60 Wall Street New York, NY 10005-2836 Tel: E-mail: RuciftoV geOrm From: Anastasia Pringle Sent: Monday, January 05, 2015 10:27 AM To: Dmitri Saks; Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Dmitri, Please advise on the status of this, is this request still pending with AML? Thanks Kind Regards. Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkes , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emals to: Pus-1014u Pee00K From: Anastasia Pringle Sent: Monday, December 22, 2014 5:44 PM To: Courteney B Fornal; US-CB 5-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Dmitri, Please speak with Courteney as she would be the responsible party for this request. Thanks CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0067492 CONFIDENTIAL SDNY_GM_00213676 EFTA01373359