Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 1 of 6

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UNI TED STATES DI STRI CT CO URT SOUTHERN DI STRI CT O F FLO RI DA UNI TED STATES OF AM ERI CA ,

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sT tve N M. . CI A RI K cr RE ERKu st Dl s;

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Case No 11 80205CRMARRA/ HOPKl NS

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Pl ai n t i f t

MI TCHELLJ .STEI N,

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DEFENDANT M I TCHELL J.STEI N' S PROPO SED VO I R DI RE OUESTI O NS

Def endant M i t chel l St ei nr eques t st hat t he f ol l ow i ng ques t i ons ,i nt er al i a, be a sked

dur i ng voi rdi r e. os ef r i e nds wor ked a tt he Have you or any m em be rs of your f am i l y or cl Secur i t i es a nd Excha nge Comm i ss i on, t he NASD , or any agency i nvol ved i nr egul a t i ng t he
pur chaseand sa l e ofpubl i cl yt r aded se cur i t i es ? Have you or a ny m em ber s of your f am i l y had s peci al expe r i e nce or s peci al t r ai ni ng i nt hepur chas e and s al e ofpubl i cl yt r aded s e cur i t i es?
Have you or any mem be rs of your f am i l y wor ked f or a s t ock br oker or

s ec ur i t i esf i r m?

4.

Do you pr es ent l y own any i nves t m ent s,s uch as s t ock m ar ket s har es or i nt er est

i nr e alpr oper t y or l i mi t ed pa r t ner s hi ps? Have you e ver i nves t ed i ns ecur i t i es t r aded on wha tar e

c a l l e d Pi n k Sh e e t sort he Ov e r t h ecou n t e rBul l e t i n Bo a r ds ?
Ar e you an act i ve i nve s t orwho buysand s el l ss t ocksf r equent l y?

Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 2 of 6

Do you us eas t ock br oker t o as si s t you w i t h i nves t ment s , or any m oneym ana gem entadvi s or ?

7 .

Ha ve m u h a d ab a de x pe r i e nc ei ni n ve s t me n td e ci s i o ns orw i t ha n ys t oc k br o ke r

ormone y m ana gem entadvi s or ?I fso,pl eas e expl ai n.

8.

Have you evers ue d orpa r t i ci pat ed i n al aw s ui tr el a t i ng t oi nves t m entl os s es ? Have you orany ofyourf a mi l y orf r i endsbeen i nvol ved i nas t a r t up busi nes s ?

1 0.

Have you or a ny Ofm urf am i l y or f ri ends be en i nvol ved i nt r yi ng t or ai se money

f ora s t ar t up busi nes s ?

11.

Som e of t he Gt wer nm ent ' s evi dence m ay consi st of t e s t i m ony by al l eged co-

c ons pi r a t or s or i ndi vi dual s who have ent er ed i nt o pl ea bar gai ns wi t h t he Gover nment ,
s eeki ng f avor abl et r ea t m ent i nr et ur nf or ass i s t i ng t he Gover nm ent ' s cas e.W hi l ei ti s per f e ct l y

appr opr i at et hats uch pl ea bar gai ns occ ur ,t he l aw s ayst hats uch w i t nes st es t i mony m us tbe t r ea t ed
car ef ul l y and r e cei ved wi t h gr eatc aut i on.l st her e anyone who cannotdo t r ea tt he t e s t i m ony who

wi t nes s eswho have pl ead gui l t y ca r ef ul l y and wi t h gr eatca ut i on? Do any of m u have opi ni ons r egar di ng s ol neone advi s i ng or ass i s t i ng ot her pe rs onst o buy or s el ls t oc kt hatwoul d m ake i tdi t xcul tf or you t of ai r l yc ons i dert he t es t i m ony a nd f ol l ow m y i ns t r uct i ons ?
Hasanm ne har d abouta com pany cal l ed Rec om ,orHea rtTr oni cs ,orSi gnal i f e? l 4. 15. Hasanyonehear d aboutan or ga ni zat i on cal l edA t hl e t esf orLi f e? W ho her e hasl os ta l oved one,f am i l y mem be r ,and/ orcl os ef r i end t o hea rtdi s e as e? W ho he r e has f am i l i ar i t y wi t h EKG m ac hi nes , EEC m achi nes , he ar t m oni t or s ,

orr el at ed devi ces ?
W ho her e hass er ved on a boar d ofdi r ect or soran audi tc om m i t t ee ofa company?
2

Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 3 of 6

l8.

W ho her e hasany backgr ound i na ccount i ng ori n audi t i ng ofpubl i c com pani es?

1 9.

Wh oh e r e kn ows wh a ta I O K,a I OQ,a n8 K,or a n 8Q i s ? Who he r e ha sf i l e d

ors i gned of ron s uch document s ? 20.
c ompani es ?

W ho her ei sa wa r e of t he r m ui r em e nt st he Sa r banes oxl ey 1 aw pl a ces on

21 . 22.

W ho her e knowswhats hol ' ts el l i ng ornaked s hor ts el l i ng a s t ock means? W ho her e has f am i l i ar i t y wi t hf ami l yt r us t s ,orf am i l i ar i t y wi t h bl i nd t r us t s?

Do y ou k no w a ny r ea s o n why you ma yb ep r e j u di c e df or o ra g ai n s tt he
g o ve r n me n tf o rora ga i ns ta ny wi t ne s s ,orf orora g a i ns tM r .St e i n,wh e t h e rbe c a us e oft h en a t ur e
oft he char gesor ot her wi s e? l fs o,woul d pr eventyou f r om bei ng f ai rand i m par t i alt o bot h si des

i nt hi scas e?

2 4.

Do y ou h a ve a ny bi as o rpr e j u di c ec on c e r r l i ng t he De p a r t me n tofJ us t i c e ,t h e

Fe de l ' a l Bu r e au of I nve s t i ga t i o n, or l a w e nf o r c e me n tg e ne r a l l y , or pe o pl ea c c u s e d of f r a u d

g e ne r a l l y ,t h a two ul dl e a dy ou t o bepr e j udi c e de i t he ri nf a v orofo ra ga i n s tt hego ve r n me n tor
Mr .St ei n? l fs o,pl e as e expl ai n.

Do y ou ha v ea ny o pi ni o ns ,r e l i gi ou sb el i ef s ,p hi l os op hi e s , or p r e j u di c e s
whi ch woul d m ake you unabl et oc om e t o a ver di ct i nt hi s cas e? For e xam pl e,do you bel i e ve

t ha tno pe r s o ns ho ul de v e rbej u dge d orc o nv i c t e d,o rt h a ty ou c o ul dn ots i ti nj ud gme ntof
anot her pe rs on? On t he ot her hand, do you bel i eve t hat a nyone accused of f r aud s houl d be c onvi c t ed?

Ar e m u ac t i ve i n any or gani zat i ons ,soci alcl ubs ,or c i vi c gr oups ? W hi ch? Do you
r egul a r l y at t end Chur ch? Do you hol d any pos i t i on wi t h yourChur ch?

Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 4 of 6

n el aw s ayst hatt he accus ed,M r .St ei n,e nt er st hi scour t r oom pr es um ed i nnocen: a nd r emai ns i nnocentunl esst he pr os ecut i on es t abl i s hesgui l t y beyond a r easona bl e doubt .Mr .St ei n,w ho i sa l aw yer ,i st ryi ng t hi scase hi ms el f . Do you have any di f l kul t yi n pr es um i ng t hatM r .St ei ni si nnocent ? Doe shi ss el f r e pr es ent at i on caus e you t o hesi t at ei nt hat
c oncl usi on?

4

Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 5 of 6

28.

Do you acceptt he l aw t ha ta def endanti snotr equi r ed t o pr ove hi sorher

i n no c en c ea n di sno tr e qu i r e dt ot e s t i f yo ro f l kra ny e vi de nc e on h i sorhe rbe h a l o
Coul d you f ol l ow t he Cour t ' si ns t r uct i on t hatyou m ay notcons i de rt hei ndi ct m ent asany evi dence ofgui l t ? 30. Do any ofyou f eelt hat ,be caus e a pe r s on i saccused ofacr i m e by t he

Gover nm ent ahe i spr obabl y gui l t y?

Respect f ul l y s ubm i t t ed, N * '

Mi t chel lJ.St ei n, Pr o Se, .Phone: 5613506136, . Em ai l :

p r i va t e . o c e i b od @g
m ai l . com ;

Ad dr e s s .1 55lN. Fl agl erD r . ,h' es t
33401

Pal m Be a c t l , Fl o r i da

Case 9:11-cr-80205-KAM Document 161 Entered on FLSD Docket 04/30/2013 Page 6 of 6

CERTI FICATE OF SERV I CE

I HEREBY CERTI FY t hata t r ue and cor r ectcopy of t he f or egoi ng doc um enthas been f i l ed vi a el ect r oni c m ai lw i t ht he Cl er k oft he Courtby us i ng CM / ECF Sys t em whi ch wi l ls end a not i ce ofel ec t r oni cf i l i ng t ot he f ol l owi ng couns elof r e cor d or pr os e pa rt i es i dent i f i ed i nt he Se r vi ce Li s t bel ow i nt he m anner s peci f i ed, ei t her vi at r ans mi ss i on of Not i ces of El ect r oni c

Fi l i ng gener at ed by CM / ECF or i ns om e ot her aut hor i ze d manner f or t hos e couns el or par t i es
who ar e notaut hor i zed t or ecei ve el ect r oni cal l y Not i ces ofEl ec t r oni c Fi l i ng on t hi s 17t h day of
Apr i l28,2013

Al ber tSt ei gl i t z,Es q.

Ke vi n B. Mu hl e nd or t lEs q.
U. S.Depar t m entofJus t i ce Cr i mi nalD i vi si on - Fr aud Sect i on 1400 N e w Yor kAvenue, 4t hyj oor W as hi ngt on,DC 2005
x.
.

.

W ùf b W-

Ny y y

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