EFTA01359550.pdf

Southern Financial LLC salesforce.com - Unlimited Edition Page 6 of 12 Description Additional Brokerage Product Family Brokerage Stage Business Awarded Close Date 12/5/2013 Total Assets 510,000,000.00 Total Estimated Revenue 50.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period O1.2013 Next Step Type Additional Assets - Existing Product Last Modified Date 12/9/2013 Description Brokerage Funds Product Family Brokerage Stage Business Awarded Close Date 11/26/2013 Total Assets $5,992,414.75 Total Estimated Revenue 50.00 Probablity (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period O4-2012 Next Step Type Additional Assets - Existing Product Last Modified Date 11/26/2013 Description Brokerage #2 Product Family Brokerage Stage Business Awarded Close Date 10/18/2013 Total Assets 514,500,000.00 Total Estimated Revenue 50.00 Probability (%) 100 Expected Revenue Lead Source Owner Full Name Paul Morris Won Fiscal Period O4-2012 Next Step Type New Product - Existing Client Last Modified Date 10/18/2013 Description hups://dbforcepb .my.sal esforce.com/00 I 6000000qaNVw/p?retURL=10016000000qaNVw 9128/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047635 CONFIDENTIAL SDNY_GM_00193819 EFTA01359550