UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK UNITED STATES OF AMERICA -v- MICHAEL STEINBERG, No. S4 12 Cr. 121 (RJS) Defendant. JUROR QUESTIONNAIRE November 19, 2013
I. QUESTIONS ABOUT THE CASE 1. Do you believe you know anything about the facts of this case other than what I have told you? 2. Have you heard, read, or seen anything from newspapers, television, radio, the internet, friends, family, or any other source, regarding MICHAEL STEINBERG, the insider trading charges pending against him, or this case? 3. During the relevant time period, MICHAEL STEINBERG was an employee of a fund called SAC Capital. Have you heard, read, or seen anything from newspapers, television, radio, the internet, friends, family, or any other source, regarding SAC Capital or its principal, Steven Cohen? 4. Have you formed an opinion about the charges in the Indictment based on what I described for you? 5. Do you believe that the securities industry should not be regulated by the federal government? 6. Do you believe that purchasing or selling securities based on material, nonpublic information, otherwise known as insider trading, should not be illegal or should not be prosecuted? 7. Does the fact that the charges involve the securities industry or allegations of illegal insider trading make it difficult for you to render a fair verdict? 8. Have you read any recent articles about insider trading investigations or prosecutions? - 1 -
II. PARTIES AND COUNSEL 9. Do you know, or have you had any dealings directly or indirectly, with the defendant, MICHAEL STEINBERG, or with any relative, friend or associate of MICHAEL STEINBERG? 10. Do you know or have you had any dealings, either directly or indirectly, with SAC Capital or Sigma Capital Management? 11. MICHAEL STEINBERG is represented by his attorneys, Barry Berke, Steven Sparling, and Megan Ryan of the law firm Kramer Levin Naftalis and Frankel. Do you know Mr. Berke, Mr. Sparling, Ms. Ryan, or their law firm? Sitting with these attorneys at counsel table will be Raymond McLeod. During the jury selection process, defense counsel will be assisted by their consultant, Julie Blackman. Do you know Mr. McLeod or Ms. Blackman? Have you had any dealings either directly or indirectly with any of these individuals? 12. The United States is represented here, as in all cases where it is a party before the Court, by the United States Attorney for the Southern District of New York, who is Preet Bharara. The conduct of the trial will be in the immediate charge of Assistant United States Attorneys Antonia Apps and Harry Chernoff. Do you know Mr. Bharara, Ms. Apps, or Mr. Chernoff? Sitting with these attorneys will be Special Agent John Radzicki of the Federal Bureau of Investigation ( FBI ), and Kaitlin Paulson and Hilary Nabhan, who are paralegals with the United States Attorney s Office. Do you know Agent Radzicki, Ms. Paulson, or Ms. Nabhan? Have you had any dealings either directly or indirectly with any of these individuals? - 2 -
13. Do you know or have you had any dealings, either directly or indirectly, with any of the following individuals or entities who may be called as witnesses or whose names may come up during the trial? Spyridon (aka, Sam ) Adondakis Jesse Tortora Fayad Abbasi Danny Kuo Victor Dosti David Ganek Michael Alessi Greg Brenner Rob Ray Jon Horvath Sandy Goyal Ruchi Goyal Hyung Lim Chris Choi Dan DeVore Davide Pacchini Mark Anthony Longoria Manosha Karunatilaka Lacey Higgins Mark Lipacis Jeff Greenfield John Lee Ron Dennis Scott Kanowitz Paul Smolich Rebecca Peters Michael Byron Shep Dunlap Frank Molina Larry Polizzotto Kira Scott Lynn Tyson Robert Williams Andrew Byington Saam Farhang Gabe Plotkin Al Porterfield Daniel R. Fischel - 3 -
Dell, Inc. Nvidia Corporation Taiwan Semiconductor Manufacturing Company Advanced Micro Devices Intel Corporation Altera Corporation Sun Microsystems Texas Instruments Inc. Western Digital Corporation Volterra Semiconductor Corporation PMC Sierra, Inc. Ingram Micro Inc. Primary Global Research ( PGR ) VistaResearch TriBeCa Research Morgan Stanley Whittier Trust Company Diamondback Capital Neuberger Berman Prudential Financial, Inc. Level Global Investors Sigma Capital Management III. QUESTIONS SPECIFIC TO THE CASE 14. Have you or your family members or close friends ever worked in the securities industry or ever been employed by a hedge fund, investment firm, or a brokerage firm, or by any other financial institution that was involved in the buying or selling of securities? 15. Have you ever received any training as an investment advisor, financial planner, financial analyst, stock broker or stock analyst? 16. Have you or your family members or close friends ever worked for the United States Securities and Exchange Commission ( SEC ) or other financial regulatory body? 17. Are you or is any member of your family or any close friend employed by a stock exchange? - 4 -
18. Do you have any strong impressions, positive or negative, of people who work on Wall Street or in the financial industry, including at investment banks, mutual funds, or hedge funds? 19. Is there anything that you have seen, read, heard, or experienced with regard to the recent economic crisis that would affect your consideration of this case in any way? 20. Have you or your family members or close friends ever brought a claim against a broker, investment advisor, or other person or firm in the financial industry? 21. In this case, there will be testimony regarding investing in public companies and the role of corporate investor relations departments. Do you have any particular knowledge of any of these subjects through education, work or personal experience, or otherwise? 22. Have you invested in securities, meaning financial instruments like stocks and bonds? If so, would your experience as an investor affect your ability to be fair and impartial in this case? IV. RELATIONSHIP WITH GOVERNMENT 23. Do you know, or have any association professional, business, or social, direct or indirect with any member of the staff of the United States Attorney s Office for the Southern District of New York, the FBI, or the Securities and Exchange Commission, known as the SEC? 24. Are you or is any member of your family or any close friend employed by any other federal department or agency, any law enforcement agency, prosecutor s office, or any securities regulatory agency, whether federal, state, or local? 25. Have you or your family members or close friends ever applied for a position with any law enforcement or securities regulatory agency? - 5 -
26. Do you have any bias, prejudice, or other feelings for or against the United States Department of Justice, the United States Attorney s Office, the FBI, the SEC, or any other law enforcement or securities regulatory agency? V. PRIOR JURY SERVICE 27. Have you ever served as a juror before in any type of case? 28. If so, please state whether each case was in state or federal court, whether it was a civil or criminal matter, and, without telling us what the verdict was, whether a verdict was reached. 29. Have you served as a grand juror, which is different? If you have done so, please indicate where and when you served, and describe, in general terms, the kinds of cases you heard. 30. For those of you who have described prior jury service, is there anything about your prior experiences as a juror that would prevent you from acting as a fair and impartial juror in this case? VI. VICTIM OF A CRIME 31. Have you or your family members or close friends ever been the victim of a crime, or ever pressed criminal charges against someone, or tried to press criminal charges against someone? If you feel uncomfortable answering this question in open court, please say so. If so, please describe the circumstances, including the type of crime, when it happened, and the outcome of any law enforcement action. Is there anything about that experience that could affect your ability to be fair and impartial in this case? 32. To the extent we have not talked about it, have you, or your friends or family members, been the victims of a fraud or financial crime? - 6 -
VII. PRIOR EXPERIENCE WITH THE COURT SYSTEM 33. Are you or is any of your family members or any close friends an attorney or currently or previously employed by a law firm? 34. Have you, or has any member of your family or any close friends, ever participated in a state or federal court case, whether criminal or civil, as a witness, plaintiff, or defendant? If so, what kind of case? And, what was your role in that case? Is there anything about that experience that would prevent you from acting as a fair and impartial juror in this case? 35. Have you or your family members or close friends ever been charged with a crime? If so, is there anything about that experience that would prevent you from acting as a fair and impartial juror in this case? Again, if you would prefer not to give your answer in open court, please say so. 36. Have you or your family members or close friends ever been the subject of an investigation or accusation by any grand jury, state or federal, or any other investigation, or the recipient of a subpoena for any inquiry or investigation? 37. Have you or your family members or close friends ever appeared as a witness, been involved with in an individual or business capacity, or been questioned for any investigation or inquiry by any of the following: the United States Department of Justice, the United States Attorney s Office for the Southern District of New York, the FBI, the SEC, the Commodity Futures Trading Commission ( CFTC ), the Financial Industry Regulatory Authority ( FINRA ), the National Association of Securities Dealers ( NASD ), or the New York Stock Exchange? 38. Have you or your family members or close friends either as an individual or in the course of business, ever been a party to any legal action or dispute with the United States, any - 7 -
officer, department, agency, or employee of the United States, the SEC, the Internal Revenue Service (the IRS ), or the FBI, or had any interest in any such legal action or dispute or its verdict? VIII. WITNESSES AND EVIDENCE 39. Would you be more likely to believe or disbelieve a witness merely because he or she is a law enforcement officer? 40. You will hear testimony in this case from witnesses who were involved in certain activities described in the Indictment and who pleaded guilty to crimes and entered into a cooperation agreement with the government. Do any of you have feelings about such witnesses that would affect your ability to be fair and impartial in this case? 41. You may hear evidence in the form of audio recordings of telephone conversations that were obtained without the knowledge of certain parties to the conversations but with the consent of one of the participants in the conversation. I instruct you that these socalled consensual recordings were lawfully obtained and that the parties to this case are entitled to use the recordings as evidence. Do you nevertheless have any feelings about the use of consensual recordings or wiretaps that would make it difficult for you to be fair and impartial in this case? IX. TRIAL ADMINISTRATION 42. I expect this trial to take approximately four weeks. Do you have any physical or personal problems that would prevent you from serving in this case for the time period that I have indicated? 43. Do you have any difficulty with your sight or hearing that could affect your ability to follow these proceedings? - 8 -
44. Are you taking any medication that would prevent you from giving full attention to all of the evidence at this trial? 45. Do you have any difficulty understanding or reading the English language? 46. Do you have any religious, moral, or ethical beliefs that would prevent you from passing judgment on another person or determining the credibility of any witness? 47. Have you, either through any experience you have had or anything you have seen or read, developed any bias or prejudice, positive or negative, based on race, religion, or national origin that may inhibit your ability to be a fair and impartial juror in this case? 48. I ll need each of you to accept my instructions that you should absolutely avoid reading about this case in the newspapers or listening to or watching any radio, television or news reports, or doing any searches on the Internet through search engines like Google or social media like Facebook, Twitter, and blogs, concerning the case until after it is over. As a juror, you must promise to do no Internet searches on any topics that may seem relevant to this case or on any of the participants in this trial, including the Court and the attorneys. If you think you will be unable to avoid information about this case, please raise your hand. X. BASIC LEGAL PRINCIPLES 49. If you are on the jury, you must accept the law as I explain it, even if you disagree with my explanation of the law. Does anyone believe that he or she would have any difficulty following this instruction? If so, please raise your hand. 50. The fact that the defendant has been indicted cannot be given any weight at all in deciding whether he is innocent or guilty. Can each of you accept this principle of law and follow my instructions in that regard? 51. Under the law, a defendant is presumed to be innocent and cannot be found guilty of the crime charged in the Indictment unless a jury, after having heard all of the evidence in the - 9 -
case, unanimously decides that the evidence proves the defendant s guilt beyond a reasonable doubt. Would you have difficulty accepting and applying this rule of law? If so, please raise your hand. 52. In a criminal case, the burden of proof remains with the prosecution and that burden is proof beyond a reasonable doubt. A person charged with a crime has absolutely no burden to prove that he or she is not guilty. Would you have difficulty accepting and applying this rule of law? If so, please raise your hand. 53. The defendant in this case is charged with acting with others in committing the alleged crimes. Those individuals are not on trial in this case. You may not draw any inference, favorable or unfavorable, towards the government or the defendant from that fact. You also may not speculate as to the reason why other persons are not on trial at this time. Would you have difficulty accepting and applying this rule of law? If so, please raise your hand. 54. A defendant in a criminal case has the right not to testify. The fact that a defendant chooses not to testify may not enter into the jury s deliberation at all. Would you have difficulty accepting and applying this legal principle? If so, please raise your hand. 55. You are required to render a verdict based solely on the evidence or lack of evidence presented in Court, and not on the basis of conjecture, suspicion, sympathy, or prejudice. Do you think you might have difficulty following my instructions in this regard? If so, please raise your hand. 56. Under the law, the question of punishment is for the Court alone for me to decide, and thus the issue of punishment must not enter into your deliberations as to whether the defendant is guilty or not guilty as charged. Would you have difficulty accepting and applying that proposition? If so, please raise your hand. - 10 -
57. It is not a particularly pleasant duty to find another individual guilty of committing a crime. Do you feel that even if the evidence established the defendant s guilt beyond a reasonable doubt, you might not be able to render a guilty verdict against him for reasons unrelated to the law and the evidence? Conversely, do you feel or believe that, if the evidence does not establish or prove the defendant s guilt beyond a reasonable doubt, you would for whatever reason be unable or unwilling to render a verdict of not guilty? 58. Do you believe that our system of criminal justice improperly favors either the prosecution or the defense? 59. Does anyone think they would have difficulty applying the rule of law that the government is entitled to no special consideration simply because the case is brought in the name of the United States? 60. Apart from the questions that I have asked, is there anything on your mind, or anything else that I have not gotten to, that casts some doubt in your own mind as to whether or not you can be fair and impartial in this case? XI. QUESTIONS FOR INDIVIDUAL JURORS 61. What is your county of residence? How long have you resided there? (If fewer than five years, the same questions with respect to prior residence.) 62. What is the highest level of schooling you have completed? 63. What is your present employment? Where is your place of work? How long have you held your current position? (If fewer than five years, the same questions with respect to prior employment.) If retired, what did you do before? 64. Do you have a spouse or partner? If so, how is he or she employed? 65. Do you have any children? How old are they? If they are adults, how are they employed? - 11 -
66. Is there anyone else living in your household? Who? What do they do for a living? 67. What types of newspapers, magazines, books, and news or business websites do you read on a regular basis? 68. What television programs do you watch on a regular basis? 69. Do you belong to or hold any leadership positions in any associations or clubs or unions? If so, please describe. 70. What do you do in your spare time? XII. SUMMARY QUESTION As you can tell from my prior questions, the fundamental issue here is whether there is anything in your personal history or life experience that would prevent you from acting as a fair and impartial juror. So let me ask you one final time, is there anything whether I have asked specifically about it or not that would affect your ability to render a fair and impartial verdict in this case? - 12 -