Harrington Global Opportunity Fund, Limited v. BofA Securities, Inc.

Opinion

1 | (| \ Vy \hw) | KA THOMAS F HON. VALERIE FIGUEREDO PARTNER a UNITED STATES MAGISTRATE JUDGE ST DATED: September 3, 2024 DIRECT DIAL: 212-984-7806 The temporary seal requested herein is granted. EMAIL: TFILARDO@wbny.com The Clerk of Court is directed to maintain the BURSTEIN, LLP viewing restrictions on ECF No. 339 until Lexington Avenue September 18, 2024. If CIBC desires to seal that York, NY 10022 information permanently, it should submit by 984-7700 September 17, 2024, a letter explaining the grounds that support sealing, consistent with Lugosch v. Pyramid Co. of Onondaga, 435 F. 3d 110 (2dCir. 2006). The Clerk of Court is respectfully directed to September 1, 2024 VIA ECF terminate the motion at ECF No. 340. The Honorable Valerie Figueredo United States Magistrate Judge United States District Court for the Southern District of New York 500 Pearl Street, New York, NY 10007 Re: Harrington Global Opportunity Fund, Ltd. v. BofA Securities, Inc., No. 21-CV-761 Dear Judge Figueredo: We write on behalf of Plaintiff Harrington Global Opportunity Fund, Limited (“Harrington”) in the above-captioned matter. Pursuant to (i) Rule 21.7 of the Electronic Case Filing Rules & Instructions for the United States District Court, Southern District of New York; (11) Your Honor’s Individual Practices in Civil Cases Section I(g); and (111) the Protective Order, ECF No. 111, we write to request approval to file under seal, and publicly redacted, a certain portion of a letter motion that Harrington previously filed at ECF No. 339 seeking to permit reclassification of an expert. The letter contains the name of a third-party client that CIBC disclosed in discovery and that may be relevant to Harrington’s spoofing allegations. The Protective Order provides that the parties “may designate as confidential for protection under this Protective Order, in whole or in part, any document, information, or material that constitutes or includes, in whole or in part, confidential or proprietary information or trade secrets of the Party or a Third Party to whom the Party reasonably and in good faith believes it owes an obligation of confidentiality with respect to such document, information, or material.” CIBC has designated the identity of this third party as Confidential Discovery. Thus, Harrington seeks to file under seal the reference to the third party in the letter. Pursuant to Your Honor’s Individual Practices in Civil Cases, Harrington is publicly re-filing its letter with proposed redactions and electronically filing under seal a copy of the unredacted letter with the proposed redactions highlighted.

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Warshaw Burstein, LLP September 1, 2024 Page 2 of 3

Finally, the below Appendix lists the parties and their counsel of record who should have access to the sealed documents. Respectfully submitted, WARSHAW BURSTEIN LLP

By: /s/ Thomas Filardo Alan M. Pollack Felicia S. Ennis Thomas Filardo Leron Thumim Meghan Hallinan Matthew A. Marcucci 575 Lexington Avenue, 7th Floor New York, New York 10022 Tel.: (212) 984-7700 apollack@wbny.com fennis@wbny.com tfilardo@wbny.com lthumim@wbny.com mhallinan@wbny.com mmarcucci@wbny.com

CHRISTIAN ATTAR James Wes Christian Ardalan Attar 2302 Fannin, Suite 205 Houston, Texas 77002 Tel.: (713) 659-7617 jchristian@christianattarlaw.com aattar@christianattarlaw.com

cc: All counsel via ECF Appendix The following parties and attorneys of record should have access to the sealed documents: Plaintiff Harrington Global Opportunity Fund, Limited WARSHAW BURSTEIN, LLP Alan M. Pollack Felicia S. Ennis Thomas Filardo Leron Thumim Meghan Hallinan Matthew A. Marcucci

CHRISTIAN ATTAR James Wes Christian Ardalan Attar

Defendants BofA Securities, Inc. and Merrill Lynch Canada, Inc. O’MELVENY & MYERS LLP Abby F. Rudzin William J. Martin

Defendants TD Securities, Inc. and TD Securities (USA) LLC KING & SPAULDING LLP Jamie S. Dycus David Lesser Jenny Pelaez

Defendants CIBC World Markets Inc. (Canada) DENTONS Sandra D. Hauser Stephen J. Senderowitz Timothy J. Storino