Any party asserting a claim, cross-claim, or counterclaim under the Racketeer Influenced
& Corrupt Organizations Act (“RICO”), 18 U.S.C. § 1961 et seq., shall file and serve a “RICO
Case Statement” under separate cover. This statement shall be filed contemporaneously with the
papers first asserting the party’s RICO claim, cross-claim or counterclaim, unless the Court grants
an extension of time for filing. A party’s failure to file a RICO Case Statement may result in
dismissal of the party’s RICO claim, cross-claim, or counterclaim. The RICO Case Statement
must include those facts upon which the party is relying and which were obtained as a result of
the reasonable inquiry required by Fed. R. Civ. P. 11. In particular, the RICO Case Statement
shall be in a form which uses the letters and numbers as set forth below, and shall state in detail
and with specificity the following information:
(a) State whether the alleged unlawful conduct is in violation of 18 U.S.C. §§ 1962(a), (b), (c),
and/or (d).
(b) List each defendant and state the alleged misconduct and basis of liability of each
defendant.
(c) List the alleged wrongdoers, other than the defendants listed above, and state the alleged
misconduct of each wrongdoer.
(d) List the alleged victims and state how each victim was allegedly injured.
(e) Describe in detail the pattern of racketeering activity or collection of unlawful debts alleged
for each RICO claim. A description of the pattern of racketeering shall include the
following information:
(1) List the alleged predicate acts and the specific statutes which were allegedly
violated;
(2) Provide the dates of the predicate acts, the participants in the predicate acts, and a
description of the facts surrounding the predicate acts;
(3) If the RICO claim is based on the predicate offenses of wire fraud, mail fraud, or
fraud in the sale of securities, the “circumstances constituting fraud or mistake”
shall be stated “with particularity.” Fed. R. Civ. P. 9(b). Identify the time, place
and contents of the alleged misrepresentations, and the identity of persons to
whom and by whom the alleged misrepresentations were made;
(4) State whether there has been a criminal conviction for violation of each predicate
act;
(5) State whether civil litigation has resulted in a judgment in regard to each predicate
act;
(6) Describe how the predicate acts form a “pattern of racketeering activity”; and
(7) State whether the alleged predicate acts relate to each other as part of a common
plan. If so, describe in detail.
(f) Describe in detail the alleged enterprise for each RICO claim. A description of the
enterprise shall include the following information:
(1) State the names of the individuals, partnerships, corporations, associations, or
other legal entities, which allegedly constitute the enterprise;
(2) Describe the structure, purpose, function and course of conduct of the enterprise;
(3) State whether any defendants are employees, officers or directors of the alleged
enterprise;
(4) State whether any defendants are associated with the alleged enterprise;
(5) State whether you are alleging that the defendants are individuals or entities
separate from the alleged enterprise, or that the defendants are the enterprise itself,
or members of the enterprise; and (6) If any defendants are alleged to be the
enterprise itself, or members of the enterprise, explain whether such defendants are
perpetrators, passive instruments, or victims of the alleged racketeering activity.
(g) State and describe in detail whether the pattern of racketeering activity and the enterprise
are separate or have merged into one entity.
(h) Describe the alleged relationship between the activities of the enterprise and the pattern of
racketeering activity. Discuss how the racketeering activity differs from the usual and
daily activities of the enterprise, if at all.
(i) Describe what benefits, if any, the alleged enterprise receives from the alleged pattern of
racketeering.
(j) Describe the effect of the activities of the enterprise on interstate or foreign commerce.
(k) If the complaint alleges a violation of 18 U.S.C. § 1962(a), provide the following
information:
(1) State who received the income derived from the pattern of racketeering activity or
through the collection of an unlawful debt; and
(2) Describe the use of investment of such income.
(l) If the complaint alleges a violation of 18 U.S.C. § 1962(b), describe in detail the acquisition
or maintenance of any interest in or control of the alleged enterprise.
(m) If the complaint alleges a violation of 18 U.S.C. § 1962(c), provide the following
information:
(1) State who is employed or associated with the enterprise; and
(2) State whether the same entity is both the liable “person” and the “enterprise” under
section 1962(c).
(n) If the complaint alleges a violation of 18 U.S.C. § 1962(d), describe in detail the alleged
conspiracy.
(o) Describe the alleged injury to business or property.
(p) Describe the direct causal relationship between the alleged injury and the violation of the
RICO statute.
(q) List the damages sustained for which each defendant is allegedly liable.
(r) List all other federal causes of action, if any, and provide the relevant statute numbers.
(s) List all pendent state claims, if any.
(t) Provide any additional information that would be helpful to the Court in processing your
RICO claim.
