UNITED STATES DISTRICT COURT
DISTRICT OF CONNECTICUT
SECURITIES AND EXCHANGE
COMMISSION,
Plaintiff,
v.
HOMERO JOSHUA GARZA, et al.,
Defendants.

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3:15 CV 1760 (JAM)

ANSWER

Defendant Homero Joshua Garza (“Defendant”), by his attorneys, Ballard Spahr
LLP, for his Answer to the above-captioned Complaint, states:
1.

Defendant is aware of an investigation by the United States Attorney for

the District of Connecticut into the same subject matter as alleged in the Complaint.
2.

Accordingly, on the advice of counsel, Defendant respectfully declines to

answer the allegations set forth in the Complaint, based on his rights under the Fifth Amendment
to the United States Constitution.
3.

Defendant reserves the right to amend this Answer upon the resolution of

any criminal investigation or related proceedings.
Dated: New York, New York
February 7, 2017
BALLARD SPAHR LLP

By: /s/ Marjorie J. Peerce
Marjorie J. Peerce (pro hac vice)
919 Third Avenue
New York, NY 10022
Tel: 212-223-0200
Fax: 212-223-1942
peercem@ballardspahr.com

 Attorneys for Defendant H0mer0 Joshua Garza