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District Court, City and County of Denver, Colorado City and County Building, Room 215 1437 Bannock

Street Denver, CO 80202 Plaintiff: THE PEOPLE OF THE STATE OF COLORADO Defendant: JAMES W. FABER ? COURT USE ONLY ?

Case Number: Grand Jury No. 12CR2B Div.: Criminal Ctrm: 5H / ____ INDICTMENT VIOLATION OF COLORADO ORGANIZED CRIME CONTROL ACT, C.R.S. 18-17-104(3), (F2) <37284> 1 (1 count) SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> 2, 4, 9, 10, 18 & 22 (6 counts) THEFT, C.R.S. 18-4-401(1)(c), (2)(d) (F3) <0801V> 3, 8, 13, & 20 (4 counts) THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801I> 5, 11, 15 & 23 (4 counts) THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> 6, 7, 12, 14, 16, 17, 19, & 21 (8 counts) THEFT, C.R.S. 18-4-401(1),(4) (F4) <0801W> 24 (1 count) The Grand Jury presents the within Indictment and the same is ordered filed.

Dated this _________ day of ____________________, 2012.

_________________________________________ Martin F. Egelhoff Presiding Judge Denver District Court

COUNT ONE VIOLATION OF COLORADO ORGANIZED CRIME CONTROL ACT, C.R.S. 18-17-104(3), (F2) <37284> Between and including May 1, 2006 and January 26, 2010, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, established or operated an enterprise, namely: Independent Trustee Services, Ltd, The Golden Resources Fund Ltd. dba Goldfish Fund, The Chimera Group, Ltd, EchoEntropy, Ltd, CRC Ltd, Faber Family Trust and Bantz Family Trust, did unlawfully, feloniously, and knowingly conducted or participated, directly or indirectly, in the enterprise through a pattern of racketeering activity; in violation of sections 1817-104(3) and 18-17-105, C.R.S. The Enterprise The Enterprise alleged in Count 1 included, but was not limited to the following: Independent Trustee Services, Ltd, The Golden Resources Fund Ltd. dba Goldfish Fund, The Chimera Group, Ltd, EchoEntropy, Ltd., CRC Ltd, The Faber Family Trust and The Bantz Family Trust. Pattern of Racketeering Activity For purposes of this count, the Defendant engaged in acts related to the conduct of the enterprise, at least one of which took place in the State of Colorado after July 1, 1981, and the last of which occurred within ten years after a prior act of racketeering activity: As to James W. Faber, the acts described in Counts 2 through 24 of this Indictment. COUNT TWO SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including May 1, 2006 and January 1, 2010, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, in connection with the offer, sale, or purchase of a security, to-wit: investment contract, Corporate Debt Instrument or Trust Deposit Agreement, directly or indirectly, to LEE ADAMS, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51-501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Ms. Adams was after January 2010.

COUNT THREE THEFT, C.R.S. 18-4-401(1)(c), (2)(d) (F3) <0801V> Between and including May 1, 2006 and January 1, 2010, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly

obtained or exercised control over a thing of value, namely: MONEY OF LEE ADAMS, with the value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive LEE ADAMS permanently of its use or benefit; in violation of section 18-4-401(1)(c),(2)(d), C.R.S. Further, the date of discovery of the theft of money from Lee Adams was after January 2010. The facts supporting Counts 1-3 are as follows: 1. 2. Bar. All facts in support of all other counts are incorporated herein by reference. On or about October 29, 2001, James W. Faber (Faber) was admitted to the Colorado

3. Beginning on or about May 11, 2006, and continuing through and including January 26, 2010, at or triable in the City and County of Denver, State of Colorado, Faber, knowingly devised and intended to devise schemes to obtain money from and defraud investors by means of false and misleading representations, material omissions, and knowingly used, concealed, or abandoned investors money so as to deprive them of the use and benefit of their money. 4. On or about May 11, 2006, Independent Trustee Services, Ltd (Independent) was registered in the State of Colorado. The original registered agent of Independent was Oster, Martin & Faber, LLC, with a registered address of 370 17th Street, Suite 4400 in the City and County of Denver, State of Colorado and was incorporated by Victoria Bantz (Bantz). 5. On or about May 20, 2006, CRC, Ltd. (CRC) was registered in the State of Colorado. The original registered agent of CRC was Oster, Martin & Faber, LLC, with a registered address of 370 17th Street, Suite 4400 in the City and County of Denver, State of Colorado and was incorporated by Bantz. 6. On or about May 22, 2006, EchoEntropy Ltd. (Echo) was registered in the State of Colorado. The original registered agent of Echo was Oster, Martin & Faber, LLC, with a registered address of 370 17th Street, Suite 4400 in the City and County of Denver, State of Colorado and was incorporated by Bantz. 7. On or about June 26, 2006, Faber Bantz PC, a professional corporation, was registered in the State of Colorado. The registered agent was Faber and its address was 370 17 th Street, Suite 4400, in the City and County of Denver, State of Colorado. During all relevant times of the Indictment the only two partners of Faber Bantz PC were Faber and Bantz. 8. Beginning in approximately March 2006 Lee Adams (Adams) met with Faber in the City and County of Denver, State of Colorado to discuss how she could transfer $1,000,000.00 from an account she had in Europe to the United States. 9. In approximately July 2006 Faber advised Adams that he had an investment in a coal mining company in Canada and he could put the $1,000,000.00 in that company and then give

her interest payments for three years. Faber further stated that after three years he would return her $1,000,000.00 in full and there would be no taxes taken from it because it was a Canadian company. Adams was reassured by Faber that it was completely legal. 10. Based on the representations of Faber, Adams instructed the European bank to transfer approximately $1,000,000.00 to Independent Trustee Services, Ltd. 11. On or about August 24, 2006, Lloyds TSB in London, England wired $1,000,000.00 to Independents bank account ending in 7923 at Vectra Bank, located at 717 17th Street, Suite 100, in the City and County of Denver, State of Colorado. The signatories on account ending in 7923 were Faber and Bantz. 12. On or about September 15, 2006, Faber provided Adams with a Corporate Debt Instrument and a Trust Deposit Agreement. Faber told Adams that he had structured the transaction so that Independent invested in CRC on her behalf, and that CRC promised to pay $1,000,000.00 plus 8% interest to Independent, which she would receive quarterly ($20,000.00). The date of maturity for the investment was October 15, 2009. 13. At no time during the times relevant of this Indictment, while Faber was promoting Independent or CRC to Adams did Faber ever disclose to Adams any of the following material facts: a. Any risks associated with investing with Faber, Independent or CRC; b. That her investment money would never be invested in a Canadian company or coal mine; c. That her investment money would be pooled with other investors dollars in the Goldfish Fund; d. That her investment money would be used to pay off prior investors, including but not limited to Fabers family members; e. That her investment money would be divided in half between The Faber Family Trust and The Bantz Family Trust; f. That The Faber Family Trust and The Bantz Family Trust, which were ultimately under the control of Faber, would then invest her investment money in the Goldfish Fund; g. That her investment money would be used by Faber to run his law practice or Faber Bantz PC. 14. Had Adams known one or more of the material false, misleading or omitted facts in paragraphs 13 and 20, she would not have invested with Faber, Independent or CRC.

15. On or about October 9, 2006, The Chimera Group Ltd. (Chimera) was registered in the State of Colorado. The registered agent of Chimera was Faber Bantz PC with a registered address of 535 16th Street, Suite 600 in the City and County of Denver, State of Colorado. 16. On or about October 25, 2006, The Golden Resources Fund Ltd dba Goldfish Fund (Goldfish Fund), a Colorado limited liability limited partnership, was registered in the State of Colorado. The principal place of business of the partnership was 535 16th Street, Suite 600, in the City and County of Denver, State of Colorado. 17. The designated purpose of the Goldfish Fund was investment in the exploration and development in the mining and natural resource field, with its principal place of business at 535 16th Street, Suite 600, in the City and County of Denver, State of Colorado. At all relevant times of the Indictment Faber primarily controlled the Goldfish Fund and all of its bank accounts and trading accounts related to its activities. 18. From approximately May 2006 to January 2009, Faber solicited and received over $1,700,000.00 from Dr. Pius Kamau (Dr. Kamau), Samuel Gordon, Luke Gordon, Lisa Gaige (Gaige), and Dr. Paul Dragul (Dr. Dragul) for investments in CRC and the Goldfish Fund. 19. As promoted by Faber, investors would be entitled to receive a profit or return on their investment based on the performance of the Goldfish Fund. If the fund had profits it would be divided amongst the partners, with 80% of the profits going to the investors and 20% going to the general partners. The general partners of the Goldfish Fun were Faber, Bantz and Declan Costello (Costello). The partnership also allocated 2% of the funds value towards management fees. 20. At no time during the relevant times of this Indictment while Faber was promoting CRC or the Goldfish Fund to Dr. Kamau, the Gordons, Gaige or Dr. Dragul did Faber ever disclose to them any of the following material facts: a. Any risks associated with investing with Faber, CRC or the Goldfish Fund; b. That Faber had obtained $1,000,000.00 from Adams to be invested in CRC that had a fixed return of 8% interest regardless of the performance of CRC or the Goldfish Fund; c. That Faber had not disclosed to Adams that he did not invest her money in CRC, but instead divided it between two trusts, The Faber Family Trust and The Bantz Family Trust; without Adams knowledge or consent; d. That Faber had not disclosed to Adams that the two trusts would then invest her money in the Goldfish Fund or use it to pay for expenses related to his law practice or that of Faber Bantz PC; e. That to make the quarterly 8% interest payments to Adams, Faber would use money from new investors or use money in the Goldfish Fund since the returns of the

Goldfish Fund were insufficient to make that high guaranteed return; f. That the Goldfish Fund value was constantly being reduced by Fabers constant withdrawal of money to pay Adams, himself, his business expenses, pay off prior investors and or legal fees charged by Faber to the fund; g. That Faber Bantz PC was not generating any real revenue from clients besides the Goldfish Fund and could only pay its bill by charging alleged legal fees to the Goldfish Fund or borrowing money from the two trusts or the Goldfish Fund itself; h. That some of the investors investments into the Goldfish Fund were not deposited into the Goldfish Fund accounts but instead went directly to Faber and/or one of the accounts under his control; i. That the return on the investing of the Goldfish Fund by Faber and Costello was insufficient to pay Adams principal in October 2009 without new investors money being brought in; j. That Faber was using the investors money and the Goldfish Fund to run his law firm and invest in martial art studios. 21. Had Dr. Kamau, the Gordons, Gaige or Dr. Dragul known one or more of the material false, misleading or omitted facts in paragraph 13 and/or 20, they would not have invested with Faber, CRC or the Goldfish Fund. 22. Starting in January 2007 and ending in October 2009, Adams received quarterly 8% interest payments ($20,000.00) per the investment. 23. After the investment had matured in October 2009, Faber failed to return Adams $1,000,000.00 as set forth in the Corporate Debt Instrument and a Trust Deposit Agreement. 23. After October 2009, Adams and her representatives contacted Mr. Faber to find out when her $1,000,000.00 would be returned. Faber told Adams and her representatives that he was working on it, but ultimately stopped all communication with Adams and her representatives. 23. In approximately January 2010 and thereafter, Adams learned that her $1,000,000.00 had not been invested in CRC or a Canadian coal mine but instead had been used by Faber to run the Goldfish Fund, his law practice or Faber Bantz PC, pay off prior investors, and to pay his personal and unrelated business expenses. 24. Ultimately, it was determined that Adams $1,000,000.00 was divided up between The Faber Family Trust and The Bantz Family Trust, which were created and formed by Faber and Bantz, at the direction of Faber. 25. In approximately January 2010 and thereafter, Dr. Kamau, Dr. Dragul, the Gordons and Gaige began to inquire of Faber, on their own and through legal representatives, the status of

their investments with Faber, CRC and the Goldfish Fund. 26. As a result of their investment with Faber, CRC and the Goldfish Fund, and Fabers unauthorized and deceptive taking of their money, Adams, Dr. Kamau, Dr. Dragul, the Gordons and Gaige were deprived of the use and benefit of their money.

COUNT FOUR SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including March 2006 and September 15, 2006, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, in connection with the offer, sale, or purchase of a security, to-wit: investment contract directly or indirectly, to DR. PIUS KAMAU, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Dr. Pius Kamau was after January 2010. COUNT FIVE THEFT, 18-4-401(1),(4) C.R.S. (F3) <0801I> Between and including May 26, 2006 and November 1, 2006, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF DR. PIUS KAMAU, twice or more within a period of six months, with an aggregate value of fifteen thousand dollars or more, without authorization, or by threat or deception, and knowingly used, concealed, or abandoned the thing of value in such manner as to permanently deprive DR. PIUS KAMAU of its use or benefit; in violation of section 18-4-401(1)(b),(4), C.R.S. Further, the date of discovery of the theft of money from Dr. Pius Kamau was in approximately January 2010 COUNT SIX THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including May 4, 2007 and July 10, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF DR. PIUS KAMAU, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PIUS KAMAU permanently of its use or benefit; in violation of section 18-4-401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Dr. Pius Kamau was in approximately January 2010. COUNT SEVEN THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including November 29, 2007 and February 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF DR. PIUS KAMAU, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed,

or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PIUS KAMAU permanently of its use or benefit; in violation of section 18-4401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Dr. Pius Kamau was in approximately January 2010. COUNT EIGHT THEFT, C.R.S. 18-4-401(1),(c) (2)(d) (F3) <0801V> On or about December 2, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over a thing of value, namely: MONEY OF PIUS KAMAU, with the value of twenty dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PIUS KAMAU permanently of its use or benefit; in violation of section 18-4401(1)(c),(2)(d), C.R.S. Further, the date of discovery of the theft of money from Dr. Pius Kamau was in approximately January 2010. The facts supporting Counts 4, 5, 6, 7 and 8 are as follows: 1. The facts supporting all other counts in this Indictment are incorporated herein by reference. 2. In the early part of 2006, Faber solicited Dr. Kamau to invest in a coal business or CRC, promising Dr. Kamau that if he invested $100,000.00 he would get a ten-fold return in a year. 3. Faber provided Dr. Kamau a large booklet which contained information about CRC. Faber never indicated to Dr. Kamau any risks in investing with CRC or Faber. 4. Based on the representations of Faber, on May 26, 2006, Dr. Kamau invested $100,000.00 into CRC. 5. Ultimately, Dr. Kamau learned from Faber that his money was not invested in CRC but still available. Faber then told Dr. Kamau about another investment opportunity called the Goldfish Fund. 6. Faber told Dr. Kamau that the Goldfish Fund invested in gold, gold mines and goldproducing entities and promoted it as a win-win situation. 7. Based on the representations of Faber, Dr. Kamau rolled over his investment in CRC to the Goldfish Fund in November 2006. 8. Over the next year Dr. Kamau would talk with Faber about the status of his investment and the Goldfish Fund, and provide Dr. Kamau positive reports about the success of the Goldfish Fund. At no time did Faber advise Dr. Kamau about the lack of substantial profits by the Goldfish Fund, the use of Goldfish Fund money to pay Adams or other past investors, the use of

Goldfish Fund money to run his law practice or pay his personal bills or any negative information about Faber or the Goldfish Fund. 9. Based on the representations of Faber and not knowing all the material facts set forth in Counts 1, 2 and 3, paragraphs 13 and 20, Dr. Pius Kamau invested a total of $280,000 with Faber, CRC and/or the Goldfish Fund, specifically: a. b. c. d. e. f. g. On November 1, 2006 On May 4, 2007 On May 16, 2007 On July 10, 2007 On November 29, 2007 On February 1, 2008 On December 2, 2008 $100,000.00 to CRC; $55,000.00 to Goldfish Fund; $5,000.00 to Goldfish Fund; $30,000.00 to Goldfish Fund; $25,000.00 to Goldfish Fund; $25,000.00 to Goldfish Fund; $40,000.00 to Goldfish Fund.

10. As a result of his investing with Faber, CRC and the Goldfish Fund, Dr. Kamau was deprived the use and benefit of his money.

COUNT NINE SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including June 9, 2006 and January 12, 2009, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER in connection with the offer, sale, or purchase of a security, to-wit: investment contract, directly or indirectly, to SAMUEL GORDON, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Samuel Gordon was after March 2010. COUNT TEN SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including November 1, 2006 and February 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, in connection with the offer, sale, or purchase of a security, to-wit: investment contract, directly or indirectly, to LUKE GORDON, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Luke Gordon was after March 2010. COUNT ELEVEN THEFT, 18-4-401(1),(4) C.R.S. (F3) <0801I> Between and including June 9, 2006 and December 28, 2006, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF SAMUEL GORDON, twice or more within a period of six months, with an aggregate value of fifteen thousand dollars or more, without authorization, or by threat or deception, and knowingly used, concealed, or abandoned the thing of value in such manner as to permanently deprive SAMUEL GORDON of its use or benefit; in violation of section 18-4-401(1)(b),(4), C.R.S. Further, the date of discovery of the theft of money from Samuel Gordon was in approximately March 2010 COUNT TWELVE THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including July 1, 2007 and January 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF SAMUEL GORDON, twice or more within a period of six months, with an aggregate value of twenty thousand dollars

or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive SAMUEL GORDON permanently of its use or benefit; in violation of section 18-4-401(1)(c),(4), C.R.S. Further the date of discovery of the theft of money from Samuel Gordon was in approximately March 2010. COUNT THIRTEEN THEFT, C.R.S. 18-4-401(1)(c), (2)(d) (F3) <0801V> On or about February 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over a thing of value, namely: MONEY OF SAMUEL GORDON, with the value of twenty thousand dollars or more, without authorization, or by threat or deception, and knowingly used, concealed, or abandoned the thing of value in such manner as to permanently deprive SAMUEL GORDON of its use or benefit; in violation of section 18-4-401(1)(a)-(c), (4), C.R.S. Further, the date of discovery of the theft of money from Samuel Gordon was in approximately March 2010. COUNT FOURTEEN THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including September 3, 2008 and January 12, 2009, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF SAMUEL GORDON, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive SAMUEL GORDON permanently of its use or benefit; in violation of section 18-4401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Samuel Gordon was in approximately March 2010. COUNT FIFTEEN THEFT, 18-4-401(1),(4) C.R.S. (F3) <0801I> Between and including November 1, 2006 and February 22, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF LUKE GORDON, twice or more within a period of six months, with an aggregate value of fifteen thousand dollars or more, without authorization, or by threat or deception, and knowingly used, concealed, or abandoned the thing of value in such manner as to permanently deprive LUKE GORDON of its use or benefit; in violation of section 18-4-401(1)(b),(4), C.R.S. Further, the date of discovery of the theft of money from Luke Gordon was in approximately March 2010.

COUNT SIXTEEN THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including March 14, 2007 and July 10, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF LUKE GORDON, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive LUKE GORDON permanently of its use or benefit; in violation of section 18-4-401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Luke Gordon was in approximately March 2010. COUNT SEVENTEEN THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including January 3, 2008 and February 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF LUKE GORDON, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive LUKE GORDON permanently of its use or benefit; in violation of section 18-4401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Luke Gordon was in approximately March 2010. The facts supporting Counts 8, 9, 10, 11, 12, 13, 14, 15, 16, and 17 are as follows: 1. The facts supporting all other counts in this Indictment are incorporated herein by reference. 2. In approximately June 2006, Samuel Gordon was approached by Faber about an investment opportunity Faber was putting together that would consist of private placements and stock, with 30% of the investor money being kept in a cash reserve. Faber told Samuel Gordon that it was called the Goldfish Fund. 3. Based on the representations of Faber and not knowing all the material facts set forth in Counts 1, 2 and 3, paragraphs 13 and 20, Samuel Gordon invested approximately $401,000.00 with Faber, CRC and/or the Goldfish Fund, specifically: a. b. c. d. On November 1, 2006 On November 1, 2006 On December 4, 2006 On December 28, 2006 $150,000.00 to CRC; $50,000.00 to CRC; $25,000.00 to Goldfish Fund; $10,000.00 to CRC & Goldfish Fund;

e. f. g. h. i.

On July 24, 2007 On October 15, 2007 On February 1, 2008 On September 3, 2008 On January 12, 2009

$22,500.00 to Goldfish Fund; $27,500.00 to Goldfish Fund; $75,000.00 to Goldfish Fund; $10,000.00 to Goldfish Fund; $31,000.00 to Goldfish Fund.

4. Samuel Gordon did not know that there was a problem with the Goldfish Fund or that his money was gone until his brother Luke Gordon started to request information from Faber in approximately March 2010. 5. As a result of investing with Faber and the Goldfish Fund Samuel Gordon was deprived the use and benefit of his money. 6. Luke Gordon was introduced to Faber by his brother Samuel Gordon.

7. In approximately November 2006, Faber told Luke Gordon that the Goldfish Fund was investing in a coal company called CRC and 23 smaller gold and mineral companies located somewhere in Canada and Indonesia. 8. Based on the representations of Faber and not knowing all the material facts set forth in Counts 1, 2 and 3, paragraphs 13 and 20, Luke Gordon invested approximately $379,370.00 with Faber, CRC and/or the Goldfish Fund, specifically: a. b. c. d. e. g. On November 1, 2006 On January 9, 2007 On March 14, 2007 On July 10, 2007 On January 3, 2008 On February 1, 2008 $150,000.00 to CRC; $12,500.00 to Goldfish Fund; $31,500.00 to Goldfish Fund; $101,000.00 to CRC & Goldfish Fund; $20,000.00 to Goldfish Fund; $90,000.00 to Goldfish Fund.

9. Luke Gordon did not know that there was a problem with CRC, the Goldfish Fund or Faber until he received certain account statements from Faber in March 2010. 10. As a result of investing with Faber, CRC and the Goldfish Fund Luke Gordon was deprived of the use and benefit of his money.

COUNT EIGHTEEN SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including May 1, 2007 and September 3, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, in connection with the offer, sale, or purchase of a security, to-wit: investment contract directly or indirectly, to DR. PAUL DRAGUL, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Dr. Paul Dragul was after January 2010. COUNT NINETEEN THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including October 3, 2007 and December 7, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF DR. PAUL DRAGUL, twice or more within a period of six months, with an aggregate value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PAUL DRAGUL permanently of its use or benefit; in violation of section 18-4401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Dr. Paul Dragul was after January 2010. COUNT TWENTY THEFT, C.R.S. 18-4-401(1)(c), (2)(d) (F3) <0801V> On or about March 26, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly [obtained or exercised control over a thing of value, namely: MONEY OF DR. PAUL DRAGUL, with the value of twenty thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PAUL DRAGUL permanently of its use or benefit; in violation of section 18-4401(1)(c),(2)(d), C.R.S. Further, the date of discovery of the theft of money from Dr. Paul Dragul was after January 2010. COUNT TWENTY-ONE THEFT, C.R.S. 18-4-401(1),(4) (F3) <0801X> Between and including September 4, 2008 and October 6, 2008,, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF DR. PAUL DRAGUL, twice or more within a period of six months, with an aggregate value of twenty

thousand dollars or more, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive DR. PAUL DRAGUL permanently of its use or benefit; in violation of section 18-4401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Dr. Paul Dragul was after January 2010. The facts supporting Counts 18, 19, 20 and 21 are as follows: 1. The facts supporting all other counts in this Indictment are incorporated herein by reference. 2. In the summer of 2007 Faber told Dr. Dragul that he had assembled a team of experts and professionals who had expertise in securities, tax, and working with companies in metals, oil and gas. Ultimately, Dr. Dragul was provided information about the Goldfish Fund by Faber. 3. Based on the representations of Faber and not knowing all the material facts set forth in Counts 1, 2 and 3, paragraphs 13 and 20, Dr. Dragul invested approximately $635,000.00 with Faber, CRC or the Goldfish Fund, specifically: a. b. c. d. e. f. g. On October 3, 2007 On October 17, 2007 On November 13, 2007 On December 7, 2007 On March 26, 2008 On September 4, 2008 On October 6, 2008 $200,640.56 to Goldfish Fund; $200,000.00 to Goldfish Fund; $150,000.00 to Goldfish Fund; $75,000.00 to Goldfish Fund; $50,000.00 to Goldfish Fund; $12,500.00 to Goldfish Fund; $12,500.00 to Goldfish Fund.

4. Dr. Dragul did not become aware that his money had been misused until after January 2010 when he and his representatives began to question Faber and inquire as to the use of Dr. Draguls investment money. 5. As a result of his investing with Faber in CRC and the Goldfish Fund, Dr. Dragul was deprived of the use and benefit of his money.

COUNT TWENTY-TWO SECURITIES FRAUD - UNTRUE STATEMENT OR OMISSION, C.R.S. 11-51-501(1)(b) (F3) <50052> Between and including November 1, 2006 and February 1, 2008, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER, in connection with the offer, sale, or purchase of a security, to-wit: investment contract directly or indirectly, to LISA GAIGE, unlawfully, feloniously, and willfully made an untrue statement of a material fact or omitted to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; in violation of sections 11-51501(1)(b) and 11-51-603(1), C.R.S. Further, the date of discovery of the fraud against Lisa Gaige was after March 2010. COUNT TWENTY-THREE THEFT, 18-4-401(1),(4) C.R.S. (F3) <0801I> Between and including November 1, 2006 and January 16, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF LISA GAIGE, twice or more within a period of six months, with an aggregate value of fifteen thousand dollars or more, without authorization, or by threat or deception, and knowingly used, concealed, or abandoned the thing of value in such manner as to permanently deprive LISA GAIGE of its use or benefit; in violation of section 18-4-401(1)(b),(4), C.R.S. Further, the date of discovery of the theft of money from Lisa Gaige was in approximately March 2010 COUNT TWENTY-FOUR THEFT, C.R.S. 18-4-401(1),(4) (F4) <0801W> Between and including May 16, 2007 and October 15, 2007, at and triable in the City and County of Denver, State of Colorado, JAMES W. FABER unlawfully, feloniously, and knowingly obtained or exercised control over things of value, namely: MONEY OF LISA GAIGE, twice or more within a period of six months, with an aggregate value of one thousand dollars or more but less than twenty thousand dollars, without authorization, or by threat or deception, and used, concealed, or abandoned the thing of value intending that such use, concealment, or abandonment would deprive LISA GAIGE permanently of its use or benefit; in violation of section 18-4-401(1)(c),(4), C.R.S. Further, the date of discovery of the theft of money from Lisa Gaige was in approximately March 2010. The facts supporting Counts 22, 23 and 24 are as follows: 1. The facts supporting all other counts in this Indictment are incorporated herein by reference. 2. Gaige was introduced to Faber through her employer Samuel Gordon.

3. Samuel Gordon had told Gaige about the Goldfish Fund investment and Gaige asked if she could investment. Samuel Gordon then facilitated a meeting between Faber and Gaige. 4. Faber told Gaige that the Goldfish Fund invested in gold in Asia and possibly Canada.

5. Based on the representations of Faber and not knowing all the material facts set forth in Counts 1, 2 and 3, paragraphs 13 and 20, Gaige invested $36,615.00 with CRC or the Goldfish Fund, specifically: a. b. c. d. e. f. g. 6. On November 1, 2006 On December 28, 2006 On January 16, 2007 On May 16, 2007 On July 24, 2007 On October 15, 2007 On February 1, 2008 $7,500.00 to CRC; $1,615.00 to Goldfish Fund; $7,500.00 to Goldfish Fund; $10,000.00 to Goldfish Fund; $2,500.00 to Goldfish Fund; $2,500.00 to Goldfish Fund; $5,000.00 to Goldfish Fund.

Lisa Gaige did not know there was a problem with her money until March 2010.

7. As a result of her investing with Faber in CRC and the Goldfish Fund, Gaige was deprived of the use and benefit of her money.

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