From: Brian Biggar Sent: 1/21/2014 9:20:44 AM To: Amanda Kirb En Kathleen O-Sullivan wbaker-II I Melisa Venegas Smith Tim Shields Subject: AIS Request AIS-00003326 has been Appr Carlos Munoz-Lucas las Hodzic ; Kristopher-A Ingram (kristopher- Margie Maldonado : Paul Morris The Following Alternative Investment Suitability request has been Approved. AIS Request Number: AIS-00003326 Client Name : Southern Financial LLC Comment on Approval: 1/21/2014 9:20:37 AM - Brian Biggar : Investment in this instrument must be processed through either an Investment Advisory account or a Brokerage account. Reason for Rejection: Reason for Cancel: Reason for 0nHold: Details Link : https://na4.salesforce.com/a1R60000000qhtY Susy CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 108097 CONFIDENTIAL SDNY_GM_00254281 EFTA01451478