THE STATE OF OHIO, HAMILTON COUNTY COURT OF COMMON PLEAS STATE OF OHIO Plaintiff Case No. 1304320 PETER A. BECK and JOHN W. FUSSNER Defendants PROSECUTING REQUEST FOR ISSUANCE OF SUMMONS UPON INDICTMENT TO THE CLERK OF THE COURT OF COMMON PLEAS: PETER A. BECK and JOHN W. FUSSNER have been named a defendants in an indictment returned by the Grand Jury. Pursuant to Rule 9, Ohio Rules of Criminal Procedure, the undersigned requests that you or a Deputy Clerk forthwith issue a summons to an appropriate officer and direct him to execute it upon the above-named defendants at the following address: Hamilton County Justice Center, or at any place within this State. I Matthew J/fionahue (#0079278) Assistant Prosecuting Attomey 150 E. Gay St., 16"' Floor Columbus, OH 43215 THE STATE OF OHIO, HAMILTON COUNTY COURT OF COMMON PLEAS THE STATE OF OHIO Case No. 1304320 HAMILTON COUNTY, ss; INDICTMENT FOR: CT1: SECURITIES FRAUD CT2: SECURITIES FRAUD CT3: SECURITIES FRAUD CT4: SECURITIES FRAUD CT5: SECURITIES FRAUD CT6: SECURITIES FRAUD CT7: THEFT CT8: THEFT CT9: SECURITIES FRAUD CT10: SECURITIES FRAUD CT11: SECURITIES FRAUD CT12: SECURITIES FRAUD CTI3: SECURITIES FRAUD CTI4: SECURITIES FRAUD CT15: THEFT CT16: THEFT In the Court ofCommon Pleas, Hamilton County, Ohio, ofthe Grand Jury Term Two Thousand and Thirteen. FIRST COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do 'find and present that PETER A. BECK, on or about the 22"" day ofJuly in the year Two Thousand and Eight at the Countyofflamilton and State ofOhio aforesaid, did knowingly make or cause to make a false representation concerning a material and relevant fact in an oral statement, and/or in any prospectus, circular, description, application, or written statement, for the purpose of selling any security in the State of Ohio, to wit: the sale of securities to John Doe 1, and the value ofthe funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation of Section of the Ohio Revised Code and against the peace and dignity of the State of Ohio. SECOND COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight at the County of Hamilton and State of Ohio aforesaid, in selling securities did knowingly engage in any act or practice which, under Revised Code Chapter 1707, is declared illegal, defined as fraudulent, or prohibited, to wit: the sale of securities to John Doc 1, the value ofthe funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation of Section of the Ohio Revised Code and against the peace and dignity of the State of Ohio. THIRD COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight at the County of Hamilton and State of Ohio aforesaid,did engage in any act or practice that violates division (A), (B) or (C) of Section 1707.14 of the Revised Code, to wit: an unlicensed dealer in the sale of securities to John Doe 1, the value of funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation of Section of the Ohio Revised Code and against the peace and dignity of the State of Ohio. FOURTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight at the County ofHamilton and State ofOhio aforesaid, did knowingly sell, cause to be sold, offer for sale, or cause to be offered for sale, any security which comes under any of the following descriptions: is not exempt under section 1707.02 of the Revised Code, not the subject matter ofone ofthe transaction exempted in section 1707.03, 1707.04, or 1707.34 ofthe Revised Code, has not been registered by coordination or qualification, and is not the subject matter ofa transaction that has been registered by description of the State of Ohio, to wit: the sale of securities to John Doe 1, the value of the funds or securities involved in the offense or loss to the victims is $100,000.00 or more, in violation of Section of the Ohio Revised Code and against the peace and dignity of the State of Ohio. FIFTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight at the County oFHami1ton and State of Ohio aforesaid, did as an officer or director of an issuer who knew or should have known such issuer to be insolvent in that the liabilities of the issues exceeded its assets, did sell securities for such issuer, without disclosing the fact of the insolvency to the purchaser to wit: the sale of securities to John Doe 1, the value of the frauds or securities involved in the offense or loss to the victim is $100,000.00 or more, in the violation ofSection 1707.44 (D) of the Ohio Revised Code and against the peace and dignity of the State of Ohio. SIXTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight, at the County ofHarnilton and State ofOhio aforesaid, did with purpose to deceive, make, issue, publish, or cause to be made, issued or published any statement or advertisement as to the value of securities or as to alleged facts affecting the value of securities, or as to the financial condition of any issuer of securities, when the person knew or should have known that the statement or advertisement was false in any material respect to wit: the sale of securities to John Doe 1, the value of the funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation ofSection ofthe Ohio Revised Code against the peace and dignity ofthe State ofOhio. SEVENTH COUNT The Grand Jurors ofthe County ofHamilton, in the name and by authority ofthe State ofOhio, upon their oaths do find and present that PETER A. BECK, on or about the 22"" day of July in the year Two Thousand and Eight, with purpose to deprive the owner, John Doe 1, of property to wit: cash, checks, or other monies, did knowingly obtain or exert control over the said property be deception, the value of property or services being $100,000.00 or more and less than $500,000.00, in violation of Section ofthe Ohio Revised Code against the peace and dignity of the State ofOhio. EIGHTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on oriabout the 22"" day of July in the year Two Thousand and Eight, with purpose to deprive the owner, John Doe 1, of property to wit: cash, checks, or other monies, did knowing obtain or exert control over the said property beyond the scope of the express or implied consent of the owner or person authorized to give consent, the value of property or services being $100,000.00 or more and less and $500,000.00, in violation of Section ofthe Ohio Revised Code against the peace and dignity ofthe State of Ohio. NINTH COUNT The Grand Jurors ofthe County ofHamilton, in the name and by authority ofthe State ofOhio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the 1" day of August in the year Two Thousand and Eight, at the County ofHamilton and State of Ohio aforesaid, did knowingly make or cause to made a false representation concerning a material and relevant fact in an oral statement, and/or in any prospectus, circular, description, application, or written statement, for the purpose of selling any security in the State of Ohio, to wit: the sale of securities to John Does 2 and 3, the value of the funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation of Section ofthe Ohio Revised Code against the peace and dignity of the State of Ohio. TENTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the lsirday of August in the year Two Thousand and Eight, at the County ofHamilton and State ofOhio aforesaid, in selling securities did knowingly engage in any act or practice which, under Revised Code Chapter 1707, is declared illegal, defined as fraudulent, or prohibited, to wit: the sale ofsecurities to John Does 2 and 3, the value ofthe funds or securities involved in the offense or loss to the victim is $100,000.00, in violation of Section l707.44(G) ofthe Ohio Revised Code against the peace and dignity ofthe State of Ohio. ELEVENTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK, on or about the 1" day of August in the year Two Thousand and Eight, at the County of Hamilton and State of Ohio aforesaid, did engage in any act or practice that violates division (A), (B) or (C) of section 1707.14 of the Revised Code, to wit: unlicensed dealer in the sale of securities to John Does 2 and 3, the value of the finds or securities involved in the 7 offense or loss to the victim is $100,000.00 or more, in violation of Section ofthe Ohio Revised Code against the peace and dignity of the State of Ohio. TWELFTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the 1ST day of August in the year Two Thousand and Eight, at the County of Hamilton and State of Ohio aforesaid, did knowingly sell, cause to be sold, offer for sale, or cause to be offered for sale, any security which comes under any of the following descriptions: is not exempt under section 1707.02 of the Revised Code, nor the subject matter of one of the transactions exempt in section 1707.03, 1707.04, or 1707.34 of the Revised Code, has not been registered by coordination or qualification, and is not the subject matter of a transaction that has been registered by description in the State of Ohio, to wit: the sale of securities to John Does 2 and 3, the value of the funds or securities involved in the offense or loss to the victim is $100,000.00, in violation of Section of the Ohio Revised Code against the peace and dignity of the State of Ohio. THIRTEENTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the 13" day of August in the year Two Thousand and Eight, at the County ofHamilton and State ofOhio aforesaid, did as officers or directors of an issuer who knew or should have known such issuer to be insolvent in that the liabilities of the issuer exceeded its assets, did sell securities for such issuer, without disclosing the fact of the insolvency to the purchasers to wit: the sale of securities to John Does 2 and 3, the value of the funds or securities involved in the offense or loss to the victim is $100,000.00 or more, in violation of Section of the Ohio Revised Code against the peace and dignity of the State of Ohio. FOURTEENTH COUNT The Grand Jurors of the County ofHami1ton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the IST day of August in the year Two Thousand and Eight, at the County ofHamilton and State ofOhio aforesaid, did with purpose to deceive, make, issue, publish, or cause to be made, issued, or published any statement or advertisement as to the value of securities, or as to alleged facts affecting the value of securities, or as to the financial condition of any issuer of securities, when the persons knew or should have known that the statement or advertisement was false in any material respect to wit: the sale of securities to John Does 2 and 3, the value of the funds or securities involved in the offense or loss to the victim is $100,000.00, in violation of Section of the Ohio Revised Code against the peace and dignity ofthe State of Ohio. FIFTEENTH COUNT The Grand Jurors ofthe County ofHami1ton, in the name and by authority ofthe State ofOhio, upon their oaths do find and present that PETER A. BECK and JOHN W. FUSSNER, on or about the 1" day of August in the year Two Thousand and Eight, at the County ofHami1ton and State ofOhio aforesaid, with purpose to deprive the owners, John Does 2 and 3, of property, to wit: cash, checks or other monies, did knowingly obtain or exert control over said property by deception, the value of the property or services being $100,000.00 or more and less than $500,000.00, in violation of Section 2913.02 ofthe Ohio Revised Code against the peace and dignity ofthe State of Ohio. SIXTEENTH COUNT The Grand Jurors of the County of Hamilton, in the name and by authority of the State of Ohio, upon their oaths do find and present that PETER A. BECK and JOHN W.FUSSNER, on or about the 1" day of August in the year Two Thousand and Eight, at the County ofHami1ton and State of Ohio aforesaid, with purpose to deprive the owners, John Does Zand 3, of property, to wit: cash, checks or other monies, did knowingly obtain or exert control over said property beyond the scope of the express or implied consent of the owner or person authorized to give consent, the value of the property or services being $100,000.00 or more and less than $500,000.00, in violation of Section ofthe Ohio Revised Code against the peace and dignity ofthe State of Ohio. Reported and filed this By: Matthew 17 Donahue (#0079278) Assistant Prosecuting Attorney day of A.D. ?57/5 By: Tracy Winkler A TRUE BILL Clerk of Hamilton County Common Pleas By: "7 Deputy Forefierson, Grand Jury