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 28 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Arthur Nadel DBA Valhalla Investments Wachovia Account No. 2000706755110 For the Period December 2001 through December 2008 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 01/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 02/28/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 03/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 04/30/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 05/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 06/30/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/01/02 N/A Unknown Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 07/02/02 N/A Wachovia Wire Transfer Fee Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/02/02 N/A Valhalla Investment Parnters / AB Watley #7160 Outgoing Wire Transfer (250,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/09/02 N/A Unknown Incoming Wire Transfer 150,000.00 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 07/10/02 N/A Wachovia Wire Transfer Fee Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/10/02 N/A Valhalla Investment Partners / AB Watley #7160 Outgoing Wire Transfer Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 08/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 09/30/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 10/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 11/30/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 12/31/02 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 01/31/03 N/A Wachovia Maintenance Fee (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 02/28/03 N/A Wachovia Maintenance Fee (12.00) Page 1 of 5 X Incoming Wire Transfer 250,000.00 (25.00) (25.00) (150,000.00) EXHIBIT 28 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Arthur Nadel DBA Valhalla Investments Wachovia Account No. 2000706755110 For the Period December 2001 through December 2008 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo X Amount Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Deposit 03/25/03 N/A Victory Fund, LTD. Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 03/31/03 N/A Wachovia Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Deposit 03/31/03 N/A Victory Fund, LTD. Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 03/31/03 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Check 04/02/03 110 Harmony Investment Club Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Check 04/02/03 109 Indigo Investment Club Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 04/08/03 N/A Wachovia Wire Transfer Fee Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 04/08/03 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Outgoing Wire Transfer Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 04/17/03 N/A Wachovia Wire Transfer Fee Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Deposit 04/17/03 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 04/17/03 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Outgoing Wire Transfer Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 02/29/04 N/A Wachovia Minimum Balance Fee (13.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 03/02/04 N/A Wachovia Refund of Service Charge 13.00 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 04/06/05 N/A Victory Fund, Ltd. / Wachovia #4790 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 04/07/05 N/A Wachovia Page 2 of 5 500,000.00 Wire Transfer Fee (25.00) 400,000.00 Outgoing Wire Transfer (500,000.00) (5,000.00) (50,000.00) X X (25.00) (340,000.00) (25.00) 200,000.00 Incoming Wire Transfer Wire Transfer Fee (200,000.00) 1,900,000.00 (25.00) EXHIBIT 28 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Arthur Nadel DBA Valhalla Investments Wachovia Account No. 2000706755110 For the Period December 2001 through December 2008 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 04/07/05 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Deposit 03/30/07 N/A Arthur Nadel / Wachovia #4895 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 04/02/07 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 05/09/07 N/A Wachovia Commercial Service Charge Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 06/28/07 N/A Arthur Nadel DBA Viking Fund / Wachovia #4984 From Account 2000712344984 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 06/29/07 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 07/11/07 N/A Scoop Capital, LLC / Wachovia #2157 From Account 2000712702157 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 07/12/07 N/A Wachovia Commercial Service Charge Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/12/07 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 07/18/07 N/A Scoop Capital, LLC / Wachovia #2157 From Account 2000712702157 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/18/07 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 08/09/07 N/A Wachovia Commercial Service Charge Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 10/04/07 N/A Scoop Capital, LLC / Wachovia #2157 From Account 2000712702157 Page 3 of 5 Outgoing Wire Transfer X Amount (1,900,000.00) 1,650,000.00 (1,650,000.00) (43.00) 700,000.00 (700,000.00) 950,000.00 (43.00) (950,000.00) 400,000.00 (400,000.00) (86.00) 750,000.00 EXHIBIT 28 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Arthur Nadel DBA Valhalla Investments Wachovia Account No. 2000706755110 For the Period December 2001 through December 2008 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 10/05/07 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 11/09/07 N/A Wachovia Commercial Service Charge Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 12/31/07 N/A VICTORY IRA FUND LTD / Spear, Leeds & Kellogg #78A1 Goldman Sachs 1,800,000.00 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 01/04/08 N/A Scoop Capital, LLC / Wachovia #2157 From Account 2000712702157 1,500,000.00 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 01/07/08 N/A Arthur Nadel / Wachovia #4895 From Account 1000408544895 500,000.00 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 01/07/08 N/A Victory Fund, LTD. / Wachovia #4790 To Account 2000706764790 (1,400,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 01/08/08 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP (2,400,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 01/10/08 N/A Wachovia Commercial Service Charge (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 02/13/08 N/A Wachovia Commercial Service Charge (43.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 07/24/08 N/A Scoop Capital, LLC / Wachovia #2157 From Account 2000712702157 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 07/25/08 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP (200,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 07/28/08 N/A Scoop Capital, LLC / Wachovia #2157 To Account 2000712702157 (260,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 08/11/08 N/A Wachovia Commercial Service Charge (43.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 08/22/08 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B Goldman Sachs Page 4 of 5 (750,000.00) (43.00) 460,000.00 900,000.00 EXHIBIT 28 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Arthur Nadel DBA Valhalla Investments Wachovia Account No. 2000706755110 For the Period December 2001 through December 2008 (Sorted in Chronological Order) Institution Account Name Account Number Bank Type Bank Date Check No. (Payee)/Payor QB Only Memo Amount Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 08/28/08 N/A Scoop Capital, LLC / Wachovia #2157 To Account 2000712702157 (800,000.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Debit 09/10/08 N/A Wachovia Commercial Service Charge (12.00) Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 09/30/08 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 12/03/08 N/A Arthur Nadel DBA Viking Fund / Wachovia #4984 From Account 2000712344984 Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Wire 12/04/08 N/A Valhalla Investment Partners / Spear, Leeds & Kellogg #750B GSEC, LP Wachovia Arthur Nadel DBA Valhalla Investments 2000706755110 Transfer 12/05/08 N/A Scoop Capital, LLC / Wachovia #2157 To Account 2000712702157 Source: 1. Wachovia bank account statements including deposit slips, cancelled checks and wire detail. Page 5 of 5 (100,000.00) 350,000.00 (300,000.00) (50,000.00)

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