Indictment against stockbroker Boris Shtyengart

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INDICTMENT~ \ ~

SUP REM EC 0 U R TO F THE S TAT E 0 F NEW Y 0 R K

COUNTYOFKINGS

. J. BORIS SHTEYNGART,

DEFENJ)ANT

INJ)ICTMENT NO. 8852/20 1

SUPERSEDING INDICTM TNO. 9493/2010

DOCKET NO. 2011KN07754

THR PEOPLÉOF THl! STATE OF NEW YORK

-AGAINST-

NON-ALIGNEDRACKETS DIVISION

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COUNTS:I, i ~

GRAND LARCENY ÍN THE SECOND DEGREE

SCHEME TO DEFRAUD IN THE FI~ST DEGREE

ATTEMPTED GRAND LARCENY IN THE THIRD DEGREE1 i ì I

,( COUNT)

(1 COUNT)

,(4 COuNTS)

(l COUNT)

GRAND LARCENY IN THE THIRD DEGREE~ ¡ i ¡: I

.1 i iCRIMINAL POSSESSION OF A FORGED INST~UMENT INTHE SECOND DEG~E

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(2 COuNTS)

FORGERY IN THE SECOND DEGREE

. CRIMINAL IMPERSONATION IN THE SECOND uEÚREE

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:(2 COUNTS)

(4 COUNTS)

FRAUDULENT PRACTICE ÍN RESPECT TO A STOCK, BONDAND OTHER SECURITIES (15 COUNTS)

ATTEMPTED FRAUDULENT PRACTICE IN RESPECT TO ASTOCK, BOND ANO OTHE~SECUlUTIES\-.. 0CJ(J' _

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(5 COUNTS)

I.

CHARLES J. HYNl!SDISTmct ATTORNEY

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COUNT 1:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: GRAND LARCENY IN THE SECONDDEGREE (PENAL LAW §I55.40(l)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK, AS PARTOF AN ONGOING COURSE OF CONDUCT AND PURSUANT TO A COMMONPLAN AND SCHEME, STOLE PROPERTY, NAMELY: UNITED STATESCURRNCY, VALUED IN EXCESS OF FIFTY THOUSAND DOLLARS ($50,000),FROM KENNETH ROWAN.

COUNT 2:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: GRAND LARCENY IN THE THIRD DEGREE(PENAL LAW § I55.35J AS COMMITTED AS FOLLOWS: i

I i1 i , 'THE DEFENDANT, ON OR ABOUT AND BETWEENAPRIL I5,¡2qi~ AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK, AS PARTOF AN ONGOING COURSE OF CONDUCT AND PURSUANT TO A COMMONPLAN AND SCHEME, STOLE PROPERTY, NAMELY: UNITED STAtES i'CURRNCY, VALUED IN EXCESS OF THREE THOlfSAND DaLtARS ($3,000),FROM KENNETH ROWAN. ' ,

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COUNT 3:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCl)SES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: CRIMINALIMPERSONATIQN IN THESECOND DEGREE (PENAL LAW §I90.25(2)J AS1 ÇOMMITTED AS FOLLOWS:" 'THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,PRETENDED TO BE A REPRESENTATIVE OF SOME PERSON ANDORGANIZATION, AND DID AN ACT IN SUCH PRETENDED Cf\PAÇITY WITHINTENT TO OBTAIN A BENEFIT OR TO INJURE OR DEFRAUD ANOTHER,NAMEL Y: THE DEFENDANT PRETENDED TO ßE A REPRESENTATIVE OF S.GOLDMAN ADVISORS IN A WRITTEN CORRESPONDENCE SENT TOKENNETH ROWAN, WHILE HAVING THE INTENT TO OBTAIN MONIES FROMKENNETH ROWAN AND TO INJURE AND DEFRAUD KENNETH ROWAN.

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COUNT 4:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: CRIMINAL IMPERSONATION IN THESECOND DEGREE (PENAL LAW § 1 90.25(2) J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,PRETENDED TO BE A REPRESENT A TIVE OF SOME PERSON ANDORGANIZATION, AND DID AN ACT IN SUCH PRETENDED CAPACITY WITHINTENT TO OBTAIN A BENEFIT OR TO INJURE OR DEFRAUD ANOTHER,NAMEL Y: THE DEFENDANT PRETENDED TO BE A REPRESENTATIVE OF S.GOLDMAN ADVISORS IN AN ORAL COMMUNICATION WITH KENNETHROWAN, WHILE HAVING THE INTENT TO OBTAIN MONIES FROM, AND TOINJURE AND DEFRAUD KENNETH ROWAN.

COUNT 5:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE 'DEFENDANT, BORlSSHTEYNGART, OF THE CRIME OF: SCHEMETO DEFRAUD IN tHE FIRST1 'DEGREE (PENAL LAW §I90.65(I)(B)J AS COMMITTED AS FOLLOWS:, i L,THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDSEPTEMBER 27, 2011, IN THE COUNTY OF KINGS AND THE STATE' OF NEWYORK, ENGAGED IN A SCHEME CONSTITUTING A SYSTEMATIC ONGOINGCOURSE OF CONDUCT WITH INTENT TO DEFRAUD MORE THAN ONE.,. i)'PERSON, AND TO OBTAIN PROPERTY FROrv ¥ORE THAN ONE PERSON BYFALSE OR FRAUDULENT PRETENSES, REPRE:St:NTATIONS .çNDPROMISES,AND SO OBTAINED PROPERTY WITH A VALUE IN EXCESS OF OWETHOUSAND DOLLARS FROM ONE OR MOiz SUCH PERSONS. I , '

COUNT 6:i

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BqRIS.SHTEYNGART, OF THE CRIME OF: GRAND LARCENY IN'THE THIRD DEGREE(PENAL LAW §I55.35J AS COMMITTED AS F~tLOWS: i':, :

THE DEFENDANT ON OR ABOUT AND BETWEEN APRIL 16,2010 ,AND APRIL14,2011, IN THE COUNTY OF KINGS AND THEiSTATEOF,NEW YOtRK, ASPART OF AN ONGOING COURSE OF CONDUCT AND PURSUANT. 0 ACOMMON PLAN AND SCHEME, STOLE PROPERTY, NAMELY: UNITEDSTATES CURRNCY, VALUED IN EXCESS OF THREE THOU~ANI?i DOLLARS($3,000) FROM ROBERT THOMPSON. ' ,i I

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3

COUNT 7:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED GRAND LARCENY IN THETHIRD DEGREE (PENAL LAW § 110/155.35(1)) AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27,2011, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, AS PART OF AN ONGOING COURSE OF CONDUCT AND PURSUANT TOA COMMON PLAN AND SCHEME, ATTEMPTED TO STEAL PROPERTY,NAMEL Y: UNITED STATES CURRNCY, VALUED IN EXCESS OF THREETHOUSAND DOLLARS ($3,000), FROM MARCY YAVOR.

COUNT 8:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: CRIMINAL IMPERSONATION IN THESECOND DEGREE (PENAL LAW § 190.25(2)) AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWigEN SEPTEMBER 8,201 1 ANDSEPTEMBER 27, 2011, IN THE COUNTY OF KINGS AND THE STATHOFNEWYORK, PRETENDED TO BE A REPRESENTAT~VE OF SOME PERSON ÀNDORGANIZATION, AND DID AN ACT IN SUCH PRETENDED CAPACITY WITHINTENT TO OBTAIN A BENEFIT OR TO INJURE OR DEFRAUD ANOtHER,NAMELY: THE DEFENDANT PRETENDED TÓ BE A REPRESENTAtIVE dF S.GOLDMAN ADVISORS IN A WRITTEN CORRSPONDENCE WITH1 tJARCYYA VOR, WHILE HAVING THE INTENT TO OBtAIN MONIES fROM; AND TOINmRE AND DEFRAUD MARCY Y A VOR.! " . .

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COUNT 9:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORI'SSHTEYNGART, OF THE CRIME OF: CRIMINArJ IMPERSONATION IN THESECOND DEGREE (PENAL LAW § 190.25(2) J AS COMMITTED AS FOLLOWS:" I,THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27,2011, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, PRETENDED TO BE A REPRESENTATIVE OF SOME PE.RsdN ANDORGANIZATION, AND DID AN ACT IN SUCH ~RETENDEP CJ\~AÇITY WITHINTENT TO OBTAIN A BENEFIT OR TO INJURE OR DEFRAUD ANOTBER,NAMELY: THE DEFENDANT PRETENDED TÓ:ßE A REPRESENTATIVE OF S.GOLDMAN ADVISORS IN AN ORAL COMMUNICATION WITH MARCY ,. . iYA VOR, WHILE HA VlNG THE INTENT TO OBTAIN MONIES fROM, AN~ TOINJURE AND DEFRAUD MARCY YAVOR. i ,I,

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COUNT 10:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: GRAND LARCENY IN THE THIRD DEGREE(PENAL LAW §I55.35JAS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 22, 2009 ANDMARCH 26, 2009, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,AS PART OF AN ONGOING COURSE OF CONDUCT AND PURSUANT TO ACOMMON PLAN AND SCHEME, STOLE PROPERTY, NAMELY: UNITED

. STATES CURRNCY, VALUED IN EXCESS OF THREE THOUSAND DOLLARS($3,000) FROM MARVIN GITTES.

COUNT 11:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: FORGERY IN THE SECOND DEGREE(PENAL LAW §I 70.I0(1)J AS COMMITTED AS FOLLOWS: '

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THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 24, 2009 ANDMARCH 26,2009, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,WITH INTENT TO DEFRAUD, DECEIVE OR INJURE ANOTHER, F ALSEL YMADE, COMPLETED OR ALTERED A WRITTEN INSTRUMENT WBICri WASAND PURPORTED TO BE, AND WHICH WAS CALCULATED TO BEèoME ORTO REPRESENT ONCE COMPLETED A COMMERCIAL INSTRUMENT;NAMEL Y: A CHECK MADE PAYABLE TO "BORI". :

COUNT 12:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: CRIMINAL POSSESSION OF AFORGEDINSTRUMENT IN THE SECOND DEGREE (PENJ.L LAW § 170.25) ASCOMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 24, 2009 ANDMARCH 26,2009, IN THE COUNTY OF KINGS AND THE STATE OFNEW YORK,WITH KNOWLEDGE THAT IT WAS FORGED AND WITH INTENT to .DEFRAUD, DECEIVEOR INJURE ANOTHER, qTTERED AND ~OSSESSED AFORGED WRITTEN INSTRUMENT WHICH WAiS AND PURPORTED: TO BE, ANDWHICH WAS CALCuLATED TO BECOME AND TO REPRESENT ONCECOMPLETED, A COMMERCIAL INSTRQMENT; NAMELY:' A CHECK MADEPAYABLE TO "BORI".

5

COUNT 13:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: GRAND LARCENY IN THE THIRD DEGREE(PENAL LAW §I55.351AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDAPRIL 24, 2009, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,AS PART OF AN ONGOING COURSE OF CONDUCT AND PURSUANT TO ACOMMON PLAN AND SCHEME, STOLE PROPERTY, NAMELY: UNITEDSTATES CURRNCY, VALUED IN EXCESS OF THREE THOUSAND DOLLARS($3,000) FROM CLYDE NICHOLS.

COUNT 14:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: FORGERY IN THE SECOND DEGREE(PENAL LAW §I 70.10(1)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 15,2009 ANDJANUARY 20,2009, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, WITH INTENT TO DEFRAUD, DECEIVE OR INJURE ANOTHER,FALSEL Y MADE, COMPLETED OR ALTERED A WRITTEN INSTRUMENTWHICH WAS AND PURPORTED TO BE, AND WHICH WAS CALCULATED TOBECOME OR TO REPRESENT ONCE COMPLETED A COMMERCIALINSTRUMENT; NAMELY: A CHECK MADE PAYABLE TO "BORI".: ,

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COUNT 15:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: CRIMINAL POSSESSION OF A'FORGEDINSTRUMENT IN THE SECOND DEGREE (PENAL LAW § 1 70.25) ASCOMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 15,2009 ANDJANUARY 20, 2009, IN THE COUNTY OF KINGS AND THE STATE 9f NEWYORK WITH KNOWLEDGE THAT IT WAS FORGED AND WITH INTENT TO,. ,DEFRAUD, DECEIVE OR INJURE ANOTHER, UTTERED AND POSSESSr:D AFORGED WRITTEN INSTRUMENT WHICH WAS AND PURPORTEn TÖ BE, ANDWHICH WAS CALCULATED TO BECOME AND TO REPRÉSENT ONCECOMPLETED, A COMMERCIAL INSTRUMENT; NAMELY: A CHECK MADEPAYABLE TO ¡'BORI".

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COUNT 16:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: FRAUDULENT PRACTICE IN RESPECT TOA STOCK, BOND AND OTHER SECURITIES (GENERAL BUSINESS LAW §352-C(6)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD, NAMELY: BYMISREPRESENTING THAT MONIES THAT KENNETH ROWAN WAS TO SEND,AND IN FACT SENT, WOULD BE USED TO PURCHASE SECURITIES, AND THEDEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTING THEISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASEWITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, AND THEREBYWRONGFULLY OBTAINED PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM KENNETH ROWAN.

COUNT 17:


THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD, NAMELY: BYMISREPRESENTING THAT THE DEFENDANT WAS AFFILIATED WITlf S.GOLDMAN ADVISORS WHILE COMMUNICATING WITH KENNETH ROWAN,AND THE DEFENDANT DID SO WHILE ENGAGED IN INDUCING ANDPROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE,NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATE OF ANYSECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTY OF AVALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY:UNITED STATES CURRENCY FROM KENNETH ROWAN.

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COUNT 18:


THE DEFENDANT, ON OR ABOUT AND BETWEEN APRIL 15,2010 AND JUNE 1,2010, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK, .INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT THE PERSON WHO WAS SUPPOSED TO INVESTMONIES THAT KENNETH ROW AN SENT, WAS A BROKER AUTHORIZED, ATTHAT TIME, BY LAW TO TRANSACT IN SECURITIES, AND THE DEFENDANTDID SO WHILE ENGAGED IN INDUCING AND PROMOTING THE ISSUANCE,DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASE WITHIN ORFROM NEW YORK STATE OF ANY SECURITIES, AND THEREBYWRONGFULL Y OBTAINED PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM KENNETH ROWAN.

COUNT 19:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: FRAUDULENT PRACTICE IN RESPECT TOA STOCK, BOND AND OTHER SECURITIES (GENERAL BUSINESS LAW §352-C(6)J AS COMMITTED AS fOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 22, 2009 ANDMARCH 26, 2009, IN THE COUNTY OF KINGS AND THE STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT MONIES THAT MARVIN GITTES WAS TO SEND,AND IN FACT SENT, WOULD BE USED TO PURCHASE SECURITIES, AND THEDEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTING THEISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASEWITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, AND THEREBYWRONGFULL YOBTAINED PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM MARVIN GITTES.

8

COUNT 20:


THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 22, 2009 ANDMARCH 26, 2009, IN THE COUNTY OF KINGS, STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYCHANGING THE NAME OF A PAYEE ON A CHECK FROM "BORI" TO "BORISSHTEYNGART", AND THE DEFENDANT DID SO WHILE ENGAGED ININDUCING AND PROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE,SALE, NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATEOF ANY SECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTYOF A VALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250);NAMELY: UNITED STATES CURRNCY FROM MARVIN GITTES.

COUNT 21:


THE DEFENDANT, ON OR ABOUT AND BETWEEN MARCH 22, 2009 ANDMARCH 26,2009, IN THE COUNTY OF KINGS, STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE AND MADÊ ANY MATERIAL FALSE REPRESENTATION OR, ,STATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT A BROKERAGE COMPANY WITH WHICH MARVINGITTES HAD BEEN DEALlNG WAS AUTHORIZED TO DEAL IN SECURITIES,AND THAT THE DEFENDANT DID SO WHILE ENGAGED IN INDUCING ANDPROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE,NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATE OF ANYSECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTY OF AVALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY:UNITED STATES CURRENCY FROM MARVIN GITTES.

9

COUNT 22:


THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDJANUARY 20,2009, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT MONIES THAT CLYDE NICHOLS WAS TO SEND,AND IN FACT SENT, WOULD BE USED TO PURCHASE SECURITIES, AND THEDEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTING THEISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASEWITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, AND THEREBYWRONGFULL Y OBTAINED PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM CLYDE NICHOLS.

COUNT 23:


THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 15,2009 ANDJANUARY 20, 2009, IN THE COUNTY OF KING, STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYCHANGING THE NAME OF A PAYEE ON A CHECK FROM "BORI" TO "BORISSHTEYNGART", AND THE DEFENDANT DID SO WHILE ENGAGED ININDUCING AND PROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE,SALE, NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATEOF ANY SECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTYOF A VALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250);NAMELY: UNITED STATES CURRNCY FROM CLYDE NICHOLS.

10

COUNT 24:


THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDJANUARY 20, 2009, IN THE COUNTY OF KING, STATE OF NEW YORK,INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT A BROKERAGE COMPANY WITH WHICH CLYDENICHOLS HAD BEEN DEALING WAS AUTHORIZED TO DEAL IN SECURITIES,AND THAT THE DEFENDANT DID SO WHILE ENGAGED IN INDUCING ANDPROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE,NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATE OF ANYSECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTY OF AVALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY:UNITED STATES CURRNCY FROM CLYDE NICHOLS.

COUNT 25:


THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDAPRIL 22,2009, IN THE COUNTY OF KING, STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT MONIES THAT CL YDE NICHOLS WAS TO SEND,AND IN FACT SENT, WOULD BE USED TO PURCHASE SECURITIES, AND THEDEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTING THEISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASEWITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, AND THEREBYWRONGFULL Y OBTAINED PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM CLYDE NICHOLS.

11

COUNT 26:


THE DEFENDANT, ON OR ABOUT AND BETWEEN JANUARY 9, 2009 ANDAPRIL 22, 2009, IN THE COUNTY OF KING, STATE OF NEW YORK,INTENTIONALL Y ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENT A TION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT A BROKERAGE COMPANY WITH WHICH CL YDENICHOLS HAD BEEN DEALING WAS AUTHORIZED TO DEAL IN SECURITIES,AND THAT THE DEFENDANT DID SO WHILE ENGAGED IN INDUCING ANDPROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE,NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATE OF ANYSECURITIES, AND THEREBY WRONGFULLY OBTAINED PROPERTY OF AVALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY:UNITED STATES CURRNCY FROM CLYDE NICHOLS.

COUNT 27:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED FRAUDULENT PRACTICE INRESPECT TO A STOCK, BOND AND OTHER SECURITIES (PENALLAW/GENERAL BUSINESS LAW §I IO/352-C(6)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27,2011, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT MONIES THAT MARCY Y A VOR WAS TO SEND,WOULD BE USED TO PURCHASE SECURITIES, AND THE DEFENDANT DID SOWHILE ENGAGED IN INDUCING AND PROMOTING THE ISSUANCE,DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION OR PURCHASE WITHIN ORFROM NEW YORK STATE OF ANY SECURITIES, AND THEREBY ATTEMPTEDTOWRONGFULL Y OBTAIN PROPERTY OF A VALUE IN EXCESS OF TWOHUNDRED FIFTY DOLLARS ($250); NAMELY: UNITED STATES CURRNCYFROM MARCY YA Vq)R.

12

COUNT 28:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED FRAUDULENT PRACTICE INRESPECT TO A STOCK, BOND AND OTHER SECURITIES (PENALLAW/GENERAL BUSINESS LAW §IIO/352-C(6)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27,2011, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT THE PERSON WHO WAS SUPPOSED TO INVESTMONIES THAT MARCY YA VOR WAS DIRECTED TO SEND, WAS A BROKERAUTHORIZED, AT THAT TIME, BY LAW TO TRANSACT IN SECURITIES, ANDTHE DEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTINGTHE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION ORPURCHASE WITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, ANDTHEREBY ATTEMPTED TO WRONGFULLY OBTAIN PROPERTY OF A VALUEIN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY: UNITEDSTATES CURRNCY FROM MARCY YAVOR.

COUNT 29:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED FRAUDULENT PRACTICE INRESPECT TO A STOCK, BOND AND OTHER SECURITIES (PENALLAW/GENERAL BUSINESS LAW §110/352-C(6)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27,2011, IN COUNTY OF KINGS AND THE STATE OF NEW YORK,INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD, NAMELY: BYMISREPRESENTING THAT STERNE, AGEE AND LEACH WOULD BERECEIVING MONIES THAT MARCY YA VOR WAS DIRECTED TO SEND, ANDTHE DEFENDANT DID SO WHILE ENGAGED IN INDUCING AND PROMOTINGTHE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE, NEGOTIATION ORPURCHASE WITHIN OR FROM NEW YORK STATE OF ANY SECURITIES, ANDTHEREBY ATTEMPTED TO WRONGFULLY OBTAIN PROPERTY OF A VALUEIN EXCESS OF TWO HUNDRED FIFTY DOLLARS ($250); NAMELY: UNITEDSTATES CURRENCY FROM MARCY YA VOR.

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COUNT 30:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED FRAUDULENT PRACTICE INRESPECT TO A STOCK, BOND AND OTHER SECURITIES (PENALLAW/GENERAL BUSINESS LAW §I IO/352-C(6)) AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27, 2011, IN THE IN COUNTY OF KINGS AND THE STATE OF NEWYORK, INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD; NAMELY: BYMISREPRESENTING THAT THE DEFENDANT WAS AFFILIATED WITH S.GOLDMAN ADVISORS WHILE COMMUNICATING WITH MARCY YAVOR,AND THE DEFENDANT DID SO WHILE ENGAGED IN INDUCING ANDPROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE, SALE,NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATE OF ANYSECURITIES, AND THEREBY ATTEMPTED TO WRONGFULLY OBTAINPROPERTY OF A VALUE IN EXCESS OF TWO HUNDRED FIFTY DOLLARS($250); NAMELY: UNITED STATES CURRNCY FROM MARCY YAVOR.

COUNT 31:

THE GRAND JURY OF THE COUNTY OF KINGS AND THE STATE OF NEWYORK, BY THIS INDICTMENT ACCUSES THE DEFENDANT, BORISSHTEYNGART, OF THE CRIME OF: ATTEMPTED FRAUDULENT PRACTICE INRESPECT TO A STOCK, BOND AND OTHER SECURITIES (PENALLAW/GENERAL BUSINESS LAW §I IO/352-C(6)J AS COMMITTED AS FOLLOWS:

THE DEFENDANT, ON OR ABOUT AND BETWEEN SEPTEMBER 8, 2011 ANDSEPTEMBER 27, 2011, IN THE COUNTY OF KINGS AND THE STATE OF NEWYORK, INTENTIONALLY ENGAGED IN FRAUD, DECEPTION, CONCEALMENT,SUPPRESSION, FALSE PRETENSE OR FICTITIOUS OR PRETENDED PURCHASEOR SALE, AND MADE ANY MATERIAL FALSE REPRESENTATION ORSTATEMENT WITH INTENT TO DECEIVE OR DEFRAUD, NAMELY: BYMISREPRESENTING HIS NAME TO BE "BRIAN STEIN" RATHER THAN "BORISSHTEYNGART" WHEN COMMUNICATING AND CORRSPONDING WITHMARCY YA VOR, AND THE DEFENDANT DID SO WHILE ENGAGED ININDUCING AND PROMOTING THE ISSUANCE, DISTRIBUTION, EXCHANGE,SALE, NEGOTIATION OR PURCHASE WITHIN OR FROM NEW YORK STATEOF ANY SECURITIES, AND THEREBY ATTEMPTED TO WRONGFULLYOBTAINED PROPERTY OF A VALUE IN EXCESS OF TWO HUNDRED FIFTYDOLLARS ($250); NAMELY: UNITED STATES CURRENCY FROM MARCYYAVOR.

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SERVICE OF PRE-TR lv10TIONS BY DEFENDAN

precl;ude any pre~trial motions made .thereafter.

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Article 2l~'idefendant (s) must ordinarily make all pre-trial motions wit~in

i. I ifortY-five days after arraignment and before commencement ,Of tr~tl'

Upon expiration of the applicable period within which defend~nt. i 'I imust make pre-trial motiots ~ the ~eople will mov~ the Court I to

I

I

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TO DEPENDAN':::

PLEASE TA.KE NOTICE that p'ursuahtto C.P.L.

Sincerely,

CHALES J. HYNESDistrict Attor.neyKings County

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ii

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GJ 16 - Rev. 7/98

Indictment against stockbroker Boris Shtyengart

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Transcript of Indictment against stockbroker Boris Shtyengart