Professional Documents
Culture Documents
v.
CAPITAL FINANCIAL PARTNERS,LLC,
CAPITAL FINANCIAL HOLDINGS,LLC,
CAPITAL FINANCIAL PARTNERS
ENTERPRISES,LLC,
WILLIAM D. ALLEN and
SUSAN C. DAUB,
Defendants,
.
WJBA INVESTMENTS,LLC,
INSURANCE DEPOT OF AMERICA LLC,
SIMPLIFIED HEALTH SOLUTIONS LLC and
SIMPLIFIED HEALTH SOLUTIONS 2, LLC,
Relief Defendants
EVII3ENTIARY APPENDIX
Frank C. Huntington {Mass. Bar No. 544045)
Senior Trial Counsel
Michael J. Vito (Mass. Bar No. 675524)
Enforcement Counsel
Attorneys for Plaintiff
SECURITIES AND EXCHANGE COMMISSION
Boston Regional Office
33 Arch Street
Boston, MA 02110
(617)573-8960 (Huntington direct)
(617)573-4590 (fax)
huntngtonf@sec.gov {Huntington email)
Dated: April 1, 2015
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Articles of Organization for Capital Financial Partners Enterprises, LLC(Dec. 11, 2013).
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Loan Agreement for $2,160,000 Loan to NBA player (Oct. 25, 2013).
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Email from Susan Daub to investors concerning bankruptcy of NHL player(Nov. 21,
2014).
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Participation Agreement for $300,000 Loan to MLB player (Jan. 22, 2015).
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Term Sheet for $500,000 Loan to MLB player (Jan. 21, 2015).
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Participation Agreement for $1,700,000 Loan to NFL player {Feb. 26, 2015}.
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Complaint by Capital Financial Partners, LLC vs. NHL player(Feb. 20, 2013).
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Transcript from Deposition of William Allen in Capital Financial Partners, LLC case
against NHL player(Mar. 3, 2014).
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