UNITED STATES DISTRICT COURTDISTRICT OF MASSACHUSETTS

SECURITIES AND EXCHANGE COMMISSION,

Plaintiff,

v. Case No.

CAPITAL FINANCIAL PARTNERS, LLC,CAPITAL FINANCIAL HOLDINGS, LLC,CAPITAL FINANCIAL PARTNERS

ENTERPRISES, LLC,WILLIAM D. ALLEN andSUSAN C. DAUB,

Defendants,

.•

WJBA INVESTMENTS, LLC,INSURANCE DEPOT OF AMERICA LLC,SIMPLIFIED HEALTH SOLUTIONS LLC andSIMPLIFIED HEALTH SOLUTIONS 2, LLC,

Dated: April 1, 2015

Relief Defendants

EVII3ENTIARY APPENDIX

Frank C. Huntington {Mass. Bar No. 544045)Senior Trial Counsel

Michael J. Vito (Mass. Bar No. 675524)Enforcement Counsel

Attorneys for PlaintiffSECURITIES AND EXCHANGE COMMISSIONBoston Regional Office33 Arch StreetBoston, MA 02110(617) 573-8960 (Huntington direct)(617) 573-4590 (fax)huntngtonf@sec.gov {Huntington email)

Case 1:15-cv-11447-IT Document 7 Filed 04/01/15 Page 1 of 4

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1, Certificate of Organization for Capital Financial Partners, LLC (June 7, 2012).

2. Certrficate of Organization for Capital Financial Holdings, LLC (Apr. 2, 2014).

3. Articles of Organization for Capital Financial Partners Enterprises, LLC (Dec. 11, 2013).

4. Amended Articles of Organization for Capital Financial Partners Enterprises, LLC(Dec. 20, 2013).

5. Excerpts from CLEAR report for William D. Allen.

6. Excerpts from CLEAR report for Susan C. Daub.

7. Application by WJBA Investments, LLC to do business in Florida (July 15, 2009).

$. Articles of Organization for Insurance Depot of America, LLC {Aug. 8, 2013).

9. Articles of Organization for Simplified Health Solutions LLC (Dec. 17, 2013).

10. Articles of Organization for Simplified Health Solutions 2, LLC (July 3, 2014}.

11. Excerpt from Capital Financial website.

12. Excerpt from Insurance Depot of America website.

13. Excerpt from Simplified Health Solutions website.

14. Promissory Note for $250,000 (July 10, 2012).

15. Promissory Note for $10,000 by National Hockey League ("NHL") player (July 30,2012).

16. Promissory Note for $150,000 by NHL player (July 30, 2012).

17. Promissory Note for $1,400,000 by NHL player (Nov. 1, 2012).

18. Closing Statement for $1,400,000 Loan to NHL player (Nov. 1, 2012).

19. Term Sheet for $2,160,000 Loan to National Basketball Association ("NBA") player(Oct. 17, 2013).

20. Loan Agreement for $2,160,000 Loan to NBA player (Oct. 25, 2013).

21. Promissory Note for $2,160,000 by NBA player (Oct. 25, 2013).

22. Investors Agreement for $2,160,000 Loan to NBA player (Oct. 25, 2013).

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23. Term Sheet for $150,000 Loan to Major League Baseball ("MLB") player (Nov. 22,2Q13).

24. Investor's Letter Agreement for $150,000 Loan to MLB player (Dec. 2, 2013).

25. Promissory Note for $1 b0,000 by MLB player (Feb. 6, 2014).

26. Closing Statement far $1 b0,000 Loan to MLB player {Feb. 6, 2014).

27. Loan Agreement far $11.0,000 Loan to National Football League ("NFL") player(Feb. 12, 2014)

2$. Promissory Note for $110,000 by NFL player (Feb. 12, 2014).

29. Closing Statement for $110,000 Loan to NFL player (Feb. 12, 2014).

30. Loan Agreement for $260,000 Loan to NFL player (Feb. 27, 2014).

31. Promissory Note for $260,000 by NFL player (Feb. 27, 2014).

32. Closing Statement for $260,000 Loan to NFL player (Feb. 27, 2014).

33, Term Sheet for $260,000 Loan to NFL player (Mar. 1, 2014).

34. Investor Agreement for $260,000 Loan to NFL player (Mar. 3, 2014).

35. Investors Agreement for $1,300,000 Loan to NBA player (Mar. 25, 2014).

36. Promissory Note for $1,300,000 by NBA player {Apr. 3, 2014).

37. Loan Agreement. for $5,650,000 Loan to NHL (Apr. 14, 2014).

38. Promissory Note for $5,650,000 by NHL player (Apr. 14, 2014).

39. Security Agreement for $S,b50,000 Loan to NHL player (Apr. 14, 2014).

40. Participation Agreement for $5,500,000 Loan to NHL player (Apr. lb, 2014).

4I. Supplemental Participation Agreement for $5,500,000 Loan to NHL player (Apr. 30,2014).

42. Term Sheet for $300,000 Loan to MLB player (Aug. 19, 2014).

43. Loan Agreement for $30Q,000 Loan to MLB player (Aug. 20, 2014).

44. Promissory Note for $300,000 by MLB player (Aug. 20, 2014).

45. Participation Agreement for $300,000 Loan to MLB player (Aug. 25, 2014).

46. Loan Agreement for $300,000 Loan to MLB player (Aug. 29, 2014).

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47. Promissory Note for $304,040 by MLB player (Aug. 29, 2014}.

48. Participation Agreement for $300,000 Loan to MLB player (Sept. 8, 2014}.

49. Email from Susan Daub to investors concerning bankruptcy of NHL player (Nov. 21,2014).

50. Participation Agreement for $300,000 Loan to MLB player (Jan. 22, 2015).

51. Term Sheet for $500,000 Loan to MLB player (Jan. 21, 2015).

52. Participation Agreement for $540,000 Loan to MLB player (Jan. 24, 2015}.

53. Participation Agreement for $1,700,000 Loan to NFL player {Feb. 26, 2015}.

54. Complaint by Capital Financial Partners, LLC vs. NHL player (Feb. 20, 2013).

55. Transcript from Deposition of William Allen in Capital Financial Partners, LLC caseagainst NHL player (Mar. 3, 2014).

Sb. Loan Agreement far $3,400,000 Loan to NHL (Apr. 14, 2014).

57. Promissory Note for $3,400,000 by NHL player (Apr. 14, 2014).

58. Security Agreement for $3,400,000 Loan to NHL player (Apr. 14, 2414).

59, Proof of Claim by Capital Financial Partners, LLC in bankruptcy of NHL player (Feb. 9,ZOl S).

Case 1:15-cv-11447-IT Document 7 Filed 04/01/15 Page 4 of 4

UNITED STATES DISTRICT COURTDISTRICT OF MASSACHUSETTS

CLERK’S NOTICE

This document can not be scanned due to its size, or theway in which it was bound.

The original is available for viewing in the Clerk’s Office.

Case 1:15-cv-11447-IT Document 7-1 Filed 04/01/15 Page 1 of 1