EFTA00817322.pdf

From: Richard Kahn To: "jeffrey E." <[email protected]> Subject: SQBG Date: Thu, 22 Sep 2016 20:12:03 +0000 I will purchase the remainder in the am Bought 27,586 SQBG @ 7.9914 AVG (Day Order) Leaves 22,414 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 10022 tel fax cell Begin forwarded message: From: "Gato, Kimberley" Subject: RE: Trades Date: September 22, 2016 at 4:10:35 PM EDT To: Richard Kahn < Cc:" >, "Tucker, Lillian" "Cina, Maurizio M" < Richard, You Bought 27,586 SQBG @ 7.9914 AVG (Day Order) Leaves 22,414 Please call us tomorrow if you wish to enter an order to purchase the 22,414 shares. Kindly, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 12°I FIr. I New York, NY 10104 Phone: Fax: Please visit our website: http://vwAv.morganstanleyFA.comrtheHBCGroup EFTA00817322  Earn Membership Rewards(' points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more All your accounts. Any institution. One view. Learn more —watch the three minute OneView Video. From: Richard Kahn fmailto: Sent: Thursday, September 22, 2016 3:50 PM To: Gato Kimberle (Wealth Mgmt MS) Cc: (Wealth Mgmt MS); Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: Re: Trades ok thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 fax cell On Sep 22, 2016, at 3:49 PM, Gato, Kimberley > wrote: Richard, Per our conversation I have placed the trade to purchase SQBG. You have executed 16,318 @ 7.9733 AVG Leaves Open 33,682 @ 8 LMT Kindly, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 1291 Fir. I New York. NY 10104 Phone. Fax: Please visit our website: http://vwnv.morganstanleyFA.com/TheHBCGroup EFTA00817323  Earn Membership Rewards® points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more All your accounts. Any institution. One view. Learn more — watch the three minute OneView Video. From: Richard Kahn frnailtod Sent: Thursday, September 22, 2016 9:21 AM To: Gato Kimberle (Wealth Mgmt MS) Cc: (Wealth Mgmt MS); Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: Re: Trades Thank you. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone Fax Cell On Sep 21, 2016, at 2:41 PM, Gato, Kimberley < > wrote: Richard, You bought 50,000 CLNY @ 18.5366 Average Kindly, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 12" Fir. I New York. NY 10104 Fax Fax: Please visit our website: http:thwAv.morganstanleyFA.comffheNBCGroup Earn Membership Rewards® points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more EFTA00817324 All your accounts. Any institution. One view. Learn more —watch the three minute OneView Video. From: (Wealth Mgmt MS) Sent: Wednesday, September 21, 2016 2:15 PM To: Gato, Kimberley (Wealth Mgmt MS); Richard Kahn Cc: Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: RE: Trades Richard, - you have bought 48,458 shares at $18.5375. Leaves 1542 shares. From: (Wealth Mgmt MS) Sent: Wednesday, September 21, 2016 1:31 PM To: Gato, Kimberley (Wealth Mgmt MS); Richard Kahn Cc: Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: RE: Trades Richard — On the day, you have bought 39,663 shares at $18.5366. Leaves 10,337 shares. - From: Gato, Kimberley (Wealth Mgmt MS) Sent: Wednesday, September 21, 2016 1:24 PM To: Richard Kahn Cc: (Wealth Mgmt MS); Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: RE: Trades Richard, On the order @ 18.58 Limit: You have now bought 14,892 @ 18.5313 Avg Leaves 10,437 Kindly, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 1291 Fir. I New York, NY 10104 Fax Fax: Please visit our we0site: http:fivwwv.morganstanleyFA.conUTheNBCGroup Earn Membership Rewards® points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more All your accounts. Any institution. One view. Learn more — watch the three minute OneView Video. EFTA00817325 From: Gato, Kimberley (Wealth Mgmt MS) Sent: Wednesday, September 21, 2016 12:16 PM To: 'Richard Kahn' Cc: (Wealth Mgmt MS); Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: RE: Trades Richard, Per our conversation we have adjusted our limit on the remaining shares. You bought 24,671 @ 18.5396 Avg You bought 2,200 @ 18.5521 Avg Leaves 23,129 open @ 18.58 Kindly. Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 12111 Fir. I New York, NY 10104 Phone: Fax: Please wsit our website. httpliwww.morganstanleyFA.comfTheHBCGroup Earn Membership Rewards® points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more All your accounts. Any institution. One view. Learn more —watch the three minute OneView Video. From: Richard Kahn [mailto: Sent: Wednesday, September 21, 2016 12:06 PM To: Gato Kimberle (Wealth Mgmt MS) Cc: (Wealth Mgmt MS); Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: Re: Trades Please raise limit to 18.58. Thank you. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 EFTA00817326 Phone Fax Cell On Sep 21, 2016, at 11:48 AM, Gato, Kimberley > wrote: Richard, You have executed 22,420 Shares @ 18.5386 avg, leaves 27,580. The order will remain in place as a day order @ 18.55 unless you call us to make any changes. Kindly, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 12th Fir. I New York. NY 10104 Phone. Fax: Please visit our website: httplAwAv.morganstanleyFA.corn/TheHBCGroup Earn Membership Rewards® points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone® is now available. Learn more All your accounts. Any institution. One view. Learn more — watch the three minute OneView Video. From: Gato, Kimberley (Wealth Mgmt MS) Sent: Wednesday, Se tember 21 2016 10:56 AM To: 'Richard Kahn'; (Wealth Mgmt MS) Cc: Tucker, Lillian (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: RE: Trades Richard, As per your conversation with we entered the ordered. You have executed 10,584 Shares @ 18.5416 AVG, leaves 38,416 open @ 18.55 Limit. Kind Regards, Kimberley Gato Wealth Management Associate I The HBC Group Assistant Vice President Morgan Stanley Wealth Management 1290 Avenue of the Americas. 1291 Fir. I New York. NY 10104 EFTA00817327 Phone: Fax: Please visit our website: http://www.morganstanleyFA.comrtheHBCGroup Earn Membership Rewards° points on all of your purchases with the Morgan Stanley Credit Card from American Express, available with $0 Annual Fee. Contact me to learn more. Get mobile today with Morgan Stanley. Our app for iPhone is now available. Learn more All your accounts. Any institution. One view. Learn more — watch the three minute OneView Video. From: Richard Kahn [mailto: Sent: Wednesda September 21, 2016 10:21 AM To: (Wealth Mgmt MS) Cc: Tucker, Lillian (Wealth Mgmt MS); Geo, Kimberley (Wealth Mgmt MS); Collins, William (Wealth Mgmt MS); Cina, Maurizio M (Wealth Mgmt MS) Subject: Re: Trades Please buy 50,000 shares of colony capital (clny) in gratitude account with a 18.55 limit. Please work order as stock does not seem so fluid this am. Thank you. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York. NY 10022 Phone Fax Cell On Sep 21, 2016, at 10:04 AM, > wrote: Hello Richard —We just left you a voicemail. Apologies for not getting back to you sooner. I did not see your 6:37am email and just returned from a breakfast meeting. To avoid delays in responsiveness in the future, please send all emails concerning trades to all the parties above and one of us will phone you for the order. To clarify, on unsolicited trades of your choosing, we will honor 4 cents/share with a minimum ticket size of $100. If you still wish to trade today, please let us know. Thank you. From: Richard Kahn [mailto:- Sent: Wednesda September 21, 2016 9:11 AM To: (Wealth Mgmt MS) Subject: EFTA00817328  Are you in today? Please come back to me with cost per share as I would like to place order when market opens. Thank you. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York NY 10022 Phone Fax Cell NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute. advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error, please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right, to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms available at the following link: http://www.morganstanley.comfdisclaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley. NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute. advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms available at the following link: httplivAvw.momanstankey.corrtfceselaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley. NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute. advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms available at the following link: http://www.moraanstanley.comidisclaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley. NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute. advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms available at the following link: http://www.moreanstanley.comfthselaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to The voice recording of conversations with personnel of Morgan Stanley. NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute. advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms available at the following EFTA00817329 link: http://www.morganstanley.comidisclaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley. EFTA00817330