To: Commissioners Re: Motion by Lisa Scott for Extension ... · ... 2017 motion by Lisa Scott for a...

STATE OF MAINE COMMISSION ON GOVERNMENTAL ETHICS

AND ELECTION PRACTICES 135 STATE HOUSE STATION

AUGUSTA, MAINE 04333-0135

To: Commissioners

From: Jonathan Wayne, Executive Director

Date: July 10, 2017

Re: Motion by Lisa Scott for Extension to Respond to Subpoenas

This memo is provide you with the relevant law and background information for your

consideration of a June 28, 2017 motion by Lisa Scott for a 60-day extension of time for

herself and for another witness/respondent, Cheryl Timberlake, to respond to

Investigative Subpoenas to Produce Records (the subpoenas and motion are attached).

Ms. Timberlake is not seeking an extension. She gathered the requested documents by

the deadline of July 5th, and is expected to produce them as directed by the Commission.

On June 13, 2017, Commission staff sent copies of a subpoena to Lisa Scott at three

addresses – including two addresses that Ms. Scott, herself, had provided to the

Commission in the registrations and campaign finance reports for her own ballot question

committees. Also on June 13, staff emailed and mailed a courtesy copy of the subpoena

to her attorney, Bruce M. Merrill. Lisa Scott maintains that she has not been served with

the subpoena, but nevertheless is seeking additional time to submit legal objections to the

subpoena and to produce the requested records – because of a previously scheduled trip

to Europe and her counsel’s work commitments and out-of-state travel.

Dates in Subpoenas Dates Requested by Lisa Scott Deadline to submit legal objections to

subpoena

Deadline to produce

documents

Deadline to submit legal objections to

subpoena

Deadline to produce

documents Lisa Scott June 28 July 5 September 3 September 3 Cheryl Timberlake June 28 July 5 September 3 September 3

Commission Meeting: 07/14/2017Agenda Item #2

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Relevant Law

Commission’s Investigations Statute

To investigate compliance with Maine’s campaign finance laws, the Commission is

authorized to subpoena witnesses and documents. (21-A M.R.S.A. § 1003(1), attached)

Recognizing the need to obtain evidence from witnesses outside the State of Maine, the

Maine Legislature authorized the Commission to serve subpoenas by:

A. Delivering a duly executed copy of the notice to the person to be served or to a

partner or to any officer or agent authorized by appointment or by law to receive

service of process on behalf of that person; … or

C. Mailing by registered or certified mail a duly executed copy of the notice,

addressed to the person to be served, to the person's principal place of business.

The Commission is required to keep certain categories of documents (“investigative

working papers”) confidential if they were obtained in the course of an audit or

investigation. (21-A M.R.S.A. § 1003(3-A)) These categories include “financial

information not normally available to the public.”

Legal Standard for Vacating or Modifying a Subpoena

The Maine Administrative Procedure Act provides that any witness subpoenaed by an

agency may petition the agency to vacate or modify the subpoena. (5 M.R.S.A. §

9060(1)(C) "After such investigation as the agency considers appropriate,” the

Commission may grant the petition in whole or in part upon finding that either:

• the testimony or the evidence whose production is required "does not relate with

reasonable directness to any matter in question," or

• the subpoena "is unreasonable or oppressive or has not been issued a reasonable

period in advance of the time when the evidence is requested."

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Factual Background

June 9, 2017 Meeting

At your meeting on June 9, 2017, you voted to investigate the financing of the York

County casino citizen initiative. At the meeting, the Commission Chair signed subpoenas

for Lisa Scott and Horseracing Jobs Fairness BQC. The Commission staff asked Ms.

Scott’s attorney, Bruce M. Merrill, whether he would accept service, but he declined

because he had not had an opportunity to review them in advance.

June 13, 2017 Subpoena for Lisa Scott

On Tuesday, June 13, 2017, the Commission Chair signed new subpoenas for Lisa Scott

and Cheryl Timberlake. That day, the Commission staff sent copies of the Scott

subpoena to Lisa Scott at three addresses (discussed separately below) by certified mail,

return receipt requested.

Also on June 13, the Commission’s Executive Director, Jonathan Wayne, emailed and

mailed a courtesy copy of the Scott subpoena to Mr. Merrill, along with a cover letter (the

email and cover letter are attached). The cover letter identified the addresses to which the

subpoena was mailed and invited Mr. Merrill to provide any other address that served as

Lisa Scott’s principal place of business. Mr. Merrill did not respond to the cover letter or

subpoena. Two weeks later, on June 27, the Commission’s Executive Director, Jonathan

Wayne, called Mr. Merrill to check on whether his client would be submitting any

objections to the subpoena by the deadline on the following day. Mr. Merrill filed this

motion on Ms. Scott’s behalf the next day, which was the deadline for submitting

objections or requests to modify the subpoena.

4411 NW 74th Avenue in Miami (mail delivery successful)

On June 13, 2017, Commission staff mailed one copy of the subpoena for Lisa Scott by

certified mail to 4411 NW 74th Avenue in Miami, Florida. When Horseracing Jobs

Fairness BQC registered with the Commission in December 2015, it provided this

address for Lisa Scott as the Principal Officer of the BQC (see attached registration). As

it reported receiving multiple contributions from Lisa Scott during 2016 and through

4

early 2017, this was the address that the BQC provided for her as a contributor (see

attached Contribution Schedules from campaign finance reports, marked with arrows).

Indeed, Lisa Scott’s attorney stated in his May 23, 2017 letter to the Commission that

HJF BQC is “synonymous” with Lisa Scott. Filers have an obligation to provide

complete and accurate information to the Commission in their reports and registration

statements, and to amend a registration within 10 days of a change in the information

required. See 21-A M.R.S.A. § 1056-B(1-A). When HJF BQC amended its own reports

on April 20, 2017, HJF BQC did not update this address for the contributions by Lisa

Scott and did not update the registration statement to provide a new address for Ms. Scott

as the BQC’s Principal Officer.

On June 16, 2017, an individual by the name of Chris Lopez received the envelope

addressed to Lisa Scott at the address of 4411 NW 74th Avenue in Miami. He signed the

green receipt card (attached). Bruce M. Merrill explained to Jonathan Wayne during

their conversation on June 27th that the address of 4411 NW 74th Avenue belongs to a

business engaged by Lisa Scott to receive her mail and forward it to her at another

location. The Commission staff does not know whether Lisa Scott received the subpoena

from the mail-forwarding business.

68 SE 6th Street in Miami (subpoena not delivered after two weeks in Miami)

On June 13th, the Commission staff mailed another copy of the subpoena to Lisa Scott at

the address of 68 SE 6th Street in Miami. Internet searches for this address suggest that it

is a 43-story condominium building with a concierge on the premises. The staff relied on

this address because it was the address that Lisa Scott provided when she registered the

Lisa Scott ballot question committee on April 24, 2017 (registration form attached).

(Although we do not know if Ms. Scott personally filled out this registration form, she

appears to have signed it as the principal officer and treasurer and is responsible for the

accuracy of the information submitted.)

The envelope addressed to Lisa Scott at 68 SE 6th Street arrived at a U.S. Postal Service

(USPS) facility in Miami on Thursday, June 15th. It departed that facility for delivery on

the next day, Friday, June 16. For approximately three weeks, the envelope’s delivery

5

status on the USPS tracking webpage was described as “In Transit.” It is unknown how

many delivery attempts the USPS made to Lisa Scott at 68 SE 6th Street and exactly why

delivery was not successful. In their June 27th conversation, Mr. Merrill did not volunteer

to Jonathan Wayne whether Lisa Scott resides in the building and had opportunities to

accept or decline delivery. On July 6, the Commission’s Assistant, Lorrie Brann, called a

national toll-free number for the USPS and requested an investigation. Later that day, the

tracking website included the notation “insufficient address.” The Commission staff has

received no further information, and the envelope has not been returned to the

Commission.

Key Realty, 8704 West Charleston Boulevard, Suite 105, Las Vegas, Nevada (mail

delivery successful)

On June 13, 2017, the Commission staff mailed a copy of the subpoena to Lisa Scott in

an envelope addressed to her in care of Key Realty, 8704 West Charleston Boulevard,

Suite 105, Las Vegas, Nevada. This is a realty business with which Lisa Scott apparently

has had an affiliation. She is listed in the “agent directory” of the business’s website.

The website includes a page devoted to Ms. Scott’s work experience and contact

information (pages from the Key Realty website are attached). The Commission staff

found this information through an internet search for Ms. Scott.

Subpoena for Cheryl Timberlake (service accepted by attorney Avery T. Day)

On June 13, 2017, the Commission Chair also signed a new subpoena for Cheryl

Timberlake, the treasurer of HJF BQC. Through her attorney, Avery T. Day, Ms.

Timberlake has stated her intention to cooperate with the Commission’s investigation.

On June 13, 2017, Mr. Day accepted service of the subpoena on her behalf. In light of

Lisa Scott’s motion to modify the subpoenas, the Commission’s Executive Director

provided written guidance (attached) that Mr. Day could delay providing the Commission

with the documents requested in the subpoena until your July 14 meeting date.

Motion by Lisa Scott for Modification of Subpoenas

On June 28, 2017, Bruce Merrill submitted a motion on behalf of Lisa Scott seeking a

modification of the subpoena served on Cheryl Timberlake and the subpoena for Lisa

6

Scott, which he contends has not been properly served on Ms. Scott. The motion seeks

an extension of the deadlines both to file objections and to produce documents until

September 3, 2017 (the day before Labor Day).

In his motion on behalf of Ms. Scott, Mr. Merrill explains that it will take considerable

time for Ms. Scott to gather and review the nine categories of documents requested in her

subpoena and to confer with him on possible legal objections. He states that Ms. Scott

was leaving on June 28th for a “combination business and pleasure trip to Europe” and

will be returning on July 21.

Mr. Merrill contends that he will have to review many of these same records to determine

what legal objections will need to be made. Mr. Merrill has made plans to be out of state

for two weeks in mid-August and has other work deadlines in August.

With respect to the subpoena for Cheryl Timberlake, Lisa Scott claims to be “the owner

of the documents relating to [HJF] BQC” and thus entitled to review them prior to their

production by Cheryl Timberlake.

Comments by Commission Staff

As the Commission staff noted at your June 9, 2017 meeting, our ability to complete this

investigation expeditiously depends, in large part, on how Lisa Scott, Shawn Scott, and

Cheryl Timberlake respond to the investigation. At the outset, we note that Lisa Scott did

not act promptly to acknowledge the Commission’s investigative subpoenas, even though

her attorney received copies by email on June 13th.

Subpoena for Lisa Scott’s records

Ms. Scott’s request for a modification of the subpoena on the basis of her trip to Europe

should be given due consideration, but the deadlines proposed by her counsel would

delay the investigation by two months. The arguments presented by Mr. Merrill do not

appear to justify that long a delay.

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Rather than waiting until September 3rd for both objections and production of documents,

the Commission staff recommends that the Commission consider a middle-ground

approach which, if you find it reasonable after hearing comments from Mr. Merrill, could

be the basis for relief. The Commission’s Executive Director proposed this to Mr.

Merrill in a June 30th email, but it is in no way binding on you, if you find it unnecessary

or unacceptable:

• Lisa Scott would compile the requested documents and confer with her counsel

after she returns on July 21st.

• Mr. Merrill would submit any legal objections on her behalf before his out-of-

state travel in mid-August.

• The Commission would consider those objections at its scheduled meeting on

August 30.

• Lisa Scott would produce the required documents on Friday, September 1.

• Lisa Scott would accept service of the subpoena to produce documents, dated

June 13, 2017, and also a second subpoena to provide oral testimony to the

Commission on a date in September to be negotiated.

Subpoena for Cheryl Timberlake’s records

Cheryl Timberlake does not object to producing the documents covered by the subpoena

directed to her and served on June 13. The Commission staff does not believe that Lisa

Scott has adequate legal grounds on which to block the production of documents in Ms.

Timberlake’s possession, and production of those documents is necessary for the staff to

make effective progress in this investigation.

The documents requested in the attached subpoena for Ms. Timberlake are highly

relevant to the investigation. The requests in the subpoena are not unreasonable or

oppressive, and the time period for production was reasonable for Ms. Timberlake, who

has already gathered the documents. Mr. Day has already reviewed the documents for

attorney-client privilege and is withholding those documents. It is difficult to see what

other legitimate grounds for objection could be raised.

8

The Commission’s Executive Director has requested that Mr. Merrill examine the

documents gathered by Cheryl Timberlake and provide notice to the Commission by July

12th (two days before your meeting) if he believes that Lisa Scott has reasonable grounds

upon which to object to Ms. Timberlake’s production of any of these documents and, if

so, what grounds. At your meeting on July 14th, you could rule on those objections or

decide to defer action until after Lisa Scott has had an opportunity to confer with Mr.

Merrill after she returns from her trip. In the latter event, you could allow Mr. Merrill to

file any written arguments in support of Ms. Scott’s objections before he goes out of state

in August, which you would consider and rule on at the August 30th meeting. In either

event, the staff recommends that the Commission direct counsel for Cheryl Timberlake to

turn over all other documents responsive to her subpoena to the Commission on July 14th

(after your meeting).

Confidentiality for bank records and credit card statements. There is a possibility that

Lisa Scott or Cheryl Timberlake may possess bank or credit card documents containing

personal transactions unrelated to the York County casino citizen initiative. The

Commission is required to keep certain documents obtained in the course of an audit or

investigation confidential, including “financial information not normally available to the

public.” (1 M.R.S.A. §1003(3-A)(1))) The Commission Counsel and staff believe that

this confidentiality for financial information extends beyond the duration of the

investigation. If bank statements or credit card statements contain personal information

relating to Lisa Scott, the Commission staff will respectfully and professionally ignore

this information, as we have in other investigations. If there was a document which we

believed was critical for you to see for purposes of your determination that contains

personal information, we would redact it or provide it to you under seal as we have done

in other cases.

Thank you for your consideration of this memo.

Undersigned counsel for Ms. Scott has offered to accept1

service on behalf of his client in exchange for this 60-dayextension of time in which to file any objections to saidsubpoena and to produce documents.

BRUCE M. MERRILL, P.A.225 Commercial Street/Suite 501Portland, ME 04101207/775-3333

COMMISSION ON GOVERNMENTAL ETHICSAND ELECTION PRACTICES

In Re: Campaign Financing) of York County Casino/ )Investigative Subpoenas )To Produce Records )

MOTION PURSUANT TO TITLE 5 M.R.S.A. SECTION 9060 TO MODIFY SUBPOENAS

NOW COMES Bruce M. Merrill, counsel for Lisa Scott,

Principal, and Horseracing Jobs Fairness Ballot Question

Committee(HRJF BQC), and pursuant to Title 5 M.R.S.A.

§9060(1)(C), and the reasons more specifically set forth below,

requests that the Subpoena issued to Cheryl Timberlake as

Treasurer of HRJF BQC, and a Subpoena, as yet unserved on Lisa

Scott , be modified to extend the dates in which Ms. Timberlake1

and Ms. Scott have to both object to and produce documents

pursuant to said subpoenas. In support of this Motion,

undersigned counsel states as follows:

1. On or about June 13, 2017, Attorney Avery Day accepted

a subpoena on behalf of his client, Cheryl Timberlake, who is the

Treasurer of HRJF BQC;

As noted above, it is undersigned counsel’s position that2

his client has not yet been properly served in this matter and hedoes not waive that position by virtue of the requests madeherein nor should his arguments be construed to suggest such awaiver.

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2. That subpoena requests the production of:

All documents, including but not limited to, bankstatements, financial records, email, and textmessages, relied upon or reviewed by Cheryl Timberlakeand/or Corinna Rodrigue in preparing or filing campaignfinance reports for Horseracing Jobs Fairness, LisaScott, Miami Development Concepts, LLC (“MDC”), andInternational Development Concepts, LLC (“IDC”) ballotquestion committees; and

All correspondence, memoranda, email, text messages,and other communications between Cheryl Timberlake,Corinna Rodrigue, and/or Lisa Scott concerning campaignfinance reporting; financial transactions related tothe direct initiative to authorize slot machines or acasino in York County, Maine; or loans, investments orother funds received or obtained by Lisa Scott, MDC.IDC and used in whole or in part in support of theinitiative;

3. Undersigned counsel received a courtesy copy of a

subpoena that the Commission is attempting to serve on Lisa Scott

under cover letter dated June 13, 2017 from Jonathan Wayne,

Executive Director of the Commission ;2

4. That subpoena requests nine separate categories of

documents relating to, inter alia, HRJF BQC, Lisa Scott, MDC,

IDC, Capital Seven, LLC, Regent Able Associate, Co., Cheryl

Timberlake and Corinna Rodrigue;

5. Although undersigned counsel has been in communication

with Ms. Timberlake’s attorney, Mr. Day, with regards to the

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subpoena issued to Ms. Timberlake for the records relating to

HRJF BQC, neither undersigned counsel nor Ms. Scott have had the

opportunity to review all of the potential documents covered by

the breadth of the subpoena issued to Ms. Timberlake;

6. It is the position of Ms. Scott that she is the owner

of the documents relating to HRJF BQC and, as such, she is

entitled to review any documents prior to their production by Ms.

Timberlake;

7. After reviewing said records, Ms. Scott may have

objections to the production of certain categories of records

including, but limited to, overbreadth, attorney-client

privilege, attorney work product, certain of her personal

financial records, and relevance (without having actually

reviewed said documents, it is unknown what other objections

might also be applicable);

8. Ms. Scott is leaving today for a previously planned

combination business and pleasure trip in Europe and is not

expected to return to the United States until approximately July

21 . During that period of time, undersigned counsel will havest

limited ability to speak with Ms. Scott concerning this matter;

9. Once Ms. Scott returns to the United States, it will

take her a considerable amount of time to collect and review all

of the categories of documents requested under the her subpoenas,

as well as to review the categories of documents requested under

-4-

the HRJF BQC subpoena issued to Ms. Timberlake;

10. Likewise, undersigned counsel will have to review many

of these same records to determine what, if any, legal objections

will need to be made to both subpoenas;

11. In this respect, undersigned counsel, in addition to

various other legal matters in which he is involved and has

deadlines for in August, has previously made plans to be out of

state for two weeks in the middle of August;

12. Both subpoenas requested that all objections be made by

June 28, 2017 and that production be made by July 5, 2017.

WHEREFORE, it is respectfully requested that undersigned

counsel’s objections, on behalf of HRJF BQC, be noted and that

the deadline for further objections and for production of

documents required under that subpoena, issued to Ms. Timberlake,

be extended, for a period of 60 days, from July 5, 2017 until

September 3, 2017.

And, it is further requested that the deadlines contained in

the subpoena as yet unserved on Lisa Scott for objections and

production of documents be likewise, extended for a period of 60-

days, from July 5, 2017 until September 3, 2017.

Dated at Portland, Maine this 28th day of June, 2017.

/s/ Bruce M. Merrill Bruce M. Merrill Attorney for Lisa Scott and Horseracing Jobs FairnessBallot Question Committee

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CERTIFICATE OF SERVICE

I hereby certify that on the 28th day of June, 2017, Ielectronically filed the above Motion Pursuant to Title 5M.R.S.A. Section 9060 on behalf of the above-named Lisa Scott andHorseracing Jobs Fairness Ballot Question Committee, withJonathan Wayne, Executive Director of the Commission ofGovernmental Ethics and Election Practices and served a copy viae-mail on Avery Day, Esq., counsel for Cheryl Timberlake.

/s/ Bruce M. Merrill Bruce M. Merrill, P.A.225 Commercial St./Suite 501Portland, ME 04101207/775-3333 (Tel.)207/775-2166 (FAX)E-Mail: [email protected]

mailto:[email protected]

1

Wayne, Jonathan

From: Wayne, JonathanSent: Tuesday, June 13, 2017 2:52 PMTo: Bruce MerrillCc: Gardiner, Phyllis ([email protected])Subject: Subpoena for Lisa ScottAttachments: Maine Ethics - Subpoena to Lisa Scott.pdf

Bruce, Thank you for your presentation to the Maine Commission on Governmental Ethics and Election Practices at its meeting on Friday. I have attached a cover letter to you and subpoena addressed to Lisa Scott. Our office served it on her, pursuant to 21‐A M.R.S.A. § 1003(1)(C), by depositing the original in the mail to her place of business. If Ms. Scott objects to the requests for documents in the subpoena, the letter and subpoena includes directions on submitting a notice or petition to the Commission. Please provide that by Wednesday, June 28th, as specified on the second page of the subpoena and as governed by 5 M.R.S.A. § 9060(1)(C). The Commission would likely hold a special meeting to consider those objections. If you have any questions, please contact me or Assistant Attorney General Phyllis Gardiner. Her number is (207) 626‐8830. Thank you. Jonathan Wayne Executive Director Maine Ethics Commission 135 SHS Augusta, ME 04333 287‐4179

Initial Report by HJF BQCfiled on 12/16/2015

lorrie.brann

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2017 CAMPAIGN FINANCE REPORT

Commission on Governmental Ethics and Election PracticesMail: 135 State House Station, Augusta, Maine 04333

Office: 45 Memorial Circle, Augusta, MaineWebsite: www.maine.gov/ethics

Phone: 207-287-4179Fax: 207-287-6775

FOR BALLOT QUESTION COMMITTEES

FINANCIAL ACTIVITY SUMMARY

RECEIPTS TOTAL FOR THIS PERIOD TOTAL FOR YEAR

1. CASH CONTRIBUTIONS (SCHEDULE A) $15,453.92 $15,453.92

2. OTHER CASH RECEIPTS (INTEREST, ETC) $0.00 $0.00

3. LOANS (SCHEDULE C) $0.00 $0.00

4. TOTAL RECEIPTS $15,453.92 $15,453.92

EXPENDITURES

5. EXPENDITURES (SCHEDULE B) $44,059.96 $44,059.96

6. LOAN REPAYMENTS (SCHEDULE C) $0.00 $0.00

7. TOTAL PAYMENTS $44,059.96 $44,059.96

CASH SUMMARY

8. CASH BALANCE AT BEGINNING OF PERIOD $723,409.45

9. PLUS TOTAL RECEIPTS THIS PERIOD (LINE 4) $15,453.92

10. MINUS TOTAL PAYMENTS THIS PERIOD (LINE 8) $44,059.96

11. CASH BALANCE AT END OF PERIOD $694,803.41

OTHER ACTIVITY

12. IN-KIND CONTRIBUTIONS (SCHEDULE A-1) $0.00 $0.00

13. TOTAL LOAN BALANCE AT END OF PERIOD (SCHEDULE C) $0.00

14. TOTAL UNPAID DEBTS AT END OF PERIOD (SCHEDULE D) $0.00

COMMITTEE TREASURER

HORSERACING JOBS FAIRNESS CHERYL TIMBERLAKE

126 WESTERN AVENUE #157 96 STATE STREET, SUITE 2

AUGUSTA, ME 04332 AUGUSTA, ME 04330

PHONE: (207) 482-9115 PHONE: (207) 623-3800

EMAIL: [email protected] EMAIL: [email protected]

REPORT DUE DATE REPORTING PERIOD

APRIL QUARTERLY REPORT 04/10/2017 01/01/2017 - 03/31/2017

I, CORINNA RODRIGUE, CERTIFY THAT THE INFORMATION CONTAINED IN THIS REPORT IS TRUE, ACCURATE, AND COMPLETE TO THE BEST OF MY KNOWLEDGE.

REPORT FILED BY: CORINNA RODRIGUEREPORT FILED ON: 04/07/2017LAST MODIFIED: 04/07/2017PRINTED: 07/05/2017COMMITTEE ID: 8705

2017 April Quarterly Reportfiled on 04/07/2017

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SCHEDULE ACASH CONTRIBUTIONS

• For contributors who gave more that $50, the names, address, occupation, and employer must be reported. If"information requested" is listed instead of occupation and employer, the candidate is waiting to receive thatinformation.

• Cash contributions of $50 or less can be added together and reported as a lump sum.• Contributor Types

1 = Individual 9 = Candidate / Candidate Committee

2 = Candidate/ Spouse/ Domestic Partner 10 = General Treasury Transfer

3 = Commercial Source 11 = Transfer from Previous Campaign

4 = Nonprofit Organization 12 = Contributors giving $50 or less

5 = Political Action Committee 13 = Contributors giving $100 or less

6 = Political Party Committee 14 = Contributors giving $200 or less

7 = Ballot Question Committee 15 = MCEA Payment

8 = Other Candidate/ Candidate Committee 16 = Financial Institution

DATE RECEIVED

CONTRIBUTOR OCCUPATION AND EMPLOYER

TYPE AMOUNT

3/31/2017 LISA SCOTT4411 NW 74TH AVENUEMIAMI, FL 33166

SELF

DESCRIPTION:REAL ESTATE SALES DEVELOPMENT

CONTRIBUTION

1 $15,453.92

TOTAL CASH CONTRIBUTIONS $15,453.92

2017 April Quarterly Reportfiled on 04/07/2017

lorrie.brann

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2016 CAMPAIGN FINANCE REPORT

Commission on Governmental Ethics and Election PracticesMail: 135 State House Station, Augusta, Maine 04333

Office: 45 Memorial Circle, Augusta, MaineWebsite: www.maine.gov/ethics

Phone: 207-287-4179Fax: 207-287-6775

FOR BALLOT QUESTION COMMITTEES

FINANCIAL ACTIVITY SUMMARY

RECEIPTS TOTAL FOR THIS PERIOD TOTAL FOR YEAR

1. CASH CONTRIBUTIONS (SCHEDULE A) $2,955,365.22 $2,955,365.22

2. OTHER CASH RECEIPTS (INTEREST, ETC) $0.00 $0.00

3. LOANS (SCHEDULE C) $0.00 $0.00

4. TOTAL RECEIPTS $2,955,365.22 $2,955,365.22

EXPENDITURES

5. EXPENDITURES (SCHEDULE B) $2,362,823.05 $2,362,823.05

6. LOAN REPAYMENTS (SCHEDULE C) $0.00 $0.00

7. TOTAL PAYMENTS $2,362,823.05 $2,362,823.05

CASH SUMMARY

8. CASH BALANCE AT BEGINNING OF PERIOD $21,904.03

9. PLUS TOTAL RECEIPTS THIS PERIOD (LINE 4) $2,955,365.22

10. MINUS TOTAL PAYMENTS THIS PERIOD (LINE 8) $2,362,823.05

11. CASH BALANCE AT END OF PERIOD $614,446.20

OTHER ACTIVITY

12. IN-KIND CONTRIBUTIONS (SCHEDULE A-1) $0.00 $0.00

13. TOTAL LOAN BALANCE AT END OF PERIOD (SCHEDULE C) $0.00

14. TOTAL UNPAID DEBTS AT END OF PERIOD (SCHEDULE D) $0.00

COMMITTEE TREASURER

HORSERACING JOBS FAIRNESS CHERYL TIMBERLAKE

126 WESTERN AVENUE #157 96 STATE STREET, SUITE 2

AUGUSTA, ME 04332 AUGUSTA, ME 04330

PHONE: (207) 482-9115 PHONE: (207) 623-3800

EMAIL: [email protected] EMAIL: [email protected]

REPORT DUE DATE REPORTING PERIOD

APRIL QUARTERLY REPORT 04/11/2016 01/01/2016 - 03/31/2016

I, CORINNA RODRIGUE, CERTIFY THAT THE INFORMATION CONTAINED IN THIS REPORT IS TRUE, ACCURATE, AND COMPLETE TO THE BEST OF MY KNOWLEDGE.

REPORT FILED BY: CORINNA RODRIGUEREPORT FILED ON: 04/07/2016LAST MODIFIED: 04/20/2017PRINTED: 07/05/2017COMMITTEE ID: 8705

2016 April Quarterly Reportamended on 04/20/2017

lorrie.brann

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SCHEDULE ACASH CONTRIBUTIONS

• For contributors who gave more that $50, the names, address, occupation, and employer must be reported. If"information requested" is listed instead of occupation and employer, the candidate is waiting to receive thatinformation.

• Cash contributions of $50 or less can be added together and reported as a lump sum.• Contributor Types

1 = Individual 9 = Candidate / Candidate Committee

2 = Candidate/ Spouse/ Domestic Partner 10 = General Treasury Transfer

3 = Commercial Source 11 = Transfer from Previous Campaign

4 = Nonprofit Organization 12 = Contributors giving $50 or less

5 = Political Action Committee 13 = Contributors giving $100 or less

6 = Political Party Committee 14 = Contributors giving $200 or less

7 = Ballot Question Committee 15 = MCEA Payment

8 = Other Candidate/ Candidate Committee 16 = Financial Institution

DATE RECEIVED

CONTRIBUTOR OCCUPATION AND EMPLOYER

TYPE AMOUNT


SELF


1 $100,000.00


SELF


1 $130,000.00


SELF


1 $5,000.00


SELF


1 $100,000.00


SELF


1 $70,000.00


SELF


1 $200,000.00


SELF


1 $20,000.00


SELF


1 $30,000.00


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SELF


1 $30,000.00


SELF


1 $200,000.00


SELF


1 $100,000.00


SELF


1 $100,000.00


SELF


1 $300,000.00


SELF


1 $200,000.00


SELF


1 $20,365.22


SELF


1 $800,000.00


SELF


1 $150,000.00


SELF


1 $50,000.00


SELF


1 $100,000.00


SELF


1 $200,000.00


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SELF


1 $50,000.00

TOTAL CASH CONTRIBUTIONS $2,955,365.22


lorrie.brann

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lorrie.brann

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Note by Commission staff: this page from the USPS website shows tracking information for the 6/13/17 mailing to Lisa Scott at 68 SE 6th Street in Miami.

Agent Directory | Key Realty Las Vegas

http://keyrealtynevada.com/find-an-agent/agent-directory/[6/29/2017 9:42:51 AM]

AGENT DIRECTORY

LEMMA ADMASUREALTOR

(702) [email protected]

Website

TAMARA ALLAIN(702) 234-4419

[email protected]

WALTER BANOVICREALTOR


Website

BUD BARELAREALTOR


Website

MICAHEL BERNERREALTOR


Website

PAUL CABRERA(801) 205-0402

[email protected]

EVGENY "EUGENE"CHEREMNYKH

REALTOR

(702) 427-4327

DANNY CHIANGREALTOR


http://keyrealtynevada.com/

http://keyrealtynevada.com/?agent=72

tel:(702) 275-1725



tel:(702) 234-4419



tel:(702) 566-1560


http://www.lasvegasrealtor1.com/


tel:(530) 307-8868



tel:(717) 364-7901



tel:(801) 205-0402




tel:(702) 427-4327


tel:(702) 518-7742


Agent Directory | Key Realty Las Vegas

http://keyrealtynevada.com/find-an-agent/agent-directory/[6/29/2017 9:42:51 AM]

(702)[email protected]

Website


Website

CYNTHIA PITTSREALTOR


Website

KAMRAN RAHBARANREALTOR


Website

CASSANDRA ROBINSONREALTOR


Website

SAHAR SALJOUGUIREALTOR


Website

CHRIS SCHERZINGERREALTOR


Website

LISA SCOTTREALTOR


Website

KEITH SEMERADREALTOR


Website

KIRSTEN SIMONS(805) 267-6302

[email protected]

CLEVETA STAFFNEYREALTOR

(702) 209-6583

JAE "JAY" SUNG RIMREALTOR

(702) 604-9877

tel:(702)-556-9962


http://www.keyrealtylasvegas.com/anthony-park/

tel:(818) 807-7057



tel:(702) 884-4135



tel:(202) 361-8501


http://www.keyrealtylasvegas.com/homes-for-sale-featured/


tel:(702) 666-2786



tel:(415) 815-9079


http://www.keyrealtylasvegas.com/homes-for-sale-featured/


tel:(702) 907-4899


http://www.realestateluxurylistings.com/


tel:(727) 504-4800


http://www.keyrealtylasvegas.com/lisa-scott/


tel:(702) 373-9059


http://www.keyrealtylasvegas.com/keith-semerad/


tel:(805) 267-6302



tel:(702) 209-6583


tel:(702) 604-9877

lorrie.brann

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Note by Commission staff: this page from the USPS website shows tracking information for the 6/13/17 mailing to Lisa Scott at Key Realty in Las Vegas, NV.

STATE OF MAINE COMMISSION ON GOVERNMENTAL ETHICS

AND ELECTION PRACTICES 135 STATE HOUSE STATION

AUGUSTA, MAINE 04333-0135

OFFICE LOCATED AT: 45 MEMORIAL CIRCLE, AUGUSTA, MAINE WEBSITE: WWW.MAINE.GOV/ETHICS

PHONE: (207) 287-4179 FAX: (207) 287-6775

July 2, 2017 By Email Avery T. Day, Esq. Stevens & Day, LLP 82 Winthrop Street Augusta, ME 04330 Dear Mr. Day, Thank you for your inquiry whether Cheryl Timberlake should produce documents by the deadline of July 5, 2017, as requested in the Investigative Subpoena to Produce Records. My understanding is that Ms. Timberlake has gathered the documents and is not raising any legal objections other than attorney-client privilege. Lisa Scott and the Horseracing Jobs Fairness ballot question committee (HJF BQC), however, have moved for an extension of time to raise legal objections to Cheryl Timberlake’s production of documents on the theory that some documents in Ms. Timberlake’s possession are the property of HJF BQC. Ms. Scott’s motion has been scheduled for a meeting of the Commission on Friday, July 14th at 10:00 am. Unfortunately, due to holiday travel, the Commission’s Chair and Counsel are not available for consultation. In light of Ms. Scott’s motion, Ms. Timberlake does not need to provide the documents on the deadline in the subpoena. Please be prepared to deliver some or all of the documents as early as July 14th, as directed by the Commissioners at their July 14th meeting after they have considered Ms. Scott’s motion. Thank you.

Sincerely, Jonathan Wayne Executive Director

cc: By Email

Bruce M. Merrill, Esq. Alexis Fallon, Esq. Margaret E. Matheson, Commission Chair Assistant Attorney General, Commission Counsel

Generated 12.22.2016 | 1

Maine Revised Statutes

Title 21-A: ELECTIONS

Chapter 13: CAMPAIGN REPORTS AND FINANCES

§1003. INVESTIGATIONS BY COMMISSION

1. Investigations. The commission may undertake audits and investigations to determine whether a person has violated this chapter, chapter 14 or the rules of the commission. For this purpose, the commission may subpoena witnesses and records whether located within or without the State and take evidence under oath. A person or entity that fails to obey the lawful subpoena of the commission or to testify before it under oath must be punished by the Superior Court for contempt upon application by the Attorney General on behalf of the commission. The Attorney General may apply on behalf of the commission to the Superior Court or to a court of another state to enforce compliance with a subpoena issued to a nonresident person. Service of any subpoena issued by the commission may be accomplished by:

A. Delivering a duly executed copy of the notice to the person to be served or to a partner or to any officer or agent authorized by appointment or by law to receive service of process on behalf of that person; [2013, c. 162, §1 (NEW).]

B. Delivering a duly executed copy of the notice to the principal place of business in this State of the person to be served; or [2013, c. 162, §1 (NEW).]

C. Mailing by registered or certified mail a duly executed copy of the notice, addressed to the person to be served, to the person's principal place of business. [2013, c. 162, §1 (NEW).]

[ 2013, c. 162, §1 (AMD) .]

2. Investigations requested. A person may apply in writing to the commission requesting an investigation as described in subsection 1. The commission shall review the application and shall make the investigation if the reasons stated for the request show sufficient grounds for believing that a violation may have occurred.

[ 2011, c. 389, §4 (AMD) .]

2-A. Confidentiality.

[ 2001, c. 535, §1 (RP) .]

3. State Auditor. The State Auditor shall assist the commission in making investigations and in other phases of the commission's duties under this chapter, as requested by the commission, and has all necessary powers to carry out these responsibilities.

[ 1999, c. 426, §31 (AMD) .]

3-A. Confidential records. Investigative working papers of the commission are confidential, except that the commission may disclose them to the subject of the audit or investigation, other entities as necessary for the conduct of an audit or investigation and law

MRS Title 21-A §1003. INVESTIGATIONS BY COMMISSION

| 2 Generated 12.22.2016

enforcement and other agencies for purposes of reporting, investigating or prosecuting a criminal or civil violation. For purposes of this subsection, "investigative working papers" means documents, records and other printed or electronic information in the following limited categories that are acquired, prepared or maintained by the commission during the conduct of an audit, investigation or other enforcement matter:

A. Financial information not normally available to the public; [2007, c. 571, §6 (NEW).]

B. Information that, if disclosed, would reveal sensitive political or campaign information belonging to a party committee, political action committee, ballot question committee, candidate or candidate's political committee, or other person who is the subject of an audit, investigation or other enforcement matter, even if the information is in the possession of a vendor or 3rd party; [2013, c. 470, §1 (AMD).]

C. Information or records subject to a privilege against discovery or use as evidence; and [2007, c. 571, §6 (NEW).]

D. Intra-agency or interagency communications related to an audit or investigation, including any record of an interview, meeting or examination. [2013, c. 470, §1 (AMD).]

The commission may disclose investigative working papers or discuss them at a public meeting, except for the information or records subject to a privilege against discovery or use as evidence, if the information or record is materially relevant to a finding of fact, violation or other decision by the commission concerning an audit, investigation or other enforcement matter.

[ 2013, c. 470, §1 (AMD) .]

4. Attorney General. Upon the request of the commission, the Attorney General shall aid in any investigation, provide advice, examine any witnesses before the commission or otherwise assist the commission in the performance of its duties. The commission shall refer any apparent violations of this chapter to the Attorney General for prosecution.

[ 2001, c. 470, §5 (AMD) .]

Generated 10.13.2016 | 1

Maine Revised Statutes

Title 5: ADMINISTRATIVE PROCEDURES AND SERVICES

Chapter 375: MAINE ADMINISTRATIVE PROCEDURE ACT

§9060. SUBPOENAS AND DISCOVERY

1. Proceedings. In any adjudicatory proceeding for which the agency, by independent statute, has authority to issue subpoenas, any party shall be entitled as of right to their issuance in the name of the agency to require the attendance and testimony of witnesses and the production of any evidence relating to any issue of fact in the proceeding.

In any proceeding in which the conducting agency lacks independent authority to issue subpoenas, any party may request the issuance of a subpoena by the agency, and the agency is hereby authorized to issue the same if it first obtains the approval of the Attorney General or of any deputy attorney general. Such approval shall be given when the testimony or evidence sought is relevant to any issue of fact in the proceeding. When properly authorized, subpoenas may be issued by the agency or by any person designated by the agency for that purpose, in accordance with the following provisions:

A. The agency may prescribe the form of subpoena, but it shall adhere, insofar as practicable, to the form used in civil cases before the courts. Witnesses shall be subpoenaed only within the territorial limits and in the same manner as witnesses in civil cases before the courts, unless another territory or manner is provided by law. Witnesses subpoenaed shall be paid the same fees for attendance and travel as in civil cases before the courts. Such fees shall be paid by the party requesting the subpoena. [1977, c. 551, §3 (NEW).]

B. Any subpoena issued shall show on its face the name and address of the party at whose request it was issued. [1977, c. 551, §3 (NEW).]

C. Any witness subpoenaed may petition the agency to vacate or modify a subpoena issued in its name. The agency shall give prompt notice to the party who requested issuance of the subpoena. After such investigation as the agency considers appropriate, it may grant the petition in whole or in part upon a finding that the testimony or the evidence whose production is required does not relate with reasonable directness to any matter in question, or that a subpoena for the attendance of a witness or the production of evidence is unreasonable or oppressive or has not been issued a reasonable period in advance of the time when the evidence is requested. [1977, c. 551, §3 (NEW).]

D. Failure to comply with a subpoena lawfully issued in the name of the agency and not revoked or modified by the agency as provided in this section shall be punishable as for contempt of court. [1977, c. 694, §36 (AMD).]

[ 1977, c. 694, §36 (AMD) .]

2. Adoption of rules. Each agency having power to conduct adjudicatory proceedings may adopt rules providing for discovery to the extent and in the manner appropriate to its proceeding.

[ 1977, c. 551, §3 (NEW) .]

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