EFTA01375206.pdf

From: Donna Kerrigan Sent: 10/11/2018 10:54:21 AM To: Leslie Roth CC: Robert Frohlich Stewart Oldfield Subject FW: Southern Financial - AUM example ill Classification: For Internal use only Hi Leslie — Please can you take a look once the month-end is complete today. Thanks, Donna From: Stewart Oldfield Sent: Thursday, October 11, 2018 10:52 AM To: Donna Kerrigan < Subject: FW: Southern Financial - AUM example Di FYI, KCP brokerage (and also AG deposits) don't seem to be flowing into GMIS CBV data. NNA data seems to be unaffected From: Bradley Gillin Sent: Thursday, October 11, 2018 10:19 AM To: Stewart Oldfield < Subject: Southern Financial - AUM example ill Classification: For internal use only Both and account balances have been removed from our GMIS reports. GMIS: SOUTHERN Classic 1,188 FINANCIAL LLC Advisory 0 0 Classic Advisory 1,188 SOUTHERN FINANCIAL LAC 1,188 ACCIIII nt Balances: Customer Name: Southern Financial LLC (6 records) $136,024,620.23 - SOUTHERN FINANCIAL LC Broxerage Advisory W.00 - SOUTHERN FINANCIAL LLC Brokerage Advisory 421,636,001.00 - SOUTHERN FINANCIAL LLC Deposit Transactions $1,187,706.86 - SOUTHERN FINANCIAL LLC Brokerage Advisory .t $111,664,173.00 - SOUTHERN FINANCIAL LLC DB AG NY Preferred Deposit $1,536,739.37 STRUPDT0118001 - SOUTHERN FINANCIAL LLC Structured Transactions CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070456 CONFIDENTIAL SDNY_GM_00216640 EFTA01375206