EFTA01591617.pdf

Sep-29-2011 04:36 PM JPMcrgan Chase 302-634-5955 1/2 Swetra, Gina M From: Giuffrida, David 3 Sent: Thursday, September 29, 2011 11:04 AM To: PB-Service1318 Cc: Shankar, Sukrutha; Bookman, Stacey; Htoon, Wai; Katz, Ira L; Sylvester, Michael; Morrissey, Kevin; JPMS Credit; PB Credit Risk Management; Hsiao, Dennis; Hughes, William; Kumar, B.B.; Barrett, Paul S; Morris, Paul V; Baron, Stephen P; Weissend, Renee E Subject: RE: Immediate Action Required - REG T - FED/HOUSE CALL - 242 00686 25* 91H*FINANCIAL TRUST COMP Importance: High Client service team, 41(1/CT-- CPULLA" CNO24(96 Please move $28,320 from financial trust W account (W23560001) to the margin account to cure this call. Thanks David 3. Giuffrida 3.1), Morgan Global Investment Oppormnities Group 40 West 57th Street, Floor 33 New York, NY 10019 T: 212-622-2972 F: 212-310-0-108 From: Kumar, B.B. Sent: Thursday, September 29, 2011 10:15 AM To: Barrett, Paul S; Morris, Paul V; Giuffrida, David Baron, Stephen P; Weissend, Renee E Cc: Shankar, Sukrutha; Bookman, Stacey; Htoon, Wai; Katz, Ira L; Sylvester, Michael; Morrissey, Kevin; 3PMS Credit; PB Credit Risk Management; Hsiao, Dennis; Hughes, William Subject: Immediate Action Required - REG T - FED/HOUSE CALL - 242 00686 25*91H*FINANCIAL TRUST COMP Importance: High EFTA01591617  Team: Activities in the account yesterday generated this Federal/House call as noted below. Please provide us your action how to cure these calls before 2:00 PM today so that it can be updated to under report, ***REGULATION T FEDERAL/HOUSE CALL*** Date: 09/29/2011 RE: 242 00686 25*91H*FINANCIAL TRUST COMP Transaction(s) on 09/28/2011 in subject account created a House Call for $28,320 (with imbedded Federal Call for $28,320 due no later than 10/05/2011) due no later than 10/04/2011. The Fed call will automatically be cleared by satisfying the House call. 1 ID: 036109293131741 DATE: 09/29/2011 20:37:00 Page 1 of 2 DID: 8887316607 CSID: 302-634-5955 INDEX1: INDEX2: Sep-29-2011 04:36 PM JPMorgan Chase 302-634-5955 2/2 If this Federal Reserve Regulation T Call is not met in time, we must be supplied with a reason, as it will be necessary to apply for an extension of time from the Financial Industry Regulatory Authority (FINRA). Please let us know promptly how the call is being addressed by email to Private Banking Risk Management at PbcreditriskmanagementApmorgan.com and/or JPMS Credit at limns creditAipmorgan.com. If you have questions please call BB Kumar 212-272-3284, Jonathan Adwar 212- 272-5969 or Bill Harrison 212 -272 - 6232. Thank You. Bhaskara Kumar 1 Vice President I J.P. Morgan Securities - Credit I 277 EFTA01591618 Park Avenue, 2"I Floor, New York, NY 10172 I T: 212-272-3284 f F: 917-464- 2432 f bilkumargjornorgan.com J.P. Morgan Securities LLC JPMorgan Chase Bank, N.A. EFTA01591619  2 ID: 036109293131741 DATE: 09/29/2011 20:37:00 Page 2 of 2 DID: 8887316607 CSID: 302-634-5955 INDEX1: INDEX2: EFTA01591620