EFTA01379457.pdf

Cc: Vahe Stepanian Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can clarify. Thanks From: Richard Kahn Sent: Tuesday, April 25, 2017 3:48 PM To: Stewart Oldfield Subject: trading capabilities are we able to do any of the following trades in our accounts • Trade fx forwards and options • CDS Equity derivatives If so would this be out of your Wealth Management group or Investment Bank? please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0076940 CONFIDENTIAL SDNY_GM_00223124 EFTA01379457