EFTA01390395.pdf

Deutsche Asset & Wealth Management Account Agreement Southern Financial LLC mites) Address 6100 Red Hook Quarter B3 St Thomas 00802 ty Stele rlib Cc Account Tide IComplete if different from the Client above) Account Nun*WM IMPOTTTA014P114 :SiGINTAN AND. RETURN THIS Aecouna;4*Ethro This is the account agreement (Account Agreement) between Client and Deutsche Bank Securities Inc. (referred to herein as "DBSI'). It includes the terms and conditions and is the contract that controls each brokerage account in which Client has an interest leach an teiccouml. Client agrees to read this Account Agreement and the Appendix to this Account Agreement: Disclosures and Definitions (-Appendix, carefully. If Client is not willing to be bound by these terms and conditions, Client should not sign this Account Agreement. Client's signature confirms that Client has read and agrees to the terms of this Account Agreement and the Appendix annexed hereto. L CLIENT REPRESENTATIONS Client certifies that all of the information provided by Client in this Account Agreement is accurate and complete and that each of the renewing statements is accurate as to Client and Client's Account: a. Where Client is a natural person, Client is of legal age; b. For all accounts: (a) no one except the personis) named on the Account(s), or, if signed in a representative capacity. then no one except the beneficial annals), has any interest in the Actoungs). (lei Client band will remain compliant with ell Applicable Laws, (e) Client is financially capable of satisfying any obligations undertaken through Client's Account(s), (d) Client acknowledges that the purchase and sale of securities entails substantial economic risk, and represents knowingly and willingly that Client can assume such risk and (o) Client has road and understands the terms set forth In this Account Agreement and those agreements or supplements incorporated by reference anti understands that Client is bound by such terms: c. Client agrees to notify us in writing if: (a) Client Is or becomes an employee. member Or immediate family member of any securities exchange (or corporation of which any exchange owns a majority of the capital stock). Financial Industry Regulatory Authdnty, Inc. iFINRAhor of any broker-dealer, (b) Client is or becomes a senior officer or immediate family member of such a person of any bank. 9.111/11V9 and loan institution. insurance' company, investment company, investment advisory limn or institution that purchases securities, or other employer whose consent i3 implied to open and maintain this Account by regulation or otherwise. unless such consent has been provided to DBSI. Client will promptly notify DBSI In writing if any of the above circumstances change. II. TERMS AND CONDITIONS THAT APPLY TO CLIENT'S ACCOUNT(S) The following tartne end conditions govern Client's Account(s): 1. Rights of DBSI. All rights granted to DBSI under this Account Agreement are granted with the understanding that it shall be within the seln a iscretion of DBSI whether, andan what manner, to exercise such riahts. The failure of DBSI to exercise any right granted under this Acobent Agreement shaft not be deemed a waiver of such right or any other right granted hereunder. D0SI retains the right to delegate to its agent, inchicling its clearing agent, Pershing U.0 (Pershing), one or more of oasts rights or obligations under this Agreement without notice to Clierit. 2. Cash Account. 0651 will classify each Account as a cash brokerage exeunt. DBSI mint separately approve the opening of a margin account (Margin Account) and Client must separately sign the Margin Agreemein. 3. Order Execution. Orders for the purchase or sale of assets may be routed to or executed through any exchange, market or broker that DBSI selects. 4. Rules and Regulators. All transactions in AccountlsY shall be conducted in accordance with and subject to Applicable Law. III 1111111 111111 D2 13-AWM-0t96 0121450121113 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094891 CONFIDENTIAL SDNY_GM_00241075 EFTA01390395