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Ecotality Subpoena

Ecotality Subpoena

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Published by Lachlan Markay
A subpoena sent by the Securities and Exchange Commission to Don Karner, president of Ecotality subsidiary eTec.
A subpoena sent by the Securities and Exchange Commission to Don Karner, president of Ecotality subsidiary eTec.

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Published by: Lachlan Markay on Apr 02, 2012
Copyright:Attribution Non-commercial

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01/15/2013

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UNITEDSTATES
SECURITIES
ANDEXCHANGE
COMMISSION
LOSANGELESREGIONALOFFICE
11TH
FLOOR5670WILSHIREBOULEVARD
Los
ANGELES,CALIFORNIA90036-3648
DIRECTDIAL.~(323)
985-32D1
FAXNl'~BER:(323)955-3392
December15,2011
VIAUPSOVERNIGHTDELIVERY
Donald
B.
Kamer5706
N
CentralAve.Phoenix,
AZ
85012-1316
Re:
IntheMatterofTradingintheSecuritiesofECOtality,Inc.(LA-3854)
Dear
ML
Kamer:The
staff
oftheSecuritiesandExchangeCommissionisconductinganinvestigationinthematteridentifiedabove.Theenclosedsubpoenahasbeenissued
to
youaspartofthisinvestigation.Thesubpoenarequiresyoutogiveusdocumentsandprovidesworntestimony.Pleasenotethatifyoucomplywiththeinstructionsforproducingdocuments,youwillnotneedtoappearfortestimonyattheindicatedtime,Pleasereadthesubpoenaandthislettercarefully.Thisletteranswerssomequestionsyoumayhaveaboutthesubpoena,YoushouldalsoreadtheenclosedSECForm1662_Youmustcomplywiththesubpoena.Youmaybesubjecttoafineand/orimprisonmentifyoudonot.
ProducingDocuments
.WhatmaterialsdoIhavetoproduce?
Thesubpoenarequiresyoutogiveusthedocumentsdescribed
in
theattachmenttothe
subpoena.Youmustprovidethesedocuments
by
10:00a.m.PTonJanuary6,2012.
Theattachmenttothesubpoenadefinessometenus(suchas"document")beforelistingwhatyoumustprovide.Pleasenotethatifcopiesofadocumentdiffer
in
anyway,theyareconsideredseparatedocumentsandyoumustsendeachone.Forexample,
if
youhavetwocopiesofthesameletter,butonlyoneofthemhashandwrittennotesonit,youmustsendboththecleancopyandtheonewithnotes.Ifyouprefer,youmaysendusphotocopiesoftheoriginals.TheCommissioncannotreimburseyoufOJthecopyingcosts.Thecopiesmustbeidenticaltotheoriginals,includingevenfaintmarksorprint.Ifyouchoosetosendcopies,youmustkeeptheoriginals
in
asafeplace.Thestaffwillacceptthecopiesfornow,butmayrequireyoutoproducetheoriginalslater.
 
DonaldB.KamerDecember15,2011Page
2
Ifyoudosendusphotocopies,pleaseputanidentifyingnotationoneachpageofeachdocumenttoindicatethatitwasproducedbyyou,andnumberthepagesofallthedocumentssubmitted.(Forexample,ifJaneDoesendsdocumentstothestaff,shemaynumberthepages10-1,
10-2,JD-3,
etc.,inablankcomerofthedocuments.)Pleasemakesurethenotationandnumberdonotconcealanywritingor
marking
onthedocument.
If
yousendusoriginals,pleasedonotaddanyidentifyingnotations.
Do1needtosendanythingelse?
Youshouldenclosealistbrieflydescribingeachitemyousend.Thelistshouldstatewhichparagraph(s)inthesubpoenaattachmenteachitemrespondsto.Pleaseinclude
a
coverletterstatingwhetheryoubelieveyouhavemetyourobligationsunderthesubpoena
by
searchingcarefullyandthoroughlyforeverythingcalledforbythesubpoena,andsending
it
all
tous.
What
if
1donotsendeverythingdescribedintheattachmenttothesubpoena?
Thesubpoenarequiresyoutosend
all
thematerialsdescribed
in
it.
If,foranyreason--including
a
claimofattorney-clientprivilege--youdonotproducesomethingcalledforbythesubpoena,youshouldsubmitalistofwhatyouarenotproducing.Thelistshoulddescribeeachitemseparately,noting:itsauthor(s);itsdate;itssubjectmatter;thenameofthepersonwhohastheitem
now,
orthelastpersonknowntohave
it;
thenamesofeveryonewhoeverhadtheitemoracopyof
it,
andthenamesofeveryonewhowastoldtheitem'scontents;andthereasonyoudidnotproduce
the
item.
If
youwithholdanythingonthebasisofaclaimofattorney-clientprivilegeorattorneyworkproductprotection,youshouldalsoidentifytheattorneyandclientinvolved.
lVhereshould
1
endthematerials?
Pleasesendthematerialsto:Marisa
G.
WesterveltAttorney,Division
of
EnforcementU.S.SecuritiesandExchangeCommission5670WilshireBlvd.,11111loorLosAngeles,CA90036
 
DonaldB.KamerDecember15,2011Page3
TestifYing
Mereandwhendo
1
testify?
ThesubpoenarequiresyoutocometotheCommission'sofficesat5670WilshireBlvd.,
11th
Floor,LosAngeles,California90036,at10:00a.m.PTonFebruary21,2012,totestifyunderoath
in
thematteridentifiedonthesubpoena.But,asnotedabove,ifyoucomply
with
allthedirectionsforproducingdocuments,we
will
notrequireyoutotestifyattheindicatedtime.Wemayrequireyourtestimonylater,however.
OtherImportantInformation
May1havealawyerhelpmerespondtothesubpoena?
Yes.Y
all
havetherighttoconsult
with
andberepresented
by
yourownlawyerinthismatter.Yourlawyermayalsoadviseandaccompanyyouwhenyoutestify.Wecannotgiveyoulegaladvice.
lVhat
willtheCommission
do
withthematerials1sendand/orthetestimony1provide?
TheenclosedSECForm1662includesaListofRoutineUsesofinformationprovidedtotheCommission.Thisformhasotherimportantinformationforyou.Pleasereaditcarefully.
HastheCommissiondetermined
that
anyonehasdoneanythingwrong?
Thisinvestigationisanon-public,fact-findinginquiry.Wearetryingtodeterminewhethertherehavebeenanyviolationsofthefederalsecuritieslaws.Theinvestigationandthesubpoenadonotmeanthatwehaveconcludedthatyouoranyoneelsehasbrokenthelaw.Also,theinvestigationdoesnotmeanthatwehaveanegativeopinionofanyperson,entityorsecurity.
ImportantPolicyConcerningSettlements
Pleasenotethat,inanymatterinwhichenforcementactionisultimatelydeemedtobewarranted,theDivisionofEnforcementwillnotrecommendanysettlementtotheCommissionunlessthepartywishingtosettlecertifies,underpenaltyofperjury,thatalldocumentsresponsivetoCommissionsubpoenasandformalandinformaldocumentrequests
in
thismatterhavebeenproduced.

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