rand forfeiture

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Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 1 of 15 PageID 646 IN THE UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF TEXAS DALLAS DIVISION UNITED STATES OF AMERICA v. MARK ALBERT RAND (3) § § § § § No.3:09-CR-120-P AMENDED PLEA AGREEMENT The defendant, Mark Albert Rand, the defendant's attorney, and the United States of America (the government), agree as follows: 1. Rights of the defendant: The defendant understands that he has the rights: a. to plead not guilty; b. to have a trial by jury; e. to have his guilt proven beyond a reasonable doubt; d. to eonfront and cross-examine witnesses and to call witnesscs in his defense; and e. against compelled self-inerimination. 2. Waiver of rights and plea of guilty: The defendant waives these rights and pleads guilty to the offenses alleged in Counts One, Two and Three of the Information charging violations of 15 U.S.C. §§ 77q(a) and 77x, securities fi'aud, and to waive his rights regarding forfeiture as deseribed below in paragraph 13. 'l'he defendant PIca Agreement - Page I

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Page 1: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 1 of 15 PageID 646

IN THE UNITED STATES DISTRICT COURTFOR THE NORTHERN DISTRICT OF TEXAS

DALLAS DIVISION

UNITED STATES OF AMERICA

v.

MARK ALBERT RAND (3)

§§§§§

No.3:09-CR-120-P

AMENDED PLEA AGREEMENT

The defendant, Mark Albert Rand, the defendant's attorney, and the United States

of America (the government), agree as follows:

1. Rights of the defendant: The defendant understands that he has the

rights:

a. to plead not guilty;

b. to have a trial by jury;

e. to have his guilt proven beyond a reasonable doubt;

d. to eonfront and cross-examine witnesses and to call witnesscs in his

defense; and

e. against compelled self-inerimination.

2. Waiver of rights and plea of guilty: The defendant waives these rights

and pleads guilty to the offenses alleged in Counts One, Two and Three of the

Information charging violations of 15 U.S.C. §§ 77q(a) and 77x, securities fi'aud, and to

waive his rights regarding forfeiture as deseribed below in paragraph 13. 'l'he defendant

PIca Agreement - Page I

Page 2: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 2 of 15 PageID 647

understands the nature and elements of the crime to which he is pleading guilty, and

agrees that the factual resume he has signed is true and will be submitted as evidence.

3. Sentence: The maximum penalties the Court can impose include the

following penalties for each count:

a. imprisonment for a period not to exceed 5 years with the possiblemaximum term of imprisonment of 15 years;

b. a fine not to exceed $ 250,000, for a total of$750,000 or twice anypecuniary gain to the defendant or loss to the victim(s);

c. a term of supervised release of not more than 3 years, which may bemandatory under the law and will follow any term of imprisonment.If the defendant violates the conditions of supervised release, hecould be imprisoned for the entire term of supervised release;

d. a mandatory special assessment of$IOO.OO, for a total of$300;

e. restitution to victims, which may be mandatory under the law, andwhich the defendant agrees may include restitution arising from allrelevant conduct, not limited to that arising from the offenses ofconviction alone;

f costs of incarceration and supervision; and

g. forfeiture of property.

4. Sentencing agreement: Pursuant to Rule II (c)( I)(C), the parties agree that a

sentence of no more than 135 - 168 months is the appropriate guideline or sentencing

range prior to any motion for downward departure pursuant to USSG 5K 1.1, which may

be filed in the sale discretion of the government. If the Court accepts this plea agreement,

this provision is binding on the Court. Pursuant to Rule I l(c)(5), if the Court rejects this

plea agreement, the Court shall afford defendant Mark Albert Rand the opportunity to

withdraw his plea and advise the defendant that, if he persists in his guilty plea, the Court

Pica Agreement - Page 2

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Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 3 of 15 PageID 648

is not bound by the plea agreement and the disposition of the case may be less favorable

than that contemplated by the plea agreement.

5. Mandatory special assessment: Prior to sentencing the defendant agrees

to pay to the U.S. District Clerk the amount of$300.00, in satisfaction of the mandatory

special assessment in this case.

6. Defendant's agreement: The defendant shall give complete and truthful

information and/or testimony concerning his participation in the offenses of conviction

and all related conduct. Upon demand, the defendant shall submit a personal financial

statement under oath and submit to interviews by the government and the U.S. Probation

Office regarding his capacity to satisfy any fines or restitution.

7. Government's agreement: The government will not bring any additional

charges against the defendant based upon the conduct underlying and related to the

defendant's plea of guilty or any other matter currently known by the government. The

government will file a Supplement in this case, as is routinely done in every case, even

though there mayor may not be any additional terms. The government will dismiss, after

sentencing, any remaining charges in the pending indictment/information. This

agreement is limited to the United States Attorney's Office for the Northern District of

Texas and does not bind any other federal, state, or local prosecuting authorities, nor does

it prohibit any civil or administrative proceeding against the defendant or any property.

8. Violation of agreement: 'fhe defendant understands that ifhe violates any

provision of this agreement, or if his guilty plea is vacated or withdrawn, the government

will be free from any obligations of the agreement and free to prosecute the defendant for

Pica Agreement - Page 3

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Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 4 of 15 PageID 649

all offenses of which it has knowledge. In such event, the defendant waives any

objections based upon delay in prosecution. If the plea is vacated or withdrawn for any

reason other than a finding that it was involuntary, the defendant also waives objection to

the use against him of any information or statements he has provided to the government,

and any resulting leads.

10. Voluntary plea: This plea of guilty is freely and voluntarily made and is

not the result of force or threats, or of promises apart from those set forth in this plea

agreement. There have been no guarantees or promises from anyone as to what sentence

the Court will impose.

I I. Waiver of right to appeal or otherwise challenge sentence: The

defendant waives his rights, conferred by 28 U.S.C. § 1291 and 18 U.S.C. § 3742, to

appeal from his conviction and sentence. He further waives his right to contest his

conviction and sentence in any collateral proceeding, including proceedings under 28

U.S.C. § 2241 and 28 U.S.C. § 2255. The defendant, however, reserves the rights (a) to

bring a direct appeal of (i) a sentence exceeding the statutory maximum punishment, or

(ii) an arithmetic error at sentencing, (b) to challenge the voluntariness of his plea of

guilty or this waiver, and (e) to bring a claim of ineffective assistance of counsel.

12. Representation of counsel: 'The defendant has thoroughly reviewed all

legal and factual aspects of this case with his lawyer and is fully satisfied with that

lawyer's legal representation. The defendant has received from his lawyer explanations

satisfactory to him concerning each paragraph of this plea agreement, eaeh of his rights

affected by this agreement, and the alternatives available to him other than entering into

Plea Agreement - Page 4

Page 5: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 5 of 15 PageID 650

this agreement. Beeause he eoneedes that he is guilty, and after eonferring with his

lawyer, the defendant has coneluded that it is in his best interest to enter into this plea

agreement and all its terms, rather than to proceed to trial in this case.

13. FORFEITURE AGREEMENT:

As part of this Plea Agreement, defendant Mark Albert Rand exprcssly agrees

and stipulates that he will immediately and voluntarily forfeit and turn over to the United

States of America (or its designee(s), including the United States Marshall Service, the

United States Postal Inspection Service, and the Federal Bureau of Investigation) all his

right, title, and interest in the following personal properties and money judgment on or

before the date of his rearraignment:

See Exhibit A, attached hereto, for a list of accounts and other personal property to

be forfeited in addition to the accounts and property previously seized by the government.

Defendant Mark Albert Rand avers that he is the owner of this property and

consents to its seizure or restraint by the Government or its dcsignee(s) described above.

The defendant agrees the Government or its designee(s) shall hold the property through

the conclusion of the criminal charges against him, including sentencing and all appeals,

for the purpose of forfeiture and/or application toward any restitution ordered paid by him

related to those criminal charges. The defendant agrees to forfeit all right, title, and

interest in this property to the Government. The defendant admits this property

constitutes or was derived from proceeds traceable to and/or and obtained directly as a

result of the scheme and the offenses described in Counts One, Two, and Three of the

Superseding Information, The defendant agrees this property is subjcct to forfeiture to

Pica Agreement - Page 5

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Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 6 of 15 PageID 651

the Government based on his convictions for those offenses and pursuant to 18 U.S.C.

981(a)(1)(C) and 28 U.S.C. 2461(c), as well as 18 U.S.c. 982(a)(2)(A). The defendant

consents to the entry of orders of forfeiture for this property and waives any requirements

of Rules 7. 32.2, and/or 43(a) of the Federal Rules of Criminal Proeedure regarding the

forfeiture proceedings (including notice of forfeiture in the Superseding Information).

The defendant acknowledges and understands that the forfeiture of this property is part of

the sentence which may be imposed in this case and waives any requirement of the Court

to advise him/her of the same pursuant to Rule I I(b)(1)(J) of the Federal Rules of

Criminal Procedure. The defendant agrees to provide truthful information and evidence

necessary for the government to effect the forfeiture of this property. The defendant

waives all challenges (constitutional, statutory, habeas, etc.) to the forfeiture of this

property and agrees to hold the government, its officers, agents, and employees harmless

fl'om any claims whatsoever in connection with the seizure, forfeiture, storage, or disposal

of this property. Further, the defendant agrees not to make a claim or assert any interest

in, contest, challenge, or appeal in any way the administrative, civil, or criminal forfeiture

to the United States of Amcrica of any property, real or personal, noted as subject to

forfeiture in the Superseding Indictment, Superseding Information, or any Bills of

Particulars, or seized or restrained by law enforcement agents during the investigation

related to the Superseding Indictment. lIe agrees this property is subject to forfeiture

pursuant to the applicable statutes, including 18 U.S.c. § 981(a)(1)(C) and 28 U.S.c. §

2461(c); 18 U.S.c. § 981(a)(1)(A); and 18 U.S.c. § 982(a)(I).

PIca Agreement - Page 6

Page 7: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 7 of 15 PageID 652

14. Entirety of agreement: This document is a complete statement of the

parties' agreement and may not be modified unless the modification is in writing and

signed by all parties.

;0AGREED TO AND SIGNED this 0 day of August, 2010.

Mark Albert RandDefendant

..,i "'\.i(i, .' . ~",l.c· •....... '-

f ~-./ "'-

Nancy Ke~ned~J ()Counsel for~he Defendant"

JAMES T. JACKSUNITED STATES ATTORNEY

<. ..~;;\ "'(i.-.·) <

~~Yt~..t:~\. D \.("::~:_~:_:'<;(.>/\.. ,.~')

Rhonda K. Roger(... )Special Assistant United States AttorneyTexas State Bar No.171859501100 Commerce Street, Third FloorDallas, Texas 75242-1699Tel: 512.305.8385Fax: 512.305.8398rhonda.rogers({i)usdoj .govITOgers(cvssb.state.tx.us

(i~d.(\ C~u("-Chad MeachamCriminal Chief

.jL .;F)DateMark Albert Rand

Defendant

I have read (or had read to me) this Plea Agreement and have carefully reviewedevery part of it with my attorney. I fully understand it and voluntarily agree to it.

___.·z.·t".·· !~(J ._....._~

I am the defendant's counsel. I have carefully reviewed every part of this PleaAgreement with the defendant. To my knowledge and belief, my client's decision toenter into this Plea Agreement is an informed and voluntary one.

Nancy KenhedAttorney fJtl» endant

Date

Plea Agreement - Page 7

Page 8: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 8 of 15 PageID 653

EXHIBIT A

Mark Rand's asset list (agreed to forfeit):

1967 Ferrari 275 gtb/41967 VW bus in CaliforniaGibson Les Paul GuitarGibson Les Paul Guitar1965 Fender Stratoscaster guitar1960 Fender Stratocaster guitar1969 Marshall amplifier1969 Marshall amplifier1969 Marshall amplifier1965 Marshall amplifier cabinet1965 Marshall amplifier cabinctPicasso drawing and standS. Foujita PaintingBottles of wine at Club 55 degrees in California (see attached list)Approximately 25 cases of wine in Texas.lade collection 7 piecesmens diamond cross pendantmens rolex watchladies harry winston watchwomens tennis braceletwomens diamond earringswomens wedding band and engagemcnt ringmcns wedding bandmens gerard watchantique bank vault door in Illinois$79,439.25 in cashier's checks

08/17/2010

Page 9: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 9 of 15 PageID 654My ~ellar

..

t:lub 55 0 Hello Marlo; Rand' 'ly;',tt.ount .

My Cellar: 55 Degrees (Investor View)

.,.....--........,

Overview j Wines: 134 BoWes: 455 Tolal Cos!: $0.00 Value: $49,979.16 Gain/Loss: $49,979.16 (100.00%)

f -ijs dolJ~1>

CosUUnit Auction Ret<lil

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u ! 10/0212006 Dalla Valle Cabernet Sauvlgnon Estate 2003 (750 milNapa, California, Uniled Slales

n • 0812412006 Harlan Estate 2002 (750 ml), Napa, Ca!ffumia, United Slales

C • 06107/2006 Dalla Valle Cabernet Sauvignon Estate 1996 (750 mil, Napa, California, United Slates

i_~ • 06fD7/2Q06 Dalla Valle Cabernet Sauvignon Casa Dana Valle 2003 (750 ml), Napa, Caftfornia, United Slah:>s

I_I • 05105{2oo6 Sloan 2002 (750 OIl), Napa, California, Uni!ed Stales

!" • 05102f2006 Harlan Estate The Maiden 2002 (750 ml)Napa, Camomia, Uniled Siaies

i"' • 11128/2005 Grace Family Vineyard Cabernet Sauyignon 2003 (750 mJ)1 Napa, California, United Slates

I", • 11/28/2005 Grace Family Vineyard Cabemet Sauvignon 2003 (1 L)1 Napa, California, Uniled Stales

:',! 04118/2005 Sloan 2001 (750 ml)

Napa, Califomia, Uniled Slaies

j"'; • 04/13/2005 Harlan Estate 2001 (750 ml), Napa, Califomia, Uniled Slales

i...." • 04/1312005 Harlan Estate The Malden 2001 (750 mt)1 Nap.;, California, Un~ed Slales

C • 03/23/2005 Bond Estate (Unstated) 2001 (750 mil, Napa, California, U"~"'d Stales

[! • 03123/2005 Bond Estate The Matriarch 2001 (750 mil, Napa, CalFforn,a, United Slates

I~i • 0312312005 Bond Estate The Matriarch 2001 {750 milNapa, California, United States

• 0311812005 Pride Mountain Vineyards Cabernet Sauyignon Reserve 2002 (750 ml), Napa, Califomia, Unlled Stales

r ., • 0311812005 Pride Mountain Vineyards Clare! Reserve 2002 {750 mIl, Napa, California, United States

[I • 03/18/2005 Prlde Mountain Vineyards Sangiovese 2003 (500 mlJ, Sonoma, Carrfornia, Unlled Stales

j'; • 02/07/2005 Beringer Cabemet Franc Third century 2000 (750 mil, Napa, Cahrornia, United States

I', • Beringer Cabernet Sauvignon Howell MountaIn Rancho Del Oso02/07/2005 Vineyard 2000 (750 ml)

Napa, Cali/om"fa, United Stales

~ " 02/07/2005 Sbragia Family Vineyards Chardonnay Home Ranch 2003 (750 mIlSonoma, California, United Slales

I ADD SELECTED WlNESTO TRAUSFER BIN i, ADD Alr.:'WltlES TO TRAriSFERB1N i

MI' Ceil6r . Reviews'My Account Support· Contact Us

ClUb 55 Degrees © 2010· Terms of Use· Privacy Policy

r/www.dubS5degrees.com/a ppS/ ce Ifa r/ default. php?ce lIar_nam e= 5 5%2ODeg rees&sortBy= 28&evaluation ld = 15361 B&vlew= 11&page '" 1 Page 1 of 1

Page 10: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 10 of 15 PageID 655My Cellar

Club SSe

My Cellar 55 Degrees (Investor View)

Hello Mark Rand· My ACO'Jnt .

Overview I Wines: 134 Bo!t1es: 455

f'

Tolal Cost: $0.00 Valu!!: $49,979.16 Gainlloss: $49,979.16 (100.00%)

Cost/Unit Auction Retail

Switch Vial..... _.rnvestor

GR :_c"

(! • 12107/2004 Beringer Cabernet Sauvignon St Helena Home Vineyard 2000 (750 rol), Napa, California, IJnitcQ States

n • 1210712004 Beringer Cabernet Sauvignon Steinhauer Vineyard 2000 (750 ml), Napa. California. IJn~ed Slales

Lj • 11/03/2004 Beringer Cabernet Sauvignon Private Reserve 2000 (750 mil, Napll, California. IJn~ed Stales

i: • Sbragia Family Vineyards Cabernet Sauvignon Rancho Del Oso 20011

11/03/2004 (750 milNapa, California, Uniled Slales

• 10/21/2004 Shafer Vineyards Cabernet Sauvignon SunSpot 2001 (1.5 L), r~apa, California, Unil<ld Slates

i . ~ • 10114/2004 Grace Family Vineyard Cabernet Sauvignon 2002 (750 mt) 6'- Napa,Calfrom',a, United Stales

)-! • 1011412004 Grace Family Vineyard Cabernet Sauvignon 2002 (1 L)1 Napa, Calit,;,mia, Unileo Slatas

f' • 08/2412004 Beringer Merlot Private Reserve 1998 (750 ml), Napa. California, Unhed States

n • 08124/2004 Beringer Cabernet Sauvignon Knights Valley 2000 (750 ml), Napa, California. Un~eo Stales

C • 06/23/2004 Beringer Merlot Bancroft Ranch Howell Mountain 1993 (750 ml)Napa, Clllrfornia, Uniteo Slates

!."I 06123/2004 Beringer Chardonnay Sbragla Limited Release 2001 (750 ml)Napa, California, Un~ed Stales

!i • 05/14/2004 Pride Mountain Vineyards Cabernet Sauvlgnon 2002 (750 ml)6Napa, Cal.femia, Unileo Slales

!"i • 05/14/2004 Pride Mountain Vineyards Mer/ot 2002 (750 ml)12Napa, Cali/orn'la, Uniled Stales

!"-! 05114/2004 Pride Mountain Vineyards Viognior 2003 (750 ml) 12SOIl"<n3. Clllifomi". Ullil"d Sl-Gl,,&

Li • 05/12/2004 Bond Estate The Matriarch 2000 (750 ml)91 Napa, California, Un~eo Stales

t'i r 05/12.12004 Bond Estate (Unstated) 2000 (750 ml) 4Napa, Caiifornia, Uilileo Stales

I', • 05112/2004 Harlan Estate The Malden 2000 (750 ml) 6'_. 1 Napa, California, Unileo Sfale~

\\ • Beringer Cabernet Sauvignon Third Century Howell Montaln 200004/191200-4 (750 ml),

Napa. Califemia, Un'rted Slates

t'j • 04/1912004 86rlnger MerJot Bancroft Ranch Howell MountaIn 1992 (750 ml)1 Napa, California, Un]leQ Slales

C • 03/2412004 Pride Mountain Vineyards Cabernet Sauvignon Reserve 2001 (750 rnl) 9, Napa, Canfomia, United SIllies

My Cellar Revie\\ls·My Account, Support· Contact Us

Club 55 Degrees © 2010· Teffils of use Pri~acy Pd,icy

/ /www.clubSSdegrees.com/apps/cellar/default.php?cellar_name..... 55%20Degrees&sortBy.... 28&evaluat[onld .... lS3618&vi~w .... 11&page=2 Page 1 of 1

Page 11: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 11 of 15 PageID 656My Cellar

-Club 55°

My Cellar 55 Degrees (Investor View)

Hello I.,'.ark Rand My "-.cco..mt .

_____T~'_·_..·._,,__

'<;,~[I~~ltV. !:>j~I?I_~Y~,s:.~!~~~~~ :

Overview i Wines; 134 Bottles: 455

i AffNal ':Iale

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Total Cos\; $0.00 Value: $49,979.16 Gain/Loss: $49,979.16 (100.00%)

CosUUnit Auction Retal!

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03/24/2004

03/24/2004

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02/25/2004

02/25/2004

1211012003

12110/2003

1211012003

12/0912003

12109/2003

12109/2003

Pride Mountain Vineyards Cabernet Sauvignon Reserve 2001 (1.5 L)Napa, Ca:/fornia, United Slales

Pride Mountain Vineyards Cia rat Reserve 2001 (750 ml)Napa. Callfomia, Unned Stales

Pride Mountain Vineyards Claret Reserve 2001 (1,5L)Napa, California, Un~ed Slalos

Pride Mountain Vineyards Sanglovese 2002 (500 ml)Sonoma, California, United States

Beringer Cilbernet Franc Third Century 1999 (750 ml)Napa, Califom'l<l, Uniled States

Beringer Merlot Private Reserve 1999 (750 m!)Napa, Calffomia, United States

Beringer Chardonnay Private Reserve 2001 (750 ml)Napa, California, Unrled Stales

Beringer Cabernet Sauvignon Private Reserve 1999 (750 ml)Napa, California, Un~e-d Slales

Beringer Pinot Noir Stanley Ranch 1999 (750 ml)Los C<lmeros, Califemia, Un~ed States

Pride Mountain Vineyards Petite Sirah 2001 (750 ml)Napa, Camornia, United Stales

Pride Mountain Vineyards Chardonnay Vintner's Select 2002 (750 m!)Napa, California, UnHed Stales

Pride Mountain Vineyards Merlot Vintner's Select 2001 (750 ml)Sonoms, California, Un~<ld SlaieS

3

3

3

3

3

$0.00

$0.00

$0.00

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S59.25100,00% ...

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S278.00100.00% ...

$49.99100.00% ...

569,00100.00% I>.

$91.39100.00% ...

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Beringer Cabemet Sauvignon Bancroft Ranch Howell Mountain 199810/15/2003 (750 ml)

Napa, California, Un~ed S:ales$0.00 VL

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10/15/2003

10102/2003

1010212003

1010212003

Beringer Cabernet Sauvignon Bancroft Ranch Howe-If Mountain 1999(750 ml)Napa, California, United Stales

Peter Michael Winery Chardonnay Belle Cote 2001 (750 ml)Sonoma, Catdomla, United SlaleS

Peter Michael Winery Chardonnay La Carriere 2001 (750 ml)Sonoma. california, United SlaleS

Peler Michael Winery Les Pavots 2000 (750 ml)Sonoma, California, Un~ed States

6

6

12

$0,00

$0.00

$0.00

$0.00 H.U

$109.00100.00% ...

$109.00100.00% ...

$126.39100.00% ...

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•, 09/2912003 Grace Family Vineyard Cabemet Sauvignon 2001 (750 ml)Napa, California, Uniled States 6 $254.67 5450.00

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09/29/2003

09125/2003

Grace Family Vineyard Cabemet Sauvignon 2001 (1 L)Napa, California, UnHed Slates

Pride Mountain Vineyards Cabernet Sauvignon 2001 {750 milNarrn, California, United Slales 24

$0.00

$0.00 ,,';'

51.195,00100.00% ...

$105.00100.00% ...

VL

VI.

My Cellar Rel'jewsMy Accounl ,Support Contact Us

Club 55 Degrees © 2010 . Terms of Use, Privacy Policy

;; Ilwww.dub55degrees.com/apps Ice liarIdefau It. php?ce lIar_name= 55%20Degrees&sortBy=28&evaluation Id = 153618&view"",11&page= 3 Page 1 of 1

Page 12: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 12 of 15 PageID 657My Cellar

Club 55°

My Cellar 55 Degrees (Investor View)

Hello Mark Rand· My Act-Ounl . S:.;y·

SwitCh View: J~\/e~!or :

OvelViaw I \'Vines: 134 Boltles: 455

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Tolal Cost $0,00 Value: $49,979.16 Gaifllloss: $49,979.16 (100.00%)

Cost/Unit Auction Retail GR

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04/1412003

03/31/2003

03/3112003

03/31/2003

03/3112003

03/31/2003

02105/2003

02105/2003

02105/2003

02105/2003

02105/2003

02105/2003

Beringer C<lbernet Sauvignon Marston Vineyard 1998 (750 rnONapa, California, Unned Stales

Beringer Cabamet Sauvignon Prlvala Reserve 1997 (750 ml)Napa, California, Unned States

Beringer Cabernet Franc Third Century 1999 (750 ml)Napa. CalifOrnia, Uni',ed Siaies

Beringer Cabemel Sauvlgnon Private Resorve 1998 (750 ml)Napa, Car,fornia, United Slates

Bond Estate (Unstated) 1999 (750 ml)Napa, California, Uniled Slales

Bond Estale The Matriarch 1999 (750 ml)Nal'a, Caiifrmlia, Unifed Slates

Beringer Cabernet Sauvignon Private Reserve 1999 (750 ml)Napa, California, Un~ed States

Beringer Cabernet Sauvlgnon Private Reserve 1995 (750 ml)Napa, California, Uniled Stales

Harlan Estate The Maiden 1999/750 ml)Napa, California, United Slates

Pride Mountain Vineyards Gabeme! Sauvignon Reserve 2000 (750 ml)Napa, Catifornia, Ullhod Stales

Pride Mounlain Vineyards Caberoet Sa-uvignon Reserve 2000 (1.5l)Napa, CaMellnia, united Slates

Pride Mountain VineyardS Claret Reserve 2000 (750 mi,Napa, California, Unhed States

Pride Mountain Vineyards Claret Reserve 2000 (1.5l)Napa, California, un~ed Stales

Pride Mountain Vineyards Sangiovese 2001 (SOD ml)Sonoma, California, Un~ed Stales

Pride Mountain Vineyards Blend Cabernet Franc-Merlot 2000 (750 milSonoma, California, Uniled Stales

Pride Mountain Vineyards Blend Cabarna-I Franc-Merlot 2000 (1,5l)Sonoma, California. Unrted Stales

Pride Mountain Vineyards Blend Cabernet Franc-Merlot 2000 (3l)Sonoma. California, United States

Pride Mountain Vineyards Blend Cabernet Franc-Merlal2000 (5l)SoMma, California, Unhed Stales

Pride Mountain Vineyards Cabernet Sauvignon 2000 (750 ml)Napa, California, Uniled States

Pride Mountain Vineyards Cabernet Sauvignon 2000 (1.5 L)Napa, California, united Stales

2

6

3

12

6

4

6

2

12

2

$0.00

$0,00

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$0.00

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$0,00

$0.00

$0.00

$0.00

S108.63 S98.32100.00%... 100.00% ...

S49,99100,00% ...

S123,75100.00% ...

$78.33 S125.00100.00%... 100.00% ...

S59.25 591.39100.00% h 100.00% ...

$79.00 S98.59100.00%... 100,00% ...

$97.92 $149.50100.00%... 100.00% ...

$68.54 $142.67100.00%... 100,00% ...

$349,50100.00"10 ...

$68,83 $162.00100.00%... 100JXY'Io ...

S399.00100.00% ...

$50.00 $71.95100.00% ... 100.00% ...

VL

VL

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ADD SELECTED -WlIJE'S TO TRA.t~SFER Blt~ 'Ii ADD All WltlES TO TRANSFER Bltl'

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Page 13: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 13 of 15 PageID 658My Cellar

·Club 55°

My Cellar 55 Degrees (Investor View)

Hello Mark Rand· My Accovm S~:n'

Switch View: Investor

Overview I \'\!ines: 134 BoWes: 455 Tolal Cos\: $0.00 Value: $49,979.16 GaintLoss: $49,979.16 (100.00%)

I 'A.'~ival"D~I(,.

,. 'i.i5-dOii;~ ,:.,.) ;;', 55 O.~91~$

L' Cost/Unit Auction Retail GR

r', 0 02/0512003 Pride Mountain Vineyards Cabernet Sauvignon 2000 (3 L) $0.00 " '~ n"~·,,," Vl '~~":'h'" f(."1 Napa, Ca!ifcmia, Un~ed Stales

i-I 0 02105/2003 Pride Mountain Vineyards Cabernet Sauvignon 2000 (S LJ $0.00 " .~ n",."", Vl 1<'."""<': f('!T, Napa, Cal(fomia, Unijed States

n 0 02/0512003 Pride Mountain Vineyards Merlot 2000 {750 mIl 12 $ODO S111.00 Vl ,~~,,~It~ ~ «.,,', Napa, Califomia, United Slates 100.00% ~

0 02/0512003 Pride Mountain Vineyards Merlot 2000 {1.5 LJ 2 SO.OO q,,~,p,.; Vl '-<:;;;;'il~I,WI!}, Napa. California. Un~ed States

i' 0 0210512003 Pride Mountain Vineyards Petite Sirah 2000 {750 mIl 3 SO.OO :;'" "1""1"" IlL IHm'f<" IN'!, Napa, Cal(fomia, United States

!-, 02/05/2003 Pride Mountain VineyardS Chardonnay Vintner's Select 2001 {750 mil 3 $0.00 ',.r:,,,;,, Vl 1N""I<" Ho,"Napa, California. Unijed Slates

i 1 • 02/05/2003 Pride Mountain Vineyards Merlot Vintner's Select 2000 (750 mil 3 $0.00 "'~r,"(" Vl ".~""",' I~l"1 Sonoma, CaHfomia, United Slall~s

! ; 0 12/11/2002 Philip Togni Muscat Ca' Tognl1997 (375 mIl 6 $0.00 563.99 Vl '-~~';-'''<':.l(", iNapa. Califom·,a. Un;led Slates 100.00% ...

!", 0 1211112002 Philip Togni Cabernet Sauvignon 1992 (750 mil 7 $0.00 S94.80 $189.99 Vl ':'~".'f!<" !{oj':, Napa, Califomia, Un~ed Slales 100.00% ... 100,00% ...

I' 0 12111/2002 Philip T09ni Cabernet Sauvignon 2000 (750 mIl 11 $0,00 " '~$B3.32 Vl l~.~,,-,m,: INi.'

1 Napa. California, United Stales 100.0Q% ...

Philip Togni Cabernet Sauvlgnon 2000 (1.S L) $185.00 ,,:~,t;'.!<" ,~:","~i'· ! 12111/2002 3 SO.OO VlNapa. California, Unitod Slalas 100.00% ...

n 0 12110/2002 Beringer Alluvium red 1998 (750 ml) $0.00 " '~ ;'H".,,,.., VL "'~"m<'~""ll"c 1 Sonoma, Calilornia, United Slates

n 0 12110/2002 Beringer Nightingale Late Harvest White 1999 (375 ml) SO.OO ,,'0 q",.,,,.; Vl ;<,"",,,~' 'N",II 0 12110/2002 Beringer Cabemet 5au\l19non Private Reserve 1997 (750 mIl $0.00 SlOB.63 598,32 Vl I.<'O'~;H<" It,ll!

1 Napa, California, Uniled Siaies 100.00% ... 100.00% ~

n 0 12103/2002 Pride Mountain Vineyards Blend Cabernet Franc-Merlot 1993 (1.5 L) SO.OO 't,." q''''IJ(,; IlL ',,""-'H'" .",, Sonoma,' Califomia, U(l~ed Slales

r 1 0 12/0312002 Pride Mountain VineyardS Blend Cabernet Franc-Merlot 1998 (750 ml) 6 $0.00 q"(.",,, Vl ;""';;'I~' 'Col'!, Sonoma, CaMomia. Un~ed SIllIes

11 0 12/03/2002 Pride Mountain Vineyards Cabernet Sauvignon 1992 (1.5 L) $0.00 Hm·,"·' Vl 1<'"'''''''' H"",1 Napa, CaHfomia, United Stales

i~1 0 12103/2002 Pride Mountain Vineyards Cabernet Sauvignon 1996 (9 L) $0.00 " .~ '·(""1"0 Vl '",,,n,~' IMI"1 Napa, California, Un~cd Slates

y, 0 12103/2002 Pride Mounlain Vineyards Cabernet Sauvignon 1997 {7S0 mil 2 SO.OO ., ." ",,,,.,,,,; Vl 1~'"";~H" INr'1 Napa. California. Uniled Slales

1"1 0 12103/2002Pride Mountain VineyardS Cabernet Sauvlgnon 1997 (1.5l) $0.00 ',1",,1"" Vl ",~;n'l<" IN'!

1 Napa, Califomia. Uniled States

ADO SELECTED WltJES TO TRAIlSfER sitl LADD ALL WltleS TO TRAtJSF'ER BIU

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Page 14: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 14 of 15 PageID 659My C.ellar

.Club 55°Hello Mark Rand· My Accounl St~'< ,:;,;~ , .

My Cellar 55 Degrees (Investor View)

Overview I \'Vines: 134 Bottles: 455 Total Cosl: $0,00 . Value: $49,979.16 GainlLoss: $49,979,16 (100,00%)

-'.,

Cost}Unit Auction Retail GR L(;c;~:c";·

Vl

Vl

Vl

Vl

Vl

Vl

:"rrt·",,;

$227.65100.00% ~

j"«'PREVIOUS i :..~.. , : !lEXT » i

$0.00 ".'W n"",,,·; Vl 'N";"~' H,n:

$0,00 ~ """"~ Vl ',<'~"f'le : H'1'

$0.00 "."~$142,50 Vl '.~~;~~{~I {{lll,'

100.00% ·$0.00 " " ,.,,,.,,,,.) Vl -,<:~",',io)'iN"!

SO,OO "[,,~w·, Vl ~-"~"iii<:1 io1"; )

$0.00 n,,,,,,.,, VL 'HUSH'" ,~" '

$0.00 $219.95 Vl .'~~"!,,,,'. IDH!100.1)0% •

$0.00 $129.80 $219.50 Vl ;';"""1.. ' ,t',,:100.00% • 100.00% •

$0.00 $177.75 $210.00 Vl lD"I'!rU·!' ["I'!100.00% • 10{LOO% ·

$0.00 $274.17 $345.00100.00% ... 100.00% ...

$0.00 [l,'~$897.50

100.00% ...

SO·OO $650.00100.00% ...

$0.00 $108.75100.00% ....

$(1.00

$0.00

$0,00

$0.00

6

6

2

2

4

$0,00 ","[,1,1,;~ Vl

2 $0.00 $127.83 $197.50 Vl100.00% ~ 100.00% ~

$0.00 $70.00 Vl100.Q{)% ...

2

c • 12103/2002 Pride Mountain Vineyards Cabernet Sauvignon 1998 (750 ml)Napa, California, Uniled Siaies

n • 1.7J0312002 Pride Mounta!n Vineyards Cabernet Sauvignon 1999 (1.5l)i Napa, Cafdornia, United Siales

!, • 1210312002 Pride Mounlain Vineyards Merlot 1996 (750 ml)i Napa, Ca.lifomia, United Stales

r-, • 1210312002 Pride Mountain Vineyards Merlot 1999 (1.5 L)j Napa, CaHfornla, Uniled Slalas

I' • 12103/2002 Pride Mountain Vineyards MerlOl1999 (3 L)Napa, California, Uniled Slates

~I • 12f0312002 Pride Mountain Vineyards Merlot 1999 (5l)i Napa, California, United Slates

,', • 12103/2002 Pride Mountain Vineyards Cabernet Sauvignon Reserve 1996 (750 ml)i Napa, Cardomia, United States

II • 12103f2002 Pride Mountain Vineyards Cabernet Sauvlgnon Reserve 1998 (750 ml)l Napa, California, United Slatas

I', • 1210312002 Pride Mountain Vineyards Cabernet Sauvlgnon Reserve 1999 (7S0 ml)1 Napa, California, Uniled Slales

1"1 • 12/0312002 Pride Mountain Vineyards Claret Reserve 1996 (750 ml), Napa, Cardornill. Unrled Stales

j"I r 11/1212002 Beringer Chardonnay Private Reserve 1999 (750 ml)Napa, CaHfornia, United Slates

[, • 11/1212002Beringer Vineyards Merlot Bancroft Ranch Howell Mountain Private

j Reserve 1997 (750 ml)Napa, california, Uniled Slales

n • 11/1212002 Beringer Plnot Nolr Stanley Ranch 1999 (750 ml)i los Cameros, Caf'fomill, UIl~ad Slales

f; • 1111112002 Grace Family Vineyard Cahernet Sauvignon 2000 (750 ml)1 Napa, ClIlifornia, United Slales

1'1 • 11/1112002 Grace Family Vineyard Cabernet Sauvignon 2000 (1 \.), Nllpa, California, Uniled Slales

I! • 10/09f2002 David Arthur Cabernet Sauvignon Elevalion 11472000 (1.5lJi Napa, California, Uniled Slates

L' • 10/09f2002 David Arthur Cabernet Sauvignon 2000 (750 ml)i Nape, California, Uniled Stale$

"'3 1010912002 David Arthur Chardonnay 2001 (750 ml)l Napa. California, Unitad Slates

C • 10/0912002 David Arthur Cabernet Sauv!9non Elevation 11472000 (750 ml)i Napa, California, Uniled Slales

1'1 • 10/0912002 David Arthur Meritaggio 2000 (750 mt)1 Napa, Caf,fomia, Un'ned Stales

i'"ADO SEl..ECTE'O'"WlfiES TCl-iRAr~sFE'R·B"ifi" it'ADD AtXWINES TO TRAflSfER 'BIN

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Page 15: Rand Forfeiture

Case 3:09-cr-00120-P Document 170 Filed 08/20/10 Page 15 of 15 PageID 660My CeJlar

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My Cellar 55 Degrees (Investor View)

Overview j Wines: 134 Bottles: 455 Total Cost $0.00 Value: $49,979.16 Gain/loss: $49,979.16 (100.00%)

.",

CosUUnit Auction Retail GR

: 1

["I

•1•1

•1•1

09/06/2002

09/0612002

07/1912002

07119/2002

07/1912002

Beringer Cabernet Sauvignon Marston Vineyard 1997 (750 ml)Napa, Caflfomi8, UnHeo Slaies

Beringer Cabernet Sauvignon Private Reserve 1998 (750 mf)Napa, California, United Slates

Pride Mountain Vineyards Cabemet Sauvignon 1999 (1.Sl)Napa, Caflfornia, United States

Pride Mountain Vineyards Cabernet Sauvignon 1999 (3 L)Napa. California, Uniled States

Pride Mountain Vineyards Cabemet Sauvignon 1999 (S L)Napa, California, United Slates

3

2

2

$0.00

$0.00

$0.00

SO.oo

$0"00

" '~

" '~

$123.75100.00% 0\

VL

VL

VL

VL

VL

/"1

•1•i

07119/2002

07119/2002

07/19/2002

Pride Mountain Vineyards Blend Cabernet Franc-Merlot 2000 (750 ml)Sonoma, California, Unijed Slates

Pride Mountain Vineyards Blend Cabernet Franc-Merlot 2000 (1.5 l)Sonoma, California, Uniled Slates

Pride Mountain Vineyards Merlot 1999 (750 ml)Napa. California, United Stales

12

2

12

$0"00

$0"00

$0.00

$60.00 $71.95100.00% "" 100.00% ""

$44.06 $65.00100.00%.... 100.00% ....

VL

VL

VL

$177.75 $210,00100.00% "" 100.00% ""

•1•1

07/19/2002

0711912002

Pride Mountain Vineyards Merlot 2000 (750 ml)Napa, California, United Stales

Pride Mountain Vineyards Cabernet Sauvignon Reserve 1999 (750 ml)Napa, California, United States

12 $0.00

$0.00

,,-.. $111.00100.00% .... VL

VL

• 0612812002 Beringer Cabemet Sauvignon Private Reserve 1996 (750 ml)Napa, California, United StaleS

$0.00 $69.13 $95.97100.00% "" 100.00% ...

VL

06/2812002 Beringer Chardonnay Sbragia Limited Release 2000 (750 ml)Napa, Callfnrnia, United States $0.00 ".'," $45.37

100.00% ""VL

•i Beringer Merlot Bancroft Ranch Howell Mountain 1993 (750 ml)Napa, California. United Stales

Beringer Syrah Marston Vineyard 1998 {750 ml)Napa, Cafllornia, United Slales

$0"00

$0.00

$75.00 $77.00100.()O%.... 100.000/0 ""

".".

VL

VL

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