CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 3. Balance J uly I $1,139,702. o $9,299 $142,080 $35,533 $56,448 $1,383,062

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1 ~I CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 3 Krisko Incentive fee 20% thru 2 nd quarter 2007 Deposits $1,003,000 7,600 7, ,500 49,200 67,700 1,261,600 Profit 20% incentive fee Balance J uly I $1,139,702 o $9,299 $142,080 $35,533 $56,448 $1,383,062 $121,462 $24,292 50% of fee $12,146 This will be available on August ISlas we have to debit th e ~ lee fr om their. account ~ L{).I a ~ ~~ bu,a/e.'~ ~~~ fryuj ~~ uuv v ~.- /u:l:;t tfj /uui /J7Uf ~~~ ~ CjaAX- ZA-i.;p ~ rn1k ~ ~ ~ ~ tl ryudzr~ ~~. Exhibit 3

2 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 3 Bill and Vickie Krisko July I 2007 to July I 2008 Incentive Fee Total profits of $88,990 for 12 months trailing period 20%= $17,798 50%=$8,899 Transferred to acet # 6485MD ~ Exhibit 3

3 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 3 of 3 CFTC v. Cook, et al., 09-cv-3332 (D. Minn.), SEC v. Cook, et ai., 09-cv-3333 (D. Minn.) PLEASE NOTE, the allowed amount, or recognized claim amount, is not the amount that will actually be paid. The Court will detennine how much each claimant will be paid based on the amount of money available and the total amount of allowed claims. The Receiver continues to believe the earlier prediction of pennies on the dollar is an accurate estimate of the probable recovery in these cases. Guidelines Best records prevail. Claimed deposits must be supported by verifiable proof from reliable third-party entities unrelated to the fraud. The fraudulent statements prepared by the Defendants are circumstantial at best, and will only be accepted in conjunction with independent proof from other entities. Amounts paid to third parties. Only amounts paid to Receivership Entities will be calculated toward the claim amount. Fees paid directly to, or withheld by, third party institutions, including Entrust Midwest LLC and Millennium Trust Company, are not recoverable against the Receivership Estates and will therefore be excluded from any allowed claim amount. Other investment losses. Losses incurred with other investment entities, including Oxford Private Client Group, RJ. O'Brien, and Refco, are not recoverable against the Receivership Entities. Only losses sustained through investments with the named Defendant and Relief Defendant entities will be included in the allowed claim amount. Precious metals. Investments made via precious metals are calculated using the valuation of the commodity on the date of transfer. Proof of ownership, a detailed listing of the coins or other items transferred, and invoices, purchase orders, or other documentation showing the valuation of the items on the date of transfer to the Receivership Entities is required. The fraudulent statements prepared by the Defendants are circumstantial at best. and will only be accepted in conjunction with independent proof from other entities. Please choose one of the following options: (I) I accept the Receiver's final recognized claim amount ofs 468,872.66; (2) I wish to appeal the Receiver's allowed amount and request a hearing before the Court; or xx (3) I wish to appeal the Receiver's allowed amount and request the Court rule on the evidence already submitted (I do not request a hearing). 1Jr~ ~.Huc-o hud~~ Signature(s): [l, ~'~) Print arne: mary 1AQf}man (}2J Date:!/- 7~~()I / Print Name: Date: _ Exhibit 3

4 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 9 Exhibit 12

5 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 9 Exhibit 12

6 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 3 of 9 Exhibit 12

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8 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 5 of 9 Exhibit 12

9 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 6 of 9 Exhibit 12

10 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 7 of 9 Exhibit 12

11 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 8 of 9 Exhibit 12

12 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 9 of 9 Exhibit 12

13 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 2 R.J. Zayed, Receiver info@cookkileyreceiver.com Mary Dingman Richfield, MN November 12, 2010 Via U.S. Mail Re: CFTC v. Cook, et al., Court File No.: 09-cv-3332 (D. Minn.) SEC v. Cook, et al., Court File No.: 09-cv-3333 (D. Minn.) Dear Mary Dingman: I am the Receiver for the estates of Trevor G. Cook, Patrick J. Kiley, Clifford Berg, Ellen Berg, Basel Group, LLC, Crown Forex, LLC, Market Shot, LLC, Oxford Developers, S.A., Oxford FX Growth, L.P., Oxford Global Advisors, LLC, Oxford Global FX, LLC, Oxford Global Managed Futures Fund, L.P., Oxford Global Partners, LLC, PFG Coin and Bullion, UBS Diversified FX Advisors, LLC, UBS Diversified FX Growth L.P., UBS Diversified FX Management, LLC, UBS Diversified Growth LLC, Universal Brokerage FX, Universal Brokerage FX Advisors, LLC, Universal Brokerage FX Diversified, Universal Brokerage FX Growth, L.P., Universal Brokerage FX Management, LLC, and every other corporation, partnership, trust and/or other entity (regardless of form) which is or was directly or indirectly owned by or under the direct or indirect control of Cook and Kiley (collectively the Receiver Estates ) in the civil cases referenced above. As you may know, a criminal case also was brought against Mr. Cook and he has since pleaded guilty to orchestrating a massive Ponzi scheme that defrauded investors of approximately $150 million. You are receiving this letter because you have made a claim for civil restitution to the Receiver, or have been identified as a victim of Cook s fraud by the U.S. Probation Office. You also have been identified as a former employee of one or more of the Receiver Estates. Employees include anyone who received compensation of any type from the fraudulent entities, including salaried employees, independent contractors, brokers, and partners, as well as spouses of these individuals. I write to advise you that my investigation into your claim is still ongoing. As such, you will not be part of the interim distribution recently approved by Chief Judge Davis. Please be assured, however, that your recognized claim amount will be paid out on the same pro rata basis as all other claims, even though you were not included in the interim distribution. Exhibit 13

14 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 2 Mary Dingman November 12, 2010 Page 2 Your recognized claim amount will calculated by adding your verified deposits and subtracting your receipts. Receipts are payments or benefits of any kind received from the Receiver Estates, such as withdrawals of principal, interest payments, employee compensation, commissions, medical or other insurance benefits, mortgage payments, vehicles, personal property, and gifts. Any claims for profits shown on fraudulent account statements will also be subtracted; these profits were never in fact made by the fraudulent enterprise. After I have completed my review of your claim, you will receive another letter from me explaining your recognized claim amount. This letter also will detail the process for challenging my recognized claim amount, should you choose to do so. Any challenge must be supported by a sworn statement detailing all transactions with the Receiver Estates along with any available evidence documenting those transactions. Again, because your claim was still under investigation, it will not be paid out as part of the interim distribution that was recently approved by the Court. At this point, a date has not been set for the pro rata payment of your claim. However, please be assured that a final accounting will be made so that all claims are paid out on the same pro rata basis, whether part of the interim distribution or not. Please also note that the civil restitution you will receive from the Receiver is separate from, and in addition to, any restitution that you may receive as a result of the criminal case against Mr. Cook. If you have any questions or concerns about the interim distribution, your recognized claim amount, or any other issue involved in the Receivership, please contact my staff locally at (612) , toll-free at (877) , or by at info@cookkileyreceiver.com. More information about the Receivership and these cases also can be found online at RJZ/JMK Enclosures Exhibit 13

15 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 2 Exhibit 14

16 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 2 Exhibit 14

17 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 3 Exhibit 15

18 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 3 Exhibit 15

19 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 3 of 3 Exhibit 15

20 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 1 Exhibit 16

21 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 2 Exhibit 17

22 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 2 Exhibit 17

23 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 2 Krisko Incentive ree 20% thru 2 nd quarter 2007 Deposits Balance July I $1,003,000 $1,139,702 7, ,600 $9, ,500 $142,080 49,200 $35,533 67,700 $56,448 1,261,600 $1,383,062 Profit $121,462.'01-' 20% incentive ree $24,292 J~- 50% offee $12,146 ;P~ ~ This will be available on August ISlas we have to debit the ree from their account Exhibit 18

24 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 2 Bill and Vickie Krisko July to July I 2008 Incentive Fee Total profits of$88,990 for 12 months trailing period 20%= $17,798 50% = $8,899 Transferred to acct # 6485MD Exhibit 18

25 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 1 of 15 Exhibit 19

26 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 2 of 15 Exhibit 19

27 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 3 of 15 Exhibit 19

28 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 4 of 15 Exhibit 19

29 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 5 of 15 Exhibit 19

30 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 6 of 15 Exhibit 19

31 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 7 of 15 Exhibit 19

32 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 8 of 15 Exhibit 19

33 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 9 of 15 Exhibit 19

34 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 10 of 15 Exhibit 19

35 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 11 of 15 Exhibit 19

36 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 12 of 15 Exhibit 19

37 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 13 of 15 Exhibit 19

38 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 14 of 15 Exhibit 19

39 CASE 0:09-cv MJD-FLN Document Filed 04/15/11 Page 15 of 15 Exhibit 19