EFTA01595091.pdf

Private Client Group - Domestic Security InstructiOns Retitattiparrirminee AeeeAnd below meth.' n Amount IVOSS6CQ33 Aoiteluei Tittle F114,424C1AL 7RL1S7 OCIPAPAti'l corvette' Margin Requester Intormatlail Name Youn 441,01 nem A 6345671 Deobtoc DEL The C641 6111 Deb 041'1712013 Callback Cellbeok ninefTlme. Triairett,peseorn, Six.ariutigs Wdomawel 0 DIG PAS 0 OtPar Priority osit Client Letm kit JettaNeal Perron Outitikked. re IN C4i Maaktrze CSW AMEI }it Math: Data 04,1r1201-3 Settlement Mem 04117101113 10101111ThiA iEl Onaelltokupeems roaluiraci .141 ON or Raw Maroon Call Ibutiet LV 13.007 TS4 CO) . C00 Afflagbat tl, JO ! ireleillthis Sioneav 0.)) [ 011egtelre LV sva sae ro) pedal tritarteetiorli Struts Cr 3R2 neriedvtary Amount Number: 242.M1C47,t Sersieltery Aeveurd TttleRouthcnt 1-1.n.aro Otani Ty: Tweed ion 1Pew,ogh STP: Saeuerty Diaseriaeloin-, -1!;39,COCCOD PFN CI APPti Te.n1-7P3HICA S Chemin coup Rumor; vs102231$ JP114 Cleoelri4 JP1.01 Claw -No Cow 1.:7.11 Irgx Limed: NA Mean YLJW oprti 17, 2013 C6-44 5n ikte, (Er/1 1 nal Jan Lt E Froar Sent: • 1,1.3 1, 2:71' 7 I 7 To: ec: Cc: : .. • •.' Stibiecr. TEF - :7.17: :b..E .:r hz4i. Yie i cc ns ' !lini ..; :C! r 2'42 7.51eg liNg1116:50U11-1ERN FIIMICIP-.L. 13411 6./13 EFTA01595091 IYGN CL :ifgr TFR HU] FRM I'M 59 TEFFP 1 1110 PPEICEEEE aimrsi ICC:01"S SPLNCE$ m+ Pf22 ,- PE -NM rip alk VD W. MKT vihi. Litt EVSICALL EqUiri trz- ia a. •0 ligg 123-64- 09g 123.64- 2 RFT 113 EL 14- Fr0111! E Sunt; To iZhnel Cc: :"i!..-ae.J 1-ervie Su Ijpct.: 2o!..itncil efc, 7.;13200C .1. jCA: trU C I I I r; - LLC - Apr•18.2013 09.16 AM JPYlcrgan 30Z-6-34 4/9 JanetE. Young' Vice Preskilent Private Bank' J.P. Morgan j NVLS ID 4 832072 - :730 Marto!' C-tristiana Ra-ad, DE /9713 oar Alternate I; -v i-.1. contacts: 3 from Sylvester, Vichael sent Wednesday. April 1?, 2013 9:08 AM To: Yourkj, Janet E-, Baky, Drew X Cc <urrar, Schrtiid, ',f)chael Subject RE: TE.CS Case submtted "IFF - Short Sakl Journal vs. cash - Financsal Tru: Tccs Case 'J2022.020 has teiti Eubriiited This is a Nil transfer to 242 75109 ? to Soathern Finance, LLC - I Mithael Sylvester I Margin Analyst I J.P. Morgar Irvestmeit Rank I 3 I Metrolech teeter 8th Floor Brooklya, NY 11245 T: (347) 643-1024 F: (917) 849-0227 I ird chael .sv:veitelipPoryan ,com I JPHorgan .com From: Young, Janet E Sent: Wedre5day, April 17, 2013 S:03 AM To: Bailey, Drew X; Sylvester, Mictael Cc: (JO Middle Office,: P9-Service1318 Subject: recs Case submitted i t*- - Shot Sale Journal vs. Case 3202000 has been submitted • Firaricial T-ust 0:), to .Southern ar.cal LLC lnrs Drew and Mike, TECS Case 3202C00 has been - • d to move the *ion oositior of Telermlica from fri.,vgin # financial Trost Co., Inc. ( phase 3 rr 742006E63 tc margin A/C 4 W9185.0735 Southern Fina !Kid , 1.1.0 I phase 3 74.2751093 }. Please process this journal request. EFTA01595092 Thank VOL, Janet Young Janet E. Young I Vice P-esldent I Private Balk I J.P. Morgan I NMLS ID #832072 - 50C Stanton Christiana Road, Newark DE 19113 T1800-634-1_418 I r: 888-131-b6U Aanet.e.veLnealcmorzan.corn Alternate contacts: From: Da-ey, Drew X Sent 'Ti..e;riey_Aprl 16, 2013 12:49 PM To: Young, Janet E; Pfi-5ervice1316 Cc: •610 Middle Office Subject: FW: U - Short Sale Journal vs. cash - Financial Trust CO. to Soutnern LLC Hi Janet — Sorry to do toop vou Dink in on tnis request bat if you :mild assist with suomitting a I ECS case for aurft purpoSeS Mike Sylvester' and h4 team should be fine to make the iournal for is. Details are summarized below. f you have any questions or 'ssues feei free 10 give me a tall Thanks again for your help, Crase 302.45 Client is transferrin all assets froli their current account Financial Trust Co. to a new criti!y that vi 7is recently es a is e - Southern financial -kind would like to also move the below TEF short position, The client moved in $15k to Cash to rece'vting margin account to collateralize the KEG T req jiremr.nt for the short. C.an you please review and if you have no issues approve Mike or Ira to process this 35 a Journuf vs cash: Moving 3 Short of 1,539 rt F vs. $21,761.46 (today's real-time ho ledger balance T FO R:Oa T13 nks Drew Winer spriley ASS4Xsate, J.P. Morgan Private Bank Gobat Investment Opportunities Group 320 Park Ave, 14th Floor New York, NY 1.3022 Eg15 T:21,-622-1207 F: A66,2204575 J.P. Morgan Chase Bank, N.A. J.P. Morgan Securities LIC Ttai (Mai cuifidentatl 3nd subject lu rrpurtait c ictiirnirs and conlitms naludn g cn aborc tor he riin'ai+e cc Saha .11 seartles,ao.t,raci otaxintisser,uJrr confidant-41N Il aottileva. ar 1,4101 inLk udain uu..a.04 04110 ww INrcrirun crt1/44444.19ittsrlosamstemai 111$ Cirutiaar 2 Dtadvskre: iPtiaraprionzae C rand Is ffh keel. 410 tint p.m).* 1st *duct Attuataltik..rrf 41iXt s14111 0..*4 J. lab "natter:, ccrtria'ed herrn EFTA01595093 lircuair2 'merits: is mit onstten tte awl ann canrirn Ut ua ii runrectiun wt the prcanctiun, rartatre tx^ rcenmortiralit:cr anrcnut fiifl Iflfl artfurgar thaw L Ca c arid, ekr flatlet!. aeze,...e,vj sasre4r fn. *40 surpo's rfay.:- 11401gIJ,esia-satiates pe mines From: Batley, (New X Sent: Tuesday, Asprl 16, 2013 1143 AN To: Ea: ey, Drew X,: liarriscn, X; PhIS O&M, Kati Ira L; Sylvester, Viciact; tfughes, Cc: 6:0 Middle Office Subject Pt'. TEF ShUrt Sale Journal vs. cast - rnaticlei Trust CO. to Souther- Financial LLC the account was torfecr.ed .a5t rtigt-tt_ Can We hitiate t 1,ournal today? Pranks Drew Fd: Yt1". !- I, Li 242 -7518g -91H 14 2-ri• 5-9 scialiERA FMAWESALLLt 10 JEANNE BREW* t41:07• RED HOM QUAFTER, B5 ST THOMAS SY NOPOS Y: zl -114E TOW 22-2222222 BtRT4 (ATE LANG E CH F 1 SIM GOCSODD TPAG 01 ours ,_13111 2D ACCLS RSA WAR 41E35 MIX %Si PCB :"242 FL AIC SETT :42 GTR WC; CLASS ,IPME ETU'. LAMES 2 ERK-BK. ipieD12110H DATA** CVO WAIG Y APR 64,113 PLC 954.' PLACIASE V PPMP 0111 la SPREADS Y NO TARO WEMD pticijPU1S MRD PITS 1 mpJo NED 1P1 Y PIO CJER , 614716.16 41:4227 11,4IIMPJJETIOWA., 1 DT IYA U EUY sui uiv CM i-ICLD F4Wii SELL 1-4L0 *t:CM TYPE 3 N MAN EEC 12 1 VC: (Ki ER4 CCHF CB Wr :Nr PR ExEMT 01 tr FPRIC EFTA01595094 C. NOTICE ITF 1.69i TAX EiTh MFW (XI 1,441 TAY SOLEMOD RP PAYOUT StO ElE01 NO RRITCIST CCrm CODE STK RHO CIS 0 AC14 OTS 000 3RA PUNY WM CBI N EACK: MD 6 IRS. **AGREEMENTS*w kA11;714 Y LCOM aurff N TRUST N MC H rFAo H: IdAV 143%, N N LID OISC H CORP Pe$ m AD:RW.8z NflJA ACCESS DDDE: MIA .4040 MORE BLIEDESS*3 ***LEGAL PI*1511 Trkxxii CASH H mPREN4 11 COY N OPT (AC CUST' TYP g3 COY RES: N SVC CCC 0.14411 4,,,ADLE DELI GEP•CE * *4 1,111V 611XS UBE FST 140710E F2D-cv-r. WO8 NSRB umm WEN: 03/28/113 C1-15: 34115113 PF.5-,SCRcH FAO, NO I/P, pr12-1-au HEW ACCI = F14141 r2-141fi PS-PCS F4-4,014 FE -JOUR F7-1,13MA FB-CJK Fl 7p From: B,Hicr., Sera.: rlericay. ApT 15.. TO! "7 CC: 1: SLalj".1.:P L; EF P.7:111-7.9 .61-1 V.,1;au HiVi tc .71 I.LC 1{710'. I 1.1 fit I:1 •:".- 1,-..qP 2 171i DriekvBalle,e h 021.21,1 r '17 • • r .);.a Fyla n -c7 -R7e. 1 :7- .•-:)1.111 0916 I jPeler a an Crvr 3 oz -,e34-5580 ielOureoi Chase lb Co. awl Os efftlices tiz nut prixiide ton advice. A:raielnitly, sew disettonn S tut mete n rolioned herein lincluoinu Fry ttdimgiU t oat Intended or yelt.:em. to be user, resr creme: be Wed. Ii catteettice oath the promotion. n'$c.tn r recon-nendati" by atritorps- undelii.:,pe melt :Wtorgan Co. of ow of lid crofters address& berets or for the curls:se 01 otx, d na VS_ tax-ntlat.ii eg., irt- Frorn: r2rri9on, William X EFTA01595095 Sent: Vorclay, Aril' 15, 2013 8.48 AM To: Flaile,f, Draw X; )PMS Csedit; Kate, Ira I; Sylvester, Miciael; Hughes, William Cc: GIO Middle Office Subject TEF - Short Sale 'Puma' vs- cash - Firancial Trust CO, to Soutk-crn Finance' LLC Tie cash is sufficient The name dot eriatth 2.4.2.7f.1 N -91H 2-6 54 SOLITHIRN TRUST COMPAhY INC 0,0 JEANNE BRENNAN 6100 REC HOOK WARIER, 83 ST THOMAS ST THOMAS VI "0802 From: Ba ley, Drew X Sent: Molday, April 15, 1013 8:39 AM To: JF:M5 Credit; Katz, Ira ,_; Sylvester, Michae!: Hughes, lAidarn Cc: GIO Mido e Orce Subject: —ET Short Sale )oumal Y5. ash • Finance' Trust CO, to Southern 9oaricial LLC Ion / Bill a Gla rhent is transferring al assets from I neir current account Financial Trust Co, ) to a new ' t was recently established - Southern Frnancial LLC iaro would rice to also wove tte below TEF short position The client moved $15k in Cari t ceivre margin account to dolieteratize the AEG T requirement far the short. Can you pleaSe reittiew and if ydu ave rn 11PC approve Mike or Ira, to process this as a Journal vs cash: Mrivirg short of 1,539 TO- vs S21,761.46 toolay's real-tirne short ledger balance) FROM: 242-00686 TO 742 751L09 Let me kilo Thanks Drew t yot. have any quest;ons_ riJ ;77 '17 T.jj 242'0E4636 25A9141tF(HaMC:AL MIXT DDIIP 04,12/13 1434 CL 62 Tila PILD FAM NA. TEFFR 4 TO HU 21,15q - Hall PROEEE1 114:LISC CALL 392 CI; D TC7 ECITY pg F 701 PeAl It 01,1 WO.* TY DE SECO PT 4 CF1 Orli CE 7A C N :L Ii SEC1311 1 T V TYPE 2 dA,'00 IP FeR TOOkOS PCE4TIDNS - PF22 Is Kelt: *YSLOWILL8 54 " 14,14eM 6 06f25/12 TEF SPCWIRED POIR 4064.4,4, T' -PE 5 an.414.4 6A Fon TOCW'S PUS),T1ChE - Pf22 6A 1 .569- 6 Sk7ELWCIAE CA 91 ' 14.140H A R5/25112 1EF SKINFJ3FED POP PIU 2t ;7E1- RICI 242 COL06 ji; EFTA01595096 '1+P11,11e2i ,1-1—svp] wriwmm.Rwymmmwmf... 4*, 777 242 33635 25*911110F4NRHEIAL TRUST CDHP 134112/13 -•4•M J, 1FR HLO Prim No Hao PFCCEED3 TEFR 4 l'44A TODAY'S DALAHOES ***a Pr22 - RETURN Td0 em SID NI_ PET VAL FEE EXCEJCALL EW/TY 6,761.64- 6,7E1.34- 2 21,751 4C, 21,7e1.41.- s hET TO 5AL 2(1,40.10- AIC: 242 00636 CY: 0-: 13 242 7510.19 -1D4g11-14,501.111-iEFN TRUST 031PPI G4/.72/13 IHCLF1 II T'511:1 FFM 141 CASH 4MtL 15.304 TEF:A 1 117-10 FROCETS T/D EFL I S, G00 .004- 510 EFL 1530)13, 03, I Li 3;41_ 413113 AIC: 2.42.icCV: NEM EQTY 15,13021 ICT 1 -CE EcurrY i 5,0043 IET Equ I TY 15.11130 I:Fr P..14 .ii .c 101 r' 7 71. : 17 ' r racking ID 04182013454105 "[LA' jo7.1PS hee7, D' ii I113ti •1 CLIDOCS I 1M67991556 P,81567361062 • IL -21-j-I',1 ; i":!:151-) Via '0:-..71.."717 71:2 '11'.11,11'1,; :12.:111 EFTA01595097