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To: scion who wrote (1545)	3/16/2012 11:42:44 AM
From: scion	Respond to of 12881

The dramatic arrest appears to be part of a wider probe by the Department of Justice together with Brooklyn federal prosecutors to crack down on slimy stock manipulators, sources said.

To: scion who wrote (1545)	3/16/2012 2:31:39 PM
From: scion	Read Replies (1) \| Respond to of 12881

Pacer update 15 Mar 12 USA v. Neuhaus et al CASE #: 1:12-mj-00237-RML-1 ecf.nyed.uscourts.gov U.S. District Court Eastern District of New York (Brooklyn) CRIMINAL DOCKET FOR CASE #: 1:12-mj-00237-RML-1 Case title: USA v. Neuhaus et al Date Filed: 03/08/2012 Assigned to: Magistrate Judge Robert M. Levy Defendant (1) Jean-Pierre Neuhaus represented by Len H. Kamdang Federal Defenders of New York Inc. One Pierrepont Plaza, 16th Floor Brooklyn, NY 11201 (718)407-7414 Fax: (718)855-0760 Email: len_kamdang@fd.org LEAD ATTORNEY ATTORNEY TO BE NOTICED Designation: Public Defender or Community Defender Appointment Pending Counts Disposition None Highest Offense Level (Opening) None Terminated Counts Disposition None Highest Offense Level (Terminated) None Complaints Disposition 18 USC 371 Plaintiff USA represented by Shannon Cassandra Jones United States Attorneys Office Criminal Division Eastern District of New York 271 Cadman Plaza East Brooklyn, NY 11201-1820 (718) 254-6379 Fax: (718) 254-6481 Email: shannon.jones@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED Date Filed # Docket Text 03/14/2012 11 Arrest Warrant Returned Executed on 3/14/12 in case as to Jean-Pierre Neuhaus. (Chin, Felix) (Entered: 03/15/2012) 03/09/2012 7 CJA 23 Financial Affidavit by Jean-Pierre Neuhaus (Chin, Felix) (Entered: 03/12/2012) 03/09/2012 6 ORDER OF DETENTION as to Jean-Pierre Neuhaus. Ordered by Magistrate Judge James Orenstein on 3/9/12. (Chin, Felix) (Entered: 03/12/2012) 03/09/2012 5 Minute Entry for proceedings held before Magistrate Judge James Orenstein:Arraignment as to Jean-Pierre Neuhaus (1) Count Complaint held on 3/9/2012, Attorney Appointment Hearing as to Jean-Pierre Neuhaus held on 3/9/2012, Initial Appearance as to Jean-Pierre Neuhaus held on 3/9/2012. AUSA Shannon Jones present. Dft present w/federal defender Len Kamdang. Dft arraigned on the complaint. Preliminary hearing waived. Order of detention entered. (Log # 3/9/12 3:35-3:39.) (Chin, Felix) (Entered: 03/12/2012) 03/09/2012 4 Order to Unseal Case as to Jean-Pierre Neuhaus, Roland Kaufmann. Ordered by Magistrate Judge James Orenstein on 3/9/12. (Chin, Felix) (Entered: 03/12/2012) 03/08/2012 1 SEALED COMPLAINT and affidavit in support of arrest warrants as to Jean-Pierre Neuhaus (1), Roland Kaufmann (2). (Yuen, Sui-May) (Entered: 03/08/2012) ecf.nyed.uscourts.gov

To: scion who wrote (1545)	7/6/2012 10:01:05 AM
From: scion	Respond to of 12881

Axius CEO Indicted Over Stock Manipulation Claims By Christie Smythe on July 06, 2012 businessweek.com Axius Inc. (AXIU) (AXIU) Chief Executive Officer Roland Kaufmann was indicted on charges he participated in a scheme to bribe brokers and manipulate the share price of the Dubai-based company. Kaufmann, 60, was charged in an indictment filed yesterday in federal court in Brooklyn, New York. He was charged with conspiracy to commit securities fraud, wire fraud, money laundering and other crimes. Jean-Pierre Neuhaus, 55, a Swiss financial professional, was also named in the filing. Kaufmann and Neuhaus are accused in the indictment of trying to artificially inflate the value of Axius stock by enlisting a person who they believed would direct a group of corrupt stockbrokers to buy shares in exchange for kickbacks of as much of 28 percent. That individual was an undercover enforcement agent, prosecutors said. “Rather than rely on the market to set the true value of Axius stock, the defendants allegedly sought to buy the best price possible through bribery and deception,” U.S. Attorney Loretta Lynch in Brooklyn said in a statement. No Axius investors were defrauded in the undercover operation, the Justice Department said in the statement. The U.S. Securities and Exchange Commission filed a related civil enforcement action against both men yesterday, prosecutors said. Both men were charged in a criminal complaint and arrested on March 8, 2012, according to the statement. Robert Nardoza, a spokesman for Lynch and, Josef Klazen, a lawyer for Kaufmann, didn’t immediately return voice-mail messages after regular business hours yesterday seeking comment on the indictment. Justin Goodyear, lawyer with the Justice Department’s fraud section and Shannon Jones, an assistant U.S. attorney in Brooklyn, didn’t return voice-mail messages after regular business hours yesterday. To contact the reporter on this story: Christie Smythe in New York at csmythe1@bloomberg.net To contact the editor responsible for this story: Michael Hytha at mhytha@bloomberg.net businessweek.com