EFTA01362516.pdf

From: Davide-A Sferrazza Sent: 9/21/2018 1:34:30 PM To: Michael Raphael CC: Amit Gar ; Liam Osullivan Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP ill [CI Importance: High Classification: Confidential Mike, Do you happen to have any idea what this is account code is? STRUPDT0118001 KYC team said the following: One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. Not sure if you've ever come across this before, and I am not aware of any SP trades with this client since I've been here, but figured it was worth checking with you. Thanks, Davide From: Liam Osullivan Sent: Friday, September 21, 2018 1:28 PM To: Davide-A Sferrazza Subject: FW: 2018 Peril Review o Accts Sout ern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] IC] Importance: High Classification: Confidential I do not recognize the account code. Do you know what it is? Thanks From: Stewart Oldfield Sent: Friday, September 21, 2018 1:20 PM To: Liam Osulliv Cc: Bradley Gilli Richard larossi Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Do you recognize account code STRUPDT0118001? Thanks From: Vijay-A Sawant Sent: Friday, September 21, 2018 10:18 AM To: Richard laross Cc: Bradley Gillin ewart Oldfield Mayur Rathod CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051953 CONFIDENTIAL SDNY_GM_00198137 EFTA01362516