3
Shared Docs
3
Same-Page
3 / 3
Mentions
COUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LMAGPS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE
BAN 'LOLL Account Number SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 11 021 Go PaPeriess FIDAnSITIAL Rata. tacollera Ever/ Van Siva 2'007 DAL BAR RAVED COMMUNICATIONS rxenurnaer SDNY_GM_00046678 DB-SDNY-0008502 EFTA_OO156287 EFTA01288650 Schedule of Realized Gains and Loss
COUNT 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 APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
8009809 CSF300l7 Go paperless CONFIDENTIAL - I P ease review your allocation cer cdray wth your Client Advisor. Page 1 of 18 L•colloni 'Inn, Van Siva 2007 0ALBAR RATED COMMUNICATIONS rxesarmer SDNY_GM_00045876 DB-SDNY-0008700 EFTA_00 156485 EFTA01288848 Asset Allocation Disclosure and Footn
COUNT MID 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 APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE
:129.97SCSF30 'I ORAB ROI t paperless Til CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE Tt ONFID AENTI AL. Plated Pacelloril L very 'Van Siva 2007 DALBAR RATED COMMUNICATIONS exclurnaer Page 34010 SDNY GM 00048159 DB-SDNY-00 10983 EFTA_00158768 EFTA01290796 Portfolio Holdings (cont
Entities connected to both THE CLEARING FACILITY and Van Siva
THE BOARD OF GOVERNORS OF
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
CUSTOMS
ORGANIZATION
Jeff Sessions
PERSONUSAGES
ORGANIZATIONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONTAXABLE
ORGANIZATIONTIME PERSHING
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONPershing LLC
ORGANIZATIONLegal Department
ORGANIZATIONClient Service Information
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONPie Chart
ORGANIZATIONMoney Market Fund
ORGANIZATION