Filing E-Filed AM IN THE CIRCUIT COURT OF THE FIFTEENTH JUDICIAL CIRCUIT IN AND FOR PALM BEACH COUNTY FLORIDA Case No JEFFREY EPSTEIN Plaintiff/Counter-Defendant PART3 SCOTT ROTHSTEIN individually and BRADLEY EDWARDS individually Defendants/Counter-Plaintiff PLAINTIFF/COUNTER-DEFENDANT JEFFREY EPSTEINS APPENDIX OF DOCUMENTS IN SUPPORT OF HIS REVISED OMNIBUS MOTION IN LIMINE Plaintiff/Counter-Defendant Jeffrey Epstein Epstein files this Appendix of Documents in support of his revised Omnibus Motion in Limine No Date Document Epsteins Motion to Amend Complaint D.E Plaintiffs Motion to Strike References to Non-Prosecution Agreement or in the Alternative to Lift Protective Order Barring Jane Does Attorneys from Revealing Provisions in the Agreement D.E Jane Doe Jeffrey Epstein S.D Fla Case No Plaintiffs First Amended Complaint D.E Jane Doe Jeffrey Epstein S.D Fla Case No Jeffrey Epsteins Deposition Transcript Excerpts pp E.W Jeffrey Epstein th Judicial Circuit Case No FILED PALM BEACH COUNTY FL SHARON BOCK CLERK AM No Date Document Plaintiffs Motion for Injunction Restraining Fraudulent Transfer of Asserts Appointment of a Receiver to Take Charge of Property of Epstein and to Post a Million Bond to Secure Potential Judgment D.E Jane Doe Jeffrey Epstein S.D Fla Case No 08-cv-80119-MARRA/JOHNSON Order Denying Plaintiffs Motion for Injunction etc D.E Jane Doe Jeffrey Epstein S.D Fla Case No MARRA/JOHNSON Letters from Edwards re depositions Complaint D.E L.M Jeffrey Epstein S.D Fla Case No NIA Court Docket L.M Jeffrey Epstein S.D Fla Case No Re-Notices of Taking Videotaped Deposition of Donald Trump Jane Doe Jeffrey Epstein S.D Fla Case No Plaintiffs Request for Entry Upon Land D.E E.W Jeffrey Epstein th Judicial Circuit Case No Epsteins Motion for Protective Order Regarding Depositions of Lawrence Visoski and David Hart Rogers D.E L.M Jeffrey Epstein th Judicial Circuit Case No Article South Florida Sun-Sentinel Scott Rothstein investment deals seemed too good to be true Article New Times Broward-Palm Beach Scott Rothstein The Jeffrey Epstein and Bill Clinton Ploy Verified Complaint for Forfeiture In Rem D.E United States of America Scott Rothstein Forfeiture Action S.D Fla Case No Article South Florida Sun-Sentinel FBI doubts Rothstein ran a Ponzi scheme alone No Date Document Complaint without exhibits D.E Razorback Funding LLC Rothstein 17th Jud Cir Case No Amended Verified Complaint for Forfeiture In Rem D.E United States of America Scott Rothstein Forfeiture Action S.D Fla Case No Article South Florida Sun-Sentinel Youre in a town full of thieves Article The Miami Herald Feds Scott Rothstein Ponzi scheme paid salaries at law firm Amended Complaint without exhibits D.E Razorback Funding LLC Rothstein 17th Jud Cir Case No Information D.E United States Rothstein S.D Fla Case No Complaint without exhibits D.E Affidavit of Jeffrey Epstein D.E Bradley Edwards Deposition Transcript Excerpts pp Bradley Edwards Deposition Transcript Excerpts pp Bradley Edwards Deposition Transcript Excerpts pp Email from Pricilla Nascimento to Scott Rothstein Email from Bradley Edwards to Priscilla Nascimento Email from Ken Jenne to Scott Rothstein Scott Rothsteins Deposition Transcript Excerpts pp No Date Document Scott Rothsteins Deposition Transcript Excerpts pp Razorback Funding LLC Rothstein 17th Jud Cir Case No Scott Rothsteins Deposition Transcript Excerpts Razorback Funding LLC Rothstein 17th Jud Cir Case No Jeffrey Epsteins Deposition Transcript Excerpts pp Edwards Amended Exhibit List D.E Epsteins Objections to Edwards Amended Exhibit List D.E Edwards Seventh Amended and Supplemental Witness List D.E Jeffrey Epsteins Deposition Transcript Excerpts pp CERTIFICATE OF SERVICE I certify that the foregoing document has been furnished to the attorneys listed on the Service List below on November through the Courts e-filing portal pursuant to Florida Rule of Judicial Administration Jack Scarola LINK ROCKENBACH PA Palm Beach Lakes Boulevard Suite West Palm Beach Florida fax By Isl Scott Link Scott Link FBN Kara Berard Rockenbach FBN Angela Many FBN Primary Scott linkrocklaw.com Primary Kara linkrocklaw.com Primary Angela linkrocklaw.com Secondary Tina linkrocklaw.com Secondary Troy linkrocklaw.com Secondary Tanya linkrocklaw.com Secondary Eservice linkrocklaw.com Trial Counsel for Plaintiff/Counter-Defendant Jeffrey Epstein SERVICE LIST Nichole Segal Searcy Denny Scarola Barnhart Shipley P.A Palm Beach Lakes Boulevard Burlington Rockenbach P.A Courthouse Commons Suite West Railroad A venue West Palm Beach FL mep searcylaw.com jsx searcylaw.com scarolateam searcylaw.com Co-Counsel for Defendant/Counter-Plaintiff Bradley Edwards West Palm Beach FL njs FLAppellateLaw.com kbt FLAppellateLaw.com Co-Counsel for Defendant/Counter-Plaintiff Bradley Edwards Bradley Edwards Marc Nurik Edwards Pottinger LLC Law Offices of Marc Nurik Andrews Avenue Suite One Broward Boulevard Suite Fort Lauderdale FL Ft Lauderdale FL brad epllc.com marc nuriklaw.com staff.efile pathtojustice.com Counsel for Defendant Scott Rothstein Co-Counsel for Defendant/Counter-Plaintiff Bradley Edwards Jack A Goldberger Atterbury Goldberger Weiss P.A Australian A venue Suite West Palm Beach FL goldberger agwpa.com smahoney agwpa.com Co-Counsel for Plaintiff/Counter-Defendant Jeffrey Epstein APP IN THE CIRCUIT COURT OF THE 17TH JUDICIAL CIRCUIT gD FOR BROWARD COUNTY FL RAZORBACK FUNDING LLC D3 CAP IT AL CLUB LLC BFMC INVESTMENT LLC LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint Plaintiffs Claims The Plaintiffs sue the Defendants and seek the following a Compensatory damages in excess of pre-judgment interest and other amounts to be particularized at trial as a direct and proximate result of Defendants commission of the following conversion ii fraudulent misrepresentation i negligent misrepresentation 1v negligent supervision breach of fiduciary duty vi civil conspiracy and vii aiding and abetting fraud conversion and breach of fiduciary duty punitive damages upon obtaining leave of court taxable costs and attorneys fees and any such further relief this court deems equitable and just under the circumstances Overview This action arises out of a fraudulent scheme orchestrated by Scott Rothstein who bilked investors out of hundreds of millions of dollars Mr Rothstein through the use of his law firm Rothstein Rosenfeldt Adler P.A collectively referred to herein as the Principal Conspirators and more fully described infra devised an elaborate plan to assign putative Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint plaintiffs confidential settlements with structured payments to investors at a lump sum discounted rate In reality while some of the cases relied upon to induce investor funding were real all of the confidential settlements were purely fabricated Indeed returns to earlier investors were not made via structured payments but instead were made with the principal obtained from later investors--a classic Ponzi scheme However the Principal Conspirators did not act alone Defendant TD BANK N.A hereinafter TD Bank a subsidiary of Toronto Dominion Bank was complicit in this scheme serving as a critical lynchpin legitimizing the Principal Conspirators plot and facilitating crucial inducements to investor action Specifically investors were duped by TD Bank employees conspiring with the Principal Conspirators to manipulate TD Banks trust account statements and conniving investors with false senses of security predicated on written assurances that settlement funds existed and would only be released directly to them It is these bank declarations tantamount to a guaranty which gravely impacted investor risk-evaluation analysis and unduly influenced investors to close their deals Moreover demonstrative of TD Banks participation or alternatively evidence of their gross negligence and wanton disregard is the banks reckless disregard of numerous red flags Irrefutably TD Bank knew that Rothstein Rosendfeldt Adler P.A hereinafter RRA was moving hundreds of millions of dollars through its TD Bank trust accounts In fact in October alone almost a half of a billion dollars moved in and out of RRA Fort Lauderdale based trust accounts--more money than most bank branches would likely see in a decade Yet despite the A Ponzi scheme is generally recognized as a fraudulent investment operation that pays returns to separate investors from their own money or from monies paid by subsequent investors rather than from any actual profit earned The scheme is named after Charles Ponzi who became notorious for using the technique in early Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY fT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint massive amount of funds being moved by one client TD Bank never sought independent verification of the source of monies choosing instead to stand idly by The Ponzi scheme simply could not have gained traction without TD Banks involvement in sanctioning or otherwise willfully failing to authenticate the origin of the enormous amounts of money coming through its doors Unfortunately this is not the only pending case which alleges a TD Bank affiliate as a complicit actor involved in a Ponzi scheme On August TD Banks parent Toronto Dominion Bank was sued for knowing assistance and/or dishonest assistance in a Ponzi scheme based upon inter alia holding over in fraudulent proceeds and transferring hundreds of millions of dollars through the alleged perpetrators accounts See a copy of the Dynasty Furniture Manufacturing Ltd et al Toronto Dominion Bank Statement of Claim attached hereto for reference as Exhibit A Based on the allegations set forth herein Plaintiffs aver that at all materials times TD Bank had actual knowledge of its complicit involvement in a highly-organized Ponzi scheme and/or was recklessly or willfully blind to its role in materially supporting the scheme TD Banks acts and/or omissions in assisting facilitating and actively participating in the Ponzi scheme renders TD Bank as a direct and proximate cause of Plaintiffs losses and therefore is liable for the damages Plaintiffs incurred Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint The Plaintiffs LINDA VON ALLMEN is Trustee of the VON ALLMEN DYNASTY TRUST hereinafter Dynasty Trust an irrevocable trust with its principal place of administration in Broward County Florida On or about the summer of the Dynasty Trust invested into the Ponzi scheme through the Banyon Income Fund Plaintiff PARTNERS LP hereinafter Partners is a Missouri limited partnership with its principal place of business in Broward County Florida On or about the summer of Partners invested approximately into the Ponzi scheme through Banyon Income Fund Doug Von Allmen is the general partner ofD Partners Plaintiff DEAN Razorback Funding UC et al TD Bank N.A et al Complaint Plaintiff BFMC INVESlMENT LLC hereinafter BFMC is a Florida limited liability company with its principal place of business in Broward County Florida On or about October BFMC invested into the Ponzi scheme The Defendant Principal Conspirators I Scott Rothstein Esq hereinafter Rothstein is an individual residing in Broward County Florida and at all times relevant hereto was one of Rothstein Rosenfeldt Adler P.A.s founders its managing partner and CEO Rothstein is the principal organizer of the Ponzi scheme Non-party RRA is a Florida professional association with its principal place of business in Broward County Florida RRA was used as the front to this elaborate Ponzi scheme serving as the purported law firm representing putative plaintiffs in connection with their pre-suit confidential settlements RRAs trust accounts were allegedly used to receive the putative defendants settlement funds and used to receive investor payments Rothstein and RRA are collectively referred to as the Principal Conspirators The Defendants Co-Conspirators TD Bank Defendants TD Bank is a foreign national banking association registered to do business in Florida TD Bank maintains substantial contact with Florida through its multiple branches throughout the state TD Bank was the financial epicenter of the Ponzi scheme Among other things TD Bank conspired induced and facilitated the Principal Conspirators deceptive Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint practices allowing Principal Conspirators to divert hundreds of millions of investor dollars through TD Bank accounts FRANK SPINOSA hereinafter Spinosa is an individual residing in Broward County Florida and at all times relevant hereto was a senior vice-president of operations for TD Bank Spinosa participated in the scheme by among other things meeting with investors verifying account statements and providing investors with purported irrevocable lock letters securing investor funds JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint the settlement while having actual and/or constructive knowledge that the investments were part of a Ponzi scheme DEBRA VILLEGAS hereinafter Villegas is an individual residing in Broward County Florida and at all times relevant hereto was the chief operating officer at RRA Villegas Rothsteins number two at RRA participated in the scheme by among other things furnishing false bank account statements and wire transfers to investors for the purpose of inducing investor funding despite having actual or constructive knowledge that the investments were a Ponzi scheme ANDREW Razorback Funding LLC et al TD Bank NA et al Complaint The Ponzi Scheme The Rothstein Facade From humble beginnings in Rothstein built RRA into one of the fastest growing Florida-based law finns Under Rothsteins stewardship RRA grew from seven attorneys to over seventy and amassed over two hundred and fifty in staff Along with its dramatic growth in size RRA rapidly emerged as a legal political and philanthropic powerhouse Not surprisingly Rothstein amassed an enonnous portfolio of assets including more than sixteen real estate properties twenty-five cars an eighty-seven foot yacht and various interests in a myriad of businesses ranging from watches to restaurants to vodka Rothstein lived lavishly and spent prolifically--a critical initial component to set his scheme in motion With RRAs tireless marketing efforts and meteoric rise into prominence Rothstein quickly made forays into preeminent social circles rubbing elbows with high net worth individuals and political luminaries the perfect breeding grounds to lure wealthy investors His plot was up and running The Plan Rothstein seized upon his new found stature to entice investors into what would eventually become a Ponzi scheme using his budding employment and labor practice at RRA as his conduit The scheme was predicated on the Principal Conspirators self-professed pipeline of pre-suit confidential settlement agreements as the preeminent sexual harassment and labor employment law finn in the country Investors were told that the Principal Conspirators had an Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL i Razorback Funding LLC et al TD Bank N.A et al Complaint extensive in-house private investigative team including former F.B.l and CJ.A agents whose singular task was to obtain compromising evidence against high-profile putative defendants Rothsteins story was that the evidence and surveillance acquired often supporting civil causes of action ranging from sexual harassment to mass tort cover-ups to whistle-blower claims was presented to the putative defendant who was then offered an opportunity to avoid litigation and the negative publicity associated therewith by agreeing to resolve the matter voluntarily by and through a confidential settlement with the putative plaintiff Once the putative defendant agreed the confidential settlement always included two main ingredients that structured payments to a putative plaintiff be made over time generally a three to nine month time period and that the putative defendant would fund the entire settlement up front to be held in RRAs TD Bank trust account and disbursed to the putative plaintiff in accordance with the terms of the confidential settlement agreement The Pitch Rothstein informed investors that the putative plaintiffs did not want to wait for the structured monthly payouts and would agree to assign their rights to the structured payout for a lump-sum payment typically in the range of the settlements face-value Rothstein always had a plethora of plausible explanations as to why a putative plaintiff wanted their money now and simply could not wait for the structured monthly payments Rothstein claimed to want nothing from the deal and was only presenting the opportunity for the putative plaintiffs benefit and to facilitate recovery of RRAs contingent fee Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Notwithstanding Rothstein would often boast that if not for his professional and legal conflicts he would be the one purchasing these assignments As a means to induce investor action Rothstein would show investors the purported settlement agreement in an attempt to substantiate the deal however because the settlements were pre-suit and confidential the names of the putative plaintiffs and putative defendants were redacted Additionally the Principal Conspirators would provide confinnation of RRAs trust account balance at TD Bank evidencing the putative defendants fully funded settlement proceeds a lock letter drafted and executed by a TD Bank executive irrevocably confirming that the respective settlement proceeds in RRAs trust account could only be paid directly to the investors designated account which in most cases was an account at TD Bank and opportunities for an independent third-party verifier to authenticate the underlying settlement assignment and funding of settlement proceeds Notably Rothstein was hyper-vigilant regarding access to RRA accounts under the guise of confidentiality In fact potential investors could only access TD Bank account information in one of two ways Either Rothstein would invite the investor to his office to view the online balance or he would authorize TD Bank to provide copies of account statements and wire transfers prepared and delivered by TD Bank executives Spinosa Kerstetter and Caretsky On numerous occasions TD Bank vice-president Spinosa assistant manager Kerstetter and assistant vice president Caretsky physically handed the trust account statement to Rothstein in the immediate presence of an investor Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint As the final piece to persuade an investment Rothstein would offer to personally guaranty the transaction This personal guaranty secured by the significant assets as discussed supra was an essential component which tacitly lent credibility and security to the underlying transaction Once an investor was interested the Principal Conspirators in conjunction with Boden drafted an agreement for the assignment of the settlement agreement and proceeds Upon execution of the assignment the investor would wire transfer to RRAs trust account the lump sum payment for immediate disbursement to the putative plaintiff Thereafter RRA was obligated to make payment from the funds previously verified and held in RRA trust account at TD Bank directly to the investors lock letter trust account at TD Bank in strict accordance with the terms of the purported settlement agreement Ponzi Scheme In Action Fabricated Settlements Premised on Real Cases In certain instances the purported settlements albeit fraudulent were based on actual cases being handled by RRA For example one of the settlements involved herein was based upon facts surrounding Jeffrey Epstein the infamous billionaire financier In fact RRA did have inside information due to its representation of one of Epsteins alleged victims in a civil case styled Jane Doe Jefji-ey Esptein pending in the Southern District of Florida Representatives of D3 were offered the opportunity to invest in a pre-suit court settlement against Epstein arising from the same set of operative facts as the Jane Doe case but involving a different underage female plaintiff See e-mail dated October referencing Epstein which is attached hereto and incorporate herein as Exhibit To augment Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint his concocted story Rothstein invited D3 to his office to view the thirteen bankers boxes of actual case files in Jane Doe in order to demonstrate that the claims against Epstein were legitimate and that the evidence against Epstein was real In particular Rothstein claimed that his investigative team discovered that there were high-profile witnesses onboard Epsteins private jet where some of the alleged sexual assaults took place and showed D3 copies of a flight log purportedly containing names of celebrities dignitaries and international figures Because of these potentially explosive facts putative defendant Epstein had allegedly offered for settlement of the claims held by various young women who were his victims Adding fuel to the fire the investigative team representative privately told a D3 representative that they found three additional claimants which Rothstein did not yet know about Further Preve was present for this meeting despite the fact that he was not involved as an investor or representative in the D3 deal Additionally Rothstein used RRAs representation in the Epstein case to pursue issues and evidence unrelated to the underlying litigation but potentially beneficial to lure investors into the Ponzi scheme For instance RRA relentlessly pursued flight data and passenger manifests regarding flights Epstein took with other famous individuals knowing full well that no under age women were on board and no illicit activities took place RRA also inappropriately attempted to take the depositions of these celebrities in a deliberate effort to bolster Rothsteins lies Conspicuously Preve who maintained an office at RRA despite being a Banyon Income Fund LP employee attended the aforementioned meeting despite his lack of involvement as an investor or repres ntative Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Another actual case which Rothstein attempted to use as a false predicate for his scheme was a mass tort case against Chiquita Brands International In this instance Rothstein claimed to be representing plaintiffs in wrongful death cases on the verge of settling for each Rothstein told investors to begin raising funds in order to purchase this settlement See e-mail dated October referencing Chiquita which is attached hereto and incorporated herein as Exhibit While the cases against Chiquita are real Rothstein did not represent any of the plaintiffs and the cases remain pending Plai11tifft Investments Banyon Income Fund Banyon Income Fund LP hereinafter BIF was formed in May and served as an original feeder fund for the Principal Conspirators structured settlement deals According to offering materials BIFs stated investment goal was to purchase discount settlements and related periodic revenue stream from individual plaintiffs who have settled their labor and employment related lawsuits or claims and who would otherwise receive their settlement amounts over a period of time The purchased settlements are secured by the full settlement amounts which will have been deposited in a trust account established by the plaintiffs attorney for the benefit of the plaintiff prior to purchase by Ban yon Income Fund LP These settlements are released to Banyan Income Fund LP over time to liquidate the purchased settlement See Confidential Offering Memorandum dated April a copy of which is attached hereto and incorporated herein as Composite Exhibit Not coincidentally BIFs investment strategy is identical to the purported investment vehicle offered by the Principal Conspirators at the center of the Ponzi scheme Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint All or substantially all of BIFs assets were funneled into the Principal Conspirators scheme In the spring of Barry Bekkedam from Ballamor Capital Management LLC hereinafter Ballamor and promoter of BIF met Doug Von Allmen Partners to discuss Partners participation in BIF During that discussion Mr Von Allmen learned that BIF was started by George Levin a professed mentor and confidant of Rothstein and that the settlements BIF was purchasing were through an exclusive arrangement negotiated between Rothstein and Levin on behalf of IF Mr Von Allmen was told by.Mr Bekkedam that Mr Levin was personally worth in excess of and would personally guarantee the settlements Additionally Mr Bekkedam told Mr Von Allmen that the settlements were already fully-funded in the attorneys trust accounts that a Big Four auditing firm would verify them quarterly and that Ballamor had continuous unfettered access to the trust account balances and would be responsible for monitoring same Finally Mr Von Allmen was told by Mr Bekkedam that it would _take two signatures to move the money one of which would be someone from BIF Mr Von Allmen through Partners brought his wife Linda Von Allmen through Dynasty Trust into the investment while approximately one month later his step-son Dean Kretschmar collectively referred to herein as Banyon Investors was brought into the investment deal by Barry Bekkedam Ballamor Capital Management LLC is an S.E.C registered investment advisor specializing in managing investments on behalf of high and ultra-high net worth individuals Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Prior to investing each Banyon Investor received a Confidential Offering Memorandum dated April which described the terms and conditions of the purported deals in greater detail See Composite Exhibit Significantly the Confidential Offering Memorandum provided that the receipt of the wire transfer from the putative defendant into RRAs trust account would be verified by an independent third party Id Furthermore the Banyon Investors were assured that a representative of the limited partners of BIF would have online access to banking records for each deposit account and all system records related to the purchased settlements and could verify purchase settlement trust accounts and deposits by putative defendants Id Michael Szafranski president of Onyx Capital Management acted as an independent verifier for the Banyon Investors and BIF Prior to and during the course of his investigation Mr Szafranski obtained the following information which demonstrated TD Banks involvement a October letter signed by Caretsky assistant branch manager with Commerce Bank enclosing three trust account statements for RRA account number containing account number containing and account number containing All three trust account statements for RRA are attached hereto and incorporated herein as Composite Exhibit March letter signed by Kerstetter an assistant manager for TD Bank Commerce Bank was a predecessor in interest to TD Bank as a result of TD Banks billion purchase of Commerce Bank in March Page of CONRAD SCHERER LLJ SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL I I Razorback Funding LLC et al TD Bank N.A et al Complaint enclosing three trust account statement for RRA account number showing a balance of account number showing a balance of artd account number showing a balance of All three account statements referenced are attached hereto and incorporated herein as Composite Exhibit April letter signed by Caretsky as a TD Bank Assistant Vice President enclosing RRA trust account statement for I account number balance of RRA trust account statement for account number a balance of RRA trust account statement for account number showing a showing showing a balance of RRA trust account statement for account number showing a balance of and RRA trust account statement for account number showing a balance of All five trust account statements referenced are attached hereto and incorporated herein as Composite Exhibit June Commerce Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit June Commerce Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit I June Commerce Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint June Commerce Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit July Commerce Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit July letter signed by Kerstetter from TD Bank enclosing RRA trust account statement for account number showing a balance of a copy of which is attached hereto and incorporated herein as Composite Exhibit and July TD Bank wire transfer to RRA trust account ending in the amount of and purporting to be a funded settlement a copy of which is attached hereto and incorporated herein as Exhibit In reliance on the foregoing the Banyon Investors collectively invested into BIF and into the Ponzi scheme Razo1 267back Funding LLC Razorback was formed September for purposes of investing in two RRA settlements a structured settlement payable in four equal monthly installments offered in exchange for a lump sum payment of and a structured settlement payable in three equal monthly installments offered in exchange for a lump sum payment of See Confidential Settlement Agreements and Releases which are attached hereto and incorporated herein as Composite Exhibit Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint In particular the deal was structured so Razorback would fund towards the purchase of these settlements by means of a loan tp Banyon USVI LLC Banyon USVI in tum would contribute to purchase the settlement proceeds from the Principal Conspirators See Acknowledgement of Assignment/Purchase of Settlement Proceeds and Sale and Transfer Agreements which is attached hereto and incorporated herein as Composite Exhibit On or about September as part of its due diligence Razorback obtained a copy of a TD Bank lock letter signed by Spinosa used in a prior deal See September lock letter from TD Bank which is attached hereto and incorporated herein as Exhibit The lock letter indicates that TD Bank had been irrevocably instructed to pay the fund identified in a particular RRA trust account only to the investors bank account On October I Mike Szafranski who was utilized as the independent reviewer for Razorback met with Rothstein to review and verify all of the documents supporting the Razorback deal In that meeting Mr Szafranski witnessed Rothstein sign on to the TD Bank on line banking website and verified that all of the wire transfers for the underlying Razorback settlement deals had been received by RRA and were held in RRAs trust account ending in A copy of the October I email from Mike Szafranski verifying the above-referenced account is attached hereto and incorporated herein as Exhibit Mr Szafranski also verified that a lock letter had been received by Spinosa as Regional Vice President of TD Bank dated October I stating the following Pursuant to your written instructions to us of September please be advised that all funds contained in the above referenced account shall only be distributed upon your or Stuart Rosenfeldts instruction and shall only be distributed Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al to Banyon USVI Del LLV c/o Razorback Funding LLC Debt Equity Re-Payment Account TD Bank NA Glen Head Road Old Brookville NY ABA Account Your letter is understood not to convey ownership of the account or access to the account to any other party but rather is meant to irrevocably restrict conveyances as follows conveyances shall only be made from the account referenced above to the Banyon USVI account Complaint See October letter which is attached hereto and incorporated herein as Exhibit Spinosa e-mailed the lock letter to Rothstein earlier that day with a message stating that at Rothstein request and instructions this account RRA trust account has been irrevocably locked as to destination of all disbursements which was Razorbacks account also at TD Bank The letter confirming same is attached Please do not deposit any funds into this account that are not soley sic to be directed to the entity set forth in the irrevocable instruction A copy of the October email from Spinosa is attached hereto and incorporated herein as Exhibit Also on October Razorback received copies of two wire transfers from Preve a Banyon USVI representative demonstrating that a total of the full settlement funding being purchased had been received by RRA in its trust account with TD Bank A copy of the October wire transfers is attached hereto and incorporated herein as Composite Exhibit On the same day Preve forwarded Razorback an email from Rothstein providing confirmation of Preves purported wire into RRAs trust account and that no disbursement on the deal would be made until he received the from Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUOERDA.LE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Razorback A copy of the October email from Rothstein 1s attached hereto and incorporated herein as Exhibit On October Razorback attempted to contact Spinosa to verify the details of the lock letter The Razorback representative was unable to reach Spinosa but did receive confirmation from Spinosas assistant that she prepared the lock letter and that Spinosa signed it On October Razorback received an email from Preve which contained an on-line screen shot of an RRA trust account at TD Bank indicating a balance of A copy of the on-line screen shot of the TD Bank account is attached hereto and incorporated herein as Exhibit Finally on October Mr Szafranski met again with Rothstein and verified that all of the putative plaintiffs in the Razorback deals received their disbursements by reviewing TD Banks on-line banking website A copy of Mr Szafranski October confirming email is attached hereto and incorporated herein as Exhibit In reliance on the foregoing Razorback transferred the sum of to RRA trust account D3 Capital Club LLC D3 was formed October for purposes of investing in a RRA structured settlement payable in six equal monthly installments of offered in exchange for See Confidential Settlement Agreements and Releases which is attached hereto and incorporated herein as Composite Exhibit Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint A D3 representative who was also a representative of Razorbacks management team had knowledge of and relied upon the contacts and representations made by TD Bank in connection with the Razorback transaction On or about October as part of its due diligence D3 obtained a copy of a TD Bank lock letter signed by Spinosa stating the following Pursuant to your written instructions to us of October please be advised that all funds contained in the above referenced account shall only be distributed upon your or Stuart Rosenfeldt instruction and shall only be distributed to D3 Capital Club LLC NE th Court Fort Lauderdale FL TD Bank NA Account Your letter is understood not to convey ownership of the account or access to the account to any other party but rather is meant to irrevocably restrict conveyances as follows conveyances shall only be made from the account referenced above to the TD bank account belonging to D3 Capital Club LLC See October lock letter attached hereto and incorporated herein as Exhibit On October Spinosa signed another letter enclosing a copy ofRRAs trust account bank statement showing a balance in excess of See October letter attached hereto and incorporated herein as Composite Exhibit AA Furthennore on October Kerstetter drafted a letter to RRA enclosing a copy of RRAs trust account bank statement for the D3 settlement showing a balance in excess of This letter was personally delivered by Kerstetter to Rothstein in a D3 representatives presence while inside the TD Bank Fort Lauderdale branch See October letter attached hereto and incorporated herein as Exhibit AA-1 Later that day Kerstetter met again with that same D3 representative at a location outside of the bank in order to sign the paperwork to open a D3 account at TD Bank Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint On October and again on October a D3 representative sent emails to Spinosa and Kerstetter advising that D3 had opened its account for purposes of doing business with RRA and asked about the mechanics of the irrevocable lock letter that D3 had with RRA account number A copy of the October and October emails are attached hereto and incorporated herein as Composite Exhibit BB Spinosa responded to the October email with a phone call to the D3 representative During the conversation the lock letter was acknowledged by Spinosa who declined to provide any further details about the Principal Conspirators accounts Finally on October Mr Szafranski met with Rothstein and verified that the sum of was wired from the putative defendant into the RRA trust account ending A copy of the October email is attached hereto and incorporated herein as Exhibit CC In reliance on the foregoing D3 transferred the sum of to RRAs trust account BFMC Investment LLC BFMC was formed in November to fund investment opportunities On September BFMC principal Barry Florescue Florescue met socially with Andrew Barnett Barnett Director of Corporate Development for RRA During this meeting Barnett described his role at RRA and invited Florescue to meet Rothstein later that week to discuss a lucrative investment opportunity Florescue was aware of Rothstein given Rothsteins prominence in the Fort Lauderdale business and social community and a meeting was scheduled at RRA on September Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razm 267back Funding LLC et al TD Bank N.A et al Complaint Florescue and his employee Mark Seigel Seigel arrived in RRAs offices and were initially introduced to Boden Coincidentally Boden had many years earlier worked as a junior staff member at Florescues corporate counsel and had actively worked on one of Florescues previous financing transactions After several minutes Boden and Barnett led Florescue and Seigel into Rothstein private office After introductions Rothstein described an investment opportunity involving purchasing various structured settlements explaining as follows a RRA is a nationally recognized firm representing whistleblowers in whistleblower lawsuits against employers RRA has specific expertise in a specific type of litigation called Qui Tam litigation in which the defendant is also accused of defrauding the United States government RRA became a magnet for Qui Tam cases following its success as co-counsel in a Eli Lilly Qui Tam case which resulted in a billion plus settlement RRA was currently representing whistleblower plaintiffs inside a Fortune company that had allegedly defrauded the United States government Citing confidentiality Rothstein could not share the name of the defendant but he described it as a large food conglomerate that had substituted cheaper ingredients into food supplies sold to the government under national contracts Rothstein was rounding up dozens of whistleblowers inside the company who had been threatened by senior management to remain silent regarding the companys fraud Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint RRA had negotiated numerous settlements for for various whistleblower clients but defendant insisted on paying the settlements out over four months The plaintiffs wanted their cash up front Rothstein explained that the putative plaintiffs were willing to take a large discount up front because i they had a high degree of concern over whether defendant would attempt to prevent them from receiving payments after settling and ii Rothstein explained in detail a legal concept called privity plaintiff was in privity with the defendant which subjected their settlement to reversal by the federal government Rothstein represented that a third party buyer of the settlement rights would not be subject to such reversal as the third party was not in privity with the defendant The settlement documents were drafted and ready to be settled but Rothstein needed to find an investor to fund the settlement Rothstein explained that such a transaction was legal because the settlement agreement had no anti-assignment rights but that any third party investor couldnt be given any details about the parties involved in the settlement because it was by nature highly confidential and did contain strong confidentiality provisions Due to the fact that a funder could not be given any information about the case the defendant or the plaintiff and given the fact that Rothstein needed a high degree of confidentiality about even the existence of the funding arrangement in order to prevent defendants from explicitly prohibiting this type of arrangement going forward Rothstein could only engage in such transaction with local friends with whom he trusted RRAs clients were willing to accept up front in exchange for their rights to the settlement payable over months Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Rothstein could not personally fund the structured settlements because it was illegal for him or his firm to profit from a structured settlement in which he represented the plaintiff However it was in his firms interest to find a funder so that the firm could settle the case and get paid its contingency fee Rothstein remarked that the transaction would be substantiated and verified that he would provide evidence of the settlement in his office and that he would get on the phone with Spinosa of TD Bank to confirm that the putative defendants funds had been wired into a Florida Bar trust account with instructions to only release the funds in that account to the specified funder Upon concluding the meeting Barnett walked Florescue and Seigel out to the elevator During a debrief Barnett revealed that the defendant was Dole Foods which had knowingly supplied the U.S Government with impure orange juice in a major juice contract that called for pure orange juice Barnett said that Rothstein had offered to sign a corporate and personal guaranty as a further inducement to make the investment Between September and October BFMC worked with their counsel and Boden on various transaction documents necessary to close the deal During the first week of October Florescue telephoned Spinosa who Florescue knew professionally based on various banking activities previously engaged in to inquire about Rothstein Spinosa said that he could not talk about Rothstein without Rothsteins consent In early October Boden finalized the deal documents for BFMCs investment in three identical RRA settlements a structured settlement Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint payable in four equal monthly installments offered in exchange for a lump sum payment of a second structured settlement payable in four equal monthly installments offered in exchange for a lump sum payment of and a third structured settlement payable in four equal monthly installments offered in exchange for a lump sum payment of See correspondence from David Boden which is attached hereto and incorporated herein as Exhibit DD BFMCs explicit understanding from Boden and Rothstein was that the putative defendants funds were to be held in RRAs trust account and could only be released directly to BFMCs account pursuant to an irrevocable lock letter On or about October as part ofits due diligence BFMC obtained a copy of a TD Bank lock letter signed by Spinosa stating that pursuant to your written instructions to us of October please be advised that all funds contained in the above referenced account shall only be distributed upon your or Stuart Rosenfeldts instruction and shall only be distributed to BB FKA Colonial Bank Pompano Beach Branch ABA for further credit to BFMC Investment LLC Account Your letter is understood not to convey ownership of the account or access to the account to any other party but rather is meant to irrevocably restrict conveyances as follows conveyances shall only be made from the account referenced above to the BB FKA Colonial Bank account belonging to BFMC Investment LLC See October lock letter attached hereto and incorporated herein as Exhibit EE Later that day and in reliance on the foregoing BFMC wired to RRA TD Bank account number Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Implosion of Rothsteins Ponzi Scheme In October the Ponzi scheme reached critical mass October was a huge month for investor settlement redemptions and Rothstein knew that the influx of new investor capital could not satisfy all previous investor obligations Sensing that the end was near Rothstein began planning his escape On October Rothstein sent a firm-wide e-mail at RRA asking for help to determine whether a client who is facing a multitude of criminal charges in the United States including fraud money laundering and embezzlement--could be extradited to the United States or Israel from abroad after renouncing his United States citizenship Rothsteins email asked for countries which did not have extradition treaties with the United States or Israe1 and concluded by stating that this client is related to a very powerful client of ours and so time is of the essence Lets rock and roll there is a very large fee attached to this case Thanks Love ya Scott See Sun-Sentinel article dated November referencing the October email which is attached hereto and incorporated herein as Exhibit FF Suffice it to say Rothstein was the purported client and this is the first clear written indication that he knew his fate By the end of October Rothstein and RRA began to default on the investors structured payments and the Ponzi scheme began to unravel On October Richard Pearson who had invested in the Ponzi scheme confronted Rothstein who was sitting with Spinosa inside of Bova restaurant Pearson in Spinosas presence demanded to know why he had not received two scheduled Not coincidentally Morocco Rothsteins destination on October was one of the countries that does not have an extradition treaty with either the United States or lsrael Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL TEL Razorback Funding LLC et al TD Bank N.A et al Complaint payments due to him the week prior Rothstein attempted to diffuse the situation leaving Spinosa visibly shaken Shortly thereafter Rothstein proceeded to methodically drain the TD Bank RRA accounts dry depleting virtually all of the remaining investors money as well as the money of many of the firms clients On October Rothstein secretly boarded a private jet destined for Morocco but not before completing a wire transfer to a Moroccan bank By October investors began to scramble desperately attempting to reach Rothstein for answers Unbeknownst to them Rothstein was already gone along with their investments as the Ponzi scheme finally buckled under the pressure of obligations due Devastating Fallout The velocity at which the Ponzi scheme cratered sent a sonic boom felt throughout the financial and legal world Reeling from its shameful missteps in connection with the Rothstein scandal an emergency receiver was appointed for RRA on November for the purpose of winding down its operations As the dust begins to settle critical details have emerged revealing the scope and magnitude of this the nefarious scheme By way of example Plaintiffs have discovered that a the entirety of Plaintiffs more than investment was gone plaintiffs lock letter accounts were never funded with the purported settlement money and contained only a nominal deposit of Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL I Razorback Funding LLC et al TD Bank N.A et al Complaint even after Rothsteins October departure to Morocco millions of dollars continued to flow out of RRA accounts from the Fort Lauderdale TD Bank accounts indicative of an insider maintaining operations of the Ponzi scheme in October alone in credits and in debits was transacted through the RRA accounts at TD Bank the wire transfer confirmation used by Preve and Rothstein to induce Razorbacks payment was in fact never received by RRA or TD Bank on July Rothstein transferred a assessed value property to Villegas for love and affection and Notwithstanding owning the property free and clear Villegas who earned a year decided to pull I out of the property days prior to the IRS filing of a forfeiture in rem complaint against the property on November I Mel Lipschitz of DE Securities whose group invested nearly into the Ponzi scheme advised a group of investor victims that he personally sat with Spinosa at TD Bank and verified investment account balances sometime in the Spring or Summer of Ted Morse was personally provided with a written account balance statement by Caretsky at TD Bank and Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint TD Bank either knew or certainly should have known of the criminality and/or gross irregularities of RRAs operations Alternatively TD Banks actions and/or omissions in not conducting any due diligence inquiry into RRAs suspicious activities unorthodox settlement structures lack of supporting document and vigilant if not obsessive control over account access was either deliberate or reckless A Ponzi scheme cannot be operated without insider help Plaintiffs believe that additional members of RRA including its non-lawyer investigators were used by Rothstein to perpetuate promote and facilitate the Ponzi scheme The details of these individuals or entities involvement and participation is presently unknown but further allegations and counts will be added as discovery is conducted and infonnation concerning the complicity of these individuals or entities is confinned Jurisdiction and Venue This court has jurisdiction over this matter as an action for damages in excess of exclusive of attorneys fees costs and interest Venue is appropriate Broward County Florida pursuant to Fla Stat because the Defendants reside in Broward County Florida and the cause of action accrued in Broward County Florida All conditions precedent if any have been met waived or excused I Plaintiffs have retained the undersigned finn and have agreed to pay it a reasonable fee Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al COUNT I FRAUDULENT MISREPRESENTATION against Scott Rothstein Complaint Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein knowingly made material false statements and representations including but not limited to representing that the settlement agreements purchased by investors were real that they had been fully funded and that they would be paid out to investors over a predetermined schedule Rothstein intended the Banyon Investors to act on his knowingly false representations I The Banyan Investors justifiably relied upon Rothstein representations to their detriment As a direct and proximate result of Rothsteins false statements The Banyon Investors have sustained damages WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT II FRAUDULENT MISREPRESENTATION against Jennifer Kerstetter Complaint Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements Kerstetter intended the Banyon Investors to act on her knowingly false representations The Banyon Investors justifiably relied upon Kerstetters representations to their detriment As a direct and proximate result of Kerstetter false statements the Ban yon Investors have sustained damages WHEREFORE THE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT I FRAUDULENT MISREPRESENTATION against Roseanne Caretsky Complaint Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his finn RRA and through TD Bank In furtherance of the Ponzi scheme Caretsky knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements Caretsky intended the Banyan Investors to act on her knowingly false representations The Banyan Investors justifiably relied upon Caretskys representations to their detriment As a direct and proximate result of Caretskys false statements the Banyan Investors have sustained damages WHEREFORE THE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT IV FRAUDULENT MISREPRESENTATION against TD Bank N.A Complaint Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation At all times material hereto Kerstetter was acting in the scope of her employment as an assistant manager of TD Bank At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme TD Bank through Kerstetter and Caretsky knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements TD Bank through Kerstetter and Caretsky intended the Banyon Investors to act on their knowingly false representations The Banyon Investors justifiably relied upon TD Banks through Kerstetters and Caretskys representations to their detriment As a direct and proximate result of TD Banks made through Kerstetters and Caretskys false statements the Banyon Investors have sustained damages WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT NEGLIGENT MISREPRESENTATION against Jennifer Kerstetter Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter made material false statements and representations including but not limited to supplying investors with false bank account statements When making the false statements and representations Kerstetter either knew or reasonably should have known that they were false Kerstetter owed the Banyon Investors a duty of care because she knew or had reason to know that the Banyon Investors were placing trust and confidence in her and relying on her to inform them Kerstetter breached her duty to the Banyon investors by making false representations with the intention that the Banyon Investors rely on them The Banyon Investors justifiably relied upon Kerstetters representations to their detriment As a direct and proximate result of Kerstetters false statements the Banyon Investors have sustained damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint TD Bank breached its duty to the Banyon Investors by making false representations through Kerstetter and Caretsky with the intention that the Banyon Investors rely on them The Banyan Investors justifiably relied upon TD Banks through Kerstetters and Caretsky representations to their detriment As a direct and proximate result of TD Banks representations made through Kerstetter and Caretsky the Banyon Investors have sustained damages WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint Kerstetter was aware that Rothstein was financially exploiting the investors to their detriment and was aware that Rothstein was breaching his fiduciary obligations to the Banyon Investors Kerstetter actively assisted and provided substantial assistance to Rothstein in his financial exploitation of the Banyon Investors and his breaches of fiduciary duty Kerstetters actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint Caretsky was aware that Rothstein was financially exploiting the investors to their detriment and was aware that Rothstein was breaching his fiduciary obligations to the Banyon Investors Caretsky actively assisted and provided substantial assistance to Rothstein in his financial exploitation of the Ban yon Investors and his breaches of fiduciary duty Caretskys actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint the attorney trust accounts containing the funds to which the Banyon Investors had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to the Banyon Investors TD Bank was aware that Rothstein was financially exploiting the investors to their detriment and was aware that Rothstein was breaching his fiduciary obligations to the Banyon Investors TD Bank through its employees acting within the scope of their employment actively assisted and provided substantial assistance to Rothstein in his financial exploitation of the Ban yon Investors and his breaches of fiduciary duty TD Banks actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint trust accounts containing the funds to which the Banyon Investors had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to the Banyon Investors Villegas was aware that Rothstein was financially exploiting the investors to their detriment and was aware that Rothstein was breaching his fiduciary obligations to the Banyon Investors Villegas actively assisted and provided substantial assistance to Rothstein in his financial exploitation of the Banyon Investors and his breaches of fiduciary duty Villegass actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint to which the Banyon Investors had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to the Ban yon Investors Rothstein breached his fiduciary duties by raiding the RRA trust accounts for his personal use Rothsteins actions have directly caused injury and damages to the Banyon Investors WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Fwiding LLC et al TD Bank N.A et al Complaint Kerstetters and Caretskys representations that the RRA trust accounts contained substantial funds TD Bank was a fiduciary of the Ban yon Investors and owed them the fiduciary duties of honesty loyalty and care TD Bank breached its fiduciary duties through the actions of its employees by either ignoring or actively assisting and providing substantial assistance to Rothstein in its financial exploitation of the Banyon Investors TD Banks actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint included but was not limited to providing false documentation to the Banyon Investors that the RRA trust accounts contained substantial funds when they did not Kerstetters actions have directly caused injury and damage to the Banyon Investors WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank NA et al Complaint VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XVI CONVERSION against Scott Rothstein Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for conversion As described more fully above the deals in which the Banyon Investors invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of the Banyon Investors when he absconded with the Banyon Investors in funds Rothsteins conversion of the Banyon Investors funds has pennanently deprived the Banyon Investors of their property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by the Banyon Investors to make demand upon him for the return of their property would be futile Rothsteins actions have directly caused injury and damages to the Banyon Investors WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT XIX AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint TD Bank through its employees while acting within the scope of their employment actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving the Banyan Investors of their property by allowing Rothstein to make unauthorized withdrawals of its funds and by deceiving the Banyon Investors into turning its property over to Rothstein under false pretenses TD Banks actions have directly caused injury and damages to the Banyan Investors WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by the Ban yon Investors to make demand upon him for the return of their property would be futile Villegas actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving the Banyon Investors of their property by deceiving the Banyon Investors into turning their property over to Rothstein under false pretenses Villegass actions have directly caused injury and damages to the Banyon Investors WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint In reliance on Kerstetters and Caretskys representations on May the Banyon Investors began sending payments to RRAs account at TD Bank eventually funding a total of The Banyon Investors reliance on Kerstetters and Caretskys representations was reasonable and justified TD Bank owed a duty to the Banyon Investors to ensure that its employees were not actively defrauding depositors by making false representations in order to trick them into making unsafe deposits into trust accounts that they knew or reasonably should have known were being raided by Rothstein TD Bank breached its duties to the Banyon Investors because it had actual or constructive notice that its assistant manager and assistant vice president and branch manager were either fraudulently or negligently participating in a scheme which resulted in the unauthorized raiding of investors deposits and acted unreasonably by failing to investigate or take corrective action As a direct and proximate result of TD Banks failure to investigate or take corrective action against Kerstetter or Caretsky the Ban yon Investors have sustained damages WHEREFORE LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding UC et al TD Bank N.A et al COUNT XXIV FRAUDULENT MISREPRESENTATION against Scott Rothstein Complaint Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein knowingly made material false statements and representations including but not limited to representing that the settlement agreements purchased by investors were real that they had been fully funded and that they would be paid out to investors over a predetermined schedule Rothstein intended Razorback to act on his knowingly false representations Razorback justifiably relied upon Rothstein representations to its detriment As a direct and proximate result of Rothsteins false statements Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XXV FRAUDULENT MISREPRESENTATION against Frank Spinosa Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Spinosa knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements and misleading and untrue written assurances concerning the settlement accounts Spinosa intended Razorback to act on his knowingly false representations Razorback justifiably relied upon Spinosas representations to its detriment As a direct and proximate result of Spinosas false statements Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XXVI FRAUDULENT MISREPRESENTATION against Jennifer Kerstetter Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Kerstetter intended Razorback to act on her knowingly false representations Razorback justifiably relied upon Kerstetters representations to its detriment As a direct and proximate result of Kerstetters false statements Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint Razorbackjustifiably relied upon TD Banks through Spinosas Kerstetters and Caretskys representations to its detriment As a direct and proximate result of TD Banks made through Spinosas Kerstetters and Caretskys false statements Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XXIX FRAUDULENT MISREPRESENTATION against Frank Preve Plaintiff incorporates the allegations contained in paragraphs I through I as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Preve knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements and false confinnations that other monies had been wired to RRA trust accounts Preve intended Razorback to act on his knowingly false representations Razorback justifiably relied upon Preve representations to its detriment I As a direct and proximate result of Preves false statements Razorback has sustained damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK PREVE for compensatory damages together with court costs and such further relief as the Court deems proper COUNT NEGLIGENT MISREPRESENTATION against Frank Spinosa Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Spinosa made material false statements and representations including but not limited to supplying investors with false bank account statements and misleading and untrue written assurances concerning the settlement accounts When making the false statements and representations Spinosa either knew or reasonably should have known that they were false Spinosa owed Razorback a duty of care because he knew or had reason to know that Razorback was placing trust and confidence in him and relying on him to inform it Spinosa breached his duty to Razorback by making false representations with the intention that Razorback rely on them Razorback justifiably relied upon Spinosas representations to its detriment As a direct and proximate result of Spinosas false statements Razorback has sustained damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XI-NEGLIGENT MISREPRESENTATION against Jennifer Kerstetter Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter made material false statements and representations including but not limited to supplying investors with false bank account statements When making the false statements and representations Kerstetter either knew or reasonably should have known that they were false Kerstetter owed Razorback a duty of care because she knew or had reason to know that Razorback was placing trust and confidence in her and relying on her to inform it Kerstetter breached her duty to Razorback by making false representations with the intention that Razorback rely on them Razorback justifiably relied upon Kerstetters representations to its detriment As a direct and proximate result of Kerstetters false statements Razorback has sustained damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint TD Bank owed Razorback a duty of care because it knew or had reason to know that Razorback was placing trust and confidence in her and relying on it to inform them TD Bank breached its duty to Razorback by making false representations through Spinosa Kerstetter and Caretsky with the intention that Razorback rely on them Razorback justifiably relied upon TD Banks through Spinosas Kerstetters and Caretskys representations to their detriment As a direct and proximate result of TD Banks representations made through Spinosa Kerstetter and Caretsky Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XX.XIV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint Spinosa actively assisted and provided substantial assistance to Rothstein in his financial exploitation of Razorback and his breaches of fiduciary duty Spinosas actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XX.XV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint COUNT XVII AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XVI AIDING AND Razorback Funding UC et al TD Bank N.A et al Complaint COUNT XIX AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint As trustee of the attorney trust account where Razorbacks purported settlement funds were deposited Rothstein had fiduciary duties of honesty loyalty and care to Razorback Additionally as trustee of the attorney trust account containing the funds to which Razorback had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to Razorback Rothstein breached his fiduciary duties by raiding the RRA trust accounts for his personal use Rothstein actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLI BREACH OF FIDUCIARY DUTY against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for breach of fiduciary duty At all times material hereto Spinosa was acting in the scope of his employment as Regional Vice President ofT.D Bank At all times material hereto Kerstetter was acting in the scope of her employment as an assistant manager of TD Bank At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank Page of CONRAD SCHERER LLP SOUTH f"EDERAL HIGHWAY f"T LAUDERDALE f"L I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint In Florida a bank assumes a fiduciary duty with its customer under special circumstances where the bank knows or has reason to 267know that the customer is placing trust and confidence in the bank and is relying on the bank to so counsel and inform him Under the circumstances outlined above whereby TD Bank knew that Razorback was relying on Spinosa assurances to Razorback of the precautions in place to prevent improper withdrawals from its account TD Bank was a fiduciary of Razorback and owed Razorback the fiduciary duties of honesty loyalty and care Additionally where TD Bank knew that Razorback investors were relying on Spinosas Kerstetters and Caretskys representations that the RRA trust accounts contained substantial funds TD Bank was a fiduciary of Razorback and owed Razorback the fiduciary duties of honesty loyalty and care TD Bank breached its fiduciary duties through the actions of its employees by either ignoring or actively assisting and providing substantial assistance to Rothstein in its financial exploitation of Razorback TD Banks actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLII BREACH OF FIDUCIARY DUTY against Frank Preve Plaintiff incorporates the allegations contained in paragraphs through I as if restated herein I This is a claim for breach of fiduciary duty Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank NA et al Complaint I By holding himself out as a co-investor Preve became a fiduciary of Razorback and owed Razorback the fiduciary duties of honesty loyalty and care Preve breached his fiduciary duties by either ignoring or actively assisting and providing substantial assistance to Rothstein in his financial exploitation of Razorback Preves actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK PREVE for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLIV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint This is a claim for aiding and abetting fraud As described more fully above the deals in which Razorback invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank Caretsky knew of Rothsteins fraudulent scheme Caretsky actively assisted and provided substantial assistance to Rothstein in his financial exploitation of Razorback through fraud Caretskys assistance included but was not limited to providing false documentation to Razorback that the RRA trust accounts contained substantial funds when they did not Caretskys actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank TD Bank knew ofRothsteins fraudulent scheme TD Bank through Spinosa Kerstetter and Caretsky actively assisted and provided substantial assistance to Rothstein in his financial exploitation of Razorback through fraud TD Banks assistance included but was not limited to providing false documentation to Razorback that the RRA trust accounts contained substantial funds when they did not and supplying investors with misleading and untrue written assurances concerning the settlement accounts TD Banks actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLVII AIDING AND Razorback Funding UC et al TD Bank N.A et al Complaint Razorback through fraud by furnishing false bank account statements and wire transfers to investors in order to induce them to invest despite having actual or constructive knowledge that the investments were a Ponzi scheme Villegass actions have directly caused injury and damage to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XLVI AIDING AND Razorback Funding LLC et al TD Bank N.A et al COUNT XLIX CONVERSION against Scott Rothstein Complaint Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for conversion As described more fully above the deals in which Razorback invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of Razorback when he absconded with Razorbacks in funds Rothsteins conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Rothsteins actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint As described more fully above the deals in which Razorback invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of Razorback when he absconded with Razorbacks in funds Rothsteins conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Spinosa actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of its property by deceiving Razorback into turning its property over to Rothstein under false pretenses Spinosas actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of Razorback when he absconded with Razorbacks in funds Rothsteins conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Kerstetter actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of its property by deceiving Razorback into turning its property over to Rothstein under false pretenses Kerstetters actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank NA et al Complaint Rothsteins conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Caretsky actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of_ its property by deceiving Razorback into turning its property over to Rothstein under false pretenses Caretskys actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile At all times material hereto Spinosa was acting in the scope of his employment for TD Bank At all times material hereto Kerstetter was acting in the scope of her employment as an assistant manager of TD Bank At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank TD Bank through its employees while acting within the scope of their employment actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of its property by allowing Rothstein to make unauthorized withdrawals of its funds and by deceiving Razorback into turning its property over to Rothstein under false pretenses TD Banks actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LIV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint As described more fully above the deals in which Razorback invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of Razorback when he absconded with Razorbacks in funds Rothsteins conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Villegas actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of its property by deceiving Razorback into turning its property over to Rothstein under false pretenses Villegass actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property of Razorback when he absconded with Razorbacks in funds I Rothstein conversion of Razorbacks funds has permanently deprived Razorback of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by Razorback to make demand upon him for the return of its property would be futile Preve actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving Razorback of its property by deceiving Razorback into funding settlements that he knew did not exist Preves actions have directly caused injury and damages to Razorback WHEREFORE RAZORBACK FUNDING LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LVI NEGLIGENT SUPERVISION against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for negligent supervision As described more fully above Spinosa Kerstetter and Caretsky participated with actual or constructive knowledge in Rothsteins Ponzi scheme Spinosas Kerstetters and Caretskys participation included but was not limited to providing the Razorback with false Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razo1 267back Funding LLC et al TD Bank N.A et al Complaint information concerning the amounts deposited in RRA trust accounts and supplying investors with misleading and untrue written assurances concerning the settlement accounts In reliance on Spinosas Kerstetters and Caretskys representations on October Razorback began sending payments to RRAs account at TD Bank eventually funding a total of Razorbacks reliance on Spinosas Kerstetters and Caretskys representations was reasonable and justified TD Bank owed a duty to Razorback to ensure that its employees were not actively defrauding depositors by making false representations in order to trick them into making unsafe deposits into trust accounts that they knew or reasonably should have known were being raided by Rothstein TD Bank breached its duties to Razorback because it had actual or constructive notice that its assistant manager and assistant vice president and branch manager were either fraudulently or negligently participating in a scheme which resulted in the unauthorized raiding of investors deposits and acted unreasonably by failing to investigate or take corrective action As a direct and proximate result of TD Banks failure to investigate or take corrective action against Spinosa Kerstetter or Caretsky Razorback has sustained damages WHEREFORE RAZORBACK FUNDING LLC requests judgment against TD BANK A for compensatory damages together with court costs and such further relief as the Court deems proper Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al COUNT LVII FRAUDULENT MISREPRESENTATION against Scott Rothstein Complaint Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein knowingly made material false statements and representations including but not limited to representing that the settlement agreements purchased by investors were real that they had been fully funded and that they would be paid out to investors over a predetermined schedule I Rothstein intended D3 to act on his knowingly false representations D3 justifiably relied upon Rothstein representations to its detriment I As a direct and proximate result of Rothsteins false statements D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LVI FRAUDULENT MISREPRESENTATION against Frank Spinosa Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL I Razorback Funding LLC et al TD Bank N.A et al Complaint As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Spinosa knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements and misleading and untrue written assurances concerning the settlement accounts Spinosa intended D3 to act on his knowingly false representations D3 justifiably relied upon Spinosas representations to its detriment As a direct and proximate result of Spinosas false statements D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LIX FRAUDULENT MISREPRESENTATION against Jennifer Kerstetter Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank NA et al Complaint Kerstetter intended D3 to act on her knowingly false representations D3 justifiably relied upon Kerstetters representations to its detriment As a direct and proximate result of Kerstetters false statements D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE D3 CAPITAL CLUB LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint D3 justifiably relied upon TD Banks through Spinosas Kerstetters and Caretskys representations to its detriment As a direct and proximate result of TD Banks made through Spinosas Kerstetters and Caretskys false statements D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXII NEGLIGENT MISREPRESENTATION against Frank Spinosa Plaintiff incorporates the allegations contained in paragraphs I through as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Spinosa made material false statements and representations including but not limited to supplying investors with false bank account statements and misleading and untrue written assurances concerning the settlement accounts When making the false statements and representations Spinosa either knew or reasonably should have known that they were false Spinosa owed D3 a duty of care because he knew or had reason to know that D3 was placing trust and confidence in him and relying on him to inform it Spinosa breached his duty to D3 by making false representations with the intention that D3 rely on them Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank NA et al Complaint D3 justifiably relied upon Spinosas representations to its detriment As a direct and proximate result of Spinosas false stateinents D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXI NEGLIGENT MISREPRESENTATION against Jennifer Kerstetter Plaintiff incorporates the allegations contained in paragraphs through I as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his finn RRA and through TD Bank In furtherance of the Ponzi scheme Kerstetter made material false statements and representations including but not limited to supplying investors with false bank account statements When making the false statements and representations Kerstetter either knew or reasonably should have known that they were false Kerstetter owed D3 a duty of care because she knew or had reason to know that D3 was placing trust and confidence in her and relying on her to inform it Kerstetter breached her duty to D3 by making false representations with the intention that Razorback rely on them D3 justifiably relied upon Kerstetters representations to their detriment Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint As a direct and proximate result of Kerstetters false statements D3 has sustained damages WHEREFORE D3 CAP IT AL CLUB LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint As a direct and proximate result of Caretskys false statements D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint When making the false statements and representations TD Bank through Spinosa Kerstetter and Caretsky either knew or reasonably should have known that they were false TD Bank owed D3 a duty of care because it knew or had reason to know that D3 was placing trust and confidence in her and relying on it to inform them TD Bank breached its duty to D3 by making false representations through Spinosa Kerstetter and Caretsky with the intention that D3 rely on them D3 justifiably relied upon TD Banks through Spinosas Kerstetters and Caretskys representations to its detriment As a direct and proximate result of TD Banks representations made through Spinosa Kerstetter and Caretsky D3 has sustained damages WHEREFORE D3 CAP IT AL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint the funds to which D3 had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to D3 Spinosa was aware that Rothstein was financially exploiting the investors to their detriment and was aware that Rothstein was breaching his fiduciary obligations to D3 Spinosa actively assisted and provided substantial assistance to Rothstein in his financial exploitation of D3 and his breaches of fiduciary duty Spinosas actions have directly caused injury and damage to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVII AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint Kerstetter actively assisted and provided substantial assistance to Rothstein in his financial exploitation of and his breaches of fiduciary duty Kerstetter actions have directly caused injury and damage to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE D3 CAPITAL CLUB LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint TD Bank through its employees acting within the scope of their employment actively assisted and provided substantial assistance to Rothstein in his financial exploitation of D3 and his breaches of fiduciary duty TD Banks actions have directly caused injury and damage to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXX AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint WHEREFORE D3 CAPITAL CLUB LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXXI BREACH OF FIDUCIARY DUTY against Scott Rothstein Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for breach of fiduciary duty As trustee of the attorney trust account where D3s purported settlement funds were deposited Rothstein had fiduciary duties of honesty loyalty and care to D3 Additionally as trustee of the attorney trust account containing the funds to which D3 had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to D3 Rothstein breached his fiduciary duties by raiding the RRA trust accounts for his personal use Rothsteins actions have directly caused injury and damages to D3 WHEREFORE D3 CAP IT AL CLUB LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXXII BREACH OF FIDUCIARY DUTY against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for breach of fiduciary duty Page of CONRAD SCHERER LLP SOUTH FEDE,RAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint At all times material hereto Spinosa was acting in the scope of his employment as Regional Vice President of TD Bank At all times material hereto Kerstetter was acting in the scope of her employment as an assistant manager of TD Bank At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president.and branch manager of TD Bank In Florida a bank assumes a fiduciary duty with its customer under special circumstances where the bank knows or has reason to know that the customer is placing trust and confidence in the bank and is relying on the bank to so counsel and inform him Under the circumstances outlined above whereby TD Bank knew that D3 was relying on Spinosas assurances to D3 of the precautions in place to prevent improper withdrawals from its account TD Bank was a fiduciary of D3 and owed D3 the fiduciary duties of honesty loyalty and care Additionally where TD Bank knew that D3 was relying on Kerstetters representations to D3 that the settlement trust accounts had been funded TD Bank was a fiduciary of D3 and owed D3 the fiduciary duties of honesty loyalty and care In addition TD knew that D3 was relying on Caretskys representations that the RRA trust accounts contained substantial funds TD Bank was a fiduciary of D3 and owed D3 the fiduciary duties of honesty loyalty and care TD Bank breached its fiduciary duties through the actions of its employees by either ignoring or actively assisting and providing substantial assistance to Rothstein in its financial exploitation of D3 TD Banks actions have directly caused injury and damage to D3 Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXXI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint This is a claim for aiding and abetting fraud As described more fully above the deals in which D3 invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank Kerstetter knew ofRothsteins fraudulent scheme Kerstetter actively assisted and provided substantial assistance to Rothstein in his financial exploitation of D3 through fraud Kerstetters assistance included but was not limited to providing false documentation to D3 that the RRA trust accounts contained substantial funds when they did not Kerstetters actions have directly caused injury and damage to D3 WHEREFORE RAZORBACK FUNDING LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank N.A et al Complaint balances and that to the extent the accounts were funded that Rothstein routinely raided the accounts for his own use Caretskys actions have directly caused injury and damage to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint that the RRA trust accounts contained substantial funds when they did not and supplying investors with misleading and untrue written assurances concerning the settlement accounts TD Banks actions have directly caused injury and damage to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXXVII AIDING AND Razorback Funding LLC et al TD Bank N.A et al COUNT LXXVI CONVERSION against Scott Rothstein Complaint Plaintiff incorporates the allegations contained in paragraphs I through as if restated herein This is a claim for conversion As described more fully above the deals in which D3 invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property ofD3 when he absconded with D3s in funds Rothsteins conversion of D3s funds has permanently deprived D3 of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by D3 to make demand upon him for the return of its property would be futile Rothstein actions have directly caused injury and damages to D3 WHEREFORE D3 CAP IT AL CLUB LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXXIX AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint As described more fully above the deals in which D3 invested were bogus and Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property ofD3 when he absconded with D3s in funds Rothsteins conversion of D3s funds has permanently deprived D3 of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by D3 to make demand upon him for the return of its property would be futile Spinosa actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving D3 of its property by deceiving D3 into turning its property over to Rothstein under false pretenses Spinosas actions have directly caused injury and damages to WHEREFORE D3 CAPITAL CLUB LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LX AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property ofD3 when he absconded with D3s in funds Rothsteins conversion of D3s funds has permanently deprived D3 of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by D3 to make demand upon him for the return of its property would be futile Kerstetter actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving D3 of its property by deceiving D3 into turning its property over to Rothstein under false pretenses Kerstetters actions have directly caused injury and damages to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against JENNIFER Razorback Funding LLC et al TD Bank NA et al Complaint Caretsky actively assisted and provided substantial assistance to Rothstein in his financial exploitation of D3 through fraud Caretskys assistance included but was not limited to providing false documentation to D3 that the RRA trust accounts contained substantial funds when they did not Caretskys actions have directly caused injury and damage to D3 Caretskys actions have directly caused injury and damages to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against ROSEANNE Razorback Funding LLC et al TD Bank N.A et al Complaint At all times material hereto Spinosa was acting in the scope of his employment for TD Bank At all times material hereto Kerstetter was acting in the scope of her employment as an assistant manager of TD Bank At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank TD Bank through its employees while acting within the scope of their employment actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving D3 of its property by allowing Rothstein to make unauthorized withdrawals of its funds and by deceiving D3 into turning its property over to Rothstein under false pretenses TD Banks actions have directly caused injury and damages to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint furtherance of the Ponzi scheme Rothstein exercised unauthorized dominion and control over the property ofD3 when he absconded with D3s in funds Rothsteins conversion of D3s funds has permanently deprived D3 of its property Based upon Rothstein having initially fled the country after emptying out the trust accounts any attempts by D3 to make demand upon him for the return of its property would be futile Villegas actively assisted and provided substantial assistance to Rothstein in either temporarily or permanently depriving D3 of its property by deceiving D3 into turning its property over to Rothstein under false pretenses Villegass actions have directly caused injury and damages to D3 WHEREFORE D3 CAPITAL CLUB LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXIV NEGLIGENT SUPERVISION against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for negligent supervision As described more fully above Spinosa Kerstetter and Caretsky participated with actual or constructive knowledge in Rothstein Ponzi scheme Spinosa Kerstetter and Caretskys participation included but was not limited to providing D3 with false information Page I IO of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY F"T LAUDERDALE F"L I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint concerning the amounts deposited in RRA trust accounts and supplying investors with misleading and untrue written assurances concerning the settlement accounts In reliance on Spinosas Kerstetters and Caretskys representations on October D3 began sending payments to RRAs account at TD Bank eventually funding a total of D3s reliance on Spinosas Kerstetters and Caretskys representations was reasonable and justified TD Bank owed a duty to D3 to ensure that its employees were not actively defrauding depositors by making false representations in order to trick them into making unsafe deposits into trust accounts that they knew or reasonably should have known were being raided by Rothstein TD Bank breached its duties to D3 because it had actual or constructive notice that its assistant manager and assistant vice president and branch manager were either fraudulently or negligently participating in a scheme which resulted in the unauthorized raiding of investors deposits and acted unreasonably by failing to investigate or take corrective action As a direct and proximate result of TD Banks failure to investigate or take corrective action against Spinosa Kerstetter or Caretsky D3 has sustained damages WHEREFORE D3 CAPITAL CLUB LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al COUNT LXV FRAUDULENT MISREPRESENTATION against Scott Rothstein Complaint Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Rothstein knowingly made material false statements and representations including but not limited to representing that the settlement agreements purchased by investors were real that they had been fully funded and that they would be paid out to investors over a predetermined schedule Rothstein intended BFMC to act on his knowingly false representations BFMC justifiably relied upon Rothsteins representations to its detriment As a direct and proximate result of Rothsteins false statements BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVI FRAUDULENT MISREPRESENTATION against Frank Spinosa Plaintiff incorporates the allegations contained in paragraphs through I as if restated herein This is a claim for fraudulent misrepresentation Page of CONRAD SCHERER LLP SOUTH F"EDERAL HIGHWAY rT LAUDERDALE rL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Spinosa knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements and misleading and untrue written assurances concerning the settlement accounts Spinosa intended BFMC to act on his knowingly false representations BFMC justifiably relied upon Spinosas representations to its detriment As a direct and proximate result of Spinosas false statements BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVII FRAUDULENT MISREPRESENTATION against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation At all times material hereto Spinosa was acting in the scope ofhis employment as Regional Vice President of TD Bank As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint In furtherance of the Ponzi scheme TD Bank through Spinosa knowingly made material false statements and representations including but not limited to supplying investors with false bank account statements and supplying investors with misleading and untrue written assurances concerning the settlement accounts TD Bank through Spinosa intended BFMC to act on their knowingly false representations BFMC justifiably relied upon TD Banks through Spinosas representations to their detriment As a direct and proximate result of TD Banks made through Spinosas false statements BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against TD BANK A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVI FRAUDULENT MISREPRESENTATION against David Boden Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his finn RRA and through TD Bank In furtherance of the Ponzi scheme Boden knowingly made material false statements and representations including but not limited to making misleading and untrue assurances concerning the settlement agreements and accounts Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank NA et al Complaint Boden intended BFMC to act on his knowingly false representations BFMC justifiably relied upon Badens representations to its detriment As a direct and proximate result of Badens false statements BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against DAVID BODEN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT LXVIX FRAUDULENT MISREPRESENTATION against Andrew Barnett Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for fraudulent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme Barnett knowingly made material false statements and representations including but not limited to supplying BFMC with false information about the identity of the defendant who was purportedly funding the settlement Barnett intended BFMC to act on his knowingly false representations BFMC justifiably relied upon Barnetts representations to its detriment As a direct and proximate result of Barnetts false statements BFMC has sustained damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL I Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against ANDREW Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCI NEGLIGENT MISREPRESENTATION against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs I through I as if restated herein This is a claim for negligent misrepresentation At all times material hereto Spinosa was acting in the scope of his employment as Regional Vice President ofT.D Bank As described more fully above Rothstein was operating a Ponzi scheme through his firm RRA and through TD Bank In furtherance of the Ponzi scheme TD Bank through Spinosa made material false statements and representations including but not limited to showing investors false statements of the amounts in RRA trust accounts and providing misleading and untrue written assurances concerning the settlement accounts When making the false statements and representations TD Bank through Spinosa either knew or reasonably should have known that they were false TD Bank owed BFMC a duty of care because it knew or had reason to know that BFMC was placing trust and confidence in her and relying on it to inform them TD Bank breached its duty to BFMC by making false representations through Spinosa with the intention that BFMC rely on them Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDE:RDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint BFMC justifiably relied upon TD Banks through Spinosas representations to its detriment As a direct and proximate result of TD Banks representations made through Spinosa BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCII NEGLIGENT MISREPRESENTATION against Andrew Barnett Plaintiff incorporates the allegations contained in paragraphs I through as if restated herein This is a claim for negligent misrepresentation As described more fully above Rothstein was operating a Ponzi scheme through his finn RRA and through TD Bank In furtherance of the Ponzi scheme Barnett made material false statements and representations including but not limited to supplying BFMC with false information about the identity of the defendant who was purportedly funding the settlement When making the false statements and representations Barnett either knew or reasonably should have known that they were false Barnett owed BFMC a duty of care by affirmatively and voluntarily undertaking to offer BFMC information Barnett breached his duty to BFMC by making false representations with the intention that BFMC rely on them Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint BFMC justifiably relied upon Barnetts representations to its detriment As a direct and proximate result of Barnetts false statements BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgmen.t against ANDREW Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCIV AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint COUNT XCVI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint As trustee of the attorney trust account where BFMCs purported settlement funds were deposited Rothstein had fiduciary duties of honesty loyalty and care to BFMC Additionally as trustee of the attorney trust account containing the funds to which BFMC had an exclusive right to collect in the near future Rothstein had fiduciary duties of honesty loyalty and care to BFMC Rothstein breached his fiduciary duties by raiding the RRA trust accounts for his personal use Rothsteins actions have directly caused injury and damages to BFMC WHEREFORE BFMC INVESTMENT LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCVI BREACH OF FIDUCIARY DUTY against TD Bank N.A Plaintiff incorporates the allegations contained in paragraphs through as if restated herein This is a claim for breach of fiduciary duty At all times material hereto Spinosa was acting in the scope of his employment as Regional Vice President of TD Bank In Florida a bank assumes a fiduciary duty with its customer under special circumstances where the bank knows or has reason to know that the customer is placing trust and confidence in the bank and is relying on the bank to so counsel and inform him Under the circumstances outlined above whereby TD Bank knew that BFMC was relying on Spinosas assurances to BFMC of the precautions in place to prevent improper withdrawals from its Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint account TD Bank was a fiduciary of BFMC and owed BFMC the fiduciary duties of honesty loyalty and care TD Bank breached its fiduciary duties through the actions of its employees by either ignoring or actively assisting and providing substantial assistance to Rothstein in its financial exploitation of BFMC TD Banks actions have directly caused injury and damage to BFMC WHEREFORE BFMC INVESTMENT LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT XCIX AIDING AND Razorback Funding LLC et al TD Bank NA et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT AIDING AND Razorback Funding LLC et al TD Bank N.A et al COUNT CI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint Villegas knew ofRothsteins fraudulent scheme Villegas actively assisted and provided substantial assistance to Rothstein in his financial exploitation of all of the investor victims of Rothsteins Ponzi scheme including BFMC through fraud by furnishing false bank account statements and wire transfers to investors in order to induce them to invest despite having actual or constructive knowledge that the investments were a Ponzi scheme Villegass actions have directly caused injury and damage to BFMC WHEREFORE BFMC INVESTMENT LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint settlement despite having actual or constructive knowledge that the settlements were part of a Ponzi scheme Barnetts actions have directly caused injury and damage to BFMC WHEREFORE BFMC INVESTMENT LLC requests judgment against ANDREW Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against SCOTT ROTHSTEIN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CV AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against FRANK A SPINOSA for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CVI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint unauthorized withdrawals of its funds and by deceiving BFMC into turning its property over to Rothstein under false pretenses TD Banks actions have directly caused injury and damages to BFMC WHEREFORE BFMC INVESTMENT requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CVII AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint Badens actions have directly caused injury and damages to BFMC WHEREFORE BFMC INVESTMENT LLC requests judgment against DAVID BODEN for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CVI AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against DEBRA VILLEGAS for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CIX AIDING AND Razorback Funding LLC et al TD Bank N.A et al Complaint WHEREFORE BFMC INVESTMENT LLC requests judgment against ANDREW Razorback Funding LLC et al TD Bank N.A et al Complaint fraudulently or negligently participating in a scheme which resulted in the unauthorized raiding of investors deposits and acted unreasonably by failing to investigate or take corrective action As a direct and proximate result of TD Banks failure to investigate or take_ corrective action against Spinosa BFMC has sustained damages WHEREFORE BFMC INVESTMENT LLC requests judgment against TD BANK N.A for compensatory damages together with court costs and such further relief as the Court deems proper COUNT CXI CIVIL CONSPIRACY against Scott Rothstein Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for civil conspiracy As described more fully above Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank knowingly acted in concert to market and implement the illegal Ponzi scheme In doing so Rothstein acted with full knowledge and awareness that the activities of his and the other co-conspirators were designed to give the false impression of the existence of legitimate investment opportunities when in fact the investments were no more than his own blatant fabrications Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Rothstein and his co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint At all times material hereto Caretsky was acting in the scope of her employment as an assistant vice president and branch manager of TD Bank As described more fully above TD Bank acting through its employees and Rothstein Boden Villegas Barnett and Preve knowingly acted in concert to market and implement the illegal Ponzi scheme In doing so TD Bank acted with full knowledge and awareness that the activities of Rothstein and the other co-conspirators were designed to give the false impression of the existence of legitimate investment opportunities when in fact the investments were no more than blatant fabrications by Rothstein TD through its employees and Rothstein Boden Villegas Barnett and Preve acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of TD Bank Rothstein Boden Villegas Barnett and Preve were contrary to law as stated above There was a meeting of the minds between and among TD Bank through its employees and Rothstein Boden Villegas Barnett Preve and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages TD Banks and its co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Spinosas and his co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Kerstetter and her co-conspirators conduct has directly caused mJury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint illegal Ponzi scheme In doing so Caretsky acted with full knowledge and awareness that the activities of Rothstein and the other co-conspirators were designed to give the false impression of the existence of legitimate investment opportunities when in fact the investments were no more than blatant fabrications by Rothstein Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Caretskys and her co-conspirators conduct has directly caused mJury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VON ALLMEN as Trustee of the VON ALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT CXVI CIVIL CONSPIRACY against David Boden Complaint Plaintiffs incorporate the allegations contained in paragraphs I through I as if restated herein This is a claim for civil conspiracy As described more fully above Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank knowingly acted in concert to market and implement the illegal Ponzi scheme In doing so Boden acted with full knowledge and awareness that the activities of Rothstein and the other co-conspirators were designed to give the false impression of the existence of legitimate investment opportunities when in fact the investments were no more than blatant fabrications by Rothstein Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank N.A et al Complaint Bodens and his co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Villegass and her co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al Complaint the existence of legitimate investment opportunities when in fact the investments were no more than blatant fabrications by Rothstein Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinosa Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Barnetts and his co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN Razorback Funding LLC et al TD Bank N.A et al COUNT CXIX CIVIL CONSPIRACY against Frank Preve Complaint Plaintiffs incorporate the allegations contained in paragraphs through as if restated herein This is a claim for civil conspiracy As described more fully above Rothstein Spinoza Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank knowingly acted in concert to market and implement the illegal Ponzi scheme In doing so Preve acted with full knowledge and awareness that the activities of Rothstein and the other co-conspirators were designed to give the false impression of the existence of legitimate investment opportunities when in fact the investments were no more than blatant fabrications by Rothstein Rothstein Spinoza Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank acted in their respective roles as described supra according to a predetermined and commonly understood and accepted plan of action all for the purpose of obtaining substantial funds from investors including Plaintiffs The overt acts of Rothstein Spinoza Kerstetter Caretsky Boden Villegas Barnett Preve and TD Bank were contrary to law as stated above There was a meeting of the minds between and among Rothstein Spinoza Kerstetter Caretsky Boden Villegas Barnett Preve TD Bank and other individuals and entities both known and unknown to commit the unlawful acts alleged herein This conspiracy to commit these unlawful overt acts proximately caused and continues to cause Plaintiffs damages Page of CONRAD SCHERER LLP SOUTH FEDERAL HIGHWAY FT LAUDERDALE FL I TEL Razorback Funding LLC et al TD Bank NA et aL Complaint Preves and his co-conspirators conduct has directly caused injury and damage to Plaintiffs WHEREFORE RAZORBACK FUNDING LLC D3 CAPITAL CLUB LLC BFMC INVESTEMENT LLC LINDA VONALLMEN as Trustee of the VONALLMEN DYNASTY TRUST PARTNERS LP and DEAN APP Case 0-WJZ Document Entered on FLSD Docket Page of UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA CASE NO 09-61780-CIV-ZLOCH/ROSENBAUM UNITED STATE OF AMERICA aintiff VARIOUS REA PROPERTIES PURCHASED BY OR WITH ORO BEHALF OF SCOTT ROTHSTEIN SPECIFICALLY REALPRO RTY AND APPURTENANCES LOCATED AT CASTILLA ISLE FORT LAUDERDAL FLORIDA REAL PRO ERTY AND APPURTENANCES LOCATED AT CASTILLA ISLE FORT LAUDERDAL FLORIDA REAL PRO ERTY AND APPURTENANCES LOCATED AT l3 CASTILLA ISLE FORT LAUDE ALE FLORIDA REALPROjERTY AND APPURTENANCES LOCATED AT ISLA BAHIA DRIVE FORT LAUDE1f ALE FLORIDA I REAL PRO ERTY AND APPURTENANCES LOCATED AT ISLA BAHIA DRIVE I FORT LAUDE DALE FLORIDA REAL PRO ERTY AND APPURTENANCES LOCATED AT SE 2ND Case 0-WJZ Document Entered on FLSD Docket Page of AND INCLUD THE FOLLOWING REAL PROPER IES RP VEHICLES VESSELS VV TANGIBLES BANK ACCO TS BA BUSINESS INTERESTS I AND CONTRIBUTIONS SPECIFICALL RP9 REAL PRJ PERTY AND APPURTENANCES I LOCATED AT CASTILLA ISLE FORT LAUDE ALE FLORIDA RPl0 REAL OPERTY AND APPURTENANCES LOCATED AT NW Case Document Entered on FLSD Docket I VV BL CK LIMOUSINE FORD EXPEDITION VIN 1FIFK155 VV5 RE FERRARI SPIDER VIN ZFFEW59 VV6 SIL ER ROLLS ROYCE CONVERTIBLE VIN SCAIL68 I VV7 SIL ER HUMMER HI VIN VV8 CA ILLAC ESCALADE vn 1GYEC63 VV9 RE CONVERTIBLE Case Document Entered on FLSD Docket Page of VV18 AQU RIVA HULL XFA33 VV AMARA Case 0-WJZ Document Entered on FLSD Docket Page of I I T7 1N AMERICAN EXPRESS GIFT CARDS I i T8 ADDI IONAL WATCHES T9 GUIT COLLECTION BAI FIDELi YINVESTMENTS STOCK ACCOUNT IN THE NAME OF COTT ROTHSTEIN VALUED AT APP,OXIMA TELY BA2 GIBRA AR BANK ACCOUNT IN THE NAME OF 1w A WW LLC IN THE APPROXIMATE A OUNT OF BA3 GIBRAL AR BANK ACCOUNT IN THE APPROX A TE AMOUNT OF BA4 GIBRAL AR BANK ACCOUNT IN THE APPROXI TE AMOUNT OF BAS GIBRAL AR BANK ACCOUNT IN THE APPROXI A TE AMOUNT OF BA6 BANK Pl PULAIRE MOROCCO BANK ACCOUNT IN THE NAME OF COTT ROTHSTEIN IN THE APPROXIMATE A OUNT OF I BA BANK PpPULAIRE MOROCCO ACCOUNT IN THE NAME OF JiNICK KHALID UP TO THE AMOUNT OF BA8 BANK JOPULAIRE MOROCCO ACCOUNT IN THE NAME OF TEVE CAPUTI UP TO THE AMOtT OF Bil STOCK j:ERTIFICATES OR BENEFICIAL n-..rTEREST IN SHARES OF CAPITAL STOCK IN GIBfAL TAR PRIVATE BANK TRUST BI2 SCOTT ROTHSTEINS EQUITY INTEREST IN QT ASK Case Document Entered on FLSD Docket Page of I BI3 SCOTT,._ ROTHSTEINS EQUITY INTEREST IN BROWARD BAnT OF COMMERCE BI4 SCOTT ROTHSTEINS EQUITY INTEREST IN Bov A RISTORA TE BIS SCOTT ROTHSTEINS EQUITY INTEREST IN BOVACUCINA BI6 SCOTT ROTHSTEINS EQUITY INTEREST IN Bov A PRIME I BI7 SCOTT ROTHSTEINS EQUITY INTEREST IN CAFE IGUANA 1MBROKE PINES FLORIDA Bl8 SCOTT ROTHSTEINS EQUITY INTEREST IN CART SHIELD UrA LLC BI9 SCOTT I ROTHSTEINS EQUITY INTEREST IN RENATO WATC BI I SCOTT ROTHSTEIN EQUITY INTEREST IN EDIFYLLC BI SCOTT ROTHSTEINS EQUITY INTEREST IN GEORGIO VOiKA BI12 SCOTT ROTHSTEINS EQUITY INTEREST IN SEA CLUB Bll3 SCOTT i ROTHSTEINS EQUITY INTEREST IN NORTH STAR TGAGE BI14 SCOTT Vf ROTHSTEINS EQUITY INTEREST IN KIP HUNTER I I Case Document Entered on FLSD Docket Page of Bil SCOTT ROTHSTEINS EQUITY INTEREST AND LICENSING RIG IN ALTERNATIVE BIOFUEL COMPANY Bil SCOTT ROTHSTEINS EQUITY INTEREST IN RRA GOAL LINif MANAGEMENT Bil SCOTT ROTHSTEINS EQUITY INTEREST IN IRON I Case Document Entered on FLSD Docket Page of C4 CAMPAIGN CONTRIBUTIONS TO REPUBLICAN PA OF FLORIDA AND VOLUNTARILY OFFERED AND DOVER TO TI-IE UNITED STATES BY TI-IE REPUBL CAN PARTY OF FLORIDA C5 rril CAMPAIGN CONTRIBUTIONS TO REPUBLICAN PA TY OF FLORIDA BY ROTHSTEIN BUSINESS ENTI KNOWN AS WA WW AND VOLUNTARILY FERED AND TURNED OVER TO TI-IE UNITED STA TES BY TI-IE REPUBLICAN PARTY OF FLORIDA C6 CHARITABLE DONATION TO JOE DIMAGGIO HILDRENS HOSPITAL WHICH HOSPITAL ADVI THE UNITED ST A TES OF TI-IE DONATION FRO THE ROTHSTEIN FAMILY FOUNDATION I C7 CHARITABLE DONATION TO HOLY CROSS SPIT AL WHICH HOSP IT AL ADVISED THE UNITED STATES OF THE DONATION FROM THE ROTHSTEIN FA IL FOUNDATION C8 CAMPAIGN CONTRIBUTIONS TO GOVERNOR CH RLIE CRIST AND VOLUNTARILY OFFERED AND RNED OVER TO THE UNITED ST ATES BY THE OFFICE tjF CHARLIE CRIST AND C9 ALL VOLUNTARILY TURNED OVER TO THE UNITED ST TES IRS/FBI SINCE IN OR ABOUT OCTOBER IN RESPONSE TO PUBLICITY INVOLVING Seo ROTHSTEIN AMENDED VERIFIED COMPLAINT FOR FORFEITURE IN REM Plaintiff United States of America hereby files this amended verified civil complaint for forfeiture in reJ and states as follows Case Document Entered on FLSD Docket Page of GENERAL ALLEGATIONS his is a civil action for forfeiture in rem for various real and personal properties acquired ownedli obtained funded or purchased in whole or in part by with at the direction of on behalf of Scbtt Rothstein individually jointly as alter ego of and/or in conjunction with various entities The properties real and personal hereinafter collectively known as the defendants or the defendant properties violated U.S.C and/or U.S.C and/or U.S thereby subjecting the defendant properties to forfeiture pursuant to U.S.C a 1l and/or pursuant to U.S.C a A A RPI RP2 RP3 I he defendants consist of eal Properties RP hereinafter collectively referred to as the defendant real i operties are situated in Broward County in the Southern District of Florida and Je located at Castilla Isle Fort Lauderdale Florida hereafter also ref erred to as Defendant includes all buildings improvements fixtures attachments and easements f6und therein or thereon and is more particularly described as Lauderdale Shores i eamen Plat Lot Blk with a Folio Number of Castilla Isle Fort Lauderdale Florida hereafter also referred to as Defendant I includes all buildings improvements fixtures attachments and easements I ff und therein or thereon and is more particularly described as Lauderdale Shores eamen Plat Lot Blk with a Folio Number of 2r Castilla Isle Fort Lauderdale Florida hereafter also referred to as Defendant R/J includes all buildings improvements fixtures attachments and easements I Case 0-WJZ Document Entered on FLSD Docket Page of fi und therein or thereon and is more particularly described as Lauderdale Shores eamenPlat BLot3 Lot4W RP4 Isla Bahia Drive Fort Lauderdale Florida hereafter also referred to as Defendant 1f includes all buildings improvements fixtures attachments and easements und therein or thereon and is more particularly described as Isla Bahia RPS with a Folio Number of Isla Bahia Drive Fort Lauderdale Florida hereafter also referred to as Defendant includes all buildings improvements fixtures attachments and easements fi und therein or thereon and is more particularly described as Isla Bahia with a Folio Number of I RP6 3f SE Street Unit Fort Lauderdale Florida hereafter also referred to as efendant RP6 includes that portion of the condominium improvements ti tures attachments and easements found therein or thereon and is more particularly scribed as Las Olas Place Condo Unit with a Folio Number of Carrington Drive Weston Florida hereafter also referred to as Defendant includes all buildings improvements fixtures attachments and easements fi und therein or thereon and is more particularly described as Sector North Lot Blk A with a Folio Number of RPS b3 Imperial Point Drive Fort Lauderdale Florida hereafter also referred to as I efendant RPS includes all buildings improvements fixtures attachments and Case Document Entered on FLSD Docket Page of ements found therein or thereon and is more particularly described as Imperial int Sec Lot Blk with a Folio Number of RP9 Castilla Isle Fort Lauderdale Florida hereafter also referred to as Defendant I includes all buildings improvements fixtures attachments and easements und therein or thereon and is more particularly described as Lauderdale Shores rem Plat Lot Blk with a Folio Nwnber of RPIO NW th Street Apt Plantation Florida hereafter also referred to as befendant RPIO includes that portion of the condominium/townhome i provements fixtures attachments and easements found therein or thereon and is ore particularly described as OPTIMA VILLAGE CONDO UNIT LDG with a Folio Number of AC RPll Garden Court Lauderdale by the Sea Florida hereafter also referred to as efendant RPI I includes that portion of the buildings improvements fixtures a chments and easements found therein or thereon and is more particularly drscribed as SILVER SHORES UNIT A POR of Lot BLK DESC AS TO BEG AT SECOR SAID LOT TO POB I PtKA UNIT MARINA VILLAGE TOWNHOMES 227GARDEN with a Folio I umber of RP12 Spangler Boulevard Bay I Hollywood Florida hereafter also referred to as efendant RP12 includes all buildings improvements fixtures attachments and ements found therein or thereon and is more particularly described as HARBOR I V,IEW PORTION OF LOTS BLK DESC AS COMM OF NE Case 0-WJZ Document Entered on FLSD Docket Page of JOR OF LOT ON FJL ALG S/R/W/L OF ST RD TO POB I SI TO POB KA BAY PORTSIDE with a Folio Number of I RP13 East Broward Boulevard Fort Lauderdale Florida hereafter also referred to I ar Defendant RP13 includes all buildings improvements fixtures attachments afld easements found therein or thereon and is more particularly described as aEVERL HEIGHTS LOT LOT BLK with a Folio i umber of I RP14 Federal Highway Fort Lauderdale Florida hereafter also referred to as efendant RP14 includes all buildings improvements fixtures attachments and I II etsements found therein or thereon and is more particularly described as OD FOL DESC BEG INTER R/W/L ST RD TO POB with a Folio Jiumber of ii RP Las Olas Boulevard Commercial Unit Fort Lauderdale Florida hereafter also I I referred as Defendant RP15 includes all portion of that condominium improvements fixtures attachments and easements found therein or thereon and is more particularly I describe as LAS OLAS PLACE COMM CONDO UNIT CU2 with a Folio Number I of AP I ehicles and Vessels VV hereinafter collectively referred to as the defendant ii l1 VFhicles VVl Red Ferrari Coupe VIN ii VV2 White Bentley Convertible VIN I i l1 Case 0-WJZ Document Entered on FLSD Docket Page of VV3 Yellow McLaren Mercedes Benz SLR VIN VV4 Black Limousine Ford Expedition VIN VV5 Red Ferrari Spider VIN VV6 Silver Rolls Royce Convertible VIN VV 2f Silver Hummer HI VIN VV8 Cadillac Escalade VIN VV9 Red Convertible Corvette VIN VVI0 Black Bugatti Veyron EB VIN VVI Blue Rolls Royce Drophead Convertible VIN VV12 Red Ferrari Spider VIN VV13 Chevrolet Corvette VIN VV Chevrolet Corvette VIN VV15 Blue Gray Maserati Granturismo Coupe VIN VV16 White Mercedes Benz VIN VVI Warren Hull VV18 Aquariva Hull VV Yamaha Jet Ski Hull VV20 Yamaha VS Hull VV21 Yamaha VS Hull VV22 Sea Ray Sundancer VV23 Yamaha Jet Ski Hull VV White Lamborghini lp-670sv VIN ZHWBU8AHXALA03837 Case Document Entered on FLSD Docket Page of VV25 ercedes Benz VR Byturbo VIN I VV26 RED BMW CONVERTIBLE VIN VV27 MERCEDES BENZ SLK350 CONVERTIBLE VIN WDBWK58Fl 9Fl angibles hereinafter referred to collectively as the defendant tangibles i Tl pieces of jewelry watches necklaces and earrings seized on or about Monday ovember from the residence of Scott and Kimberly Rothstein T2 I DuPont Lighters seized on or about Monday November from the sidence of Scott and Kimberly Rothstein T3 T4 TS T6 T7 T8 T9 pieces sports memorabilia seized on or about Monday November from the sidence of Scott and Kimberly Rothstein I in United States currency seized on or about Monday November fJom the residence of Scott and Kimberly Rothstein in United States currency seized on about Wednesday November fi om the office of Scott Rothstein at the law firm of Rothstein Rosenfeldt and Idler P.A in American Express Gift Cards to the attention of Scott Rothstein obtained f1om UPS on or about November in American Express Gift Cards to the attention of Scott Rothstein obtained fJom UPS on or about November additional watches being turned over to the United States by Les Stracher uitar collection of Scott Rothstein located at the residence of Scott and imberley Rothstein valued between and Case 0-WJZ Document Entered on FLSD Docket Page of nk Accounts BA hereinafter collectively referred to as the defendant bank BAl Fllelity Investments Stock Account in the name of Scott Rothstein valued at in the name of WA WW LLC in the a proximate amount of account in the approximate amount of in the approximate amount of in the approximate amount of at Banque Populaire Morocco in the of Scott Rothstein in the approximate amount of account at Banque Populaire Morocco in the name of Ahnick Khalid up to BAS nk account at Banque Populaire Morocco in the name of Steve Caputi up to the a ount of I Bhsiness Interests Bl hereinafter collectively referred to as the defendant siness interests Bil ock certificates ifissued or the beneficial interest in such shares shares capital stock in Gibraltar Private Bank Trust a federally chartered stock vings association purchased in or about September by GBPT LLC a laware Limited Liability Company by its manager Bahia Property Management a Delaware Limited Liability Company by its co-manager Scott Rothstein Case Document Entered on FLSD Docket Page of Bl2 ott Rothsteins equity interest in QTask i BB Sfott Rothsteins equity interest in Broward Bank of Commerce Bl4 ott Rothsteins equity interest in Bova Ristorante BIS ott Rothsteins equity interest in Bova Cucina Bl6 Bl7 BI8 ott Rothsteins equity interest in Bova Prime tt Rothsteins equity interest in Cafe Iguana Pembroke Pines Florida I ott Rothsteins equity interest in Cart Shield USA LLC BI9 ott Rothsteins equity interest in Renato Watches Bll0 ott Rothsteins equity interest in Edify LLC Bil I ott Rothsteins equity interest in Georgia Vodka Bll2 ott Rothsteins equity interest in Sea Club Bll3 ott Rothsteins equity interest in North Star Mortgage Bll4 ott Rothsteins equity interest in Kip Hunter Marketing Bil ott Rothsteins equity interest in RRA Sports and Entertainment LLC Bll6 ott Rothsteins equity interest in Versace Mansion/Casa Casuarina including year Operating Agreement with ten year options Bil sbott Rothsteins equity interest and licensing rights in Alternative Biofuel mpany Bil ott Rothsteins equity interest in RRA Goal Line Management Bll9 ott Rothsteins equity interest in Iron Street Management LLC I Bl20 Sfott Rothsteins equity interest in and loan to Africat Equity IG Decide Bl21 ott Rothsteins equity interest in and rents derived from Dixie LLC Case 0-WJZ Document Entered on FLSD Docket Page of BI22 ott Rothsteins equity interest in and rents derived from Federal LLC BI23 omissory Note by Uniglobe in favor of Scott Rothstein BI24 A equity interest held by or on behalf of Scott Rothstein in the following rporations and entities a Bahia LLC GC LLC LOP LLC BRLLC LLC Spangler LLC Broward LLC Dixie LLC I Federal LLC IP LLC LLC AANGLLC AAMGl LLC AAMM Holdings ABT Investments LLC Advanced Solutions Bahia Property Management LLC Boat Management LLC BOSM Holdings LLC BOVA Prime LLC BOVA Restaurant Group LLC The BOVA Group LLC BOVA Smoke LLC x.l BOVCULLC BOVRILLC Broward Financial Holdings Inc a CI07 LLC a CI08 LLC a CI16 LLC a CI27 LLC a CSULLC Management Investment LLC ag Management and Investment LLC aij DJB Financial Holdings LLC DYMMULLC ai Case 0-WJZ Document Entered on FLSD Docket Page of a a a ain a ap ap aij hf hp hlv Full Circle Fort Lauderdale LLC Full Circle Trademark Holdings LLC GHWl LLC IDNL GEAH LLC ILK3 LLC IS Management LLC JRCLC Judah LLC Kendall Sports Bar Kip Hunter Marketing LLC NF Servicing LLC NRI LLC NRI LLC NS Holdings LLC PRCHLLC PK Adventures LLC PKs Wild Ride Ltd Rothstein Family Foundation RRA Consulting Inc RRA Goal Line Management LLC RRA Sports and Entertainment LLC RSA th Street LLC RW Collections LLC KEALLC ScorhLLC TippLLC VGSLLC The Walter Family LLC Walter Industries LLC WPBRS LLC WAWW WAWW2LLC WAWW3LLC WAWW 4LLC WAWW5LLC WAWW6LLC WAWW7LLC WAWW8LLC WAWW9LLC WAWW lOLLC WAWW LLC WAWW 12LLC WAWW14LLC i Case 0-WJZ Document Entered on FLSD Docket Page of and Cl C2 C3 C4 ci WAWW LLC WAWW 16LLC WAWW 17LLC WAWW 18LLC WAWW 19LLC WAWW20LLC WAWW21 LLC WAWW22LLC JB Boca Holdings LLC Cr ntributions hereinafter collectively referred to as the defendant cqntributions in campaign contributions made to Alex Sink and voluntarily offered and ed over to the United States on behalf of Alex Sink in campaign contributions to Republican Party of Florida Florida account voluntarily offered and turned over to the United States by the Republican Party Florida in campaign contributions to Republican Party of Florida Federal a1count and voluntarily offered and turned over to the United States by the publican Party of Florida in campaign contributions to Republican Party of Florida and voluntarily fered and turned over to the United States by the Republican Party of Florida CS in campaign contributions to Republican Party of Florida by Rothstein siness entity known as WA WW and voluntarily offered and turned over to the ited States by the Republican Party of Florida C6 Charitable Donation to Joe DiMaggio Childrens Hospital which hospital I I Case 267WJZ Document Entered on FLSD Docket Page of arvised the United States of the donation from the Rothstein Family Foundation I C7 Charitable Donation to Holy Cross Hospital which hospital advised the inited States of the donation from the Rothstein Family Foundation C8 in campaign contributions to Governor Charlie Crist voluntarily offered and i tJmed over to the United States by the office of Charlie Crist and I C9 ll funds voluntarily turned over to the United States IRS/FBI since in or about ctober in response to publicity regarding Scott Rothstein is Courthasjurisdictionoverthis action under U.S.C and enue is proper in the Southern District of Florida pursuant to U.S.C and because the defendant properties are located in the Southern District of Florida and/o because the acts or omissions giving rise to forfeiture occurred at least in part in the Southern Di trict of Florida and/or the properties will be brought into the Southern District of Florida I defendant real properties will not be seized but will be posted with a I summons/notice of the complaint in accordance with U.S.C and i Upe defendant personal properties listedat VVl throughand including VV23 Tl I through T7 IAl through BA2 Bil and Cl through CS are already in possession of the United States rsuant to lawfully issued forfeiture seizure warrants or turnovers The remaining defendant perso I al properties will be further brought under the jurisdiction of the Court through the i use of warrants of arrest in rem or protective orders or other process in accordance with the applicable statut Case 0-WJZ Document Entered on FLSD Docket Page of FACTUAL ALLEGATIONS ased upon the following information there is probable cause to believe that the above-described defendant properties were acquired in connection with a Ponzi scheme conducted by attorney Scot Rothstein hereinafter Rothstein and others othstein has operated the Ponzi scheme since at least approximately all times relevant to this Amended Complaint Rothstein was the first named partner of Rot tein Rosenfeldt and Adler P.A hereinafter referred to as RRA a law firm located in Fort auderdale Florida ccording to witness complaints and analysis of documents and records obtained through a feder search warrant clients were solicited by or on behalf of Rothstein to invest in settlements in which putative plaintiffs in civil cases had entered into confidential settlement agreements with utative defendants based upon the forbearance of civil claims in sexual harassment and other labor-r lated cases The potential investors were told that these settlements which existed in blocks rangin from hundreds of thousands to millions of dollars could be purchased at a discount and repaid to th investors at face value over time Clients who agreed to invest were directed by Rothstein or oth rs to wire transfer funds to the trust account of RRA For example in September one poten al investor was told that he could purchase a settlement valued at for wh ch would be repaid in incrementsof per month for the following three months This uld amount to a yield of percent over three months or an annual percentage yield in excess percent The investor was further told that the funds were held in the RRA trust I account The in estor was shown a purported wire transfer receipt as evidence that the funds were held in the trust ccount of RRA Case 0-WJZ Document Entered on FLSD Docket Page of investigation has disclosed that the investments purportedly underlying the above-described investment scheme never existed The investigation has established that no such settlement agre ments had ever existed and the entire investment scheme was a fraud These transactions con tituted a Ponzi scheme in which new investor money was utilized to pay previous investors in furt erance of the scheme The investigation has disclosed that these types of fraudulent investments had een offered by Rothstein to a variety of persons and entities throughout the United States for at leas four years and the scheme involved hundreds of millions of dollars Multiple bank accounts were ut lized at financial institutions into which investors money was sent by wire transfer across state line Further as a fraudulent inducement to investors Rothstein and co-conspirators falsified docum nts which were presented to investors as proof that certain sums of money were contained in the bank accounts when in fact the bank accounts did not contain these funds investigation has established that portions of the criminally derived proceeds were used to pay ast investors thereby promoting the scheme The investigation has established that portions of the iminally derived proceeds were used to acquire millions of dollars worth of assets including the de endant properties set forth above The investigation has further established that many of the de:fi pdants were acquired in the name of or were transferred to nominee corporations controlled by thstein such as those set forth at subparagraphs a through ci above as a investigation has established that Rothsteins financial ability to acquire the defendants did It exist prior to the execution of the Ponzi scheme iased on a review of records obtained through the federal search warrant the investigation ha established that in one year RRA had receivables of while during that Case 0-WJZ Document Entered on FLSD Docket Page of same year sala for the RRA work force were The additional for salaries as well ts the other expenses for operation of the law firm came from the operation of and the funds by the Ponzi scheme Funds used to acquire the defendants came from the Ponzi scheme land not from legitimate RRA funds othstein used proceeds obtained from the Ponzi scheme to acquire or direct the acquisition of thf defendant real properties Rothstein acquired Defendant RPI on or about September for a I I sales price of Defendant RP was transferred via Quit Claim Deed to LLC on or about August Rothstein acquired Defendant RP2 on or about March for a sales price of In or about December Rothstein obtained a million mortgage on RP2 which was then repaid with Ponzi scheme funds Defendant RP2 was transferred via Quit Claim Deed to LLC on or about July Rothstein acquired Defendant RP3 on or about March for a sales price of Defendant RP3 was transferred via Quit Claim Deed to LLC on or about August Rothstein and his wife Kimberly Rothstein acquired Defendant RP4 on or about March for a sales price of I Case Document Entered on FLSD Docket Page of I I Defendant RPS a vacant lot was transferred to Bahia LLC on or about January for a sales price of Defendant RP6 was transferred via Warranty Deed to LOP LLC on or about May for WA WW LLC acquired Defendant RP7 on or about April for a sales price of Defendant RP7 was transferred to Debra Villegas on or about July for via quit claim deed WA WWI LLC acquired Defendant RP8 on or about November for a sales price of Defendant RP8 was transferred to IP LLC on or about August via quit claim deed for Rothstein acquired Defendant RP9 on or about June for a sales price of While the Ponzi scheme was not operating at the time of the original purchase in or about Rothstein obtained a million mortgage which was repaid with funds derived from the Ponzi scheme Defendant RP9 was transferred via quit claim deed to CI27 LLC on or about August Rothstein and Kimberly Rothstein acquired Defendant RPlO on or about August for a sales price of WA WW LLC acquired Defendant RP on or about December for a sales price of I Case Document Entered on FLSD Docket Page of WA WW LLC quit claimed Defendant RP to GC LLC on or about August WAWWlO LLC acquired DefendantRP12 on or about September for a sales price of WA WW LLC quit claimed Defendant RP12 to Spangler LLC on or about August Broward LLC acquired Defendant RP on or about January for million Management Investments LLC acquired Defendant RP on or about April for million Bova Smoke LLC acquired Defendant RP on or about December for million Bova Smoke LLC quit claimed Defendant RP15 on or about January to BOSM Holdings LLC othstein used proceeds obtained from the Ponzi scheme to acquire or direct the acquisition of defendant vehicles lothstein used proceeds obtained from the Ponzi scheme to acquire or direct the acquisition of tt defendant tangibles 1othstein used proceeds obtained from the Ponzi scheme to fund the defendant bank accounts I othstein used proceeds obtained from the Ponzi scheme to acquire or direct the acquisition ofhi share of the defendant business interests Case 0-WJZ Document Entered on FLSD Docket Page of othstein used proceeds obtained from the Ponzi scheme to fund or make the defendant contri utions FIRST CLAIM FOR FORFEITURE U.S.C a and aintiff realleges paragraphs through above as if fully set forth herein itle United States Code Section a subjects to forfeiture any property real or ersonal which constitutes or is derived from proceeds traceable to any offense constituting sp citied unlawful activity as defined in Section of this title or a pecified unlawful activity is defined in U.S.C and the term includes any offrnse under U.S.C Section lists U.S.C wire fraud as an offense tle United States Code Section provides that Whoever having devised or intending to devise any scheme or artifice to defraud or for obtaining money or property by means of false or fraudulent pretenses representations or promises transmits or causes to be transmitted by means of wire radio or television communication in interstate or foreign commerce any writings signs signals pictures or sounds for the purpose of executing such scheme or artifice shall be fined onzi scheme investors utilized interstate wires to transfer their funds to RRA trust accounts millions of dollars generated by the Ponzi scheme constitute proceeds of wire fraud Case 0-WJZ Document Entered on FLSD Docket Page of othstein used the proceeds of wire fraud to acquire the defendant properties ased on the foregoing the defendant properties constitute or were derived from proceeds tracea,le to the specified unlawful activity of wire fraud in violation of Title United States Code Se tion and are thereby forfeit to the United States pursuant to Title United States Code Se tion a SECOND CLAIM FOR FORFEITURE U.S.C a A and aintiffrealleges paragraphs through above as if fully set forth herein tie United States Code Section a A subjects to forfeiture any property real or ersonal involved in a transaction or attempted transaction in violation of section of this itle or any property traceable to such property tie United States Code Section provides in pertinent part a Whoever in any of the circumstances set forth in subsection knowingly engages or attempts to engage in a monetary transaction in criminally derived property of a value greater than and is derived from specified unlawful activity shall be punished as provided in subsection The circumstances referred to in subsection a are that the offense under this section takes place in the United States or in the special maritime and territorial jurisdiction of the United States onetary transaction is defined in U.S.C as the deposit withdrawal transfer or exchange in or affecting interstate or foreign commerce of funds or a monetary instrument by through or to a financial institution as defined in section of this title including any transaction that would be a financial transaction under section of this title Case 0-WJZ Document Entered on FLSD Docket Page of inancial transaction is defined in U.S.C as A a transaction which in any way or degree affects interstate or foreign commerce I involving the movement of funds by wire or other means or ii involving one or more monetary instruments or i involving the transfer of title to any real property vehicle vessel or aircraft or a transaction involving the use of a financial institution which is engaged in or the activities of which affect interstate or foreign commerce in any way or degree riminally derived property is defined in U.S.C as any property constituting or erived from proceeds obtained from a criminal offense I fpecified unlawful activity is defined in U.S.C and the term includes any of 243llnse under U.S.C Section lists U.S.C wire fraud as an offense ecause the funds used to acquire the defendant properties constitute criminally derived property from wire fraud exceed and were involved in a monetary transaction the defendants are sqbjectto forfeiture pursuantto S.C a A as they represent properties I involved in a trapsaction or attempted transaction in violation of U.S.C and properties i traceable to sue property THIRD CLAIM FOR FORFEITURE U.S.C a A and aintiff realleges paragraphs through above as if fully set forth herein tle United States Code Section a A subjects to forfeiture any property real or i ersonal involved in a transaction or attempted transaction in violation of section of this tit or any property traceable to such property Case Document Entered on FLSD Docket Page of I itle United States Code Section provides in pertinent part Whoever knowing that the property involved in a financial transaction represents the proceeds of some form of unlawful activity conducts or attempts to conduct such financial transaction which in fact involves the proceeds of specified unlawful activity A I with the intent to promote the carrying on of specified unlawful activity all be sentenced I tie United States Code Section further provides in pertinent part For purposes of this paragraph a financial transaction shall be considered to be one i volving the proceeds of specified unlawful activity if it is part of a set of parallel dependent transactions any one of which involves the proceeds of specified lawful activity and all of which are part of a single plan or arrangement pecified unlawful activity is defi ed in I I and the term mcludes any ofD,nse under U.S.C Section hsts U.S.C wire fraud as an offense financial transactions conducted by Rothstein in acquiring the defendants were done with the in ent to promote the carrying on of the Ponzi scheme J1he use ofthe defendant properties by Rothstein was done with the intent to promote the carrying on the Ponzi scheme nds derived from the Ponzi scheme were used to acquire the defendant properties and enable Roth tein to live a lavish lifestyle which provided the appearance of success and helped defendant properties were involved in a transaction or attempted transaction or were involved i transactions or attempted transactions in violation of U.S.C and are Case o-WJZ Document Entered on FLSD Docket Page of therefore subjec to forfeiture pursuant to U.S.C a A CONCLUSION WHE FORE Plaintiff United States of America requests that any and all persons having any claim to the efendant properties be directed to file and serve their verified claims and answers as required by le of the Supplemental Rules for Admiralty and Maritime Claims and Asset Forfeiture Actio or suffer default thereof and further requests that the Court declare the defendant ed and forfeited to the United States of America and that Plaintiff have such other and furthe relief as may be just and proper together with the costs and disbursements of this action By Respectfully submitted JEFFREY SLOMAN ACTING UNITED STATES ATTORNEY xJ ALISON LEHR ASSIST ANT UNITED STA TES ATTORNEY Fla Bar No N.E th Street th Floor Miami Florida Telephone Fax AlisonLehr usdoj.gov I Case JZ Document Entered on FLSD Docket Page of VERIFICATION Pursuant Title United States Code Section I declare under penalty of perjocy that I ha read the foregoing Amended Complaint for Forfeiture In Rem and tate that the facts alleged erein are true and correct to the best of my knowledge and belief TAR GUARIGLlA S,ecial Agent INTERNAL REVENUE SERVICE APP ScotfRothstein Yourefa atown foll ofthieves Sun Sentinel PageJ of2 Scott Rothstein You re in a town full of thieves By Brittany Wa.lhrian N0VEMBER23 PM PDATED IhadacouJ_Jle of brief exchanges with Sqott Rothstein today Mostof it Ill have to bleep out SuJficeJo sayRothstein had some ideas on what we could doin Ollr spare time rather thalltrying to foter:view 267his family members He was objecting fo questio:ns about his wife tGmberlyAtm WendellR.othstein Shes been silent throughout this ordeal Hei bodygtfa.rd Joe Meatballs Alii I gotthe riicl iiameJrcnri his voice juessagej,said shes a very private person and doesn want to talk Shejs xeportedly still livingirrthe pause on Isla Bahia britfederal authorities fook the yacht most of the cars and even herjewelry in the wake of accusations herhusbandwa:s running a Ponzi scheme I reached a cousin today at:her 267grandmothers home in No1thCaro1ina I knocked on her.mothers door iri Plantation Same story No one waritstO talkabotit iLScottisJJarerits Harvey and Gay Rothstein live indowntownFortLauderdale Theyr m;it running tCl th phone either Ialso dropped by tlle home oUhe womanwhoJiled a paternity sujt againstRothstei11 years ago 267and is his _daughters mom No one:home So.I asked Rothstein to talk and he went on aprofane rant sayingthatwe atthe.newspaper are igsi aml giving me a message for iriy ed1torsthatwas notveiy nice Youre hurting ni daughtei 267;youre hurting my son he sa.id Rothsteilfhas a..bi.ological daughter who is andthe son he talking aboutis someone he tookonas a sort of mentor he midtb,i13 summer flaven Tare_adyh,urtthern enough he askea before delivering a final message and hanging up He c.all back this evening respop.dingto a textII1essage id ar;ina js going to get ltim but its going to get qther people too iYorire h1 a town fult of thieves and at the end of the day everyone will _ee.Jll 1eave itat that http _h_c1.ventj hurt-story.littnl Scf/tR.othstein Yourn in to:wn full 9ffhieves Sun Sentinel Page And with that he hung up Copyright Sun Sentinel This article is related to Scott Rothsteih http w.sun-se11tinet com fl-mtbl 11-scott __ rothsteiri _haverit_i_hurt;;.story html HI APP i Feds Scott Rothstein Ponzrs 267cheme paid salaries at/aw firm The MiarniHerald November Tuesday Copyright The Miami Herald All Rights Reserved nt:miatniHcratlt Foid on Mi rril c6m Length wards Byline JAYWEAVER AND SCOTT HIMSEN II iweaver MiafniHerafd.com Body Attorney ScbtrRothsteiri tapped into millibr,s of dollarsJrom his massive investment scam to cover payroll c:Osts at his expanding FortLauderdale law firm,,federal authorities said in court records released Monday Rathsteins law firm.generated revenue of million iri One recent year yet his lawyer firm had a payrbll of million prosecutors;said Rothstein who owned half of Rothstein Rosenfeldt Adler used investors money from hisPonzi scheme to make up the shortfail they said The allegations were revealed in an amended forfeiture complaint against dozens of Rothsteins real estate properties foreign cars restaurants and other assets including rnillion the lawyers bank 267accoLtnt ir1 Morocco along With millioris more-dohated fo political campaigns and c:haiitablefunds Fuiicts 267used to acquire theRothsteinassets came from the Ponzi scheme ahd not from legitimate RRA funds Assistant U.S AttorneyAlison Lehrwrrite in the amended forfeiture action Rothstein fled to Morocco in Jate October With the collapse of his investmeritfund which was builton bogus legal settlements sold to wealthy investors After his return to South Florida in early November FBI and IRS agents began seizing:hil sse.ts a!Jd raiding hls lflW firmJfe has nofbeen ct,arged with a criTl El The civil forfeiture is based on money laundering allegations that Rothstein amassed his fortune by defrauding investors prosecutors:said Investors bough shares iq t,i fabricated co fidenUal settlements from employm!:ln_t discriniinati6n arid other civil cases during the past four yeafs im/estmerits that promised returns of lip fo40 percent The FBI said the total investment sales cauldtop billion Timothy:McGinn Page2 of2 Feds Scott Rothstein Ponzi scheme paid saiarles atiaw firm Rothsteiris partner Stuart Rosenfeld who ovmed tbe 0th.er half of the now-defunct law firm has said he was unaware of Rothsteihs Ponzi scheme and the firms finances saying his partnerwasJuHy responsible Rosenfeidt could not be reached for comment Monday Rothsteins atforiiey Marc NLirik declined to comment Accordlr19 to the forfeiture action the U!S;.gqvernmentnowwants tg seize 267parcels of South Florida real estate adding seven fo the 225.origlnal list Also seized were cars including three ferrarjs three Corvettes two Rolls Royces a li.mousine and a million Bugatti sports car plus an foot yacht four personal watercraft pieces of jewelry a guitar collection ao,bocr1n American E.xpress gift i::c1rds and Jn cash The government 1s also seeking the equity Rothstein has in about different companies iri which he invested including restaurants a mortgage company a sports agency wo ban c:1cja b!ofuel company Rothstein also had an overseas account with Bank Populaire in Morocco where he had milli6ii Federal authorities are trying to seize an additional million beld in the same ba,nk ynderthe riame Ah nick Khalid and a million account held by Steve Caputi owiier of the Cafe Iguana nightclub lnPehlbmke Pines Another million is held in four accounts at Gibraltc1r Bank And Rothstein ha a eparate irtvestment account holding million Finallyl the government Is seeking more than in poHtfcal co11trlbutions and charitable donatioris of to the Joe DiMaggio Childrens Hospital in HollW.,ood arid million to Holy Cross Hospital in Fort Lauderdale Holy Cross officials announced last weeldhafthe hospital would retLirri the mlioii gift which Was to have beeh used for a new womens centenvith thepame of Rothsteins charitable foundation engraved over the entrance to the lobby Miami Herald taffVvriterArny Sherman.contributed to this report Load-Date January End of Document Timothy Mc::Ginn U?vO?OP?F3O G?M?tI?OO?G0 W?ii?W8x??I7 I K?K A o(o3oBz 4K 30KCb 2e p2t 2A A Q?8F JK TZ N?M?r NEeD?M rq A WS?nY?GE mR?d YBWY xy?u?u i hSKI YjnU?zy?h ZF?gj?_?Ґ y:1y E?ak?2 g6 EeD T?J Lf Kf??w k?հ F?R A EN NE_ _Ey sCyH C?H C?H C?I QIC9 4O L0L?L?L L?Sjz 6F I I 6K Jn EDb 2O I1 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