EFTA01376684.pdf

From: Robert McKay Sent: 1/8/2018 3:57:43 PM To: Stewart Oldfield I Subject: OF - Your Client List - Details To Be Confirmed (Urgent) Ill Classification: For internal use only HI Stewart, As part of Dodd Frank (DF) Regulation, clients who trade GM products will be receiving quarterly and annual disclosures. We are currently going through a clean-up exercise to ensure we have an accurate client list with up-to- date client information. The ask is for you to review your client list (see table below) and confirm whether these will be transacting GM products. Can you advise: 1. If you believe that these clients will be transacting, if so please confirm client email (this is the email address we'll use to send disclosures too) in column F 2. If they will not, please provide your confirmation that these clients can be off boarded from GM platforms. Please put N in column E 3. Also, If you believe clients are missing from your population can you please advise the client name. Unfortunately this is an urgent request, therefore, can you please respond at your earliest. Thanks. RM Client List: RM Assign to Client Stewart Oldfield Client SOUTHERN FINANCIAL LLC Client Email via firm this ofi rNCIllent itoWb seoarrtItute7iid If client to be _ Cole nn Email fitrm Stewart Southern Trust Oldfield Company Inc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073034 CONFIDENTIAL SDNY_GM_00219218 EFTA01376684