UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF FLORIDA

MIAMI DIVISION

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

SECURITIES AND EXCHANGE 

COMMISSION,

Plaintiff,

v.

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

Defendant.

NOTICE OF HEARING

NOTICE IS HEREBY GIVEN that a discovery hearing in the above-captioned matter 

has been scheduled as follows: 

JUDGE: The Honorable Lauren F. Louis, United States Magistrate Judge

DATE: June 18, 2021

TIME: 10:00 AM

PLACE: C. Clyde Atkins United States Courthouse

301 North Miami Avenue, Eleventh Floor

Miami, Florida 33128

The Parties may either appear in person to the extent consistent with the 

instructions posted on the Court’s website or may enter a telephonic 

appearance. The Court will forward telephonic instructions in separate 

correspondence.

MATTERS:

1. The parties dispute the relevance and burden associated with producing 

certain communications between the Securities and Exchange 

Commission’s (“SEC”) Office of Interpretation and Guidance and 

members of the public. Specifically, the communications concern all 

questions raised by members of the public regarding the dealer 

Case 1:20-cv-21254-BB Document 42 Entered on FLSD Docket 06/07/2021 Page 1 of 4
registration requirements set forth in the SEC’s Guide to Broker-Dealer 

Registration, and answers provided by the SEC’s Office of 

Interpretation and Guidance in response to such questions. (Request 

No. 1 of Defendant’s March 19, 2021 Second Request for Production of 

Documents and Interrogatory No. 6 of Defendant’s December 23, 2020 

First Set of Interrogatories.)

S.D. FLA. L.R. 7.1 CERTIFICATION

Pursuant to S.D. Fla. L.R. 7.1(a)(3), counsel for Mr. Keener has conferred with counsel for 

the SEC in a good faith effort to resolve by agreement the above discovery dispute. Specifically, 

Mr. Braunstein and Mr. Petrilla, as counsel for the SEC, and Mr. Regan, Ms. Viswanatha, Ms. 

Rauh, and Mr. Greenberg as counsel for Mr. Keener, held a fifty-minute telephonic meet and 

confer on April 26, 2021 to discuss the dispute. In addition, Ms. Viswanatha sent letters to the 

SEC regarding this dispute on May 7 and May 24, and Mr. Braunstein sent letters to Mr. Keener 

related to the dispute on May 6 and May 11. The parties also exchanged emails regarding this 

dispute on March 11, 15, 18, 19, and 29, April 5, April 30, May 3, and May 5. 

Dated: June 7, 2021 Respectfully submitted,

GREENBERG TRAURIG LLP

/s/ Benjamin G. Greenberg

Benjamin G. Greenberg 

Florida Bar No. 192732

greenbergb@gtlaw.com

333 SE 2nd Avenue Suite 4400

Miami, FL 33131

Telephone: (305) 579-0850

Facsimile: (305) 579-0717

Case 1:20-cv-21254-BB Document 42 Entered on FLSD Docket 06/07/2021 Page 2 of 4
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

Case 1:20-cv-21254-BB Document 42 Entered on FLSD Docket 06/07/2021 Page 3 of 4
CERTIFICATE OF SERVICE

I hereby certify that I have this day served via ECF a true and correct copy of the 

foregoing Notice of Hearing to the following:

Joshua E. Braunstein (Special Bar No. A5502640)

Antony Richard Petrilla (Special Bar No. A5502641)

Attorneys for Plaintiff

SECURITIES AND EXCHANGE COMMISSION

100 F Street NE

Washington, DC 20549

Telephone: (202) 551-8470

Braunsteinj@sec.gov

Attorneys for Plaintiff 

Securities and Exchange Commission 

This, the 7th day of June, 2021

/s/ Benjamin G. Greenberg

Case 1:20-cv-21254-BB Document 42 Entered on FLSD Docket 06/07/2021 Page 4 of 4