THE STATE OF WASHINGTON TO: DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION
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1 STATE OF WASHINGTON DEPARTMENT OF FINANCIAL INSTITUTIONS SECURITIES DIVISION IN THE MATTER OF DETERMINING whether there has been a violation of the Securities Act of Washington by: CHARLES MCSWAIN; BILLIE S CASINO INVESTMENT LLC, THE STATE OF WASHINGTON TO: Respondents. Order Number S-0-0--CO01 CONSENT ORDER Charles McSwain Billie s Casino Investment LLC INTRODUCTION Pursuant to the Securities Act of Washington, RCW., the and Respondents, Charles McSwain and Billie s Casino Investment LLC, do hereby enter into this Consent Order in settlement of the matters alleged herein. Respondents neither admit nor deny the Findings of Fact and Conclusions of Law stated below. FINDINGS OF FACT Respondents 1. Charles McSwain ( McSwain ) is an individual residing in Olympia, Washington. McSwain is a CPA and is one of several owners of an accounting firm. McSwain acted as the managing member of Billie s Casino Investment LLC and of Billie s Casino LLC.. Billie s Casino Investment LLC ( BCI ) is a Washington limited liability company created to fund a mini-casino called Billie s Casino in Renton, Washington. BCI was formed on September, 0 and dissolved on January, 0. BCI owned 0% of Billie s Casino LLC, the entity which CONSENT ORDER 1 DEPARTMENT OF FINANCIAL INSTITUTIONS
2 operated the mini-casino. The landlord of the mini-casino owned the remaining 0% of Billie s Casino LLC. Nature of the Conduct Sale of B Units. Beginning in 0, Charles McSwain and Patrick Casady ( Casady ), an employee at McSwain s accounting firm, offered and sold an opportunity to invest in Billie s Casino Investment LLC ( BCI ). BCI was raising funds in order to open a mini-casino called Billie s Casino in Renton, Washington. A mini-casino is a state-licensed card room which is subject to limitations on the number of gaming tables allowed per casino and the amounts that can be bet per table.. At least Washington residents invested at least $1,, in BCI. This included $0,000 from the sale of A units; $1,000,000 from the sale of B units; $0,000 from the sale of C units; and at least $, in cash call contributions.. McSwain and/or Casady approached individuals to invest in BCI. Most of these individuals were clients of McSwain or Casady at McSwain s accounting firm.. McSwain and Casady presented a PowerPoint presentation to potential investors. The PowerPoint explained that BCI was conducting a $1,0,000 offering of class B units to fund the opening of Billie s Casino. Investors would receive a proportionate share of profits for five years. At the end of five years, BCI would return investors principal plus a 0% bonus. B unit holders would hold no management roles and would not be allowed to remain as members of BCI after the initial five-year period expired.. The PowerPoint contained projections for investor returns based on the revenues of other minicasinos in Washington. In addition, the PowerPoint included projections in the event that a law passed CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
3 permitting slot machines in mini-casinos. McSwain and BCI failed to provide reasonable basis for the projections for Billie s Casino.. Casady represented to some investors that the investment in BCI was a good investment that was not risky. In addition, Casady told some investors that he was investing in BCI himself. However, this statement was misleading. According to McSwain, Casady planned to invest the fee he received for finding investors but did not have funds to invest in BCI otherwise. BCI paid a $,000 fee to Casady out of investor funds. Casady died shortly after receiving the $,000 fee from BCI, and subsequently never invested in BCI. Investors were not told that Casady would be paid a fee from their funds, nor were they told that Casady s investment in BCI would be limited to his reinvestment of the fee.. Casady and/or McSwain told investors that that no additional casinos would be built in Renton after Billie s Casino. This statement was misleading because a mini-casino subsequently was built on an existing bingo hall site in Renton one mile down the street from Billie s Casino. When it opened in 0, this mini-casino became a competitor to Billie s Casino.. McSwain, Casady, and/or BCI failed to provide an offering memorandum or prospectus concerning the investment in BCI. Instead, investors received a copy of BCI s LLC Agreement and a Unit Purchase Agreement. The LLC Agreement and Unit Purchase Agreement did not adequately disclose material information about BCI, including but not limited to financial statements, the background of the principals, and the specific risks of investing in a mini-casino.. The Unit Purchase Agreement contained an Addendum for investors to sign if they were accredited investors. Not all investors signed the Addendum, and at least some of the investors in BCI were neither accredited nor sophisticated investors. McSwain s accounting firm did not maintain records which would allow McSwain to determine the net worth or investing experience of the investors. CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
4 . In order to comply with state casino licensing requirements, BCI investors submitted financial documentation to the Washington State Gambling Commission. Neither McSwain nor BCI reviewed the documents for substance, and the documents did not provide information on the investment experience, risk tolerance, or investment objectives of the investors. Documents submitted to the Gambling Commission reveal that at least seven investors borrowed funds to invest in BCI. Sale of A Units. McSwain initially contributed $0,000 to BCI in exchange for 1,000 A units. The A units contained the management powers for BCI. After the opening of Billie s Casino in 0, McSwain sold. of his A units for a total of $0,000 to two B unit investors. According to McSwain, the value of the A units had increased because the casino was now open, even though it had not yet turned a profit. McSwain contributed the proceeds from the sale to Billie s Casino, which was booked as a loan to BCI from himself. McSwain maintained a majority of the A units and the new A unit investors did not participate in the day-to-day operations of Billie s Casino. BCI and McSwain failed to disclose to the other B unit investors that the A units were offered for sale to certain investors. BCI and McSwain further failed to provide the B unit investors with background information on the A unit investors, and failed to clarify what management roles, if any, the A unit investors would hold. Cash Call. On November, 0, McSwain determined that Billie s Casino needed additional funds to support its operations. BCI submitted a $0,000 pro-rata cash call to investors under a provision of the LLC Agreement. Not all investors understood that they could be required to put additional funds into BCI, and not all investors had funds to contribute to the cash call. McSwain individually contributed $,.0 to the cash call by recharacterizing the loan of the proceeds from his sale of the A units as a CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
5 capital contribution. Approximately $, was raised in the cash call from other investors. Because not all investors contributed, the contributions were booked as loans. Sale of C Units. On or around March 1, 0, McSwain sent a letter to investors stating that Billie s Casino was making money. McSwain failed to disclose that the rent for Billie s Casino s location was about to reset to an unfavorable rate which would impact profitability.. In the same letter, McSwain took the opportunity to solicit BCI investors to invest in another new casino he was forming. Prior to their investment in BCI, McSwain failed to disclose to investors that he might be involved in additional casino business ventures. McSwain further failed to disclose how much of his time he would allocate to the management of BCI versus other casinos.. On or around June, 0, Billie s Casino conducted an offering of C units to existing investors in order to raise additional funds for operations. The C units differed from B units in that investors could remain as members for more than years. Investors could purchase C units with new funds, or convert B units to C units by paying a % conversion fee. Approximately three investors invested at least $0,000 in new funds in C units. At the time of the offer and sale of the C units, no financial statements or additional disclosure documents were provided to investors.. Despite the additional capital, Billie s Casino went out of business in 0 and investors lost their funds. Settlement Agreement. On or around August, 0, ten investors in Billie s Casino entered into a settlement agreement with McSwain s accounting firm to settle claims from a civil lawsuit regarding their investments. CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
6 Registration Status. Billie s Casino Investment LLC is not currently registered to sell its securities in the State of Washington and has not previously been so registered.. Charles McSwain is not currently registered as a securities salesperson or broker-dealer in the State of Washington and has not previously been so registered. Based upon the above Tentative Findings of Fact, the following Conclusions of Law are made: CONCLUSIONS OF LAW 1. The offer or sale of the investments described above constitutes the offer or sale of a security as defined in RCW..00() and ().. The offer and sale of said securities was made in violation of RCW..0, because no registration was on file with the Securities Administrator.. Charles McSwain violated RCW..00, the section of the Securities Act requiring registration of securities salespersons, because he offered and/or sold securities while not registered as securities salesperson in the State of Washington.. The offer or sale of said securities was made in violation of RCW..0 because, as set forth in the Tentative Findings of Fact, Respondents Charles McSwain and Billie s Casino Investment LLC, in connection with the offer or sale of said securities, directly or indirectly made misstatements of material fact or omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
7 CONSENT ORDER Based upon the foregoing and finding it in the public interest: IT IS AGREED AND ORDERED that Respondents, Charles McSwain and Billie s Casino Investment LLC, and their agents and employees, each shall cease and desist from offering or selling securities in violation of RCW..0, the securities registration section of the Securities Act of Washington. IT IS FURTHER AGREED AND ORDERED that Respondent Charles McSwain, and his agents and employees, each shall cease and desist from offering or selling securities in violation of RCW..00, the provision of the Securities Act of Washington requiring registration of securities salespersons. IT IS FURTHER AGREED AND ORDERED that Respondents, Charles McSwain and Billie s Casino Investment LLC, and their agents and employees, each shall cease and desist from violating RCW..0, the anti-fraud section of the Securities Act of Washington. IT IS FURTHER AGREED AND ORDERED that Respondent Charles McSwain shall be liable for and pay a fine in the amount of five thousand dollars ($,000) before the entry of this Consent Order. IT IS FURTHER AGREED that the has jurisdiction to enter this Order. IT IS FURTHER AGREED that in consideration of the foregoing Respondents Charles McSwain and Billie s Casino Investment LLC waive their rights to a hearing in this matter and judicial review of this order. // // // CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
8 SIGNED this th day of August,. Approved for Entry by: _/s/ Marlo De Lange, Attorney for Respondents Washington State Bar Association #00 Signed by: _/s/ Charles McSwain, individually Signed by: Billie s Casino Investment LLC By_/s/ Charles McSwain, Managing Member SIGNED and ENTERED this th day of August,. Approved by: WILLIAM M. BEATTY Securities Administrator Presented by: Suzanne Sarason Chief of Enforcement Jill M. Vallely Enforcement Attorney CONSENT ORDER DEPARTMENT OF FINANCIAL INSTITUTIONS
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