Case 4:09-cv A Document 1 Filed 05/11/2009 Page 1 of 10

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1 SECURITIES AN v. ORIGINAL.fILt:O. U,S. OLSTRICTS9)~rc,{v NORTHt8ti,9 1S t. '" I i\ Case 4:09-cv A Document 1 Filed 05/11/2009 Page 1 of 10 IN THE UNITED STATES DISTRICT COllTRl'tJ'i( In FOR THE NORTHERN DISTRICT OF \~M~v I \ ~t.l FORT WORTH DIVISION: luu, tla I I 1\1 EXCHANGE COMMISSION, Plaintiff, KISELAK CAPIT L GROUP, LLC, GEMSTAR CAPIT L GROUP, INC., MICHAEL J. KIS LAK, and JEFFREY J. SYKES, Defendants q P 03 ",~O.M:l?L:rAI'N f""';''"'"'''''''''''''''~ Civ. No.: ~4 09CV-256-A Plaintiff Sec ities and Exchange Commission alleges: BACKGROUND 1. From approximately June 2007 to the present, Michael J. Kiselak solicited investments in Kisel k Capital Group, LLC ("KCG"). Kiselak raised at least $24 million from 14 investors by pro ising high returns and misrepresenting how investor funds would be invested. For examp e, Kiselak told investors that KCG made a 2.25% per month profit trading treasury bills. In fa t, Kiselak invested all investor funds in Gemstar Capital Group, Inc., a California-based pri ate equity and venture capital fund. In addition, Kiselak failed to disclose to investors that KC took a 35% performance fee on all trading profits. 2. In Ap il 2009, Kiselak requested that Gemstar provide brokerage statements substantiating the val e ofkcg's investments. Gemstar, through its president, Jeffrey J. Sykes, produced to Kiselak a brokerage statement showing that Gemstar, as of March 31, 2009, had over $23 million in s gregated accounts for the benefit ofkcg. Sykes fabricated this document. As of March 31, 20 9, Gemstarhad only $20 million in its brokerage accounts. And these

2 monies were not se regated for the benefit of KCG investors. Case 4:09-cv A Document 1 Filed 05/11/2009 Page 2 of 10 sign, or send the abo e-referenced account statement to Gemstar or Sykes. WBB Securities did not draft, 3. By co duct detailed in this Complaint, Defendants violated Section 17(a) of the Securities Act of 193 ("Securities Act") [15 U.S.C. 77q(a)] and Section loeb) ofthe Securities Exchange Act of 19 4 ("Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 thereunder [17 C.F.R b-5]. Unless enjoined, Defendants are likely to commit such violations again. JURISDICTION AND VENUE 4. The ourt has jurisdiction over this action under Section 22(a) of the Securities Act [15 U.S.C. 77v a)] and Section 27 ofthe Exchange Act [15 U.S.C. 78aa]. 5. Defen ants, directly or indirectly, used the means or instruments of interstate commerce, the mail, or the facilities of a national securities exchange in connection with the acts described herein 6. is proper under Section 22(a) of the Securities Act [15 U.S.C. 77v(a)] and Section 27 ofth Exchange Act [15 U.S.C. 78aa] because certain ofthe transactions, acts, practices, and course ofbusiness occurred within this judicial district. DEFENDANTS 7. Kisel Capital Group, LLC, is a limited liability company organized in 2007 under the laws of testate of Texas. Its registered principal place of business is Kiselak's residence in Westlak,Texas. KCG is not registered withthe Commission. 8. Gems ar Capital Group, Inc., is a corporation organized in 2003 under the laws of the state of Nevada Its principal place of business is 19 E. Citrus, Suite 301, Redlands, California G mstar is not registered with the Commission. 2

3 Case 4:09-cv A Document 1 Filed 05/11/2009 Page 3 of Micha I J. Kiselak (CRD# ), age 42, ofwestlake, Texas, is the principal of KCG. Kiselak is a former NFL player, and played for the Dallas Cowboys from 1998 to He is not c ently affiliated with a registered broker-dealer or investment adviser. He currently holds a seri s 7 license that was termed in 2006, and has no known disciplinary history. 10. J. Sykes, age 51, of Redlands, California, is the president of Gemstar. He does not hold any se ities licenses. STATEMENT OF FACTS A. 11. In or round June 2007, Kiselak formed KCG and began soliciting funds from investors. Kiselak m keted the investment as a "friends and family" fund. 12. offering documents and communications with investors, Kiselak (i) K G investor funds are invested with a portfolio manager that "developed a program where he traded the 30-year T-Bill at Ins itutionallwholesale levels, also known as agency to agency transactions. [T e manager] left to go on his own as an independent Proprietary Trader. [T e manager's] reputation allowed him to gain clients quickly and over the eleven 11 years, has grown his portfolio to over $1.5 billion;" (ii) investment is "managed through KCG in conjunction with two AA rated cial institutions in New York City. These 'Wholesale/Institutional' tr sactions are, at all times, overseen by the professional management of hig ly experienced financial experts, who provide KCG with information as to 3

4 the gains achieved on a regular basis. The transaction is based on the daily Case 4:09-cv A Document 1 Filed 05/11/2009 Page 4 of 10 pu hase and resale ofhigh-grade government securities;" and (iii) "H storically, [KCG's] 10-year 'monthly average' has been better than 2% to the client. [Kiselak's] personal experience is that since I have been involved ov r the past 3 years, [KCG has] done a little better: averaging more than B. KCG's Inves or Funds Were Not Invested As Represented 13. Kisel and KCG invested over 95% ofthe investor funds with Gemstar, a private equity and capital company. Gemstar invested in a variety of venture capital investments, includi vineyards, a private jet, and other private investments. 14. Until allocated to a particular private equity or venture capital investment, Gemstar maintains i vestors' funds, including KCG's investments, in money market funds and capital reserve subac ounts. 15. Contr ry to Kiselak's offering documents and communications with investors, KCG investor funds were not invested in T-bills or managed in conjunction with New Yorkbased financial instit tions. C. KCG Failed 0 Disclose Its 35% Performance Fee 16. In Ap il 2009, Gemstar provided KCG with an account statement that showed for the first quarter of 2 09, KCG purportedly earned between 2.89% and 3.77% monthly (which is a total of 9.61 % for t e quarter, or approximately $2.7 million), and that KCG's ending balance, as ofmarch 31, 2009 was $26,566, Using this account statement, Kiselak calculated quarterly returns for KCG's investors and produ ed to them account statements reflecting profits of 6.7% for the quarter 4

5 Case 4:09-cv A Document 1 Filed 05/11/2009 Page 5 of 10 (2.23% per month). he return on investment percentage reflected in KCG's communications to its investors represe ed only 65% of the profit Gemstar purportedly earned investing on behalf of KCG. Kiselak, ithout disclosure to KCG investors, took 35% of the purported Gemstar 18. records do not reflect significant profits from trading. Gemstar invested ap roximately $20 million "on behalf' of KCG investors in money market funds or similar se urities. During the first quarter of 2009, Gemstar's account at WBB Securities earned ap roximately $20,000 or 0.09% on these money market-type investments. And Gemstar's bro erage accounts at Royal Alliance Associates and Hanlon Investment Management, totalin approximately $1.8 million, earned approximately $3,200 for the month of March Gems ar misrepresented to Kiselak that KCG investors earned approximately $2.7 million during the fir t quarter of2009, a 9.6% return on investment. D. Sykes Falsifi d Brokerage Account Information 20. In Ap il 2009, Kiselak requested supporting documentation from Gemstar/Sykes for the March 31, 20 9 KCG account statement. In response, Sykes sent to Kiselak a letter that he purportedly recei ed from WBB Securities, Gemstar's broker-dealer, showing that Gemstar's accounts at WBB Se urities held $23,462, as ofmarch 31, 2009, and that all ofthe money was held "on behalf' ofkcg. 21. WBB Securities did not draft, sign, or send the above-referenced letter. Instead, WBB Securities sent an April 23, 2009 letter to Sykes, indicating that a Gemstar account held $20,462, as 0 March 31, exactly $3 million less than the amount represented in the letter Sykes provi ed to Kiselak. 5

6 Case 4:09-cv A Document 1 Filed 05/11/2009 Page 6 of The BB Securities' letter did not indicate that the funds were held "on behalf' ofanyone, including CG. 23. After eceiving the forged letterfrom Sykes, KCG reinvested ingemstar. E. Recent deple ion ofbrokerage Account Funds 24. On A ril 21, 2009, Gemstar, at Sykes direction, transferred approximately $759,570 from its a counts at WBB Securities to KCG. On May 7, 2009, Gemstar, at Sykes direction, transferre approximately $220,000 from its accounts at WBB Securities to KCG leaving, as ofmay 7, 2009, approximately $19 million under the control ofgemstar and Sykes at brokerage accounts a WBB Securities as ofmay 7, Gems ar and Sykes have been unable to account for at least $7 million of KCG investor funds. FIRST CLAIM FRAUD IN CO NECTION WITH THE PURCHASE OR SALE OF SECURITIES Violation ofexchange Act Section loeb) and Exchange Act Rule IOb-S 26. The C mmission realleges paragraphs 1 through Defen ants, with scienter, by use of the means or instrumentalities of interstate commerce or of the ails, in connection with the purchase or sale of securities: (i) employed devices, schemes, 0 artifices to defraud; (ii) made untrue statements of material fact or omissions to state m terial facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and/or (iii) engaged in acts, practices or courses f business that operated or would operate asa fraud or deceit. 28. Defen ants representations and omissions were material. 29. By re son of the actions alleged herein, Defendants violated Section 1O(b) of the Securities Exchange ct of 1934 [15 U.S.C. 78j(b)] and Exchange Act Rule 10b-5 [17 C.F.R. 6

7 Case 4:09-cv A Document 1 Filed 05/11/2009 Page 7 of b-5]. SECOND CLAIM UD IN THE OFFER OR SALE OF SECURITIES Violations of Section 17(a) ofthe Securities Act 30. mmission realleges paragraphs 1 through Defen ants, with scienter, by use of the means or instrumentalities of interstate commerce or of the ails, in the offer or sale of securities: (i) employed devices, schemes or artifices to defraud; fact or omissions to ii) obtained money or property by means of untrue statements of material ate material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and/or (iii) engaged in acts, practices or courses f business which operated or would operate as a fraud or deceit upon the purchasers ofthe sec rities offered and sold by Defendants. 32. By re son of the actions alleged herein, Defendants violated Section 17(a) of the Securities Act [15 U. REQUEST FOR RELIEF For these reas ns, the Commission respectfully requests that the Court enter a judgment: (i) findin that Defendants violated the antifraud provisions ofthe federal securities laws as alleged herei (ii) perm ently enjoining Defendants from violating Section 17(a) ofthe Securities Act [15 U.S.C. 77q a)] and Section 10(b) ofthe Exchange Act [15 U.S.C. 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. 240.lOb-5]; (iii) orderi g Defendants to disgorge the losses avoided as a result ofthe actions alleged herein and to ay prejudgment interest thereon; 7

8 Case 4:09-cv A Document 1 Filed 05/11/2009 Page 8 of 10 (iv) orderi g Defendants to a pay civil monetary penalty under Section 20(d) ofthe Securities Act [15 U..C. 77t(d)] and Section 21(d) ofthe Exchange Act [15 U.S.C. 78u(d)]; and (v) granti g such other relief as this Court may deem just and proper. Respectfully submitted, ~Texas Bar No J. KEVIN EDMUNDSON Texas Bar No MICHAEL D. KING Texas Bar No STEVE GRAHAM Texas Bar No u.s. Securities and Exchange Commission Burnett Plaza, Suite Cherry Street, Unit #18 Fort Worth, TX (817) (tmg) (817) (fax) 8

9 .. JS 44 (Rev. 3/99) ~-r-s OiQtGINAL Case 4:09-cv A Document 1 Filed 05/11/2009 Page 9 of 10 RECEtVE:~ ~ CIVIL COVER SHEET U.S,;. DISTRICT OfilURT 'iii The JS-44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service ofpleading~re11. Tity law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is requi e. k of Court for the purpose ofinitiating the civil docket sheet. (SE INSTRUCTIONS ON THE REVERSE OF THE FORM.) I.(a) PLAINTIFF DEFENDANTS SECURITIES AND EXCI ANGE COMMISSION 2009 HAY II AM 11: 0I Kiselak Capital Group, ~~~SIY ~tjitw«roup, Inc., Michael J. Kiselak, and e rey J. Sykes CV A (b) COUNTY OF RESIDENCE OF FIRST LISTED P ~INTIFF County of Residence of First Listed Defendant: Tarrant (EXCEPT IN U.S. PLAINTIFF ASES) (IN U.S. PLAINTIFF CASES ONLV) NOTE: IN LAND CONDEMNATION CASES, USE THE LOCATION OF THE TRACT OF LAND INVOLVED. (C)ATIORNEV (FIRM NAME, ADDRESS, AND ELEPHONE NUMBER) ATIORNEYS (If known): TOBY M. GALLOWAY David B. Giles U.S. Securities & Exchange Commission, Bum( t Plaza, Ste. 1900, 8140 Walnut Hill Lane, Suite Cherry Street, Unit #18, Fort Worth, TX 7t Dallas, Texas (817) (counsel for Kiselak Capital Group, LLC and Michael Kiselak) H. Thomas Fehn Fields, Fehn & Sherwin Wilshire Boulevard, 15 th Floor Los Angeles, California (counsel for Gemstar Capital Group, Inc. and Jeffrey 1. Sykes) II. BASIS OF JURISDICTION (PLACE A "X" IN ONE BOX ONLY) III. CITIZENSHIP OF PRINCIPAL PARTIES DEFENDANT) (For Diversity Cases Only) PTF PTF PTF PTF (PLACE AN "X" IN ONE BOX FOR PLAINTIFF AND ONE BOX FOR 1811 U.S. Government o 3 Federal Ques ion Citizen ofthis State Incorporated or Principal Place Plaintiff (U.S. Governn ent Not a Party) of Business In This State o 2 U.S. Government o 4 Diversity Citizen of Another State Incorporated and Principal Place Defendant (Indicate Citiz nship of Parties Citizen or Subject of a of Business in Another State in Item III) Foreign Country Foreign Nation IV. NATURE OF SUIT (PLACE AN 'X" /~ ONE BOX ONL Y) CONTRACT TORTS FORFEITURE/PENALTY BANKRUPTCY OTHER STATUTES 110 Insurance PERSONAL INJ ~RY PERSONAL INJURY 610 Agriculture 400 State Reapprotionment 120Marine 0310 Airplane o 362 Personal Injury Other Food & Drug o 422 Appeal 28 USC Antitrust 130 Miller Act o 315 Airplane roduct Med. Malpractice o 625 Drug Related Seizure of 430 Banks and Banking 140 Negotiable Instrument Liability o 365 Personal Injury - Property 21 USC 881 o 423 Withdrawal o 450 Commerce/ICC o 150 Recovery of o 320 Assault, Li el& Product Liability o 630 Liquor Laws 28 USC 157 Rates/etc. Overpayment Slander o 460 Deportation & Enforcement of Judgment o 151 Medicare Act o 330 Federal E j'lployers' o 368 Asbestos Personal o 640 R.R. & Truck PROPERTY RIGHTS o 470 Racketeer Influenced Liability Injury Product Liability and Corrupt Organizations o 152 Recovery of Defaulted 0340 Marine PERSONAL PROPERTY o 650 Airline Regs. o 820 Copy rights o 810 Selective Service Student Loans (Excl. Veterans) o 345 Marine Pro~uct o 370 Other Fraud o 660 Occupational Safety/Health o 830 Patient Securities Liability o 371 Truth in Lending o 690 Other o 840 Trademark Commodities/ Exchange o 153 Recovery OF o 350 Motor Vehi Ie o 380 Other Personal LABOR SOCIAL SECURITY o 875 Customer Challenge Overpayment Property Damage 12 USC 3410 of Veteran's Benefits 160 Stockholders' Suits o 355 Motor Vehi Ie o 385 Property Damage 0710 Fair Labor Standards Act 861 HIA (1395FF) 891 Agricultural Acts 190 Other Contract Product Liabi ity Product Liability o 862 Black Lung (923) o 892 Economic Stabilization o 195 Contract Product Liability o 360 Other Pers nal o 720 Labor/Mgmt. Relations 0863 DIWCIDIWW (405(g)) Act Iniury REAL PROPERTY CIVIL RIGHTS PRISONER PETITIONS o 730 Labor/Mgmt. Reporting & o 864 SSID Title XVI 893 Environmental Matters Disclosure Act 0865 RSI (405(0)) o 894 Energy Allocation Act o 210 Land Condemnation 0441 Voting o 510 Motions to Vacate o 740 Railway Labor Act FEDERAL TAX SUITS 0895 Freedom of Sentence Information Act 220 Foreclosure 442 Employmen Habeas Corpus: o 790 Other Labor Litigation o 870 Taxes (U.S. Plaintiff or o 900 Appeal of Fee 230 Rent Lease & Ejectment o 443 Housing/ 530 General Defendant) Determination Under 240 Torts to Land Accommod tions 535 Death Penalty o 791 Empl. Ret. Inc. o 871 IRS - Third Party Equal Access to Justice 245 Tort Product Liability 444 Welfare 540 Mandamus & Other Security Act 26 USC 7609 o 950 Constitutionality of o 290 All Other Real Property o 440 Other Civil Rights o 550 Civil Rights State Statutes V. ORIGIN (PLACE AN "X" IN ONE BOXONLY) 1811 Original o 2Re ovedfrom o 3 Remanded from o 4 Reinstated or Proceeding Sta " Court Appellate Court Reopened Sections 17(a) and 10(b) of the Securities A t of 1933, [15 U.S.C. 77q(a) and 78j(b)] and Rule 10b-5 thereunder [17 C.F.R b-5]. o 890 Other Statutory Actions VII. REQUESTED IN CHECK IF THIS IS A CLASS ACTION DEMAND $ CHECK YES only if demanded in complaint: COMPLAINT: 0 UNDER.R.C.P.23 JURY DEMAND 0 YES 181 NO 26 USC 7609 VIII. RELATED CASE(S) (See Instructipns): IF ANY JUDGE DOCKET NUMBER

10 t DATE Case 4:09-cv A SIG OF ATTORNEY Document OF RECORG----r--::#--_._ 1 Filed 05/11/2009 Page 10 of 10 FOR OFFICE US Receipt # AMOUNT --1 APPLYING IFP JUDGE MAG. JUDGE _

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