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Commonwealth of Massachusetts

No. 97-024 BD

IN RE: JAMES N. ELLIS

S.J.C. Judgment of Disbarment entered by Justice Abrams on November 16, 2000. 1

MEMORANDUM OF DECISION

The respondent pleaded to twenty-three (23) indictments, including convictions of larceny over $250, motor vehicle insurance fraud, workers' compensation insurance fraud, conspiracy to commit these crimes, and crimes involving unlicensed lending of money and the charging of excessive interest. The respondent's crimes are "serious" as defined in S.J.C. Rule 4:01, § 12(3), because they involve fraud and deceit. I accept the respondent's resignation from the Bar of the Commonwealth of Massachusetts. See affixed affidavit.

By the Court,

RUTH I. ABRAMS
Associate Justice
Supreme Judicial Court

DATED: 16 November 2000


COMMONWEALTH OF MASSACHUSETTS

SUFFOLK, SS.

SUPREME JUDICIAL COURT
FOR SUFFOLK COUNTY
No. 97-024 BD

IN THE MATTER OF JAMES N. ELLIS, JR.

AFFIDAVIT OF JAMES N. ELLIS, JR.

I, James N. Ellis, Jr., being duly sworn, hereby depose and state the following, pursuant to Supreme Judicial Court Rule 4:01, §15:

1. I, James N. Ellis, Jr., am an attorney duly licensed to practice law in the Commonwealth of Massachusetts.

2. I am aware that there is currently pending an investigation into allegations that I have been guilty of misconduct in violation of the Rules of the Supreme Judicial Court regulating the practice of law.

3. The nature of this misconduct involves my commission of various crimes.

4. On September 22, 2000, I pleaded guilty to twenty-three indictments which included convictions of larceny of $250, motor vehicle insurance fraud, workers' compensation insurance fraud, conspiracy to commit these crimes, and crimes involving the unlicensed lending of money and charging of excessive interest thereof. The material facts upon which the convictions are based are set forth in the attached statements. These statements are true and complete statements reflecting the factual basis for the convictions.

5. I desire to resign from the practice of law in Massachusetts.

6. I hereby tender my resignation freely and voluntarily; I am not, and have not been, subject to any coercion or duress in doing so; and I am fully aware of the implications of submitting this resignation.

7. I hereby waive any right to a hearing provided by the Supreme Judicial Court Rule 4:01.

Signed under the penalties of perjury this 25th day of September, 2000.

Dated
James N. Ellis, Jr.

Subscribed and sworn under penalties of perjury, before me this 25th day of September, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
my Commission expires November 5, 2004


James N. Ellis, Jr.

No. 97-0562 (5) Unlicensed Loan Business (G.L. c. 140, § 110)
No. 97-0562 (6) Unlicensed Loan Business (G.L. c. 140, § 110)
No. 97-0562 (7) Usurious Loan (G.L. c. 271, § 49(a))
No. 97-0562 (8) Usurious Loan (G.L. c. 271, § 49(a))
No. 97-0562 (9) Usurious Loan (G.L. c. 271, § 49(a))
No. 97-0562 (10) Conspiracy (G.L. c. 274, § 7)

From approximately January 1, 1991 to approximately December 31, 1992, in Worcester, I, James N. Ellis, Jr., indirectly engaged, and agreed with Nicholas Ellis, James N. Ellis, Sr., and others to so engage, in the business of the Cleo Company in making loans which were in the amount of under $6000 and as to which the aggregate interest and expense charged the borrower was in excess of 12% per year, without a license to do so as required by G.L. c. 140, § 96. The Cleo Company charged a $25 application fee as well as a 12% interest rate; the addition of the fee to the interest put the company out of compliance with the statute. I indirectly engaged in this business by contributing capital to the company and by referring and recommending borrowers to it many of which recommendations were followed. The company mostly operated out of the building that housed Ellis & Ellis and Lenora Ellis, the office manager of the law firm, also managed the company and received a salary from it. Some other employees of Ellis & Ellis from time to time worked on Cleo Company business during business hours. The company regularly lent money to clients and employees of Ellis & Ellis, among others. Loans were secured by promissory notes. The majority of loans I recommended were to clients of Ellis & Ellis. I knew that these loans were usually paid off out of the proceeds of a client's claim or law suit, although that was not a term or condition of the loan being granted.

Among the loans extended by the Cleo Company, and which I indirectly engaged in . making, were two loans on the Cleo Company's account in the amount of $200 and $250, respectively, made to Ernest Daigle, an Ellis & Ellis client, in which the amount contracted for, in aggregated interest and fees, exceeded 20% per year on the sums loaned. The addition of the application fee, in view of the amounts loaned, put the loans over the 20% maximum. I referred Daigle to the Cleo Company and recommended that he be granted the loans.

Among the loans extended by the Cleo Company, and which I indirectly engaged in making, was a loan, on the account of the Cleo Company in the amount of $250, made to Christine Shea, an Ellis & Ellis client, in which the amount contracted for, in aggregated interest and fees, exceeded 20% per year on the sum loaned. The addition of the application fee, in view of the amount loaned, put the loan over the 20% maximum. I referred Shea to the Cleo Company and recommended that she be granted the loan.

At no time did I or any other person associated with the Cleo Company, apply to the Massachusetts Division of Banks for a license to run this loan business and no such license was ever granted, nor did we notify the Office of the Attorney General of loans with interest rates in excess of 20%.

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ____________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stem, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this 5th day of October, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
my Commission expires ___________


James N. Ellis. Jr.

No. 98-0355 (3) Motor Vehicle Insurance Fraud (G.L. c. 266, § 111B)
No. 98-0355 (4) Motor Vehicle Insurance Fraud (G.L. c. 266, § 111 B)
No. 98-0355 (7) Larceny Over $250 (G.L. c. 266, § 30)
No. 98-0355 (8) Larceny Over $265 (G.L. c. 266, § 30)
No. 98-0355 (12) Conspiracy to Commit a Crime (G.L. c. 274, § 7)

I, James N. Ellis, Jr., and others in my Worcester law firm of Ellis & Ellis, including Michael Bryant and Nicholas J. Ellis, represented Jay Rosenfield in a claim for personal injuries allegedly received in a motor vehicle accident of May 5, 1992 against motor vehicle insurance policies issued by National Grange Mutual Insurance Company and Liberty Mutual Insurance Company. During the course of my representation of Rosenfield, I agreed with Rosenfield to commit the crimes of larceny over $250.00 against the National Grange Mutual Insurance Company and Liberty Mutual Insurance Company. I intended to deceive both National Grange and Liberty Mutual and Rosenfield and I combined to knowingly present aid or abet in, or procure the presentation to both National Grange and Liberty Mutual of false or fraudulent material statements intending that both companies rely on these false statements and part with money as a result.

Rosenfield was treated by Dr. Mario Moretti for injuries which he allegedly sustained in this accident. Dr. Moretti completed and sent to me reports dated November 24, 1992 and December 29, 1992 which did not disclose several of Rosenfield's prior injuries to the same body parts that Rosenfield claimed to have injured on May 5, 1992. I, and others in my office, including Michael Bryant and Nicholas J. Ellis, had represented Rosenfield on insurance claims arising out of those prior injuries and I knew of those prior injuries. I also knew that Dr. Moretti had treated Rosenfield for prior injuries. I knew that the statements in Dr. Moretti's November 24, 1992 and December 29, 1992 reports concerning Rosenfield's prior injuries were false. Despite my knowledge that these medical reports contained false information that was material to the claims for personal injury protection benefits and bodily injury benefits that were filed with National Grange and Liberty Mutual, I instructed employees of Ellis & Ellis to submit these reports to National Grange and Liberty Mutual in support of Rosenfield's claims for benefits.

These false medical reports were material to National Grange's and Liberty Mutual's decisions how to handle and whether to pay the claims and I intended that National Grange and Liberty Mutual would rely on them in their handling of the claims. National Grange and Liberty Mutual did rely on these false reports and Liberty Mutual parted with over $3,500.00 as a result and National Grange parted with over $11,000 as a result. My representation of Rosenfield on these claims continued through June 30, 1993.

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stern, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: _____________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this _________ day of July, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
My Commission expires ___________


James N. Ellis. Jr.

No. 98-0355 (5) Motor Vehicle Insurance Fraud (G.L. c. 266, § 111B)
No. 98-0355 (10) Attempted Larceny (.G.L. c. 274, § 6)
No. 98-0355 (13) Conspiracy to Commit a Crime (G.L. c. 274, § 7)

I, James N. Ellis, Jr., and others in my law offce, including Michael Bryant and Nicholas J. Ellis, represented Jay Rosenfield in a claim, for compensation for personal injuries allegedly received in a motor vehicle accident on October 25, 1993, against a motor vehicle insurance policy issued by the Liberty Mutual Insurance Company. During the course of my representation of Rosenfield, I agreed and combined with Rosenfield and/or others to commit the crime of larceny over $250.00. Rosenfield and I intended to deceive Liberty Mutual and we knowingly presented to, aided or abetted in or procured the presentation to it of false or fraudulent statements intending that Liberty Mutual rely on these false statements and part with money as a result.

During the pendency of this claim, which was for personal injuries and medical payments for injuries to Rosenfield's head, neck and right knee, Rosenfield was examined by Dr. Mark Calkins on behalf of Liberty Mutual. In prior claims in which I represented Rosenfield I had combined with him to forward to insurers false statements denying that he had been injured prior to those claims. In a report dated July 26, 1994, Dr. Calkins wrote that Rosenfield had been in a motor vehicle accident in 1987 during which he injured his knee and underwent knee surgery. Dr. Calkins wrote that Rosenfield had had no problems with his knee since it had healed from the surgery. Dr. Calkins's report did not disclose that Rosenfield had injured his head, neck and back on November 2, 1993 or that Rosenfield had previously injured his right knee on several occasions. I, and others in my office, had represented Rosenfield on insurance claims arising out of these prior injuries and I knew of these prior injuries. I knew that Rosenfield's statements as reported in Dr. Calkins's July 26, 1994 report concerning Rosenfield's prior injuries were false. Despite my knowledge that this medical report contained false information that was material to the claim for personal injury and medical payments, and my knowledge that Liberty Mutual would receive this report and rely on it during the handling of this claim, I did not advise Liberty Mutual of the false statements in this report. I had previously represented Rosenfield, and continued to represent him, on claims during which Rosenfield had made false statements to insurers and medical providers regarding his prior medical history, I helped him obtain money from insurers involved in his claims, and generally I would not reveal or correct false statements he made to insurers or medical providers. I continued to represent him on this claim.

These false statements concerning Rosenfield's medical history were material to Liberty Mutual's handling of the claim. I did not correct them, and assisted Rosenfield in this claim, because I intended that Liberty Mutualwould rely on them and part with money as a result. Liberty Mutual refused to pay any money on this claim. .

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stern, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: _____________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this _________ day of July, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
My Commission expires ___________


James N. Ellis. Jr.

No. 97-0562 (1) Workers' Compensation Fraud (G.L. C. 152, § 14(3))
No. 97-0562 (2) Larceny Over $250 (G.L. c. 266, § 30)
No. 97-0562 (3) Conspiracy to Commit (G.L. c. 274, § 7)

I, James N. Ellis, Jr., represented James Economou for workers' compensation benefits for a workplace accident that occurred on October 9, 1992 against Donuts N' More's workers' compensation insurer, U.S.F.&G. Insurance Company. During the course of my representation of Economou, I agreed with Economou to commit the crimes of workers' compensation fraud and larceny over $250.00. In doing so, Economou and I together knowingly assisted, abetted, solicited or conspired with each other to make false or misleading statements and we knowingly concealed or failed to disclose knowledge of the occurrence of any event affecting payment, coverage or other benefit under Chapter 152 of the Massachusetts General Laws, for the purpose of obtaining such payment, coverage or benefit.

During the pendency of Economou's claim, I, or employees at my Worcester law firm, Ellis & Ellis, who acted at my direction, informed the Department of Industrial Accidents (DIA) and U.S.F.&G. that Economou was totally disabled from October 9, 1992 to February 21, 1993 and that he was partially disabled from February 22, 1993 through April 20, 1993, without informing them of the following: I knew that Economou had filed an application with the Department of Public Safety for a license as a private investigator on December 15, 1992 and that he was fully capable of working as a process server sometime shortly thereafter. I knew that at the end of December, 1992 or the beginning of January, 1993, Economou actually began to work as a process server at Probe Limited, and that he worked on cases for Ellis & Ellis.

As a result of these false statements concerning Economou's alleged inability to work, upon which Economou and I intended U.S.F.&G.rely, U.S.F.&G did so rely and parted with money in excess of $250.00. These false statements were material to U.S.F.&G.'s handling of the claim and payment of money.

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stern, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: _____________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this _________ day of July, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
My Commission expires ___________


James N. Ellis. Jr.

No. 98-0355 (1) Workers' Compensation Fraud (G.L. c. 152, § 14(3))
No. 09-0355 (9) Larceny Over $250.00 (G.L. c. 266, § 30)
No. 09-0355 (14) Conspiracy to Commit a Crime (G.L. c. 274, § 7)

I, James N. Ellis, Jr., represented Jay Rosenfield in a claim for workeios' compensation benefits for an accident that allegedly occurred on the job at Connorstone, Inc. on November 2, 1993. Connorstone's workers' compensation insurer was Wausau Insurance Company. During the course of my representation of Rosenfield, I agreed with Rosenfield to combine together to submit false or misleading statements, representations, or submissions to the Wausau Insurance Company, and/or to knowingly assist or abet Rosenfield to make such false or misleading statements. We intended to deceive Wausau.

During the course of this claim, Rosenfield, with my knowledge, knowingly and repeatedly made to treating and examining physicians false statements denying a prior history of neck or head injuries or any prior history of injuries. I knew that reports containing these denials would be sent to Wausau. I knew that Rosenfield had a significant history of prior injuries, including injuries purportedly sustained in a motor vehicle accident one week before the claimed injuries of November 2, 1993, but I never revealed this information to Wausau.

On December 2, 1993, Dr. Vincent Birbiglia authored a report concerning his medical examination of Rosenfield concerning the November 2, 1993 accident. In this report, Dr. Birbiglia identified his treatment of Rosenfield for a 1989 neck injury. Otherwise, Dr. Birbiglia reported that Rosenfield's prior history was "negative." I knew that Rosenfield had a significant previous history of head, back and neck injuries, having represented him on several prior insurance claims for such injuries. I read the report of Dr. Birbiglia and I knew that Rosenfield had made false statements regarding his previous history of injuries. I did not disclose to Wausau my knowledge. I instructed Ellis & Ellis employees to forward this report to Wausau and I continued to represent Rosenfield.

Wausau initially paid Rosenfield temporary total disability benefits of $192.00 per week, which was later reduced to partial disability payments of $42.00 per week.

On December. 14, 1993, Dr. Anthony DiStefano sent Ellis & Ellis a report of his examination of Rosenfield. During the examination, according to Dr. DiStefano's report, Rosenfield told Dr. DiStefano that he was in "good health" prior to the accident of November 2, 1993. I read this report. I directed employees of Ellis & Ellis to send this report to Wausau even though I knew that it contained this false statement since I knew of Rosenfield's prior history of injury, including his October 25, 1993 motor vehicle accident. I intended that Wausau rely on all of these false statements.

On November 7, 1995, Dr. Robert Moore examined Rosenfield and wrote a report which he sent to me which said that Rosenfield denied to Dr. Moore that he had had any prior similar symptoms to his neck. I reviewed this report and I instructed employees of Ellis & Ellis to send this report to Wausau. I knew it contained false statements and I did not disclose to Wausau the facts as I knew them, however, at that time I knew that Wausau already was aware of Rosenfield's prior injuries.

This information was material and would have affected payment of this claim, which was finally resolved on or about June 10, 1998. Wausau did rely on these statements and as a result parted with significantly more than $250.00.

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stern, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: _____________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this _________ day of July, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
My Commission expires ___________


James N. Ellis, Jr.

No. 98-0355 (2) Motor Vehicle Insurance Fraud (G.L. c. 266, § 111B)
No. 98-0355 (6) Larceny Over $250 (G.L. c. 266, § 30)
No. 98-0355 (11) Conspiracy to Commit a Crime (G.L. c. 274, § 7)

I, James N. Ellis, Jr., and others in my law office, including Michael Bryant, represented Jay Rosenfield in a claim for compensation for personal injuries allegedly received in a motor vehicle accident on April 20, 1992 against a motor vehicle insurance policy issued by the National Grange Mutual Insurance Company. During the course of my representation of Rosenfield, I agreed and combined together with Rosenfield to commit the crime of larceny over $250.00. Rosenfield and I knowingly and intentionally made or forwarded false statements and representations to National Grange in order to deceive National Grange of money.

Rosenfield was treated by Dr. Mario Moretti for injuries which he allegedly sustained in this accident. Dr. Moretti completed and sent to me a report dated February 3, 1993 which did not disclose that Rosenfield had sustained injuries to the same body parts on three occasions prior to April 20, 1992. I, and others in my office, had represented Rosenfield on insurance claims arising out of those prior injuries and I knew of those prior injuries. I also knew that Dr. Moretti had previously treated Rosenfield for earlier injuries. I knew that the statement in Dr. Moretti's February 3, 1993 report that the only "similar condition" that Rosenfield had ever experienced was a cervical neck sprain in 1988 was false. Despite my knowledge that the medical report contained false information that was material to National Grange's handling of the claim for personal injury protection benefits, I instructed employees of Ellis & Ellis to submit this report to National Grange in support of a claim for payment of Rosenfield's medical expenses.

This false medical report was material to National Grange's handling of the claim and I intended that National Grange would rely on it in the handling of the claim, which continued through June 30, 1993. National Grange did rely on this false report and parted with over $250.00 as a result.

Where the above indicates knowledge of the defendant, it means that he knew or reasonably should have known.

I, James N. Ellis, Jr., depose and state, under penalties of perjury, that the foregoing is true and accurate to the best of my information, knowledge, and belief.

Dated: ___________

Signed: ________________________
James N. Ellis, Jr.

I, James N. Ellis, Jr., state that I have reviewed and discussed the contents of the foregoing statement with my attorneys, Michael P. Angelini and Max D. Stern, and I understand and agree that they are true. I am aware of and understand the provisions of Massachusetts Rule of Criminal Procedure 12 (f), I have discussed its provisions with my attorneys, and I knowingly and voluntarily waive the rights and protections afforded me by Rule 12 (f) and any corresponding constitutional provision, rule of law, or rule of evidence. Specifically, I agree that the foregoing factual statement, and my signature hereto, shall be admissible in evidence for any purpose in any criminal proceeding, including in any prosecution of the indictments or offenses referenced above. No threats have been made to induce me to make this waiver and I do so voluntarily, of my own free will, and intending to be legally bound.

Dated: _____________

Signed: ________________________
James N. Ellis, Jr.

Subscribed and sworn to under penalties of perjury, before me this _________ day of July, 2000 by James N. Ellis, Jr., who personally appeared before me,

___ who is personally known to me .
___ whose identity I proved on the basis of ____________________.
___ whose identity I proved on the oath/affirmation of __________________, a credible witness.

and who executed the foregoing document, and acknowledged that he executed it as his free act and deed.

_______________________________
Signature of Notary Public

_______________________________
Name of Notary printed, typed or stamped

Notary Public, Commonwealth of Massachusetts
My Commission expires ___________

1 The complete Order of the Court is available by contacting the Clerk of the Supreme Judicial Court for Suffolk County.



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