UBS Financial Services Inc. v. Bounty Gain Enterprises, Inc.

Filing 178

ORDER DENYING PLAINTIFF'S MOTION TO PRECLUDE TRIAL TESTIMONY BY DEFENDANT'S EXPERT, GENE CARASICK: denying as moot 159 Plaintiff's Motion in Limine and denying 160 Plaintiff's Motion in Limine. Signed by Magistrate Judge William Matthewman on 4/14/2017. (kza)

UN I
TED STATES DI
STRI COURT
CT
SOUTHERN DI
STRI OF FLORI
CT
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CA SE N O .1 81 - - A TTH EW M AN
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O R DER DEN Y I G PLAI TI S M O TI N TO PR EC LU DE TRI L TE STI O NY BY
N
N FF'
O
A
M
DEFEN D A N T' EX PE RT.G E NE CA R A SI K
S
C
T H I C A U SE i bef e t Cour upon Pl ntf , U BS Fi nci Se v ce , l '
S
s or he
t
ai if
na al r i s nc.s

(S
C
UBSFS' Moton t Prcl Tra Te tmony by Dee nts Expe q Ge Caa ik
'
)
i o e ude il si
fnda '
r
ne rsc

(M oin' ( 1 0 . Dee a t Bo ny Gan En ep ie ,l .(l u t Gan' fld a
S to ' DE 6 11 fnd n , u t i tr rs s nc s ny i' ie
f
)
Bo
)
Repo s i Op o iin ( 1 2 a d UBSF tld aRe y ( 1 6 . Thematri n w rp
s n e n p sto DE 7 1 n
S ie
pl DE 7 1
te s o ie
f r vi .
or e ew
1
.

BA C K G R O U N D

On D e m be 24, 201 U BSFS fl a Com pl nt f De ar t y J m e and
ce r
4,
ied
ai or cl a or udg nt

lj n tv Reifg 1 a an t u t Gana srigt a i i n t e ur dt s b t oFI
n u cie l DE 1 g is Bo n y i se t h t t s o r q ie o u mit NRA
e
n
a bir ton w ih Bount Ga n be us Bount Gai w a ne a c t er of U BSFS. A fe an
r ta i
t
y i ca e
y
n s ver us om
tr

e ie tayh ai , P ei naylj n to wa e tr do No e e 1 2 5 S eDE 5 .A
vd n ir e rng a r lmi r nu cin s n e e n v mb r 9, 01 . e
9
be c tilo te p r n n ij n tv rle a d d caao y j dg n s u h b UBS i
n h ra n h ema e t nu cie eif n e lrt r u me t o g t y
FS s
s he e f t s- y t i c e rbe r i on M a 22, 7. Se D E 1
c dul d or he da ral al nda gim ng
y
201
e
53.
Thr
ough t s M o i n i Li i U BSFS s ks t pr l G e Car s c f om t tf ng
hi
t o n m ne,
ee o ec ude ne
a i k r es iyi
lBot Doc tEnresl5 a 1 a rt bet i ntc M oton fld i duplcaebyeror The efr t
h
ke ti 9 nd 60 ppea o he de ial i ie n
it
r .
r o e,he

Co r wil e ytefrtMoing 1 9 a mo t n c n ie temei ofh s c n Moin( 1 1i t s
u t ld n h is to DE 5 ) s o a d o sd r h rt te e o d to DE 60 n hi
s
Or .
der

a tilrg r i FI
t ra e adng NRA Rul 1 2 02 g E 160,p 1. Pli tf ag e t a t t a e 1w
e 20. D
j anif r u s h t he s s a
c
.

r e v t t Cour a de ii n a t whehe pa test a diput ar r r d t a bir t '
es r es o he
t ny c so s o
t r ri o
s e e equie o r taei'
t r f e M r Car sc s t tmony i i oper bec us he ca
he e or
. a ik' esi
s mpr
a e
nnot die t t Cour t is
r c he
to t

c n lso o t ds o iieis e i t i c s . g 1 0 p.2 . Ad iin ly UBS a g e
o cu in n he ip stv su s n hs a e DE 6 , ) dto al, FS r u s
t tM r Ca a ik i unqualfed t ts iy a a e r i r ga d t FI
ha . r sc s
ii o e tf s n xpe t n e r o NRA Rul 1
e 2200 and M r
.
Ca asc s t tmony woul be ir lva be aus M r Ca asc does not a e S he f cual
r ik' esi
d
ree nt c e . r i k
cc pt ç a t
t
a l i a lgal sa r a i bl t deenni ng c t e sa us unde FI
nayss nd e
t nda d pplca e o t ni usom r t t
r NRA Rul
e
1
2200. I
' d
7

I o
n pposton,Bount Gan mai ai t tt Cour s d a l M r Ca asc t t siy
ii
y i
nt ns ha he
t houl low
. r i k o e tf

a tila he i h g l q ai e a a e p r i ti matra d t s be t o wh c h i
t ra s s i hy u li d s n x e t n h s te n he u j cs n ih e s
t
a i paedt tsiywoul noti nnisbl i deupont pr nceoft sCour.( 1
ntci t o e tf
d mpe si y mpe
he ovi
hi
t DE 72,
p.31 Bount Gan c e t tUBSFS'own r tle twines i t s c e,Da d
.
y i ontnds ha
ebuta xper t s n hi as
vi
Pa ukats hasa t t d t t qualfc tonsofM r Ca asck i a s r e ca e 1 M or ove ,
ul ii,
tese o he
ii a i
. r i n epa at s . d.
e r
ac or ng t Bount Gai M r Ca asck ha t m br ce t l l a iabl sa r a
c di o
y
n, . r i
s ' a d he ega pplc e t nda ds nd
e

r lv n fcs' ( 1 2, 6 .Fial, u t Gan camst a, e a s t r i noj r i ti
ee a t a t. DE 7 p. 1 n l Bo n y i li h t b c u e hee s u y n h s
'
y
c s , h r i n ne d t is lt t tiro fc fo u d l i l e ta e p r tsi n . (
a e t ee s o e o n uae he re f a t r m n uy nfu n il x e t e tmo y DE
1 2,p 9 . Bo ny Gan rq e t t a t Co r d n UBSFS'Mo in a d e trs ncins
7 .)
u t i e u ss h t he u t e y
to n n e a to
a ns UBSFS a orisc e under28,U. C j 1 27 f ç e s bl a ve tousy
gai t
nd/ t ouns l
S.
9 or s a ona y nd xai l
unr
m uli yi t pr e ngs w ih t f i ous f nda i l s M oton.' 1
tpl ng he oc edi
t he rvol , ou ton-es
i ' d.
I
I.

LEG A L STAN D A RD

Pur ua tt Fe a R ul ofEvi nc 702,
s n o der l e
de e
A w ines w ho i qua i i d a a expe tby know l dge,s l,e
t s
s lfe s n
r
e
kil xpere ,
i nce
tai ng, e a i m a t s i y i t f m ofa opi on orot r s i:
r ni or duc ton y e t f n he or
n ni
he wi e f
2UBSFS alocli st ti t sCour pr cl sGe Ca a i fom t tf ngt nt ew ilbenonee f t i
s am ha f hi
t e ude ne r sck r esiyi he her l
d or her

rb t l x e t te sDa dP uu at ,otsiy ( 1 0 p l.
e ut e p rwi s, vi a lk ii t etf . DE 6 , . )
a
n
s
2

( )t e p r' s in i c tcmia,o o h rs caie k wld e wil
a he x e ts ce tt , e l c l r t e pe ilz d no e g l
i
hel t ti roff tt unde sa t e de ort de e m i a f c i
p he re
ac o
r t nd he vi nce o t r ne a t n

is ( t t tmony i ba e on s fcent f t or daa; () t
sue; b) he esi
s sd
ufii acs
t c he
tsi
etmony i t pr tofrla e prnci esa mehods a ( t
s he oduc
eibl i pl nd t ; nd d) he
expe tha r la y a i t prnci es a m ehods t t f c s oft
r s e ibl ppled he i pl nd t
o he a t
he
CaSC.

dk e 702 r quie dititc t t e ur Sha an e r' t si ony bot r t on a r la e
t ul
l
e r s src ours o ns e t t
xpe ts e tm
h ess
e ibl

f ndai n a i r l va t t t k a ha ''Be ne v Car v Cor ,632 F.Supp. 1
ou to nd s e e nt o he as t nd.' r r . ni al p.
2d 208,

1 0( D. a 2 0 )( u tn Da b r v M e r lDo Ph r , n .5 9U. 5 9 5 7( 9 3 )
21 S. Fl. 0 9 q o ig u e t . rel w a m.I c, 0 S. 7 , 9 1 9 ).
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e t r ui t
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y
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e r m nt r
t r t he xper
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lfed o esiy ompe e l r r ng t
t nty ega di he
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te
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cond, t m e hodol y us d m us be r la e a
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pat

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e nc, 3 3d 329, 335 1 t r 0)
de
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hes lre
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e
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Ri v Che nov I .400F. 1 1 ( 1hCi.
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.
i aube t r quies t t t i l cours a t a ç t ke pe s t e ur t t s ul i
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D
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3d
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l
u rla l e p r tsi n d e n tra h tej r ' Kipati ,613 F. at 1335. ç-- ti
n eibe x e t e tmo y o s o e c h u y. l rck
'
c tm us t a ce ti t ta e r,whehe ba i t tm ony upon pr es i lsudis or
our
t m ke ran ha n xpe t
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oys i t c toom t s m e l vel of i elec ua rgor t t
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c r trz t prctc ofanexpe ti t r e ntte1 ''f ( i Kumho TieCo.Lt
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r n he elva 5 d.' #. quotng
r , d.
v Car chae,5 U. 1 1 ( 999 ) TheElve h Cic tsDaube tsa r i fe bl
. mi l 26 S. 37, 52 1 ).
e nt rui'
r tndad s lxi e
a a f ds br d l tt t t ti lc t H or il v Cook 1 .N o.08nd f or
oa a iude o he r a our .
r lo .
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7 8 9 , 2 3 S. Fl. u e , 01 )j d me t f ' 6 d. p 8 4 1 t r 2 6 .
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u t r wih n h ra,h src o r l j ys x rmey r a ic ei n o d t
e

expe tt tmony bec us t r a eno l e c
r esi
a e he e r
ong r once ns a tt pi a ba r geofque to bl
r bou dum ng
ra
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s in ii e d n e o aj r .' Exi Brc el LLC v Ba ie ,SA. CAS NO.0 - 20 5
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i

d rn aj r til r ge tyrd c d' 1 .a *
u ig u y ra ae r al e u e . d t 4.
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11
1.

DI
SCU SSI N
O

Fis,M r Car sc a ar t qua iy as a e r co pe e t t siy r ga di t
r t . a ik ppe s o
lf
n xpe t m t nt o e tf e r ng he

ma trhe i e t addr s . I Remigt v Ne i Secu iis Cor ,No.1 6038 C1
te
ntnds o
es n
n on . wbrdge
rte
p.
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201 W L 50515 ( D.Fl Feb.7,201 ,whih i ved pli ifc t s who wee
4
3 S. a.
4)
c nvol
antf- usomer
r
a lge y c r d e e sve f e by t i f mer s c ii s br r de l r t c thed t t
le dl ha ge xc s i e s
her or
e urte oke - a e , he our l ha

dGe e Ca a ik wa q ai d t tsiy a a e pe twin s n r g lto o te sc rte
t n ) r sc s u lfe o e tf s n x r t e so e u ain f h e u i s
g
i
i ty. I a *3. Theco tr a one t tM r Ca asck,t s me e r ofe ed i t sc e,
ndusr ' d t
'
ur e s d ha
. r i he n
xpe t f r n hi as
ha e re e wor ng at FI RA f eght e ye r a pr e utng ove 400 dici i r
d xpe i nc
ki
N
or i e n a s nd os c i
r
s plna y
a tonsr a i t am os eve y as c ofFI
c i eltng o l t r pe t
NRA a SEC r l sa r gul tons f M or ove ,
nd
u e nd e a i . J.
e r
t r tal e t i t t c e t s
he ebu t xper n ha as - he ame r ta e r wines i t s ca e, Da d
ebu tl xpe t t s n hi s
vi
Pa ukaii t tf e t t he ha t hi s r r f M r Car s ck.
ul t s es ii d ha
d he ghe t ega d or . a i

The c tt r al o
our he e s

f
ound t tM r Ca asc s lck ofi ve e i ha i t s cii t ofis i ved i
ha . r ik' a
nvol m nt n ndlng he pe fc ype s ue nvol
n

t a c s di n ti c h se p rie b c u eçgl e p r ma tsiy r g r i n ro s b
h t a e d o mpa t i x e t e a s tan x e t y etf e adng ar w u s
t cs w ihi hi br
opi
t n s oader expertse not ihs andi a l of s fc exper ence w ih t
i
w t t ng ack
pecii
i
t he

na r e a e a l ashi t tm ony w o d s ilas i ta ti roff t' 1 a *4.
r ow r r a s ong
s esi
ul t l s s r e
ac . d. t
'
He e, i sm ia f hi n, t Cour fnds t t M r Ca a i k, w ho pr ec ed ca e a
r n i l r as o he
ti
ha
. r sc
os ut
ss t
FI R A,m a of e t tm ony i r ga d t FI RA Rul 1
N
y f r es i
n e r o N
e 2200. U B SFS a gues t M r Ca a i k
r
hat . r s c
doe not ha s f c ent e r e e r ga di c t er s a us unde FI R A Rul 1
s
ve uf i i
xpe i nc e r ng us om
tt
r N
e 2200 t
o
4

/

t siy a til Howe r ast cour i Remi gt f
e tf t ra .
ve , he
tn
n on ound,a expe tc n t tf r r ng na r
n
r a esiy ega di
row
s t c wihi hi br ra e ofe rie. 1 a *4. Alhough M r Ca a ik t tte a hi
ub-opi s t n s oade r a
xpe ts d. t
t
. r sc esii d t s
de ii t the has ne t s ii d a a t i l i r r t FI R A Rul 1
poston ha
ver e tfe t ra n ega d o N
e 2200 a di no ha
nd d t ve

a r e i r vi wi a o ng,or i e ntng FI
ny ol n e e ng, ppr vi
mpl me i
NRA Rul 1
e 2200 or i pr c s ,he
t ede es or
wor d a FI
ke t NRA f m or t n e g e yea s pr e i ca e . The e or M r Ca a ik'
or
e ha i ht en r os cutng s s
r f e, . r sc s
expe i epr vi sa r as
renc o de e onabl ba i f hi pr e t si ony on FI RA Rul 1
e ss or s opos d e tm
N
e 2200. 1 a
d. t
#3. TheCour wildeenni wha wei ,i a t a f d t e r t si ony afe hea i al
t l t ne
t ght f ny, o for he xpe t e tm
tr rng l
t t i lt s i ony a r vi w i al t e de
he r a e tm
nd e e ng l he vi nce.

M o e v r a dic se a o e b c u eti i ab nc til te ei n rs ta t ejl
ro e , s s u sd b v , e a s h s s e h ra,h r s o ik h t h t y
r
wilbec us d ori o ry i l nce by M r Ca asc st tm ony.The Cour wilm a is
l
onf e
mpr pe l nfue d
. r i k' esi
t l ke t
own de e m i ton a t whos opi onsa epr ra whi wines esar c edi e.
t r na i s o
e ni
r ope nd ch t s e r bl

Re e l i PittOve s as I
c nty, n ce
r e , nc.v.Heleta Tr s,13- 088- Vv i u t 81 Cl KAM ( D.Fl J
S. a. an.

4,201 ,t ewa a smia moin i lmi tld prort t be h til Durng t be
7) her s i lr to n i ne ie i o he nc ra. i he nch
ti l t c t a l e t pa t of e i t e r wines t q s i t w ines on hi
r a , he our low d he r y f r ng he xpe t t s o ue ton he t s
s

qua i a i a t nde hi asa expe twines a t n a l d t opposng pa t v rdie
lfc tons nd e r m
n
r t s nd he lowe he
i
ry oi r
e
xami ton oft wines . TheCour f
na i
he t s
t ound t tt wines ha s fce e riei t a ea
ha he t s d ufi int xpe ts n he r
t opi on t is ofas oc aed pe s unde t FI
o ne he s ue
s it
r on
r he NRA Rul des t t f tt tt e r
es pie he ac ha he xpe t
wines di nothav e re t tf ng on t s cii na
t s d
e xpe ince esiyi
he pe fc now a ea ofe rie i t tc e.
r
xpe ts n ha as
Si ia l he e a t i l t Cour w il a l B o t G a n t que ton M r Ca as c on hi
m l r y r , t r a , he
t l low
un y i o
si
. r ik
s
qua ii a i a t nderhi a a e r w ine s a t n alow U B SFS v r di e e m i ton
lfc tons nd e
m s n xpe t t s nd he l
oi r xa na i
of M r Ca a i k, i ne s ar The Cour w il be t fna a bie of t ad i s biiy of a
. r s c f ce s y.
t l
he i l r t r
he m s i lt
ny
e
xper t tm ony a ti land t w ei , fa a s gne t t e
t es i
t ra
he ght i ny, s i d o he xper t s i ony.
t e tm
Se ond,M r Car s c s t tm ony r r ng FI RA Rul 1
c
. a i k' es i
ega di
N
e 2200 i nota i pe m i sbl
s
n m r si e
l ga c l i U BSFS cl i s t t M r Ca as c s d not be a e t t s iy a t t l gal
e l onc us on.
a m ha
. r i k houl
bl o e tf s o he e

i ia i of t c
mplc tons
he onduc a is i t s ca e be a e t Cour i t s e s c of t
t t s ue n hi s c us he
t s he ol our e
he
a iabl lw. W hie UBSFS i c r tt tt Cour i t s e s ceoft a i a el w i
pplc e a
l
s orec ha he
t s he ol our
he pplc bl a n
t s c s ,M r Ca asc wilt siy ast hi i e pr a i of FI
hi a e . r i k l e tf
o s nt r etton
NRA Rul 1
e 2200 a how t t
nd
ha
i t r e a i a i s t t f c ua cic s a s of t s c e. M r Ca asck' i e pr t ton of
n e pr t ton pple o he a t l r um t nce
hi as
. r i s nt r e a i

FI
NRA Rul 1
e 2200 m a a ss t Cour i unde sa ng how t Rul i i e m e e a i
y s it he
tn
r tndi
he e s nt r t d nd n
de e m i ng ce t n f c sa is i t stil Ast c ti Re n on poi e out EFI
t r ni
rai a t t s ue n hi ra .
he our n mi gt
nt d , ' NRA'
S
r l s..r notl w,butr t rt r e ofa prvae or ni ton,t an e r ' i er ea i
u e .a e
a
a he he uls
i t ga za i hus
xpe ts nt pr tton
of t r es does note r h upon t C o ts dom ai ' Re i on,201 W L 5051 a *5.
he ul
nc oac
he ur '
n.' m ngt
4
53 t
The Cour w ilnotpe tany alege y i pr
t l
nui
l dl m opere r t tm ony t e r c upon t Cour '
xpe t es i
o nc oa h
he
ts
dom a n.
i
I .
V

C O N C LU SI N
O

The e or UBSFS has s
r f e,
hown by a pr ponde a e oft e de e t tM r Ca asc i
e
r nc
he vi nc ha
. r ik s
q lfe t t siy as an expe tr ga di FI RA Rul 1
uaii d o e tf
r e r ng N
e 2200 i t s ca e. I lgh of t
n hi s
n i t
he
f e ng,a bas d upon t pa te flngs a wel ast a ia e r e ,saut ,a c e
or goi nd e
he ris' ii , s l he pplc bl uls t t es nd as

lw,UBSFS'M oton t PrcudeTralTe tmony by Dee
a
i o el
i si
fndantsExpe t Ge Caasc (
'
r, ne r ik DE

1 0 i DENI Assae a o e UBS i e tc l oin ( 1 9 i DENI ASM OOT.
6 )s
ED. ttd b v , FS' d n ia M to DE 5 ) s
ED
Boun y Gai s r ques f at ne s f esand c t agans UBSFS and is c
t
n' e t or tor y' e
os s i t
t ouns lpuruantt
e
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