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 58
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking Master Fund, Ltd.
Spear Leads & Kellogg / Shoreline Trading Group Account No. 7AY6
For the Period May 2002 through March 2004
(Sorted in Chronological Order)
Institution

Account Name

Account Number

Bank Date

Spear, Leads & Kellogg

Viking Master Fund, Ltd.

7AY6

05/31/02

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

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6

05/31/02
06/05/02
06/10/02
06/28/02
06/28/02
07/03/02
07/08/02
07/10/02
07/12/02

Spear, Leads & Kellogg
Spear, Leads & Kellogg

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6

07/12/02
07/15/02

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
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6

07/15/02
07/16/02
07/16/02
07/22/02
07/29/02
07/31/02
07/31/02
08/06/02
08/30/02
08/30/02
09/03/02
09/04/02
09/04/02
09/06/02
09/25/02
09/25/02
09/30/02
09/30/02
10/02/02
10/15/02
10/15/02
10/15/02
10/23/02
10/24/02
10/24/02
10/31/02
10/31/02
11/01/02
11/04/02
11/06/02
11/07/02
11/29/02
11/29/02
12/27/02

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

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6
7AY6

12/27/02
12/31/02
12/31/02
12/31/02
01/31/03
01/31/03
01/31/03
02/28/03
02/28/03

Page 1 of 2

(Payee)/Payor
FROM 7W4C ACCRUED MONTLY
INT
P&L
CITIBANK
CITIBK
DEBIT INTEREST
P&L
DEUTSCHE
DEUTSCHE BK A/O 7/5
DEUTSCHE BK
Viking IRA Fund, LLC / Bank of
America #7521
WIRE CHARGE
Arthur Nadel DBA Viking Fund /
Wachovia #4984
WIRE CHARGE
DEUTSCHE BANK AG
WIRE CHARGE
DEUTSCHE BK
DEUTSCHE BK A/O 7/26
DEBIT INTEREST
DEUTSCHE BK
DEBIT INTEREST
P&L
DEUTSCHE BK
JPMORGAN CHASE BANK
WIRE CHARGE
DEUTSCHE BK
JPMORGAN CHASE BANK
WIRE CHARGE
DEBIT INTEREST
P&L
DEUTSCHE BK A/O 10/1
DEUTSCHE BK
JPMORGAN CHASE BANK
WIRE CHARGE
DEUTSCHE
DEUTSCHE BANK AG
WIRE CHARGE
DEBIT INTEREST
P&L
DEUTSCHE
DEUTSCHE
DEUTSCHE
DEUTSCHE
DEBIT INTEREST
P&L
Viking Fund, LLC / Bank of America
#7518
WIRE CHARGE
DEBIT INTEREST
P&L
OPTION TRADING P&L
DEBIT INTEREST
OPTION TRADING P&L
P&L
BANK OF AMERICA
WIRE CHARGE

Amount
(573,563.67)
1,194,060.00
661,480.63
470,000.00
(2,860.13)
(355,764.05)
465,508.32
500,000.00
238,585.81
(4,000.00)
(12.00)
(50,000.00)
(12.00)
(110,000.00)
(12.00)
541,304.00
453,335.08
(8,246.57)
(330,664.59)
160,000.00
(13,459.86)
(102,628.46)
322,059.86
(150,000.00)
(12.00)
25,000.00
(150,000.00)
(12.00)
(16,035.99)
(869,603.29)
130,000.00
44,407.27
(300,000.00)
(12.00)
266,145.89
(295,000.00)
(12.00)
(13,906.65)
1,067,502.42
100,000.00
120,000.00
398,528.09
60,000.00
(14,310.70)
1,047,903.86
(500,000.00)
(12.00)
(18,004.40)
(1,099,263.03)
5,851.94
(15,505.66)
(9,589.08)
16,304.90
(560,000.00)
(12.00)

EXHIBIT 58
Case No.: 8:10-cv-77-T-17MAP et al.
Analysis of Deposits and Disbursements
Viking Master Fund, Ltd.
Spear Leads & Kellogg / Shoreline Trading Group Account No. 7AY6
For the Period May 2002 through March 2004
(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
Spear, Leads & Kellogg

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6
7AY6
7AY6
7AY6
7AY6

02/28/03
02/28/03
03/06/03
03/21/03
03/25/03
03/27/03

Spear, Leads & Kellogg

Viking Master Fund, Ltd.

7AY6

03/27/03

Spear, Leads & Kellogg
Spear, Leads & Kellogg
Spear, Leads & Kellogg

Viking Master Fund, Ltd.
Viking Master Fund, Ltd.
Viking Master Fund, Ltd.

7AY6
7AY6
7AY6

03/27/03
03/27/03
03/31/03

(Payee)/Payor
DEBIT INTEREST
P&L
DEUTSCHE
CHASE
CHASE
VIKING IRA FUND LLC / Spear,
Leeds & Kellogg #75YG
Viking Fund / Spear Leeds Kellogg
#75YK
TFR TO 95850010
TFR TO 95850010
P&L

Source:
1. Brokerage account statements.
2. Bank of America and Wachovia bank account statements including deposit slips, cancelled checks and wire detail.
3. QuickBooks file.

Page 2 of 2

Amount
(12,792.80)
212,761.52
14,616.31
1,100,000.00
275,569.16
(2,990,797.62)
(1,682,323.13)
(3,959.38)
(7,038.38)
368,500.38