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).

EXHIBIT 5
Case No.: 8:10-cv-77-T-17MAP et al.
Documents Review and Relied Upon

1. United States of America v. Arthur G. Nadel - Indictment.
2. Complaint for injunctive and other relief.
3. Order reappointing receiver, dated January 21, 2009.
4. Order reappointing receiver, dated June 3, 2009.
5. Order reappointing receiver, dated January 19, 2010.
6. Plea Allocution of Arthur G. Nadel, dated February 24, 2010.
7. Order granting motion to expand receivership to include Traders Investment Club, dated
August 9, 2010.
8. Order reappointing receiver, dated September 23, 2010.
9. The receiver’s ninth interim report.
10. The receiver’s omnibus motion for partial summary judgment.
11. Arthur Nadel – Wachovia bank account statements for account number 1000408544895
for the period February 2002 through January 2009.
12. Arthur Nadel – Wachovia bank account statements for account number 1010125671484
for the period June 2005 through January 2009.
13. Arthur Nadel – cancelled checks for Wachovia bank account number 1000408544895
for the year 2002.
14. Arthur Nadel or Peg Nadel Property – Northern Trust bank account statements for
account number 1710058757 for the period June 2004 through January 2009.
15. Arthur Nadel and Peg Nadel – Northern Trust bank account statements for account
number 164320 for the period June 2000 through January 2009.
16. Marguerite J. Nadel Revocable Trust - Northern Trust bank account statements for
account number August 2007 through February 2009.
17. Scoop Capital, LLC - Wachovia bank account statements for account number
2000712702157 for the period January 2003 through December 2008.
18. Scoop Capital, LLC - Wachovia bank account statements for account number
2000712702156 for the period June 2005 through December 2008.
19. Scoop Management, Incorporated – Northern Trust bank account statements for
account number 744544 for the period April 2001 through January 2009.

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EXHIBIT 5
20. Scoop Management, Incorporated – Northern Trust bank account statements for
account number 912555448 for the period July 2005 through January 2009.
21. Scoop Management, Incorporated – cancelled checks for Northern Trust bank account
number 744544 for the year 2002 through 2009.
22. Scoop Real Estate, LP – Northern Trust bank account statements for account number
760624 for the period March 2004 through January 2009.
23. Scoop Real Estate, LP – Northern Trust bank account statements for account number
912556206 for the period July 2005 through January 2009.
24. Scoop Real Estate, LP – Wachovia bank account statements for account number
2000034073632 for the period September 2007 through January 2009.
25. Traders Investment Club – Wachovia bank account statements for account number
2000780158115 for the period January 2003 through January 2009.
26. Traders Investment Club – cancelled checks and deposit slips for Wachovia bank
account number 2000780158115 for the period January 2003 through December 2005.
27. Valhalla Investment Partners, LP - Bank of America bank account statements for
account number 003660666373 for the period May 2000 through February 2003.
28. Valhalla Investment Partners, LP – cancelled checks for Bank of America bank account
number 003660666373 for the years May 2000 through February 2003.
29. Valhalla Investment Partners, LP – wire transfer detail for Bank of America bank account
number 003660666373 for the period 2000 through 2001.
30. Valhalla Investment Partners, LP – Northern Trust bank account statements for account
number 750899 for the period February 2003 through December 2008.
31. Valhalla Investment Partners, LP – Northern Trust bank account statements for account
number 912558905 for the period July 2005 through December 2008.
32. Valhalla Investment Partners, LP – cancelled checks for Northern Trust bank account
number 750899 for the period February 2003 through December 2008.
33. Arthur Nadel DBA Valhalla Investments – Wachovia bank account statements for
account number 2000706755110 for the period December 2001 through December
2008.
34. Arthur Nadel DBA Valhalla Investments – cancelled checks and deposit slips for
Wachovia account number 2000706755110 for the period 2002 through 2007.
35. Valhalla Management, Inc. – Northern Trust bank account statements for account
number 750901 for the period February 2003 through December 2008.

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EXHIBIT 5
36. Valhalla Management, Inc. – Northern Trust bank account statements for account
number 554872283 for the period April 2007 through December 2008.
37. Valhalla Management, Inc. – cancelled checks for Northern Trust account number
750901 for the period February 2003 through December 2008.
38. Victory Fund, Ltd. - Bank of America bank account statements for account number
003672646763 for the period January 2003 through March 2003.
39. Victory Fund, Ltd. - Northern Trust bank account statements for account number 751023
for the period February 2003 through January 2009.
40. Victory Fund, Ltd. - Northern Trust bank account statements for account number
91255023 for the period July 2005 through January 2009.
41. Victory Fund, Ltd. - Wachovia bank account statements for account number
2000706764790 for the period May 2001 through December 2008.
42. Victory Fund, Ltd. - cancelled checks and deposit slips for Bank of America account
number 003672646763 for the period 2003.
43. Victory Fund, Ltd. - cancelled checks and copies of checks for Northern Trust bank
account number 751023 for the period 2003 through 2009.
44. Victory Fund, Ltd. – wire transfer detail for Northern Trust bank account number 751023
for the period 2003 through 2004.
45. Victory Fund, Ltd. - cancelled checks and copies of checks for Wachovia account
number 2000706764790 for the period 2002 through 2004 and 2006.
46. Victory Fund, Ltd. – wire transfer detail for Wachovia account number 2000706764790
for the period 2001.
47. Victory IRA Fund, Ltd. - Northern Trust bank account statements for account number
751090 for the period April 2003 through January 2009.
48. Victory IRA Fund, Ltd. - Northern Trust bank account statements for account number
912550902 for the period July 2005 through January 2009.
49. Victory IRA Fund, Ltd. - cancelled checks and copies of checks for Northern Trust bank
account number 751090 for the period 2004 through 2008.
50. Viking Fund, LLC – Bank of America bank account statements for account number
003730047518 for the period June 2001 through March 2003.
51. Viking Fund, LLC – Northern Trust bank account statements for account number 750928
for the period February 2003 through February 2009.
52. Viking Fund, LLC - Northern Trust bank account statements for account number
912559283 for the period July 2005 through January 2009.
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EXHIBIT 5
53. Viking Fund, LLC – cancelled checks and deposit slips for Bank of America account
number 003730047518 for the period 2002 through 2003.
54. Viking Fund, LLC – wire transfer detail for Bank of America account number
003730047518 for the period 2001 and 2003.
55. Viking Fund, LLC – cancelled checks and copies of checks for Northern Trust account
number 750928 for the period 2003 through 2009.
56. Viking Fund, LLC – wire transfer detail for Northern Trust account number 750928 for
the period 2003 through 2004.
57. Arthur Nadel DBA Viking Fund – Wachovia bank account statements for account
number 2000712344984 for the period June 2002 through December 2008.
58. Arthur Nadel DBA Viking Fund – deposit slips for Wachovia account number
2000712344984 for the period 2002 and 2006.
59. Viking IRA Fund, LLC – Bank of America bank account statements for account number
003730047521 for the period June 2001 through March 2003.
60. Viking IRA Fund, LLC – Northern Trust bank account statements for account number
751007 for the period February 2003 through December 2008.
61. Viking IRA Fund, LLC – Northern Trust bank account statements for account number
912550076 for the period July 2005 through December 2008.
62. Viking IRA Fund, LLC – wire transfer detail for Bank of America account number
003730047521 for the period 2001.
63. Viking IRA Fund, LLC – cancelled checks and copies of checks for Northern Trust
account number 751007 for the period 2003 through 2005.
64. Viking Management, LLC - Northern Trust bank account statements for account number
751015 for the period February 2003 through January 2009.
65. Viking Management, LLC - Northern Trust bank account statements for account number
554872275 for the period April 2007 through January 2009.
66. Viking Management, LLC – cancelled checks and copies of checks for Northern Trust
account number 751015 for the period 2003 – 2008.
67. Arthur Nadel – AB Watley brokerage account statements for account number 69554160
for the period July 2002 through December 2002 (Bates # ABW000020 to ABW000041;
ABW000002 to ABW000006; ABW000009 to ABW000010).
68. Arthur Nadel – Spear, Leeds & Kellogg brokerage account statements for account
number 75K0 for the period July 2002 through January 2009 (Bates #
GOLDMAN006859 to GOLDMAN008105).
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EXHIBIT 5
69. Clark-Nadel Revocable Trust DT - Spear, Leeds & Kellogg brokerage account
statements for account number 4J5V for the period September 2004 through December
2008 (Bates # Shore002821 to Shore003466).
70. Guy-Nadel Foundation - Spear, Leeds & Kellogg brokerage account statements for
account number 4SRF for the period December 2005 through December 2008 (Bates #
Shore004742 to Shore005340).
71. Intex Trading Corporation - AB Watley brokerage account statements for account
number 69586915 for the period July 2002 through December 2002 (Bates #
ABW000042 to ABW000063; ABW000018 to ABW000019).
72. Intex Trading Corporation - Spear, Leeds & Kellogg brokerage account statements for
account number 4SRF for the period June 2002 through May 2004 (Bates #
GOLDMAN005973 to GOLDMAN006323).
73. Marguerite J. Nadel Revocable Trust - Spear, Leeds & Kellogg brokerage account
statements for account number 41L9 for the period August 2007 through January 2009
(Bates # GOLDMAN006324 to GOLDMAN006528).
74. Scoop Capital, LLC - Spear, Leeds & Kellogg brokerage account statements for account
number 4K2B for the period December 2004 through December 2008 (Bates #
GOLDMAN004265 to GOLDMAN005077).
75. Scoop Management, Incorporated - Spear, Leeds & Kellogg brokerage account
statements for account number 78H6 for the period June 2003 through December 2008
(Bates # GOLDMAN011852 to GOLDMAN012835).
76. John V. Cloud - Spear, Leeds & Kellogg brokerage account statements for account
number 78B8 for the period May 2003 through December 2004 (Bates #
GOLDMAN011527 to GOLDMAN011851).
77. Interco Tire, Inc. - Spear, Leeds & Kellogg brokerage account statements for account
number 78MS for the period May 2003 through December 2004 (Bates #
GOLDMAN012836 to GOLDMAN013086).
78. James River Multi-Strategy Fund - Spear, Leeds & Kellogg brokerage account
statements for account number 788N for the period July 2003 through December 2004
(Bates # GOLDMAN016929 to GOLDMAN017212)
79. William Gordon - Spear, Leeds & Kellogg brokerage account statements for account
number 790G for the period September 2003 through December 2004 (Bates #
GOLDMAN0l7213 to GOLDMAN017402)

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EXHIBIT 5
80. Munson Family Partners, Ltd. - Spear, Leeds & Kellogg brokerage account statements
for account number 791L for the period October 2003 through December 2004 (Bates #
GOLDMAN017403 to GOLDMAN017632)
81. Scoop Real Estate, LP – Spear Leads Kellogg brokerage account statements for
account number 4C8L for the period February 2004 through December 2008 (Bates #
GOLDMAN003348 to GOLDMAN004264).
82. Traders Investment Club, Inc. - Spear Leads Kellogg brokerage account statements for
account number 4X58 for the period July 1999 through June 2011 (Bates #
GSEC010001 to GSEC010246; RBC000001 to RBC001015).
83. Traders Investment Club, Inc. - Spear Leads Kellogg brokerage account statements for
account number 782V for the period July 2003 through December 2005 (Bates #
Shore015122 to Shore015513).
84. Valhalla Investment Partners, LP - AB Watley brokerage account statements for account
number 69587160for the period June 2002 through December 2002 (Bates #
ABW000086 to ABW000107; ABW000014 to ABW000015).
85. Valhalla Investment Partners, LP - Bear Stearns brokerage account statements for
account number 102-22314 055 for the period February 2000 through April 2000 (Bates
# JPMC001428 to JPMCOO1437).
86. Valhalla Investment Partners, LP - SG Americas Securities brokerage account
statements for account number 85577219 for the period June 2004 through December
2005 (Bates # SAGS 000434 to SAGS 000463).
87. Valhalla Investment Partners, LP - Spear Leads Kellogg brokerage account statements
for account number 750B for the period October 2002 through December 2008 (Bates #
GOLDMAN000002 to GOLDMAN001244).
88. Valhalla Investment Partners, LP - Spear Leads Kellogg brokerage account statements
for account number 470P for the period September 1999 through June 2002 (Bates #
GOLDMAN013087 to GOLDMAN013914).
89. Victory Fund, Ltd. - AB Watley brokerage account statements for account number
69583326 for the period June 2002 through December 2002 (Bates # ABW000064 to
ABW000085; ABW0000ll to ABW0000l3).
90. Victory Fund, Ltd. – Rydex brokerage account statements for account number
031304382 for the period July 2003 through December 2004 (Bates # Rydex000154 to
Rydex000190).

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EXHIBIT 5
91. Victory Fund, Ltd. – Spear Leads Kellogg brokerage account statements for account
number 71S1 for the period February 2003 through February 2004 (Bates #
GOLDMAN006529 to GOLDMAN006858).
92. Victory Fund, Ltd. - Spear Leads Kellogg brokerage account statements for account
number 750A for the period June 2002 through December 2008 (Bates #
GOLDMAN013915 to GOLDMAN015685).
93. Victory IRA Fund, Ltd. – Rydex brokerage account statements for account number
1003003162 for the period December 2003 through December 2004 (Bates #
Rydex000191 to Rydex000216).
94. Victory IRA Fund, Ltd. - Spear Leads Kellogg brokerage account statements for account
number 78A1 for the period May 2003 through December 2008 (Bates #
GOLDMAN010435 to GOLDMAN011526).
95. Viking Fund, LLC - Bear Stearns brokerage account statements for account number
172-80559 RS1 for the period November 2002 through March 2003 (Bates #
TStat000130 to TStat000160).
96. Viking Fund, LLC – Rydex brokerage account statements for account number 21204178
for the period February 2003 through December 2004 (Bates # Rydex00000l to
Rydex000043).
97. Viking Fund, LLC – SG Americas Securities brokerage account statements for account
number 85775949 for the period June 2004 through December 2005 (Bates # SGAS
000293 to SGAS 000322).
98. Viking Fund, LLC – Spear Leads Kellogg brokerage account statements for account
number 75YK for the period March 2003 through December 2008 (Bates #
GOLDMAN008106 to GOLDMAN009280).
99. Viking IRA Fund, LLC - Bear Stearns brokerage account statements for account
number 172-80560 RS1 for the period November 2002 through April 2003 (Bates #
TStat000004 to TStatO00029).
100. Viking IRA Fund, LLC – Rydex brokerage account statements for account number
021204177 for the period April 2003 through December 2004 (Bates # Rydex000044 to
Rydex000091).
101. Viking IRA Fund, LLC – SG Americas Securities brokerage account statements for
account number 85685239 for the period June 2004 through December 2005 (Bates #
SGAS 000140 to SGAS 000169).

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EXHIBIT 5
102. Viking IRA Fund, LLC – Spear Leads Kellogg brokerage account statements for
account number 75YG for the period March 2003 through December 2008 (Bates #
GOLDMAN009280 to GOLDMAN010434).
103. Viking Master Fund, Ltd. - AB Watley brokerage account statements for account
number 69552214 for the period June 2002 through December 2002 (Bates #
ABW000108 to ABW000139; ABW000016 to ABW000017).
104. Viking Master Fund, Ltd. - Spear Leads Kellogg brokerage account statements for
account number 7AY6 for the period May 2002 through March 2004 (Bates #
GOLDMAN005776 to GOLDMAN005972).
105. Scoop Real Estate, LP - partner’s capital balances for the period February 2004
through December 2008.
106. Scoop Real Estate, LP - individual investor statements of partner’s capital for the period
2004 through 2008.
107. Trader Investments Club - partner’s capital balances for the period January 2005
through September 2005.
108. Valhalla Investments Partners, LP - partner’s capital balances for the period September
2002; December 2002 through December 2008.
109. Victory Fund, Ltd. - partner’s capital balances for the period April 2002 through
December 2008.
110. Victory IRA Fund, Ltd. - partner’s capital balances for the period May 2003 through
December 2008.
111. Viking Fund, LLC - partner’s capital balances for the period January 2003 through
December 2008.
112. Viking IRA Fund, LLC - partner’s capital balances for the period January 2003 through
December 2008.
113. Scoop Real Estate, LP – performance fee summaries for the period February 2004
through December 2008.
114. Valhalla Investments Partners, LP - performance fee summaries for the period March
2002 through December 2008.
115. Victory Fund, Ltd. - performance fee summaries for the period November 2002 through
December 2008.
116. Victory IRA Fund, Ltd. - performance fee summaries for the period May 2003 through
December 2008.

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EXHIBIT 5
117. Viking Fund, LLC - performance fee summaries for the period April 2002 through
December 2008.
118. Viking IRA Fund, LLC - performance fee summaries for the period January 2003
through December 2008.
119. Scoop Real Estate, LP – executive summaries for the period 2005 through 2008.
120. Valhalla Investments Partners, LP – executive summaries for the period 1999 through
2002; and 2004 through 2008.
121. Victory Fund, Ltd. – executive summaries for the period 1999 through 2002; and 2004
through 2008.
122. Victory IRA Fund, Ltd. – executive summaries for the period 1999 through 2008.
123. Viking Fund, LLC – executive summaries for the period 1999 through 2007.
124. Viking IRA Fund, LLC - executive summaries for the period 1999 through 2008.
125. All investor files (Bates # Scoop-Inv-000001 to Scoop-Inv-035750).
126. Index to investor electronic files.
127. Traders Investment Club investor statements and electronic investor file.
128. Additional investors file for Gail Ensinger (Bates # NDL-075-000769 to NDL-075000828).
129. QuickBooks file for Arthur Nadel or Peg Nadel Property.
130. QuickBooks file for Guy-Nadel Foundation, Inc.
131. QuickBooks file for Laurel Mountain Preserve, LLC.
132. QuickBooks file for Laurel Preserve, LLC.
133. QuickBooks file for Marguerite J Nadel Revocable Trust.
134. QuickBooks file for Viking Management, LLC.
135. QuickBooks file for Peg Nadel & Arthur Nadel.
136. QuickBooks file for Scoop Capital, LLC.
137. QuickBooks file for Scoop Real Estate, LP.
138. QuickBooks file for Scoop Management, Inc.
139. QuickBooks file for Valhalla Investment Partners, LP.
140. QuickBooks file for Valhalla Management, Inc.
141. QuickBooks file for Victory Fund, Ltd.
142. QuickBooks file for Victory IRA Fund, Ltd.
143. QuickBooks file for Viking Fund, LLC.
144. QuickBooks file for Viking IRA Fund, LLC.

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EXHIBIT 5
145. Riverside Financial Group account profit and loss reports for AB Watley brokerage
accounts (Nadel, Intex, Scoop Investments, Valhalla, and Viking Master).
146. Riverside Financial Group account profit and loss reports for Goldman Sachs/Shoreline
brokerage accounts (Scoop Real Estate, Traders, Valhalla, Victory, Victory IRA, Viking,
Viking IRA).
147. Riverside Financial Group account profit and loss reports for Goldman Sachs/Shoreline
brokerage accounts (Nadel, Guy-Nadel, Intex, Marguerite Nadel Rev. Trust, Scoop
Capital, and Scoop Management, Viking Master).
148. Riverside Financial Group account profit and loss reports for Goldman Sachs brokerage
accounts (Interco Tire, Inc, John Cloud, James River Multi-Strategy Fund, Munson
Family Partners, Ltd., and William Gordon).
149. Riverside Financial Group account profit and loss reports for Rydex brokerage accounts
(Victory, Victory IRA, Viking, Viking IRA).
150. Riverside Financial Group account profit and loss reports for SG Americas brokerage
accounts (Valhalla, Viking, Viking IRA).
151. Tax returns and K-1 schedules for Scoop Real Estate, LP for the years 2004 through
2007.
152. Tax returns and K-1 schedules for Traders Investment Club for the years 1999 through
2005.
153. Tax returns and K-1 schedules for Valhalla Investment Partners, LP for the years 1999
through 2007.
154. Tax returns and K-1 schedules for Victory Fund, Ltd. for the years 2001 through 2007.
155. Tax returns and K-1 schedules for Victory IRA Fund, Ltd. for the years 2003 through
2007.
156. Tax returns and K-1 schedules for Viking Fund, LLC for the years 2001 through 2007.
157. Tax returns and K-1 schedules for Viking IRA Fund, LLC for the years 2001 through
2007.
158. Scoop Real Estate, LP - individual investor statements of partner’s capital for the period
February 2004 through December 2008.
159. Traders Investment Club - individual investor statements of partner’s capital for the
period January 2005 through September 2005.
160. Valhalla Investment Partners, LP – individual investor statements of partner’s capital for
the period March 2002 through December 2008.
161. Investor statements for the period 2000 through 2001.
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EXHIBIT 5
162. Member’s status reports for the year 2000.
163. Victory Fund, Ltd. - individual investor statements of partner’s capital for the period April
2002 through December 2008.
164. Victory IRA Fund, Ltd. - individual investor statements of partner’s capital for the period
May 2003 through December 2008.
165. Viking Fund, LLC - individual investor statements of partner’s capital for the period
January 2003 through December 2008.
166. Viking IRA Fund, LLC - individual investor statements of partner’s capital for the period
January 2003 through December 2008.
167. Valhalla Investment Partners, LP – profit and loss statements for the period May 1999
through September 1999.
168. Valhalla Investment Partners, LP – investor statement and member status reports for
the year 1999.
169. Shelly Bell’s deposition transcript and exhibits, dated November 17, 2011.
170. Shelly Bell’s deposition transcript and exhibits, dated January 24, 2011.
171. Arthur Nadel’s plea hearing transcript.
172. Arthur Nadel’s transcript, dated October 2010.
173. Arthur Nadel’s handwritten letter.
174. Arthur Nadel’s confidential memo.
175. Arthur Nadel’s handwritten notes.

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