Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 1 of 5 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA

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1 Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 1 of 5 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA CASE NO CR-ZLOCH UNITED STATES OF AMERICA, v. Plaintiff, BRADLEY BIRKENFELD, Defendant. / BRADLEY BIRKENFELD S AGREED MOTION TO PERMIT BRIEF INTERNATIONAL TRAVEL TO PROVIDE TESTIMONY IN FRENCH LAW ENFORCEMENT PROCEEDING Defendant Bradley Birkenfeld respectfully files this Agreed Motion to Permit Brief International Travel to Provide Testimony in French Law Enforcement Proceeding. Discussion On February 3, 2015, Mr. Birkenfeld received a subpoena to appear before French Magistrate Judge Guillaume Daieff in Paris, France on February 27, See Exhibit A (Formal Request and English translation notarized with apostille). Judge Daieff is leading the French law enforcement investigation into the activities of UBS, Mr. Birkenfeld s former employer. See Exhibit B (publicly available article regarding French investigation). The subpoena commands Mr. Birkenfeld to assist the investigation by appearing before him to provide testimony in his chambers in the Tribunal de Grande Instance (District Court). Through French counsel, Mr. Birkenfeld has also been asked to provide documentary evidence. The United States Department of Justice has confirmed the French authorities interest in Gelber Schachter & Greenberg, P.A Brickell Avenue Suite 1420 Miami, Florida

2 Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 2 of 5 CASE NO CR-ZLOCH obtaining Mr. Birkenfeld s testimony. Accordingly, Attorney Mark F. Daly of the Department of Justice has authorized undersigned counsel to advise the Court that the United States assents to the relief sought herein. Because Mr. Birkenfeld remains on supervised release until November 2015, he requires Court approval to travel to Paris, France for an estimated four days arriving on February 25 and returning on March 1 in order to testify and assist the French investigation. This schedule would allow sufficient time for Mr. Birkenfeld to meet with his French attorney in advance of the court appearance and provide the necessary testimony before coming back to the United States. Although the Court has recently denied Mr. Birkenfeld s motion to terminate or modify his supervised release (D.E. #99, #101), this Motion to Permit International Travel does not seek to alter any conditions other than to allow this brief trip overseas to assist a law enforcement investigation. While abroad, Mr. Birkenfeld would comply with all conditions imposed by the Court or the United States Probation Office, including reporting obligations and any other restrictions. Upon return, Mr. Birkenfeld would resume supervision on the precise conditions now in place and continue to comply with those conditions until his release term ends. Mr. Birkenfeld s assigned United States Probation Officer, Scott Christensen, has advised that the Probation Office takes no position on this request for international travel. Conference with Opposing Counsel As set forth above, on February 13, 2015, Attorney Mark F. Daly of the United States Department of Justice advised undersigned counsel that the United States agrees to the relief sought herein. 2 Gelber Schachter & Greenberg, P.A Brickell Avenue Suite 1420 Miami, Florida

3 Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 3 of 5 CASE NO CR-ZLOCH Conclusion For the reasons set forth above, Bradley Birkenfeld respectfully requests that this Court grant this Agreed Motion to Permit Brief International Travel to Provide Testimony in French Law Enforcement Proceeding. A proposed order is attached hereto as Exhibit C. Dated: February 13, 2015 Respectfully submitted, /s/gerald E. Greenberg GERALD E. GREENBERG Florida Bar No ggreenberg@gsgpa.com DAN GELBER Florida Bar No dan@gsgpa.com GELBER SCHACHTER & GREENBERG, P.A Brickell Avenue Suite 1420 Miami, Florida Telephone: (305) Facsimile: (305) Counsel for Defendant Bradley Birkenfeld 3 Gelber Schachter & Greenberg, P.A Brickell Avenue Suite 1420 Miami, Florida

4 Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 4 of 5 CASE NO CR-ZLOCH CERTIFICATE OF SERVICE I HEREBY CERTIFY that on this 13 th day of February 2015, a true and correct copy of the foregoing is being electronically filed with the Clerk of the Court using the CM/ECF filing system. I also certify that the foregoing document is being served this date on all counsel of record or pro se parties on the attached Service List in the manner specified, either via transmission of Notices of Electronic Filing generated by the CM/ECF system or in some other authorized manner for those counsel or parties who are not authorized to receive electronically Notices of Electronic Filing. /s/gerald E. Greenberg GERALD E. GREENBERG 4 Gelber Schachter & Greenberg, P.A Brickell Avenue Suite 1420 Miami, Florida

5 Case 0:08-cr WJZ Document 104 Entered on FLSD Docket 02/13/2015 Page 5 of 5 CASE NO CR-ZLOCH Mark F. Daly US Department of Justice Tax Division 601 D. Street NW Room 7334 Washington, DC Telephone (202) Facsimile: (202) mark.f.daly@usdoj.gov Attorney for United States of America SERVICE LIST 5 Gelber Schachter & Greenberg, P.A Brickell Avenue Suite 1420 Miami, Florida

6 Case 0:08-cr WJZ Document Entered on FLSD Docket 02/13/2015 Page 1 of 11 EXHIBIT A

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17 Case 0:08-cr WJZ Document Entered on FLSD Docket 02/13/2015 Page 1 of 3 EXHIBIT B

18 Case 0:08-cr WJZ Document Entered on FLSD Docket 02/13/2015 Page 2 of 3 UBS Loses Court Appeal of $1.4 Billion French Bail Demand Don't Miss Out Follow us on: by Jeffrey VoegeliGregory Viscusi 1:17 PM EDT September 22, 2014 Sept. 22 (Bloomberg) -- UBS AG, Switzerland s biggest bank, must pay a 1.1 billion-euro ($1.4 billion) security deposit required by French investigators, a Paris court ruled. The appeals court today upheld the bond request, made in July to cover a potential criminal penalty for alleged money laundering, a court official said. Under the original order, the payment was due by the end of this month. A further appeal would push back the deadline, the same official said. UBS is very disappointed at the decision, the Zurich-based bank said in an ed statement, adding it will appeal the ruling. It will also fight the underlying investigation, it said. French President Francois Hollande has increased efforts to crack down on tax fraud since his former budget minister, Jerome Cahuzac, was forced to resign after his secret Swiss account was exposed. UBS, in its statement, denounced the investigation as a highly politicized process that hasn t followed elementary facets of the rule of law. The French bail order shows a certain distrust toward the bank, said Dieter Hein, a banking analyst at Fairesearch GmbH in Kronberg, Germany. This seems to be a political statement; they want to send a message. UBS shares fell 1.5 percent to Swiss francs in Zurich, bringing the decline this year to 3.3 percent. No Sense Investigative judges in Paris, led by Guillaume Daieff, demanded the deposit after settlement talks broke down in July when UBS balked at pleading guilty, two people familiar with the events said last week. The French legal system only allows settlements in conjunction with a guilty plea, an admission UBS was concerned might hamper its business in the U.S., according to the people, who asked not to be identified because the circumstances are private. Chief Executive Officer Sergio Ermotti said in a Bloomberg Television interview on July 29 that the bail makes no sense, adding UBS had been in talks for a double-digit million settlement. The UBS case serves as test of France s tougher approach to combating alleged tax fraud. The government forecasts its efforts will yield almost 2 billion euros in back payments and fines from tax dodgers this year and next, not including any UBS penalty, a finance ministry official said.

19 Case 0:08-cr WJZ Document Entered on FLSD Docket 02/13/2015 Page 3 of 3 HSBC Probe French investigators are also looking into whether HSBC Holdings Plc units encouraged tax evasion. No charges have been filed in that case. HSBC had about 3,000 French customers with as much as $5 billion invested at its Swiss unit, according to a July 2013 parliamentary report. Customer data provided in 2008 by Herve Falciani, a former HSBC software technician in Geneva, led to the French probe. France first brought criminal charges against UBS and its French unit in mid-2013, accusing both of illegally soliciting clients in France. The French subsidiary was fined 10 million euros in June of that year by the banking regulator and reprimanded for control lapses that may have enabled some clients to evade taxes. In July, the judges also put UBS under investigation for laundering the proceeds of tax fraud. UBS has been asking clients domiciled in European countries who have a banking relationship in Switzerland to provide documentation showing assets held at the bank comply with tax rules. The head of wealth management, Juerg Zeltner, said this month that most of those outside Italy and Greece will have done so by year-end, according to Finanz und Wirtschaft. Belgium, Germany The bank paid about 300 million euros to the German state of North Rhine-Westphalia this year to settle a probe into whether it helped clients evade taxes, and faces another by authorities in Mannheim. The bank is under investigation in Belgium on suspicion of money laundering and organized crime. The French tax authority is also looking into UBS s dealings, and could make a separate claim at a later stage, three people with knowledge of the situation have said. UBS will challenge the judicial process, including the right to a fair trial, at the European Court of Human Rights, it said in today s statement. The chances to win a case at the European Court of Human Rights are slim, very slim, said Rainer Schweizer, a law professor at University of St. Gallen in Switzerland. The court acceptsabout 2.5 percent of the cases brought from Switzerland, and the success rate is about 1.5 percent, he said. To contact the reporters on this story: Jeffrey Vögeli in Zurich at jvogeli@bloomberg.net; Gregory Viscusi in Paris at gviscusi@bloomberg.net To contact the editors responsible for this story: Heather Smith at hsmith26@bloomberg.net; Elisa Martinuzzi at emartinuzzi@bloomberg.net Frank Connelly Article converted to word from billion-french-bail-demand.