Exhibit 9

PETER PENROD DEPOSITION TESTIMONY 

EXCERPTS

Kimberly Grippa v. Ronald Rubin

Case No. 4:20cv457-MW/MAF

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 1 of 15
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Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 2 of 15
· · · · · · ·UNITED STATES DISTRICT COURT

· · · · · · ·NORTHERN DISTRICT OF FLORIDA

· · · · · · · · ·TALLAHASSEE DIVISION

· · · · · · ·CASE NO.:· 4:20cv457-MW/MAF

KIMBERLY GRIPPA,

· · ·Plaintiff,

vs.

RONALD RUBIN,

· · ·Defendant.

________________________________/

· · · ·VIDEOTAPED WEB CONFERENCE DEPOSITION OF

· · · · · · · · · · ·PETER PENROD

· · · · · · · · Tuesday, June 1, 2021

· · · · · · · ·11:31 a.m. - 12:52 p.m.

· · · · · · ·LOCATION: Via Web Conference

· · · · · · Stenographically Reported By:

· · · · · · · · · ·JO LANGSTON, RPR

Job No. :· 188579

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 3 of 15
Page 2

·1· ·APPEARANCES:· (All appearances via web conference)

·2

· · · · · ON BEHALF OF THE PLAINTIFF:

·3

· · · · · · · ·Marie A. Mattox, P.A.

·4· · · · · · ·203 North Gadsden Street

· · · · · · · ·Tallahassee, FL 32301

·5· · · · · · ·850-383-4800

· · · · · · · ·BY:· MARIE A. MATTOX, ESQUIRE

·6· · · · · · ·marie@mattoxlaw.com

·7

·8· · · · ON BEHALF OF THE DEFENDANT:

·9· · · · · · ·Bailey & Glasser, LLP

· · · · · · · ·1055 Thomas Jefferson Street NW

10· · · · · · ·Suite 540

· · · · · · · ·Washington, DC 20007

11· · · · · · ·202-463-2101

· · · · · · · ·BY:· JAMES L. KAUFFMAN, ESQUIRE

12· · · · · · ·jkauffman@baileyglasser.com

13

· · · · · · · ·Bailey & Glasser, LLP

14· · · · · · ·360 Central Avenue, Suite 1500

· · · · · · · ·St. Petersburg, FL 33701

15· · · · · · ·727-894-6745

· · · · · · · ·BY: NICOLE L. BALLANTE, ESQUIRE

16· · · · · · ·nballante@baileyglasser.com

17

· · · · · ON BEHALF OF DEPARTMENT OF FINANCIAL SERVICES:

18

· · · · · · · ·Department of Financial Services

19· · · · · · ·200 E Gaines Street

· · · · · · · ·Tallahassee, FL 32399

20· · · · · · ·850-413-4282

· · · · · · · ·BY: DOUGLAS WARE, ESQUIRE

21· · · · · · ·douglas.ware@myfloridacfo.com

· · · · · · · ·JOHN MACIVER, ESQUIRE

22· · · · · · ·john.maciver@myfloridacfo.com

23

· · · · · ALSO PRESENT:

24

· · · · · · · ·GARO NARGIZ, EXHIBIT TECHNICIAN

25· · · · · · ·RANDY WRIGHT, VIDEOGRAPHER

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 4 of 15
Page 3

·1· · · · · · · · · · · · ·I N D E X

·2· ·TESTIMONY OF PETER PENROD· · · · · · · · · · · · ·PAGE

·3· · · · Direct Examination by Mr. Kauffman· · · · · · ·4

·4· · · · Cross-Examination by Ms. Mattox· · · · · · · ·51

·5· ·Certificate of Oath· · · · · · · · · · · · · · · · 55

· · ·Certificate of Reporter· · · · · · · · · · · · · · 56

·6· ·Errata Sheet· · · · · · · · · · · · · · · · · · · ·57

· · ·Notification Letter· · · · · · · · · · · · · · · · 58

·7· · · · · · · · · · · · · EXHIBITS

·8· ·EXHIBIT· · · · · · · DESCRIPTION· · · · · · · · · PAGE

·9· ·1· ·Verizon phone record, Bates KG Production· · · 17

10· · · ·49 to 51

11· ·2· ·5/6/2019 emails between Poppell and Penrod· · ·20

12· ·3· ·Calendar entry· · · · · · · · · · · · · · · · ·25

13· ·4· ·Appointment Request· · · · · · · · · · · · · · 27

14· ·5· ·5/10/2019 letter from Penrod to Grippa· · · · ·28

15· ·6· ·5/10/2019 email from Penrod to Sweet· · · · · · 8

16· ·7· ·5/13/2019 emails, Subject: Interview with· · · 35

17· · · ·Mr. Ronald Rubin 3/21/19

18· ·8· ·5/13/2019 email from Shekiema Rolle· · · · · · 37

19· ·9· ·Verizon phone records, Bates KG Production· · ·40

20· · · ·52 to 54

21· ·10· 6/27/2019 email from West to Sweet and· · · · ·41

22· · · ·Penrod, forwarding email from Grippa

23· ·11· 5/10/2019 press release· · · · · · · · · · · · 44

24· ·12· 5/14/2019 press release· · · · · · · · · · · · 47

25

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 5 of 15
Page 4

·1· · · · · · ·The proceedings began at 11:31 a.m.

·2· · · · · · ·STENOGRAPHER:· Please raise your right hand.

·3· · · · Do you swear or affirm the testimony you're about

·4· · · · to give will be the truth, the whole truth, and

·5· · · · nothing but the truth?

·6· · · · · · ·THE WITNESS:· Yes.

·7· ·Thereupon,

·8· · · · · · · · · · · · PETER PENROD

·9· ·was called as a witness and, having been first duly

10· ·sworn, was examined and testified as follows:

11· · · · · · · · · · ·DIRECT EXAMINATION

12· ·BY MR. KAUFFMAN:

13· · · · Q· · Good morning.· Could you please state your

14· ·name for the record.

15· · · · A· · My driver's license says Peter Schlueter

16· ·Penrod.· I go by Peter Lawrence Penrod.

17· · · · Q· · Okay.· Mr. Penrod, You're an attorney,

18· ·correct?

19· · · · A· · Correct.

20· · · · Q· · You understand the deposition process, so

21· ·I'm going to skip some of the preliminaries.· You've

22· ·been involved in depositions before, correct?

23· · · · A· · Yes.· Only --

24· · · · · · ·STENOGRAPHER:· Mr. Penrod, I'm not getting

25· · · · every word, so if you could get closer or --

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 6 of 15
Page 17

·1· · · · · · ·MR. WARE:· Object to form.

·2· · · · A· · It wouldn't surprise me either way.

·3· ·BY MR. KAUFFMAN:

·4· · · · Q· · So if it wasn't in your files, in other

·5· ·words, if you hadn't reviewed the resume, that

·6· ·wouldn't have been a document that you could have

·7· ·provided in response to the subpoena, correct?

·8· · · · A· · I don't know what you're asking.

·9· · · · Q· · Right.· If you had the subpoena, you would

10· ·have -- if you had the resume in response to the

11· ·subpoena, you would have supplied it, correct?

12· · · · A· · Absolutely correct, yes.

13· · · · Q· · Okay.· And it's fair to say that if you

14· ·didn't supply it, then you didn't have it.

15· · · · A· · That's correct.

16· · · · Q· · Were there any other candidates for the

17· ·position besides Ms. Grippa?

18· · · · A· · None that I was aware of.

19· · · · Q· · Did you consider -- do you recall whether

20· ·you interviewed Ms. Grippa for the position?

21· · · · A· · I don't recall interviewing her.

22· · · · Q· · Okay.· Do you have any record of

23· ·interviewing Ms. Grippa?

24· · · · A· · I have no record of interviewing her.

25· · · · · · ·(Exhibit No. 1 was identified.)

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 7 of 15
Page 23

·1· ·agency, so --

·2· · · · Q· · Right.· I'm trying to understand if he has

·3· ·input on appointment salaries.

·4· · · · A· · He's the head of the agency.· He's the

·5· ·constitutionally elected officer, so he did have input

·6· ·on anything he wanted.· With regard to this specific

·7· ·email, I never discussed it with him.· I never

·8· ·discussed her salary or anything like that with him.

·9· · · · Q· · Okay.· With regard to the salary of 64,533

10· ·being the base salary, what is that referring to?

11· · · · A· · I -- I'm going to speculate People First has

12· ·a range.· It would say you have a range of, for

13· ·instance, $64,000 up to whatever the top end is.· So

14· ·the base would be the lowest amount you could pay for

15· ·the position.

16· · · · Q· · And in response to this email, you're

17· ·approving this appointment salary, which is above the

18· ·base salary, correct?

19· · · · A· · Correct.

20· · · · Q· · And is there any process or procedure that

21· ·you're to follow when you're making, you know, an

22· ·exception for an amount above a base salary for the

23· ·position?

24· · · · A· · I wouldn't call it an exception.

25· · · · Q· · Okay.· What would you call it?

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 8 of 15
Page 29

·1· · · · Q· · All right.· Let's go to Exhibit 5.· Now,

·2· ·this is a letter that you wrote, bearing Bates DFS

·3· ·7-30-19 3157, to Ms. Grippa dated May 10th, 2019,

·4· ·correct?

·5· · · · A· · Correct.

·6· · · · Q· · And this is an offer letter of employment,

·7· ·correct?

·8· · · · A· · Correct.

·9· · · · Q· · And this confirms her position as deputy

10· ·general counsel?

11· · · · A· · That is correct.

12· · · · Q· · With the Department of Financial Services,

13· ·correct?

14· · · · A· · Correct.

15· · · · Q· · And it states her starting salary will be

16· ·$100,000 per year?

17· · · · A· · That is correct.

18· · · · Q· · And the anticipated effective date will be

19· ·July 1st, right?

20· · · · A· · Yes.

21· · · · Q· · Is that right?

22· · · · A· · Yes, correct.

23· · · · Q· · Okay.· And then it says that her immediate

24· ·supervisor will be you, correct?

25· · · · A· · That's correct.

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 9 of 15
Page 43

·1· · · · A· · Where is the interview part?

·2· · · · Q· · In the first paragraph.

·3· · · · A· · Yeah.· You're correct.

·4· · · · Q· · Okay.· So she enjoyed the interview, but she

·5· ·was declining the position, correct?

·6· · · · · · ·MR. WARE:· Object to form.

·7· · · · A· · That's what the document -- that's what the

·8· ·email says.· I don't have any knowledge beyond what's

·9· ·in this email.

10· ·BY MR. KAUFFMAN:

11· · · · Q· · And had Ms. Grippa not declined the

12· ·position, she would have gone to work for DFS,

13· ·correct, as far as you stand?

14· · · · A· · All things being equal, correct.

15· · · · Q· · Okay.· And did any of Rubin's allegations in

16· ·this lawsuit with Paul Mitchell influence whether DFS

17· ·would employ Ms. Grippa?

18· · · · A· · I'm not aware of any, no.

19· · · · Q· · Okay.· Were you aware of any impact that the

20· ·allegations in Mr. Rubin's lawsuit would have on her

21· ·pay that she may receive?

22· · · · A· · I'm not aware of any.

23· · · · Q· · Okay.· Do you think that it had any impact

24· ·with regard to her pay?

25· · · · A· · I have no opinion on it beyond what I've

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 10 of 15
Page 44

·1· ·said.

·2· · · · Q· · Okay.· And, again, had Ms. Grippa not

·3· ·written this email and not chosen to do so, she would

·4· ·have been welcome to begin working at least on paper

·5· ·under your supervision starting July 1st, correct?

·6· · · · A· · All things being equal, that is correct.

·7· · · · · · ·MR. KAUFFMAN:· Will you put Exhibit 11.

·8· · · · · · ·(Exhibit No. 11 was identified.)

·9· ·BY MR. KAUFFMAN:

10· · · · Q· · Exhibit 11 is a press release dated May

11· ·10th, 2019.· Do you recognize this press release?

12· · · · A· · I do.

13· · · · · · ·MS. MATTOX:· What are the Bates stamp

14· · · · numbers?

15· · · · · · ·MR. KAUFFMAN:· There are not Bates stamp

16· · · · numbers, Ms. Mattox.· This was taken off of the

17· · · · public record.

18· · · · · · ·MS. MATTOX:· Okay.

19· ·BY MR. KAUFFMAN:

20· · · · Q· · You said that you do recognize this?

21· · · · A· · I do.

22· · · · Q· · This was the Friday complaint that we've

23· ·been discussing, correct?

24· · · · A· · Yes.

25· · · · Q· · Okay.· And with regard to the -- it says the

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 11 of 15
Page 55

·1· · · · · · · · · · CERTIFICATE OF OATH

·2

·3· ·STATE OF FLORIDA

·4· ·COUNTY OF LEON

·5· · · · · · ·I, JO LANGSTON, RPR, Notary Public, State

·6· ·of Florida, certify that PETER PENROD remotely

·7· ·appeared before me on June 1, 2021, and was duly

·8· ·sworn.

·9· · · · · · ·Signed this 7th day of June 2021.

10

11

12· · · · · · · · · · · ·________________________________

· · · · · · · · · · · · ·JO LANGSTON, RPR

13· · · · · · · · · · · ·Notary Public, State of Florida

· · · · · · · · · · · · ·My Commission No. GG 918183

14· · · · · · · · · · · ·Expires: 11/26/2023

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25

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 12 of 15
Page 56

·1· · · · · · · · · CERTIFICATE OF REPORTER

·2

·3· ·STATE OF FLORIDA

·4· ·COUNTY OF LEON

·5

·6· · · · · · ·I, JO LANGSTON, RPR, do hereby certify

·7· ·that I was authorized to and did stenographically

·8· ·report the foregoing videotaped web conference

·9· ·deposition of PETER PENROD; that a review of the

10· ·transcript was requested; and that the transcript is

11· ·a true record of my stenographic notes.

12· · · · · · ·I FURTHER CERTIFY that I am not a

13· ·relative, employee, attorney, or counsel of any of

14· ·the parties, nor am I a relative or employee of any

15· ·of the parties' attorney or counsel connected with

16· ·the action, nor am I financially interested in the

17· ·action.

18· · · · · · ·Dated this 7th day of June 2021.

19

20

21· · · · · · · · · · · · · ·_____________________________

· · · · · · · · · · · · · · ·JO LANGSTON, RPR

22

23

24

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Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 13 of 15
Page 57

· · · · · · · · · · ·ERRATA SHEET

· · · · · · DO NOT WRITE ON THE TRANSCRIPT

· · · · · · ·ENTER CHANGES ON THIS SHEET

KIMBERLY GRIPPA V. RONALD RUBIN

Deponent:· PETER PENROD

Date of :· June 1, 2021

Case No.:· 4:20cv457-MW/MAF

PAGE· ·LINE· · · · REMARKS

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

____________________________________________________

Under penalties of perjury, I declare that I have read

the foregoing document and that the facts stated in it

are true.

Signature of Witness ____________________________

Dated this _________ day of ___________, __________.

Job No. :· 188579

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 14 of 15
Page 58

June 7th, 2021

PETER PENROD

C/O Department of Financial Services

200 E Gaines Street

Tallahassee, FL 32399

ATTN: DOUGLAS WARE, ESQUIRE

douglas.ware@myfloridacfo.com

Re:· Kimberly Grippa v. Ronald Rubin

Case No.:· 4:20CV457-MW/MAF

Please take notice that on June 1, 2021, you gave your

deposition in the above cause.· At that time, you did

not waive your signature.· The transcript is now

available for your review.

Please call (888)811-3408 or e-mail

production@phippsreporting.com between the hours of

9:00 a.m. and 4:00 p.m., Monday through Friday, for

access to a read-only PDF transcript via computer.

Please execute the PDF-fillable Errata Sheet which

will be forwarded to you by Phipps Reporting.· The

Errata Sheet can also be downloaded from

www.phippsreporting.com.· Once completed, please

print, sign, and return to us for distribution to all

parties.

If you do not read and sign the deposition within 30

days, the original, which has already been forwarded

to the ordering attorney, may be filed with the Clerk

of the Court.

If you wish to waive your signature now, please sign

your name in the blank at the bottom of this letter

and return to the address listed below.

Very truly yours,

____________________________________________

JO LANGSTON, RPR

Phipps Reporting, Inc.

www.PhippsReporting.com

I do hereby waive my signature.

_______________________________

PETER PENROD

Job No. :· 188579

Case 4:20-cv-00457-MW-MAF Document 109-9 Filed 02/14/22 Page 15 of 15