ROBERT W. SWEET, District Judge.
Plaintiff Virginia Giuffre ("Giuffre" or "Plaintiff") has moved to compel Defendant Ghislaine Maxwell ("Maxwell" or "Defendant") to produce documents withheld on the grounds of privilege. Based on the conclusions set forth below, the motion is granted in part and denied in part.
Plaintiff filed a complaint in this Court on September 21, 2015, alleging a single defamation claim.
On February 26, 2016, Plaintiff filed the instant motion to compel Defendant to respond to interrogatories to which Defendant has claimed the protection of the attorney-client, attorney-client-agent, and common interest privileges. Oral argument was held on March 17, 2016. During argument, the Court held that in camera review was warranted for purposes of determining whether privilege applied to the documents in question, and Defendant was directed to file any further submissions necessary to establish her privilege claim. On March 31, 2016, Defendant submitted a declaration and exhibits in opposition to Plaintiff's motion, at which point the matter was deemed fully submitted.
Defendant has withheld 99 pages of emails with communications involving various combinations of Brett Jaffe, Esq. ("Jaffe"), Mark Cohen, Esq. ("Cohen"), Philip Barden ("Barden"), Ross Gow ("Gow"), Brian Basham ("Basham"), [REDACTED\] [REDACTED\] and [REDACTED\] The facts that follow summarize Defendant's assertions regarding her relationship to each of these individuals.
Defendant hired Jaffe, then of Cohen & Gresser LLP, to represent her in connection with legal matters in the United States at some indeterminate point in 2009. Def.'s Decl. of L.A. Menninger in Supp. Def.'s Resp. to Pl.'s Mot. to Compel Production of Docs. Subject to Improper Privilege, ECF. No. 47, Ex. E, ¶ 9 ("Maxwell Decl."). Defendant does not set forth an end date to Jaffe's representation, but swears that when Jaffe left Cohen & Grosser, Mark Cohen continued as her counsel.
Defendant hired Barden of Devonshire Solicitors on March 4, 2011 to represent her in connection with legal matters in England and Wales.
Defendant communicated with [REDACTED\] pursuant to a common interest agreement between them and their respective counsel.
Defendant has not established the nature of her relationship with Basham.
Defendant's withheld emails can be organized as follows
1. Communications with Jaffe on March 15, 2011, #1000-19.
2. Communications with Gow on January 2, 2011, #1020-26.
3. Communications with Gow and Basham on January 2, 2015, #1027-1028.
4. Communications with Barden
5. Communications with Barden and Gow
6. Communications with [REDACTED\]
7. Communications with [REDACTED\] on January 6, 2015, #1030-43.
Some emails were forwarded or carbon copied ("CC'd") later in the chain, leading to some overlap and duplication. Whether one party or another was a direct recipient or a CC'd recipient of an email is not significant for purposes of the privilege analysis, as the waiver issue is determined by the purpose of the third-party's inclusion in the communications, not necessarily whether the communication was directed toward them by copy or direct email.
Defendant claims the attorney-client privilege applies to groups 1 and 5, the attorney-client-agent privilege applies to groups 2 through 4, and the common interest privilege applies to groups 6 and 7.
Defendant has invoked the protection of privilege for communications with New York, counsel Jaffe and London solicitor Barden. Defendant does not dispute that the communications with Jaffe are governed by the privilege law of New York State. Def.'s Supp. Mem. of Law. in Resp. to Pl.'s Mot. to Compel Production of Documents Subject to Improper Claim of Privilege, ECF No. 46, at 3 ("Def.'s Supp. Opp.");
Defendant has not specified whether she seeks to withhold documents containing communications with Barden subject to the British legal-advice or litigation privileges. Rather, Defendant's privilege log lists the "attorney-client privilege" with respect to the Barden communications and broadly asserts that all privileges asserted are "pursuant to British law, Colorado law and NY law." Privilege Log at 1. Defendant argues "Ms. Maxwell's communications with Mr. Barden should be construed pursuant to British law." Def.'s Supp. Opp. at 4.
It is only in Defendant's in camera filing that Defendant has provided any legal argument supporting an assertion of protection under British privilege law.
Defendant's claim is based on two suppositions: first, that "[t]he UK litigation privilege protects communications to and from a client and her attorney
Lord Taylor's opinion in
This precarious support provides an insufficient foundation for the Court to apply foreign law to Defendant's claims.
Moreover, at least one New York court has found that British privilege law is "apparently similar" to New York's.
The privilege analysis under UK law parallels the analysis under New York law, requiring (i) a communication between an attorney and client, (ii) made in the course of the representation, (iii) for the purpose of providing legal advice.
Finally, applying the choice of law test results in application of New York law. As has been held in this district:
The Court has previously held; that New York has the predominate interest in this case.
The purpose of the attorney-client privilege is to facilitate and safeguard the provision of legal advice; "to ensure that one seeking legal advice will be able to confide fully and freely in his attorney."
N.Y.C.P.L.R. § 4503(a)(1).
The privilege only applies to attorney-client communications "primarily or predominately of a legal character."
The presence of a third party during communication or disclosure of otherwise confidential attorney-client communications to a third party waives the privilege absent an exception.
Similarly, the common interest privilege extends the attorney-client privilege to "protect the confidentiality of communications passing from one party to the attorney for another party where a joint defense effort or strategy has been decided upon and undertaken by the parties and their respective counsel."
Despite their shorthand names, neither the agency privilege nor the common-interest privilege operate independently; both may only exist to pardon the presumptive waiver that would result from disclosure of otherwise privileged attorney-client communications to a third party when that third-party is included under the umbrella of the agency or common-interest doctrines.
The party asserting protection bears the burden of proving each element of privilege and a lack of waiver.
Consistent with the aforementioned standards, to survive the instant motion to compel, Defendant must establish (1) an attorney-client relationship existed, (2) the withheld documents contain a communication made within the context of that relationship, (3) for the purpose of obtaining legal advice, and (4) the intended confidentiality of that communication, and (5) maintenance of confidentiality via a lack of waiver or an exception to waiver such as extension via the common interest privilege or the agency privilege.
"An attorney-client relationship is established where there is an explicit undertaking to perform a specific task."
The email communications in this group, #1020-26, are solely between Gow and Defendant regarding release of a public relations statement in response to inquiries from journalists (contained as forwarded messages). No counsel is included, and Defendant provides no argument relevant to the application of privilege to emails devoid of any attorney-client communication. The only mention of content of a legal character refers to awaiting content from Barden, indicating that any communication with Barden was for the purpose of facilitating Gow's public relations efforts. Regardless, without an attorney-client communication to facilitate, it cannot be said that Gow's presence and input was necessary to somehow clarify or improve comprehension of Defendant communications with counsel, as the standard requires.
These emails, documents #1027-28, are between Defendant and Gow, with Basham CC'd. Basham was therefore a third-party privy to these communications between Defendant and Gow. Defendant has not identified Basham. Therefore, Defendant has failed to establish an attorney-client relationship, an attorney-client communication of a predominately legal character, and lack of waiver. Accordingly, documents #1027-28 are not privileged and Defendant must produce these emails.
Defendant submits in her supplemental reply and in camera submissions that these communications, #1045-51, are non-responsive as they contain only communications between Defendant and Barden and "[n]o other party participated in this email correspondence." Menninger Decl. ¶ 11; Supp. Reply at 5 n. 2. Documents #1045-46 contain communications between Defendant and Barden; however, documents #1047-51 include Gow (and contain forwards from others). Documents #1047-51 will be addressed
Defendant has submitted that Barden has been her "UK attorney . . . for many years in connection with potential defamation lawsuits against the UK press." Menninger Decl. in Supp. Def.'s In Camera Submissions ¶¶ 9-10, Maxwell Decl. ¶¶ 1-5. Defendant alleges she hired Barden to represent her regarding these matters and Barden continues to represent her. Maxwell Decl. ¶ 1.
Defendant has sworn that all of her communications with Barden were for the purpose of seeking legal advice. However, the content of the communications addresses matters not legal on their face (specifically, a press statement).
Notwithstanding, the Court must consider the communications in their full context.
Defendant claims the protection of the attorney-client and agency privileges apply to communications with Barden and Gow.
Defendant argues "Gow is the agent for Ms. Maxwell," thus taking advantage of the principle that attorney-client privilege may apply to communications between an agent and the client's counsel. Def.'s Supp. Opp. at 8. The test dividing agency (and thus privilege protection) and lack thereof (and thus waiver) is the necessity of the third-party in facilitating the confidential communications between counsel and client.
Defendant's citations with respect to this issue are inapposite, referring to agents who more explicitly facilitated attorney-client communication.
Defendant has failed to positively establish that Gow was necessary to implementing Barden's legal advice. Defendant repeatedly refers to Gow as an agent and references that Gow provided information to Barden at Defendant's requests "so as to further Mr. Barden's ability to give appropriate legal advice." Defendant, as cited above, relies on fair-comment law to prove Gow's necessity in the relationship with Barden. Def.'s Supp. Opp. at 9. However, at best, this establishes only that Gow's input and presence potentially added value to Barden's legal advice. "[T]he necessity element means more than just useful and convenient but requires the involvement be indispensable or serve some specialized purpose in facilitating attorney client communications."
The structure of fair comment law may require counsel to engage in public relations matters by providing a comment to press, but it does not follow that counsel is unable to communicate with his client on that issue without a public relations specialist. Advice on the legal implications of issuing a statement or its content is not predicated on public relations implications. Likewise, it has not been established that the Defendant was incapable of understanding counsel's advice on that subject without the intervention of a "media agent" or that Gow was translating information between Barden and Defendant in the literal or figurative sense. That Gow issued the statement drafted by Barden or signed a contract with Defendant speaks to his intimate involvement, but not to his necessity. "[W]here the third party's presence is merely useful but not necessary, the privilege is lost."
Similarly, Defendant has failed to establish that the predominate purpose of the communications in question was the ultimate provision of legal advice. Throughout the communications, Gow is involved for public relations matters. [REDACTED\] Like several other exchanges involving Gow, this line of emails was prompted by an inquiry from a reporter. [REDACTED\] These are not the necessary elements or evidence of facilitating legal advice between client and counsel.
To be sure, some legal advice is included in the communications between Barden, Defendant, and Gow. However, as the quotes above demonstrate, both Barden and Gow provide Defendant with what amounts to public relations, not legal, advice. It is something between business and personal advice, neither of which are privileged even when coming from counsel.
It has not been established that Gow's input on public relations matters was necessary for Barden to communicate with Defendant or provide legal advice, or that the primary, purpose of these communications was the provision of legal advice. Consequently, Defendant has failed to demonstrate the elements necessary to sustain the protection of privilege with respect to the communications with Barden and Gow in documents #1044, 1047-51 (as set forth above), 1052-58, 1063-64, and 1088-90 Defendant must produce these emails.
Defendant claims the protection of the common interest privilege applies to communications with [REDACTED\] specifically encompassing documents #1029, 1055-58, and 1059-83. These communications with [REDACTED\] include communications with others, and thus each batch will be addressed separately.
The communications in each of these chains include messages between Defendant, Barden, and Gow that were ultimately forwarded to [REDACTED\] As reasoned above, attorney-client privilege does not apply to the underlying emails between Defendant, Barden, and Gow. Accordingly, they cannot be rehabilitated by the common interest privilege. Thus, this field of documents and the common interest claim with [REDACTED\] is narrowed to the communications with [REDACTED\] found on #1055, #1063, and #1088, as the remainder of the documents in question have already failed to qualify as protected under the attorney-client and agency privileges.
To assert the common interest privilege, the party claiming its protection must establish (i) the documents in question are attorney-client communications subject to the attorney-client privilege, (ii) the parties involved share a common legal interest, and (iii) "the statements for which protection is sought were designed to further that interest."
As set forth above, the underlying communications that were sent to [REDACTED\] in this batch all fail to qualify as protected under the attorney-client privileges, because Defendant has failed to meet the predominance requirement and failed to demonstrate that Gow's inclusion did not constitute waiver pursuant to the agency privilege. The emails between Defendant and [REDACTED\] (excluding the forwarded communications that include Barden and Gow) do not themselves include counsel or even legal advice, and thus cannot themselves qualify as attorney-client communications, let alone privileged communications. Accordingly, these emails fail to meet the first element of the common interest privilege. Documents #1055-58, #1063-64, and #1088-90 must be produced in their entirety.
Document #1059 includes messages between [REDACTED\] and [REDACTED\]. Unlike the emails including messages between Defendant, Barden, and Gow, the messages between [REDACTED\] merit an inquiry regarding the presence of a privileged attorney-client communication.
Defendant swears [REDACTED\] represented [REDACTED\] "span[ing] several years, including 2015," when the email in question was sent. Maxwell Decl. ¶ 14. Defendant has not produced an affidavit from [REDACTED\] attesting to this fact or any representation agreement. However, the communications contained in Defendant's in camera submissions themselves demonstrate an attorney-client relationship existed. [REDACTED\] refers to himself on January 12, 2015 as [REDACTED\] primary counsel" in the present-tense and with respect to specific ongoing legal matters. Accordingly, an attorney-client relationship is established between [REDACTED\] and [REDACTED\] The communication from [REDACTED\] in document #1059 also demonstrates it was made within the context of that relationship, both topically and chronologically. Defendant's affidavit establishes her intent that her communication with [REDACTED\] regarding legal advice was to be kept confidential. Maxwell Decl. ¶ 16.
The law distinguishes between a common legal defense interest, which cloaks related communications in privilege, and a common problem, to which the privilege does not apply.
Finally, the communication in document #1059 is logistically related to furthering the common interest between [REDACTED\] and Defendant. Accordingly, document #1059 is privileged.
Documents #1060-61 include messages between [REDACTED\] which [REDACTED\] then forwarded to Defendant. Defendant has sworn understands [REDACTED\]" Maxwell Aff. ¶ 15. It is not established when those years were, or even that the period of time encompassed the communications in question. This belief is completely uncorroborated, and no content within the communications tends to show that [REDACTED\] was acting in a representative capacity for [REDACTED\] To the contrary, the in camera submissions with [REDACTED\] show him to be acting more likely on his own behalf and in his own interest, discussing articles or statements he intended to publish to protect his own rights and reputation. In document #1060-61, [REDACTED\] forwarded this information with a single word of warning to Defendant: "Careful[.]" Like several other elements of the in camera submissions, this communication tends to demonstrate that [REDACTED\] had a personal interests in conflict with [REDACTED\] at the time of the communications in question, arguably precluding an attorney-client relationship. Defendant has therefore failed to demonstrate any element of attorney-client privilege applied to the communications between [REDACTED\] and [REDACTED\] Accordingly, there is no underlying attorney-client communication to which the common interest privilege could attach, and documents #1060-61 must be produced.
Each of these documents concerns emails solely between Defendant and [REDACTED\] As reasoned above, Defendant and [REDACTED\] were in a common interest relationship for the purposes of these emails. However, the common interest privilege does not apply to all communications between two parties sharing a common interest; a privileged attorney-client communication must still be involved.
Documents #1067-1073 and #1074-79 are mostly duplicative. In the #1074-79 series, communications between Barden, Defendant and Cohen and between Barden and [REDACTED\] are forwarded. This same series is duplicated in #1067-73, with an additional email at the most recent end of the chain between [REDACTED\] and Defendant.
As discussed above, attorney-client relationships have been established for the relevant time periods between Defendant and Barden and between [REDACTED\] Defendant submits Cohen, of Cohen & Gresser, LLP, continued as her counsel after Jaffe left Cohen & Gresser. Maxwell Decl. ¶ 11. Defendant has submitted a firm profile showing Cohen to be a Partner at Cohen & Gresser. Maxwell Decl., Ex. C. Cohen is copied on a single email from Barden containing legal advice in the context of the purposes for which Defendant hired Barden and, originally, Jaffe. The content of the email supports Defendant's contention that Cohen represented her in the United States, while Barden represented her interests in the UK. Accordingly, Cohen's presence did not waive attorney-client privilege. Privilege is therefore established to the underlying communications that were ultimately forwarded to [REDACTED\] Likewise, as reasoned above, Defendant was in a common interest relationship with [REDACTED\] with respect to advice relating to [REDACTED\] Consequently, this entire string of communications is privileged.
Defendant's privilege log cites document #1099, an email between Defendant and [REDACTED\] as responsive but protected by the common interest privilege. This document was not provided for in camera review. Accordingly, Defendant has failed to meet her burden of establishing the elements of privilege apply and this document must be produced.
Documents #1030-43 contain a single email from Defendant to [REDACTED\] containing a lengthy attachment of a transcript [REDACTED\] As reasoned above, Defendant has failed to establish [REDACTED\] were in an attorney-client relationship. Defendant has not pled any information regarding [REDACTED\] or relating to the communications included in the attachment. Therefore, no underlying attorney-client privilege has been established and the common interest privilege cannot apply. These documents must be produced.
For the foregoing reasons and as set forth above, Plaintiff's motion to compel is granted in part and denied in part. Defendant is directed to produce documents as set forth above on or before April 18, 2016.
This matter being subject to a Protective Order dated March 17, 2016, the parties are directed to meet and confer regarding redactions to this Opinion consistent with that Order. The parties are further directed to jointly file a proposed redacted version of this Opinion or notify the Court that none are necessary within two weeks of the date of receipt of this Opinion.
It is so ordered.