EFTA01365952.pdf

From: Vahe Stepanian Sent: 8/28/2015 2:23:12 PM To: Roddy Moore I ; Ariane Dwyer I i CC: Daniel Sabba ; Troy-D Williams Subject: RE: Southern Financial [I) Classification: For Internal use only Ok, Daniel will reach out to him upon his return the following week. I'll be on my MTA. From: Roddy Moore Sent: Friday, August 28, 2015 2:04 PM To: Vahe Stepanian; Ariane Dwyer Cc: Daniel Sabba; Troy-D Williams Subject: RE: Southern Financial [1] Classification: For internal use only Note that Troy is out next week. From: Vahe Stepanian Sent: Friday, August 28, 2015 1:46 PM To: Roddy Moore; Ariane Dwyer Cc: Daniel Sabba; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only Roddy - the below is part of a broader conversation that needs to take place upon Daniel's return. Please send us a few times that you and Troy are available to meet with Daniel and I next week. Thank you, Vahe From: Roddy Moore Sent: Friday, August 28, 2015 1:29 PM To: Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only The market has corrected the issue of the client being over 50% on his AAPL if that's what you're worried about. I just want to fix the problem with the acct set up. Why are we waiting on Daniel to provide the KYC and SIC code? It seems like something that he'd delegate to you anyway. From: Ariane Dwyer Sent: Friday, August 28, 2015 12:52 PM To: Roddy Moore Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [1] CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0057404 CONFIDENTIAL SDNY_GM_00203588 EFTA01365952