EFTA01363790.pdf

that can tell me why they are on the red list and how we can remove from them from there. Also, cant see the full red list to make sure there aren't other clients that shouldn't be on there. Thank you Nina Tona From: Jitan Patel Sent: Monday, February 26, 2018 6:24 PM To: Nina Tona < >; Rita Shteynber: >; Zack Bunimovich >; Lindsay Robinson < Cc: • Davide-A Sferrazza Subject: RE: "•'REASSIGN NEEDED•••FW: SOUTHERN FINANCIAL LLC ONB-I ••••URGENT•• [I] Classification: For Internal use only Hi Nina, Megha Arora includes you on the approval process before an account is exited (i.e. in the example of Tonell) as a result of it being on the red list. An account would not be exited without your knowledge as part of the clearing house. The red list has a number of drivers and I can link you into the ACO team who can give you the detail behind why the acct would have been added to the red list. Thanks From: Nina Tona Sent: Monday, Februa 26, 2018 6:12 PM To: Rita Shte nber < >; Zack Bunimovich >; Jitan Patel Lindsay Robinson < Cc: Davide-A Sferrazza Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-I •"`URGENT" [I] Classification: For Internal use only titan Please advise why Southern Financial is on the red list. This client was asked to be retained through Jane Varley and we are in the process of and NCA and product extension. This also happened to another client today, Tonell. I have not been part of the emails In regards to the red list. Please advise where we go from here as its very frustrating to find out while we are in the middle of an NCA and while we were trying to conduct trades. Thank you Nina 'tona From: Rita Shteynberg Sent: Monday, February 26, 2018 5:48 PM To: Nina Tona < >; Zack Bunimovich < >; Jitan Patel <->; Lindsa Robinson < Cc: Davide-A Sferrazza Subject: RE: •"REASSIGN NEEDED•••FW: SOUTHERN FINANCIAL LLC - ONB- ••••URGENT" [I) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054098 CONFIDENTIAL SDNY_GM_00200282 EFTA01363790