Weekly Stewards and Commissions Rulings, Aug. 29 – Sept. 4

Every week, the TDN publishes a roundup of key official rulings from the primary tracks within the four major racing jurisdictions of California, New York, Florida and Kentucky.

Here's a primer on how each of these jurisdictions adjudicates different offenses, what they make public (or not) and where.

With the Horseracing Integrity and Safety Act (HISA) having gone into effect on July 1, the TDN will also post a roundup of the relevant HISA-related rulings from the same week.

California

Track: Del Mar
Date: 09/02/2022
Licensee: Keron Thomas, owner
Penalty: Suspended license
Violation: Failure to appear for hearing
Explainer: Owner Keron Thomas, having failed to respond to written notice to appear before the Board of Stewards at Del Mar Race Track on September 1, 2022, is suspended for violation of California Horse Racing Board rule #1547 (Failure to Appear) pending an appearance at a hearing before the Board of Stewards to answer to charges alleging violation of CHRB rule #1876 (Financial Responsibility- $1,252.93 to Southern California Equine Hospital). Suspension to commence on September 9, 2022. During the term of this suspension, all licenses and license privileges of Keron Thomas are suspended and pursuit to California Horse Racing Board rule #1528 (Jurisdiction of Stewards), subject is denied access to all premises in this jurisdiction.

Track: Del Mar
Date: 09/05/2022
Licensee: Juan Hernandez, jockey
Penalty: Three-day suspension
Violation: Careless riding
Explainer: Jockey Juan Hernandez, who rode Fun to Dream in the tenth race at Del Mar Race Track on Sunday, September 4, 2022, is suspended for 3 racing days (September 16, 17 and 18, 2022) for failure to maintain a straight course out of the starting gate and causing interference which resulted in the disqualification of his mount from second to ninth place. This constitutes a violation of California Horse Racing Board rule #1699 (Riding Rules – Careless Riding). Pursuant to California Horse Racing Board rule #1766 (Designated Races), the term of suspension shall not prohibit participation in designated races.

Track: Del Mar
Date: 09/05/2022
Licensee: Mario Gutierrez, jockey
Penalty: Three-day suspension
Violation: Careless riding
Explainer: Jockey Mario Gutierrez who rode Awake at Midnyte in the tenth race at Del Mar Race Track on Sunday, September 4, 2022 is suspended for 3 racing days (September 16,17 & 18, 2022) for altering course without sufficient clearance shortly after the start and causing interference. This constitutes a violation of California Horse Racing Board rule #1699 (Riding Rules-Careless Riding). Pursuant to California Horse Racing Board rule #1766 (Designated Races), the term of suspension shall not prohibit participation in designated races.

NEW HISA STEWARDS RULINGS

Note: While HISA has shared these rulings over the past week, some of them originate from prior weeks.

Violations of Crop Rule

Albuquerque Downs
Rigo Sarmiento – ruling date August 31, 2022

Arapahoe
Adrian Ramos – ruling date August 29, 2022
David Martin – ruling date August 30, 2022

Colonial Downs
Angel Arroyo – ruling date August 30, 2022
Matildie Barahona – ruling date August 30, 2022

Delaware Park
John Hiraldo – ruling date September 1, 2022

Del Mar
Juan Lopez – ruling date September 2, 2022
Victor Espinoza – ruling date September 3, 2022

Evangeline Downs
Jose Luis Rodriguez – ruling date August 27, 2022

Finger Lakes
Dean Joseph Frates – ruling date August 29, 2022
Emanuel De Diego – ruling date September 1, 2022
Emanuel De Diego – ruling date September 1, 2022

Golden Gate Fields
Rachel Goodgame – ruling date August 28, 2022

Parx Racing
Abel Mariano Ramos – ruling date August 4, 2022

Presque Isle Downs
Alberto Burgos – ruling date August 30, 2022

Remington Park
Iram Diego – ruling date August 31, 2022
David Cabrera – ruling date August 31, 2022

Saratoga
Junior Alvardo – ruling date August 27, 2022
Dylan Scott Davis – ruling date August 28, 2022
Talbert Howell – ruling date September 1, 2022
Kendrick Carmouche – ruling date September 1, 2022

Thistledown
Luis Gonzalez – ruling date September 1, 2022

Voided Claims

Parx Racing
Kenai Cool – ruling date August 29, 2022
Prince Filip – ruling date August 30, 2022
Big Al's Gal – ruling date August 30, 2022
Ms Canela – ruling date August 30, 2022
Back Channel – ruling date August 31, 2022
Princess Kaira – ruling date August 31, 2022

Monmouth Park
Leo and Luca – ruling date August 29, 2022
Distorted Limits – ruling date August 29, 2022

Violations Involving Forfeiture of Purse

Colonial Downs
Matildie Barahona – rulings date August 30, 2022, owner of horse ridden by Angel Arroyo, 10 strikes, purse redistribution

Saratoga
Luis Rodriguez Castro – ruling date August 27, 2022, ten strikes; $500 fine, 3-day suspension, 5 points, purse redistribution

Appeal Request Updates

Evangeline Downs
Paulina Ramirez
Crop rule violation
Ruling date August 19, 2022
Appeal filed August 19, 2022
No stay requested

Saratoga
Thomas O'Keefe, William Nichols, Truls Engebretsen, Kevin Hilbert (owners of Drafted, horse ridden by jockey Luis Rodriguez Castro)
Crop rule violation resulting in purse redistribution
Ruling date August 27, 2022
Appeal filed September 2, 2022
Stay requested

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HISA: Guild’s Claim of Contempt ‘Fails the Straight-Face Test’

Defending itself against contempt-of-court allegations for purportedly violating an under-dispute preliminary injunction order by imposing riding infraction penalties upon Jockeys' Guild members nationwide, the Horseracing Integrity and Safety Act Authority (HISA) fired back in federal court Tuesday with a filing that stated the plaintiffs' argument “fails the straight-face test.”

At issue is the still-disputed nature of the wording in a July 26 injunction order out of United States District Court (Western District of Louisiana), which stated that HISA rules would be enjoined in two plaintiff states until a June 29 lawsuit got decided in that court, while also noting that, “The geographic scope of the injunction shall be limited to the states of Louisiana and West Virginia, and as to all Plaintiffs in this proceeding.”

The plaintiffs–most specifically, the Guild–believe that last line of the judge's words applies to “all of the members of the Jockeys' Guild, regardless of the U.S. jurisdiction in which the jockey is riding.”

The HISA defendants have maintained that individual members of the Guild are clearly not plaintiffs in the lawsuit, and to consider them that way “would wreak havoc on the sport.”

HISA had asked the court to provide a clarification of the wording, but had first appealed the preliminary injunction to the Fifth Circuit Court of Appeals, which resulted in a stay being issued.

Now it appears as if the lodging of that appeal means no clarification will be forthcoming until the Fifth Circuit Court decides the matter it has been asked to consider, as per a separate order handed down early Tuesday evening by the district court.

“Because the Defendants have filed a Notice of Appeal before filing the Motion for Clarification of Preliminary Injunction Order, this Court does not have jurisdiction to clarify the Preliminary Injunction,” the Aug. 9 district court order stated. “The filing of a notice of appeal confers jurisdiction on the Court of Appeals and divests this Court over their aspects of the case as it rests before the Court of Appeals. Once jurisdiction has divested, this Court may not take any action that would alter the status of the case as it rests before the Court of Appeals.”

On Aug. 2 the plaintiffs, led by the states of Louisiana, West Virginia, and the Guild, had moved for a federal judge to issue an immediate order to enforce its injunction to keep Guild-member jockeys from being subject to HISA rules nationwide.

The plaintiffs also wanted the judge to make the HISA defendants explain to the court why they should not be held in contempt for “flagrantly violating this Court's injunction within a mere four days after this Court entered it.”

The Aug. 9 filing by HISA painted that dispute in a different light.

“Plaintiffs' contempt motion is beyond the pale,” is how the HISA filing started off.

“For starters, the Fifth Circuit has now stayed the preliminary injunction (PI) Order in substantial part, including as it relates to the riding-crop rules and other safety regulations that form the basis of Plaintiffs' motion,” the filing continued.

“In any event, until the Fifth Circuit's stay, the Authority complied fully with the PI Order as written. Indeed, the Authority's affirmative steps (out of an abundance of caution) to clarify the scope of the injunction contradict any suggestion that the Authority willfully flouted the Court's PI Order.”

The HISA filing continued: “The Authority complied fully with the PI Order even before the Fifth Circuit's stay orders. Plaintiffs do not contend that the Authority continued to enforce the enjoined HISA rules in either Louisiana or West Virginia (against anyone), or that the Authority continued to enforce the enjoined HISA rules against any actual Plaintiff (anywhere). And as the Authority has explained, the individual members of Plaintiff Jockeys' Guild (and other 'association plaintiffs') are not themselves 'Plaintiffs' to which the PI Order is expressly limited.

“There is good reason that the Order does not extend to all of Plaintiffs' thousands of individual members nationwide: That would transform the Court's limited preliminary injunction into the sort of expansive nationwide injunction that the Supreme Court and Fifth Circuit have sharply criticized, and it would wreak havoc on horseracing in every racing state [because some] jockeys would be subject to less protective rules (or perhaps no rules at all), while others remain subject to HISA rules.

“That is untenable,” the HISA filing summed up. “Yet Plaintiffs have offered no response to those critical legal and practical realities.”

In the Aug. 2 filing by the plaintiffs, three Guild-member jockeys (the California-based Drayden Van Dyke, plus Florida-based Edwin Gonzalez and Miguel Vasquez) were alleged to be plaintiffs who purportedly suffered new harms resulting from HISA's whip-rule enforcement that the Guild believed to be in contempt of the injunction order.

But HISA's response on Tuesday pointed out that the first two of those jockeys have yet to avail themselves of HISA's process to request stays pending appeals, and the third was never even formally penalized for the whip infraction that the Guild had alluded to in the court filing last week.

“Those jockeys have not suffered concrete harm for other reasons, too,” the HISA filing stated. “For example, the cited infractions for jockey Drayden Van Dyke (resulting in a 1-day suspension and $250 fine) would have violated California's own (pre-HISA) crop rules, and resulted in an even greater penalty. And no adverse ruling was even issued against jockey Miguel Vasquez.”

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Weekly Stewards and Commissions Rulings, July 25 – July 31

Every week, the TDN publishes a roundup of key official rulings from the primary tracks within the four major racing jurisdictions of California, New York, Florida and Kentucky.

Here's a primer on how each of these jurisdictions adjudicates different offenses, what they make public (or not) and where.

With the Horseracing Integrity and Safety Act (HISA) having gone into effect on July 1, the TDN will also post a roundup of the relevant HISA-related rulings from the same week.

California

Track: Del Mar
Date: 07/30/2022
Licensee: Philip Tencer, owner
Penalty: Restoration of good standing
Violation: N/A
Explainer: Owner Philip Charles Tencer, having complied with the provisions of California Horse Racing Board rule #1876 (Financial Responsibility – $640.34 to Dr. Nolton Pattio) is restored to good standing. LAFL #03 ruling issued at Los Angeles County Fair on September 15, 2016, is set aside.

Track: Del Mar
Date: 07/30/2022
Licensee: Drayden Van Dyke, jockey
Penalty:  One-day suspension, $250 fine
Violation: Excessive use of the whip
Explainer: Having violated the Horseracing Integrity and Safety Authority Rule #2280 (Use of Riding Crop) and pursuant to Horseracing Integrity and Safety Authority Rule #2282 (Riding Crop Violations and Penalties – Class 3), Jockey Drayden Van Dyke, who rode Mongolian Kingdom in the eighth race at Del Mar Racetrack on July 29, 2022, is suspended for one (1) day (August 6, 2022) and fined $250.00 for two (2) strikes over the limit. Furthermore, Jockey Drayden Van Dyke is assigned three (3) violation points that will be expunged on January 30, 2023, six (6) months from the date of final adjudication pursuant to Horseracing Integrity and Safety Authority Rule #2282 (Riding Crop Violations and Penalties). Pursuant to California Horse Racing Board rule #1766 (Designated Races), the term of suspension shall not prohibit participation in designated races.

NEW HISA STEWARDS RULINGS

Note: While HISA has shared these rulings over the past week, some of them originate from the weeks prior.

Violations of Crop Rule

Belterra Park (Ohio)

Elder Luis Martinez – ruling date July 13, 2022

Augustin Gomez – ruling date July 21, 2022

Canterbury Park (Minnesota)

Lindey Wade – ruling date July 9, 2022

Ellis Park (Kentucky)

Abel Lezcano – ruling date July 31, 2022

Adam Beschizza – ruling date July 31, 2022

Christopher Emigh – ruling date July 31, 2022

Alice Beckman – ruling date July 31, 2022

Evangeline Downs (Louisiana)

Liandro Atempa – ruling date July 9, 2022

Joe Stokes – ruling date July 14, 2022

Treylon Albert – ruling date July 14, 2022

Finger Lakes (New York)

Luis E. Perez – ruling date July 13, 2022

Jose Cruz – ruling date July 13, 2022

Horseshoe Indianapolis (Indiana)

Orlando Mojica – ruling date July 22, 2022

Parx Racing (Pennsylvania)

Luis M. Ocasio – ruling date July 25, 2022

Angel Castillo – ruling date July 26, 2022

Presque Isle Downs (Pennsylvania)

Walber Braz Alencar – ruling date July 21, 2022

Saratoga (New York)

Luis Rodriguez Castro – ruling date July 20, 2022

Voided Claims

Arapahoe (Colorado)

Ronnie Roberts – voided claim due to Prohibited Substance detected in claimed horse (Albuterol) – ruling date July 17, 2022

Mountaineer Park – 6 (West Virginia)

SPICE IT UP x2* – voided claims due to Prohibited Substance detected in claimed horses (flunixin) – ruling date July 5, 2022

*More than one violation marked by “x2”, “x3”, etc.

Appeal Request Updates

Finger Lakes: Luis E. Perez – crop rule violation

No stay requested

Finger Lakes: Jose Cruz – crop rule violation

No stay requested

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Mulling HISA Injunction, Judge Says No to Lengthy Hearing

After receiving back-and-forth written briefs from both parties on whether or not to impose a preliminary injunction that would halt the Horseracing Integrity and Safety Act (HISA) Authority's rules until a lawsuit challenging them gets decided in full, the judge in charge of the case on Friday denied a request by the plaintiffs to hold a potentially lengthy in-person hearing to debate the issue any further.

The plaintiffs, led by the states of Louisiana and West Virginia, plus the Jockeys' Guild and various Louisiana-based “covered persons” under HISA rules, had told the judge Thursday that it was imperative to allow them to plead their case for an injunction in person.

The plaintiffs wrote in a July 21 court document that they were prepared to produce at least 10 witnesses to testify to the “extreme level of disruption that the HISA rules are inflicting on the States, racing commissions, industry, and its participants.”

That witness list consisted of Louisiana-based horsemen's group and racing commission executives, plus racing officials, veterinarians, owners, trainers, jockeys, a state steward, and two Jockeys' Guild representatives. Some of the proposed witnesses were also plaintiffs in the case.

Judge Terry Doughty of U.S. District Court (Western District of Louisiana) wasn't persuaded that he needed to hear all of that testimony before making up his mind. Writing in a July 22 order, he stated that his pending decision on whether or not to grant a preliminary injunction will be based solely on the written pleadings.

The defendants, who consist of the HISA Authority, the Federal Trade Commission (FTC), and board members and overseers of both entities, are alleged to have violated the Fourth, Seventh and Tenth Amendments to the United States Constitution, plus the Administrative Procedure Act (APA), which governs the process by which federal agencies develop and issue regulations.

The defendants have already survived the plaintiffs' motion for a temporary restraining order that accompanied the original lawsuit. That complaint got filed two days before the July 1 effective date for the first phase of HISA's new rules that are now in effect nationwide.

At that time, Doughty wrote that “issuing a temporary restraining order regarding an Act of Congress would be inappropriate.” But he added that the asked-for preliminary injunction could still be a possibility.

The preliminary injunction question the judge must now decide is fundamentally different, but it still has the potential to halt HISA's rules like a temporary restraining order would have.

A temporary restraining order is generally an “emergency” type of injunction to ward off immediate harm, and it has an expiration date. A preliminary injunction, on the other hand, is often used to restrain a party from taking a certain action while a case is pending, and it usually remains in force until the case gets settled in its entirety.

On July 15, the HISA-led defendants wrote in a filing opposing the injunction that, “The vast majority of stakeholders in the horseracing industry recognize the need for uniform regulations and are cooperating with the Authority and the FTC to ensure a smooth transition to this new congressionally mandated regime. But a small contingent of outliers, including Plaintiffs, have long opposed the Act on policy grounds and are growing increasingly desperate in their attempts to thwart its implementation.”

Not so, responded the plaintiffs in their July 22 filing:

“The facts on the ground further expose the flaws in Defendants' description of the horseracing industry since July 1, when HISA's rules took effect. The industry is in chaos because of HISA's hastily adopted and imprudent regulatory scheme. The FTC shares blame for this chaos because it failed to provide proper oversight of a private, nonprofit corporation's takeover-by-regulation of the horseracing industry; its token consideration and rubberstamp approval of HISA's rules fall far short of the substantive and procedural consideration required,” the document stated.

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