Re: United States of America v. Amr. I Elgindy; Superseding Indictment (Part 3 of 4)
ACT
DEFENDANTS
DATES
SECURITY
TWO
ELGINDY, ROYER and DAWS
October 2000 and March 2001
Company No. 1
THREE
ELGINDY, ROYER and DAWS
February 2001 and June 2001
Company No. 3
FOUR
ELGINDY, ROYER and DAWS
March 2001 and August 2001
Company No. 4
FIVE
ELGINDY, ROYER and DAWS
April 2001 and September 2001
Company No. 5
SIX
ELGINDY, ROYER and DAWS
March 2001 and September 2001
Company No. 6
SEVEN
ELGINDY, ROYER, DAWS and PETERS
May 2001 and September 2001
Company No. 7
EIGHT
ELGINDY, ROYER, DAWS and PETERS
November 2001 and April 2002
Company No. 8
Racketeering Act Nine
(Extortion Conspiracy)
xliii) In or about and between May 2001 and February 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER, JONATHAN DAWS and TROY M. PETERS, and Derrick W. Cleveland and others, did knowingly and intentionally conspire to obstruct, delay and affect commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others conspired to obtain property, to wit, stock and other things of value, with the consent of the owner of such stock and other things of value, which consent was to be induced by the wrongful use of actual and threatened force, violence and fear, in violation of Title 18, United States Code, Section 1951(a).
Racketeering Act Ten
(Extortion)
xliv) In or about and between May 2001 and August 2001, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER, JONATHAN DAWS and TROY M. PETERS, and Derrick W. Cleveland and others, did knowingly and intentionally obstruct, delay and affect commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others obtained property, to wit, the stock of Company No. 7, with the consent of the owner of such stock, which consent was induced by the wrongful use of actual and threatened force, violence and fear, in violation of Title 18, United States Code, Section 1951(a).
Racketeering Act Eleven
(Extortion)
xlv) In or about and between December 2001 and February 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and TROY M. PETERS, and Derrick W. Cleveland and others, did knowingly and intentionally obstruct, delay and affect commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others obtained property, to wit, the stock of Nuclear Solutions, with the consent of the owner of such stock, which consent was induced by the wrongful use of actual and threatened force, violence and fear, in violation of Title 18, United States Code, Section 1951(a).
Racketeering Act Twelve
(Obstruction of Justice)
xlvi) The defendants AMR I. ELGINDY, JEFFREY A. ROYER and LYNN WINGATE, and other members and associates, committed the following acts involving obstruction of justice, any one of which alone constitutes the commission of Racketeering Act Twelve.
A. Obstruction of Justice Conspiracy
xlvii) In or about and between October 2001 and May 2002, both dates being approximate and inclusive, within the Eastern District of New York and elsewhere, the defendants AMR I. ELGINDY, also known as "Tony Elgindy" and "Anthony Pacific," JEFFREY A. ROYER and LYNN WINGATE, together with others, did knowingly and willfully conspire to corruptly endeavor to influence, obstruct and impede the due administration of justice with respect to matters before a grand jury in the Eastern District of New York and elsewhere, in violation of Title 18, United States Code, Sections 371 and 1503.
xlviii) It was part of the conspiracy that the defendants accessed and caused to be accessed a confidential FBI database to gain information concerning the EDNY Grand Jury investigation, and provided such information to ELGINDY, ROYER and others.
xlix) In furtherance of the conspiracy, and for the purpose of effecting the objectives thereof, within the Eastern District of New York and elsewhere, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and LYNN WINGATE, and their coconspirators committed and caused to be committed, among others, the following:
OVERT ACTS
a. On or about October 4, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy" and an individual associated with the defendant AMR I. ELGINDY.
b. On or about October 12, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy, Anthony."
c. On or about October 17, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy" and "Royer, Jeff."
d. On or about October 20, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy, Anthony" and an individual associated with the defendant AMR I. ELGINDY.
e. On or about October 30, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy, Anthony."
f. On or about November 6, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Royer" and "Royer, J."
g. On or about November 7, 2001, the defendant JEFFREY A. ROYER searched the ACS database for references to "Elgindy, Anthony."
h. On or about April 18, 2002, the defendant LYNN WINGATE searched the ACS database for references to "Elgindy" and "Royer."
i. On or about April 18, 2002, after searching the ACS database for references to "Elgindy, Anthony" and "Royer, Jeff," the defendant LYNN WINGATE telephoned the defendant JEFFREY A. ROYER.
j. On or about April 18, 2002, the defendant JEFFREY A. ROYER telephoned the defendant AMR I. ELGINDY.
k. On or about April 23, 2002, the defendant LYNN WINGATE searched the ACS database for references to "Wingate."
l. On or about April 23, 2002, the defendant JEFFREY A. ROYER telephoned the defendant AMR I. ELGINDY.
B. Obstruction of Justice
l) The allegations contained in paragraphs 1 through 35 and 49 are realleged and incorporated as if fully set forth in this paragraph.
li) In or about and between October 2001 and May 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and LYNN WINGATE, together with others, did knowingly, intentionally and corruptly endeavor to influence, obstruct and impede the due administration of justice with respect to matters before a grand jury in the Eastern District of New York and elsewhere, by accessing and causing to be accessed a confidential FBI database in order to gain information concerning the EDNY Grand Jury Investigation to provide it to ELGINDY and others, in violation of Title 18, United States Code, Sections 1503 and 2.
(Title 18, United States Code, Sections 1962(d), 1963, 2 and 3551 et seq.)
COUNT TWO
(Securities Fraud Conspiracy)
lii) The allegations contained in paragraphs 1 through 32 and 41 are realleged and incorporated as if fully set forth in this paragraph.
liii) In or about and between March 2000 and May 2002, both dates being approximate and inclusive, within the Eastern District of New York and elsewhere, the defendants AMR I. ELGINDY, also known as "Tony Elgindy" and "Anthony Pacific," JEFFREY A. ROYER, JONATHAN DAWS, TROY M. PETERS and LYNN WINGATE, together with others, did knowingly and willfully conspire to use and employ manipulative and deceptive devices and contrivances directly and indirectly, by use of means and instrumentalities of interstate commerce and the mails, in contravention of Rule 10b-5 of the Rules and Regulations of the SEC (Title 17, Code of Federal Regulations, Section 240.10b-5), and directly and indirectly to (a) employ devices, schemes and artifices to defraud; (b) make untrue statements of material facts and omit to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and (c) engage in acts, practices and a course of business which would and did operate as a fraud and deceit upon members of the investing public, in connection with purchases and sales of securities of the Targeted Companies, in violation of Title 15, United States Code, Sections 78j(b) and 78ff.
liv) It was a part of the conspiracy that between March 2000 and May 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY and JONATHAN DAWS, and others, solicited, obtained and received from the defendant JEFFREY A. ROYER, and, later, ELGINDY, ROYER, and others, solicited, obtained and received from the defendant LYNN WINGATE material, non-public information concerning Targeted Companies which they then used to make decisions whether to purchase and sell the stocks of the Targeted Companies.
lv) It was a further part of the conspiracy that between March 2000 and May 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS, together with others, devised, implemented and oversaw a fraudulent scheme to deflate artificially the price of various companies’ stock that they short sold so that they could profit by buying it back later at a lower price.
(Title 18, United States Code, Section 371 and 3551 et seq.)
COUNTS THREE THROUGH NINE
(Securities Fraud)
lvi) The allegations contained in paragraphs 1 through 32 are realleged and incorporated as if fully set forth in this paragraph.
lvii) In or about and between the dates set forth below, both dates being approximate and inclusive, within the Eastern District of New York and elsewhere, the defendants set forth below, together with others, did knowingly and willfully use and employ manipulative and deceptive devices and contrivances in violation of Rule 10b-5 of the Rules and Regulations of the SEC (Title 17, Code of Federal Regulations, Section 240.10b-5), in that the defendants, together with others, did knowingly and willfully, directly and indirectly: (a) employ devices, schemes and artifices to defraud; (b) make untrue statements of material facts and omit to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and (c) engage in acts, practices and courses of business which would and did operate as a fraud and deceit upon members of the investing public, in connection with the purchases and sales of the securities set forth below,
by use of means and instrumentalities of interstate commerce and the mails.
COUNT
DEFENDANTS
DATES
SECURITY
THREE
AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS
October 2000 and March 2001
Company No. 1
FOUR
AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS
February 2001 and June 2001
Company No. 3
FIVE
AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS
March 2001 and August 2001
Company No. 4
SIX
AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS
April 2001 and September 2001
Company No. 5
COUNT
DEFENDANTS
DATES
SECURITY
SEVEN
AMR I. ELGINDY, JEFFREY A. ROYER and JONATHAN DAWS
March 2001 and September 2001
Company No. 6
EIGHT
AMR I. ELGINDY, JEFFREY A. ROYER, JONATHAN DAWS and TROY M. PETERS
May 2001 and September 2001
Company No. 7
NINE
AMR I. ELGINDY, JEFFREY A. ROYER, JONATHAN DAWS and TROY M. PETERS
November 2001 and April 2002
Company No. 8
(Title 15, United States Code, Section 78j(b) and 78ff; Title 18, United States Code, Sections 2 and 3551 et seq.)
COUNT TEN
(Extortion Conspiracy)
lviii) The allegations contained in paragraphs 1 through 32 are realleged and incorporated as if fully set forth in this paragraph.
lix) In or about and between November 2001 and February 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, also known as "Tony Elgindy" and "Anthony Pacific," JEFFREY A. ROYER and TROY M. PETERS, together with others, did knowingly and intentionally conspire to obstruct, delay and affect, commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others conspired to obtain property, to wit, stock and other things of value, with the consent of the owner of such stock and other things of value, which consent was to be induced by the wrongful use of actual and threatened force, violence and fear.
(Title 18, United States Code, Sections 1951(a) and 3551 et seq.)
COUNT ELEVEN
(Extortion)
lx) The allegations contained in paragraphs 1 through 32 are realleged and incorporated as if fully set forth in this paragraph.
lxi) In or about and between May 2001 and August 2001, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER, JONATHAN DAWS and TROY M. PETERS, and Derrick W. Cleveland and others, did knowingly and intentionally obstruct, delay and affect commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others obtained property, to wit, the stock of Company No. 7, with the consent of the owner of such stock, which consent was to be induced by the wrongful use of actual and threatened force, violence and fear.
(Title 18, United States Code, Sections 1951(a), 2 and 3551 et seq.)
COUNT TWELVE
(Extortion)
lxii) The allegations contained in paragraphs 1 through 3 are realleged and incorporated as if fully set forth in this paragraph.
lxiii) In or about and between December 2001 and February 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and TROY M. PETERS, and Derrick W. Cleveland and others, did knowingly and intentionally obstruct, delay and affect commerce, and the movement of articles and commodities in commerce, by extortion, in that the defendants and others obtained property, to wit, the stock of Nuclear Solutions, with the consent of the owner of such stock, which consent was to be induced by the wrongful use of actual and threatened force, violence and fear.
(Title 18, United States Code, Sections 1951(a), 2 and 3551 et seq.)
COUNT THIRTEEN
(Obstruction of Justice Conspiracy)
lxiv) The allegations contained in paragraphs 1 through 32, 48 and 49 are realleged and incorporated as if fully set forth in this paragraph.
lxv) In or about and between October 2001 and May 2002, both dates being approximate and inclusive, within the Eastern District of New York and elsewhere, the defendants AMR I. ELGINDY, also known as "Tony Elgindy" and "Anthony Pacific," JEFFREY A. ROYER and LYNN WINGATE, together with others, did knowingly and willfully conspire to corruptly endeavor to influence, obstruct and impede the due administration of justice with respect to matters before a grand jury in the Eastern District of New York and elsewhere, in violation of Title 18, United States Code, Section 1503.
lxvi) It was part of the conspiracy that the defendants accessed and caused to be accessed a confidential FBI database to gain information concerning the EDNY Grand Jury investigation, and provided such information to ELGINDY, ROYER and others.
(Title 18, United States Code, Section 371 and 3551 et seq.)
COUNT FOURTEEN
(Obstruction of Justice)
lxvii) The allegations contained in paragraphs 1 through 32, 48 and 49 are realleged and incorporated as if fully set forth in this paragraph.
lxviii) In or about and between October 2001 and May 2002, both dates being approximate and inclusive, the defendants AMR I. ELGINDY, JEFFREY A. ROYER and LYNN WINGATE, together with others, did knowingly, intentionally and corruptly endeavor to influence, obstruct and impede the due administration of justice with respect to matters before a grand jury in the Eastern District of New York and elsewhere, the defendants accessed and caused to be accessed, a confidential FBI database to gain information concerning the EDNY Grand Jury investigation, and provided such information to ELGINDY, ROYER and others.
(Title 18, United States Code, Sections 1503, 2 and 3551 et seq.)
COUNT FIFTEEN
(Witness Tampering)
lxix) The allegations contained in paragraphs 1 through 32 are realleged and incorporated as if fully set forth in this paragraph.
lxx) In or about and between May 23, 2002 and May 26, 2002, in connection with a criminal case pending in United States District Court for the Eastern District of New York, the defendant JEFFREY A. ROYER did knowingly, intentionally and corruptly attempt to persuade another person, with intent to hinder, delay and prevent the communication to a law enforcement officer of the United States of information relating to the commission and possible commission of a federal offense, to wit: by instructing and suggesting that a witness, whose identity is known to the grand jury, make false and otherwise misleading statements to Special Agents of the Federal Bureau of Investigation in connection with a criminal case pending in United States District Court for the Eastern District of New York.
(Title 18, United States Code, Section 1512(b)(3), 2 and 3551 et seq.)
COUNTS SIXTEEN THROUGH THIRTY-THREE
(Securities and Wire Fraud - Misleading Subscribers)
lxxi) At or about the same time that the defendant AMR I. ELGINDY was engaging in the illegal schemes set forth in paragraphs 1 through 32, which are realleged and incorporated as if fully set in this paragraph, ELGINDY made false statements to his subscribers regarding his own trading to induce them and others to trade in a manner that improved ELGINDY’s own execution prices to the detriment of such subscribers and others.
Securities Fraud
lxxii) In or about and between March 2000 and May 2002, both dates being approximate and inclusive, within the Eastern District of New York and elsewhere, the defendant AMR I. ELGINDY, also known as "Tony Elgindy" and "Anthony Pacific," did knowingly and willfully, directly and indirectly, use and employ manipulative and deceptive devices and contrivances in violation of Rule 10b-5 of the Rules and Regulations of the SEC (Title 17, Code of Federal Regulations, Section 240.10b-5), in that the defendant did knowingly and willfully, directly and indirectly, (a) employ devices, schemes, and artifices to defraud; (b) make untrue statements of material fact and omit to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and (c) engage in acts, practices, and courses of business which would and did operate as a fraud and deceit upon members of the investing public, in connection with purchases and sales of the securities set forth below, and by use of means and instrumentalities of interstate commerce and the mails.
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