Free Objection to Exhibit List - District Court of Federal Claims - federal

Case 1:05-cv-00748-CCM Exhibit A

Document 67-2

Filed 02/07/2008

Page 1 of 28

Plaintiffs' Objections to Defendant's Proposed Exhibits 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26
Depo. Ex. # 1 2 3 4 5 6 7 8 9 10 11 12 13 14 16 17 18 19 20 21 22 23 24 25 26 Document Description Closing agreement between Bores and the IRS Letter from Floyd to Bores re: settlement initiative Draft summary of the Welles transaction Fee schedule for Welles transaction Confidentiality agreement between Shumaker, Bores, and J/G Facsimile from Bores to Deutsche Bank re: payment to J/G Fax authorizing payment of fees to J/G and Shumaker Letter from Shumaker to Tice re: separation agreement of Bores from TT Operating agreement of SJB Investments, LLC Facsimile from J/G to Bores Letter from Bores to Deutsche Banc Foreign exchange option agreement between Deutsche Banc and Bores Foreign exchange option agreement between Deutsche Banc and Bores Guaranty agreement Assignment of Therma-Tru shares from Bores to SJB Investments Assignment of Therma-Tru shares from Bores to SJB Investments Assignment of SJB LLC interest from Bores to SJB Inc. Assignment of SJB LLC interest from Bores to SJB Inc. Letter from SLK to Donna Guerin of J&G Letter from SLK to Donna Guerin of J&G Email from John Ivsan of SLK to Donna Guerin of J&G Draft legal opinion letter to Bores Legal opinion (draft) letter Letter from Donna Guerin of J&G to Bores Legal opinion letter from J&G to Bores Date 10/29/2004 8/27/2004 3/28/2000 3/30/2000 12/28/1999 12/20/2000 3/16/2001 5/16/2000 3/17/2000 4/4/2000 3/31/2000 4/3/2000 4/4/2000 Bates # SB 0009 - 16 FLOYD 000609, 611 - 621 IRS-JG-00864 IRS-JG-00863 SB 1076 - 1078 SB 0679 SB 0682 SB 0954 - 957 SB 0036 - 63 SB 0649 SB 0001 SB 0002 - 4 SB 0005 - 7 IRS-JG-SB 00167 - 169 IRS-JG-SB 00035 - 36 IRS-JG-SB 00037 - 38 SB 0107 - 110 SB 0111 - 114 IRS-JG-SB 00025 - 29 IRS-JG-SB 00030 - 36 IRS-JG-SB 00578 SB 0533 - 646 SB 0401 - 409 SB 0650 SB 0125 - 258 Basis for Objection 401, 403, 408 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403

3/24/2000 4/14/2000 4/?/00 4/30/2000 7/10/2000 4/13/2000 12/4/2000 3/?/99 3/21/2001 8/14/2000

Case 1:05-cv-00748-CCM

Document 67-2

Filed 02/07/2008

Page 2 of 28

1 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55

Depo. Ex. # 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55

Document Description Legal opinion letter from J&G to Bores Form 1065 of SJB LLC for the tax period ended Deutsche Banc account statement for SJB LLC, Acct. No. 22210774 Letter from J&G to Bores re: class actions Form 1120S of SJB Inc for the tax period ended 12/31/2000 Form 1040 of Bores for the tax period 2000 Form 1120S of SJB Inc for the tax period ended 12/31/2000 Form 1040X of Bores for tax period 2000 North Channel LLC operating agreement Handwritten notes Welles family meeting packet Welles family meeting minutes Welles family meeting agenda Letter from David Herpe to Jeff Welles Letter from Goldstein to Herpe with Stobie member signature pages Stobie Creek limited liability company agreement Letter to Larry Goldstein from Matthew Larvick Plaintiff's responses to the defendant's first set of interrogatories Letter from David Waterman to the Welles family Memorandum prepared by J&G Handwritten notes Diagram of Welles family pooled investment vehicle Diagram of Welles family office IDR response 001 of Virginia Jordan IDR response 002 of Virginia Jordan IDR response 003 of Virginia Jordan Intervenors' opposition to motion to compel, filed in U.S. v. J&G, No. 03 C 5693 (N.D. Ill.) Confidentiality agreement between Virginia Jordan and J&G Ivsan email to Guerin

Date 1/2/2001 4/30/2000 12/1/2000 5/28/2004

Bates # SB 0259 - 400 SB 1051 SB 0770 - 809 SB 0662 - 670 SB 1058 - 1075 SB 1019 - 1038 SB 1002 - 1016, 1018 SB 0979 - 995 WELLES 00009 - 27 WELLES 00001 - 5 WELLES PRIV 0001 WELLES PRIV 0008 WELLES PRIV 0004 WELLES 00133

Basis for Objection 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403

10/13/1999 1/23/2000 1/24/2000 1/23/2000 3/6/2000 5/19/2000

[not identified could not be located] WELLES 00086 - 119 WELLES 00067 - 73 SLK-0048 - 51 DKWJR-0024 - 44 WELLES PRIV 0007 WELLES PRIV 0006 WELLES 00006 VSJ-0001 - 6 VSJ-0007 - 22 VSJ-1025 - 1075 401, 403, 802

8/30/2000 10/31/2006 3/6/2000 11/1/1999 1/24/2000

7/7/2005 12/1/2005 10/9/2006

1/19/2000 3/20/2000

IRS-JG-08192 - 8194 801

2

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1 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80

Depo. Ex. # 56 57 58 59 60 61 62 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82

Document Description Index re: Virginia Jordan Operating agreement, VJ Investments, LLC VJ Enterprises, Inc. corporate minutes Digital option trade confirmation for VJ Investements LLC (EUR) Digital option trade confirmation for VJ Investements LLC (CHF) Deutsche Banc account statement for VJ Investments LLC, Acct. No. 222- 10770 Deutsche Banc account statement for VJ Investments LLC, Acct. No. 222- 10771 Fascimile from John Ivsan to J&G with attached assignments separate from certificate Letter from Donna Guerin of J&G to Virginia Jordan Legal opinion letter from J&G to Virginia Jordan IDR response 001 of David Welles, Jr. IDR response 002 of David Welles, Jr. IDR response 003 of David Welles, Jr. Confidentiality agreement between J&G and David Welles, Jr. Digital option trade confirmation for DKW Jr Investments LLC (EUR) Digital option trade confirmation for DKW Jr Investments LLC (CHF) Legal opinion letter from J&G to David Welles, Jr. IDR response 001 of Peter Welles IDR response 002 of Peter Welles IDR response 003 of Peter Welles Confidentiality agreement between J&G and Peter Welles Digital option trade confirmation for PCW Investments, LLC (EUR) Digital option trade confirmation for PCW Investments, LLC (CHF) Assignment of membership interest and joinder agreement Legal opinion letter from J&G to Peter Welles

Date 3/17/2000 3/17/2000 4/3/2000 4/4/2000 4/1/2000 3/1/2000 7/17/2000 2/13/2001 1/2/2001 6/24/2005 11/23/2005 9/27/2005 12/9/1999 4/3/2000 4/3/2000 1/2/2001 7/6/2005 11/30/2005 5/19/2006 1/19/2000 4/3/2000 4/3/2000 4/7/2000 1/2/2001

Bates # VSJ-0045 - 46 VSJ-0049 - 57 VSJ-0061 - 85 VSJ-0140 - 142 VSJ-0146 - 148 VSJ-0152 - 156 VSJ-0157 - 161 JFW-0741 - 756 IRS-JG-08129 VSJ-0162 - 272 DKWJR-0002 - 6 DKWJR-0007 - 22 DGWJR-1069 - 1254, 1366 -1370 DKWJR-0191 - 0194 DKWJR-0164 - 166 DKWJR-0170 - 172 DKWJR-0203 - 313 PCW-0001 - 6 PCW-0007 - 23 PCW-1030 - 1063 SLK-0054 - 56 PCW-0138 - 140 PCW-0144 - 146 PCW-0077 - 79 PCW-0165 - 275

Basis for Objection

3

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1 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104

Depo. Ex. # 83 84 85 86 87 88 89 90 91 92 93 94 95

Document Description Deutsche Banc account statement for PCW Investments, LLC, Acct. No. 222- 10764 Deutsche Banc account statement for PCW Investments, LLC, Acct. No. 222- 10765 Guaranty agreement between Peter Welles and DB Guaranty agreement between Peter Welles and DB IDR response 001 of Christopher Welles IDR response 002 of Christopher Welles IDR response 003 of Christopher Welles Confidentiality agreement between J&G and Christopher Welles Digital option trade confirmation for CSW Investments, LLC (EUR) Digital option trade confirmation for CSW Investments, LLC (CHF) Assignment of membership interest and joinder agreement Legal opinion letter from J&G to Christopher Welles Assignment of membership interest and joinder agreement for Qualified Annuity Trust and executed Schedules A-C to Stobie Creek company agreement Confidentiality agreement between J&G and Jeff Welles and David Welles, Sr. J&G BEDS Memo Digital option trade confirmation for JFW Investments LLC (EUR) Digital option trade confirmation for JFW Investments LLC (CHF) Handwritten notes Handwritten notes Chart of Welles Family Contract Amounts Fascimile from North Channel to SLK Deutsche Bank article Assignment agreement (EUR) Assignment agreement (CHF)

Date 3/1/2000 4/1/2000 3/28/2000 3/28/2000 6/30/2005 12/2/2005 1/19/2000 4/3/2000 4/3/2000 4/7/2000 1/2/2001 4/13/2000

Bates # PCW-0155 - 159 PCW-0150 - 154 IRS-JG-06899 - 6901 IRS-JG-06909 - 6911 CSW-0001 - 6 CSW-0007 - 24 CSW-1010 - 1079 SLK-0057 - 59 CSW-0123 - 125 CSW-0129 - 131 CSW-0105 - 107 CSW-0145 - 254 IRS-JG-05315 - 5346

Basis for Objection

96 97 98 99 100 101 102 103 104 105 106

12/9/1999

JFW-0647 - 652 802, Document is not complete.

4/3/2000 4/3/2000

JFW-0248 - 250 JFW-0251 - 253 JFW-1301 - 1305 IRS-JG-00837 JFW-0667 - 668 JFW-0715 - 720 JFW-0075 - 123 JFW-0254 - 256 IRS-JG-07635 - 07637 Document is not complete. 401, 403, 901 401, 403

3/30/2000 3/26/2001 3/27/2000 4/3/2000 4/3/2000

4

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1 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131

Depo. Ex. # 107 108 109 110 110 111 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131

Document Description Deutsche Banc account statement for JFW Investments LLC, Acct. No. 222-10761 Deutsche Banc account statement for JFW Investments LLC, Acct. No. 222- 10761 Memorandum from John Ivsan to Jeff Welles Guaranty agreement between Jeff Welles and Deutsche Banc Guaranty agreement between Virginia Jordan and DB Guaranty agreement between Jeff Welles and Deutsche Banc Guaranty agreement between Virginia Jordan and DB Letter from Susan Monro to Jeff Welles with attached Schedules A-C for signature Assignment of membership interest and joinder agreement Engagement letter from J&G to Jeff Welles (Stobie Creek) Letter from John Ivsan to Jeff Welles with J&G legal opinion letter Letter from John Ivsan to Larry Goldstein with J&G legal opinion letter Draft of J&G legal opinion letter for Jeff Welles Legal opinion letter from J&G to Jeff Welles Book to return net income statement of Stobie Creek Investments for 2000 Account activity of Stobie Creek Investments for 2000 IDR response 001 of Jeff Welles IDR response 002 of Jeff Welles IDR response 003 of Jeff Welles Stobie Creek 4/30/00 Return Stobie Creek 12/31/00 Return Northern Trust records for Stobie Creek; FX transactions Northern Trust records for Stobie Creek; FX gain/loss Northern Trust records for Stobie Creek; FX hedging Northern Trust records for Stobie Creek; Investments Letter from David Waterman to members of the Welles family Litigation Tolling Agreement between Welles and DB

Date 3/1/2000 4/1/2000 3/6/2000 3/27/2000 3/29/2000 3/27/2000 3/29/2000 4/3/2000

Bates # JFW-0260 - 264 JFW-0265 - 269 JFW-0258 - 259 IRS-JG-01007 - 1009 DOJ-STOBIE-00001147 - 1149 IRS-JG-05713 - 5715 DOJ-STOBIE-00001151 - 1153 JFW-0235 - 239 JFW-0202 - 204 JFW-0653 - 656 JFW-0274 ­ 376 JFW-0377 - 487 JFW-0494 - 641 JFW-1308 - 1418 JFW-0721 - 726 JFW-0728 - 740 JFW-0001 - 6 JFW-0007 - 24 JFW-0951 - 987

Basis for Objection

2/9/2001 8/21/2000 1/25/2001 1/2/2001 1/2/2001

6/20/2005 9/22/2005 8/9/2005 4/30/2000 12/31/2000 11/30/2006 11/30/2006 11/30/2006 12/31/2003 8/9/2000

PLAINTIFFS 001867 - 1934 PLAINTIFFS 001935 - 1994 PLAINTIFFS 001995 - 2039 PLAINTIFFS 002040 - 2054 SLK-9685-9687 PLAINTIFF'S 003025-3031

401, 403

5

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1 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156

Depo. Ex. # 132 133 134 135 136 137 400 401 402 403 404 405 406 407 408 409 409 410 411 412 500 501 502 503 504

Document Description Letter from Susan Monro to Peter Welles with attached Schedules A-C for signature Fascimile from John Ivsan to Larry Goldstein with attachment Handwritten notes (Goldstein) Handwritten notes (Goldstein) Assignment of membership interest and joinder agreement Welles Family Meeting packet Confidentiality agreement between David Welles Sr. and J&G Legal opinion letter from J&G for QAT Organizational documents for Welles Asset Management, Inc. Account agreement between Deutsche Banc and the Welles Qualified Annuity Trust Guaranty agreement between Deutsche Banc and Qualified Annuity Trust Letter from Jeff Welles to DB Option trade confirmation for Qualified Annuity Trust (EUR) Option trade confirmation for Qualified Annuity Trust (CHF) Option assignment agreement from Qualified Annuity Trust to Stobie Creek Assignment separate from certificate Assignment separate from certificate IDR response 001 of David Welles, Sr. and Georgia Welles IDR response 002 of David Welles, Sr. and Georgia Welles IDR response 003 of David Welles, Sr. and Georgia Welles Notice of deposition pursuant to subpoena for David Parse Subpoena to David Parse Confidentiality agreement between J&G and Jeff Welles Basis enhancing derivatives structure, Executive Summary Email from John Ivsan to Donna Guerin

Date

Bates # SLK-0842 - 0846

Basis for Objection

7/18/2000 PLAINTIFF'S 7257-59 PLAINTIFF'S 0007254 - 7256 IRS-JG-01723 - 01724, 02228 2230 PLAINTIFF'S 0007020 - 7152 IRS-JG-04339 - 4341; SLK-0069 IRS-JG-03226 - 3347 FLOYD 001141 - 1146, 1150 1174 DB-DOJ-COBRA 00148291 148297 IRS-JG-03369 - 3371 DB-DOJ-COBRA 00148371 DB-DOJ-COBRA 00053990 53992; FLOYD 002260 - 2262 DB-DOJ-COBRA 00054023 54025, 00157443 - 157445 DOJ-STOBIE-00001091; IRS-JG01777 -1779 FLOYD 001181 - 1185 JFW-0743 - 744 802 802

5/9/2000 12/9/1999 1/2/2001

3/31/2000 4/3/2000 4/4/2000

3/24/2000 4/14/2000 6/21/2005 11/21/2005 10/6/2006 7/17/2007 7/17/2007 12/9/1999 KC 3962 3/20/2000

401, 403 401, 403 IRS-JG-05546 - 5548 IRS-JG-00850 901, Duplicate of Exhibit 55

6

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1 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181

Depo. Ex. # 505 506 509 511 512 513 514 515 516 517 518 519 520 521 522 523 524 525 526 527 528 529 530 531 532

Document Description Email from John Ivsan to Donna Guerin Email from John Ivsan to Donna Guerin Stobie Creek capital contributions schedule Legal opinion letter from J&G to Jeff Welles Email from David Parse to Carrie Yackee with attachment Email from David Parse to Carrie Yackee with attachment Email chain from Carrie Yackee to Rick Pychewicz Email from Carrie Yackee to Rick Pychewicz with attachment Email from David Parse to Darlene Gobrecht, Yackee, and MacKay Email from Carrie Yackee to Richard Ignacio with attachment Email from Craig Brubaker to David Parse Spreadsheet containing ODET references Spreadsheet containing names of Deutsche Banc counterparties Email from Craig Brubaker to Stuart Tohill with attachment Email from Craig Brubaker to Ross Crawford Email from Craig Brubaker to Todd Clendening with attachment Email chain from Ross Crawford to Donna Guerin with attachment Email chain from Daniel Brooks to Craig Brubaker Email chain from Craig Brubaker to Eric Gallinek and Ross Crawford Email chain from Alex Alexander to David Parse Email from Craig Brubaker to Daniel Brooks and Perry Parker Email chain from Nancy Donohue to Craig Brubaker, Erwin Mayer and lryan Brubaker fax to Brooks Email from Craig Brubaker to Nancy Donohue and William Boyle Boyle fax to Glover

Date 3/20/2000 3/24/2000 4/1/2000 1/2/2001 11/23/1999 12/27/1999 1/28/2000 1/28/2000 10/24/2000 10/25/2000 6/11/2001

Bates # IRS-JG-00851 PLAINTIFF'S 002332 - 2333 IRS-JG-05566 - 5573 DOJ-STOBIE-00003519 - 3525 DOJ-STOBIE-00009474 - 9500 DOJ-STOBIE-00003624 - 3625 DOJ-STOBIE-00003434 - 3439 DOJ-STOBIE-00236383 - 236384 DOJ-STOBIE-00009438 - 9461 DOJ-STOBIE-00236326 - 236327 DOJ-STOBIE-00002330 - 2332 DOJ-STOBIE-00002468 - 2474 DOJ-STOBIE-00033754 - 33756 DOJ-STOBIE-00236156 - 236158 DOJ-STOBIE-00000077 - 85 DOJ-STOBIE-00000013 - 23 DOJ-STOBIE-00000149 - 150 DOJ-STOBIE-00000468 - 471 DOJ-STOBIE-00000011 - 12 DOJ-STOBIE-00000074 JG-NC038034 - 38035 DOJ-STOBIE-00000026 - 28 DOJ-STOBIE-00033742 - 33745 DOJ-STOBIE-00235866 00235869

Basis for Objection 901 901

401, 403, 802 401, 403, 802 401, 403, 802, Incomplete document 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802

10/26/1999 10/27/1999 10/27/1999 11/3/1999 11/3/1999 11/4/1999 11/4/1999 11/5/1999 11/5/1999 11/5/1999 11/8/1999 1/10/2000

7

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1 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 204 205 206 207 208

Depo. Ex. # 533 534 535 536 537 538 539 540 541 542 543 544 545 546 547 548 549 550 551 552 553 554 555 556 557 558 559

Document Description Email chain from Jason Shih to William Boyle Email from Craig Brubaker to Paul Young Email chain from Tom Tahl to Craig Brubaker Email chain from David Parse to Perry Parker with attachment Notice of deposition pursuant to subpoena for Craig Brubaker Subpoena to Craig Brubaker Fascimile from Craig Brubaker to Erwin Mayer Email from Craig Brubaker to Erwin Mayer with attachment Email from Craig Brubaker to Erwin Mayer and lryan Email chain from Craig Brubaker to Ross Crawford, Erwin Mayer, and Carla Rivera with attachment Email from Craig Brubaker to Todd Clendening with attached assignment agreement Presentation on tax planning ideas Email from Kevin Lynch to Craig Brubaker Email from Craig Brubaker to Nancy Donohue Email from Jeffrey Rupp to Jason Shih Sample digital option trade confirmation Email chain from Jennie Dunaway to Craig Brubaker Brubaker email to Young Email from Craig Brubaker to Erwin Mayer Email chain from Jeffrey Rupp to Craig Brubaker Email chain from Craig Brubaker to Earl Chesson Email chain from Craig Brubaker to Erwin Mayer with attachment Email from Craig Brubaker to Hany Farag Spreadsheet containing names of Deutsche Bank option clients Amended notice of deposition pursuant to subpoena for Perry Parker Subpoena to Perry Parker Email from Tom Tahl to Perry Parker, Zarah Perez, and Rick Pychewicz with attachment

Date 2/1/2000 5/1/2000 8/2/2000 8/15/2000 7/17/2007 7/17/2007 10/22/1999 10/18/1999 11/2/1999 11/2/1999 11/2/1999

Bates # DOJ-STOBIE-00033268 - 33269 DOJ-STOBIE-00033735 DOJ-STOBIE-00033746 - 33747 DOJ-STOBIE-00236301 - 236304

Basis for Objection 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403 401, 403 401, 403, 802 401, 403, 802 401, 403, 802 401, 802 401, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403 401, 043 401, 403, 802

JG-NC038014 - 38033 JG-NC037998 - 38011 DOJ-STOBIE-00000025 DOJ-STOBIE-00000133 - 140 DOJ-STOBIE-00000070 - 73 JG-NC037463 - 37466 DOJ-STOBIE-00236334 DOJ-STOBIE-00004891 - 4893 DOJ-STOBIE-00235974 JG-NC038918 - 38920 DOJ-STOBIE-00235864 DOJ-STOBIE-00033735 DOJ-STOBIE-00033734 DOJ-STOBIE-00235950 DOJ-STOBIE-00236322 - 236323 DOJ-STOBIE-00033731 - 33733 DOJ-STOBIE-00236328 - 236329 DOJ-STOBIE-00002462 - 2466

11/16/1999 11/17/1999 12/1/1999 2/29/2000 5/1/2000 5/16/2000 8/21/2000 8/31/2000 9/22/2000 10/30/2000 7/30/2007 7/19/2007 12/3/1999

DOJ-STOBIE-00033338 - 33344

8

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1 209 210 211 212 213 214 215 216 217 218 219 220 221 222 223 224 225 226 227 228 229

Depo. Ex. # 560 561 562 563 566 569 572 575 578 581 584 587 590 593 596 599 602 605 606 607 608

Document Description Email chain from Perry Parker to Bernadette Ayers Email chain from Francesco Piovanetti to Paul Glover RMS report Digital option trade confirmation for JFW Investments LLC (EUR) Digital option trade confirmation for JFW Investments LLC (CHF) Digital option trade confirmation for PCW Investments LLC (EUR) Digital option trade confirmation for PCW Investments LLC (CHF) Digital option trade confirmation for CSW Investments LLC (EUR) Digital option trade confirmation for CSW Investments LLC (CHF) Digital option trade confirmation for VJ Investments LLC (EUR) Digital option trade confirmation for VJ Investments LLC (CHF) Digital option trade confirmation for Qualified Annuity Trust (EUR) Digital option trade confirmation for Qualified Annuity Trust (CHF) Digital option trade confirmation for DKW Sr Investments LLC (EUR) Digital option trade confirmation for DKW Sr Investments LLC (CHF) Digital option trade confirmation for DKW Jr Investments LLC (EUR) Digital option trade confirmation for DKW Jr Investments LLC (CHF) Notice of deposition pursuant to subpoena for Jason Shih Subpoena for Jason Shih Email chain from Janice Lykes to Jason Shih, Ann Doyle and Paul Schiminger Email chain from Craig Brubaker to Jeffrey Rupp, Daniel

Date 12/21/2000 8/23/2001 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/4/2000 4/3/2000 4/3/2000 7/30/2007 7/30/2007 6/18/1999 11/5/1999

Bates # DOJ-STOBIE-00236306 ­ 236307 DOJ-STOBIE-00033284 ­ 33285 DOJ-STOBIE-243947 ­ 243950 IRS-JG-05255 - 5257 IRS-JG-05261 - 5263 IRS-JG-05267 - 5269 SLK0210 - 212 IRS-JG-00597 - 599 IRS-JG-00603 - 605 IRS-JG-05243 - 5245 IRS-JG-05249 - 5251 IRS-JG-05303 - 5305 IRS-JG-02954 - 2956 IRS-JG-04061 - 4063 IRS-JG-04067 - 4069 IRS-JG-01765 - 1767 SLK0234 - 236

Basis for Objection 401, 403, 802 401, 403, 802 401, 403, 802

DOJ-STOBIE-00000505 - 506 DOJ-STOBIE-00000026 - 28

401, 403 401, 403 401, 403, 802 401, 403, 802

9

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1 230 231 232 233 234 235 236 237 238 239 240 241

Depo. Ex. # 611 612 613 614 615 616 618 619 620 621 622 624

Document Description Brooks, and William Boyle Email chain from Steve Mitchell to Dan Donovan and Anne Doyle Email from Jason Shih to Willia Email from Jason Shih to William Boyle and Daniel Brooks regarding FX options Boyle email to Shih Email from William Boyle to Hal regarding options Email from William Boyle to Jason Shih Email from Matt Kolb to Hany Farag Email from Jeannette Kwong to Jason Shih Typed notes Kolb fax to Fang Email from Francesco Piovanetti to Paul Glover Email chain from Jules Goodman to Anne Doyle, Thomas Lloyd, and Jason Shih with attachment Transmittal letter with attachments Assignment separate from certificate Basis enhancing securities transaction summary - multiple summaries Notice of Act settlement of class action Supplemental notice of amended settlement class action Plaintiff's supplemental initial disclosures Memorandum from Larry Goldstein to John Ivsan Sample digital option trade confirmation Handwriting exemplar Dau3 Legal opinion letter template Legal opinion letter template Legal opinion letter template Legal opinion letter template List of client identification numbers (Bryan Lee) Declaration of Paul Daugerdas in Cemco Inv. V. United States ,

Date 1/3/2000 1/7/2000 2/8/2000 2/1/2000 2/10/2000 8/7/2000 10/30/2000 10/20/2000 10/27/2000 10/30/2000 8/23/2001 12/30/2002

Bates # DOJ-STOBIE-00033763 DOJ-STOBIE-00033270 - 33271 DOJ-STOBIE-00033853 DOJ-STOBIE-00033268 - 69 DOJ-STOBIE-00033286 - 33287 DOJ-STOBIE-00033854 DOJ-STOBIE-00200523 00200524 DOJ-STOBIE-00005554 DOJ-STOBIE-00200526 DOJ-STOBIE-00200523 - 24 DOJ-STOBIE-00033284 00033285 DOJ-STOBIE-00009252 ­ 9253 PLAINTIFF'S 003780 ­ 3787 IRS-JG-07607 - 7608 JG-NC039222, 34018, 34039 PLAINTIFF'S 0007488 - 0007539 SLK-9952 - 9998 PLAINTIFF'S 0006789 - 6791 JG-NC038918 - 20 JG-NC043627 - 43637 JG-NC043627 ­ 43637 JG-NC043498 ­ 43508 JG-NC043371 ­ 43381 JG-STCRK-004024 - 4025

Basis for Objection 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802

242 135A 243 63, 64 244 Cot1 245 246 247 248 249 250 251 252 253 254 255
Cot2 Cot3 Cot4 Cot5 Dau1 Dau2 Dau3 Dau4 Dau5 Dau7 Dau9

3/24/2000

401, 403 401, 403, 408 401, 403, 408

6/3/2004 1/5/2005 7/9/2007 6/28/2000 2/27/2000

11/23/2005

401, 403 401, 403 401, 403 401, 403 401, 403 401, 403, 802 401, 403

10

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1 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 271 272 273 274 275 276 277 278 279 280 281 282 283 284 285

Depo. Ex. # Flo1 Flo10 Flo11 Flo12 Flo13 Flo14 Flo15 Flo17 Flo18 Flo19 Flo2 Flo3 Flo4 Flo5 Flo6 Flo7 Flo8 Flo9 Fra1 Fra10 Fra11 Fra12 Fra13 Fra14 Fra15 Fra2 Fra3 Fra4 Fra5 Fra6

Document Description Civil Action No. 04C-8211 (N.D. Ill) Fascimile from Ivsan to Floyd Stobie Creek partner capital account summary Fascimile from Ivsan to Floyd Letter from Floyd to Shannon Healy with draft return Letter from Ivsan to Floyd Fascimile from Ivsan to John Beary with draft return Letter from Floyd to Cotter with draft return Work diary of Floyd Legal article on options Chapter 7 "Basis Consequences of Partnership Liabilities" Basis enhancing derivatives structure summary Stobie Creek file Fascimile from Waterman to Floyd Letter from Ivsan to Floyd Loans to purchase options Stobie 2001 Return Letter from Cotter to Ugorowski with IDR Responses Letter from Ivsan to Floyd with sample returns Subpoena for deposition Email from Jeff Frankel to Bob Kolek Email from Bob Kolek to Tom Wechter and Jeff Frankel Email from Jeff Frankel to Tom Wechter Email from Tom Wechter to Jeff Frankel Email from Jeff Frankel to Bob Kolek Email from Jeff Frankel to Bob Kolek Handwritten notes Graph prepared by Robert Kolb Graph prepared by Robert Kolb Article regarding economic forecasts Handwritten notes

Date 1/13/2000 1/30/2002 7/19/2000 7/25/2000 12/12/2000 1/15/2001 2/4/2006

Bates # FLOYD 002204 - 2208 PLAINTIFF'S 002115 - 2119 JFW-0819 - 825 JFW-0865 - 888 JFW-0826 - 828 JFW-0787 - 818 FLOYD 004832 - 4846 FLOYD 5043 - 5134

Basis for Objection 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403

3/17/2000 6/27/2000

FLOYD 002209 - 2231 FLOYD 002151 - 2331 FLOYD 002232 - 2236 FLOYD 004957 - 4958 PLAINTIFF'S 002081 - 2086 SCI-0001 - 385 FLOYD 004960 - 5042

2/14/2006 6/23/2000 10/9/2007 9/12/2007 9/12/2007 9/12/2007

401, 403 401

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1 286 287 288 289 290 291 292 293 294 295 296 297 298 299 300 301 302 303

Depo. Ex. # Fra7 Fra8 Fra9 Gol1 Gol10 Gol11 Gol12 Gol13 Gol14 Gol2 Gol3 Gol4 Gol5 Gol6 Gol7 Gol8 Gol9 Gue1

Document Description Frankel report 9/14/2007 Email from Colleen Feeney to Jeff Frankel Email to Bob Kolek and Tom Wechter from Jeff Frankel Letter from Susan Monro to Jeff Welles Stobie Creek Tax Return for 2001 Fascimile from John Ivsan to Larry Goldstein Letter from SLK to Larry Goldstein Proof of claim for class action against J&G Stobie Creek new investment request Fascimile from Larry Goldstein to David Welles, Sr. Fascimile from Larry Goldstein to Georgia Welles Minutes from Welles family meeting of January 24, 2000 Notes from Larry Goldstein Letter from SLK to Larry Goldstein with attached draft legal opinion Handwritten notes Fascimile from Larry Goldstein to Paul Hojnicki Typed notes regarding payment of attorney fees Email from Paul Daugerdas to Donna Guerin, Erwin Mayer, John Beery with attachment describing New Strategy Email from John Ivsan to Donna Guerin Email from John Ivsan to Donna Guerin Tax opinion sign-off forms

Date 9/7/2007 9/11/2007 4/10/2000 10/3/2000 1/15/2001

Bates #

Basis for Objection 401

PLAINTIFF'S 0006774 SLK-9831 - 9847 SLK-9865 - 9921 PLAINTIFF'S 008477- 8490 PLAINTIFF'S 0005880 - 5954 PLAINTIFF'S 0006091 - 6092 PLAINTIFF'S 0006093 - 6094 PLAINTIFF'S 003764 - 3767 VSJ 01363 PLAINTIFF'S 003213 - 3323 PLAINTIFF'S 002209 (Pulled for privilege) PLAINTIFF'S 0006865 ­ 6867 PLAINTIFF'S 0006043 JG-NC038040 - 38043 IRS-JG-00839 IRS-JG-00838 IRS-JG-07908, 6755, 5565, 4356, 3225, 2037, 873; IRS-JG-SB00367, 230 IRS-JG-00845 FLOYD 003863 JG-NC033779 - 33781 JG-NC033782 - 33788 JG-NC033789 - 33795 JG-NC056411 - 56418 401, 403 401, 403, 408

5/18/2000 5/19/2000 5/9/2000 12/31/2000 1/25/2001

401, 403, 602, 802

401, 403, 501, 802, 901

3/16/2001 10/22/1999 3/22/2000 4/4/2000

401, 403 401, 403, 802 401, 403, 802 401, 403, 802

304 Gue10 305 Gue11 306 Gue12

307 Gue13 Email from John Ivsan to Donna Guerin 308 Gue14 Letter from Robert Floyd to Donna Guerin 309 Gue2 Template index 310 Gue3 Basis enhancing derivatives structure 311 Gue4 Basis enhancing securities transaction 312 Gue5 Basis enhancing securities transaction

4/4/2000 9/10/2001

802 401, 403 401, 403 401, 403 401, 403 401, 403

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1 313 314 315 316 317 318 319 320 321 322 323 324 325 326 327 328 329 330 331 332 333 334 335 336

Depo. Ex. # Gue6 Gue7 Gue9 Ivs 1 Ivs10 Ivs11 Ivs12 Ivs13 Ivs14 Ivs2 Ivs3 Ivs4 Ivs5 Ivs6 Ivs7 Ivs8 Ivs9 Jfw1 Jfw2 Jfw3 Jfw4 Jfw5 Jfw6 Jfw7

Document Description Son of BOSS transactions summary chart Spreadsheet identifying persons who engaged in short option transactions Handwritting exemplar Ivs1 Declaration of John Ivsan in United States v. J&G , Civ. No. 03 C 5693 (N.D Ill.) Declaration of John Ivsan in United States v. J&G, Civ. No. 03 C 5693 (N.D. Ill.) Assignment documents Stobie Creek transactional documents Email chain from John Ivsan to Donna Guerin Email from Ivsan to Beery Email chain from John Ivsan to Bruce Gordon Letter from Lemuel Gibbons to Micki Worley Letter from John Ivsan Letter from Ivsan to Bruce Email from Daugerdas to Guerin Email chain from John Ivsan to Donna Guerin Email from John Ivsan to Donna Guerin Fascimile from John Ivsan to Jeff Welles with attached memorandum Fascimile from John Ivsan to Donna Guerin with attached memorandum Legal opinion of J&G to Newsom and Morgan Legal opinion of J&G to Morgan Handwritten notes Fascimile from J&G Reasearch materials Data regarding options Plaintiff's amended answers to the United States' second set of interrogatories Kolb expert report Figures relating to option trades Figures relating to option trades

Date

Bates # JG-NC067684 - 67702 JG-STCRK-004420 ­ 4543

Basis for Objection 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403, 802 401, 403, 802 401, 403, 802 401, 403 401, 403 401, 403, 802 401, 403, 802

12/13/2004 12/13/2004

JVI-0067 ­ 71 JVI-0067 - 71 SLK-4061 ­ 4065 FLOYD 001137 - 1832 Ivsan Dep. Exhibit 12 IRS-JG-00735 SLK-4360 ­ 4363 JVI-0544 ­ 46 JVI-0044 ­ 46 JVI-0047 ­ 49 IRS-JG-00857 JVI-0076 SLK-0044 ­ 45 IRS-JG-03211 ­ 3213 JG-CL0432431 - 432542 JG-CL0432544 - 432664 PLAINTIFF'S 002213 IRS-JG-05760 ­ 5820 PLAINTIFF'S 004097 ­ 4158 PLAINTIFF'S 002217

5/15/2000 12/28/2000 10/15/2001 1/26/2005 10/14/1999 10/20/1999 10/22/1999 12/9/1999 12/14/1999 3/7/2000 3/10/2000 4/8/1999 4/8/1999 4/4/2000

6/21/2007 9/11/2007

337 Kol1 338 Kol10 339 Kol11

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1 340 341 342 343 344 345 346 347 348 349 350 351 352 353 354 355 356 357 358 359 360 361 362 363 364 365 366 367 368 369 370

Depo. Ex. # Kol2 Kol3 Kol4 Kol5 Kol6 Kol7 Kol8 Kol9 Lev1 Lev10 Lev11 Lev12 Lev13 Lev14 Lev2 Lev4 Lev5 Lev6 Lev7 Lev8 Lev9 She1 She2 She3 She4 She5 She6 Smi1 Smi2 Smi3 Wat1

Document Description Letter from Kolb to Kolek with corrections to report Kolb rebuttal report Kolb subpoena Graph Graph Graph Figures relating to option trades Figures relating to option trades Digital option strategy of JFW Investments Graph of implied volatility Letter from Levich to Kolek Email chain from Wechter to Levich Handwritten notes, charts, and articles Levich subpoena Email from Levich to Wechter and Kolek Probability calculations List of spot exchange rates Graph Levich expert report Handwritten notes, charts, and calculations Chart Expert report of Ira Shepard Nonprosecution agreement with J&G Handwritten notes Handwritten notes Draft expert report (Shepard) Legal opinion letter from J&G to Jeff Welles Smith expert report Diary and work record Email from Smith to Kolek Handwritten notes

Date 10/6/2007 10/11/2007 10/9/2007

Bates #

Basis for Objection

401

9/30/2007 5/17/2006 10/9/2007 7/24/2007

9/13/2007

10/1/2007 401, 403

10/1/2007 1/2/2001 10/1/2007 9/5/2007 SLK-0870 ­ 885 802

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1

Depo. Ex. #

Document Description

Date 3/31/2000 9/25/2001 8/18/2000 4/8/2004 2/11/2000 3/27/2007 2/22/2000 2/22/2000 2/23/2000 3/3/2000 3/6/2000 3/3/2000

Bates # IRS-JG-00862 ­ 867 PLAINTIFF'S 003103 ­ 3118 SLK-9688 ­ 9720 SLK-9946 ­ 9948 PLAINTIFF'S 002330 PLAINTIFF'S 003063 ­ 3068 SLK-9655 SLK-9651 ­ 9654 SLK-9656 ­ 9659 SLK-9660 ­ 9664 SLK-9669 ­ 9670 SLK-9665 ­ 9668 JG-NC033781

Basis for Objection 401, 403, 802

371 Wat10 Email from John Ivsan to Donna Guerin with attachment 372 Wat11 Invoice from SLK to Stobie Creek 373 Wat12 Memorandum from Thomas Cotter and John Ivsan to David 374
Wat13 Waterman Fascimile from Thomas Cotter to Deborah Heilizer with attached letter EUR/USD linked digital options Fascimile from David Parse and Rod Mackay to Jeff Welles Email from Gregory Yadley to Pat Carpenter Draft letter from David Waterman to members of the Welles family Draft letter from David Waterman to members of the Welles family Draft letter from David Waterman to members of the Welles family Draft letter from David Waterman to members of the Welles family Draft letter from David Waterman to members of the Welles family 2000/2001 template index for tax opinions Answer to the United States' First Set of Document Requests to Plaintiff Answer to the United States' Second Set of Document Requests to Plaintiff Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (CHF) Assignment agreement (EUR) Assignment agreement (EUR) Assignment agreement (EUR)

401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403

375 Wat15 376 Wat16 377 Wat2 378 Wat3 379 380 381 382 383 384 385 386 387 388 389 390 391 392 393 394 395
Wat4 Wat5 Wat6 Wat7

10/31/2006 5/18/2007 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 CSW-0132 ­ 134 DKWJR -0173 ­ 175 DOJ-STOBIE-00152984 ­ 152986 FLOYD 002257 - 2259 FLOYD 002269 - 2271 FLOYD 002317 - 2319 FLOYD 002329 - 2331 CSW-0126 ­ 128 DKWJR-0167 ­ 169 DOJ-STOBIE-00152990 ­ 152992

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1 396 397 398 399 400 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 418 419 420 421 422 423 424 425 426

Depo. Ex. #

Document Description Assignment agreement (EUR) Assignment agreement (EUR) Assignment agreement (EUR) Assignment agreement (EUR) Assignment of membership interest and joinder agreement Assignment of membership interest and joinder agreement Assignment of membership interest and joinder agreement Assignment of membership interest and joinder agreement Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Assignment separate from certificate Basis enhancing securities transaction, executive summary Basis enhancing securities transaction, executive summary By-Laws By-Laws By-Laws By-Laws By-Laws By-Laws By-Laws Cash Handling Agency Agreement for Stobie Creek Certificate of formation, CSW Investments, LLC Certificate of formation, DKW Junior Investments, LLC

Date 4/3/2000 4/3/2000 4/3/2000 4/3/2000

Bates # FLOYD 002251 - 2253 FLOYD 002263 - 2265 FLOYD 002311 - 2313 FLOYD 002323 - 2325 DKWJR-0137 ­ 0139 FLOYD 001329 - 1331 FLOYD 001830 - 1832 IRS-JG-05315 ­ 5318 CSW-0361 ­ 362 IRS-JG-00566 ­ 567 IRS-JG-00569 ­ 570 IRS-JG-04052 ­ 4053 IRS-JG-04057 ­ 4058 IRS-JG-05224 ­ 5225 IRS-JG-06455 ­ 6456 IRS-JG-06458 ­ 6459 IRS-JG-07610 ­ 7611 IRS-JG-01728 ­ 1729 IRS-JG-01731 ­ 1732 JG-NC034018 JG-NC034019 FLOYD 001249 - 1263 SLK-0194 ­ 208 SLK-0274 ­ 288 SLK-0355 ­ 369 SLK-0436 ­ 450 SLK-0522 ­ 536 SLK-0604 ­ 618 WELLES 00130 - 132 SLK-0335 ­ 336 SLK-0502 ­ 503

Basis for Objection

4/14/2000 3/24/2000 4/14/2000 3/24/2000 4/14/2000 3/24/2000 3/24/2000 4/14/2000 4/14/2000 3/24/2000 4/14/2000

401, 403 401, 403

3/17/2000 3/17/2000 3/17/2000

401, 403

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1 427 428 429 430 431 432 433 434 435 436 437 438 439 440 441 442 443 444 445 446 447 448 449 450 451 452 453 454 455

Depo. Ex. #

Document Description Certificate of formation, DKW Senior Investments LLC Certificate of formation, JFW Investments, LLC Certificate of formation, PCW Investments, LLC Certificate of formation, VJ Investments, LLC Certificate of Incorporation, CSW Asset Mgmt. Inc. Certificate of incorporation, DKW Junior Enterprises, Inc. Certificate of incorporation, DKW Senior Enterprises, Inc. Certificate of incorporation, JFW Enterprises, Inc. Certificate of incorporation, PCW Enterprises, Inc. Certificate of incorporation, VJ Enterprises, Inc. Certificate of incorporation, Welles Asset Mgmt. Inc. Correction sheet of David DeRosa DB account agreement, DB account agreement, CSW Asset Mgmt. Inc. DB account agreement, CSW Inv. LLC DB account agreement, DKW Jr Ent. Inc. DB account agreement, DKW Jr Inv. LLC DB account agreement, DKW Sr. Ent. Inc. DB account agreement, DKW Sr. Inv. LLC DB account agreement, JFW Ent. Inc. DB account agreement, JFW Inv. LLC DB account agreement, PCW Ent. Inc. DB account agreement, PCW Inv. LLC DB account agreement, Stobie Creek Inv. LLC DB account agreement, VJ Ent. Inc. DB account agreement, VJ Inv. LLC Department of Justice press release Deposition and document subpoenas issued to Virginia, Peter, Christopher, David Jr., David Sr., and Jeffrey Welles, and answers thereto. Deutsche Banc account statements for CSW Inv. LLC, Acct. No. 222-10762

Date 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000

Bates # FLOYD 001225 - 1226 SLK-0416 ­ 417 SLK-0254 ­ 255 SLK-0175 ­ 176 SLK-0348 ­ 349 SLK-0515 ­ 516 FLOYD 001240 - 1241 SLK-0429 ­ 430 SLK-0267 ­ 268 SLK-0187 ­ 188 SLK-0597 ­ 598 DOJ-STOBIE-00001010 ­ 1013 DOJ-STOBIE-00001050 ­ 1053 DOJ-STOBIE-00000995 ­ 998 DOJ-STOBIE-00001078 ­ 1081 DOJ-STOBIE-00001031 ­ 1034 DOJ-STOBIE-00001064 ­ 1067 DOJ-STOBIE-00001017 ­ 1020 DOJ-STOBIE-00001042 ­ 1045 DOJ-STOBIE-00000987 ­ 990 DOJ-STOBIE-00001055 ­ 1058 DOJ-STOBIE-00001002 ­ 1005 DOJ-STOBIE-00001036 ­ 1039 DOJ-STOBIE-00001068 ­ 1071 DOJ-STOBIE-00001024 ­ 1027 US1043 ­ 1049

Basis for Objection

3/27/2000 3/27/2000 3/28/2000 3/28/2000 3/28/2000 3/28/2000 3/27/2000 3/27/2000 3/28/2000 3/28/2000 3/27/2000 3/29/2000 3/29/2000 3/28/2007

401, 403, 802 401, 403

Mar/Apr2000

DOJ-STOBIE-00000885 ­ 894

17

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1 456 457 458 459 460 461 462 463 464 465 466 467 468 469 470 471 472 473

Depo. Ex. #

Document Description Deutsche Banc account statements for DKW Jr Inv. LLC, Acct. No. 222-10772 Deutsche Banc account statements for DKW Sr Inv. LLC, Acct. No. 222-10768 Deutsche Banc account statements for JFW Inv. LLC, Acct. No. 222-10761 Deutsche Banc account statements for PCW Inv. LLC, Acct. No. 222-10765 Deutsche Banc account statements for QAT, Acct. No. 22210767 Deutsche Banc account statements for Stobie Creek Inv., Acct. No. 222- 10759 Deutsche Banc account statements for Stobie Creek Inv., Acct. No. 222- 10759 Deutsche Banc account statements for VJ Inv. LLC, Acct. No. 222-10771 Digital option trade confirmation for CSW Investments LLC (CHF) and assignment agreement Digital option trade confirmation for CSW Investments LLC (EUR) and assignment agreement Digital option trade confirmation for DKW Jr Investments LLC (CHF) and assignment agreement Digital option trade confirmation for DKW Jr Investments LLC (EUR) and assignment agreement Digital option trade confirmation for DKW Sr Investments LLC (CHF) and assignment agreement Digital option trade confirmation for DKW Sr Investments LLC (EUR) and assignment agreement Digital option trade confirmation for PCW Investments LLC (CHF) and assignment agreement Digital option trade confirmation for Qualified Annuity Trust (CHF) and assignment agreement Digital option trade confirmation for VJ Investments LLC (CHF) and assignment agreement Digital option trade confirmation for VJ Investements LLC (EUR) and assignment agreement

Date Mar/Apr2000 Mar/Apr2000 Mar/Apr2000 Mar/Apr2000 Mar/Apr2000 Apr-Jun2000 Apr-Jun2000 Mar/Apr2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000

Bates # DOJ-STOBIE-00000935 ­ 943 (thru 944?) DOJ-STOBIE-00000915 ­ 924 DOJ-Stobie-00000875 ­ 884 DOJ-STOBIE-00000895 ­ 904 DOJ-STOBIE-00000905 ­ 914 DOJ-STOBIE-00000858 ­ 874 IRS-JG-01031 ­ 1047 DOJ-STOBIE-00000925 ­ 934 DOJ-STOBIE-00152951 ­ 152956 DOJ-STOBIE-00152957 ­ 1529562 DOJ-STOBIE-00152943 ­ 152948 DOJ-STOBIE-00152937 ­ 152942 DOJ-STOBIE-00152973 ­ 152978 DOJ-STOBIE-00152967 ­ 152972 DOJ-STOBIE-00152919 ­ 152924 DOJ-STOBIE-00152914 ­ 152918

Basis for Objection

4/3/2000 4/3/2000

DOJ-STOBIE-00152925 ­ 152930 DOJ-STOBIE-00152931 ­ 152936

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1 474 475 476 477 478 479 480 481 482 483 484 485 486 487 488 489 490 491 492 493 494 495 496 497 498

Depo. Ex. #

Document Description Draft opinion letter, long term capital loss generator Draft opinion letter, ordinary loss generator Draft opinion letter, short term capital loss generator Durable power of attorney conferred by David Welles, Sr. to Georgia Welles Durable power of attorney conferred by David Welles, Sr. to Georgia Welles Email chain Email chain from Carrie Yackee to David Parse with J&G spreadsheet attached Email chain from Carrie Yackee to Donna Guerin Email chain from Craig Brubaker to Eric Gallinek Email chain from Craig Brubaker to Erwin Mayer Email chain from Craig Brubaker to Erwin Mayer Email chain from Daniel Brooks to Craig Brubaker with attachment Email chain from David Parse to Carrie Yackee Email chain from Jason Shih to Steve Mitchell Email chain from John Ivsan to Donna Guerin Email chain from John Ivsan to John Berry Email chain from Jonathan Paul to Nancy Donohue Email chain from Judith Worthy to Farshid Zadanfarrokh and Cleavon Tate Email chain from Robert Coplan to Donna Guerin and Paul Daguerdas Email chat6in from Robert Coplan to Donna Guerin and Paul Daguerdas Email chain from Ross Crawford to Craig Brubaker Email from Carrie Yackee to Richard Ignacio Email from Carrie Yackee to Richard Ignacio with attachment Email from Craig Brubaker to Erwin Mayer Email from Craig Brubaker to Erwin Mayer

Date

Bates # (JG-NC043499 - 43626) (JG-NC043627 - 43753) JG-NC043372 ­ 43397 (Incomplete should go to 43497) PLAINTIFFS 008520 ­ 8523 PLAINTIFFS 008531 ­ 8534 DOJ-STOBIE-00000467 ­ 471 (Should it start at 466?) DOJ-STOBIE-00300864 ­ 300878

Basis for Objection 401, 403 401, 403 401, 403

11/15/2006 11/15/2006

401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403

6/14/2000 11/4/1999 11/5/1999 11/10/1999 11/3/1999 10/29/1999 12/8/1999 4/13/2000 12/28/2000 9/13/2001 11/8/2000 2/29/2000 11/19/1999 10/21/1999

DOJ-STOBIE-00000552 DOJ-STOBIE-00000215 ­ 217 DOJ-STOBIE-00000435 ­ 436 DOJ-STOBIE-00000466 DOJ-STOBIE-00000121 -131 DOJ-STOBIE-00033856 ­ 33857 DOJ-STOBIE-00235975 IRS-JG-00780 ­ 781 IRS-JG-00735 ­ 736 DOJ-STOBIE-00033278 DOJ-STOBIE-00236314 ­ 236316 JG-NC055898 - 55899 JG-NC056068 - 56070 DOJ-STOBIE-00000168 ­ 169 DOJ-STOBIE-00300504 ­ 300513 DOJ-STOBIE-00301006 ­ 301022 DOJ-STOBIE-00000221 ­ 225 DOJ-STOBIE-00029125

11/2/1999 11/2/1999

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1

Depo. Ex. #

Document Description

Date

Bates #

Basis for Objection [not identified could not be located, wrong bates number or description] 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802

499 500 501 502 503 504 505 506 507 508 509 510 511 512 513 514 515 516 517 518 519 520 521 522

Email from Craig Brubaker to Erwin Mayer, lryan with attachment Email from Craig Brubaker to Nancy Donohue and William Boyle Email from Craig Brubaker to Ray Guenther with attachment Email from Craig Brubaker to Ross Crawford Email from Daniel Brooks to Paul Daguerdas with attachment Email from Donna Guerin to Michael Cook with attachment Email from Donna Guerin to Paul Daguerdas with attachment Email to Shah from Grancine Graillot to various recipients with attachment Email from Matthew Connelley to various recipients with attachment Email from Mervin Horst to Donna Guerin with attachment Email from Ross Crawford to Donna Guerin with attachment Email from Tom Tahl to Perry Parker with attachment Email from Tom Tahl to Perry Parker, Zarah Perez, and Rick Pychewicz with attachment Email from William Boyle to Jason Shih and Jeff Rupp Email from William Boyle to various recipients with attachment Email to Donna Guerin to Michael Cook with attachment Expert rebuttal report of David DeRosa Expert report of David DeRosa Fascimile from David Herpe to John Ivsan Fascimile from Jeff Welles to Susan Madden Fax from Donna Guerin to John Ivsan Fax from Ivsan to Cotter with J&G memo attached Floyd fax to Goldstein with draft return Floyd letter to Goldstein

11/5/1999 11/8/1999 10/29/1999 10/27/1999 9/29/1999 3/2/2004 10/18/2001 9/29/2000 8/8/2000 11/4/1999 11/3/1999 12/9/1999 12/3/1999 2/1/2000 1/10/2000 3/3/2004

JG-NC038034 - 38039 DOJ-STOBIE-00033742 ­ 33743 DOJ-STOBIE-00000033-38 DOJ-STOBIE-00000249 ­ 251 JG-NC055846 - 55850 JG-STCRK-004091 ­ 4147 JG-NC065238 - 65244 DOJ-STOBIE-00236365 ­ 236366 DOJ-STOBIE-00235817 ­ 235829 JG-NC065429 - 65431 JG-NC065418 - 65421 DOJ-STOBIE-00002475 ­ 2490 DOJ-STOBIE-00033338 ­ 33343 DOJ-STOBIE-00033268 ­ 333269 DOJ-STOBIE-00235866 ­ 235869 JG-STCRK-004034 ­ 4090

3/15/2000 3/30/2000 3/1/2000 9/17/2001 3/21/2001

WELLES 00125 - 126 PLAINTIFFS 008688 IRS-JG-00835 ­ 836 SLK-2442 ­ 2464 Plaintiff's 0006924 - Plaintiff's 0006945 JFW-0862 - JFW-0863

401, 403

401, 403

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1 523 524 525 526 527 528 529 530 531 532 533 534 535 536 537 538 539 540 541 542 543 544 545 546 547 548 549 550 551

Depo. Ex. #

Document Description Global FX Operations 2000 Update Goldstein letter to Aubry (SLK) re payout schedule and consideration receipts. Guaranty agreement between Chris Welles and DB Guaranty agreement between Chris Welles and DB Guaranty agreement between DKW Jr and DB Guaranty agreement between DKW Jr and DB Guaranty agreement between DKW Sr and DB Guaranty agreement between DKW Sr and DB Guaranty agreement between QAT and DB IDR Responses of Stobie Creek for tax years 2000 and 2001 Index re: Christopher Welles Index re: David Welles, Jr. Index re: David Welles, Sr. Index re: Jeff Welles Index re: Peter Welles Index re: Welles Asset Mngt. Inc. Indicative Term Sheets Invoice from Donna Guerin to Larry Goldstein Ivsan fax to Goldstein with payout schedule Kolb workpapers Legal opinion from J&G to David Welles Sr. Legal opinion letter from J&G for QAT Letter from David Herpe to David Welles Letter from David Herpe to Jeff Welles Letter from David Herpe to Jeff Welles Letter from David Herpe to Jeff Welles Letter from David Waterman to Welles Letter from David Welles, Jr. to Jeff Kenner Letter from Donna Guerin to Jeff Welles with enclosure

Date

Bates # DOJ-STOBIE-00235819 ­ 00235829 Plaintiff's 0006170 - Plaintiff's 0006171 DOJ-STOBIE-00001119 ­ 1121 DOJ-STOBIE-00001123 ­ 1125 DOJ-STOBIE-00001111 ­ 1113 DOJ-STOBIE-00001115 ­ 1117 DOJ-STOBIE-00001103 ­ 1105 DOJ-STOBIE-00001107 ­ 1109 DOJ-STOBIE-00001099 ­ 1101 CSW-0026 ­ 27 DKWJR-0076 ­ 77 FLOYD 001222 - 1223 JFW-0155 ­ 156 FLOYD 001639 - 1640 SLK-0595 ­ 596 DOJ-STOBIE-300016 ­ 300245 PLAINTIFF'S 0006862 ­ 6864 Plaintiff's 0004746 - Plaintiff's 0004749 KOLB 0001 ­ 0035 IRS-JG-04357 ­ 4480 (Already in at 139) WELLES PRIV 0009 (3 pages) WELLES 00124 WELLES 00133 WELLES 00134 SLK-9949 ­ 9951 KC 0042 # 00001165

Basis for Objection 401, 403, 802

11/28/2000 3/27/2000 3/28/2000 3/28/2000 3/28/2000 3/28/2000

1/15/2001 9/11/2000

1/2/2001 9/14/1999 3/20/2000 3/6/2000 3/3/2000 11/4/2005 11/9/1999 2/13/2001

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Page 22 of 28

1 552 553 554 555 556 557 558 559 560 561 562 563 564 565 566 567 568 569 570 571 572 573 574 575 576

Depo. Ex. #

Document Description Letter from Jeff Kenner to Jeff and David Welles (Jr) Letter from Jeff Welles to DB (JFW Inv.) Letter from Jeff Welles to DB (PCW Inv.) Letter from Jeff Welles to DB (VJ Inv.) Letter from Jeff Welles to DB (DKW Jr. Inv.) Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Jeff Welles to DB Letter from Larry Goldstein to David Herpe Letter from Phillip Rowe to Erwin Mayer Letter from Plaintiff's counsel to the United States' counsel, and all documents referenced therein Letter from Susan Monro to Chris Welles with attached Schedules A-C for signature Letter from Susan Monro to David Welles, Jr. with attached Schedules AC for signature Letter from Susan Monro to David Welles, Sr. with attached Schedules AC for signature Letter from Susan Monro to Georgia Welles with attached Schedules A-C for signature Letter from Susan Monro to Virginia Jordan with attached Schedules A-C for signature Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o Chris Welles Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o David Welles, Jr.

Date 12/8/1999 3/31/2000 3/31/2000 3/31/2000 3/31/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 3/31/2000 3/31/2000 3/31/2000 4/3/2000 5/19/2000 2/24/2000? 6/12/2007 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 9/28/2007 9/28/2007

Bates # KC 0001 ­ 3 DOJ-STOBIE-00001084 DOJ-STOBIE-00001086 DOJ-STOBIE-00001089 DOJ-STOBIE-00001090 DOJ-STOBIE-00001091 DOJ-STOBIE-00001092 DOJ-STOBIE-00001093 DOJ-STOBIE-00001094 DOJ-STOBIE-00001096 DOJ-STOBIE-00001097 DOJ-STOBIE-00001085 DOJ-STOBIE-00001087 DOJ-STOBIE-00001088 DOJ-STOBIE-00001095 PLAINTIFF'S 0007015 - 7017 JG-NC037049 - 37050

Basis for Objection

401, 403, 802

CSW-0108 - 112 DKWJR-0198 - 202 SLK-0820 - 0824 SLK-0825 - 0831 SLK-0815 - 0819 PLAINTIFFS 008491 - 8492 PLAINTIFFS 008498 - 8499 401, 403 401, 403

22

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Page 23 of 28

1 577 578 579 580 581 582 583 584 585 586 587 588 589 590 591 592 593 594 595 596 597 598 599 600 601 602 603

Depo. Ex. #

Document Description Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o David Welles, Sr. Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o Jeff Welles Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o Peter Welles Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o Qualified Annuity Trust Letter from Thomas Cotter to Jenkens & Gilchrist class action claims administrator c/o Virginia Jordan Memorandum on cancellation of Delaware LLCs Memorandum on tax opinion preparation team Minutes of incorporator DKW Sr. Inc. Minutes of incorporator VJ Inc. Minutes of incorporator PCW Inc. Minutes of incorporator CSW Inc. Minutes of incorporator JFW Inc. Minutes of incorporator DKW Jr. Inc. Minutes of incorporator Welles Asset Inc. Non-Prosecution Agreement between DOJ and J&G ODET for CSW CHF ODET for CSW EUR ODET for DKW Jr. CHF ODET for DKW Jr. EUR ODET for DKW Sr. CHF ODET for DKW Sr. EUR ODET for JFW CHF ODET for JFW EUR ODET for PCW CHF ODET for PCW EUR ODET for QAT CHF ODET for QAT EUR

Date 9/28/2007 9/28/2007 9/28/2007 9/28/2007 9/28/2007 11/15/2000 1/13/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000

Bates # PLAINTIFFS 008512 - 8513 PLAINTIFFS 008535 - 8536 PLAINTIFFS 008542 - 8543 PLAINTIFFS 008524 ­ 8525 PLAINTIFFS 008505 - 8506 JG-NC031066 JG-NC039391 - 39392 FLOYD 001243 - 1247 SLK-0189 - 193 SLK-0269 - 273 SLK-0350 - 354 SLK-0431 - 435 SLK-0517 -521 SLK-0599 - 603 US1050 - 1068 DOJ-STOBIE-00236503 - 236513 DOJ-STOBIE-00236426 - 236436 DOJ-STOBIE-00120907 - 120917 DOJ-STOBIE-00236415 - 236425 DOJ-STOBIE-00236525 - 236535 DOJ-STOBIE-00236393 - 236403 DOJ-STOBIE-00236481 - 236491 DOJ-STOBIE-00236448 - 236458 DOJ-STOBIE-00236492 - 236502 DOJ-STOBIE-00236437 - 236447 DOJ-STOBIE-00236514 - 236524 DOJ-STOBIE-00236404 - 236414

Basis for Objection 401, 403 401, 403 401, 403 401, 403 401, 403 401, 403, 802 401, 403, 802

401, 403, 802 802 802 802 802 802 802 802 802 802 802 802 802

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Page 24 of 28

1 604 605 606 607 608 609 610 611 612 613 614 615 616 617 618 619 620 621 622 623 624 625 626 627 628

Depo. Ex. #

Document Description ODET for VJ CHF ODET for VJ EUR Operating agreement DKW Sr. LLC Operating agreement VJ LLC Operating agreement PCW LLC Operating agreement JFW LLC Operating agreement DKW Jr. LLC Opinion provided by J&G to DB for CSW Investments LLC Opinion provided by J&G to DB for DKW Junior Investments LLC Opinion provided by J&G to DB for DKW Sr Investments Opinion provided by J&G to DB for JFW Investments LLC Opinion provided by J&G to DB for PCW Investments LLC Opinion provided by J&G to DB for QAT Opinion provided by J&G to DB for SJB Investments LLC Opinion provided by J&G to DB for VJ Investments LLC Payout Schedule Plaintiff's Amended Answer to the United States' Interrogaotry No. Plaintiff's Amended Answers to the United States' Second Set of Interrogatories Plaintiff's Answers to the United States First Set of Interrogatories Plaintiff's Answers to the United States Second Set of Interrogatories Plaintiff's Answers to the Untied States' First Requests for Admission and Third Set of Interrogatoties Plaintiff's Rule 26(a)(1) Initial Disclosures, and all documents identified therein. Proof of claim and release c/o Chris Welles Proof of claim and release c/o David Welles, Jr. Proof of claim and release c/o David Welles, Sr.

Date

Bates # DOJ-STOBIE-00236470 - 236480 DOJ-STOBIE-00236459 - 236469 FLOYD 001228 - 1236 SLK-0177 -185 SLK-0256 - 264 SLK-0418 - 426 SLK-0504 -511 DOJ-STOBIE-00152949 - 152950 IRS-JG-02258 - 2259 DOJ-STOBIE-00152965 - 152966 DOJ-STOBIE-00152979 - 152980 IRS-JG-06972 - 6973 DOJ-STOBIE-00152963 - 152964 DOJ-STOBIE-00152993 - 152994 IRS-JG-08126 - 8127 Plaintiff's 000683 - Plaintiff's 000692

Basis for Objection 802 802

3/17/2000 3/17/2000 3/17/2000 3/17/2000 3/17/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 4/3/2000 5/9/2000 7 8/10/2007 6/21/2007 10/30/2006 5/11/2007 8/14/2007 2/24/2006

PLAINTIFFS 008493 - 8497 PLAINTIFFS 008500 - 8504 PLAINTIFFS 008515 - 8519

401, 403 401, 403 401, 403

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1 629 630 631 632 633 634 635 636 637 638 639 640 641 642 643 644 645 646 647 648 649 650 651 652 653 654 655

Depo. Ex. #

Document Description Proof of claim and release c/o Jeff Welles Proof of claim and release c/o Peter Welles Proof of claim and release c/o Qualified Annuity Trust Proof of claim and release c/o Virginia Jordan RMS for CSW CHF RMS for CSW EUR RMS for DKW Jr. CHF RMS for DKW Jr. EUR RMS for DKW Sr. CHF RMS for DKW Sr. EUR RMS for JFW CHF RMS for JFW EUR RMS for PCW CHF RMS for PCW EUR RMS for QAT CHF RMS for QAT EUR RMS for VJ CHF RMS for VJ EUR SLK Privilege Log Spreadsheet on tax products collections data Spreadsheet prepared by Barbara Aprile, and all documents referenced therein by bates stamp Spreadsheet with client names, account numbers and option transaction details Spreadsheet with client names, account numbers and option transaction details Summary of important provisions of company agreement Tax return (Form 1040) for Chris Welles for period ended Tax return (Form 1040) for David and Georgia Welles, Sr. for period ended Tax return (Form 1040) for David Welles, Jr. for period ended

Date

Bates # PLAINTIFFS 008537 - 8541 PLAINTIFFS 008544 - 8548 PLAINTIFFS 008526 - 8530 PLAINTIFFS 008507 - 8511 DOJ-STOBIE-243967 - 243970 DOJ-STOBIE-243939 - 243942 DOJ-STOBIE-243971 - 243974 DOJ-STOBIE-243935 - 243938 DOJ-STOBIE-243979 - 243982 DOJ-STOBIE-243927 - 243930 DOJ-STOBIE-243959 - 243962 DOJ-STOBIE-243947 - 243950 DOJ-STOBIE-243963 - 243966 DOJ-STOBIE-243943 - 243946 DOJ-STOBIE-243975 - 243978 DOJ-STOBIE-243931 - 243934 DOJ-STOBIE-243955 - 243958 DOJ-STOBIE-243951 - 243954 SLK-9645 - SLK-9650 JG-NC063557 - 63584 US1087 - 1161 JG-NC048979 - 48988 JG-NC048989 - 49000 WELLES PRIV 0012 (4 pages) US0924 - 986 US0987 - 1041 US0867 - 923

Basis for Objection 401, 403 401, 403 401, 403 401, 403 802 802 802 802 802 802 802 802 802 802 802 802 802 802 401, 403 401, 403, 802 401, 403 401, 403, 802 401, 403 802

12/31/2000 12/31/2000 12/31/2000

25

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1 656 657 658 659 660 661 662 663 664 665 666 667 668 669 670 671 672 673 674 675 676 677

Depo. Ex. #

Document Description Tax return (Form 1040) for Jeffrey Welles for period ended Tax return (Form 1040) for Peter Welles for period ended Tax return (Form 1040) for Virginia Jordan for period ended Tax return (Form 1065) for Stobie Creek Investments, LLC for period ended Tax return (Form 1065) for Stobie Creek Investments, LLC for period ended Tax return (Form 1120S) for CSW Asset Management, Inc. for period ended Tax return (Form 1120S) for DKW Junior Enterprises, Inc. for period ended Tax return (Form 1120S) for DKW Senior Enterprises, Inc. for period ended Tax return (Form 1120S) for JFW Enterprises, Inc. for period ended Tax return (Form 1120S) for PCW Enterprises, Inc. for period ended Tax return (Form 1120S) for VJ Enterprises, Inc. for period ended Tax return (Form 1120S) for Welles Asset Management, Inc. for period ended Template index for short option tax opinions Transaction checklists Transaction steps for implementation of currency linked digital swap Waterman letter to Welles (draft) Welles Asset Management Attachment to Schedule K-1 Welles Family Trust account statements in Northern Trust Company Westlaw printout for (917) 322-2381 Minutes from Welles family meeting of May 9, 2000 Minutes from New Orleans meeting and portfolio analysis Handwritten notes

Date 12/31/2000 12/31/2000 12/31/2001 12/31/2000 4/30/2000 12/31/2000 12/31/2000 12/31/2000 12/31/2000 12/31/2000 12/31/2000 12/31/2000

Bates # US0604 - 0737 US0738 - 796 US0797 - 866 US0034 - 342 US0001 - 33 US0542 - 576 US0507 - 541 US0577 - 603 US0378 - 409 US0410 - 443 US0444 - 506 US0343 - 377 JG-NC033779 - 33780 SLK-9674 - 9684 JG-NC037999 - 38000

Basis for Objection

401, 403, 802 401, 403 401, 403, 802 401, 403

8/9/2000 12/31/2000 3/1/2000

SLK-9671 - SLK-9673 Plaintiff's 0006946 - Plaintiff's 0006949 PLAINTIFFS 008689 - 8715 US1042 VSJ-01417 - 1420 PLAINTIFFS 003779 - 3787 PLAINTIFFS 0007254 - 7256

802, 401, 403

11/1/2001 4/20/2001 4/22/20

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1 678 679 680 681 682 683 684 685 686 687 688 689 690 691 692 693 694 695 696 697 698 699 700 701 702 703 704 705 706

Depo. Ex. #

Document Description Letter from Jeff Welles to Welles Family Fax from Larry Goldstein to John Walsh Fax from Larry Goldstein to Paul Hojnicki Email from Larry Goldstein to Paul Hojnicki Fax from Larry Goldstein to Paul Hojnicki Chart of stock option fee allocations to Stobie partners Letter from Susan Monro to Donna Guerin Letter from Floyd to Larry Goldstein Letter from Floyd to Donna Guerin Corporate banking statement Fax from Ivsan to Goldstein with attached payout schedule Stock receipt signature pages Payout schedules Attachment to Schedule K-1 for Welles Asset Management, Inc. Fax from Donna Guerin to Larry Goldstein with attached invoices Letter from Susan Monro to Donna Guerin

Date 4/11/2000 9/11/2000 3/19/2001 9/20/2001 9/20/2001 3/19/2001 4/10/2000 3/21/2001 10/11/2001 10/31/2001 9/11/2000 11/28/2000 5/9/2000 9/13/2001 3/16/2001 4/13/2000

Bates # PLAINTIFFS 0006095 - 6097 PLAINTIFFS 0004925 PLAINTIFFS 0006069 PLAINTIFFS 0006868 PLAINTIFFS 0006869 - 6871 SLK-2438 IRS-JG-05531 PCW-0519 - 520 IRS-JG-00241 PLAINTIFFS 002120 - 2122 PLAINTIFFS 0004746 - 4749 PLAINTIFFS 0006172 - 6177 PLAINTIFFS 0006159 - 6168 PLAINTIFFS 0006946 - 6949 PLAINTIFFS 0006862 - 6864 CCWELLS-IDR002-0342

Basis for Objection 401, 403 401, 403 401, 403, Incomplete

401, 403, Incomplete 401, 403

Letter from Susan Monro to Donna Guerin Letter from Guerin to Jeff Welles Letter from Guerin to Jeff Welles Email from Ivsan to Donna Guerin Email from Ivsan to Sandra Burnside and Carrie Yackee Email from Ivsan to Sandra Burnside Email from Ivsan to Donna Guerin Email from Ivsan to Donna Guerin and David Parse Email from Ivsan to Donna Guerin and David Parse Email from Ivsan from Donna Guerin Email from Ivsan to Donna Guerin and David Parse Email from Ivsan to Donna Guerin Letter from Donna Guerin to David Welles

4/5/2000 3/27/2000 3/23/2000 1/29/2001 5/31/2000 5/25/2000 3/23/2000 3/22/2000 1/19/2000 12/4/2000 3/22/2000 4/13/2000 2/13/2001

IRS-JG-01097 IRS-JG-03443 IRS-JG-03441 - 3442 IRS-JG-00833 IRS-JG-00818 IRS-JG-00658 IRS-JG-00847 IRS-JG-00872 IRS-JG-00840 IRS-JG-SB-00578 IRS-JG-00849 IRS-JG-00780 IRS-JG-03439

Could not locate. Either bates number is incorrect or misidentified. 401, 403 401, 403 401, 403 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802 401, 403, 802

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1 707 708

Depo. Ex. #

Document Description BEDS summary Email from Yackee to Butler

Date 5/17/2000

Bates # JG-NC034039 DOJ-STOBIE-00009737 - 38

Basis for Objection Incomplete 401, 403, 802

CH1\5433794.5

28