IN THE UNITED STATES DISTRICT COURT

FOR THE SOUTHERN DISTRICT OF FLORIDA

SECURITIES AND EXCHANGE 

COMMISSION,

Plaintiff,

v.

JUSTIN W. KEENER D/B/A JMJ FINANCIAL, 

Defendant.

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No. 20-cv-21254 

Hon. Beth Bloom 

PLAINTIFF’S REPLY IN SUPPORT OF

ITS STATEMENT OF MATERIAL FACTS

Pursuant to Rule 56 of the Federal Rules of Civil Procedure and Rule 56.1 of the Local 

Rules, Plaintiff Securities and Exchange Commission (“SEC”) hereby submits its Reply in support 

of its Statement of Material Facts (DE 67) in connection with its contemporaneously-filed Plaintiff 

Securities and Exchange Commission’s Reply to Defendant’s Opposition to Its Motion for 

Summary Judgment.

Defendant Justin W. Keener’s Opposition to Plaintiff Securities and Exchange 

Commission’s Statement of Material Facts states that: “Mr. Keener notes that the SEC simply 

appended its exhibits to its motion, rather than to a declaration attesting to their authenticity as true 

and correct copies. For that reason alone, the SEC’s assertions of fact should be rejected, and the 

SEC’s Motion for Summary Judgment should be denied.” DE 91 at 1. The SEC notes that 

Defendant is simply mistaken. The requirement to authenticate exhibits to a motion for summary 

judgment ceased to exist in December 2010 after amendments to FRCP 56. See Maximiliano v Simm 

Associates, Inc., Case No. 17-cv-80341-BLOOM/Valle, 2018 WL 783104, at *1 n. 2 (Feb. 8, 2018) 

(“While the Court recognizes that Federal Rule of Civil Procedure 56(e) previously required that 

documents be authenticated by and attached to an affidavit, that is no longer required under the 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 1 of 159
current version of Rule 56.”).

The SEC notes that citations below are to the docket entries (“DE”) in ECF and the page 

numbers that ECF assigned to those documents, except for: (1) deposition testimony (where the 

page and line number cites are those in the transcripts); (2) expert reports, plaintiff’s summary 

declaration, and Defendant’s Answer to the Complaint (where cites are to paragraph numbers or 

exhibits); and (3) interrogatory responses (where cites are to specific interrogatory responses by 

number).

A. SEC’s Reply to Defendant’s Counterstatement of Disputed Facts

6. The SEC refers the Court to DE 88-1 at 2-3 (excerpt from Defendant’s accounting 

database showing that he terminated 6 employees in 2016). Defendant testified that he had between 

20-25 employees working for him during the relevant period. DE 67-1 at 47:13-21 (Keener Tr.).

He also had among his “20+ employees with offices in Miami and San Diego and opening a New 

York office this year [2016]”, a full management team, including a Chief Financial Officer, Executive 

Vice President, General Counsel, and Investment Directors. DE 67-24 at 4, 6 (presentation for 

“Broker and Finder Seminar” on April 8, 2016). Defendant testified that as of June 6, 2019, JMJ 

had eight employees, including himself. DE 67-1 at 43:10-23 (Keener Tr.). He did not refer to any 

of them as “assistants.” 

8. The SEC refers the Court to Defendant’s Answer (DE 30) at ¶ 2 (“Defendant further 

admits that he converted more than 100 such notes from more than 100 different microcap issuers 

during the Relevant Period.”). The SEC also notes, in regard to Dr. Taveras’s Summary 

Declaration, that the SEC is under no obligation to provide summary materials prepared by a 

summary witness until 30 days before trial. Fed. R. Civ. P. 26(a)(3)(B). Dr. Taveras summarized 

only Defendant’s own data, which is easily accessible to him. See DE 67-11 at ¶ 4 (“The first part 

of my assignment was to summarize JMJ’s net income from March 24, 2014 through January 31, 

2018 (‘the Period’). For this purpose I was provided two Microsoft Excel files produced by the 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 2 of 159
Defendant.”). 

10. Defendant provided no documents to support his statement that “many of Mr. Keener’s 

investments had different features” in disputing the general description of convertible notes in No. 

10 of the SEC’s Statement of Material Facts, and therefore it is admitted. The SEC also refers the 

Court to DE 67-16 at 18-20 (convertible note term sheet and template note in “Partner Seminar” 

presentation (August 14, 2015)).

11. The SEC refers the Court to DE 67-16 at 15, a presentation given at the “Partner 

Seminar,” which stated under the heading “QL History”: (1) “Developed internally to meet deal 

flow & demand in late 2011,” and (2) “Beta test started March 2012.” DE 67-16 at 10 also states: 

“$30 M cash deployed into QuickLoans, additional $20M cash committed.” The SEC also refers the 

Court to DE 67-24 at 14, a presentation given at the “Broker and Finder Seminar,” which states 

under the heading “QL History”: “Invented the Quickloan concept in 2011!” 

12. The bridge loans cited by Defendant each had conversion features, except for the note 

with Connekt Media, Inc., a private company that Defendant owned. DE 72-3 at 23:2-3 (Keener Tr.) (“I 

own a technology company called Connekt.”). The SEC refers the Court to: (1) DE 91-4 at 20

(paragraph 2 of Promissory Note with ACAR stated: “In the event the Issuer fails to repay the 

balance due under this Note on its Maturity Date [which was no more than ten weeks later], the Investor 

[Defendant] has the right, at any time, at its election, to convert all or part of the outstanding and 

unpaid Principal Sum and accrued interest (and any other fees) into shares of fully paid and nonassessable shares of common stock of the Issuer” at a discount of 40%); (2) DE 91-5 at 3

(“$350,000 Convertible Note” with BLSP stated in paragraph 2 that Defendant had the right to 

convert to stock at any time after the effective date at a 37% discount); (3) DE 91-5 at 48 (second 

note with BLSP stated in paragraph 2 that Defendant had the right to convert to stock at a 40% 

discount in the event that BLSP had not repaid the note by the maturity date in 6 months); (4) DE 

91-6 at 31 (promissory note with DUOT stated in paragraph 2 that Defendant had the right to 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 3 of 159
convert to stock at a 40% discount in the event that DUOT had not repaid the note by the maturity 

date, which was less than 5 months away).

13. The SEC refers the Court to DE 72-4 at 120 (“JMJ Income Statement – Notes” for the 

years 2013 through March 21, 2018 states that Defendant had “Income from Stock Sales” of more 

than $50 million, compared to cash profits of no more than $10 million from interest, 

fees/penalties, and a fee called the OID). The SEC also refers the Court to Nagel’s testimony that 

he was the CFO of JMJ Financial, not just an “accountant.” DE 67-4 at 15:17-19 (CFO Nagel Tr.). 

14/15. The SEC refers the Court to DE 91-9 at 3 (term sheet for ALLM note states that the 

note is “[c]onvertible at a 25% discount to the lowest trade price in 10 days previous to the 

conversion”). Regarding Defendant’s reference to a “PBIO convertible note with a fixed price,” the 

SEC notes that: (1) Defendant’s citation is to Amendments #2 and #3 to a convertible note that 

may have had a conversion discount, but Defendant did not provide the underlying note to the 

Court [see DE 91-10 at 3-5]; and (2) Defendant does not mention that there was an amendment to 

another convertible note with PBIO with a conversion discount of at least 40%. See DE 91-10 at 2, 

¶ 3.

17. The SEC refers the Court to DE 67-16 at 19 (template convertible note in “Partner 

Seminar” presentation stated: “Unless otherwise agreed in writing by both parties, at no time will the 

Investor convert any amount of the Note into common stock that would result in the Investor 

owning more than 4.99% of the common stock outstanding.”).

18. The SEC refers the Court to DE 67-11 at Ex. 4 (Declaration of Dr. Taveras), which 

provides the signing date, the date of the first stock sale, and the date of the last stock sale for 272 

convertible notes. Comparing the dates will allow the Court to judge for itself how long Defendant 

held notes before converting them. Please bear in mind that Defendant made additional payments 

to the issuers after the notes were signed, and each of these payments would be subject to a 6 month 

holding period. Therefore, the date of last stock sale may be significantly later than the date on 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 4 of 159
which the note was signed.

19. The SEC refers the Court to DE 66-2 at Ex. 3, pages 23-27 (Rebuttal Expert Report of 

Dr. Taveras), which provides data on price declines experienced by issuers that sold convertible 

notes to Defendant. Dr. Taveras summarized this data (id. at ¶ 29) by saying that “93% [of] issuers 

had stock price declines between Defendant’s first and last sales.” 

21. The SEC refers the Court to DE 67-16 at 27 (“Partner Seminar” presentation stated, in 

regard to Quickloans, that “Most that are over one year old have 5-7 payments.” There is no reason 

why Defendant’s own marketing materials would misstate facts of this nature, despite Defendant’s 

claim.

22. The fact that Defendant can cite one case in which an issuer sold him warrants without a 

convertible note does not mean that his CFO’s testimony is not accurate. See DE 67-4 at 71:8-11

(CFO Nagel Tr.) (“Q. And has JMJ entered into agreements to purchase warrants from issuers 

without also having a convertible note associated with those warrants? A. Not that I’m aware of.”).

23. Defendant stated: “Disputed that that [sic] this software was exclusively intended for 

convertible note investments,” but he provides no evidence for this assertion. He therefore admits 

the fact as stated by the SEC.

26. Defendant asserts: “Disputed that Mr. Keener in fact had ‘over 50% market share’ as the 

cited evidence is a marketing claim, not actual evidence related to market share.” Defendant cites no 

evidence to the contrary, and thus the fact as alleged by the SEC is admitted. 

27. The SEC refers the Court to DE 90 at 34 (Def. Opp. MSJ) in which Defendant stated: 

“The SEC’s own statement of facts shows that there were many other such transactions. See, e.g., 

CSOF ¶ 8 (citing transactions dating back to July 2010).” Defendant thus admits that he was 

conducting convertible note transactions in 2010. Moreover, Defendant cites only his general 

objection to Dr. Taveras’s summary declaration. If the Court determines that that objection is not 

proper, Defendant has failed to dispute the facts that the SEC asserted in No. 27 with any evidence,

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 5 of 159
and they are thus admitted.

28. Defendant selectively cites to the deposition of Dawn AuCoin, DE 72-34 at 180:24-25, 

in which she said “the spreadsheet ‘doesn’t include expenses. It’s before expenses.’” The 

spreadsheet that she referenced was Plaintiff’s Exhibit 1, which was labeled “JMJ Income StatementNotes” at JMJ-SEC-008-000380. See DE 72-34 at 164:1-5; see also id. at ECF page number 322

(copy of “JMJ Income Statement-Notes”). AuCoin also testified that the JMJ Income StatementNotes spreadsheet: (1) was “accurate” (DE 72-34 at 181:9-10); (2) comprised “all of the stock 

proceeds sold for JMJ, subtracting out the cost by tax basis, adding in any OID interest and fees and 

penalties that we collected and subtracting off any notes sold, any bad debt, adding in bad debt 

recovered, subtracting off any expenses, and getting a net income” (id. at 182:3-12); (3) reflected 

income for 2014 that was all note-related except for two transactions out of “many hundreds of 

transactions in the year” (id. at 254:12 - 258:25); and (4) reflected only note-related income for 2015

and 2016 “except for roughly $800” (id. at 231:16-21, 233:21-234:10). For purposes of her summary 

declaration, Dr. Taveras also used the JMJ Income Statement-Notes document, which AuCoin said 

was “accurate” and reflected virtually only note-related income for 2014-2016, and the Excel version 

of Defendant’s accounting database (JMJ-LIT-008-000001). DE 67-11 at ¶¶ 5-6. 

29. Defendant cites only its general objection to Dr. Taveras’s summary declaration. If the 

Court determines that the objection is not proper, Defendant has failed to dispute the facts that the 

SEC asserted in No. 29 with any evidence and they are thus admitted.

30. Defendant cites only its general objection to Dr. Taveras’s summary declaration. If the 

Court determines that that objection is not proper, Defendant has failed to dispute the facts that the 

SEC asserted in No. 30 with any evidence and they are thus admitted.

31. Dr. Taveras did not render an opinion about “net proceeds.” She simply used the term 

as a label for proceeds from stock sales minus cost from stock sales, as taken from JMJ Income 

Statement-Notes document. See DE 67-11 at Ex. 1. She did not intend there to be any accounting 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 6 of 159
significance to the term. 

32. The SEC incorporates its reply to No. 31 here.

33. Dr. Taveras did not render an opinion about “net income.” She simply used the term as 

a label for net proceeds from stock sales plus OID, interest, and penalties minus write-offs and 

other losses, as taken from JMJ Income Statement-Notes document (which uses the term “net 

income” for these calculations as well). See DE 67-11 at Ex. 1. She did not intend there to be any 

accounting significance to the term. 

36. The SEC refers the Court to the DE 91-14 at 36-37 (Blink Charging Co. Form 10-k for 

2018), which states that Defendant entered into a convertible note, a warrant agreement and a 

“Lockup, Conversion and Additional Investment Agreement” with Blink Charging. Defendant 

settled these agreements with Blink Charging by agreeing to receive shares of the company’s stock in 

2018. Id. Defendant states that DE 67-19 constitutes “inadmissible evidence.” The SEC thus 

attaches hereto, as Exhibits 1 and 2, Defendant’s account statements related to sales of Blink 

Charging stock in 2019 and 2020.

37. Defendant does not dispute that he used the means and instruments of communication 

in interstate commerce and of the mails to conduct his business as JMJ Financial. Moreover, the 

record is unambiguous that Defendant employed people for the purpose of soliciting issuers. See 

e.g., DE 72-10 at 92:10-17 (Weisman Tr.) (Executive Vice President of JMJ testified that: “I think 

there were emails that salespeople used for soliciting. ... Some salespeople would alter [template 

emails] and occasionally somebody would use their own to solicit business.”). It is also clearly 

established that the JMJ website was used to “extol the virtues of JMJ” and to “attract clients.” See 

id. at 110:7-11.

38. Defendant does not dispute that “stock converted from notes was not publicly traded 

until he ‘introduce[d] it to the market.” See DE 67-1 at 120:15 – 121:8 (Keener Tr.).

39. Defendant offers no evidence to support his dispute and thus admits the facts alleged in 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 7 of 159
No. 39.

42. The cited testimony does not support Defendant’s “dispute[] that the ‘Marketing 

Initiatives for 2016” were ever implemented as described.” The testimony of Defendant at DE 67-1 

(at 162:16 - 163:6) was that he was unaware of JMJ using a “web lead.” His testimony at DE 67-1 

(at 165:2-20), regarding mail campaigns, was “I can’t tell you whether we did this.” His testimony at 

DE 67-1 (at 178:2-20) was that his employees had a marketing budget that was not unlimited, but 

rather dictated by commonsense. The testimony of Sandy Weisman, DE 67-3 (at 110:5 - 111:14),

did not address the “Marketing Initiatives for 2016” document. In short, none of this testimony 

contradicted the SEC’s factual allegations about the “Marketing Initiatives for 2016” document.

44. Defendant states: “Also disputed that Mr. Keener made all the types of investments 

listed,” but offers no evidence to support his dispute and thus admits the factual allegations of No. 

44.

46. The SEC’s factual allegations in No. 46 concerned JMJ Financial’s Twitter account. 

Defendant disputed them “for the same reasons set forth in response to Paragraph 37.” But 

Paragraph 37 did not concern Twitter; it dealt with JMJ Financial’s website. Therefore, Defendant 

has failed to cite any evidence to support his dispute of the SEC’s factual allegations in No. 46 and 

thus admits them.

47. The SEC refers the Court to the following testimony of Defendant: “Q. Have you ever 

found an investment that resulted in a convertible note through a cold call? A. Yes, yes.” DE 67-1 

at 167:6-8. The SEC also refers the Court to the following testimony of Defendant: “Q. How many 

calls do you think was appropriate for your people to be making per day? A. I think it would 

depend what year we’re talking about, how aggressive I was on market conditions and how – you 

know, how much money I was trying to put to work, but you know, looking back on myself, if I 

could connect with one or two companies a couple days a week, I was happy with that, where I 

could actually have a conversation. And that might take ten or fifteen calls a day. Sometimes to the 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 8 of 159
same – same CEOs or CFOs, you know? Because you’ve got to work to – to put money to work in 

this – in this type of investment.” Id. at 170:7-18. The SEC also refers the Court to DE 67-28 at 3-

6, which discusses how Defendant’s employees could receive bonuses and commissions based on 

the convertible note deals that they “closed.” 

48. The SEC refers the Court to the following testimony: DE 67-1 at 45:16-22 (Keener Tr.) 

(John Casiano “was, at one time, more or less a cold caller of – companies I was interested in 

investing in”); id. at 50:5-16 (David Halfen and Chris Mayo essentially had the same job as Eilon 

Natan, which was “[b]usiness development for deploying capital and administering it”); id. at 174:9 

– 175:1 (describing the duties of Shawn Ellis and Jim Abbott which included calling companies to 

tell them about JMJ Financial, communicate offers to them from Defendant, and working to 

administer any resulting deal).

49. In disputing this factual allegation, Defendant cites no evidence and thus admits the 

facts alleged by the SEC in No. 49. Defendant’s incorrectly characterizes the evidence that the SEC 

cited. The list of commissions paid to Mr. Natan detailed the issuers to which the commissions 

related. See DE 67-25 at 3. 

56. Defendant disputes that he “remembered buying securities such as a convertible note 

with the assistance of at least one attendee at the Nobu dinner.” The SEC refers the Court to 

Defendant’s testimony in which he was reviewing the guest list for the Nobu dinner (at DE 67-30 at 

2) and discussed an individual on the list named Jason Goldstein: “Jason Goldstein was invested in a 

company that needed money and he had me take a look at it, and I believe that I did end up 

investing some money in that company. I don’t remember the issuer, though.” DE 67-1 at 156:19-

23 (Keener Tr.).

57. The SEC refers the Court to DE 67-4 at 85:16-20 (CFO of JMJ Financial, Conrad Nagel,

testified as follows: “Q. ... Has JMJ paid a commission to anyone not working for it, in other words, 

a non-employee who helped JMJ find a convertible note? A. Yes. ... Q. Well, what can you tell me? 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 9 of 159
Just tell me whatever you know. A. They were -- in -- some cases, they were -- they were paid to 

maybe a law firm, in some cases, I think. In some cases, they were paid to people in the business of 

-- they had -- were in the business of basically locating money for companies, that was their 

business, and they would go out to companies like us. Q. Brokers, is that what you mean? A.

Yeah, I think so. I’m, I’m not sure what the title on them would be, but maybe brokers.”). The 

SEC notes that as CFO for JMJ, Mr. Nagel was in a position to know about payments made to third 

parties. See id. at 15:17-22 (Nagel’s role was CFO and that involved “maintaining accounting 

records” for JMJ Financial).

64. The SEC notes that Defendant has cited no evidence to support his dispute of No. 64—

“Mr. Keener did not ‘solicit[]’ potential ‘issuer clients’”—and therefore it is admitted. 

65. The SEC notes that Defendant has cited no evidence to support his dispute of No. 65—

“Mr. Keener did not ‘solicit[]’ issuers ‘to sell’ him convertible notes”—and therefore it is admitted. 

66. The SEC notes that Defendant has cited no evidence to support his dispute of No. 66—

“‘potential issuers’ were not ‘clients’”—and therefore it is admitted. 

B. Plaintiff’s Reply to Defendant’s Additional Facts

The SEC objects to Defendant’s practice of combining multiple facts in each item, which 

complicates the process of responding to them. 

1. Disputed to the extent that the second sentence implies that Defendant purchased convertible 

notes only during the time period of “January 2015 through 2017.” Defendant started 

purchasing convertible notes as early as 2009, when he obtained a note from a company called 

mPhase Technologies. See DE 88-1 at 4 (last entry in table of convertible notes to be sold to 

River North Equity). On December 22, 2014, Defendant entered into a contract to sell 44 nonperforming convertible notes to River North Equity. Id. at 2. In the contract, Defendant 

represented that: “JMJ Financial ... is an active manager of investments in convertible notes 

with over 220 convertible notes in its portfolio.” Id. Defendant also represented that he had 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10 of 159
purchased those notes between December 18, 2009 (mPhase Technologies) and May 22, 2014 

(Bill the Butcher). Id. at 4 (table of convertible notes). The total balance owed on those notes 

at the time of sale exceeded $5.4 million. Id. (sum of dollar figures in column “Current Balance 

at 12/22/14”). The SEC disputes the first sentence as misleadingly and selectively quoted, but it 

is undisputed that in the actual quote, Defendant “describes himself as ‘an investor’ who has a 

‘long-term view’ of his investments.” 

2. Undisputed.

3. Disputed to the extent that Defendant asserts that he frequently waited longer than a year to sell 

stock from a convertible note. Between July 2010 and April 2018, Defendant had 272 

convertible notes. DE 67-11 at Ex. 4, at 13-19 (Taveras Declaration). There were stock sales 

associated with 249 of these notes. Id. Approximately 80% of time, his first sale occurred 

within 9 months of acquiring the note. Id. Only 17 of the 249 notes took longer than a year for 

Defendant to initiate his first sale of the resulting stock. Id. 

4. Undisputed.

5. Disputed. The quotation omits the words “I made more money, ultimately, than I – than I 

lost.” DE 72-2 at 54:25-55:1 (Keener Tr.). Disputed also as to the assertion that the quoted 

testimony was about “losses on convertible notes.” See id. at 54:17-21. The question was 

actually: “So it sounds like from the answer you just gave that you haven’t done as many 

convertible notes recently as you had in the past. Could you elaborate on your answer?” Id.

6. Undisputed.

7. Undisputed.

8. Disputed. Defendant has sold convertible notes to River North Equity. DE 88-1 at 2, 4

(contract to sell convertible notes to River North Equity).

9. Undisputed.

10. Undisputed.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11 of 159
11. Disputed. First Sentence: Defendant’s open offer to purchase up to $20 million in convertible 

notes in 2015 and 2016, which he advertised in press releases and at conferences as well as his 

sales of convertible notes to River North Equity showed that he made a market in convertible

notes from penny stock issuers. See DE 67-16 at 23-24; DE 67-23 at 4, 7; DE 67-24 at 10, 32;

DE 88-1 at 2, 4 (contract to sell convertible notes to River North Equity). Second Sentence: 

Defendant quotes the buy side for convertible notes when issuers inquire as to how much 

money he will pay for them. DE 67-24 at 13 (Defendant told “brokers and finders” that issuers 

would receive “[g]enerally $50,000 to $250,000 at closing [of the convertible note].”). Defendant 

quotes the sell side for convertible notes when he sells them to third-parties such as River North 

Equity. DE 88-1 at 2, 4 (contract to sell convertible notes to River North Equity). Third 

Sentence: Defendant quoted prices for securities, as he described in a presentation at his 

“Broker and Finder Seminar” on April 8, 2016: “Generally $50,000 to $250,000 at closing [of the 

convertible note].” DE 67-24 at 13. Fourth Sentence: The SEC is not aware of Defendant 

participating in a selling group.

12. Disputed as to the words “other investors” in the second and third sentences. Defendant is a 

dealer under the Exchange Act. See 15 U.S.C. § 78c(a)(5).

13. Disputed. First Sentence: The only authority that Defendant cites for the proposition that he 

does not buy or sell securities to retail investors is the SEC’s response to Defendant’s 

Interrogatory No. 14. See DE 73-7, at 7. In that interrogatory response, the SEC objected to 

the request for evidence that Defendant sought on the grounds that it was “overbroad, unduly 

burdensome, and not proportional to the needs of the case.” The SEC also objected that the 

request called for a legal conclusion. Defendant never challenged these objections and he 

cannot now cite them as authority for the proposition stated above. Second Sentence:

Defendant’s expert, Dr. Mayhew, submitted a report in which he stated “it is likely that the 

counterparties for Mr. Keener’s sales would have been OTC market makers.” DE 72-17 at ¶ 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12 of 159
41. He also testified that market makers trade for themselves. DE 72-26 at 135:10-21 (Mayhew 

Dep.) (market makers trading on a “proprietary” basis trade for themselves)). Thus, Defendant 

did business with “institutional investors.” The SEC also notes that Defendant’s citation to DE 

73-7 at 7-8 (SEC Resp. to Interrogatory No. 15) is incorrect. That interrogatory asked the SEC 

to explain its basis for denying a request for admission that Defendant did not do “business with 

the institutional public,” which may be different than “institutional investors.” 

14. Disputed. First Sentence: Whether Defendant is an “underwriter” and/or a “dealer” are legal 

conclusions. Defendant cites three opinion letters of attorneys, which render the legal opinion 

that Defendant is not an underwriter or dealer for purposes of the Securities Act of 1933 

(“Securities Act”). Legal opinions cannot establish facts. Second Sentence: Whether 

Defendant is an underwriter is a legal question and citing attorney opinion letters cannot 

establish any “facts” in this regard.

15. Undisputed.

16. Undisputed that Defendant represented to brokerage firms that he was a retail customer, despite 

operating a medium size business.

17. Undisputed.

18. Undisputed.

19. Undisputed.

20. Undisputed.

21. Undisputed.

22. Undisputed.

23. Disputed. The attorney letters opining that Defendant was not an “underwriter” or “engaged in 

the business of dealing” did not apply to Section 15(a)(1) of the Exchange Act (they applied to 

the Securities Act).

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13 of 159
24. Disputed. The three interrogatory responses that Defendant cites (DE 73-7, at 5-7 (SEC Resp. 

to Interrogatory Nos. 11-13)) do not support his contentions. The SEC objected to each of the 

three interrogatories on numerous grounds, including that they called for irrelevant information 

and were not proportional to the needs of the case. Defendant never challenged the SEC’s 

objections and cannot now cite them as evidence of anything.

25. Undisputed.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14 of 159
Exhibit 1

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15 of 159
Scottsdale Capital Advisors

7170 E. McDonald Road, Suite 6

Scottsdale, AZ 85253 ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

June 1 - 30, 2020

www.scottsdalecapital.com Page 2 of 11

Equities 99.93%

Cash & Cash Equivalents 0.07%

....................................................

.......................................................................................

...........................................................

......................................................

ACCOUNT STATEMENT

JUSTIN KEENER

DBA: JMJ FINANCIAL

1445 16TH ST APT 605

MIAMI BEACH, FL 33139

Total Portfolio $10,843,981.89

> Account Value Summary

Beginning Value as of May 31 $3,232,260.45

Net Withdrawals (225.00)

Change In Investment Value 7,611,946.44

Ending Value as of June 30 $10,843,981.89

> Income Summary

Description Current Year to Date

> Asset Allocation

Total Assets Allocation

Percentage

Cash & Cash Equivalents $7,924.01 0.07%

Equities $10,836,057.88 99.93%

Total Portfolio $10,843,981.89 100.00%

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 16 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

June 1 - 30, 2020

www.scottsdalecapital.com Page 3 of 11

...............................................................................

Withdrawals

Net Subtractions From Cash

> Account Activity Summary

Other income/Expense ($225.00)

> Cash Management Summary

Current Year to Date

($225.00) ($3,140.00)

($225.00) ($3,140.00)

Total Cash / Funds on June 30 ($225.00) ($3,140.00)

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 17 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

June 1 - 30, 2020

www.scottsdalecapital.com Page 4 of 11

Cash & Cash Equivalents

Equities

Pending Settlements

> 0.07%

Description Quantity Market

Price Market Value Adjusted Cost /Original Cost

Current

Yield

Estimated

Annual Income

Cash

US Dollar 7,924.01 1.00 7,924.01 7,924.01 0.00 0.00

Total Cash & Cash Equivalents $7,924.01 $7,924.01 $0.00

> 99.93%

Symbol Description Quantity Market

Price Market Value Unit Cost Cost Basis UnrealizedGain (Loss)

Div

Yield %

Estimated

Annual Income

BLNK Blink Charging Co 1,907,756 5.68 10,836,054.08 N/A N/A N/A

NEXS Nexus Biopharma Inc 3,800,000 0.000001 3.80 N/A N/A N/A

Total Equities $10,836,057.88 $0.00 $0.00 $0.00

>

Transaction

Type Quantity Description Settlement

date Price Amount

Sell (500,000) Blink Charging Co

50-1 R/S Frm 14074y206 8/17

07/02/20 5.659 2,730,578.07

Sell (750,000) Blink Charging Co

50-1 R/S Frm 14074y206 8/17

07/02/20 5.741 4,111,938.38

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 18 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

June 1 - 30, 2020

www.scottsdalecapital.com Page 5 of 11

> Account Activity Details

Settlement

Effective

Date

Description CUSIP Type of Activity Quantity Market Price Net Settlement

Amount

Jun 29 Safe Keeping Fee - Nexs Journal (75.00)

Jun 30 Aca Fee 06-30-2020 Journal (150.00)

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 19 of 159
www.scottsdalecapital.com Page 6 of 11

Revision Date 2/5/2020 - Schedule of Miscellaneous Account and Service Fees - Some of these fees may not apply to all accounts. Some fees may be waived at Firms discretion if annual

production is $10,000 or more annually and, or unless a case for achieving production up to the minimum level is made. Volume discounts may also apply to volume based customers.

Services Schedule Fee Amount Fee Frequency

Monthly Account Fee $100 Monthly

Minimum Ticket Charges & OTC Deposit Related Fees Monthly (1) $3,500 Monthly

Inactivity Fee $400 Monthly

Dormant Account Fee (2) $1,000 Monthly

Annual Account Fee $295 Annually (December)

Account Opening Fee

Individual/Joint (Domestic) $250 Per Request

Corporate $450 Per Request

Foreign $500 Per Request

FFI (Foreign Financial Institution) $1,000 Per Request, including each subFFI

Returned Check Fee $75 Per Item

LOA's

Movement Between Accounts $195 Each Sender Receiver Per Request Plus Deposit Fee for Receiver per stock position

Statements & Confirms

Electronic Statements and Confirms $2 Per Item

Paper Statements and Confirms $5 Per Item

Document Copies $50 Greater of $50 or $100/hr

Regular Mail $25 Plus pass through costs per mailed item

Registered Mail (as mandated by regulators) $35 Plus pass through costs per mailed item

Delivery (Fedex)

Priority Overnight $75 Per Request

International $100 Per Request

Saturday Delivery $100 Per Request

Account Transfers (Outgoing)

Full ACAT subject to other agreements $250 Per Request

Delivery Orders (non-ACAT system member) $100 Per Item

Cleared Stock Withdrawal Fee (Materialization) 4.5% of Value

Plus pass through costs Per Item

Withdrawal by Transfer (from DTC)

Regular $500 Plus Alpine mail fees, DTC TA & any other pass through costs. Per Request and Per Security

Rush $2,000 Plus pass through costs Per Request and Per Security

Withdrawal by Transfer (from Alpine Vault) $250 Plus pass through costs Per Request Per Certificate

Transfer on Death $500 Plus pass through costs Per Account

Garnishment/Attachments $5,000 Plus pass through costs Per Account

Cash Disbursement Services Fee Amount Fee Frequency

Payment by Check

Domestic Check $75 Per Issuance

International Check $550 Per Issuance

Cancel Check $100 Per Request

Check Traces $100 Per Item

Wire Transfers

Domestic $75 Per Request

Third Party $500 Subject to approval

Wire Rejects $100 Per Request

Wire Traces $100 Per Request

Early Payout (Cash Advance of Settlement) 3% of Principal/$300 min Per Request

Services Schedule

Ticket Charges

Equity Trade $95 Per Transaction

Settlement Fee (stocks under $5/share) $.005/share Max $ 1.5%/Min .95% Per Transaction

Mutual Fund $95 Plus pass through costs Per Transaction

Market Making/Execution Aprx.2.5% of the best available price Per Transaction

Stocks under $.005/share Add an Additional 1% of Principal Per Transaction

Regulatory Fees (Charges imposed by Regulators)

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www.scottsdalecapital.com Page 7 of 11

FINRA TAF $.000119/share Max $5.95/Trade Per Transaction

SEC Activity Assessment (sales only) $.0000221 x Principal Per Transaction

Other Transaction Charges

Physical Deliveries (Non-DTC Eligible Securities) $100 Plus pass through cost Per Delivery

Illiquidity and Volatility Fee assessed to Alpine by the (NSCC) 1%per day of the Illiquidity & Volatility charge assessed to Alpine by

NSCC min $250 Per Transaction

Tenders $250 Per Item

Custody Related Fees

Safekeeping (Items stored in Alpine Vault) $75 Per Item per month

DTC Custody Fee (Stock held at DTCC) number of shares, rounded up

to a minimum of 100 shares

$1 per position plus; $.00004 per share up to 25,000,000 shares, above

25,000,000 $.000008 Per Item per month

Deposit Related Fees

Deposit Review Fee $1,795 Per Deposit per security Regardless of Method of Receipt (in advance)

Deposit Review Fee (follow on conversions) $400 Per Deposit Nonrefundable

Deposit Review for 3rd party acquired securities (not direct from issurer)

in addition to Section5 review fee $500 Per Party Removed from Issuer. Nonrefundable

3A10 Review fee $2,500 or 10% of notional value, whichever is greater Per Request

Requests for more info on Deposit $250 Per Request

Rush Fee $500 Per Deposit per security

Electronic Receipt

DWAC/DRS Receipt (Inbound) $295 Plus pass through cost Per Security

DWAC/DRS Receipt (Outbound) $295 Plus pass through cost per initial request, $100 per each additional

request

Per Security

Receipt via ACAT Transfer $95 Plus pass through costs Per Item

Free Delivery (incoming) $95 Plus pass through costs Per Item

Physical Certificate Receipt

DTC Eligible $295 + 120% of T/A Charge Per Item

Non-DTC Eligible $700 Per Item

DTC Direct Branch Deposit $500 Per Item

Restricted Legend Removal $450 + 120% of T/A Charge Per Item

Rule 144 Affiliate & Control Securities $600 + 120% of T/A Charge Per Item

Legal Fee (3rd Party) Pass Through Per Item

Regulatory Related Fees

Blue Sheet Requests $150 Per Stock per account

Other Regulatory Related or special Requests or assignments Greater of $150 per request or $395 per hour plus 120% of pass through

costs.

Per Request per account. Additional pass through costs may be added at the company's

discretion

The fees are subject to change at any time for any reason. Other fees not listed above may apply to your account. Contact your broker for additional information. Any cost or fees incurred by Alpine resulting from any

activity in the account will be charged to, and are the sole responsibility of, the account holder. "Pass Through" fees may apply to any transactions and can vary. Pass Through fees can be substantial, may change

without notice and be passed on to you even if not specified in this Fee Schedule. Pass Through fees include, without limitation, fees charged by DTC, NSCC, CNS, transfer agents, freight carriers, etc. They may also

include special charges for any fund amounts required to clear transactions or calls related to selling or handling the account holder's securities. Any Alpine moneys used to cover Pass Through charges associated

with the clearance, transfer, trading or handling of the account or securities in any manner are billed at the greater of the cost of funds plus 25% or 1% per day in addition. FEES, CHARGES, AND COSTS ARE THE

ACCOUNT HOLDERS LEGAL OBLIGATION CHARGED TO ACCOUNT OR NOT FROM THE TIME THEY BECOME EFFECTIVE. PLEASE ASK YOUR SERVICE REP FOR ANY DETAILS.

(1) Minimum Service Charges and OTC Deposit Related Fees Monthly. If minimums are not reached the balance not met shall be debited to your account unless you received an exception from the firm at the firms

sole discretion: for volume discounts, prior 12 months production, or promise of future acceptable business, or made arrangements to move your account out and pay all outstanding prior fees and costs thereof.

Certain other fees related to transactions may be applied to minimums such as deposit fees.

(2) Dormant will be defined as 12 months or longer. A dormant account has had no activity for a long period of time, other than posting of interest. A statute of limitations usually does not apply to dormant accounts,

meaning that funds can be claimed by the owner or beneficiary at any time.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 21 of 159
www.scottsdalecapital.com Page 8 of 11

Scottsdale Capital Advisors

Commission and Fee Schedule

Effective 12/1/2019

Base Commission Rate 41⁄2% of principal

Deposit Review Fee $1795 

Follow on Conversion $400 

Rush Review Fee $500 

Third party debt (per third party for initial deposit) $500 

Equity Ticket Charge $95

3(a)(10) Review Fee $3500 or 10% Of notional value, whichever is greater

All other fees charged to customer accounts are listed in our clearing firm's Fee Schedule (above).

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 22 of 159
www.scottsdalecapital.com Page 9 of 11

YOUR ALPINE SECURITIES BROKERAGE STATEMENT

Changes/Discrepancies. You must promptly advise Alpine Securities Corporation (Alpine) in writing of any

material change in your financial situation and/or investment objectives. Also, promptly report any discrepancies

between Alpine's records as provided in this account statement and your records to Alpine at (801) 355-5588. If

you do not notify Alpine of a discrepancy within thirty days of your receipt of this statement, you forfeit the right to

correct it. To further protect your rights under the Securities Investor Protection Act (SIPC), reconfirm your oral

communication to Alpine in writing at 39 Exchange Place, Salt Lake City, UT 84111.

Good 'Til Cancel Orders. Please note the list of open orders included in your statement. Should you desire to

make any change, or if the list of open orders is incorrect, please advise Alpine immediately. The responsibility

for failure to cancel any open order rests upon the customer even if a substitute order has been entered.

Transactions resulting from execution of any order which you have failed to cancel will be entered in your

account. Good 'Til Canceled buy orders and sell orders which specify stop or stop limit are reduced for cash

dividends. All orders are reduced proportionately in the event of a stock dividend or stock split.

Applicable Rules and Regulations. All transactions are subject to applicable federal law and the rules and

regulations of the relevant regulatory agencies. Transactions are also subject to the rules and customs of the

exchange, market or clearing house where the transactions were effected, and to the laws and regulations of the

country and its political subdivisions wherein the transactions are executed.

SIPC. Alpine is a member of the Securities Investor Protection Corporation (SIPC). SIPC provides up to

$500,000 of net equity protection, including $250,000 for claims for cash awaiting reinvestment (coverage). This

coverage applies to accounts you hold in a separate account capacity (i.e. as custodian, joint tenant, or sole

owner). Investor information, including a brochure regarding SIPC may be obtained by contacting SIPC at (202)

371- 8300 and from their web-site at www.sipc.org. <http://www.sipc.org/>

FINRA. Alpine is a member of the Financial Industry Regulatory Authority (FINRA). FINRA Investor Brochures

that contain information on the FINRA Public Disclosure Program are available on their website at www.finra.org.

<http://www.finra.org/> You may also contact FINRA at (800) 289-9999.

IRS. Alpine is required to report all cash dividends and registered bond interest credited to your account on

securities held for you in Alpine's name to the Internal Revenue Service. All dividends and interest credits should

be included in your income tax return. This statement is not a tax document. You will receive Form 1099 for

annual tax reporting in compliance with IRS requirements.

Statement of Financial Condition and Net Capital. Alpine's statement of Financial Condition, along with

information about Alpine's Net Capital, may be found on our home page at www.alpine-securities.com. You may

also request a copy to be provided to you at no additional charge by contacting us at (801) 355-5588.

Free Credit Balance (Rule 15c3-2 & 3). The net free credit balance, if any, is payable on demand in the normal

course of business operations. These funds may be used in the operation of our business in accordance with

17C.F.R. 240, 15c3-2 under the Securities Exchange Act of 1934. Any securities held as collateral against any

indebtedness to us will be delivered to you in the normal course of business operations upon full payment of such

indebtedness. Free credit balances invested in money market funds, managed by The Dreyfus Corporation

("Dreyfus") are not under Alpine's control. Information regarding the Dreyfus money market funds, dividend rates

and a prospectus may be obtained from the Dreyfus website at www.dreyfus.com. The free credit balance in the

account can be remitted to the customer upon demand. Alpine may receive a fee for services it performs with

respect to the Dreyfus money market funds.

Hypothecation. Alpine may loan, pledge, hypothecate, or rehypothecate all securities carried in this account.

Alpine may buy and sell these securities when Alpine deems it necessary for its protection. Securities carried in

this account may be commingled with securities carried for the account of other clients.

Indebtedness. Alpine may pledge the securities in your account (whether individual or joint) as a general lien for

the discharge of all your obligations to Alpine, however arising, and irrespective of the number of accounts you

have with Alpine. Alpine may also require you to deposit additional collateral in accordance with the rules and

regulations of FINRA, the SEC, or other regulatory agencies, or to satisfy your obligations to Alpine. Any

securities held as collateral against any obligations to Alpine will be delivered to you in the normal course of

business operations upon full payment of such obligations. Alpine's consolidated statement of financial condition

for the previous six months ended March 31, and for the year ended September 30, is available without charge at

www.alpine- securities.com or you may also receive a copy by calling Alpine at (801) 355-5588. Alpine's most

recently filed audited consolidated statement of financial condition is available at Alpine's office located at 39

Non-DTC Eligible Securities. Due to their labor-intensive and high-risk nature, Alpine has a unique policy for

non-DTC eligible securities. First, Alpine charges $1,000 per deposit of non-DTC eligible securities. Second,

Alpine charges the customer all transfer, delivery, or other fees that are required to settle trades. Third, Alpine

will not disburse any proceeds from the sale of non- DTC eligible securities until thirty (30) days after the trade

settlement day. Fourth, if, for any reason, Alpine fails to deliver and the buyer's firm initiates a buy-in or closeout procedure, Alpine will pass on any resulting fees to the account holder. If you have any questions, please

discuss them with your broker and ensure you thoroughly understand this policy before you send Alpine any

certificates or initiate any deposits in non-DTC eligible securities.

Routing. Upon written request and at no additional charge, Alpine will provide to you: a) the venue where your

orders for listed securities or NASDAQ stocks were routed for execution; b) whether or not you directed Alpine

to use that venue, and c) the time of the related transaction's execution(s) for orders placed during the six

months prior to your request.

Security Pricing. Prices shown on your statement are based on

U.S. month end prices and are provided to us by outside quotation services for the securities currently held by

us in your account. Prices of municipal bonds, certain over-the-counter securities, and federal obligations are

approximations and are only for guidance purposes. The prices used are based on the last reported

transaction known to the quotation services or of the yields or values that are calculated on the basis of these

prices. The actual amount you receive will be reduced by any commissions, fees or similar charges.

SECURITY PRICING FOR PENNY STOCKS. Prices shown on your statement represent estimated

values that may be based on a limited number of trades or quotations and may not be current as of the

statement date. You may not be able to sell this security at a price equal or near the estimated value

and the actual amount you receive will be reduced by any commissions, fees, or similar charges.

Alpine will not refuse to accept your order to sell a security at the estimated value. If an estimated

value is not shown, the value could not be determined based on available information.

Transfers. Any account transferred to another brokerage firm will be charged $100.00 to cover Alpine's costs.

Additionally, any stock deposits sent to Alpine in physical form will be returned to the address of record on the

account in physical form. Returning stock in physical form may incur substantial fees; these fees are your

responsibility. Alpine will not return the stock until all of these fees are paid. The process of returning physical

certificates might take a substantial amount of time. Alpine is not liable for any loss in market value of the

security that occurs during that period. Furthermore, if you open an IRA Account with Alpine and later decide

to transfer all of the assets to another trustee outside of Alpine, Alpine will automatically close your Alpine IRA

Account.

Trade Confirmations. All trade confirmations are transmitted on the transaction date.

Hours of Trading Operation. Alpine does not typically engage in after-hours trading outside of regular trading

hours (i.e., the hours of 9:30 a.m. to 4:00 p.m. Eastern Time). Regular trading hours may also change due to

holidays or other days appointed by regulatory bodies. Alpine may, at any time and without notice, change or

modify its hours of operation (including the hours during which it accepts orders outside of regular trading

hours or where mandated by a regulatory body). If Alpine chooses to make such changes or modifications, the

Extended Hours Trading Disclosure will apply to the changed or modified hours. Alpine may, at any time

and without notice, amend the terms that apply to orders accepted outside of regular trading hours.

Extended Hours Trading. You should consider the following points before engaging in extended hours

trading. "Extended hours trading" means trading outside of "regular trading hours." "Regular trading hours"

generally means the time between 9:30

a.m. and 4:00 p.m. Eastern Standard Time.

•Risk of Lower Liquidity. Liquidity refers to the ability of market participants to buy and sell securities.

Generally, the more orders that are available in a market, the greater the liquidity. Liquidity is important

because with greater liquidity it is easier for investors to buy or sell securities, and as a result, investors are

more likely to pay or receive a competitive price for securities purchased or sold. There may be lower liquidity

in extended hours trading as compared to regular trading hours. As a result, your order may only be partially

executed, or not at all.

•Risk of Higher Volatility. Volatility refers to the changes in price that securities undergo when trading.

Generally, the higher the volatility of a security, the greater its price swings. There may be greater volatility in

extended hours trading than in regular trading hours. As a result, your order may only be partially executed, or

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 23 of 159
www.scottsdalecapital.com Page 10 of 11

Exchange Place, Salt Lake City, Utah and at the Denver Regional Office of the Securities and Exchange

Commission.Tax Information.

•Risk of Changing Prices. The prices of securities traded in extended hours trading may not reflect the prices

either at the end of regular trading hours, or upon the opening the next morning. As a result, you may receive an

inferior price when engaging in extended hours trading than you would during regular trading hours.

•Risk of Unlinked Markets. Depending on the extended hours trading system or the time of day, the prices

displayed on aparticular extended hours trading system may not reflect the prices in other concurrently operating

extended hours trading systems dealing in the same securities. Accordingly, you may receive an inferior price in

one extended hours trading system than you would in another extended hours trading system.

•Risk of News Announcements. Normally, issuers make news announcements that may affect the price of their

securities after regular trading hours. Similarly, important financial information is frequently announced outside of

regular trading hours. In extended hours trading, these announcements may occur during trading, and if

combined with lower liquidity and higher volatility, may cause an exaggerated and unsustainable effect on the

price

of a security.

•Risk of Wider Spreads. The spread refers to the difference in price between what you can buy a security for and

what you can sell it for. Lower liquidity and higher volatility in extended hours trading may result in wider than

normal spreads for a particular security.

Pie Chart. The pie chart on your statement is an estimate for illustrative purposes only.

Fees/Charges. A current list of fees, charges and other transaction costs can be found at

www.alpine-securities.com.

Complaints/Correspondence. If you have any concerns or complaints regarding your account, you may contact

Alpine's Compliance Department directly at (801) 355- 5588.or at HouseAccounts@Alpine-Securities.com Any

correspondence should be directed to Alpine Securities, Inc. Attn: Compliance Department, 39 Exchange Place,

Salt Lake City, UT 84111.

Please retain this statement as it may be helpful in preparing your income tax returns. You may also need this

statement along with previous statements to verify interest charges in your account.

not at all, or you may receive an inferior price when engaging in extended hours trading than you would during

regular trading hours.

Foreign Financial Transaction Taxes. France, Italy and a few other foreign governments proposed steps to

impose a financial transaction tax on any financial services firm that facilitates a trade in certain securities

connected with the foreign government assessing the tax. These financial transaction taxes are levied by the

foreign government and are imposed on investors and/or financial services firms (regardless of where the

investors or firms are located or where they conduct business), and the financial services firms that facilitate

transactions (e.g. by accepting or executing trade orders) in securities that are subject to the financial

transaction tax are responsible for remitting the tax to foreign tax authorities. While the various countries

adopting financial transaction taxes will define which securities transactions will trigger the tax and the amount

of the tax, it is expected that the financial transaction taxes will apply to trades in an increasing number of

securities of foreign issuers as well as U.S.- issued American Depository Receipts (ADRS) for foreign

securities. As an investor, it is important that you consider the potential tax implications and other

considerations associated with investing in foreign securities and ADRs and similar investment vehicles for

foreign securities prior to investing. Please consult your tax consultant for additional information.

Checks Made Payable to Alpine Securities Corporation.

All checks must be made payable to Alpine Securities Corporation. Any checks received that are payable to

another payee will be returned to the customer. This may delay processing of your transactions.

Cash Sweep Program. The money market mutual fund to which the free credit balances have been

transferred can be liquidated on the customer's demand and held as free credit balances or remitted to the

customer. For more information about Alpine's cash sweep program, please refer to the Cash Sweep Program

Disclosure Statement posted on the website at www.alpine-securities.com. 

Fees. Fees assessed by Alpine are on a per transaction basis unless noted otherwise. Certain fees may

include a profit to Alpine or your broker/dealer. These fees may or may not be based on the costs of handling

a particular transaction. Certain customers may pay lower fees on certain transactions. Refer to the fee

schedule located at www.alpine-securities.com for more information.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 24 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

June 1 - 30, 2020

www.scottsdalecapital.com Page 11 of 11

Important Account Information

Our records show the following information about your account. If any of the information is incomplete, incorrect or needs modifications, please mark corrections and/or provide

missing information and return this Form to the address referenced below. You should also notify us of any future changes to your account record.:

Alpine Securities

39 Exchange Place

Salt Lake City UT 84111

> General Account Information, Primary Owner > General Account Information, Joint Owner (If applicable)

Account Holder: JUSTIN KEENER

Name / Address: DBA: JMJ FINANCIAL

1445 16TH ST APT 605

MIAMI BEACH, FL 33139

Home Telephone Number: (619) 508-9916 Home Telephone Number:

Employment Status: No Employment Status: Yes

Employee of FINRA or other Exchange Firm: <Please Provide> Employee of FINRA or other Exchange Firm:

Occupation: Occupation: Aus/S Proprietor/Own

> Financial Information (Aggregate if joint account)

Annual Income: Over $200,000 Net Worth (excluding primary residence): <Please Provide> Tax Rate: 35% or Higher

Liquid Net Worth: Over $1,000,000 Liquidity Needs: <Please Provide> Liquidity Timeframe:<Please Provide>

Time Horizon: Under 3 years Risk Tolerance: Significant Risk

Account Primary Investment Objective(s): Speculation

If no investment objective is indicated, please review the descriptions below and insert the objective that best describes your goal for this account.

Description of Investment Objectives

Speculative: I am willing to accept maximum risk to my initial principal to aggressively seek

maximum returns, and understand I could lose most, or all, of the money invested.

Growth: I am willing to accept high risk to my initial principal, including high volatility, to seek

higher returns over time, and understand I could lose a substantial amount of the money invested.

Income: I am willing to accept some risk to my initial principal and tolerate some volatility to seek

Income (Con't) higher returns, and understand I could lose a portion of the money invested.

Tax Advantage: I am willing to accept low risk to my initial principal, including low volatility, to seek

a modest level of portfolio returns.

Safety of Principal: I want to preserve my initial principal, with minimal risk, even if that means

this account does not generate significant income or returns and may not keep pace with inflation.

Please promptly notify us of any future changes to this information.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 25 of 159
Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 26 of 159
Scottsdale Capital Advisors

7170 E. McDonald Road, Suite 6

Scottsdale, AZ 85253 ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 1 of 11

Cash & Cash Equivalents 99.78%

Equities 0.22%

................................................

.................................................................................

....................................................................................

........................................................

................................................................

ACCOUNT STATEMENT

JUSTIN KEENER

DBA: JMJ FINANCIAL

1445 16TH ST APT 605

MIAMI BEACH, FL 33139

Total Portfolio $1,711.79

> Account Value Summary

Beginning Value as of June 30 $10,843,981.89

Net Additions 10,480,433.98

Net Withdrawals (1,650.00)

Change In Investment Value (21,321,054.08)

Ending Value as of July 31 $1,711.79

> Income Summary

Description Current Year to Date

> Asset Allocation

Total Assets Allocation

Percentage

Cash & Cash Equivalents $1,707.99 99.78%

Equities $3.80 0.22%

Total Portfolio $1,711.79 100.00%

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 27 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 2 of 11

......................................................................

.............................................................................

.......................................................

Securities Sold and Redeemed

Net Additions To Cash

Withdrawals

Net Subtractions From Cash

> Account Activity Summary

Assets sold/redeemed $10,480,433.98

Other income/Expense ($1,650.00)

Withdrawals from your account ($10,485,000.00)

> Cash Management Summary

Current Year to Date

$10,480,433.98 $10,480,433.98

$10,480,433.98 $10,480,433.98

($1,650.00) ($4,790.00)

($1,650.00) ($4,790.00)

Total Cash / Funds on July 31 $10,478,783.98 $10,475,643.98

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 28 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 3 of 11

Cash & Cash Equivalents

Equities

Account Activity Details

> 99.78 %

Description Quantity Market

Price Market Value Adjusted Cost /Original Cost

Current

Yield

Estimated

Annual Income

Cash

US Dollar 1,707.99 1.00 1,707.99 1,707.99 0.00 0.00

Total Cash & Cash Equivalents $1,707.99 $1,707.99 $0.00

> 0.22%

Symbol Description Quantity Market

Price Market Value Unit Cost Cost Basis UnrealizedGain (Loss)

Div

Yield %

Estimated

Annual Income

NEXS Nexus Biopharma Inc 3,800,000 0.000001 3.80 N/A N/A N/A

Total Equities $3.80 $0.00 $0.00 $0.00

>

Settlement

Effective

Date

Description CUSIP Type of Activity Quantity Market Price Net Settlement

Amount

Jul 01 Aca Fee 07-01-2020 Journal (150.00)

Jul 02 Wire Fee Journal (75.00)

Jul 02 Wire Disbursement (6,850,000.00)

Jul 02 Aca Fee 07-02-2020 Journal (150.00)

Jul 06 Wire Fee Journal (75.00)

Jul 06 Wire Disbursement (420,000.00)

Jul 06 Aca Fee 07-06-2020 Journal (150.00)

Jul 07 Wire Fee Journal (75.00)

Jul 07 Wire Disbursement (1,150,000.00)

Jul 07 Aca Fee 07-07-2020 Journal (150.00)

Jul 09 Wire Fee Journal (75.00)

Continued on next page

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 29 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 4 of 11

> Account Activity Details (Continued from previous page)

Settlement

Effective

Date

Description CUSIP Type of Activity Quantity Market Price Net Settlement

Amount

Jul 09 Wire Disbursement (660,000.00)

Jul 13 Wire Fee Journal (75.00)

Jul 13 Wire Disbursement (350,000.00)

Jul 14 Wire Fee Journal (75.00)

Jul 14 Wire Disbursement (325,000.00)

Jul 15 Aca Fee 07-15-2020 Journal (150.00)

Jul 16 Wire Fee Journal (75.00)

Jul 16 Wire Disbursement (290,000.00)

Jul 16 Aca Fee 07-16-2020 Journal (150.00)

Jul 17 Wire Fee Journal (75.00)

Jul 17 Wire Disbursement (210,000.00)

Jul 20 Wire Fee Journal (75.00)

Jul 20 Wire Disbursement (230,000.00)

Jul 30 Safe Keeping Fee - Nexs Journal (75.00)

Jul 02 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

09354A100 Sell 500,000 5.6595 2,730,578.07

Jul 02 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

09354A100 Sell 750,000 5.7412 4,111,938.38

Jul 06 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 100,000 4.4487 424,969.76

Jul 07 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

09354A100 Sell 230,000 5.4066 1,168,778.48

Jul 09 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

09354A100 Sell 99,000 7.1427 664,583.08

Jul 13 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 50,000 7.4277 348,992.74

Continued on next page

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 30 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 5 of 11

> Account Activity Details (Continued from previous page)

Settlement

Effective

Date

Description CUSIP Type of Activity Quantity Market Price Net Settlement

Amount

Jul 14 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 50,000 6.8971 324,055.12

Jul 16 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 50,000 5.7574 270,490.48

Jul 17 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 39,000 5.6325 211,876.48

Jul 20 Blink Charging Co

50-1 R/S Frm 14074y206 8/17

Trl#:M||

09354A100 Sell 39,756 5.8459 224,171.39

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 31 of 159
www.scottsdalecapital.com Page 6 of 11

Revision Date 2/5/2020 - Schedule of Miscellaneous Account and Service Fees - Some of these fees may not apply to all accounts. Some fees may be waived at Firms discretion if annual

production is $10,000 or more annually and, or unless a case for achieving production up to the minimum level is made. Volume discounts may also apply to volume based customers.

Services Schedule Fee Amount Fee Frequency

Monthly Account Fee $100 Monthly

Minimum Ticket Charges & OTC Deposit Related Fees Monthly (1) $3,500 Monthly

Inactivity Fee $400 Monthly

Dormant Account Fee (2) $1,000 Monthly

Annual Account Fee $295 Annually (December)

Account Opening Fee

Individual/Joint (Domestic) $250 Per Request

Corporate $450 Per Request

Foreign $500 Per Request

FFI (Foreign Financial Institution) $1,000 Per Request, including each subFFI

Returned Check Fee $75 Per Item

LOA's

Movement Between Accounts $195 Each Sender Receiver Per Request Plus Deposit Fee for Receiver per stock position

Statements & Confirms

Electronic Statements and Confirms $2 Per Item

Paper Statements and Confirms $5 Per Item

Document Copies $50 Greater of $50 or $100/hr

Regular Mail $25 Plus pass through costs per mailed item

Registered Mail (as mandated by regulators) $35 Plus pass through costs per mailed item

Delivery (Fedex)

Priority Overnight $75 Per Request

International $100 Per Request

Saturday Delivery $100 Per Request

Account Transfers (Outgoing)

Full ACAT subject to other agreements $250 Per Request

Delivery Orders (non-ACAT system member) $100 Per Item

Cleared Stock Withdrawal Fee (Materialization) 4.5% of Value

Plus pass through costs Per Item

Withdrawal by Transfer (from DTC)

Regular $500 Plus Alpine mail fees, DTC TA & any other pass through costs. Per Request and Per Security

Rush $2,000 Plus pass through costs Per Request and Per Security

Withdrawal by Transfer (from Alpine Vault) $250 Plus pass through costs Per Request Per Certificate

Transfer on Death $500 Plus pass through costs Per Account

Garnishment/Attachments $5,000 Plus pass through costs Per Account

Cash Disbursement Services Fee Amount Fee Frequency

Payment by Check

Domestic Check $75 Per Issuance

International Check $550 Per Issuance

Cancel Check $100 Per Request

Check Traces $100 Per Item

Wire Transfers

Domestic $75 Per Request

Third Party $500 Subject to approval

Wire Rejects $100 Per Request

Wire Traces $100 Per Request

Early Payout (Cash Advance of Settlement) 3% of Principal/$300 min Per Request

Services Schedule

Ticket Charges

Equity Trade $95 Per Transaction

Settlement Fee (stocks under $5/share) $.005/share Max $ 1.5%/Min .95% Per Transaction

Mutual Fund $95 Plus pass through costs Per Transaction

Market Making/Execution Aprx.2.5% of the best available price Per Transaction

Stocks under $.005/share Add an Additional 1% of Principal Per Transaction

Regulatory Fees (Charges imposed by Regulators)

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 32 of 159
www.scottsdalecapital.com Page 7 of 11

FINRA TAF $.000119/share Max $5.95/Trade Per Transaction

SEC Activity Assessment (sales only) $.0000221 x Principal Per Transaction

Other Transaction Charges

Physical Deliveries (Non-DTC Eligible Securities) $100 Plus pass through cost Per Delivery

Illiquidity and Volatility Fee assessed to Alpine by the (NSCC) 1%per day of the Illiquidity & Volatility charge assessed to Alpine by

NSCC min $250 Per Transaction

Tenders $250 Per Item

Custody Related Fees

Safekeeping (Items stored in Alpine Vault) $75 Per Item per month

DTC Custody Fee (Stock held at DTCC) number of shares, rounded up

to a minimum of 100 shares

$1 per position plus; $.00004 per share up to 25,000,000 shares, above

25,000,000 $.000008 Per Item per month

Deposit Related Fees

Deposit Review Fee $1,795 Per Deposit per security Regardless of Method of Receipt (in advance)

Deposit Review Fee (follow on conversions) $400 Per Deposit Nonrefundable

Deposit Review for 3rd party acquired securities (not direct from issurer)

in addition to Section5 review fee $500 Per Party Removed from Issuer. Nonrefundable

3A10 Review fee $2,500 or 10% of notional value, whichever is greater Per Request

Requests for more info on Deposit $250 Per Request

Rush Fee $500 Per Deposit per security

Electronic Receipt

DWAC/DRS Receipt (Inbound) $295 Plus pass through cost Per Security

DWAC/DRS Receipt (Outbound) $295 Plus pass through cost per initial request, $100 per each additional

request

Per Security

Receipt via ACAT Transfer $95 Plus pass through costs Per Item

Free Delivery (incoming) $95 Plus pass through costs Per Item

Physical Certificate Receipt

DTC Eligible $295 + 120% of T/A Charge Per Item

Non-DTC Eligible $700 Per Item

DTC Direct Branch Deposit $500 Per Item

Restricted Legend Removal $450 + 120% of T/A Charge Per Item

Rule 144 Affiliate & Control Securities $600 + 120% of T/A Charge Per Item

Legal Fee (3rd Party) Pass Through Per Item

Regulatory Related Fees

Blue Sheet Requests $150 Per Stock per account

Other Regulatory Related or special Requests or assignments Greater of $150 per request or $395 per hour plus 120% of pass through

costs.

Per Request per account. Additional pass through costs may be added at the company's

discretion

The fees are subject to change at any time for any reason. Other fees not listed above may apply to your account. Contact your broker for additional information. Any cost or fees incurred by Alpine resulting from any

activity in the account will be charged to, and are the sole responsibility of, the account holder. "Pass Through" fees may apply to any transactions and can vary. Pass Through fees can be substantial, may change

without notice and be passed on to you even if not specified in this Fee Schedule. Pass Through fees include, without limitation, fees charged by DTC, NSCC, CNS, transfer agents, freight carriers, etc. They may also

include special charges for any fund amounts required to clear transactions or calls related to selling or handling the account holder's securities. Any Alpine moneys used to cover Pass Through charges associated

with the clearance, transfer, trading or handling of the account or securities in any manner are billed at the greater of the cost of funds plus 25% or 1% per day in addition. FEES, CHARGES, AND COSTS ARE THE

ACCOUNT HOLDERS LEGAL OBLIGATION CHARGED TO ACCOUNT OR NOT FROM THE TIME THEY BECOME EFFECTIVE. PLEASE ASK YOUR SERVICE REP FOR ANY DETAILS.

(1) Minimum Service Charges and OTC Deposit Related Fees Monthly. If minimums are not reached the balance not met shall be debited to your account unless you received an exception from the firm at the firms

sole discretion: for volume discounts, prior 12 months production, or promise of future acceptable business, or made arrangements to move your account out and pay all outstanding prior fees and costs thereof.

Certain other fees related to transactions may be applied to minimums such as deposit fees.

(2) Dormant will be defined as 12 months or longer. A dormant account has had no activity for a long period of time, other than posting of interest. A statute of limitations usually does not apply to dormant accounts,

meaning that funds can be claimed by the owner or beneficiary at any time.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 33 of 159
www.scottsdalecapital.com Page 8 of 11

Scottsdale Capital Advisors

Commission and Fee Schedule

Effective 12/1/2019

Base Commission Rate 41⁄2% of principal

Deposit Review Fee $1795 

Follow on Conversion $400 

Rush Review Fee $500 

Third party debt (per third party for initial deposit) $500 

Equity Ticket Charge $95

3(a)(10) Review Fee $3500 or 10% Of notional value, whichever is greater

All other fees charged to customer accounts are listed in our clearing firm's Fee Schedule (above).

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 34 of 159
www.scottsdalecapital.com Page 9 of 11

YOUR ALPINE SECURITIES BROKERAGE STATEMENT

Changes/Discrepancies. You must promptly advise Alpine Securities Corporation (Alpine) in writing of any

material change in your financial situation and/or investment objectives. Also, promptly report any discrepancies

between Alpine's records as provided in this account statement and your records to Alpine at (801) 355-5588. If

you do not notify Alpine of a discrepancy within thirty days of your receipt of this statement, you forfeit the right to

correct it. To further protect your rights under the Securities Investor Protection Act (SIPC), reconfirm your oral

communication to Alpine in writing at 39 Exchange Place, Salt Lake City, UT 84111.

Good 'Til Cancel Orders. Please note the list of open orders included in your statement. Should you desire to

make any change, or if the list of open orders is incorrect, please advise Alpine immediately. The responsibility

for failure to cancel any open order rests upon the customer even if a substitute order has been entered.

Transactions resulting from execution of any order which you have failed to cancel will be entered in your

account. Good 'Til Canceled buy orders and sell orders which specify stop or stop limit are reduced for cash

dividends. All orders are reduced proportionately in the event of a stock dividend or stock split.

Applicable Rules and Regulations. All transactions are subject to applicable federal law and the rules and

regulations of the relevant regulatory agencies. Transactions are also subject to the rules and customs of the

exchange, market or clearing house where the transactions were effected, and to the laws and regulations of the

country and its political subdivisions wherein the transactions are executed.

SIPC. Alpine is a member of the Securities Investor Protection Corporation (SIPC). SIPC provides up to

$500,000 of net equity protection, including $250,000 for claims for cash awaiting reinvestment (coverage). This

coverage applies to accounts you hold in a separate account capacity (i.e. as custodian, joint tenant, or sole

owner). Investor information, including a brochure regarding SIPC may be obtained by contacting SIPC at (202)

371- 8300 and from their web-site at www.sipc.org. <http://www.sipc.org/>

FINRA. Alpine is a member of the Financial Industry Regulatory Authority (FINRA). FINRA Investor Brochures

that contain information on the FINRA Public Disclosure Program are available on their website at www.finra.org.

<http://www.finra.org/> You may also contact FINRA at (800) 289-9999.

IRS. Alpine is required to report all cash dividends and registered bond interest credited to your account on

securities held for you in Alpine's name to the Internal Revenue Service. All dividends and interest credits should

be included in your income tax return. This statement is not a tax document. You will receive Form 1099 for

annual tax reporting in compliance with IRS requirements.

Statement of Financial Condition and Net Capital. Alpine's statement of Financial Condition, along with

information about Alpine's Net Capital, may be found on our home page at www.alpine-securities.com. You may

also request a copy to be provided to you at no additional charge by contacting us at (801) 355-5588.

Free Credit Balance (Rule 15c3-2 & 3). The net free credit balance, if any, is payable on demand in the normal

course of business operations. These funds may be used in the operation of our business in accordance with

17C.F.R. 240, 15c3-2 under the Securities Exchange Act of 1934. Any securities held as collateral against any

indebtedness to us will be delivered to you in the normal course of business operations upon full payment of such

indebtedness. Free credit balances invested in money market funds, managed by The Dreyfus Corporation

("Dreyfus") are not under Alpine's control. Information regarding the Dreyfus money market funds, dividend rates

and a prospectus may be obtained from the Dreyfus website at www.dreyfus.com. The free credit balance in the

account can be remitted to the customer upon demand. Alpine may receive a fee for services it performs with

respect to the Dreyfus money market funds.

Hypothecation. Alpine may loan, pledge, hypothecate, or rehypothecate all securities carried in this account.

Alpine may buy and sell these securities when Alpine deems it necessary for its protection. Securities carried in

this account may be commingled with securities carried for the account of other clients.

Indebtedness. Alpine may pledge the securities in your account (whether individual or joint) as a general lien for

the discharge of all your obligations to Alpine, however arising, and irrespective of the number of accounts you

have with Alpine. Alpine may also require you to deposit additional collateral in accordance with the rules and

regulations of FINRA, the SEC, or other regulatory agencies, or to satisfy your obligations to Alpine. Any

securities held as collateral against any obligations to Alpine will be delivered to you in the normal course of

business operations upon full payment of such obligations. Alpine's consolidated statement of financial condition

for the previous six months ended March 31, and for the year ended September 30, is available without charge at

www.alpine- securities.com or you may also receive a copy by calling Alpine at (801) 355-5588. Alpine's most

recently filed audited consolidated statement of financial condition is available at Alpine's office located at 39

Non-DTC Eligible Securities. Due to their labor-intensive and high-risk nature, Alpine has a unique policy for

non-DTC eligible securities. First, Alpine charges $1,000 per deposit of non-DTC eligible securities. Second,

Alpine charges the customer all transfer, delivery, or other fees that are required to settle trades. Third, Alpine

will not disburse any proceeds from the sale of non- DTC eligible securities until thirty (30) days after the trade

settlement day. Fourth, if, for any reason, Alpine fails to deliver and the buyer's firm initiates a buy-in or closeout procedure, Alpine will pass on any resulting fees to the account holder. If you have any questions, please

discuss them with your broker and ensure you thoroughly understand this policy before you send Alpine any

certificates or initiate any deposits in non-DTC eligible securities.

Routing. Upon written request and at no additional charge, Alpine will provide to you: a) the venue where your

orders for listed securities or NASDAQ stocks were routed for execution; b) whether or not you directed Alpine

to use that venue, and c) the time of the related transaction's execution(s) for orders placed during the six

months prior to your request.

Security Pricing. Prices shown on your statement are based on

U.S. month end prices and are provided to us by outside quotation services for the securities currently held by

us in your account. Prices of municipal bonds, certain over-the-counter securities, and federal obligations are

approximations and are only for guidance purposes. The prices used are based on the last reported

transaction known to the quotation services or of the yields or values that are calculated on the basis of these

prices. The actual amount you receive will be reduced by any commissions, fees or similar charges.

SECURITY PRICING FOR PENNY STOCKS. Prices shown on your statement represent estimated

values that may be based on a limited number of trades or quotations and may not be current as of the

statement date. You may not be able to sell this security at a price equal or near the estimated value

and the actual amount you receive will be reduced by any commissions, fees, or similar charges.

Alpine will not refuse to accept your order to sell a security at the estimated value. If an estimated

value is not shown, the value could not be determined based on available information.

Transfers. Any account transferred to another brokerage firm will be charged $100.00 to cover Alpine's costs.

Additionally, any stock deposits sent to Alpine in physical form will be returned to the address of record on the

account in physical form. Returning stock in physical form may incur substantial fees; these fees are your

responsibility. Alpine will not return the stock until all of these fees are paid. The process of returning physical

certificates might take a substantial amount of time. Alpine is not liable for any loss in market value of the

security that occurs during that period. Furthermore, if you open an IRA Account with Alpine and later decide

to transfer all of the assets to another trustee outside of Alpine, Alpine will automatically close your Alpine IRA

Account.

Trade Confirmations. All trade confirmations are transmitted on the transaction date.

Hours of Trading Operation. Alpine does not typically engage in after-hours trading outside of regular trading

hours (i.e., the hours of 9:30 a.m. to 4:00 p.m. Eastern Time). Regular trading hours may also change due to

holidays or other days appointed by regulatory bodies. Alpine may, at any time and without notice, change or

modify its hours of operation (including the hours during which it accepts orders outside of regular trading

hours or where mandated by a regulatory body). If Alpine chooses to make such changes or modifications, the

Extended Hours Trading Disclosure will apply to the changed or modified hours. Alpine may, at any time

and without notice, amend the terms that apply to orders accepted outside of regular trading hours.

Extended Hours Trading. You should consider the following points before engaging in extended hours

trading. "Extended hours trading" means trading outside of "regular trading hours." "Regular trading hours"

generally means the time between 9:30

a.m. and 4:00 p.m. Eastern Standard Time.

•Risk of Lower Liquidity. Liquidity refers to the ability of market participants to buy and sell securities.

Generally, the more orders that are available in a market, the greater the liquidity. Liquidity is important

because with greater liquidity it is easier for investors to buy or sell securities, and as a result, investors are

more likely to pay or receive a competitive price for securities purchased or sold. There may be lower liquidity

in extended hours trading as compared to regular trading hours. As a result, your order may only be partially

executed, or not at all.

•Risk of Higher Volatility. Volatility refers to the changes in price that securities undergo when trading.

Generally, the higher the volatility of a security, the greater its price swings. There may be greater volatility in

extended hours trading than in regular trading hours. As a result, your order may only be partially executed, or

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 35 of 159
www.scottsdalecapital.com Page 10 of 11

Exchange Place, Salt Lake City, Utah and at the Denver Regional Office of the Securities and Exchange

Commission.Tax Information.

•Risk of Changing Prices. The prices of securities traded in extended hours trading may not reflect the prices

either at the end of regular trading hours, or upon the opening the next morning. As a result, you may receive an

inferior price when engaging in extended hours trading than you would during regular trading hours.

•Risk of Unlinked Markets. Depending on the extended hours trading system or the time of day, the prices

displayed on aparticular extended hours trading system may not reflect the prices in other concurrently operating

extended hours trading systems dealing in the same securities. Accordingly, you may receive an inferior price in

one extended hours trading system than you would in another extended hours trading system.

•Risk of News Announcements. Normally, issuers make news announcements that may affect the price of their

securities after regular trading hours. Similarly, important financial information is frequently announced outside of

regular trading hours. In extended hours trading, these announcements may occur during trading, and if

combined with lower liquidity and higher volatility, may cause an exaggerated and unsustainable effect on the

price

of a security.

•Risk of Wider Spreads. The spread refers to the difference in price between what you can buy a security for and

what you can sell it for. Lower liquidity and higher volatility in extended hours trading may result in wider than

normal spreads for a particular security.

Pie Chart. The pie chart on your statement is an estimate for illustrative purposes only.

Fees/Charges. A current list of fees, charges and other transaction costs can be found at

www.alpine-securities.com.

Complaints/Correspondence. If you have any concerns or complaints regarding your account, you may contact

Alpine's Compliance Department directly at (801) 355- 5588.or at HouseAccounts@Alpine-Securities.com Any

correspondence should be directed to Alpine Securities, Inc. Attn: Compliance Department, 39 Exchange Place,

Salt Lake City, UT 84111.

Please retain this statement as it may be helpful in preparing your income tax returns. You may also need this

statement along with previous statements to verify interest charges in your account.

not at all, or you may receive an inferior price when engaging in extended hours trading than you would during

regular trading hours.

Foreign Financial Transaction Taxes. France, Italy and a few other foreign governments proposed steps to

impose a financial transaction tax on any financial services firm that facilitates a trade in certain securities

connected with the foreign government assessing the tax. These financial transaction taxes are levied by the

foreign government and are imposed on investors and/or financial services firms (regardless of where the

investors or firms are located or where they conduct business), and the financial services firms that facilitate

transactions (e.g. by accepting or executing trade orders) in securities that are subject to the financial

transaction tax are responsible for remitting the tax to foreign tax authorities. While the various countries

adopting financial transaction taxes will define which securities transactions will trigger the tax and the amount

of the tax, it is expected that the financial transaction taxes will apply to trades in an increasing number of

securities of foreign issuers as well as U.S.- issued American Depository Receipts (ADRS) for foreign

securities. As an investor, it is important that you consider the potential tax implications and other

considerations associated with investing in foreign securities and ADRs and similar investment vehicles for

foreign securities prior to investing. Please consult your tax consultant for additional information.

Checks Made Payable to Alpine Securities Corporation.

All checks must be made payable to Alpine Securities Corporation. Any checks received that are payable to

another payee will be returned to the customer. This may delay processing of your transactions.

Cash Sweep Program. The money market mutual fund to which the free credit balances have been

transferred can be liquidated on the customer's demand and held as free credit balances or remitted to the

customer. For more information about Alpine's cash sweep program, please refer to the Cash Sweep Program

Disclosure Statement posted on the website at www.alpine-securities.com. 

Fees. Fees assessed by Alpine are on a per transaction basis unless noted otherwise. Certain fees may

include a profit to Alpine or your broker/dealer. These fees may or may not be based on the costs of handling

a particular transaction. Certain customers may pay lower fees on certain transactions. Refer to the fee

schedule located at www.alpine-securities.com for more information.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 36 of 159
Scottsdale Capital Advisors > Justin Keener

ACCOUNT NUMBER:

STATEMENT PERIOD:

2017

July 1 - 31, 2020

www.scottsdalecapital.com Page 11 of 11

Important Account Information

Our records show the following information about your account. If any of the information is incomplete, incorrect or needs modifications, please mark corrections and/or provide

missing information and return this Form to the address referenced below. You should also notify us of any future changes to your account record.:

Alpine Securities

39 Exchange Place

Salt Lake City UT 84111

> General Account Information, Primary Owner > General Account Information, Joint Owner (If applicable)

Account Holder: JUSTIN KEENER

Name / Address: DBA: JMJ FINANCIAL

1445 16TH ST APT 605

MIAMI BEACH, FL 33139

Home Telephone Number: (619) 508-9916 Home Telephone Number:

Employment Status: No Employment Status: Yes

Employee of FINRA or other Exchange Firm: <Please Provide> Employee of FINRA or other Exchange Firm:

Occupation: Occupation: Aus/S Proprietor/Own

> Financial Information (Aggregate if joint account)

Annual Income: Over $200,000 Net Worth (excluding primary residence): <Please Provide> Tax Rate: 35% or Higher

Liquid Net Worth: Over $1,000,000 Liquidity Needs: <Please Provide> Liquidity Timeframe:<Please Provide>

Time Horizon: Under 3 years Risk Tolerance: Significant Risk

Account Primary Investment Objective(s): Speculation

If no investment objective is indicated, please review the descriptions below and insert the objective that best describes your goal for this account.

Description of Investment Objectives

Speculative: I am willing to accept maximum risk to my initial principal to aggressively seek

maximum returns, and understand I could lose most, or all, of the money invested.

Growth: I am willing to accept high risk to my initial principal, including high volatility, to seek

higher returns over time, and understand I could lose a substantial amount of the money invested.

Income: I am willing to accept some risk to my initial principal and tolerate some volatility to seek

Income (Con't) higher returns, and understand I could lose a portion of the money invested.

Tax Advantage: I am willing to accept low risk to my initial principal, including low volatility, to seek

a modest level of portfolio returns.

Safety of Principal: I want to preserve my initial principal, with minimal risk, even if that means

this account does not generate significant income or returns and may not keep pace with inflation.

Please promptly notify us of any future changes to this information.

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 37 of 159
Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 38 of 159
Exhibit 2

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 39 of 159
Customer Update:

$7,243,947.30

$5,849,576.69

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 07/31/19 As of 08/31/19

Net Change: $-1,394,370.61

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 8

August 1, 2019 - August 31, 2019

Account Number: 2252

Account Type: INDIVIDUAL

Account Status: Pro Elite

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 40 of 159
PAGE 2 OF 8

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 41 of 159
Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 

Customer Update:

Last Statement Date: July 31, 2019Beginning Account Value (On 07/31/19): $ 7,243,947.30Ending Account Value (On 08/31/19): $ 5,849,576.69

Net Change: $ -1,394,370.61For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 08/31/19)

Margin Balance $ 43,529.45 $ Total Cash/Margin Debt $ 43,529.45 $ 

Stocks, Options & ETF (Long) $5,806,047.24 $7Total Value of Securities $5,806,047.24 $7Net Account Value $5,849,576.69 $7

ACCOUNT VALUE SUMMARY 

AS OF 08/31/19 A

Direct your service and investment questions to:Elite Client Service1-888-388-2900

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 42 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

18.78%

-11.47% -0.07%

-14.77%

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25%

 AUG-18 SEP-18 OCT-18 NOV-18 DEC-18 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19

Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 

Securities Purchased $ 0.00 

Securities Sold $ 273,412.13 

Interest ReceivedTaxable $ 1.18 

Margin Interest $ 0.00 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 08/31/19)

99.72% - BLNK

0.28% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 43 
Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 2,261,529 2.5600 5,789,514.24 99.72***CREDIT SUISSE AGVELOCITYSHARES 3XLONG NATRLGAS ETN LKD S&P GSCINTRL GAS

UGAZ Margin 300 14.7100 4,413.00 0.08

WRAP TECHNOLOGIES INCCOMMON SHARES WRTC Margin 4.1500 0.00 0.00WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.2000 12,120.00 0.21

TOTAL STOCKS, OPTIONS & ETF $5,806,047.24 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 08/31/19) $5,849,576.69

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

08/13/1915:00

08/15/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 4.4767 

08/14/1915:24

08/16/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -100 4.3350 

08/14/1915:24

08/16/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -100 4.3342 

08/14/1915:24

08/16/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -600 4.3341 

08/14/1915:24

08/16/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,600 4.3210 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 44 
Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

08/14/1915:24

08/16/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,700 4.3141 

08/15/1912:12

08/19/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,314 4.2000 

08/15/1915:54

08/19/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 4.1804 

08/15/1914:20

08/19/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,700 4.1339 

08/16/1909:30

08/20/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,186 4.2100 

08/16/1911:07

08/20/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,700 4.2100 

08/19/1912:36

08/21/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 4.5500 

08/19/1912:40

08/21/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,600 4.6000 

08/19/1911:09

08/21/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,600 4.4000 

08/19/1909:58

08/21/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,700 4.3500 

08/21/1909:30

08/23/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 4.5000 

08/21/1912:57

08/23/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 4.5800 

08/21/1912:58

08/23/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 4.6000 

08/22/1915:47

08/26/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -300 4.1800 

08/22/1915:47

08/26/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -500 4.1810 

08/22/1915:47

08/26/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -600 4.1801 

08/22/1915:47

08/26/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,200 4.1950 

08/23/1913:36

08/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -867 2.5800 

08/23/1915:08

08/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,133 2.5300 

08/23/1914:53

08/27/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -400 4.1100 

08/23/1914:53

08/27/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,400 4.1000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 45 
Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

08/26/1910:38

08/28/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,972 2.7500 

08/26/1912:03

08/28/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,200 4.0000 

08/27/1915:08

08/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,028 2.5200 

08/27/1913:48

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -200 3.8800 

08/27/1915:47

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -284 3.8900 

08/27/1915:47

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -500 3.8845 

08/27/1913:48

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -700 3.8600 

08/27/1915:47

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,716 3.8842 

08/27/1913:48

08/29/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,900 3.8500 

08/28/1914:15

08/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5400 

08/28/1915:38

08/30/19 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -4,700 3.8709 

TOTAL SECURITIES ACTIVITY 

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

08/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 3,000 2.5800 

08/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 3,000 2.5500 

08/30/19 ***CREDIT SUISSE AG

VELOCITYSHARES 3X LONGNATRLGAS ETN LKD S&P GSCINTRL GAS

UGAZ Sold 300 15.0700 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 46 
Account Number: 2252 Statement Period : August 1, 2019 - August 31, 2019 DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

08/26/19 Interest INTEREST ON CASH BALANCE

AT 0.069% 07/26 THRU 08/06APY 0.0699%

00099A109 

08/26/19 Interest INTEREST ON CASH BALANCE

AT 0.039% 08/07 THRU 08/25APY 0.0399%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

08/08/19 Transfer ACH WITHDRAWL

REFID:27723747482;

2

08/09/19 Other TRANSFER BAL FROM CASH 

08/09/19 Other TRANSFER BAL TO MARGIN 208/16/19 Transfer ACH WITHDRAWL

REFID:28141187482;

5

08/19/19 Other TRANSFER BAL FROM CASH 

08/19/19 Other TRANSFER BAL TO MARGIN 508/22/19 Transfer ACH WITHDRAWL

REFID:28427124482;

9

08/23/19 Other TRANSFER BAL FROM CASH 

08/23/19 Other TRANSFER BAL TO MARGIN 908/27/19 Other TRANSFER BAL FROM CASH 

08/27/19 Other TRANSFER BAL TO MARGIN 

08/29/19 Transfer ACH WITHDRAWL

REFID:28807710482;

10

08/30/19 Other TRANSFER BAL FROM CASH 

08/30/19 Other TRANSFER BAL TO MARGIN 10NET WITHDRAWALS & DEPOSITS $26

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 47 
Customer Update:

$5,849,576.69 $5,788,931.01

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 08/31/19 As of 09/30/19

Net Change: $-60,645.68

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 8

September 1, 2019 - September 30, 2019

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 48 of 159
PAGE 2 OF 8

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 49 of 159
Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: August 31, 2019Beginning Account Value (On 08/31/19): $ 5,849,576.69Ending Account Value (On 09/30/19): $ 5,788,931.01

Net Change: $ -60,645.68For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 09/30/19)

Margin Balance $ 18,309.59 $ Total Cash/Margin Debt $ 18,309.59 $ Stocks, Options & ETF (Long) $5,770,621.42 $5

Total Value of Securities $5,770,621.42 $5

Net Account Value $5,788,931.01 $5

ACCOUNT VALUE SUMMARY 

AS OF 09/30/19 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 50 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

18.78%

-11.47% -0.07%

-14.77%

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

 SEP-18 OCT-18 NOV-18 DEC-18 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19

Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 

Securities Purchased $ 0.00 

Securities Sold $ 204,779.30 

Interest ReceivedTaxable $ 0.84 

Margin Interest $ 0.00 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 09/30/19)

98.56% - BLNK

1.44% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 51 
Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 2,187,529 2.6000 5,687,575.40 98.56***CREDIT SUISSE AGVELOCITYSHARES 3XLONG NATRLGAS ETN LKD S&P GSCINTRL GAS

UGAZ Margin 14.5900 0.00 0.00

MRI INTERVENTIONS INCCOMMON STOCK $0.01PAR VALUEPER SHARE

MRIC Cash 14,017 5.0600 70,926.02 1.23

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.2000 12,120.00 0.21

TOTAL STOCKS, OPTIONS & ETF $5,770,621.42 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 09/30/19) $5,788,931.01

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

08/29/1913:23

09/03/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5800 

08/30/1915:11

09/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5500 

08/30/1909:46

09/04/19 ***CREDIT SUISSE AG

VELOCITYSHARES 3X LONGNATRLGAS ETN LKD S&P GSCINTRL GAS

UGAZ Sold -300 15.0700 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 52 
Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

09/03/1912:00

09/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5000 

09/04/1909:30

09/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,473 2.5200 

09/05/1912:09

09/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,527 2.4400 

09/06/1909:44

09/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.4700 

09/09/1909:30

09/11/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5500 

09/10/1915:37

09/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.5126 

09/10/1915:37

09/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.5139 

09/10/1915:37

09/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,800 2.5010 

09/11/1909:39

09/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.5500 

09/11/1911:03

09/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.6500 

09/13/1915:58

09/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 2.8500 

09/13/1911:21

09/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.7500 

09/16/1909:30

09/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,700 2.8500 

09/17/1909:47

09/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.9500 

09/18/1909:58

09/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.9300 

09/19/1910:41

09/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9900 

09/19/1909:30

09/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,000 2.9500 

09/20/1909:30

09/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9700 

09/23/1909:30

09/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,900 2.9000 

09/24/1915:35

09/26/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,100 2.6778 

09/25/1915:41

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -81 2.6543 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 53 
Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

09/25/1915:41

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -207 2.6538 

09/25/1915:41

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -412 2.6544 

09/25/1915:41

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,000 2.6549 

09/25/1915:41

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,300 2.6545 

09/26/1912:18

09/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6400 

TOTAL SECURITIES ACTIVITY 

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 2.5817 

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 2.5825 

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 400 2.5827 

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 900 2.5822 

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,375 2.5835 

09/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,125 2.6400 

09/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 196 2.6300 

09/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,651 2.6000 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

09/26/19 Interest INTEREST ON CASH BALANCE

AT 0.039% 08/26 THRU 09/18APY 0.0399%

00099A109 

09/26/19 Interest INTEREST ON CASH BALANCE

AT 0.019% 09/19 THRU 09/25APY 0.0199%

00099A109 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 54 
Account Number: 2252 Statement Period : September 1, 2019 - September 30, 2019 DIVIDENDS & INTEREST ACTIVITY (Continued)DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

09/05/19 Transfer ACH WITHDRAWL

REFID:29149497482;

7

09/06/19 Other TRANSFER BAL FROM CASH 

09/06/19 Other TRANSFER BAL TO MARGIN 709/13/19 Transfer ACH WITHDRAWL

REFID:29580112482;

5

09/16/19 Other TRANSFER BAL FROM CASH 

09/16/19 Other TRANSFER BAL TO MARGIN 509/20/19 Transfer ACH WITHDRAWL

REFID:29958782482;

3

09/23/19 Other TRANSFER BAL FROM CASH 

09/23/19 Other TRANSFER BAL TO MARGIN 309/27/19 Transfer ACH WITHDRAWL

REFID:30281841482;

7

09/27/19 Other TRANSFER BAL FROM CASH 

09/27/19 Other TRANSFER BAL TO MARGIN 

09/30/19 Other TRANSFER BAL FROM CASH 

09/30/19 Other TRANSFER BAL TO MARGIN 7NET WITHDRAWALS & DEPOSITS $23

OTHER ACTIVITYDATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

09/30/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PAR VALUEPER SHARESHARES RECEIVED

MRIC Adjustment 14,017

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 55 
Customer Update:

$5,788,931.01

$4,434,095.45

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 09/30/19 As of 10/31/19

Net Change: $-1,354,835.56

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 12

October 1, 2019 - October 31, 2019

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 56 of 159
PAGE 2 OF 12

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 57 of 159
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: September 30, 2019Beginning Account Value (On 09/30/19): $ 5,788,931.01Ending Account Value (On 10/31/19): $ 4,434,095.45

Net Change: $ -1,354,835.56For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 10/31/19)

Margin Balance $ 50,030.06 $ 

Total Cash/Margin Debt $ 50,030.06 $ Stocks, Options & ETF (Long) $4,384,065.39 $5Total Value of Securities $4,384,065.39 $5Net Account Value $4,434,095.45 $5

ACCOUNT VALUE SUMMARY 

AS OF 10/31/19 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 58 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

-11.47% -0.07%

-14.77%

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

 OCT-18 NOV-18 DEC-18 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19

Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 

Securities Purchased $ 0.00 

Securities Sold $ 336,719.94 

Interest ReceivedTaxable $ 0.53 

Margin Interest $ 0.00 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 10/31/19)

99.75% - BLNK

0.25% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 59 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 2,072,529 2.1100 4,373,036.19 99.75MRI INTERVENTIONS INCCOMMON STOCK $0.01PAR VALUEPER SHARE

MRIC Cash 3.9300 0.00 0.00

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.1820 11,029.20 0.25

TOTAL STOCKS, OPTIONS & ETF $4,384,065.39 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 10/31/19) $4,434,095.45

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

09/27/1915:57

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.5817 

09/27/1915:57

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.5825 

09/27/1915:57

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.5827 

09/27/1915:57

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -900 2.5822 

09/27/1915:57

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,375 2.5835 

09/27/1911:13

10/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,125 2.6400 

09/30/1912:57

10/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -196 2.6300 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 60 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

09/30/1914:58

10/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,651 2.6000 

10/01/1909:59

10/03/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -396 5.0770 

10/01/1915:35

10/03/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -1,000 4.5900 

10/01/1915:54

10/03/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -1,500 4.5373 

10/01/1909:30

10/03/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,153 2.6400 

10/02/1910:42

10/04/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -991 4.6000 

10/02/1912:46

10/04/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -1,588 4.4600 

10/02/1914:05

10/04/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -2,000 4.4200 

10/02/1914:13

10/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -99 2.4950 

10/02/1914:13

10/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -601 2.4901 

10/02/1914:13

10/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,300 2.4900 

10/03/1911:18

10/07/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.4750 

10/03/1911:10

10/07/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,900 2.4700 

10/03/1912:30

10/07/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -6 4.1400 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 61 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/03/1914:12

10/07/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -2,000 4.2000 

10/03/1912:30

10/07/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -2,527 4.1308 

10/04/1911:10

10/08/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4800 

10/04/1910:05

10/08/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PARVALUEPER SHARE

MRIC Sold -2,009 4.3500 

10/07/1912:42

10/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.4900 

10/07/1912:42

10/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 2.4801 

10/07/1912:42

10/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,400 2.4800 

10/08/1914:33

10/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -86 2.4888 

10/08/1911:43

10/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,914 2.4800 

10/09/1915:59

10/11/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -46 2.4600 

10/09/1911:03

10/11/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,234 2.4800 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -95 2.3936 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.3952 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.3950 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.3940 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.3930 

10/10/1909:30

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -152 2.4700 

10/10/1915:51

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.3843 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 62 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -440 2.3917 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 2.3900 

10/10/1915:51

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,421 2.3844 

10/10/1915:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,500 2.3911 

10/10/1914:50

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -12 2.4000 

10/10/1911:05

10/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -800 2.4500 

10/11/1909:30

10/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4200 

10/14/1909:30

10/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4500 

10/15/1914:57

10/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.4800 

10/15/1915:48

10/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,273 2.4500 

10/15/1909:30

10/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,627 2.5000 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.3967 

10/16/1909:30

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.4500 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.3946 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 2.3925 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.3919 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,500 2.3918 

10/16/1911:51

10/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,100 2.3915 

10/17/1909:30

10/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -254 2.4300 

10/17/1915:44

10/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -286 2.3300 

10/17/1915:59

10/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -426 2.3250 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 63 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/17/1915:59

10/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,034 2.3200 

10/18/1912:44

10/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -20 2.2809 

10/18/1912:44

10/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -66 2.2820 

10/18/1912:44

10/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -808 2.2822 

10/18/1912:44

10/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,606 2.2800 

10/18/1915:25

10/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3000 

10/21/1909:30

10/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3200 

10/21/1914:23

10/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

10/22/1915:27

10/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2800 

10/22/1914:46

10/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3000 

10/23/1915:53

10/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.1813 

10/23/1915:16

10/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -171 2.1901 

10/23/1915:16

10/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.1950 

10/23/1915:18

10/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -853 2.1900 

10/23/1915:53

10/25/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,400 2.1823 

10/24/1909:33

10/28/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -82 2.1900 

10/24/1915:10

10/28/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -994 2.1534 

10/24/1910:26

10/28/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1500 

10/24/1912:46

10/28/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1600 

10/25/1910:08

10/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1800 

10/25/1910:51

10/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 64 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/28/1914:25

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.1950 

10/28/1914:25

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.1900 

10/28/1914:25

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,200 2.1918 

10/28/1915:16

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2200 

10/29/1909:30

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2400 

10/29/1915:39

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2000 

TOTAL SECURITIES ACTIVITY 

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 113 2.1800 

10/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 2.2200 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 2.1213 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 2.1211 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 2.1216 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 115 2.1212 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,972 2.1217 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 2.1164 

10/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 2.1600 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 65 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

10/28/19 Interest INTEREST ON CASH BALANCE

AT 0.019% 09/26 THRU 10/25APY 0.0199%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

10/04/19 Transfer ACH WITHDRAWL

REFID:30649820482;

7

10/04/19 Other TRANSFER BAL FROM CASH 110/04/19 Other TRANSFER BAL TO MARGIN 

10/07/19 Other TRANSFER BAL FROM CASH 

10/07/19 Other TRANSFER BAL TO MARGIN 410/09/19 Transfer ACH WITHDRAWL

REFID:30887102482;

9

10/10/19 Other TRANSFER BAL FROM CASH 

10/10/19 Other TRANSFER BAL TO MARGIN 910/18/19 Transfer ACH WITHDRAWL

REFID:31354030482;

8

10/21/19 Other TRANSFER BAL FROM CASH 

10/21/19 Other TRANSFER BAL TO MARGIN 810/25/19 Transfer ACH WITHDRAWL

REFID:31723134482;

5

10/28/19 Other TRANSFER BAL FROM CASH 

10/28/19 Other TRANSFER BAL TO MARGIN 510/29/19 Other TRANSFER BAL FROM CASH 

10/29/19 Other TRANSFER BAL TO MARGIN 

NET WITHDRAWALS & DEPOSITS $30

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 66 
Account Number: 2252 Statement Period : October 1, 2019 - October 31, 2019 OTHER ACTIVITYDATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

10/02/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PAR VALUEPER SHARESYSTEMATIC JOURNAL

MRIC Journal -11,121

10/02/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PAR VALUEPER SHARESYSTEMATIC JOURNAL

MRIC Journal 11,121

10/03/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PAR VALUEPER SHARETFR FROM TYPE 2

MRIC Journal 4,579

10/03/19 MRI INTERVENTIONS INC

COMMON STOCK $0.01 PAR VALUEPER SHARETFR TO TYPE 1

MRIC Journal -4,579

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 67 
Customer Update:

$4,434,095.45

$3,624,707.29

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 10/31/19 As of 11/30/19

Net Change: $-809,388.16

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 12

November 1, 2019 - November 30, 2019

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 68 of 159
PAGE 2 OF 12

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 69 of 159
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: October 31, 2019Beginning Account Value (On 10/31/19): $ 4,434,095.45Ending Account Value (On 11/30/19): $ 3,624,707.29

Net Change: $ -809,388.16For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 11/30/19)

Cash & Equivalents $ -100,000.00 $ 

Margin Balance $ 109,646.99 $ 

Total Cash/Margin Debt $ 9,646.99 $ Stocks, Options & ETF (Long) $3,615,060.30 $4Total Value of Securities $3,615,060.30 $4Net Account Value $3,624,707.29 $4

ACCOUNT VALUE SUMMARY 

AS OF 11/30/19 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 70 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

-0.07%

-14.77%

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25%

 NOV-18 DEC-18 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19

Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 

Securities Purchased $ 0.00 

Securities Sold $ 269,616.80 

Interest ReceivedTaxable $ 0.13 

Margin Interest $ 0.00 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 11/30/19)

99.71% - BLNK

0.29% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 71 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION CASH BALANCE

Opening Balance 

Closing Balance 

TOTAL CASH & CASH EQUIVALENTS TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 1,927,500 1.8700 3,604,425.00 99.71WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.1755 10,635.30 0.29

TOTAL STOCKS, OPTIONS & ETF 3,615,060.30 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 11/30/19) 3,624,707.29

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/30/1915:43

11/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -113 2.1800 

10/30/1910:30

11/01/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2200 

10/31/1915:12

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.1213 

10/31/1915:12

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.1211 

10/31/1915:12

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.1216 

10/31/1915:12

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -115 2.1212 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 72 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

10/31/1915:12

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,972 2.1217 

10/31/1915:56

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1164 

10/31/1910:43

11/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1600 

11/01/1915:59

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -44 2.1400 

11/01/1911:45

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.0912 

11/01/1909:42

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -106 2.1500 

11/01/1911:45

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 2.0950 

11/01/1911:45

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.0901 

11/01/1911:45

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,700 2.0900 

11/01/1911:46

11/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,394 2.0800 

11/04/1914:48

11/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.0801 

11/04/1914:48

11/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,300 2.0800 

11/04/1909:30

11/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,456 2.1500 

11/05/1911:26

11/07/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1000 

11/05/1911:47

11/07/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1200 

11/06/1913:26

11/08/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0300 

11/07/1915:44

11/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -895 1.9115 

11/07/1909:30

11/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,605 2.0300 

11/07/1912:09

11/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9414 

11/07/1913:57

11/12/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9301 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 1.8225 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 73 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 1.8209 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -104 1.8203 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 1.8283 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 1.8226 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,957 1.8200 

11/08/1913:09

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,268 1.8259 

11/11/1911:29

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7900 

11/11/1912:42

11/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8100 

11/12/1915:46

11/14/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -140 1.7216 

11/12/1913:39

11/14/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -434 1.8000 

11/12/1909:38

11/14/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -925 1.8300 

11/12/1915:46

11/14/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,435 1.7130 

11/12/1915:47

11/14/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,066 1.7155 

11/13/1909:58

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 1.5848 

11/13/1909:58

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,100 1.5846 

11/13/1915:06

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7500 

11/13/1915:07

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8500 

11/13/1911:37

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.6000 

11/13/1915:34

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -574 1.9500 

11/13/1912:31

11/15/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.6500 

11/15/1909:30

11/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -846 1.8500 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 74 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/15/1915:24

11/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,080 1.7651 

11/18/1913:39

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -87 1.6523 

11/18/1913:39

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 1.6506 

11/18/1913:39

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 1.6508 

11/18/1913:39

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -813 1.6509 

11/18/1913:39

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,200 1.6511 

11/18/1915:20

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,400 1.6400 

11/18/1913:05

11/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 1.6800 

11/19/1912:19

11/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,814 1.6430 

11/19/1912:19

11/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.6420 

11/19/1909:30

11/21/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -686 1.7000 

11/20/1912:22

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -622 1.6250 

11/20/1912:22

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,878 1.6200 

11/20/1913:22

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.6700 

11/20/1915:09

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7500 

11/20/1911:34

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.6216 

11/20/1914:28

11/22/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7000 

11/22/1913:22

11/26/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,025 1.7000 

11/25/1909:34

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -50 1.7000 

11/25/1915:04

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 1.5850 

11/25/1910:53

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,100 1.6736 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 75 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/25/1910:53

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,400 1.6701 

11/25/1915:29

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7000 

11/25/1915:31

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.7500 

11/25/1915:32

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8000 

11/25/1915:33

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8500 

11/25/1915:41

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9000 

11/25/1915:44

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

11/25/1915:04

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,525 1.5801 

11/26/1911:49

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

11/26/1910:17

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6 1.8600 

11/26/1912:32

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 1.9350 

11/26/1910:14

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -443 1.9001 

11/26/1910:13

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -523 1.9101 

11/26/1912:32

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,340 1.9301 

11/26/1911:03

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,977 1.9100 

11/26/1910:15

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,057 1.8900 

11/26/1910:17

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,494 1.8500 

11/26/1915:05

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

11/26/1911:03

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8900 

11/26/1911:15

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9100 

11/26/1911:27

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9300 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 76 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/26/1911:30

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

11/26/1912:22

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9301 

11/26/1912:32

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,460 1.9300 

11/26/1910:12

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 1.9184 

TOTAL SECURITIES ACTIVITY 

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 249 1.9100 

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 4,744 1.9000 

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,000 1.8802 

11/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 7 1.9200 

11/29/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,000 1.8701 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

11/26/19 Interest INTEREST ON CASH BALANCE

AT 0.009% 10/26 THRU 11/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

11/01/19 Transfer ACH WITHDRAWL

REFID:32055527482;

5

11/04/19 Other TRANSFER BAL FROM CASH 

11/04/19 Other TRANSFER BAL TO MARGIN 5

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 77 
Account Number: 2252 Statement Period : November 1, 2019 - November 30, 2019 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

11/08/19 Transfer ACH WITHDRAWL

REFID:32457338482;

5

11/11/19 Other TRANSFER BAL FROM CASH 

11/11/19 Other TRANSFER BAL TO MARGIN 511/15/19 Transfer ACH WITHDRAWL

REFID:32803652482;

6

11/18/19 Other TRANSFER BAL FROM CASH 

11/18/19 Other TRANSFER BAL TO MARGIN 611/22/19 Transfer ACH WITHDRAWL

REFID:33196641482;

4

11/25/19 Other TRANSFER BAL FROM CASH 

11/25/19 Other TRANSFER BAL TO MARGIN 411/27/19 Other TRANSFER BAL FROM CASH 

11/27/19 Other TRANSFER BAL TO MARGIN 

11/29/19 Transfer ACH WITHDRAWL

REFID:33507090482;

10

NET WITHDRAWALS & DEPOSITS $31

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 78 
THIS PAGE INTENTIONALLY LEFT BLANK

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 79 
Customer Update:

$3,624,707.29 $3,417,457.43

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 11/30/19 As of 12/31/19

Net Change: $-207,249.86

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 12

December 1, 2019 - December 31, 2019

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 80 of 159
PAGE 2 OF 12

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 81 of 159
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: November 30, 2019Beginning Account Value (On 11/30/19): $ 3,624,707.29Ending Account Value (On 12/31/19): $ 3,417,457.43

Net Change: $ -207,249.86For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 12/31/19)

Cash & Equivalents $ 0.00 $ Margin Balance $ 23,328.83 $ Total Cash/Margin Debt $ 23,328.83 $ Stocks, Options & ETF (Long) $3,394,128.60 $3

Total Value of Securities $3,394,128.60 $3

Net Account Value $3,417,457.43 $3

ACCOUNT VALUE SUMMARY 

AS OF 12/31/19 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 82 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

-14.77%

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72%

 DEC-18 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19

Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 

Securities Purchased $ -1,582.00 

Securities Sold $ 220,263.67 

Interest ReceivedTaxable $ 0.17 

Margin Interest $ 0.00 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 12/31/19)

99.60% - BLNK

0.40% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 83 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION CASH BALANCE

Opening Balance 

Closing Balance 

TOTAL CASH & CASH EQUIVALENTS 

TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) 

STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 1,817,500 1.8600 3,380,550.00 99.60***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZ Margin 20 72.9300 1,458.60 0.04

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.2000 12,120.00 0.36

TOTAL STOCKS, OPTIONS & ETF $3,394,128.60 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 12/31/19) $3,417,457.43

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/27/1915:51

12/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -249 1.9100 

11/27/1915:51

12/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,744 1.9000 

11/27/1910:57

12/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 1.8802 

11/27/1913:29

12/02/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7 1.9200 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 84 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

11/29/1912:58

12/03/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 1.8701 

12/02/1911:06

12/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -147 1.8600 

12/02/1915:20

12/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -282 1.8050 

12/02/1911:40

12/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -941 1.8200 

12/02/1915:20

12/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,277 1.8000 

12/02/1911:06

12/04/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,353 1.8501 

12/03/1909:30

12/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8200 

12/03/1912:16

12/05/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8000 

12/04/1909:30

12/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8000 

12/04/1911:16

12/06/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8500 

12/05/1909:30

12/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8500 

12/05/1909:59

12/09/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9000 

12/06/1909:30

12/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9100 

12/06/1910:15

12/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

12/06/1914:33

12/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0000 

12/06/1914:34

12/10/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

12/09/1912:34

12/11/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -240 2.2000 

12/09/1910:23

12/11/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1000 

12/09/1909:30

12/11/19 ***CREDIT SUISSE AG

VELOCITYSHARES 3X LONGNATRLGAS ETN LKD S&P GSCINTRL GASPROSPECTUS ON INITIALPURCHASE

UGAZ Bought 200 7.9100 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 85 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

12/11/1909:30

12/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1500 

12/11/1909:30

12/13/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,760 2.1500 

12/12/1913:06

12/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.1250 

12/12/1913:06

12/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -900 2.1202 

12/12/1913:06

12/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,400 2.1201 

12/12/1915:25

12/16/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1200 

12/13/1914:42

12/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.1350 

12/13/1910:03

12/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -841 2.1500 

12/13/1914:42

12/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -900 2.1301 

12/13/1914:43

12/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,400 2.1300 

12/13/1915:28

12/17/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,659 2.1300 

12/16/1915:17

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -91 2.1215 

12/16/1915:17

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -120 2.1201 

12/16/1911:42

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -516 2.1400 

12/16/1911:28

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -555 2.1401 

12/16/1911:20

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,120 2.1469 

12/16/1915:17

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,218 2.1200 

12/16/1911:20

12/18/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,380 2.1485 

12/17/1909:38

12/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -13 2.1500 

12/17/1913:55

12/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -587 2.1219 

12/17/1913:55

12/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -734 2.1200 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 86 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

12/17/1913:55

12/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,166 2.1201 

12/17/1911:20

12/19/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1101 

12/18/1915:32

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -186 2.0201 

12/18/1913:04

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.0800 

12/18/1910:11

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -234 2.1001 

12/18/1915:04

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -552 2.0400 

12/18/1915:35

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -552 2.0200 

12/18/1915:06

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -792 2.0400 

12/18/1910:19

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -976 2.1000 

12/18/1915:06

12/20/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,508 2.0301 

12/19/1910:01

12/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0800 

12/19/1911:32

12/23/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1000 

12/20/1909:30

12/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -173 2.1200 

12/20/1910:33

12/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,196 2.0900 

12/20/1915:32

12/24/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,327 2.0700 

12/23/1911:43

12/26/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -922 2.0301 

12/23/1914:27

12/26/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0300 

12/23/1911:45

12/26/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,882 2.0300 

12/24/1912:38

12/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -967 2.0300 

12/24/1909:30

12/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0300 

12/24/1910:35

12/27/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0400 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 87 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

12/26/1909:42

12/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0400 

12/26/1909:30

12/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,033 2.0300 

12/27/1909:38

12/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0100 

TOTAL SECURITIES ACTIVITY $

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

12/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 1.9700 

12/30/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 2.0000 

12/31/19 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 31 1.9200 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

12/26/19 Interest INTEREST ON CASH BALANCE

AT 0.009% 11/26 THRU 12/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

12/02/19 Other TRANSFER BAL FROM CASH 

12/02/19 Other TRANSFER BAL TO MARGIN 1012/06/19 Transfer ACH WITHDRAWL

REFID:33918230482;

6

12/09/19 Other TRANSFER BAL FROM CASH 

12/09/19 Other TRANSFER BAL TO MARGIN 612/13/19 Transfer ACH WITHDRAWL

REFID:34305421482;

5

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 88 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

12/16/19 Other TRANSFER BAL FROM CASH 

12/16/19 Other TRANSFER BAL TO MARGIN 512/20/19 Transfer ACH WITHDRAWL

REFID:34707563482;

5

12/23/19 Other TRANSFER BAL FROM CASH 

12/23/19 Other TRANSFER BAL TO MARGIN 512/24/19 Fee REORG FEE REVERSAL(22539T217)

REFID:19357100569973;

12/26/19 Other TRANSFER BAL FROM CASH 

12/26/19 Other TRANSFER BAL TO MARGIN 12/27/19 Transfer ACH WITHDRAWL

REFID:35045996482;

4

12/27/19 Other TRANSFER BAL FROM CASH 

12/27/19 Other TRANSFER BAL TO MARGIN 

12/30/19 Other TRANSFER BAL FROM CASH 

12/30/19 Other TRANSFER BAL TO MARGIN 4NET WITHDRAWALS & DEPOSITS $20

OTHER ACTIVITYDATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

12/23/19 ***CREDIT SUISSE AG

VELOCITYSHARES 3X LONG NATRLGAS ETN LKD S&P GSCI NTRL GASMANDATORY REORG FEE CHARGED

22539T217 Fee 

12/23/19 ***CREDIT SUISSE AG

VELOCITYSHARES 3X LONG NATRLGAS ETN LKD S&P GSCI NTRL GAS1:10 REVERSE SPLITINTO 22539T183

22539T217 Reverse Splt -200

12/23/19 ***CREDIT SUISSE AG

VELOCITYSHS 3X LNG NAT GAS ETNLKD TO S&P GSCI NAT GAS IDXRESULT OF REVERSE SPLIT

UGAZ Reverse Splt 20

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 89 
Account Number: 2252 Statement Period : December 1, 2019 - December 31, 2019 OTHER ACTIVITY (Continued)DATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

TOTAL OTHER ACTIVITY NET OTHER ACTIVITY 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 90 
THIS PAGE INTENTIONALLY LEFT BLANK

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 91 
Customer Update:

$3,417,457.43 $3,222,693.37

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 12/31/19 As of 01/31/20

Net Change: $-194,764.06

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 10

January 1, 2020 - January 31, 2020

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 92 of 159
PAGE 2 OF 10

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 93 of 159
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: December 31, 2019Beginning Account Value (On 12/31/19): $ 3,417,457.43Ending Account Value (On 01/31/20): $ 3,222,693.37

Net Change: $ -194,764.06For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 01/31/20)

Cash & Equivalents $ -100,000.00 $ 

Margin Balance $ 104,273.59 $ 

Total Cash/Margin Debt $ 4,273.59 $ Stocks, Options & ETF (Long) $3,218,419.78 $3

Total Value of Securities $3,218,419.78 $3

Net Account Value $3,222,693.37 $3

ACCOUNT VALUE SUMMARY 

AS OF 01/31/20 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 94 
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

-24.92%

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72% -5.70%

 JAN-19 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19 JAN-20

Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 

Securities Purchased $ -2,063.70 

Securities Sold $ 268,008.31 

Interest ReceivedTaxable $ 0.15 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 01/31/20)

98.80% - BLNK

1.20% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 95 
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION CASH BALANCE

Opening Balance 

Closing Balance 

TOTAL CASH & CASH EQUIVALENTS TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 1,682,500 1.8900 3,179,925.00 98.80***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZ Margin 50 44.1500 2,207.50 0.07

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.5988 36,287.28 1.13

TOTAL STOCKS, OPTIONS & ETF 3,218,419.78 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 01/31/20) 3,222,693.37

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

12/30/1910:00

01/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9700 

12/30/1910:00

01/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0000 

12/31/1910:05

01/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -31 1.9200 

01/02/2009:30

01/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,969 1.8700 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 96 
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/02/2014:16

01/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 1.9000 

01/02/2010:15

01/06/20 ***CREDIT SUISSE AG

VELOCITYSHS 3X LNG NATGAS ETNLKD TO S&P GSCI NAT GASIDXPROSPECTUS ON INITIALPURCHASE

UGAZ Bought 30 68.7900 

01/03/2009:42

01/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9000 

01/03/2009:43

01/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

01/03/2011:05

01/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0000 

01/03/2011:11

01/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

01/07/2014:53

01/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -399 1.9200 

01/07/2010:00

01/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -878 1.9500 

01/07/2009:30

01/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9200 

01/08/2010:14

01/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,263 1.9200 

01/08/2012:06

01/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9015 

01/08/2013:47

01/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,460 1.9000 

01/09/2015:42

01/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -900 1.8800 

01/09/2009:38

01/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,600 1.9000 

01/09/2014:42

01/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8800 

01/10/2009:56

01/14/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9000 

01/10/2010:42

01/14/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

01/13/2013:20

01/15/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9314 

01/13/2015:33

01/15/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9314 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 97 
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/13/2015:59

01/15/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -46 1.9500 

01/14/2010:03

01/16/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0000 

01/14/2011:18

01/16/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

01/14/2009:35

01/16/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,454 1.9500 

01/15/2009:30

01/17/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

01/15/2010:32

01/17/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1000 

01/16/2014:48

01/21/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1200 

01/17/2014:40

01/22/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0600 

01/21/2013:51

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3 2.0601 

01/21/2015:58

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -517 2.1000 

01/21/2011:51

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.0506 

01/21/2011:51

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,900 2.0502 

01/21/2013:51

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,308 2.0615 

01/21/2009:30

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

01/21/2009:30

01/23/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -189 2.0800 

01/22/2015:54

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4 2.0617 

01/22/2012:25

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -280 2.0750 

01/22/2015:31

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -475 2.0750 

01/22/2009:30

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,983 2.1000 

01/22/2015:31

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,025 2.0701 

01/22/2012:25

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,220 2.0701 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 98 
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/22/2015:54

01/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,496 2.0601 

01/23/2011:13

01/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0700 

01/23/2012:51

01/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0900 

01/23/2014:33

01/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1300 

01/23/2010:47

01/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.0501 

01/24/2015:35

01/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -61 2.0500 

01/24/2015:59

01/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,639 2.0402 

01/24/2015:51

01/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,800 2.0400 

01/27/2010:10

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -118 1.9701 

01/27/2012:54

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 1.9550 

01/27/2010:10

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -568 1.9750 

01/27/2015:37

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -909 1.9600 

01/27/2015:15

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,359 1.9524 

01/27/2012:54

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,300 1.9501 

01/27/2010:21

01/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,955 1.9700 

01/28/2015:53

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -50 1.9600 

01/28/2012:35

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9600 

01/28/2009:30

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,091 1.9500 

01/28/2015:57

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,950 1.9500 

01/29/2012:04

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 1.9001 

01/29/2012:04

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 1.9050 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 99 
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/29/2012:04

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,400 1.9013 

01/29/2012:52

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9200 

01/29/2013:30

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9400 

01/29/2013:56

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9500 

TOTAL SECURITIES ACTIVITY $

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 156 1.9500 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 530 1.9150 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,970 1.9125 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,344 1.9102 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 1.9400 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 1.9200 

01/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 89 1.9300 

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 200 1.8701 

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 1.8900 

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,500 1.9200 

01/31/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 4,711 1.8736 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : January 1, 2020 - January 31, 2020 DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

01/27/20 Interest INTEREST ON CASH BALANCE

AT 0.009% 12/26 THRU 01/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

01/03/20 Transfer ACH WITHDRAWL

REFID:35441975482;

3

01/06/20 Other TRANSFER BAL FROM CASH 

01/06/20 Other TRANSFER BAL TO MARGIN 301/10/20 Transfer ACH WITHDRAWL

REFID:35884923482;

5

01/13/20 Other TRANSFER BAL FROM CASH 

01/13/20 Other TRANSFER BAL TO MARGIN 501/17/20 Transfer ACH WITHDRAWL

REFID:36288399482;

5

01/21/20 Other TRANSFER BAL FROM CASH 

01/21/20 Other TRANSFER BAL TO MARGIN 501/24/20 Transfer ACH WITHDRAWL

REFID:36651739482;

5

01/27/20 Other TRANSFER BAL FROM CASH 

01/27/20 Other TRANSFER BAL TO MARGIN 501/28/20 Other TRANSFER BAL FROM CASH 

01/28/20 Other TRANSFER BAL TO MARGIN 

01/31/20 Transfer ACH WITHDRAWL

REFID:37033420482;

10

NET WITHDRAWALS & DEPOSITS $28

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Customer Update:

$3,222,693.37

$2,514,410.04

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 01/31/20 As of 02/29/20

Net Change: $-708,283.33

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 20

February 1, 2020 - February 29, 2020

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 102 of 159
PAGE 2 OF 20

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 103 of 159
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: January 31, 2020Beginning Account Value (On 01/31/20): $ 3,222,693.37Ending Account Value (On 02/29/20): $ 2,514,410.04

Net Change: $ -708,283.33For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 02/29/20)

Cash & Equivalents $ -100,000.00 $ 

Margin Balance $ 843,888.04 $ 

Total Cash/Margin Debt $ 743,888.04 $ 

Stocks, Options & ETF (Long) $1,770,522.00 $3Total Value of Securities $1,770,522.00 $3Net Account Value $2,514,410.04 $3

ACCOUNT VALUE SUMMARY 

AS OF 02/29/20 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

250.26%

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72% -5.70%

-21.98%

 FEB-19 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19 JAN-20 FEB-20

Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 

Securities Purchased $ 0.00 

Securities Sold $ 2,414,577.78 

Interest ReceivedTaxable $ 36.67 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 02/29/20)

98.54% - BLNK

1.46% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION CASH BALANCE

Opening Balance 

Closing Balance 

TOTAL CASH & CASH EQUIVALENTS TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 768,600 2.2700 1,744,722.00 98.54***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZ Margin 50 31.2000 1,560.00 0.09

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.4000 24,240.00 1.37

TOTAL STOCKS, OPTIONS & ETF $1,770,522.00 100.00%

TOTAL PRICED PORTFOLIO HOLDINGS (ON 02/29/20) $2,514,410.04

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/30/2009:30

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -156 1.9500 

01/30/2014:38

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -530 1.9150 

01/30/2014:38

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,970 1.9125 

01/30/2015:37

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,344 1.9102 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

01/30/2009:30

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9400 

01/30/2014:29

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9200 

01/30/2015:59

02/03/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -89 1.9300 

01/31/2015:55

02/04/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 1.8701 

01/31/2015:56

02/04/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8900 

01/31/2010:00

02/04/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9200 

01/31/2015:55

02/04/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,711 1.8736 

02/03/2010:40

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9300 

02/03/2010:00

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.8900 

02/03/2009:53

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9000 

02/03/2014:14

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 1.9400 

02/03/2014:14

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0000 

02/03/2014:14

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.0500 

02/03/2014:22

02/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1000 

02/04/2011:03

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3500 

02/04/2012:24

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5200 

02/04/2012:36

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4800 

02/04/2012:46

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -495 2.4100 

02/04/2013:30

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -550 2.4201 

02/04/2012:46

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 2.4110 

02/04/2011:06

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -800 2.3409 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/04/2014:31

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,100 2.5500 

02/04/2012:19

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,445 2.5701 

02/04/2012:36

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,545 2.5000 

02/04/2009:43

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.1500 

02/04/2009:43

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2000 

02/04/2009:44

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2500 

02/04/2012:35

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,455 2.5001 

02/04/2012:20

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,555 2.5700 

02/04/2012:46

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,805 2.4036 

02/04/2013:37

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,172 2.4200 

02/04/2011:06

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,200 2.3401 

02/04/2010:57

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3500 

02/04/2011:03

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3400 

02/04/2011:07

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3500 

02/04/2011:10

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3800 

02/04/2011:04

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4000 

02/04/2011:18

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3900 

02/04/2011:50

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4500 

02/04/2012:02

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5000 

02/04/2012:10

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6000 

02/04/2012:14

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5500 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/04/2012:19

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5500 

02/04/2012:24

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5000 

02/04/2012:49

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4000 

02/04/2012:50

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4100 

02/04/2009:58

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3000 

02/04/2013:28

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4000 

02/04/2010:58

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3300 

02/04/2010:59

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 2.3300 

02/04/2011:00

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 2.3200 

02/04/2012:29

02/06/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -278 2.5700 

02/05/2013:23

02/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -142 2.2350 

02/05/2015:59

02/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,769 2.3500 

02/05/2013:23

02/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,358 2.2300 

02/05/2015:04

02/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.2215 

02/05/2014:39

02/07/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,900 2.2000 

02/06/2014:00

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,726 2.9000 

02/06/2013:58

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.8500 

02/06/2015:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6200 

02/06/2013:48

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,157 3.1000 

02/06/2015:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.6500 

02/06/2015:04

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 2.7700 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 10
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/06/2014:58

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,000 2.7200 

02/06/2013:47

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.0000 

02/06/2009:30

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -81 2.4200 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 3.3900 

02/06/2013:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 3.2550 

02/06/2011:12

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.5701 

02/06/2013:47

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -105 3.2501 

02/06/2014:00

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.8801 

02/06/2014:00

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 2.8901 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -360 3.4000 

02/06/2009:30

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -361 2.3700 

02/06/2013:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.9101 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -442 3.2500 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 3.2350 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -601 3.3250 

02/06/2013:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 3.2600 

02/06/2014:18

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 2.8201 

02/06/2013:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -701 3.2500 

02/06/2013:51

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,000 3.0600 

02/06/2011:13

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,100 2.5600 

02/06/2012:39

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,200 2.5002 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/06/2013:51

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,450 3.0700 

02/06/2009:30

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,419 2.4000 

02/06/2012:38

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,428 2.5101 

02/06/2009:30

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

02/06/2013:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,699 3.2400 

02/06/2009:30

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,870 2.3500 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,951 3.3700 

02/06/2014:00

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.8900 

02/06/2013:34

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,137 2.5000 

02/06/2012:39

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,163 2.5001 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,488 3.3000 

02/06/2011:13

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,900 2.5601 

02/06/2013:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,600 2.9100 

02/06/2012:51

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4400 

02/06/2012:50

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4500 

02/06/2013:35

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5500 

02/06/2013:36

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9000 

02/06/2013:36

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9500 

02/06/2013:37

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 3.0000 

02/06/2013:48

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 3.0302 

02/06/2013:59

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.8400 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/06/2014:04

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7500 

02/06/2010:15

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7500 

02/06/2015:02

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7500 

02/06/2011:22

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5800 

02/06/2011:09

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6000 

02/06/2011:26

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6500 

02/06/2012:38

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,072 2.5000 

02/06/2013:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,800 3.2402 

02/06/2014:06

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,000 2.8083 

02/06/2014:09

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,000 2.7500 

02/06/2014:38

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,000 2.5800 

02/06/2014:00

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.8800 

02/06/2014:46

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.6500 

02/06/2015:05

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.8000 

02/06/2014:19

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,800 2.8200 

02/06/2014:04

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 2.7700 

02/06/2014:15

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 2.7700 

02/06/2014:40

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 2.6000 

02/06/2013:50

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 3.0500 

02/06/2013:54

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 2.9300 

02/06/2014:43

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 2.6500 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/06/2015:17

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 2.8000 

02/06/2014:15

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,000 2.8000 

02/06/2014:05

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,000 2.8000 

02/06/2014:11

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,000 2.7500 

02/06/2015:12

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,000 2.7200 

02/06/2013:45

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,058 3.2400 

02/06/2011:12

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,900 2.5700 

02/06/2013:50

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.0100 

02/06/2013:50

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.0500 

02/06/2013:56

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 2.9000 

02/06/2015:09

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 2.7500 

02/06/2009:37

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4500 

02/06/2013:36

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.8500 

02/06/2013:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9200 

02/06/2014:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 2.7000 

02/06/2015:14

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 2.7500 

02/06/2015:55

02/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,500 2.6800 

02/07/2015:05

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -11 2.5400 

02/07/2012:54

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -11 2.6441 

02/07/2015:17

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -300 2.5650 

02/07/2012:54

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -421 2.6541 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/07/2015:18

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -508 2.5527 

02/07/2015:49

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -728 2.5728 

02/07/2015:46

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,153 2.5600 

02/07/2015:49

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,400 2.5700 

02/07/2015:17

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,419 2.5622 

02/07/2015:54

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,800 2.6100 

02/07/2012:55

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,181 2.6400 

02/07/2015:19

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,492 2.5500 

02/07/2015:05

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,989 2.5300 

02/07/2013:09

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6000 

02/07/2015:08

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5500 

02/07/2014:48

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6000 

02/07/2015:54

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,262 2.6115 

02/07/2014:04

02/11/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -20,000 2.5800 

02/10/2015:52

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -21 2.4000 

02/10/2015:36

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4000 

02/10/2013:07

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -220 2.3100 

02/10/2013:59

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -367 2.3801 

02/10/2011:23

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,358 2.5200 

02/10/2013:59

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,133 2.3700 

02/10/2013:07

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,280 2.3000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/10/2011:42

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4700 

02/10/2012:24

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4300 

02/10/2012:41

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4001 

02/10/2013:06

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3032 

02/10/2013:22

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

02/10/2014:19

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

02/10/2014:02

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3800 

02/10/2014:18

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,500 2.3409 

02/10/2009:30

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,387 2.5900 

02/10/2012:11

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4200 

02/10/2013:11

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.3100 

02/10/2013:16

02/12/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3300 

02/11/2012:37

02/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -613 2.3000 

02/11/2009:30

02/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4500 

02/11/2009:30

02/13/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4500 

02/12/2009:30

02/14/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,887 2.3000 

02/12/2013:20

02/14/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

02/12/2010:21

02/14/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3500 

02/13/2009:30

02/18/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.3600 

02/13/2009:52

02/18/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4000 

02/14/2013:22

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.6701 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/14/2013:22

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.6500 

02/14/2013:22

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 2.6675 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.5500 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.5500 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.5500 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.6000 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,621 2.5500 

02/14/2013:22

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,700 2.6600 

02/14/2013:24

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,000 2.6500 

02/14/2014:42

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,000 2.7000 

02/14/2015:57

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7000 

02/14/2010:46

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7500 

02/14/2010:50

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.8500 

02/14/2015:43

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7000 

02/14/2010:52

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,000 3.0000 

02/14/2010:52

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.9000 

02/14/2010:53

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,000 3.0500 

02/14/2009:30

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.5500 

02/14/2015:37

02/19/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.6700 

02/21/2011:38

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 2.9601 

02/21/2011:38

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,900 2.9600 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/21/2014:57

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9600 

02/21/2011:32

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9900 

02/21/2011:54

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.9200 

02/21/2015:48

02/25/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 3.0000 

02/25/2011:27

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.9500 

02/25/2009:56

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 3.0300 

02/25/2012:44

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2 3.0000 

02/25/2015:46

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -60 2.9100 

02/25/2010:13

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -120 3.0700 

02/25/2012:33

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.9601 

02/25/2012:20

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.9701 

02/25/2010:15

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -801 3.0500 

02/25/2012:33

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,300 2.9600 

02/25/2012:59

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,453 2.9700 

02/25/2011:44

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.9600 

02/25/2009:55

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 3.0100 

02/25/2012:38

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.9800 

02/25/2014:59

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,500 2.9500 

02/25/2012:20

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,800 2.9700 

02/25/2009:53

02/27/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 3.0000 

02/26/2011:33

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -103 2.7200 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

02/26/2012:24

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -200 2.5700 

02/26/2013:07

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.6000 

02/26/2011:34

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 2.7100 

02/26/2014:45

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.5550 

02/26/2010:17

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -600 2.8000 

02/26/2012:24

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -622 2.5663 

02/26/2011:33

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -712 2.7225 

02/26/2012:24

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,178 2.5600 

02/26/2013:44

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,185 2.5400 

02/26/2011:32

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.7201 

02/26/2012:25

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5800 

02/26/2012:39

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,400 2.6000 

02/26/2014:45

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,464 2.5500 

02/26/2011:34

02/28/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 2.7000 

TOTAL SECURITIES ACTIVITY 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

02/26/20 Interest INTEREST ON CASH BALANCE

AT 0.069% 01/26 THRU 02/25APY 0.0699%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

02/03/20 Other TRANSFER BAL FROM CASH 

02/03/20 Other TRANSFER BAL TO MARGIN 1002/05/20 Transfer ACH WITHDRAWL

REFID:37340017482;

7

02/06/20 Transfer ACH WITHDRAWL

REFID:37416342482;

10

02/06/20 Other TRANSFER BAL FROM CASH 

02/06/20 Other TRANSFER BAL TO MARGIN 702/07/20 Transfer ACH WITHDRAWL

REFID:37488671482;

10

02/07/20 Other TRANSFER BAL FROM CASH 

02/07/20 Other TRANSFER BAL TO MARGIN 1002/10/20 Transfer ACH WITHDRAWL

REFID:37626354482;

10

02/10/20 Other TRANSFER BAL FROM CASH 

02/10/20 Other TRANSFER BAL TO MARGIN 1002/11/20 Transfer ACH WITHDRAWL

REFID:37707026482;

10

02/11/20 Other TRANSFER BAL FROM CASH 

02/11/20 Other TRANSFER BAL TO MARGIN 1002/12/20 Transfer ACH WITHDRAWL

REFID:37770069482;

10

02/12/20 Other TRANSFER BAL FROM CASH 

02/12/20 Other TRANSFER BAL TO MARGIN 1002/13/20 Transfer ACH WITHDRAWL

REFID:37836854482;

10

02/13/20 Other TRANSFER BAL FROM CASH 

02/13/20 Other TRANSFER BAL TO MARGIN 1002/14/20 Transfer ACH WITHDRAWL

REFID:37908687482;

10

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 11
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

02/14/20 Other TRANSFER BAL FROM CASH 

02/14/20 Other TRANSFER BAL TO MARGIN 1002/18/20 Transfer ACH WITHDRAWL

REFID:38065930482;

10

02/18/20 Other TRANSFER BAL FROM CASH 

02/18/20 Other TRANSFER BAL TO MARGIN 1002/19/20 Transfer ACH WITHDRAWL

REFID:38169891482;

10

02/19/20 Other TRANSFER BAL FROM CASH 

02/19/20 Other TRANSFER BAL TO MARGIN 1002/20/20 Transfer ACH WITHDRAWL

REFID:38232601482;

10

02/20/20 Other TRANSFER BAL FROM CASH 

02/20/20 Other TRANSFER BAL TO MARGIN 1002/21/20 Transfer ACH WITHDRAWL

REFID:38320412482;

10

02/21/20 Other TRANSFER BAL FROM CASH 

02/21/20 Other TRANSFER BAL TO MARGIN 1002/24/20 Transfer ACH WITHDRAWL

REFID:38451958482;

10

02/24/20 Other TRANSFER BAL FROM CASH 

02/24/20 Other TRANSFER BAL TO MARGIN 1002/25/20 Transfer ACH WITHDRAWL

REFID:38553552482;

10

02/25/20 Other TRANSFER BAL FROM CASH 

02/25/20 Other TRANSFER BAL TO MARGIN 1002/26/20 Transfer ACH WITHDRAWL

REFID:38632019482;

10

02/26/20 Other TRANSFER BAL FROM CASH 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : February 1, 2020 - February 29, 2020 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

02/26/20 Other TRANSFER BAL TO MARGIN 1002/27/20 Transfer ACH WITHDRAWL

REFID:38718803482;

10

02/27/20 Other TRANSFER BAL FROM CASH 

02/27/20 Other TRANSFER BAL TO MARGIN 902/28/20 Transfer ACH WITHDRAWL

REFID:38828661482;

10

02/28/20 Other TRANSFER BAL FROM CASH 

02/28/20 Other TRANSFER BAL TO MARGIN 10NET WITHDRAWALS & DEPOSITS $1,67

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Customer Update:

$2,514,410.04 $2,717,062.42

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 02/29/20 As of 03/31/20

Net Change: $202,652.38

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 12

March 1, 2020 - March 31, 2020

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 122 of 159
PAGE 2 OF 12

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 123 of 159
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: February 29, 2020Beginning Account Value (On 02/29/20): $ 2,514,410.04Ending Account Value (On 03/31/20): $ 2,717,062.42

Net Change: $ 202,652.38For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 03/31/20)

Cash & Equivalents $ 0.00 $ Margin Balance $ 888,713.81 $ 

Total Cash/Margin Debt $ 888,713.81 $ 

Stocks, Options & ETF (Long) $1,828,348.61 $Total Value of Securities $1,828,348.61 $

Net Account Value $2,717,062.42 $2

ACCOUNT VALUE SUMMARY 

AS OF 03/31/20 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

-15.16% -1.59%

-29.80%

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72% -5.70%

-21.98% 8.06%

 MAR-19 APR-19 MAY-19 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19 JAN-20 FEB-20 MAR-20

Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 

Securities Purchased $ -680,998.55 

Securities Sold $ 175,821.85 

Interest ReceivedTaxable $ 2.47 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 03/31/20)

66.00% - BLNK

11.97% - SQQQ

8.50% - SPXS

6.47% - BNO

5.92% - USO

1.13% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION CASH BALANCE

Opening Balance 

Closing Balance 

TOTAL CASH & CASH EQUIVALENTS 

TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) 

STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 697,557 1.7300 1,206,773.61 66.00***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZ Margin 100 25.0800 2,508.00 0.14

DIREXION SHARES ETFTRUSTDIREXION DAILY S&P 500BEAR3X SHARES

SPXS Margin 9,750 15.9400 155,415.00 8.50 

PROSHARES TRPROSHARES ULTRAPROSHORT QQQ

SQQQ Margin 11,250 19.4600 218,925.00 11.97 

UNITED STATES OIL FUNDLPUNITS ETF

USO Margin 25,700 4.2100 108,197.00 5.92

UNITED STS BRENT OIL FDLPUNIT

BNO Margin 15,000 7.8900 118,350.00 6.47

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.3000 18,180.00 0.99

TOTAL STOCKS, OPTIONS & ETF $1,828,348.61 100.00% 

TOTAL PRICED PORTFOLIO HOLDINGS (ON 03/31/20) $2,717,062.42

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 

TOTAL ESTIMATED ACCOUNT HOLDINGS ANNUAL INCOME $8,606.00

TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

03/03/2010:45

03/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,000 2.4700 

03/03/2010:27

03/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,000 2.4500 

03/03/2014:45

03/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4000 

03/03/2013:39

03/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4300 

03/03/2012:05

03/05/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4500 

03/05/2013:20

03/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -399 2.4600 

03/05/2012:10

03/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -700 2.5100 

03/05/2012:10

03/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,030 2.5101 

03/05/2013:23

03/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,270 2.4800 

03/05/2012:10

03/09/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,601 2.5000 

03/06/2015:31

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4900 

03/06/2011:47

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.5600 

03/06/2013:43

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -267 2.4801 

03/06/2011:45

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -400 2.5600 

03/06/2013:40

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -769 2.5500 

03/06/2013:44

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,233 2.4800 

03/06/2015:12

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4500 

03/06/2013:40

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.4500 

03/06/2013:40

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,500 2.5000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

03/06/2011:45

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,600 2.5529 

03/06/2015:14

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4700 

03/06/2012:20

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4800 

03/06/2015:57

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -774 2.5000 

03/06/2015:09

03/10/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 2.4300 

03/09/2014:44

03/11/20 UNITED STATES OIL FUND

LPUNITS ETFPROSPECTUS ON INITIALPURCHASE

USO Bought 4,000 6.5000 2

03/09/2014:33

03/11/20 UNITED STATES OIL FUND

LPUNITS ETFPROSPECTUS ON INITIALPURCHASE

USO Bought 3,600 6.5200 2

03/09/2014:59

03/11/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 2,100 11.6000 2

03/09/2014:59

03/11/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 2,200 11.6300 2

03/12/2015:58

03/16/20 UNITED STATES OIL FUND

LPUNITS ETFPROSPECTUS ON INITIALPURCHASE

USO Bought 7,600 6.5250 4

03/12/2015:58

03/16/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 4,700 10.6050 4

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

03/18/2013:11

03/20/20 ***CREDIT SUISSE AG

VELOCITYSHS 3X LNG NATGAS ETNLKD TO S&P GSCI NAT GASIDXPROSPECTUS ON INITIALPURCHASE

UGAZ Bought 50 24.1500 

03/18/2013:16

03/20/20 UNITED STATES OIL FUND

LPUNITS ETFPROSPECTUS ON INITIALPURCHASE

USO Bought 5,000 4.6500 2

03/18/2013:11

03/20/20 UNITED STATES OIL FUND

LPUNITS ETFPROSPECTUS ON INITIALPURCHASE

USO Bought 5,500 4.7500 2

03/18/2014:06

03/20/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 1,700 8.3200 1

03/18/2013:13

03/20/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 3,000 8.3000 2

03/18/2013:55

03/20/20 UNITED STS BRENT OIL FD

LPUNITPROSPECTUS ON INITIALPURCHASE

BNO Bought 1,300 8.3000 1

03/26/2015:57

03/30/20 DIREXION SHARES ETF

TRUSTDIREXION DAILY S&P 500BEAR3X SHARESPROSPECTUS ON INITIALPURCHASE

SPXS Bought 500 15.4600 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 12
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

03/26/2015:57

03/30/20 DIREXION SHARES ETF

TRUSTDIREXION DAILY S&P 500BEAR3X SHARESPROSPECTUS ON INITIALPURCHASE

SPXS Bought 6,000 15.4700 9

03/26/2015:55

03/30/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 7,500 19.4000 14

03/27/2015:57

03/31/20 DIREXION SHARES ETF

TRUSTDIREXION DAILY S&P 500BEAR3X SHARESPROSPECTUS ON INITIALPURCHASE

SPXS Bought 3,250 16.9682 5

03/27/2015:57

03/31/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 300 21.4800 

03/27/2015:57

03/31/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 1,275 21.4759 2

03/27/2015:57

03/31/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 2,175 21.4750 4

TOTAL SECURITIES ACTIVITY $68

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

03/30/20 DIREXION SHARES ETF

TRUSTDIREXION DAILY S&P 500BEAR3X SHARESPROSPECTUS ON INITIALPURCHASE

SPXS Bought 7,450 15.3000 11

03/31/20 DIREXION SHARES ETF

TRUSTDIREXION DAILY S&P 500BEAR3X SHARESPROSPECTUS ON INITIALPURCHASE

SPXS Bought 7,800 15.8099 12

03/30/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 5,800 19.0433 11

03/31/20 PROSHARES TR

PROSHARES ULTRAPROSHORT QQQPROSPECTUS ON INITIALPURCHASE

SQQQ Bought 6,450 19.4150 12

03/30/20 UNITED STATES OIL FUND

LPUNITS ETF

USO Sold 25,700 4.2000 

03/30/20 UNITED STS BRENT OIL FD

LPUNIT

BNO Sold 15,000 7.9700 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

03/26/20 Interest INTEREST ON CASH BALANCE

AT 0.009% 02/26 THRU 03/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

03/02/20 Transfer ACH WITHDRAWL

REFID:39042390482;

10

03/02/20 Other TRANSFER BAL FROM CASH 

03/02/20 Other TRANSFER BAL TO MARGIN 1003/03/20 Transfer ACH WITHDRAWL

REFID:39147112482;

10

03/03/20 Other TRANSFER BAL FROM CASH 

03/03/20 Other TRANSFER BAL TO MARGIN 1003/04/20 Transfer ACH WITHDRAWL

REFID:39219526482;

10

03/04/20 Other TRANSFER BAL FROM CASH 

03/04/20 Other TRANSFER BAL TO MARGIN 1003/05/20 Transfer ACH WITHDRAWL

REFID:39299748482;

10

03/05/20 Other TRANSFER BAL FROM CASH 

03/05/20 Other TRANSFER BAL TO MARGIN 1003/06/20 Transfer ACH WITHDRAWL

REFID:39404717482;

10

03/06/20 Other TRANSFER BAL FROM CASH 

03/06/20 Other TRANSFER BAL TO MARGIN 1003/09/20 Transfer ACH WITHDRAWL

REFID:39559129482;

10

03/09/20 Other TRANSFER BAL FROM CASH 

03/09/20 Other TRANSFER BAL TO MARGIN 1003/10/20 Other TRANSFER BAL FROM CASH 

03/10/20 Other TRANSFER BAL TO MARGIN 1003/27/20 Other TRANSFER BAL FROM CASH 

03/27/20 Wire INWIRE-20200327I1B7032R005956

REFID:20200327I1B7032R005956;

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : March 1, 2020 - March 31, 2020 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

03/27/20 Other TRANSFER BAL TO MARGIN 

03/30/20 Other TRANSFER BAL FROM CASH 1,25

03/30/20 Other TRANSFER BAL TO MARGIN NET WITHDRAWALS & DEPOSITS 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Customer Update:

$2,258,580.92

$4,814,209.76

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 05/31/20 As of 06/30/20

Net Change: $2,555,628.84

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 14

June 1, 2020 - June 30, 2020

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 134 of 159
PAGE 2 OF 14

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 135 of 159
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: May 31, 2020Beginning Account Value (On 05/31/20): $ 2,258,580.92Ending Account Value (On 06/30/20): $ 4,814,209.76

Net Change: $ 2,555,628.84For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 06/30/20)

Margin Balance $ 89,466.76 $ Total Cash/Margin Debt $ 89,466.76 $ 

Stocks, Options & ETF (Long) $4,724,743.00 $

Total Value of Securities $4,724,743.00 $

Net Account Value $4,814,209.76 $2

ACCOUNT VALUE SUMMARY 

AS OF 06/30/20 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
$0

$800,000

$1,600,000$2,400,000$3,200,000$4,000,000$4,800,000$5,600,000$6,400,000$7,200,000$8,000,000

16.57%

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72% -5.70%

-21.98%

8.06%

-12.78% -4.69%

113.15%

 JUN-19 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19 JAN-20 FEB-20 MAR-20 APR-20 MAY-20 JUN-20

Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 

Securities Purchased $ -212,215.07 

Securities Sold $ 618,542.80 

Interest ReceivedTaxable $ 2.44 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 06/30/20)

83.55% - BLNK

5.70% - SPXS

5.57% - FMCI

4.64% - SQQQ

0.53% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 695,000 5.6800 3,947,600.00 83.55***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZ Margin 100 10.1800 1,018.00 0.02

DIREXION SHARES ETFTRUSTDIREXION DAILY S&P 500BEAR3X SHARES

SPXS Margin 34,500 7.8100 269,445.00 5.70 

FORUM MERGER IICORPORATIONCLASS A COMMON STOCK

FMCI Margin 16,000 16.4500 263,200.00 5.57

PROSHARES TRPROSHARES ULTRAPROSHORT QQQ

SQQQ Margin 29,000 7.5600 219,240.00 4.64 

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.4000 24,240.00 0.51

TOTAL STOCKS, OPTIONS & ETF $4,724,743.00 100.00% 

TOTAL PRICED PORTFOLIO HOLDINGS (ON 06/30/20) $4,814,209.76TOTAL ESTIMATED ACCOUNT HOLDINGS ANNUAL INCOME $14,281.00

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/08/2015:17

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.3500 

06/08/2013:46

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -60 7.3000 

06/08/2013:49

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -79 7.2800 

06/08/2014:44

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -100 7.2550 

06/08/2015:30

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -302 7.4500 

06/08/2013:49

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,200 7.2600 

06/08/2013:46

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,440 7.3063 

06/08/2013:48

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 7.3000 

06/08/2015:27

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,500 7.4000 

06/08/2013:49

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,721 7.2500 

06/08/2014:44

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -4,900 7.2500 

06/08/2015:01

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.3000 

06/08/2013:59

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.3500 

06/08/2013:58

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -4,000 7.3300 

06/09/2012:33

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 7.0500 

06/09/2015:13

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -200 7.0150 

06/09/2015:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -749 6.8700 

06/09/2015:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,771 6.8600 

06/09/2015:13

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,300 7.0000 

06/09/2015:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,480 6.8500 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 13
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/09/2010:24

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.8000 

06/09/2009:30

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.5000 

06/09/2009:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.7500 

06/09/2009:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.7000 

06/09/2009:30

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 7.6000 

06/09/2015:59

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 6.8500 

06/09/2009:30

06/11/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,198 7.5000 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 50 12.6600 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 50 12.6800 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 100 12.6999 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 150 12.6700 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 162 12.7400 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 650 12.7000 

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 1,338 12.7500 1

06/12/2010:06

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 5,500 12.8000 7

06/12/2013:00

06/16/20 FORUM MERGER II

CORPORATIONCLASS A COMMON STOCKOTHER REPURCHASETRANSACTIONS

FMCI Bought 8,000 13.7499 10

06/22/2013:27

06/24/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,557 3.0000 

TOTAL SECURITIES ACTIVITY $21

UNSETTLED TRADES TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 9,000 4.1800 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 83 3.9100 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 4.0600 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 3.9800 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 500 4.0700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 500 4.1475 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,157 3.9001 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,500 4.0100 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 UNSETTLED TRADES (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,646 4.0500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,800 3.9700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 3,700 3.9500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 4,500 4.0000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 4,760 3.9000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,000 3.9500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,400 3.9600 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,500 4.0100 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,500 3.8700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 6,000 4.1000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 6,500 3.8500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 7,000 3.9500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 7,500 4.1400 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 7,500 3.9000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 8,500 3.9500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 9,500 3.9000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 9,900 3.9200 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 10,000 3.8700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 10,000 3.9200 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 10,000 3.9800 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 10,000 3.9000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 UNSETTLED TRADES (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 10,000 4.1000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 11,000 3.9600 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 11,000 4.1000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 11,628 4.0800 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 13,000 3.9000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 14,000 3.8600 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 14,872 4.0600 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 15,000 3.9700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 15,000 3.9000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 15,000 4.0000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 15,000 4.0200 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 17,000 3.8000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 18,000 4.0500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 19,000 3.8800 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 23,500 4.0000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 24,000 4.0300 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 25,000 3.9700 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 26,000 4.0200 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 26,000 4.0000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 28,000 4.0000 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 30,000 4.0000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 UNSETTLED TRADES (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 40,000 4.0200 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 7,000 4.0500 

06/29/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 9,500 4.0500 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 100 5.7200 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 150 5.8500 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 1,300 5.7100 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,273 5.5100 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 2,393 5.5300 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 5,900 5.5002 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 8,600 5.7000 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 9,850 5.6500 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 12,000 5.6000 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 13,000 5.5500 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 14,434 5.5000 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 15,000 5.9000 

06/30/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold 16,354 5.6000 

DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

06/26/20 Interest INTEREST ON CASH BALANCE

AT 0.009% 05/26 THRU 06/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

06/02/20 Transfer ACH WITHDRAWL

REFID:46671539482;

10

06/03/20 Transfer ACH WITHDRAWL

REFID:46708018482;

10

06/03/20 Other TRANSFER BAL FROM CASH 

06/03/20 Other TRANSFER BAL TO MARGIN 1006/04/20 Transfer ACH WITHDRAWL

REFID:46809277482;

10

06/04/20 Other TRANSFER BAL FROM CASH 

06/04/20 Other TRANSFER BAL TO MARGIN 1006/05/20 Other TRANSFER BAL FROM CASH 

06/05/20 Other TRANSFER BAL TO MARGIN 1006/10/20 Transfer ACH WITHDRAWL

REFID:47390213482;

10

06/11/20 Transfer ACH WITHDRAWL

REFID:47461664482;

10

06/11/20 Other TRANSFER BAL FROM CASH 1706/11/20 Other TRANSFER BAL TO MARGIN 

06/12/20 Transfer ACH WITHDRAWL

REFID:47584795482;

10

06/12/20 Other TRANSFER BAL FROM CASH 2306/12/20 Other TRANSFER BAL TO MARGIN 

06/15/20 Transfer ACH WITHDRAWL

REFID:47726689482;

10

06/15/20 Other TRANSFER BAL FROM CASH 

06/15/20 Other TRANSFER BAL TO MARGIN 1006/16/20 Transfer ACH WITHDRAWL

REFID:47862082482;

10

06/16/20 Other TRANSFER BAL FROM CASH 

06/16/20 Other TRANSFER BAL TO MARGIN 10

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Account Number: 2252 Statement Period : June 1, 2020 - June 30, 2020 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

06/17/20 Other TRANSFER BAL FROM CASH 

06/17/20 Other TRANSFER BAL TO MARGIN 1006/29/20 Other TRANSFER BAL FROM CASH 

06/29/20 Other TRANSFER BAL TO MARGIN 

NET WITHDRAWALS & DEPOSITS $80

OTHER ACTIVITYDATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

06/05/20 WRAP TECHNOLOGIES INC

COMMON SHARESSHARES RECEIVED

WRTC Adjustment 83,000

06/09/20 WRAP TECHNOLOGIES INC

COMMON SHARESSYSTEMATIC JOURNAL

WRTC Journal -45,198

06/09/20 WRAP TECHNOLOGIES INC

COMMON SHARESSYSTEMATIC JOURNAL

WRTC Journal 45,198

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARESTFR FROM TYPE 2

WRTC Journal 45,198

06/10/20 WRAP TECHNOLOGIES INC

COMMON SHARESTFR TO TYPE 1

WRTC Journal -45,198

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
THIS PAGE INTENTIONALLY LEFT BLANK

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 14
Customer Update:

$4,814,209.76

$9,194,274.31

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Account At A Glance

As of 06/30/20 As of 07/31/20

Net Change: $4,380,064.55

JUSTIN KEENER

3960 HOWARD HUGHES PKWY

STE 500

LAS VEGAS NV 89169-5988

Use This Deposit Slip Acct: 2252 

PAGE 1 OF 12

July 1, 2020 - July 31, 2020

Account Number: 2252

Account Type: INDIVIDUAL

Dollars Cents

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 148 of 159
PAGE 2 OF 12

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 149 of 159
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 

Direct your service and investment questions to:RAYMOND HARRISIONPlatinum Client Group800-503-9260

Customer Update:

Last Statement Date: June 30, 2020Beginning Account Value (On 06/30/20): $ 4,814,209.76Ending Account Value (On 07/31/20): $ 9,194,274.31

Net Change: $ 4,380,064.55For current rates, please visit etrade.com/rates

ACCOUNT OVERVIEW 

100.00% - Stocks, Options & ETF (Long)

ASSET ALLOCATION (AS OF 07/31/20)

Margin Balance $8,129,222.97 $ Total Cash/Margin Debt $8,129,222.97 $ Stocks, Options & ETF (Long) $1,065,051.34 $4Total Value of Securities $1,065,051.34 $4Net Account Value $9,194,274.31 $4

ACCOUNT VALUE SUMMARY 

AS OF 07/31/20 A

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
$0

$1,000,000$2,000,000$3,000,000$4,000,000$5,000,000$6,000,000$7,000,000$8,000,000$9,000,000

$10,000,000

10.08%

-19.25% -1.04%

-23.40%

-18.25% -5.72% -5.70%

-21.98% 8.06% -12.78% -4.69%

113.15%

90.98%

 JUL-19 AUG-19 SEP-19 OCT-19 NOV-19 DEC-19 JAN-20 FEB-20 MAR-20 APR-20 MAY-20 JUN-20 JUL-20

Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 

Securities Purchased $ 0.00 

Securities Sold $ 3,439,714.91 

Interest ReceivedTaxable $ 41.30 

NET ACCOUNT VALUE BY MONTH END TOP 10 ACCOUNT HOLDINGS (AS OF 07/31/20)

38.46% - WRTC

22.08% - FMCI

21.12% - SPXS

16.15% - SQQQ

2.10% - CTXRW

0.09% - OTHER

ACCOUNT TRANSACTION SUMMARY DESCRIPTION THIS PERIOD 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 ACCOUNT HOLDINGS CASH & CASH EQUIVALENTS (0.00% of Holdings)DESCRIPTION TOTAL CASH & CASH EQUIVALENTS YTD INTEREST (CREDIT INTEREST ONLY) STOCKS, OPTIONS & EXCHANGE-TRADED FUNDS (100.00% of Holdings)DESCRIPTION SYMBOL/

CUSIP

ACCTTYPE

QUANTITY PRICE TOTAL MKT

VALUE

PORTFOLIO

(%)

BLINK CHARGING COCOMMON STOCK BLNK Margin 11.0500 0.00 0.00

***CREDIT SUISSE AGVELOCITYSHS 3X LNGNAT GAS ETNLKD TO S&P GSCI NATGAS IDX

UGAZF Margin 100 9.4600 946.00 0.09

DIREXION SHARES ETFTRUSTDIREXION DAILY S&P 500BEAR3X SHARES

SPXS Margin 34,500 6.5200 224,940.00 21.12 

FORUM MERGER IICORPORATIONCLASS A COMMON STOCK

FMCI Margin 16,000 14.7000 235,200.00 22.08

PROSHARES TRPROSHARES ULTRAPROSHORT QQQ

SQQQ Margin 29,000 5.9300 171,970.00 16.15 

WRAP TECHNOLOGIES INCCOMMON SHARES WRTC Margin 41,800 9.8000 409,640.00 38.46

WTS CITIUSPHARMACEUTICALS INCWARRANTEXP 08/08/2022

CTXRW Cash 60,600 0.3689 22,355.34 2.10

TOTAL STOCKS, OPTIONS & ETF $1,065,051.34 100.00% 

TOTAL PRICED PORTFOLIO HOLDINGS (ON 07/31/20) $9,194,274.31TOTAL ESTIMATED ACCOUNT HOLDINGS ANNUAL INCOME $14,281.00

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 TRANSACTION HISTORY SECURITIES PURCHASED OR SOLD TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/2010:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,000 4.1800 

06/29/2011:16

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -83 3.9100 

06/29/2012:51

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 4.0600 

06/29/2011:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 3.9800 

06/29/2012:49

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 4.0700 

06/29/2010:42

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -500 4.1475 

06/29/2011:16

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,157 3.9001 

06/29/2013:02

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,500 4.0100 

06/29/2012:51

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,646 4.0500 

06/29/2011:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,800 3.9700 

06/29/2011:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -3,700 3.9500 

06/29/2010:44

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,500 4.0000 

06/29/2011:16

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -4,760 3.9000 

06/29/2010:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,000 3.9500 

06/29/2011:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,400 3.9600 

06/29/2010:48

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,500 4.0100 

06/29/2011:15

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,500 3.8700 

06/29/2010:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,000 4.1000 

06/29/2011:15

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -6,500 3.8500 

06/29/2012:47

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 3.9500 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/2010:42

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 4.1400 

06/29/2011:10

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,500 3.9000 

06/29/2011:20

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,500 3.9500 

06/29/2011:16

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,500 3.9000 

06/29/2011:19

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,900 3.9200 

06/29/2011:26

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.8700 

06/29/2011:43

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.9200 

06/29/2011:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.9800 

06/29/2012:20

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 3.9000 

06/29/2011:03

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -10,000 4.1000 

06/29/2012:47

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -11,000 3.9600 

06/29/2012:49

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -11,000 4.1000 

06/29/2012:49

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -11,628 4.0800 

06/29/2011:55

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -13,000 3.9000 

06/29/2011:35

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -14,000 3.8600 

06/29/2012:49

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -14,872 4.0600 

06/29/2013:09

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 3.9700 

06/29/2011:43

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 3.9000 

06/29/2011:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 4.0000 

06/29/2015:52

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 4.0200 

06/29/2011:32

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -17,000 3.8000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/29/2012:48

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -18,000 4.0500 

06/29/2011:28

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -19,000 3.8800 

06/29/2013:02

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -23,500 4.0000 

06/29/2012:48

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -24,000 4.0300 

06/29/2011:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -25,000 3.9700 

06/29/2011:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -26,000 4.0200 

06/29/2012:47

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -26,000 4.0000 

06/29/2015:51

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -28,000 4.0000 

06/29/2011:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -30,000 4.0000 

06/29/2012:48

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -40,000 4.0200 

06/29/2010:50

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -7,000 4.0500 

06/29/2011:45

07/01/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,500 4.0500 

06/30/2009:38

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -100 5.7200 

06/30/2009:30

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -150 5.8500 

06/30/2009:38

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -1,300 5.7100 

06/30/2009:40

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,273 5.5100 

06/30/2009:40

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -2,393 5.5300 

06/30/2009:40

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -5,900 5.5002 

06/30/2009:38

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -8,600 5.7000 

06/30/2009:30

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -9,850 5.6500 

06/30/2009:46

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -12,000 5.6000 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 SECURITIES PURCHASED OR SOLD (Continued)TRADEDATE

SETTLEMENT

DATE

DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

PUR

06/30/2009:45

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -13,000 5.5500 

06/30/2009:40

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -14,434 5.5000 

06/30/2009:30

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -15,000 5.9000 

06/30/2009:33

07/02/20 BLINK CHARGING CO

COMMON STOCK

BLNK Sold -16,354 5.6000 

07/10/2012:09

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 11.9500 

07/10/2014:49

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -122 12.0600 

07/10/2014:49

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -471 12.0701 

07/10/2010:15

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,867 12.0700 

07/10/2014:49

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -1,907 12.0500 

07/10/2013:57

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 12.0500 

07/10/2010:27

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 12.1300 

07/10/2012:51

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 11.9500 

07/10/2015:35

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 12.1000 

07/10/2015:36

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -2,500 12.1200 

07/10/2015:06

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,000 12.1500 

07/10/2013:31

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,000 12.0000 

07/10/2014:02

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -4,000 12.1000 

07/10/2014:38

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -4,000 12.0500 

07/10/2012:59

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -5,000 12.0000 

07/10/2014:51

07/14/20 WRAP TECHNOLOGIES INC

COMMON SHARES

WRTC Sold -3,500 12.1000 

TOTAL SECURITIES ACTIVITY 

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 DIVIDENDS & INTEREST ACTIVITY DATE TRANSACTION

TYPE

DESCRIPTION SYMBOL/

CUSIP

A

07/27/20 Interest INTEREST ON CASH BALANCE

AT 0.009% 06/26 THRU 07/25APY 0.0099%

00099A109 

TOTAL DIVIDENDS & INTEREST ACTIVITY 

NET DIVIDENDS & INTEREST ACTIVITY 

WITHDRAWALS & DEPOSITS DATE TRANSACTION

TYPE

DESCRIPTION WITHD

07/01/20 Transfer ACH WITHDRAWL

REFID:48959476482;

10

07/02/20 Transfer ACH WITHDRAWL

REFID:49063024482;

10

07/02/20 Other TRANSFER BAL FROM CASH 

07/02/20 Other TRANSFER BAL TO MARGIN 1007/06/20 Transfer ACH WITHDRAWL

REFID:49255260482;

10

07/06/20 Other TRANSFER BAL FROM CASH 

07/06/20 Other TRANSFER BAL TO MARGIN 1007/07/20 Transfer ACH WITHDRAWL

REFID:49380636482;

10

07/07/20 Other TRANSFER BAL FROM CASH 

07/07/20 Other TRANSFER BAL TO MARGIN 1007/08/20 Transfer ACH WITHDRAWL

REFID:49462906482;

10

07/08/20 Other TRANSFER BAL FROM CASH 

07/08/20 Other TRANSFER BAL TO MARGIN 1007/09/20 Transfer ACH WITHDRAWL

REFID:49548133482;

10

07/09/20 Other TRANSFER BAL FROM CASH 

07/09/20 Other TRANSFER BAL TO MARGIN 10

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
Account Number: 2252 Statement Period : July 1, 2020 - July 31, 2020 WITHDRAWALS & DEPOSITS (Continued)DATE TRANSACTION

TYPE

DESCRIPTION WITHD

07/10/20 Wire INWIRE-20200710I1B7032R009938

REFID:20200710I1B7032R009938;

07/10/20 Other TRANSFER BAL FROM CASH 

07/10/20 Other TRANSFER BAL TO MARGIN 1007/13/20 Other TRANSFER BAL FROM CASH 4,00

07/13/20 Wire INWIRE-20200713I1B7032R013670

REFID:20200713I1B7032R013670;

07/13/20 Other TRANSFER BAL TO MARGIN 07/14/20 Other TRANSFER BAL FROM CASH 1,20

07/14/20 Other TRANSFER BAL TO MARGIN 07/15/20 Other TRANSFER BAL FROM CASH 5007/15/20 Other TRANSFER BAL TO MARGIN 

07/28/20 Other TRANSFER BAL FROM CASH 

07/28/20 Other TRANSFER BAL TO MARGIN NET WITHDRAWALS & DEPOSITS 

OTHER ACTIVITYDATE DESCRIPTION SYMBOL/

CUSIP

TRANSACTIONTYPE

QUANTITY PRICE A

07/08/20 WRAP TECHNOLOGIES INC

COMMON SHARESSHARES RECEIVED

WRTC Adjustment 83,667

07/10/20 WRAP TECHNOLOGIES INC

COMMON SHARESSYSTEMATIC JOURNAL

WRTC Journal -83,667

07/10/20 WRAP TECHNOLOGIES INC

COMMON SHARESSYSTEMATIC JOURNAL

WRTC Journal 83,667

07/13/20 WRAP TECHNOLOGIES INC

COMMON SHARESTFR FROM TYPE 2

WRTC Journal 41,867

07/13/20 WRAP TECHNOLOGIES INC

COMMON SHARESTFR TO TYPE 1

WRTC Journal -41,867

Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15
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Case 1:20-cv-21254-BB Document 101 Entered on FLSD Docket 09/07/2021 Page 15