Dreierassets Stamped

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US SECURITIES & COhIN

including, but not limited to, a verified written accounting of Defendant's interests in Dreier LLP and all other entities owned, in whole or in part, or controlled by, related to, or associated or affiliated with Dehdant, including, but not Limited to, Schlesinger Gannon & Lazetera LLP, Berry Block & Bernstein LLC, Dreier LLP (Stamford, CT), Dreier LLP (Pittsburgh, PA), Pitta & Dreier LLP, Pitta Bishop, Dcl Giorno & Dreier LLP, Dreier Stein Kahan Browne Woods George LLP, Mason Miller, LLP, Entertainment Strategies Group, Dreier Sports Opportunities Group LLC (the "Affiliated Entities"), a verified written accounting of the

amounts deposited by or at the direction of the Defendant in and withdrawn by or at the direction of Defendant h m the a m u n t s of the Dreier LLP and theAthliated Entities; and a verified written accounting of the disposition of dl h d s raised fiom investors through the conduct described in the C o d i o n ' s complaint as well as through any transactions not spe&caIly i d d e d in the complaint; c.

freezing the assets of the Defendant, including the Defendant's interests in

Dreier LLP and the AfEhted Entities; d.

appointing Mark Pomerantz as receiver for the Defendant's assets, including the Defhdmt's interests in Dreier LLP and the m a t e d Entities;

e.

prohibiting the destruction, concealment, or alteration of documents by Defendant; and

0 1 / 13/2009 -

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E

US SECURITIES & COMM

preliminarily enjoining Defendant, Dreier LLP, and any of the Affiliated Entities, and their partners, agents, employees, attorneys, or other profissionals, anyone acting in concert with thew and any third party from f k g a banlrmptcyproding against the Defendant, Dreier LLP, or any

of the Affiliated Entities without filing a motion on at least three (3) days' notice to the Plains and approval of this Court after a hearing; and 2.

pending adjudication of the foregoing, an Order a

temporarily restraining Defendant from violating the Arementioned statutes and rules;

b.

directing the Defendant to provide a verified accounting immediately,

including, but not limited to, a v&ed

written accounting of Defendant's

interests in Dreier LLP and the B a t e d Entities, and a verified written accounting of the amounts deposited by or at the direction of the Defendant in and withdrawn by or at the direction of D e f d a n t h m the accounts of Dreier LLP and the A%ted

Entities, and a v d e d written

accounting of the disposition of all funds raised h m investors through the conduct described in the Commission's complaint as well as through any transactions not specifically identified in the complaint; c.

freezing the assets of the Defendant, including the Defendant's interests in

Dreier LLP and the m t e d Entities; d.

appointing a receiver for the Defendant's assets, including the Defendant's interests in Dreier LLP and the A5iliated Entities; 3

e.

prohibiting the destruction, concealment, or alteration of documents by Defendant,

f

temporarily enjoining Defendant, Dreier LLP, and any of the A w e d Entities, and their partners, agents, employees, attorneys, or other professionals, anyone acting in concert with them, and any third party ffom filing a bankruptcy proceeding against the Defendant, Dreier LLP or any of

the A%ted

Entities without & n g a motion on at least three (3) days'

notice to the Plaintie and approvd of this Court after a hearing; and g.

p r o w k g that the Commission may take expedited discovay in preparation for a hearing on this Order to Show Cause, and fUrther providing the order expediting discovery that will remain in place beyond any hearing on the Commission's application for preliminary injunctions; and

WHEREAS, on December 10,2008, the Court issued a written order granting the temporary relief set forth above and, on consent of Plaintfland Defendant, scheduling the hearing on Plaintiffs application for a Preluninary Injunction for January 21,2009 (the "December 10 Order");

WHEREAS, on December 29,2008, in United States v. _ D r e hM-18981 (S.D.N.Y.), the

Office ofthe United States Attorney hr the Southern District of New York ('USAO")

filed a ten-

day restraining order on Defendant's assets and seizure warrants concerning certain of those assets (the 'Restraiuing Order"); WHEREAS, on January 12,2009, the USAO obtained the attached consent Order in United States v. Dreier, M-18981 (S.D.N.Y.), continuing the Restraining Order an additional 4

01/13/2009

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US SIicLrKI'r IES & CODIM

forty-five days and fUrther ordering the United States Marshal's Service ('USMS') to take certain actions concerning certain enumerated assets subject to the Restraining Order (the "Consent Order");

IT IS HEREBY STIPULATED, AGREED, AND ORDERED that, subject to the exceptions set forth below, the temporary relief granted by the December 10 Order is hereby converted to preliminary mjunctive relief, is incorporated into this Preliminaty Injunction Order as if W y set krthherein, and shall continue in place through the resolution of this case, unless otherwise ordered by this Court. IT IS HEREBY FURTHER STIPULATED, AGREED AND ORDERED that, the asset tieeze set forth at Paragraph VII of the December 10 Order, incorporated herein, is hereby liffed

as to the assets authorized to be se~zedby the USMS in the attached Consent Order. IT IS HEREBY FURTHER STIPULATED, AGREED AND ORDERED that, Defendant's time to provide the sworn accounting required by Paragraph VIII of the December 10 Order, incorporated herein, is hereby extended to pennit Defendant to file the sworn acmunting no later than ten business days following the Receiver's submission of the report referenced at Paragraph X(g) of the December 10 Order.

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Dated:New York, New York January 13,2009

SECURITIES AND EXCHANGE COMMISSION

LAW OFFICES OF GERALD L. SHARGEL

By:

By:

3 world Financial Center New York, NY 10281 (212) 336-0106

570 Lexington Avenue 45IhFloor New York, NY 10022 (212) 446-2323

Attorney for Plaintiff Attorney for Defendant Marc S . Dreier

Mark F. Pomerantz

By:

Roberto Finzi Paul, Weiss, Ri&ind, Wharton & Garrison LLP 1285 Avenue o f the Americas New York, N.Y. 10019-6064 (212) 373-3311 Attorneys %r Receiver Mark F. Pomerantz

SO ORDERED: UNITED STATES DISTRICT JUDGE

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LIS SECURITIES & COhlh1

p -

Dated:New York, New York January 13.2009 SECURITIES AND EXCHANGE COMMISSION

LAW OFFICES OF GERALD L. SHARGEL

3 World Financial Center New York, NY I0281

570 Lexington Avenue 45" Floor New York, NY 10022 (212) 446-2323

(212) 336-0106 Attorney for Plaintiff

Attorney for Defendant Marc S. Dreier

Mark F. Pornerana By: Roberto Finzi Paul, Weiss. Rifkind, Wharton & Ganison U P 1285 Avenue of the Americas New York. N.Y. 10019-6064 (212) 373-331 1 Attorneys for Receiver Mark F. Pomerantz

SO ORDERED: UNlTED STATES DLSTRICT JUDGE

Dated: New York, New York January 13,2009 SECURITIES AND EXCHANGE COMMISSION

LAW OFFICES OF GERALD L. SHARGEL

By:

By:

Jack Kaufman 3 World Financial Center New York, NY 1028 1 (212) 336-0106

Gerald L. Shargel 570 Lexington Avenue 45' Floor New York. NY 10022 (212) 446-2323

Attorney for Plaintiff Attorney for Defendant Marc S. Dreier

Mark F. Pomerantz By: Paul, Weiss. Rjfkind, Wharton & Garrison LLP 1285 Avenue of the Americas New Y o 4 N.Y. 10019-6064 (212) 373-331 1 Attorneys for Receiver Mark F. Pomerantz

SO ORDERED:

I

I

6EiZri STATES DISTRICT n j l j ~ ~

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ITS SECURITIES & COMM

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

- - - - - - - - - - - - - -

X

UNITED STATES OF AMERICA . . ..I

-v.

-

MARC DREIER, !

Defendant .

- - - - - - - - - - - - - -

CONSENT ORDER FOR E X T E N S I ~ ; OF PRE-INDICTMENT RESTRAINING ORDER AND SEIZURE OF PROPERTY PURSUANT TO 1 8 U.S.C.. 5 i.. 982 ( b ) (1) AND 2 1 U . S . C . 55 8 5 3 ( e ) & ( £ 1

X

WHEREAS, on o r a b o u t December 24, 2008, the H o n o r a b l e J e d S. Rakoff, s i t t i n g i n P a r t I, e n t e r e d a t e m p o r a r y ,

restraining

order

( t h e "Temporary

h e r e t o as E x h i b i t A ) ,

Restraining

pre-indictment

Order,"

attached

upon a n e x p a r t e a p p l i c a t i o n b y t h e U n i t e d

States; the

WRERIWS,

extension prevent Schedule

:

1

-+ 'ssi$ ! *

5 p b

>

t

l m

of

the

the A

parties

Temporary

deterioration of

the

stipulate

Restraining of

Temporary

the

and

Order

properties,

Restraining

agree

that

an

necessary

to

identified

in

is

Order,

before

c o n c l u s i o n of t h e c r i m i n a l c a s e , U n i t e d S t a t e s v . Marc D r e i e r , Mag.

2 6 7 6 (S.D,N.Y.

Dec.

4,

2008)

( t h e 'Criminal

the 08

Action");

NOW,

THEREFORE, IT I S BEREBY ORDERED t h a t :

1.

The Temporary R e s t r a i n i n g O r d e r e n t e r e d on December

2 4 , 2008, s h a l l c o n t i n u e i n f u l l f o r c e and e f f e c t f o r a n a d d i t i o n a l

-.

45 d a y s , w i t h t h e f o l l o w i n g e x c e p t i o n s : a.

The U n i t e d S t a t e s M a r s h a l s S e r v i c e

its designee s h a l l seize,

liquidate,

( t h e "USMS")

or

and t r a n s f e r t o t h e Seized

01/13'?009 15:32 FA\ -

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L S SECURITIES & COIlM

pp

Asset Fund, the contents of the following accounts (the "Seized Funds") : (1) Any and all funds in Account No. 2000029760358 held at Wachovia Bank in the name of MEA Properties LLC;

(2)

Any and all funds in Account No. 1010081258695 held at Wachovia Bank in the name of Marc S. Dreier;

(3) Any and all funds in Account No. 036502230065 held at JP Morgan Chase in the name of Four Winds Holdings; Any and all funds in Account No. 112735798 held at City National Bank in the name of Marc S. Dreier.~

(4)

b.

-A

The USMS shall seize the artworks listed in Schedule

of the Temporary Restraining Order, 1tems 22 through 172 (the

"Seized Artworks") c.

.

The USMS shall seize the following real properties

(the "Seized Real Properties") : (1)

Real property and appurtenances known as 111 Dune Road, East Quogue, New York 11942;

(2) Real property and appurtenances known as 109 Dune Road, East Quogue, New York 11942;

2.

(3)

Real property and appurtenances known as 9 Clearview Drive, Sag Harbor, New York 11963;

(4)

Real property and appurtenances known as 27 Meadow Lane, West Hampton, New York 11977.

The USMS shallmaintain custody of the Seized Funds,

the Seized Artworks, and the Seized Real Properties (collectively, the "seized Properties") pending resolution of the Criminal Action.

U S SECIIRITTES & COMM

0 l i 1 3 / 2009 1 5 : 3 3FA9 2 1 2 3 3 6 1 3 1 9

The USMS s h a l l h a v e a u t h o r i t y t o t a k e w h a t e v e r S t e p s a r e n e c e s s a r y t o p r e s e r v e t h e v a l u e of

t h e S e i z e d P r o p e r t i e s t o ensure t h e i r

availability for forfeiture,

i n c l u d i n g c h a n g i n g t h e l o c k s on t h e

Seized Real P r o p e r t i e s . 3. arguments

N e i t h e r t h e U n i t e d S t a t e s n o r Marc Dreier waive any

o r defenses

that

they

may

have

with

respect

f o r f e i t a b i l i t y of t h e Seized P r o p e r t i e s .

N e w York, New York 2009 January

Dated:

a,

Agreed a n d c o n s e n t e d t o :

LEV L. DASSIN Acting United S t a t e s Attorney for t h e S o u t h e r n D i s t r i c t of New York Attorney f o r P l a i n t i f f By:

\/I

-

SHARON COHEN LEVIN ANNA E ARREOLA A s s i s t a n t United S t a t e s Attorneys One S t . Andrew's P l a z a N e w York, New York 10007 ( 2 1 2 ) 637-1060/2218

.

By:

GEM L. SHARGEL,

ESQ.

ATTORNEY FOR MARC DREIER 5 7 0 L e x i n g t o n Avenue, 4SCh F l o o r New York, New York 10022 SO ORDERED:

TED STATES DISTRICT JUDGE

wort

DATE

/ 1 1 DATE

H

to

the

01/14/2009 1 1 : 1 4 F.A.1 2 1 2 336 1319

US SECURITIES & COlM

EXHIBIT A

- 01/14/2009 -

[IS SECURITIES & COlM

1 1 : 1 4 FAT 212 336 1319

BOO3

<

~ I T E DSTATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK - - - - . . - - - - - - - - -

M18-q8l

x

UNITED STATES OF AMERICA

EX PARTE PRE-INDICTMENT RESTRAINING ORDER AND SEIZURE WARR?iNTS PURSUANT TO 18 U.S.C. 5 982(b) (1) AND 21 U.S.C. § S 853 (el & J f )

v .-

MARC DREIER, Defendant.

- - - - - - - . .- - - - - - -

X

Upon the application of LEV L. DASSIN, Acting United States Attorney for the Southern District of New York, by Amy Lester, Assistant United States Attorney, pursuant to Title 21 U.S.C. § 853 (e)(2) and 18 U.S.C.

§

982 [b)( l ) . ( A ) , the Declaration of

Steven Yagoda, Financial Analyst in the Asset Forfeiture Unit of the United States Attorney's Office for the Southern District of New York, and all papers submitted in support thereof;

IT IS HEREBY ORDERED that: 1.

Marc Dreier (the "defendant");

2.

The following financial institutions (hereinafter

"the financial institutions," ) at which the defendant is alleged.to keep money and other interests: a.

Morgan Stanley;

b.

Wachovia Bank;

c.

JP Morgan Chase;

d.

City National Bank; and

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US SECURITIES & COMll

BOO4

~ l attorneys, l agents, employees, and anyone acting

on their behalf, and all persons or entities, acting in concert or participation with any of the above;

Shall not take any action prohibited by this Order; IT

I S HEREBY FURTHER ORDERED that the defendant, his

attorneys, agents, employees, and anyone acting on their behalf, and all persons or entities acting in concert or participation with any of the above, and all persons and entities having actual knowledge of

this order, shall not, directly or indirectly,

transfer, sell, assign, pledge, hypothecate, encumber, or dispose of in any manner; cause to be transferred, sold assigned, pledged, hypothecated, encumbered, disposed of in any manner; or take, or cause to be taken, any action that would have the effect of depreciating, damaging, or in any way diminishing the value of property or other interests belonging to, or owed to, or controlled in whole or in part by, the defendant; IT IS HEREBY FURTHER ORDERED that the property and other

interests hereby restrained include but are not limited to the assets on the attached Schedule A, except that with respect to Asset No. 17 on Schedule A, any and all funds in Account No. 57048022-176 AAA held at Morgan Stanley in the name of Marc S. Dreier,

the asset shall be restrained and preserved for forfeiture and restitution subject to the Receiver's authority to write checks and direct wire transfers; and

01,14'2009

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US S E C L R I T I E S & COMM

500@ I

IT IS FURTHER ORDERED that the United States ~ttorney's Office for the Southern District of New York, in its discretion, is authorized to direct the release of assets restrained herein; I T I S FURTHER ORDERED

that this Restraining Order shall

be binding upon the defendant, his attorneys, agents and employees, and all persons in active concert or participation with any of the above, all financial and other institutions described herein, or any other person having actual knowledge of this Order, and that this Order shall remain in effect for ten days from today's date unless extended for good cause shown or unless there 1s sufficient consent to an extension for a longer period; IT IS FURTHBR ORDERED

that upon the request oE the

Government, the financial institutions named in this order will identify the account names, account numbers, and signatories for all restrained accounts and safe deposit boxes, and provide the Government with.monthly statements of the restrained accounts and balance in the accounts; IT IS FURTHER ORDERED that any financial institution named in this Order shall accept service of this Order by facsimile transmission provided that an original hard copy is thereafter served by regular mail; and

I T I S FURTHER ORDERED t h a t

s e r v i c e of

a copy of t h i s

R e s t r a i n i n g Order s h a l l be made on t h e d e f e n d a n t ' s

a t t o r n e y s by

r e g u l a r m a i l w i t h i n two b u s i n e s s days f o l l o w i n g t h e f i l i n g of t h e Order.

Dated:

'

N e w York, New York December 2008

a,

SO ORDERED:

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I'S SECLIRITIBS b: C O 1 1

SCHEDULE

5

(Subject property)

2005 Heesen Motor Yacht "Seascape," Registration No. 737657, located at Pier 66, Fort Lauderdale, Florida; 2008 Novurunia Equator 530 Yacht Tender; 2008 Blue Yamaha FX1100-G Waverunner, ID No. FIX-829554; 2008 Blue Yamaha 55700 Waverunner, ID No. F2F-500725; ZOO2 Yamaha FX140 Waverunner, Registration No. NY2645-UY; 2004 Yamaha FX160HO Waverunner, ~egistrationNo. N~5285MB; 2000 Mercedes Benz SSOO Sedan, Vehicle ID No. WDBNG75J6YAO94319; 1997 Mercedes Benz SL500 Roadster, Vehicle ID No WDBFA67F6VF147477; 2006 BMW 650i Convertible, Vehicle ID NO. WBAEX1340GCN76888; 2007 Aston Martin DB9 Volante, Vehicle ID No. SCFAD02A37GBO7094; Any and all.right, title, and interest in the shares of the capital stock of Beacon. Court Condominium and the proprietary lease of Unit No. 34C, located at 151 East 58th Street, New York, New York; Any and all right, title, and interest in the real property and appurtenances known as 111 Dune Road, East Quogue, New Y0rk 11942; Any and all right, title, and interest in the real property and appurtenances known as 109 Dune Road, East Quogue, New York 11942; Any and all right, title, and interest in the real property and appurtenances known as 9 Clearview Drive, Sag Harbor, New York 11963; Any,and all right, title, and interest in the real property and appurtenances known as Temerlos Development, Unit # 1 - ~ 3 1 , Anguilla, British West Indies; Any and all right, title, and interest in the real property

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US SECURITIES & COMH

and appurtenances known as Temenos Development, unit # 2 - G 3 2 , Anguilla, British West Indies; Any and all funds in Account No. 570-48022-176 RAA held at Morgan Stanley in the name of Marc S . Dreier, subject to the Receiver's authority to write checks and direct wire transfers; Any and all funds in Account No. 2000029760358 held at Wachcivia Bank in the name of MEA Properties LLC;

Any and all funds in Account No. 1010081258695 held at Wachovia Bank in the name of Marc S . Dreier; Any and all funds in Account No. 036502230065 held at JP Morgan Chase in the name of Four Winds Holdings; Any and all funds in Account No. 112735798 held at City National Bank in the name of Marc S . Dreier;

Acrylic on canvas by Ghada Arner, "Black Kiss" (2007); Three dimensional archival print by John Baldessari, " ~ m s and Legs" (2008); Lithographic screeriprint by John Baldessari, "Two Bowlers (with Questioning Person)" (1994); Screenprint by John Baldessari, "Person with Guitar (Red)" (2005); screenprint by John Baldessari, "Two Opponents (Blue Yellow)" (2004);

&

27. Mixographia relief print by John Baldessari, "Stonehenge (With Two Persons) Yellow" (2005); 28.

Mixographia relief print by John Baldessari, "Stonehenge (With Two Persons) Blue" (2005);

29.

Photogravure by John Baldessari, "Paradise" (1989-90);

30.

Screenprint by John Baldessari, "Noses Gemini Series" (2006);

&

Ears Etc.; The

31. Lithograph by Vija Celmins, "Untitled (Ocean)" (1972); 32.

Screenprint by Vija Celmins, "Ocean with Cross 81" (2005);

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LTS SECUKITIES & COMhl

Oil on paper by Robert Greene, "SydN (2006); Enamel on steel by Keith Haring, "Untitled" (1982); Household gloss on canvas by ~ a m i e nHirst, "2-(PCHLOROPHENOXY)-2-METHYLPRIOPIONIC ACID (multicolored spots)" (1998); ~ouseholdgloss on canvas by ~amienHirst, "Elaidic Anhydride (hot pinks spot painting)" (2007); Silkscreen print by Damien Hirst, "Santiago de Compostela" (2007); Silkscreen print by Damien Hirst, 'Duomo"

(2007);

Silkscreen print by Damien Hirst, "St. Peter's" (2007); Lithograph by David Hockney. "Celia Inquiring" (1979); Lithograph and etching by David Hockney, "White Porcelain" (1985); Etching and aquatint by David Hockney. "Chair with Book on Red Carpet" (1998); Lithograph and etching by David Hockney, "Picture of Two Chairs, from Moving Focus Series" (1985-86); Lithograph by David Hockney, "The Wave, A Lithograph" (1990); Polychrome aluminum by Robert Indiana, "Love" (1966/1999); Etching by Jasper Johns, "within" (2007); Oil on canvas by Alex Katz, "Red Tulips" (1967); Painting by Alex Katz, "Blue Umbrella'' (1979-80); screenprint by Roy Lichtenstein, "~everie( c . 38)" (1965); Oil and magna on canvas by Roy Lichtenstein, "First Painting with Bottle" (1975); Offset lithograph by Roy Lichtenstein, "Crying Girl" (1963);

01/1/2009

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US S E C U R I T I E S & COMDL

52.

~ c r ~ i iand c graphite on canvas by Agnes Martin, "Loving Love" (2000);

53.

Watercolor by Kim McCarthy, "Untitled [Yellow Girl 3)" (2006);

54.

Watercolor by Kim McCarthy, "Untitled (Yellow Boy)" (2006);

55.

Cibachrome print by Elisabeth Montagnier, "Les Roseauxv (unknown);

56.

Color photographs by Richard Prince, \'Untitled (Four Women)" (1980);

57.

Ink and watercolor on canvas by David Rathman, "Untitled (13)" (2007);

58.

Oil on canvas by Mark Rothko, 'Untitled"

59.

Gelatin silver print by Julius Shulman, "Case Study Ilouse #22 (2 Girls) (Pierre Koenig, architect, 1959)" (1960);

60.

Silkscreen ink and acrylic on canvas by Andy Warhol, "Jackie (Blue Jackie, 3 quarter view) " (1964);

61.

Silkscreen ink and acrylic on canvas by Andy-Warhol, "Jackie (White Jackie)" (1964);

62.

Silkscreen ink and acrylic on canvas by Andy Warhol, "Jackie (Profile looking down) (1964);

63.

Silkscreen ink and acrylic on canvas by Andy Warhol, "Jackie (smiling Jackie w/JFK) "1964) ;

64.

Screenprint by Andy Warhol, "Space Fruit: Still-Lifes (Cantaloupes)" (1979);

(1957-63);

65.

Screenprint by Andy Warhol, "Martha Graham: Letter to the 'World (The Kick)" (1986);

66.

silkscreen ink and synthetic polymer paints on canvas by Andy Warhol, "John Lennon" (1985-86);

67.

Silkscreen ink and synthetic polymer paints on canvas by Andy Warhol, "Rudolph Nureyev" (c. 1975);

68.

screenprint on canvas by Andy Warhol, "Muhammad Ali (downcast head)" (1978);

I

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I;S SECUI
plasma s c r e e n , custom s p e a k e r s , a n d HD media p l a y e r by R o b e r t Wilson, "Salma HayekN ( 2 0 0 6 ) ; 42'

(2004) ;

D i g i t a l C p r i n t by Thomas Wrede,

"BeacL Walkers"

D i g i t a l C p r i n t by Thomas Wrede, (2005) ;

"Mud Flat WanderersN

D i g i t a l chrornogenic p r i n t by Thomas Wrede, a t Sea" (2004) ;

"Midsummer Night

D i g i t a l chromogenic p r i n t b y Thomas Wrede, (2004) ;

"Beach Tents"

D i g i t a l chromogenic p r i n t b y Thomas Wrede, P l a y f u l Dogs" (2004 ) ;

"Tidelands with

D i g i t a l chromogeni c p r i n t by ~ h o m a sWrede,

"Meadow" (2005) ;

D i g i t a l chromogenic p r i n t by Thomas Wrede,

"Under A Cloud"

(2004) ;

D i g i t a l chromogenic p r i n t by Thomas Wrede, P r i n t by Pablo p i c a s s o , 79.

80.

" P o r t r a i t of

Handblown g l a s s by Dale Chihuly, (2008) ;

"Ashoreff (2002) ;

a g i r l u (unknown);

" P e r s i a n Wall I n s t a l l a t i o n "

Handblown g l a s s by Dale Chihuly, " G i l d e d Melon I k e b a n a w i t h (2001) ;

G r e e n and Dark Pink Stems"

81.

Handblown g l a s s by Dale Chihuly, Cherry Red L i p Wrap" (2002) ;

" P a t e n t Yellow Macchia w i t h

82.

Handblown g l a s s by Dale Chihuly, (2004) ;

"Mille F l o r I V ,

83.

A q u a t i n t b y Henri M a t i s s e ,

"Grand Masquew ( I 9 4 ~ ;)

81.

A q u a t i n t b y Henri M a t i s s e ,

"Nadia a u p r o f i l a i g u "

85.

A q u a t i n t b y Henri M a t i s s e ,

"Nadia a u x cheveux l i s s e s "

S e c t i o n K"

(1948) ;

(1948) ;

86.

Bronze s c u l p t u r e by Tom O t t e r n e s s . Fish" (2003) ;

" P r i n c e s s w i t h Magic

Oj/lp/2009

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US SECURITIES 8. CON#

87.

Bronze sculpture by Tom Otterness, " ~ i g Thief" (2001);

88.

Bronze sculpture by Tom Otterness, "Cone Figure" (2001);

89.

Print by Eric Perez, [unknown title] (unknown);

90.

Bronze sculpture by JR Summers, [unknown title] (unknown);

91.

Screenprint with mounted collage element by Donald Baechler, "Brown Hat1' (1993);

92.

~ c r e e n ~ r i nwith t mounted collage element ijy Donald Baechler, "Arithmetic Head" (1993);

93.

Stenciled handmade paper by Donald Baechler, "York House Suite (6)" (2000);

94.

Stenciled handmade paper by Donald Baechler, "York House Suite (2)" (2000);

95.

Lithograph with hand painting by Jim Dine, "Very Life In Japan" (2004);

96.

Set of five color linocuts by sol Lewitt, "Isometric Figures (1-5)" (2002);

97.

Seven-color silkscreen by Ryan McGuiness, "Untitled (peripheral Drift Illusion)" (2007);

98.

Silkscreen and platinum leaf on paper by Takashi Murakami, "Flower" (2006)';

99.

Color lithograph by Don Nice, "American Still Life I" (1980);

100. Color lithograph by Don Nice, "American Still Life 11" (1980); 101. Screenprint by Dan Walsh, "Vehicle I" (2007); 102. Screenprint by Dan Walsh, "Vehicle 11" (2007); 103. Gouache on paper by Charles Arnoldi, "Untitled (07.126)" (2007); 104. Gouache on paper by Charles Arnoldi, "Untitled (07.127)" (2007);

0 1 1 4 2009 1 1 : 1 5 F41 212 336 1 3 1 9

US

SECURITIES

&

@ 013

COMM

105. Gouache on paper by Charles Arnoldi, "Untitled [07.128)" (2007); 106. Acrylic on canvas by Charles Arnoldi, "In the Saddle" (2007); 107. Epson print by Rick Ehrlich, "HR1" (2005); 108. Epson print by Rick Ehrlich, "HR2" (2005); 1.09. Epson print by Rick Ehrlich, "HR10" (2005); 110. Epson print by Rick Ehrlich, "HR16" (2005); 111. Epson print by Rick Ehrlich, "Graffiti (KUMA)n (2005); 112. Epson print by Rick Ehrlich, "Life Guard Tower #2" (2006); 113. Epson print by Rick Ehrlich, "Life Guard Tower #7" (2006); 114. Epson print by Rick Ehrlich, 'Surfer #1" (2006); 115. Epson print by Rick Ehrlich, "Surfer # 4 "

(2006);

116. Color aquatint etching by Kota Ezawa, "Kota" (2006);

117. Three aquatints by Dan Flavin, "Untitled (Triptych)

,Ye)

(1996-

;

118. Pigmented ink with photogravure by Robert Rauschenberg, "Lotus IV" (2008); 119. Pure pigment on archival paper by Michal Rovner, "Notes (2002);

8"

120. Acrylic on linen by Glen Rubsamen, "What Used to Be Called 'Oceanic Feeling'" (2006); 121. Acrylic 011 linen by Glen Rubsamen, "A Too-Clear Vision of Good and a Too-Sure Hatred of Evil" (2007); 122. Set of three color soft ground etchings by Ed Ruscha, "L.A.S.F.#1, #2, #3" (2003); 123. Series of four silver-gelatin prints by Ed Ruscha, "Rooftops" (1961/2004); 124. Colored ink on paper by Chris Taggart, "Self-Portrait as (a

0 1/ 1 4 / 2 -009 -

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[IS SECURITIES & C O W

G h o s t ) " (2005) ;

125. A c r y l i c

on c a n v a s by Brad Spence, " L i t e r a t u r e " ( 2 0 0 7 ) ;

1 2 6 . A c r y l i c on c a n v a s by Brad Spence,

\'Gaggle" (2007) ;

1 2 7 . Cibachrorne p r i n t by Wolfgang T i l l m a n s , " ~ u f s j . c h t ( L A ) " (2004) ; 128. C o l o r d i r e c t g r a v u r e b y Wayne Thiebaud, (2006) ;

"Cakes and P i e s "

1 2 9 . C o l o r d i r e c t g r a v u r e by Wayne Thiebaud, Donuts" (2006) ;

"Cupcakes and

1 3 0 . Cibachrome p r i n t by Doug A i t k e n ,

"Pure Channel"

(2005);

1 3 1 . A c r y l i c and p a s t e l on p a p e r by P e t e r ~ l e x a n d e r ,"Study f o r Gas" ( 1 9 8 9 ) ; 1 3 2 . D i g i t a l lambda p r i n t by I r i t B a t s r y ,

"Key L i g h t "

1 3 3 . Alkyd on c a n v a s by Marco C a s s e n t i n i , (2006) ;

"Every A f t e r n o o n 658"

1 3 4 . Alkyd on canvas by Marco C a s s e n t i n i , ( 2 0 0 6 );

"Every A f t e r n o o n 659"

1 3 5 . Alkyd on canvas by Marco C a s s e n t i n i , (2006) ;

"Every A f t e r n o o n 660"

(2006);

1 3 6 . I n k j e t on w a t e r c o l o r p a p e r by Benny Chan, o f baggage c l a i m , JFK) " (2006) ;

"114301 ( I n t e r i o r

1 3 7 . I n k j e t on w a t e r c o l o r p a p e r by Benny Chan, J F K ) " (2006) ;

"111302

1 3 8 , I n k j e t on w a t e r c o l o r p a p e r by Benny Chan, b e h i n d s t a g e ) " (2007) ;

"900161 (Fly l o f t

1 3 9 . O i l on canvas by L a r r y Cohen, C a l i f o r n i a I n c l i n e " (2006) ;

(Airplane,

"View from t h e t o p of

the

1 4 0 . Cibachrome p r i n t by Marcus Doyle, (2002) ;

"Radisson 2

(No D i v i n g ) , '

1 4 1 . Cibachrome p r i n t by Marcus Doyle, CA" (2005) ;

"Hollywood, Los A n g e l e s ,

142. Cibachrome print by Marcus Doyle, "Radisson 1 (Potted Bush)" (2002); 143. Cibachrome print by Marcus Doyle, "Deli Liquor" (2005); 144. Cibachrome print by Marcus Doyle, "Ventura, CA Christmas Eve ' (Broccoli Field)" (2002); 145. Cibachrome print by Marcus Doyle, "Tire Tracks, Santa Monica, CA" (2005); 146. Cibachrome print by Marcus Doyle, "Urban Sport 3 , Tennis Court" (2003); 147. Acrylic on canvas by Lorser Feitelson, "Untitled (February 2 8 ) " (1971); 148. Ilfochrome by Robert Flick, "At Cambria-A-01082401 (at Cambria Looking West)" (2001); 149. Ilfochrome by Robert Flick, "At Cambria-B-010024.01 (at Cambria Looking West)" (2001); 150. Cibachrome print by Robert Flick, "LD SV970121 Almeda B, Los Angeles, CA" (1997); 151. Oil on paper by Robert Greene, 'Nic"

(2006);

152. Oil on paper by Robert Greene, "Lenore" (2006); 153. Oil on canvas by Jane Harris, "Glory Day" (2006); 154. Oil on canvas by Shirley Irons, "Conference Room 1" (2006); 155. Oil on canvas by Shirley Irons, "Interim, Pittsburgh" . (2007); 156. Oil on canvas by Shirley Irons, "Corridor, Bellevuerr (2007); 157. Oil on canvas by Shirley Irons, 'Carousel"

(2007);

158. Archival pigment print by Michael Light, "Highways 5, lo, 60 and 101 Looking West, LA River and Downtown Beyond 2.12.04" (2004); 9

Cibachrome print by David ~ a i s e l ,"Terminal Mirage 24" (2005);

01/14/2009

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US SECURITIES & CObIM

160. Mixed media on canvas by Donnie Molls, 'Destined to Go Somewhere" (2007) ; 161. Oil on panel by Donnie Molls, "Sage Hotel #2" (2006); 162. Mixed media on panel by Donnie Molls, "Transmission" (2005); 163. Ink on.plexiglassby Soojung Park, "Mela Slices (6 panels)" (2006); 164. Ink on plexiglass by Soojung Park, "Roughs, Shades, Peach" (2007); 165. Oil on canvas by Astrid Preston, "Brief Summer" (2006); 166. Oil on canvas by

str rid Preston, "Facing West" (2006);

167. Cibachrome print by James Welling, "IZGW" (2005); 168. Cibachrome print by James Welling, "ILLR" (2005); 169. Acrylic on paper by Patrick Wilson, "Halloween" (2006); 170. Acrylic on paper by Patrick Wilson, "Halloween III" (2006); 171. Acrylic on paper by Patrick Wilson, "The High Window (study)" (2006); 172. Acrylic on paper by Patrick Wilson, "Playback ('study)" (2006); 173. 15,000 shares in Axiom Management Inc.; 174. Redeemable Warrant Notice to purchase 5 million shares of common stock prior to 12/21/10 at $.40 per share in International Power Grp LTD; 175. 80,000 shares (Series B Common Stock) in YS Interactive Corp.; 176.60,000 shares in Avalon Capital Holdings; and 177. 9,294 shares in Nortel Networks Corp.