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Case 3:12-cv-01068-RNC Document 14-1

Filed 09/25/12 Page 1 of 3

UNITED STATES DISTRICT COURT DISTRICT OF CONNECTICUT ) ) ) ) ) ) ) ) ) ) )

SECURITIES AND EXCHANGE COMMISSION, Plaintiff, v. JERRY S. WILLIAMS, MONK’S DEN, LLC, and FIRST IN AWARENESS, LLC, Defendants.

No. 3:12-cv-01068-RNC

MEMORANDUM OF LAW IN SUPPORT OF PLAINTIFF’S MOTION TO STRIKE ANSWERS OF MONK’S DEN, LLC AND FIRST IN AWARNESS, LLC Plaintiff Securities and Exchange Commission (“Commission”) hereby requests that this Court strike the answers of Monk’s Den, LLC and First In Awarness, LLC, which purport to be represented by a non-lawyer, defendant Jerry Williams. In support of this motion, the Commission states as follows: 1. 2. The Commission filed its Complaint in this matter on July 20, 2012. On July 27, 2012, the Commission filed proof of service for individual

defendant Jerry Williams and for the entity defendants Monk’s Den, LLC and First In Awareness, LLC. (ECF 8-10.) 3. On September 14, 2012, defendant Williams, a non-lawyer, filed an

answer on behalf of himself, pro se, and on behalf of Monk’s Den, LLC and First In Awareness, LLC. (ECF 13.) 4. Business entities appearing as parties in the Second Circuit must be

represented by a licensed attorney. They may not be represented by lay persons. Lattanzio v. COMTA, 481 F.3d 137, 139-40 (2nd Cir. 2007) (per curiam) (ruling that artificial business entities, such as corporations, limited liability companies, and

Case 3:12-cv-01068-RNC Document 14-1

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partnerships, must be represented by licensed attorney); Shapiro, Bernstein & Co. v. Continental Record Co., 386 F.2d 426, 375 (2nd Cir. 1967) (per curiam) (“[I]t is settled law that a corporation cannot appear other than by its attorney.”). Because Williams is not a licensed attorney, he could not submit an answer on behalf of Monk’s Den, LLC or First In Awareness, LLC. Based on the foregoing, the Commission respectfully requests that this Court strike the answers of Monk’s Den, LLC and First In Awareness, LLC.

Respectfully submitted, SECURITIES AND EXCHANGE COMISSION, By its attorney,

/s/ R.M. Harper II Richard M. Harper II (PHV #05528) Senior Trial Counsel U.S. Securities and Exchange Commission 33 Arch Street, 23rd Floor Boston, Massachusetts 02110 (617) 573-8979 (Harper) (617) 573-4590 (Facsimile) HarperR@sec.gov September 25, 2012

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Case 3:12-cv-01068-RNC Document 14-1

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CERTIFICATE OF SERVICE I hereby certify that on September 25, 2012, I served the foregoing document on following unrepresented parties by First Class Mail: Jerry S. Williams 3123 North 82nd Way Mesa, Arizona 85207 Monk’s Den, LLC c/o Jerry S. Williams 3123 North 82nd Way Mesa, Arizona 85207 First in Awareness, LLC c/o Jerry S. Williams 3123 North 82nd Way Mesa, Arizona 85207

/s R.M. Harper II Richard M. Harper II

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