FILED: NASSAU COUNTY CLERK 04/25/ :08 AM INDEX NO /2017 NYSCEF DOC. NO. 206 RECEIVED NYSCEF: 04/25/2018

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1 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NASSAU X BELAIR CARE CENTER, INC., et al., Index No.: /2017 Plaintiffs, FIRST NOTICE FOR -against- DISCOVERY & INSPECTION COOL INSURING AGENCY, INC., et al., Assigned Justice: X Defendants Hon. Stephen Bucaria, J.S.C. S I R S: PLEASE TAKE NOTICE that, pursuant to CPLR Rule 3120, defendant Rampart Brokerage Corp., by and through its undersigned counsel, hereby demands that plaintiff PALJR, LLC, d/b/a East Neck Nursing and Rehabilitation Center, produce for discovery and inspection within twenty (20) days of receipt of this notice, at the offices of Steinberg & Cavaliere, LLP, 50 Main Street, 9th F1OOr, White Plains, New York 10606, the documents and other items requested herein. DEFINITIONS 1. "You, " "your" and "plaintiff" mean named plaintiff PALJR, LLC, d/b/a East Neck Nursing and Rehabilitation Center, Neck" ("East Neck") and/or its current and former agents, servants, representatives, attorneys, heirs, executors, predecessors, successors and assigns. "Rampart" 2. means named defendant Rampart Brokerage Corp. 1 of 13

2 3. "CRM" means Compensation Risk Manages, LLC, its parent companies, subsidiaries and/or affiliates, as well as, past or present employees, representatives and agents, including their attorneys, accountants, investigators, and/or any third-parties retained to perform work on their behalf. 4. "Trust" means the Healthcare Industry Trust of New York, a compensation group self-insurance trust consisting of New York employers in the health-care industry established by CRM on or about September 12, The " Complaint" means the Amended Complaint in the above- captioned action dated October 24, The term "concerning" means relating to, referring to, describing, evidencing or constituting. 7. "Document " means all original writings of any nature whatsoever, and all non-identical copies thereof, in your possession, custody and/or control regardless of whether located and includes, but is not limited to, contracts, agreements, records, tape recordings, correspondence, communications, reports, studies, summaries, memoranda, calendar or diary entries, handwritten notes, working papers, minutes, agendas, bulletins, notices, announcements, instructions, charts, manuals, brochures, schedules, telegrams, teletypes, and any other documents that are defined in Article 31 of the CPLR. In all cases where originals and/or non-identical copies are not available, "documents" also 2 2 of 13

3 copies. 8. "Communication" means any transmittal of thoughts or information from one person to another whether oral or in writing. 9. "Person" means any natural person and any corporation, partnership, association, joint venture, firm or other business enterprise or legal entity, and any department, agency, office, bureau or division of the United States, state, local or federal government. The term "person" includes both the singular and the plural. 10. "Identify, " "identification" or "identity" as the following meanings: i. when used in reference to a natural person, it means to state the person's full name; present home address, or if unavailable, last known home address; present business address, or if unavailable, last known business address; business affiliation or job title, or if unavailable, last known business affiliation and job title; and if any such person is or at any time has been affiliated with any party to this litigation, by employment or otherwise, to state the nature (including job title, if any) and dates of such affiliation; ii. when used in reference to a partnership, it means to state the full partnership name and the address of its principal means identical copies of original documents and copies of nonidentical officeoffice; 3 3 of 13

4 iii. when used in reference to a corporation, business or company, it means to state its full name, the address of its principal place of business, the state or country of its incorporation, each of its present or last known business addresses, and a brief description of the principal activity of such corporation, business or company; iv. when used in reference to an act or event, it means state the substance and description thereof, the identity of the persons who participated and/or were present, the date or dates and location thereof, and each document or communication in which such act or event was recorded or described or referred to; v. when used in reference to a meeting or conference, it means to state the date, time, location and persons involved in such meeting or conference; vi. when used in reference to a document, it means to state the type of document (e.g.,., letter, memorandum, telegram, chart) or other means of identifying it, its author and originator, its substance, its date or dates, all addressees and recipients, when and how you first became aware of it, and its present location or custodian. If any such document was, but is no longer, in your possession or subject to your control, state what disposition was made of it; and vii. when used in reference to an oral communication, it means to state the speaker, such person spoken to or who otherwise 4 4 of 13

5 heard the communication, the date, time and place of the communication, the substance of such oral communication, with particularity, and to identify all documents in which such communication was recorded, described or referred to. 11. "Describe" or "description" has the following meaning when used in referenced to any act or action, practice, process, occurrence, occasion, course of conduct, happening, scheme, conference, discussion, development, service, instance or event: it means to provide a chronological statement setting forth each instance and element including: a) the date or dates thereof; b) what transpired as a part thereof; c) the identification of each person who participated therein, or was a witness thereto; d) a statement setting forth the time, place and nature of each person's role in the discussions, actions, statements or utterances in the course of such person's conduct with respect thereto; and e) the identification of each communication or document with reference thereto, which was prepared or made during the course thereof or as a result thereof. INSTRUCTIONS 1. Each request shall be deemed continuing in order to require supplemental responses if you obtain further information 5 5 of 13

6 or additional documents between the time of responding to these requests and the time of trial. 2. If you claim privilege as a ground for not responding to any request in whole or in part, describe the factual basis of your claim of privilege in sufficient detail so as to permit the Court to adjudicate the validity of that claim. 3. To the extent that a full and complete response to any request would require a repetition of information given in response to any other request, a cross-reference to the specific response where such information is fully set forth may be used in lieu of such repetition. 4. If any documents are furnished in response to any request, please identify which documents are responsive to which request by numbering them and referring to the numbers in your responses. 5. If you object to all or any part of any request, state with reasonable particularity the reasons for each such objection. 6. If you have withheld one or more documents that appear to be within the category of the documents required to be produced by these requests, identify each documents which has been so withheld, the legal ground for withholding each such document, and provide the following information with respect to each such document: a) the type of document; 6 6 of 13

7 b) the general subject matter of the document; c) the date of the document; and d) such other information as is sufficient to identify the document for a subpoena duces tecum. DOCUMENTS TO BE PRODUCED 1. Any and all documents or communications between East Neck and Rampart concerning the placement of compensation insurance. 2. Any and all documents or communications between East Neck and CRM concerning the placement of compensation insurance. 3. Any and all documents or communications between East Neck and the Trust concerning the placement of compensation insurance. 4. Any and all documents or communications received by East Neck from Rampart concerning CRM. 5. Any and all documents or communications received by East Neck from Rampart concerning the Trust. 6. Any and all documents concerning payments of any kind, including, but not limited to, payments for contributions, assessments and/or settlements (inclusive of payment plans) or judgments, made by East Neck to the Workers' Compensation Board. 7. Any and all documents concerning premium payments, contributions or any other charges made by East Neck for 7 7 of 13

8 compensation insurance for each of the five (5) years prior to East Neck's joining the Trust. 8.. Any and all documents concerning premium payments, contributions or any other charges made by East Neck for compensation insurance while East Neck was a member of the Trust. 9. Any and all documents concerning premium payments, contributions or any other charges made by East Neck for compensation insurance for each of the five (5) years subsequent to East Neck's being a member of the Trust. 10. Any and all documents concerning CRM. 11. Any and all documents concerning the Trust. 12. Any and all documents concerning the allegation in paragraph 86 of the Complaint that the Trust operated with a financial deficit for many years since its inception. 13. Any and all documents concerning the allegation in paragraph 87 of the Complaint that the Trust was underfunded each year plaintiffs were members and continued to accumulate a mounting deficit. 14. Any and all documents concerning the relationship between CRM and Rampart. 15. Any and all documents concerning whether Rampart attended a so-called Broken Bash. 8 8 of 13

9 16. Any and all documents concerning plaintiffs' allegation that CRM and/or the Trust paid inflated and/or excessive commissions to Rampart. 17. Any and all documents concerning the allegation that there was a special relationship between East Neck and Rampart. 18. Any and all documents concerning any oral and/or written agreement between East Neck and Rampart. 19. Any and all documents concerning premium and/or contribution savings realized by East Neck as a result of its participation in the Trust instead of purchasing traditional workers compensation insurance. 20. Any and all documents concerning East Neck's potential and/or possible exposure for joint and several liability as a result of its participation in the Trust. 21. Any and all documents concerning the funding of the Trust. 22. Any and all documents concerning Rampart's recommendation to East Neck regarding participation in the Trust. 23. Any and all documents concerning the amount of any judgments, settlements or recoveries the Workers Compensation Board has obtained against or from any other person or entities in connection with the Trust. 24. Any and all documents concerning the educational and professional background of any principal, administrator, risk 9 9 of 13

10 manager, in-house counsel or other employee of East Neck who participated in the placement of workers compensation insurance with the Trust. 25. Any and all documents concerning the cancellation or non-renewal of traditional workers compensation insurance prior to East Neck's participation in the Trust. 26. Any and all documents concerning East Neck's procurement of workers compensation insurance subsequent to its participation in the Trust. 27. Any and all documents concerning quotes received from brokers other than Rampart regarding the procurement of workers compensation insurance during the five-year period prior to East Neck's participation in the Trust. 28. Any and all documents concerning quotes received from brokers other than Rampart regarding the procurement of workers compensation insurance during the period of East Neck's participation in the Trust. 29. Any and all documents concerning quotes received from brokers other than Rampart regarding the procurement of workers compensation insurance during the five-year period subsequent to East Neck's participation in the Trust. 30. Any and all documents concerning any intermediary or retail broker East Neck communicated with in connection with the placement of workers compensation insurance with the Trust of 13

11 31. Any and all documents concerning the allegation that Rampart made negligent misrepresentations to East Neck. 32. Any and all documents concerning the allegation that Rampart committed fraud in the inducement with respect to East Neck. 33. Any and all documents concerning the allegation that Rampart breached a contract with East Neck. 34. Any and all documents concerning the allegation that Rampart aided and abetted a breach of fiduciary duty with respect to East Neck. 35. Any and all documents concerning the allegation that Rampart aided and abetted a fraud with respect to East Neck. 36. Any and all documents concerning the allegation that Rampart dominated and/or controlled the Trust. 37. Any and all documents concerning the allegation that Rampart assisted CRM in dealings with the WCB. 38. Any and all documents concerning the allegation that Rampart attended Trust meetings. 39. Any and all documents concerning the allegation that Rampart had a strategic partnership with CRM. 40. Any and all documents concerning marketing of the Trust. 41. Any and all documents concerning Rampart's marketing relationship with the Trust and/or CRM of 13

12 42. Any and all documents concerning Rampart's alleged access to the Trust's financial condition. 43. Any and all documents concerning the allegation that Rampart placed East Neck in the Trust with knowledge that it was underfunded and operated with a deficit. 44. Any and all documents concerning the allegation that Rampart was aware of the falsity of statements contained in its letter of March 29, 2006 at the time of the issuance of the letter. 45. Any and all documents concerning the allegation that Rampart knew that CRM was making or had made false representations. 46. Any and all documents concerning the allegation that Rampart failed to properly advise East Neck of the concept of joint and several liability as it related to participation in the Trust. 47. Any and all documents concerning the allegation that the brokers acted in concert. 48. Any and all documents concerning the allegation that Rampart had a conflict of interest. 49. Any and all documents concerning the allegation that Rampart diverted assets to its personal use. 50. Any and all documents from the WCB mentioning and/or containing a finding or determination of "No Funding Issues" for the Trust for each year in which East Neck participated in the Trust of 13

13 51. Any and all documents that East Neck signed regarding a Joinder and Indemnification Agreement with respect to participation in the Trust. Dated: White Plains, New York April 25, 2018 STEINBERG & CAVALIERE, LLP By : Steven A. Coplof Attorneys for Defendant Rampart Brokerage Corp. 50 Main Street, 9th Floor White Plains, New York (914) steincav@aol.com TO: BARCLAY DAMON Attorneys for Plaintiffs 80 State Street Albany, New York MAGUIRE CARDONA, P. C. Attorneys for Defendants Vanner Insurance Agency, The Reis Group, Shel-Bern Assoc and Spain Agency 22 Clinton Avenue Albany, New York KEIDEL, WELDON & CUNNINGHAM, LLP Attorneys for Defendants Hirsch Wolf & Co Inc., Marshall & Sterling Inc. and The Treiber Group LLC 925 Westchester Avenue, Suite 400 White Plains, New York S&C# of 13