EXHIBIT 1 

Case 1:20-cv-21254-BB Document 47-2 Entered on FLSD Docket 07/02/2021 Page 1 of 8
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 SET OF INTERROGATORIES TO PLAINTIFF 

Pursuant to Rule 33 of the Federal Rules of Civil Procedure, Defendant Justin W. Keener 

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

Plaintiff U.S. Securities and Exchange Commission (“SEC”) answer the following 

interrogatories (“the Interrogatories”) within thirty (30) days of service of this request. 

DEFINITIONS 

1. “Defendant” means Justin W. Keener d/b/a JMJ Financial. 

2. “SEC” or “Plaintiff” or “You” or “Your” 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. 

3. “Action” means the above-captioned case pending in the United States District Court 

for the Southern District of Florida, Miami Division. 

4. “Person” means any natural person or any business, legal or governmental 

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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. 

5. “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. 

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

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. 

7. “Identify” (with respect to Persons) means to give, to the extent known, the Person’s full 

name, present or last known address, and when referring to a natural person, additionally, the 

Person’s present or last known place of employment and job title. 

8. “Identify” (with respect to Documents or Communications) means to give, to the extent 

known, the (i) the type of Document or Communication; (ii) a summary of the substance of the 

Document or Communication; (iii) date of the Document or Communication; (iv) author(s), 

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addressee(s), recipients, or participants; and (v) the bates range(s) Relating to the Document or 

Communication. 

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

10. “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. 

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

12. As used herein, the singular of any word shall include the plural, and the plural of any word 

shall include the singular. 

INSTRUCTIONS 

1. Your answers to these Interrogatories should reflect information available to You, Your 

employees, agents, servants, representatives, independent contractors, attorneys, and persons 

under Your control or direction or acting or purporting to act on Your behalf. 

2. When an Interrogatory does not specifically request a particular fact, but such fact is 

necessary in order to make the answer to the Interrogatory either comprehensible, complete, or 

not misleading, You are to include such fact as part of Your answer and the Interrogatory shall 

be deemed specifically to request such fact. 

3. If serving an objection to an Interrogatory, the form of the objection must comply with 

Local Rule 26.1(e) and Magistrate Judge Louis’s September 9, 2020 General Order on Discovery 

Objections and Procedures [ECF No. 31]. 

4. If you object to any part of the Interrogatory for whatever reason, you must still answer 

the Interrogatory as to the remaining parts. 

5. You have a duty to supplement Your responses to the Interrogatories pursuant to Rule 

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26(e) of the Federal Rules of Civil Procedure. You are requested to provide such additional 

information as You or any other Person on Your behalf hereafter may obtain which will augment 

or otherwise modify Your answers or responses now given to the Interrogatories below. Such 

supplementary information is to be provided to the undersigned immediately upon Your receipt 

of such information. 

INTERROGATORIES 

INTERROGATORY NO. 1: 

Identify all Persons you believe are victims of the conduct alleged by the SEC in this 

Action and all of the facts that You believe demonstrate such Persons are in fact victims, 

including the specific amount of harm or loss you believe such victims experienced. 

INTERROGATORY NO. 2: 

Identify all facts You believe demonstrate that Mr. Keener advertised his willingness to 

sell any security or that he quoted prices for the sale of any security. 

INTERROGATORY NO. 3: 

Identify all facts You believe demonstrate that Mr. Keener provided investment advice. 

INTERROGATORY NO. 4: 

Explain all of the reasons You published, and continue to publish to this day, the Guide to 

Broker-Dealer Registration, available at https://www.sec.gov/reportspubs/investorpublications/divisionsmarketregbdguidehtm.html. 

INTERROGATORY NO. 5: 

Explain with specificity what each of the following phrases in the Guide to BrokerDealer Registration means, including by identifying all of the conduct described in each phrase: 

a. “Issu[ing] or originat[ing] securities;” 

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b. Conducting “business with the public (either retail or institutional);” 

c. “Underwrit[ing] securities;” 

d. “Individuals who buy and sell securities for themselves generally are considered 

traders and not dealers;” and 

e. Buying and selling securities “not as part of a regular business.” 

INTERROGATORY NO. 6: 

In light of the fact that the SEC’s Guide to Broker-Dealer Registration solicits questions 

from the public—i.e., “[t]he 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”—identify any questions received by the SEC’s Office 

of Interpretation and Guidance from 2013 to the present concerning the activities of a dealer, and 

any responses provided by the SEC. 

INTERROGATORY NO. 7:

Identify any complaints received by the SEC’s Office of Investor Education and 

Advocacy from individual investors or their representatives from 2013 to the present relating to 

convertible promissory notes issued by microcap issuers. 

Dated: December 23, 2020 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

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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 Set of 

Interrogatories to Plaintiff 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 23rd day of December, 2020 

/s/ Benjamin G. Greenberg 

Benjamin G. Greenberg 

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