn over to Letitia James, the Attorney General of the State of New York, or a designated Assistant Attorney General, on the 22nd day of February 2021, by 10:00 a.m., or any agreed upon adjourned date or time, at 200 Old Country Road, Suite 240, Mineola, New York 11501, all documents and information requested in the attached Schedule in accordance with the instructions and definitions contained therein. YOU ARE ALSO HEREBY COMMANDED to testify on the 26th day of March, 2021 at 9:30 a.m., either in person at the Nassau County Regional Office of the Attorney General, 200 Old Country Road, Suite 240, Mineola, New York 11501, or by remote means, using videoconferencing technology. TAKE NOTICE that the Attorney General deems the documents, information and testimony requested by this Subpoena to be relevant and material to an investigation and inquiry undertaken in the public interest. FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 TAKE FURTHER NOTICE that Your disobedience of this Subpoena, by failing or refusing to deliver the documents and information requested in the attached Schedule on the date, time and place stated above or on any agreed upon adjourned date or time, or your failure or refusal to give testimony on the date, time and place stated above or on any agreed upon adjourned date or time, may subject You to penalties and any other lawful punishment. WITNESS, The Honorable Letitia James, Attorney General of the State of New York, this 4th day of February, 2021. Christina H. Bedell By: ______ Christina H. Bedell Assistant Attorney General 200 Old Country Road, Suite 240 Mineola, New York 11501 (516) 248-3322 2 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 SCHEDULE A. General Definitions 1. The word “all” shall mean each and every. 2. The word “any” shall be construed as “any and all.” 3. “Shake a Paw,” “You,” “Your,” “Its,” or “the Company” shall mean “Shake a Paw”, Gerard O’Sullivan, Marc Jacobs, and all names under which these entities or individuals have done business or are currently doing business; any of its predecessors, successors, present or former parents, subsidiaries, or affiliates, whether direct or indirect; and all directors, officers, partners, employees, agents, contractors, consultants, representatives, and attorneys of the foregoing, or any other Persons associated with or acting on behalf of the foregoing, or acting on behalf of any predecessors, successors, or affiliates of the foregoing. 4. “Advertisement,” or “Solicitation” shall mean any oral, recorded, electronic, audio, printed, electronic transmission or written communication, or communication by any other means used by or on behalf of Shake a Paw or its agents to contact or solicit or otherwise communicate with any New York State resident or property owner, regarding Shake a Paw or any affiliates’ services in connection with any tutoring service, or any other business carried on by Shake a Paw or any of its affiliates. 5. “Recipient” shall mean any New York State resident or property owner who was contacted by any means by Shake a Paw or any of its affiliates, agents, employees, and outside contractors, or any company, group or individual hired by Shake a Paw. 6. “Communication” means any advertisement, conversation, discussion, letter, email, memorandum, meeting, note or other transmittal of information or message, whether transmitted in writing, orally, electronically or by any other means, and shall include any Document that abstracts, digests, transcribes, records or reflects any of the foregoing. 7. “Concerning” means, directly or indirectly, in whole or in part, relating to, referring to, describing, evidencing or constituting. 8. The word “document(s)” shall mean all records and other tangible forms of expression including without limitation originals, drafts or finished versions, or annotated or nonconforming copies, however created, produced or stored (manually, mechanically, electronically or otherwise), including electronic mail, Blackberry or similar messages, instant messages, books, papers, files, notes, confirmations, account statements, correspondence, memoranda, reports, press releases, contracts, agreements, records, 3 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 journals, registers, analyses, plans, manuals, policies, telegrams, faxes, telexes, wires, telephone logs, telephone messages, message slips, minutes, notes or records or transcriptions of conversations or communications or meetings, tape recordings, videotapes, disks, drives, and other electronic media or storage devices, microfilm, microfiche, calendars, date books, appointment books, diaries, notices and summaries. 9. “Identify” or “Identity,” as applied to any entity, means such entity’s legal name, any d/b/a, former, or other names, any parent, subsidiary, officers, employees, or agents thereof, and any address(es) and any telephone number(s) thereof. 10. “Identify” or “Identity,” as applied to any natural person, means the natural person’s name, title(s), any aliases, place(s) of employment, telephone number(s), e-mail address(es), mailing addresses and physical address(es). 11. “Subpoena” means this subpoena and any schedules or attachments thereto. 12. The use of the singular form of any word includes the plural and vice versa. B. Instructions 1. Preservation of Relevant Documents and Information; Spoliation. You are reminded of Your obligations under law to preserve Documents and information relevant or potentially relevant to this Subpoena from destruction or loss, and of the consequences of, and penalties available for, spoliation of evidence. No agreement, written or otherwise, purporting to modify, limit or otherwise vary the terms of this Subpoena, shall be construed in any way to narrow, qualify, eliminate or otherwise diminish Your aforementioned preservation obligations. Nor shall You act, in reliance upon any such agreement or otherwise, in any manner inconsistent with Your preservation obligations under law. No agreement purporting to modify, limit or otherwise vary Your preservation obligations under law shall be construed as in any way narrowing, qualifying, eliminating or otherwise diminishing such aforementioned preservation obligations, nor shall You act in reliance upon any such agreement, unless an Assistant Attorney General confirms or acknowledges such agreement in writing, or makes such agreement a matter of record in open court. 2. Possession, Custody, and Control. The Subpoena calls for all responsive Documents or information in Your possession, custody or control. This includes, without limitation, Documents or information possessed or held by any of Your officers, directors, employees, agents, representatives, divisions, affiliates, subsidiaries or Persons from whom You could request Documents or information. If Documents or information responsive to a request in this Subpoena are in Your control, but not in Your possession or custody, You shall promptly Identify the Person with possession or custody. 4 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 3. Documents No Longer in Your Possession. If any Document requested herein was formerly in Your possession, custody or control but is no longer available, or no longer exists, You shall submit a statement in writing under oath that: (a) describes in detail the nature of such Document and its contents; (b) Identifies the Person(s) who prepared such Document and its contents; (c) Identifies all Persons who have seen or had possession of such Document; (d) specifies the date(s) on which such Document was prepared, transmitted or received; (e) specifies the date(s) on which such Document became unavailable; (f) specifies the reason why such Document is unavailable, including without limitation whether it was misplaced, lost, destroyed or transferred; and if such Document has been destroyed or transferred, the conditions of and reasons for such destruction or transfer and the Identity of the Person(s) requesting and performing such destruction or transfer; and (g) Identifies all Persons with knowledge of any portion of the contents of the Document. 4. No Documents Responsive to Subpoena Requests. If there are no Documents responsive to any particular Subpoena request, You shall so state in writing under oath in the Affidavit of Compliance attached hereto, identifying the paragraph number(s) of the Subpoena request concerned. 5. Format of Production. You shall produce Documents and information responsive to this Subpoena in the format requested by the Office of the New York State Attorney General. Productions in electronic format shall meet the specifications set out in Section C hereof. 6. Existing Organization of Documents to be Preserved. Regardless of whether a production is in electronic or paper format, each Document shall be produced in the same form, sequence, organization or other order or layout in which it was maintained before production, including but not limited to production of any Document or other material indicating filing or other organization. Such production shall include without limitation any file folder, file jacket, cover or similar organizational material, as well as any folder bearing any title or legend that contains no Document. Likewise, all Documents that are physically attached to each other in Your files shall remain so attached in any production; or if such production is electronic, shall be accompanied by notation or information sufficient to indicate clearly such physical attachment. 7. Document Numbering. All Documents responsive to this Subpoena, regardless of whether produced or withheld on ground of privilege or other legal doctrine, and regardless of whether production is in electronic or paper format, shall be numbered in the lower right corner of each page of such Document, without disrupting or altering the form, sequence, organization or other order or layout in which such Documents were maintained before production. Such number shall comprise a prefix containing the producing Person’s name or an abbreviation thereof, followed by a unique, sequential, identifying document control number. 5 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 8. Privilege Placeholders. For each Document withheld from production on ground of privilege or other legal doctrine, regardless of whether a production is electronic or in hard copy, You shall insert one or more placeholder page(s) in the production bearing the same document control number(s) borne by the Document withheld, in the sequential place(s) originally occupied by the Document before it was removed from the production. 9. Privilege. If You withhold any Document responsive to this Subpoena on ground of privilege or other legal doctrine, You shall submit with the Documents produced a statement in writing under oath, stating: (a) the document control number(s) of the Document withheld; (b) the type of Document; (c) the date of the Document; (d) the author(s) and recipient(s) of the Document; (e) the general subject matter of the Document; and (f) the legal ground for withholding the Document. If the legal ground for withholding the Document is attorney-client privilege, You shall indicate the name of the attorney(s) whose legal advice is sought or provided in the Document. 10. Your Production Instructions to be Produced. You shall produce a copy of all written or otherwise recorded instructions prepared by You concerning the steps taken to respond to this Subpoena. For any unrecorded instructions given, You shall provide a written statement under oath from the Person(s) who gave such instructions that details the specific content of the instructions and any Person(s) to whom the instructions were given. 11. Cover Letter. Accompanying any production(s) made pursuant to this Subpoena, You shall include a cover letter that shall at a minimum provide an index containing the following: (a) a description of the type and content of each Document produced therewith; (b) the paragraph number(s) of the Subpoena request to which each such Document is responsive; (c) the Identity of the Custodian(s) of each such Document; and (d) the document control number(s) of each such Document. 12. Affidavit of Compliance. A copy of the Affidavit of Compliance provided herewith shall be completed and executed by all natural persons supervising or participating in compliance with this Subpoena, and You shall submit such executed Affidavit(s) of Compliance with Your response to this Subpoena. 13. Identification of Persons Preparing Production. In a schedule attached to the Affidavit of Compliance provided herewith, You shall Identify the natural person(s) who prepared or assembled any productions or responses to this Subpoena. You shall further Identify the natural person(s) under whose personal supervision the preparation and assembly of productions and responses to this Subpoena occurred. You shall further Identify all other natural person(s) able competently to testify: (a) that such productions and responses are complete and correct to the best of such person’s knowledge and belief; and (b) that any Documents produced are authentic, genuine and what they purport to be. 6 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 14. Continuing Obligation to Produce. This Subpoena imposes a continuing obligation to produce the Documents and information requested. Documents located, and information learned or acquired, at any time after Your response is due shall be promptly produced at the place specified in this Subpoena. 15. No Oral Modifications. No agreement purporting to modify, limit or otherwise vary this Subpoena shall be valid or binding, and You shall not act in reliance upon any such agreement, unless an Assistant Attorney General confirms or acknowledges such agreement in writing, or makes such agreement a matter of record in open court. 16. Time Period. Unless otherwise specified, the time period covered by this Subpoena shall be from January 1, 2016 through the present. C. Format in Which Documents Are to Be Produced 1. All documents are to be produced in hard copy (paper format) or on computer CD/DVD media, in .TIF image format with an accompanying searchable text file and image load file (image load files shall be provided in an option (.opt) file format suitable for loading into Concordance). All emails and attachments must be provided with all metadata and bibliographical data in text delimited format (with field headers) as well as TIFF (Tag Image File Format) attachments and attachment text. All attachments must be linked to their parent Document. All emails and attachments requested shall include all items that may have been removed from email accounts and placed in any other server, folder, file, or deleted. The image load file shall be provided in an option (.opt) file format suitable for loading into Concordance. Documents include all emails, other electronic documents and hard copy documents responsive to this Subpoena. Hard copy documents must be scanned and passed through optical character recognition software and follow the same format. 2. The Office of the Attorney General prefers encryption using Winzip (.zip) files (use AES-256 bit encryption option or greater). The Office accepts encryption using WinRAR (.rar) files, and the Trucrypt (TC) and Sophos/Utimaco (UTI) software. The Office does not accept self-extracting .exe files bundled with the data produced. D. Documents to be Produced 1. Any and all documentation, including but not limited to: any and all contracts, receipts of sale, information statements, guarantees, pet dealer certifications, immunizations information, veterinarian records, fit for sale certificates, complaints, notice of consumers’ rights under the New York State Pet Lemon Law and any other documents provided to each of the following consumers: 7 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 116. 2. Copies of all complaints received from consumers during the time period of January 1, 2019 through the present. 3. Any and all documentation associated with complaints received from consumers during the time period of January 1, 2019 through the present, including but not limited to: any and all contracts, receipts of sale, information statements, guarantees, pet dealer certifications, immunizations information, veterinarian records, fit for sale certificates, complaints, notice of consumers’ rights under the New York State Pet Lemon Law and any other documents provided to consumers other than those individuals identified in # 1, above. 8 FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 AFFIDAVIT OF COMPLIANCE WITH SUBPOENA State of County of } I, , being duly sworn, state as follows: 1. I am employed by Shake A Paw in the position of ; 2. Shake A Paw’s productions and responses to the Subpoena of the Attorney General of the State of New York, dated February 4th, 2021 (the “Subpoena”) were prepared and assembled under my personal supervision; 3. I made or caused to be made a diligent, complete and comprehensive search for all Documents and information requested by the Subpoena, in full accordance with the instructions and definitions set forth in the Subpoena; 4. Shake A Paw’s productions and responses to the Subpoena are complete and correct to the best of my knowledge and belief; 5. No Documents or information responsive to the Subpoena have been withheld from Shake A Paw’s production and response, other than responsive Documents or information withheld on the basis of a legal privilege or doctrine; 6. All responsive Documents or information withheld on the basis of a legal privilege or doctrine have been identified on a privilege log composed and produced in accordance with the instructions in the Subpoena; 7. The Documents contained in Shake A Paw’s productions and responses to the Subpoena are authentic, genuine and what they purport to be; 8. Attached is a true and accurate record of all persons who prepared and assembled any productions and responses to the Subpoena, all persons under whose personal supervision the preparation and assembly of productions and responses to the Subpoena occurred, and all persons able competently to testify: (a) that such productions and responses are complete and correct to the best of such person’s knowledge and belief; and (b) that any Documents produced are authentic, genuine and what they purport to be; and 9. Attached is a true and accurate statement of those requests under the Subpoena as to which no responsive Documents were located in the course of the aforementioned search. FILED: NASSAU COUNTY CLERK 03/04/2022 02:26 PM INDEX NO. 615766/2021 NYSCEF DOC. NO. 196 RECEIVED NYSCEF: 03/04/2022 Signature of Affiant Date Printed Name of Affiant * * * Subscribed and sworn to before me this ______ day of __________________, 20___. _____________________________ Notary Public My commission expires: _____________________ 10