EFTA01461003.pdf

USPB relationships by size tier - size tier in EUR - data in USD # % of total % total Revenue O1 % of total Row Labels Relationships relationships CBV Q1 2015 CBVs 2015 (USD) Revenue ALGONQUIN ADVISORS 1 0% 0% 2,663 0% ZELL SAMUEL 1 0% 0% 30,141 0% HAMILTON JO 1 0% 0% 422 0% LYNN SCOTT 1 0% 0% 81 0% HARCOURT A 1 0% 0% 50 0% MACK MARGARET B 1 0% 0% 1,000 0% HARDWICK 1 0% 0% 24,020 0% MAICKEL ROB 1 0% - 0% 1,009 0% HARKIN 1 0% 0% 754 0% BURWEN FAMILY 1 0% - 0% 754 0% HASSLER HOWARD 1 0% 0% 1,013 0% MARC GOLDSTEIN 1 0% 0% 64,634 0% HAVERIM BEHROOZ 1 0% 0% - 0% MCCAW-JACK PRI 1 0% 0% 795 0% HAWTHORN HILLS 1 0% 0% 0% MELVIN SUS 1 0% 0% 789 0% HEYWOOD TRUST 1 0% 0% 15,158 0% CADDIS VENTURES 1 0% 0% 28,682 0% BRADY CHARLES 1 0% 0% 156 0% MOFFITT EARLE 1 0% 0% 259 0% COTTON CREEK WASTE 1 0% - 0% 1,294 0% ARMENTROUT 1 0% 0% 767 0% HORTON STAN 1 0% - 0% 1,178 0% MUDRICK JASON 1 0% 0% (12,500) 0% HPM FRM LM 1 0% 0% 315 0% MURRAY DAVE 1 0% 0% 0 0% BALTIMORE LIFE 1 0% 0% 1,631 0% MYERS CC 1 0% 0% 0 0% ALLCO FINANCE 1 0% 0% 5,311 0% NANCY LEMASTER 1 0% 0% 439 0% JAL VENTURES CORPOR 1 0% 0% 35,388 0% NEWTON THOMAS 1 0% 0% 1,066 0% JOHN MIX 1 0% 0% 112,624 0% OLINER MARTIN 1 0% 0% 679 0% JONES DAVID A 1 0% 0% 2,499 0% CHRISTENSEN ERICK 1 0% 0% (2,500) 0% CULLEN MARK 1 0% 0% 419 0% PAPPAS WILLIAM 1 0% 0% 3,369 0% BRIAN FRENKEL 1 0% 0% 154,944 0% PATOUHAS PHIL 1 0% 0% 454 0% JUSTIN COLLINS 1 0% 0% 25,278 0% PELOQUIN M&K 1 0% 0% 5,375 0% KANTOR DAVIDOFF 1 0% 0% 56 0% PERIGON 1 0% 0% 1,780 0% BURGESS JOHN 1 0% 0% 26 0% PETER GERHARD 1 0% 0% 437 0% KHACHATURIAN HENRY 1 0% 0% 5,755 0% PICOCO LLC 1 0% 0% 71 0% ANDREWS MOLLY 1 0% 0% 4,643 0% PILAS STAN 1 0% - 0% 885 0% TONZOLA JOHN 1 0% 0% (1,250) 0% PYE CHRISTOPHER 1 0% 0% 50 0% STRAUS WALTER 1 0% 0% 1,388 0% RAY JAMES 1 0% 0% 625 0% 55/57 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0122786 CONFIDENTIAL SDNY_GM_00268970 EFTA01461003