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SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK In the Matter of
PEOPLE OF THE STATE OF NEW YORK, by ERIC T. SCHNEIDERMAN, Attorney General of the State of New York, and THOMAS P. DiNAPOLI, Comptroller of the State of New York,
Petitioners,
For an order pursuant to CPLR § 2308(b): to compel compliance with a subpoena issued jointly by the Attorney General and the Comptroller,
-against-
RUBEN WILLS,
Res ondent.
Index No. RJINo.
Name of Assigned Judge:
AFFIRMATION
AFFIRMATION
Emily Bradford, an attorney duly admitted to practice law before the Courts of this State, affirms
under penalty of perjury that:
1. I am an Assistant Attorney General in the office of Eric T. Schneiderman, Attorney
General of the State ofNew York, located at 120 Broadway, 25th Floor, New York, New York
10271. The People respectfully submit this Affirmation and the accompanying Memorandum of
Law in support of the application for an order compelling compliance with the subpoena for
testimony and documents issued to Ruben Wills ("Respondent") by the New York State
Attorney General's Office and the New York State Comptroller's Office pursuant to the New
York State Finance Law, the Not-for-Profit Corporation Law, the Estates, Powers and Trusts
Law, and the Executive Law. A copy of the subpoena and affidavit of service are attached as
Exhibit A.
2. I am one of the Assistant Attorneys General assigned to this investigation, and, as
such, I am familiar with its facts.
3. The State Finance Law, the Not-for-Profit Corporation Law, the Estates, Powers and
Trusts Law, and the Executive Law authorize the Attorney General to obtain injunctive relief,
restitution, and penalties against certain illegal conduct. In connection with any proposed
proceeding under these statutes, the Attorney General is specifically authorized to take proof, to
make a determination of the relevant facts, and to issue subpoenas. Under Article V of the New
York State Constitution and the State Finance Law, the Comptroller is vested with broad
authority to examine the disposition of State monies. In connection with this broad grant, the
State Finance Law empowers the Comptroller to issue subpoenas for documents or testimony
relating to any audit, examination or investigation.
BASIS OF THE INVESTIGATION
4. On February 10, 2012, the Attorney General and the Comptroller served a jointly-
issued subpoena on Respondent in connection with their investigation into his alleged
misappropriation of State funds granted to the not-for-profit corporation, New York 4 Life, Inc.
("New York 4 Life").
5. New York 4 Life was incorporated in September 2006. According to the registration
s~atement filed by New York 4 Life with the Attorney General's Charities Bureau, the corporate
purpose ofthe entity is to "empower residents to positively impact the community at large from
changes made within themselves, by providing access to immediate information on matters of
finance, health, and overall quality of life." Respondent has been a member of New York 4
Life's board of directors since its founding and was its Chairman since at least 2009.
6. On or about May 22, 2008, New York State Senator Shirley Huntley sponsored a
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$33,000 legislative member item grant for New York 4 Life. Respondent was Senator Huntley's
Executive Chief of Staff from January 1, 2007 through June 10, 2008.
7. To obtain payment of the $33,000 Huntley-sponsored member item grant, on or about
March 15,2010, Respondent, as New York 4 Life's Chairman, signed and certified Contract
TM08Y48 with the New York State Office of Children and Family Services ("OCFS"). Contract
TM08Y48, covering the period December 7,2009 through November 30, 2010, provided that
OCFS would pay New York 4 Life $33,000 and that New York 4 Life would use the funds for a
single mothers' breakfast, a single fathers' luncheon, a "children and youth obesity campaign,"
and an "adopt a commercial strip" program.
8. Contract TM08Y48 required New York 4 Life to "establish and maintain complete
and accurate books, records, documents, accounts and other evidence directly pertinent" to
performance under the contract for six years and to provide the Comptroller and Attorney
General access to these records upon request. New York 4 Life was also obligated to "produce
and retain" for six years after expiration of the contract "any and all records necessary to
substantiate upon audit, the proper deposit and expenditure of funds received under this
contract."
9. On or about August 26, 2010, Respondent submitted a payment voucher to OCFS
seeking an advance of the entire contract amount of $33,000.
10. On or about September 2,2010, OCFS paid New York 4 Life the requested $33,000
advance. These funds were then deposited in a New York 4 Life bank account for which
Respondent was the sole signatory. Records obtained from the bank at which this account was
maintained show that Respondent depleted the account over a period of months.
3
11. On or about March 11,2011, OCFS sent a letter to New York 4 Life at the address
listed in Contract TM08Y48 requesting that New York 4 Life account for the $33,000 advance as
required by the terms of the contract.
12. Neither Respondent nor New York 4 Life responded or submitted documentation
substantiating the expenditure of State funds.
13. On or about April 29, 2011, OCFS sent another letter to New York 4 Life at the
address listed in Contract TM08Y48 demanding that New York 4 Life either account for the
expenditure of the $33,000 advance or return the funds.
14. Neither Respondent nor New York 4 Life responded or submitted documentation
substantiating the expenditure of State funds. Neither Respondent nor New York 4 Life returned
the $33,000 in State funds.
15. Respondent has never submitted documentation to OCFS accounting for the $33,000
advance paid to New York 4 Life and has never returned the money.
16. On or about June 13,2011, OCFS referred this matter to the Attorney General's Civil
Recoveries Bureau for collection.
17. On August 4,2011, the Attorney General's Civil Recoveries Bureau sent a letter to
New York 4 Life at the address listed in Contract TM08Y48. The letter requested repayment of
the $33,000 and stated that ifno repayment or written response was forthcoming from New York
4 Life the Civil Recoveries Bureau might institute a lawsuit to recover the funds.
18. On September 18,2011, the Attorney General's Civil Recoveries Bureau sent another
letter to New York 4 Life at the address listed in Contract TM08Y48. The letter demanded
repayment of the $33,000 plus interest.
4
19. On November 17,2011, the Attorney General's Civil Recoveries Bureau sent another
letter to New York 4 Life at the address listed in Contract TM08Y48. The letter demanded
repayment of the $33,000, plus interest, and stated that unless repayment or other arrangements
were made the Civil Recoveries Bureau's next step would be to institute a lawsuit to recover the
funds.
20. The Office of the Attorney General has not received any response from New York 4
Life to the August 4, September 18, or November 17,2011 letters.
21. The Office of the Attorney General and the Office of the State Comptroller
subsequently initiated ajoint investigation and examination into potential fraud in connection
with the New York 4 Life contract.
22. The Comptroller's Office made numerous attempts to contact Respondent regarding
Contract TM08Y48 and his expenditure of the $33,000 advance. Despite these repeated
attempts, Respondent failed to respond and instead engaged in delaying tactics. Specifically:
a. On November 22,2011, the Comptroller's Office contacted Respondent regarding
Contract TM08Y48 through his secretary.
b. On November 23,2011, the Comptroller's Office requested a meeting with
Respondent to review Contract TM08Y48 and any supporting documentation in
Respondent's possession.
c. On November 29, 2011, the Comptroller's Office again contacted Respondent to
request a meeting.
d. On November 30,2011, a meeting was scheduled with Respondent for December
5, 2011 at 11 a.m. in New York City.
5
e. On December 5,2011, at 7 a.m., Respondent, through his scheduler, contacted the
Comptroller's Office and cancelled the meeting, stating that he did not have all
the documentation ready.
f. On December 7, 2011, Respondent contacted the Comptroller's Office and a
meeting was scheduled for December 29,2011.
g. On December 27, 2011, Respondent, through his scheduler, contacted the
Comptroller's Office and cancelled the December 29, 2011 meeting. The meeting
was rescheduled for January 5, 2012.
h. On January 4, 2012, Respondent, through his scheduler, contacted the
Comptroller's Office and cancelled the January 5, 2012 meeting. Respondent,
through his scheduler, indicated that he or a representative from New York 4 Life
would contact the Comptroller's Office when the documentation supporting
Contract TM08Y48 expenditures was ready.
1. Neither Respondent nor a representative from New York 4 Life subsequently
contacted the Comptroller's Office.
THE SUBPOENA
23. On February 10,2012, the Attorney General and the Comptroller served on
Respondent a jointly-issued subpoena. The subpoena was personally served on a staff member
of Respondent at his New York City Council District Office in Queens. The subpoena
commanded the production on February 16,2012 of various documents relating to New York 4
Life's use of State funds, as well as Respondent's attendance at a hearing in New York County
on February 24,2012.
6
24. On February 23,2012, Respondent personally delivered documents to the Attorney
General's Office at 120 Broadway, New York, New York. With the exception of one undated
invoice for $980, the documents provided no accounting whatsoever of the $33,000 New York 4
Life received from the State.
25. Although the State Finance Law, the Not-For-Profit Corporation Law, the Estate,
Powers and Trusts Law, and the Executive Law expressly authorize the Attorney General and the
Comptroller to issue investigatory subpoenas and take sworn testimony to determine whether an
individual or entity has engaged in fraudulent, deceptive or illegal conduct, Respondent has not
provided the requested testimony.
26. Respondent's initial counsel contacted Petitioners on February 15,2012. This
attorney, however, later withdrew from the representation. Petitioners agreed to an adjournment
of the hearing date to give Respondent time to find new counsel.
27. On February 29,2012, Respondent's new counsel contacted Petitioners regarding
scheduling Respondent's testimony.
28. Respondent agreed through counsel to appear on March 15,2012 at 11 a.m. This
agreement was confirmed by email.
29. On March 14,2012, counsel for Respondent indicated to Petitioners that Respondent
intended to invoke his Fifth Amendment privilege against self-incrimination. Petitioners
directed Respondent to appear even ifhe intended to invoke his privilege, stating that
Respondent would be required to invoke his privilege on the record as to each question
Petitioners intended to pose.
30. On March 15,2012, less than one hour before the scheduled hearing, Respondent's
counsel informed Petitioners that Respondent would not appear for the hearing as agreed. At this
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time, Petitioners had prepared for testimony and hired a court reporter, who appeared for the
hearing as scheduled.
31. Respondent's counsel suggested that Petitioners wait a week before taking any action
to enforce the subpoena.
32. Petitioners stated that if Respondent did not agree to appear by March 20,2012,
Petitioners would file a motion to compel the Respondent's appearance.
33. On March 17,2012, counsel for Respondent advised Petitioners that Respondent
would appear on March 20, 2012 at 10 a.m.
34. On March 19,2012, counsel for Respondent contacted Petitioners and stated that
Respondent would not appear as agreed on March 20,2012 and requested an adjournment to
March 28,2012. Counsel stated that a member of Respondent's family was having an
unspecified medical procedure; counsel, however, failed to offer any details regarding the timing
ofthe procedure, nor did he provide any further details about why Respondent was seeking to
postpone the hearing another eight days.
35. During the exchange with counsel for Respondent on March 19,2012, Petitioners
informed Respondent that March 28,2012 was not an acceptable adjournment date. Petitioners
offered to consider an adjourned hearing date during the week of March 19,2012. Counsel for
Respondent stated that he was available Friday, March 23,2012, and advised that he would call
Respondent to determine if March 23,2012 would be an agreeable date.
36. Counsel for Respondent then contacted Petitioners and advised that March 23,2012
was not acceptable to Respondent. Counsel provided no further detail other than to say
Respondent was busy at work. Counsel for Respondent then requested an adjourned date of
March 28,2012.
8
37. Petitioners responded that March 28,2012 was not acceptable and advised that
Petitioners would move to compel Respondent's appearance if Respondent failed to appear on
March 20, 2012 at 10 a.m. as previously agreed.
38. On March 20, 2012, at approximately 10:20 a.m., Respondent appeared with counsel
at 120 Broadway, New York, New York.
39. Counsel for Respondent advised for the first time on the morning of March 20, 2012
that he had a hearing in the Eastern District of New York at 11 :30 a.m. Petitioners responded
that no promise could be made that the subpoena hearing would be completed in time for
counsel's scheduled court appearance.
40. After answering questions regarding his name and basic pedigree, for each additional
question posed Respondent invoked his Fifth Amendment privilege against self-incrimination.
41. Less than an hour into the hearing, at approximately 11: 15 a.m., while I was in mid-
sentence posing a question about Respondent's use of State member item funds, Respondent and
his counsel walked out of the hearing. Neither counsel nor Respondent proposed a time to
continue the hearing.
42. At the time Respondent and his counsel exited the hearing, Respondent was
responding to questions related to individual transactions associated with a bank account
maintained by New York 4 Life. Counsel stated that requiring Respondent to invoke his Fifth
Amendment privilege as to individual transactions was "borderline abusive" and that Respondent
should be allowed to provide a single response to any additional questions about transactions in
that bank account.
43. I continued to pose questions to Respondent related to the individual transactions in
the New York 4 Life bank account, and thereafter Respondent and counsel walked out ofthe
9
hearing as described in Paragraph 41.
44. Petitioners have twice attempted to reschedule the March 20,2012 hearing. The only
response from counsel for Respondent has been a request for the transcript of the hearing and for
copies of the papers in support of the present motion to compel compliance with the subpoena.
45. Respondent's late appearance and premature discontinuance of his examination after
less than an hour constitute a failure to comply with Petitioners' subpoena. Respondent's
repeated stall tactics and failure to appear for the scheduled March 15,2012 hearing demonstrate
a complete disregard for Petitioners' lawful and express authority to examine the disposition of
State monies and hinder the investigation and examination.
46. No previous application has been made for the relief sought in the motion to compel.
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47. WHEREFORE, it is respectfully requested that this Court enter an order directing
Respondent to comply with the subpoena by appearing at 120 Broadway, New York, New York
on April 24, 2012 at 10:00 a.m., to complete the hearing that began on March 20, 2012, or, if
Respondent continues to refuse to appear, an order that a warrant be issued pursuant to CPLR §
2308(1) and directing that all issues which would have been supported or disproven be deemed
resolved and that Respondent be prohibited from supporting any claim or defense related thereto,
pursuant to CPLR § 3126 (1) and (2).
Dated: New York, New York April 10, 2012
Respectfully submitted,
ERIC T. SCHNEIDERMAN ATTORNEY GENERAL
STATE??K
By: ~ _ EmIly Bradford Senior Counsel Taxpayer Protection Bureau (212) 416-6060
11
ATTORNEY RULE 130-1.1a CERTIFICATE
JERROLD L. STEIGMAN states under penalty of perjury:
I am an Assistant Attorney General in the Office of ERIC T. SCHNEIDERMAN, the Attorney General of the State ofNew York, attorney for Petitioners. I certify that to the best of my knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, the presentation of Petitioners' motion to compel compliance with their subpoena is not frivolous as defined in subsection (c) of section 130-1.1.
Dated: New York, New York April 10, 2012
OLD L. STEIGMAN
EXHIBIT A
TESTIMONIAL AND DOCUMENTARY SUBPOENA
THE PEOPLE OFTHE STATE OF NEW YORK
To: Ruben Wills, Chairman New York 4 Life, In·c. 194-19 115th Drive St. Albans, NY 11412
WE HEREBY COMMAND YOU, pursuant to the laws of the State ofNew York, including the State Finance Law, the Not-for-Profit Corporation Law, the Estates, Powers and Trusts Law, the Executive Law, and the New York False Claims Act, to appear and to testify on the 24th day of February, 2012, at 11:30 a.m., at the Office of the Attorney General, 120 Broadway, New York, NY 10271, in ajoint inquiry by THOMAS P. DINAPOLI, Comptroller of the State of New York, and ERlC T. SCHNEIDERMAN, Attorney General of the State of New York, or their designated representatives.
YOU ARE HEREBY FURTHER COMMANDED to produce to Comptroller THOMAS P. DINAPOLI and Attorney General ERlC T. SCHNEIDERMAN, to the attention of Jerrold L. Steigman, Assistant Attorney General, Public Integrity Bureau, New York State Office of the Attorney General, 120 Broadway, 22nd Floor, New York, New York 10271 on or before February 16,2012, any and all documents requested in the attached Schedule in accordance. with the instructions and definitions therein, that are in your possession, custody, or control, including documents in the possession, custody, and control of any agent you may have.
PLEASE TAKE NOTICE that your disobedience of this Subpoena by failing to appear, or by failing to deliver the documents requested in the attached Schedule, on or before the dates and times stated above, may subject you to penalties and any other lawful punishment.
WITNESS, the Honorable Thomas P. DiNapoli, Comptroller of the St,>t~~fNew York, this 9th day of February, 2012. . . //
..;/ ../ // .....
.. //7 /// "/ V By:"/' /
N~son /Sheingold ~unsel for Investigations Office of the State Comptroller (518) 474-0588
WITNESS, the Honorable Eric T. Schneiderman, Attorney General of the State of New York, this 9th day of February, 2012.
By: Je ld L. Steigman Assis ant Attorney General
b' Integrity Bureau Office of the Attorney General (212) 416-8439 [email protected]
2
SCHEDULE
A. Definitions and Instructions
Unless otherwise stated herein, the Relevant Period shall include January 1t 2006 through the present. This subpoena applies to all documents in effect, created, recorded, compiled, transmitted, or received during the Relevant Period.
"Affiliate" means any entity which, directly or indirectly, is in control of, is controlled by, or is under common control with, another entity. An entity shall be deemed to control another entity if the controlling entity possesses, directly or indirectly, the power to direct or cause the direction of the management and policies of the other entity, whether through membership, the ownership of voting securities, by contract, or otherwise.
"Communication" as used herein shall include all means of conveying information, written, oral, or otherwise, and includes correspondence of any kind, including electronic correspondence of any kind.
"Documents" is used herein in the broadest sense of the term and shall mean all records and other tangible media of expression of whatever nature including originals, drafts, or finished versions, or annotated or nonconforming or other copies however created, produced, or stored (manually, mechanically, electronically or otherwise), induding electronic mail ("e-mail"), instant messages, text messages, Blackberry or other wireless device messages, voicemail, books, papers, files, notes, confirmations, account statements, correspondence, memoranda, reports, records, journals, registers, analyses, plans, manuals, policies, telegrams, faxes, wires, telephone logs, telephone messages, message slips, minutes, notes or records or transcriptions of conversations or communications or meetings, tape recordings, videotapes, disks or other electronic media, microfilm, microfiche, storage devices, press releases, contracts, agreements, calendars, date books, appointment books, diaries, notices, and summaries. A draft or non- . identical copy is a separate document within the meaning of this term. Under this definition, docwnents existing in electronic fOlm shall include aU items that may have been removed from the e-mail accounts or the directories in which they are ordinarily stored to any other server, folder, file, archive, or backup device, whether or not deleted.
"Identify" or "Identity," as applied to any natural person, shall mean to provide their name, title(s), aliases, screen names, and contact information, and with respect to any entity, shall mean to provide the name, d/b/a names, if any, and the entity's contact information.
"Person" shall mean any natural person or entity including any corporation, company, limited Iiability company or corporation, partnership, limited partnership, association, or tirm.
"New York 4 Life" means New York 4 Life, Inc., a New York not-for-profit corporation, and any (a) of its directors, officers, agents, employees, representatives, attorneys, or any other person acting on its behalf; and (b) any predecessors, successors, parent corporations,
3
subsidiaries, divisions, assigns, '\Vb/a" names, or Affiliates.
"You" or "Your" means New York 4 Life and any (a) of its directors, officers, agents, employees, representatives, attorneys, or any other person acting on its behalf; and (b) any predecessors, successors, parent corporations, subsidiaries, divisions, assigns, "d/b/a" names, or Affiliates.
The terms "directors," "officers," "agents," "employees," "representatives," "attorneys," "consultants," "contractors," or any other persons acting on New Yark 4 Life's behalf as used herein shall mean current and former such persons.
The terms "concerning" or "relating to" as used herein shall mean, directly or indirectly, in whole or in part, relating to, referring to, describing, evidencing, or constituting.
The terms "sent" or "received" as used herein shall mean, in addition to their usual meanings; the transmittal or reception of a document by mail, hand, email, or other electronic delivery, and facsimile transmission or reception, whether by direct or indirect means.
The connectives "and" and "or" shall be construed either disjunctively or conjunctively as necessary to bring within the scope of the information request or demand for production all responses or production of documents that might otherwise be construed to be outside of its scope.
"All" shall be construed as each and every.
"Any" shall be construed as "any and all."
"Including" shall be construed as "including without limitation."
The use of the singular form of any word used herein shall include the plural and vice versa.
You shall identify the number of the request to which the documents purport to be responsive; If there are no documents responsive to any particular request, You shall so state in writing.
If any document requested herein was formerly in Your possession, custody, or control but is no longer available, or no longer exists, You shall submit a statement in writing under oath· that: (a) describes in detail the nature of the document and its contents; (b) identities the person who prepared the document and its contents; (c) identities all persons who have seen or had possession of the document; (d) speci fies the dates on which the document was prepared, transmitted, or received; (e) specifies the date on which the document became unavailable; (f) specifies the reason why the document is unavailable, including whether it has been misplaced,
4
lost, destroyed, or transferred, and if the document has been destroyed or transferred, the conditions of and reasons for such destruction or transfer and the identity of the persons requesting and performing the destruction or transfer; and (g) identifies all persons with knowledge of any portion of the contents of the document.
If any document requested is withheld on ground of privilege or other legal doctrine, submit with the documents produced a statement in writing under oath, stating: (a) the document control number range of the document withheld; (b) the type of the document; (c) the date of the document; (d) the author and recipient of the document; (e) the general subject matter of the document; and (f) the legal groW1d for withholding the document. If the legal ground for withholding is attorney-client privilege, also indicate the name of the attorney involved on the document. Such statement or privilege log shall accompany each production.
Placeholder p~es equivalent in number to the page-length of a withheld document shall be substituted in the production in place of any document withheld pursuant to the preceding paragraph, with each such placeholder page assigned the same sequential document control number as it would have borne had the document been produced.
You shaH identify the person(s) who personally supervised the preparation and assembly of responses to this Subpoena, who could testify that the responses are complete and correct to . the best of his or her knowledge and belief, and that any documents produced are authentic, genuine, and what they purport to be. You shall also identify the custodian(s) of records for the documents produced pursuant hereto, and submit a copy of all instructions prepared by You relating to the steps taken to respond to this Subpoena. Where the instructions given were oral, You shall provide a written statement under oath from the person who gave such instructions,
.detailing the content of the instructions and the person(s) to whom the instructions were given. In order for Your response to this Subpoena to be complete, the attached Verification must be completed and executed on Your behalf by the person supervising compliance with the Subpoena and submitted with the responsive documents.
Each cover letter accompanying a production of documents shall include an index that provides: (a) a description of the types of docwnents, their contents, and the corresponding document control number(s); and (b) the Subpoena request(s) to which the documents are responsive.
The obligation to produce pursuant to this Subpoena is a continuing one. Documents located at any time after a response is due shall be promptly produced at the place specified in the Subpoena.
5
B. Documents to be Produced
Produce the following documents for the Relevant Period;
1. A copy of New York 4 Life's Certificate ofIncorporation and By-Laws, and all amendments thereto.
2. The minutes of all meetings of New York 4 Life's board of directors, the minutes of the meetings of any committees thereof, and any documents annexed to such minutes or reflected in them as distributed for discussion at any such meetings.
3. Documents sufficient to identify all bank accounts, securities accounts, credit card accounts, or debit card accounts (a) in the name of New York 4 Life; (b) for its benefit or use; or (c) from which funds were expended on its behalf.
4. For all accounts identified in response to Item 3, all monthly statements and records, including (a) copies of checks (front and back) written on any such accounts; (b) copies of checks (front and back) deposited into such accounts; and (c) electronic or wire transfers into or out of such accounts.
5. Documents sufficient to identify all signatories and persons authorized to use a credit, debit, or ATM card for any account identified in response to Item 3.
6. Documents sufficient to identify all cash disbursements made from any account identified in response to Item 3, including a cash disbursements journal.
7. Documents and supporting materials identifying any recipient(s) of any cash disbursements by New York 4 Life and the purpose for each such disbursement.
8. The name and address of any person who advanced expenses to New York 4 Life, including expenses related to New York 4 Life's performance under contract TM08Y48, and any documentation'related to all such advances and related reimbursements.
'9. All records of grants, donations, gifts, and contributions (including goods, services, real property, or office space), including all sources of government funding, received by New York 4 Life, in whatever amounts, whether provided directly or indirectly, by credit card, check, wire transfer, or other means.
10. For any grant, donation, gift, or contribution identified in response to Item 9, documents sufficient to identi fy the amount, date, tenns or conditions of the donation. and identity of the donor.
II. Documents sufficient to identify the names, addresses, and titles of all oflicers, directors,
6
and employees of New York 4 Life.
12. For the individuals identified in response to Item 11, all of New York 4 Life's W-2 forms, 1099 forms, and records of payroll tax payments.
13. For the individuals identified in response to Item 11, documents sufficient to identify all fonus of compensation and employment benefits paid by New York 4 Life, including salaries, wages, royalties, bonuses, deferred compensation, fringe benefits, pension or retirement fund benefits, automobile purchases, leases or maintenance costs, parking garage costs, non-automobile transportation costs (e.g., fuel, E-Z pass, or Metrocard), insurance benefits (e.g., medical, dental, or automobile or life insurance) or in-kind compensation, and whether in the fom of payment of housing or parsonage expenses (e.g., rent, utilities, or mortgage debt service).
14. All documents that identify the amount ofpayment, stipend, transaction, or arrangement between New York 4 Life and any of its officers, directors, employees, consultants, paid talent, entertaimnent, trained participants, instructors, or contractors, or family members of such individuals, or any entity with which such individuals have a direct or indirect financial relationship, and the manner in which the recipient was paid.
15. Time records or any other documentation related to any payments or payees listed in Item 14 above.
16. Documents sufficient to identify all grant applications or similar requests made by or on behalf ofNew York 4 Life for funding or contributions, whether from private or public sources.
17. A copy of New York 4 Life's general ledger with all entries.
18. Copies of New York 4 Life's annual financial statements, including audited statements.
19. All communications between New York 4 Life and its accountants or auditors, including any management letters issued by such accountants or aUditors, unaudited or audited financial statements, and associated opinion and accountant notes.
20. All communications between New York 4 Life and the Internal Revenue Service, including Your IRS Form 1023 (Application for Recognition of Exemption Under Section 501(c)(3) of the Internal Revenue Code).
21. Copies of any Forms 990 or other filings made by New York 4 Life with the Internal Revenue Service.
7
22. All documents relating to obtaining, renting, accessing, or using any mailboxes at any facility or agent for receiving mail, including The UPS Store (or any of its aftiliates or franchisees), by New York 4 Life or anyone acting on its behalf, including:
a. All docwnents identifying any transactions or arrangements between New York 4 Life and any facility or agent for receiving mail;
b. All documents relating to payments made for obtaining, renting, accessing, or using any mailboxes;
c. Documents sufficient to identify all signatories and persons authorized to obtain, rent, or use any mailboxes;
d. Log-in sheets or other documents related to accessing any mailboxes; and
e. All communications between New York 4 Life and any facility or agent for receiving mail.
23. All documents relating to any breakfasts, luncheons, lunches, dinners, health-related events, workshops, seminars, conferences, trainings, or any other events of any kind conducted by, with or in connection with, New York 4 Life, including the following:
a. Sign-in or log-in sheets or other documents sufficient to identify the name and address of each individual.that has attended or been invited to any New York 4 Life-affiliated event, and the names of any organization affiliated with such individuals;
b. All press reports or press coverage referring to any events;
c. All applications, permit requests, permits, contracts, deposits, or other documents relating to the locations of any events or the use of space;
d. All contracts or subcontracts or agreements of any kind entered into by or on behalf of New York 4 Life with any vendor or supplier for any events; .
e. Records of any payments, including relevant invoices and receipts, made by or on beh~lIf of New York 4 Life relating to any events;
f. Records relating to all funds ex pended by New York 4 Life, or by any source on its behalf, for any events, and records relating to any reimbursements from New York 4 Life to any such source;
g. Copies of all notices, flyers, advertisements, or other writings concerning any events;
8
h. All communications among New York 4 Life or with third parties, including the press, regarding any events;
1. All testimonials, acknowledgments, notes, letters, or awards received by New York 4 Life relating to any events conducted or services provided;
j. All awards given by New York 4 Life;
k. All recordings made of any events or portions of events; and
I. Copies of aU program materials.
24. All documents relating to Contract Number T\108Y48 between New York 4 Life and the New York State Office ofChildren and Family Services ("OCFS"), including:
a. Paymentvouchers and any other requests for payment;
b. All other communications with OCFS or with any other third parties, including the press;
c. All communications among New York 4 Life concerning Contract Number TM08Y48;
d. All records of any services provided by New York 4 Life pursuant to Contract NumberTM08Y48, including all documents described in Item 23 (and subparts a-I) relating to the contract; and
e. Documents related to any commercial property maintenance, development, or conservation done by New York 4 Life (e.g., through a "Adopt a Commercial Strip" program), and names and addresses ofthe persons involved in such work.
25, All records of any other goods or services of any kind provided by New York 4 Life to any person.
9
Veritication
This response to the Subpoena of the Comptroller of the State of New York and the Attorney General of the State of New York, dated February 9, 2012, including production of the requested documents, was prepared and assembled under my personal supervision from the records of New York 4 Life in accordance with the instructions and definitions set forth in such Subpoena and is complete and correct to the best of my knowledge and belief. The documents produced in response to this Subpoena are authentic, genuine and what they purport to be.
(Signature of Official) (Title)
(Type or Print Name of Above Official)
***
Subscribed and sworn to before me this day of 2012.
_____________ Notary Public
My commission expires: _
10
AFFIDAVIT OF SERVICE OF
Testimonial and Documentary Subpoena
Bureau PUBLIC INTEGRITY
STATE OF NEW YORK: COUNTY OF NEW YORK:
I, Gerard J. Matheson , being duly sworn, deposes and says: That on February 10, 2012 ,at 95-26 Sutphin Blvd. Jamaica. NY 11435 (District Office of Ruben Wills)
City of Queens. New York , State of New York, deponent served the above on Ruben Wills at 09:15 AM by:
I. INDIVIDUAL o (a) Delivering a true copy thereof to _
personally. Deponent knew the person so served to be the person described in said document(s).
xxD (b) Delivering a true copy to Jahi Rose (Director of Constituent Affairs) a person of suitable age and discretion at person's actual place of business, dwelling place, or usual place of abode.
Deponent also enclosed a copy of same in a postpaid, sealed Wrapper properly addressed to person's last known business, dwelling place or place of abode at 95-26 Sutphin Blvd. Jamaica, NY 11435 and deposited said wrapper in an official depository under the exclusive care and custody of the U.S. Postal Service.
o (c) Affixing a true copy to the door of person's actual place of business, dwelling place, or usual place of abode. Deponent was unable, with due diligence, to find the person named therein or a person of suitable age and discretion having called there: On 19_, at _ On 19_, at _ On 19_, at _
Deponent also enclosed a copy of same in a postpaid, sealed wrapper properly addressed to person's last
known business, dwelling place or place of abode at _ and deposited s.aid wrapper in an official depository under the exclusive care and custody of the U.S.
Postal Service.
2. CORPORATION: Serving the above on _
Corporation, personally, whom deponent knew to be the said corporation by delivering a true copy thereof with,.:..: _
an officer of said corporation or other agent authorized to receive service for said corporation.
DESCRIPTION: Deponent describes the individual served as follows: Sex: M Hair: _~B::..:.la:::.c",-,k-,-- _ Skin: Dark , Approx. Age: late 30's Approx. Ht: 6'-1" Approx Wt.: -,1-",9-",-0__
---'--''''-'''-'-=J....- , 2012
Notary Pub Iic ---'-~-___c\c-'-"---'_t_--=----'--_"+----'--=----""----
\.
HUGH L. McLEAN Notary Puhllc. Stale of New York
No. 4935527 Qualified in Westchester County
CommiSSion Expires (,"/ . ( . ") 1'( Irt O( S
SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK In the Matter of PEOPLE OF THE STATE OF NEW YORK, by ERIC T. SCHNEIDERMAN, Attorney General of the State of New York, and THOMAS P. DiNAPOLI, Comptroller of the State of New York, Petitioners, For an order pursuant to CPLR § 2308(b): to compel compliance with a subpoena issued jointly by the Attorney General and the Comptroller, -against- RUBEN WILLS,
Respondent.
ORDER TO SHOW CAUSE AND AFFIRMATION IN SUPPORT
DATED: New York, New York
April 10, 2012 Respectfully submitted, ERIC T. SCHNEIDERMAN ATTORNEY GENERAL STATE OF NEW YORK
SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK In the Matter of
PEOPLE OF THE STATE OF NEW YORK, by ERIC T. SCHNEIDERMAN, Attorney General of the State of New York, and THOMAS P. DiNAPOLI, Comptroller of the State ofNew York,
Petitioners,
For an order pursuant to CPLR § 2308(b): to compel compliance with a subpoena issued jointly by the Attorney General and the Comptroller,
-against-
RUBEN WILLS,
Res ondent.
Index No. RJINo.
Name of Assigned Judge:
MEMORANDUM OF LAW
MEMORANDUM OF LAW IN SUPPORT OF MOTION TO COMPEL COMPLIANCE WITH SUBPOENA ISSUED TO RUBEN WILLS
This memorandum of law is submitted in support of the Attorney General's and
Comptroller's motion, pursuant to CPLR Section 2308(b), to compel compliance with a
subpoena for testimony issued to Respondent Ruben Wills pursuant to the New York State
Finance Law, the Not-for-Profit Corporation Law, the Estates, Powers and Trusts Law, and the
Executive Law. The subpoena was issued in connection with an examination, audit and
investigation into Respondent's potential misappropriation of state member item grant funds in
his capacity as Chairman of the not-for-profit corporation New York 4 Life, Inc. ("New York 4
Life"). Respondent produced documents in response to the subpoena, and, after some delay,
appeared for a subpoena hearing but terminated it prior to its completion.
FACTS
The facts are fully set forth in the accompanying Affirmation of Assistant Attorney
General Emily Bradford and will be summarized here.
Respondent Ruben Wills was Chairman ofNew York 4 Life, a not-for-profit corporation
that was awarded a $33,000 member item grant sponsored by New York State Senator Shirley
Huntley. Respondent obtained an advance of the full amount of the State funds under the grant
after he signed a contract with the New York State Office of Children and Family Services
("OCFS") and submitted a voucher requesting the advance. Under the terms ofNew York 4
Life's contract with OCFS, Respondent was required to "establish and maintain complete and
accurate books, records, documents, accounts and other evidence directly pertinent" to
performance under the contract for six years, and to provide the Comptroller and Attorney
General access to these records upon request. He was also obligated to "produce and retain" for
six years after expiration of the contract "any and all records necessary to substantiate upon audit,
the proper deposit and expenditure of funds received under this contract."
Upon learning of Respondent's failure to account for and substantiate his use of public
grant funds he received, the New York State Comptroller's Office initiated an audit and
examination of the payment made by the State to Respondent. Additionally, after Respondent
failed to account for the use of the funds or to return the funds, OCFS referred the matter to the
New York State Attorney General's Office. The Attorney General's Office and the
Comptroller's Office subsequently began an investigation into Respondent's use of the funds.
An examination of New York 4 Life's bank records revealed that the $33,000 in advanced funds
had been depleted by Respondent.
The Attorney General's Office and the Comptroller's Office issued ajoint subpoena
duces tecum and ad testificandum to Respondent to examine the use of the $33,000 in State
2
funds granted to New York 4 Life. After various delays, Respondent eventually produced some
materials in response to the subpoena. Notably, these records contained only one receipt
purportedly related to the relevant period of the contract - an undated invoice ostensibly
accounting for $980 of the $33,000 Respondent received from the State. After several
adjournments of the subpoena hearing and one failure to appear, Respondent finally appeared for
testimony on March 20, 2012. After less than one hour, and prior to its conclusion, Respondent
prematurely terminated the hearing and walked out. Respondent has refused requests to schedule
his appearance to complete the hearing. As a result, the Attorney General and the Comptroller
move to compel compliance.
ARGUMENT
I. THE ATTORNEY GENERAL AND THE COMPTROLLER HAVE THE AUTHORITY TO INVESTIGATE THE USE OF STATE MEMBER ITEM GRANT FUNDS BY RESPONDENT RUBEN WILLS AND NEW YORK 4 LIFE AND TO ISSUE SUBPOENAS n~ FURTHERANCE OF THAT INVESTIGATION
The standard for judicial review of subpoenas issued by State agencies is well-settled:
"There must be authority, relevancy, and some basis for inquisitorial action." A'Hearn v.
Committee on Unlawful Practice of Law of New York County Lawyers' Ass'n., 23 N.Y.2d 916,
918 (1960). In conducting its review, the Court presumes the good faith of State officials such as
the Attorney General and the Comptroller. Matter of Amos Post, Inc. v. Attorney General, 70
A.D.2d 750, 416 N.Y.S.2d 885 (3rd Dep't 1979); Ryan v. Lefkowitz, 26 A.D.2d 604, 271 N.Y.S.
353 (3rd Dep't 1966). On a motion to quash a subpoena, the Court's review is highly deferential
and "[a]n application to quash a subpoena should be granted only where the futility of the process
to uncover anything legitimate is inevitable or obvious, or where the information sought is utterly
3
irrelevant to any proper inquiry." Anheuser-Busch, Inc. v. Abrams, 71 N.Y.2d 327,331-32,525
N.Y.S.2d 816 (1988). Additionally, the person challenging a subpoena bears the burden of
demonstrating a lack of authority, relevancy or factual basis for its issuance. Hogan v. Cuomo,
67 A.D.3d 1144, 1145 (3d Dep't 2009), citing Matter of Dairymen's League Coop. Assn. v.
Murtagh, 274 A.D. 591, 595, 84 N.Y.S.2d 749 (1948), affd 299 N.Y. 634 (1949).
The Attorney General and the Comptroller have ample authority to issue the subpoena to
Respondent. The New York State Constitution and State Finance Law vest the Comptroller with
broad authority to examine the disposition of State monies. See N.Y. Const. art. V, § 1 ("T]he
payment of any money of the state, or of any money under its control, or the refund of any money
paid to the state, except upon audit of the comptroller, shall be void"); N.Y. State Fin. Law § 111
("No moneys of the state, including moneys collected in its behalf, and no moneys in the
possession, custody or control of any officer, agent, or agency of the state in his or its
representative capacity, and no moneys in or belonging to any fund or depositary, title to which is
vested in the state, shall hereafter be paid, expended or refunded except upon audit by the
comptroller"). Additionally, the Comptroller is vested with the power and duty to "superintend
the fiscal concerns of the state." State Fin. Law § 8(1). Under this authority, it is beyond cavil
that the Comptroller has the power to conduct pre and post audits of payments made by the State
to entities such as Respondent's. Martin H. Handler, M.D., P.c. v. DiNapoli, 88 A.D.3d 1187,
1190,932 N.Y.S.2d 204 (3rd Dep't 2011) (Noting the Comptroller's authority to perform pre and
post audits of payments by the State). To further execution of these constitutional and statutory
duties, State Finance Law Section 9 empowers the Comptroller, his deputies, or designees (in
this case, Counsel for Investigations) to issue subpoenas for documents or testimony "in
4
reference to any matter within the scope of the inquiry or investigation being conducted by the
comptroller" and to "administer an oath to a witness in any such inquiry or investigation."
In addition to the Comptroller's authority, the Attorney General also has substantial
authority to investigate the Respondent, issue subpoenas, and compel compliance. First, the law
vests the Attorney General with the authority to issue subpoenas and compel compliance in
connection with investigations into violations of the New York State Finance Law Sections 187
194 (the "New York False Claims Act"). N. Y. Compo Codes R. & Regs. tit. 4002; see also
Hogan v. Cuomo, 67 A.D.3d 1144,888 N.Y.S.2d 665 (3rd Dep't 2009) (affirming denial of
defendant's application to quash subpoena issued under False Claims Act and Executive Law
63(12)).
Next, the Attorney General can also issue and compel compliance with subpoenas in
connection with his regulatory oversight of not-for-profit corporations. N.Y. Not-For-Profit
Corp. Law § 112(b)(6); see also People v. Marcus Garvey Nursing Home, Inc., 57 A.D.3d 201,
867 N.Y.S.2d 676 (3rd Dep't 2008) (affirming denial of motion to quash subpoena issued under
Not-for-Profit Corporations Law); Abrams V. Temple of the Lost Sheep, Inc., 148 Misc.2d 825,
562 N.Y.S.2d 322 (Sup. Ct. New York County 1990) (granting Attorney General's motion to
compel compliance with subpoenas pursuant to his authority under the Not-For-Profit
Corporations Law and the Estates, Powers and Trusts Law).
Finally, the Attorney General can issue and compel compliance with subpoenas in
connection with investigations into violations of the Executive Law where individuals have
engaged in "repeated fraudulent or illegal acts or otherwise demonstrate persistent fraud or
illegality in the carrying on, conducting or transaction of business." N.Y. Exec. Law § 63(12);
5
see also Roemer v. Cuomo, 67 A.D.3d 1169, 888 N.Y.S.2d 669 (3rd Dep't 2009) (affirming
denial of defendant's application to quash subpoena issued under Executive Law 63(12)).
To meet the required factual basis for issuing a subpoena, State agencies must
demonstrate "but a bare showing for the basis of the inquiry." A'Hearn, 23 N.Y.2d at 918.
Under this minimal threshold, "[t]he information forming the factual basis need not be sufficient
to establish fraud or illegality, or even provide probable cause, as long as the futility of the
process is not inevitable or obvious." Hogan v. Cuomo, 67 A.D.3d at 1146; see also
Pharmaceutical Society of State ofN.Y. v. Abrams, 132 A.D.2d 129, 133 (3d Dep't 1987)
(recognizing that to support issuance of a subpoena the Attorney General is not required to
demonstrate probable cause or to disclose the scope of his investigation), citing Hynes v.
Moskowitz, 44 N.Y.2d 383 (1978). Similarly, the test for relevance to support an administrative
subpoena "is not very exacting. All that the issuer of an office subpoena need demonstrate in
order to avoid a motion to quash is that the materials sought have a reasonable relation to the
subject matter under investigation and to the public purpose to be achieved." Virag v. Hynes, 54
N.Y.2d 437,442 (1981) (internal citation and quotations omitted).
Respondent was the Chairman of New York 4 Life, an entity which received $33,000 in
State member items grant funds, subject to the Comptroller's fiscal oversight pursuant to the
New York Constitution and the State Finance Law. Having signed a contract with OCFS and
submitted a voucher for payment under that contract, Respondent is subject to investigation by
the Attorney General under the New York False Claims Act. See N.Y. State Fin. Law § 189
(providing for penalties and damages for false claims or statements). As the Chairman of a New
York not-for-profit corporation, Respondent is subject to the Attorney General's regulatory
6
oversight of not-for-profit corporations.
Despite repeated demands, Respondent failed to respond to, much less produce, records
to OCFS substantiating his use of the member item grant funds. Respondent also met the
Comptroller's efforts to obtain documentation with stalling tactics; the Comptroller and the
Attorney General were ultimately forced to subpoena Respondent for documents and his
testimony. Although Respondent did produce some records in response to Petitioners' subpoena
for documents, these records included only one (undated and unnumbered) $980 invoice for
services purportedly rendered to New York 4 Life during the contract period. See Affidavit of
Emily Bradford ~ 24. Respondent failed to produce any receipts or other acceptable
documentation of the remaining $32,020 he received from the State. In contrast, a review of
New York 4 Life's bank records (obtained from a bank where New York 4 Life maintained an
account; the subpoena to Respondent called for financial records, but Respondent produced no
New York 4 Life financial records) revealed numerous cash withdrawals and payments to various
entities and persons seemingly unconnected with the asserted purpose of the grant -- including
payments to retail stores. These numerous transactions additionally subject Respondent to
investigation by the Attorney General under the Executive Law. See, ~., State v. Princess
Prestige, 42 N.Y.2d 104,397 N.Y.S.2d 360 (1977) (recognizing that even a small number of
illegal transactions is sufficient to bring conduct within Executive Law 63(12)).
The lack of evidence of Respondent's proper use of the granted funds, coupled with his
refusals to produce records New York 4 Life was required to maintain, amply support issuing a
subpoena to Respondent. Indeed, his testimony is primary evidence of whether the funds were
properly spent.
7
In sum, the Attorney General and the Comptroller have demonstrated their authority to
proceed with the subpoena against Respondent and that the information sought is relevant and
based upon a sufficient factual predicate.
II. WILLS MAY NOT AVOID BEING EXAMINED ABOUT HIS USE OF STATE FUNDS BY A BLANKET ASSERTION OF THE FIFTH AMENDMENT
Respondent has not and cannot credibly question the Attorney General's or Comptroller's
authority to conduct this examination or to issue a subpoena to him. Indeed, to the contrary,
Respondent has acknowledged this authority by producing records and appearing and providing
testimony. The sole protestation voiced by Respondent, via counsel, preliminary to his
premature termination of the interview, was his assertion that being asked to respond to specific
questions about each expenditure made by New York 4 Life during the period being examined
as opposed to his wish to provide a blanket invocation of the Fifth Amendment to cover the
remainder of these questions in advance - was "borderline abusive." Bradford Aff. ,-r 42. This
claim is patently meritless as it has long been settled that, except in a criminal proceeding, the
subject of a lawful examination may not avoid inquiry by invoking the Fifth Amendment in a
blanket or categorical manner, but, rather, the subject must assert his rights in response to
specific questions. See State v. Carey Resources, Inc., 97 A.D.2d 508, 509 (2d Dep't 1983);
N.Y. State Comm'n on Gov't Integrity v. Congel, 156 A.D.2d 274 (lst Dep't 1989); In re East
51st Street Crane Collapse Litigation, 30 Misc.3d 521,530 (Sup. Ct. N.Y. Co. 2010); see also
People v. Laino, 10 N.Y.2d 161,174 ( 1961) (" ... it is well settled that the privilege against self
incrimination may not be asserted or claimed in advance of questions actually propounded.").
8
CONCLUSION
For the reasons stated above, the Court should grant the Attorney General's and
Comptroller's application and compel Respondent to complete his examination under oath
pursuant to Petitioners' subpoena.
Dated: New York, New York April 10, 2012
Respectfully submitted,
ERIC T. SCHNEIDERMAN ATTORNEY GENERAL STATE OF NEW YORK
xpayer Protection Bureau
lly Bradford S nior Counsel
212) 416-6060 Jerrold L. Steigman Assistant Attorney General Public Integrity Bureau (212) 416-8439
9
REQUEST FOR JUDICIAL INTERVENTION UCS-840 (3/2011)
Supreme COURT, COUNTY OF New York
Index No: Date Index Issued:
CAPTION: Enter the complete case caption. Do not use et al or et ano. required attach a caction rider sheet.
If more space Is
In the Matter of
PEOPLE OF THE STATE OF NEW YORK, by
ERIC T. SCHNEIDERMAN, Attorney General of the State of New York, and THOMAS P.
DiNAPOLI, Comptroller of the State of New York,
For an order pursuant to CPLR § 2308(b):
o compel compliance with a subpoena issued jointly by the Attorney General and the
Comptroller a Plaintiff(s)/Petitioner(s)
-aaainst-
For Court Clerk Use Only: IA~ I::ntry Uate
Judge Assigned
KJI ua e
RUBEN WILLS
Defendant(s)/Respondent(s)
NATURE OF ACTION OR PROCEEDING: Check ONE box only and specify where Indicated.
MATRIMONIAL COMMERCIAL o Business Entity (including corporations, partnerships. LLCs. etc.) o Contested
o Uncontested o Contract
NOTE: For all Matrimonial actions where the parties have children under o insurance (where insurer is a party. except arbitration) the age of 18, complete and attach the MATRIMONIAL RJI Addendum. o UCC (including sales, negotiable instruments)
TORTS o Other Commercial: (specify)o Asbestos
o Breast Implant NOTE: For Commercial Division assignment requests [22 NYCRR § 202.70(d)], complete and attach the COMMERCiAl DIV RJI Addendum.
(specify) o Environmental:
REAL PROPERTY: How many properties does the application include?
o Medical, Dental. or Podiatric Malpractice o Condemnation
o Motor Vehicle o Foreclosure
o Products Liability: Property Address: (specify) Street Address City State Zip
NOTE: For Foreclosure actions involving a one- to four-family, owner-o Other Negligence: (specify) occupied, residential property, or an owner-occupied condominium.
complete and attach the FORECLOSURE RJI Addendum.o Other Professional Malpractice: (specIfy) o Tax Certiorari - Section: Block: Lot:
o Other Real Property: o Other Tort: (specify) (specify)
OTHER MATTERS SPECIAL PROCEEDINGS U CPLR Article 75 (Arbitration) [see NOTE under Commercial] o Certificate of Incorporation/Dissolution (see NOTE under Commercial]
o CPLR Article 78 (Body or Officer) o Emergency Medical Treatment
o Election Law o Habeas Corpus
o MHL Article 9.60 (Kendra's Law) o Local Court Appeal
o MHL Article 10 (Sex Offender Confinement.lnltial)o Mechanic's Lien
o MHL Article 10 (Sex Offender Confinement-Review)o Name Change
o MHL Article 81 (Guardianship)o Pistol Permit Revocation Hearing
o Other Mental Hygiene: o Sale or Finance of Religious/Not-for-Profil Property (specify)o Other:
(specify) o Other Special Proceeding: For an order to compel compliance with a sUbpo~~
(specify)
STATUS OF ACTION OR PROCEEDING: Answer YES or NO for EVERY question AND enter additional information where indicated. I YES I NO I
Has a summons and complaint or summons w/notice been filed? o o If yes, date filed: _
Is this action/proceeding being filed post-judgment? o If yes, judgment date: _o
NATURE OF JUDICIAL INTERVENTION: Check ONE box onl AND enter additional information where indicated. Infant's Compromise
o Note of Issue and/or Certificate of Readiness
o Notice of Medical, Dental, or Podiatric Malpractice Date Issue Joined: _
o Notice of Motion Relief Sought: _ Return Date: _
o Notice of Petition Relief Sought: _ Return Date: _
o Order to Show Cause Relief Sought:H_e_ar_in-cg _ Return Date: _
o Other Ex Parte Application Relief Sought: _
o Poor Person Application
o Request for Preliminary Conference
o Residential Mortgage Foreclosure Settlement Conference
o Writ of Habeas Corpus
o Other (specify)'
RELATED CASES: List any related actions. For Matrimonial actions, include any related criminal and/or Family Court cases. If additional space Is required, complete and attach the RJI Addendum. If none, leave blank.
Case Title Index/Case No. Court Judge (if assigned) Relationship to Instant Case
PARTIES: If additional space is required. complete and attach the RJI Addendum. For parties without an attorney, check 'Un-Rep' box AND enter party address. phone number and e-mail address in "Attorneys' space.
Parties: Attorneys: Issue
Un- List parties in caption order and Provide name, firm name, business address, phone number and e-mail Joined Insurance Carrier(s):
Rep indicate party role(s) (e.g. defendant; address of all attorneys that have appeared in the case. (V/N):
3rd-party plaintiff).
People of the State of New York
bVESL••' Neme Lu' Name FI.-tNomo
Office of the Attorney General
0 Fi,..t Name Firm Name Primary Roll:
120 Broadway New York New York 10271 Petitioner Str,.' Addre•• City Stolo lip
l!)NOSocondory Rolo (II any): [email protected]+1 (212) 616-6060 + 1(212) 416-60B7
Phone Fox .~m.i1
Wills Zissou Steve L••t Name L••• Name Firat Nam.
aVES Ruben Steve Zissou & Associates
D Firat Name Finn Nama Primary Role:
42-40 Bell Boulevard, Suite 302 Bayside New York 11361 Respondent Street Addre•• Clly Slolo lip
~NOSocondory Rolo (il any):
Phono Fox ,-mall
Steve L"t Name L••• Nam. Firlt Name
b VES
D Firat Name Firm Nam. Drlmary Role:
New York ~ Str,.' Add,.•• Clly Stet. lip
(!)NOSocondory Rolo (il any):
Phon. Fox I-mail
L••t Name La.t Nama Firat Name aVES
D Firat Name Finn Nam. Primary Rolo:
Street Addr••• Clly Slolo lip ONOSocondory Rolo (If any):
Phono Fox e~m.1I
I AFFIRM UNDER THE PENALTY OF PERJURY THAT, TO MY KNOWLEDGE, OTHER THAN AS NOTED ABOVE, THERE ARE AND HAVE BEEN NO RELATED ACTIONS OR PROCEEDINGS, NOR HAS A REQUEST FOR JUDICIAL INTERVENTION PREVIOUSLY BEEN FILED IN THIS ACTION OR PROCEEDING.
Dated: 04/10/2012
E GNATURE
4545737 ily Bradford
ATIORNEY REGISTRATION NUMBER PRINT R TYPE NAME Print Form
