EFTA01373527.pdf

From: Wayne Salit Sent: 1/7/2015 10:42:39 AM To: Michael Koplowitz CC: John Juul Kerrian Gordon Omitri Saks ; Carlos- A Garcia [email protected] Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [II Classification: For Internal use only Michael - Thanks for the information. It would be helpful to know when Southern Financial LLC was previously onboarded with CB & S and within which business line —CF, GM or CRE? Kind Regards, Wayne Salit From: Michael Koplowitz Sent: Wednesday, January 07, 2015 10:08 AM To: Wayne Salit Cc: John Juul Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal use only Hi, I reached out to Ted Gonedes who is at home in London. His wife gave birth last week. According to his email, Ted is concerned with regard to reputational risk and would like to have a conversation with Courtney Fornal upon his return next Tuesday. Please see attached. I am told that this client was previously on boarded with CB&S and has open trades across several asset classes. In the interim, I am trying to track down the scope of these trades. Thanks. Regards, Mike From: Wayne Salit Sent: Tuesday, January 06, 2015 6:11 PM To: Michael Koplowitz Cc: John Juul Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal use only Michael — Here is the latest e-mail from the business. Please let me know if you have been able to reach Ted Gonedes on this matter. In addition, I cc'd you on an e-mail I sent to WM recommending that this matter be discussed at the Americas Rep Risk Committee. However, I have not heard back from WM. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067756 CONFIDENTIAL SDNY_GM_00213940 EFTA01373527