Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 1 of 7TB

May 29, 2013

UNITED STATES DISTRICT CO URT

SO U TH ER N DISTR IC T O F FLO R IDA

13-20400-CR-LENARD/O'SULLIVAN
C ase N o.
18 U.S.C.j1505
18U.S.C.j 1621

UNITED STA TES O F A M ER IC A

V S.

RO B ERT J.V ITAL E,

D efendant.
/

INFO R M A TIO N

The U nited StatesA ttorney chargesthat:

GE NER AL ALLE G AT IO NS

Atalltimesm aterialto thislnform ation:

DefendantRO BERT J.VITALE wasaresidentofBroward County,Florida.

TheUnitedStatesSecuritiesandExchangeCommission ($1SEC'')wasan agencyof

the United States charged with enforcing the securities laws,including investigating investm ent

fraudand tracing fundstraceableto such fraud.

On or about August 15,2006,the United States DistrictCourtfor the Southern

District of Florida entered a Final Judgm ent in United States Robert Vitale, No.

04-60493-CV-C014N (ktthe 2004 Case''),in which ROBERT J.VITALE was,among other

things,ordered to pay disgorgem ent and civilpenalties of $100,025 for alleged violations of

Section 10(b)oftheSecuritiesExchangeActof1934.
Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 2 of 7

4. As ofJune 5,2012,RO BERT J.VITALE failed to satisfy hisobligationsasset

forth in theFinalJudgm entin the2004 Case.

Priorto M ay 1,2012,theSEC wasconductingan investigation into allegationsthat

ROBERT J.VITALE had engaged in conductthatviolated the securitieslaws,in amatterstyled,

ln the Matter of RobertJ Vitale,Agency No.HO-11149 Cithe 2012 lnvestigation''),thatwas

separate from the2004 Case. Aspartofthe 2012 Investigation,the SEC soughtto identity allof

V ITAL E'Sassetsand bank accounts.

On oraboutJune4,2012,ROBERT J.VITALE com pleted and subm itted to the

SEC,an SEC form entitled StBackground Questionnaire.'' Theform requiredVITALE tolistall

bank accountsoverwhich he had any directorindirectbeneficialinterest,orthatwereheld in his

nam e.

O n oraboutJune 5,2012,R O BER T J.V ITALE provided swol.

n testim ony to the

SEC at the SEC'S M iam iRegional Oftlce,801 BrickellAvenue,Suite 1800,M iami,Florida,

33131.

CO U N T 1
O bstruction of Proceedings Before the U .S.Securities and Exchange Com m ission
(18 U.S.C.j1505)
Paragraphs1through 7 ofthe GeneralAllegationssection ofthisInform ation are

re-allegedand incorporated herein by reference.

Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 3 of 7

2. Beginning in oraround M ay 2012,andcontinuing to atleastJune 5,2012,in

(
M imni-DadeCounty,inthe Southern DistrictofFlorida,and elsewhere,thedefendant,

R O BER T J.V ITA LE,

did corruptly influence,obstruct,and impede,and endeavorto influence,obstruct,and impede,the

dueand properadm inistration ofthe law underwhich apending proceeding wasbeing conducted

before the United States Securities and Exchange Com m ission,an agency ofthe United Statess

specifically In the Matterof RobertJ Vitale,Agency No.HO-11149,in violation ofTitle 18,

United StatesCode,Section 1505.

CO U N T 2
Perjury
(18 U.S.C.j1621)
Paragraphs 1through 7 ofthe GeneralAllegationssection ofthislnfonnation are

re-alleged and incom orated herein byreference.

On oraboutJune5,2012,in M iam i-Dade County,in the Southern Districtof

Florida,thedefendant,
R O BER T J.V ITA LE,

having taken an oath beforeacompetentofsceroftheSEC during an investigation duly authorized

by the SEC,in a matterin which Title 15,United States Code,Section 77sand Title 15,United

States Code,Section 78u authorized an oath to be administered,thathe would testify trt

zly,did

willfully and contrary to said oath state m aterialmatterwhich he did notbelieve to be true,in

connection with the SEC investigation styled In the Matter of RobertJ Vitale,Agency No.
H O -11149.

ltwasm aterialto the m atterdescribed in paragraph 2,as to:

Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 4 of 7

A. Theidentity and accountinformation forallindividualbank accountsin the

possession,custody orcontrolofROBERT J.VITALE;

B. The am ount,location,and sourceofa1lfundsin thepossession,custody or

controlofR O BER T J.V ITA LE ;and

C. The nam e of any business entity over which ROBERT J. VITALE

exercised any control,including thenameand accountnum berofanybank accountaffiliated with

such entity.
Priorto providing sworn testim ony to the SEC on oraboutJune 5,2012,ROBERT

J.VITALE,providedto the SEC a documententitled tçBackground Questionnaire,''which was

identified as CSSEC Exhibit 21'9during the sworn testimony and which contained VITALE'S

responsesto questionspertainingto the materialm attersetforth in paragraph 3 above.

At the tim e and place set forth in paragraph 2 above,ROBERT J. VITA LE

appeared asa witnessbefore the SEC,and then and there being underoath as aforesaid,testified

falsely beforetheSEC withrespectto the aforesaid materialm atterasfollows:

Q. Canyoutakealook atExhibit21?
A. Yes.

Q. lsthe infonnation truthfuland accurate?

A. To the bestofm y abilities,yes.

+*+

Q. Okay. And the last,in the lastyearsdo you have any otheraccounts?

That'sa1lthatcam e in m y m ind w hen 1w as filling thisout.

Theaforesaid underscored testimony ofRO BERT J.VITALE,ashethen andthere

4
Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 5 of 7

wellknew and believed,was false in thatVITALE was the signatory on two separate bank

accounts that VITALE failed to disclose to the SEC. Prior to completing the çtBackground

Questiolmaire,''and with the specific purpose ofhiding and concealing the existence ofthese
accountsand the funds contained in the accounts from the SEC during the aforesaid testimony,

VITALE deposited $100,000intoa W ellsFargo accountin Ft.Lauderdale,Florida,inthenameof

':B.L.Inc.''on oraboutM ay 23,2012. VITALE wasasignatory ontheEtB.L.lnc.''accountand at

a11relevanttimes,owned and controlled these funds. VITALE did notdisclose this accountor

thesefundsontheSlBackgroundQuestionnaire''orinhisaforesaidtestimony.
InviolationofTitle 18,UnitedStatesCode,Section 162141).

l yl.
W IFRED O A .FERRER
UN IT D STA TES A TTO RN EY

JE O DU F
A SS ST N T UN ITED STA TES A TTO RN EY
 UNITED STATES DISTRICT COURT
Case 1:13-cr-20400-JAL Document 1 Entered
SOUTHERN DISTRICTon
OFFLSD
FLORIDocket
DA 05/29/2013 Page 6 of 7

UNITED STATES OF AMERICA CASE N0.

VS.
C ERTIFICATE O F TRIA L ATTO R NEY*
ROBERT J.VITALE,
Defendant.
l Superseding Case Inform ation:

CourtDivision:(selectone) New Defendantts) Yes No -

NumberofNew Defendants
Totalnumberofcounts
X- Mi
FTaLmi w
KeIBWest FTp
Ido hereby certi
fythat:
Ihavecarefullyconsideredtheallegationspftheindi
ctm:nt thenumberQfdefendants,thenumberof
Probabl
e witnessesand the legalcom plexl
ties ofthe lndlctment/lnformatl
on attached hereto.
2. Iam pware thatthe information supplied gn thiq qtatementwillbe reli
ed upon by the Judqes ofthis
CourtInsettingtheircalendarsand schedullngcrlm lnaltrlalsunderthem andateofiheSpeed- yTrialAct,
Title 28 U.S.C.Section 3161.
3. Mn
l
L
ql
s
t
etr
l
p
ar
n
egtu
ea
r:
gean(
d
Y/o
er
sd
Ml
rl
aN
ec
j
Thiscase willtake rl days forthe padies to try.
5. Please checkappropriate category and type ofoffense Iisted below:
(Checkonlyone) (Checkonlyone)
0 to 5 days -X P:tty
6 to 10 days Mlnor
11to 20 days Mlsdem .
21to 60 days Fel
ony
61daysand over
6. Hasthiscase been previousl
yfiledinthisDi
strictCourt? (YesorNo) Nn
Ifyes:
Judge: -- Case No.
(AttachcopyMfdispositive Mrdel)
Hasacomplalntbeenfiled Inthlsmatter? (YesorNo) Nn
Ifyej:
Maglstrate Case No.
Related M isc:ffaneous numbers:
Defendantts)lnfederalcustodyasof
Defendantts)lnstatecustodyasof
Rule 20from the Distri
ctof
lsthisa potentialdeathpenal
tycase?(YesorNo)
Doesthiscaseori
ginatefrom a matterpending inthe Nodhern Regionofthe U.S.Attorney'sOfficeprior
to October14,2G03? Yes X No

8. Does
t thi
o Sept scase
em ber1or
,2igi
nate from a mat
D07? terpendi
Yes X ng intNo
he CentralRegionofthe U.S.Attorney'sOffice prior

JER O D
AS>
Florl
NT UNITED STATES ATTORNEY
da arNo./courtNo.A5501106

*penaltySheetts)attached REV4/8/08
Case 1:13-cr-20400-JAL Document 1 Entered on FLSD Docket 05/29/2013 Page 7 of 7

UNITED STATES DISTRICT CO URT

SOUTHERN DISTRICT OF FLORIDA

PEN A LTY SHEET

Defendant's N am e:R O BE RT J.V ITALE

C ase N o:

Count #:1
Obstruction ofProceedincsBeforetheU.S.Securitiesand Exchange Comm ission

Title 18.United StatesCode.Section 1505

#M ax.Penalty: Five(5)years'imprisonment
Count #:2

Peljury
Title 18.United StatesCode.Sççtiom 162L .

*M ax.Penalty: Five(5)years'imprisonment