EXHIBIT 2

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UNITED STATES DISTRICT COURT 

SOUTHERN DISTRICT OF FLORIDA 

CASE NO. 1:20-CV-21254-BLOOM/LOUIS 

SECURITIES AND EXCHANGE 

COMMISSION, 

 

Plaintiff, 

v. 

JUSTIN W. KEENER D/B/A JMJ FINANCIAL,

Defendant. 

DEFENDANT’S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS 

Pursuant to Federal Rules of Civil Procedure 26 and 34, Defendant Justin W. Keener 

d/b/a JMJ Financial (“Defendant”), by and through undersigned counsel, request that Plaintiff, 

the U.S. Securities and Exchange Commission (“SEC”), produce the documents described 

below, in accordance with the Federal Rules of Civil Procedure and the Local Rules of this 

Court. 

I. INSTRUCTIONS 

1. Documents shall be produced at the offices of Buckley LLP (“Buckley”), 

Washington, D.C., or at such other location as the parties may agree, on or before 30 days from 

service of this request. 

2. Documents shall be produced as they are kept in the ordinary course of business or 

be organized and labeled to correspond with the categories in this request. 

3. Documents held by the SEC in electronic form shall be produced in the same form. 

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Documents in paper format may be produced either by sending the originals or by scanning the 

hard copies and producing the scans electronically. 

4. Documents should be labeled with sequential numbering (bates-stamped). 

5. Documents produced in electronic format shall be produced in compliance with the 

Data Delivery Standards from the SEC’s original Subpoena in the JMJ Financial Investigation, 

dated May 7, 2018. 

6. This request covers all documents in the possession of, or subject to the custody or 

control of Plaintiff, its agents or employees or persons acting on its behalf, including its attorneys 

and accountants. 

7. This request calls for production of all original documents and all copies and drafts of 

the same. 

8. If asserting an objection to the production of a document based on a claim of 

privilege, that party shall provide a privilege log of the documents to which the objection is 

made, setting forth with respect to each document the information required by Local Rule 

26.1(e)(2)(B)-(C). 

9. For each document responsive to these requests that is known to have existed but 

cannot be located, or has been destroyed or discarded, provide the identity of the author(s), the 

date and recipient(s), and summarize its contents. 

10. Each document request herein is continuing in nature so as to require you to 

submit supplementary responses if additional documents are found. 

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II. DEFINITIONS 

1. “All” means “any and all”; “any” means “any and all.” 

2. “And” and “or” each encompass both “and” and “or.” Both terms should be construed 

disjunctively and conjunctively, as necessary, to bring within the scope of these requests all 

documents that might otherwise be construed as falling outside their scope. 

3. “Including” means “including, but not limited to.” 

4. “Concerning” means constituting, evidencing, reflecting, describing, effecting, 

memorializing, summarizing, containing, reflecting, relating to, referring to, pertaining to, or 

being about, either directly or indirectly, or in any way logically or factually connected with the 

specified subject matter. Any request for documents “concerning” any subject matter includes a 

request for documents reflecting communications about that subject matter. 

5. “Person” is defined as any natural person or any business, legal or governmental 

entity or association, including any such entity or association’s subsidiaries and affiliates, as well 

as anyone acting on behalf of, at the direction of, or under the control of the entity or association 

or its subsidiaries or affiliates. 

6. “Communication” or “correspondence” means the transmittal of any information in 

any manner, including any oral, written, or electronic correspondence and evidence thereof, no 

matter how that correspondence or evidence is stored, memorialized, or fixed. It also includes 

any letters, emails, messages, transcripts, records of statements, summaries, memoranda, 

reviews, reports, notes, logs, records, journals, minutes, or outlines concerning the transmittal of 

information. 

7. “Document” is used in its broadest sense and is meant to include all items referred to 

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and included within the scope of Federal Rule of Civil Procedure 34. The term “document” 

specifically includes any and all electronic documents and data, no matter how they are stored, 

all original and nonidentical copies of any document, and all nonidentical drafts or versions of 

any document. The term “document” includes all writings, correspondence, memoranda, 

messages, diaries, notes, journals, minutes, books, reports, charts, ledgers, invoices, computer 

printouts, photographs, video or audio tapes or recordings, microfilm, computer generated 

documents, computer disks or data tapes, and any other tangible things. 

8. “Matter” means any inquiries, formal or informal investigations, litigation, or 

administrative proceedings.

9. “SEC” means the U.S. Securities and Exchange Commission, including all of its 

subsidiary divisions and units, as well as any person employed by, formerly employed by, 

associated with, formerly associated with, acting on behalf of, or who formerly acted on behalf 

of that entity. 

10. “JMJ Financial Investigation” means the SEC investigation designated as 

HO-13487, including any investigation conducted prior to the Commission’s issuance of a 

formal notice of investigation. 

III. DOCUMENT REQUESTS

1. The SEC’s Guide to Broker-Dealer Registration states that: “The SEC staff 

stands ready to answer your questions and help you comply with our rules. After reading this 

guide, if you have questions, please feel free to contact the Office of Interpretation and Guidance 

at (202) 551-5777 (e-mail tradingandmarkets@sec.gov) or the Regional Office of the SEC in 

your area.” Guide to Broker Dealer Registration (“the Guide”), avail. at

https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguidehtm.html. 

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Please produce from Jan. 1, 2013 to the present all Documents reflecting questions received by 

the Office of Interpretation and Guidance (“Office”) Concerning Section II.B of the Guide 

(“Who is a ‘Dealer’”), and all Documents reflecting responses provided by the Office to such 

questions. 

Dated: March 19, 2021 Respectfully submitted, 

GREENBERG TRAURIG LLP

/s/ Benjamin G. Greenberg

Benjamin G. Greenberg 

Florida Bar No. 192732 

333 SE 2nd Avenue Suite 4400 

Miami, FL 33131 

Telephone: (305) 579-0850 

Facsimile: (305) 579-0717 

greenbergb@gtlaw.com

RASKIN & RASKIN, P.A.

Jane Serene Raskin 

Florida Bar No. 848689 

201 Alhambra Circle Suite 1050 

Coral Gables, Fl. 33134 

Telephone: (305) 444-3400 

jraskin@raskinlaw.com

-andBUCKLEY LLP

Christopher F. Regan (pro hac vice)

Veena Viswanatha (pro hac vice) 

2001 M Street NW, Suite 500 

Washington, DC 20036 

Telephone: (202) 349-8000 

Facsimile: (202) 349-8080 

cregan@buckleyfirm.com

vviswanatha@buckleyfirm.com

Counsel for Defendant Justin W. Keener

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CERTIFICATE OF SERVICE 

I hereby certify that I caused a copy of the foregoing Defendant’s First Request for 

Production of Documents to be sent electronically to: 

Joshua E. Braunstein (Special Bar No. A5502640) 

Antony Richard Petrilla (Special Bar No. A5502641) 

Attorneys for Plaintiff 

U.S. Securities and Exchange Commission 

100 F Street NE 

Washington, DC 20549 

Telephone: (202) 551-8470 

Braunsteinj@sec.gov

PetrillaA@sec.gov

Attorneys for Plaintiff 

Securities and Exchange Commission 

This, the 19th day of March, 2021 

/s/ Benjamin G. Greenberg

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