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).
<![CDATA[
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
Bank Date
(Payee)/Payor
Amount
470P
09/01/99
ACCT# 470P1209
470P
09/02/99
NATIONSBK
470P
09/08/99
COMM CREDIT-8LC
470P
09/30/99
08/31-09/30 CREDIT INTEREST
470P
10/01/99
ACCT# 470P1209
470P
10/01/99
NATIONSBK
470P
10/06/99
COMM CREDIT-8LC
370.00
470P
10/15/99
WIRE CHG
(12.00)
470P
10/15/99
NATIONSBK
470P
10/29/99
09/30-10/29 CREDIT INTEREST
470P
11/01/99
ACCT# 470P1209
470P
11/03/99
NATIONSBK
275,000.00
470P
11/12/99
NORWEST AO 1110
100,000.00
470P
11/30/99
10/29-11/30 CREDIT INTEREST
470P
12/01/99
ACCT# 470P1209
470P
12/14/99
TRADE ERROR 8LC
470P
12/31/99
11/30-12/31 CREDIT INTEREST
470P
01/03/00
ACCT# 470P1209
470P
01/11/00
COMM REBATE
470P
01/31/00
12/31-01/31 CREDIT INTEREST
470P
02/01/00
ACCT# 470P1209
470P
02/07/00
NATIONSBK
470P
02/17/00
470P
02/29/00
Valhalla Investment Partners L.P. /
Bank of America #6373
02/01-02/29 DEBIT INTEREST
470P
02/29/00
01/31-02/29 CREDIT INTEREST
470P
03/01/00
ACCT# 470P1209
470P
03/07/00
WIRE CHG
470P
03/07/00
470P
03/09/00
Valhalla Investment Partners L.P. /
Bear Stearns #4055
PARTIAL FILL
Page 1 of 7
(125,481.43)
545,000.00
318.00
4,243.36
13,874.53
300,000.00
(65,000.00)
4,023.41
54,909.18
4,096.04
158,744.50
(625.00)
5,065.86
503,213.70
839.00
5,578.29
(24,163.63)
80,000.00
425,000.00
(1,827.89)
584.26
641,641.23
(12.00)
(700,000.00)
159.60
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
(Payee)/Payor
Bank Date
Amount
470P
03/20/00
SOFTWARE FEES
470P
03/31/00
03/10-03/31 DEBIT INTEREST
470P
03/31/00
02/29-03/31 CREDIT INTEREST
470P
04/03/00
ACCT# 470P1209
470P
04/06/00
COMM CRED
818.00
470P
04/06/00
VOLUME DISCOUNT
312.00
470P
04/12/00
470P
04/28/00
Valhalla Investment Partners L.P. /
Bear Stearns #4055
03/31-04/28 DEBIT INTEREST
470P
05/01/00
ACCT# 470P1209
470P
05/04/00
PARTIAL FILL
1,496.25
470P
05/04/00
VOLUME TRADE CR
1,136.00
470P
05/31/00
04/28-05-31 DEBIT INTEREST
470P
06/01/00
ACCT# 470P1209
470P
06/05/00
470P
06/12/00
Valhalla Investment Partners L.P. /
Bank of America #6373
MAY PARTIAL FILL CREDIT
470P
06/14/00
WIRE CHG
470P
06/14/00
(25,000.00)
470P
06/30/00
Valhalla Investment Partners L.P. /
Bank of America #6373
05/31-06/30 DEBIT INTEREST
470P
07/03/00
ACCT# 470P1209
872,038.82
470P
07/12/00
WIRE CHG
470P
07/12/00
(200,000.00)
470P
07/17/00
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
07/17/00
(300,000.00)
470P
07/31/00
Valhalla Investment Partners L.P. /
Bank of America #6373
06/29-07/31 DEBIT INTEREST
470P
08/01/00
ACCT# 470P1209
(234,866.30)
470P
08/31/00
07/31-08/31 DEBIT INTEREST
(17,351.60)
470P
09/01/00
ACCT# 470P1209
682,787.85
470P
09/14/00
NATIONS
470P
09/29/00
DEBIT INTEREST
Page 2 of 7
(350.00)
(4,715.60)
1,047.41
(489,627.11)
505,407.54
(13,286.88)
(1,384,147.08)
(16,709.26)
(1,069,472.76)
175,000.00
1,017.00
(12.00)
(17,888.20)
(12.00)
(12.00)
(22,849.40)
90,000.00
(18,654.03)
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
(Payee)/Payor
Bank Date
Amount
470P
10/02/00
ACCT# 470P1209
(332,800.05)
470P
10/02/00
MELLON
216,133.33
470P
10/31/00
DEBIT INTEREST
(18,393.60)
470P
10/31/00
105,000.00
470P
11/01/00
Valhalla Investment Partners L.P. /
Bank of America #6373
ACCT# 470P1209
470P
11/20/00
470P
11/28/00
470P
11/28/00
470P
(777,955.77)
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
900,000.00
(50,000.00)
11/30/00
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
12/01/00
ACCT# 470P1209
(1,128,397.99)
470P
12/29/00
DEBIT INTEREST
(14,938.90)
470P
12/29/00
ACCT# 470P1209
(227,461.63)
470P
01/02/01
NORWEST
470P
01/04/01
WIRE CHRGS
470P
01/04/01
SOUTHTRUST
470P
01/12/01
WIRE CHG
470P
01/12/01
SOUTHTR BK
470P
01/17/01
PARTIAL FILLS
579.00
470P
01/18/01
WIRE CHRGS
(12.00)
470P
01/18/01
470P
01/30/01
470P
01/31/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
01/31/01
ACCT# 470P1209
470P
02/02/01
CHASE
470P
02/06/01
PARTIAL FILLS
470P
02/08/01
NORWEST
470P
02/28/01
DEBIT INTEREST
(6,486.36)
470P
02/28/01
ACCT# 470P1209
(843,446.08)
470P
03/07/01
PARTIAL FILLS
Page 3 of 7
(12.00)
(11,277.63)
200,000.00
(12.00)
(50,000.00)
(12.00)
(50,000.00)
(100,000.00)
71,000.00
(9,898.79)
24,894.79
131,035.79
559.00
100,000.00
80.00
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
Bank Date
(Payee)/Payor
Amount
470P
03/12/01
470P
03/30/01
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
03/30/01
ACCT# 470P1209
470P
04/12/01
PARTIAL FILLS
470P
04/20/01
470P
04/25/01
470P
04/26/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
04/26/01
SOUTHTR BK
470P
04/27/01
470P
04/30/01
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
04/30/01
CREDIT INTEREST
470P
04/30/01
ACCT# 470P1209
470P
05/02/01
470P
05/03/01
470P
05/04/01
AOPR NON-PRO MARKET DATA
03/01
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
05/04/01
SOUTHTR BK
470P
05/29/01
WIRE CHG
470P
05/29/01
SOUTHTR BK
470P
05/29/01
470P
05/31/01
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
05/31/01
CREDIT INTEREST
470P
05/31/01
ACCT# 470P1209
470P
06/01/01
WIRE CHG
470P
06/01/01
SOUTHTR BK
470P
06/04/01
470P
06/05/01
470P
06/11/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
06/11/01
SOUTHTR BK
(200,000.00)
470P
06/13/01
WIRE CHRGS
(12.00)
Page 4 of 7
125,000.00
(2,448.58)
(211,521.53)
219.00
120,000.00
650,000.00
(12.00)
(100,000.00)
750,000.00
(869.06)
212.74
130,402.03
(1.00)
710,000.00
(12.00)
(100,000.00)
(12.00)
(150,000.00)
90,000.00
(4,286.41)
324.47
(207,815.42)
(12.00)
(150,000.00)
230,000.00
590,000.00
(12.00)
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
Bank Date
(Payee)/Payor
Amount
470P
06/13/01
SOUTHTRUST
470P
06/29/01
DEBIT INTEREST
(8,005.58)
470P
06/29/01
ACCT# 470P1209
(150,338.17)
470P
07/12/01
WIRE CHARGE
470P
07/12/01
(200,000.00)
470P
07/13/01
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHRGS
470P
07/13/01
(125,000.00)
470P
07/26/01
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
07/26/01
SOUTHTR BK
(150,000.00)
470P
07/31/01
DEBIT INTEREST
(11,085.83)
470P
07/31/01
ACCT# 470P1209
(608,810.87)
470P
08/31/01
DEBIT INTEREST
(7,782.86)
470P
08/31/01
ACCT# 470P1209
(435,114.62)
470P
09/07/01
470P
09/14/01
470P
09/19/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
SOUTHTRUST
470P
09/28/01
DEBIT INTEREST
(2,852.22)
470P
09/28/01
ACCT# 470P1209
(249,160.34)
470P
10/05/01
200,000.00
470P
10/12/01
Valhalla Investment Partners L.P. /
Bank of America #6373
WIRE CHG
470P
10/12/01
(75,000.00)
470P
10/30/01
470P
10/31/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
10/31/01
CREDIT INTEREST
470P
10/31/01
ACCT# 470P1209
470P
11/02/01
35,000.00
470P
11/06/01
470P
11/14/01
Valhalla Investment Partners L.P. /
Bank of America #6373
Valhalla Investment Partners L.P. /
Bank of America #6373
PARTIAL FILL CREDIT
470P
11/29/01
Valhalla Investment Partners L.P. /
Bank of America #6373
100,000.00
Page 5 of 7
(200,000.00)
(12.00)
(12.00)
(12.00)
200,000.00
126,000.00
(100,000.00)
(12.00)
70,000.00
(1,598.19)
62.66
165,779.53
50,000.00
19.95
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
(Payee)/Payor
Bank Date
Amount
470P
11/30/01
DEBIT INTEREST
(39.90)
470P
11/30/01
CREDIT INTEREST
167.52
470P
11/30/01
ACCT# 470P1209
470P
12/11/01
PARTIALS
470P
12/26/01
WIRE CHRGS
470P
12/26/01
470P
12/31/01
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
12/31/01
CREDIT INTEREST
470P
12/31/01
ACCT# 470P1209
(98,795.56)
470P
01/09/02
BK AMER
200,000.00
470P
01/10/02
PARTIAL CREDIT - NOV
2,394.00
470P
01/11/02
PARTIALS - DEC
2,034.90
470P
01/24/02
BOA
470P
01/31/02
DEBIT INTEREST
470P
01/31/02
CREDIT INTEREST
470P
01/31/02
ACCT# 470P1209
470P
02/07/02
ADJ NOV 01 INTEREST
(613.25)
470P
02/07/02
REV NOV 01 INTEREST
(167.52)
470P
02/07/02
ADJ NOV 01 INTEREST
39.90
470P
02/07/02
REV NOV 01 INTEREST
39.90
470P
02/08/02
470P
02/11/02
Valhalla Investment Partners L.P. /
Bank of America #6373
ADJ NOV 01 INTEREST
470P
02/11/02
REV PRIOR ENTRY
(39.90)
470P
02/11/02
ADJ NOV 01 INTEREST
613.25
470P
02/11/02
REV PRIOR ENTRY
613.25
470P
02/22/02
PARTIAL REBATE
778.05
470P
02/27/02
WIRE CHARGE
(12.00)
470P
02/27/02
470P
02/28/02
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
Page 6 of 7
146,949.11
1,596.00
(12.00)
(250,000.00)
(1,395.00)
513.99
100,000.00
(3,314.08)
73.15
(110,933.82)
50,000.00
(39.90)
(30,000.00)
(6,221.14)
EXHIBIT 52
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Valhalla Investment Partners, LP
Spear Leads & Kellogg / Shoreline Trading Group Account No. 470P
For the Period September 1999 through June 2002
(Sorted in Chronological Order)
Institution
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Account Name
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Valhalla Investment
Partners, L.P.
Account Number
(Payee)/Payor
Bank Date
Amount
470P
02/28/02
ACCT# 470P1209
470P
03/13/02
PARTIAL REBATE
470P
03/28/02
DEBIT INTEREST
470P
03/28/02
ACCT# 470P1209
118,769.01
470P
04/03/02
100,000.00
470P
04/05/02
Valhalla Investment Partners L.P. /
Bank of America #6373
PARTIAL REBATE
470P
04/11/02
WIRE CHG
470P
04/11/02
470P
04/19/02
Valhalla Investment Partners L.P. /
Bank of America #6373
SOFTWARE FEES-APR
470P
04/19/02
OPRA FEE-APR
(17.50)
470P
04/26/02
WIRE CHARGE
(12.00)
470P
04/26/02
470P
04/30/02
Valhalla Investment Partners L.P. /
Bank of America #6373
DEBIT INTEREST
470P
04/30/02
ACCT# 470P1209
(237,347.11)
470P
05/16/02
SOFTWARE FEE
(125.00)
470P
05/16/02
OPRA FEE
470P
05/16/02
PARTIAL REBATE
470P
05/31/02
DEBIT INTEREST
(3,705.60)
470P
05/31/02
ACCT# 470P1209
(75,950.46)
470P
06/05/02
DEBIT INTEREST
(582.17)
470P
06/05/02
470P
06/05/02
INTEREST CONVERSION TO
PENSON
Valhalla Investment Partners / AB
Watley #7160
Source:
1. Brokerage account statements.
2. Bank of America bank account statements including deposit slips, cancelled checks and wire detail.
3. QuickBooks file.
Page 7 of 7
(317,286.18)
199.50
(5,997.36)
39.90
(12.00)
(175,000.00)
(125.00)
(15,000.00)
(5,787.79)
(17.50)
39.90
582.17
(467,915.91)
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