EFTA01372099.pdf

1511 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M arch 1, 2019 - M arch 31,2019 SOUTHERN FINANCIAL LLC We are providing the below information on your behalf to allow you to confirm the Standing Instructions on this account. Our records indicate that you previously provided these Standing Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holder's account at regular intervals, or as needed. The items included below are both instructions that appear to be third party asset movements, as well as first and third party journal instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automats Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below information carefully. If you have any questions or if any information is inaccurate. please contact your Investment Specialist. Tmosadlon Type RecOMM Name Bank Name Rete:vam Amount Number Start Date Frequency Amount Currency NON-USO WIRES DEUTSCHE BANK AO, LONDON DEUTSCHE BANK POLSKA SA "S DEUTGB2l. FED RIND WIRES DEUTSCHE BANK AG LONDON DEUTSCHE BANK TRUST CO. AM ERI' important ioformai on aid D sclosres The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any. to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (Sne). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www .pershing.comf about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 7 of 9 Account Number: Rated twellere CIist through Penabos UM. • wholly *ad Go paperless AtOUT t.CCIVUrf 4 Every Year Since 2007 OMAR WED COMPAVNICA71075 EXCELIDICE subsifurey of The Bakal Ni. Yort Make Comeration OM Mellen) PCISrat LLC. motto( AURA. NYSE SIPC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065700 CONFIDENTIAL SDNY_GM_00211884 EFTA01372099