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EXHIBIT A
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SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF WESTCHESTER
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PÄMELA GOLDSTEIN, ELLYN & TONY BERK,
as Administrators of the Estate of Winifred Berk,
and PAUL BENJAMIN, on behalf of themselves
and all other similarly situated, Index No. 60767/2018
Plaintiffs,
Hon. Linda S. Jamieson
-against-
HOULIHAN/LAWRENCE INC.,
Defendant.
----------------------------------------- X
THIRTEENTH REPORT AND RECOMMENDATION
OF DISCOVERY REFEREE
In this putative class action plaintiffs allege that defendant Houlihan Lawrence Inc.'s
("HLI") "dual agency policy", pursuant to which HLI agents represented both a buyer and seller
in the same sales transsetion, violated applicable New York law. By decision dated April 8,
Plaintiffs'
2018, the Court declined to dismiss breach of fiduciary duty and General Business
completed.1
Law Section 349 claims. Discovery ensued and has been Plaintiffs have now moved
for class certification. The motion is now sub judice.
During discovery 12 priorReport and RecommenAtións resolving discovery issueshave been issued and
confirmed, familiaritywith which ispresumed.
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This Report and Recommendation addresses defendant HLI's motion to seal documents
Plaintiffs'
filed by plaintiff in support of motion for class certification (the "class certification
motion").
Plaintiffs'
The class certification motion contains 188 exhibits to the motion. The 5,232-
page motion consists of the deposition transcripts of multiple HLI witnesses, internal HLI
documents and emails concerning various subjects, as well as information relating to third party
Plaintiffs' Plaintiffs'
clients of HLI. certification motion also includes the affidavit of expert,
Tom Cusack ("Cusack Affidavit") and a Memorandum of Law. HLI argues these submissions
contain confidential and/or proprietary information and/or third party information which, if
publicly released, would cause substantial harm to HLI or relevant third-party clients.
Plaintiffs agree that third party information should not be disclosed and should be
redacted from documents. However, plaintiffs otherwise disagree that the balance of the
information, whether itbe documentary or transcript testimony, should be withheld from public
disclosure.
The parties engaged in substantial meet and confer communications in an effort to
resolve and/or narrow the scope of this discovery. While some progress was made, those efforts
ultimately failed. However, these efforts did generate a summary ("Appendix A") which
issue.2
identifies the documents at
2 A"
All refereñces are tothe "Appendix anached to HLI'smoving papers.Via an email exchange dated
December 13-14, 2021, counsel clarifiedthat agrccmcñts had been reached with certain documents as reflectedon
"impasse"
Appendix A. This Report and Recemmendation addresses those documents where the partiesreached an
as described on Exhibit "A". For the sake of completeness, I have also addressed those documents where itis
"A"
unclear from Exhibit whether the partiesreached an amicable agrcement.
2
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DISCUSSION
A. Ap_plicable Law
New York has a broad presumption in favor of public access to the courts to ensure the
fair and efficient operation of our judicial system. Therefore, a party seeking to seal material
cause"
from the public record bears the burden to establish "good under § 216.1(a) of the
Uniform Rules of Trial Courts. The good cause standard is not defined. However, the parties
burden," (15
acknowledge itis a "substantial Mosallem v. Berenson, 76 A.D.3d 345, 349 Dept.
public."
2010), requiring a court to weigh the "interest of the parties against the interest of the
Mancheski v. Gabelli Group Capital Partners, 39 A.D.3d 499 (2d Dept. 2007). The public's
right is not absolute and mere curiosity does not warrant harm to a litigant's business interests.
MBIA Ins. Corp. v. Countrywide Home Loans, Inc., Index No.: 602825/08, 2013 N.Y. Misc.
LEXIS 367 (Sup. Ct. N.Y. Cty. Jan. 3, 2013).
To satisfy this burden, a party must demonstrate both compelling circumstances
restricting public access and no viable alternative to sealing to adequately address the harm to a
party caused by public disclosure. Id The issue of whether to preclude public disclosure falls
within the broad discretion of a trial court which should be exercised in light of the relevant facts
and circumstances of each case. Nixon v. Warner Coiñ1ñüñications, 435 U.S. 589, 599 (1978).
A party has been held to meet that burden where the material at issue is a trade secret, its
business'
release could threaten a competitive advantage or is necessary to protect the privacy
rights of third parties. Mancheski, 39 A.D.3d at 502; MBIA Ins. Corp. v. Countrywide Home
Loan Ins., 2013 N.Y. Slip Op 30184 (U) at *6, 2013 N.Y. Misc. LEXIS 367 at *4-5 (N.Y. Sup.,
Jan. 3, 2013). Preliminary discussions, opinions or assessments of corporate board members have
3
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been held to be confidential, as well as current business strategies. However, the age of such
information can result in it being held historical and lose its confidential status. (Mancheski, id.).
HLI seeks to seal the following categories of documents identified in Appendix A as:
(A) Proprietary Business Information, Financial Information, Sensitive
(B) Proprietary (C)
Statements,3
Corporate Discussions, (D) Defamatory and (E) documents restating or
summarizing the aforesaid categories of documents. HLI also seeks to seal alldeposition
testimony concerning subjects covered by these categories of documents.
As noted above, the parties agree that information relating to third party clients should
not be disclosed. Appendix A reflects this agreement in many instances. Although this agreement
does not relieve an independent judicial review and analysis, an indepeñdêñt review confirms
there should not be disclosure of any information relating to third parties.
The public has a compelling interest in the assurance that companies comply with
consumer protection laws. The New York Legislature believed that dual agency was sufficiently
problematic that itenacted Section 443 of the Real Property Law to govern the real estate
brokerage community's use of dual agency. Therefore, the public has a compelling right to know
that all brokerage firms, including HLI, comply with the statute.
Internal HLI discussions and documents concerning the existence of that law, the need
for compliance and the universal statutory process for same do not constitute trade secrets. This
information is endemic to every brokerage firm in New York State. Disclosure of this
information will not compromise any legitimate or compelling interest of HLI, nor allow
competitors an unfair advantage since this information is well known throughout the industry. In
3 HU also seeks tocompel redaction of which itcharacterizes as inappropriately stateiñeñts
inf¹---atery
plaintiffs' support of class See
certification. infrap.
contained in theCusack Affidavit and Memorandum of Law in
30,
4
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contrast, public disclosure of documents or deposition testimony reflecting HLI's internal
strategies and policies and related internal HLI forms and procedures designed to with
comply
New York law, as well as salary and bonus structures and real estate agent recruitment and
retention strategies, can compromise a competitive business advantage of HLI and/or provide
competitors an unfair advantage. Such materials were developed over time at great expense,
involved HLI strategic decisions and represent legitimate business interests entitled to protection.
This distinction is not always clearly defined in the documents at issue. Therefore, each of the
disputed documents requires an independent review.
B. The Disputed Documents
Applying the relevant judicial standard and using Appendix A as a reference, I
follows:4
respectfully recommend that HLI's seal motion be adjudicated as
Exhibits 1 and 2- See discussion pgs. 29-31.
below,
Exhibit 3 - Motion denied. The document is a self-styled 2011 market report reflecting
publicly available data for the previous 10-year period. The information is historical in nature
and would not compromise a legitimate business interest of HLI or otherwise provide an
advantage to a competitor.
Exhibit 5 - Motion denied. This 2015 document contains historical social media
"Blackberry"
information (so much so there is a reference to the use of devices) and related
generic social media marketing techniques. This information is not a trade secret nor does it
compromise HLI's current business interests.
4 are made inthe context of thepre-classcertificationprocedural statusof thisproceeding.
These rulings
Nothing herein should be construed to preventeither party from arguing in favor or againstthe use ofthese
documents or evidence in futureproceedings folicwing the Court's determination of theclass certification
motion.
5
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Exhibit 11 - Motion denied. The information concerns the dual issue at the heart
agency
of this litigation in which the public has a legitimate interest. The public disclosure of same will
not compromise the trade secrets or business interest of HLI or provide an advantage to a
competitor.
Exhibit 13 -- Motion granted. The information is material developed
proprietary training
over time by HLI which reflects legitimate business strategies that would be compromised by
public disclosure.
Exhibit 14 - Motion granted. These are HLI's comprehensive manuals developed
training
over years which reflect substantial, legitimate business strategies that would be compromised by
public disclosure.
Exhibit 15 - Motion granted. These are HLI's comprehensive manuals developed
training
over years which reflect substantial, legitimate business strategies that would be compromised by
public disclosure.
Exhibit 16 - Motion denied. Generic email communication dual issue
regarding agency
is at the heart of the litigation and of significant public interest. Disclosure would not injure
legitimate business interests of HLI or result in advantage to a competitor. References to third
parties should be redacted.
- Agency"
Exhibit 17 Motion granted to the extent that referenced "Disclosure of
PowerPoint presentation should be redacted (HL00142366-HL00142408). Internal email may be
disclosed.
Exhibit 18 - Motion granted. Detailed agent material which reflects HLI's
training
business strategies, would threaten HLI's business interests and provide an advantage to
competitors.
6
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Exhibit 20 - Motion denied. Disclosure of interoffice email contain generic internal
discussions about implementation of HLI's dual agency policy will not compromise any trade
secret or legitimate business interests of HLI.
Exhibit 21 - Motion denied. Internal office emails implementation of HLI's
reflecting
dual agency policy and the compliance issues raised as a result thereof do not constitute
confidential business information which, if disclosed, would compromise or harm a significant
business interest of HLI, or grant to a competitor an unfair competitive advantage.
Exhibit 22 - Motion denied. Internal office emails implementation of HLI's
reflecting
dual agency policy and the compliance issues raised as a result thereof do not constitute
confidential business information which, if disclosed, would compromise or harm a significant
business interest of HLI, or grant to a competitor an unfair competitive advantage.
Exhibit 23 - Motion denied. Internal office emails implementation of HLI's
reflecting
dual agency policy and the compliance issues raised as a result thereof do not constitute
confidential business information which, if disclosed, would compromise or harm a significant
business interest of HLI, or grant to a competitor an unfair competitive advantage.
Exhibit 24 - Motion denied. Internal office emails impicmêñtation of HLI's
reflecting
dual agency policy and the compliance issues raised as a result thereof do not constitute
confidential business information which, if disclosed, would compromise or harm a significant
business interest of HLI, or grant to a competitor an unfair competitive advantage.
Exhibit 25 - Motion granted. The information consists of sensitive business strategies in
and retaining real estate agents and marketing which, if disclosed, would compromise
recruiting
or harm a significant business interest of HLI, and grant a competitor an unfair business
advantage.
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Exhibit 27 - Denied. Disclosure of HLI's Respoñses would not
Interrogatory
compromise a legitimate business interest or provide a competitor with an unfair business
advantage.
Exhibit 28 - Deposition Transcript - see discussion pgs. 29-31.
Geoffrey Bearey below,
Exhibit 29 - Granted. The information reflects HLI's internal and
strategy, training
business policies regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit 30 - Granted. The information reflects HLI's internal and
strategy, training
business policies.regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit 31 - Granted. The information reflects HLI's internal and
strategy, training
business policies regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit 32 - Granted. The information reflects HLI's internal and
strategy, training
business policies regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit 33 - Motion granted. The information reflects HLI's internal strategy, training
and business policies regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit 34 - Annette Chrystal Deposition Transcript. See pgs. 29-31.
below,
Exhibit 35 - Gino Bello Deposition Transcript. See pgs. 29-31.
below,
8
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Exhibit 36 - Granted. The information reflects HLI's internal and
strategy, training
business policies regarding dual agency and related issues, public disclosure of which would
compromise the legitimate business interests of HLI.
Exhibit.37 --Motion denied. Public disclosure of work performed in 2015 James
by
Gricar would not compromise business interests of HLI or provide an unfair advantage to a
competitor.
Exhibit 38 - Denied. Public disclosure of Internal HLI Flyer internal
announcing training
session in March 2015 would not compromise legitimate business interests of HLI or provide
unfair advantage to a competitor.
Exhibit 39 - Motion denied. Disclosure of June 2018 third material
party training
regarding dual agency, prepared and presented by third party consultant, as opposed to HLI,
would not compromise legitimate HLI business interest or provide competitors an unfair
business advantage.
Exhibit 40 - Motion granted. Internal March 2015 email contains a discussion of internal
decisions and discussions in creating the substance of HLI's dual agency policy. While this
material was arguably sensitive in March of 2015, the lapse of time has rendered this information
historic, the disclosure of which will not compromise a legitimate, current HLI business interest
or otherwise provide unfair advantage to competitors.
Exhibit 41 - Motion granted. Information contains specific HLI dual and
agency policy
related training materials for agents. Disclosure of this information would compromise HLI's
legitimate business interests and provide competitors with unfair business advantage.
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Exhibit 42 - Motion granted. Disclosure of HLI brokerage Exclusive
proprietary Agency
Agreemeñt and related agreements would compromise HLI's legitimate business interests and
provide unfair advantage to competitors.
Exhibit 43 - Motion granted. Disclosure of HLI brokerage Exclusive
proprietary Agency
Agreement and related agreements would compromise HLI's legitimate business interests and
provide unfair advantage to competitors.
Exhibit 44 - Motion granted in part subject to redaction. The email text be disclosed.
may
The number attached or referenced to HLI internal company policy and proprietary HLI forms
should be redacted. (HL00035348-HL00035356).
Exhibit 45 - Denied. Disclosure of the 2012 HLI in the redacted format
guidelines,
presented in Exhibit 45, which is now historical information given its age, will not compromise
any legitimate HLI business interest or give an unfair advantage to competitors.
Exhibit 46 - Motion granted. Disclosure of the 2017 HLI Operations which is
Guidelines,
not so old as to be historic, could compromise a legitimate HLI business interest or give an unfair
advantage to a competitor.
Exhibit 47 - Motion granted. Disclosure of the 2018 HLI manual and related
training
internal policies could compromise any legitimate HLI business interest or give an unfair
advantage to competitors.
Exhibit 48 - Motion denied. The 2012 internal email HLI's dual
concerning agency
policy at that time is historical information, the disclosure of which will not compromise any
legitimate HLI business interest or give an unfair advantage to competitors.
Exhibit 49 - Motion denied. April 2015 internal email inherent issues raised
concerning
by dual agency endemic to entire brokerage industry do not constitute sensitive corporate
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discussions, the disclosure of which outweighs the public interest in the compliance of consumer
protection laws. Disclosure will not compromise any legitimate HLI business interest or give an
unfair advantage to competitors.
Exhibit 50 - Motion denied. March 2015 internal email inherent issues raised
concerning
by dual agency that is endemic to entire brokerage industry do not constitute sensitive corporate
discussions, the disclosure of which outweighs the public interest in the compliance of consumer
protection laws. Disclosure will not compromise any legitimate HLI business interest or give an
unfair advantage to competitors.
Exhibit 51 - Motion granted. Disclosure of HLI internal and materials
policy training
would compromise any legitimate HLI business interest or give an unfair advantage to
competitors.
Exhibit 52 - Motion denied. Internal email inherent issues raised dual
concerning by
agency that is endemic to entire brokerage industry, given the dual agency issues is not constitute
sensitive corporate discussions, the disclosure of which outweighs the public interest in the
compliance of consumer protection laws. Disclosure will not compromise any legitimate HLI
business interest or give an unfair advantage to competitors.
Exhibit 53 - Motion denied. Internal email inherent issues raised dual
concerning by
agency endemic to entire brokerage industry do not constitute sensitive corporate discussions,
the disclosure of which outweighs the public interest in the compliance of consumer protection
laws. Disclosure will not compromise any legitimate HLI business interest or give an unfair
advantage to competitors.
Exhibit 54 - Motion denied. Internal email inherent issues raised dual
coñcerning by
that is endemic to entire brokerage industry do not constitute sensitive corporate
agency
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FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX NO. 60767/2018 NYSCEF DOC. NO. 1081 RECEIVED NYSCEF: 03/01/2022 EXHIBIT A FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO . 60767/2018 6 0 7 6 7 / 2 0 18 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF WESTCHESTER ----------------------------------------------------------------X PÄMELA GOLDSTEIN, ELLYN & TONY BERK, as Administrators of the Estate of Winifred Berk, and PAUL BENJAMIN, on behalf of themselves and all other similarly situated, Index No. 60767/2018 Plaintiffs, Hon. Linda S. Jamieson -against- HOULIHAN/LAWRENCE INC., Defendant. ----------------------------------------- X THIRTEENTH REPORT AND RECOMMENDATION OF DISCOVERY REFEREE In this putative class action plaintiffs allege that defendant Houlihan Lawrence Inc.'s ("HLI") "dual agency policy", pursuant to which HLI agents represented both a buyer and seller in the same sales transsetion, violated applicable New York law. By decision dated April 8, Plaintiffs' 2018, the Court declined to dismiss breach of fiduciary duty and General Business completed.1 Law Section 349 claims. Discovery ensued and has been Plaintiffs have now moved for class certification. The motion is now sub judice. During discovery 12 priorReport and RecommenAtións resolving discovery issueshave been issued and confirmed, familiaritywith which ispresumed. 1 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO . 60767/2018 60767/ 2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 This Report and Recommendation addresses defendant HLI's motion to seal documents Plaintiffs' filed by plaintiff in support of motion for class certification (the "class certification motion"). Plaintiffs' The class certification motion contains 188 exhibits to the motion. The 5,232- page motion consists of the deposition transcripts of multiple HLI witnesses, internal HLI documents and emails concerning various subjects, as well as information relating to third party Plaintiffs' Plaintiffs' clients of HLI. certification motion also includes the affidavit of expert, Tom Cusack ("Cusack Affidavit") and a Memorandum of Law. HLI argues these submissions contain confidential and/or proprietary information and/or third party information which, if publicly released, would cause substantial harm to HLI or relevant third-party clients. Plaintiffs agree that third party information should not be disclosed and should be redacted from documents. However, plaintiffs otherwise disagree that the balance of the information, whether itbe documentary or transcript testimony, should be withheld from public disclosure. The parties engaged in substantial meet and confer communications in an effort to resolve and/or narrow the scope of this discovery. While some progress was made, those efforts ultimately failed. However, these efforts did generate a summary ("Appendix A") which issue.2 identifies the documents at 2 A" All refereñces are tothe "Appendix anached to HLI'smoving papers.Via an email exchange dated December 13-14, 2021, counsel clarifiedthat agrccmcñts had been reached with certain documents as reflectedon "impasse" Appendix A. This Report and Recemmendation addresses those documents where the partiesreached an as described on Exhibit "A". For the sake of completeness, I have also addressed those documents where itis "A" unclear from Exhibit whether the partiesreached an amicable agrcement. 2 2 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 DISCUSSION A. Ap_plicable Law New York has a broad presumption in favor of public access to the courts to ensure the fair and efficient operation of our judicial system. Therefore, a party seeking to seal material cause" from the public record bears the burden to establish "good under § 216.1(a) of the Uniform Rules of Trial Courts. The good cause standard is not defined. However, the parties burden," (15 acknowledge itis a "substantial Mosallem v. Berenson, 76 A.D.3d 345, 349 Dept. public." 2010), requiring a court to weigh the "interest of the parties against the interest of the Mancheski v. Gabelli Group Capital Partners, 39 A.D.3d 499 (2d Dept. 2007). The public's right is not absolute and mere curiosity does not warrant harm to a litigant's business interests. MBIA Ins. Corp. v. Countrywide Home Loans, Inc., Index No.: 602825/08, 2013 N.Y. Misc. LEXIS 367 (Sup. Ct. N.Y. Cty. Jan. 3, 2013). To satisfy this burden, a party must demonstrate both compelling circumstances restricting public access and no viable alternative to sealing to adequately address the harm to a party caused by public disclosure. Id The issue of whether to preclude public disclosure falls within the broad discretion of a trial court which should be exercised in light of the relevant facts and circumstances of each case. Nixon v. Warner Coiñ1ñüñications, 435 U.S. 589, 599 (1978). A party has been held to meet that burden where the material at issue is a trade secret, its business' release could threaten a competitive advantage or is necessary to protect the privacy rights of third parties. Mancheski, 39 A.D.3d at 502; MBIA Ins. Corp. v. Countrywide Home Loan Ins., 2013 N.Y. Slip Op 30184 (U) at *6, 2013 N.Y. Misc. LEXIS 367 at *4-5 (N.Y. Sup., Jan. 3, 2013). Preliminary discussions, opinions or assessments of corporate board members have 3 3 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO . 60767/2018 60767/ 2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 been held to be confidential, as well as current business strategies. However, the age of such information can result in it being held historical and lose its confidential status. (Mancheski, id.). HLI seeks to seal the following categories of documents identified in Appendix A as: (A) Proprietary Business Information, Financial Information, Sensitive (B) Proprietary (C) Statements,3 Corporate Discussions, (D) Defamatory and (E) documents restating or summarizing the aforesaid categories of documents. HLI also seeks to seal alldeposition testimony concerning subjects covered by these categories of documents. As noted above, the parties agree that information relating to third party clients should not be disclosed. Appendix A reflects this agreement in many instances. Although this agreement does not relieve an independent judicial review and analysis, an indepeñdêñt review confirms there should not be disclosure of any information relating to third parties. The public has a compelling interest in the assurance that companies comply with consumer protection laws. The New York Legislature believed that dual agency was sufficiently problematic that itenacted Section 443 of the Real Property Law to govern the real estate brokerage community's use of dual agency. Therefore, the public has a compelling right to know that all brokerage firms, including HLI, comply with the statute. Internal HLI discussions and documents concerning the existence of that law, the need for compliance and the universal statutory process for same do not constitute trade secrets. This information is endemic to every brokerage firm in New York State. Disclosure of this information will not compromise any legitimate or compelling interest of HLI, nor allow competitors an unfair advantage since this information is well known throughout the industry. In 3 HU also seeks tocompel redaction of which itcharacterizes as inappropriately stateiñeñts inf¹---atery plaintiffs' support of class See certification. infrap. contained in theCusack Affidavit and Memorandum of Law in 30, 4 4 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO . 60767/2018 6 0 7 6 7 / 2 0 18 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 contrast, public disclosure of documents or deposition testimony reflecting HLI's internal strategies and policies and related internal HLI forms and procedures designed to with comply New York law, as well as salary and bonus structures and real estate agent recruitment and retention strategies, can compromise a competitive business advantage of HLI and/or provide competitors an unfair advantage. Such materials were developed over time at great expense, involved HLI strategic decisions and represent legitimate business interests entitled to protection. This distinction is not always clearly defined in the documents at issue. Therefore, each of the disputed documents requires an independent review. B. The Disputed Documents Applying the relevant judicial standard and using Appendix A as a reference, I follows:4 respectfully recommend that HLI's seal motion be adjudicated as Exhibits 1 and 2- See discussion pgs. 29-31. below, Exhibit 3 - Motion denied. The document is a self-styled 2011 market report reflecting publicly available data for the previous 10-year period. The information is historical in nature and would not compromise a legitimate business interest of HLI or otherwise provide an advantage to a competitor. Exhibit 5 - Motion denied. This 2015 document contains historical social media "Blackberry" information (so much so there is a reference to the use of devices) and related generic social media marketing techniques. This information is not a trade secret nor does it compromise HLI's current business interests. 4 are made inthe context of thepre-classcertificationprocedural statusof thisproceeding. These rulings Nothing herein should be construed to preventeither party from arguing in favor or againstthe use ofthese documents or evidence in futureproceedings folicwing the Court's determination of theclass certification motion. 5 5 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 Exhibit 11 - Motion denied. The information concerns the dual issue at the heart agency of this litigation in which the public has a legitimate interest. The public disclosure of same will not compromise the trade secrets or business interest of HLI or provide an advantage to a competitor. Exhibit 13 -- Motion granted. The information is material developed proprietary training over time by HLI which reflects legitimate business strategies that would be compromised by public disclosure. Exhibit 14 - Motion granted. These are HLI's comprehensive manuals developed training over years which reflect substantial, legitimate business strategies that would be compromised by public disclosure. Exhibit 15 - Motion granted. These are HLI's comprehensive manuals developed training over years which reflect substantial, legitimate business strategies that would be compromised by public disclosure. Exhibit 16 - Motion denied. Generic email communication dual issue regarding agency is at the heart of the litigation and of significant public interest. Disclosure would not injure legitimate business interests of HLI or result in advantage to a competitor. References to third parties should be redacted. - Agency" Exhibit 17 Motion granted to the extent that referenced "Disclosure of PowerPoint presentation should be redacted (HL00142366-HL00142408). Internal email may be disclosed. Exhibit 18 - Motion granted. Detailed agent material which reflects HLI's training business strategies, would threaten HLI's business interests and provide an advantage to competitors. 6 6 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 Exhibit 20 - Motion denied. Disclosure of interoffice email contain generic internal discussions about implementation of HLI's dual agency policy will not compromise any trade secret or legitimate business interests of HLI. Exhibit 21 - Motion denied. Internal office emails implementation of HLI's reflecting dual agency policy and the compliance issues raised as a result thereof do not constitute confidential business information which, if disclosed, would compromise or harm a significant business interest of HLI, or grant to a competitor an unfair competitive advantage. Exhibit 22 - Motion denied. Internal office emails implementation of HLI's reflecting dual agency policy and the compliance issues raised as a result thereof do not constitute confidential business information which, if disclosed, would compromise or harm a significant business interest of HLI, or grant to a competitor an unfair competitive advantage. Exhibit 23 - Motion denied. Internal office emails implementation of HLI's reflecting dual agency policy and the compliance issues raised as a result thereof do not constitute confidential business information which, if disclosed, would compromise or harm a significant business interest of HLI, or grant to a competitor an unfair competitive advantage. Exhibit 24 - Motion denied. Internal office emails impicmêñtation of HLI's reflecting dual agency policy and the compliance issues raised as a result thereof do not constitute confidential business information which, if disclosed, would compromise or harm a significant business interest of HLI, or grant to a competitor an unfair competitive advantage. Exhibit 25 - Motion granted. The information consists of sensitive business strategies in and retaining real estate agents and marketing which, if disclosed, would compromise recruiting or harm a significant business interest of HLI, and grant a competitor an unfair business advantage. 7 7 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 Exhibit 27 - Denied. Disclosure of HLI's Respoñses would not Interrogatory compromise a legitimate business interest or provide a competitor with an unfair business advantage. Exhibit 28 - Deposition Transcript - see discussion pgs. 29-31. Geoffrey Bearey below, Exhibit 29 - Granted. The information reflects HLI's internal and strategy, training business policies regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit 30 - Granted. The information reflects HLI's internal and strategy, training business policies.regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit 31 - Granted. The information reflects HLI's internal and strategy, training business policies regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit 32 - Granted. The information reflects HLI's internal and strategy, training business policies regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit 33 - Motion granted. The information reflects HLI's internal strategy, training and business policies regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit 34 - Annette Chrystal Deposition Transcript. See pgs. 29-31. below, Exhibit 35 - Gino Bello Deposition Transcript. See pgs. 29-31. below, 8 8 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 Exhibit 36 - Granted. The information reflects HLI's internal and strategy, training business policies regarding dual agency and related issues, public disclosure of which would compromise the legitimate business interests of HLI. Exhibit.37 --Motion denied. Public disclosure of work performed in 2015 James by Gricar would not compromise business interests of HLI or provide an unfair advantage to a competitor. Exhibit 38 - Denied. Public disclosure of Internal HLI Flyer internal announcing training session in March 2015 would not compromise legitimate business interests of HLI or provide unfair advantage to a competitor. Exhibit 39 - Motion denied. Disclosure of June 2018 third material party training regarding dual agency, prepared and presented by third party consultant, as opposed to HLI, would not compromise legitimate HLI business interest or provide competitors an unfair business advantage. Exhibit 40 - Motion granted. Internal March 2015 email contains a discussion of internal decisions and discussions in creating the substance of HLI's dual agency policy. While this material was arguably sensitive in March of 2015, the lapse of time has rendered this information historic, the disclosure of which will not compromise a legitimate, current HLI business interest or otherwise provide unfair advantage to competitors. Exhibit 41 - Motion granted. Information contains specific HLI dual and agency policy related training materials for agents. Disclosure of this information would compromise HLI's legitimate business interests and provide competitors with unfair business advantage. 9 9 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 Exhibit 42 - Motion granted. Disclosure of HLI brokerage Exclusive proprietary Agency Agreemeñt and related agreements would compromise HLI's legitimate business interests and provide unfair advantage to competitors. Exhibit 43 - Motion granted. Disclosure of HLI brokerage Exclusive proprietary Agency Agreement and related agreements would compromise HLI's legitimate business interests and provide unfair advantage to competitors. Exhibit 44 - Motion granted in part subject to redaction. The email text be disclosed. may The number attached or referenced to HLI internal company policy and proprietary HLI forms should be redacted. (HL00035348-HL00035356). Exhibit 45 - Denied. Disclosure of the 2012 HLI in the redacted format guidelines, presented in Exhibit 45, which is now historical information given its age, will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 46 - Motion granted. Disclosure of the 2017 HLI Operations which is Guidelines, not so old as to be historic, could compromise a legitimate HLI business interest or give an unfair advantage to a competitor. Exhibit 47 - Motion granted. Disclosure of the 2018 HLI manual and related training internal policies could compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 48 - Motion denied. The 2012 internal email HLI's dual concerning agency policy at that time is historical information, the disclosure of which will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 49 - Motion denied. April 2015 internal email inherent issues raised concerning by dual agency endemic to entire brokerage industry do not constitute sensitive corporate 10 10 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2 0 18 NYSCEF NYSCEF DOC. DOC. NO. NO. 1081 1052 RECEIVED RECEIVED NYSCEF: NYSCEF: 03/01/2022 01/06/2022 discussions, the disclosure of which outweighs the public interest in the compliance of consumer protection laws. Disclosure will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 50 - Motion denied. March 2015 internal email inherent issues raised concerning by dual agency that is endemic to entire brokerage industry do not constitute sensitive corporate discussions, the disclosure of which outweighs the public interest in the compliance of consumer protection laws. Disclosure will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 51 - Motion granted. Disclosure of HLI internal and materials policy training would compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 52 - Motion denied. Internal email inherent issues raised dual concerning by agency that is endemic to entire brokerage industry, given the dual agency issues is not constitute sensitive corporate discussions, the disclosure of which outweighs the public interest in the compliance of consumer protection laws. Disclosure will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 53 - Motion denied. Internal email inherent issues raised dual concerning by agency endemic to entire brokerage industry do not constitute sensitive corporate discussions, the disclosure of which outweighs the public interest in the compliance of consumer protection laws. Disclosure will not compromise any legitimate HLI business interest or give an unfair advantage to competitors. Exhibit 54 - Motion denied. Internal email inherent issues raised dual coñcerning by that is endemic to entire brokerage industry do not constitute sensitive corporate agency 11 11 of 34 FILED: WESTCHESTER COUNTY CLERK 03/01/2022 05:55 PM INDEX INDEX NO. NO. 60767/2018 60767/2018 NYSCEF NYSCEF DOC. DOC. NO.