USCA Case #20-3033 Document #1844169 Filed: 05/25/2020 Page 1 of 10

USCA Case #20-3033 Document #1844169 Filed: 05/25/2020 Page 2 of 10

IN THE UNITED STATES COURT OF APPEALS

FOR THE DISTRICT OF COLUMBIA CIRCUIT

UNITED STATES OF AMERICA, )

)
Appellee, )
) Docket No. 20-3033
v. )
)
ROGER JASON STONE, JR., )
)
Appellant. )

PROVISIONAL CERTIFICATE AS TO PARTIES, RULINGS, AND RELATED CASES

Pursuant to Circuit Rule 12(c)&(d), Appellant, Roger Jason Stone, Jr., by and through the

undersigned counsel, hereby files his Provisional Certificate, to be attached to his Criminal

Docketing Statement, with the information required under Circuit Rule 28(a)(1), based on the

knowledge and information readily available to Appellant at the time of this filing. Circuit Rules

12(c)&(d).

(A) PARTIES AND AMICI:

(1) Parties:

The parties in this criminal case in both the district court and before this Court

are: (a) Roger Jason Stone, Jr., Defendant/Appellant;

(b) United States of America, Plaintiff/Appellee.

(2) Intervenors1:

1
Notwithstanding the parties listed herein who were permitted by the district court to
participate as intervenors, the district court denied a motion to intervene by David Christenson,
[ECF# 20], advising in a Minute Order that the “Federal Rules of Criminal Procedure do not
provide for intervention in a criminal case.” [February 1, 2019 Minute Order] Later the district
USCA Case #20-3033 Document #1844169 Filed: 05/25/2020 Page 3 of 10

The intervenors in this criminal case in the district court were2:

(a) American Broadcasting Companies, Inc.;

(b) Associated Press;

(c) Cable News Network, Inc.;

(d) CBS Broadcasting, Inc., on behalf of CBS News;

(e) Democratic Congressional Campaign Committee (a/k/ a: DNCC);

(f) Democratic National Committee (a/k/a: DNC);

(g) Dow Jones & Company, Inc.;

(h) Michael Cernovich;

(I) New York Times Co.;

(j) WP Co, LLC (d/b/a Washington Post)

(3) Amici3:

judge authorized the Clerk’s Office to discard Mr. Christenson’s filings in the case [October 2,
2019 Minute Order].
2
Appellant is not aware at this time of any party that intends to intervene in this Court;
but see Section (A)(3)(a) herein.
3
There are entries throughout the district court docket sheet that reflect an attempt by
non-parties to file documents, apparently as amici; however in each case other than the two
identified by name in this section, the attempts were denied [See e.g., ECF## 196, 197]. Neither
the names of the filers nor a copy of the documents they attempted to file are reflected in the
docket sheet. Notwithstanding permission for amicus filings for the two people identified in this
section and intervention permitted by the parties identified above, the district court also entered a
Minute Order on March 15, 2019, rejecting a non-party submission and writing that there is no
corollary in the Local Criminal Rules to Local Civil Rule 7(o), concerning the filing of an amicus
brief, nor any rule of Federal Criminal Procedure that permits non-parties to join the proceedings
“to put their two cents in, or to intervene and file motions on the defendant’s behalf.” [March 15,
2019 Minute Order; see also February 1, 2019 Minute Order].

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(a) James M. Murray;4

(b) Dr. Jerome Corsi.5

(B) Rulings Under Review:

All rulings under review in this case were made by U.S. District Judge Amy Berman

Jackson. The following are the rulings of the district court in this case that Mr. Stone will ask

this Court to review.6 Pursuant to Circuit Rule 12(d), Mr. Stone expressly reserves the right to

add to or otherwise modify this list as the undersigned acquire additional knowledge and

information concerning the case.

1. Orders setting and modifying Conditions of Release and limiting discussion of the

case and related matters: Order of February 1, 2019 [ECF# 21; 23]; Order of February 15, 2019

4
On April 17, 2020, the district court granted Mr. James M. Murray leave to file an
“Amicus Curiae Letter Brief” [ECF# 364]. Mr Murray appears to be a federal inmate with no
apparent connection to this case. On May 8, 2020, Mr. Murray filed a motion in this Court to
participate as amicus curiae in this case as well.
5
On February 12, 2019, Dr. Jerome Corsi filed a motion for leave to file an “Amicus
Curiae Brief” and the docket sheet reflects a notation under the same docket entry that leave was
granted [ECF# 32; February 15, 2019 Minute Order]. It further appears from the docket sheet
that his “amicus” submission was made, [ECF# 35], but was later stricken from the docket and
cannot be retrieved [See February 28, 2019 Minute Order referring to ECF## 47&48 and
ordering them stricken]. The district court then appears to have rescinded its earlier order
granting Dr. Corsi leave to appear in an amicus capacity, noting its previous action granting his
amicus filing, but advising that that order “did not operate to designate the movant as an amicus
curiae for all purposes thereafter ....” [Id.]
6
There are additional sealed orders, not reflected in any way on the docket sheet, which
Mr. Stone will ask this Court to review in this appeal as well. The matter is complicated because
there appear to have been sealed filings made in the district court without any Notice of Filing
reflected on the docket sheet, as required by the district court’s LcrR 49(e). For example the
docket sheet entry for ECF# 178 refers to the granting of ECF#176 (apparently a sealed filing by
the government); however, there is no docket entry for “ECF# 176 - not even a “Notice of Filing”
of a sealed document. And ECF# 178 - the Order granting ECF# 176, makes no mention of
“ECF# 176.

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[ECF# 36]7; Order of February 21, 2019 [Minute Orders and Transcript of Proceedings; ECF#

43]; See also March 1, 2019 Minute Order; March 5, 2019 Order [ECF# 56]; March 7, 2019

Minute Order granting in part government’s sealed filing; Order of March 14, 2019 [ECF# 64;

Transcript of Proceedings at ECF# 66]; Order of July 16, 2019 [Minute Order and Transcript of

Proceedings at ECF# 205]; Order of July 17, 2019 [ECF# 149].

2. Minute Order of February 15, 2019, denying Defendant’s Objection to related case

assignment and related Minute Order of February 19, 2019 allowing government’s sealed filing

on the related case assignment; May 28, 2019 Order denying reconsideration [ECF# 118].

3. Order of February 27, 2019, denying Defendant’s motion for show cause hearing

regarding circumstances surrounding the Special Counsel Office’s press release [ECF# 49].

4. August 1, 2019 Order and Memorandum Opinion [ECF# 162; 163] denying

Defendant’s Motion to Dismiss Case [ECF# 69]; denying in part Defendant’s Motion to Compel

the Complete Report of the Special Counsel [ECF# 70]; denying Defendant’s Motion to Enjoin

Prosecution [ECF# 71]; denying Defendant’s Motion to Dismiss Due to Defects in the

Indictment Pursuant to Fed. R. Crim. P. 12(b)(3)(B) [ECF# 72]; and denying Defendant’s Motion

for Discovery based on Selective Prosecution [ECF# 73]. United States v. Stone, 394 F. Supp.

3d 1 (D. D.C. 2019).

5. August 9, 2019 Order [ECF# 182] granting leave for Democratic Congressional

Campaign Committee and Democratic National Committee to intervene [ECF# 181] and the

related September 30, 2019 Minute Order granting “Sealed Motion for Leave to File Documents

7
United States v. Stone, 2019 U.S. Dist. LEXIS 28860 (D. D.C., February 15, 2019).

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Under Seal” [ECF# 222]8

6. September 19, 2019 Memorandum Opinion and Order [ECF# 212] denying Motion to

Compel Unredacted Versions of the Crowdstrike Reports [ECF# 103] and denying Motion to

Suppress [ECF# 100].

7. September 26, 2019 Minute Order and Transcript of Proceedings on September 25,

2019 [Tr. at ECF# 236], (1) denying Defendant’s Motion for early return of a subpoena to

Crowdstrike [ECF# 160], (2) granting the government’s motion in limine to exclude evidence or

argument regarding Russian interference in the 2016 election [ECF# 153], (3) denying

Defendant’s motion in limine to admit evidence that Wikileaks did not receive stolen Democratic

National Committee, Democratic Congressional Campaign Committee, and Clinton Campaign

emails from the Russian state [ECF# 158], and (4) granting (without prejudice to the Defendant’s

right to cross examine witnesses with Giglio information) the government’s motion in limine to

exclude evidence or argument regarding alleged misconduct in the government’s investigation or

prosecution of the instant case and related cases [ECF# 154].

8. October 2, 2019 Order [ECF# 230] finding admissible the Rule 404(b) evidence

proffered by the government in ECF# 140.9

9. October 21, 2019 Minute Order granting the government leave to introduce into

8
Reference is made on the docket entry for the September 30, 2019 Minute Order to
ECF# 222; but there does not appear to be any “Notice of Filing” on the docket sheet for the
sealed filing, with exhibits, which apparently was made by the intervenor DCCC and DNC.
9
There does not appear to be any docket entry for ECF# 140, which, according to ECF#
230, is supposed to be notice by the government of its intention to introduce certain evidence
under FRE 404(b). There is a Minute Order, dated June 26, 2019 referring to such a sealed filing
as ECF# 139-1; but there is not actual docket entry for that ECF number either - not even a
“Notice of Filing.”

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evidence a transcript of a movie excerpt [See ECF## 156, 171, 186, 238; 255].

10. November 4, 2019 Order on trial exhibits [ECF# 248; see also Transcript for

Proceedings on November 4, 2019] and reference therein to earlier rulings on exhibits during

September 25, 2019 hearing [See ECF# 236].

11. Various rulings on jury selection, evidentiary issues, jury instructions, and other trial

issues from November 4, 2019 through November 15, 2019. [See Transcripts].10

12. November 15, 2019 Minute Entry and November 25, 2019 Order [ECF# 265]

denying Defendant’s Motion for Judgment of Acquittal [ECF# 252] and Jury verdict of guilty.

13. February 12, 2020 Order [ECF# 288] denying Defendant’s sealed motion for new

trial [ECF# 266]11

14. February 20, 2020 Minute Order on sentencing, Judgment [ECF# 328], Statement of

Reasons [ECF# 329] and rulings reflected in Sentencing Hearing Transcript [ECF# 334].

15. February 23, 2020 Order [ECF# 333] denying Defendant’s judicial disqualification

motion [ECF# 331].

16. February 25, 2020 Minute Entry noting denial in part of Defendant’s sealed motion

to open hearing in support of Amended Motion for New Trial [ECF# 332]12 and February 25,

10
All rulings concerning jury selection are intended to be included in this section,
including rulings going back to the questionnaire process on and after September 12, 2019. [See
Minute Entries on September 12-13, 2019 and ECF# 356]. This includes all sealed Orders
concerning jury strikes.
11
Reference is made in the docket sheet entry for ECF# 288 to a February 5, 2020
“SEALED (sic) Order” and to ECF# 266 - Defendant’s sealed motion. There does not appear to
be a docket sheet entry for the notice of filing of either document.
12
There does not appear to be a docket sheet entry reflecting notice of the filing [ECF#
332].

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2019 oral Order denying the motion in part [ECF# 346; 347].

17. April 16, 2020 Order and Memorandum Opinion [ECF## 361; 362] denying

Defendant’s Sealed Amended Motion for New Trial. United States v. Stone, 2020 U.S. Dist.

LEXIS 67359 (D. D.C., April 16, 2020).

18. There is at least one additional sealed matter not reflected in any docket entry on

which a ruling might be raised herein for review; but there has not yet been any ruling on the

matter in the district court. It remains pending.

(C) Related Cases:

(1) In Re: Roger Stone, Jr.; Docket No. 19-3054

This case came before this Court on August 2, 2019, when a Mandamus Petition

was filed on behalf of the Appellant, Mr. Stone, and members of his family, attempting to

challenge on First Amendment grounds certain orders entered in the district court. This Court

dismissed the petition on jurisdictional grounds on October 22 2019, finding that an adequate

alternative remedy existed. See In Re: Roger Stone, Jr.; Docket No. 19-3054.

(2) United States v. Roger Stone, Jr.; Docket No. 19-3012

This case also came before this Court on February 22, 2019, when Mr.

Christenson (See Note 1 herein) filed a pro se appeal from the district court’s orders denying him

leave to intervene in the proceedings below. His appeal was fully resolved against him on

August 14, 2019. See United States v. Roger Stone, Jr., Docket No. 19-3012. Both Mr. Stone

and the government are reflected as the “Appellee” in that case.

(3) In Re: Juror Questionnaires in United States v. Stone; 1:20-mc-00016-ABJ

This case was opened by the district judge in Mr. Stone’s case on February 28,

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2020, as a separate related case, miscellaneous action, initiated by members of the media seeking

access to juror questionnaires in the instant case [ECF# 352]. It remains open and pending in the

district court.

(4) United States v. Netyksho, et al.; 1:18-cr-00215-ABJ

The government designated this case a related case to the instant case, leading to

the assignment of Mr. Stone’s case to Judge Jackson, rather than submitting it to the random

assignment process. An objection to this related case designation was filed below on February 8,

2019 [ECF# 27], the government responded on February 15, 2019 [ECF# 37], and the Court

denied Mr. Stone’s objections in a Minute Order entered February 15, 2019. The indictment was

filed in United States v. Netyksho on July 7, 2018; but there are no additional docket entries after

the filing of the indictment, other than notice of the withdrawal of several prosecutors. The case

remains open in the district court, according to the docket sheet.

Appellant is not aware of any other related case pending in this Court or any other court.

Respectfully Submitted,

/s/ David I. Schoen

(DC Bar No. 391408)
/s/ Seth Ginsberg/signature with permission
Counsel for Appellant Roger J. Stone, Jr.

David I. Schoen, Attorney at Law Seth Ginsberg

2800 Zelda Road, Suite 100-6 Attorney at Law
Montgomery, Alabama 36106 299 Broadway, Suite 1405
Phone: 334-395-6611 New York, New York 10007
E-Fax: 917-591-7586 Phone: 212-227-6655
E-Mail: DSchoen593@aol.com; Fax: 646-607-8596
Schoenlawfirm@gmail.com E-mail: srginsberg@mac.com

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USCA Case #20-3033 Document #1844169 Filed: 05/25/2020 Page 10 of 10

IN THE UNITED STATES COURT OF APPEALS

FOR THE DISTRICT OF COLUMBIA CIRCUIT

UNITED STATES OF AMERICA, )

)
Appellee, )
) Docket No. 20-3033
v. )
)
ROGER JASON STONE, Jr., )
)
Appellant. )

CERTIFICATE OF SERVICE

I hereby certify that on this 25th day of May, 2020, I caused a true and

correct copy of the foregoing Criminal Docketing Statement and Provisional

Certificate, pursuant to Circuit Rule 12(c) to be served on all counsel of record by

filing the same through this Court’s ECF system.

/s/ David I. Schoen

(DC Bar No. 391408)
Counsel for Appellant Roger J. Stone, Jr.

David I. Schoen, Attorney at Law

2800 Zelda Road, Suite 100-6
Montgomery, Alabama 36106
Phone: 334-395-6611
E-Fax: 917-591-7586
E-Mail: DSchoen593@aol.com; Schoenlawfirm@gmail.com