EFTA01384451.pdf

On Apr 25, 2017, at 4: 14 PM, Vahe Stepanian wrote: Generally agree with Stewart. Is there anything specific you are looking at? Thanks, Vahe From: Stewart Oldfield Sent: Tuesday, April 25, 2017 4:02 PM To: Richard Kahn Cc: Vahe Stepanian Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can clarify. Thanks From: Richard Kah Sent: Tuesday, AprPMM IIIM To: Stewart Oldfield Subject: trading capabilities are we able to do any of the following trades in our accounts ▪ Trade 5( forwards and options • CDS • Equity derivatives If so would this be out of your Wealth Management group or Investment Bank? please advise thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0084642 CONFIDENTIAL SDNY_GM_00230826 EFTA01384451