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From: Robert Frohlich Sent: 5/24/2019 2:52:03 PM To: Stewart Oldfield CC: Leslie Roth Subject: Southern financial [CI Classification: Caddenlial Hi Stewart. ; Donna Kerrigan Below is the complete picture of your financials in USD
From: Robert Frohlich Sent: 5/24/2019 2:52:03 PM To: Stewart Oldfield CC: Leslie Roth Subject: Southern financial [CI Classification: Caddenlial Hi Stewart. ; Do
From: Stewart Oldfield Sent: 5/23/2019 8:38:50 PM To: Leslie Roth CC: Robert Frohlich Subject: Re: Southern Financial - 2018 revenues (CI Southern never traded CDs. They did have deposits though. Stewart Oldfi
From: Stewart Oldfield Sent: 5/23/2019 8:38:50 PM To: Leslie Roth CC: Robert Frohlich Subject: Re: Southern Financial - 2018 revenues (CI Southern never traded CDs. They did have deposits though. Stewart Oldfield, CFA, CAIA Deutsc
nks, Donna Sent with BlackBerry Work (www hi ackherm coin) From: Robert Frohlich ‹ > Date: Friday, May 24, 2019, 2:52 PM To: Stewart Oldfi Cc: Leslie Roth Donna Kerrigan -ca' Subject: Southern financial iCi Classification: Confidential Hi Stewart. Below is the complete picture of your financials in
soon as possible as these should have been moved in an earlier restatement. Thanks, Donna Sent with BlackBerry Work (www hi ackherm coin) From: Robert Frohlich ‹ > Date: Friday, May 24, 2019, 2:52 PM To: Stewart Oldfi Cc: Leslie Roth Donna Kerrigan -ca' Subject: Southern financial iCi Classification: C
From: Donna Kerrigan [ Sent: 1/4/2019 11:48:5 AM CC: Robert Frohlich Leslie Roth ; Terri Sohrab To: Stewart 0ldfield Subject: Client Account [CI Classification: Confidential Hi Stewart / Tern, I have agreement from Patrick
From: Donna Kerrigan [ Sent: 1/4/2019 11:48:5 AM CC: Robert Frohlich Leslie Roth ; Terri Sohrab To: Stewart 0ldfield Subject: Client Account [CI Classification: Confidential Hi Stewart / Tern, I have agreement
From: Robert Frohlich Sent: 5/23/2019 5:25: To: Stewart Oldfield CC: Leslie Roth Subject: Southern Financial - 2018 revenues l0 Classification: Confidential Hi Stewart, I think what happened is that only pan of the revenues w
From: Robert Frohlich Sent: 5/23/2019 5:25: To: Stewart Oldfield CC: Leslie Roth Subject: Southern Financial - 2018 revenues l0 Classification: Confidential Hi S
From: Donna Kerrigan Sent: 10/11/2018 10:54:21 AM To: Leslie Roth CC: Robert Frohlich Subject FW: Southern Financial - AUM example ill Stewart Oldfield Classification: For Internal use only Hi Leslie — Please
From: Donna Kerrigan Sent: 10/11/2018 10:54:21 AM To: Leslie Roth CC: Robert Frohlich Subject FW: Southern Financial - AUM example ill Stewart Oldfield Classification: For Internal use only Hi Leslie — Please can you take a look o
dential Let's discuss this one when you get a chance. Thanks From: Robert Frohlich Sent: Friday, May 24, 2019 2:52 PM To: Stewart Oldfield < Cc: Leslie Roth Donna Kerrigan Subject: Southern financial (CI Classification: Confidential Hi Stewart Below is the complete picture of your financials in USD f
To: Andrew Gallivan Subject: FW: Southern financial ICI Classification: Confidential Let's discuss this one when you get a chance. Thanks From: Robert Frohlich Sent: Friday, May 24, 2019 2:52 PM To: Stewart Oldfield < Cc: Leslie Roth Donna Kerrigan Subject: Southern financial (CI Classification: Confid
th BlackBerry Work (www blackbern corn) Front: Robert Frohlich <alltridb.com> Date: Friday, May 24, 2019 2:52 PM To: Stewart Oldficld db.com> Cc: Leslie Roth . Donna Kerrigan •=: > Subject: Southern financial iCl Classification: Confidential Hi Stewart. Below is the complete picture of your financials
soon as possible as these should have been moved in an earlier restatement. Thanks, Donna Sent with BlackBerry Work (www blackbern corn) Front: Robert Frohlich <alltridb.com> Date: Friday, May 24, 2019 2:52 PM To: Stewart Oldficld db.com> Cc: Leslie Roth . Donna Kerrigan •=: > Subject: Southern financia
Donna Kerrigan Sent: Wednesday, July 17, 2019 8:58 AM To: Stewart Oldfield < Subject: FW: Urgent Request (C) Classification: Confidential From: Leslie Roth Sent: Tuesday, July 16, 2019 6:55 PM To: Donna Kerrigan < Cc: Robert Frohlich Subject: RE: Urgent Request [C] Classification: Confidential Clas
< Subject: FW: Urgent Request (C) Classification: Confidential From: Leslie Roth Sent: Tuesday, July 16, 2019 6:55 PM To: Donna Kerrigan < Cc: Robert Frohlich Subject: RE: Urgent Request [C] Classification: Confidential Classification: For internal use only Hi Donna, Attached is the available data for
0ldfield I Subject: FW: Urgent Request IC] Attachments: SouFin CBV x Product GMIS 2018-19.xlsx; image001.gif Classification: Confidential From: Leslie Roth Sent: Tuesday, July 16, 2019 6:55 PM To: Donna Kerrigan < Cc: Robert Frohlich < Subject: RE: Urgent Request [CJ Classification: Confidential Cl
uct GMIS 2018-19.xlsx; image001.gif Classification: Confidential From: Leslie Roth Sent: Tuesday, July 16, 2019 6:55 PM To: Donna Kerrigan < Cc: Robert Frohlich < Subject: RE: Urgent Request [CJ Classification: Confidential Classification: For internal use only Hi Donna. Attached is the available data fo
Entities connected to both Leslie Roth and Robert Frohlich

Martha Stewart
PERSONDonna Kerrigan
PERSON
Stewart Oldfield
PERSONDonna
PERSON
Prince Andrew
PERSONDeutsche Bank Securities Inc.
ORGANIZATIONKimberly Hart
PERSONSouthern Financial House
ORGANIZATIONBlackBerry Work
ORGANIZATIONPershing
LOCATIONCC'in Leslie
PERSONSouthern Financial House Ace
ORGANIZATIONBrian Heidelbach
PERSON