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SUANT TO FED. R CRIM. P. 6(e) Account Number EONFIDO. L Rated ticellent trey Yew Since 2007 DALIAR MTV, COMMUNCATI0NS LXCILIANCI Page 5 of 18 Cleanng through fleabag 11Cawboly evened sabsidiary of TM Bank el New YM Mellon CarpoestIon (MY Mao) Perfhnx 11.C.nwetan inuiteAtikelt00046491 DS-SDNY-00
SACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF
tCti`t )2: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L-- Rated [smiler., bey Yew Since 2007 DALIAR WED COMMUNICATIONS UCILLUKt Cleanng through hakes LC. • Say anti setaldiary of me Usk N New Vat Mellon Corporation (Ely Mew) Positing UK. merter Pkilliia.GM-00046573 DB-SDNY-0009397
ACTIONS • ALL ORDERS AND TRANSACTIONS SHALL. BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTK)N. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED, OR IF
NW -- Account Number ^ bled Lotlient C 0 NFIIDgs N AL_ MILLING( DALBAR RATIO COMMUNICATIONS 2:C::: cs, Even, Year Since 2007 Page 27 of 3' Cleanng through PenlikvIIC•aapronwil sabsidiary a The Mak a New Vat Mellon CarporatIon (MY Mellon) Pen hnx 11.C. rwr/on FtivRAPPMVELGM-00046692 DI3-SDNY-
SACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF
0 17.944.44 85.000.00 10.24% 90100242CSF3002 CON5FIDOP Rated tactile.% trey Yew Since 2007 DALIARIATI0 COMMUNICATIONS (XCILUNCI Page 4 of 3' Cleanng through Pershing LC. a *lay evened stall." a The Bank el New Yak Meta CancatIon Ma Mao) Per 91. inx 11.C. menbt• ormA.SCAt4XatelL 00046232 DE1-SD
SACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANCWOR SETTLED. OR IF
e 6 of 13 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) " Q26conF I D L4 Rated Galls. berg Yaw Since1007 DALIARIATIDCOMMUNICATIONS LXCGAINC( Cleanng through Perrin11C • Waal owned setaldiary of The Bask a Mew Vat Mellon CorporatfonaltlY Melon) firstigattACanertarf iNRA.IIViqq[Et IVI—OulA 7137 D
SACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED, OR IF
Entities connected to both Cleanng and USAGES
THE FEDERAL RESERVE SYSTEM
ORGANIZATION
CUSTOMS
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTAXABLE
ORGANIZATIONTIME PERSHING
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing
LOCATIONthe State of New York
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONPie Chart
ORGANIZATIONJersey City
LOCATIONClient Service Information
ORGANIZATION