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 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
03/18/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
03/27/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
03/31/03
03/31/03
04/07/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
04/16/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
04/16/03
04/30/03
04/30/03
05/02/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
05/06/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
05/30/03
05/30/03
06/09/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
06/30/03
06/30/03
07/09/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
07/17/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
07/31/03
07/31/03
08/04/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
08/07/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
08/14/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
08/29/03
08/29/03
09/05/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
09/24/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
09/24/03
09/30/03
09/30/03
10/08/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
10/08/03
10/31/03
10/31/03
11/06/03
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
11/28/03
11/28/03
12/04/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
12/31/03
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
12/31/03
Page 1 of 6
(Payee)/Payor
Viking IRA Fund / TradeStation
#0RS1
Viking Master Fund / Spear Leeds
Kellogg #7AY6
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
Viking Fund, LLC / Northern Trust
#0928
WIRE CHARGE
Amount
2,104,568.90
2,990,797.62
(279.62)
(297,153.60)
150,000.00
(184,000.00)
(12.00)
(11,901.19)
709,100.72
400,000.00
100,000.00
(18,238.43)
985,713.18
480,000.00
(22,446.00)
53,357.70
350,000.00
75,000.00
(12,914.81)
929,569.09
228,000.00
57,000.00
500,000.00
(17,695.95)
741,000.00
2,140,000.00
(67,000.00)
(12.00)
(17,118.40)
(906,998.39)
(388,000.00)
(12.00)
(28,509.80)
1,628,508.79
645,000.00
(25,424.62)
(57,177.94)
625,000.00
(150,000.00)
(12.00)
EXHIBIT 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
12/31/03
12/31/03
01/13/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
01/13/04
02/05/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
02/27/04
03/01/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
03/31/04
04/20/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
04/30/04
05/05/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
05/28/04
06/09/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
06/09/04
06/30/04
07/09/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
07/30/04
08/09/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
08/31/04
09/07/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
09/30/04
10/04/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/29/04
11/05/04
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
75YG
11/30/04
11/30/04
11/30/04
12/31/04
12/31/04
01/21/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
75YG
75YG
01/31/05
02/07/05
02/28/05
03/03/05
03/31/05
04/08/05
04/08/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
04/08/05
04/13/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
04/13/05
04/29/05
05/02/05
05/03/05
Page 2 of 6
(Payee)/Payor
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
CREDIT INTEREST
REBATE ON SHORTS
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
JANUARY
DEBIT INTEREST
FEBRUARY
DEBIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
Amount
(34,832.13)
452,157.61
(365,000.00)
(12.00)
40,000.00
(689.82)
480,000.00
(25,480.50)
485,000.00
(37,530.53)
290,000.00
(43,141.17)
(450,000.00)
(12.00)
(37,703.22)
580,000.00
(43,031.43)
380,000.00
(52,999.68)
200,000.00
(31,174.34)
1,500,000.00
(24,549.53)
300,000.00
(20,699.95)
22.29
65.33
(30,147.88)
1,684,431.76
2,560,000.00
(40,469.77)
685.85
(74,771.26)
467.50
(95,410.24)
737.46
(600,000.00)
(12.00)
(650,000.00)
(12.00)
(89,603.26)
1,062.50
175,000.00
EXHIBIT 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
05/31/05
06/06/05
06/30/05
07/05/05
07/11/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
07/11/05
07/29/05
07/29/05
08/03/05
08/09/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
08/31/05
09/02/05
09/27/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
09/27/05
09/30/05
10/04/05
10/07/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/07/05
10/21/05
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
75YG
10/31/05
10/31/05
11/30/05
12/30/05
12/30/05
01/04/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
01/04/06
01/09/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
75YG
01/09/06
01/31/06
01/31/06
02/28/06
03/31/06
04/07/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
04/07/06
04/28/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
04/28/06
04/28/06
05/31/06
06/30/06
07/05/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
07/05/06
07/12/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
07/12/06
07/31/06
08/31/06
09/29/06
10/02/06
Page 3 of 6
(Payee)/Payor
DEBIT INTEREST
ARCA REBATE
DEBIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
CREDIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
CREDIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
CREDIT INTEREST
ARCA REBATE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
CREDIT INTEREST
DEBIT INTEREST
DEBIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
CREDIT INTEREST
DEBIT INTEREST
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
WIRE CHARGE
DEBIT INTEREST
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
DEBIT INTEREST
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
Amount
(87,071.10)
868.53
(84,798.06)
465.00
(200,000.00)
(12.00)
(50,904.88)
1,098.31
486.03
275,000.00
7,747.82
535.50
(600,000.00)
(12.00)
9,688.29
1,002.83
(640,000.00)
(12.00)
330,000.00
(5,407.12)
7,874.00
(76,951.07)
(105,781.22)
933,220.15
(650,000.00)
(12.00)
(730,000.00)
(12.00)
(70,018.19)
257.12
(94,292.66)
(116,821.42)
(1,150,000.00)
(12.00)
(350,000.00)
(94,998.06)
(12.00)
(133,081.89)
(120,336.46)
(1,550,000.00)
(12.00)
(100,000.00)
(12.00)
(117,450.31)
(111,726.94)
(95,134.49)
(1,300,000.00)
EXHIBIT 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/02/06
10/10/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
10/10/06
10/31/06
10/31/06
11/30/06
12/22/06
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
12/22/06
12/29/06
12/29/06
01/08/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
01/08/07
01/09/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
01/09/07
01/31/07
02/28/07
03/30/07
04/04/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
04/04/07
04/10/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
04/10/07
04/30/07
05/03/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
05/31/07
06/29/07
07/09/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
07/09/07
07/31/07
08/31/07
09/28/07
10/09/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/09/07
10/11/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/11/07
10/16/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
10/31/07
11/13/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
11/30/07
12/20/07
12/20/07
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
12/20/07
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
12/20/07
12/20/07
12/31/07
Page 4 of 6
(Payee)/Payor
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
CREDIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
CREDIT INTEREST
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
CREDIT INTEREST
CREDIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
CREDIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
CREDIT INTEREST
CREDIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Arthur Nadel DBA Viking Fund /
Wachovia #4984
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
CREDIT INTEREST
CREDIT WIRE FEE
Viking IRA Fund, LLC / Northern
Trust #1007
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
WIRE CHARGE
CREDIT INTEREST
Amount
(12.00)
(890,000.00)
(12.00)
(355.74)
20,016.72
18,399.35
(200,000.00)
(12.00)
17,176.31
(2,426,805.61)
(750,000.00)
(12.00)
(25,000.00)
(12.00)
17,616.50
13,918.59
15,517.44
(50,000.00)
(12.00)
(810,000.00)
(12.00)
13,208.24
100,000.00
11,372.38
9,949.26
(1,600,000.00)
(12.00)
7,388.56
5,987.73
3,850.90
(300,000.00)
(12.00)
(600,000.00)
(12.00)
400,000.00
2,611.49
75,000.00
2,048.35
12.00
(15,000.00)
(135,000.00)
(12.00)
(12.00)
2,188.77
EXHIBIT 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
12/31/07
01/09/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
01/09/08
01/11/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
01/11/08
01/15/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
01/31/08
01/31/08
02/05/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
02/29/08
02/29/08
03/31/08
04/09/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
04/09/08
04/11/08
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
04/14/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
04/14/08
06/30/08
07/08/08
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
07/09/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
07/09/08
07/14/08
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
07/15/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
75YG
75YG
75YG
07/15/08
07/31/08
08/29/08
09/30/08
09/30/08
10/16/08
Spear, Leads & Kellogg
Viking IRA Fund, LLC
75YG
10/17/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
10/17/08
10/31/08
11/10/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
11/28/08
11/28/08
12/02/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
12/02/08
12/26/08
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Viking IRA Fund, LLC
Viking IRA Fund, LLC
Viking IRA Fund, LLC
75YG
75YG
75YG
12/26/08
12/31/08
12/31/08
Page 5 of 6
(Payee)/Payor
P&L
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Arthur Nadel DBA Viking Fund /
Wachovia #4984
DEBIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
DEBIT INTEREST
CREDIT INTEREST
CREDIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Arthur Nadel DBA Viking Fund /
Wachovia #4984
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
Arthur Nadel DBA Viking Fund /
Wachovia #4984
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
Arthur Nadel DBA Viking Fund /
Wachovia #4984
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
DEBIT INTEREST
DEBIT INTEREST
CREDIT INTEREST
Scoop Capital LLC / Wachovia
#2157
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
DEBIT INTEREST
Viking IRA Fund, LLC / Northern
Trust #1007
SHORT PRM. EXP QQQQ
DEBIT INTEREST
Arthur Nadel DBA Viking Fund /
Wachovia #4984
WIRE CHARGE
Viking IRA Fund, LLC / Northern
Trust #1007
WIRE CHARGE
SHORT PRM. EXP QQQQ
P&L
Amount
(4,198,671.86)
(100,000.00)
(12.00)
(950,000.00)
(12.00)
345,000.00
(1,174.49)
1,092.81
530,000.00
(620.03)
77.34
65.79
(250,000.00)
(12.00)
300,000.00
(850,000.00)
(12.00)
(132.90)
1,900,000.00
(2,250,000.00)
(12.00)
700,000.00
(750,000.00)
(12.00)
(230.13)
(106.26)
(1,336.27)
9.54
330,000.00
(630,000.00)
(12.00)
(866.65)
800,000.00
(12.27)
(143.81)
(350,000.00)
(12.00)
(235,000.00)
(12.00)
(334.39)
(271,960.63)
EXHIBIT 57
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking IRA Fund, LLC
Spear Leads & Kellogg / Shoreline Trading Group Account No. 75YG
For the Period March 2003 through December 2008
(Sorted in Chronological Order)
Institution
Account Name
Account Number
Bank Date
(Payee)/Payor
Source:
1. Brokerage account statements.
2. Northern Trust and Wachovia bank account statements including deposit slips, cancelled checks and wire detail.
3. QuickBooks file.
Page 6 of 6
Amount
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