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000.000 Unrealted EdIrested Blinded Dale Acquired Quantity Unit Cod Cod Bede Merkel Price Meat Value Gelarlos Maud Income Yield EQUITIES Common Stooks ALBUM GROUP HUM LTD SPONSORED AOR ISMS USODO9W 927 Dividend Opl ion. Cash 06110115 Adjusted Cod Bain Market Price Security 'dentKier: 842400F
ie Acquired Quantity (M Coq Celt Boris Market Prim Mehl Veins Unrested Gilt/Lea Edkeeted EstkeMed Anent Income Yield EQUITIES (continued) Common Stooks (continued) NINTENDO LTD ADR Dividend Opl ion. Cash Security Identifier: NTDOY CUSP:654445303 02105118 10,000.000 51.7910 517,906.00 39.1300
k P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) December 1,2018 - December 31,2013 BOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
HONGKONGDOLLAR (continued) Estimated Estimated Description Quantity Market Moe MLitt Value Currency Annual Income Yield EQUITIES (continued) Common Stooks (continued) NINE DRAGONS PAPER HOLDINGS LTO SOS 144.000 000 11.8400 1,704,960.00 HKD ION. BM G65311305 217245.89 USD Security Id edifier. 26
sche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
1,588.046 66 CNY 000 250.760 38 USD 0 00 BRITISH POUND Estimated Desolation Quantity Market Pt i2 Market Value Currency Yield EQUITIES Common Stooks HS8C HOLDINGS PLC ORD SHS 24,800.000 7.2356 179.444.62 esP IONS G800054052$6 241,202.78 USD Security Id Wilier: HSBA:GB CUSIFtG4834U19 Tota
nk P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbi
Entities connected to both Common Stooks and Important Arbitration Disclosures
Pershing LLC
ORGANIZATIONLegal Department
ORGANIZATIONPershing
LOCATION
Baltimore
LOCATIONJersey City
LOCATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATION
Ghislaine Maxwell
PERSONthe Options Clearing Corporation
ORGANIZATION
Deutsche Bank
ORGANIZATIONPie Chart
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATION
CUSTOMS
ORGANIZATION
Angela Merkel
PERSON