Lathen, Jr., Donald F. ('Jay'); Eden Arc Capital

Lathen, Jr., Donald F. ("Jay"); Eden Arc Capital Management, LLC; and Eden Arc Capital Advisors, LLCSECURITIES AND EXCHANGE COMMISSION
In the Matter of
DONALD F. ("JAY") LATHEN, JR., EDEN ARC CAPITAL MANAGEMENT, LLC, and EDEN ARC CAPITAL ADVISORS, LLC,
Respondents.
DECLARATION OF NANCY A. BROWN
I, Nancy A. Brown, pursuant to 28 U.S.C. § 1746, declare as follows:
I am employed as a Senior Trial Counsel in the Division of Enforcement (the
"Division"). I submit this declaration in support of the Division's Motion to Compel Third Party
Hinckley Allen to Comply with the Subpoena, or to Preclude Respondents from Offering
Testimony or Evidence Regarding Their Reliance on the Advice of Hinckley Allen. I am fully
familiar with the facts and circumstances herein.
2. Appended hereto as Exhibit A is a true and correct copy of the November 15,
2016 Subpoena issued to Hinckley Allen and Snyder LLP ("Hinckley Allen")
3. Appended hereto as Exhibit B is a true and correct copy of the executed Amended
Engagement letter, dated July 30, 2012, between Hinckley Allen and Eden Arc Capital Partners,
produced by Hinckley Allen.
consulted in connection with his investment strategy at issue in this case. He promised to
confirm that representation with his client and report back. In that conversation, we asked Mr.
Protass to intercede with Hinckley Allen to produce the withheld documents on its privilege log.
He advised that he would take the matter under advisement. Division counsel has herd nothing
further from Mr. Protass on either topic.
10. In a telephonic "meet and confer" on December 21, 2016, I raised the matters
addressed in the Division's instant motion to compel with counsel for Hinckley Allen, Mr.
Crrimm, and asked him to reconsider his privilege assertions in light of the advice of counsel
defense asserted by Respondents. In an effort to resolve our disagreement with the privilege
assertions made by the firm, I asked that Mr. Grimm review Hinckley Allen's privilege log and
consider the Division's proposed compromise that the firm produce any withheld notes or
internal memoranda that reflected or referenced conversations with the client. Mr. Grimm
promised to get back to me during the week of December 27th.
11. On December 27, 2016, I called Mr. Grimm and left a message asking for his
position. on our request that they release certain documents listed on their privilege log, including
any notes or memoranda reflecting or referencing conversations with Mr. Lathen. On December
28, 2016, Mr. Grimm wrote that he was on vacation but that his partner and a legal assistant were
reviewing certain of the documents on the firm's log to determine whether additional documents
might be produced. He advised that he would review that work and decide whether any
additional documents should be produced when he returned sometime after the new year,
estimating that he "should be able to make any supplemental production by the end of next
week." A true and correct copy o~ 1V~r. Grimm's email communication to me is appended hereto
as Exhibit D.
EXHIBIT A
SUBPOENA ATTACHMENT
In the Matter of Donald F. ("Jav"1 Lathen, Jr., et al., Admin. Proc. File No. 3-17387
DEFINITIONS
The term "communication" means the transmittal of informarion (in the form of
facts, ideas, inquiries or otherwise).
The term "document" is defined to be synonymous in meaning and equal in scope
to the usage of the term "documents or electronically stored information" in Fed. R. Civ. P.
34(a)(1)(A). A draft ornon-identical copy is a separate document within the meaning of this
term.
The term "concezning" means relating to, referring to, describing, evidencing or
constituting.
4. The following rules of construcrion apply to all discovery requests:
(a) The terms "all," "any," and "each" shall each be construed as encompassing
any and all.
(b) The connectives "and" and "or" shall be construed either disjunctively or
conjunctively as necessary to bring within the scope of the discovery request
all responses that might otherwise be construed to be outside of its scope.
(c) The use of the singular form of any word includes the plural and vice versa.
5. "You" or "Your" shall refer to Hinckley Allen &Snyder, LLP and all of its
current and former partners, counsel, associates, agents and representatives.
6. For each entity listed below, the entity shall be defined to include any parent
corporations, subsidiaries, affiliates, predecessors, successors, officers, directors, employees,
agents, general partners, limited partners or partnerships, wherever located:
Eden 1~rc Capital Management, LLC
4. If any document sought by these document requests once was, but no longer is,
within Your possession, custody or control, please identify each such document and its present or
last lrnown custodian, and state: (a) the reason why the document is not being produced; and (b)
the date of the loss, destruction, discarding, theft or other disposal of the document.
5. This request is ongoing in nature and You should continue to produce responsive
documenEs as they are found or created on an ongoing basis.
DOCUMENTS AND INFORMATION TO BE PRODUCED
1. All documents concerning the structure of, and structuring of, Eden Arc Capital Management, LLC, Eden Arc Capital Advisers, LLC, Eden Arc Capital Partners, LP, and/or EndCare ("Lathen Entities") and any investment strategy contemplated or pursued by the Lathen Entities and/or Lathen.
2. All documents concerning the structure of, and structuring of, the joint tenancies at issue in this case, including all communications about any aspect of the joint tenancies, in connection with Your representation of Lathen or the Lathen Entities.
• 3. All documents concerning any agreements concerning any of the Lathen Entities and/or Lathen, including but not limited to the Participant Agreements, Investment Management Agreement, Discretionary Line Agreement, and Profit Sharing Agreement {collectively, "Lathen Agreements").
4. All documents concerning the disclosure of Lathen's or the Lathen Entities' investment strategies to anyone, including but not limited to, disclosure of the Lathen Agreements.
5. All billing records concerning Your representation of Lathen or the Lathen Entities.
6. All documents concerning any communications between You and Lathen and/or the Lathen Entities related to the advice he sought from You on behalf of himself or the Lathen Entities.
7. All documents concerning any communications between You and any investor or prospective investor in the Lathen Entities.
8. All documents concerning any communications between You and any issuer of any investment instrument containing a Survivor's Option on behalf of, or relating to, Lathen or the Eden Arc Entities.
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Advice abort Pussi.k~le C?ut.c~mes.
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or bet'sets concer~int~ the 1~latter, '~~~mt~r~~nc~ur€~, car v~'ious courses of~ctian aaad tote r~s~utts that
~iglaz be anticip~tcc~. Any such statement naac~e by any lavFy~r ui~isur ~i.nn is inten~iec~. tc~ be ari
~:c~n.siruec! try }tr~u or ~::1.CF ~s ~~ pro:Wise or guarantee.
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~:;.'~CP may <~t art} lime terminate our services ~rsd re~reseniatic~n upon ~~~rit~t~€z r3otice cn the ~'zr~n.
~u~h te~rr~irr~tion ~laa~l ~~c~t; l~ow~v~r, Xetie~L }~~u cif ihc: ~bli~~ti~n ita Say #'car aiI sez•vices air~acly
_ rendered, inct~:€din~ work in prta~r~ss aiad remaining incnn~pt~tc at il3c time; ref te:rmiraat.i.~n, and tQ
pay ~'c~r all expenses incurred crn youx bek~Al~'ran~i an be~t~lf ~f Et~CP thxvu~h the date af'
1~'c. r~.~erv~ the right Eo with~traw ti~om c~~ar repres~.nt~tic~n as rcc~~ireci err permitted b} the a~~liCak~}e rotes cat prc~f~5~ianal t~~nciuct ~upun wriiten nc}tice i~ srau. In thy: c;t~tnt that ~~~e ter~ni~aate the e~i~tt~en~ent, v~:~ wi11 tike such steps as ~,r~ reasc~~3~b1y ~r~~~Ci~a~le to prc7t~ct y~~~ar ~znc? ~;~~'iCP s ~nt~nsts in the a~o~c'~Iat#car, a~~ct yc~~~ anci ~:~CP a~re;e tv take ~lI siG~s nvc~;ssa~~ to fres us cif and° ~.~b1i~~tic~n to }~~xfc~r~ ~'~irt:h~.r, inc:ludin~ h~ ~xect~tie7n t~f ~n~ c~c~;u er~t~ ne.ces~ary t~ perfcs t aux ~s~ith~r~+.~x~I. ~~'z Dili t~ e~ntitkec~ to ~e paid fr~r all ~~~~~ces re~~d~reci ~n~ casts vc expenses in~:urrLci an ~ f~C~''s bc;halt'through the date ~z ~s~it ~rau~aE. I#'~exzn~issia3a zctr wit:~~t~raw~l is reyu~red b~° a c~t~ri ~r arbitr~ti~r3 pa.ne~, ~v~ wiil prr~rnptly re~c~~kt such perissit~n, end I~.~.+~"~' ~a~re~s not tc~ c~~~se our requ+ .st..
t;nless Wt•evic~uMly te~c'~Zinaeed, c ur xe~7r~seritat"san c7f EACH' n this ~'[~~tte~• c~°iII tern~inaie sapc~n c~tar senciin~ ~=tau ~.;ur tknal s€~tea~~e~i for ser5>i4es rc~i~~:rcc~ in the ~;9at~rcr.
Fite ~etentic~x~ a~z~ct De~:truc#i~t~..
C.'pon t~i~.. ic~nc:iusiart o~i'c~u~• eng~~esnent {car earlier tr:rmitz~tiian accordi~i~ tt~ ih~. furcgs~itt~; ~rc~visit~~~)> u~~ w~if1. pr~~~t.ptly r~iu Co yo~~ any c~rigi~~al r~:ct~rds ~~~ s~i4~~~ents ycsu tzrc~~=ivied tv u~ {car o~e~e~ise c~is~se tit ~i~err~ it yc~u so direct},reserving t~~ rig~it icy re~ai~ cc~~ies ic~r our files. ~'e Lail! ~Iso pxc~~.~ide you origir~~l~ Ur i~apie~ a.f d~eu~nents «e be~ie~~~: it is i~~a~~si~tat~ti fur y~a~.~ to have nr that }3c~u r~}ay re~~vn;ably rec~ttest_ I~~ acc~rdat~ce ~~iEh cox ~~rtz's document ret~r~tic~n and cfesfruclit~~ }~t~licy, ~~e ~~ill retain c ur i'iIc fir lt} ~-e~~, ait~~• «~h.i~.~ we may I~arfe tla~ ~i€~ C:srroy~~:.d. wChout fezrthcr :~vtse, i~ a r~anr.~;r tl3at ~rvttc:ts ~~€~~dentiai~t;~. D~xrin~; t}ac: tU- year reti.Y~ti~n pexiac~, w~e witl ?~~E~nr reasur~able rec;i~e~ts #inm ~~~u i'ar~ capiLs ~f payers from our tide.
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As;~+~e hive discussed, t~~e fces ~c~ c~~ts rclati~ng tc~ this I~~atter nc~~ p~edict~ble> r~.ccc~rdin~,ty,
we hz~~e znatfie no commitment to ycru ~r Er~.CP cc~ncer~aii3g the rr~~,xirnunn fees sac! co~~ that will
b~ ne;;~:ssary tc~ rc;saf.~~e or cain~lete this IViatier. ,Any estimate of ~'~e~ and costs that ~~:. n~a~f
t~iat EAC'~'s c~bikg~2ion io pay the .tirnl's Sees and casts is ir: no i~lay~ cc~rztingent an the utt.itnat~~
outcome flr s~~~ess of the :41~~tc:~r, the '~terr~orat~d~c~i, or the ~uhiects oY such legt~.~ ~c;rk.
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Ste3i~II1~llES Ci0CYI1~II~j' Wlj~ ~~ CEISC~~i'~L~ t11OTi.2~3.I~- fir i~s~ork pex~'c~rm~ci ~anci ~:x~ae~ns~s r~cor~eci an €cur be'er~Cs duri.n.~ the previous ~n~nth. I'a~n;yen# is due p~~omptly ~epon rc~ezpt of Uur sixiten~cnt. If ~t1S .~i[~t~iTI~J3~ 3•e~nx~i~is unpaid fc~r more thin 3{~ tis~~s, tine may suspend p~.rfurn~tin~ sere°ices xdr
statements ttnd the paynlenC r~i' future fees ~~n~ expenses.
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t~~ hive asked that 1~~,u ~?rovide us i~~itl~ ~i initial pai~ment Uf $14,OUE~.(}Q fc?~ c~~~r wvrk Ln t~~ 11~ier~eraz~dum. Uurin~ c ur re~res~axtacrc~~z of :~C;P cry tt» Matter, we ~na;~ ~~k }rG~u ~x F~C;~' tc~ ~s~y us a zetainer andror to increase it, dep~~7ding on tike ~~c~~u~ne. oi' I~: ~1 work w~e ~r~ en~a~;e~. in c~~ ghat we anii~i~at~:1+=ill occur. ~L'c i~~il c~c~c~sit any fiends Said to us as a retai.n~r for ~he'~~attez ire a nan-interest-beari~~g a~c~unt ~t c+ur iir~7. an~i y€d thy: fun:i~ ilZer~ ins :isfy any ur~~~id I~:~~t ~J1I~5 U3' i.~lSF7ltl'"i~Xl'1~1115 t'~'~ ~ici'S~~ zi~~u~red .ire c?ur representation ttf £: ~C;P. L?rale~+~ yo~Y instruct 'us c~therv~i3e, ht~c~e;y~.r, tive Kill lt~rld arty a-~la~ner ~ur~.~3s pa:t~ 1E? t15 332 YtlLii' c3~,Cf?UI2t s~J3C'~ USC t~'2G"IT! Ui2I1~' to pay any I~~~~ bids, disb~~xs~s~~~nts, pct cons~ltir~g fees th~~i are nc~t. ~~id to us in dui: course car il~at remain due and ~~wi~~ ~i the ei.~c~ afthis ~n~a~;~ern~;nt. Vv'e 4~>Elt rcn~it Any h~l~zx~e ~n tie z~~~~in~r. ~ccc~ ~ t~ ~Yc~u. at t~1at time.
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EXHIBIT D
> Bill, > Thanks for your response. We've tried to respond to your request and believe we have responded sufficiently for us to have a dialogue. We will move forward if you cannot speak Monday. If you can speak Sunday, happy to try to
find some time. > thank you.
> Original Message > From: Grimm, William R. > Sent: Friday, December 16, 2016 9:44 PM > To: Brown, Nancy A > Cc: Grimm, William R. > Subject: Re: Lathen
> In order to respond meaningfully to your issues I will need to know more about what they are than these vague
references. My schedule on Monday is full. Please get me your detailed concerns in writing and I will consider them. Have a good weekend
> On Dec 16, 2016, at 7:38 PM, Brown, Nancy A <[email protected]<mailto:BrownNQSEC.GOV» wrote:
> In addition to the issues I flagged yesterday, my list includes items affected by ms farrell's statements today concerning the scope of the engagement and her lack of precise memory concerning what she and Mr Lathen discussed. > Given the holidays we will need to schedule the meet and con€er for Monday. Please send me some times you're
available for a call. > Thank you. > From: Grimm, William R. > Sent: Friday, December 16, 2016 1:34 PM > To: Brown, Nancy A > Cc: Grimm, William R. > Subject: RE: Lathen
> Send me a list off your issues and we can discuss next week.
> From: Brown, Nancy A [mailto:BrownN(c~.S~CiOVJ > Sent: Friday, December 16, 2016 1:28 PM > To: Grimm, William R. > Subject: Lathen
> When can you participate in a meet and confer about your privilege log? I'm generally available this afternoon at
your convenience. > Thank you.

Documents

Lathen, Jr., Donald F. ('Jay'); Eden Arc Capital