Case 1:21-cr-00083-RM Document 1 Filed 03/17/21 USDC Colorado Page 1 of 20
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`IN THE UNITED STATES DISTRICT COURT
`FOR THE DISTRICT OF COLORADO
`
`Criminal Case No.
`
`21-cr-00083-RM
`
`UNITED STATES OF AMERICA,
`
`Plaintiff,
`
`v.
`
`1.
`
`FRANCIS F. JOSEPH,
`
`Defendant.
`
`______________________________________________________________________
`
`INDICTMENT
`Count 1
`18 U.S.C. § 669
`Count 2
`18 U.S.C. § 641
`Count 3
`18 U.S.C. § 1343
`Count 4
`18 U.S.C. § 152(3)
`Forfeiture Allegation
`18 U.S.C. §§ 981(a)(1)(C), 982(a)(2), and 982(a)(7) and 28 U.S.C. § 2461(c)
`______________________________________________________________________
`
`The Grand Jury charges:
`
`GENERAL ALLEGATIONS
`
`At all times relevant to this Indictment:
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`Defendant and Relevant Entities
`
`1.
`
`FRANCIS F. JOSEPH was a resident of Douglas County, Colorado, within
`
`the District of Colorado. JOSEPH was a physician licensed to practice medicine in the
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`State of Colorado.
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`

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`2.
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`Springs Medical Associates, P.C. a/k/a Springs Medical Associates, Inc.
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`(“Springs Medical”), formed in or around August 2014 by FRANCIS F. JOSEPH, was a
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`Colorado corporation that maintained its principal office in El Paso County, Colorado.
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`3.
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`FRANCIS F. JOSEPH operated, managed, and controlled Springs Medical
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`until on or about January 29, 2020, when he ceded management and control of Springs
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`Medical as well as its finances, including its bank accounts, to Individual 1. Between
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`January 29, 2020 and April 14, 2020, JOSEPH was employed by Springs Medical until
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`he was terminated.
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`Relevant Financial Accounts
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`4.
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`Springs Medical held business account x5191 at Bank 1 (“Official Springs
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`Medical Account”).
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`5.
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`FRANCIS F. JOSEPH held account x6089 at Bank 1 in the name of a family
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`member (“Family Member Account”).
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`6.
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`On or about March 27, 2020, unbeknownst to Springs Medical or Individual
`
`1 and without authorization, FRANCIS F. JOSEPH opened account x0396 at Bank 2, in
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`the name of Springs Medical with himself as the sole signatory (“Unofficial Springs
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`Medical Account”).
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`7.
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`On or about October 29, 2020 and October 30, 2020, unbeknownst to
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`Springs Medical or Individual 1 and without authorization, FRANCIS F. JOSEPH opened
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`accounts x1462 and x7300, respectively, at Bank 3, in the name of Springs Medical with
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`himself as the sole signatory (“Other Unofficial Springs Medical Accounts”).
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`The Medicare Program
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`8.
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`The Medicare Program (“Medicare”) was a federally funded health care
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`benefit program that provided free or below-cost health care benefits to certain
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`individuals, primarily the elderly, blind, and disabled, and those who were 65 years of age
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`or older. The Centers for Medicare and Medicaid Services (“CMS”), a Federal agency
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`under the United States Department of Health and Human Services (“HHS”),
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`administered Medicare.
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`9.
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`The term “health care benefit program,” under Title 18, United States Code,
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`Section 24(b), was defined as “any public or private plan or contract, affecting commerce,
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`under which any medical benefit, item, or service is provided to any individual, and
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`includes any individual or entity who is providing a medical benefit, item, or service for
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`which payment may be made under the plan or contract.”
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`10. Medicare was a “health care benefit program” pursuant to Title 18, United
`
`States Code, Section 24(b), and a “Federal health care program” pursuant to Title 42,
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`United States Code, Section 1320a-7b(f).
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`11. Medicare was divided into multiple parts. Medicare Part A covered services
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`provided by hospitals, skilled nursing facilities, hospices, among others. Medicare Part
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`B covered services provided by physicians, medical clinics, laboratories, among others.
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`Medicare Part C (or “Medicare Advantage”) provided individuals with the option to receive
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`their Medicare benefits through private insurers approved by Medicare, which may have
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`entitled recipients to receive additional benefits. Medicare Part D provided prescription
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`drug coverage to persons who were eligible for Medicare benefits under Parts A and B.
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`12. Health care providers, including physicians and clinics (collectively,
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`“Providers”) who wished to be eligible to participate in Medicare Part B were requested
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`to periodically sign an enrollment application form, that is, CMS Form 855I for physicians
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`and CMS Form 855B for clinics. The enrollment forms, which were required to be signed
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`by an authorized representative of the Provider, contained a certification that stated:
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`I agree to abide by the Medicare laws, regulations, and program instructions
`that apply to me or the organization listed in Section 4A of this Application.
`The Medicare laws, regulations, and program instructions are available
`through the fee-for-service contractor. I understand that payment of a claim
`by Medicare is conditioned upon the claim and the underlying transaction
`complying with such laws, regulations and program instructions (including,
`but not limited to, the Federal anti-kickback statute and the Stark law), and
`on the supplier’s compliance with all applicable conditions of participation in
`Medicare.
`
`13. Providers that enrolled in Medicare and received a “provider number” were
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`able to file claims with Medicare, either in hardcopy or electronically, to obtain
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`reimbursement for services provided (“Medicare Provider”).
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`14. CMS contracted with private insurance companies under Part B to receive,
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`adjudicate, and pay Medicare claims submitted by Medicare Providers. Once contracted
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`to process Medicare Part B claims, these private insurance companies were known as
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`Medicare Administrative Contractors (“MACs”). CMS contracted with Novitas Solutions
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`(“Novitas”) to process and pay Medicare Part B claims in the state of Colorado.
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`Accelerated and Advance Payment Program
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`15. On or about January 31, 2020, the Secretary of HHS declared that a public
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`health emergency had existed in the United States since January 27, 2020 and continued
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`to exist due to COVID-19. On April 21, 2020, July 23, 2020, October 2, 2020, and January
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`7, 2021, the Secretary of the HHS issued renewals of the existence of the public health
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`emergency due to COVID-19.
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`16.
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`In or around March 2020, in order to increase cash flow to Medicare
`
`Providers impacted by the pandemic, CMS expanded the existing Accelerated and
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`Advance Payment Program to a broader group of Medicare Providers under both
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`Medicare Part A and Part B.
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`17.
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`The payments through the Accelerated and Advance Payment Program
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`(“Advanced Payments”) were intended to provide necessary funds due to a disruption in
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`claims submission and/or claims processing. These Advanced Payments were offered
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`in circumstances such as national emergencies or natural disasters in order to accelerate
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`cash flow to the impacted Medicare Providers. CMS was authorized to provide Advanced
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`Payments during the period of the COVID-19 public health emergency to any Medicare
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`Provider who submitted a request to the appropriate MAC and met the required
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`qualifications.
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`18.
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`To qualify for Advanced Payments, the Medicare Provider was required to:
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`(1) have billed Medicare for claims within 180 days immediately prior to the date of
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`signature on the form requesting Advanced Payment (“Advance Payment Request
`
`Form”); (2) not be in bankruptcy; (3) not be under active medical review or program
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`integrity
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`investigation; and (4) not have any outstanding delinquent Medicare
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`overpayments.
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`19. Medicare Providers would request a specific amount using an Advance
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`Payment Request Form provided on each MAC’s website. Most Medicare Providers were
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`able to request up to 100 percent of the Medicare payment amount for a three-month
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`period.
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`20. Medicare Providers would continue to submit claims as usual after the
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`issuance of the Advanced Payments. Medicare Providers would receive full payments
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`for their claims prior to the start of a recoupment period, which would begin 365 days from
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`the date of payment. During the recoupment period, Medicare would automatically offset
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`amounts owed for new claims to repay the Advanced Payments.
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`CARES Act Provider Relief Fund
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`21.
`
`In March 2020, Congress passed the Coronavirus Aid, Relief, and
`
`Economic Security (“CARES”) Act, which was designed to provide emergency financial
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`assistance to the millions of Americans suffering due to the COVID-19 pandemic.
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`22.
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`The CARES Act appropriated moneys to help Medicare Providers that were
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`financially impacted by COVID-19, as well as to provide care to individuals who were
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`suffering from COVID-19 and compensate Medicare Providers for the cost of that care
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`(the “Provider Relief Fund”).
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`23. HHS,
`
`through
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`its agency,
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`the Health Resources and Services
`
`Administration (“HRSA”), oversaw and administered the Provider Relief Fund.
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`24.
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`In order to rapidly provide funding to Medicare Providers during the
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`pandemic, HRSA distributed payments under the Provider Relief Fund (“Provider Relief
`
`Payment”) to Medicare Providers who (a) billed Medicare Part A or Part B in Calendar
`
`Year 2019; (b) provided after January 31, 2020 diagnoses, testing, or care for individuals
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`with possible or actual cases of COVID-19; (c) were not currently terminated from
`
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`participation in Medicare or precluded from receiving payment through Medicare
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`Advantage or Part D; (d) were not currently excluded from participation in Medicare,
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`Medicaid, and other Federal health care programs; and (e) did not currently have
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`Medicare billing privileges revoked. Medicare Providers meeting these criteria
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`automatically received the Provider Relief Payment and did not have to apply for the
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`funding but were required to comply with the terms and conditions of the Provider Relief
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`Fund if they retained such funding.
`
`25.
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`If a Medicare Provider elected to retain the payment, it was required to
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`abide by the terms and conditions of the program, including that (a) the payment shall
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`reimburse the recipient only for health care related expenses or lost revenues that are
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`attributable to COVID-19 and (b) that the payment would only be used for the diagnoses,
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`testing, or care for individuals with possible or actual cases of COVID-19. Medicare
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`Providers would attest to the terms and conditions by logging into a portal on the HHS
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`website, or would be deemed to have agreed to the terms and conditions by keeping the
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`funds for longer than 90 days.
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`Small Business Administration
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`26.
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`The United States Small Business Administration (“SBA”) was an
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`executive-branch agency of the United States government that provided support to
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`entrepreneurs and small businesses. The mission of the SBA was to maintain and
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`strengthen the nation’s economy by enabling the establishment and viability of small
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`business and by assisting in the economic recovery of communities after disasters.
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`The Paycheck Protection Program
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`27. One source of relief provided by the CARES Act was the authorization of
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`up to $349 billion in forgivable loans to small businesses for job retention and certain
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`other expenses, through a program referred to as the Paycheck Protection Program
`
`(“PPP”). In or around April 2020, Congress authorized over $300 billion in additional PPP
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`funding.
`
`28.
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`In order to obtain a PPP loan, a qualifying business was required to submit
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`a PPP loan application, signed by an authorized representative of the business. The PPP
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`loan application required the business (through its authorized representative) to
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`acknowledge the program rules and make certain affirmative certifications in order to be
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`eligible to obtain the PPP loan. In the PPP loan application, the small business (through
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`its authorized representative) was required to state, among other things, its: (a) average
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`monthly payroll expenses; and (b) its number of employees. These figures were used to
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`calculate the amount of money the small business was eligible to receive under the PPP.
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`In addition, businesses applying for a PPP loan were required to provide documentation
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`showing their payroll expenses.
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`29. A business’s PPP loan application was received and processed, in the first
`
`instance, by a participating lender. If a PPP loan application was approved, the
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`participating lender funded the loan using its own monies. Data from the application,
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`including information about the borrower, the total amount of the loan, and the listed
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`number of employees, was transmitted by the lender to the SBA in the course of
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`processing the loan.
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`30. PPP loan proceeds were required to be used by the business on certain
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`permissible expenses: payroll costs, mortgage interest, rent, and utilities. The PPP
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`allowed the interest and principal on the PPP loan to be entirely forgiven if the business
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`spent the loan proceeds on these permissible expense items within a designated period
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`of time after receiving the proceeds and used a certain portion of the loan proceeds on
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`payroll expenses.
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`Relevant PPP Lenders and Affiliated Companies
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`31. Company 1 was a financial-services company based in Georgia.
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`32. Company 1 was authorized by the SBA to participate as a PPP lender to
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`small businesses.
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`33.
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` Small businesses seeking PPP loans could apply through Company 1 for
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`PPP loans. Company 1 would review the loan applications. If the loan application
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`received by Company 1 was approved for funding, it disbursed the loan funds to the
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`applicant.
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`Bankruptcy
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`34.
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`Individuals who filed for bankruptcy were known under Federal bankruptcy
`
`law as “debtors.”
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`35. Bankruptcy was a process by which debtors obtained relief from their
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`“creditors.” Creditors were individuals, businesses, and government agencies who were
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`owed money by the debtor. The bankruptcy process was designed to achieve the orderly
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`distribution to creditors of available assets of the debtor that were truthfully disclosed.
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`The bankruptcy process also provided a fresh start to debtors by allowing them to obtain
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`a “discharge” of debts, that is, an order that released the debtors from further personal
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`liability for specified types of debts.
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`36. When filing for bankruptcy, and during the pendency of the bankruptcy, a
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`debtor was required to disclose all of its assets to the bankruptcy court so that a
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`determination could be made whether the assets were able to be used, in whole or in
`
`part, to reimburse creditors and pay off or reduce the debt. This included any assets the
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`debtor received after filing for bankruptcy.
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`37.
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`The filing of the bankruptcy petition created a “bankruptcy estate” consisting
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`of all of the debtor’s legal and equitable interests in property as of the commencement of
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`the case. All of the debtor’s tangible and intangible property belonged to the estate,
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`including real estate, bank accounts, and equitable or future interests in property. Under
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`Section 1115(a)(1) of the Bankruptcy Code, all property acquired by the debtor after
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`commencement of the case was property of the estate.
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`38. Debtors were required to file a Schedule A/B of Assets with their petition for
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`bankruptcy. The Schedule required debtors to “[d]isclose all property, real and personal,
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`which the debtor owns or in which the debtor has any other legal, equitable, or future
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`interest.” This included identifying checking, savings, money market, or financial
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`brokerage accounts and the amount of money therein. In submitting the Voluntary
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`Petition for Non-Individuals Filing for Bankruptcy, debtors were required to execute a
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`“Declaration Under Penalty of Perjury,” which included a notice that making a false
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`statement or concealing property in connection with a bankruptcy case could result in
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`fines up to $500,000 or imprisonment for up to 20 years, or both. The form included an
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`agreement, under penalty of perjury, that the signer was an authorized agent or
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`representative on behalf of the debtor and had a reasonable belief that the information
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`contained in the petition was true and correct.
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`COUNT ONE
`18 U.S.C. § 669
`
`The Grand Jury hereby realleges and incorporates by reference paragraphs
`
`39.
`
`1 through 38 of this Indictment as though fully set forth herein.
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`40. On or about April 8, 2020, in the State and District of Colorado, and
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`elsewhere, defendant FRANCIS F. JOSEPH did knowingly and willfully embezzle, steal,
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`and without authority convert to the use of any person other than its rightful owner, and
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`intentionally misapplied moneys, funds, property, and assets, with a value in excess of
`
`$100, that is approximately $86,747.11, of a health care benefit program, as defined in
`
`Title 18, United States Code, Section 24(b), that is Medicare.
`
`Manner and Means
`
`41. On or about March 29, 2020, after relinquishing management and control
`
`of Springs Medical, and unbeknownst to Individual 1, FRANCIS F. JOSEPH completed
`
`and signed an Advanced Payment Request Form, purportedly on behalf of Springs
`
`Medical, requesting the maximum amount available from CMS.
`
`42.
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`In
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`the Advanced Payment Request Form, FRANCIS F. JOSEPH
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`acknowledged the terms of receiving the Advanced Payment, including that Springs
`
`Medical would have to repay to CMS the amount of the Advanced Payment.
`
`43.
`
` In the Advanced Payment Request Form, FRANCIS F. JOSEPH further
`
`identified the reason for the Advanced Payment as being a “[d]elay in provider/supplier
`
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`billing process [ ] of an isolated temporary nature beyond the provider/supplier’s normal
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`billing cycle due to COVID-19 and not attributable to other third party payers or private
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`patients.”
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`44.
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`That same day, FRANCIS F. JOSEPH submitted the Advance Payment
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`Request Form under Springs Medical’s provider number.
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`45. On or about April 7, 2020, Novitas made an Advanced Payment to Springs
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`Medical by remitting approximately $86,747.11 in the Official Springs Medical Account,
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`which became available the following day.
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`46. On or about April 8, 2020, upon the Advanced Payment becoming available
`
`in the Official Springs Medical Account and unbeknownst to Springs Medical and
`
`Individual 1, FRANCIS F. JOSEPH, without authority, electronically wire transferred
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`approximately $92,000 from the Official Springs Medical Account to the Family Member
`
`Account, to which Springs Medical and Individual 1 did not have access.
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`In violation of Title 18, United States Code, Section 669.
`
`COUNT TWO
`18 U.S.C. § 641
`
`The Grand Jury hereby realleges and incorporates by reference paragraphs
`
`47.
`
`1 through 38 of this Indictment as though fully set forth herein.
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`48. On or about April 10, 2020, in the State and District of Colorado, and
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`elsewhere, defendant FRANCIS F. JOSEPH did knowingly and willfully embezzle, steal,
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`purloin, and convert to his own use or the use of another money or a thing of value greater
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`than $1,000, that is approximately $31,782, from the United States Department of Health
`
`and Human Services.
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`Manner and Means
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`49. As Springs Medical met the criteria under the Provider Relief Fund, on or
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`about April 10, 2020, HRSA remitted approximately $31,782.20 in Provider Relief
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`Payment to the Official Springs Medical Account to be used by Springs Medical to
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`prevent, prepare for, and respond to COVID-19.
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`50. On or about April 10, 2020, unbeknownst to Springs Medical and Individual
`
`1, FRANCIS F. JOSEPH, without authority, electronically wire transferred approximately
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`$31,782 from the Official Springs Medical Account to the Family Member Account, to
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`which Springs Medical and Individual 1 did not have access.
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`51.
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`Thereafter, FRANCIS F. JOSEPH electronically wire transferred all or a
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`portion of these monies into a separate account with which he made personal
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`expenditures.
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`In violation of Title 18, United States Code, Section 641.
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`COUNT THREE
`18 U.S.C. § 1343
`
`52.
`
`The Grand Jury hereby realleges and incorporates by reference paragraphs
`
`
`
`1 through 38 of this Indictment as though fully set forth herein.
`
`53. Beginning on or about March 27, 2020, and continuing through in or around
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`July 2020, the exact dates unknown to the Grand Jury, in the State and District of
`
`Colorado, and elsewhere, defendant FRANCIS F. JOSEPH having knowingly devised
`
`and intended to devise a scheme and artifice to defraud, and to obtain money and
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`property by means of materially false and fraudulent pretenses, representations, and
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`promises, and attempting to do so, did knowingly transmit and cause to be transmitted,
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`by means of wire communications in interstate commerce, writings, signals, pictures, and
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`sounds for the purpose of executing such scheme and artifice.
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`Purpose of the Scheme
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`54.
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`The purpose of the scheme was for FRANCIS F. JOSEPH to (a) unjustly
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`enrich himself and others through the submission of a false and fraudulent PPP loan
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`application; (b) conceal the submission of the false and fraudulent PPP loan application
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`and the receipt and transfer of the proceeds from the fraud; and (c) divert proceeds of the
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`fraud for his personal use and benefit.
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`Manner and Means
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`55. As part of said scheme, on or about March 27, 2020, FRANCIS F. JOSEPH
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`opened the Unofficial Springs Medical Account, which he concealed and disguised the
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`existence of from Springs Medical and Individual 1.
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`56. As part of said scheme, on or about June 24, 2020, FRANCIS F. JOSEPH
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`electronically submitted and caused to be submitted through interstate commerce a false
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`and fraudulent PPP application in the name of Springs Medical to Company 1 (the
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`“Springs Medical PPP application”), seeking a PPP loan in the amount of approximately
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`$179,999, although FRANCIS F. JOSEPH had been previously terminated from Springs
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`Medical by Individual 1. Specifically, FRANCIS F. JOSEPH was terminated because he
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`misappropriated and took for himself funds that were provided to Springs Medical by
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`various government agencies for the purpose of treating patients who were suffering from
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`COVID-19.
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`57. As part of said scheme, FRANCIS F. JOSEPH signed the Springs Medical
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`PPP application and falsely certified that the application and all information provided
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`therein, as well as the supporting documents and forms, were true and accurate.
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`58. As part of said scheme, in the Springs Medical PPP application, FRANCIS
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`F. JOSEPH falsely represented himself to be the owner of Springs Medical. Among other
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`things, FRANCIS F. JOSEPH falsely represented that he was “authorized, empowered,
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`and directed” to borrow money, execute notes, and negotiate items on behalf of Springs
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`Medical.
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`59. As part of said scheme, in the Springs Medical PPP application, FRANCIS
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`F. JOSEPH falsely represented that he supervised 34 employees with an average
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`monthly payroll of approximately $72,000, although FRANCIS F. JOSEPH had been
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`terminated from Springs Medical approximately two months prior to the application.
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`60. As part of said scheme, in the Springs Medical PPP application, FRANCIS
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`F. JOSEPH falsely represented that “the funds will be used to retain workers and maintain
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`payroll or make mortgage interest payments, lease payments, and utility payments, as
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`specified under the Paycheck Protection Program Rule.”
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`61. As part of said scheme, in the Springs Medical PPP application, FRANCIS
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`F. JOSEPH falsely certified that Springs Medical had not received another PPP loan,
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`although FRANCIS F. JOSEPH previously applied for a PPP loan with another lender on
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`behalf of Springs Medical using Springs Medical’s Tax Identification Number.
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`62. As part of said scheme, FRANCIS F. JOSEPH sought to conceal and
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`disguise the fraud by listing the Unofficial Springs Medical Account to receive the
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`proceeds of the PPP loan, although FRANCIS F. JOSEPH knew that the Unofficial
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`Springs Medical Account was not the official business account for Springs Medical and
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`did not otherwise receive payments or distribute payroll for Springs Medical.
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`63. As part of said scheme, based on FRANCIS F. JOSEPH’s material
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`misrepresentations as set forth in the fraudulent Springs Medical PPP application and
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`supporting documents, Company 1, based in Fulton County, Georgia, approved and
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`funded the PPP loan. On or about June 29, 2020, approximately $179,999 was
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`electronically transferred to the Unofficial Springs Medical Account, which was maintained
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`in Arapahoe County, Colorado, through interstate commerce, which FRANCIS F.
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`JOSEPH then diverted for his own personal use and benefit, including a hotel stay in
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`Jackson Hole, Wyoming and home improvements, such as a security system for his
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`home.
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`Execution of the Scheme
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`64. On or about June 24, 2020, in the State and District of Colorado, and
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`elsewhere, FRANCIS F. JOSEPH submitted and caused to be submitted a wire
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`communication, to wit: electronic submission of the Springs Medical PPP application and
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`supporting documents, from the District of Colorado, to Company 1, located outside the
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`State of Colorado, in an attempt to execute, and in execution of the scheme, as described
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`in paragraphs 54 through 63 of this Indictment.
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`In violation of Title 18, United States Code, Section 1343.
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`COUNT FOUR
`18 U.S.C. § 152(3)
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`The Grand Jury hereby realleges and incorporates by reference paragraphs
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`65.
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`1 through 38 of this Indictment as though fully set forth herein.
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`Case 1:21-cr-00083-RM Document 1 Filed 03/17/21 USDC Colorado Page 17 of 20
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`66. On or about November 30, 2020, in the State and District of Colorado,
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`defendant FRANCIS F. JOSEPH knowingly and fraudulently made a false declaration,
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`certificate, verification, and statement under the penalty of perjury, as permitted under
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`Section 1746 of Title 28, in and in relation to a case under Title 11, In re: Springs Medical
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`Associates, P.C., Bankruptcy Case No. 20-17026, by submitting Schedules of Assets and
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`Liabilities and a Statement of Financial Affairs, in which the defendant fraudulently omitted
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`to disclose all bank accounts maintained in the name of Springs Medical, including the
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`Other Unofficial Springs Medical Accounts, and cash assets in the amount of
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`approximately $241,774.85 deposited therein.
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`Manner and Means
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`67. On or about October 26, 2020, over six months after his termination from
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`Springs Medical, unbeknownst to Springs Medical and Individual 1 and without
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`authorization, FRANCIS F. JOSEPH filed for Chapter 11 bankruptcy in the District of
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`Colorado on behalf of Springs Medical. As part of the bankruptcy petition, FRANCIS F.
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`JOSEPH signed a declaration under penalty of perjury representing that he had the
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`authority to file said petition on behalf of Springs Medical.
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`68. On or about October 29, 2020 and on or about October 30, 2020, over six
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`months after his termination from Springs Medical, unbeknownst to Springs Medical and
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`Individual 1 and without authorization, FRANCIS F. JOSEPH opened the Other Unofficial
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`Springs Medical Accounts at Bank 3 in the name of Springs Medical with himself as the
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`sole signatory.
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`69. On or about November 5, 2020, FRANCIS F. JOSEPH submitted a request
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`Case 1:21-cr-00083-RM Document 1 Filed 03/17/21 USDC Colorado Page 18 of 20
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`to Novitas to change the bank account information for receipt of Medicare payments from
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`the Official Springs Medical Account to one of the Other Unofficial Springs Medical
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`Accounts, ending in x1462. In the same request, FRANCIS F. JOSEPH represented that
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`he was the sole owner and authorized official for Springs Medical. Following the request,
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`on or about November 19, 2020, Novitas issued a Medicare payment for Springs Medical
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`in the amount of approximately $241,774.85 to the Other Unofficial Springs Medical
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`Account ending in x1462.
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`In violation of Title 18, United States Code, Sections 152(3).
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`NOTICE OF FORFEITURE
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`70. Paragraphs 1 through 69 of this Indictment are incorporated herein by
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`reference as factual allegations for the purpose of alleging forfeiture pursuant to the
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`provisions of Title 18, United States Code, Sections 981(a)(1)(C), 982(a)(2) and 982(a)(7)
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`and Title 28, United States Code, Section 2461(c).
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`71. Upon conviction of Title 18, United States Code, Section 669, the offense
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`alleged in Count 1 of this Indictment, defendant FRANCIS F. JOSEPH shall forfeit to the
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`United States, pursuant to Title 18, United States Code, Section 982(a)(7), any and all of
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`the defendant’s right, title, and interest in all property constituting and derived from any
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`proceeds the defendant obtained directly or indirectly as a result of such offense,
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`including, but not limited to a money judgment in the amount of the proceeds obtained by
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`the defendant.
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`72. Upon conviction of Title 18, United States Code, Section 641, the offense
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`alleged in Count 2 of this Indictment, and Title 18, United States Code, Section 152(3),
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`18
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`Case 1:21-cr-00083-RM Document 1 Filed 03/17/21 USDC Colorado Page 19 of 20
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`the offense alleged in Count 4 of this Indictment, defendant FRANCIS F. JOSEPH shall
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`forfeit to the United States, pursuant to Title 18, United States Code, Section 981(a)(1)(C),
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`and Title 28, United States Code, Section 2461(c) any and all of the defendant’s right,
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`title, and interest in all property constituting and derived from any proceeds the defendant
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`obtained directly or indirectly as a result of such offenses, including, but not limited to a
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`money judgment in the amount of the proceeds obtained by the defendant.
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`73. Upon conviction of Title 18, United States Code, Section 1343, the offense
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`alleged in Count 3 of this Indictment, defendant FRANCIS F. JOSEPH shall forfeit to the
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`United States, pursuant to Title 18, United States Code, Section 982(a)(2), any and all of
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`the defendant’s right, title, and interest in all property constituting and derived from any
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`proceeds the defendant obtained directly or indirectly as a result of such offense,
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`including, but not limited to a money judgment in the amount of the proceeds obtained by
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`the defendant. If any of the above-described forfeitable property, because of any act or
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`omission of the defendant:
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`a.
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`b.
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`c.
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`d.
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`e.
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`cannot be located upon the exercise of due diligence;
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`has been transferred or sold to, or deposited with, a third party;
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`has been placed beyond the jurisdiction of the Court;
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`has been substantially diminished in value; or
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`has been commingled with other property which cannot be divided
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`without difficulty;
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`it is the intent of the United States, pursuant to 21 U.S.C. § 853(p) as incorporated by 18
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`U.S.C. § 982(b), to seek forfeiture of any other property of the defendant up to the value
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`19
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`Case 1:21-cr-00083-RM Document 1 Filed 03/17/21 USDC Colorado Page 20 of 20
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`of the forfeitable property described above.
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`A TRUE BILL
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`Ink signature on file in Clerk’s Office
`GRAND JURY FOREPERSON
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`UNITED STATES OF AMERICA, by
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`NICHOLAS L. MCQUAID
`ACTING ASSISTANT ATTORNEY GENERAL