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P22: Recruitment Patterns ✕
P21: Financial Networks ✕
D6: Institutional Capture ✕
D5: Procedural Violations ✕
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unknown
DataSet-10
EFTA01387509
EFTA01387509.pdf
(WP products and services ore intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts' under F1NRA Rule
4512(031 and are capable of evaluating …
D6
P21
V15
P22
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unknown
DataSet-10
EFTA01382133
EFTA01382133.pdf
exercising independent judgment in evaluating and determining whether to enter
into, sophisticated trading strategies and financial transactions. Transactions are
subje…
D6
V15
P21
P22
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unknown
DataSet-10
EFTA01386586
EFTA01386586.pdf
GLDUS238 SOUTHERN FINANCIAL LLC
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Ac…
P21
D1
D6
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D5
unknown
DataSet-10
EFTA01374950
EFTA01374950.pdf
IWP products and services are intended for and available only to sophisticated, experienced investors
who qualify as •institutional accounts' under FINRA Rule 4512(cX…
V15
D6
P21
D5
P22
unknown
DataSet-10
EFTA01382983
EFTA01382983.pdf
GLDUS238 SOUTHERN FINANCIAL LLC
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Ac…
P21
D1
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unknown
DataSet-10
EFTA01392366
EFTA01392366.pdf
GLDUS128 Patrick Gerschel
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access F…
P21
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email
DataSet-10
EFTA01387958
EFTA01387958.pdf
From: Liam Osullivan
Sent: 2./14/2019 2:26:48 PM
To: Bella Klein I
CC: Richard Kahn [ ; Darren Indyke I …
V15
D6
P21
P22
D5
unknown
DataSet-10
EFTA01394541
EFTA01394541.pdf
GLDUS140 Lawrence Hirsch
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fu…
P21
D1
D6
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unknown
DataSet-10
EFTA01378725
EFTA01378725.pdf
Tel.
Em
KCP products and services are intended for and available only to sophisticated.
experienced investors who qualify as inst…
V15
D6
P21
D5
P22
email
DataSet-10
EFTA01385907
EFTA01385907.pdf
From: Paul . 1s ]
Sent: 4/13/2015 4:06:34 PM
To: Stewart 0ldfield I
Subject: FW: Portfolio Protection Idea - SPX Puts Contingent on…
P21
V15
P22
D6
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unknown
DataSet-10
EFTA01366375
EFTA01366375.pdf
and may be paid out of the offering proceeds deposited in the trust account. The per-share amount distributed to
any redeeming stockholders upon the completion of our initial busines…
P22
D1
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unknown
DataSet-10
EFTA01391703
EFTA01391703.pdf
GLDUS142 Ironsides Asset Mgmt
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Acce…
P21
D1
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unknown
DataSet-10
EFTA01390774
EFTA01390774.pdf
GLDUS113 Cliff Meg
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fund and…
P21
D1
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P22
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DataSet-10
EFTA01354624
EFTA01354624.pdf
GLOUSi26 Gerald Ford
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fund a…
P21
D1
D6
P22
D5
email
DataSet-11
EFTA02519406
EFTA02519406.pdf
From: Richard Kahn
Sent: Tuesday, June 26, 2018 10:49 PM
To: jeffrey E.
Subject: Fwd:…
P22
P21
D6
D5
unknown
DataSet-10
EFTA01390125
EFTA01390125.pdf
GLDUS138 Ian Slome
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fund and…
P21
D1
D6
P22
D5
unknown
DataSet-10
EFTA01387408
EFTA01387408.pdf
Liam
Liam O'Sullivan
AVP I Key Client Partners - US
DB Securities Inc
Deutsche Bank Wealth Management
…
V15
D6
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P22
unknown
DataSet-10
EFTA01394139
EFTA01394139.pdf
GLDUS1 29 OF Enterpnses
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fun…
P21
D1
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unknown
DataSet-10
EFTA01372181
EFTA01372181.pdf
KCP products and services are intended for and available only to sophisticated. experienced investors who qualify as 'institutional accounts" under
FINRA Rule 4512(c)(3), and are capable of evaluati…
V15
D6
P21
P22
D5
unknown
DataSet-10
EFTA01393854
EFTA01393854.pdf
GLDUS137 Forrestal Capital LLC
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Acc…
P21
D1
D6
P22
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unknown
DataSet-9
EFTA00620140
EFTA00620140.pdf
EFTA00620140
ADW Capital Partners, L.P. 12/8/2015
Dear Partners,
It is our pleasure to report results for the fourth quarter of 2014, the le quarter…
P21
P22
V15
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D6
unknown
DataSet-10
EFTA01353538
EFTA01353538.pdf
IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as Institutional accounts'
under FINRA Rule 4512(c)(3), and we capable of evaluatin…
D6
V15
P21
P22
D5
unknown
DataSet-10
EFTA01374773
EFTA01374773.pdf
KCP products and services are intended for and available only to sophisticated,
experienced investors who qualify as Institutional accounts" under FINRA Rule
4512(cX3),…
D6
V15
P21
P22
D5
email
DataSet-10
EFTA01425583
EFTA01425583.pdf
Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to
SOUTHERN FINANCIAL, LLC 20190305 [C]
From: Richard Kahn <
Date: Wed, 06 Mar 2019 19:14:12 -0500
To: Liam Osullivan
Cc: Stewart Ol…
V15
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D5
D6
P22