email-ausa-goldfarb-final-acknowledgment.eml

1034-00001 · Graystone & Falk LLP · Government Correspondence

email-ausa-goldfarb-final-acknowledgment.eml EMAIL Litigation

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From: Conrad Ashby To: Miriam T. Goldfarb Date: Mon, 6 Mar 2023 10:14:23 -0500 Subject: RE: Caldwell Production — Grand Jury No. 22-GJ-4481 — Acknowledgment MIME-Version: 1.0 Content-Type: text/plain; charset="UTF-8"

Miriam,

Thank you for confirming receipt of Mr. Caldwell's third and final rolling production, as well as the accompanying privilege log. We appreciate the efficient manner in which your office has handled this process throughout.

We will hold this matter in monitoring status on behalf of Mr. Caldwell. Should any further requests arise in connection with Grand Jury No. 22-GJ-4481, please do not hesitate to contact me directly at this email address or by mail at the address below. Mr. Caldwell remains willing to cooperate with the government's investigation should additional assistance be needed.

As you noted, Mr. Caldwell's testimony obligation remains deferred per the parties' prior agreement. We respectfully request that the government contact this firm in advance should it wish to schedule Mr. Caldwell's testimony, so that we may coordinate his availability and address any preparatory matters.

Thank you again for your professionalism and courtesy throughout this process.

Best regards,

Conrad Ashby Partner White Collar & Investigations Calderwood & Harkness LLP 450 Park Avenue, 30th Floor New York, NY 10022 Direct: (212) 554-7183 Email: cashby@calderwoodharkness.com

Matter Ref: 1034-00001

--- CONFIDENTIALITY NOTICE: This email and any attachments are for the exclusive and confidential use of the intended recipient. This communication may contain information that is privileged, confidential, and exempt from disclosure under applicable law, including attorney-client privilege and attorney work product doctrine. If you are not the intended recipient, any dissemination, distribution, or copying of this communication is strictly prohibited. If you have received this message in error, please notify the sender immediately by reply email and permanently delete the original message and all copies. Thank you.

__________________________________________________________________________

From: Miriam T. Goldfarb To: Conrad Ashby Date: Fri, 3 Mar 2023 15:47:09 -0500 Subject: Caldwell Production — Grand Jury No. 22-GJ-4481 — Acknowledgment MIME-Version: 1.0 Content-Type: text/plain; charset="UTF-8"

Mr. Ashby,

This email confirms receipt of Mr. Derek Caldwell's third and final rolling production of documents responsive to the subpoena issued in connection with Grand Jury No. 22-GJ-4481, transmitted under cover of your letter dated February 24, 2023. We have received and logged the final production batch, consisting of 416 documents, Bates-stamped CALDWELL-03218 through CALDWELL-03633, along with the accompanying privilege log identifying 214 documents withheld on the grounds of attorney-client privilege and/or the work product doctrine.

For the record, the cumulative production is as follows:

First Rolling Production (January 20, 2023): CALDWELL-00001 through CALDWELL-01842 — 1,842 documents

Second Rolling Production (February 10, 2023): CALDWELL-01843 through CALDWELL-03217 — 1,375 documents

Third and Final Production (February 24, 2023): CALDWELL-03218 through CALDWELL-03633 — 416 documents

Total Documents Produced: 3,633

We have no further document requests at this time. The government reserves the right, however, to make additional requests for documents or information, and to challenge any privilege assertions set forth in the privilege log, should the need arise as the investigation progresses.

As you are aware, the testimonial component of the subpoena remains deferred pursuant to the parties' agreement. We will contact your office in advance should the government wish to schedule Mr. Caldwell's testimony before the grand jury.

Thank you for your and Mr. Caldwell's cooperation in completing this production in a timely and orderly manner.

Regards,

Miriam T. Goldfarb Assistant United States Attorney Complex Frauds & Cybercrime Unit United States Attorney's Office Southern District of New York One Saint Andrew's Plaza New York, NY 10007 Phone: (212) 637-2214 Email: miriam.goldfarb@usdoj.gov

--- CONFIDENTIALITY NOTICE: This email communication and any attachments may contain confidential and privileged information for the use of the designated recipients named above. This message may contain information that is protected by the deliberative process privilege or that is law enforcement sensitive. If you are not the intended recipient, you are hereby notified that you have received this communication in error and that any review, disclosure, dissemination, distribution, or copying of it or its contents is prohibited. If you have received this communication in error, please notify the sender immediately by replying to this message and delete all copies of it from your system. Thank you.

From: Conrad Ashby  
To: Miriam T. Goldfarb  
Date: Mon, 6 Mar 2023 10:14:23 -0500
Subject: RE: Caldwell Production — Grand Jury No. 22-GJ-4481 — Acknowledgment
MIME-Version: 1.0
Content-Type: text/plain; charset="UTF-8"

Miriam,

Thank you for confirming receipt of Mr. Caldwell's third and final rolling production, as well as the accompanying privilege log. We appreciate the efficient manner in which your office has handled this process throughout.

We will hold this matter in monitoring status on behalf of Mr. Caldwell. Should any further requests arise in connection with Grand Jury No. 22-GJ-4481, please do not hesitate to contact me directly at this email address or by mail at the address below. Mr. Caldwell remains willing to cooperate with the government's investigation should additional assistance be needed.

As you noted, Mr. Caldwell's testimony obligation remains deferred per the parties' prior agreement. We respectfully request that the government contact this firm in advance should it wish to schedule Mr. Caldwell's testimony, so that we may coordinate his availability and address any preparatory matters.

Thank you again for your professionalism and courtesy throughout this process.

Best regards,

Conrad Ashby
Partner
White Collar & Investigations
Calderwood & Harkness LLP
450 Park Avenue, 30th Floor
New York, NY 10022
Direct: (212) 554-7183
Email: cashby@calderwoodharkness.com

Matter Ref: 1034-00001

---
CONFIDENTIALITY NOTICE: This email and any attachments are for the exclusive and confidential use of the intended recipient. This communication may contain information that is privileged, confidential, and exempt from disclosure under applicable law, including attorney-client privilege and attorney work product doctrine. If you are not the intended recipient, any dissemination, distribution, or copying of this communication is strictly prohibited. If you have received this message in error, please notify the sender immediately by reply email and permanently delete the original message and all copies. Thank you.

__________________________________________________________________________

From: Miriam T. Goldfarb  
To: Conrad Ashby  
Date: Fri, 3 Mar 2023 15:47:09 -0500
Subject: Caldwell Production — Grand Jury No. 22-GJ-4481 — Acknowledgment
MIME-Version: 1.0
Content-Type: text/plain; charset="UTF-8"

Mr. Ashby,

This email confirms receipt of Mr. Derek Caldwell's third and final rolling production of documents responsive to the subpoena issued in connection with Grand Jury No. 22-GJ-4481, transmitted under cover of your letter dated February 24, 2023. We have received and logged the final production batch, consisting of 416 documents, Bates-stamped CALDWELL-03218 through CALDWELL-03633, along with the accompanying privilege log identifying 214 documents withheld on the grounds of attorney-client privilege and/or the work product doctrine.

For the record, the cumulative production is as follows:

    First Rolling Production (January 20, 2023):
    CALDWELL-00001 through CALDWELL-01842 — 1,842 documents

    Second Rolling Production (February 10, 2023):
    CALDWELL-01843 through CALDWELL-03217 — 1,375 documents

    Third and Final Production (February 24, 2023):
    CALDWELL-03218 through CALDWELL-03633 — 416 documents

    Total Documents Produced: 3,633

We have no further document requests at this time. The government reserves the right, however, to make additional requests for documents or information, and to challenge any privilege assertions set forth in the privilege log, should the need arise as the investigation progresses.

As you are aware, the testimonial component of the subpoena remains deferred pursuant to the parties' agreement. We will contact your office in advance should the government wish to schedule Mr. Caldwell's testimony before the grand jury.

Thank you for your and Mr. Caldwell's cooperation in completing this production in a timely and orderly manner.

Regards,

Miriam T. Goldfarb
Assistant United States Attorney
Complex Frauds & Cybercrime Unit
United States Attorney's Office
Southern District of New York
One Saint Andrew's Plaza
New York, NY 10007
Phone: (212) 637-2214
Email: miriam.goldfarb@usdoj.gov

---
CONFIDENTIALITY NOTICE: This email communication and any attachments may contain confidential and privileged information for the use of the designated recipients named above. This message may contain information that is protected by the deliberative process privilege or that is law enforcement sensitive. If you are not the intended recipient, you are hereby notified that you have received this communication in error and that any review, disclosure, dissemination, distribution, or copying of it or its contents is prohibited. If you have received this communication in error, please notify the sender immediately by replying to this message and delete all copies of it from your system. Thank you.

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