EFTA01379540.pdf

From: Stewart Oldfield Sent: 10/23/2017 10:37:15 AM To: Amlcompliance In • uirie CC: Cynthia Rodrigue Andrew Gallivan BCC: Subject: RE: Inquiry Regar' ing Accoun Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please call with any questions. Thanks From: Danya Friedman On Behalf Of Amlcompliance Inquiries Sent: Monday, Octob To: Stewart Oldfield Cc: Amlcompliance In Cynthia Rodrigue Andrew Galliva Subject: Inquiry Regarding Account Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Importance: High Classification: For Internal use only Good Morning: The above referenced account has had the following activity. To assist in this review and further document your supervision of this account, please provide information regarding the following transactions. Your complete response must be received within 5 business days. Outgoing Wire 09/19/2017, 578,938.00, ALPHA GROUP CAPITAL LLC at BANK OF AMERICA, N.A., NY 1. Please explain the purpose of this Outgoing Wire. 2. Please explain the relationship between the Client and Counterparty. 3. Please explain the business activities of the Counterparty. Please provide any additional pertinent information. Thank you in advance for your prompt attention to this matter. Best Regards/Mit freundlichen GriiRen, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0077126 CONFIDENTIAL SDNY_GM_00223310 EFTA01379540