torney Southern District of New York The Silvio J. Mono Building One Saint Andrew's Plaza Neu• York. Neu• York 10007 August 11, 2019 VIA EMAIL TD Ameritrade [email protected] Re: Grand Jury Subpoena Please be advised that the accompanying grand jury subpoena has been issued in connection wi

SOO:14ER Funds received via check/wires from: SOUTHERN FINANCJAL LLC +S35,27840 COATUE ENTERPRISES LW .39,000.00 .42200.00 TOA of stocks from TD Ameritrade Credits Funds received via check from: SOUTHERN TRUST COMPANY .250.000 TOA of Fixed Income & Stocks from: TD Ameritrade SALE of Investments •

Investment Products: Not FDIC Insured No Bank Guarantee ' May Lase Value TD Ameritrade. Inc., and TDAmentrade Clearing, Inc., members FINftA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritratle IP Company, Inc. and The Toronto-Dominion Bank A NUR TI3Amentrade. Illllllil till 11111 till 11111

esolutionntdameritr-tdernm] Sent: Tuesday, May 06, 2014 4:27 PM To: Subject: New Account Resolution- Dear Jeffrey Epstein, Thank you for choosing TD Ameritrade. To make sure you can start enjoying all the benefits of your new account, we'll need you to send the following missing information to help us fini

ust bo completed. Partial account transfers between brokerages via an electronic system. Pursuant to the provisions of the USA Patriot Act of 2001, TD Ameritrade needs specific information from our clients regarding certain transactions, including Third Party Transfers. For this reason, we do ask for a specif

urity For any Investment instruments that have a renewal deadline, maturity date, surrender charge pertodlwindow etc., paperwork must be received by TD Ameritrade in good order three weeks prior to the firm deadine to allow for proper processing times. To liquidate a CD held in a non-retirement account, contac

tribution for the account. 1. ACCOUNT INFORMATION Your TD Ameritrade Account (The registration of the account being transferred should match your TD Ameritrade account and the Tax ID for both the TO Amentrade account and account being transferred.) Account Number (Required): (Only one perform) Account Re

in compliance with sending out the form. Let us know if we can help in any way. Wade Heigh, Senior Account Manager Private Client Services Elite TD Ameritrade 10812 Farness Dr. Omaha. NE 68154 800-400-4078 [email protected] This message is confidential and sent by TD Am antra& solely for

ptions. For Partial Transfers. list descriptions of assets and shares. Unless otherwise indicated. TO Ameritrade wil transfer in FIJI. 'Please note—TD Ameritrade cannot request Mutual Funds hold at Brokerage Firms to be liquidated. To place trades for liquidation, please contact the delivering firm prior to s

2174 EFTA_00122825 EFTA01268297 Rage 2 of 2) Southern Financial LLC 6100 Red Hook Quarter, B-3 St Thomas, USVI 00802 February 21, 2019 To: TD Ameritrade Re: Account To Whom It May Concern: Per my authorization, please remove Bruce Galloway as an authorized trading agent for the above referenced ac

attempt to open a new TD Ameritrade account in the future. Thank you for your prompt attention to this matter. Sincerely, Retail Risk Management TD Ameritrade 1-817-490-2050 1Damentracit. Inc., member FuttP/SIPC. TD ianentrada is a tradonnark jointly owned by TO Atetedloade IP Company, Inc. and The Toron

ur 24/7 Client Services team at I look forward to working with you. Have a great day! Best, Paulina S. Paulina Sepulveda Investment Consultant TD Ameritrade 16830 Collins Avenue. Sunny Isles Beach. FL 33160 C3 Consistency, Collaboration & Communication Non-Deposit Investment Products Sold Through TD A

From: TD Ameritrade To: Subject: The forms you recently requested Date: Thursday, May 1, 2014 11:29:00AM Attachments: LLC Investment Cub Partnership Application.p

: Ulm saranandameritrade.com hups://tickertape.tdameritrade.com/ https://www.tdameritrade.com /home.page This message is confidential and sent by TD Ameritrade solely for use by the intended recipient. If you are not the intended recipient, you are hereby notified that any use, distribution or copying of t

From: To: Subject: Date: TD Ameritrade New Arcounts Fins°'dim RE: New Account Resolution (IGMM82484573V78037LOKM) Wednesday. May 7.2014 11:54:58 MI Dear Jeffrey Epstein. Tank you for y

esting the transfer from, (dated within 90 days) in order for the transfer to be processed. Please submit the completed form to TD Ameritrade Attn: TD Ameritrade, PO Box 2760, Omaha, NE 68103-2760 or fax to 866.468.6268. To submit the completed and signed form(s) electronically through our secure Message Cent

1 - Quotes Option 2 - Automated phone system for trading/quotes Option 3 - To speak with a representative This message is confidential and sent by TD Ameritrade solely for use by the intended recipient. If you are not the intended recipient. you are hereby notified that any use. distribution or copying of th

y early withdrawal. Select only one: Liquidate annuity in full or partial liquidation. If partial is selected, amount for partial must be included. TD Ameritrade is not responsible for the timing or execution of iquidations processed by the delivering firm. C. MUTUAL FUND COMPANY TRANSFER Chock box for in-k

888-723-8504 (option 4). Office hours are Monday through Friday. 9 a.m. - 5:30 p.m. Eastern time, excluding market holidays. Thank you for choosing TD Ameritrade, and enjoy the day! David Redlinger Asset Transfer Services, TD Ameritrade Division of TD Ameritrade, Inc. Original Message Follows: Form Messag

Attachments: 2019-08-11,_subpoena_to JD_Ameritrade.pdf To Whom it May Concern: Following up on the below, which transmitted the attached subpoena, TD Ameritrade is noncompliant with the subpoena, which required a response by the deadline of August 23, 2019. Additionally, we received a read receipt indicating