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Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 1 ofAW

17

Dec 14, 2017


UN ITED STA TES D ISTR IC T C O U R T
SO U TH E RN DISTR IC T O F FLO RIDA
17-20883-CR-WILLIAMS/TORRES
CA SE N O .
18U.S.C.j371
18U.S.C.j981(a)(1)(C)
UN ITED STA TE S O F A M ER ICA

V S.

JO H N A H EA R N and
A N DR EW H .W ILSO N ,

D efendants.
/

IN FO R M A TIO N

The A ttom ey forthe United StatesofA m erica chargesthat:

G EN ER AL A LLEG A TIO N S

Ata11tim es m aterialto thislnfonnation:

M anhattanTransferRegistrarCo.CtM anhattanTransfer'')wasatransferagentwith
oftk es in M illerPlace,N ew York and Erie,Colorado,thatw as registered w ith the U .S.Secudties

andExchangeCommission(6çSEC'').
2. Defendant JO H N AH EA R N w as the senior partner of M anhattan Transfer,and

resided in Erie,Colorado.

3. D efendantA N D REW H .W ILSO N w asan attom ey licensed to practice law in the

State ofCalifom ia,and resided in N evada City,California.

4. Steven Sandersw asa residentofLake W orth,Florida,and acted asa prom oterfor

com paniesthatw ere registered to do business in the State ofFlorida.


Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 2 of 17

DanielM cK elvey w asaresidentofFosterCity,Califom ia,and acted asa prom oter

forcom panies thatw ere registered to do business in the State ofFlorida.

Jeffrey Lam son was a residentofSacram ento,Califom ia,and acted as a prom oter

and recruiterofofficers forcom paniesthatw ere registered to do businessin the State ofFlorida.

M yron Gushlak w as a Canadian citizen who resided in the Caym an lslands and,

subsequently,w asan inm ate atthe federalcorrectionalinstitution in A llenw ood,Pennsylvania.

8. D avid Lubin w as an attorney licensed to practice 1aw in the State ofN ew Y ork,and

acted asa prom oter forthe purchase and sale ofpublic com panies.

Jam esM .Schneiderw as an attorney licensed to practice 1aw in the State ofFlorida

who conducted business in Boca Raton,Florida.

10. Attorney A w asan attorney in V ancouver,Canada who acted as aprom oterforthe

purchase and sale ofpublic com panies.

Medford FinancialLtd.a/k/a ççM edford Financial Group''(ççM edford'') was a


purported Belize cofporation controlled by M yron Gushlak.

The SEC w asan agency oftheU nited Statesresponsible forenforcing the securities

law s. Regulations prom ulgated by the SEC defined and im plem ented the requirem ents of the

statutes.

13. Sharesofpubliccompaniestknownasiçissuers'')thatwerenotregisteredwiththe
SEC generally could not be sold to the public. Such shares w ere generally considered

çtrestricted.'' How ever,Rule 144 ofthe regulations prom ulgated by the SEC perm itted the sale

ofrestricted securities in certain circum stances. One ofthe requirem ents ofRule 144 w as that

the seller of the securities not be an ttaffiliate.'' An ttaffiliate''w as a person who directly,or

indirectly through one or m ore interm ediaries,controlled,or was controlled by,or w as under
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 3 of 17

com m on controlw ith,theissuer. Controlm eantthepowerto directthem anagem entand policies

ofthe com pany in question,w hether through the ow nership ofvoting securities,by contract,or

otherwise. Ifsecurities w ere purchased from a controlling person or çGaftiliate,''then the buyer

received restricted secudties,even ifthey w ere notrestdcted in the aftiliate'shands. Sharesthat

w ere notttrestricted''generally were considered GGfree trading.''

14. Transferagentsw ere required to registerw ith the SEC,and record changesofshare

ownership,m aintain the issuer's security holder records,canceland issue share certiticates,and

distribute dividends. Transfer agents acted as interm ediaries betw een issuing com panies and

security holders,and w ere necessary forthe successfulcom pletion ofsecondary securitiestrades.

Before a transfer agent w ould designate previously restricted secudties as

unrestricted under Rule 144,the transfer agent typically required a legalopinion letter f'
rom an

attorney stating thatthe requirem ents ofRule 144 had been m et. A securities broker typically

required a sim ilarletterbefore itw ould acceptsuch sharesfordepositand sale to the public.

EntertainmentArt,lnc.(ççEERT'')'
5IntakeCommunications,Inc.(ttlntake''l>
'mLight
Tech,lnc.(ççmLight'');BlueFlash Communications,Inc.(t%B1ueFlash'')'
7Blue Sun M edia,lnc.
(<çBlue Sun''),
'and,Big Clix,Corp.CçBig Clix'')wereissuersthatfiledperiodicreportswith the
SEC (collectively,çttheissuers'). Theissuersw ere som etim esreferred to asççpubcos,''Etpublic
Vehicles''orEEshells.''

A çdstraw CEO''wasan individualw ho,in exchange for a fee,allowed his nam e to

be listed asa chiefexecutive oftk erand cop orate shareholderon paperwork and in public filings.

A 6tst'
raw shareholder''was an individual who,in exchange for a prom ised fixed return,gave

controlofshareslisted in hisnam e to an undisclosed principal.


Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 4 of 17

18. ln a çtreversemerger,''aprivate company acquired amajority ofthe sharesofa


public company,which wasthen merged with the purchasing entity. Thepublic company was

required to reportthe term s ofa reverse m ergerin a filing with the SEC .

19. ttM icrocap''orç6penny''stocksreferred to stocksofpublicly traded U .S.com panies

which had a low m arket capitalization. M icrocap stocks w ere often traded via the O ver the

CounterBulletin Board (tGOTCBB'')orpink sheetmarkets. These stockswere susceptible to


manipulationbecausetheywerethinly traded and subjectto lessregulatory scrutiny thanstocks
traded on notable exchanges. Additionally,large blocksofm icrocap stock w ere often controlled

by a sm all group of individuals, w hich enabled those in the group to control or orchestrate

m anipulative trading in those stocks.

20. A t4pum p and dum p'' w as a stock m anipulation schem e where one or m ore

individuals who controlled the purported free trading shares of a m icrocap com pany, and

fraudulently inflated the share price and trading volum e of the com pany through,am ong other

things, m anipulative trading techniques, false and m isleading press releases, and paid stock

prom otions. W hen the com pany's share price reached desirable levels,the free trading shares

w ere sold forsubstantialfinancialgain.

CO NSPIM C Y T O UN LA W FU LLY SELL UN R EG ISTE RED SEC UR ITIES


(18U.S.C.5371)

From in or around January 2007, through in or around January 2014,in M iam i-D ade,

Brow ard, and Palm Beach Counties, in the Southern D istrict of Florida, and elsew here, the

defendants,

JO H N AH EA RN and
A ND REW H .W ILSO N ,
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 5 of 17

did willfully,thatis,with the intentto furtherthe objects ofthe conspiracy,and know ingly
com bine, conspire, confederate, and agree with Steven Sanders, D aniel M cKelvey, Jeffrey

Lam son,D avid Lubin,M yron Gushlak,Jam es M .Schneider,Attom ey A ,and othersknow n and

unknown to the A ttorney for the United States,to com m it certain offenses against the U nited

States,thatis:(a)toknowingly,willfully,andunlawfully,directly andindirectly,useanymeans
and instrum ents oftransportation and com m unication in interstate com m erce and the m ails,to sell

securities,through theuseandmedium ofanyprospectusand otherwise;and (b)to knowingly,


willfully, and tm law fully carry and cause to be carried through the m ails and in interstate

com m erce,by any m eansand instrum ents oftransportation,securities,forthe purpose ofsale and

fordeliveryaftersale,inviolationofTitle15,UnitedStatesCode,Sections77e(a)(1),77e(a)(2),
and 77x,and Title 17,Code ofFederalRegulations,Section 230.144.

PU RPO SE O F TH E C O N SPIM C Y

21. It w as a purpose of the conspiracy for the conspirators to unlaw fully erlrich

them selves by creating public com panies and registering them w ith the SEC using false and

fraudulentstatem entsin docum ents subm itted to the SEC,so thatthe com paniescould issue shares

w hich could be traded in the m icrocap and penny stock m arkets. The conspirators would then

offer to sellthe restricted shares and the free trading shares ofthe issuers to others,w ho w ould

then utilize the free trading shares to engage in pum p and dum p stock sw indles and other
.

m anipulation schem es.

M A NN ER A N D M EA N S O F TH E CO N SPIM CY

The naanner and nAeans by w hich the defendants and their conspirators sought to

accomplishtheobjectsandpurposeoftheconspiracy included,amongothers,thefollowing:
D avid Lubin, Steven Sanders, D aniel M cK elvey, and others w ould recruit

individualsto serve asstraw CEO sforcertain issuers. These conspiratorsw ould inform the straw
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 6 of 17

CEO sthattheyw ould haveno furtherrole with the com pany and w ould bepaid w hen the com pany

waslatersold.

D avid Lubin,Steven Sanders,D anielM cK elvey,and others w ould prepare false

and fraudulent corporate docum ents for the issuers, such as board m eeting minutes, stock

certitk atesand shareholderlists. The conspiratorsw ould then subm itthese false and fraudulent

docum ents and other false inform ation to the SEC in orderto obtain effective registration of the

issuers.

David Lubin,Steven Sanders,D anielM cK elvey,and others would recruit straw

shareholders forthe issuersand w ould assign a certain num berofsharesto each straw shareholder.

In reality,the straw shareholders were prom ised a fixed am ountofm oney once the com pany w as

ready to be sold,and the sharesw ere in factcontrolled by Sanders,M cK elvey,and M irm an.

Forcertain issuers,aftertheregistration w asdeem ed effective,David Lubin,Steven

Sanders,and D anielM cKelvey w ould discuss with defendantJO H N A H EA R N the nature ofthe

issuer and requestthat M anhattan Transferactas the transfer agentforthe shares. From these

conversations, AH EA RN learned that som e com bination of Lubin, Sanders and M cK elvey

controlled the com panies and allor nearly all ofthe shares,even though they w ere notlisted as

ow ners on corporate docum ents orshare certiticates.

26. JO H N A H EA RN agreed to assist D avid Lubin, Steven Sanders and D aniel

M cK elvey w ith their efforts to sellcertain issuers to a buyer,in exchange for a fee to be paid if

such a sale were com pleted. AH EA RN knew thatthe sale ofthe entitieswould include al1ofthe

restricted and unrestdcted shares,and thatthe unrestricted sharesw ould continue to be incorrectly

classified after the sale. AH EA R N agreed to act as the transfer agent for these im properly

classifed sharesw ith the expectation ofreceiving fees fortransfer servicesin the future.
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27. Forcertain issuers,JO H N A H EA RN w ould also assistw ith tiling reportsw ith the

SEC viatheEDGAR tiling system . Thesereportswereauthoredby DavidLubin,Steven Sanders

and DanielM cKelvey,and were filed by AHEARN withoutanyreview orapprovalby thestraw

CEO or shareholders. The reports falsely described the share ow nership of the com panies and

therole ofthe straw CEO,and did notdisclose the role ofthe conspiratorsascontrolpersonsor

beneficialow nersofthe shares.

28. Forcertain issuersforw hich JO H N AH EA RN acted astransferagent,AN D REW

H .W ILSON w ould execute opinion letters forthe purpose of allowing restricted shares of the

issuers to be classitied as unrestricted and to be transferred, deposited w ith brokerages, and

electronically traded. These opinion letters falsely and fraudulently represented that certain

shares of the issuer were not ow ned or controlled by an çtaftiliate'' of the issuer. m L SO N

executed these letters know ing that they would give the false im pression that he had acted as

counselforthe com panies,and thatthe lettersw ould be used by subsequentpurchasers to deposit

and sellshares thatshould be restdcted. W ILSO N had no in-person ortelephone conversations

w ith any ofthe nam ed oftk ersor shareholders,and instead took allofhisdirection from Sanders

and M cKelvey. W ILSO N executed opinion lettersw ith respectto EERT,BlueFlash,and m Light

Tech,lnc.,thatcontained such false and fraudulentrepresentations.

AN D REW H . W IL SO N also provided escroyv services for buyers w ho w ere

purchasing all or nearly al1 of the shares of an issuer. In the case of Big Clix,on or about

Septem ber25,2013,m LSO N received awiretransferintohisattorney trtlstaccountof$187,677


from shellbuyers. m L SO N knew that these funds w ere used to <çguarantee''that the buyer

w ould purchase a predeterm ined num berofsharesin the open m arketfrom Sandersand M cK elvey

ataprearranged price,aspartofan undisclosed purchase ofa11ofthe restricted and purported free


Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 8 of 17

tradingsharesfrom SandersandM cKelvey. Aftertheopenm arketpurchaseoccurred,W ILSON

returned the funds.

30. ForEERT,M yron Gushlak purchased alloftherestricted and purported freetrading

sharesfrom David Lubin in approxim ately2008,usingpurchaseagreem entsthatfalselydescribed

theshareownership and natureofthetransaction. ln oraround November2010,Gushlak began

serving a federalsentence fora separate securities fraud schem e. Beginning in 2011,David

Lubin,Steven Sanders,and D anielM cK elvey agreed to assistG ushlak w ith the sale ofa11ofthe

restricted and purported free trading shares of EERT. The restricted shares w ere listed in the

nam e of M edford to conceal Gushlak's ow nership,and the purported free trading shares w ere

listed in the nam es of straw shareholders. Since G ushlak was in prison,Sanders and M cKelvey

installed Jeffrey Lam son asthe straw CEO ofEERT and asthe ow neron paperofM edford.

JO H N AH EA R N had been thetransferagentforEERT since approxim ately 2008,

knowing thatD avid Lubin created EERT using false and fraudulentpaperwork. ln 2011,Steven

Sanders and Daniel M cKelvey approached AH EA RN to assist w ith transfening som e of the

restricted EERT shares to the nam e of M cK elvey in a way thatw ould give the false im pression

thatthe EERT shares w ere notrestlicted. A H EA RN agreed to assistw ith the transfer ofthese

sharesbutrequested an attorney opinion letterforcover. M cKelvey then approached A N DR EW

H .W ILSO N to request such a letter,and W IL SO N agreed to opine thatM cKelvey w as not an

affiliate ofEERT,even though he knew thatM cK elvey and Steven Sandersexercised controlover

EERT. W ILSO N also took no stepsto verify the statusofthe sharesorto com m unicate w ith the

nam ed offk er,Jeffrey Lam son. Thereafter,on aboutA ugust 11,2011,W IL SO N executed a

letterthatfalsely represented thatM cK elvey acquired 1,485,000 shares of EERT ttforinvestm ent

and notforresale,transfer or hypothecation orredistributiony''and that M cKelvey ttisnot and at

8
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 9 of 17

the time of the purchase of the Shares was not an affiliate of the Companyg.l'' These
representationsW ere false.

32. A fterreceiving the false opinion authored by AN D R EW H .W IL SO N in relation

to EERT, and receiving instructions from DanielM cKelvey and Steven Sanders as to how to

transferthe shares,JOHN AHEARN transferred 1,485,000 sharesofEERT to the nam e ofan

entity controlled by M cK elvey. ln or around July 2012,Sanders and M cK elvey cam e to an

agreem entw ith Attorney A to sella1lofthe restricted and purported free trading shares ofEERT

forapproximately $325,000. Afterbeinginformed ofthesaleofEERT to Attorney A,AH EARN


requested anotheropinion letter to provide cover forthe transferofthe sharesto the shareholders

to be nam ed by A ttorney A . In response,m L SO N executed a letter dated O ctober 18,2012,

addressed to Jeffrey Lam son and A H EA R N ,that falsely stated thatthe opinion w as relying on

factsprovided by the com pany,and thatan exem ption underRule 144 allow ed forthe sale ofthe

shares. In reality, W ILSO N had no contact w ith Lam son, and W IL SO N knew that the

exem ption to Rule 144 referenced in the letterdid notapply.

33. O n or about O ctober 22,2012,on the instm ctions of Sanders and M cK elvey,and

using the O ctober 18,2012 letterfrom A ND RE W H .W IL SO N forcover,butw ithoutconfirm ing

orverifying thatthe nam ed shareholdersauthorized thetransferoftheirshares,JO H N A H EA R N

caused a1l ofthe EERT shares to be transferred to nam es supplied by A ttorney A . A lso on or

about October 22,2012, AH EAR N caused to be transm itted via FederalExpress f'
rom M iller

Place, N ew Y ork, to Attorney A in V ancouver, British Colum bia, copies of certain share

certificates and cop orate paperwork for EERT. A t the tim e he sent the share certificates to

Attorney A ,A H EA R N knew the sharesw ere im properly classified asfree trading when in reality

they should have been restricted.


Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 10 of 17

34. On or about October 22, 2012, Jam es M . Schneider received approxim ately

$324,060 into his attonwy trustaccountatSabadellUnited Bank,N .A .in Boca Raton,Florida,


representing the proceedstransm itted by A ttorney A for the EERT restricted and purported free

trading shares. On or about October 23, 2012, Sclm eider disbursed the funds obtained from

AttorneyA ontheinstructionsofStevenSanders. SchneiderdisbursedthemajorityoftheEERT


proceedsto accountscontrolledby M yron Gushlak,even though Sclm eiderdid notobtain approval

from any ofthe nam ed EERT shareholdersorthe nam ed officer,Jeffrey Lam son,authorizing such

disbursem ents. Sclm eideralso disbursed sum sto Sanders,D anielM cK elvey,JO H N AH EA R N ,

AN D REW H .W ILSO N and him selfforparticipation in the transaction.

35. A ttorney A and the principals who purchased the EERT shares used the opinion

letters from A N DR EW H .W ILSO N to subsequently transfer and depositthe shares fortrading.

Shortly thereafter,the buyers caused a reverse m erger ofEERT w ith anotherentity and renam ed

itççBiozoom ,lnc.,''w ith tickersym bolCCBIZM .'' Because the EERT shares had been previously

fraudulently sold and classified as urlrestricted, and w ere conveyed with false opinion letters

am ong other false docum ents,the BIZM principals w ere in a position to engage in a pum p and

dum p stock m anipulation schem e using the EERT shares previously purchased from the

conspirators.

O VER T A C TS

Infurtheranceoftheconspiracyandtoachievetheobjectsandpurposethereof,atleastone
conspirator com m itted and caused to be com m itted, in the Southern District of Florida, and

elsewhere,atleastone ofthe follow ing overtacts,am ong others:

On or about October 20,2012,A ttorney A sent an em ail to JO H N AH EA RN ,

copying D anielM cK elvey and Steven Sanders,to finalizedetailsrelated to the sale ofthe restricted

10
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 11 of 17

and purported free trading sharesofEERT,thatw astransm itted 9om V ancouver,Canada to Boca

Raton,Florida and Erie,Colorado.

On oraboutO ctober 23,2012,Steven Sanders,Jam es Schneider and A N D REW

H.W ILSON caused awiretransferof$1,500 from aSabadellBank accountending in x-9646,in


Boca Raton,Florida,to a W estam erica Bank accountending in x-0584,in Sausalito,California,in

the nam e ofW ilson Cam pilongo LLP,representing paym entforan opinion letterrelated to shares

ofEERT.

On or about O ctober 23, 2012, Steven Sanders, Jam es Schneider and JO H N

AHEARN caused a wire transferof$2,125 from a SabadellBarlk accountending in x-9646 in


BocaRaton,Florida,to a Chase Bank accountending in x-0021,in M illerPlace,N ew York,in the

nam e of M anhattan Transfer Registrar Com pany,representing paym ent fortransfer services for

EERT.

A 11in violation ofTitle 18,United StatesCode,Section 371.

FO R FEITU RE
(18U.S.C.j981(a)(1)(C))
The allegations of this Inform ation are realleged and by this reference fully

incorporated herein forthe purpose ofalleging forfeitureto theU nited StatesofAm ericaofcertain

property in which the defendants have an interest.

2. Upon conviction ofthe violation alleged in this lnform ation,the defendants shall

forfeit to the United States,any property,real orpersonal,w hich constitutes or is derived from

proceedstraceable to such violation.

11
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 12 of 17

Al1pursuanttoTitle18,United StatesCode,Section981(a)(1)(C)and theproceduresset


forth in Title 21,United States Code, Section 853,m ade applicable by Title 28,United States

Code,Section 2461.

V ,zw xyss
S RANDYAH U M M EL
.
J J sz -

A TTO RN EY FOR THE UN ITED STA TES,


A CTIN G U N D ER A UTHO RITY
CONFERRED BY 28U.S.C.j515

JE B U FFY
A SSI T U N ITED STA TES A TTO RN EY

12
UNITED STATES DISTRIG COURT
Case 1:17-cr-20883-KMW Document 1 RN
SOUTHE Entered
DISTRIW on
OFFLSD
FLORIDADocket 12/14/2017 Page 13 of 17

UNITED STATES OF AM ERICA CASE NO .


VS.
CERTIFICATE OFTRIALATTORNEY'
JOHN AHEARN and
ANDREW H.W IG ON,
Defendants.
/ Superseding Case Inform ation:

courtDivision:(sel
ectone) New Defendantts) Yes No
Num berofNew Defendants
M iam i Key W est Totalnum berofcounts
FTL W PB FTP
Ido hereby certi
fythat:
Ihave carefull
y considered the all
egations of the indictm ent,the num ber of defendants,the num ber of
probablewitnessesandtheIegalcomplexitiesoftheIndictment/lnformationattachedhereto.
Iam aware thatthe inform ation supplied on thisstatem entwillbe relied upon bythe JudgesofthisCour'tin
settingtheircalendarsand schedulingcrim inaltrialsunderthe m andateofthe SpeedyTrialAct,Title 28 U.S.C.
Section 3161.

Interpreter: (YesorNo) NO
ListIanguage and/ordialect
4. Thiscase w illtake 0 daysforthe partiesto try.
Please checkappropriate category and type ofoffense Iisted below :

(Checkonlyone) (Checkonlyone)
I 0 to 5 days X Petty
11 6 to 10 days M inor
11 llto 20 days M isdem .
IV 21to 60 days Felony X
V: 61 days and over
6. Hasthiscasebeen previousl
yfiled inthisDistrictCourt? (YesorNo) No
Ifyes:
Judge: Case No.
Hasacomplaintbeenfiled inthismatter? (YesorNo) No
lfyes:
M agistrate Case No.
Related M iscellaneousnum bers:
Defendantts)infederalcustodyasof
Defendantts)instatecustodyasof
Rule 20 from the Dlstrlcto

lsthisapotentialdeathpenal
tycase?(YesorNo) No
Doesthis case originate from a m atterpending in the Northern Region ofthe U.S.Attorney'sOffice priorto
October14,2003? Yes X No

8. Does this case originate from a m atter pending in the CentralRegion ofthe U.S.Attorney's Office priorto
Septem ber1,2007: 2 Yes X No

JERROB U Y
ASSISTA T NITED STATESAU ORNEY
Florida rNo.A5501106

*penaltySheetts)attached REV4/8/08
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 14 of 17

UN ITED STA TES DISTR IC T C O U R T


SO U TH ER N DISTRIC T O F FLO R IDA

PEN A LTY SH EET

D efendant's Nam e:JO H N A H EA RN

C ase No:

Count#:1

Conspiracy to Unlaw fully SellU nregistered Securities

Title 18sUnited States Code.Section 371

*M ax.Penalty: Five(5)years'imprisonment
Count#:

*M ax.Penalty:

Count#:

*M ax.Penalty:

Count#:

*M ax.Penalty:

*Refers only to possible term ofincarceration,doesnotinclude possible fines,restitution,


specialassessm ents,parole term s,or forfeituresthatm ay be applicable.
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 15 of 17

U N ITE D STA TES DIST RIC T CO U RT


SO UTH ER N D ISTR ICT O F FL O R ID A

PEN A LTY SH EET

D efendantfsN am e:A N DR EW H .W ILSO N

C ase N o:

Count#:1

Conspiracv to U nlawfullv SellUnreaistered Securities

Title 18.U nited StatesC ode.Section 371

*M ax.Penalty: Five(5)years'imprisonment
Count#:

*M ax.Penalty:

Count#:

*M ax.Penalty:

Count#:

*M ax.Penalty:

WR efersonly to possible term ofincarceration,does not include possible fines,restitution,


specialassessm ents,parole term s,or forfeitures thatm ay be applicable.
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 16 of 17

AO 455(Rev.01/09)WaiverofanIndictment

U NITED STATES D ISTRICT C OURT


forthe
Southern DistrictofFlorida

United StatesofAm erica


V. CaseNo.
John Ahearn,

Dejkndant

W AIVER O F AN INDICTM EN T

Iunderstand thatlhave been accused ofoneorm ore offensespunishable by im prisonm entformore than one
year. Iwasadvised in open courtofm y rightsand thenature ofthe proposed chargesagainstm e.

Afterreceiving thisadvice,Iwaive my righttoprosecution by indictm entand consentto prosecution by


information.

Ilate:

Si
gnatureofdefendant'
sattorney

Judge'ssignature
Case 1:17-cr-20883-KMW Document 1 Entered on FLSD Docket 12/14/2017 Page 17 of 17

AO 455(Rev.01/09)WaiverofanIndictment

U NITED STATESD ISTRICT C OURT


forthe
Southern DistrictofFlorida

United StatesofAm erica )


V. ) CaseNo.
Andrew H .W ilson, )
)
)

W AIVER OF AN INDICTM ENT

Iunderstand thatIhavebeen accused ofoneormoreoffensespunishableby imprisonmentformorethan one


year. lwasadvised in open courtofmy rightsand the natureoftheproposed chargesagainstm e.

Afterreceiving thisadvice,lwaivemy rightto prosecution by indictmentand consentto prosecution by


information.

Signatureofdefendant'sattorney