Stein Defense Exhibit Doc187

7/30/2019 Stein Defense Exhibit Doc187

http://slidepdf.com/reader/full/stein-defense-exhibit-doc187 1/18

UNITED STATES DISTRICT CO URTSOUTHERN DISTRICT OF FLORIDA

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FILED ùy / D.C.

MAt 2 7 13

STEVEN M LARtMOREct-Eqx tr b ols'c cTs,D. oF Fkî. - w.RB.

UNITED STATES OF AM ERICA,

Plaintift

MITCHELL J. STEIN,

j Case No 11-80205-CR-MARRA/HOPKINS555

Defendant. jI

DEFENSE EXHIBIT LIST (FOURTH AMENDED DRAFT)

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1. 10/15/03 1000-1002 stein's Tax Indemnity Agreement

2. 12/2000 1003-1019 Mjtch/Tracey Stein's PreNup

3. 2003 1020 Recom MS's Demo CD of ECG DeviceDvDin pssn. of

D0J

4. Fall 2001 1021 E*rrrade Tape Rex Beaber/Feldmanudio file in

pssn. of DOJ

5. 01/25/10 1022-1025 january 2010 Dr. Allen Letter

6. 10/05/13 1026 W oodbury SEC Emails re: Blind Trust

7. 10/18/10 1027-1030 carter Aftldavit

8. 11/14/10 1031-1032 carter Agreement W/ Addison Place

9. 01/20/08 1033-1042 Martin Carter Consulting Agreement

10. 10/01/05 1043-1066 W oodbury SEC Ltrs. Re: Blind Trusts

11. 2005 - 1067-1098 Fjdelity 100 User Manual

2009

12. 2007 1099-1113 Harmison Draft Marquee Sales

1

Case 9:11-cr-80205-KAM Document 187 Entered on FLSD Docket 05/07/2013 Page 1 of 18



Initiative

13. 2007 1114-1127 signalife Power Point Presentation

14. 05/31/08 1128-1191 Harmison Summaly Report

1S. 2007 1192-1196 Harmison R&D Focus

16. Fall 2007 1197-1207 Fidelity 100 Harmison Report

17. 03/25/10 1208-1221 Battelle Memorial Institute Report

18. 2008 1222-1227 AFL Materials

19. 02/01/08 1228-1234 Five Knights Partners Agreement

20. 07/07/05 1235-1236 Pam Bunes' Note to Mitch Stein

21. 03/27/07 1237-1240 Management Representation Letter

22. 08/01/07 1241-1242 Emails re: Silve Group

23. 11/12/07 1243-1244 Audit Committee Minutes

24. 11/14/07 1245-1328 Form IO-QSB For Period End

09/30/2007

2S. 03/28/08 1329 Pickard Email re: Innet, Inc.

26. 03/19/08 1330-1467 Harmison and Pickard Letter to

Auditors

27. 2005-2008 1468-1632 Device Doctlm ents

28. 06/01/07 1633 Anand Email re: Short Selling

29. 03/2009 1634-1838 stein Emails with Anand and Soti

30. 2008 1839-1848 ventrex Photos

31. 12/2007 1849-1886 Additional Fidelity 100 Documents

32. 11/07/05 1887-1893 w oodbury Emails Re: RecomStatem ents

2




33. 06/01/12 1894-1899 Audit All Clear Letters

34. 08/2012 1900-1902 settlement Agreement

35. 06/08/11 1903 carter Email

36. 06/12/11 1904 carter Email

37. 11/30/10 1905-1906 carter Email

38. 01/06/11 1907-1912 carter Email

39. 05/21/11 1913 carter Email

40. 07/08/11 1914-1915 carter Email

41. 05/22/11 1916-1917 carter Email

42. 05/21/11 1918 carter Email

43. 12/27/07 1919-1920 Email Chain within Signalife Re:

Distribution Network

44. 06/14/02 1921-1939 ARC Finance Group LLC Agreement

45. 09/12/02 1940-1948 ARc/Recom Stock Technology Tsf.

Agm t.46. 2007 - 1949-1956 Audit Committee Meeting M inutes

2008

47. 09/03/08 1957-1966 yive Knights Partnership Rev. Liv. Trust

48. 12/2007 1967-1971 General Partnership Agmt.

(Stein/carter)49 2002-2008 1972-2031 Histoly of F-100 Developm ent

S0. 01/30/08 2032-2045 sjgnalife Corporate Advisory Agmt.

Rauch51. 05/05/06 2046-2085 signalife/Recom Corporate Bylaws

52. 11/17/06 2086-2098 sjgnalife Representation Letters

53. 09/2008 2099-2100 signalife Short Selling

3




S4. 2007 2101-2102 sjgnalife/singh Foreign BusinessVenture

55. 04/14/08 2103-2113 sjgnalife Webcast 04/14/2008

56. 12/01/05 2114-2128 THS Blind Trust

57. 03/12/08 2129-2179 Innet/signalcare Capital Venture Agmt.

58. 2005 2180-2181 Analysis re: Sales by ARC Blind Trust

59. 06/15/08 2182-2184 Email from M. Stein Administration

60. 08/2008 2185 R. Perkins Questions and Answers

61. 05/06/08 2186-2186 Email from Woodbury to Stein

62. 05/08/08 2187-2187 Email from W oodbury to Stein

63. 04/22/08 2188-2189 Email from W oodbury to Pickard &

Stein

64. 03/18/08 2190-2192 Email from Woodbury to Stella Leung

6S. 12/27/07 2193-2196 Email from Dr. Harmison to M. Stein

66. 12/24/07 2197-2198 Email from Gault to Harmison

67. 12/27/07 2199-2201 Email from Harmison to M. Stein

68. 10/16/07 2202 Email from Dobieco to W oodbury

69. 05/14/07 2203-2204 Email from Singh to Bunes

70. 05/14/07 2205- Em ail from Dobieco to W oodbury

71. 10/06/05 2206-2208 Ventrex Emails - Guthrie-ilildebrandt

71A. 11/01/05 2209-2210 Ventrex Emails - Telec. Meeting

Minutes

71B. 12/08/05 2211-2214 Ventrex Emails - Guthrie to Matthews

71C. 03/03/06 2215 Ventrex Emails - Woodbury to

Hildebrandt

4




71D. 05/09/06 2216-2218 Ventrex Emails - Singh to Callegari

71E. 05/10/06 2219-2220 ventrex Emails - Callegari to Singh

71F. 05/14/06 2221 Ventrex Emails - Singh to Guthrie

71G. 06/15/06 2222 Ventrex Emails - Matthews to Callegari

71H. 06/23/06 2223 Ventrex Emails - Gelfer to Callegari

711. 10/16/06 2224-2228 Ventrex Emails - SGN Build and Ship

History

71J. 03/12/07 2229 vcntrex Emails - Keitt to Callegari

71K. 03/20/07 2230-2233 Ventrex Emails - Callegari to Hutchens

71L. 11/05/07 2234-2239 Ventrex Emails - Callegari to Matthews

71M. 12/21/07 2240-2242 Ventrex Emails - Guthrie to Matthews

71N. 09/24/07 2243 Ventrex Emails - Guthrie to Matthews

710. 02/29/07 2244-2246 Ventrex Emails - Callegari to Gelfer

71P. 02/21/08 2247-2249 Ventrex Emails - Guthrie to Gelfer

71Q. 03/04/08 2250 Ventrex Emails - Gelfer to Calegari and

Trask

71R. 06/05/08 2251-2253 Ventrex Emails - Callegari to Guthrie

71S. 06/13/08 2254 Ventrex Emails - Gelfer to Callegari

71T. 10/30/08 2255-2256 Ventrex Emails - Callegari to Gelfer

71lJ. 10/30/08 2257-2258 Ventrex Emails - Callegari to Gelfer

72. 2007 2259-2416 I)r.Lowell T. Harmison Heart BOok

''Understanding the Signals''

73. 05/2008 2417-2418 carter K-1 2008

74. 03/19/06 2419-2425 M Stein Email

5






96. 11/15/06 10 - 12 Perkins-Black-ldarrison E-mail

97. 12/18/07 13 jones-llarmison-pickard E-mail

98. 03/06/07 14 - 16 jones-W oodbury E-mail

99. 03/15/07 17 Jones-Black-perkins-pickard E-mail

100. 11/06/06 18 - 19 jones-Woodbuly E-mail

101. 01/04/07 20 Perkins-Black-lones E-mail

102. 05/31/06 21- 22 sj-Audit Committee-luetter

103. 11/07/06 23 Perkins-W oodbury-Black-Bunes E-mail

104. 01/27/07 24- 26 Perkins-Bunes-Koblin E-mail ChainGold's Gym

105. 01/29/07 27 SGN Actual v. Budget 2006- 2006

106. 02/03/08 28 Woodbury-Harmison E-mail Cantrell

A>

107. 02/26/07 29 Gelfer-Bunes-Gault E-mail

108. 09/17/07 30 -31 Dr. Phillips-pickard-Black-W indom-

Johnson Email109. 02/09/06 32 -33 jones-W oodbuly E-mail

110. 10/20/05 34 - 35 Bunes Letter to Atlas Stock Transfer

111. 02/07/06 36- 38 Hjldebrandt-Bunes-W oodbtly Letter

112. 03/09/06 39 -40 Hildebrandt-Woodbury (Keitt) E-mail

113. 03/03/06 41-42 Gelfer-Hildebrandt-Bunes-Matthews-

W oodbury E-m ail114. 11/18/05 43-44 Perkins-Bunes E-mail Chain

lls. 2007 45 2006 system s Sold

116. 12/31/06 46 - 47 jnventoly Report

7




117. 02/05/07 48 - 50 Perkins-Btlnes-Drakulic E-mail Trail

118. 12/2005 51 South Carolina Salaries

119. 10/03/05 52-53 Perkins-Bunes-Kemper E-mail

120. 03/09/07 54 - 55 Keitt-W oodbury-Bunes E-mail

121. 3/20/07 16 Keitt-lones-W oodbuy-Bunes E-mail

122. 03/30/05 57-58 Forte-Bunes-Londoner E-mail

123. 05/24/07 S9 Bunes-W oodbury E-mail

124. 05/25/07 60 W oodbury-Bunes-Mexico E-mail

125. 05/29/07 61 - 62 Bunes-W oodbury E-mail

126. 07/18/06 63 Hildebrandt-W oodbury-Keitt-Bunes-Sosebee Stock Option E-mail

127. 08/02/05 64 -65 Bunes-W oodbury-Frense E-mail

128. 08/01/05 66- 67 Hildebrandt-W oodbury E-mail

129. 08/03/06 68 - 70 Hildebrandt-W oodbury-Bunes Email

Re: Jones130. 08/09/05 71-73 Bunes-W oodbury E-mail

131. 08/10/06 74 - 75 Bunes-W oodbury-Taylor E-mail

132. 08/22/05 76 - 78 Hildebrandt-W oodbury-Bunes E-mail

Re: Nephew

133. 09/01/05 79 -80 Hildebrandt-Bunes-W oodbury E-mailRe: S-8

134. 10/11/06 81 - 82 Hjldebrandt-Greene-Bunes-W oodbuc

E-mail135. 10/12/06 83-84 Perkins-company E-mail

136. 10/30/06 85 -86 Maxim-Fresne-Woodbury E-mail

137. 11/03/06 87 - 88 Keitt-Woodbury-lones E-mail Re: StockOption

8




138. 08/25/05 89 -91 Hildebrandt-Woodbury E-mail Re:Nephew

139. 10/13/06 92 - 93 jones-Woodbuly-Bunes E-mail

140. 03/31/05 94 -95 press Release Re: $5 Million

141. 2007 96 - 105 Promissory Note - Aguilar Barriga,

Mexico

142. 2007 106 - 118 gecurity Agreement - Barriga

143. 04/09/07 119 jones-Bunes E-mail - MJD Agt. (Pickard

and Woodbury)144. 10/05/07 120 jones-pickard E-mail

145. 10/27/06 121 jones-Woodbuly E-mail Re: JonesRequest for 25,000 Options

146. 03/14/07 122 - 123 Keitt-pickard-Bunes - lnventory E-mail

147. 07/26/07 124 - 126 Keitt-Woodbuly-lones-Btlnes E-mail

148. 04/25/07 127 Keitt-Woodbury E-mail (Drakulic Auto

Agt)149. 01/01/07 128 - 139 MjD - SGN - Investor Agt.

150. 12/26 - 3000 -3001 Harmjson - Stein - Dr. Phillip's Son E-

27/07 mail Chain

151. 05/26/11 3002 Perkins-Woodbury-Fiedler E-mail -Carter's Resum e

1S2. 05/21/11 3003 Riley-carter - Budget E-mail

153. 05/25/11 3004 Perkins-carter-W oodbuc-stein E-mail

154. 05/26/11 3005 Resume -- Martin Carter

155. 09/11/07 3006 - 3009 Harmison Letter to AMEX

156. 11/09/07 3010 -3035 Harmison AMEX Letter

1S7. 04/22/11 3036 -3038 carter Money Request

9




158. 09/17/07 3039 perkins-pickard-Black-Doctors Phillips,

W indom, Johnson E-mail

1S9. 06 - 08/11 3040 christina Carter Money Request Post-- 2011 Arrest

160. 04/20/07 3041 - 3042 Keitt-Bunes Distribution Form

161. 11/2008 3043-3044 stejn-Anand-phillips-W oodbuc - IR E-

m ail Chain

162. 03/25/08 3045 Harmison-Woodbury-lones E-mail Re:Son's Consulting Agt,

163. 04/16/08 3046 Harmison-Woodbuc-W indom-Rauch

E-mail Chain

164. 09/14/07 3047 Harmison-Doctors Phillips and W indomE-mail Re: W oodbury

16S. 09/26/07 3048 - 3049 Harmison-Woodbuly (PreSs Release'?)E-m ail

166. 09/14/07 3050 Harmison-W oodbury Letter Re: AMEXM isconduct

167. 01/21/08 3051- 3052 Harmison-W oodbury - Delisting E-mail

Chain

168. 03/19/08 3053 Harmison-W oodbuly - YA Funds

169. 03/11/08 3054- 3064 Harmison-llarmison Consulting

Agreem ent

170. 12/26/07 3065 Harmison-Griffin Letter Re: $100Million Credit Line

171. 01/28/08 3066 Harmison-W oodbury - Status Of YA? E-

mail

172. 02/06/08 3067 - 3068 Harmison-W oodbklry-stein E-mailChain

173. 02/29/08 3069 - 3073 Harmison-W oodbury AMEX E-mail

174. 04/03/08 3074 Harmison-Woodbury E-mail (Press

Release)

175. 04/2008 3075 Harmison - Presentation - Investors

176. 04/14/08 3076 -3125 Harmison Webcast Presentation

177. 01/24/08 3126 -3127 Harmison-Woodbul'y E-mail -- Respondto Ministry Netherlands

10




178. 01/24/08 5128- 3129 Harmison-Woodbuly E-mail -- Respondto Ministry Netherlands

179. 02/06/08 3130 - 3133 W oodbury Letter to AMEX

180. 02/06/08 3134 Harmison-Woodbury E-mail Re: AMEX(Stein included in this one)

181. 03/09/08 3135 Harmison-W oodbury ''TW O POINTS'' E-mail

182. 03/24/08 3136 Harmison-W oodbury 10-K Revisions

183. 04/15/08 3137 Harmison-W oodbuly - Royal Bank ofCanada E-m ail

184. 07/03/07 3138 Harmison-W oodbury E-mail Re: 8-K

(Stein copied after AMEX'S approval)

18S. 10/2007 3139 - 3140 Harmison-W oodbury d'Fatal Flaw Dr.Phillips'' E-mail

186. 08/24/07 3141 Harmison-W oodbury-AMEx Letter

187. 05/17 and 3142 - 3143 Harmison-W oodbuc -Black-Bunes-

23/07 Pickard Proxy Statement E-mail

188. 07/24/07 3144 Harmison-W oodbury-AMEx Letter

189. 02/2008 3145 -3149 summary National Sales Marketing Plan

190. 02/2008 31S0 - 3156 second Phase Of National MarqueeSales Plan

191. 02/2008 3157 SGN Organizational Chart

192. 03/17/08 3158 Harmison-lones E-mail Board MemberFolder Re: Sales

193. 03/25/08 3159 Harmison-Black-Doctors-lones-W oodbury-stein-pickard E-mail Re:

Distribution of Products

194. 02/11/08 3160 Harmïson-lones-pickard - Cash Balance

E-mail195. 03/05/08 3161 - 3172 sGN Suite ()f Products

196. 03/05/08 3173 Harmison-Doctors Sales Pitch

197. 03/17/08 31?4 Harmison-lones Folders For Board

11




198. 01/30/08 3175 Harmison - Facts Confirm E-mail -Financing

199. 01/30/08 3176 - 3177 joint Disbursement lnstructions Re:$29,911.29

200. 03/17/08 3178 -3179 Harmison-lones ''Approvedl'' E-mailTracey Jones

201. 08/29/07 3180 -3181 Harmison-pickard-lones E-mail Re:W ire

202. 01/23/08 3182 Harmison-pickard - Sarbanes-oxleyCompliance E-m ail

203. 12/15/07 3183 -3189 sarbanes-oxley Engagement Letter

with Assurance Partners LLP (Pickard)

204. 12/05/07 3190 Harmison-pickard 'fNot Please (D)'' E-mail

205. 04/11/08 3191 Harmison-W oodbury - TeleprompterE-mail

206. 08/13/07 3192 - 3193 Harmison-stein-AMEx-Litigation-High-Importance E-mail

207. 03/29/06 3194 Harmison-W oodbuc-Bunes-Black-Perkins 10-K 2006 E-mail

208. 03/30/05 3195 Harmison-Woodbuly Status of 10-k E-

mail (Black, Bunes)209. 04/11/08 3196 Harmison-pickard-Rauch E-mail

210. 04/10/08 3197 -3198 Harmison-W oodbury-pickard E-mail

Chain (Tracey Jones)211. 12/03/07 3199 Harmison-Gault - Football-coca-cola-

UPS-Shell 0il E-m ail

212. 09/10/07 3200 Harmison-Woodbuly ''This positionneeds to be challenged'' E-mail

213. 02/13/08 3201 Harmison-lones ''Please approve''Expenditure E-mail

214. 03/31/08 3202 - 3203 Harmsion-W oodbuly IT Health andCardiac Management E-m ail

215. 07/18/07 3204 Harmison-pickard Accounting SupportRequest E-mail

216. 08/21/07 3205 Harmison-W oodbury-Kading ''Is AMEXListing Secure?'' ''W hat's the answer?''

217. 08/22/07 3206 Harmison-Doctors W indom-phillips-

Johnson '' oa'' E-mail

12




218. 07/10/07 3207 - 3216 Dr. W indom CV

219. 09/07/07 3217 Harmison-Woodbuly CompensationCom mittee E-mail

220. 07/10/07 3218 - 3248 CV Dr. Phjljjps of National Institute ofHealth for Board of Directors

221. 07/11/07 3249 Harmison-W oodbury Re: KadingRequest for Timing of Press Releases

222. 07/11/07 3250 - 3251 Harmison-W oodbuly - Sarbanes-oxleyE-mail Chain and Board Meeting

223. 04/04/08 3252 - 3253 Harmison-W oodbuly APprOVa1 OfW ebcast News Release

224. 09/04/07 3254 - 3256 Harmison Letter to AMEX

225. 08/09/07 3257 W oodbury-Bunes-pickard YA FinancingE-mail

226. 02/06/06 3258 Harmison Only Vendor Quick Report

227. 03/19/08 3259 - 3396 Hendrix-llarmison-pickard E-mail -

Boliek (Elliott Davis)

228. 03/05/08 3397 Advance Notice (Harmison) SGN

229, 03/19/08 3398 - 3400 jones-Woodbury-pickard E-mail -

Board Agenda (Doctors, Black, Perkins)

230. 01/0g - 3401-3402 jones-pickard -- Trailer Expenses E-2008 mail

231. 02/08/08 3403 - 3405 Harmison-lones-pickard ''No CheckPolicy'' E-mail

232. 09/11/07 3406 -3407 AMEX E-mail to W oodbuly Apologizingfor ''Misconstrue''

233. 03/19/08 3408 - 3409 jones-Doctors-Black Board Agenda''Our Progress'' E-m ail

234. 03/2008 3410 - 3473 summary Report Dr. Lowell T.

Harmison

235. 02/12/08 3474 - 3475 Pickard-ilarmison-lones Re: ProductShipm ents

236. 11/2002 - Disclosed, A1l sGN public Filingsauthenticity

resent stipulated

pursuant toStipulation

Doc. 113, Pg.

3, 11 4

13




237. 2009 - Under A)I Deposition Transcripts (and Audiosubpoenae.011Returnable Recording of Lowell Harmison only)May6, 201a. before the SEC

238. 2002 - Under Trading Records of Mitchell J. Stein Re:subpoenae.012Iuturuable Complete SGN HistoryMay 6, 2013.

239. 2002 N0 Bates. sarbanes-oxley Act in its EntiretySubject toJudicialNotice.

240. 03/13/08 5805 Rauch Email

241. 01/26/08 4523 carter E-mail Re: Asia

242. 01/15/07 4531 carter E-mail Re: Cincinnati

243. 02/11/09 4535 carter E-mail Re: Misuse of E-mail

244. 12/26/07 4545 carter E-mail ''Shoot the Moon''

245. 03/16/08 4849-4851 Harmison E-mail - Phillips-Gelfer-Carter Travel W est

246. 02/08/08 5811 Rauch IR Progress Report

247. February 5812 - 5814 Rauch E-mail Re: Stock Manipulation

2008

248. 02/03 - 4631- 4639 carter Purchase Of Partnership Interest2 008

249. 03/19/10 3545 - 3557 Battelle Report

250. 03/31/10 3525 - 3544 AHA Report

2S1. 03/17/08 5815 Rauch E-mail

252. 04/04/08 5817 Rauch E-mail

253. 07/17/08 5818 - 5821 Buyjns.net Press Release Re: Short and

Purchase Recom mendation

254. 07/2008 5822 - 5831 Buyins.net FTD

255. 12/29/08 5524 - 5563 Balmoral Engagement

14




256. 03/24/08 5564 - 5566 Harmison E-mail ''I will not sign''

257. 03/07/08 5567 signed Balmoral Engagement

2s8. 0a/0s/08 5568 - 5569 Kincaid E-mail

2s9. 0a/09/08 5571 - ss72 Harmison E-mail

260. 09/19/08 5532 - 5533 sEC Bans Short Selling (AP)

261. 09/17/08 5834 - 5835 Ronk E-mail Advising of New SEC

Involvem ent against Naked Short

Selling

262. 09/03/08 5836 Ronk E-mail

263. 08/21/08 5837 Ronk E-mail

264. 08/05/08 5845 Ronk E-mail ''SGN on Naked Short List''

265. 07/10/08 5846 Ronk E-mail ''Over 22 Million SharesNaked Short Sold''

266. 07/16/08 5848 Ronk E-mail - Additional Press Release

267. 06/10/08 5855 Ronk E-mail - Short Sellers ''Shorted

the Float''

268. 03/26/08 5856 Ronk E-mail

269. 07/2008 5857 Ronk - 22 Million Shares Shorted onVolume of 148,462 shares of SGN

270. 03/18/09 5858 - 5912 01G Report Re: Naked Short SellingComplaints

271. 2001 7066 - 7106 Avanir Public Filing

272. 09/09/07 7107 - 7108 Harmison E-mail Blocking W oodbury'sPress Release

273. 10/21/97 7109 - 7131 sGN Patent No 5678559

274. 04/28/13 7132 - 7133 HRTT Current Trading Price

275. 01/2008 7134 - 7137 Harmison SGN Produd Lines

15




276. 02/2011 7138 - 7149 stein BK Plan Of Confirmation

277. 03/27/08 7150 - 7151 Kierl and Numerous Others E-mail

278. 2011 - 7152 - 7188 Biosig Documents2013

279. 2005 7189 - 7190 Lowell Harm ison Resum e

280. 03/27/08 7191 - 7192 perkins E-mail 10-K P0A

281. Petition 7193 - 7381 Petjtion to Transfer to Active Status -

Pending state Bar Courtsince

02/12/13282. 03/18/08 7382 - 7283 sGN W ebsite Face Page

283. 01/22/08 7384 - 7385 Usdan E-mail

284. 04/28/13 7386 Abreva Photograph (Product will bebrought to Trial)

285. 04/05/09 7387 - 7411 stein Bankruptcy Schedules

286. 07/20/09 7412 - 7413 securities Proof Of Claim, $100,000,000

and m ore - SGN

287. 1998 - NO Bates Ajj (j ()()%) credit Suisse Luxembourgumbers due

2010 loproblems oocuments Produced by DOJeading LateProducedGovernment

Disk (April201 3)

288. 09/04/09 7414 - 7156 Order Granting in Part, Denying in PartMotion to Dismiss Latham v. Matthews

Class Action

289. 07/13/11 7157 - 7467 Fjnal Order and Judgment - Latham v.Matthews Class Action

290. 05/17/02 7468 - 7507 Healthmed v. Intercontinental

lnvestment Assoc. (certified copy of

complaint)291. 03/14/13 State Bar Court Request f0r Appeal

7508 - 7509from the April 28, 2013 Decision by the

Hearing Dept.

292. 05/15/12 7510 - 7596 Copper v. Harris Amended Complaint

16




293. 09/22/08 7596 -7604 Perkins Stein Master Contract

294. 09/19 - 7605 HRTT stock Price Chart23/08

295. 2008 7606 chart No. 1 - SGN Trading Stein and/orFive Inv. 2008

296. 2003, 2008 7607 chart No. 2 - SGN Consultants paid by

Stein - 2003, 2008

297. 2000 - 7608 chart No. 3 - Credit Suisse Accounts

2011

298. 2002 - 7609 chart No. 4 - Arc's SGN Shares

2012

299. 04/2003 7610 - 7614 National Securities Trading Record -

04/2003

300. 05/2003 7615 - 7621 National Securities Trading Record -05/2003


06/2003302. 07/2003 7629- 7636 National Securities Trading Record -

07/2003303. 08/2003 7637 - 7643 National Securities Trading Record -


09/2003


306. 11/2003 7663- 7671 National Securities Trading Record -




02/2004



04/2004312. 05/2004 7723- 7729 National Securities Trading Record -

05/2004

17






07/2004

315. 08/2004 7742 -7746 National Securities Trading Record -08/2004





12/2004

320. 01/05 - 7774 - 7777 National Securities Trading Record -02/05 01/0s - 02/05


06/2005

+) ,3/*' tzv ) .<'l

18
