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Case 0:09-cr-60331-JIC Document 12 Entered on FLSD Docket 12/06/2009 Page 1 of 9

UNITED STATES DISTRICT COURT


SOUTHERN DISTRICT OF FLORIDA

CASE NO. 09-60331-CR-COHN

UNITED STATES OF AMERICA,

v.

SCOTT W. ROTHSTEIN,

Defendant.
/

GOVERNMENT’S EX PARTE MOTION AND MEMORANDUM OF LAW


FOR POST-INFORMATION PROTECTIVE ORDER

The United States of America respectfully requests, pursuant to the provisions of 18 U.S.C.

§ 1963(d)(1)(A), and the provisions 21 U.S.C. § 853(e)(1)(A), that this Court enter a Protective

Order to preserve the availability of the property identified for forfeiture in the Information issued

on December 1, 2009. In support of this motion the United States submits that:

1. On December 1, 2009, the defendant, Scott W. Rothstein (hereinafter

“ROTHSTEIN”), was charged by way of Information with a RICO conspiracy in violation of 18

U.S.C. §1962(d), with a money laundering conspiracy in violation of 18 U.S.C. §1956(h), with a

mail and wire fraud conspiracy in violation of 18 U.S.C. §1349 and with substantive wire fraud in

violation of 18 U.S.C. §1343.

2. The Information also placed defendant on notice that, if convicted, the United States

would pursue forfeiture of certain specific assets, and a money judgment, pursuant to the applicable

statutes. The assets sought for forfeiture are listed in Exhibit A, attached hereto.

3. Significant litigation is likely to commence with respect to the assets sought for

forfeiture, even though Defendant ROTHSTEIN has consented to the forfeiture of the majority of

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the assets listed in the Information.1

4. Indeed, litigation regarding assets named for forfeiture in both the civil case (09-

61780-CIV-ZLOCH), and the instant case, has already commenced. For example, in 09-34791-

BKC-RBR, Adv. Pro. No. 09-02464-RBR, TD Bank, N.A. has filed a Complaint for Interpleader

and Declaratory Relief regarding 38 accounts.2 In 09-34791-BKC-RBR, Adv. No. 09-02478-RBR,

the Chapter 11 Trustee of Rothstein, Rosenfeldt & Adler, P.A. has sought a preliminary injunction

and a finding by the Bankruptcy Court, that the assets of defendant, ROTHSTEIN, individually, as

well as assets of the various entities controlled by defendant, ROTHSTEIN should become part of

the bankruptcy estate of Rothstein, Rosenfeldt & Adler, P.A.3

5. Entry of the requested protective order should ensure that the property sought for

forfeiture, as listed in the Information, will be available for forfeiture upon conviction of defendant,

ROTHSTEIN and so that there will be an orderly presentation of third party claims to the property

1
The defendant’s consent is of record in the related civil case, 09-61780-CIV-ZLOCH,
Docket Entry 20. The consent, and schedules attached thereto, were prepared prior to the
finalization of the charging document, and, as such, does not address all items contained for
forfeiture in the civil case or in the instant criminal action. Some of the assets missing from the
consent are bank accounts at TD Bank and Gibraltar Bank. Upon information and belief,
defendant stands ready to stipulate to the forfeiture of all assets listed in the charging document
and civil case, even though those assets were omitted from the consent.
2
The seven largest accounts at TD Bank, N.A. are named for forfeiture in the instant case,
and the civil forfeiture action (09-61780-CIV-ZLOCH) at Bank Accounts (BA9) through
(BA15).
3
The Trustee and his counsel, were unaware of the stipulation by ROTHSTEIN at the
time the adversary proceeding was filed. The Trustee and his counsel are currently in
discussions with undersigned counsel for the United States regarding how assets not otherwise
named for forfeiture, should be handled, and how, if at all, the Trustee should be involved with
the assets named for forfeiture.

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sought for forfeiture.4

6. Pursuant to 18 U.S.C. § 1963(d)(1), the Court is authorized to enter a restraining

order or injunction, require the execution of satisfactory performance bond, or take any other action

to preserve the availability of property subject to forfeiture for violations of 18 U.S.C. § 1962(d).

7. Pursuant to 21 U.S.C. § 853(e)(1), the Court is authorized to enter a restraining order

or injunction, require the execution of satisfactory performance bond, or take any other action to

preserve the availability of property subject to forfeiture for violations of 18 U.S.C. § 1956(h),5 18

U.S.C. § 13496, and 18 U.S.C. § 1343.

8. The charging of ROTHSTEIN by Information, and the attached affidavit of Internal

Revenue Service Special Agent Lisa Klitz, verified under penalty of perjury, establish sufficient

probable cause for the issuance of the requested protective order.

4
Any third party claims to the subject property may be properly brought and resolved in
ancillary proceedings conducted by this Court following the execution of a Preliminary Order of
Forfeiture and service of notice to all interested parties in accordance with the provisions of
federal forfeiture law.
5
Title 18, United States Code, Section 982(a)(1) provides for forfeiture upon violation of
Title 18, United States Code, Sections 1956, 1957 and 1960. Title 18, United States Code,
Section 982(b) provides that forfeiture of property under Section 982 is governed by the
provisions of Title 21, United States Code, Section 853.
6
Title 18, United States Code, Section 981(a)(1)(C) provides for forfeiture when certain
crimes, or conspiracies to commit those crimes, are concerned. The violations for which such
forfeiture is available include offenses constituting specified unlawful activities in 18 U.S.C. §
1956(c)(7). Title 18, United States Code, 1956(c)(7) lists, as an offense, “any act or activity
constituting an offense listed in section 1961(1).” A violation of 18 U.S.C. § 1343 is among the
offenses set forth in 18 U.S.C. § 1961(1). Title 28, United States Code, Section 2461, allows the
“civil” forfeiture provisions of 18 U.S.C. § 981(a)(1)(C) to be utilized in a criminal case. Title
28, United States Code, Section 2461 provides that the procedures set forth in 21 U.S.C. § 853
apply to all stages of a criminal forfeiture proceeding.

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MEMORANDUM OF LAW

I. The Government is Entitled To A Protective Order To Preserve


The Availability of Forfeitable Assets

The United States seeks to preserve the status quo of the property listed in the Information

by preventing the alienation and dissipation of the property subject to forfeiture. Given the clear

Congressional determination that property acquired through illegal activities be forfeited to the

United States,7 it is equally clear that the public interest lies in preserving these properties for

forfeiture.

A. There Is Statutory Authority For Forfeiture

Congress has determined that property involved in, traceable to and acquired through illegal

activities shall be forfeited to the United States. Title 18, United States Code, Section 1963

mandates criminal forfeiture to the United States upon conviction of any violation of 18 U.S.C. §

1962 and Title 21, United States Code, Section 853 mandates criminal forfeiture to the United States

upon conviction of any violation of 18 U.S.C. § 1956, 18 U.S.C. § 1349 and 18 U.S.C. § 1343.

B. Statutory Mechanisms Provide Pre-Trial Protection For Forfeitable Property

To preserve forfeitable property pending the conclusion of a trial, the District Court is

empowered to restrain the dissipation of property pre-trial. Title 18, United States Code, Section

1963(d)(1) provides, in pertinent part:

(1) Upon application of the United States, the court may enter a restraining order
or injunction, require the execution of a satisfactory performance bond, or
take any other action to preserve the availability of property described in
subsection (a) for forfeiture under this section –

7
Once the property is forfeited, the Attorney General of the United States may restore the
forfeited property to victims of the charged crimes. See 18 U.S.C. §§1963(g) and 21 U.S.C.
§853(“i”).

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(A) upon the filing of an indictment or information


charging a violation of section 1962 of this chapter
and alleging that the property with respect to which
the order is sought would, in the event of conviction,
be subject to forfeiture under this section; . .

while Title 21, United States Code, Section 853(e)(1) provides in pertinent part:

(1) Upon application of the United States, the court may enter a restraining order
or injunction, require the execution of a satisfactory performance bond, or
take any other action to preserve the availability of property described in
subsection (a) of this section for forfeiture under this section –

(A) upon the filing of an indictment or information


charging a violation of this subchapter or subchapter
II of this chapter for which criminal forfeiture may be
ordered under this section and alleging that the
property with respect to which the order is sought
would, in the event of conviction, be subject to
forfeiture under this section; . .

Pre-trial restraint of assets has been approved by the United States Supreme Court and the

United States Court of Appeals for the Eleventh Circuit. In United States v. Monsanto, 491 U.S. 600

(1989), the Supreme Court upheld the pre-trial restraint which prevented the defendant from

disposing of his house, his apartment and $35,000 in cash prior to trial. The Supreme Court noted:

"[I]t would be odd to conclude that the Government may not restrain
property, such as the home and apartment in respondent's possession,
based on a finding of probable cause, when we have held that. . ., the
Government may restrain persons where there is a finding of
probable cause to believe that the accused has committed a serious
offense."

Id., at 615-16.

In the same year as the Monsanto decision, the Eleventh Circuit recognized the right of the

United States to seek pre-trial restraint of forfeitable assets:

To preserve forfeitable assets for a possible conviction, the district

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court may restrain the defendant from using . . . assets before trial.
The restraints may be imposed by way of a restraining order, an
injunction, the execution of a performance bond, or a temporary
seizure of certain assets which, because of their liquidity, can be
readily transferred or hidden.

United States v. Bissell, 866 F.2d 1343, 1349 (11th Cir.) cert denied, 493 U.S. 849 (1989).

C. Third Parties Are Protected Through Pre-Trial Protective Orders

Third parties are barred, under the provisions of 18 U.S.C. § 1963(i) and 21 U.S.C. § 853(k)

from intervening in a trial of a criminal case involving forfeiture and are barred from commencing

an action at law or equity against the United States concerning the validity of its interest in the

property sought for forfeiture.8 The entry of a restraining order under these circumstances acts to

protect and preserve the interests of third parties. Third party claimants are afforded a post-trial

hearing in accordance with 18 U.S.C. § 1963(l) and in accordance with 21 U.S.C. §853(n).

D. Pre-Trial Protective Orders Issue Ex Parte Upon Probable Cause Showing

Once an indictment or information has issued, the court may order such restraints ex parte.

United States v. Bissell, 866 F.2d 1343, 1349 (11th Cir.) cert denied, 493 U.S. 849 (1989). No

requirement exists for notice or an evidentiary hearing prior to the issuance of a restraining order.

United States v. Monsanto, 924 F.2d 1186, 1193 (2d Cir. 1991), cert. denied, 112 S. Ct. 382 (1982).

A restraining order may issue when there is a determination of probable cause to believe that

the property will ultimately be proven forfeitable. A full-blown hearing is not required. Congress

found that requiring the government to have a full blown hearing to meet the standards for obtaining

8
For instance, interpleader actions are precluded by these bars, see Johnson v. United
States, 2001 WL 1064505, at *2 (N.D. Ill. Sept 13, 2001); United States v. BCCI Holdings
(Luxembourg) S.A. (In re Oppenheimer & Co), 1992 WL 44321, at *3 (D.D.C. Feb. 10, 1992), as
are actions in bankruptcy proceedings. See In re: American Basketball League, Inc., 317 B.R.
121, 129 (Bkrtcy. N.D. Cal. 2004); In re: Smouha, 136 B.R. 921, 926 (Bkrtcy. S.D.N.Y. 1992).

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a regular restraining order would be “quite difficult.”

In addition, these requirements may make pursuing a restraining


order inadvisable from the prosecutor’s point of view because of the
potential for damaging premature disclosure of the government’s case
and trial strategy and for jeopardizing the safety of witnesses and
victims in racketeering and narcotics trafficking case who would be
required to testify at the restraining order hearing. [Footnote omitted].
S. Rep. No. 2255 at 196, reprinted in U.S. Code Cong. & Admin.
News at 3374.

See also, Bissell, 866 F.2d at 1353; In Re Protective Order, 790 F. Supp. 1140 (S.D. Fla. 1992)(J.

Highsmith (10-11 months not undue delay).

Probable cause has been established in the Information. As stated in the Senate Report on

the Comprehensive Crime Control Act of 1984, “the probable cause established in the indictment

or information is, in itself, to be sufficient basis for the issuance of a restraining order.” Senate

Report No. 225, 98th Cong., 2d. Sess. 203, reprinted in 1984 U.S. Code Congressional and

Administrative News, 3182, 3385. Probable cause that the property will ultimately be proven

forfeitable, is further established through the verification of the Special Agent attached hereto.

As the elements required for a Protective Order, pursuant to 18 U.S.C. § 1963(d)(1)(A), and

pursuant to 21 U.S.C. § 853(e)(1)(A), have been met, the United States moves for the entry of the

attached proposed Order.

II. The Terms Of The Order

The United States requests that the Court enter a protective order immediately restraining,

prohibiting, and enjoining defendant, and his agents, servants, employees, attorneys, family

members and those persons in active concert or participation with him, and those persons, financial

institutions, or entities who have any interest or control over the subject property from attempting

or completing any action that would affect the availability, marketability or value of said property,

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including but not limited to withdrawing, transferring, selling, assigning, pledging, distributing,

encumbering, wasting, secreting or otherwise disposing of, or removing from the jurisdiction of this

Court, all or any part of their interest, direct or indirect, in all of the properties identified in

Government’s Composite Exhibit A.

The United States further requests that appropriately designated agents of the United States

be directed to promptly serve a copy of the Court’s protective order upon defendant and to give

notice of the protective order entered herein to those individuals or institutions in control of, or with

an interest, in the assets in question. The United States requests that it be permitted to provide

notice of the entry of the protective order through facsimile transmission to such institutions and

individuals (other than defendant). To the extent that the protective order is provided to such

institutions and individuals, the United States requests that this Court direct that such institutions

and individuals, provide, within 20 days of the service of the protective order, information regarding

the interest claimed by such institutions or individuals, and to provide other information which may

become necessary for the resolution of any issues as to this restraint.

The United States further requests that the protective order remain in full force and effect

until further order of this Court.

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WHEREFORE, based on the foregoing, the United States requests the Court enter the

proposed Protective Order submitted herewith, and grant such other relief as is just and lawful.

Respectfully submitted,

JEFFREY H. SLOMAN
ACTING UNITED STATES ATTORNEY

By: /s/Alison W. Lehr


ALISON W. LEHR
ASSISTANT UNITED STATES ATTORNEY
Fla. Bar No. 444537
99 N.E. 4th Street - 7th Floor
Miami, Florida 33132
Telephone: (305) 961-9176
Fax: (305) 536-7599
Alison.Lehr@usdoj.gov

CERTIFICATE OF SERVICE

I HEREBY CERTIFY that on December 6, 2009, I electronically filed the foregoing

document with the Clerk of the Court using CM/ECF.

s/ Alison W. Lehr
ALISON W. LEHR
Assistant United States Attorney

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EXHIBIT A
PROPERTIES SOUGHT FOR FORFEITURE

A. A sum of money equal to $1,600,000,000 in United States currency;

B. Real Properties (“RP”):

(RP1) 2307 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP1,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as

Lauderdale Shores Reamen Plat 15-31 B Lot 2 Blk 5 with a Folio Number of

5042 12 13 0210;

(RP2) 2308 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP2,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamen Plat 15-31 B Lot 2 Blk 4 with a Folio Number of

5042 12 13 0020;

(RP3) 2316 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP3,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamen Plat 15-31 B Lot 3 & Lot 4 W ½ Blk 4 with a Folio

Number of 5042 12 13 0030;

(RP4) 30 Isla Bahia Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP4,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as: Isla

Bahia 47-27 B Lot 63 with a Folio Number of 5042 13 16 0640;

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(RP5) 29 Isla Bahia Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP5,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as: Isla

Bahia 47-27 B Lot 35 with a Folio Number of 5042 13 16 0360;

(RP6) 350 SE 2nd Street, Unit 2840, Fort Lauderdale, Florida, hereafter also referred to

as “Defendant RP6,” includes that portion of the condominium, improvements,

fixtures, attachments and easements found therein or thereon, and is more

particularly described as: 350 Las Olas Place Condo Unit 2840 with a Folio

Number of 5042 10 AN 1490;

(RP8) 2133 Imperial Point Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP8,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Imperial Point 1 Sec 53-44 B Lot 11 Blk 22 with a Folio Number of 4942 12 07

2020;

(RP9) 2627 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP9,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamem Plat 15-31 B Lot 22 Blk 5 with a Folio Number of

5042 12 13 0380;

(RP10)10630 NW 14th Street, Apt. 110, Plantation, Florida, hereafter also referred to as

“Defendant RP10,” includes that portion of the condominium/townhome,

improvements, fixtures, attachments and easements found therein or thereon, and

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is more particularly described as: OPTIMA VILLAGE 1-“C” CONDO UNIT 201

BLDG 2 with a Folio Number of 4941 31 AC 0110;

(RP11) 227 Garden Court, Lauderdale by the Sea, Florida, hereafter also referred to as

“Defendant RP11,” includes that portion of the buildings, improvements, fixtures,

attachments and easements found therein or thereon, and is more particularly

described as: SILVER SHORES UNIT A 28-39 B POR of Lot 4, BLK 5 DESC

AS TO BEG AT SE COR SAID LOT 4, N 79.37 W 37.75, S 79.37, E 35.75 TO

POB AKA: UNIT E MARINA VILLAGE TOWNHOMES 227GARDEN with a

Folio Number of 4943 18 24 0050;

(RP12) 708 Spangler Boulevard, Bay 1, Hollywood, Florida, hereafter also referred to as

“Defendant RP12,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as:

HARBOR VIEW 10-5 B PORTION OF LOTS 1 & 2 BLK 2 DESC AS COMM

25 S OF NE COR OF LOT 2 ON E/L, W 20.52 ALG S/R/W/L OF ST RD 84, S

15.72 TO POB, S 7.25, E 12.59, S 24.40, W 29.92, N 7.66, W 31.74, N 24.00, E

49.07 TO POB AKA: BAY 1 PORTSIDE with a Folio Number of 5042 23 28

0010;

(RP13) 1012 East Broward Boulevard, Fort Lauderdale, Florida, hereafter also referred to

as “Defendant RP13,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as:

BEVERLY HEIGHTS 1-30 B LOT 1 W 100, LOT 2 W 100 BLK 17 with a Folio

Number of 5042 11 07 0540;

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(RP14) 950 N Federal Highway, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP14,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as: 31-

48-43 S 150 OD FOL DESC, BEG INTER E R/W/L ST RD 5, N TO POB with a

Folio Number of 4843 31 00 0401;

(RP15) 350 Las Olas Boulevard, Commercial Unit 2, Fort Lauderdale, Florida, hereafter

also referred to as “Defendant RP15,” includes all portion of that condominium,

improvements, fixtures, attachments and easements found therein or thereon, and

is more particularly described as: 350 LAS OLAS PLACE COMM CONDO

UNIT CU2 with a Folio Number of 5042 10 AP 0020;

(RP16) 361 SE 9 Lane, Boca Raton, Florida hereafter also referred to as “Defendant

RP16,” includes all buildings, improvements, fixtures, attachments and easements

found therein or thereon;

(RP17) 1198 N Old Dixie Highway, Boca Raton, Florida hereafter also referred to as

“Defendant RP17,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP18) 1299 N Federal Highway, Boca Raton, Florida hereafter also referred to as

“Defendant RP18,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP19) 151 East 58 Street, Apartment 42D, New York, New York hereafter also referred

to as “Defendant RP19,” includes all portion of that condominium, improvements,

fixtures, attachments and easements found therein or thereon;

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(RP20) 11 Bluff Hill Cove Farm, Narragansett, Rhode Island hereafter also referred to as

“Defendant RP20,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP21) 15 Bluff Hill Cove Farm, Narragansett, Rhode Island hereafter also referred to

as “Defendant RP21,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP22) 353 4 Ave., Unit 12-H, Brooklyn, NY hereafter also referred to as “Defendant

RP22,” includes all portion of that condominium, improvements, fixtures,

attachments and easements found therein or thereon;

(RP23) 290W 11th St #1C, NY, NY hereafter also referred to as “Defendant RP23,”

includes all portion of that condominium, improvements, fixtures, attachments

and easements found therein or thereon; and

(RP24) Versace Mansion/Casa Casuarina-10% Ownership hereafter also referred to as

“Defendant RP24,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

C. Vehicles and Vessels (“VV”):

(VV1) 1990 Red Ferrari F40 Coupe, VIN: ZFFMN34A5L0087066;

(VV2) 2009 White Bentley Convertible, VIN: SCBDR33W29C059672;

(VV3) 2008 Yellow McLaren Mercedes Benz SLR, VIN: WDDAK76F98M001788;

(VV4) 2007 Black Limousine Ford Expedition, VIN: 1F1FK15557LA59223;

(VV5) 2009 Red Ferrari 430 Spider, VIN: ZFFEW59A380163011;

(VV6) 2007 Silver Rolls Royce Convertible, VIN: SCA1L68557UX23044;

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(VV7) 2006 Silver Hummer H1, VIN: 137PH84396E220665;

(VV8) 2008 Cadillac Escalade, VIN: 1GYEC63858R234458;

(VV9) 1967 Red Convertible Corvette, VIN: 194677S104745;

(VV10) 2009 Black Bugatti Veyron EB 16.4, VIN: VF9SA25C28M795153;

(VV11)2008 Blue Rolls Royce Drophead Convertible, VIN: SCA2D68528UX16071;

(VV17) 2007 87' Warren, Hull # WAR87777B707;

(VV18) 33' Aquariva, Hull # XFA33R74G405;

(VV19) 2009 11' Yamaha Jet Ski, Hull # YAMA3661I809;

(VV20) 2009 11' Yamaha VS, Hull # YAMA3626I809;

(VV21) 2009 11' Yamaha VS, Hull #YAMA2679G809;

(VV22) 1999 55' Sea Ray 540 Sundancer, SERY001899;

(VV23) 2009 Yamaha Jet Ski, Hull # YAMA4288K809;

(VV 24) 2010 White Lamborghini lp-670sv, VIN: ZHWBU8AHXALA03837;

D. Tangibles (“T”)

(T1) 304 pieces of jewelry, watches, necklaces and earrings seized on or about

Monday, November 9, 2009 from the residence of Scott and Kimberly Rothstein;

(T2) 16 DuPont Lighters seized on or about Monday, November 9, 2009 from the

residence of Scott and Kimberly Rothstein;

(T3) 3 pieces sports memorabilia seized on or about Monday, November 9, 2009 from

the residence of Scott and Kimberly Rothstein;

(T4) $271,160 in United States currency seized on or about Monday, November 9,

2009 from the residence of Scott and Kimberly Rothstein;

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(T5) $1,500 in United States currency, seized on about Wednesday, November 4,

2009, from the office of Scott W. Rothstein at the law firm of Rothstein,

Rosenfeldt and Adler, P.A.;

(T6) $30,000 in American Express Gift Cards to the attention of Scott Rothstein,

obtained from UPS on or about November 12, 2009;

(T7) $50,000 in American Express Gift Cards to the attention of Scott Rothstein,

obtained from UPS on or about November 13, 2009;

(T8) 5 additional watches being turned over to the United States by Les Stracher; and

(T9) Guitar collection of Scott W. Rothstein, located at the residence of Scott and

Kimberley Rothstein, valued between $10,000 and $20,000.

E. Bank Accounts (“BA”)

(BA1) Fidelity Investments Stock Account, in the name of Scott W. Rothstein, valued at

approximately $1,263,780;

(BA2) Gibraltar Bank account 50010085, in the approximate amount of $484,900.68;

(BA3) Gibraltar Bank account 50010093, in the approximate amount of $53,448.51;

(BA4) Gibraltar Bank account 50010053, in the approximate amount of $71,793.06;

(BA5) Gibraltar Bank account 50010014, in the approximate amount of $995,521.426;

(BA6) Bank account 178780211819923220000187 at Banque Populaire, Morocco, in the

name of Scott Rothstein, in the approximate amount of $12,000,000;

(BA7) Bank account at Banque Populaire, Morocco, in the name of Ahnick Khalid, up

to the amount of $2,000,000;

(BA8) Bank account at Banque Populaire, Morocco, in the name of Steve Caputi, up to

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the amount of $1,000,000;

(BA9) Toronto Dominion Bank, N.A. account 6860291266 in the name of Rothstein

Rosenfeldt Adler, P.A. which, on or about November 11, 2009, contained the

approximate amount of $54,021.27;

(BA10)Toronto Dominion Bank, N.A. account 6861011556 in the name of Rothstein

Rosenfeldt Adler, P.A. which, on or about November 11, 2009, contained the

approximate amount of $10,085.00;

(BA11)Toronto Dominion Bank, N.A. account 6860420923 in the name of Rothstein

Rosenfeldt Adler, P.A, Attorney Trust Account 3, which, on or about November

11, 2009, contained the approximate amount of $720,892.08;

(BA12)Toronto Dominion Bank, N.A. account 6860422200 in the name of DJB Financial

Holding, which, on or about November 11, 2009, contained the approximate

amount of $64,970.00;

(BA13)Toronto Dominion Bank, N.A. account 6860755757 the name of RRA Sports and

Entertainment LLC, which, on or about November 11, 2009, contained the

approximate amount of $10,490.10;

(BA14)Toronto Dominion Bank, N.A. account 6860755781 in the name of RRA Goal

Line Management, LLC, which, on or about November 11, 2009, contained the

approximate amount of $25,216.27;

(BA15)Toronto Dominion Bank, N.A. account 6861077714 in the name of Rothstein

Rosenfeldt Adler, P.A., which, on or about November 11, 2009, contained the

approximate amount of $20,080.00.

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F. Business Interests (“BI”)

(BI1) Stock certificates, if issued, or the beneficial interest in such shares, of 50,000

shares of capital stock, in Gibraltar Private Bank & Trust, a federally chartered

stock savings association, purchased in or about September 2009 by GBPT, LLC,

a Delaware Limited Liability Company, by its manager, Bahia Property

Management, LLC, a Delaware Limited Liability Company, by its co-manager,

Scott W. Rothstein;

(BI2) Scott W. Rothstein’s equity interest in QTask;

(BI3) Scott W. Rothstein’s equity interest in Broward Bank of Commerce;

(BI4) Scott W. Rothstein’s equity interest in Bova Ristorante;

(BI5) Scott W. Rothstein’s equity interest in Bova Cucina;

(BI6) Scott W. Rothstein’s equity interest in Bova Prime;

(BI7) Scott W. Rothstein’s equity interest in Café Iguana, Pembroke Pines, Florida;

(BI8) Scott W. Rothstein’s equity interest in Cart Shield USA, LLC;

(BI9) Scott W. Rothstein’s equity interest in Renato Watches;

(BI10) Scott W. Rothstein’s equity interest in Edify LLC;

(BI11) Scott W. Rothstein’s equity interest in V Georgio Vodka;

(BI12) Scott W. Rothstein’s equity interest in Sea Club;

(BI13) Scott W. Rothstein’s equity interest in North Star Mortgage;

(BI14) Scott W. Rothstein’s equity interest in Kip Hunter Marketing;

(BI15) Scott W. Rothstein’s equity interest in RRA Sports and Entertainment, LLC;

(BI16) Scott W. Rothstein’s equity interest in Versace Mansion/Casa Casuarina,

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including 10 year Operating Agreement with 2 ten year options;

(BI17) Scott W. Rothstein’s equity interest, and licensing rights, in Alternative Biofuel

Company;

(BI18) Scott W. Rothstein’s equity interest in RRA Goal Line Management;

(BI19) Scott W. Rothstein’s equity interest in Iron Street Management, LLC;

(BI20) Scott W. Rothstein’s equity interest in, and loan to, Africat Equity IG Decide;

(BI21) Scott W. Rothstein’s equity interest in, and rents derived from 1198 Dixie LLC;

(BI22) Scott W. Rothstein’s equity interest in, and rents derived from 1299 Federal LLC;

(BI23) Promissory Note by Uniglobe in favor of Scott W. Rothstein; and

(BI24) All equity interest held by or on behalf of Scott W. Rothstein, in the following

corporations and entities:

a. 29 Bahia LLC;

b. 235 GC LLC;

c. 350 LOP#2840 LLC;

d. 353 BR LLC;

e. 10630 #110 LLC;

f. 708 Spangler LLC;

g. 1012 Broward LLC;

h. 1198 Dixie LLC;

I. 1299 Federal LLC;

j. 2133 IP LLC;

k. 15158 LLC;

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l. AANG LLC;

m. AAMG1 LLC;

n. AAMM Holdings;

o. ABT Investments LLC;

p. Advanced Solutions;

q. Bahia Property Management LLC;

r. Boat Management LLC;

s. BOSM Holdings LLC;

t. BOVA Prime LLC;

u. BOVA Restaurant Group LLC;

v. The BOVA Group LLC;

w. BOVA Smoke LLC;

x. BOVCU LLC;

y. BOVRI LLC;

z. Broward Financial Holdings, Inc.;

aa. CI07 LLC;

ab. CI08 LLC;

ac. CI16 LLC;

ad. CI27 LLC;

ae. CSU LLC;

af. D & D Management & Investment LLC;

ag. D & S Management and Investment LLC;

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ah. DJB Financial Holdings LLC;

ai. DYMMU LLC;

aj. Full Circle Fort Lauderdale LLC;

ak. Full Circle Trademark Holdings LLC;

al. GHW1 LLC;

am. IDNL GEAH LLC;

an. ILK3 LLC;

ao. IS Management LLC;

ap. JRCL LLC;

aq. Judah LLC;

ar. Kendall Sports Bar;

as. Kip Hunter Marketing LLC;

at. NF Servicing LLC;

au. NRI 11 LLC;

av. NRI 15 LLC;

aw. NS Holdings LLC;

ax. PRCH LLC;

ay. PK Adventures LLC;

az. PK’s Wild Ride Ltd;

ba. Rothstein Family Foundation;

bb. RRA Consulting Inc.;

bc. RRA Goal Line Management LLC;

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bd. RRA Sports and Entertainment LLC;

be. RSA 11th Street LLC;

bf. RW Collections LLC;

bg. S & KEA LLC;

bh. Scorh LLC;

bi. Tipp LLC;

bj. VGS LLC;

bk. The Walter Family LLC;

bl. Walter Industries LLC;

bm. WPBRS LLC;

bn. WAWW;

bo. WAWW 2 LLC;

bp. WAWW 3 LLC;

bq. WAWW 4 LLC;

br. WAWW 5 LLC;

bs. WAWW 6 LLC;

bt. WAWW 7 LLC;

bu. WAWW 8 LLC;

bv. WAWW 9 LLC;

bw. WAWW 10 LLC;

bx. WAWW 11 LLC;

by. WAWW 12 LLC;

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bz. WAWW 14 LLC;

ca. WAWW 15 LLC;

cb. WAWW 16 LLC;

cc. WAWW 17 LLC;

cd. WAWW 18 LLC;

ce. WAWW 19 LLC;

cf. WAWW 20 LLC;

cg. WAWW 21 LLC;

ch. WAWW 22 LLC;

ci. JB Boca M Holdings LLC;

and

G. Contributions (“C”)

(C1) $6,000 in campaign contributions made to Alex Sink and voluntarily offered, and

turned over, to the United States on behalf of Alex Sink;

(C2) $40,000 in campaign contributions to Republican Party of Florida, “Florida”

account and voluntarily offered, and turned over, to the United States by the

Republican Party of Florida;

(C3) $10,000 in campaign contributions to Republican Party of Florida, “Federal”

account and voluntarily offered, and turned over, to the United States by the

Republican Party of Florida;

(C4) $90,000 in campaign contributions to Republican Party of Florida and voluntarily

offered, and turned over, to the United States by the Republican Party of Florida;

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(C5) $5,000 in campaign contributions to Republican Party of Florida by Rothstein

business entity known as WAWW and voluntarily offered, and turned over, to

the United States by the Republican Party of Florida;

(C6) $800,000 Charitable Donation to Joe DiMaggio Children’s Hospital, which

hospital advised the United States of the donation from the Rothstein Family

Foundation for the purpose of facilitating forfeiture;

(C7) $1,000,000 Charitable Donation to Holy Cross Hospital, which hospital advised

the United States of the donation from the Rothstein Family Foundation for the

purpose of facilitating forfeiture;

(C8) $9,600 in campaign contributions to Governor Charlie Crist, voluntarily offered,

and turned over, to the United States by the office of Charlie Crist; and

(C9) All funds voluntarily turned over to the United States (IRS/FBI), since in or about

October 28, 2009, in response to publicity regarding Scott W. Rothstein.

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UNITED STATES DISTRICT COURT


SOUTHERN DISTRICT OF FLORIDA

CASE NO. 09-60331-CR-COHN

UNITED STATES OF AMERICA,

v.

SCOTT W. ROTHSTEIN,

Defendant.
/

PROTECTIVE ORDER

THIS MATTER is before the Court upon the motion of the United States of America for

entry of a Post Information Protective Order pursuant to Title 18, United States Code, Section 1963,

and Title 21, United States Code, Section 853(e)(1)(A). The Court having reviewed the Ex Parte

Motion for Protective Order and Memorandum of Law, and the Affidavit of Special Agent Lisa

Klitz, and being otherwise fully advised in the premises, finds that:

1. The United States seeks the protective order to prevent the transfer, alienation,

encumbrance or dissipation of the subject property by the defendant or any third party which would

render said property unavailable for forfeiture;

2. The submission of the ex parte motion is appropriate and supported by statutory

authority and case law;

3. Probable cause has been shown for the entry of a protective order to preserve the

property named in the Information, as listed on Exhibit A hereto, for forfeiture;

4. The Court has authority to issue a Post-Information Protective Order pursuant to 18

U.S.C. § 1963(d)(1)(A) and 21 U.S.C. § 853(e)(1)(A);

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5. The need to preserve the availability of the subject property through the entry of the

requested order outweighs the hardship on any party against whom the order is to be entered; and

6. Any third party claims to the subject property may be properly brought and resolved

in ancillary proceedings conducted by this Court following the execution of a Preliminary Order of

Forfeiture in accordance with the provisions of federal forfeiture law.

Accordingly, it is hereby ORDERED and ADJUDGED that:

A. Effective immediately, defendant, his agents, servants, employees, attorneys, family

members and those persons in active concert or participation with him, and those persons, financial

institutions, or other entities who have any interest or control over the subject property listed in

Exhibit A, are hereby RESTRAINED, ENJOINED, AND PROHIBITED, without prior approval

of this Court and upon notice to the United States and an opportunity for the United States to be

heard, from attempting or completing any action that would affect the availability, marketability or

value of said property, including but not limited to withdrawing, transferring, selling, assigning,

pledging, distributing, encumbering, wasting, secreting, depreciating, damaging, or in any way

diminishing the value of, all or any part of their interest, direct or indirect, in the following property:

SEE EXHIBIT A

B. Property owner(s) are required to maintain the present condition of the real properties

subject to this Order, including timely payment of all mortgage payments, and insurance, utilities,

taxes, and assessments until further order of this Court.

C. Any financial institutions, other entities or individuals, holding mortgages on real

properties subject to this Order shall respond promptly to requests by the Government for

information on said mortgage’s current status. No action shall be taken to foreclose against the real

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properties;

D. Any financial institutions, other entities or individuals, holding liens on the vehicles

and vessels subject to this Order shall respond promptly to requests by the Government for

information on the current status of said liens. No action shall be taken to accelerate any loans on

the vehicles and vessels in question;

E. Any financial institutions holding accounts subject to this Order shall respond

promptly to requests by the Government for information on said accounts’ current status.

F. Any persons or entities having an interest in those business interests named as subject

to forfeiture, shall respond promptly to requests by the Government for information on the status

of said business interests.

G. The Secretary of the Treasury or his designee, or other authorized agent of the United

States shall promptly serve a copy of this Protective Order upon defendant, and make a return

thereon reflecting the date and time of service. Notice of the entry of this Order shall be given to

known institutions, entities or individuals, having an interest in the subject property, where such

interest is defined as a “legal interest” and not merely an interest as a creditor of defendant. Such

notice may be given by facsimile transmission.

H. This Protective Order shall remain in full force and effect until further order of this

Court.

DONE AND ORDERED in Chambers, this _____ day of December, 2009.

___________________________________
JAMES I. COHN
UNITED STATES DISTRICT JUDGE

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EXHIBIT A
PROPERTIES SUBJECT TO COURT’S PROTECTIVE ORDER

A. A sum of money equal to $1,600,000,000 in United States currency;

B. Real Properties (“RP”):

(RP1) 2307 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP1,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as

Lauderdale Shores Reamen Plat 15-31 B Lot 2 Blk 5 with a Folio Number of

5042 12 13 0210;

(RP2) 2308 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP2,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamen Plat 15-31 B Lot 2 Blk 4 with a Folio Number of

5042 12 13 0020;

(RP3) 2316 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP3,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamen Plat 15-31 B Lot 3 & Lot 4 W ½ Blk 4 with a Folio

Number of 5042 12 13 0030;

(RP4) 30 Isla Bahia Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP4,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as: Isla

Bahia 47-27 B Lot 63 with a Folio Number of 5042 13 16 0640;

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(RP5) 29 Isla Bahia Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP5,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as: Isla

Bahia 47-27 B Lot 35 with a Folio Number of 5042 13 16 0360;

(RP6) 350 SE 2nd Street, Unit 2840, Fort Lauderdale, Florida, hereafter also referred to

as “Defendant RP6,” includes that portion of the condominium, improvements,

fixtures, attachments and easements found therein or thereon, and is more

particularly described as: 350 Las Olas Place Condo Unit 2840 with a Folio

Number of 5042 10 AN 1490;

(RP8) 2133 Imperial Point Drive, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP8,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Imperial Point 1 Sec 53-44 B Lot 11 Blk 22 with a Folio Number of 4942 12 07

2020;

(RP9) 2627 Castilla Isle, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP9,” includes all buildings, improvements, fixtures, attachments and

easements found therein or thereon, and is more particularly described as:

Lauderdale Shores Reamem Plat 15-31 B Lot 22 Blk 5 with a Folio Number of

5042 12 13 0380;

(RP10)10630 NW 14th Street, Apt. 110, Plantation, Florida, hereafter also referred to as

“Defendant RP10,” includes that portion of the condominium/townhome,

improvements, fixtures, attachments and easements found therein or thereon, and

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is more particularly described as: OPTIMA VILLAGE 1-“C” CONDO UNIT 201

BLDG 2 with a Folio Number of 4941 31 AC 0110;

(RP11) 227 Garden Court, Lauderdale by the Sea, Florida, hereafter also referred to as

“Defendant RP11,” includes that portion of the buildings, improvements, fixtures,

attachments and easements found therein or thereon, and is more particularly

described as: SILVER SHORES UNIT A 28-39 B POR of Lot 4, BLK 5 DESC

AS TO BEG AT SE COR SAID LOT 4, N 79.37 W 37.75, S 79.37, E 35.75 TO

POB AKA: UNIT E MARINA VILLAGE TOWNHOMES 227GARDEN with a

Folio Number of 4943 18 24 0050;

(RP12) 708 Spangler Boulevard, Bay 1, Hollywood, Florida, hereafter also referred to as

“Defendant RP12,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as:

HARBOR VIEW 10-5 B PORTION OF LOTS 1 & 2 BLK 2 DESC AS COMM

25 S OF NE COR OF LOT 2 ON E/L, W 20.52 ALG S/R/W/L OF ST RD 84, S

15.72 TO POB, S 7.25, E 12.59, S 24.40, W 29.92, N 7.66, W 31.74, N 24.00, E

49.07 TO POB AKA: BAY 1 PORTSIDE with a Folio Number of 5042 23 28

0010;

(RP13) 1012 East Broward Boulevard, Fort Lauderdale, Florida, hereafter also referred to

as “Defendant RP13,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as:

BEVERLY HEIGHTS 1-30 B LOT 1 W 100, LOT 2 W 100 BLK 17 with a Folio

Number of 5042 11 07 0540;

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(RP14) 950 N Federal Highway, Fort Lauderdale, Florida, hereafter also referred to as

“Defendant RP14,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon, and is more particularly described as: 31-

48-43 S 150 OD FOL DESC, BEG INTER E R/W/L ST RD 5, N TO POB with a

Folio Number of 4843 31 00 0401;

(RP15) 350 Las Olas Boulevard, Commercial Unit 2, Fort Lauderdale, Florida, hereafter

also referred to as “Defendant RP15,” includes all portion of that condominium,

improvements, fixtures, attachments and easements found therein or thereon, and

is more particularly described as: 350 LAS OLAS PLACE COMM CONDO

UNIT CU2 with a Folio Number of 5042 10 AP 0020;

(RP16) 361 SE 9 Lane, Boca Raton, Florida hereafter also referred to as “Defendant

RP16,” includes all buildings, improvements, fixtures, attachments and easements

found therein or thereon;

(RP17) 1198 N Old Dixie Highway, Boca Raton, Florida hereafter also referred to as

“Defendant RP17,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP18) 1299 N Federal Highway, Boca Raton, Florida hereafter also referred to as

“Defendant RP18,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP19) 151 East 58 Street, Apartment 42D, New York, New York hereafter also referred

to as “Defendant RP19,” includes all portion of that condominium, improvements,

fixtures, attachments and easements found therein or thereon;

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(RP20) 11 Bluff Hill Cove Farm, Narragansett, Rhode Island hereafter also referred to as

“Defendant RP20,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP21) 15 Bluff Hill Cove Farm, Narragansett, Rhode Island hereafter also referred to

as “Defendant RP21,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

(RP22) 353 4 Ave., Unit 12-H, Brooklyn, NY hereafter also referred to as “Defendant

RP22,” includes all portion of that condominium, improvements, fixtures,

attachments and easements found therein or thereon;

(RP23) 290W 11th St #1C, NY, NY hereafter also referred to as “Defendant RP23,”

includes all portion of that condominium, improvements, fixtures, attachments

and easements found therein or thereon; and

(RP24) Versace Mansion/Casa Casuarina-10% Ownership hereafter also referred to as

“Defendant RP24,” includes all buildings, improvements, fixtures, attachments

and easements found therein or thereon;

C. Vehicles and Vessels (“VV”):

(VV1) 1990 Red Ferrari F40 Coupe, VIN: ZFFMN34A5L0087066;

(VV2) 2009 White Bentley Convertible, VIN: SCBDR33W29C059672;

(VV3) 2008 Yellow McLaren Mercedes Benz SLR, VIN: WDDAK76F98M001788;

(VV4) 2007 Black Limousine Ford Expedition, VIN: 1F1FK15557LA59223;

(VV5) 2009 Red Ferrari 430 Spider, VIN: ZFFEW59A380163011;

(VV6) 2007 Silver Rolls Royce Convertible, VIN: SCA1L68557UX23044;

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(VV7) 2006 Silver Hummer H1, VIN: 137PH84396E220665;

(VV8) 2008 Cadillac Escalade, VIN: 1GYEC63858R234458;

(VV9) 1967 Red Convertible Corvette, VIN: 194677S104745;

(VV10) 2009 Black Bugatti Veyron EB 16.4, VIN: VF9SA25C28M795153;

(VV11)2008 Blue Rolls Royce Drophead Convertible, VIN: SCA2D68528UX16071;

(VV17) 2007 87' Warren, Hull # WAR87777B707;

(VV18) 33' Aquariva, Hull # XFA33R74G405;

(VV19) 2009 11' Yamaha Jet Ski, Hull # YAMA3661I809;

(VV20) 2009 11' Yamaha VS, Hull # YAMA3626I809;

(VV21) 2009 11' Yamaha VS, Hull #YAMA2679G809;

(VV22) 1999 55' Sea Ray 540 Sundancer, SERY001899;

(VV23) 2009 Yamaha Jet Ski, Hull # YAMA4288K809;

(VV 24) 2010 White Lamborghini lp-670sv, VIN: ZHWBU8AHXALA03837;

D. Tangibles (“T”)

(T1) 304 pieces of jewelry, watches, necklaces and earrings seized on or about

Monday, November 9, 2009 from the residence of Scott and Kimberly Rothstein;

(T2) 16 DuPont Lighters seized on or about Monday, November 9, 2009 from the

residence of Scott and Kimberly Rothstein;

(T3) 3 pieces sports memorabilia seized on or about Monday, November 9, 2009 from

the residence of Scott and Kimberly Rothstein;

(T4) $271,160 in United States currency seized on or about Monday, November 9,

2009 from the residence of Scott and Kimberly Rothstein;

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(T5) $1,500 in United States currency, seized on about Wednesday, November 4,

2009, from the office of Scott W. Rothstein at the law firm of Rothstein,

Rosenfeldt and Adler, P.A.;

(T6) $30,000 in American Express Gift Cards to the attention of Scott Rothstein,

obtained from UPS on or about November 12, 2009;

(T7) $50,000 in American Express Gift Cards to the attention of Scott Rothstein,

obtained from UPS on or about November 13, 2009;

(T8) 5 additional watches being turned over to the United States by Les Stracher; and

(T9) Guitar collection of Scott W. Rothstein, located at the residence of Scott and

Kimberley Rothstein, valued between $10,000 and $20,000.

E. Bank Accounts (“BA”)

(BA1) Fidelity Investments Stock Account, in the name of Scott W. Rothstein, valued at

approximately $1,263,780;

(BA2) Gibraltar Bank account 50010085, in the approximate amount of $484,900.68;

(BA3) Gibraltar Bank account 50010093, in the approximate amount of $53,448.51;

(BA4) Gibraltar Bank account 50010053, in the approximate amount of $71,793.06;

(BA5) Gibraltar Bank account 50010014, in the approximate amount of $995,521.426;

(BA6) Bank account 178780211819923220000187 at Banque Populaire, Morocco, in the

name of Scott Rothstein, in the approximate amount of $12,000,000;

(BA7) Bank account at Banque Populaire, Morocco, in the name of Ahnick Khalid, up

to the amount of $2,000,000;

(BA8) Bank account at Banque Populaire, Morocco, in the name of Steve Caputi, up to

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the amount of $1,000,000;

(BA9) Toronto Dominion Bank, N.A. account 6860291266 in the name of Rothstein

Rosenfeldt Adler, P.A. which, on or about November 11, 2009, contained the

approximate amount of $54,021.27;

(BA10)Toronto Dominion Bank, N.A. account 6861011556 in the name of Rothstein

Rosenfeldt Adler, P.A. which, on or about November 11, 2009, contained the

approximate amount of $10,085.00;

(BA11)Toronto Dominion Bank, N.A. account 6860420923 in the name of Rothstein

Rosenfeldt Adler, P.A, Attorney Trust Account 3, which, on or about November

11, 2009, contained the approximate amount of $720,892.08;

(BA12)Toronto Dominion Bank, N.A. account 6860422200 in the name of DJB Financial

Holding, which, on or about November 11, 2009, contained the approximate

amount of $64,970.00;

(BA13)Toronto Dominion Bank, N.A. account 6860755757 the name of RRA Sports and

Entertainment LLC, which, on or about November 11, 2009, contained the

approximate amount of $10,490.10;

(BA14)Toronto Dominion Bank, N.A. account 6860755781 in the name of RRA Goal

Line Management, LLC, which, on or about November 11, 2009, contained the

approximate amount of $25,216.27;

(BA15)Toronto Dominion Bank, N.A. account 6861077714 in the name of Rothstein

Rosenfeldt Adler, P.A., which, on or about November 11, 2009, contained the

approximate amount of $20,080.00.

-8- Found at:


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www.floridalegalblog.org
Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 9 of 15

F. Business Interests (“BI”)

(BI1) Stock certificates, if issued, or the beneficial interest in such shares, of 50,000

shares of capital stock, in Gibraltar Private Bank & Trust, a federally chartered

stock savings association, purchased in or about September 2009 by GBPT, LLC,

a Delaware Limited Liability Company, by its manager, Bahia Property

Management, LLC, a Delaware Limited Liability Company, by its co-manager,

Scott W. Rothstein;

(BI2) Scott W. Rothstein’s equity interest in QTask;

(BI3) Scott W. Rothstein’s equity interest in Broward Bank of Commerce;

(BI4) Scott W. Rothstein’s equity interest in Bova Ristorante;

(BI5) Scott W. Rothstein’s equity interest in Bova Cucina;

(BI6) Scott W. Rothstein’s equity interest in Bova Prime;

(BI7) Scott W. Rothstein’s equity interest in Café Iguana, Pembroke Pines, Florida;

(BI8) Scott W. Rothstein’s equity interest in Cart Shield USA, LLC;

(BI9) Scott W. Rothstein’s equity interest in Renato Watches;

(BI10) Scott W. Rothstein’s equity interest in Edify LLC;

(BI11) Scott W. Rothstein’s equity interest in V Georgio Vodka;

(BI12) Scott W. Rothstein’s equity interest in Sea Club;

(BI13) Scott W. Rothstein’s equity interest in North Star Mortgage;

(BI14) Scott W. Rothstein’s equity interest in Kip Hunter Marketing;

(BI15) Scott W. Rothstein’s equity interest in RRA Sports and Entertainment, LLC;

(BI16) Scott W. Rothstein’s equity interest in Versace Mansion/Casa Casuarina,

-9- Found at:


The Florida Legal Blog
www.floridalegalblog.org
Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 10 of
15

including 10 year Operating Agreement with 2 ten year options;

(BI17) Scott W. Rothstein’s equity interest, and licensing rights, in Alternative Biofuel

Company;

(BI18) Scott W. Rothstein’s equity interest in RRA Goal Line Management;

(BI19) Scott W. Rothstein’s equity interest in Iron Street Management, LLC;

(BI20) Scott W. Rothstein’s equity interest in, and loan to, Africat Equity IG Decide;

(BI21) Scott W. Rothstein’s equity interest in, and rents derived from 1198 Dixie LLC;

(BI22) Scott W. Rothstein’s equity interest in, and rents derived from 1299 Federal LLC;

(BI23) Promissory Note by Uniglobe in favor of Scott W. Rothstein; and

(BI24) All equity interest held by or on behalf of Scott W. Rothstein, in the following

corporations and entities:

a. 29 Bahia LLC;

b. 235 GC LLC;

c. 350 LOP#2840 LLC;

d. 353 BR LLC;

e. 10630 #110 LLC;

f. 708 Spangler LLC;

g. 1012 Broward LLC;

h. 1198 Dixie LLC;

I. 1299 Federal LLC;

j. 2133 IP LLC;

k. 15158 LLC;

-10- Found at:


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Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 11 of
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l. AANG LLC;

m. AAMG1 LLC;

n. AAMM Holdings;

o. ABT Investments LLC;

p. Advanced Solutions;

q. Bahia Property Management LLC;

r. Boat Management LLC;

s. BOSM Holdings LLC;

t. BOVA Prime LLC;

u. BOVA Restaurant Group LLC;

v. The BOVA Group LLC;

w. BOVA Smoke LLC;

x. BOVCU LLC;

y. BOVRI LLC;

z. Broward Financial Holdings, Inc.;

aa. CI07 LLC;

ab. CI08 LLC;

ac. CI16 LLC;

ad. CI27 LLC;

ae. CSU LLC;

af. D & D Management & Investment LLC;

ag. D & S Management and Investment LLC;

-11- Found at:


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Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 12 of
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ah. DJB Financial Holdings LLC;

ai. DYMMU LLC;

aj. Full Circle Fort Lauderdale LLC;

ak. Full Circle Trademark Holdings LLC;

al. GHW1 LLC;

am. IDNL GEAH LLC;

an. ILK3 LLC;

ao. IS Management LLC;

ap. JRCL LLC;

aq. Judah LLC;

ar. Kendall Sports Bar;

as. Kip Hunter Marketing LLC;

at. NF Servicing LLC;

au. NRI 11 LLC;

av. NRI 15 LLC;

aw. NS Holdings LLC;

ax. PRCH LLC;

ay. PK Adventures LLC;

az. PK’s Wild Ride Ltd;

ba. Rothstein Family Foundation;

bb. RRA Consulting Inc.;

bc. RRA Goal Line Management LLC;

-12- Found at:


The Florida Legal Blog
www.floridalegalblog.org
Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 13 of
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bd. RRA Sports and Entertainment LLC;

be. RSA 11th Street LLC;

bf. RW Collections LLC;

bg. S & KEA LLC;

bh. Scorh LLC;

bi. Tipp LLC;

bj. VGS LLC;

bk. The Walter Family LLC;

bl. Walter Industries LLC;

bm. WPBRS LLC;

bn. WAWW;

bo. WAWW 2 LLC;

bp. WAWW 3 LLC;

bq. WAWW 4 LLC;

br. WAWW 5 LLC;

bs. WAWW 6 LLC;

bt. WAWW 7 LLC;

bu. WAWW 8 LLC;

bv. WAWW 9 LLC;

bw. WAWW 10 LLC;

bx. WAWW 11 LLC;

by. WAWW 12 LLC;

-13- Found at:


The Florida Legal Blog
www.floridalegalblog.org
Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 14 of
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bz. WAWW 14 LLC;

ca. WAWW 15 LLC;

cb. WAWW 16 LLC;

cc. WAWW 17 LLC;

cd. WAWW 18 LLC;

ce. WAWW 19 LLC;

cf. WAWW 20 LLC;

cg. WAWW 21 LLC;

ch. WAWW 22 LLC;

ci. JB Boca M Holdings LLC;

and

G. Contributions (“C”)

(C1) $6,000 in campaign contributions made to Alex Sink and voluntarily offered, and

turned over, to the United States on behalf of Alex Sink;

(C2) $40,000 in campaign contributions to Republican Party of Florida, “Florida”

account and voluntarily offered, and turned over, to the United States by the

Republican Party of Florida;

(C3) $10,000 in campaign contributions to Republican Party of Florida, “Federal”

account and voluntarily offered, and turned over, to the United States by the

Republican Party of Florida;

(C4) $90,000 in campaign contributions to Republican Party of Florida and voluntarily

offered, and turned over, to the United States by the Republican Party of Florida;

-14- Found at:


The Florida Legal Blog
www.floridalegalblog.org
Case 0:09-cr-60331-JIC Document 12-4 Entered on FLSD Docket 12/06/2009 Page 15 of
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(C5) $5,000 in campaign contributions to Republican Party of Florida by Rothstein

business entity known as WAWW and voluntarily offered, and turned over, to

the United States by the Republican Party of Florida;

(C6) $800,000 Charitable Donation to Joe DiMaggio Children’s Hospital, which

hospital advised the United States of the donation from the Rothstein Family

Foundation for the purpose of facilitating forfeiture;

(C7) $1,000,000 Charitable Donation to Holy Cross Hospital, which hospital advised

the United States of the donation from the Rothstein Family Foundation for the

purpose of facilitating forfeiture;

(C8) $9,600 in campaign contributions to Governor Charlie Crist, voluntarily offered,

and turned over, to the United States by the office of Charlie Crist; and

(C9) All funds voluntarily turned over to the United States (IRS/FBI), since in or about

October 28, 2009, in response to publicity regarding Scott W. Rothstein.

-15- Found at:


The Florida Legal Blog
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