lfARDcopy

UNITED STATES OF AMERICA Before the

Securities and Exchange Commission

ADMINISTRATIVE PROCEEDING File No. 3-16427

In the Matter of

Robert J. Lunn

Respondent

RECEIVED

JUN 05 2015

OFFICE OF THE SECRETARY :

RESPONDENT'S ANSWER TO MOTION FOR SUMMARY JUDGMENT

For his Answer to the Division of Enforcement's Motion For Summary

Judgment, Respondent states as follows:

I. Respondent takes no position in response to the allegations that there

have been violations of the Investment Advisers Act or the Securities Exchange

Act.

II. The Division of Enforcement has not established that barring

Respondent Lunn from association with any broker, dealer, investment advisor,

municipal securities dealer, municipal advisor, transfer agent, or NRSRO, and

from offering any penny stock serves the public interest, is warranted under

the law, or is supported by the evidence.

Applying the six factors set forth in Steadman v. Securities and Exchange

Commission, 603 F.2d 1126 (55th Cir. 1979), the first factor is the

egregiousness of the respondent's actions. Here, the criminal case concerned

three matters. One was arranging an unsecured loan in the amount of

$1,400,000 for Advisory Client A. The loan was renewed on multiple occasions.

It is important to recognize that the client acknowledged in his testimony at the

trial that he signed the initial promissory note. A copy of the promissory note

that was introduced into evidence is attached as Exhibit A. A transcript of the

trial has not yet been prepared. In addition, Client A did not stated that he

ever wanted to pay the note off. In fact, the bank sued client A to secure

repayment of the note. Respondent acknowledged signing client A's signature

to the renewals of the note. If Respondent had not signed the renewals of the

note, then the total principal would have been immediately due and owing.

Respondent had a contract authorizing him to make investments for the client,

but he did not obtain a power of attorney. The bank officer stated in his

testimony that they believed that the purpose of the loan was for an airplane

(there was no contract for the loan and the promissory note does not state what

the loan was for). Yet the officer also acknowledged in his testimony that no

lien was put on, or attempted to be put on any airplane, and the bank never

verified that a plane had actually been purchased. The funds were actually

used for a legitimate investment for the client in which Respondent also had an

interest.

The second matter was a $500,000 loan taken out from Leader's Bank by

Client B. Respondent testified that the client telephonically authorized

Respondent to sign the loan application and Client B testified that he did not

authorize it. Both Respondent and Client B testified that the loan was fully

repaid to the bank by Respondent within a few months.

The third matter was a line of credit from the bank which was supported

by two pre-existing financial statements which had been prepared for other

banks and which were sent to Leader's Bank by someone at Respondent

Lunn's company. There was no evidence establishing who actually sent the

financial statements to the bank. The funds were invested in a real estate

development and were largely repaid through the bankruptcy proceedings of

Respondent Lunn.

Respondent is not collaterally challenging the criminal conviction. But it

remains true that there is a fine line between commercial disputes and criminal

fraud. All three matters were part of legitimate commercial activities, although

Respondent Lunn did not follow all of the requirements for signing documents

such as loan applications on behalf of other persons.

The Division of Enforcement's motion states that there was "a high

degree of scienter involved," the second Steadman factor, but that phrase is

nowhere defined so it is difficult to respond to.

The third and fourth Steadman factors are assurances against future

violations and recognition of the wrongful nature of the conduct. Respondent

Lunn has his own perspectives on what happened. But in no event does he

intend to establish a broker or dealer operation of any sort, or to engage in

future violation of any laws, much less the securities laws. Moreover, Mr. Lunn

is now 64 years old and is not in good health. The significance of the third and

fourth factors blend into the last factor, the likelihood that defendant's

occupation will present opportunities for future violations. Respondent Lunn's

problems stemmed, at least in part, from a failure to observe procedural

requirements, such as the proper procedures for signing documents on behalf

of other persons. Consequently, a case can be made for Respondent Lunn to

be precluded from being the owner of a broker-dealer. A person in such a

position is responsible for all aspects of the operation of the brokerage. But

this case involves a relatively small number of offending incidents that were a

very small part of a very large investment operation. Lunn's investment

companies had a total of up to $3 billion under management.

In short, barring Respondent Lunn from association with any broker,

dealer, investment adviser, municipal securities dealer, municipal advisor,

transfer agent, or nationally recognized rating organization, and from

participating in any offering of a penny stock is a greater sanction than the

facts of the case warrant.

Finally, in the Division of Enforcement's Supplemental Brief, it is not

convincingly argued that this case is distinguishable from In The Matter of Gary

L. McDuff, 2015 WL 1873119 (2015). The Division argues that it can rely on

the jury instructions and the district court's denial of the post trial motion to

establish the basis for a collateral bar. But this is wrong. The jury rendered a

general verdict. Absent special verdicts, there is no record of and no basis for

inf erring how or why a particular jury reached the decision that it did. The

jury instructions are no more than statements of law approved by the Court of

appeals. There is no way of knowing if the jury, in fact, followed them.

As for the denial of the post trial motion, the district judges explicitly

states on page 2 of that order that it is not the court's role to weigh the

evidence or make credibility determinations. That order does no more than

find that the defendant's motion for a new trial did not present sufficient facts

or law to warrant a new trial. It does not constitute a judicial finding as to

what the defendant in the case did or did not do.

WHEREFORE, Respondent requests that the Administrative Law Judge

not impose the full bar sought by the Division of Enforcement.

John M. Beal Attorney at Law 53 West Jackson Blvd., Suite 1615 Chicago IL 60604 (312) 408-2766

Respectfully submitted,

EXHIBIT ONE

,.

, B'orrower: Scotile cJo Lunn Partners LLc; One Franklin Street, Ste, 750 Chicago, IL 60600

Lender: : 11iE LEADERS BANK 2001 YORK ROAD, sum: 150 OAK BROOK. IL. 60523

Principal Amount: $1,400,000.00 Interest Rate: 6.000% Date of Note: September 20, 2002 PROMISE TO PAY. I ("Borrower") promise to pay to 11iE LEADERS BANK ("Lender"), or order._ In l:iWful money ~I the . United Sta~ .of America, ·lhe principal amount of Ono Million Four Hundred Thous:ind & .00'100 Oollal'$ ($1;400,000.00), togethllr wllh lntz:rcst at the r.ite or 6.000% PC!' ainnum on lho unpaid principal balanca from September 20, 2002, unlll paid In fUll. ·

PAYMENT. I wlll pay this. lo:in ln'on~ prlnclpal payment oi $1,400,000.oo plus lntemt on ovembcr 4 ·~This Paiment ~·on November.'4, 2002, wlll bo for all principal and :ill accruad Interest not yet paid. Unless otherwlso agreed or ulrcd by appllc:able law, payments wlD be appllod llnrt to accrued unpaid lnterm. then to prlncl~, :ind any rcm1lnlng amount to any unpaid colloctlon cosb and late charges. Interest on this Noto ls computed on·a 36S/S65 :simple lnter11St basis; that la, by •PP.lying Iha raUo ot tho annu;il Interest r.ite over the number of days In a ye:ir, mulllpllod by tho outstAndlng prlnctp;il balance, multlpllod by lhe actual number or days th11 prlnclpnl b:llance Is outstanding. I wDI pay Lender ;it Lender'a :iddres• &hown obovo or at such other place as Lender may daal9n11tc In writing.

PREPAYMENT. I may pay wllhovl panalty all or a portion of tho emount owed eartlor w.n it ls duo. Early paymoola wiJ no~ unless agreed to by Lc;ndor In writing, relieve me of my 'obliQOtlon lo contlnuo lo make paymen!s under the payment ic:hodule. Rolhor, oarly paymenl!I wll re<iJc:e. the prtlclpol balance due. I airee not to e~d Lmder pa}ments rnarl<od "paid n fl.II', "without recour'&e', or slmlar lan{juago. tr I send auc:h 11 payroont, Lender may llCCQJJI It wlhlut losing MY Of Lender's rights undor this Note, end I will remain obllgotod to pay any furthor lllllO\Jlt owod to Lendor. All . wrtttan communlcaUons ccincomlng d:lputecl amounts, Incl~ 8f'l'J check oc othor payment lns!rumant that Indicates that tno poyffiGnt COll5Ulutos 'payment In full" of the errount owod or 1hat l:i tendered With olhor coodll!on:s or Umltallons or as flXl eatisfaction of a dls~ed amouni- must be maJi;d or dorrvered to: TI1v Leaders Bank; Post Offlcu Box 3516 Ook Brook, IL 60522-3516.' . .

LATE cW.RGE. If a piiyment ls 10 days ·Or more late, I wll bll ch:irged 5.000% ol the ~arly schodulod paymant or $25.00, Whlchovar Is greater. ·

INTEREST AFTER DEFAULT. Upon dofaul~ Including falluro to pay upon fnal maturity, Lmdor, ot Its option: may, If permilod urder applicablo law, incrnose the Interest ralo ai this Noto to 18.000% per Mnum: 1he Interest rato wm not oxceod tho maxinum rate permitted by applicable law.

OEFAUL T.' I will bo h default under this Nots H any of th9 fdlowlng happen:

Payment Default I fal to rneke a~y payment when due under this Noto.

Break Other Promises. I break eny prcm!se made to Lender or ·fail to perlonn pr°""l!y Bl tho Urro e.nd strlclly n the rronner provided in IHs Note a In erry agreement rolatod to lhls Noto, or in llTl)' olher agreement or loan I have wllh L.onder.

Dofault In Favor of Third Parties. I or any Grantot detaulls under eny loan, extanslon or oredt, sactrity agreomont, puichan or 11e.le3 agreemoot. or erry other Bgroel'l'MI, In lava of wry other crodilo< a ~on 'hat m11y materially affect any of my 'property°" rrr1 llbiily to ropay th!& Noto a perform my ob6gatlon$ under thb Note or crry ol Iha mlated doCumGnl£.

False Statements. Any representatiai or 618temem made or h.mlshed to Lender 'Cl( me or on rrrt behalf under. this Nola or the rGlaled docuiionts is false or nisleacllog h 81'l'J matorl:il raspo::I, either now or at the !'me made or lumlshed. · ·

Doalt) or lnsolv&ncy. Any Borrowor dies or bocomes lnsdvont; 11 receiver ls appcj'llod for any part c:A my prcporty; I mo.ks 1111113sJgmient fa' Iha · benetit of creditor&; or ony proceeding is ~ed either by me or ognmt mo under 01JY bankruptcy or Insolvency lows.

. . ' . . T~klng of tho Property. Any crodltor or pemmentlll agency tr1es to taJce any or Iha property or nny olher o1 my property In which L9ndot haa a Ban. This Includes taklno of, oom!shlng of or levying on my accounts, hdudno deposit o.ccolJ'lts, with Lendor. However, K I dispute h good fill!h wholhar tho claim on which tho IBklno of tho property is based b valid -or reasooal:.lo, ~ If I gl\lo Londor wrltton notlco or lho dalm and furnish Landor with monles or a surety tx>nd saUsfactory to Lander \o oatlsly the claim, then this defeut prov~bn wUI not apply.

Events Attccilng Gu:irantor. Any o1 the procedho events cccurs'.wilh rospact to orr1 QJMllrllOt, endorser, surety, or aCCMVrodatioo party ol 8f'l'J of the indeblednass or 81'l'J guaranlol', endorser, :surety, or acconvnoclalion party dloa or becomo.s lr\co'rpelant, or revokes°' d15putas the validity of, or liability under, aiiy guaranty of tho lndebtednos:i evideocod by this Nola.

ln~rlly. Lender Jn good 1alth beTiavas ltsott lnsacuro.

LENDER'S RIGHTS. Upon default, Leo:ler mny cleclarD tho en~ro unpaid prlnclpel balanco on this Nots an:l all nccruod unpaid Interest h'rn&dlately duo. ano Ulen I will pay that amount

AlTORNl!YS' FEES: EXPENSES. Landor may hlro or pay :scmeone else to holp collect lhls Note II I do no< pay. I wlD pay Lendor that amolSll Thi$ includes, eubjoct to nny llmlts under oppllcable law, L.endor's attomays' loo.s and Lendor's Sugai llXPQOSOo, v.tiolhor or no! there ls a lawsuit, Including

, attomoys' foos, oxponsos for bankruptcy procoodlngs (including ottorb to rnodly or vacate any autornntlo stay or njunc:Ucn), and o.ppaals. If not : · proHbitad by appllcablo law, I also.wll pay any court ca:ts, In additlon to all other sums provided by law.

JURY WAIVER. l.endur and I ·hereby waive tho right to any fury trial In any action, proceodlng, or aiunlen:l~lm brought by either l..ondw. or mo against the other.

GOVERNING LAW; · Thb Nole wlll be govomod by 11nd Interpreted In accordance with !oder.ii l:iw rmd tho Law• ol lhe· Sbfo o1 Ullrwls. This Note has bvon occcpted by Lendor In tho Stnta of llllnols.

CHOICE OF VENUE. If lhoro ls a laws ult, I agree upon L&ndBl's reque$t to 5ubrrlt to !ho jutisdk:tlon of tho courts of DU ~AGE Cot.ny, Stal.II of Ulinols.

RIGHT OF Sl!TOFF. To 1t1a axtoot pormltted lit eppllcablo law, Lendor res01Vcs a right of solofl In nll my QCCO\Jl'"b with Lender (whelher chacklno. savings, or'somo other aCCO.Jnl). This lneludos al accounts I hold foln11y with someone else and all accoU'lts 1 mny opon In the fut>Jro. However, this does not lncludo nny IRA or Keogh occourrts, or 81'l'J trust accounts for which 5otoff woUCl be prollll:llted by law. I aulhortzo Lendar, to·lho extent penritted by opplbablo law, to cheroe or setolf an sums owing on the dsbl aoafnst any and nll such eccou'lts, end. at Lordets optlon, to aelmlnlstratlvely lroozo al such ncoounb to cllow L.ender to protact Lender's charge and cotoff right:s provided n lhts pamtr.lph. .

COUA::rERAL 1l1ls loan b :LnSecured.

SUCCESSOR>INI ERES IS. The tom\S of1hls Note shall 00.blndir.g upon me, and upon my heirs, personiiJ reprosantativos, Sl.JC(;osson;;and assigns, and shall Inure to the benef( of LendOf and Its successors Md asslgnG.

NOTIFY US OF INACCURATE INFORMATION WE. REPORTIO CONSUMER REPORTING AGENC1ES: Please noUly us H we report any ~ccural8 JnformeUon ·~bout your accolflt(s) lo o co_osumor roportlng e~. Your willlBfl notice descrlbloQ tho apoclllc lnoccurnc;y(les} should bo sont to us al

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.. :. ·Borrower:· ·Scottie ' .. • · · .. · · -· ·· · · ~ · · .... · · · · · ·tender: · · THE LEADERS BANK" ! .. ·. r:Jo.bmn Pertners LLC. One Fnnklln Street, Ste, 2001 YORK ROAD. SUITE 'ISO i ~ ~~~L~

Chicago, n. 60606 .

-Amount Financed

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ANNuAL ·. . PERCENTAGE RATE 1ba coat of m1 c:nidll as a

FINANCE .CHARGE The doOm' BJ1lOlrt 1he credit wmccctme.

. The amount of credrt povkfed "!.me or on mt~.

Total of Payments The amount I w11 have pUI ··

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after 1 have made eJI payments yearly rate. - . . ; as~ :

6.080% $10,356.16 $1,400,000.00 $1,410,356.18

PAVUENT SCHEDULE. My payinant schedaia wW be ono payment of $11•'10,358.16 on No\I~ 4, 2002.

SECURJTV. ~ loan IS ll1Securod. except for Ler:der'a CadraGtual rights. tncldlg the ~of aetoff~ In mt accounts. kdd1Q deposit accouru. "PREPAYMENT. lfl pay~ early, l Will not haVe to pay a pady. . . . . l wm look at my ccnsmct dacumBn18 tor ~ ·~ titormauan about 11Cq31lyment. d8fd. any· requited ·repaymn n u- before lhe ~ date, und pepaymant refunds. . . . . . .

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I rmid and was glwn a coinp!eted copy of this DIScJc>WN statement on September 20, 2002, prior to signing tho Note.

BORROWER:

x . .. . ScOttfe ~ppen, lndlVtdually

Amount Financed Itemization· Other Disbursements:

$1.399.000.00 Wire. Transfered via fnattuctions to be recefved

Other Charses•Flnanced: $1,000.00 Loan Ooctrnentation Fee

Noter Pt:fnclpal: Prepaid Rnance Charges:

Inca.sh: $0.00

Amount Financed:

$1,399.000.00 .

$1.000.00

$1,400,000.00

$0~

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LEADR_024-000127

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Scottie ... • · · .. c/o t:unn Partner1 LI.Cs Ono Franldfn Street, Ste,

.. . ·L:.9ndet:~. • THE LEADERS BANI(• ... .. 750 . . . . 2Q01 YORK lllOAI), SUITE 1Sa OAK BROOl(, lL ecma

Chicago .. IL 60608 .

! LOAN 1YPE. lhls la a flxsd Rate (6.00<>%) Dlsclosabla Loan to an ltdvfd&ial t;i $1A00,0oo.oo due m Ncwenmr 4, 2ooz. 1. I

j ; PRIMARY PURPOSE OF LOAN. lh8prlmBlypurposeof11ls lmn Is~

.. .. II Personal, F.amlly, or HausehokJ PUrposes or Pcnonal Investment.

Oeustness.

SPECIFIC PURPOSE. Thu 1pecUlc purpose of this loan Is: short tenn ~~ . DISBURSEMENT INSTRUCTIONS. I under8tancl that no loan pocaeds will be dJstused untl al of l.end6r'& CUldltlons far maJcJng ht loan hliw been

. saUsflecl. Please dlsburee the loan proceedscf SlA.00.000.00 as foCkMs: • · · · . :

Ottser DlsbJD'nmentl: $1,399.000.00 $1.399.000.00 Wire Trarisrarad vlll Ntrucb1s b be rvcalvad

OthwCharges financed: $1.QOP.OO $1,000.00 Loan Qocumenta1fon Fee

! Nate Pdnclpal: · $1,400,000.1)()

Ii · ANANCIAL coNDmoN. av SIGNJNG nas AUTHORIZATION, i REPRESeNT AND wARRANr TO LENDER THAT me 1NA>RMA110N ·PROVIDED ABOVE IS 1RUE Alm CORREC'I' AND lHATlHERE HAS BEEN NO UATSWU. ADVERSE CHANGE IN alY FJNANaAL CONDmON I AS D~SED IN MY MOST RECENT FINANCIAL STATEMENT TO LENDER. MSAUIHORIZATION ISl>ATEI) SEPTEMBER 20, 2CJ02..

BORROWER:.

! . x . sCOiilo Pippen. indlVJdU&ifi

CREDIT INSURANCE DJSCLOSURE . . '

VOLUNTARY CREDIT INSURANCE. CREDIT LlfE INSuRAHce. CREDIT DISABILITY INSURANCE AND INVOLUNTARY UNENPLOYMENT _INSURANCE ARE NOT REOUJREDTO OBTAIN CREDR'.

By •lgnlng beloW, I GCSmowlodge that I am not ob1afnlftg-credft tnaUranco for thlS loan for ona of tfle fofi'!Wfng ~ (A) I am not ellgJb!e for Credtl lnaunmce; · (B) Cl"Bdlt lnswance 18 not avallab!o from Lender; or . . . · (C)· u I am ellgJbla and-credlt Insurance la avallabJO from Lander, I do not want It.

Prier to slgn!ngthta Cntdlt Insurance NaUce on~ 20, 2002, I read met understood an Ct th~ proVlalons of this D~

! BORRDWEll:

i i ' x~__,__..,__ __________ ~--------~---i scott1e Pippen. lndlVlduiHy ;.· i------------------UIM--ftlO .... .._..~-~ .. -.~-~aw.--.-..__,..._~-..._~.-----.~-..... ~-..... ~._.~~.~&~raNl~ ... ~~~'IMl~llM~-.----------------------1

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. . i Amount:. ___ $ ... 1 . ....,.4.QO'"":" ....... ooo~-· ---------t·' .-· ·· · · ·· , •.· · Fee:··· · ~ AnaJw,,.11: N ·· - · ... · · · · · · I ,,_.

Telephone Wire Transfei:: Y or. N Caller•s name: ___ __,,, ______ _

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Customer Iiiformation: Aceount Number:l.YLo8J} Wip Name: . . Address:" · · I City &State: _____________ _

Phone Number. ________ ~---------------

Ori~ng Bank: The Leaders Bank ABA! 071926061 · ·. 2001 York Road Ste ~~o Oak Brook 1L 60523 ID Code: _____ _

Receivin~ Bank Jnfonnation:

Name: Wf19hovia. Bank of Georgia · · · · ABA#: . 061000010 .

Purther. Crediting Bank Information (If any):

Account Number:. ________ ~---------------. BankName:_· -------------BanlcAddress: _____________ _

Bank Address: __________ _ Notify: ___________ _ -Phone:. ____ _

Crediting Account Information:

AccountNumber.~_0~1~ ___________ ~--Name: Robert E Shaw Address:. __________________ ~-------~ A.ddress:

--------~~----~---------Notify:" Phone:. ____ _

Additional lnfonnation: __________ _

Customer Signature:_·---------------

Available Balance:..._ _____ _ Input by:. _______ _

ControJNumber:. _____ ~--------- Vcrifiedb~~---~~--------~

Rece.ivedb~.__~-~-----~--• ..

Officer Apptoval:._1

....,Q,f.....,_· ---- Time:.._· __ . Seq Number. __ _

- . . Ticket/Debit b~------- Confirmation Number.,....·------

LEADR_024-000130

EXHIBIT TWO

AFFIDAVIT OF JOHN M. BEAL

John M. Beal states as follows:

1. I am counsel for Respondent Robert J. Lunn.

2. The facts set forth in Respondent's Answer to Motion for Summary

Judgment are true and correct to the best of counsel's knowledge.

3. Exhibit One to Respondent's Answer to Motion for Summary

Judgment is a true and correct copy of an exhibit introduced by the

government in the jury trail of United States v. Robert J. Lunn, 12 CR 402, N.D.

Ill.

Further affiant sayeth not.

Jo~~ CERTIFICATION

Pursuant to 28 U.S.C. §1746, I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on June 4, 2015.

~~ J~eal