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Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 1 of 15

--~.

"

'201& JUL -I PH 2: 62

SOUTHERN DiSTRiCT Of CAllF{)Rt lA

CLERK US DiSTRICT COUI'!

5
6
7

UNITED STATES DISTRICT COURT


8

SOUTHERN DISTRICT OF
9

~LIFORNIA
1

March 2015 Grand Jury


10
11

UNITED STATES OF AMERICA,

12

14

I N D I C T MEN
---r-

Plaintiff,

13

JEFFREY R. SPANIER,
Defendant.

16
17
18
19

~--------------------------------~

20

The Grand Jury charges:

21

INTRODUCTORY ALLEGATIONS

22

At all times material to this Indictment

23

1.

24

Title ~8, U.S.C., Sec. 371 Conspiracy; Title 18, U.S.C.,


Sec. 1341 - Mail Fraud; Title 18,
U.S.C., Sec. 1343 - Wire Fraud;
Title 15, U.S.C., Sees. 78j (b) and
78ff - Securities Fraud; Title 18,
U.S.C., Sec. 2 - Aiding and
Abetting; Title 18, U.S.C.,
Sees. 981(a) (1) (C), 984, and
Title 28, U.S.C., Sec. 2461(c) Criminal Forfeiture

v.

15

16CR 154 5 BEN

Case No.

Defendant JEFFREY R. SPANIER was a resident of Delray Beach,

Florida.

25

2.

Amerifund
under

the

Capital
laws

the

State

LLC

26

formed

27

controlled by defendant JEFFREY R. SPANIER.

28

//
MGW:nlv(l) :San Diego
7/1/16

of

Finance,

of

("ACF")

was

Florida

and

a
was

corporation
owned

and

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 2 of 15

3.

Amerifund
the

laws

of

Group,
the

LLC

formed

controlled by defendant JEFFREY R. SPANIER.

under

Capital

State

of

("ACG")

was

Florida

and

was

ACF and ACG purported to operate a

4.

corporation
owned and

stock lending business

that specialized in originating stock loans for business executives.

Defendant JEFFREY R.

ACG were direct lenders, and also served as the "retail" arm of other

lenders,

Investments,

10

SPANIER,

represented to the public that ACF and

including but not limited to, Argyll Equities, LLC, SW Argyll


LLC, Ayuda Funding,

LLC, and Amerifund Capital Holdings,

LLC.
Argyll Equities, LLC was a corporation formed under the laws

5.

11

12

of

the

State

of

13

California and Savannah, Georgia.

14

(now

15

McClain, Jr., charged elsewhere,

16

Jr.")

deceased)

Texas

(hereinafter

6.

SW Argyll

laws

of

17

the

State

the

19

San Diego,

20

Miceli and McClain, Jr.


7.

California

The Argyll

of
and

to

do

business

in

San Diego,

Its principals were James T. Miceli

referred

to

as

"Miceli")

and

Douglas

(hereinafter referred to as "McClain,

Investments,

18

21

and purported

LLC was
and

Texas

Savannah,

corporation formed under

purported
Georgia.

to
Its

do

business

principals

in

were

entities referred to in paragraphs 5 through 6

22

(hereinafter,

23

to the public by defendant JEFFREY R.

24

institutional lender with significant assets that were in the business

25

of

26

which

27

collateral for the loans ARGYLL made.

28

making

collectively referred to as

loans

would

to

accept

corporate
stock

SPANIER,

executives

(either

"ARGYLL"), were represented

and

restricted

and others,

other
or

to be an

individuals

and

unrestricted)

as

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 3 of 15

Count 1

[18 U.S.C. 371]

Conspiracy

8.

are

herein.

9.

The allegations set forth in paragraphs 1

realleged

and

incorporated by

reference

as

if

through 7 above
fully

set

forth

Beginning in at least February 2003 and continuing up to and

including October 2S, 2013, within the Southern District of California

and

elsewhere,

defendant

JEFFREY

R.

SPANIER,

T.

deceased),

II

conspirators,

12

persons

known

13

against

the

14

Title 18,

IS

of Title 18,

16

in violation of Title IS,

17

and Title 17, Code of Federal Regulations, Section 240.10b-S.


10.

knowingly
and

United

conspired

unknown

to

States,

United States Code,

and

the

to

charged elsewhere,

Miceli

10

18

and Douglas McClain, Jr.,

James

agreed

grand

wit:

jury,

mail

Section 1341;

United States Code,

with
to

fraud,

and other co-

each

other,

commit
in

wire fraud,

(now

offenses

violation

of

in violation

Section 1343; and securities fraud,

United States Code,

Sections 78j and 78ff,

It was the purpose and object of the conspiracy to devise a

19

scheme and artifice

20

clients

21

pretenses, representations, promises and omissions of material fact.

to defraud and obtain money from borrowers and

of ACF and ACG by means

of

false,

fraudulent

22

Methods and Means by Which Objects of the

23

Conspiracy Were to be Accomplished

24

11.

2S

thereof,

26

and means, among others:

27

II

28

and

and material

In furtherance of the conspiracy and to effect the obj ects


defendant JEFFREY R.

SPANIER utilized the following methods

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 4 of 15

Defendant JEFFREY R.

a.

SPANIER,

and others,

would induce

potential borrowers to pledge stock the borrowers owned in publicly

traded securities as collateral for

misleading

substantial independent sources of cash to lend.

representations

ARGYLL,

Defendant JEFFREY R.

b.

that

and

SPANIER,

potential borrowers

traded securities as collateral for

misleading

10

loans by false,

fraudulent,

other

lenders,

and others,

and
had

would induce

to pledge stock the borrowers owned in publicly

representations

that

loans by false,

their

stock

fraudulent,

would

be

and

held

in

safekeeping and not be sold unless the borrower defaulted on the loan.
c.

11

Defendant JEFFREY R.

SPANIER,

and others,

would induce

12

borrowers to execute documents transferring shares the borrowers owned

13

in publicly traded securities to ARGYLL, and other lenders, by making

14

false,

15

other lenders, would abide by all securities laws,

16

which

17

securities outside of certain guidelines and reporting requirements.

fraudulent,

restricts

d.

18

and

misleading

affiliated

representations

persons

from

that

ARGYLL,

and

including Rule 144

selling

publicly

traded

Defendant JEFFREY R. SPANIER, would induce borrowers to

19

execute documents transferring shares the borrowers owned in publicly

20

traded securities to ARGYLL by falsely representing that he was only

21

receiving as much as

22

receiving substantial incentive fees which exceeded 5%.


e.

23

in

fees,

when,

Defendant JEFFREY R.
make

quarterly

in

SPANIER,

interest

truth and

and others,
on

he

was

would induce
loans

ARGYLL

borrowers

25

purportedly made by falsely representing that the stock they pledged

26

as collateral for the loans was safe and would be returned to them as

27

long as they continued to make all of their interest payments timely.


4

payments

fact,

24

28

to

5%

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 5 of 15

OVERT ACTS

12.

In

furtherance
the

said

elsewhere:
2003

and

acts,

and

1,

overt

effect

others, were committed within the Southern District of California, and

February

following

to

Between

the

and

accomplish

a.

thereof,

conspiracy

objects

of

January

among

29,

2004,

JEFFREY R. SPANIER negotiated four loan agreements with borrower PB in

which PB pledged 1,250,000 shares of common stock PB held in ATP Oil

and Gas Corporation, a publicly traded company listed on the National

10

Association

11

("NASDAQ"),

12

ARGYLL.

13

of
as

b.

Securities
collateral

On

or

for

before

four

Automated
loans

February

totaling

27,

2004,

from

JEFFREY

R.

SPANIER

in which

GS

pledged

500,000 shares of common stock GS held in ATP Oil and Gas Corporation,

16

17

$1.5 million loan from ARGYLL.


On

c.

or

GS

$3,277,750

15

company

with borrower

System

negotiated a

publicly traded

agreement

Quotation

14

18

loan

Dealers

listed on NASDAQ,

before

April

2004,

loan

20

1.19 million

shares

21

International,

22

NASDAQ, as collateral for a $4.1 million loan from ARGYLL.

23

d.

common

("MSI"),

stock

LP

LP

JEFFREY

negotiated a

of

with borrower

collateral

19

Inc.

agreement

20,

as

R.

in which

held

in

for

SPANIER

LP pledged

Mace

Security

a publicly traded company listed on the

Between June 2004 and December 2005, JEFFREY R. SPANIER

24

facilitated

25

Directivos Servia S.A. de C.V.

26

14,178,193 publicly traded American Depository Receipts of Grupo TMM

27

S.A. de C.V.

28

the

execution

of

14

loan

agreements

with

Servicios

("SDS") in which SDS pledged a total of

("TMM") as collateral for loans totaling $23,157,078.

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 6 of 15

e.

On

or

before

December

16,

2008,

JEFFREY

R.

SPANIER

requested that borrower JC payoff a loan that JC obtained from ARGYLL

in the amount of $3,462,500.

On or about May 8,

f.

2009,

JEFFREY

R.

SPANIER sent

an

e-mail to JC in which he assured JC that stock he had pledged for his

loan would be returned to him.

g.

On
a

or

loan

before

agreement

May

2009,

22,

wi th

borrower

JEFFREY
in

RS

which

R.
RS

SPANIER
pledged

negotiated

1,000,000 shares of common stock RS held in Vu1 Corporation ("VUl"),

10

publicly traded company listed on the Over The Counter Bulletin Board

11

("OTCBB"), to Amerifund Capital Holdings, LLC.

12

h.

On

or

about

September

29,

2009,

JEFFREY

R.

SPANIER

13

caused borrower DA to execute a

loan agreement in which DA pledged 1

14

million shares of common stock DA held in Provectus Pharmaceuticals,

15

Inc.

("PVCT").
On

i.

16

loan

before

agreement

December
with

1,

2009,

borrower

SW

JEFFREY
in

which

R.

SPANIER

SW

pledged

17

negotiated

18

700,000 shares of common stock that

19

Realty

20

Exchange ("NYSE"), as collateral for a $4.3 million loan from ARGYLL.

21

or

("DDR"),

j.

On

publicly

or

about

sw

traded

December

owned in Diversified Developers

company

10,

on

2009,

the

New

JEFFREY

York

R.

Stock

SPANIER

22

caused a wire transfer in the amount of $410,977 to be sent to him of

23

which $273,480 was a back end fee that was not disclosed to SW prior

24

to executing the loan agreement with ARGYLL.

25

k.

On

26

negotiated a

27

million shares of

28

or

before

loan agreement

March

4,

2010,

with borrower KY

JEFFREY

R.

SPANIER

in which KY pledged 1

common stock KY held in China Armco Metals,

Inc.

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 7 of 15

("CNAM"),

a publicly traded company on the NYSE,

$4.68 million loan from ARGYLL.


1.

On
loan

before

agreement

April
with

22,

2010,

borrower

TP

JEFFREY
in

R.

which

SPANIER

negotiated

500,000 shares of common stock TP held in Searchlight Minerals,

("SM") ,

for a $270,000 loan from ARGYLL.

a publicly traded company listed on the OTCBB,

m.

8
9

or

as collateral for a

negotiated

On
a

or

loan

before

February

agreement

with

18,

2011,

borrower

FB

TP

as

JEFFREY
in

which

pledged
Inc.

collateral

R.

SPANIER

FB

pledged

10

52,246 shares of common stock that FB held in First PacTrust Bancorp,

11

Inc.

12

cOllateral in exchange for a $557,726.05 loan from ARGYLL.

("FPTB"),

13

n.

publicly

On
a

or

loan

traded

before

March

14

negotiated

15

750,000 shares of common stock RS

16

publicly

17

$207,900 loan from ARGYLL.

traded

o.

18

agreement

company

company

with

listed

15,

listed on

2011,

borrower

RS

the

NASDAQ,

JEFFREY
in

which

R.

SPANIER

RS

pledged

held in VU1 Corporation


on

the

OTCBB,

as

as

("VU1"),

collateral

for

a
a

On or about March 30, 2011, JEFFREY R. SPANIER received

19

a wire transfer in the amount of $38,244.07 of which $15,935.03 was a

20

back-end fee

21

executing the loan agreement.

22

p.

for the FB loan which was not disclosed to FB prior to

On or about March 30, 2011, JEFFREY R. SPANIER received

23

a wire transfer in the amount of $26,895 of which $16,500 was a back-

24

end

25

executing the loan agreement.

fee

for

26
27
28

q.
negotiated

the

On
a

loan

RS

or

loan

which

before

agreement

was

April
with

not

1,

disclosed

2011,

borrower

CW

to

JEFFREY
in

which

RS

R.
CW

prior

to

SPANIER
pledged

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 8 of 15

1,000,000

shares

Inc. ("QBC") ,

Equities exchange

from ARGYLL.

r.

sv

of

common

publicly

stock

traded

that

CW

company

("NYSE Amex"),

as

held

listed

in
on

collateral for

Cubic
the

NYSE

Amex

$358,000

loan

On or before April 21, 2011, JEFFREY R. SPANIER caused

borrower

to transfer

in

company, as collateral for a $1.9 million loan from ARGYLL.

Elephant

s.

Energy,

Talk

1,300,000 shares of common stock that SV held

Communication,

Inc.

On or about May 11,

("ETAK"),

2011,

JEFFREY R.

publicly

traded

SPANIER received

10

wire transfers in the amount of $158,196 and $65,912 from the sale of

11

ETAK shares pledged by SV.

12

All in violation of Title 18, united States Code, Section 371.

13

Counts 2-7

14

[18 U.S.C. 1341 and 2]

15

Mail Fraud

16

13.

The allegations set forth in paragraphs 1 through 7, and 11

17

through 12 above are realleged and incorporated by reference as

18

fully set forth herein.

19

14.

if

Beginning in at least February 2003 and continuing up to and

20

including

21

California,

22

Miceli

23

with the intent to defraud, devised and intended to devise, a material

24

scheme

25

property

26

representations,

27

described in paragraphs 11 through 12 of Count 1.

28

October
and

25,

elsewhere,

(now deceased),

to defraud as
by

2013,

means

of

within

defendant

the

Southern

JEFFREY

and Douglas McClain,

to material matters
materially

promises,

or

false

omissions

R.

Jr.,

and to
and
of

District

SPANIER,

James

of
T.

charged elsewhere,

obtain money and

fraudulent
material

pretenses,
facts,

as

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 9 of 15

Execution of the Material Scheme by Mail

15.

On or about the dates set forth below,

within the Southern

District of California, defendant JEFFREY R.

(now deceased),

purpose of executing and attempting to execute the aforesaid scheme

caused to be placed in a United States post office or other authorized

depository for mail matter, or private commercial carrier,

delivered by the United States Postal Service or United Parcel Service

according to the directions thereon, as set forth below:

and Douglas McClain,

Jr.,

SPANIER,

James T. Miceli

charged elsewhere,

for the

items to be

10
11
12

Count

Date

Sender

Addressee

Item

2/25/2010

SW
Beachwood,
Ohio

ARGYLL
San Diego, CA

Check

8/26/2010

SW
Beachwood,
Ohio

ARGYLL
San Diego, CA

Check

10/7/2010

KY
San Mateo, CA

ARGYLL
San Diego, CA

Check

1/5/2011

KY
San Mateo, CA

ARGYLL
San Diego, CA

Check

2/8/2011

TP
Cottonwood,
AZ

ARGYLL
San Diego, CA

Check

3/28/2011

FB
San Diego, CA

Amerifund
Boca Raton, FL

Promissory
Note

13
14

15
16
17
18
19

20
21
22
23
24
25
26
27
28

All in violation of Title 18, United States Code, Sections 1341 and 2.
9

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 10 of 15

Counts 8-18

[Title 18 U.S.C. Sec. 1343 and 2]

Wire Fraud

16.

The allegations

set

forth

in paragraphs 1 through 7,

and

11 through 12 above are realleged and incorporated by reference as if

fully set forth herein.

17.

Beginning in at least February 2003 and continuing up to and

including

October

California,

and

25,

2013,

elsewhere,

(now deceased),

within

defendant

the

Southern

JEFFREY

James

T.

Miceli

11

devised and intended to devise a material scheme to defraud as

12

material matters and to obtain money from persons by materially false

13

and

14

omissions

15

Count 1.

16

of

pretenses,

fact,

as

representations,

described

in

Jr.,

SPANIER,

of

10

fraudulent

and Douglas McClain,

R.

District

charged elsewhere,

promises,

paragraphs

11

or

to

material

through

12

of

Execution of Material Scheme by Wire Communications

17

18.

On or about the dates set forth below, within the Southern

18

District of California,

19

James

20

elsewhere,

for the purpose of executing the aforementioned material

21

scheme

defraud

22

fraudulent

23

cause to be transmitted, in interstate and foreign commerce, by means

24

of wire,

25

signals, pictures, and sounds set forth below:

26

II

27

II

28

T.

to

Miceli

(now deceased),

and

pretenses,

radio,

and elsewhere,

to

defendant JEFFREY R.

and Douglas

obtain money

representations,

and

McClain,

property

promises,

and television communication,

10

did

SPANIER,

Jr.,

by

charged

false

and

transmit

and

the writings,

signs,

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 11 of 15

Count

Date

Sender

Addressee

Communication

12/10/2009

SW ARGYLL
BofA Acct. #
0526
San Diego, CA

Amerifund
Iberia Bank Acct.
# 0663
(formerly
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $410,977.00

4/9/2010

SW ARGYLL
BofA Acct #
3952
San Diego, CA

Amerifund
Iberia Bank Acct
# 0663 (formerly
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $425,000

10

5/18/2010

SW ARGYLL
BofA Acct #
3952
San Diego, CA

Amerifund
Iberia Bank Acct
(formerly
# 2968
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $402,892.80

11

6/24/2010

SW ARGYLL
BofA Acct #
3952
San Diego, CA

Amerifund
Iberia Bank Acct
# 2968
(formerly
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $338,910

12

4/14/2011

SW ARGYLL
BofA Acct #
3952
San Diego, CA

Amerifund
Iberia Bank Acct
# 2968
(formerly
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $26,250

13

4/15/2011

SW ARGYLL
BofA Acct #
3952
San Diego, CA

Amerifund
Iberia Bank Acct
(formerly
# 2968
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $43,750

14

4/21/2011

Jeffrey
Spanier
Delray Beach,
FL

SV
Brussels, Belgium

e-mail
communication
regarding
transfer of
ETAK shares

15

5/11/2011

SW ARGYLL
Bank of
America
Acct # 3952
San Diego, CA

Amerifund
Iberia Bank Acct
(formerly
# 2968
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $65,915

2
3
4
5

6
7
8

10
11

12
13
14
15
16

17
18
19
20
21
22
23
24

25
26
27
28

11

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 12 of 15

16

5/11/2011

SW ARGYLL
Bank of
America
Acct # 3952
San Diego, CA

Amerifund
Iberia Bank Acct
# 2968
(formerly
Sterling Bank)
Delray Beach, FL

Wire transfer
in the amount
of $158,196.24

17

5/19/2011

Jeffrey
Spanier
Delray Beach,
FL

DD/Goldman Sachs
Chicago, IL

e-mail
communication
re payoff of SW
loan

18

6/15/2011

JEFFREY R.
SPANIER
Delray Beach,
FI

RS
Seattle, WA

e-mail

2
3
4

5
6

7
8
9

10

communication

re return of
stock after FBI
search warrant

11

execution

12
13

All in violation of Title 18, United States Code, Sections 1343 and 2.
Count 19

14

[15 U.S.C. 78j (b), 78ff and 18 USC 2]

15

securities Fraud

16
19.

17
18
19

22
23
24
25
26
27
28

allegations

set

forth

in paragraphs

through

7,

and

11 through 12 above are realleged and incorporated by reference as if


fully set forth herein.
20.

20
21

The

and

Beginning in or around February 2003

including

California
Miceli

and

October

25,

elsewhere,

(now deceased),

2013,

within

defendant

the

JEFFREY

and Douglas McClain,

did knowingly and willfully,

and continuing up to
Southern

R.
Jr. ,

District

SPANIER,

James

of
T.

charged elsewhere,

directly and indirectly,

by the use of

the means and instrumentalities of interstate commerce, the mails, and


the

facilities

of

national

securities

exchanges,

use

and

employ

manipulative and deceptive devices and contrivances in connection with

12

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 13 of 15

the purchase and sale of securities in violation of Title 17, Code of

Federal

schemes,

material fact and omitting to state facts necessary in order to make

the statements made,

were made,

courses of business which operated and would operate as a

deceit upon purchasers of securities.

All in violation of Title 15, United States Code, Sections 78j(b) and

Regulations,

Section

and artifices

to defraud;

(b)

by

(a)

making

employing

devices,

untrue statements of

in light of the circumstances under which they

not misleading;

Title 17,

240.10b-5,

Code of

and

(c)

engaging in acts,

10

78ff,

Federal Regulations,

'11

Title 18, United States Code, Section 2.

practices,

fraud and

Section 240 .10b-5,

12

Criminal Forfeiture Allegation

13

[Title 18, United States Code, Sections 981(a) (1) (C), 984 and

14

Title 28, United States Code, Section 2461(c)]

15

21.
reference

17

criminal

18

States Code,

19

Code, Section 2461(c).


22.

as

though set

forfeiture

As

forth

pursuant

in full

to

result

of

the

the purpose of

the provisions of

Sections 981(a) (1) (C),

for

984,

Title

and Title 28,

commission

of

the

22

R.

23

real

24

traceable to those offenses, including but not limited to:

United

offenses

defendant JEFFREY

SPANIER shall forfeit to the United States any and all property,
and

personal,

25

28

18,

foregoing

alleged in Counts 1 through 19 of this Indictment,

27

charging

United States

21

26

and

Counts 1 through 19 are realleged and incorporated herein by

16

20

and

which

constitutes

or

is

deri ved

from

proceeds

Real Property

a.

The real property located at located at 16013


D' Alene Drive, Delray Beach, Florida 33446, and
all
appurtenances
affixed
thereto.
The
real
property is more particularly described as:
13

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 14 of 15

PROPERTY ID. NO.: 00-42-46-20-16-000-0020

Lot 2, DELRAY TRAINING CENTER P. U. D. - PARCEL B,


according to the map or plat thereof, as recorded
in Plat Book 86, Page 157, of the Public Records
of Palm Beach County, Florida.

Financial Accounts at Wachovia Bank

All monies,

b.

funds and credits in Wachovia Bank Account

xxxxxxxx6242, in the name of Amerifund Capital Finance,

LLC.

c.

All monies,

funds and credits in Wachovia Bank Account

xxxxxxxxx7113, in the name of Jeffrey Spanier.

10
d.

11

All monies,

funds and credits in Wachovia Bank Account

xxxxxxxxx6481, in the name of Regina Spanier.

12
13

Financial Accounts at Iberia Bank

e.

14

All monies,

funds and credits in Iberia Bank (formerly

15

Sterling

16

Amerifund Capital Finance, LLC.


All monies,

f.

17

Bank)

Account

xxxxxx0663 ,

Sterling

19

Amerifund Capital Finance LLC.


23.

In

the
or

is

event

Bank)

that

derived

the

name

Account

xxxxxx2968,

any property,

from

proceeds

real

in

or

21

constitutes

22

described in Counts 1 through 19 of this Indictment,

23

any act or omission of the defendant:

traceable

the

name

personal,
to

the

offenses

as a result of

(1)

cannot be located upon the exercise of due diligence;

25

(2)

has

26
27
28

transferred or sold

to,

or

of

which

24

been

of

funds and credits in Iberia Bank (formerly

18

20

in

deposited with,

third parties;
(3)

has been placed beyond the jurisdiction of the courts;


14

Case 3:16-cr-01545-BEN Document 1 Filed 07/01/16 Page 15 of 15

(4)

has been substantially diminished in value; or

(5)

has been co-mingled with other property which cannot be

divided without difficulty; any other property of the defendant, up to

the

pursuant to Title 18, united States Code,

United States Code, Section 853.

All

Sections

value

of

$81,000,000

violation

in

shall

of

981 (a) (1) (C),

984

be

Title
and

forfeited

18,
Title

to

DATED:

united
28,

United

July 1, 2016.

11

A TRUE BILL:

13

Foreperson

14

LAURA E. DUFFY

: ::t'd~
17

t.-

jffciiAEwlm

~7 Assistant U. S. Attorney

18
19
20
21
22
23

24
25

26
27

28

15

United States

Section 982, and Title 21,

9 Section 2461 (c) .


10

the

States
States

Code,
Code,

Case 3:16-cr-01545-BEN Document 2 Filed 07/01/16 Page 1 of 1

UNITED STATES DISTrICT COURT

FIL~[

SOUTHERN DISTRICT OF CALIFORNIA

21116 JUL-IPH2t 52

Plaintiff,

5
6

Case No.

UNITED STATES OF AMERICA,

NOTICE!! OF RELATED CAI!:Yi3f--_ _ _-"i~l!',t4.:.......oeu

v.
JEFFREY R. SPANIER,

Defendant.
8 ~______________________________~
9

TO THE CLERK OF THE COURT:


10

Please take notice that the above-entitled case is related to

11

united
12

States

12CR0918-BEN,

of

America

v.

Douglas

McClain,

pursuant to Local Rule 57.2.1,

Jr.,

Case

No.

Related Cases.

The

13

United States Attorney certifies

the

cases

are

related

for

the

14

following reason(s) :
15
16

-----

(1)

More than one indictment or information is filed or

pending against the same defendant or defendants;


17
18

--"'---

(2) Prosecution against different defendants arises from,


(a) a common wiretap,

19
20

(b) a common search warrant,

21

(c) activities that are part of

22

criminal

23

cases

24

and the same questions of law.

25

event

involved

or

the same alleged

transaction;

substantially

that

the

same

~
~URA
Dt:v
tl~
E.

27
28

is,

United States Attorney

the
facts

Case 3:16-cr-01545-BEN Document 5 Filed 07/02/16 Page 1 of 3

1 LAURA E DUFFY
United States Attorney
2 JOSEPH J.M. ORABONA
Assistant U.S. Attorney
3 California Bar No. 223317
Office of the U.S. Attorney
4 880 Front Street, Room 6293
San Diego, CA 92101
5 Tel: (619)546-7951
Fax: (619)546-0510
6 Email: joseph.orabona@usdoj.gov
7 Attorneys for the United States
8

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF CALIFORNIA

10 UNITED STATES OF AMERICA, ,

Case No.: 16CR1545-BEN

11

NOTICE OF APPEARANCE

12

Plaintiff,
v.

13 JEFFREY R. SPANIER,
14

Defendant.

15
16 TO THE CLERK OF COURT AND ALL PARTIES OF RECORD
17

I,

the

undersigned

attorney,

enter

my

appearance

as

lead

18 counsel for the United States in the above-captioned case.

19 certify that I am admitted to practice in this court or authorized


20 to practice under Civ. L.R. 83.3.c.3-4.
21

The

22 practice

following
in

this

government
court

or

attorneys

authorized

to

(who

are

practice

admitted
under

to

CivLR

23 83.3.c.3-4) are also associated with this case, should be listed as


24 lead counsel for CM/ECF purposes, and should receive all Notices of
25 Electronic Filings relating to activity in this case:
26

Name (If none, enter "None" below)

27

Michael G. Wheat, Assistant U.S. Attorney (Lead Counsel)

28

California Bar No. 118598; Email: michael.wheat@usdoj.gov

Case 3:16-cr-01545-BEN Document 5 Filed 07/02/16 Page 2 of 3

Effective this date, the following attorneys are no longer

2 associated

with

this

case

and

should

not

receive

any

further

3 Notices of Electronic Filings relating to activity in this case (if


4 the generic U.S. Attorney CR is still listed as active in this
5 case in CM/ECF, please terminate this association):
6

Name (If none, enter "None" below):

None

Please call me at the above-listed number if you have any

9 questions about this notice.


10

DATED: July 2, 2016

11
12

Respectfully submitted,

13
14

LAURA E. DUFFY
United States Attorney

15
16

s/Joseph J.M. Orabona


JOSEPH J.M. ORABONA
Assistant United States Attorney

17
18
19
20
21
22
23
24
25
26
27
28
2

15CR1545-BEN

Case 3:16-cr-01545-BEN Document 5 Filed 07/02/16 Page 3 of 3

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF CALIFORNIA

3 UNITED STATES OF AMERICA, ,


Plaintiff,

4
5

Case No.: 15CR1545-BEN


CERTIFICATE OF SERVICE

v.

6 JEFFREY R. SPANIER,
Defendant.

7
8
9

I, Joseph Orabona, the undersigned declare under penalty of

10 perjury,

that

am

over

the

age

eighteen

years.

My

business

11 address is 880 Front Street, Room 6293, San Diego, California,


12 92101-8893.
13

I am not a party to the above-entitled action. I have caused

14 service of Notice of Appearance on the parties listed on ECF by


15 electronically filing the foregoing with the Clerk of the U.S.
16 District Court for the Southern District of California using its
17 ECF System, which electronically notifies them.
18

I declare under penalty of perjury that the foregoing is true

19 and correct.
20

Dated: July 2, 2016

21
s/Joseph J.M. Orabona
JOSEPH J.M. ORABONA
Assistant U.S. Attorney

22
23
24
25
26
27
28
3

15CR1545-BEN