Petition 172h - Historia de la compañía y titulos clientes

8/14/2019 Petition 172h - Historia de la compaa y titulos clientes

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iled 04/13/2009 Page 12 of 33ase 3:07-cv-02590-PJH Document 68-6

TRADUCC ON

HISTORIA DE LATITULOS CLI

dOMPANIA YNTES

002181


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 13 of 33([CA -14T62652

OFFICIAL TRANSLATION NUMBER 1010-203-OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS

1 have always handled my investments through the stock broker firmComisionista de Bolsa, registered before the

Colombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthrough the Banking Superintendent to administer clients securities(license enclosed). For this reason my investments have beenadm inistered by ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J a n d throughthem my securities are currently deposited in a banking institutioncalled Sterling Financial Investments, in the United States.

In Octob er 2002, the firm accepted new shareholders and fourmonths later, in ^^^/^^^^^^^ such new shareholders wereincluded in the Ofac list. As a consequence, > n | j j ^ ^ | ^ | ^ | ^ B thefirm ^ ^ | ^ ^ ^ ^ m | ^ ^ ^ was a lso included in such lis t and all i tsassets were blocked My investments were also blocked as theyappear on the name of ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J i n accordance to the licenseheld by the firm I previously mentioned.

As you can see, I have nothing to do with what happened toComisionista de Bolsa and I have been very damaged

by this situation completely alien to me. As proof of the above, Iannex a Doc ume nt issued by the Mun icipal Court 24 in Cali andanother document issued b y ^ ^ ^ ^ ^ ^ ^ ^ ^ H tax inspector certifying

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ffflWftforaaminervaS"! LbjjHa&sSIKSv.KX3 oiiifcdaYtcMudi 3unUlt/Cpo> iAll redactions made on this page pursuantto exem ptions (b)(6), (b)(7)(A), (b)(7)(C),(b)(7)(F) 002182


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I include as well a document issued by the Colombian BankingSuperintendent (the equivalent to SEC in the USA) stating that thesecuri ties belong to me and not to ^ ^ ^ ^ ^ ^ ^ ^ ^ | acted only asadministrator of such securities and intermediary.

T decla re that my inves tme nts come from with legal funds and mypersonal savings of many years and that I contactedComisionista de Bolsa as securities administrator, after verificationof its good standing and its legal approval by the Colomb iangovernment. I do not see why a situation com pletely alien to me isharming my personal interests. I then demand that my investments bereturned to me as soon aspossible.

[ enclose for your consideration Custody Certificate signed by thelegal representative of ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ 1 produced by such firm, asproof of their custody over such securities , and purchase recordsissued by

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|as stated on the second certificate issued bjafter restructuring and on the document to the

Banking Superintendent I demand the restitution of my money ancmy shares as soon as possibleSTfiNFTl

002183


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 15 of 33CA-14023150

OFFICIAL i KrtNSLA i iOn NUiviubR 10iu-20JOF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS-

I have always handled my investments through the stock broker firm^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H C o m i s i o n i s t a de Bolsa, registered before theColombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by th Colombian Governmentthrough the Banking Superintendent to administer clients securities(license enclosed). For this reason my investments have been[ministered by ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J U H ^ J a n d throughlem my securities arc currently deposited in a banking institutionllled Sterling Financial Investments, in the United States.

October 2002, the firm accepted new shareholders and four)nths later, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J s u c h new shareholders were

fcluded in the Ofac list. As a consequence , in^^^^^^^^^^^^^J thef i r r n ^ ^ ^ m ^ ^ H ^ ^ H was also included in such list and all itsassets were blocked. My investments were also blocked as they wereon the name o f ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J in accordance to the license held bythe firm I previously mentioned.As you can see, I have nothing to do with what happened to

land I have been very damagedby this situation completely alien to me. As proof of the above, 1annex a Document issued by the Municipal Court 24 in Cali andanother document issued by ^ ^ ^ ^ ^ ^ ^ ^ ^ H t a x inspector certifyingthat the securities blocked belong to me and not toI include as well a document issued by the Colombian BankingSuper'mtenHfrnt (ths ftqnivalpnt to SF,C-in-t-h&-JJSA)-stat-ijlfl-t-hat-the

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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 16 of 33All redactions made on this pursuant toexemptions (b)(6), (b)(7)(A),(b)(7)(C),(b)(7)(F)

lacted only asecurities belong to me and not tcadministrator of such securities and intermediary..VI.15

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I declare that my investments were done with legal funds and mypersonal savings from many years and that I contacted ^ ^ ^ ^ ^ |

^ ^ ^ H Comisionista de Bolsa as securities administrator, afteiverification of its good standing and its legal approval by theColombian government. I do not see why a situation completelyalien to me is harming my personal interests. I then demand that myinvestments be returned to me as soon as possible.

1 enclose for your consideration Custody Certificates signed by thTf i: -. iWXfflM

All redactions made on this page pursuant toexemptions (b)(6), (b)(7)(A),(b)(7)(C), (b)(7)(F)002186


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Case 3:07-cv-02590-PJH Docum ent 68-6 Filed 04/13/2009 Page 18 of 33All redactions m ade on this page pursuant toexemptions (b)(6), (b)(7)(A),(b)(7)(C),(b)(7)(F)

Sup erinten dent [the equivalen t to SEC in the' USA) staling that thes e c u ri ti e s b el on g t o m e a nd no t t o ^ ^ ^ ^ ^ ^ ^ ^ ^ | a c te d on ly a.adm inis t rator of such securi ties-and intermediary.I declare that my investments come from with legal funds and m}personal savings of many years and ' that I contacteCom isionista de Bolsa as securities adm inistrato r, after v erificatioiof i ts good standing and its legal approval by the Co lom bia!gover nme nt I do not see why a situation com pletely alien to me iharming my personal interests. I then demand that my investments breturned to me as soon as possibleI enclose for your consideration Custody Certificate signed by thle ga l r ep r es e nt at iv e of ^ ^ ^ ^ ^ ^ ^ ^ ^ J p ro du ce d b y su ch f ir m , aproof of their custody over such securities, and 2 purchase record

iss ued by

fter restructuring and on the document to theBanking Superintendent I demand the restitution of my money ancmy shares as soon as possible

-S1GNE

002187


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 20 of 33All redactions made on this page pursuantto exemptions (b)(6), (b)(7)(A), (b)(7)(C),(b)(7)(F)

securities belong to me and not to Obursatiles SA acted only asadministrator of such securities and intermediary.

I dec la re tha t my inves tmen ts come f rom wi th l ega l funds and mypersonal savings of many years and that I contactedComisionista de Bolsa as securities administrator, after verificationof its good standing and its legal approval by the Colombian

government. I do not see why a situation completely alien to me isharming my personal interests. 1 then demand that my investments bereturned to me as soon as possible.

' ^ s I enclose for your consideration Custody Certificate signed by the3 legal representative of l | ^^^^m^ ^^ |produced by such firm, as

proof of their custody over such securities, and 2 purchase recordsissued by

is stated on the second certificateIfter restructuring and on the document to

the Banking Superintendent I demand the restitution of my moneyand my shares as soon as possible

SIGNED.!

002189


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 2 1 of 33C A - 1 4 1 6 2 6 7 4

OFFICIAL TRANSLATION NUMBER 1010-203OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASF O L L O W S - -

1 have always h andled my inves tmen ts through the stock broker firmCom isionista de Bolsa, registered before the

Colombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthrough the Banking Superintendent to administer clients securities|(l icense enclosed). For this reason my investments have beenadm in is tered by ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J and throughthem my securities are currently deposited in a banking institutioncalled Sterling Financial Investments, in the United States.

| ln Oc tober 2002, the firm accepted new shareholders and fourm o nt hs l a te r, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ 1 s uc h ne w sh a re h ol de rs w e rei n cl u de d in t h e O f ac li s t . A s a c o n se q u en c e , in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ B t h ef i r m ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H w a s a ls o i nc lu d ed in s uc h l is t a nd a ll i tsassets were blocked. My investments were also blocked as theyappear on the nam e f ^ ^ ^ H ^ ^ H | >n accordance to the licenseheld by the firm I previously mentioned.

As you can see, I have nothing to do with what happened toand I have been very damaged

by this situa tion com pletely alien to me. As proof of the above, 1annex a Docu men t issued by the M unicipal C ourt 24 in Cali anda n o th e r d o cu m e nt i ss u ed b y ^ ^ ^ ^ ^ ^ ^ ^ ^ H t a x i n s p ec t or c e rt if yi ng

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lEftyMn. . . . M i n p r v a i y ' M J F f f l f f l T f t i m w n f f l ^ ^ .'":.-.:;.

All redactions made on this page pursuantto exemptions (b)(6), (b)(7)(A), (b)(7)(C),(b)(7)(F) 002190


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 22 of 33All redactions made on this page pursuant toexemptions (b)(6), (b)(7)(A),(b)(7)(C),(b)(7)(F)

that the securities oiocKed belong to me and not toI include as well a document issued by the Colombian BankingSuperintendent (the equivalent to SEC in the USA) stating that thesecurit ies belong to me and not to ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ acted only a;administrator of such securities and intermediary.

I decla re that my inve stm ents come from legal funds and m>personal savings of many years and that I contactedCom isionista de Bolsa as securities ad ministrator, after verificatiorof its good standing and its legal approval by tlie Colo mb iar

H gove rnm ent. I do not see why a situatio n co mpletely alien to me if ^5 harming my personal interests, t then demand that my investments be1 s-"returned to me as soon as possible.: l |

I enclose for your consideration Custody Certificates signed by thelegal representative of ^^ ^^ ^^ ^^ ^H p ro d uc ed by such firm, statin;;that my securities are under their custody. I enclose as well purchaserecords by

plus the interest produced and not paid during thefreezing period of the account .SIGNED.

002191


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 23 of 33C A - 1 4 1 6 2 6 6 0

n accordance with the licenseheld by the firm I previously mentioned.

As you can see, I have nothing to do with what happened to|and 1 have been very damaged

by this situation completely alien to me As proof of the above, Iannex a Document issued by the Municipal Court 24 in Cali andanother document issued by ^ H H ^ ^ ^ ^ ^ J tax inspector certifyingthat the securities blocked belong to me and not t o | ^ ^ H ^ ^ ^ ^ | .-T inrrliiflp as well a Hni^^uitejU-is^u&^Lb-v-tJvg-Colo-iivb-ian-Baftki-n.iJ . -

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002192


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 24 of 33All redactions made on this page pursuantto exemptions (b)(6), (b)(7)(A), (b)(7)(C),(b)(7)(F)

Superintendent (the equivalent to SEC in the USA) stating that thesecurities belong to me and not to ^^^^^^^^^^Maded only asadministrator of such securities and intermediary.

I declare that my investments come from legal funds and my personalsavings of many years and that 1 c o n t a c t e d ^ ^ ^ ^ ^ ^ ^ ^ HComisionista de Bolsa as securities administrator, after verificationof its good standing and its legal approval by the Colombiangovernment. T do not see why a situation completely alien to me isharming my personal interests. I then demand that my investments be;eturned to me as soon as possible.

genclose for your consideration Custody Certificates signed by theI legal representative of ^^^^^^^^^^M and issued by such firm

stating that my securities are under their custody. I enclose as welpurchase records of

s soon s possible-

SIGNED

002193


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 25 of 33CA-14162659

-OFFrCTAL TKAWSrATTOTTNUMBETnUTTJ-TDi:

IIIIII1

OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS

1 have always handled my investments through the stock broker firmComisionista de Bolsa, registered before the

Colombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthiough the Banking Superintendent to administer clients securities(license enclosed) For this reason my investments have beenadininisiered b y ^ ^ ^ ^ ^ ^ ^ J Comisionita de Bolsa and throughthem my securities are currently deposited in a banking institutionpalled Sterling Financial Investments, in the United States.

the firm accepted new shareholders and fourmonths later, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H such new shareholders were

Included in the Ofac list. As a consequence, in ^^^^^Hj^^^^H thef > n r > ^ m ^ ^ ^ ^ m ^ ^ ^ | was also included in such list and all itsassets were blocked. My investments were also blocked as theyappear on the name of | ^ ^ ^ ^ ^ ^ ^ H in accordance with the licenseheld by the Firm I previously mentioned.

As you can see, 1 have nothing to do with what happened to^ ^ H ^ ^ ^ ^ ^ ^ I ^ ^ ^ ^ ^ ^ ^ B ^ ^ ^ I and 1 have been very damagedby this situation completely alien to me. As proof of the above, 1annex a Document issued by the Municipal Court 24 in Cali andanother document issued by ^ ^ ^ ^ ^ m | ^ J t a x inspector certifyingthat the securities blocked belong to me and not to I

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fgraiMirHlase 3:07-cv-02590-PJH Document age 27 of 33OFFICIAL TRANSLATION NUMBER 101 0-2 03 - OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS - - - -

I have always handled my investments through the stock broker firmComisionista de Bolsa, registered before the

Colombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthrough the Banking Superintendent to administer clients securitieslicense enclosed) For this reason my investments have beendministered by ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ J Comisionita de Bolsa and throughhem my securities are currently deposited in a banking institutionailed Sterling Financial Investments, in the United States

n ^ ^ ^ ^ ^ ^ ^ ^ ^ B the firm accepted new shareholders and fouronths la te r, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H such new shareholders were

included in the Ofac list. As a consequence, ' n B ^ H ^ | ^ | | ^ B n ef i rm ^^ ^ ^^ ^ ^^ ^ ^^ ^^ ^ H w as a lso inc luded in such list and all itsassets w ere blocked My investments were also blocked as theya p p e a r o n t h e n a m e f ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H ' n accordance to the licenseheld by the firm I previously mentioned

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IAs you can see, I have nothing to do with what happened tom m m H H ^ a n d I have been very damagedby this situatio n completely alien to me As proof of the above, 1annex a Docum ent issued by the Municipal Court 24 in Cali andanother document issued by ^ ^ ^ ^ ^ ^ ^ ^ ^ H t a x inspector certifyingUia4^he^ecuriti^^-b4ock^d-beloa-R-te-me-a-nd-rt&Wto-|

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EGISTa d o s l o idtifCCt)05I fliWftfmtaaminerva!?'.' BS323Ki3 ! ;7'.W0DlKfii*ycUjiJliad1rtii1v*>:iSi

All redactions m ade on this page pursuant toexemptions (b)(6), (b)(7)(A), (b)(7)(C), (b)(7)(F)002196


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Case 3:07-cv-02590-PJH All redactions made on this page pursuant toexemptions to (b)(6), (b)(7)(A), b)(7)(C), and(b)(7)(F)28 of 33

I include as well a document issued by the Colombian Banking]Superintendent (the equivalent to SEC in the USA) stating that thesecurit ies belong to me and not to ^ ^ ^ ^ ^ ^ ^ ^ ^ | acted only asadministrator of such securities and intermediary.

1 declare that my investments come from legal funds and my personalsavings of many years and that I contacted ^ ^ ^ ^ ^ ^ ^ ^ HCom isionista de Bolsa as securities adm inistrator, after verificationof its good standing and its legal approval by the Colombiangovernment. I do not see why a situation completely alien to me isharming my personal interests. I then demand that my investments beeturned to me as soon as possible.I

f C enclose for your consideration Custody Certificates signed by the"legal representat ive o f^ ^ ^ ^ ^ ^ ^ ^ ^ |p r o d u c e d by such f irm, s ta ting

that my securities are under their custody. I enclose as well purchaserecords by

plus the interest produced and not paid during thefreezing period of the account .

SIGNED

002197


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/1 ?/?Q09gage 29 of 33| C A - 1 4 1 6 2 6 5 7"OTFTCTAL TRANSLATlOTOTUTvlBHR LU 10-203" - -OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASF OLLOWS --

1 have always handled my investments through the stock broker fiimComisionista de Bolsa, registered before the

Colombian Stock Exchange, with over 15 years of experience in mycount ry and with l icense issued by the Colombian Governmentthrough the Banking Superintendent to administer cl ients securi t ies( l i cense enclosed) For this reason my investments have been

d min isie re d by ^ ^ ^ ^ ^ ^ ^ H C om isio nita de Bolsa and throughhe m my secur i t i es are current ly deposi ted in a banking inst i tut ionai led Sterl ing Financial Investments , in the United States.

the firm accepted new shareholders and fourlonths later, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | such new shareholders were

[ncluded in the Ofac list As a c o n s e q u e n c e , i n ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H thef i r m ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H was also included in such list and all itsassets were blocked. My investments were also blocked as they wereon the name f ^ ^ ^ ^ ^ ^ ^ ^ ^ | ' n accordance to the license held bythe firm I previously mentioned

As you can see, 1 have nothing to do with what happened tode Bolsa and I have been very damaged

by this situation completely alien to me. As proof of the above, 1annex a Document issued by the Municipal Court 24 in Cali anda n o th e r d o c um e n t is su ed b y ^ ^ ^ ^ ^ ^ ^ ^ H Lax i n sp e c to r c er ti fy in gthat the securi t ies blocked belong to me and not tol

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IL E G I Sl es o r v iK1 -tI

GMHBn,.minprva 'f 't rm&mmmmm!mmnr , f aT$

002198


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Superintend ent (the equivalent to SEC in the USA) stat ing that th e's e cu r it ie s b el on g to m e a nd n ot to ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ B a c t e d o nly a |administrator of such securi t ies and intermediary.

I declare that my investments were done with legal funds and nvpersonal sav ings from many years and that I contacted ^ ^ ^ ^ ^ ^ H

H ^ ^ H Comis ionis ta de Bolsa as secur i t i es adminis t ra tor , afteverificatio-n of its good standing and its legal approva l by thColombian governm ent I do not see why a s i tuat ion completedalien to me is harming my personal interests. I then demand that minvestments be returned to me as soon as possible.

K I enclose for your consideration Custody Certificates signed by th^ 'gl ega l rep res en ta t iv e o f ^ ^ ^ ^ ^ ^ ^ ^ ^ H p rod u ced by s uch f irm, s t a ti n: | f that my securi t ies are under their custody. As a proof, I enclose aeS"* well pu rcha se record s by

the interest produced and not paid during the freezing period of thaccount

S IGNED. !

002199


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Case 3:07-cv-02590-PJH Docum ent 68-6 Fi led 04/13/2009 Page 31 of 33C A - 1 4 1 6 2 6 5 4

OFFICIAL TRANSLATION NUMBER 1010-203OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS - - _.

1 have always handled myinvestments through thestock broker firm^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ 1 registered before theColombian Stock Exchange, with over 15years of experience in mycountry and with license issued by the Colombian Governmentthrough theBanking Superintendent to administer clients securities

[(license enclosed). For this reason my investments have been(admnsteredby ^g// ^ g^ ^ gg^and throughItheni mysecurities arecurrently deposited in a banking institution|called Sterling Financial Investments, in the United States.

^ n ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ the firm accepted new shareholders and fournonths later, in^ ^ J ^ ^ ^ J ^ u c h new shareholders were

included in theOfac list. As aconsequence, in ^ ^ | ^ ^ ^ ^ ^ ^ | t h eh r m i ^ ^ ^ ^ ^ H I ^ H was also included in such list and all itsassets were blocked. My investments were also blocked as theyappear on thename o f ^ ^ ^ ^ ^ | ^ | in accordance with thelicenseheld by thefirm I previously mentioned.

IIIII

IAs you can see, I have nothing to do with what happened to

^ ^ ^ ^ ^ ^ ^ ^ ^ m ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | ^ ^ a n d I have been very damagedby this situation completely alien to me. As proof of theabove, Iannex a Document issued by theMunicipal Court 24 in Cali andanother document issued by j j j ^ ^ H I tax inspector certifying

[Llliajue .securities hlocked-belojm-to-me-and-B.Qt-t'

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002200


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Case 3:07-cv-02590-PJH Document 68-6 Filed 04/13/2009 Page 32 of 33All redactions made pursuant toexemptions (b)(6), (b)(7)(A), (b)(7)(C),(b)(7)(F)

1 include as well a document issued by the Colombian BankingSuperintendent (the equivalent to SEC in the USA) stating that thesecuri t ies belong to me and not to ^ ^ ^ ^ ^ ^ ^ ^ ^ H acted only a;adminis t ra tor of such securi t ies and intermediary

I declare that my investments come from with legal funds and mypersonal savings of many years and that I contacted ^ m ^ ^ ^ ^ |Comisionista de Bolsa as securi t ies administrator, after verificat ionof its good standing and its legal approval by the Colombiangovernment 1 do not see why a si tuat ion completely al ien to me isharming my personal interests I then demand that my inves tments bereturned to me as soon as possible

*-ti '

o=1 enclose for your consideration Custody Certificate signed by the

"" legal representative of ^^^^^^^^^^produced by such firm, as wellas 2 stock exchange records, one for the purchase of

J ^ m remained in custody and I herein demand the restitution ofsuch bonds as well as the interests produced that have not been paid

SIGNED

002201


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Case 3:07-cv-02590-PJH Docum ent 68-6 Filed 04/13/2009 Page 33 of 33[CA 14162653 ])

OFFICIAL TRANSLATION NUMBER 1010-203OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS -

1 have always handled my investments through the stock broker firmregistered before the

Colombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthrough the Banking Superintendent to administer clients securities(license enclosed) For this reason my investments have beenadministered b y ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ a n d through|hem my securities are currently deposited in a banking institutioncalled Sterling Financial Investments, in the United States.

tn ^ ^ ^ ^ ^ ^ ^ ^ ^ the firm accepted new shareholders and fournonths later, in ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H such new shareholders were

included in the Ofac list. As a consequence, > n | ^ ^ ^ ^ | ^ H J ^ | thefirm ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ I v / a s also included in such list and all itsassets were blocked My investments were also blocked as theyappear on the name * ^ ^ ^ ^ ^ ^ ^ ^ | i n accordance with the licenseheld by the firm 1 previously mentioned.

As you can see, I have nothing to do with what happened to

^^ ^^ ^^ ^^ ^H Co mi si on is ta de Bolsa and I have been very damagedby this situation completely alien to me. As proof of the above, Iannex a Document issued by the Municipal Court 24 in Cali andanother document issued by ^ ^ ^ ^ ^ ^ ^ S A tax inspector certifying

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Case 3:07-cv-0259Q Page 1 of 33All redactions made on this page pursuant toexemptions (b)(6), (b)(7)(A), (b)(7)(C), (b)(7)(F)

"I include as well a document issued by the Colombian Banking 'Superintendent (the equivalent to SEC in the USA) stating that thesecurit ies belong to me and not to ^ ^ ^ ^ ^ ^ ^ ^ ^ | acted only aadministrator of such securities and intermediary.

I declare that my investm ents come from with legal funds and mpersonal savings of many years and that I contacted ^ ^ ^ ^ H j j ^ lComisionista de Bolsa as securities administrator, after verificationof its good standin g and its legal approval by the Colom bian|government. I do not see why a situation com pletely alien to me iharming my personal in terests I then demand that my investmen ts b|returned to me as soon as possible.

I enclose for your consideration Custody Certificate signed by th^|^ H o legal representat ive ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | produced by such firm, a

gS proof of their custody over such securities , and purchase record' 1 issued by

[plus the interestproduced and not paid during the freezing period of the account

SIGNED.

002203


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Case 3:07-cv-02590-PJH Document 68-7 Filed 04/13/2009 Page 2 of 33CA -14023139

OFFICIAL TRANSLATION NUMBER 1010-203 -OF A DOCUMENT WRITTEN IN SPANISH THAT READS ASFOLLOWS - - -

1 have always handled my investments through the stock broker firmH H H H H H I H H C o m i si on is ta d e B o l sa , re g is te re d be fo re th eColombian Stock Exchange, with over 15 years of experience in mycountry and with license issued by the Colombian Governmentthrough the Banking Superintendent to administer clients securities(lice nse enclo sed) For this reason my investments have beenadministered by ^ ^ ^ H ^ ^ | S A Comisionita de Bolsa and throughthem my securities are currently deposited in a banking institutioncalled Sterling Financial Investments, in the United States

In M M M ^ th e firm a cc ep te d n ew s ha re ho ld er s and fourm o nt hs la te r, in ^ ^ ^ ^ ^ J s u ch n ew sh ar eh ol de rs w ereincluded in the Ofac list . As a consequence, ' n ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | thefir m ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H w a s a ls o in c lu de d i n s uc h lis t a nd ail it sassets were blocked. My investments were also blocked as theyappear on the name o ^ ^ ^ ^ | ^ ^ ^ | H in accordance to the licenseheld by the firm I previously mentioned

As you can see, the religious institution^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ H i a s nothing to do withw h at ha pp en ed t o B ^ ^ ^ f ^ ^ ^ J C o m is io ni st a de B o ls a . W e h av ebeen very damaged by this situation completely alien to us, and dueto the fact that our investments appear on the name of

the y. aca-ciP&ft&Fty-of-the-peligioits- -

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All redactions made on this page pursuant toexemptions (b)(6), (b)(7)(A), (b)(7)(C), (b)(7)(F)002204


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Case 3:07-cv-02590-PJH Document 68-7 Filed 04/13/2009 Page 3 of 33All redactions made on this page pursuant toexemptions (b)(6), (b)(7)(A), (b)(7)(C), (b)(7)(F)

institution ^ ^are currently completely blocked. As proof of the

above, I annex a document issued by the Municipal Court 24 in Caliand another document issued by ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ | tax inspectorcertifying that the securities blocked belong to me and not to

.- I include as well a document issued by theColombian Banking Superintendent (the equivalent to SEC in theUSA) stating that the securities belong to me and not to

acted only as administrator of such securities and intermediary.

I declare that my investments come from with legal funds and theinstitution s savings ofmany years and that we contacted

| ^ ^ g Comisionista de Bolsa as securities administrator, afterverification of its good standing and its legal approval by theColombian government. We do not seewhy a situation completelyalien to us is harming our personal interests, we then demand that ourinvestments be returned to us as soon as possible.

I enclose for your consideration Custody Certificate signed by thelegal r epresenta tive o f ^ ^ ^ ^ ^ ^ ^ J p r o d u c e d by such firm, s ta tingthat thesecurities of

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002205


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Case 3:07-cv-02590-PJH Document 6%7 ri led 04/13/2000 Pnge 4 of 33CA -14023140 I

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institution subject to the Pope s authority and to the Archbishop ofCali 1 herein enclose the Archbishop declaration certifying our legalexistence and my position as legal representative to our institution.We then demand the restitution of our money and the shares propertyof INSTITUTO DE RELIGiOSAS DE SAN JOSE DE GERONA assoon as possible

o

SIGNED

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LEGISTodos JO B

nesei va(/=:>IfMUMIfo rm a m i n e r v a S ' B ss^soss^i-^-S OOOI s a r ta d i ya cf i Ml U i r fa s e s i i n l a LoyC pul ^-W . '

All redactions made on this page pursuant to

Petition 172h - Historia de la compañía y titulos clientes

Documents

Transcript of Petition 172h - Historia de la compañía y titulos clientes