Securities and Exchange Commission v. Nadel et al

Filing 1192

Declaration of M. Yip by Burton W. Wiand re 1190 MOTION for miscellaneous relief, specifically Motion to Overrule Objections to Claims 403, 404, 405, 406, 407, 408, and 477 Notice of Filing Declaration of Maria Yip (Attachments: # 1 Exhibit M. Yip Declaration, # 2 Exhibit Ex. 1 to M. Yip Declaration, # 3 Exhibit Ex. 2 to M. Yip Declaration, # 4 Exhibit Ex. 3 to M. Yip Declaration, # 5 Exhibit Ex. 4 to M. Yip Declaration, # 6 Exhibit Ex. 5 to M. Yip Declaration, # 7 Exhibit Ex. 6 to M. Yip Declaration, # 8 Exhibit Ex. 7 to M. Yip Declaration, # 9 Exhibit Ex. 8 to M. Yip Declaration, # 10 Exhibit Ex. 9 to M. Yip Declaration, # 11 Exhibit Ex. 10-1 to M. Yip Declaration, # 12 Exhibit Ex. 10-2 to M. Yip Declaration, # 13 Exhibit Ex. 11 to M. Yip Declaration, # 14 Exhibit Ex. 12 to M. Yip Declaration, # 15 Exhibit Ex. 13 to M. Yip Declaration, # 16 Exhibit Ex. 14 to M. Yip Declaration, # 17 Exhibit Ex. 15 to M. Yip Declaration, # 18 Exhibit Ex. 16 to M. Yip Declaration, # 19 Exhibit Ex. 17 to M. Yip Declaration, # 20 Exhibit Ex. 18 to M. Yip Declaration, # 21 Exhibit Ex. 19 to M. Yip Declaration, # 22 Exhibit Ex. 20 to M. Yip Declaration, # 23 Exhibit Ex. 21 to M. Yip Declaration, # 24 Exhibit Ex. 22 to M. Yip Declaration, # 25 Exhibit Ex. 23 to M. Yip Declaration, # 26 Exhibit Ex. 24 to M. Yip Declaration, # 27 Exhibit Ex. 25 to M. Yip Declaration, # 28 Exhibit Ex. 26 to M. Yip Declaration, # 29 Exhibit Ex. 27 to M. Yip Declaration, # 30 Exhibit Ex. 28 to M. Yip Declaration, # 31 Exhibit Ex. 29 to M. Yip Declaration, # 32 Exhibit Ex. 30 to M. Yip Declaration, # 33 Exhibit Ex. 31 to M. Yip Declaration, # 34 Exhibit Ex. 32 to M. Yip Declaration, # 35 Exhibit Ex. 33 to M. Yip Declaration, # 36 Exhibit Ex. 34 to M. Yip Declaration, # 37 Exhibit Ex. 35 to M. Yip Declaration, # 38 Exhibit Ex. 36 to M. Yip Declaration, # 39 Exhibit Ex. 37 to M. Yip Declaration, # 40 Exhibit Ex. 38 to M. Yip Declaration, # 41 Exhibit Ex. 39 to M. Yip Declaration, # 42 Exhibit Ex. 40 to M. Yip Declaration, # 43 Exhibit Ex. 41 to M. Yip Declaration, # 44 Exhibit Ex. 42 to M. Yip Declaration, # 45 Exhibit Ex. 43 to M. Yip Declaration, # 46 Exhibit Ex. 44 to M. Yip Declaration, # 47 Exhibit Ex. 45 to M. Yip Declaration, # 48 Exhibit Ex. 46 to M. Yip Declaration, # 49 Exhibit Ex. 47 to M. Yip Declaration, # 50 Exhibit Ex. 48 to M. Yip Declaration, # 51 Exhibit Ex. 49 to M. Yip Declaration, # 52 Exhibit Ex. 50 to M. Yip Declaration, # 53 Exhibit Ex. 51 to M. Yip Declaration, # 54 Exhibit Ex. 52 to M. Yip Declaration, # 55 Exhibit Ex. 53 to M. Yip Declaration, # 56 Exhibit Ex. 54 to M. Yip Declaration, # 57 Exhibit Ex. 55 to M. Yip Declaration, # 58 Exhibit Ex. 56 to M. Yip Declaration, # 59 Exhibit Ex. 57 to M. Yip Declaration, # 60 Exhibit Ex. 58 to M. Yip Declaration, # 61 Exhibit Ex. 59 to M. Yip Declaration, # 62 Exhibit Ex. 60 to M. Yip Declaration, # 63 Exhibit Ex. 61 to M. Yip Declaration)(Morello, Gianluca) Modified on 8/12/2015 (KMM).

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EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Bank of America Viking IRA Fund, LLC 003730047521 Deposit 06/11/01 N/A Neil V. Moody Deposit 100.00 Bank of America Viking IRA Fund, LLC 003730047521 Debit 06/22/01 N/A Bank of America Checks (15.00) Bank of America Viking IRA Fund, LLC 003730047521 Debit 06/30/01 N/A Bank of America Service Charge (0.01) Bank of America Viking IRA Fund, LLC 003730047521 Debit 07/31/01 N/A Bank of America Service Charge (14.67) Bank of America Viking IRA Fund, LLC 003730047521 Wire 08/29/01 N/A Millennium Trust Co. FBO Sharon G. Moody Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 09/07/01 N/A Viking International Fund / Unknown Account Moody, Sharon Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/04/01 N/A Millennium Trust FBO Charles Daukas Deposit 1,232,504.55 Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/05/01 N/A Viking International Fund / Unknown Account Formica (1,232,000.00) Bank of America Viking IRA Fund, LLC 003730047521 Deposit 10/10/01 N/A Deposit 125,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/11/01 N/A Zinman (125,000.00) Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/30/01 N/A First Trust Co. FBO Don Zinman Bank of Bermuda Citibank Millennium Trust FBO Katherine Lawrence Deposit 145,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Debit 10/31/01 N/A Bank of America Service Charge Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/31/01 N/A Viking International Fund / Unknown Account Lawrence Bank of America Viking IRA Fund, LLC 003730047521 Debit 11/01/01 N/A Bank of America Checks Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/14/01 N/A Millennium Trust FBO Worth Helms Deposit 99,637.49 Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/15/01 N/A Deposit 161,826.92 Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/16/01 N/A Entrust FBO James T. Murphy Entrust Adminstration For further credit Entrust Administration (12,249.38) Bank of America Viking IRA Fund, LLC 003730047521 Check 11/21/01 1001 Neil V. Moody Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/27/01 N/A Millennium Trust FBO Aldo Dossola Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/29/01 N/A Viking International Fund / Unknown Account Thomas, Dossola, Helmes Bank of America Viking IRA Fund, LLC 003730047521 Debit 11/30/01 N/A Service Charge Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/03/01 N/A Northern Trust Bank Millennium Trust FBO - Walter Bahler Deposit 124,224.02 Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/04/01 N/A Viking International Fund / Unknown Account Bahler (124,224.02) Page 1 of 6 X 169,308.34 (169,000.00) (238.43) (145,000.00) (32.00) (100.00) 200,000.00 (449,215.03) (1.36) EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. 12/31/01 N/A (Payee)/Payor QB Only Memo Bank of America Viking IRA Fund, LLC 003730047521 Debit Bank of America Viking IRA Fund, LLC 003730047521 N/A 1/16/2002 N/A Northern Trust Bank Unknown Bank of America Viking IRA Fund, LLC 003730047521 N/A 1/22/2002 N/A Sumner Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/01/02 N/A Millennium Trust Co. FBO Ralph J. Gilbert Deposit 1,500,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/04/02 N/A Viking International Fund / Unknown Account Gilbert (1,500,000.00) Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/07/02 N/A Millennium Trust Co. FBO Marilyn Formica 49,725.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/07/02 N/A Millennium Trust Co. FBO Richard F. Formica 99,725.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/08/02 N/A Viking International Fund / Unknown Account Formica 2 & Formica Bank of America Viking IRA Fund, LLC 003730047521 Debit 02/28/02 N/A Bank of America Service Charge Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/28/02 N/A Deposit Bank of America Viking IRA Fund, LLC 003730047521 Check 03/01/02 1002 Bank of America Viking IRA Fund, LLC 003730047521 Wire 03/04/02 N/A Millennium Trust FBO John Low Department of State Viking International Fund / Unknown Account Bank of America Viking IRA Fund, LLC 003730047521 Wire 03/25/02 N/A Millennium Trust FBO John Schrandt Bank of America Viking IRA Fund, LLC 003730047521 Check 03/26/02 1003 Delaware Secretary of State Bank of America Viking IRA Fund, LLC 003730047521 Debit 03/31/02 N/A Bank of America Service Charge Bank of America Viking IRA Fund, LLC 003730047521 Wire 04/02/02 N/A Viking International Fund / Unknown Account Scrandt, John Bank of America Viking IRA Fund, LLC 003730047521 Wire 04/24/02 N/A Millennium Trust Co. FBO Brian L. Meeker Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 04/26/02 N/A Viking International Fund / Unknown Account Meeker, Brian Bank of America Viking IRA Fund, LLC 003730047521 Debit 04/30/02 N/A Bank of America Service Charge (80.34) Bank of America Viking IRA Fund, LLC 003730047521 Wire 05/10/02 N/A Millennium Trust FBO Charles Daukas Deposit 418.35 Bank of America Viking IRA Fund, LLC 003730047521 Wire 05/20/02 N/A Millennium Trust FBO Brian Meeker Deposit 22,729.14 Bank of America Viking IRA Fund, LLC 003730047521 Debit 05/31/02 N/A Bank of America Service Charge Page 2 of 6 Service Charge Amount (64.87) Deposit X 154,746.36 Sumner (154,796.79) X (149,450.00) (52.30) 99,855.00 (50.00) Low, John IRA (99,750.00) Deposit 100,000.00 X (100.00) (46.56) (100,000.00) 499,725.00 (499,725.00) (32.20) EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/03/02 N/A Millennium Trust FBO Elaine C Stull Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/04/02 N/A Viking International Fund / Unknown Account Meeker, Brian IRA (22,729.14) Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/06/02 N/A Deposit 199,625.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/06/02 N/A Millennium Trust FBO Luke Yip Millennium Trust FBO Richard Formica Deposit 48,639.71 Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/07/02 N/A Viking International Fund / Unknown Account Stull, Yip, FormicaRich Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/19/02 N/A Millennium Trust FBO Marilynn Formica Deposit 38,585.81 Bank of America Viking IRA Fund, LLC 003730047521 Wire 06/28/02 N/A Millennium Trust FBO Norman Kayser Deposit 500,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Debit 06/30/02 N/A Bank of America Service Charge (99.14) Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/01/02 N/A Bank of Bermuda (500,000.00) Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/03/02 N/A Viking International Fund / Unknown Account Kayser, Norman IRA Returned item Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/03/02 N/A Viking International Fund / Unknown Account Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/09/02 N/A Viking International Fund / Unknown Account Formica, Marilyn IRA Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/12/02 N/A VIKING MASTER FUND LTD / Spear, Leeds & Kellogg #7AY6 Deposit 4,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/19/02 N/A Wachovia Bank, N.A. - FBO Karl Eisele Deposit 541,304.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/19/02 N/A Viking International Fund / Unknown Account Eisele, Karl IRA Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/23/02 N/A Millennium Trust FBO Norman Kayser Deposit 453,335.08 Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/24/02 N/A Viking International Fund / Unknown Account Kayser, Norman IRA (45,335.08) Page 3 of 6 99,625.00 (347,889.71) 500,000.00 (500,000.00) (38,585.81) (541,304.00) EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Bank of America Viking IRA Fund, LLC 003730047521 Wire 07/25/02 N/A Viking International Fund / Unknown Account Kayser, Norman (408,000.00) Bank of America Viking IRA Fund, LLC 003730047521 Debit 07/31/02 N/A Bank of America Service Charge (258.88) Bank of America Viking IRA Fund, LLC 003730047521 Wire 08/23/02 N/A Millennium Trust FBO Worth Helms Deposit 91,226.86 Bank of America Viking IRA Fund, LLC 003730047521 Wire 08/28/02 N/A Millennium Trust FBO Bradd Christensen Deposit 71,275.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 08/28/02 N/A Millennium Trust FBO Joan Christensen Deposit 59,558.00 Bank of America Viking IRA Fund, LLC 003730047521 Debit 08/29/02 N/A Bank of America Bank of America Viking IRA Fund, LLC 003730047521 Wire 08/30/02 N/A Viking International Fund / Unknown Account 71275 Bradd / 59558 Joan / 91226.86 Helms Bank of America Viking IRA Fund, LLC 003730047521 Debit 08/31/02 N/A Bank of America Service Charge (64.65) Bank of America Viking IRA Fund, LLC 003730047521 Debit 09/30/02 N/A Bank of America Service Charge (12.00) Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/09/02 N/A Millennium Trust Co. FBO John A. Schrandt IRA Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 10/11/02 N/A Viking International Fund / Unknown Account Schrandt, John (44,407.27) Bank of America Viking IRA Fund, LLC 003730047521 Debit 10/31/02 N/A Service Charge (39.72) Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/01/02 N/A Northern Trust Bank Millennium Trust FBO Ralph Gilbert Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/04/02 N/A Viking International Fund / Unknown Account Gilbert, Ralph Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/26/02 N/A Millennium Trust FBO Daniel Blumberg Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 11/27/02 N/A Blumberg, Daniel Bank of America Viking IRA Fund, LLC 003730047521 Debit 11/30/02 N/A Bear Stearns Securities Bank of America Bank of America Viking IRA Fund, LLC 003730047521 Debit 12/04/02 N/A Bank of America Refund (5.00) Bank of America Viking IRA Fund, LLC 003730047521 Debit 12/12/02 N/A Bank of America Refund 5.00 Bank of America Viking IRA Fund, LLC 003730047521 Check 12/16/02 1005 Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/20/02 N/A Holland & Knight, LLP Viking Fund, LLC Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Page 4 of 6 Entrust Administration Entrust Administration (5.00) Deposit Service Charge X Inv #1383626 Deposit (222,059.86) 44,407.27 398,528.09 (398,528.09) 999,900.00 (999,900.00) (42.90) (3,250.00) 131,000.00 9,791.24 (9,791.24) EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Entrust Administration FBO Tom Murphy IRA Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Millennium Trust FBO Charles Daukas Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/23/02 N/A Millennium Trust Company Millennium Trust Company Wachovia Bank, N.A. - FBO Karl Eisele Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/24/02 N/A Millennium Trust FBO John Schrandt Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/26/02 N/A Viking IRA Fund / TradeStation #0RS1 Bear Stearns Securities Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/30/02 N/A Millennium Trust FBO Karl Devenport Deposit Bank of America Viking IRA Fund, LLC 003730047521 Debit 12/31/02 N/A Service Charge Bank of America Viking IRA Fund, LLC 003730047521 Wire 12/31/02 N/A Northern Trust Bank Viking IRA Fund / TradeStation #0RS1 Bank of America Viking IRA Fund, LLC 003730047521 Check 01/06/03 1006 Scoop Management, Inc. / Northern Trust #4544 Bank of America Viking IRA Fund, LLC 003730047521 Deposit 01/08/03 N/A Valhalla Investment Partners, L.P. / Bank of America #6373 Bank of America Viking IRA Fund, LLC 003730047521 Check 01/13/03 1007 Florida Department of State Bank of America Viking IRA Fund, LLC 003730047521 Wire 01/14/03 N/A Millennium Trust FBO Stephen Berestka Deposit Bank of America Viking IRA Fund, LLC 003730047521 Wire 01/15/03 N/A Viking IRA Fund / TradeStation #0RS1 Bear Stearns Securities FBO Stephen Bereska Bank of America Viking IRA Fund, LLC 003730047521 Wire 01/27/03 N/A Charles Schwab & Co - FBO Paul Swenson Deposit 75,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Wire 01/29/03 N/A Charles Schwab FBO Jeffrey Wilson Deposit 150,000.00 Bank of America Viking IRA Fund, LLC 003730047521 Check 01/30/03 1008 Scoop Management, Inc. / Northern Trust #4544 Bank of America Viking IRA Fund, LLC 003730047521 Debit 01/31/03 N/A Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/05/03 N/A Northern Trust Bank Viking IRA Fund / TradeStation #0RS1 Bank of America Viking IRA Fund, LLC 003730047521 Check 02/07/03 1009 Page 5 of 6 Advent Software Inc. (9,791.24) (52,000.00) (8,540.00) (8,000.00) (35,758.00) Bear Stearns Securities X Jan Office Fee Deposit X UBR Fee 100,059.42 (100,059.42) 284,074.87 (178.18) (284,074.87) (5,000.00) 8,000.00 (50.00) 100,000.00 (100,000.00) Feb Office Fee (5,000.00) Service Charge X (30.79) Bear Stearns Securities X 1/4 Invoice #309577 (220,000.00) (5,824.50) EXHIBIT 9 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking IRA Fund, LLC Bank of America Account No. 003730047521 For the Period June 2001 through March 2003 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. Bank of America Viking IRA Fund, LLC 003730047521 Wire 02/19/03 N/A Bank of America Viking IRA Fund, LLC 003730047521 Debit 02/19/03 N/A Bank of America Viking IRA Fund, LLC 003730047521 Debit 02/20/03 N/A Source: 1. Bank of America bank account statements including deposit slips, cancelled checks and wire detail. 2. QuickBooks file. Page 6 of 6 (Payee)/Payor QB Only Memo Amount First Trust Co. FBO Don Zinman Viking IRA Fund, LLC / Northern Trust #1007 Deposit Funds Transfer (14,613.07) Viking IRA Fund, LLC Funds Transfer (62,000.00) 62,000.00

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