From: Zack Bunimovich Sent: Monday, February 12, 2018 6:09 PM To: Nina Tona Cc: Rita Shteynberg Subject: RE: ***REASSIGN NEEDED*** FW: SOUTHERN FINANCIAL LLC - ONB-10101SS (II Classification: For Internal Use only Hi Nina, I will be case managing this request going forward, and will see that it is assigned with our lax team asap. I see that some work has been done already by Amber, but the fund triggered a full KYC review — I'll find out if we need any extra documentation/information. Can you also forward me your original request for what products the client is looking to trade? Thanks. Zack From: Nina Tona Sent: Monday, Februa 12, 2018 7:42 AM To: Amber Davis >; Kare ; COB GMLondon-Jax olanda Wood ita Shteynberg < Subject: RE: ***REASSIGN NEEDED•••FW: SOUTHERN FINANCIAL LLC - DNB-101015 III Hello All, Please advise on the below. The client wants to conduct business and we need to complete this NCA as soon as possible. Thank you, Nina Iona From: Nina Tona Date: Friday, Feb @ 2018 10:17 AM — Kareal Yolanda Wood COB GN1London-Jas Subject: RE: REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-10I0I55 III Classification: For Internal use only Hello Kareen Please advise who will take this on. Thank you Nina Tona From: Amber Davis Sent: Thursday, February 08, 2018 1:12 PM To: Kareen Johnson < >; COB GMLondon-Jax < Yolanda Wood CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051988 CONFIDENTIAL SDNY_GM_00 198172 EFTA01362533