Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-1_07-cv-00620/USCOURTS-caed-1_07-cv-00620-66/pdf.json

Nature of Suit Code: 360
Nature of Suit: Other Personal Injury
Cause of Action: 42:1981 Civil Rights

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UNITED STATES DISTRICT COURT

EASTERN DISTRICT OF CALIFORNIA

I. History

The current Plaintiffs are Michael Ioane Sr. and Shelly Ioane who lived at 1521 Fruitland 

Ave., Atwater, CA. They are a married couple involved in tax disputes with the United States. 

Kent Spjute, Jean Noll, Jeff Hodge, Brian Applegate, and Michelle Casarez are Internal Revenue 

Service agents (“Federal Agents”). Based on the affidavit of Kent Spjute, the United States was 

able to obtain a search warrant for Plaintiffs’ residence to collect records related to Steven and 

Louise Booth, to whom Michael Ioane Sr. provided tax consulting services. The search was 

carried out by the Federal Agents on June 8, 2006. This search forms the basis for the claims in 

this suit.

Michael Ioane Sr. and Shelly Ioane, together with former plaintiffs Glen Halliday, Ashley 

Ioane, and Michael Ioane Jr., filed suit against the Federal Agents and the United States on April 

20, 2007 and a First Amended Complaint shortly thereafter. Docs. 1 and 39. The case was stayed 

pending resolution of a criminal case against Michael Ioane Sr. for tax fraud conspiracy, based in 

part on the evidence seized during the search. Crim. Case. No. 09-0142 LJO. Michael Ioane Sr. 

was convicted on October 3, 2011 after a jury trial. He appealed the conviction, but it was 

MICHAEL IOANE, et al,

Plaintiffs

v.

KENT SPJUTE, et al,

Defendants

CASE NO. 1:07-CV-0620 AWI EPG

ORDER RE: MOTIONS IN LIMINE

(Docs. 406, 409, and 411)

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affirmed. Michael Ioane Sr. has filed a habeas corpus petition under 28 U.S.C. § 2255. In the 

meantime, the stay was lifted in this case. Doc. 107. 

Plaintiffs Michael Ioane Sr. and Shelly Ioane originally pursued several causes of action 

against the United States and the Federal Agents. Through several rounds of motions, the only 

claims left are Fourth Amendment excessive force claims against Defendants Hodge and 

Applegate and Fourth Amendment violation of bodily privacy claims against Defendant Noll. 

Specifically, Plaintiffs allege that Defendants Hodge and Applegate pointed guns at the heads of 

Plaintiffs and that Defendant Noll insisted upon entering the restroom with Plaintiff Shelly Ioane 

to witness her relieve herself. 

This case has been bifurcated. The bodily privacy claims against Defendant Noll are on 

appeal with the Ninth Circuit. The upcoming trial will only deal with the excessive force claims 

against Defendants Hodge and Applegate. Plaintiffs filed eleven timely motions in limine 

(“MILs”) and three untimely MILs. Docs. 409 and 411. Defendants filed twelve MILs. Doc. 406. 

A hearing on the MILs was held on August 22, 2016. 

II. Legal Standards

Motions in limine may be “made before or during trial, to exclude anticipated prejudicial 

evidence before the evidence is actually offered.” Luce v. United States, 469 U.S. 38, 40 n.2 

(1984). Fed. Rule Evid. 403 states generally that, “The court may exclude relevant evidence if its 

probative value is substantially outweighed by a danger of one or more of the following: unfair 

prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly 

presenting cumulative evidence.” “Although the Federal Rules of Evidence do not explicitly 

authorize in limine rulings, the practice has developed pursuant to the district court’s inherent 

authority to manage the course of trials.” Luce v. United States, 469 U.S. 38, 41 n.4 (1984). The 

parties must abide by the court’s rulings but may ask for reconsideration as trial progresses. “[A] 

ruling on a motion in limine is essentially a preliminary opinion that falls entirely within the 

discretion of the district court. The district court may change its ruling at trial because testimony 

may bring facts to the district court’s attention that it did not anticipate at the time of its initial 

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ruling.” United States v. Bensimon, 172 F.3d 1121, 1127 (9th Cir. 1999), citing Luce v. United 

States, 469 U.S. 38, 41-42 (1984).

III. Analysis

Plaintiffs’ MIL 1 – Excluding testimony, exhibits, or the reference to order imposing sanctions of 

pre-filing review and order dismissing action; OSC re pre-fiing order U.S.D.C. Civil Case No. 99-

21119 SW (N.D. Cal. September 26, 2000)(ECF342-3)

Plaintiffs seek to exclude any reference to the finding that they were vexatious litigants in 

the case Ioane v. Sheriff of Santa Clara County, N.D. Civ. Case No. 99-21119. Doc. 409, 2:8-4:16.

Defendants include two orders from that case as exhibits 15 and 16. Doc. 399, 20:14-19. In that 

case, Plaintiffs challenged an eviction and foreclosure. Of note, the Northern District reviewed 

fifteen prior cases brought by Plaintiffs and determined they were vexatious litigants to be subject 

to pre-filing review. Defendants wish to use the vexatious litigant finding to support the assertion 

that Plaintiffs “have a plan and habit of retaliating against government action with baseless 

lawsuits, with the improper motive of retaliation.” Doc. 415, 2:3-5. Fed. Rule Evid. 404(b)(2) 

does allow evidence of other acts to be admitted to demonstrate other purposes, including “motive, 

opportunity, [or] intent.” However, this provision is subject to a balancing test. United States v. 

Mayans, 17 F.3d 1174, 1183 (9th Cir. 1994) (“This circuit has specifically incorporated Rule 

403’s probative value/unfair prejudice balancing requirement into the Rule 404(b) inquiry”). 

Misconduct of parties in the prosecution of prior, unrelated litigation is generally excluded. See 

Hiramanek v. Clark, 2016 U.S. Dist. LEXIS 89657, *6-7 (N.D. Cal. July 8, 2016) (“While an 

order finding that Mr. Hiramanek has made frivolous filings in the past may be somewhat relevant 

to plaintiff’s reputation for truthfulness, introduction of such an order would likely cause the jury 

to waste time considering the merits of plaintiff’s past acts”); Al-Turki v. Robinson, 2015 U.S. 

Dist. LEXIS 145608, *20 (D. Colo. Oct. 27, 2015) (“While the fact of Plaintiff’s involvement in 

other unrelated legal proceedings after this time may be relevant to Defendant’s theory that 

Plaintiff was a vexatious litigant, the content of such proceedings is not, and is highly likely to 

distract the jury and derail the presentation of evidence”); Reddy v. Nuance Communs., Inc., 2015 

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U.S. Dist. LEXIS 102739, *4 (N.D. Cal. Aug. 5, 2015) (“Information regarding Reddy’s unrelated 

suits and vexatious litigant designations might be relevant to this case, but it would be [] highly 

prejudicial. However incredible her previous suits may have been, they do not sufficiently bear on 

the circumstances here to warrant the obvious prejudice Reddy will suffer”); McMillan v. 

Weathersby, 31 Fed. Appx. 371, 374 (9th Cir. 2002) (noting that the S.D. Cal. trial court made an 

“in limine ruling barring reference to McMillan as a ‘vexatious litigant’”). Even when the prior 

suits are relevant to show a scheme or plan, the potential prejudice is often great enough to warrant 

exclusion:

Although evidence of Mathis’s other lawsuits could have been used for the 

forbidden purpose of suggesting that because Mathis had filed frivolous 

discrimination claims in the past, he was likely doing so again in this case, it could 

also have been used (with a proper limiting instruction) to show that Mathis was 

engaged in a plan or scheme to harass Chicago-area car dealerships, and that his 

methods or modus operandi in the prior suits were very similar to the approach he 

employed in this case.... Although both the Second Circuit in Outley and this court 

in Gastineau recognized that the danger of unfair prejudice from a charge of 

litigiousness might be minimized if the defendant could show that the plaintiff had 

a history not merely of filing numerous lawsuits, but of filing fraudulent ones[], the 

merits of Mathis’s prior suits were contested here. Managers from the other 

dealerships would have testified that Mathis fabricated the prior claims, but Mathis 

disputed those allegations, and the district court was understandably reluctant to 

plunge into a series of mini-trials on the merits of each of the prior suits. 

Ultimately, the district court was faced with an offer of evidence that had some 

permissible uses but that could also have given rise to the impermissible inference 

that, because Mathis was given to filing frivolous lawsuits, the jury should not 

credit his claims in this suit.

Mathis v. Phillips Chevrolet, Inc., 269 F.3d 771, 776 (7th Cir. 2001) (upholding the trial court’s 

decision to exclude past lawsuits). With respect to the present case, the Northern District case 

appears to be wholly unrelated. Further, Plaintiffs assert that the fifteen prior cases upon which 

the Northern District made its determination involved some which were not brought against public 

officials. Doc. 409, 3:22-24. Any relevance is outweighed by the potential prejudice. 

Defendants argue that they “do not seek to relitigate those matters but barring any mention 

will deny the defendants a primary defense.” Doc. 415, 2:5-7. Defendants may still advance their 

theory as to Plaintiffs’ motivations. However, they may not use the Northern District’s orders to 

support that theory.

Plaintiffs’ MIL is granted to exclude the two proposed exhibits and any reference to 

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Plaintiffs’ formal vexatious litigant status. 

Plaintiffs’ MIL 2 – Exclude any testimony, exhibits, or reference to the Fruitland Avenue, 

Atwater property deed and Tax Court memorandum in case Ioane v. Commisioner, T.C. Memo 

2009-68 (Tax Court 2009)

Plaintiffs seek to exclude any reference to the ownership of their residence by Acacia 

Charitable Foundation and a tax court case that discusses the Ioane’s own tax liability issues. Doc. 

409, 4:17-6:22. Defendants have listed the deed to the house and a tax court decision as exhibits

13 and 14. Doc. 399, 20:12-13. 

First, Defendants argue “The plaintiffs are asserting the right to be free of excessive force 

in their home. The defendants should be permitted to show that the plaintiffs were concealing their 

interest in the home, in order to evade tax collection.” Doc. 415, 2:21-24. It is undisputed that 

1521 Fruitland Ave. was the Plaintiffs’ residence. Whether Plaintiffs owned the home or rented it 

is completely immaterial in determining if Defendants used excessive force in executing the 

search warrant. 

Second, Defendants argue the Tax Court specifically stated “Mr. Ioane’s testimony as 

evasive and unbelievable”; they wish for this court to “take judicial notice of the contents of the 

published decisions, and to admit them as relevant to plaintiffs’ credibility and probative of their 

truthfulness, and therefore admissible pursuant to Rule 608(b).” Doc. 406-9, 1:26-2:18. 

Additionally, Defendants state that the case revealed that “The Ioanes used other identities at this 

home to try to avoid discovery by the IRS. Use of a false identity supports an adverse credibility 

finding.” Doc. 406-9, 3:2-5. Defendants cite to an Eastern District of New York case for support: 

courts in this Circuit have consistently permitted cross-examination regarding a 

witness’s failure to pay income taxes pursuant to Rule 608(b). In United States v. 

Beridze, the Second Circuit found no error in a prosecutor’s cross-examination of a 

witness regarding his failure to pay taxes because such questions were ‘probative of

his character for truthfulness’ and permissible under Rule 608(b)). 415 Fed. Appx. 

320, 328 (2d Cir. 2011). Moreover, the court does not find that undue prejudice 

will result from any such inquiry into plaintiff’s past failure to pay income taxes.

Accordingly, the court grants defendants’ motion in limine and will permit 

defendants to cross-examine plaintiff regarding his self-employment as an 

unregistered and unlicensed cab driver. In addition, if defendants first establish 

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plaintiff's obligation to pay income taxes, they will be permitted to cross-examine 

plaintiff regarding his failure to pay income taxes at the time of the incident.

Jean-Laurent v. Hennessy, 840 F. Supp. 2d 529, 553 (E.D.N.Y. 2011). However, there is no 

indication from the Eastern District of New York opinion that the court was permitting the 

introduction of any outside documents to substantiate the argument. Indeed, Fed. Rule Evid. 

608(b), which Defendants cite as the basis of admissibility, states “Except for a criminal 

conviction under Rule 609, extrinsic evidence is not admissible to prove specific instances of a 

witness’s conduct in order to attack or support the witness’s character for truthfulness. But the 

court may, on cross-examination, allow them to be inquired into if they are probative of the 

character for truthfulness or untruthfulnes of ...the witness.” 

“Generally, prior civil judgments are considered inadmissible hearsay. Thus, neither party 

may introduce the tax court opinion as substantive proof of the matters concluded therein.” 

Wolkowitz v. Lerner, 2008 U.S. Dist. LEXIS 34698, *16-17 (C.D. Cal. Apr. 21, 2008) (discussing 

use of the findings of the Tax Court which were non-preclusive), citing United States v. Boulware, 

384 F.3d 794, 806 (9th Cir. 2004) (“A prior judgment is therefore hearsay to the extent that it is 

offered to prove the truth of the matters asserted in the judgment. A prior judgment is not hearsay, 

however, to the extent that it is offered as legally operative verbal conduct that determined the 

rights and duties of the parties”); United States v. Sine, 493 F.3d 1021, 1036 (9th Cir. 2007) 

(“judicial findings of facts are hearsay, inadmissible to prove the truth of the findings unless a 

specific hearsay exception exists”). 

Third, Defendants state “The Tax Court Decision explains what Acacia Charitable 

Foundation is, and shows the profitable nature of the Ioane criminal enterprise. Defendants argue 

that the cause of plaintiffs’ distress, if any, is the conviction and the loss of the criminal 

enterprise.” Doc. 415, 2:25-28. Defendants are free to make their argument about the source of 

Plaintiffs’ emotional distress, but may not use the findings of the Tax Court as evidence to bolster 

their position.

Plaintiffs’ MIL is granted to exclude the two proposed exhibits and any reference to them.

Plaintiffs’ MIL 3 – Exclude any reference to complaint in Booth v. Spjute, U.S.D.C. E.D. Cal. 

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Case No. 1:07-cv-0609 LJO, testimony, or exhibits

Plaintiffs seek to exclude any reference to the case Booth v. Spjute, E.D. Cal. Civ. Case 

No. 07-0609. Doc. 409, 6:24-7:28. Defendants include the original complaint in that case as 

exhibit 12. Doc. 399, 20:11. That case involved the execution of search warrants on two properties

of Steven and Louise Booth. It appears that the exact same Federal Agents executed the searches 

in both Ioane v. Spjute and Booth v. Spjute. In the other case, the Booths ultimately stipulated to 

dismissing their claims with prejudice. Plaintiffs argue that the search in that case is irrelevant to 

the question of excessive force in this case. Doc. 409, 6-17. Defendants argue that the other case 

involved “the nearly-identical complaint in an excessive force case brought by an Ioane client.” 

Doc. 415, 3:7-8. However, review of both the original complaint and the first amended complaint 

does not reveal any allegations of excessive force; the claims were based on allegations of 

defective warrants, deprivation of property without due process, infringement of First Amendment 

rights, and unlawful disclosure of tax information. See E.D. Cal. Civ. Case No. 07-0609, Docs. 1 

and 46. In contrast, this case has involved allegations of excessive force from the original 

complaint. Doc. 1, 3:7-18. The details of Booth v. Spjute are not relevant to the claims to be 

presented at trial.

Plaintiffs’ MIL is granted to exclude the proposed exhibit and any reference to Booth v. 

Spjute. 

Plaintiffs’ MIL 4 – Exclude any reference to exhibits from criminal case no. 1:09-cr-0142 LJO, 

summary of Ioane scheme and bills of exchange, testimony, or exhibits 3i-3.1

Plaintiffs seek to exclude all exhibits or reference to this case except for the fact of the 

conviction itself. Doc. 409, 8:1-9:4. Defendants have listed a summary of the criminal scheme

and a fraudulent “bill of exchange” as exhibits 8 and 9. Doc. 399, 20:7-8. Defendants argue that 

“(1) the information is admissible under Rule 609(a)(2), without balancing under Rule 403, and 

(2) beyond showing that Mr. Ioane is untruthful, the facts show that the criminal enterprise was 

profitable and extensive, and (3) that Ioane schemes have a pattern of deception. The bare 

admission of the fact of the conviction does not give the defendants a fair chance to support their 

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valid defenses.” Doc. 415, 3:17-23. Michael Ioane Sr. was convicted of one count of conspiracy 

to defraud the United States under 18 U.S.C. § 371 and several counts of presenting a false or 

fictitious document purporting to be an actual security or financial instrument of the United States 

and abets under 18 U.S.C. §§ 541 and 2. E.D. Cal. Crim. Case No. 09-0142, Doc. 138. “A 

conviction for fraud and conspiracy to commit fraud under 18 U.S.C. §§ 1341 and 371 is one 

involving ‘dishonesty or false statement’ within the meaning of Rule 609(a)(2).” United States v. 

Phillips, 488 F. Supp. 508, 512 (W.D. Mo. 1980). 

“[T]he scope of inquiry into prior convictions is limited. Absent exceptional 

circumstances, evidence of a prior conviction admitted for impeachment purposes may not include 

collateral details and circumstances attendant upon the conviction. Generally, only the prior 

conviction, its general nature, and punishment of felony range are fair game for testing the 

defendant’s credibility.” United States v. Osazuwa, 564 F.3d 1169, 1175 (9th Cir. 2009), citations 

omitted. Fed. Rule Evid. 609(a)(2) permits the admission of a criminal conviction itself, not 

exhibits in a criminal case. Attacking credibility through a prior conviction related to a dishonest 

act or false statement is asserting that a person has a pattern of deception; there is nothing special 

about Defendants’ position. In terms of showing that Plaintiffs’ scheme was profitable, any 

proffered exhibit must stand on its own to demonstrate that conclusion; the simple fact that it was 

used in a criminal trial will not bootstrap it in to a civil case.

Plaintiffs’ MIL is granted to exclude the proposed exhibits. The MIL is denied in all other 

respects.

Plaintiffs’ MIL 5 – Exclude any reference and documents to United States v. Booth, Case No. 

1:09-cv-1689 AWI GSA; depositions or any part thereof from, testimony, or exhibits

Plaintiffs seek to exclude all exhibits or references to this case which involved certain 

properties the Booths owned which Michael Ioane Sr. helped to transfer to other parties/entities in 

sham transactions, trying to keep them from being sold to satisfy the IRS’s tax liens against the 

Booths. Doc. 409, 9:5-10:8. Defendants have listed the findings of fact and portions of Michael 

Ioane Sr.’s depositions in that case as exhibits 6 and 7. Doc. 399, 20:5-6. 

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As stated above, judgments in other cases are hearsay. United States v. Boulware, 384 F.3d 

794, 806 (9th Cir. 2004) (“A prior judgment is therefore hearsay to the extent that it is offered to 

prove the truth of the matters asserted in the judgment. A prior judgment is not hearsay, however, 

to the extent that it is offered as legally operative verbal conduct that determined the rights and 

duties of the parties”); United States v. Sine, 493 F.3d 1021, 1036 (9th Cir. 2007) (“judicial 

findings of facts are hearsay, inadmissible to prove the truth of the findings unless a specific 

hearsay exception exists”). Defendants may inquire into the relationship between the Booths and 

Plaintiffs to support the contention that any distress was caused by loss of income but may not use 

the judgment itself. An alternate source of emotional distress is relevant. See Herbert v. Architect 

of the Capitol, 920 F. Supp. 2d 33, 39-40 (D.D.C. 2013) (“in light of Plaintiff’s anticipated proffer 

at trial of evidence regarding his alleged emotional damages, evidence that other stress factors in 

his life (particularly those as objectively taxing as divorce and criminal justice proceedings) were 

more significant contributors to Plaintiff’s emotional pain and suffering than the alleged problems 

at work, would be highly probative as to Plaintiff’s entitlement to recover damages”).

“Deposition testimony is ordinarily inadmissible hearsay.” Garcia-Martinez v. City & 

County of Denver, 392 F.3d 1187, 1191 (10th Cir. 2004). However, an opposing party’s 

statement is an exclusion from the definition of hearsay. Fed. Rule Evid. 801(d)(2). There is no 

basis for excluding the deposition of Michael Ioane Sr. subject to an adequate showing of 

relevance.

Plaintiffs’ MIL is granted to exclude use of the findings of fact in United States vs. Booth. 

The MIL is denied in all other respects.

Plaintiffs’ MIL 6 – Exclude any reference to judgment, indictment, verdict, and decision on 

appeal in United States v. Ioane, U.S.D.C. E.D. Cal. No. 1:09-cr-0142 LJO

Plaintiffs wish to exclude all references to the conviction and sentence “save and except 

the bare minimum information necessary to allow impeachment of Mr. Ioane, pursuant to F.R.E. 

609(a)(2).” Doc. 409, 10:24-25. Defendants have listed the conviction, judgment, indictment, 

verdict form, and decision on appeal as exhibit 5. Doc. 399, 20:3-4. “[E]vidence of a prior 

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conviction admitted for impeachment purposes may not include collateral details and 

circumstances attendant upon the conviction. Generally, only the prior conviction, its general 

nature, and punishment of felony range are fair game for testing the defendant’s credibility.” 

United States v. Osazuwa, 564 F.3d 1169, 1175 (9th Cir. 2009), citations omitted. All other 

documents are not admissible. See Hagan v. Jackson Cnty., 2016 U.S. Dist. LEXIS 90044, *3

(S.D. Miss. Mar. 24, 2016) (indictments are not admissible under Fed. Rule Evid. 609).

Plaintiffs’ MIL is granted to exclude the indictment, verdict form, and decision on appeal 

and any references to these documents. The MIL is denied in all other respects. 

Plaintiffs’ MIL 7 – Exclude any reference to/redact misdemeanors in IRS pre-operational plan

Defendants agree to this MIL. It is granted.

Plaintiffs’ MIL 8 – Exclude any generic reference to guns or ammo in Plaintiffs’ residence

Defendants list the Pre-Operational Plan as an exhibit 3. Doc. 399, 20:1. That report 

contains the statement that Michael Ioane Sr. was the registered owner of a firearm. Plaintiffs 

reason “The purpose of this limine motion is to preclude references to the discovery of the gun 

case and a rifle at the residence because they were found after the excessive force incident which 

occurred at the inception of the search.” Doc. 409, 14:27-15:1. 

However, Plaintiffs go further to argue “The fact that Mr. Ioane registered an AR-15 rifle 

which he purchased in the 1980’s should not be relevant to the execution of a search warrant for 

tax records in 2006. That’s almost a quarter century gap in time.” Doc. 419, at 24. Knowledge 

that there may be firearms at a residence which is the subject of a search warrant is plainly 

relevant in determining the level of force necessary to carry out the search. Plaintiffs wish to 

challenge the reasonableness of relying on an old firearms registration. In turn, Defendants should 

be given the chance to establish that though the registration was old, Plaintiffs did indeed have a 

firearm and ammunition at their residence, helping to validate the precautions they took. 

Plaintiffs’ MIL is denied. 

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Plaintiffs’ MIL 9 – Exclude witnesses from the courtroom

Defendants agree to this MIL. It is granted with the caveat that parties to the case may 

remain in the courtroom through other witnesses’ testimonies.

Plaintiffs’ MIL 10 – Exclude use of Plaintiff Michael Ioane Sr. mug shot

Plaintiffs seek to exclude a photo of Michael Ioane Sr. they term a “mug shot.” Doc. 409, 

15:23-16:16. There is some confusion as Defendants assert that it is a DMV photograph and that 

Plaintiffs listed it as an exhibit. Doc, 415, 5:23-6:2. At the hearing, Defendants stated that as part 

of the preparation for executing the search warrant, the Federal Agents may have viewed DMV 

photographs of Plaintiffs to familiarize themselves with who they would encounter at the address. 

Plaintiffs did not assert otherwise. Given that the photographs formed part of the background of 

the Federal Agents’ preparation, they may be relevant. 

Plaintiffs’ MIL is denied.

Plaintiffs’ MIL 11 – To preclude IRS agents from providing expert opinion on any matter. 

Plaintiffs seek a blanket ban on any of the Federal Agents expressing any opinions on “A. 

the cause of Plaintiffs’ injuries; B. whether Plaintiffs suffer or suffered from emotional distress; C. 

other matters related to the IRS search and subsequent bogus prosecution” on the basis that these 

are subject which “require[e] expert opinion.” Doc. 409, 16:22-17:2. In particular Defendants 

acknowledge that the Federal Agents are not proffered as expert witnesses. Doc. 415, 6:4-5. 

Fed. Rule Evid. 701(c) limits lay witnesses to testimony that is “not based on scientific, 

technical, or other specialized knowledge within the scope of Rule 702.” The Federal Agents can 

certainly testify as to what they saw and did without making their testimony expert opinion. See

United States v. Mavashev, 455 Fed. Appx. 107, 113 (2nd Cir. 2012) (“his testimony primarily 

described what he actually did during the course of his investigation and thus was based on the 

investigation and reflected his investigatory findings and conclusions, and was not rooted 

exclusively in his expertise”). Plaintiffs have framed this MIL expansively without pointing to 

any specifics. At this point, there is no basis for excluding any specific testimony.

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Plaintiffs’ MIL is denied.

Plaintiffs’ MIL 12 – Exclude any reference to medical expert examination report prepared in 

2015 and/or 2016, Dr. Ricardo Winkel

Plaintiffs seek to exclude Dr. Winkel based on two assertions: 1) he is biased and 2) he has 

not expressed an opinion about emotional distress in the applicable time frame. Doc. 411, at 1-9. 

Plaintiffs argue that the fact Dr. Winkel relied on litigation materials provided by Defendants and 

has testified almost exclusively on the side of law enforcement parties shows his bias. However, 

“an expert’s bias is not a proper basis to bar testimony under Daubert.” Cage v. City of Chicago, 

979 F. Supp. 2d 787, 827 (N.D. Ill. 2013). Bias goes to the weight of the testimony, not to 

admissibility. 

The second objection is more complicated. The events of this case took place June 8, 

2006. Dr. Winkel was retained by the Defendants and examined Plaintiffs in 2015. Throughout 

this case, Plaintiffs have sought mental distress damages from the time of the incident through the 

present time. In filing this MIL, Plaintiffs now state that their damages claim is limited: “Mr. and 

MRs. Ioane are not claiming current damages. They claim injuries from the search in 2006 until 

late 2007 to early 2008.” Doc. 411, at 9. The objection to Dr. Winkel is that his opinion is of 

Shelly Ioane’s “current symptoms of emotional distress which are not in issue because she 

reported that her emotional distress and symptoms resulting from the 2006 search were in 

remission one year later.” Doc. 411, at 5. In their reply, they reiterated that “The Ioanes are not 

claiming to have suffered emotional distress recently, or in the recent years, as a result of the 2006 

search incident. Instead, as would be reasonably expected, they are claiming emotional distress 

damages for emotional suffering and trauma they experienced primarily during the outrageous and 

humiliating events in 2006, and their immediate aftermath, with all residual emotion after effects 

having diminished no later than mid 2007. To the actual emotional distress damages being claimed 

by the plaintiffs, Dr. Winkel’s report has absolutely nothing to say on the subject.” Doc. 426, 7:16-

23. At the hearing, both Shelly Ioane and Michael Ioane Sr. verbally affirmed that their claim for 

emotional distress damages is limited from the time of the incident in 2006 through late 2007 or 

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early 2008. Dr. Winkel’s expert opinion was formed without that limitation in mind. It is 

uncertain at his point whether his testimony would be relevant. Defendants must make a proffer 

of evidence before Dr. Winkel may testify.

Plaintiffs’ MIL is reserved. 

Plaintiffs’ MIL 13 – To exclude any reference to Ioane as publisher of a Boston Tea Party Book 

and comments regarding the IRS

Plaintiffs assert that both the book and transcripts of Michael Ioane Sr.’s testimony in past 

trials would show his hostility to the IRS which are “ad hominem attacks [] precluded by F.R.E. 

608(b).” Doc. 411, at 10. Defendants have listed the deposition of Michael Ioane Sr. from the 

civil United States v. Booth case as exhibit 7, Doc. 399, 20:6. At the hearing, Defendants agreed 

that they will not refer to the book. However, Defendants seek to use Michael Ioane Sr.’s prior 

deposition in which he states his hostility towards the IRS to impeach him by asserting he is 

biased. “Any party...may attack the witness’s credibility.” Fed. Rule Evid. 607. “[I]t is 

permissible to impeach a witness by showing his bias under the Federal Rules of Evidence....Bias 

is a term used in the ‘common law of evidence’ to describe the relationship between a party and a 

witness which might lead the witness to slant, unconsciously or otherwise, his testimony in favor 

of or against a party. Bias may be induced by a witness’ like, dislike, or fear of a party, or by the 

witness’ self-interest. Proof of bias is almost always relevant because the jury, as finder of fact and 

weigher of credibility, has historically been entitled to assess all evidence which might bear on the 

accuracy and truth of a witness’ testimony. The ‘common law of evidence’ allowed the showing of 

bias by extrinsic evidence, while requiring the cross-examiner to ‘take the answer of the witness’

with respect to less favored forms of impeachment.” United States v. Abel, 469 U.S. 45, 51-52 

(1984). Michael Ioane Sr.’s views of the IRS are a valid line of questioning for impeachment. Cf. 

United States v. Sommerstedt, 752 F.2d 1494, 1499 (9th Cir. 1985) (in criminal case involving 

assault of an Assistant United States Attorney, “testimony that Sommerstedt and other defense 

witnesses were associated with Condo and shared his anti-tax beliefs was clearly admissible to 

prove the bias of these witnesses”). The relevance is limited to determining credibility; the 

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deposition may not be used to demonstrate that Plaintiffs were trying to retaliate against the IRS in 

filing this suit. 

Defendants have not produced the precise portion of the deposition they seek to use so a 

specific ruling on its admissibility can not be made at this time.

Plaintiffs’ MIL is reserved.

Plaintiffs’ MIL 14 – Affidavit of Kent R. Spjute in support of search warrant

Plaintiffs seek to exclude the affidavit as prejudicial and hearsay. Defendants have listed 

the search warrant affidavit as part of exhibit 2. Doc. 399, 19:28. Plaintiffs assert that “The 

affidavit is replete with hearsay information.” Doc. 411, at 11. Indeed, “an affidavit for a search 

warrant may be based on hearsay information not admissible in a trial.” Eres v. County of 

Alameda, 1999 U.S. Dist. LEXIS 1385, *13 (N.D. Cal. Feb. 2, 1999); Howard v. United States, 

2009 U.S. Dist. LEXIS 36942, *26-27 (E.D. Mo. May 1, 2009) (“Search warrant affidavits are 

hearsay, and are not normally admissible at trial”); McDermott v. Williams, 2010 U.S. Dist. 

LEXIS 141207, *28 (N.D. Ohio Sept. 28, 2010) (“Defense counsel also moved to exclude the 

search warrant affidavit on the grounds of hearsay, and the court granted the motion”). Kent 

Spjute is no longer a defendant so the affidavit is not an admission of party opponent. It is

hearsay.

Plaintiffs’ MIL is granted.

Defendants’ MIL 1 – Re expert testimony

Defendants seek to exclude the testimony of Dr. Manolito Castillo and Dr. Roger 

Chamberlain on the basis that they do not qualify as experts and that they have not filed an expert 

report. Doc. 408. Plaintiffs respond that the two are not being proffered as expert witnesses but 

rather as lay witnesses that provided treatment for Shelly Ioane’s mental distress. Doc. 419, at 2-3. 

“[A] treating physician is only exempt from Rule 26(a)(2)(B)’s written report requirement 

to the extent that his opinions were formed during the course of treatment.” Goodman v. Staples 

the Office Superstore, LLC, 644 F.3d 817, 826 (9th Cir. 2011). A treating physician’s testimony 

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must be circumscribed. See Patrick v. Henry County, 2016 U.S. Dist. LEXIS 67101, *7 (N.D. Ga. 

May 23, 2016) (“when a treating physician testifies as to the cause of an injury or illness, he or she 

testifies as an expert”). As discussed above, Plaintiffs have now limited their mental distress 

damages claim to the period between the incident and early 2008. These two witnesses did not 

treat Shelly Ioane in the relevant time frame. Dr. Castillo saw Shelly Ioane for the first time in 

June 2014. Doc. 408-6, 18:10-16. At the hearing, Defendants asserted that Dr. Chamberlain first 

saw Shelly Ioane in May 2014. Their lay testimonies are not relevant to determine what emotional 

distress Shelly Ioane suffered years before.

Defendants’ MIL is granted. 

Defendants’ MIL 2 – To bar mention of indemnification

Defendants seek exclusion of any evidence or argument that Defendants could seek 

indemnification after any adverse judgment. Doc. 406-4. Plaintiffs argue that they may ask about 

indemnification of the non-Defendant Federal Agents to demonstrate bias as “a judgment against 

the defendants may reflect poorly or have an adverse effect on the witness’s standing with that 

common employer [the government].” Doc. 419, at 5. Generally, “evidence of insurance or other 

indemnification is not admissible on the issue of damages, and, should any such information reach 

the ears of the jurors, the court should issue a curative instruction. We see no reason to depart from 

this rule in the context of a § 1983 action.” Larez v. Holcomb, 16 F.3d 1513, 1518 (9th Cir. 1994). 

The risk is that juries would inflate a plaintiff’s verdict under the reasoning that the defendant

would not have to pay whatever damages were awarded. However, a party may use evidence of 

indemnity to show bias. See Peri & Sons Farms, Inc. v. Jain Irrigation, Inc., 2013 U.S. Dist. 

LEXIS 14785, *22 (D. Nev. Feb. 4, 2013); Util. Trailer Sales of Kan. City, Inc. v. MAC Trailer 

Mfg., Inc., 2010 U.S. Dist. LEXIS 48089, *12 (D. Kan. May 14, 2010). In another Section 1983 

case dealing with the same issue, the Southern District of New York found that notwithstanding 

the relevance of the bias consideration, “Given the incremental benefit of evidence of 

indemnification for the purpose of bias in this case, and the significant likelihood that the jury’s 

liability and damages determination would be influenced even if the Court were to issue a limiting 

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instruction, the Court concludes that its admission is substantially outweighed by the risk of unfair 

prejudice to defendants under Rule 403.” Jaquez v. Flores, 2016 U.S. Dist. LEXIS 34521, *8 

(S.D.N.Y. Mar. 17, 2016). In this case, Plaintiffs seek to show that other Federal Agents are 

biased in favor of Defendants. The fact that they are co-workers who work together on a team 

already provides a means to show bias. The risk of prejudice substantially outweighs its 

relevance.

Defendants’ MIL is granted. 

Defendants’ MIL 3 – To bar any further amendment including (1) Doe defendant amendments 

and (2) unlawful detention claim

Defendants seek to prevent Plaintiffs from amending this case during trial. Doc. 406-5. 

Plaintiffs object that MILs are not the proper means by which to address these issues. On the 

merits, they assert that “if plaintiffs discover during the course of trial that the IRS agents who 

pointed guns at plaintiffs were not agents Hodge and Applegate, but some other agents, a doe 

amendment may be filed.” Doc. 419, at 6-7. Fed. Rule Civ. Proc. 15(b) provides for amendments 

during and after trial. When a party is surprised by new information at trial notwithstanding their 

reasonable efforts at conducting discovery, amendment may be appropriate. See Martin v. Arrow 

Elecs., Inc., 336 Fed. Appx. 596, 599 (9th Cir. 2009) (“Before Martin’s trial testimony was

presented, Arrow did not know the key fact that Martin had received money from an Arrow 

customer as a result of Martin’s brokering deals for Arrow’s goods, and it did not exhibit bad faith 

in failing to discover this evidence earlier”). Additionally, amendment can be denied if it “would 

cause prejudice to the opposing party, is sought in bad faith, is futile, or creates undue delay.” 

Madeja v. Olympic Packers, 310 F.3d 628, 636 (9th Cir. 2002), citations omitted. At this point, 

with no actual new information nor any motion to amend, a ruling in the abstract need not be 

made. 

Defendants’ MIL is reserved. 

Defendants’ MIL 4 – To strike medical damages claim

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Defendants seek to strike Plaintiffs’ medical damages claim, or in the alternative, to 

exclude any evidence of medical bills. Doc. 406-6. Defendants argue that Plaintiffs have failed to 

comply with the rules of discovery by not providing any medical bills during discovery. “The 

purpose of Rule 26(a) is to allow the parties to adequately prepare their cases for trial and to avoid 

unfair surprise.” Russell v. Absolute Collection Servs., 763 F.3d 385, 396 (4th Cir. 2014). Fed. 

Rule Civ. Proc. 26(a)(1)(A)(iii) specifically requires a party to provide to the opposing party

without waiting for a discovery request, “a computation of each category of damages claimed by 

the disclosing party – who must also make available for inspection and copying as under Rule 34

the documents or other evidentiary material, unless privileged or protected from disclosure, on 

which each computation is based, including materials bearing on the nature and extent of injuries 

suffered.” Fed. Rule Civ. Proc. 37(c)(1) states, “If a party fails to provide information or identify 

a witness as required by Rule 26(a) or (e), the party is not allowed to use that information or 

witness to supply evidence on a motion, at a hearing, or at a trial, unless the failure was 

substantially justified or is harmless.” “Among the factors that may properly guide a district court 

in determining whether a violation of a discovery deadline is justified or harmless are: (1) 

prejudice or surprise to the party against whom the evidence is offered; (2) the ability of that party 

to cure the prejudice; (3) the likelihood of disruption of the trial; and (4) bad faith or willfulness 

involved in not timely disclosing the evidence.” Lanard Toys, Ltd. v. Novelty, Inc., 375 Fed. 

Appx. 705, 713 (9th Cir. 2010). The burden of persuasion lies with the party that failed to comply 

with Rule 26. See Hyde & Drath v. Baker, 24 F.3d 1162, 1171 (9th Cir. 1994) (“the burden of 

showing substantial justification and special circumstances is on the party being sanctioned); Yeti 

by Molly, Ltd. v. Deckers Outdoor Corp., 259 F.3d 1101, 1107 (9th Cir. 2001) (“the burden is on 

the party facing sanctions to prove harmlessness”). The party seeking Rule 37(c) sanctions is not 

required to articulate how it is prejudiced by the lack of disclosure. Torres v. City of L.A., 548 

F.3d 1197, 1213 (9th Cir. 2008). 

The original nonexpert discovery deadline was April 4, 2014. Doc. 174. Plaintiffs did not 

reveal the names of their doctors until July 9, 2014. Doc. 252, Ex. D., page 49 of 101. In August

2014, Plaintiffs provided a bare calculation of medical expenses that only listed a total dollar 

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amount for each year. Doc. 407-3. This lapse is not substantially justified or harmless. 

Defendants have not had an opportunity to examine the bills and to conduct investigation to 

determine if they are for Plaintiffs’ emotional distress. At the hearing, Plaintiffs withdrew their 

objection to the MIL. 

Defendants’ MIL is granted. Plaintiffs are barred from recovering their medical expenses; 

their emotional distress damages are limited to their mental suffering.

Defendants’ MIL 5 – To exclude certain witnesses

Defendants seek to exclude Steven Stucker, Daniel Helms, Miguel Diaz, and Mark Cullers 

for failure to designate these witnesses in their discovery documents and seek to exclude Virna 

Santos for relevance. Doc. 406-3. Plaintiffs acknowledge that none of these persons were 

percipient witnesses but claims that their testimony is relevant.

Daniel Helms and Miguel Diaz are paramedics who treated Shelly Ioane this year. At the 

hearing, Plaintiffs withdrew their opposition to the MIL with respect to these two individuals.

Steven Stucker is an attorney and a business associate of Michael Ioane Sr.. Plaintiffs wish 

to call him to rebut any evidence Defendants present regarding Michael Ioane Sr.’s criminal case

and the civil case involving the Booths. Doc. 419, at 10. Mark Cullers was the prosecutor in 

Michael Ioane Sr.’s criminal case. Plaintiffs wish to call him to rebut any evidence Defendants 

present regarding the criminal case. Since the exploration of those topics is being limited, their 

testimonies are unnecessary. The parties will not be allowed to bring in large quantities of 

extrinsic evidence to create mini-trials regarding tangentially related matters; that evidence will be 

limited under Fed. Rule Evid. 403. 

Virna Santos was an Assistant US Attorney who was contacted by Plaintiffs’ attorney 

during or shortly after the search on June 8, 2006. Plaintiffs wish to call her to testify as to the 

contents of their telephone conversation. At the hearing, Plaintiffs did not state what the relevance 

of her testimony would be; there is no indication that any discovery was done on this subject. 

Virna Santos was not present at the search. Presumably, Plaintiffs seek to elicit what their own 

attorney told Virna Santos. Such testimony would be inadmissible hearsay.

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Defendants’ MIL is granted. 

Defendants’ MIL 6 – To bar mention of video alteration

Defendants wish to exclude any mention of possible alteration of the video taken during 

the search, arguing that there is no expert qualified to give such an opinion in this case. Doc. 406-

7. An expert is required to testify about video alteration to give the assertion any weight. See 

Rowley v. Morant, 631 Fed. Appx. 651 (10th Cir. 2015) (summary judgment granted in favor of 

defendant after plaintiff’s expert was disqualified though plaintiff continued to claim the video 

was altered as it did not conform to his memory of the events). Plaintiffs argue that they will not 

assert that the video was altered; instead they will ask “about the length and content of the 

original, whether any edits or alterations were made, and if so, what were the edits and who did it. 

Questions will be posed regarding who decided to film what parts of the search and the reasons 

why the video does not contain the parts where the agents confronted the occupants of the house 

or when the occupants went to the bathroom and were searched.” Doc. 419, at 12. Plaintiff’s 

questions are relevant; asking of the witnesses if the videotape was altered is permissible.

Defendants’ MIL is granted to prohibit any lay witness from giving an expert opinion 

about video alteration. The MIL is denied in all other respects. 

Defendants’ MIL 7 – To admit criminal convictions

This MIL is addressed in Plaintiffs’ MIL 6.

Defendants’ MIL 8 – To exclude Plaintiffs’ proposed exhibits 64 and 65

Defendants state that these two documents have not been produced or even disclosed 

during discovery; they do not know the contents of these documents. Doc. 406-8, 3:5-15. 

Plaintiffs have listed them as exhibits but state that they do not have these documents. They 

intend to subpoena them for trial where all parties will see them for the first time. Doc. 419, at 16. 

Discovery closed a long time ago. These documents were not disclosed to Defendants. They 

must be excluded under Fed. Rule Civ. Proc. 37(c)(1) as their introduction at trial would certainly 

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be a surprise to Defendants as neither party is currently aware as to their contents and not allow 

Defendants any way to conduct discovery of their own to respond to this new evidence. The trial 

itself is not the time to conduct discovery.

Defendants’ MIL is granted.

Defendants’ MIL 9 – To admit Ioane Tax Court decision and this court’s findings of fact in 

United States v. Booth

This MIL is addressed in Plaintiffs’ MILs 2 and 5. 

Defendants’ MIL 10 – To admit history of prior litigation for limited purposes

This MIL is addressed in Plaintiffs’ MIL 1. 

Defendants’ MIL 11 – To admit firearms testimony

This MIL is addressed in Plaintiffs’ MIL 8.

Defendants’ MIL 12 – To bar mention of bathroom allegations

Defendants wish to exclude all mention of the invasion of bodily privacy claims against 

Defendant Noll that are before the Ninth Circuit. Doc. 406-12. They argue that given the nature of 

the interaction, the evidence would be distracting and prejudicial. Given the facts of the alleged 

violation of bodily privacy, there is a valid concern of prejudice. Plaintiffs argue that “the chief, 

and perhaps only, contributing cause to Mrs. Ioane’s emotional distress was the conduct related to 

the bodily invasion of privacy during the search” and that excluding any mention of that incident 

would lead the jury to conclude “all of Mrs. Ioane’s emotional distress damages were caused by 

the excessive force incident – when that plainly is not the truth.” Doc. 419, at 26. Plaintiffs assert 

that granting this MIL runs the risk that all of Shelly Ioane’s emotional distress might be 

misattributed by the jury to excessive force when some of it was caused by invasion of bodily 

privacy. This was a topic that was discussed extensively at the hearing by both sides. 

Notwithstanding this valid concern, Defendants still seek to have their MIL granted. In doing so, 

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they are voluntarily assuming the risk that emotional distress caused by Defendant Noll will be 

attributed to Defendants Hodge and Applegate. 

Defendants’ MIL is granted. 

IV. Order

The motions in limine are granted, denied, and reserved as described above. 

IT IS SO ORDERED.

Dated: August 29, 2016 

 SENIOR DISTRICT JUDGE

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