EFTA01299771.pdf

RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE ACCOUNT TYPE AMOUNT CCY PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-002162 1 2,760.00 EUR IBD P6XEDSUM 09.07.09 03.31.09 CMG7F0000010 USDE : $3,075.74 TRADE DATE: 09/24/2015 VALUE DATE: 09/25/2015 FEE DESCRIPTION AMOUNT CHARGE TO NAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK DEUTDEFF DEUTSCHE BANK AG FRANKFURT AM MAIN GERMANY SECOND FFC ULT BENZ 958409510 DEUTSCHE BANK AG NEW YORK ADDITIONAL INSTRUCTIONS : ISAR DE67500700100958409510 ATTN PWM PCG SERVICE TEAM RIVERSIDE EUROPEFUND III LP 630 FIFTH AVE NY NY 10 11 RELEASE DATE : 2015-09-24 RELEASE COMMENTS RULE NUMBER MESSAGE 03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-MARGIN REQUEST 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IND1CWO7F0000010 Req E Eligible : No USER ID DATE TIME STATUS COMMENTS CPSAMPS 09/25/15 03.31.09 SNT The Currency wire got settled. MGNTLUB 09/24/15 10.47.58 PPR HGNTLUB 09/24/15 10.47.58 ULK M3NTLUB 09/24/15 10.47.58 APP LOA / PRTNTSHP / HOLD LIFTED BY MARGIN / SUFI, BUR MONTLUB 09/24/15 10.44.36 LCK WORKAUTO 09/24/15 10.38.04 APP P6XE2K02 09/24/15 10.38.03 ULK SONY_GM_00065870 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028695 EFTA_00 176370 EFTA01299771  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XZ USER ID DATE TIME STATUS COMMENTS P6XEZKOZ 09/24/15 10.38.03 APP ➢6XEZKOZ 09/24/15 10.35.19 LCK P6XEDSUM 09/24/15 09.07.09 SIM ACCOUNT TYPE AMOUNT CCY BANK SNIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-014779 1 406,757.60 EUR IBD P6XEADWY 12.24.02 08.16.02 CMG7F0000050 USDE : $453,290.66 TRADE DATE: 09/24/2015 VALUE DATE: 09/25/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK DEUTDEFF DEUTSCHE BANK AO FRANKFURT AM MAIN GERMANY SECOND FFC ULT BENZ DE82500700100925815300 DEUTSCHE BANK AG ADDITIONAL INSTRUCTIONS : GUARDIAN INVESTMENT COMPANY LTD RELEASE DATE : 2015-09-24 RELEASE COMMENTS RULE NUMBER MESSAGE 03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-COLLATERAL PLEDGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE 03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO W8/W9. PLEASE REVIEW. 03504 -MULTIPLE REQUEST 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT- 42% OVER STANDARD TIKEFRAME 09938 -ACCOUNT ON WATCH LIST - HIGH RISK ACCUNT PER PIN US ETC POLICY SDNY_GM_00065871 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFlDENTIAL OS-SDNY-0028696 EFTA_00 76371 EFTA01299772  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE REASON EURO JOURNAL FROM ATTACHED ACCOUNT N40013797 COMING IN TO COVER BALANCE STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IID1CWG7F000005D Reg E Eligible : No USER ID DATE TIME STATUS COANENTS MONKSHI 09/25/15 08.16.02 SNT MONKSMI 09/25/15 08.16.02 ULK HGNKSMI 09/25/15 08.16.02 APP SUP? EUR AVA V/D 9/25/USD DEBIT VS NNF/DBAB APPROVED /LOA RECD/CORP RES OK MOINKSMI 09/25/15 08.15.50 LCK IIGHTIAR 09/24/15 17.15.58 ULK NONTLAR 09/24/15 17.15.58 BID PENDING ADDITIONAL ACTIVITY. PLEASE SSE PRIOR APPRVL optimums HGNJIAR 09/24/15 17.14.44 LOS MGNPBUN 09/24/15 17.11.18 ULK 102NPBUN 09/24/15 17.11.18 APP SUFF SUR AVA V/D 9/25/USD DEBIT VS MMF/DBAB APPROVED /LOA RECD/CORP RES OK MGNPBUN 09/24/15 17.10.59 LCK HOMPWRI 09/24/15 17.04.08 ULK MGNPBUN 09/24/15 17.04.08 HID PENDING ADDITIONAL ACTIVITY. SUFF EUR AVA V/D 9/25/USD DEBIT VS 101E/DRAB APPROVED /LOA RECD/CORP RES OK MONPRIMI 09/24/15 17.02.10 LCK MGNPBUN 09/24/15 17.01.32 ULK NCORIMIN 09/24/15 16.51.55 LCK MGNPBUN 09/24/15 16.27.42 ULK MGNPBUN 09/24/15 16.26.23 LCK NGNMEA1 09/24/15 16.25.11 ULK MGNPBUN 09/24/15 16.23.16 LCK MGNPBUN 09/24/15 15.54.38 ULK MGNPBUN 09/24/15 15.54.38 HID PENDING ADDITIONAL ACTIVITY. PENDING DBAB(SUFF EUR AVA V/D 9/25/USD DEBIT VS NNF/DBAB/LOA RECD/C ORP RES OK MGNPBUN 09/24/15 15.48.01 LCK WORKAUTO 09/24/15 15.35.19 APP P6XEMAND 09/24/15 15.35.19 ULK P6XEMAND 09/24/15 15.35.19 APP PENDING PROCESSING OF EURO JOURNAL FROM ACCOUNT N4G013797 P6XEMAND 09/24/15 15.34.17 LCK P6XEADWY 09/24/15 12.24.02 SUBM ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-014779 1 953,221,026.00 JPY IBD P6XEADRY 12.04.10 03.30.42 CWG7F0000051 USDE : $7,911,734.51 TRADE DATE: 09/24/2015 VALUE DATE: 09/25/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL SDNY_GM_00065872 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028697 EFTA 00176372 EFTA01299773  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 4 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK DEUTJPJT DEUTSCHE BANK AG TOKYO JAPAN SECOND FFC ULT GENE 85160720000JP2000TOK DEUTSCHE BANK AG ADDITIONAL INSTRUCTIONS : GUARDIAN INVESTMENT COMPANY LTD RELEASE DATE : 2015-09-24 RELEASE COMMENTS RULE NUMBER MESSAGE 03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR-COLLATERAL PLEDGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE 03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO WS/W9. PLEASE REVIEW. 03504 -MULTIPLE REQUEST 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-521% OVER STANDARD TIMEIGU1 / 210 09938 -ACCOUNT ON WATCH LIST - HIGH RISK Accurr PER PW51 US KYC POLICY REASON : . STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CWO7F0000051 Reg E Eligible : No USER ID DATE TINE STATUS CONSENTS CPSAMPS 09/25/15 03.30.42 SNT The Currency wire got settled. MGNJLAR 09/24/15 17.14.39 PPR MONJLAR 09/24/15 17.14.38 ULK MGNJIAll 09/24/15 17.14.38 APP PRIOR APPRVL COMMENTS VALID/AMT OK'D BY TREASURY MONTLAR 09/24/15 17.13.38 LCK IKRAIRAC 09/24/15 17.08.42 ULK MGNMRAC 09/24/15 17.08.42 APP DBAB INTERNAL WIRE-JPY AV 9/25-KMF TO CVR USD DR-TSY OK-OK PER SHARATH5DBAB.CR )40NNRAC 09/24/25 17.06.35 LCK MOTIMRAC 09/24/15 16.15.58 ULK MGNMRAC 09/24/15 16.15.58 HID PENDING ADDITIONAL INSTRUCTION. DBAB.CR APPVL-DBAB INTERNAL WIRE-BUFF JPY AV 9/25-MDR TO CVR USD DR-TSY OK/TONY MGNMRAC 09/24/15 16.07.35 LCK SDNY_GM_00065873 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL OS-SDNY-0028698 EFTA_00176373 EFTA01299774  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 5 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE USER ID DATE TIME STATUS COMMENTS P6XEMAND 09/24/15 15.59.35 ULK ➢6XEMAND 09/24/15 15.59.35 APP P6XEMAND 09/24/15 15.57.06 LCK P6XEMAND 09/24/25 15.57.06 ULK P6XEMAND 09/24/15 15.43.56 LCK P6XEMAND 09/24/15 15.41.30 ULK P6XEMAND 09/24/15 15.37.45 LCK P6XEMAND 09/24/15 15.37.45 ULK ➢6XEMAND 09/24/15 15.36.13 LCK P6XEMAND 09/24/15 15.34.17 ULK P6XEMAND 09/24/15 15.34.13 LCK P6XEADWY 09/24/15 12.04.10 SUBM ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID H40-022285 1 50,000.00 EUR IBD PAXEDSUM 14.06.55 14.38.51 CW0700000070 USDE : $56,435.00 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK INGBFR21XXX INC BANK FRANCE-RETAIL BANKING PARIS FRANCE SECOND FFC ULT ERNE FR7630438001004000047950769 M. PAOLO GIULIO BONESCHI ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW SONY_GM_00065874 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028699 EFTA_00 176374 EFTA01299775  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 6 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025 IBD NO : 624E RULE NUMBER MESSAGE 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -MULTIPLE REQUEST 09999 -ANL/AGGREGATION ALERT- 1 RULES TRIGGERED IN 1 REQUESTS REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMDICW07,00000070 Reg E Eligible : No USER ID DATE TIME STATUS COMMENTS MGNMUUI 09/25/15 14.38.51 PPR MONAKAN 09/25/15 14.38.51 ULK MONJUGUI 09/25/15 14.38.51 APP APPRVD PER L2 APPVR COWIENTS/HRM COMM SHEET RECD/SUFF EUR IS AVAILABLE MGNMUUt 09/25/15 14.37.48 LCK NONAPER 09/25/15 14.37.25 ULK MGNAPER 09/25/15 14.37.25 APP FOS AVA VD 9-28/W9/MULTI/AML APP/LOA RECD/DBAB MONAPER 09/25/15 14.36.38 LCK WORKAUTO 09/25/15 14.23.00 APP P6XEZKOZ 09/25/15 14.22.59 ULK P6XE2KOZ 09/25/15 14.22.59 APP P6XE2K02 09/25/15 14.21.53 LC% P6XEDSUM 09/25/15 14.06.55 SUBM ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID 1140-022285 1 1,720,815.38 EUR IBD P6XEDSUM 11.38.56 13.31.35 CW13700000040 USDE : $1,942,284.31 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK INGBFRPP ING BANK PRANCE COMMERCIAL BAN PARIS FRANCE SECOND FFC SDNY_GM_00065875 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028700 EFTA_00176375 EFTA01299776  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 7 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6/M BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL ULT BENZ FR7630438000012717203000421 IMO LEASING FRANCE ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -MULTIPLE REQUEST 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09924 -ND./EXCEEDS TURNOVER RATIO: MIN/DOM ACCT- 77% OVER STANDARD TIKEFRAMEC REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CMG7G000004N Reg E Eligible : No USER ID DATE TIME STATUS COMMENTS MOKAMAN 09/25/15 13.31.35 PPR NONMUUI 09/25/15 13.31.35 ULK MCNAMAR 09/25/15 13.31.35 APP APPROVED PER L2 APPVR COMMENTS/SUFF EUR/MULTIPLE REQS OKAY MONAKAN 09/25/15 13.31.01 LOX MGNRWAT 09/25/15 13.29.14 ULK MONPINAI 09/25/25 13.29.14 APP SUFF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./DBAB /ANL APPROVED MORPH/IV 09/25/15 13.28.42 LCK M0INFTRAT 09/25/15 12.41.39 ULK NOWPWAI 09/25/15 12.41.39 HID PENDING COMPLIANCE REVIEW. PENDING AML (SUFF EUR V/D 9/28/LOA RECD/CORP RES IMAGED./DBAB MONPBUN 09/25/15 12.31.04 LCK WORKAUTO 09/25/15 11.59.13 APP P6XE2KOZ 09/25/15 11.59.11 ULK P6XEZKO2 09/25/15 11.59.11 APP P6XE21(02 09/25/15 11.57.02 LCK P6XEDSUM 09/25/15 11.38.57 SOHN ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-022285 1 1,744,815.38 EUR IBD P6XEDSUM 09.58.30 11.38.32 CWG7G000002V USDE : $1,969,373.11 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FILE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACC? NO/IRAN RANI CITY COUNTRY INVL SIDNY_GM_00065876 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028701 EFTA_00176376 EFTA01299777  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 8 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : EXE BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK INGBFRPP ING BANK FRANCE COMMERCIAL BAN PARIS FRANCE SECOND FFC ULT BENS FR7630438000012717203000421 ING LEASING FRANCE ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -t4ULTIPLE REQUEST 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09924 -AML/EXCEEDS TURNOVER RATIO: MIN/DOM ACCT- 784 OVER STANDARD TIMEFRAKE REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : Reg E Eligible : No USER ID DATE TIME STATUS COMMENTS P6XEDSUM 09/25/15 11.38.32 CANC P6XEZKOZ 09/25/15 11.34.49 ULK P6XEZKOZ 09/25/15 11.31.03 LCK P6XEDSUM 09/25/15 09.58.31 SUBM ACCOUNT TYPE AMOUNT CCY RANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-022285 1 2,500.00 EUR IBD P6XEDSUM 13.57.15 14.35.14 CMG7G000006W USDE : $2,821.75 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A SDNY_GM_00065877 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028702 EFTA_00 176377 EFTA01299778  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 9 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK BNPAFRPPXXX BHP-PARIBAS SA (FORMERLY MUMU PARIS FRANCE SECOND FFC ULT BENZ FR7630004007780000261369725 MLLE HELENE DOUDEAU ADDITIONAL INSTRUCTIONS : PAUL BLOCK INDV PROPERTY FX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -MULTIPLE REQUEST 09999 -AML/AGGREGATION ALERT- 1 RULES TRIGGERED III 1 REQUESTS REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CW070000006W Req B Eligible : No USER ID DATE TIME STATUS COMMENTS NGNTLUB 09/25/15 14.35.14 PPR MGNTLUB 09/25/15 14.35.14 ULK MGINTLUB 09/25/15 14.35.14 APP LOA / SUFF EUR / MULTI M3NTLUB 09/25/15 14.26.22 LCK WORKAUTO 09/25/15 14.19.16 APP P6XEZKOZ 09/25/15 14.19.15 ULK P6XEZKOZ 09/25/15 14.19.15 APP P6XEZKOZ 09/25/15 14.18.50 LCK P6XEDSUM 09/25/15 13.57.15 SUM ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID 1140-022285 1 379,184.62 BUR ZED P6XEDSUM 13.49.09 14.37.41 CWG70000006U USDE : $427,985.68 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NNE CITY COUNTRY INVL SONY_GM_00065878 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028703 EFTA_00 I 76378 EFTA01299779  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 10 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6/4Z BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK HEBACY2N HELLENIC BANK PUBLIC COMPANY L NICOSIA (LEFKOSIA) CYPRUS SECOND FFC ULT BENE CY24005001400001400172181201 MARINETRADE LIMITED ADDITIONAL INSTRUCTIONS : PAUL BLOCH INDV PROPERTY PX 1401 N.VIEW DRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -tfULTIPLE REQUEST 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09999 -AWL/AGGREGATION ALERT- 1 RULES TRIGGERED IN 1 REQUESTS REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CM070000006U Reg E Eligible : NO USER ID DATE TIME STATUS COMMENTS MONAHAN 09/25/15 14.37.41 PPR MGMUCAN 09/25/15 14.37.41 ULK MONAKAN 09/25/15 14.37.41 APP APPROVED PER 12 ADM COMMENTS/SUFI' EUR IS AVAILABLE MONAHAN 09/25/15 14.36.55 LCK MONAPER 09/25/15 14.36.32 ULK MONAPER 09/25/15 14.36.32 APP FDS AVA VD 9-28/W9/MULTI/AML APP/LOA RECD/DBAB MOM PER 09/25/15 14.34.11 LCK MORKAUTO 09/25/15 14.18.38 APP P6XEZKOZ 09/25/15 14.18.38 ULK P6XEZKOZ 09/25/15 14.18.38 AFT P6XEZKOZ 09/25/15 14.17.12 LOX P6XEDSUM 09/25/15 13.49.09 SUBM SDNY_GM_00065879 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFlDENTIAL DB-SDNY-0028704 EFTA_00 176379 EFTA01299780  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 11 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025 IBD NO : 6XE ACCOUNT TYPE AMOUNT Ca BAND( INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-022285 1 23,814.40 EUR IBD P6XEDSUM 09.39.27 12.22.19 CMG7G000002Q OBOE : $26,879.31 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO NAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK PASCITM1IMI BANCA MONTE DEI ➢ASCHI DI SIEN IMPERIA ITALY SECOND FFC ULT BENZ ITSID0103010500000000157806 MARITTIMA SERVICE GROUP SRL ADDITIONAL INSTRUCTIONS : REF PAUL BLOCH ADDRESS PAUL BLOCH INDV PROPERTY FX 1401 N. VIEW DRIVEMIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03504 -MULTIPLE REQUEST REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : LOI1CNG7G000002Q Req E Eligible : No USER ID DATE TIME STATUS COMMENTS MGETLUB 09/25/15 12.22.19 PPR HGNTLUB 09/25/15 12.22.18 ULK MGNTLUB 09/25/15 12.22.18 APP IAA / SURF EUR MONTLUB 09/25/15 12.21.29 LOC WORKAUTO 09/25/15 11.59.52 APP P6XEZKOZ 09/25/15 11.59.51 ULK P6XZEKOZ 09/25/15 11.59.51 APP P6XZEKOE 09/25/15 11.59.16 LCK SDNY_GM_00065880 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028705 EFTA_00 176380 EFTA01299781  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 12 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2025 IBD NO : EXE USER ID DATE TIME STATUS COMMENTS P6XEDSUM 09/25/15 09.39.27 SUBN ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-022285 1 2,500.00 EUR IBD P6XEDSUM 09.36.54 10.09.08 CWG7G0000020 USDE : $2,821.75 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT SO/IBAN NAME CITY COUNTRY INVL SANK BNPAIRPPrAX SNP-PARIBAS SA (FORMERLY BANQU PARIS FRANCE SECOND FFC ULT BENS FR7630004007780000261369725 MLLE HELENE DOUDEAU ADDITIONAL INSTRUCTIONS : REF PAUL BIRCH ADDRESS 1401 N. VIEWDRIVE MIAMI BEACH FL 33140 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. REASON : LOA UPLOADED. STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : Reg E Eligible : No USER ID DATE TIME STATUS COMMENTS P6XEDSUM 09/25/15 10.09.08 CAIIC P6XEDSUM 09/25/15 09.36.54 SUBN SDNY_GM_00065881 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028706 EFTA_00176381 EFTA01299782  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 13 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 624E ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4G-024950 1 30,000.00 EUR IBD P6XEADNY 08.39.57 09.03.45 CMG7G000002F USDE : $33,861.00 TRADE DATE: 09/25/2015 VALUE DATE: 09/25/2015 FEE DESCRIPTION AMOUNT CHARGE TO NAIVE FEE REASON WIRE FEE $7.50 OFFICE N/A HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK CCSPETIPPMTO BANQUE POPULAIRE RIVES DE PARI PARIS FRANCE SECOND FFC ULT BENZ FR7610207000852121190726369 ASS DES AMIS DE VALERIE LANG ADDITIONAL INSTRUCTIONS : DOMICILIATION BPRIVES SEVRES DUR0000085 RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. REASON : STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CW070000002E Reg E Eligible : No USER ID DATE TIME STATUS COMMENTS IRAPBEL 09/25/15 09.03.45 SNT IRAPBEL 09/25/15 09.03.45 ULK IRAPBEL 09/25/25 09.03.45 APP PEW RECD/DB CALLED CLIENT TO VERIFY, SOFT SUR, W9 IRAPBEL 09/25/15 09.00.35 LCK WORKAUTO 09/25/15 08.48.38 APP P6XEZKOZ 09/25/15 08.47.48 ULK P6XEZKOZ 09/25/15 08.47.48 APP P6XEZKOZ 09/25/15 08.46.37 LCK P6XEADWY 09/25/15 08.39.57 SUBM SDNY_GM_00065882 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028707 EFTA 00176382 EFTA01299783  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1 REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID N4H-037373 1 235,000.00 AND IBD P6XEAHEW 17.01.26 09.49.59 CMG7F0000081 OBOE : $164,876.00 TRADE DATE: 09/24/2015 VALUE DATE: 09/28/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $30.00 CUSTOMER N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK MACQAU2S AU184446 MACQUARIE BANK LIMITED SYDNEY AUSTRALIA SECOND FFC ULT BENZ 301910311 LORIMER AND MAPLE REAL ESTATE PTY LTD SALES TRUST A/C ADDITIONAL INSTRUCTIONS : RELEASE DATE : 2015-09-24 RELEASE COMMENTS RULE NUMBER MESSAGE 03026 -MONEY FUND CUTOFF TINE HAS PASSED. INTEREST CHARGES MAY APPLY 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO W8/W9. PLEASE REVIEW. 03600 -LOA REQUIRED. PLEASE FAX TO PERSHING 09922 -AMT./EXCEEDS TURNOVER RATIO: NEW/DOM ACCT- 97% OVER STANDARD TIMEFRAIDI 09999 -AND./AGGREGATION ALERT- 4 RULES TRIGGERED IN 1 REQUESTS REASON : LOA STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IND1CWG7F0000081 Reg E Eligible : No USER ID DATE TINE STATUS COMMENTS FSrhonti 09/25/15 09.49.59 PPR FSCARDU 09/25/15 09.49.58 ULK FSCARDU 09/25/15 09.49.58 APP PDS AVA VD 9-28/NO W8 W9/NO SALES/DOA RICO/AUTO SIGNER LIST IN HAND/DBAB: OK Fcrumti 09/25/15 09.47.09 LCK SDNY_GM_00065883 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFlDENTIAL DB-SDNY-0028708 EFTA_00176383 EFTA01299784  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE USER ID DATE TIME STATUS COMMENTS MOMPER 09/25/15 09.46.52 ULK MOMPER 09/25/15 09.46.52 APP FDS AVA VD 9-28/NO W8 W9/NO SALES/LOA RECD/AUTHRIZED SIGNER LIST IN HAND/DBAB MGNAPER 09/25/15 09.45.01 LCK HGNAPER 09/25/15 09.41.24 ULK MGNAPER 09/25/15 09.38.37 LCK HGNAPER 09/25/15 09.16.28 ULK MGNAPER 09/25/15 09.16.28 HUD PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE WORKING WITH IBD MGNAPER 09/25/15 09.16.07 LCK MGNAPER 09/25/15 08.05.48 ULK MOMPER 09/25/15 08.05.48 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE WORKING WITH IBD MGNAPER 09/25/15 08.05.30 LCK MGNAPER 09/25/15 07.03.23 ULK MGNAPER 09/25/15 07.03.23 HID PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE WORKING WITH IBD MGNAPER 09/25/15 07.01.51 LCK NONJLAR 09/24/15 17.52.52 ULK NGNJLAR 09/24/15 17.52.52 NW PENDING ADDITIONAL DOCUMENTATION. LOA SIGNED BY BRIAN HODGES - TRUSTEE REQUIRED/ DANIE DEUTSCHE WORKING WITH IBD HGNJIAR 09/24/15 17.37.19 LCK MGNAPER 09/24/15 17.17.52 ULK MOMPER 09/24/15 17.17.52 HID PENDING ADDITIONAL ACTIVITY. PAST CUT OFF MGNAPER 09/24/15 17.17.26 LOX WORKAUTO 09/24/15 17.11.08 APP ➢6XEXMCMI 09/24/15 17.11.08 ULK P6XEXMCM 09/24/15 17.11.08 APP P6XEKMCM 09/24/15 17.11.04 LCK NGNAKAN 09/24/15 17.09.30 PAPP MONJUUdi 09/24/15 17.09.29 ULK 193NAKAII 09/24/15 17.09.23 LCK P6XEAHEW 09/24/15 17.01.26 POVR SONY_GM_00065884 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DS-SDNY-0028709 EFTA_00 I 76384 EFTA01299785  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : EXE ACCOUNT TYPE AMOUNT OCT BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID QJU-001220 1 182,296.23 EUR IBD PEXETDON 10.11.33 10.11.35 CM370000002Z USD/ : 5205,757.75 TRADE DATE: 09/25/2015 VALUE DATE: 09/28/2015 PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $10.00 CUSTOMER N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL BANK DEUTDEFF DEUTSCHE BANK AO FRANKFURT AM MAIN GERMANY SECOND FFC ULT BENE DE43500700100925799900 DEUTSCHE BANK AG LONDON ADDITIONAL INSTRUCTIONS : BLVD MANUEL AVILA CAMACHO 76 202 LOMAS DE CHAPULTEPEC MEXICO CITY DF 11000 MEXICO RELEASE DATE : 2015-09-25 RELEASE COMMENTS RULE NUMBER MESSAGE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE 03600 -LOA REQUIRED. PLEASE FAX TO ➢ERSHING 09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-100% OVER STANDARD TIMEFRAME 09938 -ACCOUNT ON WATCH LIST - PIC ACCOUNT 09941 -A141.-ACCT IS A FOREIGN POLITICAL OFFICIAL QJU001220 REASON : SCANNING LOA STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : Reg E Eligible : No USER ID DATE TIME STATUS CONNENTS P6XETDOM 09/25/15 10.11.35 SUER SDNY_GM_00065885 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6( ONFIDENTIAL DB-SDNY-0028710 EFTA_00176385 EFTA01299786  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1 REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 09/25/2015 IBD NO : 6XE ACCOUST TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST BY AT AT ID 5XF-902392 1 17,000.00 CHF IBD P6XECKR2 10.53.19 03.31.09 CWG7P000003W USDE : $17,359.32 TRADE DATE: 09/22/2015 VALUE DATE: 09/25/2015 FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON WIRE FEE $30.00 CUSTOMER N/A BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL BANK UBSWCHZHSOA UBS SWITZERLAND AO ZURICH SWITZERLAND SECOND FFC ULT BENE CH9000243243G76401690 INSTITUT LE ROSEY ADDITIONAL INSTRUCTIONS : CARTER STONESIFER INVOICE REF 7643 RELEASE DATE : 2015-09-24 RELEASE COMMENTS RULE NUMBER MESSAGE 03100 -REG E ELIGIBLE WIRE 03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW 03301 -ALL CURRENCY WIRES TO APPROVAL. 03421 -REQUEST MAY BE SUBJECT TO TAX WITHHOLDINGS DUE TO WS/W9. PLEASE REVIEW. REASON : LOA ON FILE STANDING INSTRUCTION : N CURRENCY WIRES REF NUMBER : IMD1CWG7F000003W Req E Eligible : Yes Was a foreign exchange transaction completed in connection with this wire request No USER ID DATE TIME STATUS COMMENTS CPSAMPS 09/25/15 03.31.09 MIT The Currency wire got settled. MONTLUB 09/24/15 13.00.50 PPR N3NTLUB 09/24/15 13.00.50 ULK HGNTLUB 09/24/15 13.00.50 APP LOA / SUFF CHF MONTLUB 09/24/15 12.59.15 LCK MELKWEG 09/24/15 12.50.23 APP P6XETWIG 09/24/15 12.50.23 ULK SIDNY_GM_00065886 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c ONFIDENTIAL DB-SDNY-0028711 EFTA_00176386 EFTA01299787  RUN DATE : 09/26/2015 - 00.11.11 ASSET MOVEMENT ACTIVITY