EFTA01291918.pdf

Draisre Banc Prrnie Wog', mmagentm matins COME•pe MOM CtettOw W Setteri New A Olior PO. Elm 1778. Brno, MO2IN3 30 FM AMI.O. lhl *cc' Ifeoll" PM 10114 P 0/MilIPL PON 21•4091. Account Number Statement Period:12/01/2013 -1213112013 Valuation at a Glance This Period Year-toDate Beginning Account Value $63,000.00 $0.00 Net Cash Deposits and Withdrawals 000 63.000 00 SOUTHERN FINANCIAL LLC Adjusted Previous Account Value 63,000.00 63,000.00 6100 RED HOOK QUARTER B3 Dividends. Interec. and Other Income 0.42 0.42 ST THOMAS VI 00802 Total Taxes Withheld -0.13 -0 13 nding Account Value $63,000.29 $63,000.29 Estim ated Annual Income $0.12 Your Client Advisor: TAZIA SMITH Asset Allocation Frio( Year-End Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposits' 0.00 63.000.00 63.00029 100.00% Your Account is 100% invested el USD Cash, Money Funds, and Bank Deposits. Account Total 10.00 163,000.00 163,000.29 100.00% Cank Deposits in your account are FDIC insured bank deposits. I FDI nsured bank deposts are not sixorines and are rot covered by the Securities Investor Protection Corpombon (SIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to atovrable lim4s. Pager of? et Rte.] I mennext • Set 04. 0 0•••••00 , 1 A0 10$493CSF10022 Go paperless sg— ye— in A On. , ••• ba ron...1•C ••.• 'MI% COOMONSIM SW/ MISS #••••••• • SSA PO St VC A ET EXCELLENCE CONFID5 ""•.•! SDW_GA4_000491338 Dn." RAIID CCMAMUNKATI°M5 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AN DB-SDNY-0012662 EF1'A_00160447 EFTA01291918  For Your Information Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 12/31113 11130113 Opening Balance 63,000.00 63,000.00 12/13113 Deposal INTEREST CREDITED 0.42 63.000.42 APT 0.01% 12/16113 Withdrawal WITHDRAWAL 4.13 63,000.29 TnState Capital Bank N0 12116 $6300029 12131113 Closing Balance 383,000.29 Total FDIC Insured Bank Deposits 383,000.28 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Tear•to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FOIC Insured Bank Deposits 042 0.00 0.42 000 Total Dividends, Interest, Income and Expenses 30.42 30.00 30.42 30.00 Portfolio Holdings Opening Closing Accrued Income 30.0ay Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits too.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,000.290 63,000.00 63,000.29 026 0.42 NIA Total FDIC Insured Bank Deposits $63,000.00 $63,000.29 HA 30.42 Page 2 of T nared AtOilaiNt A:1 0SOICSFI002: SO Lit ERN chONForNTI Account l\ umber: N46.0261131 Go paper less T I l• A L. sg-en ve..s In A Raw DALSA• RAMO COMMUNICATIONS EXCELLING( r e, wtot reran) „C ons• Maly LI.O. • SOpeer 00000 an. as: iwn A ter SatawC SDNY_GM_00049839 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012663 EFTA_ODI 60448 EFTA01291919  0...awe Sant 'Inuit Weith Maatenmil POaeon Conn. Comp Cetts4he laalt Seaoraribic Noillart Moo PC. Bta. 1116 Bat 'TONI 2'2•13 HI Prig Ism. 26th I ter Mena WI INN P 12) 15 1- 2.1.11ISSI 28•4 09, Statement Period: 12/01/2013 • 12131/2013 Portfolio Holdings (continued) Opening Closing Accrued Income 30.Day Desamtion Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $63,000.00 $63,000.29 $0.66 $0.12 Awned Estimated Market Value Interest Annual Income Total Portfolio Holdings $63,000.29 $0.00 $0.42 M essa•es Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at https://vnvw.dws-investments.comIEN/products/money-market-funds-yields.fsp. Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. ENective January 1, 2014, service and accounkelated fees vAll be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a kst of Program Banks, please visit http://wiwr.pwrn.db.corNamencas/en/CashSweepOobons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Page 3 of? Account Number N40426161 zik ) Resod Excellent Olowise aspitiNnibisip ISO. • WWI, wad ••••••••• OSOICSF300:2 111.A • .1 Go parerless Seven Yeas In A Pow OALIttal PAICO COMMUNICATIONS mei.. onions Sam Cdoil••••••••••• man ewer* ttc *swam 'MIA tale •ONC CO FIonviriAL LT"ERN SO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) tx1̀1wc` SDNYGM_00049840 DB-SDNY-0012664 EFTA_(()160449 EFTA01291920  Activity Sum m ary (All amounts shown are in base currency: USD) Credits This Period Year-lo-Date Debits This Period Year-to-Date Dividends and Interest $0.42 $0.12 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0.13 -$0.13 Cash Cash Withdrawals 0.00 0 00 Withdrawals 0.00 -63.000.00 Deposits 0.00 126 000.00 Deposits 0.00 0.00 Total Cash $0.00 $126,000.00 Total Cash $0.00 •$63,000.00 FDIC Insured Bank Deposits $0.13 $0.13 FDIC Insured Bank Deposits -$0.12 •$63,000.12 Total Credits $0.55 $126,000.55 Total Debits -$0.55 -$126,000.55 Transactions by Type of Activity Process/ Settlement Date Activity Type Desai ion Ouant Price Accrued Interest Amount CCY Dividends and Interest 12/13/13 FDIC INSURED BAK K It, SL RED DEPOSITS INTEREST CREDITED 0.42 LSD DEPOSITS INTEREST RECEIVED 158997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 0.12 Taxes W ithheld 12/13/13 NON.RESIDEAT AUEI, TAX NRA TAXWITHHELD ON INSURED DEPOSITS INTEREST -0.13 LSD 458997996 CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.13 FDIC Insured Bank Deposits 12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -0.12 USD DEPOSITS INTEREST REINVESTED 158997996 12/16/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.13 LSD WITHDRAWAL US0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -0.29 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Pape 4 ol 7 mi0S193C5F30022 Accouni N um ber. N46.026161 Raalall.<*liont Oleatipte 'Ss Lill • repeat somonsaaer Go paperless Seven Years In A Pew ow mesa novo sow axes esosass Ire mama •••••••01LC oast es to • IttOCOMPALINICATIONS use SO Li ERN CZ" LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDAENTIAL SONY GM_00049841 DB-S6NY-0012665 EFTA_(()160450 EFTA01291921  Orals° e Bina Pr.le maim mamitenme warms Commie Mom PettEMEMMSetEni Mw Wart Mar PO Elm 1778. &Emmet MO2IN3 345 Par% ASS.. MTh I *cc! Ms Vat PM 10114 (l0)451410i.IISM 0044095 Statement Period: 1210112013 - 12/31/2013 Client Service Information Your Client Advisor: TDS Contact Information TAN Sr? [Tr Telephone Number: Your Account Information Tax Lot Default Disposition Method Default M ethod for M ultra! Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Oienl Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked ''NIA"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions. they should not be relied on for making investment. trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VEWIl.pershing.cornibusinesscontinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. THE AS OF PRICE DATE ONLY APPEARS WIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vole than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you imbue', your financial organization otherwise. Pershing's currency conversion rate wil not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 5 of T A010Sl 9ICSF3 0 0:2 Account Number N404261131 Go paperiess Rs:7-41:=7:A Now Olowist/ am.. Positive116 nada/ sows anode, •• The Own lions Neroislawanis wage 0.fleAnitateoCOMAAUNICATIONS ...son< ...enema row sift CONFIDENTIAL - PURSUANT TO FED. R CRIM. P 6(e) SO L THERN CR ONFIDAFNETIA LW. DECIEEIPECI SDNY_GIN 00049842 DB-SONY-0012666 EFTA_0016045 I EFTA01291922  Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as cleanng broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuN of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabdity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit wiwcpershing.comrstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are generally final and binding; a partys ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were of are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York mem. Pershirig's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 6 of? MI 0519'3=3002: Account Number 1140426161 Go papertess Raked Sty., IA cellont Ve.ws unit Raw OINelmenselOWSINIU.0.•••••tomod.M.M.r •• Va. Nag Tom morner•Mos4s tav ers• DALRA• RATEDCOMMUNICATIONS F. it< dwanio• India DOSS Sec EXCELLENCE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: UTHERN FIDAENTIAL: SDNY_GM_00049843 DEt-SONY-0012667 EF1'A_00160452 EFTA01291923  TERMS AND CONDITIONS TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATiONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS FINANCIAL BISTITuliON OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM. STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WYYvV.PERSHNG.COMMUSNESS_OONTINUHY.HTML THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS- BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)) DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED FROM TIME TO TIME OUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT. NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGN