10802

89318

3 19878

, MAKING 

“ ”

“ ”

“ ”

“ ”

“ ” “Respo ”

“ ”

mmission’s jurisdiction over them

“ ”

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 1 of 10
2

’ Offer 1

hrough August 2017, Respondents 

.

2018, 

“ ”

Thus, Respondents’ conduct viola

1. in King of Prussia, 

ABFP’s . 

2. 51

3.

“ ”

4. “ 4”

4

4,155,250 4’s

4’s promoter. 

5. “ ”

5 

1 ’

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 2 of 10
3

4,912,941 5’s

5’s promoter. 

6. “ ”

6 

6,217,950 6 

.

7. “ ”

7 

6,620,000 7 

. 

8. “ 8”

8 

$11,056,600 8’s

8 ’s pro

9. “ ” . 

2018.

10.

Fallcatcher’s stock is pr

11.

y .

12. 8 

condary market (also known as “life settlements”). Of 

4 5 6 7 8 “

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 3 of 10
4

” .

“ ” , 

,

13.

as director or promoter, and the fund’s 

“ ”

. 

14.

non .

# 

4 $4,155,250 50 31

$4,912,941 40 14

$6,217,950 72 37

$6,620,000 78 41

8 $11,056,600 99 33

15. registered with the Commission; instead, each fund’s PPM 

4 5 8 

. 6 7. 

16. “

” “

”

17. of Vagnozzi’s principal 

“ ”

“

”

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 4 of 10
5

18. “

” “

settlement .... the best investment you’ve never heard of.”

19.

“Learn 

....”

.

20.

“ ” “

”

21.

.

described ABFP’s 

at least $50,000 “money in hand” and 

“the ability to invest if you like what you hear.”

22.

and/or an in person meeting at ABFP’s offices.

d

p , 

23. two

“ ” “

” “ lass”

“ ” “

”

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 5 of 10
6

24. 2

Vagnozzi’s Involvement in the Fallcatcher Capital Raise 

25. spoke with Ford

. 

26.

g

27.

“ ”

28.

, of whom 

, 

on June 19 20, 2018,

area, where Vagnozzi’s investor

, Fallcatcher’s future prospects. 

29.

,

2 “Willfully,” for purposes of imposing relief , 

“‘means no more than that the person charged with the duty knows what he is doing.’”

969, 977 (D.C. Cir. 

, which construed the term “willfully” for 

478 the showing required to establish that a person has “willfully 

omit[ted]” material information from a required disclosure in violation of Section 207 of the 

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 6 of 10
7

“ ”

. 

30.

, Vagnozzi’s

2018

, “Anyone who might be on the fence about Fallcatcher... this 

uld help you make your decision.” 

2, , 2018.

Vagnozzi’s investor

31.

“ ” ABFP’s office staff 

n July 23, 2018, 

.

32.

33. negotiated ABFP’s compensation to a flat fee of 

ABFP’s stock allocation to 7.5

34.

. 

of Fallcatcher’s September 2018 capital raise. 

35.

2020

36. 4

“

”

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 7 of 10
8

.

’ .

.

14 $8,671

14 $86,718

9,491

$5,753.33

o , 

14 9,472

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 8 of 10
9

.

, 14

94,713

341

1022.

, 

4

, 19

’ “ ”

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 9 of 10
10

“ ”

n.

Case 9:20-cv-81205-RAR Document 35-1 Entered on FLSD Docket 07/27/2020 Page 10 of 10