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Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 1 of 11 PageID #: 1516

A0245B
A0245B

(Rev. 10/201 I EONy) Judgment in a Criminal Case
(Rev. 10/201 I EONy) Judgment in a Criminal Case
Sheet 1
Sheet 1

UNITED STATES DISTRICT COURT
UNITED STATES DISTRICT COURT
EASTERN ~Q NEW YORK. BROOKLYN
EASTERN ~Q NEW YORK. BROOKLYN

UNITED STATES OF AME~~s~~T~f~1'\9r.!+~}.\II'''·JUDGMENT IN A CRIMINAL CASE
UNITED STATES OF AME~~s~~T~f~1'\9r.!+~}.\II'''·JUDGMENT IN A CRIMINAL CASE

v.
v.

* JUN ~Gl 20\3) *
* JUN ~Gl 20\3) *

ROLAND KAUFMAN BROOKLYN OF~ICffase Number:
ROLAND KAUFMAN BROOKLYN OF~ICffase Number:

12-CR-439-02(JG)
12-CR-439-02(JG)

THE DEFENDANT:
THE DEFENDANT:

)
)
)
)
)
)

80061-053
80061-053

USM Number:
USM Number:
Eric J. Snyder, Esq. & Josef Klazen
Eric J. Snyder, Esq. & Josef Klazen
800 Third Avenue, 6 Floor, New York, NY 10022
800 Third Avenue, 6 Floor, New York, NY 10022
Defendant's Attorney
Defendant's Attorney

(212) 488-1200
(212) 488-1200

V'pleaded guilty to count(s)
V'pleaded guilty to count(s)
o pleaded nolo contendere to count(s)
o pleaded nolo contendere to count(s)

which was accepted by the court.
which was accepted by the court.

One of a six-count indictment on 111112013.
One of a six-count indictment on 111112013.

o was found guilty on count(s)
o was found guilty on count(s)

after a plea of not guilty.
after a plea of not guilty.

The defendant is adjudicated guilty of these offenses:
The defendant is adjudicated guilty of these offenses:

Title & Section
Title & Section

Nature of Offense
Nature of Offense

18 U.S.C. §§ 371,
18 U.S.C. §§ 371,

and 1952(a)(3)(A)
and 1952(a)(3)(A)

Conspiracy to violate the travel act and to promote
Conspiracy to violate the travel act and to promote

commercial bribery.
commercial bribery.

Offense Ended
Offense Ended

3/8/2012
3/8/2012

ONE
ONE

The defendant is sentenced as provided in pages 2 through
The defendant is sentenced as provided in pages 2 through

__ 6,,--_ of this judgment. The sentence is imposed pursuant to
__ 6,,--_ of this judgment. The sentence is imposed pursuant to

the Sentencing Reform Act of 1984.
the Sentencing Reform Act of 1984.
o The defendant has been found not guilty on count( s)
o The defendant has been found not guilty on count( s)

(All Open Counts) ___ 0 is
(All Open Counts) ___ 0 is

V' are dismissed on the motion of the United States.
V' are dismissed on the motion of the United States.

It is ordered that the defendant must notifY the United States attorney for this district within 30 days of any chanjle ofnarne, residence,
It is ordered that the defendant must notifY the United States attorney for this district within 30 days of any chanjle ofnarne, residence,
or mailing address until all fines, restitution, costs, and special assessments imposed by this judgment are fully paid. If ordered to pay restitution,
or mailing address until all fines, restitution, costs, and special assessments imposed by this judgment are fully paid. If ordered to pay restitution,
the defenaant must notifY the court and United States attorney of material changes in economic circumstances.
the defenaant must notifY the court and United States attorney of material changes in economic circumstances.

June 14,2013
June 14,2013
Date of Imposition of Judgment
Date of Imposition of Judgment

JOHN GLEESON, U.S.D.J.
JOHN GLEESON, U.S.D.J.
Name and Title of Judge
Name and Title of Judge

Date
Date

s/John GleesonAO 2458

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 2 of 11 PageID #: 1517
(Rev. 09/11) Judgment in Criminal Case
Sheet 2 -

Imprisonment

Judgment - Page _,,2_ of _~_

DEFENDANT:
CASE NUMBER:

ROLAND KAUFMAN
l2-CR-439-02(JG)

The defendant is hereby committed to the custody of the United States Bureau of Prisons to be imprisoned for a

IMPRISONMENT

total tenn of:

Sixteen (16) months of incarceration.

V' The court makes the following recommendations to the Bureau of Prisons:

Incarceration at FPC Schyukill or at FCI Butner Low facility.

o The defendant is remanded to the custody of the United States Marshal.
o The defendant shall surrender to the United States Marshal for this district:

o at
o as notified by the United States Marshal.

o p.m.

on

V' The defendant shall surrender for service of sentence at the institution designated by the Bureau of Prisons:

V' before 12 p.m. on

July 26, 2013

V' as notified by the United States Marshal.
o as notified by the Probation or Pretrial Services Office.

J have executed this judgment as follows:

RETURN

Defendant delivered on ------~---.. -.------

to

a _______________________ __

with a certified copy of this judgment.

UNITED STATES MARSHAL

By --------~~~~~~~o.ru.,_-------­

DEPUTY UNITED STATES MARSHAL

AO 245B

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 3 of 11 PageID #: 1518
(Rev. 09/11) Judgment in a Crimina1 Case
Sheet 3 - Supervised Release

DEFENDANT:
CASE NUMBER:

ROLAND KAUFMAN
12-CR-439-02(JG)

Upon release from imprisonment, the defendant shall be on supervised release for a term of:

Three (3) years of supervised release.

SUPERVISED RELEASE

Judgment-Page

3

of

6

Thfthe defendant mus~ report to the probation office in the district to which the defendant is released within 72 hours of release from the

custo y 0

d

e Bureau of Prisons.

The above drug testing condition is suspended, based on the court's determination that the defendant poses a low risk of
future substance abuse. (Clreck. if applicable.)

The defendant shall not commit another federal, state or local crime.
The defendant shall not unlawfully possess a controlled s!lb~tance. The defendant shall refrain from an)' unlawful use of a controlled
substance. The defendant shall submIt to one drug test wlthm IS days of release from imprisonment ani:! at least two periodic drug tests
thereafter, as determmed by the court.
o
....
o
o

The defendant shall not possess a fIrearm, anununition, destructive device, or any other dangerous weapon. (Clreck. if applicable)

The.defendant shall comply with the requirements of the Sex Offender Registration and Notification Act (42 U.S.C. § 16901, ef seq.)
as dIrected by the probatIOn officer, the Bureau of Prisons, or any state sex offender registration agency in which he or she resides
works, is a student, or was convicted of a qualifying offense.
,

(Check, if applicable)

The defendant shall cooperate in the collection of DNA as directed by the probation officer. (Check, if applicable)

o

The defendant shall participate in an approved program for domestic violence. (Check, if applicable)

If this judgment imposes a fme or restitution, it is a condition of supervised release that the defendant pay in accordance with the

Schedule of Payments sheet of this judgment.

The defendant must comply with the standard conditions that have been adopted by this court as well as with any additional conditions

on the attached page.

STANDARD CONDITIONS OF SUPERVISION

I)

2)

3)

4)

5)

6)

7)

8)

9)

10)

1I)

12)

13)

the defendant shall not leave the judicial district without the permission of the court or probation officer;

the defendant shall report to the probation officer in a marmer and frequency directed by the court or probation officer;

the defendant shall answer truthfully all inquiries by the probation officer and follow the instructions of the probation officer;

the defendant shall support his or her dependents and meet other family responsibilities;

the defendant shall work regularly at a lawful occupation, unless excused by the probation officer for schooling, training, or other
acceptable reasons;
the defendant shall notify the probation officer at least ten days prior to any change in residence or employment;
or if such prior notification is not possible, then within forty eight hours after such change;
the defendant shall refrain from excessi-:e use of alcohol and shall not purchase, possess, use, d!stribute, or a~inister any
controlled substance or any paraphernaha related to any controlled sUDstances, except as prescnbed by a phYSICIan;
the defendant shall not frequent places where controlled substances are illegally sold, used, distributed, or administered;
the defendant shall not associate with any l'ersons engaged in criminal activity and shall not associate with any person convicted of a
felony, unless granted permission to do so by the probation officer;
the defendant shall permit a probation officer to visit him or her at any time at home or elsewhere and shall permit confiscation of any
contraband observei:! in plain view ofthe probation officer;
the defendant shall notify the probation officer within seventy-two hours of being arrested or questioned by a law enforcement officer;

the defendant shall not enter into any agreement to act as an informer or a special agent of a law enforcement agency without the
pennission of the court; and

as directed by the probation officer, the defendant shall notify third parties of risks that may be occasioned by the defendant's criminal
record or ,l"ersonal history or characteristics and shall permit the probation officer to make such notifications and to confinn the
defendant s compliance with such notification requirement.

AO 245B

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 4 of 11 PageID #: 1519
(Rev. 09/11) Judgment in a CriminaJ Case
Sheet 3C - Supervised Release

Judgment-Page

4

of

6

DEFENDANT:
CASE NUMBER:

ROLAND KAUFMAN
12-CR-439-02(JG)

SPECIAL CONDITIONS OF SUPERVISION

- Tbe defendant is to refrain from possessing a firearm, destructive device, or otber dangerous weapon.

- Compliance witb tbe Order of Forfeiture.

- Compliance witb tbe fine imposed.

AD 2458

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 5 of 11 PageID #: 1520
(Rev. 09111) Judgment in a Criminal Case
Sheet 5 - Criminal Monetary Penruties

Judgment - Page

5

of

6

DEFENDANT:
CASE NUMBER:

ROLAND KAUFMAN
12-CR-439-02(JG)

CRIMINAL MONETARY PENALTIES

The defendant must pay the total criminal monetary penalties under the schedule of payments on Sheet 6.

TOTALS

$ 100.00

Assessment

Fine

$ 450,000.00

Restitution

$

o The determination of restitution is deferred until

after such determination.

An Amended Judgment in a Criminal Case (AO 245C) will be entered

o The defendant must make restitution (including community restitution) to the following payees in the amount listed below.

If the defendant makes a partial payment, each payee shall receive an approximately proportioned paYl!!ent, unless specified otherwise in
the priori!)! order or percentage payment column below. However, pursuant to 18 U.S.C. § 3664(1), all nonfederal victims must be paid
before the United States is paId.

Name of Payee

Total Loss·

Restitution Ordered

Priority or Percentage

TOTALS

$

$ _ - - - - - -

o
o

o

Restitution amount ordered pursuant to plea agreement $
The defendant must pay interest on restitution and a fme of more than $2,500, unless the restitution ~r fme is paid in full before .the
fifteenth day after the date of the judgment, pursuant to 18 U.s.C. § 3612(f). All of the payment optIons on Sheet 6 may be subject
to penalties for delinquency and default, pursuant to 18 U.S.C. § 3612(g).

The court determined that the defendant does not have the ability to pay interest and it is ordered that:

o the interest requirement is waived for the o fme
o the interest requirement for the o fme

0

0

restitution.

restitution is modified as follows:

• Findings for the total amount oflosses are required under Chapters 109A, 110, IIOA, and 113A of Title 18 for offenses committed on or after
September 13, 1994, but before April 23, 1996.

AO 2458

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 6 of 11 PageID #: 1521
(Rev. 09/11) Judgment in a Crimina1 Case
Sheet 6

Schedule of Payments

Judgment - Page _6__ of

6

DEFENDANT:
CASE NUMBER:

ROLAND KAUFMAN
12-CR-439-02(JG)

SCHEDULE OF PAYMENTS

Having assessed the defendant's ability to pay, payment of the total criminal monetary penalties is due as follows:

A

..... Lump sum payment of $

$100.00

due inunediately, balance due

D
D

not later tban
in accordance

D C, D D, D

, or
E, or D F below; or

B D Payment to begin inunediately (may be combined witb DC,

D D, or D F below); or

C D Payment in equal

(e.g, weekly, monthly, quarterly) installments of $

over a period of

(e.g., months or years), to commence ___ . __ (e.g., 30 or 60 days) after tbe date oftbis judgment; or

D D Payment in equal

(e.g., weekly, monthly, quarterly) installments of $

over a period of

(e.g, months or years), to commence

(e.g., 30 or 60 days) after release from imprisonment to a

tenn of supervision; or

E D Payment during tbe term of supervised release will commence witbin

(e.g .. 30 or 60 days) after release from
imprisonment. The court will set tbe payment plan based on an assessment of tbe defendant's ability to pay at tbat time; or

F

..... Special instructions regarding tbe payment of criminal monetary penalties:

- The fine imposed ($450,000.00) is to be paid within thirty days or on or hefore Jnly 14,2013.

- Payment(s) are to be made payable to the Clerk of Court at 225 Cadman Plaza East, Brooklyn, NY 11201.

Unless the court has expressly ordered otberwise, iftbis judgment imposes imprisonment, payment of criminal mone!&), penalties is due during
imprisonment. All cruuinal monetary penalties, except fuose payments made tbrough tbe Federal Bureau of Prisons' Inmate Financial
Responsibility Program, are made to tbe clerk of tbe court.

The defendant shall receive credit for all payments previously made toward any criminal monetary penalties imposed,

D

Joint and Several

Defendant and Co-Defendant Names and Case Numbers (including defendant number), Total Amount, Joint and Several Amount,
and corresponding payee, if appropriate,

D The defendant shall pay the cost of prosecution,

D The defendant shall pay tbe following court cost(s):

D

The defendant shall forfeit tbe defendant's interest in tbe following property to tbe United States:

Pa)'1!len!S shall be applied in ,the fol!ow,ing order: (1) ~ssessment, (2) re~titutiqn principal, (3) restitution interest, (4) fme principal,
(5) fme mterest, (6) communIty restItutIOn, (7) penaltIes, and (8) costs, mcludmg cost of prosecution and court costs,

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 7 of 11 PageID #: 1522

SLR:BDM:U:1G
F. #2012R00410

UNITED STATES DISTRICT COURT
EASTERN DISTRICT OF NEW YORK
-----------------------------x

UNITED STATES OF AMERICA

- against-

ROLAND KAUFMAN,

Defendant.

- - - - - - - - -- -- - - - - - -- - - - - - - - - --X

PRELIMINARY ORDER
OF FORFEITURE

12-CR-439 (JG)

WHEREAS, on or about January II, 2013, the defendant, Roland Kaufman,

entered a plea of guilty to Count One of the above-captioned indictment, charging a violation of

18 U.S.C. § 371; and

WHEREAS, the defendant consented to the entry of a forfeiture money judgment

in the amount of one hundred eighteen thousand nine hundred sixty-three dollars and ninety

cents ($118,963.90) in U.S. currency (the "Forfeiture Money Judgment") and forfeiture all right,

title, and interest in any and all shares ofAxius, Inc. stock held in the name, or otherwise under

the direct or indirect control, of the defendant, and all proceeds traceable thereto (the "Forfeited

Asset"), pursuant to 18 U.S.C. § 98 I (a)(I)(C), 28 U.S.C. § 2461 (c), and 21 U.S.C. § 853(P), as

property, real or personal, which constitutes or is derived from proceeds traceable to a violation

of 18 U.S.C. § 371, or a conspiracy to commit such offense, and/or as substitute assets.

IT IS HEREBY ORDERED, ADJUDGED AND DECREED, on consent, by and

between the United States and the defendant as follows:

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 8 of 11 PageID #: 1523

2

I.

The defendant shall forfeit to the United States all his right, title, and

interest in the Forfeiture Money Judgment and the Forfeited Asset, pursuant to 18 U.S.C. §

981(a)(IXC), 28 U.S.C. § 2461(c), and 21 U.S.C. § 853(P).

2.

All payments made by the defendant towards the Forfeiture Money

Judgment shall be made by certified or bank check, payable to the "United States Department of

Treasury." The defendant shall cause said checks to be sent by overnight mail to Assistant

United States Attorney Brian Morris, United States Attorney's Office, Eastern District of New

York, 271 Cadman Plaza East, 7th Floor, Brooklyn, New York 11201, with the criminal docket

number noted on the face of the checks.

3.

The defendant shall fully assist the Government in effectuating the

payment of the Forfeiture Money judgment and the surrender and forfeiture of the Forfeited

Asset to the United States. The defendant shall take whatever steps are necessary to ensure that

clear title to the Forfeited Asset passes to the United States, including, but not limited to, the

execution of any documents necessary to effectuate the surrender and forfeiture of the Forfeited

Asset to the United States and to any property necessary to satisfy the Forfeiture Money

Judgment. The defendant shall not file or interpose any claim or assist others to file or interpose

any claim to any of the monies and/or properties forfeited hereunder in any administrative or

judicial proceeding. If the Forfeited Asset or the Forfeiture Money Judgment, or any portion

thereof, is not forfeited to the United States, the United States may seek to enforce this Order

against any other assets of the defendant up to the outstanding balance, pursuant to 21 U.S.C. §

853(P), the Federal Debt Collection Procedure Act, or any other applicable law. The defendant

agrees that the Forfeiture Money Judgment and the forfeiture of the Forfeited Asset are not be

considered a fine or a payment on any income taxes that may be due.

u.s. v. Roland Kaufman. l2-CR-439(JG), Preliminary Order of Forfeiture

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 9 of 11 PageID #: 1524

3

4.

The defendant knowingly and voluntarily waives his right to any required

notice concerning the forfeiture of the monies andlor properties forfeited hereunder, including

notice set forth in an indictment or information. In addition, the defendant knowingly and

voluntarily waives his right, if any, to a jury trial on the forfeiture of the property and money

forfeited hereunder, and waives all constitutional, legal and equitable defenses to the forfeiture of

same, including, but not limited to, any defenses based on principles of double jeopardy, the ex

post facto clause of the United States Constitution, any applicable statute of limitations, venue,

or any defense under the Eighth Amendment, including a claim of excessive fines.

5.

Upon entry of this Order, the United States Attorney General or his

designee is authorized to seize the Forfeited Asset, to conduct any proper discovery, in

accordance with Fed. R. Crim. P. 32.2(b)(3) and (c), and to commence any applicable

proceedings to comply with statutes governing third party rights, including giving notice of this

Order.

6.

The United States shall publish notice of this Order in accordance with the

custom and practice in this district on the government website www.forfeiture.gov, and ofits

intent to dispose of the Forfeited Asset in such a manner as the Attorney General or his designee

may direct. The United States may, to the extent practicable, provide direct written notice to any

person known or alleged to have an interest in the Forfeited Asset as a substitute for published

notice as to those persons so notified.

7.

Any person, other than the defendant, asserting a legal interest in the

Forfeited Asset may, within thirty (30) days of the final publication of notice or receipt of notice,

or no later than sixty (60) days after the first day of publication on an official government

website, whichever is earlier, petition the court for a hearing without a jury to adjudicate the

u.s. v. Roland Kaufman, 12-CR-439(JG), Preliminary Order of Forfeiture

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 10 of 11 PageID #: 1525

4

validity of his or her alleged interest in the property, and for an amendment of the order of

forfeiture, pursuant to 21 U.S.C. § 853(n)(6). Any petition filed in response to notice of the

forfeiture of the Forfeited Asset must be signed by the petitioner under penalty of perjury and

shall set forth the nature and extent of the petitioner's right, title, or interest in the property, the

time and circumstances of the petitioner's acquisition of the right, title, or interest in the

property, any additional facts supporting the petitioner's claim, and the relief sought.

8.

The terms contained herein shall be final and binding only upon the

Court's "so ordering" of this Preliminary Order.

9.

Pursuant to Fed. R. Crim. P. 32.2(b)(4)(A), this Preliminary Order of

Forfeiture shall become final as to the Defendant at the time of his sentencing and shall be made

part of the defendant's sentence and included in his judgment of conviction. lfno third party

files a timely claim, this Preliminary Order, together with Supplemental Preliminary Orders of

Forfeiture, if any, shall become the Final Order of Forfeiture, as provided by Fed. R. Crim. P.

32.2(c)(2). At that time, the monies and/or properties forfeited herein shall be forfeited to the

United States for disposition in accordance with law.

10.

This Preliminary Order shall be binding upon the defendant and the

successors, administrators, heirs, assigns and transferees of the defendant, and shall survive the

bankruptcy of any ofthem.

II.

The Court shall retain jurisdiction over this action to enforce compliance

with the terms of this Preliminary Order, and to amend it as necessary, pursuant to Fed. R. Crim.

P.32.2(e).

12.

The Clerk of the Court is directed to send, by inter-office mail, five

certified copies of this executed Preliminary Order to United States Attorney's Office, Eastern

u.s. v. Roland Kaufman, 12-CR-439(JG), Preliminary Order of Forfeiture

Case 1:12-cr-00439-JG-LB Document 108 Filed 06/20/13 Page 11 of 11 PageID #: 1526

· .

District of New York, A TIN: Dionne Gill, FSA Law Clerk, 271 Cadman Plaza East, 7th Floor,

s

Brooklyn, New York 11201.

Dated: Bro01lf' New York
,2013

~ ,

S:/ JOHN GLEESON, U.S.D.J.

GLEESON

ISTRICT JUDGE

CT OF NEW YORK

u.s. v. Roland Kaufman. 12-CR-439(JG), Preliminary Order of Forfeiture