1c’1z...securities fraud, 11-51-501(1)(c) and 11-51-603(1) c.r.s. (class 3 felony) {50053}...
TRANSCRIPT
DIS
TR
ICT
CO
UR
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DO
UG
LA
SC
OU
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CO
LO
RA
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,
JEF
FO
RY
SH
IEL
DS
,D
OB
:10/01/1964
Defendant.
CO
UR
TU
SEO
NL
YJO
HN
W.
SU
TH
ER
S,
Attorney
General
MIC
HA
EL
BE
LL
IPA
NN
I,C
aseN
o.:1c’1Z2
(‘i‘2-S
enio
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ssistant
Atto
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Gen
eral*
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nsel
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CO
LO
RA
DO
ST
AT
EG
RA
ND
JUR
YIN
DIC
TM
EN
T
CO
UN
TO
NE
:SE
CU
RIT
IES
FRA
UD
,§§
11-51-501(l)(b)and
11-51-603(1)
C.R
.S.(Class
3Felony)
{50052}
CO
UN
TT
WO
:T
HE
FT,
§18-4-401(l)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TT
HR
EE
:SE
CU
RIT
IES
FRA
UD
,§§
1l-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TFO
UR
:T
HE
FT,§18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
}
CO
UN
TFIV
E:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(1)(b)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TSIX
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TSE
VE
N:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(1)(b)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TE
IGH
T:
TH
EFT
,§18-4-401(l)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
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CO
UN
TN
INE
:SE
CIJR
IT1E
SFR
AU
D,§
§11-5
1-501(l)(b)and
11-51-•
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TT
EN
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TE
LE
VE
N:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(l)(b)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TT
WE
LV
E:
TH
EFT
,§18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass
3Felony),
{801V}
CO
UN
TT
HIR
TE
EN
:SE
CU
RIT
IES
FRA
UD
,§§
l1-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TFO
UR
TE
EN
:T
F[EFT
,§ 18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
}
CO
UN
TFIFT
EE
N:
SEC
UR
ITIE
SFR
AU
D,§
§1l-51-501(l)(c)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50053}
CO
UN
TSIX
TE
EN
:SE
CU
RIT
IES
FRA
UD
,§§
11-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TSE
VE
NT
EE
N:
TH
EFT
,§18-4-401(1)(b)(2)(c)
C.R
.S.(C
lass4
Felony),{801U
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CO
UN
TE
IGH
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EN
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CU
RIT
IES
FRA
UD
,§§
11-51-50l(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TN
INE
TE
EN
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
V(C
lass3
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CO
UN
TT
WE
NT
Y:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(1)(b)
and11-51-
V
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TT
WE
NT
YO
NE
:T
HE
FT,
§18-4-401(1)(b)(2)(c)C
.R.S.
V
(Class
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{801U}
CO
UN
TT
WE
NT
YT
WO
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CU
RIT
IES
FRA
UD
,§§
11-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TT
WE
NT
YT
HR
EE
:T
HE
FT,
§18-4-401(1)(b)(2)(c)C
.R.S.
(Class
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{801U}
CO
UN
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WE
NT
YFO
UR
:SE
CU
RIT
IES
FRA
UD
,§§
1 l-51-501(1)(c)and
11-51-603(1)
C.R
.S.(C
lass3
Felony) {50053}
CO
UN
TT
WE
NT
YFIV
E:
SE
CU
RiT
IES
FRA
UD
,§§
1 1-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TT
WE
NT
YSIX
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TT
WE
NT
YSE
VE
N:
SEC
UR
ITIE
SFR
AU
D,§
§1l-51-501(l)(b)
and11-51-
603(1)C
.R.S.(C
lass3
Felony){50052}
CO
UN
TT
WE
NT
YE
IGH
T:
TH
EFT
,§18-4-401(l)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
}
CO
UN
TT
WE
NT
YN
1NE
:SE
CU
RIT
IES
FRA
UD
,§§
ll-51-501(l)(b)and
11-51-603(1)
C.R
.S. (Class
3Felony)
{50052}
CO
UN
TT
HIR
TY
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TT
HIR
TY
ON
E:
SEC
UR
ITIE
SFR
AU
D,§
§11-5l-501(1)(b)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TT
HIR
TY
TW
O:
TH
EFT
,§18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
}
CO
UN
TT
HIR
TY
TH
RE
E:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(1
)(b)and
11-51-
603(1)C
.R.S.
(Class
3Felony)
{50052}
CO
UN
TT
HIR
TY
FOU
R:
TH
EFT
,§18-4-401(1)(b)(2)(c)
C.R
.S.(C
lass4
Felony),{801U
}
CO
UN
TT
HIR
TY
FIVE
:SE
CU
RIT
IES
FRA
UD
,§§
11-51-501(1)(b)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TT
HIR
TY
SIX:
TH
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,§18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
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CO
UN
TT
HIR
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EN
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CU
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IES
FRA
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,§§
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11-51-603(1)
C.R
.S.(C
lass3
Felony){50052}
CO
UN
TT
HIR
TY
EIG
HT
:T
HE
FT,
§18-4-401(1)(b)(2)(d)C
.R.S.
(Class
3Felony),
{801V}
CO
UN
TT
H.[R
TY
NIN
E:
SEC
UR
ITIE
SFR
AU
D,§
§11-51-501(1)(c)
and11-51-
603(1)C
.R.S.
(Class
3Felony)
{50053}
CO
UN
TFO
RT
Y:
TH
EFT
,§18-4-401(1)(b)(2)(d)
C.R
.S.(C
lass3
Felony),{801V
}
CO
UN
TFO
RT
YO
NE
:SE
CU
RIT
IES
FRA
UD
,§§
11-51-501(1)(c)and
11-51-603(1)
C.R
.S.(C
lass3
Felony){50053}
DIS
TR
ICT
CO
UR
T,
CIT
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TH
ES
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CO
LO
RA
DO
,
Plaintiff,
V.
JEF
FO
RY
SH
IEL
DS
,D
OB
:10/01/1964
Defendant.
CO
UR
TU
SE
ON
LY
JOH
NW
.S
UT
HE
RS
,A
ttorneyG
eneralC
aseN
o.:11C
RO
O1
MIC
HA
EL
BE
LL
IPA
NN
I,S
eniorA
ssistantA
ttorneyG
eneral*1525
Sherm
anS
treet,7th
Floor
Div.
209D
enver,C
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303-866-3416R
egistrationN
umber:
24421*C
ounselofR
ecord
CO
LO
RA
DO
STA
TE
GR
AN
DJU
RY
IND
ICT
ME
NT
Ofth
e2011-2012
termofth
eD
enverD
istrictC
ourtin
theyear
2012;the
2011-2012C
oloradoS
tateG
randJu
rors,
chosen,selected
andsw
ornin
the
name
andby
the
auth
ority
ofthe
People
ofthe
State
ofC
olorado,upon
their
oaths,presen
tth
efollow
ing
ES
SE
NT
IAL
FAC
TS
JEF
FO
RY
SH
IEL
DS
(SH
IEL
DS
)ow
nedand
operatedG
eodynamics
Exploration,
Inc.,and
Geodynam
ics,Inc.
(Geodynam
ics),a
Colorado
company.
Beginning
inor
aboutJan
uary
,2010,
andthrough
July,2011,
SH
IEL
DS
solicitedm
oneyfrom
investorsby
andthrough
thesecom
panies.T
heinvestm
entsoffered
byS
HIE
LD
Sprom
isedhigh
ratesofretu
rn.
The
solicitationfor
investments
was
premised
uponthe
represen
tation
that
thefunds
would
beused
forexploration
anddrilling
ofoil
andgas
wells.
SH
IEL
DS
hadat
leastth
reeoil
andgas
projects,one
eachin
thenam
eof
Johnston’sC
orner,H
uskies,and
Trum
peter,for
explorationand
drillingof
oiland
gasw
ells.In
fact,m
ostofthe
investorfunds
were
notactually
usedfor
thepurpose
ofexploration
anddrilling
oiland
gasw
ells.
SH
IEL
DS
solicitedand
receivedinvestm
entsfrom
Colorado
investorsresu
lting
inC
oloradoinvestor
lossesofover
onem
illiondollars.
SH
IEL
DS
solicitedC
oloradoinvestors
inA
dams,
Arapahoe,
Denver,
Douglas,
Elbert,
Jefferson,and
Larim
ercounties.
SH
IEL
DS
alsosolicited
andaccepted
investments
fromindividuals
fromseveral
otherstates,
incluthng:N
ebraska,T
exas,C
alifornia,N
ewY
ork,N
ewJersey,
Minnesota,
Michigan,
Iffinois,Indiana,
Oklahom
a,M
assachusetts,T
ennessee,H
awaii,
Washington,
andA
rizona.T
hefunds
forthese
out-of-stateinvestors
were
deposited,eith
erby
SH
IEL
DS
orth
rough
wire
transfer
byth
eindividual
investors,directly
intoone
ofS
HIE
LD
S’
Colorado
ban
kaccounts,
heldin
thecity
ofPark
er,D
ouglasC
ounty,C
olorado.S
HIE
LD
Ssolicited
anddirected
investm
ents
fromout-
of-stateinvestors
intohis
Park
erban
kaccounts,
resultin
gin
investorlosses
ofseveral
million
dollars.
SH
IEL
DS
solicitedand
acceptedin
vestm
ent
amounts
ofup
toone
hundred
fortynine
thousan
ddollars
($149,000)per
unit
of interest
forth
eJohnston’s
Corner
project,up
toseventy
seventh
ousan
ddollars
($77,000)per
unit
ofinterest
forH
uskies,and
upto
onehundred
thirty
three
thousan
done
hundred
seventydollars($
133,170)per
unit
of interest
forT
rumpeter.
Most
investorsreceived
a“C
onfidentialInform
ationM
emo”
(CIM
)describing
theoil
andgas
ven
tures
forw
hichS
HIE
LD
Srep
resented
Geodynam
icsw
oulduse
their
investm
ent
fundsand
anapplication
forin
vestm
ent
inthe
project.A
fterth
eirinvestm
entsw
erem
ade,S
HIE
LD
Ssen
tletters
toinvestors
acknowledging
theam
ountofth
eirinvestm
entsand
the
particu
lardrilling
projectth
atth
eirindividual
investm
ents
were
tofund.
The
Johnston’sC
orner,H
uskies,and
Trum
peterin
vestm
ents
offeredand
soldby
SH
IEL
DS
,evidenced
inpart
bythe
CIM
,application,
andacknow
ledgement
letters,constitute
“securities”pursu
ant
to§
11-51-201(17)
C.R
.S.,and
assuch,
aresubject
tothe
provisionsof th
eC
oloradoS
ecuritiesA
ct.
Insoliciting
investors,S
HIE
LD
Sm
adem
aterial,untru
estatem
ents
andom
issionsofm
aterialfacts,
includingone
orm
oreof the
following:
SH
IEL
DS
failedto
discloseth
atall
three
projectsw
ouldbe
oversubscribed.S
HIE
LD
Sdid
notaccurately
represen
tthe
useof
proceeds.S
HIE
LD
Sdid
notdisclose
toinvestors
that
hehad
failedto
depositor
main
taininvestor
fundsfor
usein
theap
pro
priate
projectaccount.
SH
IEL
DS
failedto
discloseth
atinvested
fundsw
ouldbe
usedfor
generaloperating
expenses.S
HIE
LD
Sdid
notdisclose
toinvestors
that
hehad
divertedinvestor
fundsfor
hisow
npersonal
useor
benefit.S
HIE
LD
Sfailed
todisclose
the
comm
issionshe
paidto
him
selfand
tosales
represen
tatives.
SH
IEL
DS
failedto
disclosethe
comm
inglingof
projectfunds.
SH
IEL
DS
failedto
disclosethe
actual
risks
of investingin
thesep
articular
ventures.
SH
IEL
DS
failedto
discloseth
atall
three
projectsw
ouldbe
oversubscribed.S
HIE
LD
Sm
adespecific
represen
tations
regard
ing
the
number
of un
itsand
theam
ountoffunds
that
Geodynam
icsw
ouldcollect
foreach
project.T
heC
IMprovided
toinvestors
forth
e“Johnston’s
Corner”
projectrep
resented
that
ato
talam
ountof
$1,490,000w
ouldbe
collectedfrom
investorsto
fundten
units
ofinterest.
The
CIM
providedto
investorsfor
the“H
uskies”project
represen
tedth
ata
total
amount
of$770,000
would
becollected
frominvestors
tofund
tenu
nits
ofinterest.
The
CIM
providedto
investorsfor
the
“Trum
peter”project
represen
tedth
ata
total
amount
of$665,850
would
becollected
frominvestors
tofund
fiveunits
ofinterest.
Inactuality,
Geodynam
icscollected
substan
tiallym
orefor
theJohnston’s
Corner,
Huskies,
andT
rum
peter
projectsth
anw
asrep
resented
toinvestors.
SH
IEL
DS
didnot
accuratelyrep
resent
Geodynam
ics’use
of investorproceeds.
SH
IEL
DS
,th
rough
Geodynam
ics,solicited
nearlyth
reem
illiondollars,
andcollected
overfive
million
dollars,for
theJohnston’s
Corner,
Huskies,
andT
rum
peter
projects.O
fthe
fundscollected
thro
ugh
thesesolicitations,
SH
IEL
DS
usedless
than
sevenhun
dred
thousan
ddollars
topay
foroil
andgas
drillingexpenses.
SH
IEL
DS
didnot
discloseto
investorsth
athe
had
failedto
depositinvestor
fundsinto
theappropriate
account,or
that
investedfunds
would
bediverted
andused
forgeneral
operatingexpenses.
Inm
ostcases,
investorfunds
collectedfor
eachproject
were
placedinto
aG
eodynamics
accountin
thenam
eofthe
specificproject.
The
fundsw
erethen,
often,tran
sferredto
anoperating
accountand
usedfor
overheadexpenses,
generaloperating
costs,and
otherprojects.
Insom
einstances,
the
fundsw
eredeposited
directlyinto
theG
eodynamics
operatingaccount,
rather
than
theproject
account.
SH
IEL
DS
didnot
discloseto
investorsth
athe
haddiverted
investorfunds
forhis
own
personaluse
orbenefit,
includingapproxim
atelyseven
hu
nd
redforty
seventh
ousan
ddollars
oftheinvested
fundsused
forcosts
associatedw
ithS
HIE
LD
S’
useof
aprivate
Learjet.
SH
IEL
DS
failedto
discloseth
atover
two
hu
nd
redth
ou
sand
dollarsofth
einvested
fundsw
ouldbe
usedfor
costsassociated
with
SH
IEL
DS
’private
vehicles.A
nalysisof
SH
IEL
DS
’banking
activityduring
the
relevan
ttim
eperiod
shows
disbursements
toS
HIE
LD
Sfor
personalexpenses,
payments
toS
HIE
LD
Sindividually,
cashto
SH
IEL
DS
,and
transfers
toS
HIE
LD
S’
personalbank
accountsofinvestor
fundsin
theam
ountofapproxim
atelytw
om
illiondollars.
SH
IEL
DS
failedto
discloseth
athe
paidsales
comm
issionsofup
to15%
tosales
staff.S
HIE
LD
Sfailed
todisclose
that
hepaid
comm
issionsto
himself
ofup
to15%
.
SH
IEL
DS
failedto
discloseth
atinvested
fundsw
ouldbe
comm
ingledand
divertedto
otherprojects.
SH
IEL
DS
acceptedinvestm
entsfor
individualprojects,
acknowledging
theam
ount,th
einvestors
“ownership
position”,and
identifyingth
eproject
the
inv
estmen
tw
asto
beused
for.
SH
IEL
DS
failedto
disclosethe
actual
riskof the
investments.
SH
IEL
DS
toldinvestors
that
their
money
would
beused
fordrilling
oiland
gasw
ells.O
nlya
fractionof investor
fundsw
ereactually
usedfor
theprojects
represen
tedby
SH
IEL
DS
,greatly
increasingthe
riskto
theinvestor.
The
actual
riskofloss
toinvestors
was
significant.
SH
IEL
DS
continuedthe
acts,practices
andcourse
ofbusinessdesigned
todefraud
investorsin
andbetw
eenJan
uary
of2010,
andth
rou
gh
July
of2011.
SH
IEL
DS
continuedto
solicit,accept,
andhold
investorfunds,
knowing
that
the
represen
tedoil
andgas
projectsw
ereinsufficient
togenerate
theprom
isedretu
rns.
SH
IEL
DS
usedinvestor
fundsto
paypersonal
expensesand
continuedto
make
material
misstatem
ents
andom
issionsto
the
investorsafter
their
initial
investments;
inducinginvestors
tom
akesubsequent
investments
for“assessm
ents”an
d“com
pletioncosts.”
These
resultin
gbusiness
practicesoperated
asa
fraudor
deceitupon
investorsin
theJohnston’s
Corner,
Huskies,
andT
rum
peter
projectsS
HIE
LD
Soffered
thro
ugh
Geodynam
ics.
CO
UN
TO
NE
(Securities
Frau
d—
F3)
About
andbetw
eenM
arch8,
2010and
Novem
ber17,
2010,in
andtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
iththe
offeror
saleof
anysecurity
toH
assanN
ekouiedirectly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anuntru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
thestatem
ents
made,
inth
elight
of the
circumstances
und
erw
hichthey
were
made,
notm
isleading,contrary
toth
eform
ofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(1)
(b)and
11-51-603(1)
(Securities
Frau
d—
Class
3F
elony),ag
ainst
the
peaceand
dignityof T
heP
eopleofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Hassan
Nekouie
(hereafter“N
ekouie”)th
eopportunity
toin
vest
inan
oiland
gasdrilling
operation“Johnston’s
Corner
#1and
#2”th
rou
gh
Geodynam
ics.N
ekouiedecided
toaccept
SH
IEL
DS
’offer,
andon
andbetw
eenM
arch8,
andM
arch20,
2010,agreed
topurchase
interest
inth
e“Johnston’s
Corner”
oiland
gasdrilling
project.N
ekouieprovided
SH
IEL
DS
thesum
of twenty
nineth
ousan
dth
reeh
un
dred
dollars($29,300)
tobe
usedby
SH
IEL
DS
forth
epurpose
of oiland
gasdrilling.
Inretu
rn,
SH
IEL
DS
providedto
Nekouie,
inD
ouglasC
ounty,C
olorado,a
letter,signed
byS
HIE
LD
S,
acknowledging
Nekouie’s
investment.
This
investment,
evidenced,in
part,
byth
isletter
ofacknow
ledgement,
constitutesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
2.A
dditionally,about
andbetw
eenJu
ne
3,and
Jun
e10,
2010,S
HIE
LD
Ssolicited
Nekouie
foradditional
fundsto
purchasea
greater
interest
inth
eJohnston’s
Corner
drillingproject.
Nekouie
agreedand
providedto
SH
IEL
DS
twenty
nineth
ousan
dth
reehundred
dollars($29,300)
forthe
purchaseof additional
interest
inthe
“Johnston’sC
orner”oil
andgas
drillingproject.
SH
IEL
DS
acceptedth
isadditional
investment,
andacknow
ledgedN
ekouieas
havingpurchased
interest
in“Johnston’s
Corner”
project.T
hisinvestm
entconstitutes
a“security”
pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
3.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedN
ekouiefor
additionalin
vestm
ent
fundsfor
the
“completion
costs”of the
wells
beingdrilled
inth
e“Johnston’s
Corner”
project.N
ekouieaccepted
andabout
andon
orabout
Septem
ber3,
2010,provided
toS
HIE
LD
Sfifteen
thousan
dnine
hu
nd
reddollars
($15,900)to
payfor
“completion
costs”of the
wells.
SH
IEL
DS
acceptedand
acknowledged
Nekouie’s
additionalinvestm
ent.T
hisin
vestm
ent
constitutesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
4.In
approximately
Novem
ber,2010,
SH
IEL
DS
solicitedN
ekouiefor
additionalin
vestm
ent
fundsfor
an“additional
assessment”
onth
ew
ellsbeing
drilledin
the
“Johnston’sC
orner”project.
Nekouie
acceptedand
aboutand
onor
aboutN
ovember
17,2010,
providedto
SH
IEL
DS
eightth
ousan
dtw
oh
un
dred
eightydollars
($8,280)to
payfor
the
“additionalassessm
ent”on
the
wells.
SH
IEL
DS
acceptedand
acknowledged
Nekouie’s
additionalinvestm
ent.T
hisinvestm
entco
nstitu
tesa
“security”pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
5.In
connectionw
ithth
esale
ofthesesecurities
toN
ekouie,S
HIE
LD
Sm
adeuntru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
factsas
describedin
thenarrativ
eof E
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
WO
(Theft
over$20,000
—F
3)
About
andbetw
eenM
arch8,
2010and
Novem
ber17,
2010,in
andtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asth
eproperty
of Hassan
Nekouie,
bydeception,
anddid
knowingly
use,conceal
orabandon
the
money
insuch
man
ner
asto
depriveH
assanN
ekouieperm
anen
tlyof its
useand
benefit,and
thevalue
of saidM
ON
EY
was
more
than
twenty
tho
usan
ddollars
contraryto
the
formofthe
statute
insuch
casem
adeand
provided,C
.R.S.§ 18-4-
401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
thepeace
anddignity
ofthe
People
of theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
Count
andth
enarrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TT
HR
EE
(Securities
Frau
d—
F3)
About
andbetw
eenJu
ne
22,2010,
andN
ovember
5,2010,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,inconnection
with
theoffer
orsale
ofanysecurity
toC
hrisP
ellowdirectly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anuntru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
the
lightof the
circumstances
und
erw
hichthey
were
made,
notm
isleading,contrary
tothe
formof th
estatu
tesin
suchcase
made
andprovided,
C.R
.S.§11-51-501
(i)(b)
and11-51-603
(1)(S
ecuritiesF
raud
—C
lass3
Felony),
again
stthe
peaceand
dignityofT
heP
eopleof the
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Chris
Pellow
(hereafter“Pellow
”)th
eopportunity
toinvest
inan
oiland
gasdrilling
operation“Johnston’s
Corner
#1and
#2”th
rough
Geodynam
ics.P
ellowdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
Jun
e22,
2010,agreed
topurchase
interest
inthe
“Johnston’sC
orner”oil
andgas
drillingproject.
Pellow
providedS
HIE
LD
Sth
esum
offifty
eightth
ou
sand
sixhu
ndred
dollars($58,600)
tobe
usedby
SH
IEL
DS
forth
epurpose
ofoiland
gasdrilling.
Inretu
rn,
SH
IEL
DS
providedto
Pellow
,in
Colorado,
aletter,
signedby
SH
IEL
DS
,acknow
ledgingP
ellow’s
investment.
This
investment,
evidenced,in
part,
byth
isletter
ofacknow
ledgement,
constitutesa
“security”,p
ursu
ant
tothe
Colorado
Securities
Act.
2.A
dditionally,in
approximately
August
of2010,
SH
IEL
DS
solicitedP
ellowfor
additionalfunds
topurchase
agreater
interest
inthe
Johnston’sC
ornerdrilling
project.P
ellowagreed
and
onand
aboutA
ugust25,
2010,provided
toS
HIE
LD
Stw
entynine
tho
usan
dth
reehundred
dollars($29,300)
forthe
purchaseof
anadditional
interest
inthe
“Johnston’sC
orner”oil
andgas
drillingproject.
SH
IEL
DS
acceptedthis
additionalinvestm
ent,and
acknowledged
Pellow
ashaving
purchasedin
terestin
“Johnston’sC
orner”project.
This
investment
constitutesa
“security”pu
rsuan
tto
the
Colorado
Securities
Act.
3.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedP
ellowfor
additionalin
vestm
ent
fundsfor
the“com
pletioncosts”
ofthew
ellsbeing
drifiedin
the
“Johnston’sC
orner”project.
Pellow
accepted,and
aboutand
between
Septem
ber5,
andS
eptember
10,2010,
providedto
SH
IEL
DS
two
checkstotaling
twenty
three
thou
sand
eighthundred
fiftydollars
($23,850)to
payfor
“completion
costs”of
thew
ells.S
HIE
LD
Saccepted
andacknow
ledgedP
ellow’s
additionalinvestm
ent.T
hisinvestm
entconstitutes
a“security”
pursu
ant
tothe
Colorado
Securities
Act.
4.In
approximately
Novem
ber,2010,
SH
IEL
DS
solicitedP
ellowfor
investment
fundsfor
an“additional
assessment”
onth
ew
ellsbeing
drilledin
the“Johnston’s
Corner”
project.P
ellowaccepted
and
aboutand
onor
aboutN
ovember
4,2010,
providedto
SH
IEL
DS
twelve
tho
usan
dfour
hu
nd
redtw
entyfive
dollarsan
dtw
entyfive
cents($12,425.25)
topay
forth
e“additional
assessment”
onth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedP
ellow’s
additionalinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”p
ursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
5.In
connectionw
ithth
esale
of thesesecurities
toP
ellow,
SH
IEL
DS
made
untru
estatem
ents
of material
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
en
arrative
ofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TF
OU
R(T
heftover
$20,000—
F3)
About
andbetw
eenJu
ne
22,2010,
andN
ovember
5,2010,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
of value,to
wit:
MO
NE
Y,
which
was
the
propertyof
Chris
Pellow
,by
deception,and
didknow
inglyuse,
concealor
abandonthe
money
insuch
man
ner
asto
depriveC
hrisP
ellowperm
anen
tlyofits
useand
benefit,and
the
valueof
saidM
ON
EY
was
more
than
twenty
thousan
ddollars
contraryto
the
formof the
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d)(C
lass3
Felony),
andag
ainst
thepeace
anddignity
oftheP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
precedingC
ountand
thenarrativ
eof E
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TF
IVE
(Securities
Frau
d—
F3)
About
andbetw
eenJu
ne
1,2010
andM
arch10,
2011,in
andtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,
inconnection
with
theoffer
orsale
of anysecurity
toE
ileenP
flugdirectly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anu
ntru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
ofthe
circumstances
un
der
which
theyw
erem
ade,not
misleading,
contraryto
the
formof the
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(i)
(b)and
11-51-603(i),
(Securities
Frau
d—
Class
3F
elony),ag
ainst
thepeace
anddignity
of The
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Eileen
Pflug
(hereafter“Pflug”)
theopportunity
toinvest
inan
oiland
gasdrilling
operation“Johnston’s
Corner
#1an
d#2”
thro
ugh
Geodynam
ics.P
flugdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
Jun
e1,
2010,agreed
topurchase
of interest
inth
e“Johnston’s
Corner”
oiland
gasdrilling
project.P
flugprovided
SH
IEL
DS
the
sumoftw
entynine
thousan
dth
reehun
dred
dollars($29,300)
tobe
usedby
SH
IEL
DS
forthe
purposeofoil
andgas
drilling.In
return
,S
HIE
LD
Sprovided
toP
flug,in
Colorado,
anam
endedapplication
agreement
and“joint
ven
ture
agreement,”
signedby
SH
IEL
DS
,acknow
ledgingP
flug’sin
vestm
ent
interest.
This
investment,
evidenced,in
part,
byth
is“joint
ven
ture
agreement,”
constitutesa
“security”,pu
rsuan
tto
the
Colorado
Securities
Act.
2.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedP
flugfor
additionalin
vestm
ent
fundsfor
the
“completion
costs”ofth
ew
ellsbeing
drilledin
the“Johnston’s
Corner”
project.P
flugaccepted,
andabout
andbetw
eenS
eptember
3,and
Novem
ber2,
2010,provided
toS
HIE
LD
Stw
ochecks
totalingth
irtynine
thousan
dseven
hu
ndred
fiftydollars
($39,750)to
payfor
“completion
costs”ofth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedP
flug’sadditional
investment.
This
investment
constitutesa
“security”p
ursu
ant
tothe
Colorado
Securities
Act.
3.In
approximately
October,
2010,S
HIE
LD
Ssolicited
Pflug
forinvestm
entfunds
foran
“additionalassessm
ent”on
the
wells
beingdrified
inth
e“Johnston’s
Corner”
project.P
flugaccepted
andabout
andon
orabout
October
25,2010,
providedto
SH
IEL
DS
twenty
thousan
dseven
hundred
eightdollars
andseventy
fivecents
($20,708.75)to
payfor
the“additional
assessment”
onth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedP
flug’sadditional
investment.
This
investm
ent
constitutesa
“security”pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
4.In
approximately
March
of2011,
SH
IEL
DS
solicitedP
flugfor
additionalinvestm
entfunds
the“Johnston’s
Corner”
project.P
flugaccepted
andabout
andon
orabout
March
10,2011,
providedto
SH
IEL
DS
fortysix
thousan
dseven
hun
dred
fiftydollars
($46,750)to
beused
forthe
oiland
gasw
ellsin
theJohnston’s
Corner
project.S
HIE
LD
Saccepted
andacknow
ledgedP
flug’sadditional
investment.
This
investment
constitutesa
“security”p
ursu
ant
tothe
Colorado
Securities
Act.
5.In
connectionw
iththe
saleof these
securitiesto
Pflug,
SH
IEL
DS
made
untru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
factsas
describedin
the
narrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TSIX
(Theft over
$20,000—
F3)
About
andbetw
eenJu
ne
1,2010
andM
arch10,
2011,in
andtriable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
of value,to
wit:
MO
NE
Y,
which
was
theproperty
ofEileen
Pflug,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveE
ileenP
flugperm
anen
tlyof its
useand
benefit,an
dth
evalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ousan
ddollars
contraryto
theform
ofth
estatu
tein
suchcase
made
andprovided,
C.R
.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
the
peaceand
dignityofthe
People
ofthe
State
ofC
olorado,and
asm
orefully
setforth
abovein
the
precedingC
ountand
the
narrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TS
EV
EN
(Secunties
Frau
d—
F3)
About
andbetw
eenJu
ne
17,2010
andM
arch7,
2011,in
andtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
iththe
offeror
saleof
anysecurity
toK
adeand
Em
ilyR
oundydirectly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anuntru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
thestatem
ents
made,
inthe
lightofthe
circumstances
under
which
theyw
erem
ade,not
misleading,
contraryto
theform
ofthe
statutes
insuch
casem
adeand
provided,C
.R.S
.§11-51-501
(1)(b)
and11-51-603
(i),(S
ecuritiesF
raud
—C
lass3
Felony),
again
stthe
peaceand
dignityofT
heP
eopleofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Kade
andE
mily
Roundy
(hereafter“the
Roundys”)
theopportunity
toinvest
inan
oiland
gasdriffing
operation“Johnston’s
Corner
#1and
#2”through
Geodynam
ics.T
heR
oundysdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
June
17,2010,
agreedto
purchaseofin
terestin
the“Johnston’s
Corner”
oiland
gasdrilling
project.T
heR
oundysprovided
SH
IEL
DS
the
sumoffourteen
tho
usan
dsix
hu
nd
redfifty
dollars($14,650)
tobe
usedby
SH
IEL
DS
forthe
purposeofoil
andgas
drilling.In
return
,S
HIE
LD
Sprovided
toth
eR
oundys,in
Colorado,
anapplication
agreement
and
aletter
signedby
SH
IEL
DS
,acknow
ledgingthe
roundys’in
vestm
ent
interest.
This
investment,
evidenced,in
part,
byth
isapplication
agreement
andletter
ofacknow
ledgement,
constitu
tesa
“security”,pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
2.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedth
eR
oundysfor
additionalinvestm
entfunds
forth
e“com
pletioncosts”
ofthe
wells
beingdrified
inth
e“Johnston’s
Corner”
project.T
heR
oundysaccepted,
and
onor
aboutS
eptember
7,2010,
providedto
SH
IEL
DS
three
tho
usan
dnine
hu
nd
redseventy
fivedollars
($3,975)to
payfor
“completion
costs”ofth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedth
eR
oundys’adthtional
investment.
This
investm
ent
constitutesa
“security”pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
3.In
approximately
Novem
ber,2010,
SH
IEL
DS
solicitedth
eR
oundysfor
investment
fundsfor
an“additional
assessment”
onth
ew
ellsbeing
drifiedin
the“Johnston’s
Corner”
project.T
heR
oundysaccepted
andabout
andon
orabout
Novem
ber2,
2010,provided
toS
HIE
LD
Stw
oth
ousan
dseventy
dollarsand
eightyeight
cents($2,070.88)
topay
forth
e“additional
assessment”
onthe
wells.
SH
IEL
DS
acceptedand
acknowledged
theR
oundys’adthtional
investment.
This
investm
ent
constitutesa
“security”p
ursu
ant
tothe
Colorado
Securities
Act.
4.In
approximately
March
of2011,S
HIE
LD
Ssolicited
theR
oundysfor
additionalinvestm
entfunds
the
“Johnston’sC
orner”project.
The
Roundys
acceptedand
aboutand
onor
aboutM
arch2,
2011,provided
toS
HIE
LD
Sfour
thousan
dsix
hu
ndred
seventyfive
dollars($4,675)
tobe
usedfor
theoil
andgas
wells
inthe
Johnston’sC
ornerproject.
SH
IEL
DS
acceptedand
acknowledged
the
Roundys’
additionalinvestm
ent.T
hisin
vestm
ent
constitutesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
5.In
connectionw
iththe
saleof
this
securityto
theR
oundys,S
HIE
LD
Sm
adeuntru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
factsas
describedin
then
arrative
ofEssen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TE
IGH
T(T
heftover
$20,000—
F3)
About
andbetw
eenJu
ne
17,2010
andM
arch7,
2011,in
andtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asthe
propertyofK
adeand
Em
ilyR
oundy,by
deception,and
didknow
inglyuse,
concealor
abandonthe
money
insuch
man
ner
asto
depriveK
adeand
Em
ilyR
oundyperm
anentlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ou
sand
dollarscontrary
tothe
formofth
estatu
tein
suchcase
made
and
provided,C
.R.S
.§18-4-401(1)(b)
and(2)(d),
(Class
3F
elony)and
again
stthe
peaceand
dignityof the
People
ofthe
State
ofC
olorado,and
asm
orefully
setforth
abovein
thepreceding
Count
andthe
narrativ
eof E
ssential
Facts,
eachof
which
isincorporated
herein
bythis
reference.
CO
UN
TN
INE
(Securities
Frau
d—
F3)
About
andbetw
eenA
pril2,
2010,and
March
4,2011,
inan
dtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
ithth
eoffer
orsale
ofany
securityto
Sum
ieand
Philip
Seng
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
thestatem
ents
made,
inthe
lightof the
circumstances
und
erw
hichthey
were
made,
notm
isleading,contrary
tothe
formof
thestatu
tesin
suchcase
made
andprovided,
C.R
.S.§11-51-501
(1)(b)
and
11-51-603(i),
(Securities
Frau
d—
Class
3F
elony),ag
ainst
thepeace
anddignity
of The
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Sum
ieand
Philip
Seng
(hereafter
“theS
engs”)the
opportunityto
investin
anoil
andgas
drillingoperation
“Johnston’sC
orner#1
and#2”
thro
ugh
Geodynam
ics.T
heS
engsdecided
toaccept
SH
IEL
DS
’offer,
andon
andaboutA
pril2,
2010,agreed
topurchase
anin
terestin
the“Johnston’s
Corner”
oiland
gasdrilling
project.T
heS
engsprovided
SH
IEL
DS
thesum
oftwenty
ninethousand
three
hu
nd
reddollars
($29,300)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoil
andgas
drilling.In
return
,S
HIE
LD
Sprovided
tothe
Sengs,
inC
olorado,an
applicationagreem
entand
aletter
signedby
SH
IEL
DS
,acknow
ledgingthe
Sengs’
investm
ent
interest.T
hisinvestm
ent,evidenced,
inpart,
byth
isapplication
agreement
andletter
ofacknowledgem
ent,constitutes
a“security”,
pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
2.S
ubsequently,in
April,
2010,S
HIE
LD
Ssolicited
the
Sengs
foradditional
investm
ent
fundsfor
the“Johnston’s
Corner”
project.T
heS
engsaccepted,
andon
orabout
April
19,2010,
providedto
SH
IEL
DS
with
anoth
ertw
enty
nineth
ousan
dth
reehundred
dollars($29,300)
tobe
usedby
SH
IEL
DS
forth
epurpose
ofoiland
gasdrilling.
SH
IEL
DS
acceptedand
acknowledged
theSengs’
additionalinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
3.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedthe
Sengs
foradditional
investm
ent
fundsfor
the
“Johnston’sC
orner”project.
The
Sengs
acceptedand
aboutand
onor
aboutS
eptember
3,2010,
providedto
SH
IEL
DS
fifteenth
ousan
dnine
hundred
dollars($15,900)
topay
forth
e“additional
assessment”
onthe
wells.
SH
IEL
DS
acceptedand
acknowledged
the
Sengs’additional
investment.
This
investm
ent
constitutesa
“security”pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
4.In
approximately
October,
2010,S
HIE
LD
Ssolicited
theS
engsfor
additionalin
vestm
ent
fundsfor
the
“Johnston’sC
orner”project.
The
Sengs
acceptedand
aboutand
onor
aboutO
ctober27,
2010,provided
toS
HIE
LD
San
oth
ereight
thousan
dtw
ohundred
eightyth
reedollars
andfifty
cents($8,283.50)
topay
forth
e“additional
assessment”
onth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedth
eSengs’
additionalinvestm
ent.T
hisin
vestm
ent
constitutesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
5.In
approximately
March
of2011,S
HIE
LD
Ssolicited
theS
engsfor
additionalin
vestm
ent
fundsthe
“Johnston’sC
orner”project.
The
Sengs
acceptedand
aboutand
onor
aboutM
arch4,
2011,provided
toS
HIE
LD
Seighteen
thousan
dseven
hundred
dollars($18,700)
tobe
usedfor
theoil
andgas
wells
inthe
Johnston’sC
ornerproject.
SH
IEL
DS
acceptedand
acknowledged
theS
engs’additional
investment.
This
investm
ent
constitutesa
“security”pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
6.In
connectionw
ithth
esale
ofthis
securityto
the
Sengs,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eof
Essen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TT
EN
(Theft
over$20,000
—F
3)
About
andbetw
eenA
pril2,
2010,and
March
4,2011,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asthe
propertyof
Sum
ieand
Philip
Seng,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveS
umie
andP
hilipS
engperm
anen
tlyofits
useand
benefit,and
the
valueof
saidM
ON
EY
was
more
than
twenty
thou
sand
dollarscontrary
tothe
formof th
estatu
tein
suchcase
made
andprovided,
C.R
.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
thepeace
anddignity
ofthe
People
of theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
precedingC
ountand
thenarrativ
eof
Essen
tialF
acts,each
ofw
hichis
incorporatedherein
byth
isreference
CO
UN
TE
LE
VE
N(S
ecuritiesF
raud
—F
3)
About
andbetw
eenM
arch23,
2010and
March
28,2011,
inand
triable
inth
eS
tateof C
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
iththe
offeror
saleofany
securityto
Toshikazu
andS
etsukoT
anaka,directly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anuntru
estatem
ent
ofam
aterialfact
orom
ittedto
statea
material
factnecessary
inorder
tom
aketh
estatem
ents
made,
inthe
lightofth
ecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
theform
ofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(i)
(b)and
11-51-603(1),
(Securities
Frau
d—
Class
3F
elony),ag
ainst
the
peacean
ddignity
ofThe
People
of theS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Toshikazu
andS
etsukoT
anak
a(h
ereafter“the
Tanakas”)
the
opportunityto
investin
anoil
andgas
drillingoperation
“Johnston’sC
orner#1
and#2”
thro
ugh
Geodynam
ics.T
heT
anak
asdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
March
23,2010,
agreedto
purchasein
terestin
the“Johnston’s
Corner”
oiland
gasdrilling
project.T
heT
anak
asprovided
SH
IEL
DS
thesum
offourteenth
ousan
dsix
hu
ndred
fiftydollars
($14,650)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoilan
dgas
drilling.S
HIE
LD
Saccepted
andacknow
ledgedthe
investment.
This
investment
constitutesa
“security”,pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
2.S
ubsequently,in
April,
2010,S
HIE
LD
Ssolicited
theT
anak
asfor
additionalin
vestm
ent
fundsfor
the
“Johnston’sC
orner”project.
The
Tan
akas
accepted,and
onor
aboutA
pril2,
2010,provided
toS
HIE
LD
Sw
ithan
oth
ertw
entynine
thousan
dth
reehundred
dollars($29,300)
tobe
usedby
SH
IEL
DS
forthe
purposeofoil
and
gasdrilling.
SH
IEL
DS
acceptedand
acknowledged
the
Tanakas’
additionalinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
3.S
ubsequently,in
April,
2010,S
HIE
LD
Ssolicited
theT
anak
asfor
additionalin
vestm
ent
fundsfor
the
“Johnston’sC
orner”project.
The
Tan
akas
acceptedand
aboutand
onand
aboutA
pril19,
2010,agreed
topurchase
additionalin
terestin
the
“Johnston’sC
orner”oil
andgas
drillingproject.
The
Tan
akas
providedS
HIE
LD
Sthe
sumoffourteen
thousan
dsix
hundred
fiftydollars
($14,650)to
beused
byS
HIE
LD
Sfor
the
purposeofoil
andgas
drilling.S
HIE
LD
Saccepted
andacknow
ledgedthe
investment.
This
investm
ent
constitutesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
4.In
approximately
Septem
ber,2010,
SH
IEL
DS
solicitedth
eT
anak
asfor
additionalin
vestm
ent
fundsfor
the“Johnston’s
Corner”
project.T
heT
anak
asaccepted
andabout
andon
orabout
Septem
ber3,
2010,provided
toS
HIE
LD
Sfifteen
thousan
dnine
hundred
dollars($15,900)
topay
forth
e“additional
assessment”
onth
ew
ells.S
HIE
LD
Saccepted
andacknow
ledgedthe
Tanakas’
additionalinvestm
ent.T
hisin
vestm
ent
constitutesa
“security”pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
5.In
approximately
October,
2010,S
HIE
LD
Ssolicited
the
Tan
akas
foradditional
investm
ent
fundsfor
the“Johnston’s
Corner”
project.T
heT
anak
asaccepted
andabout
andon
orabout
October
27,2010,
providedto
SH
IEL
DS
anoth
ereight
thousan
dtw
ohundred
eightyth
reedollars
andfifty
cents($8,283.50)
topay
forthe
“additionalassessm
ent”on
the
wells.
SH
IEL
DS
acceptedand
acknowledged
the
Tanakas’
additionalinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
6.In
approximately
March
of2011,
SH
IEL
DS
solicitedth
eT
anak
asfor
additionalin
vestm
ent
fundsthe
“Johnston’sC
orner”project.
The
Tanakas
acceptedand
aboutand
onor
aboutM
arch4,
2011,provided
toS
HIE
LD
Seighteen
thousan
dseven
hundred
dollars
($18,700)to
beused
forthe
oiland
gasw
ellsin
theJohnston’s
Corner
project.S
HIE
LD
Saccepted
andacknow
ledgedthe
Tanakas’
additionalinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”pursu
ant
tothe
Colorado
Securities
Act.
7.In
connectionw
iththe
saleofth
issecurity
tothe
Tanakas,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
WE
LV
E(T
heftover
$20,000—
F3)
About
andbetw
eenM
arch23,
2010,and
March
4,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
ofvalue,to
wit:
MO
NE
Y,
which
was
the
propertyofT
oshikazuand
Setsuko
Tan
aka,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveT
oshilcazuand
Setsuko
Tan
aka
perm
anen
tlyofits
useand
benefit,and
the
valueofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ousan
ddollars
contraryto
theform
ofthe
statute
insuch
casem
adeand
provided,C
.R.S
.§184401(1)(b)
and(2)(d),
(Class
3F
elony)and
again
stthe
peaceand
dignityofthe
People
ofthe
State
ofC
olorado,and
asm
orefully
setforth
abovein
thepreceding
countand
thenarrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TT
HIR
TE
EN
(Securities
Frau
d—
F3)
On
orabout
March
2,2011,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,inconnection
with
the
offeror
saleofany
securityto
Mark
andD
eborahW
illarddirectly
orindirectly,
unlawfully,
feloniously,and
willfully
made
anuntru
estatem
ent
ofam
aterialfact
orom
ittedto
statea
material
factnecessary
inorder
tom
aketh
estatem
ents
made,
inthe
lightofth
ecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
theform
of thestatu
tesin
suchcase
made
andprovided,
C.R
.S.§11-51-501
(1)(b)
and1151-603
(1),(S
ecuritiesF
raud
—
Class
3F
elony),ag
ainst
thepeace
anddignity
ofThe
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Mark
andD
eborahW
ifiard(hereafter
“The
Wifiards”)
the
opportunityto
investin
anoil
andgas
drillingoperation
“Johnston’sC
orner#1
and#2”
thro
ug
hG
eodynamics.
The
Wifiards
decidedto
acceptS
HIE
LD
S’
offer,and
onand
aboutM
arch2,
2011,agreed
topurchase
interest
inth
e“Johnston’s
Corner”
oiland
gasdrilling
project.T
heW
illardsprovided
SH
IEL
DS
the
sumof
oneh
un
dred
oneth
ou
sand
fourh
un
dred
eightyth
reedollars
($101,483),to
beused
byS
HIE
LD
Sfor
the
purposeofoil
andgas
drilling.S
HIE
LD
Saccepted
andacknow
ledgedthe
investment.
This
investm
ent
constitutesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
2.In
connectionw
iththe
saleofth
issecurity
toth
eW
illards,S
HIE
LD
Sm
adeuntru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TF
OU
RT
EE
N(T
heftover
$20,000—
F3)
On
orabout
March
2,2011,
inand
triable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asth
eproperty
ofMark
andD
eborahW
ifiard,by
deception,and
didknow
inglyuse,
concealor
abandonthe
money
insuch
man
ner
asto
depriveM
arkand
Deborah
Willard
perm
anen
tlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ou
sand
dollarscontrary
tothe
formofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
thepeace
anddignity
oftheP
eopleof
theS
tateof C
olorado,and
asm
orefully
setforth
abovein
the
precedingcount
andthe
narrativ
eofE
ssential
Facts,
eachof w
hichis
incorporatedherein
byth
isreference.
CO
UN
TF
IFT
EE
N(S
ecuritiesF
raud,C
ourseofB
usiness—
F3)
On
andbetw
eenJan
uary
11,2010,
andthrough
April
7,2011,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
inconnection
with
theoffer
orsale
ofany
securityto
investorsin
Johnston’sC
orner,directly
orindirectly,
unLaw
fully,feloniously,
andknow
inglyengaged
inany
courseofbusiness
which
operatedor
would
operateas
afraud
ordeceit
uponany
person,contrary
toth
eform
of the
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(1)
(c)and
11-51-603(1),
andag
ainst
thepeace
andthgnity
ofThe
People
ofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.F
orapproxim
atelyfifteen
months,
JEF
FO
RY
SH
IEL
DS
,individually,
andby
andth
rough
Geodynam
ics,m
adenum
erousfrau
dulen
tsales
ofsecurities
toinvestors
inthe
Johnston’sC
orner.S
HIE
LD
Ssolicited
investorsto
investin
fraudulen
texploration
anddrilling
ofoilan
dgas
wells
activityand
providedinvestors
anacknow
ledgement
letterto
evidenceth
eirinvestm
ent.S
HIE
LD
Snever
toldinvestors
ofthe
true
risks
associatedw
iththe
investments.
None
ofthe
listedinvestors
havereceived
the
represen
tedretu
rns
onth
eirinvestm
ents.
2.In
connectionw
ithth
efrau
dulen
tsale
ofthesesecurities,
SH
IEL
DS
initiallyconducted
businessfrom
hisresidence,
locatedin
thecity
ofP
arker,C
olorado.In
furth
erance
ofthe
comm
issionofthis
offense,S
HIE
LD
Sopened
aG
eodynamics
Co.,
Inc.account
atC
hampion
Bank
locatedin
thecity
ofPark
er,D
ouglasC
ounty,C
olorado.S
HIE
LD
Sdeposited
investorfunds
intohis
Cham
pionB
ankaccount,
heldin
Park
er.S
HIE
LD
Shad
out-of-stateinvestors
depositthe
fundsdirectly
thro
ugh
wire
transfer,
transferred
investorfunds
depositedinto
otheraccounts,
orotherw
ise,into
SH
IEL
DS
’C
hampion
Bank
account.
3.T
heinvestm
entsS
HIE
LD
Ssolicited
directlyor
indirectly,in
connectionw
ithth
iscount,
onand
between
January
of2010,
and
thro
ugh
April
of2011,include
two
orm
oreof the
following:
•A
lanA
nackiofW
estB
ridgewater,
Massach
usetts
investedapproxim
atelyfifty
thousan
dseven
hundred
fortyone
dollarsand
seventyfive
cents($50,741.75),
inapproxim
atelyfour
transactions,about
andbetw
eenM
arch2,
2010and
March
14,2011.
Anacki
invested$29,300
onor
aboutM
arch2,
2010;$7,950
onor
aboutS
eptember
9,2010;
$4,141.75on
orabout
Novem
ber4,
2010;and
$9,350on
orabout
March
14,2011.
•E
ckhardand
Helga
Blaum
uellerofM
ountP
rospect,Illinois
investedapproxim
atelyone
hundred
oneth
ousan
dfour
hundred
eightyth
reedollars
($101,483),in
approximately
two
transactions,about
andbetw
eenD
ecember
8,2010
andM
arch4,
2011.T
heB
laum
uellers
invested
$82,783on
orab
out
Decem
ber8,
2010an
d$18,700
onor
about
March
4,2011.
•R
ichard
B.
Buckley
ofKula,
Haw
aiiin
vested
,in
div
idually
,an
dby
and
thro
ugh
Rich
ardB
uckleyF
amily
Lim
itedP
artnersh
ipap
pro
xim
atelyfifty
thousan
dseven
hundred
fortyone
dollars
and
seven
tyfive
cents
($50,741.75),in
appro
xim
atelyfo
ur
transactio
ns,
about
and
betw
eenA
pril
22,2010
and
March
09,2011.
Buck
leyin
vested
$29,300on
orab
out
April
22,2010;
$7,950on
orab
out
Sep
tember
7,2010;
$4,141.75on
orab
out
Novem
ber8,
2010;an
d$9,350
onor
about
March
9,2011.
•P
eteC
aldero
nof
Kerrville,
Texas
invested
,in
div
idually
,an
dby
and
thro
ugh
Noredlac
Man
agem
ent
Lim
ited,ap
pro
xim
atelyfo
ur
hundred
fiveth
ousan
dnin
ehundred
thirty
four
dollars
($405,934),in
appro
xim
atelyfive
transactio
ns,
about
and
betw
eenA
pril
6,2010
and
March
9,2011.
Cald
eron
invested
$117,200on
orab
outA
pril7,
2010;$117,200
onor
about
April
26,2010;
$63,600on
orab
out
Sep
tember
13,2010;
$33,134on
orab
out
October
20,2010;
and
$74,800on
orab
out
March
9,2011.
•L
awrence
and
Bren
da
Casazza
ofE
ggH
arbor
Tow
nship,N
ewJersey
invested
appro
xim
atelyfifty
thousan
dseven
hundred
fortyone
dollars
and
seven
tyfive
cents
($50,741.75),in
appro
xim
atelyfive
transactio
ns,
about
and
betw
eenA
pril
21,2010
and
March
08,2011.
Casazza
invested
$20,000on
orab
out
April
21,2010;
$9,300on
orabout
June
15,2010
$7,950on
orab
out
Sep
tember
14,2010;
$4,141.75on
orab
out
October
26,2010;
and
$9,350on
orab
out
March
8,2011.
•D
avidan
dJan
etE
van
sof
Tellico,
Ten
nessee
invested
appro
xim
atelyten
thousan
dth
reehundred
fortyseven
dollars
and
nin
etyfour
cents
($10,347.94),in
appro
xim
atelyth
reetran
sactions,
about
and
between
May
9,2010
and
October
22,2010.
The
Evans’
invested
$7,325on
orab
out
May
9,2010;
$1,987.50on
orab
out
October
5,2010;
and
$1,035.44on
orab
out
October
22,2010.
•R
ichard
and
Nancy
Hedges
ofM
illC
reek,W
ashin
gto
nin
vested
appro
xim
atelytw
ohundred
two
thousan
dnin
ehundred
sixtyseven
dollars($202,967),
inap
pro
xim
atelyeig
ht
transactio
ns,
about
and
betw
eenA
pril9,
2010an
dM
arch18,
2011.T
heH
edgesm
adetw
oin
vestm
ents
of$58,600
onor
about
April
9,
2010;tw
oin
vestm
ents
of$15,900
onor
about
Sep
tember
3,2010;
two
investm
ents
of$8,283.50
onor
about
October
19,2010;
and
two
investm
ents
of$18,700
about
and
betw
eenM
arch16
and
March
18,2011.
•D
avidan
dM
aryH
ostv
edt
ofP
ort
Angeles,
Wash
ingto
nin
vested
indiv
idually
and
byan
dth
rough
Hostv
edt
Revocable
Liv
ing
Tru
st,ap
pro
xim
atelyfifty
thousan
dseven
hundred
fortyone
dollars
and
seven
tyfive
cents
($50,741.75),in
appro
xim
atelyfour
transactio
ns,
about
and
betw
eenA
ugust
11,2010
and
March
04,2011.
The
Hostvedt’s
invested
$29,300on
orab
out
August
11,2010;
$7,950on
orab
out
Sep
tember
14,2010;
$4,141.75on
orab
out
October
19,2010;
and
$9,350on
orab
out
March
4,2011.
•B
rianL
amb
ofH
ouston,T
exasin
vested
indiv
idually
and
byan
dth
rough
Axys
Industrial
Solutions,
appro
xim
atelyfifty
thousan
dseven
hundred
fortyone
dollars
and
seven
tyfive
cents
($50,741.75),in
appro
xim
atelyfour
transactio
ns,
about
and
betw
eenA
ugust
16,2010
and
March
15,2011.
Lam
bin
vested
$29,300on
orab
out
August
16,2010
$7,950on
orab
out
Sep
tember
13,2010
$4,141.75on
orab
out
October
20,2010
and
$9,350on
orab
out
March
15,2011.
•G
eorgeL
ewis,
ofB
oston,M
assachusetts,
invested
indiv
idually
and
byan
dth
rough
Fid
uciary
Tru
stC
ompany,
appro
xim
atelyfifty
thousan
dseven
hundred
fortyone
dollars
and
fiftycen
ts($50,741.50),
onor
about
March
03,2011.
•R
onald
and
Jane
Mah
euofB
oston,M
assachusetts
invested
appro
xim
atelyone
hundred
two
thousan
dnin
ehundred
thirty
three
dollars
and
fiftycen
ts($102,933.50),
inap
pro
xim
atelyfive
transactio
ns,
about
and
betw
eenJu
ne
25,2010
and
March
07,2011.
Mah
euin
vested
$58,600on
orab
out
June
25,2010;
$15,900on
orab
out
Sep
tember
9,2010;
$8,283.50on
orab
out
October
18,2010;
$1,450on
orab
out
October
21,2010;
and
$18,700on
orab
out
and
March
07,2011.
•H
assanN
ekouieofL
oneT
ree,C
oloradoin
vested
indiv
idually
and
byan
dth
rough
The
Ultim
ateM
achines,Inc.,
appro
xim
atelyeig
hty
two
thousan
dseven
hundred
eightydollars
and
eightyeig
ht
cents($82,780),
the
dates
and
amounts
ofN
ekouie’sin
vestm
ents
aredescribed
inC
ountO
ne.
•Jam
esan
dJan
etO
strander
ofS
pokane,W
ashin
gto
nin
vested
app
rox
imately
seventh
ousan
dth
reeh
un
dred
twen
tyfive
do
llars($7,325),
onor
abo
ut
April
4,2010.
•C
hris
Pellow
ofG
olden,C
oloradoin
vested
appro
xim
atelyO
neh
un
dred
twen
tyfour
thousan
done
hund
redsev
enty
fivedollars
and
twen
tyfive
cents
($124,175.25),th
ed
atesan
dam
ounts
ofP
ellow’s
investm
ents
aredescrib
edin
Count
Th
ree.
•E
ileenP
flug
ofD
enver,C
oloradoin
vested
appro
xim
atelyone
hu
nd
redth
irtysix
thousan
dfive
hundred
eigh
tdo
llarsan
dsev
enty
fivecen
ts($136,508.75),
the
dates
and
amounts
ofP
flug’sin
vestm
ents
aredescribed
inC
ountF
ive.
•Jo
hn
and
Janet
Pillitteri
ofN
ewY
orkC
ity,N
ewY
orkin
vested
app
rox
imately
fortyone
thousan
dth
reeh
un
dred
nin
etyone
dollars
and
seven
tyfive
cents
($41,391.75),in
app
rox
imately
three
transactio
ns,
abo
ut
and
betw
eenA
ugu
st25,
2010an
dO
ctober19,
2010.T
heP
illitterisin
vested
$29,300on
orab
ou
tA
ug
ust
25,2010;
$7,950on
orab
out
Sep
temb
er7,
2010;an
d$4,141.75
onor
about
October
19,2010.
•D
aniel
and
Robin
Posm
aof
Zeeland,
Michigan
inv
estedap
pro
xim
atelysev
enty
four
tho
usan
dfive
hun
dred
dollars
($74,500),in
appro
xim
atelytw
otran
sactions,
about
and
betw
eenJu
ne
21,2010
and
Sep
temb
er13,
2010.T
heP
osm
asin
vested
$58,600on
orab
ou
tJu
ne
21,2010;
and
$15,900on
orab
out
Sep
temb
er13,
2010.
•K
adean
dE
mily
Roundy
ofE
nglewood,
Colorado
inv
estedap
pro
xim
atelytw
enty
fiveth
ou
sand
three
hu
nd
redsev
enty
dollars
and
eightyeight
cents($25,370.88),
the
dates
and
amounts
ofth
eR
oundy’sin
vestm
ents
aredescrib
edin
Count
Seven.
•K
arenS
awdey
ofC
roton-on-Hudson,
New
York
inv
estedap
pro
xim
atelyseven
thousan
dth
reehundred
twen
tyfive
dollars
($7,325)on
orab
out
Feb
ruary
10,2010.
•D
ouglasS
chnur
ofD
exter,M
ichiganin
vested
app
rox
imately
fiftyseven
thousan
deig
ht
hu
nd
redeig
hty
eight
dollars
and
fiftycen
ts($57,883.50),
inap
pro
xim
atelyfour
transactio
ns,
abou
tan
dbetw
eenJan
uary
4,2010
and
April
7,2011.
Douglas
Sch
nu
r
invested
$10,000on
orab
ou
tJan
uary
4,2010;
$20,900on
orab
ou
tF
ebru
ary2,
2010;$8,283.50
onor
abo
ut
October
26,2010
and
$18,700on
orab
out
April
7,2011.
•Jo
hn
Sch
nur
ofAnn
Arbor,
Mich
igan
invested
app
rox
imately
two
hu
nd
redsev
enteen
thousan
dtw
oh
undred
fiftyd
ollars
and
fiftycents
($217,250.50),in
app
rox
imately
fourtran
saction
s,ab
ou
tan
dbetw
eenJan
uary
4,2010
and
April
7,2011.
John
Sch
nur
invested
$20,000on
orab
out
Janu
ary4,
2010;$116,300
onor
about
Janu
ary26,
2010$24,850.50
onor
abo
ut
October
26,2010
and
$56,100on
orab
out
April
7,2011.
•S
umie
and
Philip
Seng
ofH
igh
land
sR
anch,C
oloradoin
vested
inth
vid
ually
and
byan
dth
rough
Seidai
Intern
ation
al,Inc.
app
rox
imately
oneh
un
dred
oneth
ousan
dfour
hun
dred
eighty
three
dollars
and
fiftycen
ts($101,483.50),
the
dates
and
amounts
ofthe
Seng’s
investm
ents
aredescribed
inC
ountN
ine.
•T
osh
ikazu
and
Setsu
ko
Tan
aka
ofE
nglewood,
Colorado
inv
estedin
div
idu
allyan
dby
and
thro
ugh
Seidai
Intern
ational,
mc,
appro
xim
atelyone
hundred
oneth
ou
sand
fourhu
nd
redeig
hty
three
dollars
and
fiftycen
ts($101,483.50),
the
dates
and
amounts
ofthe
Tan
aka’s
investm
ents
aredescribed
inC
ountE
leven.
•Jam
esT
homas
ofG
uth
rie,O
klah
om
ain
vested
indiv
idually
and
byan
dth
rough
Equity
Tru
st,ap
pro
xim
atelytw
enty
fiveth
ousan
dth
reeh
un
dred
seven
tydollars
and
eighty
eigh
tcen
ts($25,370.88),
inap
pro
xim
atelyfo
ur
transactio
ns,
abo
ut
and
betw
eenJu
ly14,
2010an
dM
arch28,
2011.T
homas
inv
ested$14,650
onor
about
July
14,2010;
$3,975on
orab
ou
tS
eptem
ber
27,2010;
$2,070.88on
orab
out
Novem
ber5,
2010an
d$4,675
onor
abo
ut
March
28,2011.
•B
rianan
dK
imT
uck
erof
Syracuse,
Ind
iana
inv
estedap
pro
xim
atelyten
tho
usan
dth
reeh
und
redforty
seven
dollars
and
nin
etyth
reecen
ts($10,347.93),
inap
pro
xim
atelyth
reetran
saction
s,ab
out
and
betw
eenF
ebru
ary13,
2010an
dO
ctober26,
2010.T
heT
ucker’sin
vested
$7,325on
orab
ou
tF
ebru
ary13,
2010;$1,987.50
onor
abo
ut
Sep
temb
er8,
2010;$1,035.43
onor
aboutO
ctober26,
2010.
•M
arkan
dD
eborahW
illardof
Elizabeth,
Colorado
investedapproxim
atelyone
hundred
oneth
ousan
dfour
hundred
eightyth
reedollars
($101,483),on
orabout
March
2,2011.
•Jo
hn
andV
ictoriaW
oodofH
ouston,T
exasinvested
approximately
fiftyth
ousan
dseven
hundred
fortyone
dollarsand
seventyfive
cents($50,741.75),
inapproxim
atelyfour
transactio
ns,
aboutand
between
August
25,2010
andM
arch14,
2011.T
heW
oodsinvested
$29,300on
orabout
August
25,2010;
$7,950on
orabout
Septem
ber3,
2010;$4,141.75
onor
aboutO
ctober19,
2010;$9,350
onor
aboutM
arch14,
2011.
3.In
connectionw
iththe
saleofthese
securitiesto
investors,S
HIE
LD
Sengaged
ina
courseofbusiness
which
operatedas
afraud,
inpart,
bycontinuing
tosolicit,
acceptan
dhold
investorfunds
while
failingto
main
tainth
em
ajorityof
fundsin
this
accountfor
useon
the
Johnston’sC
ornerproject.
The
circumstances
surro
undin
gth
esales,
acts,practices
andcourse
ofbusinessengaged
inby
SH
IEL
DS
aredescribed
inth
enarrativ
eof
Essen
tialF
acts,and
the
parag
raphs
following
Count
One
throughC
ountF
ourteen,w
hichparag
raphs
arehereby
incorporatedby
reference.
4.T
heseinvestors
neverreceived
the
profitsrep
resented
byS
HIE
LD
S.
CO
UN
TS
IXT
EE
N(S
ecuritiesF
raud—
F3)
On
orabout
July
22,2010,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
ithth
eoffer
orsale
ofany
securityto
Chris
Pellow
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
thestatem
ents
made,
inthe
lightof th
ecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
theform
ofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-5
1-
501(i)
(b)and
11-51-603(i)
(Securities
Frau
d—
Class
3F
elony),ag
ainst
the
peaceand
dignityofT
heP
eopleofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Chris
Pellow
(hereafter“Pellow
”)th
eopportunity
toinvest
inan
oiland
gasdrilling
operation“H
uskies”through
Geodynam
ics.P
ellowdecided
toaccept
SH
IEL
DS
’offer,
onor
aboutJu
ly22,
2010,agreed
topurchase
interest
inth
e“H
uskies”oil
and
gasdrilling
project.P
ellowprovided
SH
IEL
DS
the
sumofn
ineteen
thousan
dtw
ohundred
fiftydollars
($19,250)to
beused
byS
HIE
LD
Sfor
the
purposeofoil
andgas
drilling.S
HIE
LD
Sacknow
ledgedPellow
’sinvestm
ent.T
hisin
vestm
ent
constitu
tesa
“security”,pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
2.In
connectionw
ithth
esale
ofthese
securitiesto
Pellow
,S
HIE
LD
Sm
adeuntru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
enarrativ
eof
Essen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TS
EV
EN
TE
EN
(Theft
under
$20,000—
F4)
On
orabout
July
22,2010,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gof value,
tow
it:m
oney,w
hichw
asthe
propertyof
Chris
Pellow
,by
deception,and
didknow
inglyuse,
concealor
abandonthe
money
insuch
man
ner
asto
depriveC
hrisP
ellowperm
anen
tlyof its
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asone
thousan
ddollars
orm
ore,but
lessth
antw
entyth
ousan
ddollars
contraryto
the
formofth
estatu
tein
suchcase
made
andprovided,
C.R
.S.§ 184-
401(1)(b)and
(2)(c)(C
lass4
Felony),
andag
ainst
the
peaceand
dignityof
theP
eopleof the
State
ofC
olorado,and
asm
orefully
setforth
abovein
thepreceding
Count
andthe
narrativ
eof
Essen
tialF
acts,each
ofwhich
isincorporated
hereinby
thisreference.
CO
UN
TE
IGH
TE
EN
(Securities
Frau
d—
F3)
On
orabout
May
11,2010,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,in
connectionw
ithth
eoffer
orsale
ofany
securityto
Eileen
Pflug
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofam
aterialfact
orom
ittedto
statea
material
factnecessary
inorder
tom
akethe
statemen
tsm
ade,in
thelight
ofthe
circumstances
under
which
theyw
erem
ade,not
misleading,
contraryto
theform
ofthestatu
tesin
suchcase
made
andprovided,
C.R
.S.§1151-
501(1)
(b)and
11-51-603(1),
(Securities
Frau
d—
Class
3F
elony),ag
ainst
the
peaceand
dignityofT
heP
eopleofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Eileen
Pflug
(hereafter“Pflug”)
theopportunity
toinvest
inan
oiland
gasdrilling
operation“H
uskies”th
rough
Geodynam
ics.P
flugdecided
toaccept
SH
IEL
DS
’offer,
and
onand
aboutM
ay11,
2010,agreed
topurchase
interest
inth
e“H
uskies”oil
and
gasdrilling
project.P
flugprovided
SH
IEL
DS
thesum
offortyseven
thousan
ddollars
($47,000)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoil
andgas
drilling.In
return
,S
HIE
LD
Sprovided
toP
flug,in
Colorado,
aletter
signedby
SH
IEL
DS
,acknow
ledgingP
flug’sin
vestm
ent
interest.
This
investment,
evidenced,in
part,by
the
letterco
nstitu
tesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
2.In
connectionw
ithth
esale
ofthesesecurities
toP
flug,S
HIE
LD
Sm
adeuntru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
enarrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TN
INE
TE
EN
(Theft
over$20,000
—F
3)
On
orabout
May
11,2010,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
ofvalue,to
wit:
MO
NE
Y,
which
was
theproperty
ofEileen
Pflug,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveE
ileenP
flugperm
anen
tlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ousan
ddollars
contraryto
theform
ofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d)(C
lass3
Felony)
andag
ainst
thepeace
anddignity
ofthe
People
oftheS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
precedingC
ountand
the
narrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TT
WE
NT
Y(S
ecuritiesF
raud—
F3)
On
orabout
May
17,2010,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,
inconnection
with
theoffer
orsale
ofanysecurity
toT
oshikazuand
Setsuko
Tanaka,
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
ts
made,
inlight
of thecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
the
formof the
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(1)
(b)and
11-51-603(i),
(Securities
Fraud—
Class
3F
elony),ag
ainst
thepeace
anddignity
ofThe
People
ofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Toshikazu
andS
etsukoT
anak
a(h
ereafter“T
heT
anakas”)the
opportunityto
investin
anoil
and
gasdrilling
operation“H
uskies”th
rough
Geodynam
ics.T
heT
anak
asdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
May
17,2010,
agreedto
purchasein
terestin
the“H
uskies”oil
andgas
drillingproject.
The
Tan
akas
providedS
HIE
LD
Sthe
sumof
nin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoiland
gasdrilling.
Inretu
rn,
SH
IEL
DS
providedto
theT
anakas,in
Colorado,
anapplication
agreement
anda
lettersigned
byS
HIE
LD
S,
acknowledging
the
Tanakas’
investm
ent
interest.
This
investment,
evidenced,in
part,
byth
isapplication
agreement
andletter
ofacknow
ledgement,
constitu
tesa
“security”,pursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
2.In
connectionw
iththe
saleofth
issecurity
tothe
Tanakas,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eof
Essen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TT
WE
NT
YO
NE
(Theftu
nder
$20,000—
F4)
On
orabout
May
17,2010,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
ofvalue,to
wit:
money,
which
was
the
propertyofT
oshikazuand
Setsuko
Tan
aka
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveT
oshikazuand
Setsukp
Tan
aka
permanently
ofitsuse
and
benefit,and
thevalue
ofsaid
MO
NE
Yw
asone
thousan
ddollars
orm
ore,but
lessth
antw
entyth
ousan
ddollars
contraryto
theform
ofthestatu
tein
suchcase
made
andprovided,
C.R
.S.§18-4-401(l)(b)
and(2)(c)
(Class
4F
elony),and
again
stthe
peaceand
dignityofthe
People
oftheS
tateofC
olorado,and
asm
orefully
setforth
abovein
thepreceding
Count
andth
enarrativ
eof
Essen
tialF
acts,each
ofw
hichis
incorporatedherein
bythis
reference.
CO
UN
TT
WE
NT
YT
WO
(Securities
Frau
d—
F3)
On
orabout
April
9,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,in
connectionw
ithth
eoffer
orsale
ofany
securityto
Mark
and
Deborah
Wifiard
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
thestatem
ents
made,
inth
elig
ht
of the
circumstances
under
which
theyw
erem
ade,not
misleading,
contraryto
the
formofth
estatu
tesin
suchcase
made
andprovided,
C.R
.S.§11-51-501
(i)(b)
and11-51-603
(1),(S
ecuritiesF
raud
—
Class
3F
elony),ag
ainst
the
peaceand
dignityofT
heP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Mark
andD
eborahW
ifiard(hereafter
“The
Wifiards”)
the
opportunityto
investin
anoil
andgas
drillin
goperation
“Huskies”
thro
ugh
Geodynam
ics.T
heW
ifiardsdecided
toaccept
SH
IEL
DS
’offer,
andon
and
aboutA
pril9,
2011,agreed
topurchase
interest
inthe
“Huskies”
oiland
gasdrilling
project.T
heW
ifiardsprovided
SH
IEL
DS
the
sumof
nineteenth
ousan
dtw
ohundred
fiftydollars
($19,250)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoiland
gasdrilling.
SH
IEL
DS
acceptedand
acknowledged
the
investment.
This
investment
constitutesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
2.In
connectionw
iththe
saleofth
issecurity
tothe
Willards,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eof
Essen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TT
WE
NT
YT
hR
EE
(Theft
under
$20,000—
F4)
On
oraboutA
pril9,
2011,in
andtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:m
oney,w
hichw
asthe
propertyofM
arkand
Deborah
Wifiard
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveM
arkand
Deborah
Willard
permanently
ofitsuse
andbenefit,
andthe
valueof
saidM
ON
EY
was
onethousand
dollarsor
more,
but
lessth
antw
entyth
ousan
ddollars
contraryto
theform
ofthestatu
tein
suchcase
made
andprovided,
C.R
.S.§18-4-401(1)(b)
and(2)(c)
(Class
4F
elony),and
again
st
thepeace
anddigm
tyofthe
People
of the
State
ofC
olorado,an
das
more
fullyset
forthabove
inthe
precedingC
ountand
the
narrativ
eof E
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TT
WE
NT
YF
OU
R(S
ecuritiesF
raud,
Course
ofBusiness
—F
3)
About
andbetw
eenF
ebru
ary25,
2010,and
thro
ugh
July
12,2011,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sin
connectionw
iththe
offeror
saleofany
securityto
investorsin
Huskies
oiland
gasproject,
directlyor
indirectly,unlaw
fully,feloniously,
andknow
inglyengaged
inany
courseof business
which
operatedor
would
operateas
afrau
dor
deceitupon
anyperson,
contraryto
the
formofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§1l-5
l-501
(1)(c)
and11-51-603
(1),and
again
stth
epeace
anddignity
ofThe
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.F
orapproxim
atelyeighteen
months,
JEF
FO
RY
SH
IEL
DS
,individually,
andby
andth
rough
Geodynam
ics,m
adenum
erousfrau
dulen
tsales
ofsecurities
toinvestors
inth
eH
uskiesoil
andgas
project.S
HIE
LD
Ssolicited
investorsto
investin
fraudulen
texploration
anddrilling
ofoiland
gasw
ellsactivity
andprovided
investorsan
applicationagreem
entand
anacknow
ledgement
letterto
evidenceth
eirinvestm
ent.S
HIE
LD
Snever
toldinvestors
ofthe
true
risksassociated
with
theinvestm
ents.N
oneofthe
listedinvestors
havereceived
therep
resented
return
son
their
investments.
2.In
connectionw
iththe
fraudulen
tsale
ofthesesecurities,
SH
IEL
DS
conductedbusiness
fromhis
residence,located
inthe
cityofP
arker,
locatedin
Douglas
County
Colorado.
Infu
rtheran
ceofthe
comm
issionofthis
offense,S
HIE
LD
Sopened
aG
eodynamics
Co.,
Inc.account
atC
hampion
Bank
locatedin
thecity
of Parker,
Douglas
County,
Colorado.
SH
IEL
DS
depositedinvestor
fundsinto
hisC
hampion
Bank
account,held
inP
arker.S
HIE
LD
Shad
out-of-stateinvestors
depositth
efunds
directlythrough
wire
transfer,
transferred
investorfunds
depositedinto
otheraccounts,
orotherw
ise,into
SH
IEL
DS
’C
hampion
Bank
account.
3.T
heinvestm
entsS
HIE
LD
Ssolicited
directlyor
indirectly,in
connectionw
ithth
iscount,
aboutand
between
February
of2010,
andthrough
July
of2011,
includetw
oor
more
ofthefollow
ing:
•A
lanA
nack
ian
dR
obinS
herm
anofW
estB
ridgew
ater,M
assachusetts
invested
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),in
appro
xim
atelytw
otran
sactions,
onan
dab
out
May
10,2010.
•E
ckhard
and
Helg
aB
laum
ueller
ofMount
Prospect,
Iffinoisin
vested
appro
xim
atelyone
hundred
fortyseven
thousan
ddollars
($147,000),in
appro
xim
atelytw
otran
sactions,
about
and
betw
eenJu
ly1,
2010an
dJu
ne
22,2011.
The
Blau
muellers
invested
$77,000on
orab
outJu
ly1,
2010an
d$70,000
onor
about
June
22,2011.
•W
illiaman
dL
isaB
rown
ofJonesboro,G
eorgiain
vested
appro
xim
atelysev
enteen
thousan
dfive
hundred
dollars
($17,500),on
orab
out
July
2,2011.
•P
eteC
aldero
nof
Kerrv
ille,T
exasin
vested
,in
div
idually
,an
dby
and
thro
ugh
Noredlac
Man
agem
ent
Lim
ited,ap
pro
xim
atelyone
hundred
ftftyfo
ur
thousan
ddollars
($154,000),on
orab
out
May
10,2010.
•A
ndrewC
olaceof
San
Marino,
Califo
rnia
invested
appro
xim
atelyth
irtyeig
ht
thousan
dfive
hundred
dollars
($38,500),on
orab
out
July
1,2010.
•P
hillip
and
JifiC
ooperof
Casper,
Wyom
ingin
vested
appro
xim
atelysev
enty
seventh
ousan
ddollars
($77,000),on
orab
out
April
6,2011.
•C
larenceC
ourtrig
ht
ofB
eaver
City,
Neb
raska
invested
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),on
orab
out
June
16,2010.
•D
avidan
dM
aryH
ostv
edt
ofP
ort
Angeles,
Wash
ingto
nin
vested
indiv
idually
and
byan
dth
rough
Hostv
edt
Revocable
Living
Tru
st,ap
pro
xim
atelyth
irtyeig
ht
thousan
dfive
dollars
($38,500),on
orab
out
May
7,2010.
•C
liffordL
awren
cein
vested
appro
xim
atelysev
enty
seventh
ousan
ddollars
($77,000),on
orab
out
June
17,2010.
•R
onaldan
dJan
eM
aheu
ofB
oston,M
assachusetts
invested
appro
xim
atelysev
enty
thousan
ddollars
($70,000)on
orab
out
June
24,2011.
•E
rwin
Moeller
ofDenison,
Iowa
invested
appro
xim
atelysev
enteen
thousan
dfive
hundred
dollars
($17,500),on
orab
out
July
11,2011.
•C
lydeO
taofP
aia,H
awaii
invested
indiv
idually
and
byan
dth
rough
Kah
ulu
iA
irport
New
sstand,
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),on
orab
out
August
4,2010.
•C
hrisP
ellowof
Golden,
Colorado
invested
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),on
orab
out
July
22,2010.
•E
ileenP
flug
ofD
enver,C
oloradoin
vested
appro
xim
atelyforty
seventh
ousan
ddollars
($47,000),on
orab
out
May
11,2010.
•Jo
hn
Pholeric
and
Thom
asW
ardofL
eesburg,V
irgin
iain
vested
appro
xim
atelynin
eth
ousan
dsix
hundred
twen
tyfive
dollars
($9,625),on
orab
out
April
7,2011.
•Jo
hn
and
Janet
Pillitteri
ofN
ewY
orkC
ity,N
ewY
orkin
vested
appro
xim
atelysev
enty
seventh
ousan
ddollars
($77,000),on
orab
out
July
12,2010.
•D
aniel
and
Robin
Posm
aof
Zeeland,
Michigan
invested
appro
xim
atelyth
irtyeig
ht
thousan
dfive
hundred
dollars
($38,500),on
orab
out
June
14,2010.
•B
arton
Reed
ofO
mah
a,N
ebrask
ain
vested
appro
xim
atelynin
eth
ousan
dsix
hundred
twen
tyfive
dollars
($9,625),on
orab
out
August
30,2010.
•B
rianR
udeof
Sioux
Falls,
South
Dak
ota
invested
appro
xim
atelysev
enteen
thousan
dfive
hundred
dollars
($17,500),on
orab
out
June
29,2011.
•D
aniel
Sellers
ofMobile,
Alab
ama
invested
appro
xim
atelyth
irtyeig
ht
thousan
dfive
hundred
dollars
($38,500),on
orab
out
March
29,2011.
•Jam
esan
dB
renda
Sperr
ofKnoxville,
Iowa
investedap
pro
xim
atelysev
enteen
thousan
dfive
hundred
dollars($17,500),
onor
about
June
28,2011.
•M
ayS
tinso
nof
GulfB
reeze,F
lorid
ain
vested
appro
xim
atelyeig
hty
nin
eth
ousan
dtw
ohundred
fiftydollars
($89,250)in
appro
xim
atelyth
reetran
sactions
about
and
betw
eenM
arch30,
2011an
dJu
ne
29,2011.
Stin
son
invested
$19,250on
orab
out
March
30,2011;
$25,000on
orab
out
June
29,201L
and
$45,000on
orab
out
June
29,2011.
•T
osh
ikazu
and
Setsu
ko
Tan
aka
ofE
nglewood,
Colorado
invested
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),on
orab
out
May
17,2010.
•L
eeT
ateof
Spokane,
Wash
ingto
nin
vested
appro
xim
atelynin
eth
ousan
dsix
hundred
twen
tyfive
dollars
($9,625),on
orab
out
June
15,2010.
•B
rianan
dK
imT
uck
erof
Syracuse,
Indian
ain
vested
appro
xim
atelyfifty
thousan
ddollars
($50,000),on
orab
out
Feb
ruary
25,2010.
•D
oyleH
.W
aggleof
Eurek
a,M
issouri
invested
appro
xim
atelysev
enty
nin
eth
ousan
dsix
hundred
twen
tyfive
dollars
($79,625),in
two
transactio
ns,
about
and
betw
eenM
arch18,
2011,an
dJu
ly12,
2011.W
agglein
vested
$9,625on
orab
out
March
18,2O
lland
$70,000on
orab
out
July
12,2011.
•M
arkan
dD
eborah
Wifiard
ofE
lizabeth
,C
oloradoin
vested
appro
xim
atelynin
eteenth
ousan
dtw
ohundred
fiftydollars
($19,250),on
orabout
April
9,2011.
4.In
connectionw
ithth
esale
ofth
esesecu
ritiesto
investo
rs,S
HIE
LD
Sen
gag
edin
acourse
ofbusin
essw
hichoperated
asa
fraud,
inpart,
byco
ntin
uin
gto
solicit,accept
and
holdin
vesto
rfu
nds
while
failing
tom
aintain
the
majo
rityoffu
nds
inth
isaccount
foruse
onth
eH
usk
iesoil
and
gasproject.
The
circum
stances
surro
unth
ng
the
sales,acts,
practices
and
courseofb
usin
essengaged
inby
SH
IEL
DS
,in
cludin
gin
ducem
ent
thro
ugh
earlierin
vestm
ents,
aredescribed
inth
enarrativ
eof
Essen
tialF
acts,an
dth
eparag
raphs
following
Count
One
thro
ugh
Count
Tw
entyT
hree,
which
parag
raphs
arehereb
yin
corp
orated
byreference.
5.T
hesein
vesto
rsnev
erreceived
the
pro
fitsrep
resented
byS
HIE
LD
S.
CO
UN
TT
WE
NT
YF
IVE
(Securities
Frau
d—
F3)
On
orabout
March
21,2011,
inand
triable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
ithth
eoffer
orsale
ofanysecurity
toB
rianK
arshdirectly
orindirectly,
unlawfully,
feloniously,and,w
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
ofthe
circumstances
under
which
theyw
erem
ade,not
misleading,
contraryto
theform
of thestatu
tesin
suchcase
made
andprovided,
C.R
S.
§11
-51
-501
(1)(b)
and11-51-603
(1)(S
ecuritiesF
raud
—C
lass3
Felony),
again
stthe
peaceand
dignityof T
heP
eopleofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Brian
Karsh
(hereafter“K
arsh”)the
opportunityto
investin
anoil
andgas
drillingoperation
“Trum
peter#1
and#2”
thro
ug
hG
eodynamics.
Karsh
decidedto
acceptS
HIE
LD
S’
offer,and
onor
aboutM
arch21,
2011,agreed
topurchase
ofinterest
inth
e“T
rumpeter
#1and
#2”oil
andgas
drillingproject.
Karsh
providedS
HIE
LD
Sth
esum
of fortysix
thou
sand
sixh
undred
fiftydollars
($46,650)to
beused
byS
HIE
LD
Sfor
the
purposeofoil
andgas
drilling.T
hisin
vestm
ent
constitutesa
“security”,p
ursu
ant
toth
eC
oloradoS
ecuritiesA
ct.
2.In
connectionw
iththe
saleofthese
securitiesto
Karsh,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inthe
narrativ
eof E
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
WE
NT
YSIX
(Theft
over$20,000
—F3)
On
orabout
March
21,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
of value,to
wit:
MO
NE
Y,
which
was
the
propertyofB
rianK
arsh,by
deception,and
didknow
inglyuse,
concealor
abandonthe
money
insuch
man
ner
asto
depriveB
rianK
arshperm
anen
tlyof its
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ou
sand
dollarscontrary
tothe
formof the
statute
insuch
casem
adean
dprovided,
C.R
.S.§18-4-401(1)(b)
and(2)(d),
(Class
3F
elony)and
again
stthe
peaceand
dignityof th
eP
eopleofth
eS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
Count
and
the
narrativ
eof E
ssential
Facts,
eachofw
hichis
incorporatedherein
byth
isreference.
CO
UN
TT
WE
NT
YS
EV
EN
(Securities
Frau
d—
F3)
About
andbetw
eenS
eptember
9,2010,
andJan
uary
13,2011,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,inconnection
with
theoffer
orsale
ofany
securityto
Chris
Pellow
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofam
aterialfact
orom
ittedto
statea
material
factnecessary
inorder
tom
akethe
statemen
tsm
ade,in
thelight
of the
circumstances
und
erw
hichthey
were
made,
notm
isleading,contrary
toth
eform
ofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(1)
(b)and
11-51-603(1)
(Securities
Frau
d—
Class
3F
elony),ag
ainst
thepeace
anddignity
ofThe
People
of theS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Chris
Pellow
(hereafter“Pellow
”)the
opportunityto
investin
anoil
andgas
drillingoperation
“Trum
peter#1
and#2”
throughG
eodynamics.
Pellow
decidedto
acceptS
HIE
LD
S’
offer,and
onand
aboutS
eptember
9,2010,
agreedto
purchasein
terestin
the
“Trum
peter#1
and#2”oil
andgas
drillingproject.
Pellow
providedS
HIE
LD
Sthe
sumof forty
sixth
ousan
dsix
hun
dred
fiftydollars
($46,650)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoil
andgas
drilling.In
return
,S
HIE
LD
S,
byand
throughG
eodynamics,
providedto
Pellow
,in
Colorado,
aletter,
acknowledging
Pellow’s
investment.
This
investment,
evidenced,in
part,
byth
isletter
of
acknow
ledgem
ent,
constitu
tesa
“security”,pu
rsuan
tto
the
Colorado
Secu
ritiesA
ct.
2.A
dditionally,in
app
rox
imately
October
of2010,
SH
IEL
DS
solicitedP
ellowfor
adth
tional
fun
ds
topurch
asea
greater
interest
inth
e“T
rum
peter
#1an
d#2”
drillingproject.
Pellow
agreed
and
onan
dabout
October
27,2010,
providedto
SH
IEL
DS
anad
ditio
nal
fortysix
thousan
dsix
hundred
fiftydollars
($46,650)for
the
pu
rchase
ofad
ditio
nal
interest
inth
e“T
rum
peter
#1an
d#2”oil
and
gasd
rilling
project.S
HIE
LD
Saccepted
this
add
itional
inv
estmen
t.T
hisin
vestm
ent
constitu
tesa
“security”pu
rsuan
tto
the
Colorado
Secu
ritiesA
ct.
3.In
appro
xim
atelyD
ecember,
2010,S
HIE
LD
Ssolicited
Pellow
forad
ditio
nal
investm
ent
fun
ds
forth
e“com
pletioncosts”
ofth
ew
ellsbeing
drilled
inth
e“T
rum
peter
#1an
d#2”project.
Pellow
accepted,an
don
orab
ou
tD
ecember
15,2010,
pro
vid
edto
SH
IEL
DS
app
rox
imately
eleventh
ousan
dsix
hu
nd
redsixty
two
dollars
and
fiftycents
($11,662.50)to
payfor
add
itional
costsasso
ciatedw
ithth
ew
ells.S
HIE
LD
Saccepted
and
acknowledged
Pellow
’sad
ditio
nal
inv
estmen
t.T
hisin
vestm
ent
constitu
tesa
“security”pursu
ant
toth
eC
oloradoS
ecurities
Act.
4.In
connectionw
ithth
esale
ofth
esesecu
ritiesto
Pellow
,S
HIE
LD
Sm
adeuntru
estatem
ents
ofm
aterialfact,
and
failedto
disclosem
aterialfacts
asdescribed
inth
enarrativ
eof
Essen
tialF
acts,w
hichis
hereb
yin
corp
orated
byreferen
ce.
CO
UN
TT
WE
NT
YE
IGH
T(T
heftover
$20,000—
F3)
About
andbetw
eenS
eptember
9,2010,
andD
ecember
15,2010,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
athing
ofvalue,to
wit:
money,
which
was
theproperty
ofC
hrisP
ellow,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
anner
asto
depriveC
hrisP
ellowperm
anentlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ou
sand
dollarscontrary
tothe
formofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d)(C
lass3
Felony),
andagainst
thepeace
anddignity
oftheP
eopleof
theS
tateof
Colorado,
and
asm
orefully
setforth
abovein
thepreceding
Count
andthe
narrativ
eof
Essen
tialF
acts,each
of which
isincorporated
herein
byth
isreference.C
OU
NT
TW
EN
TY
NIN
E(S
ecuritiesF
raud
—F
3)
About
andbetw
eenO
ctober25,
2010and
March
2,2011,
inand
triable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,
inconnection
with
theoffer
orsale
ofany
securityto
Eileen
Pflug
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
of the
circumstances
un
der
which
theyw
erem
ade,not
misleathng,
contraryto
the
formofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(i)
(b)and
11-51-603(1),
(Securities
Frau
d—
Class
3F
elony),ag
ainst
the
peaceand
dignityofT
heP
eopleofth
eS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Eileen
Pflug
(hereafter“Pflug”)
theopportunity
toinvest
inan
oiland
gasdrilling
operation“T
rumpeter
#1and
#2”th
rou
gh
Geodynam
ics.P
flugdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
October
25,2010,
agreedto
purchaseof in
terestin
the
“Trum
peter#1
and#2”oil
andgas
drillingproject.
Pflug
providedS
HIE
LD
Sth
esum
oftwenty
three
thousan
dth
reehu
ndred
twenty
fivedollars
($23,325)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoilan
dgas
driffing.In
return
,S
HIE
LD
S,
byand
thro
ugh
Geodynam
ics,provided
toP
flug,in
Colorado,
aletter
acknowledging
Pflug’s
investment
interest.
This
investment,
evidenced,in
part,
byth
eletter
constitutesa
“security”,pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
2.In
approximately
January
of2011,S
HIE
LD
Ssolicited
Pflug
foradditional
investment
fundsfor
the
“completion
costs”ofthe
wells
beingdrilled
inthe
“Trum
peter#1
and#2”project.
Pflug
accepted,and
onor
aboutJan
uary
17,2011,
providedto
SH
IEL
DS
approximately
eleventh
ousan
dsix
hundred
sixtytw
odollars
andfifty
cents($11,662.50)
topay
for“com
pletioncosts”
ofthew
ells.In
return
,S
HIE
LD
S,
byand
throughG
eodynamics,
providedto
Pflug,
inC
olorado,a
letteracknow
ledgingPflug’s
investment
interest.
This
investment,
evidenced,in
part,
bythe
letterconstitutes
a“security”,
pursu
ant
tothe
Colorado
Securities
Act.
3.In
approximately
March
of2011,
SH
IEL
DS
solicitedP
flugfor
adthtionalin
vestm
ent
fundsfor
the
“Trum
peter#1
and
#2”project.P
flugaccepted,
andon
orabout
March
2,2011,
providedto
SH
IEL
DS
approximately
twenty
three
tho
usan
dth
reehun
dred
twenty
fivedollars
($23,325).S
HIE
LD
Saccepted
Pflug’s
adthtionalinvestm
ent.T
hisin
vestm
ent
constitutesa
“security”pu
rsuan
tto
the
Colorado
Securities
Act.
4.In
connectionw
ithth
esale
ofthesesecurities
toP
flug,S
HIE
LD
Sm
adeuntru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
enarrativ
eof E
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
HIR
TY
(Theft
over$20,000
—F
3)
About
andbetw
eenO
ctober25,
2010and
March
2,2011,
inan
dtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asth
eproperty
ofEileen
Pflug,
bydeception,
anddid
knowingly
use,conceal
orabandon
the
money
insuch
man
ner
asto
depriveE
ileenP
flugperm
anen
tlyofits
useand
benefit,and
the
valueof
saidM
ON
EY
was
more
than
twenty
thousan
ddollars
contraryto
theform
ofthestatu
tein
suchcase
made
andprovided,
C.R
.S.§18-4-401(1)(b)
and(2)(d),
(Class
3F
elony)and
again
stthe
peaceand
thgnityofth
eP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
precedingC
ountand
thenarrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
bythis
reference.
CO
UN
TT
HIR
TY
ON
E(S
ecuritiesF
raud
—F
3)
On
orabout
Septem
ber14,
2010,in
andtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
ithth
eoffer
orsale
ofany
securityto
Kade
andE
mily
Roundy
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
ofthecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
theform
ofthestatu
tesin
suchcase
made
andprovided,
C.R
.S.§115l5
01
(1)(b)
and11-51-603
(i),(S
ecuritiesF
raud
—
Class
3F
elony),ag
ainst
thepeace
anddignity
of The
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Kade
andE
mily
Roundy
(hereafter“the
Roundys”)
theopportunity
toinvest
inan
oiland
gasdrilling
operation“T
rumpeter
#1and
#2”through
Geodynam
ics.T
heR
oundysdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
Septem
ber14,
2010,agreed
topurchase
interest
inth
e“T
rumpeter
#1and
#2”oiland
gasdrilling
project.T
heR
oundysprovided
SH
IEL
DS
approximately
twenty
three
tho
usan
dth
reehun
dred
twenty
fivedollars
($23,325)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoiland
gasdrilling.
This
investm
ent
constitutesa
“security”,pursu
ant
tothe
Colorado
Securities
Act.
2.In
connectionw
ithth
esale
ofthis
securityto
the
Roundys,
SH
IEL
DS
made
untru
estatem
ents
ofmaterial
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
en
arrative
ofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
HIR
TY
TW
O(T
heftover
$20,000—
F3)
AO
nor
aboutS
eptember
14,2010,
inand
triablein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:M
ON
EY
,w
hichw
asth
eproperty
ofKade
andE
mily
Roundy,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
ann
eras
todeprive
Kade
andE
mily
Roundy
perm
anen
tlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ousan
ddollars
contraryto
theform
ofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
the
peaceand
dignityofthe
People
ofthe
State
ofColorado,
andas
more
fullyset
forthabove
inth
epreceding
Count
andthe
narrativ
eof
Essen
tialF
acts,each
ofwhich
isincorporated
herein
byth
isreference.
CO
UN
TT
HIR
TY
TH
RE
E(S
ecuritiesF
raud
—F
3)
On
orabout
Decem
ber20,
2010,in
andtriab
lein
the
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
S,in
connectionw
iththe
offeror
saleof
anysecurity
toD
ewane
Sierks
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
un
true
statemen
tof
am
aterialfact
orom
ittedto
statea
material
factnecessary
inorder
tom
akethe
statemen
tsm
ade,in
thelight
ofthe
circumstances
under
which
theyw
erem
ade,not
misleading,
contraryto
the
formof th
estatu
tesin
suchcase
made
andprovided,
C.R
.S.§1l-5
1-5
01
(1)(b)
and11-51-603
(i),(S
ecuritiesF
raud
—C
lass3
Felony),
again
stth
epeace
anddignity
of The
People
ofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Dew
aneS
ierks(hereafter
“Sierks”)
the
opportunityto
investin
anoil
and
gasdrilling
operation“T
rumpeter
#1and
#2”th
rough
Geodynam
ics.S
ierksdecided
toaccept
SH
IEL
DS
’offer,
andon
orabout
Decem
ber20,
2010,agreed
topurchase
interest
inthe
“Trum
peter#1
and#2”oil
andgas
drillingproject.
Sierks
providedS
HIE
LD
Sapproxim
atelyeleven
thou
sand
sixhundred
sixtytw
odollars
andfifty
cents($11,662.50)
tobe
usedby
SH
IEL
DS
forthe
purposeofoil
andgas
drilling.In
return
,S
HIE
LD
Sprovided
toS
ierks,in
Colorado,
aletter
signedby
SH
IEL
DS
,acknow
ledgingS
ierks’in
vestm
ent
interest.
This
investment,
evidenced,in
part,
byth
isletter
ofacknowledgem
ent,constitutes
a“security”,
pu
rsuan
tto
the
Colorado
Securities
Act.
2.In
connectionw
iththe
saleof
this
securityto
Sierks,
SH
IEL
DS
made
untru
estatem
ents
of material
fact,and
failedto
disclosem
aterialfacts
asdescribed
inth
enarrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
HIR
TY
FO
UR
(Theft less
than
$20,000—
F4)
On
orabout
Decem
ber20,
2010,in
andtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Sdid
unlawfully,
feloniouslyand
knowingly
obtainor
exercisecontrol
overa
thin
gofvalue,
tow
it:m
oney,w
hichw
asthe
propertyofD
ewane
Sierks,
bydeception,
anddid
knowingly
use,conceal
orabandon
them
oneyin
suchm
ann
eras
todeprive
Sum
ieand
Philip
Seng
permanently
ofitsuse
andbenefit,
andth
evalue
of saidM
ON
EY
was
more
than
onethousand
bu
tless
than
twenty
thousan
ddollars
contraryto
the
formof th
estatu
tein
suchcase
made
andprovided,
C.R
.S.§18-4-401(1)(b)
and(2)(c),
(Class
4F
elony)and
again
stth
epeace
anddignity
ofthe
People
of the
State
ofC
olorado,and
asm
orefully
setforth
abovein
thepreceding
Count
andthe
narrativ
eof
Essen
tialF
acts,each
ofw
hichis
incorporatedherein
byth
isreference
CO
UN
TT
HIR
TY
FIV
E(S
ecuritiesF
raud
—F3)
On
orabout
Feb
ruary
2,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,inconnection
with
the
offeror
saleofany
securityto
Donna
andR
aymond
Wells,
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
ofthecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
theform
of thestatu
tesin
suchcase
made
andprovided,
C.R
.S.§11-51-501
(1)(b)
and11-51-603
(1),(S
ecuritiesF
raud
—
Class
3F
elony),ag
ainst
thepeace
anddignity
ofThe
People
ofthe
State
ofC
olorado,and
asm
orefully
setout
below:
1.S
HIE
LD
Soffered
Donna
andR
aymond
Wells
(hereafter“T
heW
ells”)th
eopportunity
toinvest
inan
oiland
gasdrilling
operation“T
rumpeter
#1and
#2”through
Geodynam
ics.T
heW
ellsdecided
toaccept
SH
IEL
DS
’offer,
andon
andabout
February
2,2011,
agreedto
purchasein
terestin
the“T
rumpeter
#1and
#2”oiland
gasdrilling
project.T
heW
ellsprovided
SH
IEL
DS
approximately
twenty
three
thousan
dth
reeh
un
dred
twenty
fivedollars
($23,325)to
beused
byS
HIE
LD
Sfor
thepurpose
ofoiland
gasdrilling.
SH
IEL
DS
acceptedand
acknowledged
theinvestm
ent.T
hisinvestm
entco
nstitu
tesa
“security”,p
ursu
ant
tothe
Colorado
Securities
Act.
2.In
connectionw
ithth
esale
ofthis
securityto
The
Wells,
SH
IEL
DS
made
untru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
factsas
describedin
then
arrative
ofEssen
tialF
acts,w
hichis
herebyincorporated
byreference.
CO
UN
TT
HIR
TY
SIX
(Theft
over$20,000
—F
3)
On
orabout
Feb
ruary
2,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
of value,to
wit:
MO
NE
Y,
which
was
theproperty
ofDonna
andR
aymond
Wells,
bydeception,
anddid
knowingly
use,conceal
orabandon
the
money
insuch
man
ner
asto
depriveD
onnaand
Raym
ondW
ellsp
erman
ently
ofitsuse
andbenefit,
andth
evalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ousan
ddollars
contraryto
theform
ofthestatu
tein
suchcase
made
andprovided,
C.R
.S.
§18-4-401(1)(b)an
d(2)(d),
(Class
3F
elony)and
again
stthe
peaceand
dignityofth
eP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
forthabove
inth
epreceding
countand
then
arrative
ofEssen
tialF
acts,each
of which
isincorporated
herein
bythis
reference.CO
UN
TT
HIR
TY
SE
VE
N(S
ecuritiesF
raud
—F
3)
On
orabout
Feb
ruary
23,2011,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
,inconnection
with
the
offeror
saleof
anysecurity
toM
arkand
Deborah
Wifiard
directlyor
indirectly,unlaw
fully,feloniously,
andw
illfullym
adean
untru
estatem
ent
ofa
material
factor
omitted
tostate
am
aterialfact
necessaryin
orderto
make
the
statemen
tsm
ade,in
thelight
ofthecircum
stancesunder
which
theyw
erem
ade,not
misleading,
contraryto
the
formof
thestatu
tesin
suchcase
made
andprovided,
C.R
.S.§l1
-51-5
0l
(i)(b)
and11-51-603
(i),(S
ecuritiesF
raud
—
Class
3F
elony),ag
ainst
the
peaceand
dignityofT
heP
eopleofth
eS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.S
HIE
LD
Soffered
Mark
andD
eborahW
illard(hereafter
“The
Willards”)
theopportunity
toinvest
inan
oiland
gasdrilling
operation“T
rumpeter
#1and
#2”through
Geodynam
ics.T
heW
illardsdecided
toaccept
SH
IEL
DS
’offer,
andon
orabout
February
23,2011,
agreedto
purchasein
terestin
the
“Trum
peter#1
and#2”oil
andgas
drillingproject.
The
Wilard
sprovided
SH
IEL
DS
thesum
offortysix
thousandsix
hundredfifty
dollars($46,650),
tobe
usedby
SH
IEL
DS
forth
epurpose
ofoiland
gasdrilling.
SH
IEL
DS
acceptedand
acknowledged
theinvestm
ent.T
hisinvestm
entconstitutes
a“security”,
pu
rsuan
tto
theC
oloradoS
ecuritiesA
ct.
2.In
connectionw
ithth
esale
ofthis
securityto
The
Wifiards,
SH
IEL
DS
made
untru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
factsas
describedin
the
narrativ
eofE
ssential
Facts,
which
ishereby
incorporatedby
reference.
CO
UN
TT
HIR
TY
EIG
HT
(Theft
over$20,000
—F
3)
On
orabout
Feb
ruary
23,2011,
inand
triable
inth
eS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
ofvalue,to
wit:
MO
NE
Y,
which
was
theproperty
of Mark
andD
eborahW
illard,by
deception,and
didknow
inglyuse,
concealor
abandonth
em
oneyin
suchm
anner
asto
depriveM
arkand
Deborah
Willard
perm
anen
tlyofits
useand
benefit,and
thevalue
ofsaid
MO
NE
Yw
asm
oreth
antw
entyth
ou
sand
dollarscontrary
tothe
formofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
the
peaceand
dignityofth
eP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
precedingcount
and
thenarrativ
eofE
ssential
Facts,
eachofw
hichis
incorporatedherein
bythis
reference.
CO
UN
TT
HIR
TY
NIN
E(S
ecuritiesF
raud,
Course
ofBusiness
—F
3)
About
and
between
August
10,2010,
andth
rough
July
7,2011,
inand
triablein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
inconnection
with
the
offeror
saleof
anysecurity
toinvestors
inT
rum
peter
#1and
#2,directly
orindirectly,
unlawfully,
feloniously,and
knowingly
engagedin
anycourse
ofbusinessw
hichoperated
orw
ouldoperate
asa
fraud
ordeceit
uponany
person,contrary
tothe
formofthe
statutes
insuch
casem
adeand
provided,C
.R.S.
§11-51-501(1)
(c)and
11-51-603(1),
andag
ainst
thepeace
anddignity
ofThe
People
oftheS
tateof
Colorado,
andas
more
fullyset
outbelow
:
1.F
orapproxim
atelyfifteen
months,
JEF
FO
RY
SH
IEL
DS
,individually,
andby
andthrough
Geodynam
ics,m
adenum
erousfrau
du
lent
salesof
securitiesto
investorsin
theT
rum
peter
#1and
#2oil
andgas
project.S
HIE
LD
Ssolicited
investorsto
investin
fraud
ulen
texploration
anddrilling
ofoiland
gasw
ellsactivity
andprovided
investorsan
acknowledgem
entletter
toevidence
their
investment.
SH
IEL
DS
nevertold
investorsofthe
true
risks
associatedw
ithth
einvestm
ents.N
oneof the
listedinvestors
havereceived
therep
resented
return
son
their
investments.
2.In
connectionw
ithth
efrau
dulen
tsale
of thesesecurities,
SH
IEL
DS
conductedbusiness
fromhis
residence,located
inthe
cityofP
arker,
Colorado.
Infu
rtheran
ceofth
ecom
mission
of this
offense,S
HIE
LD
Sopened
Geodynam
icsC
o.,Inc.
accountat
Cham
pionB
anklocated
inthe
cityofP
arker,
Douglas
County,
Colorado.
SH
IEL
DS
depositedinvestor
fundsinto
hisC
hampion
Ban
kaccount,
heldin
Park
er.S
HIE
LD
Shad
out-of-stateinvestors
depositthe
fundsdirectly
thro
ugh
wire
transfer,
transferred
investorfunds
depositedinto
otheraccounts,
orotherw
ise,into
SH
IEL
DS
’C
hampion
Bank
account.
3.T
hein
vestm
ents
SH
IEL
DS
soliciteddirectly
orindirectly,
inconnection
with
this
count,on
andbetw
eenA
ugustof
2010,and
throughJu
lyof
2011,include
two
orm
oreofth
efollow
ing:
•W
illiamB
ieberof
Canfield,
Ohio
investedapproxim
atelyeleven
thousan
dsix
hundred
sixtytw
odollars
andfifty
cents($11,662.50)
onor
aboutF
ebru
ary24,
2011.
•E
ckhardand
Helga
Blaum
uellerofM
ountP
rospect,Illinois
investedapproxim
atelytw
oth
ousan
dnine
hundred
($2,900),on
orabout
October
22,2010.
•W
illiamand
Lisa
Brow
nofJonesboro,
Georgia
investedapproxim
atelytw
entyth
reeth
ousan
dth
reehundred
twenty
fivedollars
($23,325),on
orabout
January
19,2011.
•M
artinC
ieslak,of
Clinton
Tow
nship,M
ichiganinvested
approximately
twenty
three
thousan
dth
reehundred
twenty
fivedollars
($23,325),on
orabout
January
18,2011.
•H
elenand
James
Dodds
ofVera
Beach,
Florida
investedapproxim
atelytw
entyth
reeth
ousan
dth
reehundred
twenty
fivedollars
($23,325),on
orabout
Decem
ber2,
2010.
•P
restonand
Norm
aG
oodwin
ofPreston,
Massach
usetts
investedapproxim
atelyeleven
thousan
dsix
hundred
sixtytw
odollars
andfifty
cents($11,662.50),
onor
aboutF
ebru
ary9,
2011.
•N
ancyH
edgesof
Mifi
Creek,
Wash
ingto
nin
vested
app
roxim
atelyth
irtyth
reeth
ou
sand
two
hu
nd
redn
inety
two
do
llarsan
dfifty
cents
($33,292.50),ab
ou
tan
dbetw
eenO
ctober5,
2010an
dJu
ly7,
2011.N
ancyH
edgesin
vested
$23,325on
orab
ou
tO
ctober5,
2010an
d$9,967.50
onor
about
July
7,2011.
•R
ichard
Hedges
ofMill
Creek,
Wash
ingto
nin
vested
app
rox
imately
thirty
three
thousan
dtw
ohu
nd
rednin
etytw
odollars
and
fiftycen
ts($33,292.50),
abou
tan
dbetw
eenO
ctober6,
2010an
dJu
ly7,
2011.R
ichard
Hedges
invested
$23,325on
orab
out
October
6,2010
and
$9,967.50on
orab
out
July
7,2011.
•B
rianK
arshof
Park
er,C
oloradoin
vested
app
roxim
atelyforty
sixth
ousan
dsix
hu
nd
redfifty
do
llars($46,650)
onor
abou
tM
arch21,
2011.
•B
rianL
amb
ofH
ousto
n,
Texas
invested
indiv
idu
allyan
dby
and
thro
ugh
Axys
Industrial
Solutions,
app
roxim
atelyone
hund
redeig
hty
sixth
ou
sand
sixh
un
dred
dollars
($186,600),in
appro
xim
atelytw
otran
sactions,
about
and
betw
eenO
ctober18,
2010an
dD
ecember
1,2010.
Lam
bin
vested
$93,300on
orab
ou
tO
ctober18,
2010an
d$93,300
onor
abo
ut
Decem
ber1,
2010.
•G
eorgeL
ewis
of Boston,
Massach
usetts
invested
,in
div
idu
allyan
dby
and
thro
ugh
Fid
uciary
Tru
stC
ompany,
appro
xim
atelyforty
sixth
ou
sand
sixhundred
twen
tyfive
dollars
($46,625),ab
out
and
betw
eenO
ctober19,
2010an
dJan
uary
19,2011.
Lew
isin
vested
$23,300on
orab
ou
tO
ctober19,
2010an
d$23,325
onor
abo
utJan
uary
19,2011.
•R
onaldan
dJan
eM
aheu
ofB
oston,M
assachusetts
inv
estedap
pro
xim
atelysixty
eigh
tth
ousan
dfive
hu
ndred
twen
tyfive
dollars
($68,525)in
app
rox
imately
three
transactio
ns,
abo
ut
and
betw
eenA
ugust
9,2010
and
January
26,2011.
The
Maheu’s
inv
ested$21,875
onor
about
Au
gust
9,2010;
$23,325on
orab
ou
tJan
uary
14,2011;
and
$23,325on
orab
ou
tJan
uary
26,2011.
•C
harles
McC
ourtof
Tow
son,M
arylan
din
vested
app
roxim
atelyforty
sixth
ou
sand
sixh
un
dred
fiftydollars
($46,650),on
orab
out
Janu
ary12,
2011.
•C
hris
Nich
terofB
uffalo,N
ewY
orkin
vested
app
rox
imately
twen
tyth
reeth
ousan
dth
reeh
un
dred
twen
tyfive
dollars
($23,325),on
orab
out
Sep
temb
er29,
2010.
•R
ichard
Norris
and
Carol
Milton
invested
appro
xim
atelyeleven
tho
usan
dsix
hundred
sixty
two
dollars
and
fiftycents
($11,662.50)on
orab
outJan
uary
17,2011.
•C
hristo
pher
Pallo
ttaof
Fairm
ou
nt,
West
Virg
inia
inv
estedap
pro
xim
atelytw
enty
three
tho
usan
dth
reehun
dred
twen
tyfive
dollars
($23,325),on
orab
ou
tN
ovember
4,2010.
•C
hris
and
Alesh
iaP
ellowof
Golden,
Colorado
invested
app
rox
imately
onehundred
fourth
ousan
dnin
ehu
nd
redsix
tytw
odollars
and
fiftycen
ts($104,962.50),
the
dates
and
amo
un
tsof
the
Fellow
s’in
vestm
ents
aredescrib
edin
Count
Tw
entyS
even.
•E
ileenP
flug
ofD
enver,C
oloradoin
vested
,in
div
idu
allyan
dby
and
thro
ugh
Koi
Partn
ers,ap
pro
xim
atelyfifty
eigh
tth
ousan
dth
reeh
un
dred
twelve
dollars
and
fiftycen
ts($58,312.50),
the
dates
and
amounts
ofP
flug’sin
vestm
ents
aredescribed
inC
ountT
wenty
Nine.
•Jo
hn
Pholeric
ofLeesb
urg
,V
irgin
iain
vested
appro
xim
atelyth
irtyfour
tho
usan
dn
ine
hu
nd
redeighty
sevendollars
and
fiftycents
($34,987.50),in
app
rox
imately
two
transactio
ns
abo
ut
and
betw
eenJan
uary
12,2011
and
January
21,2011.
Pholeric
invested
$23,325on
orab
out
Janu
ary12,
201
Lan
d$11,662
onor
aboutJan
uary
21,2011.
•Jo
hn
and
Janet
Pillitteri
ofN
ewY
orkC
ity,N
ewY
orkin
vested
appro
xim
atelynin
etyth
reeth
ousan
dth
reehu
nd
reddollars
($93,300),on
orab
out
Sep
tember
17,2010.
•C
hester
Plo
tner
ofM
org
anC
ity,L
ouisian
ain
vested
appro
xim
atelyeleven
thousan
dsix
hun
dred
sixtytw
odollars
and
fiftycents
($11,662.50)on
orab
ou
tan
dF
ebru
ary14,
2011.
•S
cottR
eadof
Loveland,
Colorado
inv
estedap
pro
xim
atelyforty
sixth
ousan
dsix
hundred
fiftydollars
($46,650),on
orab
out
Sep
temb
er23,
2010.
•P
aul
and
Mary
Reynolds
ofC
laremore,
Oklah
om
ain
vested
app
rox
imately
fiveth
ou
sand
eight
hu
ndred
thirty
onedo
llarsan
dtw
enty
fivecen
ts($5,831.25)
onor
abou
tF
ebru
ary17,
2011.
•K
adean
dE
mily
Roundy
ofE
nglewood,
Colorado
inv
estedap
pro
xim
atelytw
enty
three
tho
usan
dth
reehu
nd
redtw
enty
fivedollars
($23,325),on
orab
out
Sep
tember
14,2010.
•S
umie
Seng
and
To
shik
azuT
anak
a,in
thvid
ually
and
byan
dth
rough
Seid
aiIn
ternatio
nal,
Incin
vested
app
rox
imately
oneh
un
dred
oneeig
hty
sixth
ousan
dsix
hund
reddollars
($186,600),on
orab
ou
tS
eptem
ber
20,2010.
•D
aniel
Sellers
ofMobile,
Alab
ama
inv
estedap
pro
xim
atelyn
inety
three
thousan
dth
reeh
un
dred
dollars
($93,300),on
orab
ou
tF
ebru
ary7,
2011.
•D
ewane
Sierk
sof
Brig
hto
n,
Colorado
inv
estedap
pro
xim
atelyeleven
thousan
dsix
hu
nd
redsixty
two
dollars
and
fiftycen
ts($11,662.50)
onor
about
Decem
ber20,
2011.
•Jam
esan
dB
rend
aS
perr
ofK
noxvffle,T
ennessee
inv
estedin
div
idu
allyan
dby
and
thro
ugh
Knoxvffle
Dairy
Queen,
fortysix
thousan
dsix
hundred
fiftydollars
($46,650),in
appro
xim
atelytw
otran
sactions,
about
and
betw
eenF
ebru
ary11,
2011an
dF
ebru
ary24,
2011.S
perr
inv
ested$23,325
onor
about
Feb
ruary
11,2011
and
$23,325on
orabout
Feb
ruary
24,2011.
•M
ayS
tinso
nof
Gulf
Breeze,
Flo
rida
inv
estedap
pro
xim
atelyforty
sixth
ousan
dsix
hundred
fiftydollars
($46,650)on
orab
out
Feb
ruary
8,2011.
•D
oyleH
.W
aggleof
Eurek
a,M
issouri
inv
estedap
pro
xim
atelytw
enty
three
thousan
dth
reeh
un
dred
twen
tyfive
dollars
($23,325),in
two
transactio
ns,
abo
ut
and
betw
eenJan
uary
11,2011,
and
January
14,2011.
Waggle
invested
$11,662.50on
orab
outJan
uary
11,2011,
and
$11,662.50on
orab
out
January
14,2011.
•D
onnaan
dR
aymond
Wells
ofAuro
ra,C
oloradoin
vested
appro
xim
atelytw
enty
three
thousan
dth
reehu
ndred
twen
tyfive
dollars
($23,325)on
orab
out
Feb
ruary
2,2011.
•M
arkand
Deborah
Wifiard
of Elizabeth,
Colorado
investedapproxim
atelyforty
sixth
ousan
dsix
hundred
fiftydollars
($46,650),on
orabout
Feb
ruary
23,2011.
•Jo
hn
andV
ictoriaW
oodofH
ouston,T
exasinvested
approximately
fortysix
thousan
dsix
hundred
fiftydollars
($46,650),on
orabout
October
13,2010.
•N
eilW
oodofW
aycross,G
eorgiainvested
approximately
twenty
three
thousan
dth
reehundred
dollars($23,300),
onor
aboutS
eptember
24,2010.
4.In
connectionw
ithth
esale
of thesesecurities
toinvestors,
SH
IEL
DS
made
untru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
facts.S
HIE
LD
Sengaged
ina
courseofbusiness
which
operatedas
afraud,
inpart,
bycontinuing
tosolicit,
acceptand
holdinvestor
fundsw
hilefailing
tom
aintain
the
majority
offunds
inth
isaccount
foruse
onthe
Tru
mpeter
project.T
hecircum
stancessu
rroundin
gthe
sales,acts,
practicesand
courseof
businessengaged
inby
SH
IEL
DS
,including
inducement
thro
ugh
earlierinvestm
ents,are
describedin
the
narrativ
eof
Essen
tialF
acts,and
the
parag
raphs
following
Count
One
thro
ugh
Count
Thirty
Eight,
which
parag
raphs
arehereby
incorporatedby
reference.
5.T
heseinvestors
neverreceived
the
profitsrep
resented
byS
HIE
LD
S.
CO
UN
TF
OR
TY
(Theft
over$20,000
—F
3)
About
andbetw
eenJan
uary
4,2010,
andJu
ly12,
2011,in
andtriab
lein
theS
tateof
Colorado,
JEF
FO
RY
SH
IEL
DS
throughJohnston’s
Corner,
Huskies,
andT
rum
peter
didunlaw
fully,feloniously
andknow
inglyobtain
orexercise
controlover
ath
ing
ofvalue,to
wit:
MO
NE
Y,
which
was
the
propertyofinvestors
inJohnston’s
Corner,
Huskies,
andT
rumpeter,
bydeception,
anddid
knowingly
use,conceal
andabandon
them
oneyin
suchm
anner
asto
deprivethe
investorsin
Johnston’sC
orner,H
uskies,and
Tru
mpeter
perm
anen
tlyofits
useand
benefit,and
thevalue
ofsaidM
ON
EY
was
more
than
twenty
thousan
ddollars
contraryto
theform
ofthe
statute
insuch
casem
adeand
provided,C
.R.S.
§18-4-401(1)(b)and
(2)(d),(C
lass3
Felony)
andag
ainst
thepeace
anddignity
oftheP
eopleof
theS
tateof
Colorado,
andas
more
fullyset
forthabove
inthe
Narrativ
eof
Essen
tialF
acts,an
dC
ountO
nethrough
Count
Thirty
Nine,
eachofw
hichis
incorporatedh
ereinby
this
reference.
CO
UN
TF
OR
TY
ON
E(S
ecuritiesF
raud,C
ourseof B
usiness—
F3)
About
andbetw
eenJu
ne
1,2011
andthrough
Jun
e21,
2011,in
andtriable
inthe
State
ofC
olorado,JE
FF
OR
YS
HIE
LD
Siii
connectionw
iththe
offeror
saleofany
securityto
investorsin
EV
DA
oiland
gasproject,
directlyor
indirectly,unlaw
fully,feloniously,
andknow
inglyengaged
inany
courseof business
which
operatedor
would
operateas
afrau
dor
deceitupon
anyperson,
contraryto
theform
ofthestatu
tesin
suchcase
made
andprovided,
C.R
.S.
§11-51-501(1)
(c)an
d11-51-603
(1),and
again
stthe
peaceand
dignityofT
heP
eopleof
theS
tateof
Colorado,
and
asm
orefully
setout
below:
1.B
eginningin
June
of2011,
JEF
FO
RY
SH
IEL
DS
,individually,
andby
andth
rou
gh
Geodynam
ics,m
adefrau
dulen
tsales
ofsecuritiesto
investorsin
the
EV
DA
oiland
gasproject.
SH
IEL
DS
solicitedinvestors
toinvest
infrau
du
lent
explorationan
ddrilling
ofoil
and
•gas
wells
activityand
providedinvestors
anacknow
ledgement
letterto
evidenceth
eirinvestm
ent.S
HIE
LD
Snever
toldinvestors
ofthe
true
risksassociated
with
theinvestm
ents.N
oneofthe
listedinvestors
havereceived
therep
resented
return
son
their
investments.
2.In
connectionw
iththe
fraud
ulen
tsale
ofthesesecurities,
SH
IEL
DS
conductedbusiness
fromC
olorado.In
furth
erance
ofthe
comm
issionof th
isoffense,
SH
IEL
DS
utilizedhis
Geodynam
icsC
o.,Inc.
accountat
Cham
pionB
anklocated
inth
ecity
of Park
er,D
ouglasC
ounty,C
olorado.S
HIE
LD
Sdeposited
investorfunds
intohis
Cham
pionB
ankaccount,
heldin
Park
er.S
HIE
LD
Shad
out-o
fstate
investorsdeposit
thefunds
directlythrough
wire
transfer,
transferred
investorfunds
depositedinto
otheraccounts,
orotherw
ise,into
SH
IEL
DS
’C
hampion
Bank
account.
3.T
heinvestm
entsS
HIE
LD
Ssolicited
directlyor
indirectly,in
connectionw
ithth
iscount,
onand
between
June
1,2011
andthrough
Jun
e21,
2011,include
thefollow
ing:
•L
aura
andW
illiamW
atersof
Gulf
Breeze,
Florida,
investedapproxim
atelyeight
thousan
dth
reehundred
twenty
eightdollars
andth
irteencents
($8,328.13)on
orabout
June
15,2011.
•D
onnaand
Raym
ondW
ellsof A
urora,C
oloradoinvested
approximately
thirty
three
thousan
dth
reehundred
twelve
dollarsand
fiftycents
($33,312.50)on
orabout
June
3,2011.
•F
redW
ifiardofV
ancouver,W
ashingtoninvested
approximately
twenty
three
thousan
dth
reehundred
twenty
fivedollars
($66,625),on
orabout
June
17,2011.
4.In
connectionw
iththe
saleofthese
securitiesto
investors,S
HIE
LD
Sm
adeuntru
estatem
ents
ofm
aterialfact,
andfailed
todisclose
material
facts.S
HIE
LD
Sengaged
ina
courseof business
which
operatedas
afraud,
inpart,
bycontinuing
tosolicit,
acceptand
holdinvestor
fundsw
hilefailing
tom
aintain
the
majority
offundsin
this
accountfor
useon
theE
VD
Aproject.
The
circumstances
surro
undin
gth
esales,
acts,practices
andcourse
ofbusinessengaged
inby
SH
IEL
DS
,including
inducement
thro
ugh
earlierinvestm
ents,are
describedin
thenarrativ
eofE
ssential
Facts,
andthe
parag
raphs
following
Count
One
thro
ugh
Count
Forty,
which
parag
raphs
arehereby
incorporatedby
reference.
5.T
heseinvestors
neverreceived
the
profitsrep
resented
byS
HIE
LD
S.
JOH
NW
.S
UT
HE
RS
AT
TO
RN
EY
GE
NE
RA
LS
TA
TE
OF
CO
LO
RA
DO
M’chae1
J. ni,442
1S
eniorA
s&tto
rney
Gen
eralC
rimin
alJu
sticeS
ection
The
2011-2012C
oloradoS
tatewid
eG
rand
Jury
presen
tsth
ew
ithin
Ind
ictmen
t,an
dth
esam
eis
hereb
yO
RD
ER
ED
FIL
ED
this
3day
of
_________________
2012.
Pursu
ant
to§
13-73-107,C
.R.S
.,th
eC
ourtdesig
nates
County,
Colorado
asth
ecounty
ofvenue
forth
ep
urp
oses
oftrial.
(‘j
RO
24
Chief
Judge