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structions that appear to be third party asset movements, as well as first and third party journal Instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not exp
1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1, 2019 - January 31,2019 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be
Processed section of your statement for more details. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 11 Pershing has received updated cost basis information, therefore cost basis provid
13 of '5 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Acoount Number: Bit: SZCSIME CONFIDO L bled Exceilent Every rev Saxe 2007 DA UM fen ED COMMUNICATIONS EXC0ADa Otering through Pelham PIC. %Sully armed sobehliari MTh* ft * of New York Mellon Corporrtim Ma Mellon) U.C. FreIrtel flMOYULGM_00046764
uding the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in co
Baltimore, MD 21203 Important Information and Disclosures (continued) I oven', ber t 2017 - November 30,2017 I EPSTEIN VIRGIN ISLANDS The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is
Page 3 of 9 N4G-024950 AO 10 OEC630(15F ID CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) L Rated Caceilent Every Vex Since2007 DAIJAR ltAl ED COMMUNICATIONS EXCLUDa Clearing IMO. hating ISC. • %Sony owned subsidiarni The Sordid New York Mellon CerPontim (MY melon) Pen...tux. munta motrak it aGM_0004
776, Baltimore, MD 21203 Import ant Information and Disclosures (continued) November 1,2018 - November 30,2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) it any. to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in
uding the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in co
h your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AtOOMMICS CONFIDO. L Rated (Kart Evety Yew Since2007 DAIJAR ltAl ED COMMUNICATIONS EXCELLENCE Page ' of - Owing IMO. Pegging LiC, a wholly owned subsidiary s The bake. New Yak Mellon CS (MY Mellon) am a. ..a.. a a a Penn,* M
ur tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or
xesurnaer •--. "Al SDNY_GM_00045836 OB-SDNY-0008660 EFTA_00 156445 EFTA01288808 Important Information and Disclosures (continued) The Role of Pershing (continued) orders, the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, d any, to you and
securities Page 17 0118 Account Number Rated tacellonil ORAN Mel Go paperless irizare• 2007 SO TH ERN tirt5 LLC. .......4„..„„e e "liftman ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N F I DriTriAL (—as.= --•••—•,•••• SDNY_GM_00045854 OB-SDNY-0008678 EFrA_00 156463 EFTA0128882
ur tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or
umber: N46423804 F I DrTriA Go paperless ft...de-4k" SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very Year Sinew 2007 CALMAR RAT ED COMMUNICATIONS rxenurraer SDNY_GM_00046029 DB-SDNY-0008853 EFTA_00 156635 EFTA01289001 Portfolio Holdings (continued) Date Acquired Gustily Usk Cost Equi
your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provid
9 /.327.56 125 590 74 P ease re, ow your &locator, cer athaa y wth year Clent Athosco. Page lot 11 Rsd twoRwa Ivory Yaw Lace 2007 DAL OAR RAT ED COMMUNICATIONS exemmer 07:73===='..." —ntatt es•oerAu --.•••••ANyee.rt SDNY_GM_00048237 OB-SDNY-0011061 EFTA_00 158846 EFTA01290874 Summary of Gains and Lo
Entities connected to both Pershing and ED COMMUNICATIONS
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONJersey City
LOCATION
Jeffrey Epstein
PERSONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONBank Deposit
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION
CUSTOMS
ORGANIZATIONPie Chart
ORGANIZATIONTAXABLE
ORGANIZATION