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jectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
. R CRIM. P. 6(e) Page 16 of 18 CONFIDWAL-4 Rated balk. bery Yea, Sect MO/ DALIAlt RATED COMMUNICATiOt6 pruritic( Clozelas through Pantiles1.Mo Sbaly *vend stiosidiory of Ow Bark of Now Ycelt Mace Comotatlas Ma Mellon) Pestling men**. FINR,Salye,GM_00046359 DB-SDNY-0009183 EFTA_00156968 EFTA
88,235.00 Page 5 of 18 CONFIDOMPAL lawn Rated (salient tan Yeat Sect 200/ DALBAR RATED CONMUNICA11016 actituta Clearlas through P.O.W. LAC. a Sbaly owned wintry of the Barka Now Ycelt Melba CorporationOM WIWI holing 1.1C. mortet FINRA.MOYEGM-00046348 DB-SDNY-0009172 E FTA_00 156957 EFTA0128
T TO FED. R CRIM. P. 6(e) Page 3 of 17 CONFIDNVAL-41 Rated Gott Gay Yaw Salle 2007 DAWN PATM CCSIMUNICATONS mama Clearing through Pershing LUC, Sbaly ("mod Snider" of the Bark er New Yak Melba Corporation (MY mace) hrshint 11C. ment. FINRA.MOYELM-00046329 OS-SONY-0009153 EFrA_00 156938 EFTA01
jectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
. R CRIM. P. 6(e) CONFIDOWAL-4 Rated (Eclkot hay Yea, Sege 200/ DALLURATED COMMUNICATIONS DICILLUICI Page '3 of 22 Clearing through harts LC. a Sbaly owned stinicliory of Mn Barka New Yak Melba Corporation (MY Wien) Paging 11C. motel FINROARtlYeLelt00046317 DI3-SDNY-0009141 EFTA_00 156926 EFT
R CRAM. P. 6(e) Page 22 o(22 CONFIDWFAL a ItMed Exam hav Yen Since 2CO/ DALLAS RATED COMMUNICATIONS OCILLUICI Char/ft Stough Pershing LLC. • Sbaly coned paskliary of the Barka Now Yea Melba Corporation (SNY Mace) Ptrshine 11C. merit.. FINRA.64,1 YeLelt00046326 DB-SDNY-0009150 EFIA_00156935
bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
,636.31 0.93% $6,636.31 Page 3 of 9 Rated EICtiltf4 bort Yen Sine 2C0/ DALIAN WED COVOAUNICATTONS DICELLOICI Cleating through Perstars LAC. a Sbaly owned ad:8*m elfin Bark Now Yeek Melba corporation (MY WIWI Pa shine L1C. mente. FINRA.MtlYeLelt00047163 DEI-SDNY-0009987 EFTA_00 157772 EFTA0
R CRIM. P. 6(e) Pagel of 8 CONFIDNVAL Inge Rated (scant (net Year &ace 2001 DAL/AR RA TED COMUNICAMIS MELLING Clearlas through P.O.W. LUX. a Sbaly ("mod minicliary of the Bark at Now Ycelt Melba Comonelos (My Mellon) Petshift 11.C. mtnin. FINRASWIt00047184 DB-SDNY-0010008 EFTA_00157793 EFT
jectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
I P. 6(e) CONFIDWFAL ••••• Rated httlket Even Year SoKe 200/ DALBAR RA TED COMMUNICATIONS (XCOJANCE Page 3 of 17 Clearlas through P.O.W. LAC, Sbaly toned att." of Ow Barka Now YM Melba CoMotation (MY WIWI Pas him LIC. mote. FINIto,MtlYeLelt00046437 CBSDNY-0009261 EFIA_00157046 EFTA01289409
Entities connected to both the Options Clearing Corporation and Sbaly
Pershing
LOCATIONMoney Market Fund
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONPershing LLC
ORGANIZATIONthe State of New York
LOCATIONBank Deposit
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONLegal Department
ORGANIZATIONPie Chart
ORGANIZATIONClient Service Information
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Baltimore
LOCATION
Jeff Sessions
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION
CUSTOMS
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATIONTAXABLE
ORGANIZATIONJersey City
LOCATION