DataSet-10
EFTA01386064
1 pg
…truthfully hold." (Id.150.) Count III claims that the defendants are liable to the plaintiffs for
their failure to disclose this information, "because they knew that their nondisclosure would justifiably induce the Plaintiffs
to proceed with the proposed investment." (Id. …
DataSet-10
EFTA02097115
7 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02068119
5 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02096824
7 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02068108
5 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02068099
5 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02068089
5 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA02096697
7 pg
…confidential, proprietary, privileged, subject to a
confidentiality and/or non-disclosure agreement, or otherwise exempt or protected
from disclosure (either by contract or under applicable law). If you are not the
intended recipient, you are hereby notified that printing, retaining…
DataSet-10
EFTA01406114
4 pg
Subject: RE: Non-Post Transaction 03-19-2019- DDA 42-953-715 [I]
From: Stewart Oldfield
Date: Wed, 20 Mar 2019 14:00:07 -0400
To: Bhavesh Chandani
Bradley Gillin
Monica Gilkinson ,
Daphne Cales
Cc: Halina Laczny
Debra Jaspe
Oversight…
DataSet-10
EFTA01403289
6 pg
Subject: RE: Non-Post Transaction 03-19-2019- DDA [I]
From: Stewart Oldfield
Date: Wed, 20 Mar 2019 14:06:48 -0400
To: Bhavesh Chandani
Bradley Gillin
Monica Gilkinson
Daphne Cales
Cc: Halina Laczny
Debra Jasper
Oversight Control <
Yvette…
DataSet-10
EFTA01358786
1 pg
DRP Pages
CRIMINAL DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)
No Information Filed
Part 2
Exemption from brochure delivery requirements for SEC-registered advisers…
DataSet-10
EFTA01382772
1 pg
…by an applicable income tax
treaty, are attributable to a United States permanent establishment or fixed base maintained by the non-U.S. holder) are not subject to the
withholding tax, provided certain certification and disclosure requirements are satisfied. Instead…
DataSet-10
EFTA01423875
13 pg
Subject: RE: ****REVISED**** RE: Non Post Transactions 05-09-2019 For AC
[I]
From: Brigid Macias
Date: Fri, 10 May 2019 14:16:40 -0400
To: Rishabh Sharma
Stewart Oldfield >,
Bradley Gillin
Monica Gilkinson
Rachel Wachs
Cc…
DataSet-10
EFTA01431029
12 pg
Sub'ect: ****REVISED**** RE: Non Post Transactions 05-09-2019 For AC
[I]
From: Rishabh Sharma
Date: Fri, 10 May 2019 13:48:40 -0400
To: Stewart Oldfield
Bradley Gillin
Monica Gilkinso ,
Rachel Wachs
Brigid Macias
Cc: Natalie Barak
Oversight…
DataSet-10
EFTA01427087
13 pg
Subject: RE: ****REVISED**** RE: Non Post Transactions 05-09-2019 For AC
42953432 [I]
From: Brigid Macias
Date: Fri, 10 May 2019 13:50:03 -0400
To: Rishabh Sharma ,
Stewart Oldfield
Bradley…
DataSet-10
EFTA01413625
9 pg
Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I]
From: Brigid Macias
Date: Fri, 10 May 2019
To: Ankit-Kumar Sharma
Bhavesh Chandani
Cc: Stewart Oldfield
Natalie Barak
[email protected],
Oversight Control
DataSet-10
EFTA01452157
1 pg
SOF 111- 1081 Southern Financial LLC
NOTICE TO CERTAIN NON-U.S. RESIDENTS
77-1/S MEMORANDUM DOES NOT CONSTITUTE AN OFFER TO SELL OR A SOLICITATION OF AN
OFFER TO BUY AN INTEREST IN ANY JURISDICTION TO ANY PERSON…
DataSet-10
EFTA01451716
1 pg
SOF 111- 1081 Southern Financial LLC
NOTICE TO CERTAIN NON-U.S. RESIDENTS
77-1/S MEMORANDUM DOES NOT CONSTITUTE AN OFFER TO SELL OR A SOLICITATION OF AN
OFFER TO BUY AN INTEREST IN ANY JURISDICTION TO ANY PERSON…
DataSet-10
EFTA01452144
1 pg
SOP III -1081 Southern Financial LLC
13.8 Non-Waiver. No provision of this Agreement shall be deemed to have
been waived unless such waiver is given in writing, and no such waiver shall be deemed
to be a waiver…
DataSet-10
EFTA01381326
1 pg
…by the non-U.S. Holder within the United States (and, if required by an applicable income tax treaty. are attributable
to a United States permanent establishment) arc not subject to the withholding tax, provided certain certification and disclosure requirements…
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