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UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF FLORIDA


QSGI, INC.,
Plaintiff,
v.
IBM GLOBAL FINANCING and
INTERNATIONAL BUSINESS
MACHINES CORPORATION,
Defendants.

Case No. 9:11-cv-80880-KLR


REDACTED
1
REPLY IN SUPPORT OF MOTION TO COMPELPLAINTIFFS
RESPONSES TO DEFENDANTS DISCOVERY REQUESTS
1
Defendants file this redacted Reply because the Reply quotes from the March 12, 2012 rough transcript of
the deposition of Plaintiffs corporate representative, Marc Sherman. Defendants intend to file promptly
their motion for leave to file under seal this Reply and the Sherman transcript excerpts.
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 1 of 13
Pursuant to Rules 33, 34 and 37 of the Federal Rules of Civil Procedure and Local
Rule 26.1(h), International Business Machines Corporation (IBM) and IBM Global
Financing (collectively, Defendants or IBM) submit this reply memorandum in
support of their motion to compel QSGI, Inc. (QSGI or Plaintiff) to respond to
Defendants First Request for Production of Documents and Defendants First Set of
Interrogatories to Plaintiff (collectively, Discovery Requests).
Background
IBMs motion addresses QSGIs admitted failure to provide responses to IBMs
document requests and interrogatories (the Discovery Requests), which were served
months ago. Rather than addressing that issue, QSGI offers empty assurances that
someday it will actually produce some of its documentsthe same sorts of assurances
that IBM has been hearing for months now. QSGI offers no excuse for its failure to
provide the discovery responses required by Rules 33 and 34 and no guidance to the
Court or IBM as to when, if ever, it intends to respond.
QSGI brought this suit, and it must meet its discovery obligations, including
responding to IBMs Discovery Requests and producing relevant documents. Given the
upcoming close of fact and expert discovery (July 29, 2012), IBM respectfully requests
that this Court compel QSGI to respond immediately.
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 2 of 13
2
Relevant Chronology
IBM sets forth for the Courts reference a chronology of certain relevant facts
relating to the discovery that IBM has sought:
Date Event
Nov. 2007 QSGI publicly described purportedly actionable anticompetitive
business practice by an OEM, IBM, in a securities filing.
2
Dec. 18, 2009 The Securities and Exchange Commission served Marc Sherman, QSGIs
CEO, with a subpoena (Subpoena) seeking, inter alia, documents
central to this present suit and indispensable to IBMs defense, including
[a]ll documents concerning the purported anti-competitive practices by a
leading OEM [IBM] . . . .
3
Aug. 4, 2011 QSGI brought this action against IBM.
Oct. 21, 2011 QSGIs counsel represented to IBM that QSGI has very few documents
and that many of QSGIs documents no longer exist.
4
Nov. 4, 2011 The parties agreed to make a good faith effort to begin producing
documents no later than January 1, 2012.
5
Nov. 10, 2011 This Court issued its Scheduling Order,
6
which the parties agreed
incorporated their agreement to begin fact depositions on March 15,
2012, and to exchange opening and rebuttal expert reports on June 12,
and July 12, 2012, respectively.
7
Nov. 11, 2011 IBM served QSGI with Document Requests, seeking, among other
documents, categories of documents previously requested by the SEC in
its Subpoena.
8
2
QSGI, Inc., Current Report (Form 8-K) (Nov. 14, 2007), Ex. 99.1, Mar. 12, 2012 Besvinick Decl. (Mar.
Besvinick Decl.) Ex. A.
3
In re QSGI, Inc., SEC Subpoena Served on QSGI, Inc., Bankr. Pet. No. 09-23658, Doc. 211-1
(Subpoena), Mar. Besvinick Decl. Ex. B; id. L.
4
Mar. Besvinick Decl. 6.
5
Jt. Sched. Rpt. L(vi), Nov. 4, 2011, ECF No. 27.
6
Scheduling Order, Nov. 10, 2011, ECF No. 29.
7
Mar. Besvinick Decl. 7.
8
Feb. 15, 2012 Besvinick Decl. (Feb. Besvinick Decl.), Ex. A. The Subpoena overlaps in substantial
part with IBMs Document Requests. For example, both request documents concerning: IBMs alleged
anticompetitive practices and the financial impact of these practices on QSGI (compare Subpoena L-M
with Doc. Reqs. 13-15, 18); QSGIs customers and sales to customers (compare Subpoena Q with Doc.
Reqs. 6-7); QSGIs inventory, including any change in its value (compare Subpoena J, K, R with
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3
Date Event
Dec. 5, 2011 QSGI requested an extension to respond to IBMs Document Requests
from December 12, 2011 until January 11, 2012. IBM agreed.
9
Dec. 6, 2011 IBM served QSGI with Interrogatories.
10
Dec. 2011 QSGIs counsel purportedly learned that QSGIs documents are in the
possession of QSGIs SEC counsel, McDonald Hopkins LLC.
Jan. 5, 2012 QSGI requested an extension until January 17, 2012 to respond to IBMs
Discovery Requests. IBM agreed.
11
Jan. 17, 2012 QSGI failed to respond to the Discovery Requests.
12
Jan. 19, 2012 IBM requested that QSGI respond by January 24, 2012 to the Discovery
Requests.
13
Jan. 24, 2012 With no notice, QSGI again failed to respond to the Discovery
Requests.
14
Jan. 27, 2012 QSGI produced 789 documentsits only production to date. QSGI
informed IBM of the existence of 400 boxes of documents stored in a
warehouse in New Jersey, which it offered to make available. QSGI
agreed to provide by February 3, 2011, a date it selected, the overdue
responses to the Discovery Requests.
15
Feb. 2, 2012 IBM asked QSGI by letter to provide a description of the contents of the
400 boxes of documents.
16
Feb. 3, 2012 QSGI again failed to provide responses to the Discovery Requests and
failed to respond to IBM until several days later.
17
Feb. 8, 2012 IBM asked QSGI to provide a date certain when IBM could access the
400 boxes of documents in the warehouse. IBM also asked QSGI to
Doc. Reqs. 5, 10, 14, 18); and QSGIs finances and accounting practices (compare Subpoena G-H
with Doc. Reqs. 19).
9
Feb. Besvinick Decl. 4.
10
Id. Ex. B.
11
Id. 5-6.
12
Id. 7.
13
Id. 8.
14
Id. 9.
15
Id. 10-12.
16
Id. 12.
17
Id. 13.
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4
Date Event
supply responses to the Discovery Requests by February 13, 2012, or else
Defendants would be forced to seek relief from this Court.
18
Feb. 13, 2012 QSGI, without contacting IBM, failed to provide responses to the
Discovery Requests.
19
Feb. 15, 2012 QSGI did not return IBMs calls, prompting IBM to file its Motion.
20
Feb. 21, 2012 IBM again requested that QSGI provide a date certain for IBMs review
of the 400 boxes of documents.
21
Feb. 22, 2012 QSGI informed IBM for the first time that IBM cannot review the 400
boxes of documents because those documents were given to the SEC.
22
Feb. 23, 2012 IBM requested that QSGI make a witness available for a Rule 30(b)(6)
deposition on document retention on March 9, 12 or 13, 2012. IBM
reiterated that request on February 28, 2012.
23
Mar. 5, 2012 Having received no response from QSGI at all, IBM noticed the Rule
30(b)(6) deposition for March 12.
24
Mar. 12, 2012
25
26
18
Id. 15.
19
Id. 16.
20
Id. 15-16.
21
Mar. Besvinick Decl. 11.
22
Id.
23
Id. 12-13.
24
Id. 14.
25
26
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Argument
I. QSGI DOES NOT CONTEST ITS FAILURE TO RESPOND.
QSGI does not dispute that it failed to provide responses to IBMs Document
Requests and Interrogatories, which were served months ago. QSGIs Response fails
even to mention the long overdue interrogatory responses. With respect to IBMs
Document Requests, QSGI does not contest that it failed to provide responses, instead
suggesting that a phone call to counsel purportedly offering to produce all responsive
documents meets QSGIs discovery obligations.
As an initial matter, QSGIs version of the facts is misleading. Counsel for QSGI
has never communicated a plan to produce all documents responsive to specific
document requests.
27
Indeed, it has been difficult to get any sort of response, by phone,
email or any other means, from QSGIs counsel.
28
Moreover, the production of documents (which would be helpful were it to occur)
is a separate matter from, and would not satisfy, QSGIs obligation pursuant to Rules 33
and 34 to respond to interrogatories and document requests in writing. Fed. R. Civ. P.
33(b)(3) (Each interrogatory must, to the extent it is not objected to, be answered
separately and fully in writing under oath.); Fed. R. Civ. P. 34(b)(2)(A) (The party to
whom the request is directed must respond in writing within 30 days after being
27
Mar. Besvinick Decl. 19.
28
QSGI mischaracterizes the communications between the parties. The reality is that IBM has sent
numerous letters concerning issues with QSGIs fact discovery, to which QSGI has simply not responded.
(Mar. Besvinick Decl. 17.) To the extent that QSGI communicates with IBM at all, it is typically by
phone and often several days (and several reminders) after missing another deadline. (Id. 18.) QSGI
offers no declaration or documents to support its counterfactual characterizations. Indeed, Case A. Dam,
with whom IBM has never dealt and who, as far as IBM can tell, has no personal knowledge of the
communications between QSGI and IBM, is sole signatory on QSGIs Response. (Id. 16.) The Court
should not credit QSGIs unsupported mischaracterizations. See Kulhawik v. Holder, 571 F.3d 296, 298
(2d Cir. 2009) (An attorneys unsworn statements in a brief are not evidence.)
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served.).
Because QSGI does not contest its failure to meet (repeatedly extended) discovery
deadlines, QSGI should be compelled to provide prompt responses to the Discovery
Requests. See Kramer Scientific Lab. Prods. Corp. v. Golf Med. Corp., No. 1161610
CIV, 2011 WL 5914255, at *2 (S.D. Fla. Nov. 28, 2011) (compelling overdue discovery
responses where the party from whom discovery was sought provided no justification for
missed discovery deadlines).
29
II. QSGIS SELF-INFLICTED DIFFICULTIES DO NOT EXCUSE ITS
FAILURE TO RESPOND.
QSGI contends that unexpected circumstances should excuse its interminable
delays in providing discovery. Specifically, QSGI points to its failure to preserve highly
relevant documents before providing them to the SEC and to its counsels purportedly
belated understanding that QSGIs documents were in the possession, custody and
control of QSGIs counsel, McDonald Hopkins, LLC. (Response 4.) These problems
are entirely of QSGIs own making and provide no excuse for QSGIs failure to respond
to IBMs Discovery Requests.
With respect to QSGIs representation that certain QSGI documents are in the
sole possession of the SEC, this circumstance is due entirely to QSGIs improper failure
to preserve these documents. QSGI publicly stated in 2007 that it had an actionable
claim against IBM. (Supra p. 2.) It was incumbent upon QSGI at that time to preserve
29
QSGI claims in its Response that the Document Requests are overly broad. IBMs Document Requests
are tailored to seek crucial categories of documents that it needs to prepare its defense, such as the
purported change in policy and its impact on QSGI. In any event, QSGI has never identified any particular
request for documents or interrogatory as overly broad or requested that IBM narrow a document request or
interrogatory. (Mar. Besvinick Decl. 15.) Having failed to respond to IBMs Discovery Requests, any
objection QSGI could haveincluding to breadthshould be deemed waived. See Kramer Scientific Lab.
Prods. Corp. v. Golf Med. Corp., No. 1161610CIV, 2011 WL 6130920, at *3 (S.D. Fla. Dec. 8, 2011)
(ordering complete discovery responses after untimely objections for overbreadth were made).
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 7 of 13
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and retain any documents relevant to that purported claim. QSGI failed to do so.
Instead, IBM was informed just recently (over three months after serving its Discovery
Requests) that the SEC possesses hundreds of boxes of QSGIs original documents and
that those boxes are not accessible to QSGIs counsel. (Supra p. 4.) QSGI has provided
no information as to when, if ever, the SEC will return these documents.
There is no question that these documents are relevant. The Subpoena in response
to which these documents were produced sought, among other categories of documents,
those relating to QSGIs claim in this suit. (Supra p. 2.) That QSGIs counsel is
attempting to obtain these documents from the SEC only supports the relevance of these
documents. IBM is severely prejudiced by its inability to access these documents, and
QSGI should not be allowed to seek refuge in the fact that it effectively disposed of
hundreds of boxes of relevant documents.
30
QSGIs representation that certain QSGI documents were in the possession and
control of QSGIs SEC counsel is irrelevant and misleading. Documents in the
possession of QSGIs SEC counsel are within QSGIs possession, custody and control for
purposes of the instant lawsuit. Jans v. The GAP Stores, Inc., No. 6:05-cv-1534-Orl-
31JGG, 2006 WL 2691800 (M.D. Fla. Sept. 20, 2006) (ordering documents within the
possession of a partys counsel produced because those documents are within control of
the party). Moreover, QSGIs counsels claim that he learned only recently (in February
30
See E-Terra, LLC v. Sars Corp., No. 3:08-CV-123, 2010 WL 431965, at *2 (D. Alaska Feb. 3, 2010)
(noting that plaintiff may have a claim for spoliation if certain evidence was not ultimately recovered from
a non-party, where defendant transferred the only copy or copies of this evidence to the non-party); In re
NTL, Inc. Sec. Litig., 244 F.R.D. 179, 197 (S.D.N.Y. 2007), affd, No. 02-Civ-7377, 2007 WL 1518632
(S.D.N.Y. May 17, 2007) (noting that a party failed in its obligation to preserve relevant material, and,
thus, spoliated evidence (assuming the other requirements for spoliation [were] met), if it transferred
documents and ESI that it had an obligation to preserve to a non-party without itself preserving (or
insuring that [the non-party] would preserve) such information for possible production in [the] litigation).
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 8 of 13
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2012 after numerous inquiries by IBM about on-site inspection, supra pp. 3-4) that these
documents had been provided to the SEC is inexcusable. Counsel was appointed by the
Bankruptcy Court to bring this case over a year ago. Yet, even months after filing suit,
QSGIs counsel (incorrectly) represented that QSGI had virtually no documents. (Supra
p. 2.) Before filing suitand at least shortly thereaftercounsel should have undertaken
efforts to determine the various repositories of relevant QSGI documents.
QSGIs pattern of ignoring its discovery obligations in this litigation is altogether
unacceptable. Throughout December, January and February, QSGI repeatedly asked for
and received extensions of deadlines to respond to IBMs Discovery Requests, and then
simply ignored those deadlines. (Supra pp. 3-4 (describing QSGIs first extension
request on Dec. 5, 2011, and missed deadlines on Jan. 17, Jan. 24, Feb. 3, and Feb. 13,
2012).) Even in the face of IBMs motion to compel, QSGI has not provided responses
to the Discovery Requests or said when it would do so, has largely failed to produce its
documents, and informed IBM and the Court that it may never be able to produce a huge
portion of its documents because it neglected to retain custody of them.
III. QSGIS UNCONTESTED FAILURE TO RESPOND IS INCONSISTENT
WITH ITS OBLIGATION TO PROSECUTE ITS LAWSUIT.
QSGI chose to bring this antitrust suit against IBM. QSGI should have been
prepared to prosecute its case in accordance with the schedule set in the Courts order and
the deadlines for discovery responses rather than repeatedly ignoring discovery deadlines.
See King v. Pacaro, No. 07-14148-CV, 2008 WL 2795934, at *1 (S.D. Fla. July 18,
2008) (noting that when a plaintiff initiates a suit, it must be prepared to prosecute the
case, including by complying with discovery orders); see also, e.g., Archer v. Air
Jamaica, 268 F.R.D. 401, 403, 405 (S.D. Fla. 2010) (adopting Magistrates report and
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 9 of 13
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recommendation to dismiss plaintiffs case where plaintiffs failure to provide discovery
responses required defendant to spend almost four months of the discovery period trying
to obtain . . . discovery responses and prejudiced defendants ability to schedule
depositions or take further discovery). Had QSGI, consistent with its duty,
31
preserved
relevant documents in 2007 when it asserted it had an actionable claim against IBM,
QSGI would have been in a position to respond to discovery requests promptly. Instead,
in the intervening time, QSGI provided relevant original documents (without retaining
duplicates) to the SEC, effectively rendering them inaccessible.
32
QSGIs discovery
failures not only hamper IBMs ability to defend itself in this litigation but also are
entirely inconsistent with QSGIs obligation to prosecute this lawsuit.
33
Conclusion
For the reasons stated above and in IBMs memorandum in support of its motion
to compel discovery requests, QSGI should be ordered to answer IBMs Discovery
Requests without objections.
31
See E-Terra, 2010 WL 431965, at *3; In re NTL, 244 F.R.D. at 197.
32
QSGI also collected and produced documents relevant to this case in response to discovery in other
actions, including at least John R. Ricondas September 24, 2009, Notice of Examination Duces Tecum,
served on QSGI during its bankruptcy proceedings. (See Notice of Bankr. Rule 2004 Examination Duces
Tecum, Bankr. Pet. No 09-23658, ECF No. 135, Mar. Besvinick Decl. Ex. C.) Notably, that subpoena also
overlaps in substantial part with IBMs Document Requests, as both request documents concerning:
QSGIs inventory and assets, corporate structure, finances and accounting practices and business plans,
forecasts and projections.
33
Archer, 268 F.R.D. at 401, 403, 405; King, 2008 WL 2795934, at *1.
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 10 of 13
10
Dated: March 12, 2012
Respectfully submitted,
/s/ Laura Besvinick
Laura Besvinick
Florida Bar No. 391158
HOGAN LOVELLS US LLP
1111 Brickell Avenue
Suite 1900
Miami, FL 33131
Telephone: 305-459-6500
Facsimile: 305-459-6550
Laura.Besvinick@HoganLovells.com
Evan R. Chesler*
Richard J. Stark*
Teena-Ann V. Sankoorikal*
CRAVATH, SWAINE & MOORE
LLP
Worldwide Plaza
825 Eighth Avenue
New York, NY 10019
Telephone: 212-474-1000
Facsimile: 212-474-3700
echesler@cravath.com
rstark@cravath.com
tsankoorikal@cravath.com
Ty Cobb*
Eric J. Stock*
HOGAN LOVELLS US LLP
Columbia Square
555 Thirteenth Street, NW
Washington, DC 20004
Telephone: 202-637-5600
Facsimile: 202-637-5910
Ty.Cobb@HoganLovells.com
Eric.Stock@Hoganlovells.com
*Admitted Pro Hac Vice
Counsel for Defendants IBM Global
Financing and International Business
Machines Corporation
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 11 of 13
CERTIFICATE OF SERVICE
I HEREBY CERTIFY that, on this 12th day of March 2012, I
electronically filed the foregoing document with the Clerk of the Court using CM/ECF. I
also certify that the foregoing document is being served this day on all counsel of record
or pro se parties identified on the attached Service List in the manner specified, either via
transmission of Notices of Electronic Filing generated by CM/ECF or in some other
authorized manner for those counsel or parties who are not authorized to receive
electronically Notices of Electronic Filing.
/s/ Laura Besvinick
Laura Besvinick
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 12 of 13
2
QSGI, INC. SERVICE LIST
Juan Pablo Bauta, II
Ferraro Law Firm
4000 Ponce de Leon Blvd
Suite 700
Miami, FL 33146
Phone: 305-375-0111
Fax: 305-379-6222
Case A. Dam
Ferraro Law Firm
4000 Ponce de Leon Blvd
Suite 700
Miami, FL 33146
Phone: 305-375-0111
Fax: 305-379-6222
Email: cxd@ferrarolaw.com
Case 9:11-cv-80880-KLR Document 44 Entered on FLSD Docket 03/12/2012 Page 13 of 13
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF FLORIDA
QSGI, INC.,

Plaintiff, 2
V
V.
IBM GLOBAL FINANCING and
INTERNATIONAL BUSINESS
MACHINES CORPORATION,
Defendants.

Case No. 9:11-cv-80880-KLR





DECLARATION OF LAURA BESVINICK
LAURA BESVINICK, declares as follows:
1. I am a member of the law firm of Hogan Lovells US LLP and counsel to
defendants IBM Global Financing and International Business Machines Corporation
(collectively, "Defendants" or "IBM") in the above captioned action. I submit this
declaration in support of Defendants' Reply in Support of its Motion to Compel Plaintiff s
Responses to Defendants' Discovery Requests.
2. Attached as Exhibit A is a true and correct copy of QSGI, Inc.'s Current
Report (Form 8-K), filed with the Securities and Exchange Commission ("SEC") on
November 14, 2007.
3. Attached as Exhibit B is a true and correct copy of the SEC Subpoena served
on QSGI, filed in Bankr. Pet. No. 09-23658 as ECF No. 211-1 on February 2, 2010.
4. Attached as Exhibit C is a true and correct copy of the Notice of Bankruptcy
Rule 2004 Examination Duces Tecum served on QSGI by John R. Riconda, filed in Bankr.
Pet. No. 09-23658 as ECF No. 135 on September 24, 2009.
5. IBM requested and QSGI agreed to schedule a Rule 30(b)(6) deposition to
take place prior to March 15, 2012, regarding QSGI's document retention and preservation.
Case 9:11-cv-80880-KLR Document 44-1 Entered on FLSD Docket 03/12/2012 Page 1 of 4
6. In the parties' October 21, 2011 scheduling conference, QSGI's counsel
represented that QSGI had very few documents and that many of QSGI's documents no
longer existed.
7. On December 13, 2011, the parties agreed that the dates contained in the Joint
Scheduling Report that were not changed by the Court's Scheduling Order were incorporated
into the Scheduling Order. Specifically, fact depositions would begin on March 15, 2012,
expert reports would be exchanged on June 12, 2012, and rebuttal expert reports would be
exchanged on July 12, 2012.
8. On December 16, 2011, IBM served a Rule 30(b)(6) deposition notice
regarding QSGI's document retention and preservation and invited QSGI to identify a
convenient deposition date in early January 2012. QSGI, however, never responded.
9. On January 27, 2012, QSGI represented that 400 boxes of QSGI documents
were stored in a warehouse in New Jersey and that QSGI would make these documents
available for IBM's review.
10. On February 8, 2012, IBM requested that QSGI provide by February 13,
2012, a date certain for IBM to review the documents stored in the New Jersey warehouse.
QSGI did not respond to this request.
11. On February 21, 2012, IBM reiterated its request to schedule a date certain to
review the stored documents. However, on February 22, 2012, QSGI's counsel informed
IBM via email that there were no boxes stored in the New Jersey warehouse because the
boxes had previously been produced to the SEC and never returned to QSGI.
12. On February 23, 2012, IBM requested that QSGI make a witness available for
the Rule 30(b)(6) deposition on either March 9, 12 or 13, 2012. QSGI did not respond.
2
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13. On February 28, 2012, IBM again requested that QSGI make a witness
available for the Rule 30(b)(6) deposition on either March 9, 12 or 13, 2012. QSGI again
failed to respond to IBM's request.
14. On March 5, 2012, having received no response from QSGI, IBM noticed the
previously agreed to Rule 30(b)(6) deposition for March 12, 2012.
15. QSGI's counsel has never identified any particular request for documents or
interrogatory as overly broad or requested that IBM narrow a particular document request or
interrogatory.
16. In my communications with QSGI's counsel, I have communicated solely
with Juan P. Bauta or his assistant. I have not communicated with Case A. Dam.
17. IBM has sent QSGI multiple detailed letters in an effort to engage with
QSGI's counsel productively to move fact discovery forward. Specifically, IBM's letters
include the following: Oct. 27, 2011 letter (scheduling conference summary); Dec. 6, 2011
letter (QSGI's deficient initial disclosures); Dec. 8, 2011 letter (issues concerning proposed
protective order); Dec. 21, 2011 letter (issues concerning proposed protective order); Jan. 19,
2012 letter (QSGI's overdue responses to Document Requests and Interrogatories;
outstanding response to the revised draft protective order; and failure to supply compliant
initial disclosures); Feb. 2, 2012 letter (document production issues; overdue responses to
IBM's Document Requests and Interrogatories; revised draft protective order; and refusal to
supply compliant initial disclosures); Feb. 8, 2012 letter (failure to respond to IBM' s
Interrogatories and Document Requests, produce documents in response to Document
Requests, comply with agreed ESI protocol and provide a compliant privilege log); and Mar.
5, 2012 letter (records retention deposition). QSGI's counsel, in almost every case, did not
3
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Laura Besvinick
provide a written response to these letters.
18. QSGI's communications to IBM have been in almost all cases limited to
occasional phone calls from QSGI's counsel to myself, often, as described in my February
declaration, occurring several days after missed deadlines or numerous requests from IBM
for a response.
19. QSGI has never offered to review its documents for responsiveness to
particular requests by IBM and "produce all responsive documents". Rather, QSGI has
proposed to produce an electronic repository of documents, culled only for privilege, without
regard to whether particular documents in the repository were requested by IBM.
I declare under the penalty of perjury that the foregoing is true and correct.
Executed on March 12, 2012
4
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EXHIBIT A
Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 1 of 10

Morningstar

Document Research


FORM 8-K
QSGI INC. - QSGI
Filed: November 14, 2007 (period: November 06, 2007)
Report of unscheduled material events or corporate changes.
Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 2 of 10
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF

THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): November 6, 2007

QSGI INC.
(Exact Name of Registrant as Specified in its Charter)
Delaware

(State or Other Jurisdiction of
Incorporation)
001-32620

(Commission File Number)
13-2599131

(IRS Employer Identification Number)


400 Royal Palm Way, Palm Beach, FL 33480
(Address of Principal Executive Office)



Registrants telephone number, including area code: (561) 835-9757



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13c-4(c) under the Exchange Act (17 CFR 240.13e-4(c))



Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

Document Research
Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 3 of 10


ITEM 2.02 Results of Operations and Financial Condition

(a) On November 6, 2007, the Company issued a press release disclosing its financial results for the three and
nine months ended September 30, 2007. Text of the press release dated November 6, 2007, titled QSGI
Reports Third Quarter Results; 54% Increase in Gross Profit within Data Security & Compliance
Division; 19% Increase in Gross Profit within Data Center Maintenance Division; Achieves Third
Consecutive Quarter of Positive EBITDA" is furnished as Exhibit 99.1 to this current report.

ITEM 9.01 Financial Statements and Exhibits

(d) The following exhibits are being filed or furnished with this report:

Exhibit 99.1 a. Text of a press release issued by the Company dated November 6, 2007, titled " QSGI Reports Third
Quarter Results; 54% Increase in Gross Profit within Data Security & Compliance Division; 19%
Increase in Gross Profit within Data Center Maintenance Division; Achieves Third Consecutive
Quarter of Positive EBITDA"





SIGNATURE


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its
behalf by the undersigned hereunto duly authorized.

QSGI INC.


Date: November 6, 2007 By: /S/ Edward L. Cummings
Edward L. Cummings
Chief Financial Officer and Treasurer
2
Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 4 of 10
IR Contact Exhibit 99.1
David K. Waldman/Klea K. Theoharis
Crescendo Communications, LLC
qsgi@crescendo-ir.com
(212) 671-1020
QSGI Reports Third Quarter Results
54% Increase in Gross Profit within Data Security & Compliance Division
19% Increase in Gross Profit within Data Center Maintenance Division
Achieves Third Consecutive Quarter of Positive EBITDA

HIGHTSTOWN, NJNovember 6, 2007 QSGI, Inc. (OTCBB: QSGI), the only provider of a full suite of information technology
solutions to help corporations better manage hardware assets, maintenance expenses, and ensure best practices for data security and
regulatory compliance, today reported financial results for the three and nine months ended September 30, 2007.

Recent Developments:

54% increase in gross profit within Data Security & Compliance division and 19% increase in gross profit within Data Center
Maintenance division

Added over $300,000 of additional Data Center Maintenance contracts increasing the divisions anticipated annualized
revenue run rate to $7.0 million during the fourth quarter

Added global consumer products company and the U.S. subsidiary of a leading international tire manufacturer for full suite
of data security and compliance services

Entered into an agreement with one of the largest electronics OEMs headquartered in Europe to re-market excess North
American manufacturing and service parts

Data Center Hardware division negatively impacted due to anti-competitive business practices by a leading OEM

Marc Sherman, chairman and chief executive officer of QSGI, commented, The third quarter was characterized by continued strong
growth in recurring services within both our Data Security & Compliance as well as our Data Center Maintenance divisions, which
was offset by a sharp decline in our Data Center Hardware division due to what the company believes to be actionable
anti-competitive business practice by a leading OEM. These practices have impacted the entire industry for remarketing zSeries
mainframe systems. The Company is evaluating its options with respect to these practices and the OEM. Nevertheless, the Data Center
Maintenance Division achieved yet another double digit increase in revenue and gross profit posting a 19% increase while maintaining
gross margins at 64%. At the same time, growth in higher margin end-user data security services allowed the Data Security &
Compliance division to post a double digit increase in revenue and gross profits as well.

Mr. Sherman continued, Growth in the Data Security & Compliance division is being driven by legislation to protect confidential
information contained on enterprise storage systems, servers, and desktop PCs. Revenue within the division increased to $6.2 million,
from $5.0 million in the comparable quarter last year, while gross profit rose 54% and gross margin increased over 290 basis
points. Recent client wins in this

Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 5 of 10
division included one of the largest electronics OEMs in Europe, a global consumer products company with over 100,000 employees,
a U.S. subsidiary of a leading international tire manufacturer with production facilities throughout the U.S., a major wholesale
distributor and GE Commercial Finance in India. We look forward to reaping the rewards of these additional revenue sources in the
coming months. Excluding a one-time gain, net of expenses of approximately $300,000, attributable to the successful settlement of a
matter that the Company had pursued in litigation, EBITDA loss for this division was $273,000, but greatly improved over the
$583,000 and $357,000 EBITDA losses in the first and second quarters this year. This reflects the fact we were able to maintain our
reduced level of SG&A during the quarter as we increased gross profit within the division. We look forward to crossing the threshold
to profitability within this division in the very near future.

As we have stated in the past, we are shifting resources from the lower margin re-marketing of technology equipment towards our
higher margin recurring IT services across the spectrum of equipment in data centers and the corporate computing
environment. Accordingly, revenues within our Data Center Maintenance division increased to $1.7 million compared with $1.3
million in the third quarter of last year, an increase of over 24%. This division has now experienced double digit growth for over 14
consecutive quarters and we are currently at a revenue run-rate of approximately $7 million heading into the fourth quarter, up from
just $5.3 million annualized run rate for the fourth quarter of 2006. Mainframe and mid-range server maintenance contracts obtained
in the second quarter and early third quarter contributed to the revenue gain and with new contracts coming online, we expect this
growth to continue. Our new business pipeline continues to expand as word spreads regarding our capabilities and the outstanding
value we offer our customers versus the alternatives in the marketplace. We also continue to expand our suite of services, adding Sun
server expertise earlier this year, as well as building upon our midrange p-Series, x-Series, i-Series and HP capabilities.

While we experienced a sharp decline in the Data Center Hardware division during the third quarter, revenue in our other two
divisions was quite strong. We expect revenues in the Data Center Hardware division will continue to feel the impact of the OEMs
trade practices and for this reason we will continue to shift our resources towards the recurring and higher margin services in our other
two divisions. Even with the impact of these new trade practices, the ongoing shift in our revenues allowed us to achieve positive
EBITDA for our third consecutive quarter and we expect this trend to continue.

Total revenue for the third quarter of 2007 was $8.8 million, as compared with $9.4 million for the same period in 2006. Gross profit
was $2.1 million, compared to gross profit of $2.3 million in the third quarter last year reflecting the decline in revenue within the
Data Center Hardware division. Gross margin for the third quarter of 2007 was 24% compared to 24% for the same period last
year. Revenue within the Data Security & Compliance division for the third quarter of 2007 was $6.2 million, while gross profit
increased 54% and gross margin increased over 290 basis points to 15%, reflecting the companys shift from wholesale remarketing to
higher margin end-user services. Revenue within the Data Center Maintenance division increased 24% to $1.7 million, while gross
profit increased 19% on gross margins of 64%. The year-over-year decline in gross margin from historical levels within the Data
Center Maintenance division reflects additional personnel the company added to handle its new mid-range maintenance service
offering, which improved over the second quarter of 2007 as the company increased utilization of its new personnel. The strength in
QSGIs Maintenance division and data security services was offset by revenues within the Data Center Hardware division, which
decreased 70% to $911,000, after elimination of intercompany revenues. The decline in revenue within the Data Center Hardware
division reflects the erratic nature of sales within the division and a difficult selling environment. Selling, general and administrative
expenses were $1.9 million, versus $2.3 million for the same period last year, as overhead reductions and settlement of litigation in the
companys Data Security & Compliance division offset the additional technical capabilities added to provide services for the
maintenance of IBM mid-range and Sun server hardware. Net loss available to common stockholders for the third quarter of 2007 was
$182,773, or $0.01 per share, compared to a net loss of $226,138, or $0.01 per share, for the same period in 2006.
Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 6 of 10
Conference Call
QSGI will host a conference call at 10:00 a.m. Eastern Time today, November 6, 2007. During the call, Marc Sherman, chairman and
chief executive officer, Seth Grossman, president and chief operating officer, and Ed Cummings, chief financial officer, will discuss
the Companys quarterly performance and financial results. The telephone number for the conference call is 866-334-4934. A live
webcast of the call will also be available on the company's website, www.QSGI.com. To listen to the live call online, please visit the
site at least 10 minutes early to register, download and install any necessary audio software.
The webcast will be archived on the site, and investors will be able to access an encore recording of the conference call for one week
by calling 866-245-6755, conference ID # 299402. The encore recording will be available two hours after the conference call has
concluded.
About QSGI
QSGI provides a full suite of information technology solutions to help corporations and governmental agencies better manage
hardware assets, reduce maintenance expenses, build best practices for data security and assure regulatory compliance. With a focus
on the entire range of IT platforms - from the PC to the mainframe, the services offered by QSGI are specifically designed to reduce
total cost of ownership for IT assets and maximize the clients' return on their IT investment.
For enterprise class hardware in the data center, QSGI offers hardware maintenance services, hardware environment planning and
consultation, refurbished whole systems, parts, features, upgrades and add-ons. Additionally, for desktop IT assets, servers and SAN
products, QSGI offers a range of end-of-life services that include: automated asset auditing, Department of Defense (DOD) level data
destruction, documentation for regulatory compliance, hardware refurbishment with worldwide remarketing or proper IT asset
recycling. Given the sensitive nature of the company's client relationships, it does not provide the names of its clients. Additional
information about the company is available at www.qsgi.com.
Statements about QSGIs future expectations, including future revenues and earnings, and all other statements in this press release
other than historical facts are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, Section
21E of the Securities Exchange Act of 1934, and as that term is defined in the Private Litigation Reform Act of 1995. QSGI intends
that such forward-looking statements involve risks and uncertainties and are subject to change at any time, and QSGIs actual results
could differ materially from expected results. QSGI undertakes no obligation to update forward-looking statements to reflect
subsequently occurring events or circumstances.
(tables follow)
Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 7 of 10

QSGI INC.
CONDENSED CONSOLIDATED BALANCE SHEETS
(Unaudited)
September 30, December 31,
2007 2006

Assets

Current Assets
Cash and cash equivalents $ 661,488 $ 632,948
Accounts receivable, net of reserve of $381,282 in 2007 and $780,116 in 2006 4,239,986 8,012,421
Inventories 7,377,065 4,982,710
Prepaid expenses, income taxes and other assets 168,057 183,069
Deferred income taxes 598,661 598,661
Total Current Assets 13,045,257 14,409,809
Property and Equipment, Net 286,072 410,241
Goodwill 6,644,403 6,644,403
Intangibles, Net 2,629,760 2,555,584
Other Assets 445,509 158,784

$ 23,051,001 $ 24,178,821

Liabilities And Stockholders Equity
Current Liabilities
Revolving line of credit $ 4,275,360 $ 3,915,825
Accounts payable 1,165,287 1,382,336
Accrued expenses 484,168 601,850
Deferred revenue 482,717 517,439
Accrued payroll 126,852 329,658
Other liabilities 103,450 122,784
Total Current Liabilities 6,637,834 6,869,892
Long-Term Deferred Revenue 225,889 416,239
Deferred Income Taxes 294,561 451,625
Total Liabilities 7,158,284 7,737,756

Redeemable Convertible Preferred Stock 4,234,056 4,220,577

Stockholders Equity
Preferred shares: authorized 5,000,000 shares in 2007
and 2006, $0.01 par value, none issued
Common shares: authorized 95,000,000 shares in 2007 and 2006, $0.01 par value;
31,172,716 shares issued and outstanding in 2007 and 2006 311,727 311,727
Additional paid-in capital 14,195,732 14,390,976
Retained earnings (deficit) (2,848,798) (2,482,215)
Total Stockholders Equity 11,658,661 12,220,488
$ 23,051,001 $ 24,178,821
Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 8 of 10
QSGI INC.
CONDENSED CONSOLIDATED STATEMENTS OF OPERATIONS
For The Three and Nine Months Ended September 30, 2007 and 2006
(Unaudited)


Three Months Ended
September 30,
Nine Months Ended
September 30,
2007 2006 2007 2006

Product Revenue $ 6,753,288 $ 7,964,854 $ 22,659,971 $ 30,002,721
Service Revenue 2,003,599 1,400,856 5,156,272 3,838,453
Total Revenue 8,756,887 9,365,710 27,816,243 33,841,174

Cost Of Products Sold 6,018,499 6,610,560 18,731,156 25,067,620
Cost Of Services Sold 654,474 492,994 1,830,475 1,282,739
Total Cost Of Sales 6,672,973 7,103,554 20,561,631 26,350,359

Gross Profit 2,083,914 2,262,156 7,254,612 7,490,815

Selling, General And Administrative Expenses 1,904,476 2,312,095 6,897,779 7,203,007

Depreciation And Amortization 181,079 174,752 520,796 516,432

Interest Expense, net 166,798 56,481 297,990 156,264

Loss Before Benefit For Income Taxes (168,439) (281,172) (461,953) (384,888)

Benefit For Income Taxes (55,257) (123,652) (133,370) (101,199)

Net Loss (113,182) (157,520) (328,583) (283,689)

Preferred Stock Dividends 65,031 64,323 192,970 191,359

Accretion To Redemption Value of Preferred Stock 4,560 4,295 13,478 12,695

Net Loss Available to Common Stockholders $ (182,773) $ (226,138) $ (535,031) $ (487,743)

Net Loss Per Common Share Basic $ (0.01) $ 0.01) $ (0.02) $ (0.02)
Net Loss Per Common Share Diluted $ (0.01) $ (0.01) $ (0.02) $ (0.02)

Weighted Average Number Of Common Shares Outstanding
Basic 31,172,716 31,172,716 31,172,716 29,774,939
Weighted Average Number Of Common Shares Outstanding
Diluted 31,172,716 31,172,716 31,172,716 29,774,939
Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 9 of 10
QSGI INC.
CONDENSED CONSOLIDATED STATEMENTS OF CASH FLOWS
For The Nine Months Ended September 30, 2007 and 2006
(Unaudited)
2007 2006

Cash Flows From Operating Activities
Net Loss $ (328,583) $ (283,689)
Adjustments to reconcile net loss to net cash provided by (used in) operating activities:
Depreciation and amortization 520,796 516,432
Stock option compensation expense 11,204 13,229
Deferred income taxes (157,064) (180,588)
Common shares issued for services 161,687
Provision for doubtful accounts, net of recoveries (240,650) 556,483
Changes in assets and liabilities:
Accounts receivable 3,667,086 655,216
Inventories (2,394,355) (1,480,478)
Prepaid expenses and other current assets (139,378) (64,464)
Accounts payable and accrued expenses (819,943) (682,086)
Net Cash Provided by (Used In) Operating Activities 119,113 (788,258)

Cash Used In Investing Activities
Purchases of property and equipment, net (89,311) (100,220)
Net Cash Used In Investing Activities (89,311) (100,220)

Cash Flows From Financing Activities
Proceeds from the issuance of redeemable preferred stock 2,236,301
Proceeds from the exercise of options and warrants 9,100
Stock issuance costs (25,499)
Payments for financing costs (167,827)
Preferred stock dividends (192,970) (191,359)
Net amounts (paid) borrowed under revolving lines of credit 359,535 (710,000)
Net Cash Provided By (Used In) Financing Activities (1,262) 1,318,543

Net Increase In Cash And Cash Equivalents 28,540 430,065

Cash And Cash Equivalents Beginning Of Period 632,948 153,794
Cash And Cash Equivalents End of Period $ 661,488 $ 583,859


_____________________________________
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Source: QSGI INC., 8-K, November 14, 2007 Powered by Morningstar

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Case 9:11-cv-80880-KLR Document 44-2 Entered on FLSD Docket 03/12/2012 Page 10 of 10




EXHIBIT B
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 1 of 13



















EXHIBIT A
Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 1 of 12 Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 2 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 2 of 12
SUBPOENA
UNITED STATES OF AMERICA
SECURITIES AND EXCHANGE COMMISSION
In i\1I11cr orOSGI, la,. no-I1303
To: Cu$tQcban or Reconls

c/o Mr. MM: Sbcnnan
400 Royal Palm W7"f
Palm Ikal:h, Florida 33480
YOU MUST PRODUCE everything in the AnachrnentlO this Sllbpoena to
ol1k= uf the SlIril;es and Exchange Commissilln al the dale and lime spocificd below:
100 f SlnlCI, N,E., Washington, D.C. 2OS49S631, Janll;\f)' IS, 2009 by 5:00 p.m.
a YOU MUST TFSflfY orlbe SecuriMs and the
place. date: nlime$pCci.fial below:
FEDf.RAL LAW KQUIRF_"i VO TO CO;o.WLY WITII nus SUB!'Ol:NA.
10 couqllymaylllb}cd)OO 10 a lUx JIld/or itl::\*iJoo'lICU.
D...
Nina H. I'inaon
Branch Chief
D;v;';on of enforcemenl
.nd F.xchanb'<' Commihion
100 I' SlreeI, N.E.
Wuhinaton. D.C. 20549-5631
(202)551-4961
I .... offl!" of the Securities and I:Jldwlge Commission ..tbotW:d 10 issue: ,,'bpoerw in Ihis
mailer. The Secunues and Excha'lgoe Commission h. islIuecl ... bmaI <.>rOer dlis
iD"tstig,aiXal under Section 21(.1.) ofthc Sccunlic:s Exchange Act or 1934.
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 3 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 3 of 12
ATIACHMENT
QSGI, Inc.
December 18, 2009
J. Ddin;l;ons and Rilles OfCOnSlrUClion
A. As used in this attathment, the term "QSUI"mealls QSG1.1nc. and its present
and fonner subsidiaries, affiliatcs, predecessors, successors, officers, directors, agentS,
employees, shareholders, partnerships, panners, finders. promoters, tonSultants. attorneys.
auditors, and acoountanlS. and any aliases, codc names, trade names. or business names used
by any of the foregoing.
B. As used in this allachment, the term "Vic1<>ry Par"" means Victory Park
Capital LLC and its present and fonner suhsidiaries, affiliates. predecessors,
succcss<;>rs, officcrs, directors, agents, employees, shareholders, partnerships, partners,
finders, promOters. c'lOsul1a!IIS, allom"ys, auditors, and aceowllants, and any aliases, ood"
names, trade names, or business names lL'Ied by anyofthe fnregning.
C. As used in this anachment, the term "Kinetic means Kinetic
LLC and its present and fonner subsidiaries, affiliates, predcccss<;>rs, successors.
officers, directors, agents, employees, shartholders, partnerships. partnt:r.>, finders,
promoters, auelitors, anel accountants, and any aliases, codc names,
trade names, or business names used by any of the foregoing.
D. As used in thi, anachment the tenn "documenTS" means all records, materials.
and other Iangible fonns of expression however and by created, produced, or
stored (manually, mcchanically, electronically, or otherwise). including, but not limited t".
work papers, papers. reports, files, cOTTCSpondence. notes, memoranda (induding notCS and
mcmonnda of communicaTions or meetings), gntphs, ehans, research. analyses, ledger
sheets, periodic account statements, oonfinnations, telegrams. telexes, facsimiles, telephone
logs. chcd:s (front antl back), drafts for money, wire tranSfCT receiptS and requests.
conlinnation. of wire or cash troll.fers, deposit slips, invoices, bills, bills of lading, records
DC billings. records of payment, summaries of intaviews, transcripts, calendars, daTebooks,
worksheets, contracts. agreemcilts. bank statements. vidootapcs. audiol:lpes, and othcr
peml3llenl voice and image recor<lings (including voice-mail). magnetic tapes,
prinTouts, computer tapes, disks, diskcnes. di.k packs, and other clectronic media (induding
electronic-mail), microfilm, microfiche, and other slorage devices. The term "documents"
includes finished versions and dr.ft. ofdocuments; it also includes the original documellt (or
copy ThereofiCthe original is noT available) and all "opies that dilTcr in any resp<.'Ct fTom The
original.
E. As used in this anachment the tenn "concerning" means concerning. referring
to, per1aining to, rcnecting, describing, evidencing, or constituting.
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 4 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 4 of 12
As usOO in this anachment Ihe tenn ";Ill" shall be construed as any, all. each,
F. As used in this anadunent the tenns "and" and "or" shall be eonstrned as both
and conjullctive to bring ",ilhin the S(;opc uf the altac!ullent all responses that
might otherwise ""n.lruoo outside of it< <cope.
G.
and every.
H. As usOO in this atlaclunent the singular fonn of any word includes its plural,
and vice versa.
II. Production
Pursuant to this suhpoena, prooJuee the following documents in your possession,
e""tooy, or control:
A. Documents mrncientto identify all current and former. (I) officen; (2) diroctoo;;
(3) llCCOllIlting penonnel; (4) sales """"",nel; (5) shipping and n:cciving
personnel; and (6) other employees of QSGl during the period JanU3l)" 1,2007
thruugh. the pm;cnt by 11iIme, title, o.lates of&elViee, and social security number or
lax identification numher, as w,,11 as documents mfficiQlt to identify the last
known contact infonnalion (address, email address. cell phone number, and
landlinc numbl.-r(s)) ofeach person;
B. Documcms sufficient 10 identify by fUllction t!>os<: pernons identified in
response to RC<juest AwOO worked in accounting, e.g., controller. accoWlts
reccivabl" clerk, aceoWlts payable clerk. elc.
C, All <!ocumcnts concerning: (1) John Cunningham's resignation from QSGl's
Board of Directors on Or about April IS, including, but not limited to
the 'orsonal reasons" rerC'Tenced in QSGl's Form IO-K for the fiscal year
ended Decembt::r 31, 2008; (2) Edward L. Cwnmings' resignation as a director
ofQSGI on or about Octob<.T 23, 1008, including, but nOllimited to, his
purported intcn;st in "reduc[ing] the size: of the Board uf Directors 10 create
managerial cfficicncies at the Board leveJ"; (3) Mr. Cummings' ceasing 10 be
the Chief Financial Officer and TreasureT ofQSGI in or MOund May 2009; (4)
Mr. Cummings' appointmenT as Vice President of Finance and ConlTOlJ"r in
or around May 2009: (5) R. Keith ElIinfs resignaTion rrom the Roan! of
Directors on Or aboUI February 27, 2009; (6) QS(Jl's decision that Scth
Grossman's contract would not roll fo!Ward and would be for a period ofThree
years commencing January 1,2009; and (7) Seth Grossman's cessation of
employmenl as QSGl's President and Chief Operating Officer on or aI>ouT
March 9, 2009.
D. Documents sufficient to identify the address ofeach location at which QSGI
Qpmlted at any lime during the period January I, 2007 Ihmugh thc presenl,
including, hut not limitcd 10: (I) facililies maintained at Pleasantville, New
Yorl<; Caneret, New Jersey; New Jersey: J.>alm Reach, Florida;
-2-
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 5 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 5 of 12
Eagan, Minne!lOta; and BohmIia. New York; and (2) .salcllilC sales and
bu<i"""" developmenl offices in Colorado, Conneclicul, Florida, Georgia.
llIi........ hwli....... K-. M.clUI""- Mi-.ri, Ncbraaka. New Jcney, N_
York. Obio, Pamsylvania, Sooth Carolina. Tuas. aDd Wisconsin.
Documents 10 idmllfy exh buslness K'gmenI to which each
Ioca1ioD identified in n'SpOlU'110 Requeslll related at any time during !he
period J.muary I, 2007 lhrouch the prc:scnt;
F. Documents SlIfTlCient to identify tM activities earried 011 at each location
idenlified in 10 Request D, e.R,. office. sales, and/or storageof
in,=aory,
G All documcnl5 "",,":(:111I;118 QSGr. -ntin& policies. proc:aturcI IlId
and inlC11lll1 controls. including. but 1101 limiled to. lkKummli
cono:ening acoounlS payable. I'e\'enue r(lgnilion, sal.,. reuuns. credit
IIppl'Oval and "")'lIlCl11 terms. bonUICI and commissions, ace:ounll n:cei,.,.,ble
reserves, invaltory reICI"\"CI. inventory managcmenl. and pllldlilSing;
11. All do<.:umenlS mainLaincd for pUTJlOSeS of, or olbef\\isc concemina.. tM
preparalion of QSGI's linallci.l slatenlL'l!.S, including. but oot limiled 10,
joumal enuies (manu:.l and olherwise), generallcdgcrs., check regislen:, lrial
bal:l./1<;C'>. clLSh receipto cull rt':l;cipts dala, sales journals, purchases
journals, sales invoices, mcmos. vcndors' invoices, .salel rtpOns,
accounls receivablc :.ginll accounls payable aging anal)'$i\, inlerim
sl.alcmenL... periodic sales n:pons, reponing packages, business
plans, budgets, cash flow ...:pons, physIcal invcmory coonls. and financial
stalement projecliuns;
L Documents sufflCienllO identify aillucali""" al which in"enlory was
ma.intaincd al any time durinllM period Jnnuary I, 2OO71hroogh 1M preamt.
including. bul ""'!JOllIed to: (I) fa<:ililia leased byQSGI; aDd (l)lhird-pany
aonge facilitiCl at ",ltklt lovenlOr)' "';IS maimaina;!;
J. Documents suflieieollo idmIlfy all inventory maintained at any poinl in time
.. each Iocalioo in anP'erto Request 0;
K. Doeumc:nI.s sufficient to idmlify. (I) !be Inventory 'lOki at a ... referenced at
r-21 orQSGrs Form lOoK for the fisc.al ye:u ended Deamber 31, 2008; (2)
the ploceeds from each item tokl; (3) !he loss taken on each item sold; (4) the
date(s) of purdlase and sale; IDd (S) !he identity and last u-ou eontae1
inromwioo for Ibc purchaser oreach ilem sokl;
L All documents concl:lnin& 1M purported pnc1JC.... by a
leading OEM rcfamced at 21, 23, 26. aod F-21 orQSGl's Fonn lOoK
for tM flSCl! )'tar ended December 31, 2008lhat signif1UD1ly m.p.;lcd on !he
illdusuy'. ability to n:marI:et zScrin mainframe compuler equipment;
-J-
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 6 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 6 of 12
M. All documents concerning how Ihe anti-rompelitive practices referenced in
Request L impacted on QSG1's financial condition.
N. All documents concerning the underlying reason(s) for lhc increasc in QSGrs
inventory reserve of5200,000 referenced at 27 ofQSGrs lorm lOoK for
the fiscal year enlled Decemb<:r JI. 2008;
O. All documents conccrning QSGl's taking an impairment charge of57,206,698
referenced at page JI of QSGI'. Fonn IO-K for the fiscal year ended
J)e,:,:mber 31, 2008;
P. All docnment. coneeminll QSGl's monitoring and analyzing inventory
allowances for excess, slow-moving, and ob",lete inventory during the period
January 1, 2007 through the present, including, but oot limited to: (I) the
identity of all petOOns involved in each inslllnee of monitoring and analysis;
(2) the dates on which monitoring and analysis occurred; and (3) all resulting
analyses;
Q. Documems snllicient to identify all customers of by name. ooliTe,;".
phone number, and eontact or representative during the fiscal )'('ars ended
December 31. 2007 and 2008, respectively. and the percentage of overall sales
attributable 10 each customer,
R. Documents 10 identify all .upplier,; of inventory to QSGI during the
fiscal years ended December 31, 2007 and 2008. respectively. and the
percentage of overall purchases by QSGI in each year al1ributahle to each
supplier;
Documents sufficient to identify all agreements with Wells Farg<l, including.
but not limited 10 any cre<.lit facility in effC(:t at any time during the period
January I. 2007 through the present;
T. Copies of all agre<:ments with Victory Park, including, but not limited to: (I)
Securities Purcllilse Agreement; (2) Senior Purchase Agreement datw
on or about Junc 5. 2008; (3) Amended and Restated Soxurities Purclw5e
Agreemcnt dated on or about July 10, 2008; (4) Senior Secured Term Note
datoo on or about November 17, and (5) Secoml Amended and Restated
Securities Purchase Agreement on or about December 31. 2008;
U. All documents oon.cming the calculation of the borwwing h:u;e under any of
the agreements idemifie<l in Tespons<: to Requests S and T;
V. All documellts concerning all communications with or concerning Victory
Park. including, but not limited to: (I) notifications of the borrowing basc; and
(2) an cmail communication by QSG! tel Victory Park in 2008 informing
Victory Par\: of QSGl's interest in writing down existing inventory; (3)
and. Victory Park's forwarding of said email communication to Roben
VanHellemOnl.
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 7 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 7 of 12
W. AU documenlS CCJnCCmillJ!he malerial .. m QSGl's intcrmol alfllrol
0\' financial lNt led man;agcmcm 10 axlCludc: thai il$ disdolW'l.'
control J'fO"I"Iun:s ..-".e "noc .. .. of Decemb. ) I, 200$, '" i,,.hcMOd
aI p.agc 34 ofQSGI'1 FOl'TII IQ-K forthe filall year mdocl Deambc:r Jl, 200S;
X. All documcn15 cnnceming all communieauonl between tor ilmOng QSGI :lnd
Rubin13mwn l.t.P andlor Morison COllfll LLP eos.. or iIJl10ng
cOfII:m\ing QSGI dlllinl& the period January I. 2008 through the pn.'$\.'Tlt,
including. hut IlOl limited to: (a) internal cummuniations within Morison
Cogen; (b) oommuoiCalKlllS with MoriIon Cogm: and (c) commUlUcaU(NI$
.....Ih or involving all other third parties. .. broken, deal...... in\"estment or
odln bankera, tllStOmCn llId!or suppliers of OSGI. cmtilOn of QSGI, and
Kinetic:
y, AU doc:ltmml$ u:rcw;anin&QSGI's m outside audItor in 200S; and
Z. All minutc:a, resolutions. llI1d other documcnts generated by or distriblllcd 10:
(1) QSGl's Board ofDireclOri /I.IId any rommille<: thereof, including. hlll oot
limited to, the audit eommiuee and compenJ.ll.tion cQmmittee; Or (2) individual
members oflhc Board ofOirttton or a wmminee in their capacity as
mnnbera lhereofduring lhe pc:riod Janu<ll')' I, 2007 throu&h lhc: present.

Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 8 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 8 of 12
SECURITIESAND EXCHANGECOMl\'IISSION
Wa.llialtoo, D.C. !Os.t,
s..pph-mnllal lnformatioo" for R",Uht'" to Suppl)'
I "'"rmooo,, Vlllu"laril)' or lJlrltd 10 Sopply Inforn,uion
I'orsuanl to a l.:oml1liuion Subporna
SDction 1001 of Tille 18 0Ilt-. UnitIId Stain Code prO\'ldel. .. I<llk>ws:
""'-,. in....., __lt-.juI ...
...., -..... 000 :,_ up by.....,h:l<. _.or clinice. "'IlIIIII1Icl. or .....
lictitloutorlr__' ....GOII....__ioo... OI .......
It-. ....... '" concair>....., WH. or lI'olldullnl or....,. _ t>Ii WIed ..... IhiD IitIa or
imp<WorIId I1DI """olhln ... YN'S. or _.
TOlllmony
If your leIlirnony IIlakon. you ahOuld be IW;U. of th.loIklMrlg:
,. Rotd. V_ will t>Ii lranso'(Jed by. reporw. "you """'" 10 00 ottlhl -.s. plMse 0""'" !hill to IhI
CoiI.I . ...-npI<IY".I3llIng,.... I ...... "'. whowill"""",,". Ar.e,,* togranl,.... Tho lepoI1el willnoc 000/1
__ .. ""..-.
2.. eo...- YOU_u-. KtXAI...-...... -.cl1l'lCl ad'wIMd byCXIUI"IMI of,....lhlooL
lICMIeyou bcikn. during n'"'fOOl I r I"'". QIJ Iyou at _ c:oroc:b:ion of'fOOlIMI I"''' 110 dIrIy....,of
II'lli ."_1you Pduring l8AnIOfIY; 1I'ICl ....... .............-y..- dln'll 'fOOIlMr-"IY..-ey lor)'OUf UH." YOU.'
by C<IUR$II. you may prt.elIIy.
_IheCommluion empklyeolllkiogyourla1lmooy __<'luringyour
tes!imony you dlSirllO IlP'lIlilhld and otdYiMd by ""'-"lSIl, Your 1M1i""""" will be adjco.lmId 10 """'d
you ... oppotlurOty 10 .,... 10 dO SO.
YOU",.,.W,. iII_l*S"'"4oMll.1din hC..." I i .." ......Iig........ 'JNiI,
....... '... ', . '.I>ll I' po 1tI Q:lI"IIlir;l:of_1I...........sII or....,.W_1IO
--...you.. I "'IlI_PI'WOI.alocl\ed.. h .... "g hCaI.1
wiII ......_you ...... .._COi_."iQP ..coo_at lhcdlOice
of 0CUISIl1l'lCl 'IhI1_od>lIlI;, lor ""a.o.;.a.;. "",".
3. ....1 I""'. R..... ' '" IhoI Oomm....,.,s RuIIIl'Wating 10 llM'StigalIona. 17 CFR 203.6, rt.Il...:
" per..,., wflO "as $ubrnftll <loc\.ImI!'IUiry O\IklenCl 01 testimony In 0 formAl Ir\ve$tigart-l pr..-linI,J IntIll be
1<"JIilIl. upon _en to II CllPV oI lIoI;:umenIary 01 all'anscript oIl'IiIlestimony on
payment 01 ... appr<lllriablllDs: /lo(:>wll ThIlIn a """llUt* IormaI "'.rlg , .. pioc..di"\1 ltII
Comol : .",.,.lorgood In...,--.....,.. uponpropli Idoooilitlcalillo. __
IhI rigIlIlOinIpKt h oIicial of h...-own ""'I"'IY
lyou -'>110 lI'II of.,our I I"'",.....epor1If .... 1If<l"'idiI 'f'OU"" .copyOl ...appr ......
torm. "*to. *l'..1Id 110 "4'PIY.""_I-..-iy"bllIIowed 'IhI pOOOOOld bV_....
. PIt;Jry. SecIion II!l21 at Tille ,801'1h1 UnIled StaleS CodIpooidlt _laIows:
WIIoeYI< .. t\DYIfIg 1aJ<en., 0Ith l*llrIa compelant lritlunII.llIIicer, 01 PIQOf1, in..., CUI'" ANch , ....-01_
IJnjted S10181 authOrlZlllW'i 0Ith 10 be IKlmlnisllHed, thai I'll .... l8IStifv. o;ltciafo. depoea, Of cenifylnJJy -Mllt\llly
IIl"od eonlflryto IUCI1 0Ith SUIIelI 01$Ubectlbes Drry mller\el rTIlllter wI'IlcIl '" dOeS IlOl bIIlevIlO bI trill 18 gIiIIy
oIpe<jJryIl'lClIlhlll, UCIPI __Ia. p<M&Iy prOYidDd l:\'I'la"-,bI intd _thiI titlIOfimprisonad nol mQII
II'IIn ... ,... or bolh
SEC IIl1S2 (s.<W)
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 9 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 9 of 12
!. FlfI/l AIl _or_VcolIIIiIf)' T, f .... ,"*",,-yougwmaybJi uJed JOWISl you In...,........ _. _ ..
knign_ IJt gMI .. <;BninIlllOOCM<ii", twoughI byllwCoo ! .. - ---
YOU may _.In dJii ... *'... rigtWlf go..-.--:IIDyou by'" ............ 0 .... CID'" e..-aonerlN
s-.tog;.. ...,. if"'" _ may.., ID ..... _ you .. you It> b. penIIly .. 1DrlIiiIln.
Myou"ltiiaio r ID . n
you may "Ml you -.Y.... ODOP8i.lIOt flo e 1lPP' '.
s. Fotmal AwIiM>ility.lIlhoi Cotnfl>lss;on ha __uod. formal Dtderolifro.olstigMion. RMIl bJi._to you d\IIing rou
*,Iimooy, II rour Myou ck!$tIe e copy of tr>e tormel on:ler. ple... meke rou ,equeel In wri\I"'J.
8<lbmUlonl Itld SIlIlemenu
RulI erllwCoo, I e""'' on InIoImai n 0It-.1'roc:ed<nI, 11 CfA202.5(e)._:
Penon!;..too bJi<::o." __in . In- l.fgJlig .1nI'f.onlhlir own II ....emit _ ...... lDb
eon... . ""*'llb1"l i __..., poeifon III NgM!1D ...- 011 rig..-... Upon
...-. .-.in;a; mayliMseSl.d'>llI' ...ot"'llIllI"lI..-.eolhi. ,' inclo.o*lg...
... ....,.pertIl'IlD ...... .., .. -.ner .... _....,.be.? '.. lor
so.O'''i(l'. priaolDb..... - .oIutllll.........dMii;o.IO..COO..' .IOrINOCOC __.....
er .. ldln._ polcee<i<og.S' f .by_
'""...... _ 0MIiI;In 0ir1lc:llDr. AIglonII 0iri0:l0I [lIJ;frir;t Ao;h """, will. CCIPY ID IIw SId If"''''''
COI'lOuC'ling!hl ihOUkl 111-'" ceo to IIwepec:lIie"'-liglliotllOwt.:Il 'Ihey ..... In
1hI-n. rec::onvnendllioo lOr IhI oommencemonl 01 .. proceedi", ie by Ihe .!IIl. iiIV
iUbmiseioneby inlerNlldpoe<eonI WIll befc<war_10IhI Commiliion Inconjunctionwi1I'llhiltall """""'...,.,."".
ThI,U1I1Ofltll CommiNiM to pureuetlttoRule 5(e) inCommission
.,iIorceo.IIOI...OOIIdiolOl.
RulI5(l) cllfll eorrv- RINIonlr*lrrneilllld 0llM 11Cf1'I202.$(I)._
In 1fII 01 Coo ubn'.h=lIgaIioo. gMI." IIld poOC..di"g tall, ....
............ _ -.:o1zIIion.....,. _ persoo-. ed..... H)O, cl-..::tl..-. by _ .. by
_ ........ In__............... pclic:yol ...COO'.. . .. 11:: ........_F . "01...,.Judl
..-may......... ?1 .. ... IIII' ..'-beIIl, ..maybll.bIoughIlgIhJt
.._.....,.""*"......'espICll_.A<x:oodily, ..&ibceo'....
_-...c... J ."""''"'"_i5,.....IO..... ......ordJii"cloIIIOJdelrblfll
1""PfIM00.eooMI'lIlhIclwnIlQIi'lsIllomin""'.... ".oioilJlliili,...-.-.dnollor1he JlUfPOIII
01 <e$CIwing II'iYc:riminaI dIargeI "'" hive be&I...mlglll bIl. brought IgIir>el 1Wn. Thill policyreII&:ls1he IIoclIhal
ltsltallhielhe ll1Ihofify..fIIPO"SIWilylc<in&liMlng.oon<lucIIng.MllIi1g... oIhII ....
dlJ;poslng or prooeedino,. That eutho<ltr IIld ,espo.-.$lbIIily If. 'ffl$1ed In !til AtI..ney a"""'e1 end
rop<esentIIllvee0I1hIt Deparlfnem01 Jvslicl.
f.-n011 Inlom'IalIon Ac:l
ThlF,-..oti", t ............. otWormllicnIO..p.bIc.RulI
1300f11c.. ; 7
............. _'_IONCOO It.nol bIl ... "_."'-"FOIA. ThaI _lhJIno
1 n.-.....IO..-.Ii<ilyol_. __wilbI_..... oIfII ihofOlA
1Il'1( .d.' diiy,. no __10. __..-..on bIl,.," ..' FCIAi& -'IfY""bIl
ot- __IOr-.. ...- FOlA.. -oOlIlyou &doiC"Ioi1gotelfilOliplol,.,.. __
1I'oil llDlbI FOIA..lllMIepooo\dll."''P'"" ....
.-..elope.
AulI>Oritt lor SoII;J_, ct lnlorrnMion
PtncmDi'BC/J roSupplyInfo<mll!iooPunuanr roSubpcw>e. Theau1hOfll)' lor jlfoduc:aon ct moon,'ioniii emIorth
In ltIIlIU!>P<>ena: OiIcloeurect1he lnforrneIiontothe CCrr\rrIiIsion i&1fIIfIdI10l'j, eob/8CllOlhevllid '" 'liDo. 01 iiIVi&gIl tIltJt
.. ptMlege roo hive.
Pei... .. _of"'+ '", ...oJ .-.ooialIheCcm" I .10
oo6oi III",*"",,,*,",,*, I, s.:... "indio<2001... S<e<::>.niNAc:l0l , lD:I; s-.21 01.. Eller......
"",,01 '934; Sidon 1 01111 r ... -...."""at It:. Sidon qer",ln "b''''. Coo....... Ac:l oIllMO: s-.:lOll
,
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 10 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 10 of 12
01 '" IlMlStmenl AOY>HtI Act 0I11W.l; ..-:117 CfR 202.S. lliIdoII.Q 01 '"""l"518d intonnoIIon 10 '" CommII3"'n Is
voIunlwy CIO'> 'fOI." pr,rt
EIM:t 01 HoI &.ippIJlI 'II Io'l/IormIlIotl
....."WII:UoPl.nu/lnfI(l"''' ...W'lOUWlOc:otrVt "'''!I;Qgeo..'"Corrv::t 'e!pn ""'Y
....courI_ 'IOU lOdOlO.' sudl .. _ Is I'W ..,. floiIlO""PP'f''''inIonnDon. I'W
may be lOeM f/NJIOI c:nminaI ... _ .lot_.'1jlI0I0DUIt. In IddioIi<A INSlotlpOlltllo _..,.,.., pI.il'SUWllO
.. .-.d
if you. """')Ml-. III or ..... lO _ II'Id ...,.. CO' lO __...ui'oquoy. CO' lOprocll.a bocb.. plJptta,
W, ...... _a.IfIIfO'IOt...-lI'Idoe..._..w, iCI llt>poeo.. ...
_Ined not_..... 1ar oIInoc _.,... CO'-.
,.._.. ....." ..... .. II'Id....
.. CO' _ "*>nNIioln.
P,hc;p.l uu. 01 ..." Ill: ,
,"",cam- '...ioooipllfUpOte.... _... ..." f ,lIlOgdw_"'_1I:I1 1 "."""'*'*_I*SO"
! ,
hw.oIco_... ....... ....'IIeo.d.
f __11:,.'....,.IIo,. Wl I" _=1 I .",__orNlla.trdoronalion..ooidood....,be.-inCorrv::t...,..
__lIQ"q....O."...lI.......-..... 1 ,orbllolle>+**JyV-1I:IIMDDflIr..,..wrling. you
b/'lOUId not.,.,.... _1IlIt or lis _ N'QII In.. Ie' 11:1. Of COfICUI'Il Of'" wrth. _ po U'>,.
wodiloo,. fequeI\,' III .eliol' 01 tighI, Of __.. Il\bl puporU. or may be _,lell.lObeor lO
,_.timflUOtl upon 1IlItComtnission'o or ,-*>n.1n boC>l:OfdanobWllh .... IItw.
0I1nfomIaIlon pocwldod.
IIoullroa ...... af Infotmallon
n... CommoHionoft", tr'IAkes itsfiles ovailBblo10_1)O"*00'lfK1111ltge1IOo5, paIIiculoIIyUniIfld Stilt..AttarMylInCl Itble
prDMCUlOro, byyouwillbemade ovail.bIeto$uch.g",cieI_rllllppropr!ate,
WIlIIII'oar or I'lOl Commiuion mal<fl its hi... "vai_1Oolhtt (lC/V9fnonent&l-slencies Is. in ganor", .conIid*ltial
_0Wl.1e Commiaaion and .ucho!he< gove,nm",talageociN.
SIM ront> it. hoC oIlhe tOOIine "'"wIlicn rMy be mao. of 1IlIt Inlarmalion turnistled.
1. To0lICIf<lifIewlaw.. 'k>o;emeI aclMtiNbe-.1toI SEC..-:I Olhor '-<leraI, stat. 1ocaI Of bleognlaw.. "coo,. 1IgenCiH.
...."""illN.
2. BySfCPM'$OfIIIelfarp.ltpOHlol.....ug.aungpooa..... oIcIeIiooll by, INloKIIfal
...,..--.
3. __........ ifodlcali<li. 01. Of ...- I F: ,01'-'-. _ .. c:MI, crimifIaI Of <egl"Mary In _.lind
.,_-.IaIng bl"gMIefIIIl_CO' parlIiaJIar progr Of bI" rego1 f>1, "*Of order....., po.nuam.........
_ l8M""""""'.r..... _ ... _.or_.""-Igrl
aMIoriI)'OfIonllgnMClriliN........,.,Of. ,.... c lIitiioty
01.. '''''''llOf I t .....*"di'llOfIrl'4l'fllo' ....'II ... _Of '"9 ,",.>'Of_
......,pwa...r.......
4,."1fIYPO_llI-''''_M<VllIiN _ ........ CO' "'_II!eCoo,., . I, Of PeMOI po-.. ".,WI
Cf .. SlIIl, II i*!I" Of". is. """'Ohed .... ClII*iIY
To._"'_,_OfloNv>"'-"'."-.oriIyorlonllgn-..-aMl<:fty",__oIilllcM.(r\mif'IIIOf_
-........,.............-..or_,.tif._ _.a.n.nrtita if,. ry1l:l0l>&*0*"" .
'-'1I:I"1IIIl"ftC'l' lIOCiIooo, COO"".llI'" t.n;J Of ,_ , 01 ...'CliO_.... of"""""" dl' .iCI ....
iIUnlI of. con&"&Cl. or .... __of" tita1!e. gr... CO' _ llM'loIk
6. To" _ _. _ Of IonIIgn go... ,. o\IIlll/f'lcln\)' or IonIIgn INClriiN-.orlIy ''''JlOO _ 10 1Ia In
_ l'Iimgor'_.... 'of.. """*',w.lI!e......... af .-:uriIy I 1l "''IIaf.... ,_
oil ,1Illo "'1Iain; '" con&"ea. or II!e iIIsuerOA01 rar-. grin! CO' ..... I>-.8IiI bI" 1IlIt """""",. 11:1 1IlIt
-..- ......... _.... &'J'1I:I INteqo Ilf 1lI11UM""f1 deCiooon "" ""' ..........
7. In _._, willi poOCMdlolQll by ilia Commosooon Ptnl*IIlOFbM 102(., '" its RoAN oIl'I'&CIIC1. 17 CAl 201 102(10).
,
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 11 of 13

Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 11 of 12
.. _ W/iIIIidIIi+d_...... _.'-' in IhilsytMm rMy bot dleckl ; 10. ber "'I ho'" InIliIuIe III
""",OtOOO:JiotI!I-.ont/.
7 .. ''' .. ,Ot ... ego"ll'Qry-.orily..b".ig..........-.."'p H ..

.......... __._... tig__ .-.otIly.
1UIhcrilr'. Ot by 1 SIIl..-.g.-."y in.aw.g one Ot /I'"lOI'O III ita ,..,obML
10. AI. data!MlU'CllOt InIOtmnonlOt piOduCllotl ot"""'"""'YcIIIcripliYe ,1IliIIlcI tnd in
IOJPPOtIoI "'-!\Inc:Iion1or wl>idl1lle-ot lUecollectedtnd mainlllinedOtIOt fIoI!l*I mltllgemenlluo'lclionlOt
mlnpowe<ltudies, ...... ,0 respondIOgoIIlIfll 'eIllNS1llor I1atiIticll inIormmion (wiIhout P&'aoneIldentifioalion ot individuals)
lI<Ider the F..-oj lnforrnMion Ad0110locate$pOCIIIo; IndMOuIIs 101I*IOIII'Iel ,_d101 Olt>er pe<somellJllNlglmeot
.......
11 roOOt.liOI, with ... and .........'.'I'iIIPOI.. 'f .....-.:I tJylN**1l1llClri:ies ..... (II de"*'
.. s-.3(aj(.1)otIhe8eQri:iel Eld."",Adot 1llG4. 15U.S.C. 78c(aj(.7I).0t'-0t7DNlgn_,"lI'" 'II"""
Ot __--..-...... tlerJildoMr'to, ..... 1M' ......,.; "-'IheCOl,.,7;
.... 1UemaIIlng!loln:l s.a...- r. IllO! PI_,CotpOtaon. ...,... _Mig-..toOls
inc:IJding bulno1 *"-db..... lkM1lIllGowo' oI ..."-.ln .. sv-n...COl' ot .... eurr.q.._....
..... ib'''.I''''''''''''Ot'''ijIIi'''-'''''''''"'II'ow.y
....ib..'.II9IO...... ot. blIignll<"'""'"'.iI.""blIign _-.oriIy.
12. To r.y WullM. ,""*"",,, ...... "" indMcluaI "".-.lily __1PIlOio'!+d by. coo.wl 01 00IlIP"l+n
juIbdictioo, "" II ,+lUll 01 an aoo_ _, ...' .... pwIieI in COl' -:!ion with "" +Clmnistratlv+ pioe++db'OS
inooIvinOaneoatlonl ot 'IioI+tionI 0111.- r.owat $OCUri\ios '-_(at <leIin+d i'l Soction J(a) (.71 0Ilh+ Securilin Exc:I'Iar'IO&Ad
oj 1llG4. 15 U.S.C. 780(1)(.7Il Dr 11.- Commission', nuiN01 Prac1ice. I 7CFR 202. 100 900. Of 0Ih+rwlse, whet,d", usree
.........., """'t.... fI)fClaI oounsel Of _ individual 0/ it opeciIicoIIy l<I perform pet\iculIt funcIionI wilh
'-'10, ""_. result 01. tne ..dog .aion Ot "" in "",.l+<;1iol, wtlrl1hlo adminitlr,1>On _ ....... CImInt by
It>e Conwn;ss,onol ... _ .. Ha.WllioM'"-",,"'COIN,' bo', fIlJIIoI 01 PI'_.
11........,. m.,. bot _II;>. Congrlllicnal-. hlm... record 01 .. ftfMduIl in , __11;> ........., __...
CongressionaIOIIoI_II...
to onQIIirieslrnm Io4tmbIrI oj CongI_, ... preu and ... PUI>Nc lOhicto ,_totpIQfic mllt.... !hIl11he
CommIssion hIIlnvIt!lgaled l\I'ld to mlltlQiJnde< ltleCommiltion', joIIIdidlon.
20. Toprepar..nd publishInklfmltion ,etllri..... toIIioIatiooI oj!he _aISOCIIIiIies laws as proYICIed In 15 U.S.C. 78c(1) (471).
-_.
21 To respon:lll;> .. ollpowIas In.., IiigtIQn ""_pl""'-'og_
22.

Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 12 of 13



Case 09-23658-EPK Doc 211-1 Filed 02/02/10 Page 12 of 12
23. ....
....po,.rol.-..., or 1W>y'-'" ptII$QO'\, lor Cl.1 Indud:.,; CO!!IC1IC...-
by"" __
.-Dfeom-.. ,awor""""'.Ir.... p'..........
,
Case 9:11-cv-80880-KLR Document 44-3 Entered on FLSD Docket 03/12/2012 Page 13 of 13




EXHIBIT C
Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 1 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 1 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 2 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 2 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 3 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 3 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 4 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 4 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 5 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 5 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 6 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 6 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 7 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 7 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 8 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 8 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 9 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 9 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 10 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 10 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 11 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 11 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 12 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 12 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 13 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 13 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 14 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 14 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 15 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 15 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 16 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 16 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 17 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 17 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 18 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 18 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 19 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 19 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 20 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 20 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 21 of 22
Case 09-23658-EPK Doc 135 Filed 09/24/09 Page 21 of 21 Case 9:11-cv-80880-KLR Document 44-4 Entered on FLSD Docket 03/12/2012 Page 22 of 22

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