Dennis v. JPMorgan Chase & Co.

Background

The document is a proposed protocol governing fact and expert depositions in the action. It states that the protocol is subject to the Court’s approval and supplements the Federal Rules of Civil Procedure, the Southern District of New York’s local rules, and Judge Kaplan’s individual rules. It does not alter or replace the case’s protective order or scheduling order.

The protocol identifies Richard Dennis and Orange County Employees Retirement System as the plaintiffs subject to it, and identifies the listed defendant entities in Paragraph 2(b) as the defendants subject to it. Nonparties who are deposed are also subject to the protocol, and a party serving a subpoena must provide the nonparty with a copy.

Deposition Procedures

A witness may generally choose a remote deposition, and a lawyer taking a deposition may also conduct it remotely. During sworn testimony, only the witness’s lawyers may ordinarily be physically present with the witness. The protocol restricts outside communications with the witness while testimony is on the record, while allowing counsel to communicate about privilege-based instructions not to answer and matters permitted by applicable rules.

Remote depositions must be recorded by a court reporter. The parties agree that the reporter may administer the oath remotely and agree not to challenge the oath solely because the reporter is not physically present with the witness or is not a notary public in the witness’s state. The protocol also addresses internet access, cameras, audio, exhibit handling, video recording, live feeds, and procedures for technological problems.

The noticing party generally receives seven hours of on-the-record questioning time. Longer depositions require agreement between the relevant counsel or a court order. The protocol also establishes procedures concerning additional questioning by other parties, the number of depositions, organizational depositions under Federal Rule of Civil Procedure 30(b)(6), scheduling, holidays, objections, attorney conduct, attendance, court reporters, reopening depositions, transcript review, and confidentiality.

Court Action and Classification

Judge Lewis A. Kaplan signed the protocol. The document provides that it remains in effect until the parties agree to modify it or the Court orders a modification. The opinion text does not contain a merits ruling on the underlying claims; it concerns discovery administration and deposition procedures.

Effect

The protocol governs how the covered parties and subpoenaed nonparties conduct depositions in this action. It specifically permits remote depositions subject to the stated safeguards and sets procedures intended to manage questioning time, exhibits, recordings, scheduling, objections, transcripts, and technical difficulties.