NO. 416-81913?2015
THE STATE OF TEXAS
V.
WARREN KENNETH PAXTON, JR.
IN THE 416TH JUDICIAL DISTRICT COURT
OF COLLIN COUNTY, TEXAS
INDICTMENT
IN THE NAME AND BY AUTHORITY OF THE STATE OF TEXAS:

THE GRAND JURY for the County of Collin, State of Texas, duly selected,
impaneled, sworn, charged and organized as such by the 416th District Court for the
said County at the July Term, AD. 2015 of the said Court, upon their oaths present
in and to said Court that WARREN KENNETH PAXTON, R., hereinafter styled
Defendant, on or about the 18th day of July, 2012 and before the presentment of this
indictment, in the County and State aforesaid, did then and there:

knowingly and intentionally render services as an
investment advisor representative to James and Freddie
Henry for compensation by advising James and Freddie
Henry, directly or indirectly, on behalf of an investment
adviser, namely, Mowery Capital Management, and the
aforesaid WARREN KENNETH PAXTON, JR., was
then and there not duly registered as an investment adviser
representative by and with the Securities Commissioner of

the State of Texas, as required by the Texas State
Securities Act.

It is further presented in and to said Court that WARREN KENNETH
PAXTON, JR., hereinafter styled Defendant, on or about the 18th day of July, 2012
and before the presentment of this indictment, in the County and State aforesaid, did
then and there:

knowingly and intentionally render services as an
investment advisor representative to James and Freddie
Henry for compensation by soliciting James and Freddie
Henry, directly or indirectly, on behalf of an investment
adviser, namely, Mowery Capital Management, and the
aforesaid WARREN KENNETH PAXTON, JR., was
then and there not duly registered as an investment adviser
representative by and with the Securities Commissioner of
the State of Texas, as required by the Texas State
Securities Act.

AGAINST THE PEACE AND DIGNITY OF THE STATE.

Foreman of the Grand Jury

 

FOREMAN OF THE GRAND JURY

DATE: July 7, 2015

NO. 416?82148-201 5
THE STATE OF TEXAS
V.
WARREN KENNETH PAXTON, JR.

IN THE 416TH JUDICIAL DISTRICT COURT
OF COLLIN COUNTY, TEXAS

INDICTMENT
IN THE NAME AND BY AUTHORITY OF THE STATE OF TEXAS:

THE GRAND JURY for the County of Collin, State of Texas, duly selected,
impaneled, sworn, charged and organized as such by the 416th District Court for the
said County at the July Term, AD. 2015 of the said Court, upon their oaths present
in and to said Court that WARREN KENNETH PAXTON, JR., hereinafter styled
Defendant, on or about the 26th day of July, 2011, and before the presentment of this
indictment, in the County and State aforesaid, did then and there unlawfully and
intentionally offer to sell and sell to BYRON COOK, hereinafter styled the
Complainant, securities in an amount of $100,000 or more, namely, stock issued by
Servergy, Inc., and the Defendant did then and there directly and indirectly engage
in fraud by intentionally failing to disclose to the Complainant the following material
fact or facts known to the Defendant for the purpose of inducing the Complainant to
purchase said securities, to wit:

1. That the Defendant would be compensated by Servergy, Inc. in the form
8

of shares of Servergy, Inc. stock for selling stock in Servergy, Inc., to the
Complainant; and
2. That the Defendant had not, and was not, investing his own funds in
Servergy, Inc.
AGAINST THE PEACE AND DIGNITY OF THE STATE.

Foreman of the Grand Jury

 

FOREMAN OF THE GRAND JURY

August 18, 2015
DATE

NO. 416-82149-2015
THE STATE OF TEXAS
V.
WARREN KENNETH PAXTON, JR.

IN THE 416TH JUDICIAL DISTRICT COURT
OF COLLIN COUNTY, TEXAS

INDICTMENT
IN THE NAME AND BY AUTHORITY OF THE STATE OF TEXAS:

THE GRAND JURY for the County of Collin, State of Texas, duly selected,
impaneled, sworn, charged and organized as such by the 416th District Court for the
said County at the July Term, AD. 2015 of the said Court, upon their oaths present
in and to said Court that WARREN KENNETH PAXTON, JR., hereinafter styled
Defendant, on or about the 26th day of July, 2011, and before the presentment of this
indictment, in the County and State aforesaid, did then and there unlawfully and
intentionally offer to sell and sell to JOEL HOCHBERG, hereinafter styled the
Complainant, securities in an amount of $100,000 or more, namely, stock issued by
Servergy, Inc., and the Defendant did then and there directly and indirectly engage
in fraud by intentionally failing to disclose to the Complainant the following material
fact or facts known to the Defendant for the purpose of inducing the Complainant to
purchase said securities, to wit:

1. That the Defendant would be compensated by Servergy, Inc. in the form
1 

of shares of Servergy, Inc. stock for selling stock in Servergy, Inc., to the
Complainant; and

2. That the Defendant had not, and was not, investing his own funds in
Servergy, Inc.

AGAINST THE PEACE AND DIGNITY OF THE STATE.

Foreman of the Grand Jury

 

FOREMAN OF THE GRAND JURY

August 18. 2015
DATE

12