Free Sealed Document - District Court of Arizona - Arizona

E During the course of my employment as the compliance officer at my former employer at a Stock Transfer
agency, it was my duty to keep abreast of United States Securities Commission enforcement actions against
companies. It was to make sure one of our clients, at that point 245 public companies from all over the world,
and their respective Corporate officers were not on the Securities and Exchange Commission daily briefings
from the ‘www.sec.gov’ Website.
I also did business with Lewco and Montauk on a regular basis, but have no knowledge of individual accounts.
Things listed in these briefings usually listed the name of the company and the players involved. My Secretary
Laura, would regularly scan for "Arizona", "Fraud" etc, because some of these briefings were very lengthy.
They would have been yellow highlighted.
Also, I would scan for “SB-l” or "SB-2” as these would be companies filing for a registration and that might
pan out to be a new client.
llfhen you asked before the trial if I had ever heard of "Hits Galore”, and you might have even added the "Hits
Galore dot com", nothing rang a bell. They were not a client of mine.
However when I saw this word in print in evidence, I do believe I have prior knowledge that Hitsgalorecom
was in fact on some SEC enforcement briefing. I might be wrong, but I do believe I saw this a few years ago.
I have absolutely zero knowledge of Jeanette Wilcher, Life Foundation Trust, Rex Allen Jr., or his Aunt Connie
Gillaspie, Carr, Serber, Ponikvar or any other individual from this case. However if they were comiected to
Hitsgalore, they would have been listed on the briefing. Since none of these people were my clients, I would
have skipped over the briefing with just a rapid reading. I really cannot say if it was positive or negative for
them.
However, the mere fact that Hitsgalore was possibly on an enforcement briefing would not usually have been a
good thing.
Since there are two alternates in this case, I hope that this coming to light at this juncture is not a major problem
for the case. I take my duty as a juror very seriously, as I would hope others would treat me. It has been an
honor to serve. But the more I thought about this, the more certain I am that I have seen Hitsgalore before. I
could easily be excused as a ‘“not needed altemate" and no other juror would know there might be a problem.
I have not mentioned this to any juror, just as I have not conversed with any person about the case. I just wanted
to be fair.
Please advise me as to what should be done.
Respectfully, Juror
I
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#5 Case 2:03—cr—01098-EHC Document 226 Filed O4/14/2006 4//A5/$$6-

Case 2:03-cr-01098-EHC

Document 226

Filed 04/14/2006

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