Factual Basis Clause Samples

Factual Basis. Defendant will plead guilty because she is in fact guilty of the charge contained in Count One of the indictment. In pleading guilty, defendant admits the following facts and that those facts establish her guilt beyond a reasonable doubt, and establish a basis for forfeiture of the property described elsewhere in this Plea Agreement: Beginning no later than in or about December 2008, and continuing until at least on or about March 11, 2020, at Chicago, in the Northern District of Illinois, Eastern Division, and elsewhere, defendant ▇▇▇▇▇▇▇▇ ▇▇▇▇▇ did conspire with ▇▇▇▇▇▇▇ ▇▇▇▇▇▇, ▇▇▇▇▇ ▇▇▇▇▇, ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇, and others, to commit an offense in violation of Title 18, United States Code, Sections 1956 and 1957, that is, (1) to knowingly conduct and attempt to conduct a financial transaction affecting interstate commerce, which involved the proceeds of a specified unlawful activity, that is the felonious buying and selling and otherwise dealing in a controlled substance, knowing that the transaction was designed in whole and in part to conceal and disguise the nature, location, source, ownership, and control of the proceeds of said specified unlawful activity and that while conducting and attempting to conduct such financial transaction knew that the property involved in the financial transaction represented the proceeds of some form of unlawful activity, in violation of Title 18, United States Code, Section 1956(a)(1)(B)(i), and (2) to knowingly engage in a monetary transaction in and affecting interstate commerce in criminally derived property of a value greater than $10,000, such property having been derived from a specified unlawful activity, namely, the felonious buying and selling and otherwise dealing in a controlled substance, in violation of Title 18, United States Code, Section 1957, all in violation of Title 18, United States Code, Section 1956(h). More specifically, in or about 2008, ▇▇▇▇▇ was living in Mexico with other family members, including her husband (▇▇▇▇▇ ▇▇▇▇▇▇), her brother-in-law (▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇), ▇▇▇▇▇▇▇▇▇’s wife (▇▇▇▇▇▇▇ ▇▇▇▇▇▇), and her other brother-in-law (▇▇▇▇▇▇▇ ▇▇▇▇▇▇). Between at least May 2005 and December 2008, ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ and ▇▇▇▇▇ ▇▇▇▇▇▇ operated a Chicago-based distribution cell for the Sinaloa Cartel and the ▇▇▇▇▇▇▇ ▇▇▇▇▇ Organization, which involved the transportation and distribution of hundreds of kilograms of cocaine and kilogram quantities of heroin per month to customers in Chicago, Columbus, Cincinnati, P...

Factual Basis. Defendant will plead guilty because he is in fact guilty of the charges contained in Counts One and Two of the information. In pleading guilty, defendant admits the following facts and that those facts establish his guilt beyond a reasonable doubt and constitute relevant conduct pursuant to Guideline § 1B1.3:

Factual Basis. The Defendant is pleading guilty because it is guilty of the charges contained in the Information. The Defendant admits, agrees, and stipulates that the factual allegations set forth in the Information and Attachment A are true and correct, that it is responsible for the acts of its officers, employees, and agents described in the Information and Attachment A, and that the Information and Attachment A accurately reflect the Defendant’s criminal conduct.

Factual Basis. The Defendant is pleading guilty because it is guilty of the charge contained in the Information. The Defendant admits, agrees, and stipulates that the factual allegations set forth in the Information and the Statement of Facts are true and correct, that it is responsible for the acts of its officers, directors, employees, and agents described in the Information and Statement of Facts, and that the Information and Statement of Facts accurately reflect the Defendant’s criminal conduct. The Defendant stipulates to the admissibility of the Statement of Facts in any proceeding by the Offices, including any trial, guilty plea, or sentencing proceeding, and will not contradict anything in the attached Statement of Facts at any such proceeding.

Factual Basis. Defendant will plead guilty because he is in fact guilty of the charge contained in the information. In pleading guilty, defendant admits the following facts and that those facts establish his guilt beyond a reasonable doubt and constitute relevant conduct pursuant to Guideline § 1B1.3: Beginning no later than 2000 and continuing through at least December 19, 2011, in the Northern District of Illinois, Eastern Division, and elsewhere, defendant ▇▇▇▇▇ ▇▇▇▇▇▇▇ did willfully and knowingly conspire with Individual A, and with others known and unknown, to defraud the United States by impeding, impairing, and obstructing the Internal Revenue Service in the correct determination and collection of revenue and income taxes, and by avoiding the payment of taxes due and owing by Company A, Company B, Shareholder A and Shareholder B, in violation of Title 18, United States Code, Section 371. Throughout the period of the charged conspiracy, defendant was employed as the office manager and bookkeeper for Company A and Company B. Company A and Company B were temporary staffing companies operating in the Chicago area that shared office space and administrative personnel. Companies A and B were headquartered in Chicago until 2009, when the headquarters for both companies moved to Northbrook, Illinois. Company A was an S corporation, and as such, was required to annually file a U.S. Income Tax Return for an S Corporation (Form 1120S) that reported the ordinary income or loss and amount of tax owed. As an S corporation, the ordinary income and losses of the business flowed through and were reported on its shareholders’ federal income tax returns (Form 1040). Shareholder A was president of Company A and owned 60 percent of the shares of Company A. Shareholder B was the secretary of Company A and owned 40 percent of the shares of Company A. Company B was required to annually file a U.S. Corporation Income Tax Return (Form 1120) and pay taxes based upon the amount of income reported. For the duration of the charged conspiracy, defendant prepared and filed with the IRS the Employer’s Quarterly Federal Tax Return (Form 941) for Company A and Company B, and prepared and issued Forms W-2 (Wage and Tax Statement) for employees of both companies. Defendant conspired with Individual A, an independent contractor employed by Company A and acting at defendant’s direction, to impede the lawful functions of the IRS and avoid the payment of taxes due and owing by falsifying information repo...

Factual Basis. Defendant will plead guilty because he is in fact guilty of the charges contained in Counts One and Count Two of the indictment. In pleading guilty, defendant admits the following facts and that those facts establish his guilt beyond a reasonable doubt: On or about September 19, 2010, ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇, attempted, without lawful authority, to use a weapon of mass destruction against people and property in a manner that would have affected interstate and foreign commerce in violation of Title 18, United States Code, Section 2332a(a)(2)(D), and attempted to damage and destroy, by means of an explosive, real property affecting interstate and foreign commerce in violation of Title 18, United States Code, Section 844(i). In early June 2010, ▇▇▇▇▇▇▇ told a law enforcement cooperating source (hereinafter, the “CS”) that he wanted to commit acts of violence in Chicago for monetary gain and to cause political instability. The CS asked ▇▇▇▇▇▇▇ about his ideas for a terrorist attack. ▇▇▇▇▇▇▇ suggested bombing the commercial area surrounding Wrigley Field as one option. ▇▇▇▇▇▇▇ explained that an attack against an entertainment center like the one near Wrigley Field could “paralyze” Chicago commerce. In response, the CS told ▇▇▇▇▇▇▇ that he/she had “friends” who might be willing to pay ▇▇▇▇▇▇▇ to perpetrate such an attack. Over the following weeks, the CS and ▇▇▇▇▇▇▇ continued to discuss ▇▇▇▇▇▇▇’▇ ideas for perpetrating a terrorist act. ▇▇▇▇▇▇▇ indicated that he wanted to meet with the CS’s contacts and was anxious to act against Chicago. The CS arranged a meeting between ▇▇▇▇▇▇▇ and an individual the CS represented to be one of his/her purported contacts on July 8, 2010. Then unbeknownst to ▇▇▇▇▇▇▇, the contact was an undercover FBI task force officer (hereinafter “UC-1”). During their initial meeting, ▇▇▇▇▇▇▇ told UC-1 that he had been contemplating how to perpetrate terrorist attacks in Chicago. ▇▇▇▇▇▇▇ stated that he believed that a series of escalating violent acts could be used to undermine the city’s political establishment. When asked by UC-1 what ▇▇▇▇▇▇▇ was personally willing to do, ▇▇▇▇▇▇▇ indicated that he would be willing to facilitate a car bombing or the assassination of Chicago police officers. ▇▇▇▇▇▇▇ assured UC-1 that he wanted to participate in some violent act. When asked if he was concerned about those who would be hurt by such violence, ▇▇▇▇▇▇▇ stated that casualties were the inevitable result of what he termed “revolution.” ▇▇▇▇▇▇▇ met with UC-1...

Factual Basis. Defendant will plead guilty because he is in fact guilty of the charges contained in Counts 1, 2, and 3 of the superseding indictment. In pleading guilty, defendant admits the following facts and that those facts establish his guilt beyond a reasonable doubt: With respect to Counts 1 through 3 of the superseding indictment: From on or about September 17, 2015, to on or about September 18, 2015, at Lansing, in the Northern District of Illinois, and elsewhere, defendant ▇▇▇▇▇▇▇▇ ▇▇▇▇ did unlawfully and willfully seize, confine, kidnap, abduct, carry away, and transport Victim A in interstate commerce from the State of Illinois to the State of Indiana, and did hold Victim A for purposes of robbery, sexual assault, and otherwise, in violation of Title 18, United States Code, Section 1201(a)(1). On or about September 18, 2015, at Lansing, in the Northern District of Illinois, and elsewhere, defendant ▇▇▇▇▇▇▇▇ ▇▇▇▇ did knowingly and intentionally attempt to kill Victim A, by strangulation and by setting her on fire, with the intent to prevent the communication by Victim A to a law enforcement officer of the United States of information relating to the commission and possible commission of a Federal offense, namely, the Federal offenses charged in Counts 1, 3, 4, 5, 6, 7, 8, and 9 of the Superseding Indictment, in violation of Title 18, United States Code, Section 1512(a)(1)(C). On or about September 18, 2015, at Lansing, in the Northern District of Illinois, and elsewhere, defendant ▇▇▇▇▇▇▇▇ ▇▇▇▇ did knowingly use fire to commit any felony which may be prosecuted in a court of the United States, namely, the felony kidnapping charged in Count 1 and the felony attempted murder charged in Count 2 of the Superseding Indictment, in violation of Title 18, United States Code, Section 844(h)(1). A’s bank account. After not being able to withdraw money from BMO ▇▇▇▇▇▇ Bank, defendant drove across state lines again, back into Illinois, and back to Victim A’s home. Once back at Victim A’s home, defendant demanded more money from her. Victim A had no more money to give. Defendant forced Victim A into the trunk of her car with her groceries, and he drove back across state lines into Indiana. After making a stop at a store, defendant drove to the parking lot of a vacant commercial business located at ▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇ in ▇▇▇▇▇ Harbor, Indiana. While in the parking lot, defendant took Victim A out of the trunk and told her to get into the back seat of the car, where he forced he...

Factual Basis. 11. Annex 1 sets out the factual basis establishing the crimes described in Count 1 of the Consolidated Indictment and ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇’▇ participation in them. ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ has reviewed with his lead counsel, ▇▇. ▇▇▇▇▇, the factual basis and unequivocally agrees with the assertions set forth therein.

Factual Basis. Defendant is pleading guilty because defendant is in fact guilty. The defendant certifies that defendant does hereby admit that the facts set forth below are true, and were this case to go to trial, the United States would be able to prove those specific facts and others beyond a reasonable doubt: Defendant is the managing member of OM Global Investment Fund LLC (the “OM Global Fund”), an unregistered pooled investment vehicle fund formed in 2009. Defendant is also the principal owner and operator of OM Investment Management LLC, a formerly registered investment advisor. Defendant and the OM Global Fund were investment advisers within the meaning of Section 202(a)(11) of the Investment Advisers Act, 15 U.S.C. Section 80-b2(a)(11). Beginning in or about 2011, defendant began soliciting investments for the OM Global Fund by, among other methods, touting its access to pre-IPO shares of Facebook, Inc. By the end of 2012, defendant had secured investments exceeding $15 million for the OM Global Fund. As part of the investments for the OM Global Fund, defendant raised more than $9 million “side pocket” investments based on representations to approximately 130 investors that their investments in the OM Global Fund would be used exclusively for the purchase of shares of Facebook. Contrary to these representations and unbeknown to “side pocket” investors, defendant later sold Facebook shares and thereafter used certain of those funds designated exclusively for the purchase of Facebook shares for other investments. Defendant made material misrepresentations and omissions through OM Investment Management to investors in order to mislead investors about the nature and value of their investment in the OM Global Fund and to conceal from “side pocket” investors that he had used their money for investments other than Facebook. The OM Global Fund lost approximately $9 million before it went into receivership in September 2013.