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o Indictment 0 Information .Complaint 0 Order of Court 0 Violation Notice 0 Probation Violation Petition
charging him with (brief description of offense) Conspiracy to obstruct an official proceeding, to obstruct justice
and to defraud the U.S. Securities and Exchange Commission; and Obstruction of an official proceeding,
Bail fixed at $ _ by
Name of Judicial Officer
RETURN
This warrant was received and executed with the arrest of the above named-defendant at
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DATE RECEIVED NAME AND TITLE OF ARRESTING OFFICER SIGNATURE OF ARRESTING OFFICER
DATE OF ARREST
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AD 91 (Rev. 08(09) Criminal Complaint
for the
District of Connecticut
CRIMINAL COMPLAINT
I, the complainant in this case, state that the following is true to the best of my knowledge and belief.
On or about the date(s) of October 2010Jo March 2011 in the county of . Fairfield in the
District of ConnecticuL__ , the defendant(s) violated:
Complainant's signature
AFFIDAVIT
state:
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obstruction of an official proceeding, in violation of 18 U.S.C.
§§ 1512 & 2.
obtained from FBI Special Agent Jason M. Breen, who is the case
appointed receiver and his staff. The facts set forth herein do
Applicable Law
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United States, or any agency thereof in any manner or
for any purpose, and one or more of such persons do any
act to effect the object of the conspiracy, each shall
be fined under this title or imprisoned not more than
five years, or both.
"MK Capital") and other related entities and hedge funds, as well
of the hedge funds involved include the Short Term Liquidity Fund
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(hereafter, "STLF"), the MK Venezuela Fund (hereafter, the "MK VZ
CHS, the Accountant and HORNA all knew that no such loans were
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Letter to the SEC in the course of its official investigation.
proceeding, and to defraud, among others, the SEC. The CHS hopes
and others has been corroborated by, among other things, public
criminal investigation.
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and file civil actions to protect investors in connection with
10. On or about January 14, 2011, the SEC filed the SEC
funds were misappropriated from STLF and the MK VZ Fund. The SEC
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and the U.S. Attorney's Office for the District of Connecticut.
scheme the CHS engaged in was to disguise the fact that Funds and
13. The CHS has advised, among other things, that the fraud
The CHS has advised that, as part of the fraud, the CHS, among
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investors and the SEC about the existence and extent of the
hole in the assets of the hedge funds the CHS advised, the CHS
STLF.
15. Specifically, the CRS has advised that the CHS, HORNA
the SEC, among others, that STLF had adequate capital to protect
conspiracy to obstruct.
16. The CHS has advised that, in order to carry out the
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explained that this sum of money was necessary to provide illicit
impression that the loans did exist and were in fact assets of
STLF. The CHS has advised that both HORNA and the Accountant
knew that the Fictitious Asset Verification Letter was false and
that no such assets existed and no such loans were owed to STLF.
17. The CHS has advised in sum and substance that HORNA
served the role of liaison between the CHS and the Accountant and
SEC investigation and the SEC Action, HORNA used the JEISLO Real
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Accountant for a verification of outstanding receivables of the
STLF.
were real. According to the SEC, at the time of the call, the
dealing with the SEC, given that his accounting firm was
existed.
told the SEC that he was introduced to the CHS by HORNA, whom the
CHS and he had spoken about the CHS's desire for the Accountant
of the loans. The Accountant told the SEC that HORNA had
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which list included the company addresses and the amount of each
loan. The Accountant further advised the SEC that he had spoken
to all the companies that had outstanding loans with the CHS's
group and that he was waiting for their responses to confirm the
loans. The Accountant told the SEC that he had received several
told the SEC that, for example, one company in the loan portfolio
that had a $56 million loan balance had not provided him with
Accountant also told the SEC that he had started contacting the
any names of any persons at the companies with whom he had spoken
about January 12, 2011, HORNA sent an email message to the CHS
giving the CHS instructions on where to wire money that was part
the email indicates that HORNA advised the CHS that HORNA was
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working on a proposal involving a real estate matter, and that
the address of JEISLO, which the email reflects was 1872 NW 139
also reflects that the email notes at the end that the reason for
22. The CHS has advised, among other things, that the CHS
of companies and did not prepare a list of such loans for the
email is completely false as the CHS has admitted that there was
the CHS and HORNA or JEISLO. Rather, the CHS has advised that
the request for the $1.9 million was partial payment of the more
than $3 million the CHS agreed to pay to have others create and
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24. The CHS has admitted that in order to carry out the
the CHS requested that a third party make the payment. The CHS
has also advised that the CHS understood that the third party
also reported that the CHS understood that the third party made
two payments, one for approximately $1 million and the second for
approximately $250,000.
B.B. The address listed for JEISLO is the home address of B.B.
and that HORNA has been living at the address listed for JEISLO
that the account was opened by B.B. in our about February 2010.
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relating to this incoming wire contain the following notation:
this account.
about January 13, 2011, the day after HORNA sent the above-
$50,000 and $20,000 were wired from JEISLO Account #2 back into
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28. I have reviewed preliminary draft translations of
discussions concern the CHS and HORNA and/or the CHS, HORNA and
story to the SEC and the receiver. They also discuss the need to
U.S.C. § 371, and committed, and knowingly aided and abetted the
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in the interest of avoiding compromising the ongoing
WILLIt;f:2F~-~-K-E-L---------
UNITED STATES MAGISTRATE JUDGE
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