Page
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UNITED STATES SECURITIES ANU EXCHANGE COMMISSION
I)
In the Matter of: File
GIG-509
No.
GIG-509
WITNESS: Number ~
PAGES: 1 through 17
D ORIGINAL
and Exchange Commission
NE
PLACE:
Securities
100 Room F Street, 3365
Washington,
DC 20549
DATE:
Monday,
March 2,
2009
The above-entitled
to notice, at 2:45 p.m.
matter
came on~or
hearing,
pursuant
··; ·~-: · ··::-:·---::;·
·:
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1 APPEARANCES:
2
3
4
5 6 7 8
9
On behalf
of the
Securities
Inspector
Investigator
and Exchange
General
Commission:
H. DAVID KOTZ,
HEIDI STEIBER,
CHRISTOPHER O~fice Securities
100 F Street,
WILSON, Inspector and
Investigator General Commission
of
Exchange
NE
10
11
Washington,
DC 20549
12
On
behalf
Jane Doe
of
the
Witness:
13
14 15 16 17 18 19 20 21 22 23 24 25
, PRO SE (Via
Telephone)
f
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5 6 7 8 9 10
11
WITNESS:
Jane Doe
EXAMINATION
4
12 13
14
15
16
17 18 19 20 21 22 23
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25
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MR. KOTZ:
We're
on
the
record
at
2:45
on
March
2,
3
4 5 6
7 8
9
2009
Office
at
the
of
United
Inspector
States
General.
Securities
We have at
and
Jane Doe
Exchange
Commission,
who And is I'm
participating going to swear
THE Whereupon,
telephonically you in,
Jane Doe
1-305-858-8284. the phone.
over
WITNESS:
Okay.
Jane Doe
10
11
12 13
was
was
called
examined
as
a witness
and testified
and,
as
having
follows:
been
first
duly
sworn,
EXAMINATION BY MR. KOTZ:
14
15 16 record?
Q
Could
you
state
and
spell
your
full
name
for
the
Jane Doe
A
It's
Jane Doe Jane Doe
17
18
Q
A
And
Jane Doe
how
do
you
spell
is
that
19
Q
My name
is
David
Kotz,
and
I am the
Inspector
20
21 22 23 24
25
General
Commission. Inspector
of
the
United
This is
States
an
Securities
by
and
the
Exchange
Office of
investigation Number ask you OIG-509. certain oath.
will
General, I'm going
Case to
questions. You
record
You're see the court
' going
report
to
but
provide
she is
answers
here,
under
and she
can't
and
transcribe
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6
and misleading testimony under oath is a serious or~ense. the evidence shows that the testimony you've given is false,
If
13 we may refer it appropriately.
4 instructions?
Do you understand those
5
A
I do understand
them.
6 7 8
9
Q
.Okay. I think I'm going to just dive right into
the issues that we have. Let me also say for the record, my colleagues Heidi Steiber and Chris Wilson are here with me
and may jump in as necessary.
10
11 time
Let me just start with asking you when the first
you met Eric Swanson?
12
A
We met end of January
of '05.
13
14
15
Q
romantic
A
Personal Privacy
And did there come a time when you developed a
relationship
Immediately,
with Mr. Swanson?
yeah.
16
17
18
19
20
21
22 23 24
25
Q A
And then did you becomeengaged to Mr. Swanson? Wedid. Wewere engaged.
Personal Privacy
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Personal Privacy
7
x3
q 5
6 7
8
Personal Privacy
Q
A
So did you end up getting
No.
married
to Mr. Swanson?
9 10
11 12
13
14
15 off
Q
the
And do you remember when you guys decided
engagement?
to break
16
17
A
wedding
Personal Privacy
It was about maybe two to three
was canceled.
weeks after
the
18 19 20
21
22
23 contact
Q
And then since you moved out have you kept in
with Mr. Swanson?
24
A
No,
we have
not.
25
Q
When was the
first
time
you heard
the
name
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9
q industries A
Maybe this would refr-esh your recollection. breakfasts, No, I don't. like these get-toyethers of the
Do YOU
recall~Eric saying anything about going to securities
securities industries organizedby ShanaMadoTf?
I mean, he went to tons of these all
year long, you know,tons of these business trips.
7 don't recall any of them.
Sor no, I
8
9
Q
something
Washe excited about these business trips,
he looked forward to?
io
12
A
Q
Yeah, he liked the industry.
And it's
He liked making
11 presentations- Youknow,he just really loved whathe did.
a bit of a delicate question, but I have
13
14
15
to ask, were there any a time where you suspected that Eric
Swansonwas involved or interested in somebodyelse while you
guys were to4ether?
16
17 when
A
No, not at all.
together.
Wespent all our time together
we were
18
19
20
Q
A
So you think you would knowif he was interested in
Yeah, absolutely.
somebody else during that period of time?
21
Q
What about ex-girlfriends?
Did he ever mention
22 anythingabout an ex-girlfriend or a girl that he knew prior
23 to you guys, prior to January 2005, that might have been in,
24 you know, a prominent family like ShanaMadoff? 25 A No. I do remember there was somethingserious with
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2
the ex-girlfriend
Madoff.
who was
but no, not with Shana
3
4 5
Q
'A CZ
Did you ever meet John McCarthy?
His Yeah. boss?
6
A
Once,
I believe.
7
Q
Did you have any impression
of him?
8
9
10 really.
A
Just a regular guy. Wewent to his house.
And that's
He was
showing us around his renovations.
about it
11 12
Q A
And did Eric -- what did Eric say about him? He thought well of him. He respected him.
13
14
However, I think he felt he needed to get out of his shsdow
for his career purposes.
15
16
Q
familiar
Whatabout Alex Sadowsky?Doesthat namering
to you?
17 19
21
A Q
It does, but I don't really knowin what context. At any point did Eric talk about how he wanted to
more money?
18 I just kind of recall the name,but I don't really know why. 20 leave the SEC,get a job in the securities industry, maybe
make a little
22
23 24
25
A
Yes, I think that is exactly what I was talking
He just needed to get out of John's shadow.
about before.
new career.
You know, he went as far as he could with SECand he needed a
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A myself
it
Yeah. because
And I knew how upset I think we both thought
of that I think
he was, and ~ was upset it was something
able after after to that that.
that
wasn't. faster
And because than
we were shortly shortly both
rebound from But what
normal. and I started the
So he dated dating
I read,
immediately
Q So that
after
break-up
that
we were
--
devastated.
information
8 9 10 11
12
13
A that's Q afterward,
from your
A
We both really the
e-mailed extent the just of
back our
and
forth
regarding afterward. him dating or
that,
but
relationship about the
And then that
own
No,
information got from
you
newspaper
that's
knowledge?
that was from the newspaper.
14 15
16
Q the time
All period
with
right. that
Shana
But you
Madoff?
you're knew Eric
pretty
clear
that have
at
least
he couldn't
been
involve~
17
A
Absolutely
not.
I knew exactly
where
he was and
we
18
19
spent
there.
all
of our time together
then
except
for his trips
I don't
here and
think he
And even
I knew where
he was.
20
21
was doing
anything
she's
shady.
seeing
I think
is seeing
a woman probably
somebody else.
knows
And
when someone
22
23
24
especially
didn't
relationship.
because
any
our relationship
until the
was so new and really
latter part of the
have
issues
25
Q
And you
think
if
prior
to
the
time
you met
he had
MADOFF
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