Document Mentions (3 shared documents)

EFTA01472403

3 mentions1 same-page

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2015 14:48:55 -0500 To: Paul Morris <I >, Amanda Kirby Cc: Daniel Sabba Classification: For internal use only Fyi... Original Message From: Roddy Moore Sent: Monday, February 23, 2015 2:44 PM To: Ariane Dwyer; Vahe Stepanian Cc: Daniel Sabba; Troy-D Williams; Andrew Xu Subject: RE: Margin Call fr

m DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 38 0,000.00 (I) Classification: For internal use only Hi Vahe, I just spoke with Roddy and he confirmed the margin call was erroneous and they are in the process o f fixing the error. Roddy - can you please confirm? Best, Ari Orig

ssification: For Internal Use Only Original Message From: CMNY Margin Sent: Friday, February 20, 2015 10:42 AM To: Paul Morris; Amanda Kirby; Kevin Quinn; Tazia Smith; CRM-PWM Derivatives Subject: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( 0.00 ) for USD 380,00 Please find

EFTA01472373

2 mentions1 same-page

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on the below. Thanks, Vahe From: Andrew Xu Sent: Thursday, February 19, 2015 2:37 PM To: [email protected].; Courtney Dubbuisson; Rob Bechtold; Roddy Moore; Troy-D Williams Cc: Vahe Stepanian Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I]

need your help on 2 things. First thing is to add Vahe Stepanian and Daniel Sabba on to the email chain for this client and remove Tazia Smith and Kevin Quinn. Second thing is, it seems that the client is getting double charged the IM for 1 of the trades. Highlighted below is a new IM that just popped up

EFTA01472401

2 mentions1 same-page

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Daniel Sabba Classification: For internal use only Fyi... Original Message From: Vahe Stepanian Sent: Monday, February 23, 2015 10:37 AM To: Roddy Moore; Andrew Xu Cc: Daniel Sabba; Troy-D Williams; Ariane Dwyer Subject: RE: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for