The Week in Review: What the Larry Saumell Case Might Mean for Baffert

It was another week when the Bob Baffert-NYRA saga again dominated the headlines, with both sides killing a lot of trees with their voluminous and seemingly never ending legal filings. At times it was mind numbing, and the laymen among us are having a hard time discerning what is important, what is not, whether or not there are any precedents to consider and which side appears to be winning a fight that grows more acrimonious by the day.

After Medina Spirit (Protonico) tested positive for betamethasone in the GI Kentucky Derby, NYRA decided to ban Baffert. He is not allowed to stable at or run at the NYRA tracks. With Saratoga upon us, that could not have come at a worse time for the Hall of Fame trainer. He has already lost a number of horses to other trainers, their owners not willing to pass on the chance to run at the Saratoga meet. Some of the many questions surrounding the ban may be answered Monday when both sides will appear at the U.S. District courthouse in Brooklyn, where it will be decided whether or not Baffert will be granted a restraining order that would allow him to run in New York…at least temporarily.

The Baffert team will argue that his due process rights have been violated and that NYRA does not have the authority to suspend Baffert's license under New York law. Only the New York Gaming Commission can do that, they will claim. And the Gaming Commission has taken no action to date against the trainer. Both points are important. Can NYRA, at its discretion, just throw someone out? And can it do so without offering the individual a hearing beforehand?

The right of a racetrack to exclude someone has been argued back and forth over the years and the result has not been a clear-cut, definitive answer. The question grows even more complicated when NYRA is involved because of its status as a “quasi” state agency. The courts have consistently ruled that privately owned racetracks have the right to bar someone. That's probably why Baffert has, so far, taken no action against Churchill Downs to have its ban overturned.

It will be up to Judge Carol Bagley Amon to decide whether or not NYRA has the legal right to exclude someone. No doubt, Baffert's team will steer her toward the 40-year-old story of a jockey, Larry Saumell, who was run out of the New York tracks by NYRA after he was allegedly caught carrying a battery. While there have been other cases over the years that dealt with NYRA's rights when it comes to excluding someone, the Saumell case would seem to be the most relevant to the Baffert case.

On July 13,1981, Saumell was denied access to Belmont Park, Aqueduct and Saratoga after a NYRA investigation determined that the jockey was in possession of a battery before the start of a June 22 race. NYRA took the infraction so seriously that it turned the case over to the Nassau County District Attorney's office.

“You work all your life to do something, and bang–in three seconds it can be taken away from you,” Saumell, who never argued that he was not in possession of a battery, told Newsday in 1981.

“We have a separate responsibility to do what we have to do, to protect the integrity of racing,” NYRA's head of security John Keenan told Newsday, sounding very much like his counterparts 40 years later. “It's our responsibility to do what we have to do to protect the integrity of racing.”

Saumell, his career in jeopardy, hired firebrand lawyer Joseph Faraldo, and fought back. Ten days after he was banned, Saumell won an appeal, a state court vacating a stay that had been obtained by NYRA against Saumell. He was immediately reinstated. The court ruled that while NYRA had a responsibility to protect the betting public only the New York State Racing and Wagering Board (the precursor to the Gaming Commission) could revoke a license. In making the decision, the court ruled that “…any further attempt by NYRA to exclude the petitioner (Larry Saumell) would infringe on the Board's authority to license horsemen.”

The case went back and forth in the courts while Saumell continued to ride. On Feb. 23, 1981, the jockey received the news he had been waiting for–an appeals court ruled firmly in his favor. NYRA's quest to keep him out was all but over.

This time the basis for the ruling was that NYRA had violated Saumell's civil rights by not granting him a hearing and, therefore, it had to reinstate him.

The ruling read: “The common-law right of the New York Racing Association (NYRA) to exclude persons from its premises includes the right when there is reasonable cause to believe a jockey licensed by the New York State Racing and Wagering Board (the Board) guilty of misconduct to deny him access. In doing so, however, NYRA must conform to the requirements of due process.”

Baffert's lawyers have made the same argument as he has yet to have a hearing before NYRA stewards or officials.

“First, Baffert was not afforded any due process before he was summarily suspended by NYRA,” Baffert's team wrote in a filing last week. “He was given no notice of any charges against him and no opportunity to be heard. Instead, he received a letter stating that he was immediately suspended and would not be permitted to race any horses in New York.”

With NYRA rebuffed, Saumell continued to ride throughout the legal proceedings. It's hard to say how the affair affected his career. He was only 22 at the time and was winning races on the New York circuit, but his career leveled off. He never became a star and instead finished out his career riding, not in New York, but in New Jersey, Maryland, Florida and Kentucky. He last rode in 1999 and, after he retired, he became a representative for the Jockeys' Guild. His biggest win came in the GII Pennsylvania Derby in 1988 and he had 2,098 total winners. Just 54, he died in 2011, his obituary in the Daily Racing Form not even mentioning his ban 30 years earlier.

When asked about the Saumell case, Baffert's lawyer Craig Robertson replied via text, saying: “That case has been referenced in the legal papers filed with the court. It is an important precedent and supports the contention that NYRA can't do what they're doing to Bob.”

Does the Saumell case mean that Baffert will win and the courts will rule that NYRA must reinstate him? That's hard to say. But 40 years ago NYRA tried to rule off a participant after a serious allegation, that he used a battery. And it didn't work.

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Judge Says Baffert Reply is Admissible

The federal judge presiding over the Bob Baffert versus the New York Racing Association ban case ruled Thursday that Baffert's affidavit, filed Wednesday as part of a 434-page “reply memorandum of law in further support of motion for preliminary injunction” of NYRA's ban, would not be stricken or disregarded, as NYRA had requested.

NYRA's attorney, Henry Greenberg, argued that the reply included new information that the NYRA did not have time to investigate and that the entire filing or the affidavit should be stricken or disregarded.

NYRA informed Baffert on May 17 after Medina Spirit's Derby positive for Betamethasone became public that he was temporarily not welcome to stable or race at Aqueduct, Belmont or Saratoga.

On June 14, Baffert filed a civil complaint against NYRA, alleging that the association's ban violates his Fourteenth Amendment constitutional right to due process.

On June 30, NYRA filed a 236-page memorandum in opposition to granting Baffert an injunction. Baffert's attorneys filed their 434-page reply on Wednesday.

On a conference call at 2:30 p.m. Thursday, Judge Carol Bagley Amon ruled that all of the arguments and exhibits in Baffert's July 7 filing were admissible.

On the call, Greenberg told the judge that the filing of the paper was a “classic sandbag” on the part of Baffert's attorneys.

“The moment we saw the plaintiff's papers, especially the plaintiff's affidavit, we were shocked and disturbed,” Greenberg told the judge. “Because frankly, the plaintiff's submission was the most abusive use of a reply submission that I have ever seen.”

Greenberg argued that many of the claims made in the filing were not in reply to NYRA's response, nor were they substantiated. As an example, he cited the well-documented loss by Baffert of several top WinStar horses.

The Baffert filing details how WinStar had moved its horses to other trainers as a result of the NYRA ban.

“As for harms that have already occurred as a result of NYRA's ban, one of Baffert's major clients, WinStar Farm (“WinStar”) has moved all of its horses to other trainers. This included significant thoroughbreds LIFE IS GOOD (this year's Kentucky Derby favorite before he suffered a minor injury) and COUNTRY GRAMMER (Grade I winner of the Hollywood Cup and an early favorite for this year's Breeders' Cup Classic). This loss is substantial to Baffert, not only be because of the quality of the horses he lost, but because he has successfully trained many horses owned by WinStar, including recent Triple Crown winner JUSTIFY. WinStar's CEO, Elliott Walden, has publicly stated that he pulled these horse from Baffert partially due to NYRA's suspension because Baffert's current ability to enter horses in prestigious races is `limited.'”

The filing includes a copy of several stories from industry press detailing the incident and quoting Walden.

But Greenberg argued, “First of all, we have no idea if that's true or not. Second of all, WinStar is a corporation, not a person. Third of all, it's hearsay. Fourth of all, it's conclusive.”

“Who said these things?” Greenberg asked.

But Baffert's attorney Craig Robertson pointed out that Walden was indeed named in the filing, but was quoted in press clippings that were also provided. The TDN covered the story on June 24.

In the story, it quotes a text to the media from Walden which says, “The plan is to ship to Todd Pletcher in the coming weeks with a possibility of running in New York later this year. With the ban on Bob in Kentucky and New York right now, our opportunities are limited. We will continue to evaluate the situation with Bob and appreciate everything he has done with Life is Good.”

“They said Mr. Baffert has not given any specifics about horses who have been removed from his care, and that that was an important component,” Robertson said. “And so, in response to that, we drafted our reply and we addressed those specific points. They allege that we hadn't met our burden in response, which is exactly what we're allowed to do. We address the importance of New York racing to Mr. Baffert, and we address the specifics that they were claiming that were missing.”

Judge Amon said that while she hadn't expected to rule on any motions in the conference call, she was now being called upon to do so.

“There has been a motion to strike the affidavit of Mr. Baffert. Based on what I have heard today in this conference, I'm going to deny the motion to strike the affidavit,” she said.

She also recommended that Baffert be in court Monday in case he were called upon to testify to settle any disputes. She asked Robertson if Baffert were asked to testify that it was Walden who had talked to Baffert, would he be able to say that Walden had told him that?

“Yes, your honor,” said Robertson.

Robertson said that he would also provide the judge with other owners' names for whom Baffert had lost horses due to the NYRA ban by noon tomorrow.

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With Spa Meet in the Balance, NYRA Argues for Upholding Baffert Ban

With a July 12 federal court date looming to decide whether or not Bob Baffert's history of equine drug positives will keep him from entering horses at the upcoming and financially lucrative Saratoga Race Course meet, the New York Racing Association (NYRA) on June 30 filed a memorandum of law that opposes the Hall of Fame trainer's request for an injunction to lift the association's ban against him that has been in effect for the past six weeks.

NYRA told Baffert via letter May 17 that he was temporarily not welcome to stable or race at the association's three tracks (Saratoga, Belmont Park and Aqueduct Racetrack) in the wake of his shifting explanations after Medina Spirit (Protonico) tested positive for betamethasone after winning the GI Kentucky Derby. The initial drug positive was confirmed by split-sample testing at a separate lab approved by the Kentucky Horse Racing Commission.

No ruling has yet been issued over those findings, and NYRA explained to Baffert in that letter that a more precise determination regarding the length and terms of his suspension would be based on information revealed during the course of the ongoing investigation in Kentucky.

On June 14, Baffert filed a civil complaint against NYRA, alleging that the association's ban violates his Fourteenth Amendment constitutional right to due process.

In the June 30 filing in United States District Court (Eastern District of New York), attorneys for NYRA wrote that the association believed it had to act swiftly to bar Baffert, lest his presence jeopardize the integrity and reputation of the GI Belmont S., the third jewel of the Triple Crown and the premier race of the year in New York.

“Plaintiff is a well-known Thoroughbred trainer, whose horses have won numerous significant races,” the filing stated. “But, over the course of Plaintiff's career, his horses have been cited for drug-related violations at least 30 times. In fact, over the 12 months preceding this year's Kentucky Derby, Plaintiff has been fined four times for drug-related violations.”

Medina Spirit at Churchill Downs | Coady photo

Two of those violations were for lidocaine, one was for dextrorphan, and another, like in Medina Spirit, also for betamethasone. Three of Baffert's five most recent drug positives came in Grade I stakes—the Arkansas Derby and Kentucky Oaks in 2020, plus the 2021 Kentucky Derby. The two findings at marquee events at Churchill Downs led the gaming corporation that owns the track to bar Baffert from the entire family of Churchill-affiliated tracks for a period of two years.

The NYRA filing continued: “Although Plaintiff did not then have any horses entered in races or stabled at [NYRA tracks], it was likely, if not certain, that Plaintiff would attempt to enter Medina Spirit in the Belmont scheduled for June 5, 2021.

“Given Plaintiff's history of drug-related violations, Medina Spirit's positive test, Plaintiff's contradictory statements, Plaintiff's [then-temporary] suspension from Churchill Downs, and the fact that the Belmont was fast approaching, NYRA took the only sensible action under the circumstances—it temporarily suspended Plaintiff from entering and stabling horses at its Racetracks.”

The filing also pointed out that the May 17 letter had advised Baffert that if he wished to present to NYRA any information or arguments that might make the association reconsider its ban, he had seven business days in which to do so.

Yet according to NYRA, “Plaintiff never availed himself of this opportunity to be heard or raise any objection with NYRA. Instead, nearly a month after NYRA imposed the temporary suspension, Plaintiff commenced this action…and now moves for a preliminary injunction.”

The NYRA filing outlined three chief legal reasons against granting Baffert the court ruling he seeks to resume racing at NYRA tracks:

“First, Plaintiff fails to demonstrate that he will suffer irreparable injury in the absence of emergency relief. Rather than allege any actual or imminent injury or irreparable harm warranting a preliminary injunction, Plaintiff offers only conclusory assertions of potential harm, speculates that he may lose unidentified clients of the suspension is not lifted, and fails to submit any evidence demonstrating that the speculative loss of clients would substantially damage his business.

“Even if the Court were to consider Plaintiff's potential client loss, such an injury could be remedied through money damages, rendering preliminary injunctive relief inappropriate. Furthermore, Plaintiff's nearly month-long delay in seeking this preliminary injunction undercuts the sense of urgency needed to remedy his alleged harm.

“Second, Plaintiff fails to establish that he is likely to succeed on the merits of his claims. Contrary to Plaintiff's unsupported assertion that NYRA could not temporarily suspend Plaintiff from its Racetracks because it does not own the grounds on which they are located, settled law holds that NYRA had both the common law and regulatory right to exclude anyone, including a licensed trainer, who engages in conduct detrimental to the best interests of racing.

“Moreover, Plaintiff's assertion that NYRA violated his due process rights is incorrect. NYRA was not required to provide Plaintiff an opportunity to be heard before issuing a temporary suspension because NYRA's decision was based on probable cause that Plaintiff's actions warranted suspension and was necessary to protect the safety of the racehorses and their riders…. Plaintiff also fails to allege facts sufficient to show that he is likely to prove that NYRA's temporary suspension of Plaintiff was 'state action'—as required to implicate due process concerns.

“Third, the public interest and balance of equities weigh clearly in favor of NYRA. NYRA is obligated to protect its investment, brand and reputation, and supervise activities at its Racetracks in a manner that fosters the public's confidence in the safety and honesty of the sport.

“Plaintiff's speculative assertions that his business might suffer or that his temporary suspension could last for a significant period of time cannot override NYRA's compelling interests in upholding the integrity of horse racing…. Accordingly, Plaintiff's motion for a preliminary injunction should be denied.”

Craig Robertson, an attorney representing Baffert in this case, did not reply to an emailed request for comment on Wednesday.

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Judge: Extra Testing In Medina Spirit Case Will Go On, Only Question Is Sample Size

At a hearing in Kentucky's Franklin Circuit Court on June 11, Judge Thomas Wingate determined that the legal team for Medina Spirit's connections will be permitted to do extra testing on a urine sample taken from the colt after the Kentucky Derby; the only question will be how much urine an independent lab will have access to.

Counsel for Medina Spirit trainer Bob Baffert and owner Zedan Stables filed a civil suit against the Kentucky Horse Racing Commission earlier in the week demanding their right to test the split urine sample, which sat undisturbed in the commission's freezer.

An initial post-race test from Medina Spirit was positive for betamethasone, and that was later confirmed on a split sample test. Attorneys for Baffert and Zedan now want to do further testing on biological samples from the horse in hopes of proving that the betamethasone present came from a topical cream and not an injection, which they say would be permissible under KHRC rules.

Jennifer Wolsing, general counsel for the KHRC, declined to speculate on whether a topical administration of betamethasone would require an exoneration in the case or whether it could be considered a “mitigating circumstance” with regards to penalty. She did point to the commission's drug classification guidelines, which make reference to betamethasone without specifying what form of betamethasone The only question at hand for this proceeding, she asserted, was what was to be done about further testing of the remaining biological samples.

Documents filed by the KHRC on Thursday revealed that in fact, the commission did not refuse requests from Baffert and Zedan to send blood and urine samples for additional testing after the split sample came back positive.

“This is a case about a litigant who will not take 'Yes' for an answer,” began the KHRC's response to the lawsuit.

After the split was positive, the KHRC agreed to release the remains of the primary blood and urine samples to an RMTC-accredited lab chosen by Baffert and Zedan, which was eventually identified during Friday's hearing as New York's Equine Drug Testing Program housed at Morrisville State College. There are four total samples at play here — two primary blood and urine samples, and two split blood and urine samples. Some of the primary blood and urine samples were tested after the race by Industrial Laboratories, which prompted the betamethasone finding in blood. The split blood sample was then sent to University of California-Davis for the split sample analysis. That means the split urine sample has remained in a freezer maintained by the KHRC. It also means each of the two labs may have some biological sample left over after they did their testing.

Industrial packaged portions it had left over of Medina Spirit's primary blood and urine samples and sent them off to New York. It turned out the vial containing the blood shattered, either en route or upon receipt at the New York facility. Since the vial was in the same bag as the urine container, Baffert and Zedan's attorneys voiced concerns that the leaked blood may have contaminated the urine container.

Then, KHRC said, it agreed to send commission equine medical director Dr. Bruce Howard to its freezer and film him opening the unused split urine sample, dividing it, and then have him personally transport a portion of it to the New York lab. When the Baffert/Zedan attorneys objected to the use of Howard, KHRC suggested it could find a substitute staff member and allow one or more team members from Baffert/Zedan counsel to also be present for the thawing and division of the sample. That option was also rejected.

As Wingate eventually determined, the parties agreed Baffert and Zedan should be able to test remaining blood and urine to see whether those samples could prove the origin of the betamethasone. They agreed that both the horse's connections and the commission should have representatives overseeing the move of the samples. Their only real sticking point was how much urine the New York lab should get for testing.

Wolsing argued that the KHRC needed to retain some of the sample, in case future testing should ever be needed.

“This is a situation where really anything could happen,” she said, pointing to the shipping issues with the blood sample as proof that it's a good idea to have some sample retained somewhere just in case.

Craig Robertson, attorney for Baffert, said he didn't want to restrict the New York lab to use a set amount of urine, since he didn't want them to be in any way limited in the quality of their testing.

The size of the split urine sample is estimated to be between 25 and 27 milliliters. Wingate said he would enter an order in the middle of next week requiring at least 3 milliliters to be kept by the KHRC, with the hope the two parties could agree to something privately before then.

Wingate did press Wolsing somewhat on the question of whether all of this will end up mattering — meaning, will the outcome of these tests impact whether or not Medina Spirit is disqualified. Wingate said that while he had not reviewed KHRC code, his initial feeling was that it wouldn't make much difference if the form of betamethasone Medina Spirit received did or didn't impact performance. Wingate also presided over the lengthy civil suit of Graham Motion, who fought a drug positive for methocarbamol. Wingate had overruled the KHRC in that case and was later reversed on appeal. He felt the methocarbamol did not influence the outcome of the race in question, but that the appeals court made it clear the rules did not allow for a determination about a substance's influence on race results.

“It's going to be very hard for this court to overturn [a potential ruling against Medina Spirit connections] based upon the Graham Motion case,” said Wingate, who clarified he was not pre-judging the Baffert case. “That's the way I look at it. I'm not prejudging it, but I've already dealt with the Graham Motion, which I thought was very unfair to Mr. Motion, I really did.”

Baffert did appear at the proceedings, which were held via video conference, but did not speak.

See the proceedings here:

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