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UNITED STATESD IS-I'IUCT COURTIklr tlltl
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Soulllcrn Dislrict o1- 'Ikxas
Ullited Slates of A Inerica
&e.Abraham Jose Shiera-Bastidas Case No, 4:15-cr-654
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(ltstntt. f tflwrsv't lo /)t' Iuwvslcdl Abraham Jose Shiera-Bastidaj
u-ho is accuscd of- an offense or violation basetl oI'l llltt fblloNvillg tloculllcn! filed u-itl) lllkt court:
k . lndictlnell! O Supcrsedilpg Indictmunl D l nfornlatioll C1 Supersuding l nfonnation iD Conlplaill!
O Probation Violation Pclilion O Supcrvised Rclease Violatioll I'ctitioll O Violalion Nolice tu Order oI' lllkt Cotlrt
Tllis nffbnse is briclly descri bed as Cbllosvs:
Count 1 Conspiracy to violate the Foreign Corrupt Pfactices Act (FCPA) and commit wire fraudCounts 6-10 FCPA ViolationsCounts 1 1 Conspiracy to commit money IaunderingCounts 12-18 Money Laundering
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Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 1 of 43
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:0257 . j , x ce pER 18 U.S.C. 3170usxo Rev, :/99) Marshal s Omce/clerk s 0
' DEFEHDANT INFORMATION REu n ve To & CRIMINAL AcnoN - IN o-s. DIA RTG couRT
BY: (E) complaint (:) lnformation (?) Indidment DEFENDANT - tJ.s. vs.
Name of Distrid Court? ant/or Judge/Magistrdte tocation (CiW) Arj jlAj.jAyj Josl! sl.j 1 ERA-BASTI IJAS
UNITED A ATES DISTRIW COURTSOUTHERN DIA RIG OF TEXAS AdlressHOUSTON DIW SION l
Name and Offke of PerxnPumishing lnfôrmation en
THIS FORM
Name of M st. U.S. Att'y(if assiqned)
Proceeding
Name of Complainant Aqency, or Person (& mtle, ir any)
STE ï' E N BODA R. l l.l l S
KI'JN &16'1 1 I 5'1 AG l I)S()N. USA
@1, U.s. Att'y I--I other U.s. Agerxy
JOIIN P. Plïz1II.S()N. ,ï1.JS,A
BirtllDate
7 5 (ï #' ' - s ,(t o 4Defendant
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hii!l re! 1, I(, ('' -) /$1, (, rl1.-J Female (1r appllcablc)
Qv-ial SecufiN Number
2--1 person is mvaiting trial in another Federal or State Court, givename of coud
Q this person/proceeding transferred from anotber district per (circleone) FRCrP 1û, 21 of 4Q. Show Distrid
this ts a renrosecution of clhargt'sprevlously dismissed w'hlch wereùismissed Dn motion of:
C'I U.S. Att'y Z DefeYe
SHDWK CKET NO.
IS NOT IN CUSTODY
1) C1 Hag n0t been arresteö, pending outcome thl: prtxeLdingif not detained qive date any priœsblmmon: $!3$ served on above charoe:
2) (-..1 Is a Fuçitive
3) L).) Is on Ball or Relcase frcm ishqjv District O ', uslle a-
k, taly jivi'f !-1 -Is :N ctls-roD: .---- -.-
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4) FJ on thls chafge - , -.. ' . .) E..-t Fea I (-.J sute5) ( 7 oc armther convictinn6) L..! Awaiting trial on othef charges
lf answer (o (6) is ''Yes'', show name of Instltution
L. this prosecution relates to pendingcase involving this same defendant
lq7 prior proceedlngs or appearancels)before U.S. Maçistrale Judge regardingthis defendant Were recorded Smder
MAG. JUX EC-ASE N0.
L-J YesHas detalnerbeen filed? r.-j sc
DATE OF >,ARREA
lf %'Ye:''
j j yi uxyv e d a t e
Place orffeose Sotllhcrn District of- l-exnsc
7- ) pottyr--,...-1 l . ! i c o r'--iw hlikemeanor
Q? Felony
Or . . . lf àrrcstlhg Aqenp ?.j Waf r'anl wcf e qct Federal
DATE TM NSFERREDTO U.S. CUA ODY
This repoft amends previntls A0257 submitted
OFFENSE CHARGED - U.S.C. CU ATION -A ATLITORY MAXIMUM PENALTRES * ADDm ONAL INFORMATION OR COMMENTS
(.- l . l : (7 o n s p i r ac) I l 8 t .' . S . (- . j 3 7 I )
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N O T 1 C E O F 1 : O R 1 7 I:- I 1 ' t J I't 1! I 2 X U . S . C . j 2 4 6 I ( c ) ; 1 8 U - S . C . j 9 S l ( :1 1 l l ) 4 t* ) lN ( ) ' l - l f - l ê- () l : I ê O Ik f-. E I -1- U 11 E ! l 8 t .! . S . C . j k) 8 2 ( a ) ( I ) 1
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 2 of 43
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Case 4:15-cr-00654 *SEALED* Document 6 Filed in TXSD on 12/10/15 Page 1 cf 1Unlted States astlict CoudSeuma > Md d T@xxO ITED STATES DISTMW COURT
SOUTHERN DISR CTOF TEXAS
HOUSTON DIVISION
UNIR D STATES OF AMERICA
ABRAHAM JOSE SHIERA-BASTIDAS
ENTEREDe e 11, 2015
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N.oa s QcRlMINAtNo: -. - %
SEALED
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15 C0 6 54
ORDER FOR ISSUANCE OF BENCH WARFANT
A CM Mm AL INDICTMENT
below.
It is ORDERKD that a warrant be issued for the arrest cf said defcndr t. Upon arrest and
appearance, ajudicial determination sbsll be made as to dettntion or relen- on conditions. n e
United State: Govemmtnt recommends to the Court the following:
has been returned against the defendant lixed
Defendant
ABM HAM JOSE SHIERA-BASTIDAS
- -
- u praw sjox
0 RELEASED 0N CONDITIONS
Q APPEAM NCE BOND IN THEAMON OF: $
SIONED at Houston, Texas. on . .- -..- -. .. /-Y.,.... , 2,0 .. .-.... .
UNITED STATES MAGISTRM E JUDG
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 3 of 43
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UNITED STATES DISTRICT COURTSOW HERN DISTRICT OF TEXAS
HOUSTON DIW SION <Mw .
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M.
ROBERTO ENRIQUE Rm CON.FERNANDEAABRAHAM JOSE SHV RA.
BM TD AS
CQIM INAL NO.'-'W ,
: 5 21 6 54
INDICTM NT
Tlœ GRAND JURY CHARGES:
COUNT ONE
(Conspiiacy - 18 U.S.C. # 371)
htrûduction
At all relevant times, unless otherwise specified:
1 . n e Foreir Conupt Pmctices Act of 1977 (tTCPA''), as amended,
Title 15, United States Code, Sections 78dd-1, et seq., was enacted by Conpess for
the pupose ot among other thinp, making it unlawful to act co= ptly in
furtherance of an oFer, promise, authorization, or payment of money or anything
of value, directly or indirectly, to a foreir official for the purpose of obtaining or
retaining business for, or directing business to, any person.
Petroleos de Venezuela S.A. (tTDVSA'').was the Venezuelan state-
ou ed and state-controlled oil company. PDVSA and its subsidiaries and afsliates
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 4 of 43
were responsible for the exploration, production, refninp transportation, and trade
in energy resources in Venezuela and provided funding for other om rations of the
Venezuelan govemment. PDVSA Services, hc. was the U.s.-based aK liate of
PDVSA located in Houston, Texu, that, at vmious times, wc responsible for
intem ational purchasing on behalf of PDVSA. Bariven S.A wa the PDVSA
procurement subsidiary responsible for equipment purchases. PDVSA and its
wholly owned subsidiaries, including PDVSA Services, Inc. and Bariven S.A.,
(hereinoer collectively referred to as tTDVSA'') were ''instrumentalities'' of the
Venezuelan govemment as that term is used in the FCPA Title 15, United States
Code, Section 78dd-2(h)(2)(A). PDVSA oKcers and employees were çtfortign
omcials'' as that term is USH in the FCPA Title 15, United States Code, Sections
78dd-2(h)(2)(A) and 78dd-3(f)(2)(A).
PDVSA awarded contrac? for tnergy services and equipment in a
number of ways, including tkough a competitive bidding process. One such
competitive bidding process began with a PDVSA pumhasing analyst % sembling a
bidding panel, which identified those companies that would be invited to submit
bids in connection for a particular project. PDVSA would then issue a request for
quotation to the companies included on the bidding panel and those companies
would in tum submit formal bids, from which a winner would bt selected.
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 5 of 43
PDVSA also awarded sole source contracts, which were not subject to a
competitive bidding process.
n e Defendants and Thqir Coccon,pirators
4. Defendant ROBERTO ENRIQUE Y CON FERNANDEZ
(ç%m CON'') was a U.S. lawful permanent resident and a resident of Texas, and
controlled, together with others, a number of closely held companies, including
several U.S. companies, many of which were based in the Southern District of
Texas, that Rm CON used to secure contracts with PDVSA . Rm CON was thus a
rtdomestic concem '' and an om cer, director, employee, agenj and shareholder of a
'tdomestic concem'' as those teru are used in the FCPA Title l5, United States
Code, Section 78dd-2(h)(1).
Defendant ABRAHAM JOSE SHVRA BASTD AS C%HVRA''I
was a Venezuelan national who resided in Floridw and controlled, together with
others, a numbe: of closely held oorppanies, including seveml U.S. companies, that
SRTERA used to secure contracts with PDVSX SHIERA was thus a çfdomestic
conoem'' and an offcer, director, employee, agent, and shareholder o a Rdomestlc
concem'' as those terms are tlsed in the FCPA Title l 5, United States Code,
Section 78dd-2(h)(1). Rm CON and SHIRRA worked together on a number of
PDVSA contracts and contract bids.
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 6 of 43
6. çtRincon Company 1,'' a company whose identity is known to the
Grand Jury, was organized under the la< of Ttxas and headquartered in the
Southem District of Tex%. m ncon Company 1 was thus a'tdomestic concem'' as
that term is used in the FCPA Mtle 15, United States Code, Section 78dd-2(h)(1).
Rincon Company l - controlled by RG CON and used by RW CON to secure
contracts with PDVSA.
7. 'Rincon Company 2,1' a company whose identity is knom l to the
Grand Jury, was organized under the lax of Tex% and headquarterd in the
Southem Dislrict of Ttxa. Rincon Company 2 was thus a ''domestic concem'' as
that term is used in the FCPA Title 15, United States Code, Section 78dd-2(h)(1).
Rincon Company 2 was controlled by Rm CON and used by Rm CON to secure
contrads with PDVSA.
8. tçRincon Company 3,1' a company whose identity is known to the
Grand Jury, was organized under the la< of Fiorida and headquadered in Florida.
Rincon Company 3 was thus a t<domestic concem'' as that term is used in the
FCPA Title 15, United States Code, Section 78dd-2(h)(1). Rincon Company 3
was controlled by RD CON and used by RINCON to secure contracts with
PDVSA.
4
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9. 'fRincon Company 4,:1 a company whose identity is known to the
Grand Jury, was controlled by RINCON an# used by Rm CON to secure contracts
with PDVSA
10. %'Shiera Company 1,3' a company whose identity is hmwn to the
Grand Jury, was organized undet tht laM of Florida and headquartered in Florida-
Shiera Company 1 was thus a ttdomestic concem'' as that term is USGI in the
FCPA Title 15, Unittd States Codt, Section 72dd-2(h)(1).Shitra Company 1 was
controlled by SHV RA and used by SHTRM to secure contrac? with PDVSA-
fçshitra Company 2,': a company wlwse identity is known to the
Grand Jury, w% organized under the la< of Florida and headquadered in Floridm
Shiera Company 2 was thus a Qtdomestic concem'' as that term is used in the
FCPA Title l5, United States Code, Section 7:dd-2(h)(1). Shiera Company 2 was
controlled by SHV RA and use,d by SHR RA to secure contracts with PDVSA.
l2. çsshiera Company 3,'1 a company whose identity is known to the
Grand Jury, was organized undtr the la< of Florida and headquu ered in Floridm
Shiera Company 3 was thus a çtdomestic concem'' as that term is used in the
FCPA Title 15, United States Code, Section 78dd-2(h)(1). Shiem Company 3 was
controlled by SHIEM and used by SHIEM to secure contracts with PDVSA .
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 8 of 43
13. Ssshiera Company 4,'3 a company whose identity is known to the
Grand Jury, was controlled by SHV RA and used by SHV RA to secure contracts
with PDVSA.
14. t<shiera Compaay 5,'' a compc y whose identity is knou to the
Grand Jury, was controlled by SHV M and USM by SHR RA to secure contracts
with PDVSA-
'Cshiera Company 6,:' a company whose ideitity is u own tè the
Grand Jury, whs controlled by SHIRA and used by SHVRA to secure contracts
with PDVSA.
16. ççM sociate 1,'' an individual whose identity is known to the Gtand
Jury, was a U.S. lawful permanent resident and a resident of Texas and a relative
of RINCON, who controlltd, along with Rm CON, several of the U.S. companits
controlled by RG CON. Associate 1 was thus a fçdomestic concem'' and an
o/ cer, director, employee, agent, and shareholder of a ttdomestic concem'' as
those terms are used in the FCPA Title l5, United States Code, Section 78dd-
2(h)(1).
17. çtM sociate 2,': an individual whose identity is knomz to the Grand
Jury, was a Venezuelan national who maintained a residence in Texu, and was
employed by, or worked as an independent contmctor for, SHY RA and assisted
both RD CON and SHIERA in their business operations, including by assisting
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 9 of 43
RD CON and SHV RA and their companies, including their U.s.-based
companies, secure contracts with PDVSA- 'IYus, M sociate 2 was an agent Qf a
''domestic conctm'' as that term is ustd in the FCPN Title l5, United States Code,
Section 78dd-2(h)(1).
The Foreien Om cials
18. t'Oïcial &'' ml individllnl whose identity is known io the Grand Jury,
was at aIl relevant times employed by PDVSA including as a buyer at PDVSA and
a supervisor of other PDVSA buyers. Oïcial A's job responsibilities included
assir ing bidding pantls to PDVSA buyers, including Official C and Oï cial D,
who would then be responsible for selecting cnmpanies for the bidding panels,
which allowed those companies to submit bids on ipdividual PDVSA projects.
19. 'D m cial B,'' an individual whose identity is known to the Grand Jury,
w% at all relevant times employed by PDVSN including as a purchasing analyst
for PDVSA. Oïcial B's job responsibilities included selecting companits for
bidding panels, which allowed those compu ies to submh bids on indiKdual
'
prol ects.
20. f'Oï cial C,'' an individual whose identity is known to the Cx'and Jury,
was at aIl relevant times employed by PDVSA including as a purchasing managtr
and superintendent of purchasing at PDVSA. O/ cial C's job responsibilities
included selecting companies for bidding panels, which allowed those companies
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 10 of 43
to submit bids on individual PDVSA projems, Md selecting which companies
would win the economic portion of tht bid process.
21. tsoï cial D,'' an individual whose identity is known to the Grgnd Jury,
wu at all rtlevant times employed by PDVSA including as a buyer for PDVSA
OE cial D. 's job ruponsibilities included selecting companies for bidding panels,
which allowed those companies to submit bids on individual PDVSA projects.
22. fsofficial E,'' an individual whose identity is known to the Grand Jury,
was at alI relevant times employed by PDVSA including as a purchasing manager
at PDVSA- Oëcial E's job responsibilities included selecting companies for
bidding panels, which allowed those companies to submit bids on individui
PDVSA projects.
23. Official h, Om dal B, Official C, Ofscial D, and OK cial E were each
a tsforeir omcial'' as that term is used in the FCPA Title 15, United States Cpde,
Sections 78dd-2(h)(2)(A) and 78dd-3(9(2)(A).
8
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 11 of 43
The Conspiracy
24. Beginning in at le>qt 2009 and continuing throul at lexqt 2014, in the
Southem District of Tex%, and elsewhere, the defendants,
ROBERTO ENRIQUE RW CON FERNANDEZand
ABRAHAM JOSE SHV RA BASTD AS
did will'fully and knowingly conspire, confederate, and apee with each other and
others known and unknown to the Grand Jury to commit o/enses against the
United States, that is:
a. to willfully make use of the mails and means and instrumentalities of
inteotate commerce conuptly in furtherance of an offer, payment,
proe se to pay, and authorization of the payment of any money, ofer,
gii, promise to give, and authorization of the giving of anything of value
to a foreir official and to a person, while knowing that all and a portion
of such monty and thing of value would be and had been offered, given,
and promised to a foreir oKcial, for purposes of: (i) influencing acts
and decisions of such foreir offkial in his o/cial capacity; (ii) inducing
such foreir oK cial to do and omit to do acts ia violation of the lawful
duty of such oKcial; (iii) securing an improper advantage; and (iv)
inducing such forei> oftk ial to use his iniuence with a foreir
9
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 12 of 43
govtm ment and agencies and instrumentalitio thereof to affect and
influence acts and decisions of such govem ment and agencies and
instrumeatalities, in order to usist Rm CON, SHV RA. and their U.S.
companies in obtaining and retining businœs for and with, and dirtcting
business to, Rm CON, SHV RA, their companies, and others, in
violation of the Foreir Corrupt Practicts Act, Mtle l5, United States
Code, Section 78dd-2(a);
b. while in the tenitory of the United States, willfully and com zptly to make
use of the mails and means and instrumtntalities of interstate convnerce
and to do any other act in furtherance of an ofrer, payment, promise to
pay, artd authorization of the payment of any money, oFer, gih, promist
to give, and authorization of the giving of anything of value to a foreir
o/ cial and to a person, while knowing that a1I and a portion of such
money and thing of value would be and had been oFered, given, and
promised to a foreir omcial. for pumoses of: (i) infuencing acts and
decisions of such fofeir oflicial in his or her official capacity; (ii)
inducing such foreir official to do and omit to do acts in violation of the
lawful duty of such official; (iii) securing an improper advantage; and
(iv) inducing such foreir ofcial to use his or her influence with a
foreir govem ment and agencies and instrumentalities thereof to affect
10
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 13 of 43
and influence acts K d decisions of such govem ment and agencies and
instmmentalities, in order to assist Rm CON, SHV RA, and their U.S.
companies in obtaining and retaining business for and witk and directing
business to, Rm CON, SHIERA, their compu ies, and others, in
violation of Mtle 15, United States Code, Section 78dd-3(a); and
c. to devise and intend to devise a scheme or artifice to defraud PDVSA and
energy companies that could have performed service.s for PDVSA and
for obtaining money and propely from PDVSA and energy companies
that could have performed services for PDVSA by means of materially
false and H udulent pretenses, representations, and proY ses, and to
transmit and cause to be tmnsmitted, by me-qns of wire communication in
interstate and foreir commtrct, writinp, sir s, sir als, pictures, and
sounds for the purpose of executing such scheme and artisce in violation
of Title 18, United States Code, Section 1343.
Purpose of the Ccnspiracv
25. n epupose of the conspîracy wastài-luxcox, SHGRA, and their
oo-conspirators, to enrich theM elves by obtaining and retaining lucrative energy
oontracts witb PDVSA through corrupt and fmudulent means, Ycluding by paying
bribes to PDVSA officials.
11
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M anner aRd M eans of th: Conspiracv
26. n e manner and means by which Rm CON and SHG RA and thtir
co-conspirators sought to accomplish the purpose of the conspiracy inoluded,
among other thinp, the following, while in the Southem District of Texas and
elsewhere:
27. Rm CON and SHW RA, together with othtrs, discussed how they
would obtain and retain contmcts with PDVSA by providing thino of value to
PDVSA officials.
28. RD CON and SHY M , together with others, paid bribes to PDVSA
oï cials through the use of interstate and fofeir wires in order to influence acts
and decisions of the PDVSA offidals in their oï cial capacities and to induce the
PDVSA oE cials to do and omit to do certain acts, including, but not limited to:
a. usisting Rm CON'S and SHIRRA'S companies in winning PDVSA
contm cts;
b. providing Rm CON and SHW M with inside information conceming
t- -ç.h P-DVSA biddingprocess', - - - - -- - -. - - - - - ..- - - - - . -
c. placing one or more of RG CON'S and SHTERA'S companies on certain
bidding panels for PDVSA projects;
d. helping to conceal the fact that Rm CON and SHœ RA controlled more
than one of the companies on certain bidding panels for PDVSA project;
12
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 15 of 43
e. supporting Rm CON'S and SHV RA'S companies before an intemal
PDVSA purchuing come ttee;
f. preventing interference with the selection of RINCON'S and SH V RA'S
companies for PDVSA contracts;
g. updating and modiY ng contract documents, including change orders to
PDVSA contracts awarded to Rm CON'S and SHY M 'S companies;
h. %sisting RG CON'S and SHœ ltA's companies in rectiving payment
for previously awarded PDVSA contracts, including by requesting
payment priority for projects involving Rm CON'S and SHIERA'S
companies.
29. Rm CON and SHIERA, together whh others, caused bribe payments
to be wired from the b= k accounts of RINCON, Rm CON'S companies, and
SHG RA'S companies to the bank accounts of PDVSA o/ cials, their relatives, or
other individuals or entities designated by ihe PDVSA offchls who received the
bribes.
30. In addition to monetary bribes, Rm CON and SHV RA, together < th
others, bribed PDVSA oK cials by providingthin/ of value, including recreational
travel, meals, M d entertainment, in order to obtain and retain business on behalf of
RD CON'S and SHV RA'S companies.
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31. Rm CON and SHV RA, together with others, referred to tht PDVSA
of cials who were assisting them in obtaining and retaining contlacts with PDVSA
in exchu ge for bribes as ualiadosz'' which tmnslates into English as ç'allies'' or
''allieds ''
#
32. W NCON and SHV RA, together with others, provided to cedain
PDVSA ox cials who were rectiving bribes proposed bidding panel lists lhat
would include more than oni company controlled by Rm CON or SHV RA to
create the false appearance that the bidding process was competitive.
33. Rm CON and SHIERA, together with others, relayed to certain
PDVSA om cials who were receiving bribes instmctions as to which company
among the proposed bidding panel the om cials should select as the winning biddtr.
34. Rm CON and SHV RA, togdher with others, kept track of the
amounts owed and paid to each PDVSA offcial based on the contracts that the
PDVSA ox cial had helped to award to one or more of RINCON'S and
SH1F,RA'S companies.
35. RG CON and SHV RA, together with others, attempted to conce
the fact that they controlled multiple companies contained on the proposed bidding
panel lists provided to certain PDVSA offcials who were receiving bribes,
including by appointing noM nal owners or mnnagers for those companies.
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36. RG CON and SHK M , together with others, attempted to conceal
the bribes to ctrtain PDVSA om cials, which they referred to as ''commissionsz'' by
creating falstjustitkations for the bribes, including requesting or receiving
invoices for equipment that was not provided and services that were never
rendered in crder to disguise the bribe payments to the PDVSA om cials.
Ovvd Acts
37. In furtherance of the conspiraoy and to achieve the objects thereof, at
ltast one of the co-conspirators committtd or caused to be committed, in the
Southem District of Tex% and elstwhert, at le>qt one of the following overt acts,
among othtrs:
38. In or around October 2009, RG CON and SH'IERA reached an
agreement to work together to pay bribes to PDVSA oftk ials in order to secure
lucrative energy ccntmcts from PDVSA for RG CON'S and SHV M 'S
companies.
39. On or about October 8, 2009, M sociate 2 sent an e-mail to other
R -dàf/ WSHTRR'AFG M hD à G k-nR36ëdbY-gRm cD'm hiJ div im h-
connection with PDVSA bidding.
40. On or about October 22, 2009, M sociate 2 sent Official C an e-mail
in Spanish explaining the strategy for the PDVSA bidding process as it related to
colnpanies owned by SHIERA, stating that for instances where Shiera Company 1
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would be invited to submit bids, Associate 2 mzd OK cial C needed to Grst ensure
that Shiera Company 1 would me-et certain conditions and that Oï cial C would be
the PDVSA buyer responsible fot assembling the panel, and that, as translated into
English, ç'If that is the c%e, teil me so 1 can send you a panel of companits that 1
know will not make an o/er, or thty will mnke ofers higher than ours. It is
indispensable to have the complete description of the request to seek out pricing
'
i the process, it is also tndispensable that you require abeforehand. When start ng
short submission ofrer timeâame Mdays). Wtll buddy, I believe that if we foliow
these strategies, that shit is ours-''
41. In or around early 2010, M sociate 2 helped bfGcial B to open a bank
account in Panamw in order to receive bribe payments outside Venezuela-
42. On or about April 9, 2010, Rm CON caused $100,000 to be
transferred from a b> k account in the Unite.d Statts in the name of one Qf .,.,
Rm CON'S companies to Om cial B's bnnk account in Panama.
43. On or about April 12, 2010, RW CON caused $164,570.23 to be
transferred from a bank account in the name of one of M NCON'S companies to
pay offthe balance of a moMgage loan in O/ cial E's name for a residence in the
Southem District of Texas, in exchange for Ol cial E's assistance in connection
with PDVSA contracts.
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44. On or about M ay 7, 2010, Rm CON caused $135,429 to be
transferred âom a bank account in the namt of one of RINCON'S companies to an
nerount in the name of a close personal associate of Oë cial E, but over which
Om cial E held power of attomey, in exchange for O/ cial E's assistance in
connection w1t.11 PDVSA contmcts.
45. 0n or about June 15, 2010, SHV RA sent Official C an e-mnil
containing information about how to open a bnnk account at a bnnk in Panama-
46. On or about June l7, 2010, RW CON helped Om cial C open a bank
account in the Southem District of Texas, into which bribes were paid.
47. On or about M ay 26, 2010, approximately two week.s aher PDVSA
issued a $2,648,148.20 purchase order to Shiera Company 1 on which Oï cial C
was listed as the PDVSA buyer, Shiera Company 1 tx sferred $300,000 to Shiera
Company 4.
48.
transferred 9om a bnnk account in tht name of Shiera Company 4 to Offcial C's
On or ae ut June 23, 2010, SHV IG caujed $100,000 to be
bank account in the Southem District of Texu in exchange for Official C's
Msistance in connection with PDVSA contracts.
49. On or about September 23, 2010, RW CON catlsed $100,000 to be
trnnKferred from a bank account in the name of Rincon Company 4 to Ofticial C's
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bank account in the Southem Disdct of Texc in exchange for Official C's
assistance in connection with PDVSA contracl.
50. On or about October 18, 2010, approximately two weeks aher
PDVSA sent a wire transfer to Shiera Company 1 in the amount of $5,545,560.01,
SHV RA caused $*25,000 to be transferred from a bank account in the name of
Shiera Company 4 to O/cial C's bank account in the Southem District of Texas in
exchange for OK cial C's assistance in connection with PDVSA contracts.
51. On or about January 28, 201 1, SHV RA caused $15,000 to be
transferred from a bank account in Panama in the name of Shiera Company 5 into a
bnnk account in the Southem District of Texas heldjointly in the name of Omcial
E and a relative, in exchange for Oï cial E's %sistance in connection with PDVSA
contracts.
52. On or about June 6, 2011, SHIEIG caused $15,000 to be transferred
from a bank account in Panama in the name of Shiera Company 5 into a bnnk
account in the Southem District of Texas heldjointly in the nnme of O/cial E and
a relative, in exchange for Oë cial E's usisfnnce in connection with PDVSA
contracts.
On or about August 5, 201 1, approximately ten days aher PDVSA
issued a $7,729,756.78 purchase ofder to Rincon Company 3 on which Officiai C
was listtd as the buyer, Rincon Company 2 sent a salts order to Rincon Company
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3 to provide Rincon Compu y 3 < th substantially the same equipment m ncon
Company 3 had apeed to provide to PDVSA in the purchase order referenced
above, for a total price of $7,343,268.93.
54. On or about September 29, 2011, SH V RA sent an e-mail to
M sociate 2, statinp as tmnslated into English, ttDon't forget to give me (Ofticiat
A's) accotmt statement.''. ;
55. On or about October 27, 2011. M sociate 2 sent an e-mail to SHV RA
with the subject line, as translated into English, 'rutstanding (commission) for
(Omcial N,'' and attaching an Excel spreadsheet listing numerous PDVSA
contracts that had been awarded to SHV RA'S companies betFeen September 1,
2010 to September 30, 201 1 by various PDVSA buyers that were supervised by
OKcial & and listing, as translated into English, an ''Outstanding commission'' of
$188,276.61 USD.
56. On or about December 6, 201 1, mz associate of SHV RA sent an e-
rnnil to M sociate 2 in which he forwarded a $14,502.29 hotel reservation for
Oï cial D at the Fontainebleau Hotel in M iad Beach, Florida-
57. On or about January 12, 2012, M sociate .2 sent an e-mail to SHV RA
and another asociate of SHœ RA attaching an invoice for whiskey that had been
given to Oïcial C with a notation, as truslated into Ensisk ttwith AS
(ABRAHAM SHV RAJ authorizatiom''
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58. On or about January 17, 2012, the other associate replied to the e-mail
referenced in Parapaph 57 above, statinw as trnnqlated into English, RM M , you
shouldn't have Abraham's (SHVRA's) name in the e-mail address, and do not
mention mine either-''
59. On or about January 18, 2012, SHTERA responded to the e-mail
chain referenced in Paragraph 52 above, statinp as translated into English,
ç'authorized-''
60. On or about Janucy 26, 2012, M sociate 2 sen! an e-mail to SHV RA
and other D sociates of SHIERA whereby M sociate 2 arranged for one of
SHV RA'S companies to cover the cost of a hotel and rental car in Barcelonw
Venezuela for Offcial D.
61. On or about January 28. 2012, SHK RA responded to the e-mail
referenced in Parapaph 60 above, and insttucted M sociate 2 to, as translated into
English, ç'please do these things outside of accounting.''
62. On or about February 9, 2012, Rm CON sent an e-mail to OK cial &
copying SHV RA and Associate 2, statinw as translated into English, ttattached
le%e find the Charge for Abrahal's (SHœRA's) compllm'' and directingP
OO cial A to assir the bidding prorm s to Om cial D.
63. On or about M arch 1, 2012, Ofticial C sent an e-mail to Rm CON
attaching panel lists for a number of bidding processes that were in the request for
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quotation phase. Three of the proposed pr els included Rincon Company 3 and
another Rincon company. Anotherproposed panel included Sbiera Compr y 2,
Rincon Company 1, Rincon Company 2, and anotherW ncon oompany. Another
proposed panel included Rincon Company 2, m ncon Company 3, and another
Rincon company.
64. On or about M arch 22, 2012, SHV RA sent an e-mail to M sociate 2
and another associate of SHV RA, copying W NCON, responding to an e-mail
chain about a turbogenerator process, stating that, as tru slated into English,
ttlRincon Company 1) should win the procus. According to what Roberto
approved, the commission to (Shiera Company 1) is 5% of the purchce price.
n at is fair. Put this in the Smergy project repod.RRIROBERTO RG CON)
pays the commissions to the allics.n
65. On or about M arch 27, 2012, SHIERA sent an e-mail to Rm CON
and an associate of SHV RA, copying Associate 2, stating, as translated into
English, ç'According to what was agreed with Roberto (RW CONJ, his companiea
will excuse themselveq from thce two gocesses. From ours, (Shiera Company 1)
wins both-''
66. On or about M arch 23, 2012, Offcial C issued an invoice from a
company Ofscial C co-owned with a relative to Rm CON at m ncon Company 2,
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billing $150,009 for purpoded services that wert not actually performed, including
Stengineering services on drilling rig GP-20.''
67. On or about April 24, 2012, SHTRM sent an e-mail to Om cial &
Rm CON, and M sociate 2 instructing Oë cial A to tçhssir '' a particular PDVSA
contract to Oftkial D for tht asstmbly of tht bid panel and informing Ofscial A
that Shitra Compuy 3 f'wins'' tht project.
68. On or about April 27, 2012, Rm CON caused $150,000 to be
transfertd from Rincon Company 2 to abank account in the namt of a company
that Oï cial C owned with a relativt referencing the invoice rtferenced in
Parapaph 66 above in exchange for OK cial C's rsistance in connection with
PDVSA contracts.
69. On or about M ay 7, 2012, Ox cial C e-mailed Rm CON, forwarding
a response from his bank that the April 27, 2012 wire transfer referenced in
Parapaph 68 ahove had not been credited to O/ cial C's account because the
account number had been incorrtct in the wire transfer documentation, and
including the correct wire information.
70. On or about M ay 8, 2012, RG CON caused $150,000 to be
transferred from Rincon Company 2 to a bsnk acoount in the name of a company
that Om cial C Qwned with a relative with tht correct wire information contained in
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Paravaph 69 above in exchange for OK cial C's assistance in connection w1t11
PDVSA contracts.
0n or about M ay 17, 2012, Oïcial C sent an e-mail to RW CON and
SHV RA attaching a list of various PDVSA contracts coming up for bid.
72. On or about June 22, 2012, SHV RA sent an e-mail to Oï cial C,
instmcting Oficial C to assir a particular bidding process to OK cial D.
73. On or about June 22, 2012, Oëcial C responded to the e-mail
referenced in Paragraph 72 above, stating that Official C had already assir ed the
process to Official D, and notinw as eanslated into English, <tI am waiting for you
to send rne the additional specifications of that case to submit them.''
74. On or about November 5, 2012, Rincon Company 3 sent PDVSA an
invoice for palial payment on the purchase order referenced in Paragraph 53
above, based on suppl/ng some of the equipment included in the purchae order.
75. On or about December 18, 2012, the same day that PDVSA sent
Rincon Company 3 approximately $331,246.01 as payment on two invoices,
Rincon Company.
3 sent $314,683..72 to Rincon Company 2.
76. On or about December 19, 2012, Offcial C sent Rm CON an e-mail
attaching an invoice for $150,000 from a company Om cial C co-owned w1t14 a
relative to Rm CON at m ncon Company 2, billing $150,000 for purported
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servioes that were not actually pedbrmed, including çEngineering Services Steem
(sic) Generator Plants.''
77. On or about December 20, 2012, RW CON forwarded the December
l 9 2012 invoice referenced in P> v aph 76 above to otheo at Rincon Company 2,
'
including M sociate 1, stating, as tmnqlated into Englisk tçplease proceed with the
transfer.''
78. 0n or about December 21, 2012, Rm CON caused $150,000 to be
transferred from m ncon Company 2's bnnk account to a bank account in the name
of a company that Ol cial C owned with a rclative in exchange for O/ cial C's
assistance in colmection with PDVSA contract.
79. On or about February 20, 2013, Rm CON sent Oë cial C an e-mail
stating, as translated into English, T'send one for US $100,000.00.''
80. On or about February 28, 2013, Official C sent RW CON an e-mail
attaching an invoice for $100,500, noting ihat the amount w , as translated into
English, '%o square away the IVH (hours per person) that Iincluded in the formtr
invoice.'' The invoice was from a company Ofjicial C cmowned with a rtlativt to
RG CON at Rincon Company 2 for purpoded servicu that were not actually
performed, including tçEngineering Services Steem (sic) Genemtor Plants.''
81. On or about M arch 1, 2013, RW CON caused $100,460 to be
transferred from a Panamanian bnnk account in the name of one of Rm CON'S
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companies to a bank account in the name of a company that Oï cial C owned with
a relative in exchange for Official C's assistance in connection with PDVSA
contracts.
22. On or about M arch 26, 2012, Ofscial C sent an e-mail to RW CON,
stating, as translated into Englisk 'dGood day, Boss, 1'm sending you the peoonal
information of the passengers,'' and providing dates of birth, passport numbers, and
p%sport expiration dates for Omcial C, Ofscial C's wife, Oïcial & Official B,
and three others f0r an April trip to M iami, Florida.
23. On or about January 3, 2014, SHIERA caused $15,000 to be
transfe= d from a bank account in Panama in the name of Shiera Company 6 into a
bqnk account in the Southem District of Texas held jointly in the name of Omcial
E and a relative, in exchange for Ol cial E's aqsistance in connection with PDVSA
contracts.
84. On or about January 7, 2014, SHV RA caused $15,000 to be
transfeaed from a bank account in Panama in the name of Shiera Company 6 into a
bank account in the Southem Distlict of Ttxas held jointly in the name of Oïcial
E and a relative, in exchange for OK cial E's assistqnce in connection with PDVSA
contracts.
A1l in vblation of Title 18, United States Code, Section 371.
25
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COUNTS TW O -FIVE
(Foreign Corrupt Practicea Act - 15 U.S.C. j 78dd-2; 18 U.S.C. j 2)
85. Pm paphs 1 throul 23 and 25 tkough 84 are realleged and
incomorated by reference as though fully set forth herein.
26. On or about the dates set fo% below, in the Southem District of
Texas and elpewhere, the defendant,
ROBERTO ENRIQUE Rm CON FERNANDEZ,
being a domtstic concem and an offcer, director, employee, agent, and
shareholder of a domestic concem, and by aiding and abetting a domestic concern
,
did willfully use and catlse to be used the mails and means and instrumentalities of
interstate commerce corruptly in furtherlnce of an ofer, payment, promise to pay,
and authorization of the payment of money, oFer, gih, promise to give, and
authoriymfion of the giving of anything of value to a foreir official, and to a
person, while knowing that all and a poltion of such money and thing of value
would be and had been offered, given, and promised to a foreir official, for
purposes of (i) iniuencing acts and decisions of such forei> o/cial in his or her
oKcial capaciy (ii) inducing such foreir oKcial to do and omit to do acts in
violation of the lawful duty of such official; (iii) securing an improper advantage;
and (iv) inducing such foreir official to use his or her influence with a foreir
govemment and agencies and instrumentalities thereof to affect and influence acts
26
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and decisions of such govemment and agencies and instrumentalitiu, in order to
usist RmCON, SHVRA, and their U.S. companies in obtaintng and retaining
business for and with, and directing business to, W NCON, SHTRIG , their
companies, and othen, as follox ;
COUNT DATE BQm E PAYM ENT
Two September 23, 2010 T100,000 wire trnnqfer from M ncon Company
4's bnnk account in Florida to Oë cial C's bnnkaccount in the Southem District of Texas.
'Ihree April 12, 201 1 $200,000 check from RINCON'S bank account
in the Southem District of Texc to a bankaccount in Florida in the name of a oompanyox ed b an csociate of Oï cial C.
Four M ay 8, 2012 $150,000 wire transfer from Rincon Company
2's bank acoount in the Southem District of
Texas to a bank account in New York in thename of a com an co-ou ed b Offkial C.
Fivt December 21, 2012 $150,000 wife transfer from Rincon Company2's bank account in the Southem District ofTexu to a bnnk accotmt in Florida in the name
of a com an cmo- ted b Ofûcial C.
All in violation of Title 15, United States Code, Section 78dd-2, and Title
18, Unittd Statu Code, Section 2.
27
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C O UNTS- S-W - T E N
(Foreign Corrupt Practicœ Act - 15 U.S.C. j 78dd-2; 18 U.S.C. j 2)
87. Paravaphs 1 through 23 and 25 through 84 are realleged and
incorporate-d by reference as through fully set forth herein.
28. On or about the dates set fodh below, in the Southem District of
Texas and elsewhtre, the defendant,
ABM HAM JOSE SHG RA BASTD AS,
being a domestic concem and an om cer, director, employee, agent and
shareholder of a domestic concem, and by aiding and abetting a domestic concem ,
did will/lly use and cause to be used the mails and means and instmmentalities of
interstate commerce conuptly in furtherance of an offer, payment, promise to pay,
and authorization of the payment of money, oflkr, gih, promise to give, and
authorigmfion of the giving of anything of value to a foreir official, and to a
person, while.knowing that aIl and a po/ion of such money and thing of value
would be and had been offered, given, and promised to a foreir official, for
- ' Turposes-ef: (iliufluencing-actg Md deiji:iià'éf jù'dh-fe il b-mkiàl-iiï h'B & Ii-ii- ' '
oKcial capacity; (ii) inducing such foreir oKcial to do and omit to do acts in
violation of the lawful duty of such official; (iii) securing an improper advantage;
and (iv) inducing such foreir ofscial to use his or her influence with a foreir
govem ment and agencies and instrumentalities thereof to affect and influence acts
28
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and decisions of such govômment and agencies and instrumentalities, in order to
assist Rm CON, SHV RA, and their U.S. companies in obtaining and retaining
business for and with, and directing business to, W NCON, SHV IG , their
companies, and others, as follox :
COUNT DATE BRm E PAYM ENT
Six October 18, 2010 $25,000 O R transfer from Shiera Company 4'sbank account in Panama to Om cial C's bnnkaccount in the Southem District of Texa .
Seven June 6, 2011 $15,000 wire transfer from Shiera Company 5'sbank ascount in Panama to a bnnk account in the
Southem District of Texas held jointly byOë cial E and a relative.
Eight August 6, 2012 $120,000 wire transfer from Shiera Company 6'sbank account in Panama to a bnnk account in
Florida in the name of a company Official C co-owned with a relative.
Nine Jacuary 3, 2014 $15,000 wire trnnnfer from Shiera Compu y 6'sbank account in Panama to a bank account in the
Southem District of Texas held jointly byOï cial E and a relative.
Ten January 7, 2014 $15,000 wir: transfer from Shiel'a Company 6'sbM k account in Panama to a bnnk account in the
Southem District of Tex% held jointly byOm cial E and a relative.
A1l in violation of Title 15, United States Code, Section 784d-2, and Title
18., United States Code. Section 2.
29
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COUNT ELEVEN
(Conspiracy to Commit Money Laundering- 18 U.S.C. j 1956(h))
89. Parapaphs 1 throul 23 and 25 through 24 are realleged and
incom orated by reference as though fully set forth herein.
9û. From in or around 2009, and continuing through at least 2014, in the
Southem District of Texas and elsewhere, the defendants,
ROBERTO ENRIQUE Rm CON FERNAO EZand
ABRAHAM JOSE SHV RA BASTD AS,
did knowingly conspire, confederate, and apee < th each other and others known
and unknown to the Grand Jury, to commit offenses under Title 18, United States
Code, Sections 1956 and 1957, namely:
a. knowing that the property involved ià a fnancial transaction repruented
the proceeds of some form of unlawful activity, to conduct or attempt to
conduct such a financial trnnqaction which in fact represented the
proceeds of speciied unlawful activity, knowing that the transaction is
desir ed in whple and in part to conceal and disguise the,nature, the
locatiol the souroe, the ownership, M d the control of the proceeds of
speciûed unlawful activity, namely, bribery of a foreir oK cial, a felony
violation of the FCPA Title 15, United Statu Code, Sections 78dd-2 and
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78dd-3, and wire âaud, Title l8, United States Code, Section 1343, in
violation of Title 18, United States Code, Sedion 1956(a)(1)(B); and
b. to engage in a monetary transaction by, through and to a inancial
instimtion, in ald Afecting inte> ate and intemational commeme, in
criminally derived property that wa of a value veater than $10,000.00,
that is, the deposit, withdrawal, transfer and exchc ge of United States
currency, funds and monetary instruments, such property having been
derived from speciûed unlawful activity, namely, bribery of a foreir
official, a felony violation of tht FCPN Title 15, United States Code,
Sections 78dd-2 and 78dd-3, and wire fraud, Title l 8, United States
Code, Section 1343, in violation of Title 18, United States Code, Section
1957.
M anner and M eans of the Conspiracv
n e manner and means by which Rm CON, SHV RA, and their co-
conspirators sought to accomplish the purpose of the conspiracy included, among
'otheM hinp k'the'.folbe np'while.in-the.southem D istrict-of-Texa and.elsewherel.-. .
92. RG CON and SHY RA., together with others, procured illegal
proceeds 9om PDVSA by securing lucrative energy contracts from PDVSA
throul corrupt and fmudulent means, including by paying bribes to PDVSA
oë cials,
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 34 of 43
Rm CON u d SHIERA. together with others, assisted certain
PDVSA oK cials in opening'bnnk accounts, including bank accounts outside of
Venea elw for the PDVSA o/ cials to receive bribe payments.
94. Rm CON and SHV RA, together with others, engagd in monetm'y
93.
transactions among theîr various companiœ desir ed to conceal tbe nature, source,
and ownership of the proceeds of the specifed unlaM ul activity.
95. RW CON and SHIERA, together with others, transfen'ed money
among and between the b> k accounts of their rtspectivt companies in order to
conceal the nature, source, and ownenhip of bribe payments to PDVSA ox cials.
96. RW CON and SHV RA, together with others, created false
justitkations for certain of the bribes, including invoices for services thât were
never performet for the pupose of concealing and disguising the nature, source,
and ownership Qf those bribe payments, which they referred to as '%commissions.''
97. RD CON and SHIERA, together < th others, directed the wire
transfer ot and caused to be wired, bribe payments from bank accouats which
wtre hequently in the name of companies other than the companies being awarded
PDVSA contracts, for thç purpose of concealing and disguising the nature, source,
and ownership of the bribe payments.
98. Rm CON and SHV RA, together with others, directed bribe
payments to be sent to vaious recipients other than the intended PDVSA ox cials,
32
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 35 of 43
including companic, relatives, friends, ahd close personal associates of the
PDVSA oë cials, for the purpose of concealing and disguising the nntllre, source,
and ownership of the bribe payments.
99. Rm CON and SHV RA, together with others, engaged in monetary
trmuactions of a value peater than $10,000 using money procured through the
corrupt and H udulent scheme.
All in violation of Titlt 18, United States Code, Section 1956(h).
33
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 36 of 43
COUNTS TW ELVE - FOURTEEN
(Money Laundering - 18 U.S.C. j 1956(a)(1)(B)(i); 18 U.S.C. j lj
100. Paragraphs 1 throul 23, 25 tiyough 84, and 91 throub 99 are
realleged and incorporated by reference as thoul fully set forth herein.
101. On or about the dates set forth below, in the Southem District of
Texas and elseWhere, the defendants,
ROBERTO ENRIQUE RW CON FERNANDEZand
ABRAIIAM JOSE SHIERA BASTD AS,
did knowingly conducta and aid, abet, and cause others to conduct, and attempt to
conduct, the following tlnancial tzansactions affecting interstate and foreir
commerce, which transactions involved the proceeds of speciGed unlawful activity,
knowing that the propedy involved in the financial transactions represented the
proceeds of some form of unlawful activity, and that the financial transactions
were desir ed, in whole and in part, to conco l and disguise the nnfllre, the
Iocation, the source, the ownership, and the x ntrol of the proceeds of said
specified unlawful activity, that is, a felony violation of the FCPA Mtle 15, United
States Code, Sections 78dd-2 and 78dd-3, and wire fraut Title 18, United States
Code, Section 1343, as follom :
34
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COUNT DATE M ONETARY TRANSACTION
Twelve October 20, 201 l $5,700,800 wire transfer from ShieraCompany 2's bank account in Florida to
Rincon Cotnpany 2's bnnk account in theSouthem Dlstrict of Texas.
Thirteen November 4, 20l l $1,353,954.25 wire transfer from Shiera
Company 2's bank account in Florida toRincon Company 2's bnnk account in the
Southem District of Texas.Fourteen January l7, 2012 $1,479,716.03 wire transfer from Shiera
Company 2's bO k account in Florida to
Rincon Col any 2's bank account in theSouthem Dlstrict of Tex% .
All in violation of Titlt l8, United States Code, Sections 1956(a)(lXB)(i)
and 2.
35
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 38 of 43
COUNTS FIFTEEN - EIGHTEEN
(Money Laundering- 18 U.S.C. j 1957; 18 U.S.C.j 2)
102. ParaFaphs 1 tlvough 23, 25 throul 84, and 91 through 99 are
realleged and incorporated by reference as thoul fully set forth herein.
103. On or about the dates set forth below, in the Southem District of
Texu and elsewhere, the defendants,
ROBERTO ENRIQUE RW CON FERNANDEZand
ABRAHAM JOSE SHœ RA BASTD AS,
did knowingly engage, and aid, abet, and cause others to engage, and attempt to
engage in the following monetary transactions, by, through, and to a financial
institution, a/ecting interstate and foreir commerce, to wit: the deposit,
withdrawal, transfer and exchange of United States currency, funds and x netary
instruments, in criminally derived property of a value peater than $10,000, such
property having been derived from specitled unlawful activity, that is, a felony
violation of the FCPA Title 15, United States Code, Sections 78dd-2 and 78dd-3.
and wire fraud, Title 18, United States Code, Section 1343, as follows:
COUNT DATE M ONETARY TRANSACTIONFiheen M ay 23, 201 1 9
,962,000 wire tx sfer from RinconCompany 1's bank account in the SouthemDistrict of Texa to a bank account in
Switzzrland in the name of CompanyAccountholder A.
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Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 39 of 43
COUNT DATE M ONETARY TRANSACTIONSixtetn M ay 24, 201 1 $15,000,000 wire transfer from Rincon
Company 1's bank account in the Southem
Disi ct of Texas to a bnnk account inSwitzerland in the name of Company
Accountholder B.
Seventeen June l7, 2011 $2,422,005 wire transfer from RinconCompany 1's bank account in the SouthemDistrict of 'texas to a bnnk account inSwitzerlc d in the name of CompanyAcx untholder A.
Eighteen January 17, 2012 $3,097,527 wire transfer from ShieraCompr y 2's bank account in Florida to abank account in Switzerland in the name of
Com an Accountholder C.
A1l in violation of Title 1 8, United States Code, Sections 1957 and 2.
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Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 40 of 43
NOTICE 01 C'RN m AL FORFEITURE
(28 U.S.C. j M61(c); 18 U.S.C. j 981(a)(1)(C))
104. Pursuant to M tle 28, United States Code, Section 2461(c) and Title
18, United States Code, Section 98 1(a)(1)(C), the United States gives notice to the
defendants,
ROBERTO EY QUE RW CON FERNANDEZand
ABRAHAM JOSE SHV RA BASTD AS,
that in the event of conviction of any of tile oFenses charged in Counts 1 through 10
of this Indictment, the United States intends to seek forfeiture of all property, real or
personal, which constitutes or is derived from proceeds traceable to such Qffensts.
NOTICE OF FORFEITURE
(18 U.S.C. j 982(a)(1))
105. Pursuant to Title l 8, United Statu Code, Section 982(a)(1), the
United States gives notice to the defendants,
ROBERTO ENW QW Y CON FERNANDEZand
ABR-
AH-AM IPI:JMWM p4!!p A!.,-- -
that upon conviction of any of the oFenses charged in Counts 1 1 through 18 of this
hdictment, >ll propedy, real or personal, involved in money laundering offenses or
M ceable to such properiy, is subject to forfeimre.
38
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 41 of 43
Propertv Subivct to Ferfeiture
106. Defendants are notified that the property subject to forfeiture includes,
but is not limited to, the following property:
a. Bank Account of Company Accountholder A at Credit Suisse in
Swita rland, with an account number ending in 6032;
b. Bank Account of Company Accountholder B at Credit Suisse in
Switzzrlc d, with m1 account number ending in 9852;
c. Bank Account of Company Accountholder C at Credit Suisse in
Swita rland, with an account number ending in 2004; and
d. Sunseeker M anhattan 73 M otor Yacht, Serial Number GB-XSK 0581 1
J213, co-oM ed by SHV RA.
M oney Judzment
107. Defendants are notified that upon conviction, a moneyjudgment may
be imposed equal to the total value of the property subject to forfeiture, for which
- - - - - - . - -ëç.4tfçlsplltp.may-k#jqtqtly M4 myçrAtly.l.tAklt,.--.
Substitute Aovt Provision
108. Defendants are notified that in the event that property subject to
forfeimre, as a resuit of any act or omission of defendants,
a Csnnot be located upon the exercise of due diligence;
39
Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 42 of 43
b. Has been trnncferred or sold to, or deposited with, a third person;
c. Has been placed beyond thejurisdiction of the Court;
d. Has been substantially diminished in value; or
e. Has been commingled with otherproperty which cannot be subdivided
without di/ culty;
it is the intent of the United States to seek forfeiture of any other propely of the
defendants up to the total m lue of such property puouant to Title 21, United States
Code, Section 853û9, incomorated by reference in Title 28, United States Code,
Section 2461(c) and Title 12, United States Code, Section 982(b)(1).
A IRIJE Bm L
ORIGINAL SIGNATURE ON FILE
P'OKEPERSON
KENNETH M AGD SONUNITED STAV S AW OG Y
ANDRBW W ELSSM ANN
c ,> F F RA UD S E C T I O NCRU AL DM SION
DEPARM NT-O.F JUSIICB
. J'
JBY:AISL G O'SC AJERE R. SANDERS'IRIAL A ORNEYS
BY: '
J IG P. PEM SONEPW Y CO F
ROBERTS. JO> SONM SISTANTUNITED STATESA'ITORNEY
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