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Case 9:08-cv-80736-KAM Document 188 Entered on FLSD Docket 06/18/2013 Page 1 of 11
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 08-80736-CIV-MARFCA
JANE DOE #1 and JANE DOE #2,
petitioners,
vs.
UNITED STATES OF AMERICA,
respondent.
ORDER GRANTING PETITIONERS' MOTION TO PROFFER
GOVERNMENT CORRESPONDENCE IN SUPPORT OF CVRA CLAIMS
& GRANTING MOTION TO UNSEAL CORRESPONDENCE AND RELATED
UNREDACTED PLEADINGS OF PETITIONERS
THIS CAUSE is before the court on the petitioners' motion to use correspondence
generated between the United States Attorney's Office for the Southern District of Florida
(USAO/SDFL) and counsel for Jeffrey Epstein to prove the Crime Victims' Rights Act (CVRA)
violations alleged in this proceeding, joined with motion to unseal petitioners' unredacted pleadings
which reference and incorporate the correspondence [DE 51]; the government's response to the
motion [DE 60]; petitioners' reply to the government's response [DE 74]; intervenors Roy Black,
Martin Weinberg, and Jay Lefkowitz's opposition to the motion, including motion for protective
order [DE 160, 161]; intervenor Jeffrey Epstein's opposition to the motion, including motion for
protective order [DE 162]; intervenors' notice of supplemental authority in support of asserted
common law privilege [DE 163]; petitioners' response to supplemental briefing of intervenors [DE
167]; intervenors' reply in further support of motion for protective order [DE 169] and petitioners'
supplemental authority in opposition [DE 172].
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The government does not object to petitioners' request to use the correspondence as
evidence in this proceeding, but does oppose, in part, the motion to unseal. More specifically, the
government expresses a concern that certain labeled "facts" included in the "Statement of
Undisputed Facts" filed in support of petitioners' "Motion for Finding of Violations of the Crime
Victims' Rights Act" [DE 48] "relate[] to matters occurring before the grand jury" which it is
unable to confirm or deny without doing violence to its obligation of grand July secrecy under Fed.
R. Crim P. 6(e).' It also expresses concern that these allegations describe crimes alleged against
Jeffrey Epstein and others for which they were never charged or convicted, contending that the Due
Process Clause requires the court to maintain this information under seal to protect the reputations
of persons who may have been under federal investigation but not charged or convicted. See e.g. In
re Smith, 656 F.2d 1101, 1106 (5th Cir. 1981)(requiring redaction from records of guilty pleas of
references to name of individual who was not charged or convicted).
Intervenors Jeffrey Epstein and his attorneys object to the petitioners' request for permission
to use the evidence in this proceeding, and object to petitioners' request to unseal the correspondence
and related pleadings on the following grounds: (1) the correspondence is the privileged opinion
'Fed. R. Crim. P. Rule 6(e)(2)(}3) provides:
Unless these rules provide otherwise, the following persons must not disclose a matter
occurring before the grand jury:
(i)a grand juror,
(ii) an interpreter;
(iii) a court reporter;
(iv)an operator of a recording device;
(v)a person who transcribes the recorded testimony;
(vi) an attorney for the government; or
(vii)a person to whom disclosure is made under Rule 6(eX3)(AXii) or (iii).
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work-product of Epstein's legal counsel; (2) the correspondence is protected under grand jury
secrecy principles codified at Fed. R. Crim. P. 6(e) because its subject matter overlaps with matters
occurring before the grand jury; (3) the correspondence is shielded against disclosure under Fed. R.
Crim. P. 11(02 and Fed. R. Evid. 410 because it consists of and relates to statements made during
the course of plea discussions between Epstein, through counsel, and federal prosecutors; (4) the
correspondence is irrelevant because rescission of Epstein's non-prosecution agreement with the
United States Attorneys' Office for the Southern District of Florida is not an available remedy in this
CVRA proceeding; (5) the court should craft a new common law privilege encompassing plea
discussions under Fed. R. Evid. 501.
At the outset, the court observes that the intervenors' privilege objections to public release
of the correspondence in question were previously rejected by Magistrate Judge Linnea Johnson in
a discovery order entered in a parallel civil lawsuit, Jane Doe # 2 v. Jeffrey Epstein, Case No. 08-
80893-CIV-MARRA. By order entered January 5, 2011 in that proceeding, Magistrate Judge
Johnson expressly rejected Epstein's request for the "Court to find the subject correspondence
privileged and on that basis prohibit plaintiff? counsel from disclosing it in either of the two
'Fed. R. Crim. P. 11(0 provides, "The admissibility or inadmissibility of a plea, a plea
discussion, and any related statement is governed by Federal. Rule of Evidence 410."
'Federal Rule of Evidence 410 (a) provides in pertinent part:
(a) Prohibited Uses. In a civil or criminal case, evidence of the following is not
admissible against the defendant who made the plea or participated in the plea
discussions:
(4) a statement during plea discussions with an attorney for the prosecuting
authority if the discussions did not result in a plea of guilty or they resulted in a
later-withdrawn guilty plea.
3
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proceedings [the pending state court or federal (CVRA) proceedings]." [Case No. 08-80893, DE
226]. ° The court finds no reason to revisit that ruling here.
As a threshold matter, "statement[s] during plea discussions" protected under Fed. R. Evid.
410 do not include general discussions of leniency and statements made in the hope of avoiding a
federal indictment - arguably the content of the correspondence at issue here. See e.g. United States
v. Merrill, 685 F.3d 1002 (1 l'h Cir. 2012)(staternents made to AUSA during meetings were not
statements made during plea negotiations under Rule 410, where there were no pending charges
against defendant when discussions occurred; general discussions of leniency did not transform
meeting into plea negotiations); United States v. Edelmann, 458 F.3d 791, 804-06 (8°' Cir.
2006)(Rule 410 inapplicable to statements made during preindictment meetings by defendant
seeking to avoid indictment and not reach plea agreement); United States v. Hare, 49 F.3d 447, 450
(8'h Cir. 1995) (voluntary statements made in hope of improving situation before plea negotiation
has begun or after plea agreement is reached arc not statements made "in the course of plea
discussions" protected by Rule 410).
In addition, the communications between Epstein's counsel and federal prosecutors at issue
here ultimately did result in entry of a plea of guilty by Epstein --to specific state court charges --
thereby removing the statements from the narrow orbit of "statement[s] made during plea
discussions...if the discussions did not result in a guilty plea...." which are inadmissible in
4
The Magistrate Judge contemporaneously directed that the documents remain under seal
pending ruling by the relevant institutions on the admissibility of the evidence and conditions of
disclosure. The material has accordingly remained under seal in the instant CVRA proceeding
before this court, as one institution charged with adjudication of the parallel victim claims.
4
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proceedings against the defendant making them under Rule 410. See e.g United States v. Paden,
908 F.2d 1229, 1235 (.5th Cir. 1990)(statements made during negotiations that resulted in a final plea
of guilty not protected under Rule 410), cert. denied, 498 U.S. 1039, 111 S. Ct. 710 (1991).
The court also summarily rejects the government and intervenors' suggestion that the
correspondence is appropriately preserved under seal under the grand jury secrecy rule codified at
Fed. Critn. P. 6(e) because the subject matter of the correspondence happens to coincide with
matters presented to the grand jury. Fed. R. Crim. P. 6(e)(2) prohibits particular persons from
disclosing "a matter occurring before a grand jury," and Fed. R. Crim. 6(e)(6) provides that
"[r]ecords, orders and subpoenas relating to grand jury proceedings must be kept under seal to the
extent and as along as necessary to prevent the unauthorized disclosure of a matter occurring before
a grand jury."
The phrase "matter occurring before the grand jury" encompasses what has occurred, what
is occurring and what is likely to occur before the grand jury, In re Motions of Dow Jones & Co 142
F.3d 496 (D. C. Cir. 1998), but it does not cover prosecutors' strategies, recommendations, In re
Sealed Case No. 99-3091 (Qffice of Independent Counsel Contempt Proceeding), 192 F.3d 995
(D. C. Cir. 1999)(intemal deliberations of prosecutors that do not directly reveal grand jury
proceedings are not Rule 6(c) material), or opinions about an individual's potential criminal liability.
See In re Grand Jury Investigation (Lance), 610 F.2d 202 (5th Cir. 1980)(statements about potential
criminal liability, even if based on knowledge of grand jury proceedings, not covered by Rule 6(e),
provided statement does not reveal the grand jury information on which it is based). This follows
because "it is not the information itself, but the fact that the grand jury was considering that
information which is protected by Rule 6(e)."Anaya v. United States, 815 F.2d 1373, 1379 (10th Cir.
5
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1987).
Thus, Rule 6(e)'s provisions do not extend to the disclosure of information obtained from
a source independent of the grand jury proceeding, such as a parallel or prior government
investigation. In re Grand Jury Subpoena, 920 F.2d 242 (4th Cir. 1990); In re Grand Jury Matter
(Catania), 682 F.2d 61, 64 (3d Cir. 1982); United States v. Smith, 787 F.2d 111, 115 (3d Cir.
1986)(fact that witness received "target letter" not subject to grand jury secrecy under Rule 6(e)
where it appeared to be expression of opinion of United States Attorney, based on his or her
knowledge of status of criminal investigation).
Next, the court rejects the attorney intervenors' assertion of opinion-work product privilege
as a shield against public release or use of the correspondence as evidence in this CVRA
proceeding. Assuming without deciding that any part of the correspondence in question reflects "the
mental impressions, conclusions, or legal theories" of Epstein's attorneys, Fed. R. Civ. P. 26(b)(3),
any work product protection which might otherwise attach to this product was necessarily forfeited
when Epstein voluntarily submitted the information to the United States Attorney's Office in the
hopes of receiving the quid pro quo of lenient punishment for any wrongdoings exposed in the
process.
Work product protection is provided only against "adversaries." Thus, disclosure of the
material to an adversary, real or potential, works a forfeiture of work product protection. United
States v. Massachusetts Institute of Technology, 129 F.3d 681 (1" Cir. 1997). In this case, Epstein's
attorneys' disclosure to the United States Attorney's Office was plainly a disclosure to a potential
adversary. The United States Attorneys' office, at that juncture, was reviewing evidence relating to
Epstein' sexual crimes against minor females within the Southern District of Florida and
6
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deliberating the filing of relevant federal charges; while Epstein's counsel clearly hoped to avoid
any actual litigation between the United States and Epstein, the potential for such litigation was
plainly there. By voluntarily and deliberating disclosing this material to federal prosecutorial
authorities investigating allegations against Epstein at that time, any work product protection was
necessarily lost. See e.g. In re Columbia/HCA Healthcare Corp. Billing Practices Litigation, 293
F.3d 289 (6th Cir. 2002), cert. dismissed, 539 U.S. 977 (2003); In re Quest Communications
International, Inc., 450 F.3d 1179 (10'" Cir. 2006); Westinghouse Electric Corp. v Republic of
Philippines, 951 F.2d 1414, 1428-31 (3d Cir. 1991); In re Subpoena Duces Tecum, 738 F.2d 1367,
1372 (D.C. Cir. 1984).
Finally, the court rejects the intervenors' invitation to craft a new federal common law
privilege governing plea discussions with prosecutorial authorities under the authority conferred by
Fed. R. Evid. 501. 5 Federal Rule of Evidence 501 instructs federal courts to develop federal
common law privilege according to principles of common law as they may be interpreted "in the
light of reason and experience." The applicable test in assessing whether federal common law
should recognize a new privilege "is whether such a privilege promotes sufficiently important
'Federal Rule of Evidence 501 provides:
The common law — as interpreted by United States courts in the light of reason and
experience - governs a claim of privilege unless any of the following provides otherwise:
• the United States Constitution;
• a federal statute; or
• rules prescribed by the Supreme Court.
But in a civil case, state law governs privilege regarding a claim or defense for which
state law supplies the rule of decision.
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interests to outweigh the need for probative evidence."Jaffee v. Redmond, 518 U.S. 1, 9-19,116 S.
Ct.1923, 135 L.Ed. 2d 337 (1996); Trammel v. United States, 445 U.S. 40, 47,100 S. Ct. 906, 63
L.Ed.2d 186 (1980).
Recognizing that there is a presumption against privileges which may be overcome only
whcn it would achieve a public good transcending the normally predominant principle of utilizing
all rational means for ascertaining the truth, Adkins v. Christie, 488 F.3d 1324 (11" Cir. 2007), citing
United States v. Nixon, 418 U.S. 683, 710, 94 S. Ct 3090, 3108, 41 L.Ed. 2d 1039 (1974)( privileges
are in derogation of the search for truth and should not be lightly created nor expansively construed),
and that the Supreme Court has been "especially reluctant to recognize a privilege in an area where
it appears that Congress has considered the relevant competing concerns but has not provided the
privilege itself," University of Pennsylvania vE.E.O.C., 493 U.S. 182, 189, 110 S. Ct. 577, 582,107
L.Ed.2d 571 (1990)(declining to recognize common law privilege protecting academic peer review
materials), this court declines to recognize a new federal common law privilege over plea
discussions as here urged by the intervenors.
Congress has already addressed the competing policy interests raised by plea discussion
evidence with the passage of the plea-statement rules found at Fed. R. Crim. P. 11(f) and Fed. R.
Evid. 410, which generally prohibits admission at trial of a defendant's statements made during plea
discussions, 6 without carving out any special privilege relating to plea discussion materials.
Considering the Congressional forbearance on this issue -- and the presumptively public nature of
`The policy behind Rule 410 is to permit a defendant to freely negotiate without fear that
statements will be used against him. United States v. Knight 867 F.2d 1285 (11th Cir. 1989).
8
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plea agreements in this District --I, this court declines the intervenors' invitation to expand Rule
410 by crafting a federal common law privilege for plea discussions. See e.g. Adkins v. Christie,
488 F.3d 1324 (11' Cir. 2007Xdeclining to recognize medical peer review privilege in federal
discrimination cases); Weiss ex rel. Estate of Weiss v. County of Chester, 231 F.R.D. 202 (E. D. Pa.
2005)(declining to recognize medical peer review privilege in §1983 action); Johnson v. United
Parcel Service, Inc., 206 F.R.D. 686 (M.D. Fla. 2002Xdeclining to recognize "self-critical analysis"
privilege in Title VII race discrimination case); Aramburu v. Boeing Co., 885 F. Supp. 1434 (D.
Kan. 1995)(same).
Conclusion
Accordingly, the court rejects the privileges asserted by intervenors as bases for maintaining
the correspondence and related pleadings incorporating the correspondence under seal in this
proceeding. Finding the asserted privileges inapplicable, the court fords no legitimate compelling
interest which warrants the continued suppression of this evidentiary material under seal in this
proceeding. See generally United States v. Ochoa-Vasquez,428 F.3d 1015 (1 1 th Cir. 2005Xreversing
order sealing document in drug trafficking conspiracy prosecution in order to protect cooperating
defendants and confidential informants where unsupported by record finding to rebut presumption
of openness of court proceedings),and shall therefore grant petitioners' motion to unseal the
7
On January 22, 2009 Chief Judge Federico Mereno issued an administrative order requiring
complete remote electronic access to all (unsealed) plea agreements extending to all members of the
public and the bar, contrary to the expressed wishes of the U.S. Department of Justice. See In Re:
Remote Electronic Access to Plea Agreements, Administrative Order 2009-2, United States District
Court, Southern District of Florida (January 22, 2009); Marcia Coyle, Federal Prosecutors Want to
Shutter Public Access to Plea Agreements , The National Law Journal, Sept. 17, 2007 (online)(DOJ
asks Judicial Conference to rescind policy of making plea agreements available on line)
9
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correspondence. While the court shall also grant the petitioners' motion to use the evidence as proof
of alleged CVRA violations to the extent it shall allow petitioners to proffer the evidence in support
of their CVRA claims, this order is not intended to operate as a ruling on the relevance or
admissibility of any particular piece of correspondence, a
matter expressly reserved for
determination at the time of final disposition.
It is therefore ORDERED AND ADJUDGED:
1. The petitioners' motion to use correspondence between the United States Attorneys'
Office and counsel for Jeffrey Epstein to prove the violations of the CVRA alleged in this proceeding
[DE 51] is GRANTED to the extent that the petitioners are granted leave to proffer the evidence in
support of their CVRA claims in this proceeding. The court shall reserve ruling on the ultimate
relevance and admissibility of any particular piece of correspondence until the time of final
disposition.
2. The petitioners' motion to unseal unredacted pleadings incorporating the subject
correspondence (DE# 51] is GRANTED, with the following proviso: The petitioners are directed
to file unredacted pleadings, including attached correspondence, in the open court file. However,
before placing the materials in the court file, petitioners are directed to carefully review each page
of the correspondence in question and to REDACT: (I) all references to victims' names or initials;
(2) all identifying information with regard to internal telephone numbers and/or ernails of
government attorneys or employees; (3) all identifring references or names of individuals other
than Epstein relating to uncharged crimes; (4) all correspondence describing and/or attaching
grand jury subpoenas (see US Atty Correspondence Bates 329-356).
10
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3. The petitioners shall file unredacted pleadings in the court file in conformity with the
above prescriptions within TWENTY (20) DAYS from the date of entry of this order.
4. The motion for protective order submitted by Intervenors Black, Weinberg and Leficowitz
[160, 161] and motion for protective order submitted by limited Intervenor Jeffrey Epstein [162],
seeking the continued suppression under seal of correspondence relating to plea discussions between
Epstein's counsel and federal government prosecutorial authorities, are DENIED.
DONE AND ORDERED in Chambers at West Palm Beach, Florida this 18th day of June,
2013.
,en
Kenneth Marta
United States District Judge
cc.
All counsel
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UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
CASE NO. 08-80736-CIV-MARRA
JANE DOE #1 and JANE DOE #2,
petitioners,
vs.
UNITED STATES OF AMERICA,
respondent.
I
ORDER GRANTING PETITIONERS' MOTION TO REQUIRE GOVERNMENT TO
FILE REDACTED PLEADINGS IN THE PUBLIC COURT FILE IDE 150I
ORDER DIRECTING CLERK TO UNSEAL THE GOVERNMENT'S
RESPONSE IN OPPOSITION TO THE MOTION IDE 156]
THIS CAUSE is before the court on the petitioners' motion for entry of order requiring the
government to file redacted pleadings in the open court file [DE 150], together with the
government's sealed response in opposition [DE 156] . For reasons discussed below, the court has
determined to grant the motion and order the parties to place all written submissions in this
proceeding in the open court file, with limited exception for identifying victim information and
evidentiary grand jury materials.
There is a presumptive right of public access to pretrial motions of a non-discovery nature,
whether preliminary or dispositive, and the material filed in connection with such motions. Romero
v. Drummond Co., 480 F.3d 1234 (11th Cir. 2007), citing Leucadia, Inc. v. Applied Extrusion
Technologies, Inc., 998 F.2d 157 (3d Cir. 1993); United States v Amodeo, 71 F.3d 1044 (2d Cir.
1995). The common law right of access to judicial proceedings, including the right to inspect and
copy public records and documents, is not absolute, however. It does not apply to discovery, and
even when it does apply, may be overcome by a showing of good cause, which requires "balanc[ing]
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the asserted right of access against the other party's interest in keeping the information
confidential." Romero at 1246, citing Chicago Tribune Co. v. Bridgestone/Firestone, Inc., 263 F.3d
1304, 1309 (11' Cir. 2001). In balancing the competing interests, the court appropriately considers
"whether allowing access would impair court functions or harm legitimate privacy interests, the
degree of and likelihood of injury if made public, the reliability of the information, whether there
will be an opportunity to respond to the information, whether the information concerns public
officials or public concerns, and the availability of a less onerous alternative to sealing the
documents. Id.
In this case, the government identifies the secrecy of grand jury proceedings, protected
against disclosure under Fed. R. Crim. P. 6(e)(6) as good cause for the filing of its submissions under
seal.' Specifically, the government contends that the submission under seal of its (i)original
memorandum in support of motion to dismiss; (ii) reply memorandum in support of motion to
dismiss for lack of subject mater jurisdiction and (iii) motion to stay discovery pending resolution
of motion to dismiss was appropriately made in conformity with a November 8, 2011 (sealed) order
permitting limited disclosure of grand jury matters in this proceeding issued by United States
District Judge Donald Middlebrooks, the district judge before whom the original grand jury matter
was filed. In addition, the government relies on Fed. R. Crim P. 6(e)(2XB), prohibiting certain
Rule 6(e)(6) provides that "[r]ccords, orders and subpoenas relating to grand-jury proceedings
must be kept under seal to the extent and as long as necessary to prevent the unauthorized disclosure
of a matter occurring before a grand jury." Information is protected from disclosure under Rule 6(e)
if disclosure would tend to reveal some secret aspect of the grand jury's investigation, such matters
as identities or addresses of witnesses or jurors, the subject of grand jury testimony, the strategy or
direction of the investigation, the deliberations or questions of jurors and the like. In re Motions of
Dow Jones & Co, 142 F.3d 496, 500 (D. C. Cir.), cert. denied, 525 U.S. 820 (1998).
2
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individuals (including prosecutors) from disclosing "a matter occurring before the grand jury" as
authority for its submission of the above documents under seal.
The November 8, 2011 order refers to certain collateral evidence gathered in Federal Grand
Jury Proceeding 05-02 and Federal Grand Jury Proceeding 07-103 (WPB) [DE 121-1, page 15],
matters having little, if any, relevance to the issues framed in this proceeding under the Crime
Victims Rights Act. The government's insertion of passing references to this material in its pleadings
before this court does not justify the government's wholesale submission of these filings under seal.
In the first instance, it is unlikely that release of the information referenced in the November 8 order
would compromise the strategy of ongoing federal grand jury proceeding at this juncture.'
However, the court need not address whether grand jury secrecy interests still attach because
the petitioners agree to the filing of redacted documents as a method ofprotecting any possible grand
jury secrecy interests while otherwise making public the government's filings in this proceeding.
The court agrees that this is a less onerous alternative to sealing which is appropriately employed
in this case. See e.g. In re Grand Jury Proceedings, 417 F.3d 18 (In Cir. 2005); In re Grand Jury
Proceedings, 616 F.3d 1172 (10° Cir. 2010).
2
"Grand jury secrecy is not unyielding" when there is no secrecy left to protect. In re Grand
Jury Subpoena, Judith Miller, 438 F.3d 1138, 1140 (D.C. Cir. 2006). Rule 6(e)(6) requires that
records, orders and subpoenas relating to grand jury proceedings remain sealed only "to the extent
and as long as necessary to prevent the unauthorized disclosure" of such matters. Thus, when once-
secret grand jury material becomes "sufficiently widely known," it may "los[e] its character as Rule
6(e) material." In re North, 16 F.3d 1234 (D. C. Cir. 1994).
3
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It is accordingly ORDERED AND ADJUDGED:
1. The petitioners' motion to require the government to file all pleadings and other
submissions in the open court file, with redactions limited only to references to the above-described
grand jury evidence and identifying information pertaining to victims [DE 150] is GRANTED.
2. Within TEN (10) DAYS from the date of entry of this order, the government shall redact
out any references to the grand jury material in question from its various pleadings and other
submissions in this proceeding, signifying the placement of any redactions with highlighted double
brackets, e.g. "[[ ]]," or black-out marker, and shall then re-file the same in the public portion of
the court file. Similarly, the government shall redact out any reference to the identity of the crime
victims, by name or initial, before placement of the substituted pleadings in the open court file.
3. The Clerk of Court is fiirther directed to unseal and place in the public portion of the court
file the government's "Opposition to Petitioners' Motion Requesting an Order Directing the
Government to File Redacted Pleadings in the Public Court File" [DE 156], which submission
contains no descriptive references to the grand jury material in question.
DONE AND ORDERED in Chambers at West Palm Beach, Florida this 18"' day of June,
2013.
Kenneth A. Marra
United States District Judge
cc. All counsel
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