Judge Laura Taylor Swain — United States District Court, Southern District of New York

Advice of Rights (English)

Revised: February 26, 2013 ADVICE OF RIGHTS FORM United States of America v. Cr. (LTS) I have received and read a copy of the indictment or information and understand the nature of the charges made against me. I have had the opportunity to tell my lawyer all I know about the matters referred to in the indictment or information. I understand the nature of the charges against me, my constitutional rights, and the punishment that could be imposed by the Court upon my plea of guilty, including: any maximum and mandatory minimum terms of imprisonment; the effect of any term of supervised release that may be imposed; the possibility of an order of forfeiture; the possibility of an order of restitution if any financial injury was caused by the offense; the fact that the Court must consider any applicable sentencing guidelines as well as the other factors enumerated in Title 18, United States Code, Section 3553(a), in imposing sentence; and the fact that the Court may depart from the sentencing guidelines in some circumstances. I understand that if I plead not guilty to any count or counts in the indictment or information: • I would be presumed under the law to be innocent of the charges against me in such count or counts. • I would be entitled to a speedy, public trial by an impartial jury in which the burden would be upon the Government to establish my guilt beyond a reasonable doubt to the satisfaction of all 12 jurors. • Upon such trial (1) I would be entitled to remain silent and no inference could be drawn against me because of my silence; (2) I could, if I wished, testify on my behalf; (3) I would be entitled, through my lawyer, to confront and cross-examine all witnesses against me; and (4) I would be entitled to compulsory process of the Court to obtain witnesses to testify and evidence to be offered in my defense. I understand that if my plea of guilty to any count or counts is accepted by the Court, I will give up the foregoing rights with respect to such count or counts and the Court will have the same power to sentence me as if a jury had brought in a verdict of guilty with respect to such count or counts. My decision to plead guilty is freely and voluntarily made. I have not been induced to plead guilty to any count by any promises other than those contained in any written plea agreement that I have signed, if such an agreement exists. No one has promised me that I would receive leniency, a lesser sentence, or any other consideration if I pleaded guilty instead of going to trial. I have not been induced to plead guilty by any force or coercion. I understand that, if my guilty plea is accepted and I am adjudged guilty, that adjudication may deprive me of valuable civil rights, such as the right to vote, the right to hold public office, the Advice of Rights Form

right to serve on a jury, and the right to possess any kind of firearm, if I currently have or could otherwise attain such rights. If I am not a citizen of the United States, I have had an opportunity to discuss the possible immigration consequences of my plea with my lawyer; I understand that, if I plead guilty, there may be adverse effects on my immigration status, including further detention following completion of my sentence and removal or deportation from the United States. I am pleading guilty because after discussing the case with my attorney I believe that I am guilty. I am satisfied with how my lawyer has represented me.
I have had a full opportunity to discuss with my lawyer whether there are any meritorious defenses to the count or counts to which I am pleading guilty. I understand that, by pleading guilty, I am giving up the right to assert any such defenses. I have had a full opportunity to discuss with my lawyer whether there is a basis to seek suppression of some or all of the evidence against me on the ground that my constitutional rights were violated. I understand that, by pleading guilty, I am giving up the right to seek suppression of any of the evidence against me, unless the Court, as a condition of my guilty plea, specifically permits me to retain the right to appeal the denial of any suppression motion I have made or joined. I am not under the influence of any substance, such as medication, narcotics or alcohol, that would affect my ability to understand the nature and consequences of my action in pleading guilty. I have read and fully understand the foregoing statement. Signature of Defendant Dated: Signature of Interpreter I, the lawyer for the above-named defendant, have reviewed the foregoing with the defendant, have explained to the defendant the nature of the charges against him or her; his or her constitutional rights; the punishment that could be imposed upon entering a guilty plea; and, if applicable, the possible immigration consequences of his or her guilty plea. The defendant has had a full opportunity to discuss with me whether there are any meritorious defenses to the count or counts to which the defendant is pleading guilty. I have explained to the defendant that, by pleading guilty, he or she is waiving the right to assert any such defense. The defendant has also had a full opportunity to discuss with me whether there is a basis to seek suppression of some or all of the evidence against him or her on the ground that his or her constitutional rights were violated. I have explained to the defendant that, by pleading guilty, he or she is giving up the right to seek suppression of any of the evidence against him or her, unless the Court, as a condition of the guilty plea, specifically permits the defendant to retain the right to appeal the denial of any suppression motion he or she may have made or joined. Dated: Signature of Lawyer Advice of Rights Form

Advice of Rights (Spanish)

Revisado: February 26, 2013 TRADUCCIÓN FORMULARIO NOTIFICACIÓN DE DERECHOS Estados Unidos de América c. Cr. (LTS) He recibido y leído una copia de la acusación formal o escrito acusatorio de la fiscalía y entiendo la naturaleza de los cargos en mi contra. He tenido oportunidad de decirle a mi abogado todo lo que sé sobre los asuntos a que se refiere la acusación formal o el escrito acusatorio de la fiscalía. Entiendo la naturaleza de los cargos en mi contra, mis derechos constitucionales y la pena que podría imponerme el juez si me declarase culpable, incluso los plazos máximos y mínimos obligatorios de prisión, el efecto de cualquier plazo de libertad supervisada que pudiera fijarse, la posibilidad de que se ordene el decomiso de bienes, la posibilidad de que se ordene una indemnización por daños y perjuicios si el delito hubiera causado un perjuicio monetario, y el hecho de que, al dictar la sentencia el juez debe considerar las pautas de pena aplicables y los demás factores enumerados en el título 18 U.S.C. § 3553(a), y que este, en algunas circunstancias, puede no aplicar dichas pautas. Entiendo que si me declarase inocente (no culpable) de cualquier cargo o cargos de la acusación formal o escrito acusatorio de la fiscalía: • Se presumiría, de conformidad con la ley, que soy inocente de las acusaciones en mi contra en relación con dicho cargo o cargos. • Tendría derecho a un juicio sin demora, público, con un jurado imparcial, juicio en el que la Fiscalía tendría la obligación de demostrar mi culpa más allá de toda duda razonable, y convencer de ello a los 12 miembros del jurado. • Durante tal juicio: (1) tendría el derecho de guardar silencio, y no podría inferirse nada en mi contra debido a mi silencio; (2) podría, si lo deseara, prestar testimonio en mi defensa; (3) tendría el derecho, por intermedio de mi abogado, de confrontar a todo testigo que declarase contra mi y de hacerle repreguntas; y (4) tendría el derecho de que se ordenase la comparecencia de testigos a declarar y la producción de pruebas en mi defensa. Entiendo que, si el juez acepta mi declaración de culpabilidad respecto de cualquier cargo o cargos, habré renunciado a los derechos antes mencionados respecto de dicho cargo o cargos y que el juez tendrá la misma facultad de condenarme que si un jurado me hubiera declarado culpable respecto de tal cargo o cargos. Tomo la decisión de declararme culpable libre y voluntariamente. No he sido inducido a declararme culpable de ningún cargo por ninguna promesa que se me haya hecho, salvo lo que figure en algún convenio escrito y firmado por mí, si lo hubiera, relativo a mi declaración de culpabilidad. Nadie me ha dicho que recibiré clemencia, una pena menor ni alguna otra consideración si me declaro culpable en vez de optar por el juicio. No he sido inducido a declararme culpable por fuerza ni coacción. Entiendo que, si se acepta mi declaración de culpabilidad y se me declara culpable, esa decisión podría privarme de valiosos derechos civiles, como el derecho a votar, ejercer cargos públicos, desempeñarme como jurado y tener armas de fuego de cualquier tipo, si actualmente Advice of Rights (Spanish)

tuviese esos derechos o pudiese llegar a adquirirlos. Si no soy ciudadano de los Estados Unidos de América, he tenido oportunidad de consultar con mi abogado respecto de las consecuencias que mi declaración de culpabilidad podría tener respecto de mi situación de inmigrante. Entiendo que, si me declarase culpable, podría afectarse de manera adversa mi situación de inmigrante, incluida la posibilidad de quedar detenido durante un período adicional una vez cumplida la condena y de que se me expulse o deporte de los Estados Unidos. Me declaro culpable porque, después de haber consultado el caso con mi abogado, creo que soy culpable. Estoy conforme con la forma en que me ha representado mi abogado. He tenido plena oportunidad de consultar con mi abogado acerca de todas las defensas de fondo que pudiesen existir respecto del cargo o cargos de los que me declaro culpable. Entiendo que, al declararme culpable, renuncio a todo derecho que pudiera tener para hacer valer ese tipo de defensas. He tenido plena oportunidad de consultar con mi abogado acerca de si hay algún fundamento para pedir la exclusión de alguna de las pruebas en mi contra, sobre la base de la violación de alguno de mis derechos constitucionales. Entiendo que, al declararme culpable, renuncio al derecho de pedir que se excluyan pruebas en mi contra, salvo que el juez, como condición para que me declare culpable, me permita específicamente conservar el derecho de apelar de la resolución denegatoria de alguna petición de exclusión de pruebas presentada por mí o a la que me haya adherido. No me encuentro bajo los efectos de ninguna sustancia, como medicamentos, estupefacientes o bebidas alcohólicas, que pudiera afectar mi capacidad de entender la naturaleza y las consecuencias de mi declaración de culpabilidad. He leído y entiendo completamente la declaración precedente.

Firma del Acusado Fechado:

Firma del Intérprete I, the lawyer for the above-named defendant, have reviewed the foregoing with the defendant, have explained to the defendant the nature of the charges against him or her; his or her constitutional rights; the punishment that could be imposed upon entering a guilty plea; and, if applicable, the possible immigration consequences of his or her guilty plea. The defendant has had a full opportunity to discuss with me whether there are any meritorious defenses to the count or counts to which the defendant is pleading guilty. I have explained to the defendant that, by pleading guilty, he or she is waiving the right to assert any such defense. The defendant has also had a full opportunity to discuss with me whether there is a basis to seek suppression of some or all of the evidence against him or her on the ground that his or her constitutional rights were violated. I have explained to the defendant that, by pleading guilty, he or she is giving up the right to seek suppression of any of the evidence against him or her, unless the Court, as a condition of the guilty plea, specifically permits the defendant to retain the right to appeal the denial of any suppression motion he or she may have made or joined. Dated:

Signature of Lawyer Advice of Rights (Spanish)

General Rules for Trial Counsel

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK JUDGE LAURA TAYLOR SWAIN The following rules apply to all civil and criminal matters pending before Judge Swain on and after May 27, 2014. General Rules for Trial Counsel Procedures in Cases That are Set for Trial Counsel with either jury or bench cases set for trial are requested to comply with the following procedures: (1) All trial settings are firm, depending upon the availability of the Court. It is not safe to assume that the cases set ahead of yours will proceed to trial. They may settle or have to be continued on the morning of trial because of some unexpected development. The Courtroom Deputy will be happy to answer your questions as to how the call appears, but reliance upon such information will not justify a continuance. (2) If the case is settled, or if in a criminal case the defendant decides to change his or her plea, please notify the Courtroom Deputy without delay so that another case can be scheduled in your place. Please do not wait until the day of trial to inform the Court the case has previously been settled or that the defendant has previously decided to plead guilty. (3) All exhibits must be marked prior to the session of the trial at which they are to be introduced. No trial time will be used for this purpose. Trial Schedule Trials will generally be conducted Monday through Thursday from 9:00 a.m. to 4:15 p.m. The Court will be available to meet with counsel from 9:00 a.m. to 9:15 a.m. Testimony will begin at 9:15 a.m. A luncheon recess will run from 1:00 p.m. to 2:00 p.m. Jurors may deliberate on Fridays. Objections During Jury Trials (1) Sidebar conferences will be kept to a minimum. GENRULES.WPD MAY 27, 2014

(2) Any anticipated evidentiary problems should be brought to the attention of opposing counsel and the Court in advance–either before the morning session, at the break, or at the end of the day–in order to avoid the need for sidebar conferences. (3) If counsel finds it necessary to interpose an objection while the jury is present, counsel should stand, state the word “Objection,” and then communicate the substance of the objection to the questioner out of the hearing of the jury in an effort to resolve the objection (by, for example, agreeing that the question will be rephrased or further foundation laid) without a ruling from the Court. If the objection cannot be resolved in this fashion and the objector does not believe the matter can be held for the next recess, counsel may request a sidebar conference. (4) Unless specifically directed by the Court to do so, do not argue an objection in the presence of the jury. Do not make motions (e.g., a motion for a mistrial) in the presence of the jury. Such matters may be raised at the next recess. Exhibits Counsel are responsible for marking their own exhibits. Counsel must give a copy of each exhibit to the Court before using it at trial. In civil trials, counsel must exchange copies of their trial exhibits and provide a set for use by the Court before trial begins (see applicable scheduling orders and/or Judge Swain’s Individual Practices Rules). On the day of trial, counsel must bring additional pre-marked copies for use by witnesses, the Courtroom Deputy, the Court Reporter, opposing parties and (if applicable) the jury. The Court’s copies of the pre-marked exhibits should be assembled sequentially in a notebook and tabbed or, if a party prefers, each exhibit may be placed in a separate manila folder with number or letter visible on the lip, and the folder placed in a suitable container or box for ready reference. Each counsel must provide to the Court three copies of his or her final exhibit list. Counsel must also provide copies to the Court of any depositions which are intended to be offered, in whole or part, into evidence. Depositions are not generally to be offered in their entirety. Except in the rare instance where all the testimony is relevant, copy the relevant pages only, staple the extracts from each deposition, and offer each as an exhibit. Except where otherwise directed by the Court, each side of the case keeps track of its own exhibits. Counsel are responsible for ensuring that exhibits sent in to the jury are genuine and actually have been received in evidence. GENRULES.WPD MAY 27, 2014

Conduct of Counsel During Trial Your compliance with the following requests will be greatly appreciated: (1) Be on time for each court session. Trial engagements take precedence over any other business. If you have matters in other courtrooms, arrange in advance to have them continued or have a colleague handle them for you. (2) Court time may not be used for marking exhibits. This must be done in advance of the court session. (3) Please stand whenever you address the Court. This includes the making of objections. (Counsel with physical disabilities will be excused from this requirement as necessary.) (4) Please stand a respectful distance from the jury at all times, addressing the jury and witnesses from the podium only, unless the Court gives you permission to approach the witness or to publish an exhibit to the jury. (5) In your opening statement to the jury, do not argue the case and do not discuss the law. Please confine yourself to a concise summary of the important facts. (6) Stand at the podium when you question witnesses. (Counsel with physical disabilities will be excused from this requirement as necessary.) Do not pace about the courtroom when making arguments or questioning witnesses. This distracts the jury and wastes time. (7) If you intend to question a witness about a group of documents, avoid delay by having all the documents with you when you start the examination. (8) Please commence your cross-examination without preliminaries. (9) Do not face or otherwise appear to address yourself to jurors when questioning a witness. (10) The jury should hear the instructions on the law of the case from the Court, an impartial source. In your final argument, you may tell the jury what you believe the substance of the Court’s instruction on a particular subject will be, but do not read or quote any instruction. (11) Please address all remarks to the Court, not to opposing counsel. (12) Avoid disparaging or disrespectful personal remarks or acrimony toward opposing counsel and remain wholly detached from all ill feeling between GENRULES.WPD MAY 27, 2014

the litigants or witnesses. (13) Please refer to all persons, including witnesses, other counsel, and parties by their surnames and not by their first or given names. (14) Only one attorney for each party shall examine, or cross-examine, each witness. The attorney stating objections, if any, during direct examination, will be the attorney recognized for cross-examination. (15) In examining a witness, counsel should not repeat or echo the answer given by the witness. (16) Counsel must admonish all persons at counsel table that gestures, facial expressions, audible comments, or the like, as manifestations of approval or disapproval during the testimony of witnesses, or at any other time, are absolutely prohibited. GENRULES.WPD MAY 27, 2014

Individual Practices

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK INDIVIDUAL PRACTICES OF CHIEF JUDGE LAURA TAYLOR SWAIN

The following Individual Practices Rules apply to all civil and criminal matters pending before Chief Judge Swain on and after January 14, 2026.

Special notice to pro se parties: Pro se parties are directed to submit all filings and communications addressed to Judge Swain, whether related to a case pending before the Court, or to a matter the party wishes to direct to Judge Swain in her capacity as Chief Judge, through the Court’s Pro Se Intake Unit. Information about the Court’s Pro Se Intake Unit and how to submit filings to that Unit is available on the Court’s website, at https://www.nysd.uscourts.gov/prose. Submissions emailed, mailed, or faxed directly to Judge Swain’s chambers by pro se parties may be disregarded.

Contents

A. General Provisions 1. Communications with Chambers 2. Motions 3. Pretrial Procedures 4. Proposed Orders and Judgments 5. Redactions and Filing Under Seal 6. Pro Se Parties 7. Participation by Junior Attorneys

B. Criminal Cases 1. Initial Pretrial Conference 2. Substitution of Counsel 3. Motions 4. Applications to File Under Seal 5. Pleas 6. Trial Procedures 7. Sentencing

Unless otherwise ordered by Judge Swain, matters before Judge Swain shall be conducted in accordance with the following practices:

A. General Provisions

Communications with Chambers

a. Letters - ECF Filing and Electronic Courtesy Copies.

i. In general. Except as otherwise provided below, communications with Chambers must be by letter. Unless there is a request to file a letter under seal or a letter contains sensitive or confidential information that the sender believes should not be filed electronically (see subdivision A.5 below), all letters to the Court must be filed electronically on the ECF system.

ii. Confidential Information – Sealing and/or Redaction Requests. See subdivision A.5. below.

iii. Length, Format, etc. Whether filed electronically or not, letters (together with any related exhibits) may not exceed 3,500 words. All letters must be labeled with the name and docket number of the case, the Judge’s initials (LTS), and (for civil cases) the Magistrate Judge’s initials. Letters solely between parties or their counsel or otherwise not addressed to the Court may not be filed on ECF or sent to the Court (except as exhibits to an otherwise properly filed document).

b. Prior Consultation with Opposing Parties Required. Prior to requesting judicial action, the requesting counsel must consult with all other parties in an effort to obtain their consent to the request. The letter to the Court must confirm that such effort has been made and must indicate whether the request is being made on consent. See also subdivision 2.b. below.

c. Communications with Chambers by represented parties should be made by email, directed to SwainNYSDCorresp@nysd.uscourts.gov. All counsel must be copied, unless the email concerns an ex parte matter.

d. Docketing, scheduling, and calendar matters. For docketing, scheduling and calendar matters, represented parties should email Chambers, copying all counsel, at SwainNYSDCorresp@nysd.uscourts.gov.

e. Requests for adjournments or extensions of time. All requests for adjournments or extensions of time must be made in writing and filed on ECF as letter-motions.
If such a request in a criminal case contains sensitive or confidential information, it may be submitted by email, to SwainNYSDCorresp@nysd.uscourts.gov, in lieu of electronic filing. A sensitive or confidential letter-motion in a civil case must be filed on ECF in accordance with the pertinent ECF sealed filing procedures (see subdivision A.5. below). The letter-motion must state (1) the original date, (2) the number of previous requests for adjournment or extension, (3) whether these

previous requests were granted or denied, and (4) whether the adversary consents, and, if not, the reasons given by the adversary for refusing to consent. If the requested adjournment or extension affects any other scheduled dates, a proposed Revised Scheduling Order must be submitted in accordance with the ECF procedures. If the request is for an adjournment of a court appearance, absent an emergency it must be made at least 48 hours prior to the scheduled appearance.

f. Courtesy Copies Required. A courtesy copy of all letters, motions, pleadings, and other filings must be promptly emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov. The courtesy copy of any submission filed on ECF must be a copy of the filed version of the submission and must include the automatically-generated ECF header (that is, the text – for example, “Case 1:20- cv-01234-ABC Document 100 Filed 09/03/20 Page 1 of 1”– appearing at the top of each page of a document on the ECF system). No paper courtesy copies need to be submitted, unless requested by Chambers.

Motions

a. Pre-motion conferences in civil matters. For discovery motions, follow Local Civil Rule 37.2. For motions other than discovery motions, pre-motion conferences are not required. Compliance with the certification requirement of subdivision b. below is, however, required for all civil case motions, whether discovery-related or not.

b. Informal efforts to resolve issues required.

i. Pre-motion communications.

(1) In civil matters, prior to making a motion of any type, and prior to requesting a conference on any discovery issues, the parties must use their best efforts to resolve informally the matters in controversy. Such efforts must include, but need not be limited to, an exchange of letters outlining their respective legal and factual positions on the matters and at least one telephonic or in-person discussion of the matters.

(2) If a motion pursuant to Fed. R. Civ. P. 12(b)(6) or 12(c) is contemplated, the plaintiff or counterclaimant must indicate whether it wishes to amend the subject pleading prior to motion practice, and the parties must consider in good faith a stipulation permitting such amendment.

ii. Certification in notice of motion. If a motion or a discovery conference request remains necessary in a civil matter, the notice of motion or written discovery conference request must include a separate paragraph certifying

in clear terms that the movant or requesting party has used its best efforts to resolve informally the matters raised in its submission. If the motion is one pursuant to Fed. R. Civ. P. 12(b)(6) or 12(c), the certification must also state whether the challenged pleading has been amended in response to the arguments raised in the motion.

Statement by non-moving party. Within seven (7) days after a motion pursuant to Rule 12(b)(6) or 12(c) is filed, the non-moving party must, by letter, filed on the ECF system, notify the moving party of its intent to amend the complaint as of right, make any request for leave to amend in response to the motion, or state that it will file its opposition to the motion without further amendment. If no letter is filed within seven (7) days, the motion will be briefed in accordance with Local Civil Rule 6.1. If the pleading will be amended as of right, briefing of the motion is stayed pending the timely filing of the amendment. If leave to amend is requested, briefing on the motion is stayed pending the Court’s resolution of the request.

c. Letter-Motions. All requests for adjournments, extensions and pre-motion conferences (including pre-motion conferences with respect to discovery disputes) should be filed as letter-motions. Letter-motions must be filed via ECF in compliance with the S.D.N.Y. Local Rules and the S.D.N.Y. “Electronic Case Filing Rules and Instructions.”

d. Motions for default judgment. A party wishing to obtain a default judgment must notify the Court by letter (copied to the party against which a default judgment is to be sought and filed on the ECF System) of its desire to seek a default judgment.
The Court will enter an order directing the party as to whether evidentiary submissions will be required in connection with the motion. Default judgments will be granted only upon written motion with notice to Defendant(s) and their counsel, if known. A copy of the Clerk’s Certificate of Default, an affidavit or declaration in accordance with Local Civil Rule 55.2(a)(1), and proof of service of the Summons and Complaint, the Motion for Default Judgment, the Clerk’s Certificate of Default and the aforementioned affidavit or declaration must be attached to the Motion for Default Judgment, along with any other material the Court directs be included in the motion papers. The Motion for Default Judgment must also include the papers required by Local Civil Rule 7.1, including a memorandum of law, and must be accompanied by a proposed order detailing the proposed judgment to be entered.

e. Motions for withdrawal or displacement of attorney of record in civil matters.
An attorney who has appeared as attorney of record for a party in a civil matter may be relieved or displaced in accordance with Local Civil Rule 1.4.

f. Evidentiary support. Evidentiary support, in admissible form, of all factual assertions relied upon in support of or in opposition to a motion must be filed and served with the moving or opposition papers, as the case may be. Recitals in notices of motion, attorneys’ affirmations, assertions of material factual matters “on information and belief” and the like are generally insufficient to establish factual matters.

g. Briefing. Unless otherwise directed by the Court in the particular case, motions in civil matters must be briefed in accordance with the schedule set forth in Local Civil Rule 6.1.

h. Memoranda of law. Unless prior permission has been granted, if filed by an attorney or prepared with a computer, memoranda of law in support of and in opposition to motions are limited to 8,750 words, and reply memoranda are limited to 3,500 words; if filed by a party who is not represented by an attorney and handwritten or prepared with a typewriter, briefs in support of and in response to a motion may not exceed 25 pages, and reply briefs may not exceed 10 pages. These limitations do not include the caption, any index, table of contents, table of authorities, signature blocks, or any required certificates, but do include material contained in footnotes or endnotes. If a brief is filed by an attorney or prepared with a computer, it must include a certificate by the attorney, or party who is not represented by an attorney, that the document complies with the word‐count limitations. The person preparing the certificate may rely on the word count of the word‐processing program used to prepare the document. The certificate must state the number of words in the document. To the extent the court permits a party to submit briefs longer than these limits, and expresses those limits in pages, each additional page must not contain more than 350 additional words if the brief is filed by an attorney or prepared with a computer. Memoranda of 10 pages or more must contain a table of contents. The format of the documents must comply with Local Civil Rule 7.1.

i. Filing of motion papers. Motion papers must be filed at the time of service or promptly thereafter.

j. Oral argument and evidentiary proceedings on motions. Parties may request oral argument and/or indicate the need for an evidentiary hearing at the time their moving, opposing or reply papers are filed, by including a conspicuous notation of the request on the cover page of the relevant paper. The Court will determine whether argument will be heard and/or whether an evidentiary proceeding is required to resolve disputed factual issues and, if it determines that such an argument or proceeding is necessary, will advise counsel of the relevant date.

Pretrial Procedures

a. Joint pretrial statement. A joint pretrial statement must be filed, and other materials submitted, in accordance with the Pretrial Scheduling Order entered in the particular case.

Proposed Orders and Judgments

a. Submission of proposed orders and judgments. All proposed orders and judgments, including stipulations to be “so-ordered,” must be submitted in the manner required by the Court’s “Electronic Case Filing Rules and Instructions,” with a courtesy copy emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov.

b. Applications for temporary restraining orders. If a party wishes to seek a temporary restraining order, it should file a Motion for a Temporary Restraining Order, supporting documents, and a proposed order, on ECF in accordance with the procedures found in ECF Rule 18.2. Information on filing an application ex-parte may be found in section 6, Sealed Filing, of the S.D.N.Y. ECF Rules & Instructions, available on-line at https://nysd.uscourts.gov/rules/ecf-related-instructions. Where the motion is made on notice to the other parties, the moving party should simultaneously serve the documents on any party that will not receive electronic service via the ECF system. The moving party should then email chambers at SwainNYSDCorresp@nysd.uscourts.gov, giving notice of the filing and the time frame requested for Court action. (Where the motion is made on notice, all parties should be copied on the email.) If the matter is time sensitive and Chambers does not respond within two (2) hours, the moving party may contact the Clerk’s Office before the end of the business day at (212) 805-0140.

Redactions and Filing Under Seal.

a. In general. Except as provided in subdivision 5(b)(i) below, and notwithstanding any provision to the contrary in a confidentiality order or stipulation, any party wishing to file under seal and/or in redacted form any document, or any portion thereof, must make a specific request to the Court by letter-motion or motion explaining the particular reasons for seeking to file that information under seal.

b. Electronic Filing Under Seal in Civil and Miscellaneous Matters.

i. Sealing/Redactions Not Requiring Court Approval. Federal Rule of Civil Procedure 5.2 describes sensitive information that must be redacted from public court filings without seeking prior permission from the Court. Such sensitive information includes: Social Security numbers; names of minor children; dates of birth; and financial account numbers.

Other information that should be treated with caution and may warrant a motion for approval of sealed or redacted filing includes: personal identifying numbers (PIN numbers); medical records, treatment and diagnosis; employment history; individual financial information; proprietary or trade secret information; personal home addresses, email addresses, and telephone numbers; and information regarding an individual’s cooperation with the government.

Sensitive information and information requiring caution must not be included in any document filed publicly on ECF unless such inclusion is necessary and relevant to the case. If such information must be included, personal identifiers must be partially redacted in accordance with the above-cited rules and policies in order to protect any privacy interest.

ii. Sealing/Redaction Requiring Court Approval. Motions or letter-motions by represented parties for approval of sealed or redacted filings in civil and miscellaneous cases and the subject documents, including the proposed sealed document(s), must be filed electronically through the court’s ECF system in conformity with the Court’s Standing Order, 19-mc-00583 (S.D.N.Y. Dec. 19, 2019), and ECF Rules & Instructions, section 6.

The motion must be filed in public view, must explain the particular reasons for seeking to file that information under seal and should not include confidential information sought to be filed under seal. Supporting papers must be separately filed electronically and may be filed under seal or redacted only to the extent necessary to safeguard information sought to be filed under seal.

The proposed sealed document must be contemporaneously filed under seal in the ECF system and electronically related to the motion. The summary docket text, but not the sealed document, will be open to public inspection and should not include confidential information sought to be filed under seal.

Where the motion seeks approval to redact information from a document that is to be publicly filed, the filing party shall: (a) publicly file the document with the proposed redactions, and (b) electronically file under seal a copy of the unredacted document with the redactions highlighted. Both documents must be electronically filed through the ECF system and related to the motion.

To be approved, any redaction or sealing of a court filing must be narrowly tailored to serve whatever purpose justifies the redaction or sealing and must be otherwise consistent with the presumption in favor of public access to judicial documents. See, e.g., Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 119-20 (2d Cir. 2006). In general, the parties’ consent or the fact

that information is subject to a confidentiality agreement between litigants is not, by itself, a valid basis to overcome the presumption in favor of public access to judicial documents. See, e.g., In re Gen. Motors LLC Ignition Switch Litig., No. 14-MD-2543-JMF, 2015 WL 4750774, at *4 (S.D.N.Y. Aug. 11, 2015).

The party seeking leave to file sealed or redacted materials should meet and confer with any opposing parties (or third parties seeking confidential treatment of the information, if any) in advance to narrow the scope of the request. The motion must justify the request in light of the standards set forth in Lugosch and state whether the request is on consent. When a party seeks leave to file sealed or redacted materials on the ground that an opposing party or third party has requested it, the filing party shall notify the opposing party or third party that it must file, within three days, a letter explaining the need to seal or redact the materials.

Additionally, the party seeking leave must email to Chambers, at SwainNYSDCorresp@nysd.uscourts.gov, by encrypted and/or password- protected means, unredacted courtesy copies of the letter motion and relevant document(s) with all proposed redactions in highlighted form.

Any party unable to comply with the requirement for electronic filing under seal through the ECF system, or who has reason to believe that a particular document should not be electronically filed, must move for leave of the Court to file in the traditional manner, on paper.

In conformity with the Court’s Standing Order, 25-mc-00421 (S.D.N.Y. Sep. 24, 2025), sealed documents filed in ECF are no longer electronically accessible or viewable by non-court users, service of those documents can no longer be accomplished through ECF. Parties must serve sealed documents by other appropriate means consistent with the applicable Federal Rules of Procedure. Service accomplished outside the ECF system must be documented in accordance with the applicable Federal Rules of Procedure concerning certificates of service.

c. Pro se parties who wish to seek permission to file documents under seal, and who do not have permission to file documents electronically, are directed to contact the Court’s Pro Se Intake Unit, at the contact information provided on the Court’s website, see https://www.nysd.uscourts.gov/prose/role-of-the-prose-intake- unit/contact, for appropriate direction.

d. Highly Sensitive Documents or Information. To the extent any party seeks leave to file a document or information under seal in paper copy, rather than on the Court’s ECF system, by virtue of that document or information containing classified information or information that could harm national security, or if its disclosure could

reasonably be expected to cause exceptionally grave damage or injury to any person, entity or institution, it must seek leave to do so following the procedures set forth in the Court’s Amended Standing Order, 21-mc-0006 (S.D.N.Y. June 27, 2024).

Pro Se Parties.

a. Application of Individual Practices Rules. Except as otherwise provided or ordered by the Court, these Individual Practices apply to all civil matters, including pro se matters. Pro se parties must also comply with the applicable Federal Rules of Civil Procedure, and the Southern District of New York’s Local Rules (available at http://nysd.uscourts.gov/courtrules.php).

b. Communications. All filings and communications from by pro se parties must be filed through the Pro Se Intake Unit, and must not be emailed, mailed, or faxed directly to chambers. Similarly, pro se parties should not call chambers; procedural questions should instead be addressed to the Court’s Pro Se Intake Unit. Information about the Pro Se Intake Unit, how to submit filing through that Unit, and how to contact that Unit with questions is available on the Court’s website, at https://www.nysd.uscourts.gov/prose/role-of-the-prose-intake-unit/contact.

c. Resources for Pro Se Parties. Pro se parties are directed to the Court’s website at https://www.nysd.uscourts.gov/prose for other important information concerning proceeding pro se in this Court.

d. Contact Information. Pro se parties are required to maintain their current mailing address on the docket at all times, and must notify the Court of any change of address by filing a change of address form with the Pro Se Intake Unit. Failure to notify the Court of a change of address may result in dismissal of a case brought by a pro se party.

e. Pro Se Law Clinic. Pro se parties are advised that there is a Pro Se Law Clinic available to assist self-represented parties in civil cases. The Clinic may be able to provide a pro se party with advice in connection with their case. The Pro Se Law Clinic is run by a private organization called the City Bar Justice Center; it is not part of, or run by, the Court (and, among other things, therefore cannot accept filings on behalf of the Court, which must still be made by any self-represented party through the Pro Se Intake Unit). Litigants in need of legal assistance should complete the City Bar Justice Center’s intake form to make an appointment. If a litigant has questions about the intake form or needs to highlight an urgent deadline already disclosed in the form, the clinic can be contacted by phone (212-382-4794) or email (fedprosdny@nycbar.org). In-person appointments in the Thurgood Marshall Courthouse in Manhattan and the Charles L. Brieant Jr. Federal Building and Courthouse in White Plains are available Monday through Thursday, 10am to 4pm. Appointments are also available remotely Monday through Friday, 10am to 4pm.

Participation by Junior Attorneys. The Court encourages the participation of less experienced attorneys in all proceedings—including pretrial conferences, hearings on discovery disputes, oral arguments, and examinations of witnesses at trial—particularly where that attorney played a substantial role in drafting the underlying filing or in preparing the relevant witness. Nevertheless, all attorneys appearing before the Court must have authority to bind the party they represent consistent with the proceedings (for example, by agreeing to a discovery or briefing schedule), and should be prepared to address any matters likely to arise at the proceeding. The Court looks forward to seeing a diverse range of advocates before it.

B. Criminal Matters

Initial pretrial conference. The Assistant U.S. Attorney must contact Chambers by email (at SwainNYSDCorresp@nysd.uscourts.gov) as soon as possible after the case is assigned to Judge Swain. The Assistant must provide all pertinent information to Chambers, including a copy of the information/indictment. The Courtroom Deputy will set up a conference/arraignment.

Substitution of counsel. When there is to be a substitution of defense counsel, counsel of record must contact Chambers by email (at SwainNYSDCorresp@nysd.uscourts.gov) to schedule a conference. At the conference, the Court will address the application by defense counsel to be relieved. The defendant, counsel of record, the proposed replacement counsel, and the Assistant United States Attorney must all attend the conference.

Motions.

a. Counsel are expected to comply with Local Criminal Rule 16.1. Any motion described in that Rule must include a Rule 16.1 affidavit.

b. Unless otherwise directed by the Court in the particular case, motions must be briefed in accordance with the schedule set forth in Local Criminal Rule 12.1.
Counsel must email courtesy copies of all motion papers to Chambers at SwainNYSDCorresp@nysd.uscourts.gov.

c. Except for good cause shown, all motions in limine must be interposed so as to permit full briefing by at least seven (7) days before the final pretrial conference date.

Applications to file under seal. Any party wishing to request permission to file document(s) or information under seal in a criminal matter must email its application to Chambers at SwainNYSDCorresp@nysd.uscourts.gov, copying all counsel unless the application concerns an ex parte matter. The email should also include complete, unredacted

copies of the material proposed to be sealed or redacted and copies that include highlighting of all proposed redactions. The application must clearly identify the redaction(s) and explain the reasons for the redaction(s). The copy reflecting the proposed redactions must be filed electronically on ECF pending the Court’s order. In conformity with the Court’s Standing Order, 25-mc-00421 (S.D.N.Y. Sep. 24, 2025), sealed documents filed in ECF are no longer electronically accessible or viewable by non-court users, service of those documents can no longer be accomplished through ECF. Parties must serve sealed documents by other appropriate means consistent with the applicable Federal Rules of Procedure. Service accomplished outside the ECF system must be documented in accordance with the applicable Federal Rules of Procedure concerning certificates of service.

a. If an application to file under seal or with redactions is granted, the applying party must bring complete, unredacted copies of the material proposed to be sealed or redacted to the Court’s Records Management Department (500 Pearl Street, Room 370) to be filed under seal, along with a copy of the Court’s order granting the application.

b. If the Court has not ruled on the party’s application for sealed filing of a document submitted in connection with a criminal proceeding prior to such proceeding, the applying party must bring a hard copy of the document to the proceeding for the Court’s review and potential filing under seal.

Pleas. The plea agreement or Pimentel letter must be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov at least five (5) full business days before the time set for the conference at which the disposition is to be addressed. Defense counsel are expected to have reviewed any plea, cooperation, or other agreement, as well as any Advice of Rights form provided to counsel by the Court – with the assistance of an interpreter, if necessary – with the defendant prior to the time set for the conference with the Court. The relevant documents must be executed prior to the time set for the conference with the Court.

Trial procedures. See Judge Swain’s General Rules for Trial Counsel, and Instructions to Counsel Concerning Jury Selection, which are available on the Court’s website. The parties must also comply with these additional trial procedures for criminal cases:

a. All motions in limine must be briefed so as to be fully submitted no later than one week before the Final Pretrial Conference. A courtesy copy of each submission should be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov on the date the paper is served and filed. b. No later than one week before the Final Pre-Trial Conference: i. Each party must serve on each other party and file with the Court its proposed voir dire and verdict form. Prior to service and filing of the proposed voir dire and verdict form, counsel must provide copies to opposing counsel for inspection and noting of objection; and

ii. The parties must file a single document captioned JOINT REQUEST TO CHARGE, which must include the full text of all of their proposed jury instructions, with source citations. If the parties are not in agreement on a particular charge, the disputed language must be highlighted and any counterproposal(s) presented together with the disputed section. Disputed language must be accompanied by a brief explanation of the objection(s), with citations to the relevant legal authority. iii. A courtesy copy of each submission must be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov, in pdf and Microsoft Word format. c. Any Trial Memoranda must be served and filed no later than one week before the Final Pretrial Conference. A courtesy copy must be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov, that same day. d. Exhibits must be pre-marked and sufficient copies provided by counsel for witnesses, opposing counsel, jurors, the court reporter, any interpreters and the Courtroom Deputy. e. If counsel intend to publish documentary exhibits by distributing copies to the jury, make a separate copy for each juror, so as to avoid unnecessary delay. If counsel intend to use electronic equipment to publish exhibits, counsel must notify the Courtroom Deputy so that any necessary arrangements can be made in a timely fashion. f. Unless ordered otherwise in the particular case, by no later than noon of the business day before the start of the trial, the Government must provide the Court with three copies of the exhibit list and, electronically, pre-marked documentary exhibits and Section 3500 material assembled sequentially as a consolidated and bookmarked PDF.
g. Sidebars during presentation of the evidence are discouraged. Counsel are expected to anticipate any problems that might require argument and to raise those issues with opposing counsel and the Court in advance of the time that the jury will be hearing the evidence. See also Judge Swain’s General Rules for Trial Counsel. h. Counsel should make certain that they have custody of all original exhibits. The Court does not retain them and the Clerk is not responsible for them. 7. Sentencing.

a. Adjournments. Any request for adjournment of a sentencing shall be made in writing as early as possible, but no later than three (3) business days before the date at issue, barring an unforeseen emergency. Such requests should state whether opposing counsel consents.

b. Sentencing Submission Procedures.

i. The Court assumes that every document in a sentencing submission, including letters, will be filed in the public record either in paper form or through the ECF system, using the procedures described below. In this regard, the parties are not, unless necessary, to include the five categories of “sensitive information” in their submissions (i.e., social security numbers, names of minor children [use the initials only], dates of birth [use the year only], financial account numbers, and home addresses [use only the City and State]). Parties may redact the five categories of “sensitive information” without application to the Court.
ii. A defendant’s sentencing submission must be filed and served two weeks in advance of the date set for sentence. The Government’s sentencing submission must be filed and served one week in advance of the date set for sentence. Any reply submission must be made at least three days before the date set for sentence. (If the presentence report is not available in time for counsel to make submissions consistent with this timetable, counsel may request an adjournment.) The parties must provide the Court with a courtesy copy of each submission, by email to SwainNYSDCorresp@nysd.uscourts.gov, when it is served.
iii. Letters and other documents submitted in support of sentencing submissions should be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated. The defendant is responsible for filing all letters submitted on behalf of the defendant, including those from friends, relatives, etc. The Government is responsible for providing all letters from victims. iv. Applications to file a sentencing memorandum, or material submitted in connection with a sentencing memorandum, under seal, should be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov, in compliance with subdivision B.4 above. The party seeking to file a submission under seal shall bring a hard copy of the unredacted submission to the sentencing hearing, in compliance with subdivision B.4 above.

If counsel have any questions about these practices, email Chambers at SwainNYSDCorresp@nysd.uscourts.gov, copying all counsel unless the question concerns an ex parte matter.

Instructions to Counsel Concerning Jury Selection

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK JUDGE LAURA TAYLOR SWAIN The following instructions apply to all civil and criminal matters pending before Judge Swain on and after May 27, 2014. Instructions to Counsel Concerning Jury Selection The following is a general description of the struck panel method by which the jury will be selected in proceedings before Judge Swain. The circumstances of individual cases may require variations as a result of factors such as the need for larger panels or the need for more individual questioning in the robing room. The Court will conduct a voir dire of a number of panelists computed as follows in a criminal case: the number of jurors to be selected (twelve in a criminal case), the number of alternates (generally two), and the number of peremptory challenges. See Fed. R. Crim. P. 24(b) and (c). Thus, in a single defendant criminal case in which the defendant has ten and the Government six peremptory challenges, plus one challenge each with respect to alternates, we will voir dire 32 panelists. In a civil case, the Court will voir dire a sufficient number of jurors to provide for the number of jurors to be selected (generally eight), and the number of peremptory challenges (generally three for each side), for a total number of fourteen. See Fed. R. Civ. P. 47(b) and 48, and 28 U.S.C. § 1870. During voir dire, some jurors may be excused by the Court for cause. If any prospective jurors are removed for cause, they will be replaced as necessary so that there is a full panel before any peremptory challenges are exercised. Voir dire is generally conducted in three phases - the reading of questions to the entire venire, elicitation of non-sensitive bibliographic and other information from panel members in open court, and robing room follow-up on issues that could adversely influence other jurors and particularly sensitive information. After we have voir dired the requisite panelists, the judge and counsel will adjourn to the side bar or the robing room. (The defendant(s) in a criminal case and the parties in a civil case are permitted to be present unless their presence is waived.) The first order of business will be to determine whether the parties believe there are any additional challenges for cause. If there are any challenges for cause, any one removed will be replaced by another panelist being placed in that slot, so that there is a full panel before any peremptory challenges are exercised. All peremptory challenges are exercised in the robing room and the consequence of challenging any panelist is that all other panelists on the list move up one spot. JURYSEL.WPD MAY 27, 2014

In a civil case, plaintiff exercises the first challenge and then the defendant, and the parties proceed in that fashion until all the peremptories are exhausted. In a single defendant criminal case, the defendant exercises two challenges and the Government one for four rounds, then each side exercises one challenge for two rounds, making a total of ten and six. A party may waive its right to challenge, but may not reserve. You may not say, “Well, we will pass this time and take two the next time.” If both parties pass on any one round, the selection process is at an end. Challenges may be made to any of the panelists regardless of where that panelist appears in the array. When both sides have exhausted their peremptory challenges, the first 8 (in a civil case) or 12 names (in a criminal case) unchallenged constitute the jury. After that, in a criminal case, each side has one additional challenge which is exercisable only with respect to the alternates, who are selected from the remaining unchallenged panelists after the jury has been selected. Attorneys sometimes say that they would like more of an opportunity to match a name in their notes with a face. That is perfectly understandable. If during the course of the exercise of the challenges you wish to return to the courtroom, we will all go back to the courtroom to enable this to be done. JURYSEL.WPD MAY 27, 2014

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