UNITED STATES DISTRICT COURT FOR THE 

NORTHEN DISTRICT OF ILLINOIS 

EASTERN DIVISION

FIDELITY BROKERAGE SERVICES LLC, ) 

 ) 

 Plaintiff, ) 

 ) 

 v. ) Civil No. 1:20-cv-2133 

 ) District Judge John J. Tharp 

JENNIFER TAYLOR, ) Magistrate Judge Susan E. Cox 

 ) 

 Defendant. ) 

Agreed Confidentiality Order 

The parties to this Agreed Confidentiality Order have agreed to the terms of this 

Order; accordingly, it is ORDERED: 

1. Scope. All materials produced or adduced in the course of discovery, 

including initial disclosures, responses to discovery requests, deposition testimony and 

exhibits, and information derived directly therefrom (hereinafter collectively 

“documents”), in either the above-referenced Court case or the pending arbitration 

action, Fidelity Brokerage Services LLC v. Jennifer Taylor, FINRA Case No. 20-01110, 

shall be subject to this Order concerning Confidential Information as defined below. This 

Order is subject to the Local Rules of this District and the Federal Rules of Civil 

Procedure on matters of procedure and calculation of time periods. 

2. Confidential Information. As used in this Order, “Confidential Information” 

means information designated as “CONFIDENTIAL-SUBJECT TO PROTECTIVE 

ORDER” by the producing party and/or non-party that falls within one or more of the 

following categories: (a) information prohibited from disclosure by statute; (b) 

information that reveals trade secrets; (c) information that the party or non-party has 

maintained as confidential; (d) medical information concerning any individual; (e) 

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personal identity information; (f) income tax returns (including attached schedules and 

forms), W-2 forms and 1099 forms; or (g) personnel or employment records of a person 

who is not a party to the case. Information or documents that are available to the public 

may not be designated as Confidential Information. 

3. Designation. 

(a) A party or non-party may designate a document as Confidential 

Information or Highly Confidential for protection under this Order by placing or affixing 

the words “CONFIDENTIAL” or “HIGHLY CONFIDENTIAL” on the document and on all 

copies in a manner that will not interfere with the legibility of the document. As used in 

this Order, “copies” includes electronic images, duplicates, extracts, summaries or 

descriptions that contain the Confidential Information. The marking “CONFIDENTIAL” or 

“HIGHLY CONFIDENTIAL” shall be applied prior to or at the time of the documents are 

produced or disclosed. Applying the marking “CONFIDENTIAL” or “HIGHLY 

CONFIDENTIAL” to a document does not mean that the document has any status or 

protection by statute or otherwise except to the extent and for the purposes of this 

Order. Any copies that are made of any documents marked “CONFIDENTIAL” or 

“HIGHLY CONFIDENTIAL” shall also be so marked, except that indices, electronic 

databases or lists of documents that do not contain substantial portions or images of the 

text of marked documents and do not otherwise disclose the substance of the 

Confidential Information are not required to be marked. 

(b) The designation of a document as Confidential Information is a 

certification by an attorney or a party appearing pro se that the document contains 

Confidential Information as defined in this order. All “HIGHLY CONFIDENTIAL” 

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designations must be based on the good faith belief that the information constitutes 

highly confidential, proprietary or trade secret information, or confidential client 

information requiring protection above and beyond that which is afforded by this 

Stipulated Order to documents marked “CONFIDENTIAL.”

4. Depositions. 

Unless all parties and participating non-parties agree on the record at the time 

the deposition testimony is taken, all deposition testimony taken in this case shall be 

treated as Confidential or Highly Confidential Information (as classified by the party 

asserting the need for protection) until the expiration of the following: No later than 

the fourteenth day after the transcript is delivered to any party, non-party or the 

witness, and in no event later than 60 days after the testimony was given, Within this 

time period, a party or non-party may serve a Notice of Designation to all parties and 

participating non-parties of record as to specific portions of the testimony that are 

designated Confidential or Highly Confidential Information, and thereafter only those 

portions identified in the Notice of Designation shall be protected by the terms of this 

Order. The failure to serve a timely Notice of Designation shall waive any designation 

of testimony taken in that deposition as Confidential or Highly Confidential Information, 

unless otherwise ordered by the Court. 

5. Protection of Confidential Material. 

(a) General Protections. Confidential and Highly Confidential 

Information shall not be used or disclosed by the parties, counsel for the parties or any 

other persons identified in subparagraph (b) for any purpose whatsoever other than in 

this litigation, including any appeal thereof. 

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(b) Limited Third-Party Disclosures. The parties and counsel for the 

parties shall not disclose or permit the disclosure of any Confidential and Highly 

Confidential Information to any third person or entity except as set forth in 

subparagraphs (1)-(9). Subject to these requirements, the following categories of 

persons may be allowed to review Confidential Information: 

(1) Counsel. Counsel for the parties and employees of counsel who 

have responsibility for the action; 

(2) Parties. Individual parties and employees of a party but only to the 

extent counsel determines in good faith that the employee’s 

assistance is reasonably necessary to the conduct of the litigation 

in which the information is disclosed; 

(3) The Court and its personnel and the FINRA Panel in the Arbitration 

Action and FINRA personnel; and 

(4) Court Reporters and Recorders. Court reporters and recorders 

engaged for depositions; 

(5) Contractors. Those persons specifically engaged for the limited 

purpose of making copies of documents or organizing or 

processing documents, including outside vendors hired to process 

electronically stored documents; 

(6) Consultants and Experts. Consultants, investigators, or experts 

employed by the parties or counsel for the parties to assist in the 

preparation and trial of this action but only after such persons have 

completed the certification contained in Attachment A, 

Acknowledgment of Understanding and Agreement to Be Bound; 

(7) Witnesses at depositions. During their depositions, witnesses in this 

action to whom disclosure is reasonably necessary. Witnesses shall 

not retain a copy of documents containing Confidential Information, 

except witnesses may receive a copy of all exhibits marked at their 

depositions in connection with review of the transcripts. Pages of 

transcribed deposition testimony or exhibits to depositions that are 

designated as Confidential Information pursuant to the process set 

out in this Order must be separately bound by the court reporter 

and may not be disclosed to anyone except as permitted under this 

Order. 

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(8) Author or recipient. The author or recipient of the document (not 

including a person who received the document in the course of 

litigation); and 

(9) Others by Consent. Other persons only by written consent of the 

producing party or non-party or upon order of the Court and on 

such conditions as may be agreed or ordered. 

(c) Subject to these requirements, the following categories of persons 

may be allowed to review Highly Confidential Information: 

(1) the Court, or any Court personnel, and any court reporter or 

videographer recording or transcribing testimony in a deposition or 

hearing in the Actions; and 

(2) Counsel, including outside and in-house counsel, for the 

Parties, and their paralegals, law clerks, and clerical staff who are 

providing assistance with the Actions; and 

(3) any person identified from the four corners of the 

information, document or thing itself as having authored or 

previously received the information, document or thing; and 

(4) any technical advisor (defined below) retained or employed 

by any party for the purposes of the Actions, provided that said 

technical advisors have executed a certification as referenced 

below; and 

(5) other persons who may be specifically designated by 

consent of all attorneys of record or pursuant to an Order of the 

Court, provided that said person has executed a certification in 

accordance with Paragraph 8 below; 

(6) the FINRA Panel in the Actions or FINRA personnel; and 

(7) any party or employee of a party under the following 

conditions only: counsel for the parties may show, discuss and 

review HIGHLY CONFIDENTIAL information and materials with a 

party or an employee of a party, but the party or employee of the 

party may not (1) keep a copy of the HIGHLY CONFIDENTIAL 

materials; (2) view the HIGHLY CONFIDENTIAL materials outside 

the direct supervision of counsel; (3) take notes concerning the 

content of the HIGHLY CONFIDENTIAL materials; (4) discuss or 

disclose the contents of the HIGHLY CONFIDENTIAL materials 

with or to other employees (excluding named parties) or third 

parties unless these third parties are technical advisors (as defined 

in paragraph 8); and/or use the HIGHLY CONFIDENTIAL materials 

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for any purpose other than in connection with the prosecution or 

defense of the Actions. 

(c) Control of Documents. Counsel for the parties shall make 

reasonable efforts to prevent unauthorized or inadvertent disclosure of Confidential 

and Highly Confidential Information. Counsel shall maintain the originals of the forms 

signed by persons acknowledging their obligations under this Order for a period of 

three years after the termination of the case. 

6. Inadvertent Failure to Designate. An inadvertent failure to designate a 

document as Confidential Information does not, standing alone, waive the right to so 

designate the document; provided, however, that a failure to serve a timely Notice of 

Designation of deposition testimony as required by this Order, even if inadvertent, 

waives any protection for deposition testimony. If a party or non-party designates a 

document as Confidential or Highly Confidential Information after it was initially 

produced, the receiving party, on notification of the designation, must make a 

reasonable effort to assure that the document is treated in accordance with the 

provisions of this Order. No party shall be found to have violated this Order for failing 

to maintain the confidentiality of material during a time when that material has not 

been designated Confidential or Highly Confidential Information, even where the 

failure to so designate was inadvertent and where the material is subsequently 

designated Confidential or Highly Confidential Information. 

7. Filing of Confidential Information. This Order does not, by itself, 

authorize the filing of any document under seal. Any party wishing to file a document 

designated as Confidential or Highly Confidential Information in connection with a 

motion, brief or other submission to the Court must comply with LR 26.2.

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8. No Greater Protection of Specific Documents. Except on privilege 

grounds not addressed by this Order, no party or non-party may withhold or redact 

information from discovery on the ground that it requires protection greater than that 

afforded by this Order unless the party moves for and obtains an order providing such 

special protection. Consistent with Fed. R. Civ. P. 5.2(a), a producing party or nonparty may also redact: (1) all but the last four digits of any social-security number or 

taxpayer-identification number; (2) the day and month (but not year) of an individual’s 

birthdate; (3) the name of any individual known to be a minor; and (4) all but the last 

four digits of any financial-account number. A producing party or non-party that 

withholds or redacts information from discovery on the grounds of privilege must 

provide a privilege log containing the information required by Fed. R. Civ. P. 26(b)(5). 

9. Challenges by a Party to Designation as Confidential or Highly 

Confidential Information. The designation of any material or document as Confidential 

or Highly Confidential Information is subject to challenge by any party. The following 

procedure shall apply to any such challenge. 

(a) Meet and Confer. A party challenging the designation of 

Confidential or Highly Confidential Information must do so in good faith and must begin 

the process by conferring directly with counsel for the designating party. In conferring, 

the challenging party must explain the basis for its belief that the confidentiality 

designation was not proper and must give the designating party an opportunity to review 

the designated material, to reconsider the designation, and, if no change in designation 

is offered, to explain the basis for the designation. The designating party must respond 

to the challenge within five (5) business days. 

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(b) Judicial Intervention. A party that elects to challenge a 

confidentiality designation may file and serve a motion that identifies the challenged 

material and sets forth in detail the basis for the challenge. Each such motion must be 

accompanied by a competent declaration that affirms that the movant has complied with 

the meet and confer requirements of this procedure. The burden of persuasion in any 

such challenge proceeding shall be on the designating party or non-party. Until the 

Court rules on the challenge, all parties shall continue to treat the materials as 

Confidential or Highly Confidential Information under the terms of this Order.

10. Action by the Court. Applications to the Court for an order relating to 

materials or documents designated Confidential or Highly Confidential Information shall 

be by motion. Nothing in this Order or any action or agreement of a party under this 

Order limits the Court’s power to make orders concerning the disclosure of documents 

produced in discovery or at trial.

11. Use of Confidential or Highly Confidential Documents or Information at 

Trial. Nothing in this Order shall be construed to affect the use of any document, 

material, or information at any trial or hearing. A party that intends to present or that 

anticipates that another party may present Confidential information at a hearing or trial 

shall bring that issue to the Court’s and parties’ attention by motion or in a pretrial 

memorandum without disclosing the Confidential or Highly Confidential Information. The 

Court may thereafter make such orders as are necessary to govern the use of such 

documents or information at trial. 

12. Confidential or Highly Confidential Information Subpoenaed or Ordered 

Produced in Other Litigation. 

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(a) If a receiving party is served with a subpoena or an order issued in 

other litigation that would compel disclosure of any material or document designated in 

this action as Confidential or Highly Confidential Information, the receiving party must 

so notify the designating party or producing non-party, in writing, immediately and in no 

event more than three court days after receiving the subpoena or order. Such 

notification must include a copy of the subpoena or court order. 

(b) The receiving party also must immediately inform in writing the 

party who caused the subpoena or order to issue in the other litigation that some or all 

of the material covered by the subpoena or order is the subject of this Order. In 

addition, the receiving party must deliver a copy of this Order promptly to the party in 

the other action that caused the subpoena to issue. 

(c) The purpose of imposing these duties is to alert the interested 

persons to the existence of this Order and to afford the designating party or producing 

non-party in this case an opportunity to try to protect its Confidential or Highly 

Confidential Information in the court from which the subpoena or order issued. The 

designating party or producing non-party shall bear the burden and the expense of 

seeking protection in that court of its Confidential or Highly Confidential Information, and 

nothing in these provisions should be construed as authorizing or encouraging a 

receiving party in this action to disobey a lawful directive from another court. The 

obligations set forth in this paragraph remain in effect while the party has in its 

possession, custody or control Confidential or Highly Confidential Information by the 

other party to this case. 

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13. Challenges by Members of the Public to Sealing Orders. A party or 

interested member of the public has a right to challenge the sealing of particular 

documents that have been filed under seal, and the party asserting confidentiality will 

have the burden of demonstrating the propriety of filing under seal. 

14. Obligations on Conclusion of Litigation. 

(a) Order Continues in Force. Unless otherwise agreed or ordered, this Order 

shall remain in force after dismissal or entry of final judgment not subject to further 

appeal. 

(b) Obligations at Conclusion of Litigation. Within sixty-three days after 

dismissal or entry of final judgment not subject to further appeal, all Confidential 

and Highly Confidential Information and documents marked “CONFIDENTIAL” or 

“Highly Confidential” under this Order, including copies as defined in ¶ 3(a), shall 

be returned to the producing party or non-party unless: (1) the document has 

been offered into evidence or filed without restriction as to disclosure; (2) the 

parties agree to destruction to the extent practicable in lieu of return; or (3) as to 

documents bearing the notations, summations, or other mental impressions of 

the receiving party, that party elects to destroy the documents and certifies to the 

producing party or non-party that it has done so.

(c) Retention of Work Product and one set of Filed Documents. 

Notwithstanding the above requirements to return or destroy documents, counsel may 

retain (1) attorney work product, including an index that refers or relates to designated 

Confidential or Highly Confidential Information so long as that work product does not 

duplicate verbatim substantial portions of Confidential or Highly Confidential 

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Information, and (2) one complete set of all documents filed with the Court including 

those filed under seal. Any retained Confidential or Highly Confidential Information shall 

continue to be protected under this Order. An attorney may use his or her work product 

in subsequent litigation, provided that its use does not disclose or use Confidential or 

Highly Confidential Information.

(d) Deletion of Documents filed under Seal from Electronic Case Filing 

(ECF) System. Filings under seal shall be deleted from the ECF system only upon order 

of the Court.

15. Order Subject to Modification. This Order shall be subject to 

modification by the Court on its own initiative or on motion of a party or any other 

person with standing concerning the subject matter. 

16. No Prior Judicial Determination. This Order is entered based on the 

representations and agreements of the parties and for the purpose of facilitating 

discovery. Nothing herein shall be construed or presented as a judicial determination 

that any document or material designated Confidential or Highly Confidential Information 

by counsel or the parties is entitled to protection under Rule 26(c) of the Federal Rules 

of Civil Procedure or otherwise until such time as the Court may rule on a specific 

document or issue.

17. Persons Bound. This Order shall take effect when entered and shall be 

binding upon all counsel of record and their law firms, the parties, and persons made 

subject to this Order by its terms.

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So Ordered. 

Date: June 24, 2020 John J. Tharp, Jr.

United States District Judge

WE SO MOVE WE SO MOVE 

and agree to abide by the and agree to abide by the 

terms of this Order terms of this Order 

 /s/ Susan M. Guerette /s/ Christopher S. Griesmeyer 

Susan M. Guerette, Esquire Christopher Griesmeyer, Esquire 

FISHER & PHILLIPS LLP Greiman, Rome & Griesmeyer, LLC 

Two Logan Square, 12th Floor 205 West Randolph Street, Suite 2300 

100 N. 18th Street Chicago, Illinois 60606 

Philaldelphia, PA 19103 

Counsel for Plaintiff Counsel for Defendant 

Fidelity Brokerage Services LLC Jennifer Taylor 

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ATTACHMENT A 

UNITED STATES DISTRICT COURT FOR THE 

NORTHEN DISTRICT OF ILLINOIS 

EASTERN DIVISION

FIDELITY BROKERAGE SERVICES LLC, ) 

 ) 

 Plaintiff, ) 

 ) 

 v. ) Civil No. 1:20-cv-2133 

 ) District Judge John J. Tharp 

JENNIFER TAYLOR, ) Magistrate Judge Susan E. Cox 

 ) 

 Defendant. ) 

ACKNOWLEDGMENT 

AND 

AGREEMENT TO BE BOUND 

The undersigned hereby acknowledges that he/she has read the Confidentiality 

Order dated June 24, 2020 in the above-captioned action and attached hereto, 

understands the terms thereof, and agrees to be bound by its terms. The undersigned 

submits to the jurisdiction of the United States District Court for the Northern District of 

Illinois in matters relating to the Confidentiality Order and understands that the terms 

of the Confidentiality Order obligate him/her to use materials designated as 

Confidential Information in accordance with the Order solely for the purposes of the 

above-captioned action, and not to disclose any such Confidential Information to any 

other person, firm or concern. 

 

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The undersigned acknowledges that violation of the Confidentiality Order may

result in penalties for contempt of court. 

Name: 

Job Title: 

Employer: 

Business Address: 

 

Date:___________________ ________________________ 

Signature

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