Case 1:15-mc-91258-RGS Document 1-3 Filed 08/14/15 Page 1 of 40

Exhibit A

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Boston Regional Office

33 Arch Street, 23rt Floor

Boston, MA 02110

DIVISION OF ENFORCEMENT

Gretchen Lundgren
Counsel
617-573-4578

June 30,2015
Via Overnight Mail
Carlos Garza
136 Hillcrest Terrace

Brattleboro, VT 05301
Re:

In the Matter of GAW Miners. LLC fB-02979^

Dear Mr. Garza:

The staff of the Boston Regional Officeof the United States Securitiesand Exchange
Commission is conducting an investigation in the matter identified above. The enclosed

subpoenahas been issued to you as part of this investigation. The subpoena requires you provide
us documents. The subpoena also requires you to appear for testimony on July 28,2015 at 9:30
a.m. at the above Boston address.

Please read the subpoena and this lettercarefully. This letteranswers some questions you
may have about the subpoena. You should also read the enclosed SEC Form 1662. You must

comply with the subpoena. You may be subjectto a fine and/or imprisonment if you do not.
Producing Documents

What materials do I have toproduce?

The subpoena requires you to provide us the documents described in the attachment to
the subpoena. You must provide these documents by July 14,2015. The attachment to the

subpoena defines some terms (such as "Document") before listing what you must provide.
You should produce each and everydocument in your possession, custody, or control,

including any documents that are not inyour immediate possession but that you have the ability
to obtain. All responsive documents shall beproduced as they are kept in the usual course of
business, and shall be organized and labeled to correspond with the numbered paragraphs inthe
subpoena attachment. In that regard, documents should be produced in a unitized manner, i.e.,
delineated with staples or paperclipsto identify the document boundaries.
Documents responsive to thissubpoena may be in electronic or paper form. Electronic
documents such as email should be produced in accordance with the attached document entitled

SEC Data Delivery Standards (the "Standards"). Ifyou have any questions concerning the

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