U.S. v. Rincon, Shiera Indictment

8/20/2019 U.S. v. Rincon, Shiera Indictment

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(ltstntt. f tflwrsv't lo /)t' Iuwvslcdl Abraham Jose Shiera-Bastidaj

u-ho is accuscd of- an offense or violation basetl oI'l llltt fblloNvillg tloculllcn filed u-itl) lllkt court:

k . lndictlnell O Supcrsedilpg Indictmunl D l nfornlatioll C1 Supersuding l nfonnation iD Conlplaill

O Probation Violation Pclilion O Supcrvised Rclease Violatioll I'ctitioll O Violalion Nolice tu Order oI' lllkt Cotlrt

Tllis nffbnse is briclly descri bed as Cbllosvs:

Count 1 Conspiracy to violate the Foreign Corrupt Pfactices Act (FCPA) and commit wire fraud

Counts 6-10 FCPA Violations

Counts 1 1 Conspiracy to commit money Iaundering

Counts 12-18 Money Laundering

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Case 1:15-mj-03604-EGT Document 1 Entered on FLSD Docket 12/21/2015 Page 1 of 43


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' DEFEHDANT INFORMATION REu n ve To & CRIMINAL AcnoN - IN o-s. DIA RTG couRT

BY: (E) complaint (:) lnformation (?) Indidment DEFENDANT - tJ.s. vs.

Name of Distrid Court? ant/or Judge/Magistrdte tocation (CiW) Arj jlAj.jAyj Josl sl.j 1 ERA-BASTI IJAS

UNITED A ATES DISTRIW COURT

SOUTHERN DIA RIG OF TEXAS Adlress

HOUSTON DIW SION l

Name and Offke of Perxn

Pumishing lnfôrmation en

THIS FORM

Name of M st. U.S. Att'y

(if assiqned)

Proceeding

Name of Complainant Aqency, or Person (& mtle, ir any)

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KI'N &16'1 1 I 5'1 AG l I)S()N. USA

@1 U.s. Att'y I--I other U.s. Agerxy

JOIIN P. Plïz1II.S()N. ,ï1.S,A

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L. this prosecution relates to pending

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before U.S. Maçistrale Judge regarding

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OFFENSE CHARGED - U.S.C. CU ATION -A ATLITORY MAXIMUM PENALTRES * ADDm ONAL INFORMATION OR COM MENTS

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Case 4:15-cr-00654 *SEALED* Document 6 Filed in TXSD on 12/10/15 Page 1 cf 1

Unlted States astlict Coud

Seuma > Md d T@xxITED STATES DISTMW COURT

SOUTHERN DISR CTOF TEXAS

HOUSTON DIVISION

UNIR D STATES OF AMERICA

ABRAHAM JOSE SHIERA-BASTIDAS

ENTERED

e e 11, 2015

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UNITED STATES DISTRICT COURT

SOW HERN DISTRICT OF TEXAS

HOUSTON DIW SION

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M.

ROBERTO ENRIQUE Rm CON.

FERNANDEA

ABRAHAM JOSE SHV RA.

BM TD AS

CQIMINAL NO.

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INDICTM NT

Tlœ GRAND JURY CHARGES:

COUNT ONE

(Conspiiacy - 18 U.S.C. # 371)

htrûduction

At all relevant times, unless otherwise specified:

1 . n e Foreir Conupt Pmctices Act of 1977 (tTCPA''), as amended,

Title 15, United States Code, Sections 78dd-1, et seq

.,

was enacted by Conpess for

the pupose ot among other thinp, making it unlawful to act co= ptly in

furtherance of an oFer, promise, authorization

,or payment of money or anything

of value, directly or indirectly, to a foreir official for the purpose of obtaining or

retaining business for, or directing business to

,

any person.

Petroleos de Venezuela S.A. (tTDVSA'').was the Venezuelan state-

ou ed and state-controlled oil company. PDVSA and its subsidiaries and afsliates



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were responsible for the exploration, production, refninp transportation, and trade

in energy resources in Venezuela and provided funding for other om rations of the

Venezuelan govemment. PDVSA Services, hc. was the U.s.-based aK liate of

PDVSA located in Houston, Texu, that, at vmious times, wc responsible for

intem ational purchasing on behalf of PDVSA. Bariven S.A wa the PDVSA

procurement subsidiary responsible for equipment purchases. PDVSA and its

wholly owned subsidiaries, including PDVSA Services, Inc. and Bariven S.A.,

(hereinoer collectively referred to as tTDVSA'') were ''instrumentalities'' of the

Venezuelan govemment as that term is used in the FCPA Title 15, United States

Code, Section 78dd-2(h)(2)(A). PDVSA oKcers and employees were çtfortign

omcials'' as that term is USH in the FCPA Title 15, United States Code, Sections

78dd-2(h)(2)(A) and 78dd-3(f)(2)(A).

PDVSA awarded contrac? for tnergy services and equipment in a

number of ways, including tkough a competitive bidding process. One such

competitive bidding process began with a PDVSA pumhasing analyst % sembling a

bidding panel, which identified those companies that would be invited to submit

bids in connection for a particular project. PDVSA would then issue a request for

quotation to the companies included on the bidding panel and those com panies

would in tum submit formal bids, from which a winner would bt selected.



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PDVSA also awarded sole source contracts

,

which were not subject to a

competitive bidding process.

n e Defendants and Thqir Coccon,pirators

4. Defendant ROBERTO ENRIQUE Y CON FERNANDEZ

(ç%m CON'') was a U.S. lawful permanent resident and a resident of Texas, and

controlled, together with others, a number of closely held companies

,

including

several U.S. companies, many of which were based in the Southern District of

Texas, that Rm CON used to secure contracts with PDVSA

. Rm CON was thus a

rtdom estic concem'' and an om cer, director

,

employee, agenj and shareholder of a

'tdomestic concem'' as those teru are used in the FCPA Title l5

,

United States

Code, Section 78dd-2(h)(1).

Defendant ABRAHAM JOSE SHVRA BASTD AS C%HVRA''I

was a Venezuelan national who resided in Floridw and controlled

,

together with

others, a numbe: of closely held oorppanies

,

including seveml U.S. companies, that

SRTERA used to secure contracts with PDVSX SHIERA was thus a çfdomestic

conoem '' and an offcer, director, employee, agent

,

and shareholder o a Rdomestlc

concem'' as those terms are tlsed in the FCPA Title l 5, United States Code,

Section 78dd-2(h)(1). Rm CON and SHIRRA worked together on a number of

PDVSA contracts and contract bids



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6. çtRincon Company 1,'' a company whose identity is known to the

Grand Jury, was organized under the la< of Ttxas and headquartered in the

Southem District of Tex%. m ncon Company 1 was thus a'tdomestic concem'' as

that term is used in the FCPA Mtle 15, United States Code, Section 78dd-2(h)(1).

Rincon Company l - controlled by RG CON and used by RW CON to secure

contracts with PDVSA.

7. 'Rincon Company 2,1' a company whose identity is knom l to the

Grand Jury, was organized under the lax of Tex% and headquarterd in the

Southem Dislrict of Ttxa. Rincon Company 2 was thus a ''domestic concem'' as

that term is used in the FCPA Title 15, United States Code, Section 78dd-2(h)(1).

Rincon Company 2 was controlled by Rm CON and used by Rm CON to secure

contrads with PDVSA.

8. tçRincon Company 3,1' a company whose identity is known to the

Grand Jury, was organized under the la< of Fiorida and headquadered in Florida.

Rincon Company 3 was thus a t


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9. 'fRincon Company 4,:1 a company whose identity is known to the

Grand Jury, was controlled by RINCON an# used by Rm CON to secure contracts

with PDVSA

10. %'Shiera Company 1,3' a company whose identity is hmwn to the

Grand Jury, was organized undet tht laM of Florida and headquartered in Florida-

Shiera Company 1 was thus a ttdomestic concem'' as that term is USGI in the

FCPA Title 15, Unittd States Codt, Section 72dd-2(h)(1).Shitra Company 1 was

controlled by SHV RA and used by SHTRM to secure contrac? with PDVSA-

fçshitra Company 2,': a company wlwse identity is known to the

Grand Jury, w% organized under the la< of Florida and headquadered in Floridm

Shiera Company 2 was thus a Qtdomestic concem'' as that term is used in the

FCPA Title l5, United States Code, Section 7:dd-2(h)(1). Shiera Company 2 was

controlled by SHV RA and use,d by SHR RA to secure contracts with PDVSA.

l2. çsshiera Company 3,'1 a company whose identity is known to the

Grand Jury, was organized undtr the la< of Florida and headquu ered in Floridm

Shiera Company 3 was thus a çtdomestic concem'' as that term is used in the

FCPA Title 15, United States Code, Section 78dd-2(h)(1). Shiem Company 3 was

controlled by SHIEM and used by SHIEM to secure contracts with PDVSA

.



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13. Ssshiera Company 4,'3 a company whose identity is known to the

Grand Jury, was controlled by SH V RA and used by SHV RA to secure contracts

with PDVSA.

14. t


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RD CON and SHV RA and their companies, including their U.s.-based

companies, secure contracts with PDVSA- 'IYus, M sociate 2 was an agent Qf a

''domestic conctm'' as that term is ustd in the FCPN Title l5, United States Code,

Section 78dd-2(h)(1).

The Foreien Om cials

18. t'Oïcial &'' ml individllnl whose identity is known io the Grand Jury,

was at aIl relevant times employed by PDVSA including as a buyer at PDVSA and

a supervisor of other PDVSA buyers. Oïcial A's job responsibilities included

assir ing bidding pantls to PDVSA buyers, including Official C and Oï cial D,

who would then be responsible for selecting cnmpanies for the bidding panels,

which allowed those companies to submit bids on ipdividual PDVSA projects.

19. 'D m cial B,'' an individual whose identity is known to the Grand Jury,

w% at all relevant times employed by PDVSN including as a purchasing analyst

for PDVSA. Oïcial B's job responsibilities included selecting companits for

bidding panels, which allowed those compu ies to submh bids on indiKdual

'

prol ects.

20. f'Oï cial C,'' an individual whose identity is known to the Cx'and Jury

,

was at aIl relevant times employed by PDVSA including as a purchasing managtr

and superintendent of purchasing at PDVSA. O/ cial C's job responsibilities

included selecting companies for bidding panels

,

which allowed those companies



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to submit bids on individual PDVSA projems, Md selecting which companies

would win the economic portion of tht bid process.

21. tsoï cial D,'' an individual whose identity is known to the Grgnd Jury,

wu at all rtlevant times employed by PDVSA including as a buyer for PDVSA

OE cial D

's job ruponsibilities included selecting companies for bidding panels,

which allowed those companies to submit bids on individual PDVSA projects.

22. fsofficial E,'' an individual whose identity is known to the Grand Jury,

was at alI relevant times employed by PDVSA including as a purchasing manager

at PDVSA- Oëcial E's job responsibilities included selecting companies for

bidding panels, which allowed those companies to submit bids on individui

PDVSA projects.

23. Official h, Om dal B, Official C, Ofscial D, and OK cial E were each

a tsforeir omcial'' as that term is used in the FCPA Title 15, United States Cpde,

Sections 78dd-2(h)(2)(A) and 78dd-3(9(2)(A).

8



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The Conspiracy

24. Beginning in at le>qt 2009 and continuing throul at lexqt 2014, in the

Southem District of Tex%, and elsewhere, the defendants,

ROBERTO ENRIQUE RW CON FERNANDEZ

and

ABRAHAM JOSE SHV RA BASTD AS

did will'fully and knowingly conspire, confederate, and apee with each other and

others known and unknown to the Grand Jury to commit o/enses against the

United States, that is:

a. to willfully make use of the mails and means and instrumentalities of

inteotate commerce conuptly in furtherance of an offer, payment,

proe se to pay, and authorization of the payment of any money, ofer,

gii, promise to give, and authorization of the giving of anything of value

to a foreir official and to a person, while knowing that all and a portion

of such monty and thing of value would be and had been offered, given,

and promised to a foreir oKcial, for purposes of: (i) influencing acts

and decisions of such foreir offkial in his o/cial capacity; (ii) inducing

such foreir oK cial to do and omit to do acts ia violation of the lawful

duty of such oKcial; (iii) securing an improper advantage; and (iv)

inducing such forei> oftk ial to use his iniuence with a foreir

9



13/43

govtm ment and agencies and instrumentalitio thereof to affect and

influence acts and decisions of such govem ment and agencies and

instrumeatalities, in order to usist Rm CON, SHV RA

.

and their U.S.

companies in obtaining and retining businœs for and with

,

and dirtcting

business to, Rm CON, SHV RA, their companies, and others

,

in

violation of the Foreir Corrupt Practicts Act, Mtle l5

,

United States

Code, Section 78dd-2(a);

b. while in the tenitory of the United States, willfully and com zptly to make

use of the mails and means and instrumtntalities of interstate convnerce

and to do any other act in furtherance of an ofrer, payment

promise to

pay, artd authorization of the payment of any money, oFer, gih

,

prom ist

to give, and authorization of the giving of anything of value to a foreir

o/ cial and to a person, while knowing that a1I and a portion of such

money and thing of value would be and had been oFered, given

,

and

promised to a foreir om cial. for pumoses of: (i) infuencing acts and

decisions of such fofeir oflicial in his or her official capacity; (ii)

inducing such foreir official to do and omit to do acts in violation of the

lawful duty of such official; (iii) securing an improper advantage; and

(iv) inducing such foreir ofcial to use his or her influence with a

foreir govem ment and agencies and instrumentalities thereof to affect

10



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and influence acts K d decisions of such govem ment and agencies and

instmmentalities, in order to assist Rm CON, SHV RA, and their U.S.

companies in obtaining and retaining business for and witk and directing

business to, Rm CON, SHIERA, their compu ies, and others, in

violation of Mtle 15, United States Code, Section 78dd-3(a); and

c. to devise and intend to devise a scheme or artifice to defraud PDVSA and

energy companies that could have performed service.s for PDVSA and

for obtaining money and propely from PDVSA and energy companies

that could have performed services for PDVSA by means of materially

false and H udulent pretenses, representations, and proY ses, and to

transmit and cause to be tmnsmitted, by me-qns of wire communication in

interstate and foreir com mtrct, writinp, sir s, sir als, pictures, and

sounds for the purpose of executing such scheme and artisce in violation

of Title 18, United States Code, Section 1343.

Purpose of the Ccnspiracv

25. n epupose of the conspîracy wastài-luxcox, SHGRA, and their

oo-conspirators, to enrich theM elves by obtaining and retaining lucrative energy

oontracts witb PDVSA through corrupt and fmudulent means, Ycluding by paying

bribes to PDVSA officials.

11



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M anner aRd M eans of th: Conspiracv

26. n e manner and means by which Rm CON and SHG RA and thtir

co-conspirators sought to accomplish the purpose of the conspiracy inoluded,

among other thinp, the following, while in the Southem District of Texas and

elsewhere:

27. Rm CON and SHW RA, together with othtrs, discussed how they

would obtain and retain contmcts with PDVSA by providing thino of value to

PDVSA officials.

28. RD CON and SHY M , together with others, paid bribes to PDVSA

oï cials through the use of interstate and fofeir wires in order to influence acts

and decisions of the PDVSA offidals in their oï cial capacities and to induce the

PDVSA oE cials to do and omit to do certain acts, including, but not limited to:

a. usisting Rm CON'S and SHIRRA'S companies in winning PDVSA

contm cts;

b. providing Rm CON and SHW M with inside information conceming

t

-

ç. P-DVSA biddingprocess'

- - - - -- - -. - - - - - ..-

- - - - . -

c. placing one or more of RG CON'S and SHTERA'S companies on certain

bidding panels for PDVSA projects;

d. helping to conceal the fact that Rm CON and SHœ RA controlled more

than one of the companies on certain bidding panels for PDVSA project;

12



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e. supporting Rm CON'S and SHV RA'S companies before an intemal

PDVSA purchuing come ttee;

f. preventing interference with the selection of RINCON'S and SH V RA'S

companies for PDVSA contracts;

g. updating and modiY ng contract documents, including change orders to

PDVSA contracts awarded to Rm CON'S and SHY M 'S companies;

h. %sisting RG CON'S and SHœ ltA's companies in rectiving payment

for previously awarded PDVSA contracts, including by requesting

payment priority for projects involving Rm CON'S and SHIERA'S

companies.

29. Rm CON and SHIERA, together whh others, caused bribe payments

to be wired from the b=k accounts of RINCON, Rm CON'S companies, and

SHG RA'S companies to the bank accounts of PDVSA o/ cials, their relatives, or

other individuals or entities designated by ihe PDVSA offchls who received the

bribes.

30. In addition to monetary bribes, Rm CON and SHV RA, together < th

others, bribed PDVSA oK cials by providingthin/ of value

,

including recreational

travel, meals, M d entertainment, in order to obtain and retain business on behalf of

RD CON'S and SHV RA'S companies.

13



17/43

31. Rm CON and SHV RA, together with others, referred to tht PDVSA

of cials who were assisting them in obtaining and retaining contlacts with PDVSA

in exchu ge for bribes as ualiadosz'' which tmnslates into English as ç'allies'' or

''allieds ''

#

32. W NCON and SHV RA, together with others, provided to cedain

PDVSA ox cials who were rectiving bribes proposed bidding panel lists lhat

would include more than oni company controlled by Rm CON or SHV RA to

create the false appearance that the bidding process was competitive.

33. Rm CON and SHIERA, together with others, relayed to certain

PDVSA om cials who were receiving bribes instmctions as to which company

among the proposed bidding panel the om cials should select as the winning biddtr.

34. Rm CON and SHV RA, togdher with others, kept track of the

amounts owed and paid to each PDVSA offcial based on the contracts that the

PDVSA ox cial had helped to award to one or more of RINCON'S and

SH1F,RA'S companies.

35. RG CON and SHV RA, together with others, attempted to conce

the fact that they controlled multiple companies contained on the proposed bidding

panel lists provided to certain PDVSA offcials who were receiving bribes,

including by appointing noM nal owners or mnnagers for those companies

14



18/43

36. RG CON and SHK M , together with others, attempted to conceal

the bribes to ctrtain PDVSA om cials, which they referred to as ''commissionsz'' by

creating falstjustitkations for the bribes, including requesting or receiving

invoices for equipment that was not provided and services that were never

rendered in crder to disguise the bribe payments to the PDVSA om cials.

Ovvd Acts

37. In furtherance of the conspiraoy and to achieve the objects thereof, at

ltast one of the co-conspirators committtd or caused to be committed, in the

Southem District of Tex% and elstwhert, at le>qt one of the following overt acts,

among othtrs:

38. In or around October 2009, RG CON and SH'IERA reached an

agreement to work together to pay bribes to PDVSA oftk ials in order to secure

lucrative energy ccntmcts from PDVSA for RG CON'S and SHV M 'S

companies.

39. On or about October 8, 2009, M sociate 2 sent an e-mail to other

R -dàf/ WSHTRR'AFG M hD à G k-nR36ëdbY-gRm cD'm hiJ div im h-

connection with PDVSA bidding.

40. On or about October 22, 2009, M sociate 2 sent Official C an e-mail

in Spanish explaining the strategy for the PDVSA bidding process as it related to

colnpanies owned by SHIERA, stating that for instances where Shiera Company 1

15



19/43

would be invited to submit bids, Associate 2 mzd OK cial C needed to Grst ensure

that Shiera Company 1 would me-et certain conditions and that Oï cial C would be

the PDVSA buyer responsible fot assembling the panel, and that, as translated into

English, ç'If that is the c%e, teil me so 1 can send you a panel of companits that 1

know will not make an o/er, or thty will mnke ofers higher than ours. It is

indispensable to have the complete description of the request to seek out pricing

'

i the process, it is also tndispensable that you require aeforehand. When start ng

short submission ofrer timeâame Mdays). Wtll buddy, I believe that if we foliow

these strategies, that shit is ours-''

41. In or around early 2010, M sociate 2 helped bfGcial B to open a bank

account in Panamw in order to receive bribe payments outside Venezuela-

42. On or about April 9, 2010, Rm CON caused $100,000 to be

transferred from a b> k account in the Unite.d Statts in the name of one Qf

,

.,

Rm CON'S companies to Om cial B's bnnk account in Panama.

43. On or about April 12, 2010, RW CON caused $164,570.23 to be

transferred from a bank account in the name of one of M NCON'S companies to

pay offthe balance of a moMgage loan in O/ cial E's name for a residence in the

Southem District of Texas, in exchange for Ol cial E's assistance in connection

with PDVSA contracts.

16



20/43

44. On or about M ay 7, 2010, Rm CON caused $135,429 to be

transferred âom a bank account in the namt of one of RINCON'S companies to an

nerount in the name of a close personal associate of Oë cial E, but over which

Om cial E held power of attomey, in exchange for O/ cial E's assistance in

connection w1t.11 PDVSA contmcts.

45. 0n or about June 15, 2010, SHV RA sent Official C an e-mnil

containing information about how to open a bnnk account at a bnnk in Panama-

46. On or about June l7, 2010, RW CON helped Om cial C open a bank

account in the Southem District of Texas, into which bribes were paid.

47. On or about M ay 26, 2010, approximately two week.s aher PDVSA

issued a $2,648,148.20 purchase order to Shiera Company 1 on which Oï cial C

was listed as the PDVSA buyer, Shiera Company 1 tx sferred $300,000 to Shiera

Company 4.

48.

transferred 9om a bnnk account in tht name of Shiera Company 4 to Offcial C's

On or ae ut June 23, 2010, SHV IG caujed $100,000 to be

bank account in the Southem District of Texu in exchange for Official C's

Msistance in connection with PDVSA contracts.

49. On or about September 23, 2010, RW CON catlsed $100,000 to be

trnnKferred from a bank account in the name of Rincon Company 4 to Ofticial C's

17



21/43

bank account in the Southem Disdct of Texc in exchange for Official C's

assistance in connection with PDVSA contracl.

50. On or about October 18, 2010, approximately two weeks aher

PDVSA sent a wire transfer to Shiera Company 1 in the amount of $5,545,560.01,

SHV RA caused $*25,000 to be transferred from a bank account in the name of

Shiera Company 4 to O/cial C's bank account in the Southem District of Texas in

exchange for OK cial C's assistance in connection with PDVSA contracts.

51. On or about January 28, 201 1, SHV RA caused $15,000 to be

transferred from a bank account in Panama in the name of Shiera Com pany 5 into a

bnnk account in the Southem District of Texas heldjointly in the name of Omcial

E and a relative, in exchange for Oï cial E's %sistance in connection w ith PDVSA

contracts.

52. On or about June 6, 2011, SHIEIG caused $15,000 to be transferred

from a bank account in Panama in the name of Shiera Company 5 into a bnnk

account in the Southem District of Texas heldjointly in the nnme of O/cial E and

a relative, in exchange for Oë cial E's usisfnnce in connection with PDVSA

contracts.

On or about August 5, 201 1, approximately ten days aher PDVSA

issued a $7,729,756.78 purchase ofder to Rincon Company 3 on which Officiai C

was listtd as the buyer, Rincon Company 2 sent a salts order to Rincon Company

18



22/43

3 to provide Rincon Compu y 3 < th substantially the same equipment m ncon

Company 3 had apeed to provide to PDVSA in the purchase order referenced

above, for a total price of $7,343,268.93.

54. On or about September 29, 2011, SH V RA sent an e-mail to

M sociate 2, statinp as tmnslated into English, ttDon't forget to give me (Ofticiat

A's) accotmt statement.''

.

;

55. On or about October 27, 2011. M sociate 2 sent an e-mail to SHV RA

with the subject line, as translated into English, 'rutstanding (commission) for

(Omcial N,'' and attaching an Excel spreadsheet listing numerous PDVSA

contracts that had been awarded to SHV RA'S companies betFeen September 1,

2010 to September 30, 201 1 by various PDVSA buyers that were supervised by

OKcial & and listing, as translated into English, an ''Outstanding commission'' of

$188,276.61 USD.

56. On or about December 6, 201 1, mz associate of SHV RA sent an e-

rnnil to M sociate 2 in which he forwarded a $14,502.29 hotel reservation for

Oï cial D at the Fontainebleau Hotel in Miad Beach, Florida-

57. On or about January 12, 2012, M sociate .2 sent an e-mail to SHV RA

and another asociate of SHœ RA attaching an invoice for whiskey that had been

given to Oïcial C with a notation, as truslated into Ensisk ttwith AS

(ABRAHAM SHV RAJ authorizatiom''

19



23/43

58. On or about January 17, 2012, the other associate replied to the e-mail

referenced in Parapaph 57 above, statinw as trnnqlated into English, RM M , you

shouldn't have Abraham's (SHVRA's) name in the e-mail address, and do not

mention mine either-''

59. On or about January 18, 2012, SHTERA responded to the e-mail

chain referenced in Paragraph 52 above, statinp as translated into English,

ç'authorized-''

60. On or about Janucy 26, 2012, M sociate 2 sen an e-mail to SHV RA

and other D sociates of SHIERA whereby M sociate 2 arranged for one of

SHV RA'S companies to cover the cost of a hotel and rental car in Barcelonw

Venezuela for Offcial D.

61. On or about January 28. 2012, SHK RA responded to the e-mail

referenced in Parapaph 60 above, and insttucted M sociate 2 to, as translated into

English, ç'please do these things outside of accounting.''

62. On or about February 9, 2012, Rm CON sent an e-mail to OK cial &

copying SHV RA and Associate 2, statinw as translated into English, ttattached

le%e find the Charge for Abrahal's (SHœRA's) compllm'' and directing

OO cial A to assir the bidding prorm s to Om cial D.

63. On or about M arch 1, 2012, Ofticial C sent an e-mail to Rm CON

attaching panel lists for a number of bidding processes that were in the request for

20



24/43

quotation phase. Three of the proposed pr els included Rincon Company 3 and

another Rincon company. Anotherproposed panel included Sbiera Compr y 2,

Rincon Company 1, Rincon Company 2, and anotherW ncon oompany. Another

proposed panel included Rincon Company 2, m ncon Company 3, and another

Rincon company.

64. On or about M arch 22, 2012, SHV RA sent an e-mail to M sociate 2

and another associate of SHV RA, copying W NCON, responding to an e-mail

chain about a turbogenerator process, stating that, as tru slated into English,

ttlRincon Company 1) should win the procus. According to what Roberto

approved, the commission to (Shiera Company 1) is 5% of the purchce price.

n at is fair. Put this in the Smergy project repod.RRIROBERTO RG CON)

pays the commissions to the allics.n

65. On or about M arch 27, 2012, SHIERA sent an e-mail to Rm CON

and an associate of SHV RA, copying Associate 2, stating, as translated into

English, ç'According to what was agreed with Roberto (RW CONJ, his companiea

will excuse themselveq from thce two gocesses. From ours, (Shiera Company 1)

wins both-''

66. On or about M arch 23, 2012, Offcial C issued an invoice from a

company Ofscial C co-owned with a relative to Rm CON at m ncon Company 2,

21



25/43

billing $150,009 for purpoded services that wert not actually performed, including

Stengineering services on drilling rig GP-20.''

67. On or about April 24, 2012, SHTRM sent an e-mail to Om cial &

Rm CON, and M sociate 2 instructing Oë cial A to tçhssir '' a particular PDVSA

contract to Oftkial D for tht asstmbly of tht bid panel and informing Ofscial A

that Shitra Compuy 3 f'wins'' tht project.

68. On or about April 27, 2012, Rm CON caused $150,000 to be

transfertd from Rincon Company 2 to abank account in the namt of a company

that Oï cial C owned with a relativt referencing the invoice rtferenced in

Parap aph 66 above in exchange for OK cial C's rsistance in connection with

PDVSA contracts.

69. On or about M ay 7, 2012, Ox cial C e-mailed Rm CON, forwarding

a response from his bank that the April 27, 2012 wire transfer referenced in

Parapaph 68 ahove had not been credited to O/ cial C's account because the

account number had been incorrtct in the wire transfer documentation, and

including the correct wire information.

70. On or about M ay 8, 2012, RG CON caused $150,000 to be

transferred from Rincon Company 2 to a bsnk acoount in the name of a company

that Om cial C Qwned with a relative with tht correct wire information contained in

22



26/43

Paravaph 69 above in exchange for OK cial C's assistance in connection w1t11

PDVSA contracts.

0n or about M ay 17, 2012, Oïcial C sent an e-mail to RW CON and

SHV RA attaching a list of various PDVSA contracts coming up for bid.

72. On or about June 22, 2012, SHV RA sent an e-mail to Oï cial C,

instmcting Oficial C to assir a particular bidding process to OK cial D.

73. On or about June 22, 2012, Oëcial C responded to the e-mail

referenced in Paragraph 72 above, stating that Official C had already assir ed the

process to Official D, and notinw as eanslated into English,


27/43

servioes that were not actually pedbrmed, including çEngineering Services Steem

(sic) Generator Plants.''

77. On or about December 20, 2012, RW CON forwarded the December

l 9 2012 invoice referenced in P> vaph 76 above to otheo at Rincon Company 2

,

'

including M sociate 1, stating, as tmnqlated into Englisk tçplease proceed with the

transfer.''

78. 0n or about December 21, 2012, Rm CON caused $150

,

000 to be

transferred from m ncon Company 2's bnnk account to a bank account in the name

of a company that Ol cial C owned with a rclative in exchange for O/ cial C's

assistance in colmection with PDVSA contract.

79. On or about February 20, 2013, Rm CON sent Oë cial C an e-mail

stating, as translated into English, T'send one for US $100,000

.

00.''

80. On or about February 28, 2013, Official C sent RW CON an e-mail

attaching an invoice for $100,500, noting ihat the amount w , as translated into

English, '%o square away the IVH (hours per person) that Iincluded in the formtr

invoice.'' The invoice was from a company Ofjicial C cmowned with a rtlativt to

RG CON at Rincon Company 2 for purpoded servicu that were not actually

performed, including tçEngineering Services Steem (sic) Genemtor Plants.''

81. On or about M arch 1, 2013, RW CON caused $100,460 to be

transferred from a Panamanian bnnk account in the name of one of Rm CON'S

24



28/43

companies to a bank account in the name of a company that Oï cial C owned with

a relative in exchange for Official C's assistance in connection with PDVSA

contracts.

22. On or about M arch 26, 2012, Ofscial C sent an e-mail to RW CON,

stating, as translated into Englisk 'dGood day, Boss, 1'm sending you the peoonal

information of the passengers,'' and providing dates of birth, passport numbers, and

p%sport expiration dates for Omcial C, Ofscial C's wife, Oïcial & Official B,

and three others f0r an April trip to M iami, Florida.

23. On or about January 3, 2014, SHIERA caused $15,000 to be

transfe= d from a bank account in Panama in the name of Shiera Company 6 into a

bqnk account in the Southem District of Texas held jointly in the name of Omcial

E and a relative, in exchange for Ol cial E's aqsistance in connection with PDVSA

contracts.

84. On or about January 7, 2014, SHV RA caused $15,000 to be

transfeaed from a bank account in Panama in the name of Shiera Com pany 6 into a

bank account in the Southem Distlict of Ttxas held jointly in the name of Oïcial

E and a relative, in exchange for OK cial E's assistqnce in connection with PDVSA

contracts.

A1l in vblation of Title 18, United States Code, Section 371.

25



29/43

COUNTS TWO -FIVE

(Foreign Corrupt Practicea Act - 15 U.S.C. j 78dd-2; 18 U.S.C. j 2)

85. Pm paphs 1 throul 23 and 25 tkough 84 are realleged and

incomorated by reference as though fully set forth herein

.

26. On or about the dates set fo% below

,

in the Southem District of

Texas and elpewhere

,

the defendant,

ROBERTO ENRIQUE Rm CON FERNANDEZ

,

being a domtstic concem and an offcer

,

director, employee, agent

,

and

shareholder of a domestic concem

,

and by aiding and abetting a domestic concern

,

did willfully use and catlse to be used the mails and means and instrumentalities of

interstate commerce corruptly in furtherlnce of an ofer

,

paym ent, promise to pay,

and authorization of the payment of money

,

oFer, gih, promise to give, and

authoriymfion of the giving of anything of value to a foreir official

,

and to a

person, while knowing that all and a poltion of such money and thing of value

would be and had been offered

,

given, and promised to a foreir official

,

for

purposes of (i) iniuencing acts and decisions of such forei> o/cial in his or her

oKcial capaciy (ii) inducing such foreir oKcial to do and omit to do acts in

violation of the lawful duty of such official; (iii) securing an improper advantage;

and (iv) inducing such foreir official to use his or her influence with a foreir

govemment and agencies and instrumentalities thereof to affect and influence acts

26



30/43

and decisions of such govemment and agencies and instrumentalitiu, in order to

usist RmCON, SHVRA, and their U.S. companies in obtaintng and retaining

business for and with, and directing business to, W NCON, SHTRIG , their

companies, and othen, as follox ;

COUNT DATE BQm E PAYM ENT

Two September 23, 2010 T100,000 wire trnnqfer from M ncon Company

4's bnnk account in Florida to Oë cial C's bnnk

account in the Southem District of Texas.

'Ihree April 12, 201 1 $200,000 check from RINCON'S bank account

in the Southem District of Texc to a bank

account in Florida in the name of a oompany

ox ed b an csociate of Oï cial C.

Four M ay 8, 2012 $150,000 wire transfer from Rincon Company

2's bank acoount in the Southem District of

Texas to a bank account in New York in the

name of a com an co-ou ed b Offkial C.

Fivt December 21, 2012 $150,000 wife transfer from Rincon Company

2's bank account in the Southem District of

Texu to a bnnk accotmt in Florida in the name

of a com an cmo- ted b Ofûcial C.

All in violation of Title 15, United States Code, Section 78dd-2

,

and Title

18, Unittd Statu Code, Section 2.

27



31/43

C O UNTS

SW - T

(Foreign Corrupt Practicœ Act - 15 U.S.C. j 78dd-2; 18 U.S.C. j 2)

87. Paravaphs 1 through 23 and 25 through 84 are realleged and

incorporate-d by reference as through fully set forth herein

.

28. On or about the dates set fodh below

,


Texas and elsewhtre, the defendant

,

ABM HAM JOSE SHG RA BASTD AS

,

being a domestic concem and an om cer

,

director, employee, agent and

shareholder of a domestic concem

,

and by aiding and abetting a domestic concem

,

did will/lly use and cause to be used the mails and means and instmmentalities of

interstate commerce conuptly in furtherance of an offer

,

payment, promise to pay,

and authorization of the payment of money

,

oflkr, gih, promise to give, and

authorigmfion of the giving of anything of value to a foreir official

,

and to a

person, while.knowing that aIl and a po/ion of such money and thing of value

would be and had been offered

,

given, and promised to a foreir official

,

for

- ' Turposes-ef: (iliufluencing-actg Md deiji:iià'éf jù'h-fe il b-mkiàl-iiï h'B & Ii-ii- ' '

oKcial capacity; (ii) inducing such foreir oKcial to do and omit to do acts in

violation of the lawful duty of such official; (iii) securing an improper advantage;

and (iv) inducing such foreir ofscial to use his or her influence with a foreir

govem ment and agencies and instrumentalities thereof to affect and influence acts

28



32/43

and decisions of such govômment and agencies and instrumentalities, in order to

assist Rm CON, SHV RA, and their U.S. companies in obtaining and retaining

business for and with, and directing business to, W NCON, SHV IG , their

companies, and others, as follox :

COUNT DATE BRm E PAYM ENT

Six October 18, 2010 $25,000 O R transfer from Shiera Company 4's

bank account in Panama to Om cial C's bnnk

account in the Southem District of Texa .

Seven June 6, 2011 $15,000 wire transfer from Shiera Company 5's

bank ascount in Panama to a bnnk account in the

Southem District of Texas held jointly by

Oë cial E and a relative.

Eight August 6, 2012 $120,000 wire transfer from Shiera Company 6's

bank account in Panama to a bnnk account in

Florida in the name of a company Official C co-

owned with a relative.

Nine Jacuary 3, 2014 $15,000 wire trnnnfer from Shiera Compu y 6's

bank account in Panama to a bank account in the

Southem District of Texas held jointly by

Oï cial E and a relative.

Ten January 7, 2014 $15,000 wir: transfer from Shiel'a Company 6's

bM k account in Panama to a bnnk account in the

Southem District of Tex% held jointly by

Om cial E and a relative.

A1l in violation of Title 15, United States Code, Section 784d-2, and Title

18., United States Code. Section 2.

29



33/43

COUNT ELEVEN

(Conspiracy to Commit Money Laundering- 18 U.S.C. j 1956(h))

89. Parapaphs 1 throul 23 and 25 through 24 are realleged and

incom orated by reference as though fully set forth herein

.

9û. From in or around 2009, and continuing through at least 2014

,

in the

Southem District of Texas and elsewhere

,

the defendants,

ROBERTO ENRIQUE Rm CON FERNAO EZ

and

ABRAHAM JOSE SHV RA BASTD AS

,

did knowingly conspire

,

confederate, and apee < th each other and others known

and unknown to the Grand Jury, to commit offenses under Title 18

,

United States

Code, Sections 1956 and 1957, namely:

a. knowing that the property involved ià a fnancial transaction repruented

the proceeds of some form of unlawful activity

,

to conduct or attempt to

conduct such a financial trnnqaction which in fact represented the

proceeds of speciied unlawful activity

,

knowing that the transaction is

desir ed in whple and in part to conceal and disguise the

,

nature, the

locatiol the souroe, the ownership

,

M d the control of the proceeds of

speciûed unlawful activity

,

namely, bribery of a foreir oK cial,

a felony

violation of the FCPA Title 15, United Statu Code

,

Sections 78dd-2 and

30



34/43

78dd-3, and wire âaud, Title l8, United States Code, Section 1343, in

violation of Title 18, United States Code, Sedion 1956(a)(1)(B); and

b. to engage in a monetary transaction by, through and to a inancial

instimtion, in ald Afecting inte> ate and intemational commeme, in

criminally derived property that wa of a value veater than $10,000.00,

that is, the deposit, withdrawal, transfer and exchc ge of United States

currency, funds and monetary instruments, such property having been

derived from speciûed unlawful activity, namely, bribery of a foreir

official, a felony violation of tht FCPN Title 15, United States Code,

Sections 78dd-2 and 78dd-3, and wire fraud, Title l 8, United States

Code, Section 1343, in violation of Title 18, United States Code, Section

1957.

M anner and M eans of the Conspiracv

n e manner and means by which Rm CON, SHV RA, and their co-

conspirators sought to accomplish the purpose of the conspiracy included, among

'

otheM hinp k'the'.folbe np'while.in-the.southem D strict-of-Texa and.elsewherel.-. .

92. RG CON and SHY RA., together with others, procured illegal

proceeds 9om PDVSA by securing lucrative energy contracts from PDVSA

throul corrupt and fmudulent means, including by paying bribes to PDVSA

oë cials,



35/43

Rm CON u d SHIERA. together with others, assisted certain

PDVSA oK cials in opening'bnnk accounts, including bank accounts outside of

Venea elw for the PDVSA o/ cials to receive bribe payments.

94. Rm CON and SHV RA, together with others

,

engagd in monetm'y

93.

transactions among theîr various companiœ desir ed to conceal tbe nature

,

source,

and ownership of the proceeds of the specifed unlaM ul activity

.

95. RW CON and SHIERA, together with others, transfen'ed money

among and between the b> k accounts of their rtspectivt companies in order to

conceal the nature, source, and ownenhip of bribe payments to PDVSA ox cials

96. RW CON and SHV RA, together with others, created false

justitkations for certain of the bribes, including invoices for services thât were

never performet for the pupose of concealing and disguising the nature, source,

and ownership Qf those bribe payments, which they referred to as '%commissions

''

97. RD CON and SHIERA, together < th others

,

directed the wire

transfer ot and caused to be wired, bribe payments from bank accouats which

wtre hequently in the name of companies other than the companies being awarded

PDVSA contracts, for thç purpose of concealing and disguising the nature

,

source,

and ownership of the bribe payments

.

98. Rm CON and SHV RA, together with others

,

directed bribe

paym ents to be sent to vaious recipients other than the intended PDVSA ox cials

,

32



36/43

including companic, relatives, friends, ahd close personal associates of the

PDVSA oë cials, for the purpose of concealing and disguising the nntllre, source,

and ownership of the bribe payments.

99. Rm CON and SHV RA, together with others, engaged in monetary

trmuactions of a value peater than $10,000 using money procured through the

corrupt and H udulent scheme.

All in violation of Titlt 18, United States Code, Section 1956(h).

33



37/43

COUNTS TW ELVE - FOURTEEN

(Money Laundering - 18 U.S.C. j 1956(a)(1)(B)(i); 18 U.S.C. j lj

100. Paragraphs 1 throul 23, 25 tiyough 84, and 91 throub 99 are

realleged and incorporated by reference as thoul fully set forth herein.

101. On or about the dates set forth below, in the Southem District of

Texas and elseWhere, the defendants

,


and

ABRAIIAM JOSE SHIERA BASTD AS,

did knowingly conducta and aid, abet, and cause others to conduct

,

and attempt to

conduct, the following tlnancial tzansactions affecting interstate and foreir

commerce, which transactions involved the proceeds of speciGed unlawful activity

,

knowing that the propedy involved in the financial transactions represented the

proceeds of some form of unlawful activity, and that the financial transactions

were desir ed, in whole and in part, to conco l and disguise the nnfllre

,

the

Iocation, the source, the ownership, and the x ntrol of the proceeds of said

specified unlawful activity, that is, a felony violation of the FCPA Mtle 15, United

States Code, Sections 78dd-2 and 78dd-3, and wire fraut Title 18, United States

Code, Section 1343, as follom :

34



38/43

COUNT DATE M ONETARY TRANSACTION

Twelve October 20, 201 l $5,700,800 wire transfer from Shiera

Company 2's bank account in Florida to

Rincon Cotnpany 2's bnnk account in the

Southem Dlstrict of Texas.

Thirteen November 4, 20l l $1,353,954.25 wire transfer from Shiera

Company 2's bank account in Florida to

Rincon Company 2's bnnk account in the

Southem District of Texas.

Fourteen January l7, 2012 $1,479,716.03 wire transfer from Shiera

Company 2's bO k account in Florida to

Rincon Col any 2's bank account in the

Southem Dlstrict of Tex% .

All in violation of Titlt l8, United States Code, Sections 1956(a)(lXB)(i)

and 2.

35



39/43

COUNTS FIFTEEN - EIGHTEEN

(Money Laundering- 18 U.S.C. j 1957; 18 U.S.C.j 2)

102. ParaFaphs 1 tlvough 23, 25 throul 84, and 91 through 99 are

realleged and incorporated by reference as thoul fully set forth herein

.

103. On or about the dates set forth below

,


Texu and elsewhere, the defendants

,


and

ABRAHAM JOSE SHœ RA BASTD AS

,

did knowingly engage, and aid

,

abet, and cause others to engage

,

and attempt to

engage in the following monetary transactions

,

by, through, and to a financial

institution, a/ecting interstate and foreir commerce

,

to wit: the deposit,

withdrawal, transfer and exchange of United States currency

,

funds and x netary

instruments, in criminally derived property of a value peater than $10

,

000, such

property having been derived from specitled unlawful activity

,

that is, a felony

violation of the FCPA Title 15, United States Code

,

Sections 78dd-2 and 78dd-3.

and wire fraud, Title 18, United States Code

,

Section 1343, as follows:

CO UNT DATE M ONETARY TRANSACTION

Fiheen M ay 23, 201 1 9

,

962,000 wire tx sfer from Rincon

Company 1's bank account in the Southem

District of Texa to a bank account in

Switzzrland in the name of Company

Accountholder A.

36



40/43

COUNT DATE M ONETARY TRANSAC TION

Sixtetn M ay 24, 201 1 $15,000,000 wire transfer from Rincon


Disi ct of Texas to a bnnk account in

Switzerland in the name of Company

Accountholder B.

Seventeen June l7, 2011 $2,422,005 wire transfer from Rincon


District of 'texas to a bnnk account in

Switzerlc d in the name of Company

Acx untholder A.

Eighteen January 17, 2012 $3,097,527 wire transfer from Shiera

Compr y 2's bank account in Florida to a

bank account in Switzerland in the name of

Com an Accountholder C.

A1l in violation of Title 1 8, United States Code, Sections 1957 and 2.

37



41/43

NOTICE 01 C'RN m AL FORFEITURE

(28 U.S.C. j M61(c); 18 U.S.C. j 981(a)(1)(C))

104. Pursuant to M tle 28, United States Code

,

Section 2461(c) and Title

18, United States Code, Section 98 1(a)(1)(C), the United States gives notice to the

defendants,

ROBERTO EY QUE RW CON FERNANDEZ

and

ABRAHAM JOSE SHV RA BASTD AS,

that in the event of conviction of any of tile oFenses charged in Counts 1 through 10

of this Indictment, the United States intends to seek forfeiture of all property

,

real or

personal, which constitutes or is derived from proceeds traceable to such Qffensts

NOTICE OF FORFEITURE

(18 U.S.C. j 982(a)(1))

105. Pursuant to Title l 8, United Statu Code

,

Section 982(a)(1), the

United States gives notice to the defendants,

ROBERTO ENW QW Y CON FERNANDEZ

and

ABR

-

AH

-

AM IPI:JMWM p4 p A

,-- -

that upon conviction of any of the oFenses charged in Counts 1 1 through 18 of this

hdictment, >ll propedy, real or personal, involved in money laundering offenses or

M ceable to such properiy, is subject to forfeimre.

38



42/43

Propertv Subivct to Ferfeiture

106. Defendants are notified that the property subject to forfeiture includes,

but is not limited to, the following property:

a. Bank Account of Company Accountholder A at Credit Suisse in

Swita rland, with an account number ending in 6032;

b. Bank Account of Company Accountholder B at Credit Suisse in

Switzzrlc d, with m1 account number ending in 9852;

c. Bank Account of Company Accountholder C at Credit Suisse in

Swita rland, with an account number ending in 2004; and

d. Sunseeker M anhattan 73 M otor Yacht, Serial Number GB-XSK 0581 1

J213, co-oM ed by SHV RA.

M oney Judzment

107. Defendants are notified that upon conviction, a moneyjudgment may

be imposed equal to the total value of the property subject to forfeiture, for which

- - - - - - . - -

ëç.4tfçlsplltp.may-k#jqtqtly M4 myçrAtly.l.tAklt,.--.

Substitute Aovt Provision

108. Defendants are notified that in the event that property subject to

forfeimre, as a resuit of any act or omission of defendants,

a Csnnot be located upon the exercise of due diligence;

39



43/43

b. Has been trnncferred or sold to, or deposited with

,

a third person;

c. Has been placed beyond thejurisdiction of the Court;

d. Has been substantially diminished in value; or

e. Has been commingled with otherproperty which cannot be subdivided

without di/ culty;

it is the intent of the United States to seek forfeiture of any other propely of the

defendants up to the total m lue of such property puouant to Title 21

,

United States

Code, Section 853û9, incomorated by reference in Title 28, United States Code,

Section 2461(c) and Title 12, United States Code, Section 982(b)(1).

A IRIJE Bm L

ORIGINAL SIGNATURE ON FILE

P'OKEPERSON

KENNETH M AGD SON

UNITED STAV S AW OG Y

ANDRBW W ELSSM ANN

c , F A D S E C

CRU AL DM SION

DEPARM NT-O.F JUSIICB

.

J

'

JY:

AISL G O'SC A

JERE R. SANDERS

'IRIAL A ORNEYS

BY: '

J IG P. PEM SON

EPW Y CO F

ROBERT S. JO> SON

M SISTANTUNITED STATES

A'ITORNEY


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