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ontinued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property an
of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registe
ject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been scomorated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processAblien an issuer initiates a
delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Account Num berms Go paperless SC L THERA tt, N LLC. F I DraTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) Page 11019 Rai tacellenil (very Vow' Siva 2'007 DAL OAR RATED COMM
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
resentation as to the accuracy of this information. Page 1 f 020 Account hum her Rated tmacolle I rtA )1: PareTless ;.-7...zwzricraiumcATioNs SC L THERA C. OKJFI DAENTIAC-- rxetturtaer CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) -.1:1:73.==="e= ....,.% NamlistinileS.n.wilt SDNY_GM_00045
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. I Unrealized gains and losses are not reported for securities for which cost basis o
08958 EFIA_00156743 EFTA01289106 CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: vrtwrpershing.comfabout/strength-and-stability.
, Jersey City, New Jersey 07399 Page is 019 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL Account Number. N46.023804 Go paperless SC L THERA ttoKi Raba Excellent, (vent Vs, Since 2'007 DALBAR RATED COMMUNICATIONS oar .L:74.7=.r...r *t-= weietise —waver., wet mim SDNY_GM_000461
Entities connected to both Pershing and SC L
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATION
Jeffrey Epstein
PERSONJersey City
LOCATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONPie Chart
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATION