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UNITED STATES OF AMERICA

BEFORE THE FEDERAL TRADE COMMISSION

OFFICE OF ADMINISTRATIVE LAW JUDGES

In the Matter of Jeffrey Poole, Appellant, Docket No. D09417

Administrative Law Judge: Honorable D. Michael Chappell

HISA’S RESPONSE TO APPELLANT’S MOTION TO DECLARE THAT THE CIVIL

SANCTIONS IMPOSED BY THE HORSE RACING INTEGRITY AND SAFETY 

AUTHORITY, INC. (“HISA”) ARE NOT ENFORCEABLE

HISA files this Response to Appellant Jeffrey Poole’s Motion to Declare that the Civil

Sanctions imposed by HISA are not enforceable. Appellant argues that civil sanctions cannot be

imposed against him on the grounds that the notice that HISA is required to file with the Federal 

Trade Commission (the “Commission”) within two days of the imposition of civil sanctions,

pursuant to 16 C.F.R. 1.145(a) (the “HISA Notice”), was, in this matter, deficient because it: (1)

was not received by the Appellant; (2) was not received by Appellant’s counsel; and (3) did not

include a proof of service in the form of a statement of the date and manner of service and of the 

names of the persons served, certified by the person who made service. Appellant’s conclusion is 

that these alleged deficiencies should result in HISA being barred from enforcing any sanctions

against him. HISA will address each of these claims in turn.

First, Appellant asserts that he did not receive the email copy of the HISA Notice sent by

John L. Forgy of HISA on August 12, 2023. A copy of that email from Mr. Forgy’s Sent folder is

attached as Exhibit A to his affidavit. This email was sent to the email address provided by Mr.

Poole to HISA, which is the same email address that was used to send (i) the August 11, 2023 

Notice of Sanctions from the Horseracing Integrity & Welfare Unit (the “HIWU Sanctions

Notice”) and (ii) the original copy of the Arbitral Body’s decision, which was sent by Arbitrator

Jeffrey Benz. Mr. Poole has acknowledged that he received the other two documents by email but

claims he did not receive Mr. Forgy’s email. (Mr. Poole did not state whether or not he had 
 

 

 

 

 

 

 

 

 

 

 

 

 

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checked his Spam folder for this email.) Mr. Forgy did not receive any “bounce message” of the 

email stating it had not been delivered to Mr. Poole. In addition, Mr. Forgy has a practice of

sending a copy of such notices by U.S. Mail on the same day if a “bounce message” is received

and, in this matter, checked again on September 25, 2023 to confirm that he did not receive a

“bounce message” for the HISA Notice sent to Mr. Poole. (See Attached Affidavit of John L.

Forgy, dated September 26, 2023).

Second, 16 C.F.R. 4.4(c) states: “When counsel has appeared in a proceeding on behalf of

a party, service upon such counsel of any document, other than a complaint, shall be deemed

service upon the party.” This language does not, as Appellant claims, require service of notice on 

counsel. It merely makes it clear that service on a party’s counsel is service on that party. In 

addition, these regulations apply to adjudicative proceedings before the Commission. Mr. Beilly

did not appear on Appellant’s behalf in these proceedings until he filed his notice of appeal on

September 8, 2023. In fact, in late July of 2023, after the conclusion of the hearing before the

Arbitral Body, Mr. Beilly represented to Horseracing Integrity & Welfare Unit (“HIWU”) legal

staff that he would not be representing Mr. Poole in any appeal in this matter. 

Third, HISA acknowledges that proof of service was not included with the HISA Notice.

However, as is the case with the other two allegedly deficiencies, the failure to provide this proof

of service did not prejudice Appellant in any way. Mr. Poole acknowledged that he received the 

HIWU Notice, which contained more information than the HISA Notice, including the date by 

which he had to file an appeal to the Commission. (The HIWU Notice was also sent to Mr. Beilly

by email.) Therefore, Appellant actually received all pertinent information needed to exercise his 

right to appeal, and, as a result, he, in fact, filed that appeal on a timely basis. In addition, Appellant 

did not raise any of these issues with HISA, HIWU or the Commission until more than a month 

after he received the HIWU Notice and more than two weeks after he filed his appeal to the 

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Commission. Appellant has exercised his right to appeal here, and he should not be able to escape

the imposition of sanctions for his violations due to these alleged administrative filings errors.

Lastly, if it is determined that the service of the HISA Notice was in fact deficient in any 

respect, HIWU can immediately serve an Amended Notice of Sanctions upon Mr. Poole. HISA

would then file another notice with the Commission within two days, served upon both Mr. Poole

and his counsel and including a proof of service. Mr. Poole would then have thirty days from the

Amended Notice to re-file his appeal. HISA believes that this step will unnecessarily delay the 

proceedings in a case where the Appellant’s rights have clearly not been comprised in any way.

HISA requests that the Appellant’s Motion be denied and a briefing schedule on the merits 

of Mr. Poole’s appeal of the civil sanctions imposed by HISA be set.

ALL OF WHICH IS RESPECTFULLY SUBMITTED THIS 26th day of September, 2023.

HORSERACING INTEGRITY &

SAFETY AUTHORITY

/s/Bryan H. Beauman__________

STURGILL, TURNER, BARKER, &

MOLONEY, PLLC

BRYAN H. BEAUMAN

REBECCA C. PRICE

333 W. Vine Street, Suite 1500

Lexington, Kentucky 40507

Telephone: (859) 255-8581

bbeauman@sturgillturner.com

rprice@sturgillturner.com

MICHELLE C. PUJALS

ALLISON J. FARRELL

4801 Main Street, Suite 350

Kansas City, MO 64112

Telephone: (816) 291-1864

mpujals@hiwu.org

afarrell@hiwu.org

HORSERACING INTEGRITY &

WELFARE UNIT, A DIVISION OF 

DRUG FREE SPORT LLC 

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CERTIFICATE OF SERVICE

Pursuant to 16 CFR 1.146(a) and 16 CFR 4.4(b), a copy of this Response is being served 

on September 26, 2023, via Administrative E-File System and by emailing a copy to:

Hon. D. Michael Chappell

Chief Administrative Law Judge

Office of Administrative Law Judges 

Federal Trade Commission 

600 Pennsylvania Ave. NW

Washington DC 20580 

via e-mail to Oalj@ftc.gov 

April Tabor

Office of the Secretary

Federal Trade Commission

600 Pennsylvania Ave. NW

Washington, DC 20580

Via email to electronicfilings@ftc.gov

BEILLY & STROHSAHL, P.A. 

Bradford J. Beilly 

1144 S.E. 3rd Avenue

Ft. Lauderdale, FL 33316 

brad@beillylaw.com 

Attorney for Appellant

/s/Bryan H. Beauman__________

COUNSEL FOR HORSERACING 

INTEGRITY & SAFETY AUTHORITY

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