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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
ur tax advisor in the preparation of your tax returns. 3 The cost basis of this security hes been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. tz Pershing has received updated cost basis information, therefore cost basis provid
k P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) December 1,2018 - December 31,2013 BOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
ur tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. e The Current Face value represents the outstanding principal balance of the underly
O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LLC 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
sche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
new cost basis reported in this section. 0 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRITA. P. 6(e) Account N:02 umber CONFIDOP Page
nk P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
trate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the Rate of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399; (201) 413-3330. Page 17 of 5
P.O. Box 1776, Baltimore, MD 21203 moor; ant Information and D aclosures (continued) December 1, 2018 - December 31,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
trate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the Rate of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399; (201) 413-3330. Page 17 of A
P.O. Box 1776, Baltimore, MD 21203 moor; ant Information and D aclosures (continued) December 1, 2018 - December 31,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
trate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the Rate of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, *Jersey City, New Jersey 07399; (201) 413-3330. Account Numb
P.O. Box 1776, Baltimore, MD 21203 moor; ant Information and D aclosures (continued) December 1, 2018 - December 31,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
Entities connected to both Pershing and Important Arbitration Disclosures
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONPCISrat LLC
ORGANIZATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONJersey City
LOCATIONthe Pershing Customer Service Department
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONTHE CLEARING FACILITY
ORGANIZATIONPie Chart
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONTAXABLE
ORGANIZATION