account identified in wire payment instructions sent via text message. sourced the $500,000 via a margin loan against her brokerage account at Charles Schwab. As of the date of this interview, has received only $30,000 EFTA00129183 FD-302a (Rev. 5-8-10) 318E-NK-3825937 (U) Interview of Comthwitiono

estment Properties or any mortgages or Properties. relied on her own independent due diligence. $500,000 capital contribution via wire held with Charles Schwab to the account liens on the Investment representations and did not conduct provided with her transfer from account identified in wire payment

partner of Arbor Ventures • Co-founded the Global Financial Technology in China — acquired by Newscorp > Technology and management positions at Charles Schwab and Morgan Stanley • MPA, Harvard Kennedy School, PhD from Northeastern University, BS from Tsinghua University HARVARD School Kennedy A

ovides news, data and analytics for the institutional clients in the Chinese market. GFT was acquired by Newscorp. • Served in Morgan Stanley and Charles Schwab in various technology and management positions leading the innovation of financial services and products. • Received a MPA (Master of Public Admi

TO Arnertrade's scope of business. Reason nor Thad Piety Transfer Account Liquidation Reationshe Affiliated Entity OTC Weber Re.awng Frm Name: Charles Schwab and Company Receiving Account Title: 0164 Southern Country International. LTD 3. ASSETS TO BE TRANSFERRED Only weds shares can be requectod. no

M To: Subject: Epstein - Charles Schwab - SARs Good morning, I thought these SARs were interesting. > Look like he tried to send money from his Charles Schwab account to Switzerland. HBRK Associates, Inc is referenced in a number of SARs. Laurel, Inc (this entity owns Palm Beach property) is featured in F

c_SAR_filed_07192019_31000150840679_transcriptpd f Good morning, I thought these SARs were interesting. Look like he tried to send money from his Charles Schwab account to Switzerland. HBRK Associates, Inc is referenced in a number of SARs. Laurel, Inc (this entity owns Palm Beach property) is featured in F

, a negligence penalty or other sanction may be imposed on you it this income is taxable and the IRS determines that it has not been reported. 2019 Charles Schwab it Co.. Inc. Al rights reserved. IA:mbor SIPC.40119-9114) Page 3 of 7 EFTA00283297 Schwab One@ Account of Account Number TAX YEAR 2018 chades

niel worked on the buy-side at Guggenheim Parmers and on the - team at Houlihan Lokey. He graduated from USC cum bode with a degree in finance. Charles Schwab (NYSE: SCHW) — Long 9th Annual Pershing Square Challenge—Second Place Chris Andreola CAndreola [email protected] [email protected] Rec

rperBusiness. It is a riveting history of shareholder activism that has garnered advance praise from Arthur Levitt, Alan Greenspan, Fred Smith, Charles Schwab and Tyler Cowen. The book features an appendix with original, never-before- published letters written by Warren Buffett, Benjamin Graham, Ross

n China, which was invested by the same VC firm that backed Mr. Haba's IntelePeer. He also served in various technology and management positions at Charles Schwab and Morgan Stanley. Mr. Liu holds an MPA degree from Harvard Kennedy School, PhD degree from Northeastern University, and BS degree from Tsinghua Un

n China, which was invested by the same VC firm that backed Mr. Haba's IntelePeer. He also served in various technology and management positions at Charles Schwab and Morgan Stanley. Mr. Liu holds an MPA degree from Harvard Kennedy School, PhD degree from Northeastern University, and BS degree from Tsinghua U

00 2.039.653 2.004.100 6.09% -35.553 Lloyds Banking Group Capital 7.5% 12/29/49 7.500% 5/21/13 1,903.000 1.948.500 1,960.090 5.95% 11.590 Charles Schwab 6.0% Preferred 525 par 6.000% 7/27/15 40.000 1.000.000 1.041.200 3.16% 41.200 Exelainter LLC 10% July 15 2023 10.00% 7/9/18 1.000.000 1.0

9.653 2.031.167 2.004.100 -27.067 Lloyds Banking Group Capital 7.5% 12/29/49 7.500% 5121/13 1,903,000 1,948,500 1.963,658 1,960,090 -3,568 Charles Schwab 6.0% Preferred $25 par 6.000% 7/27/15 40,000 1,000.000 1.027.200 1.041,200 14,000 Exelainter LLC 10% July 15 2023 10.00% 7/9/18 1.000.000

00 Total Southern Trust Co. - Fixed income (Merrill) 7,768,332 11,371,378 7,304,454 463,878 Southern Trust Co. - Fixed Income (Morgan Stanley) Charles Schwab 8.0% Preferred 525 par 7/27/15 40,000 1,000,000 1,096,000 1,091,600 91.600 Seaspan 7.875% Preferred 525 par 08/04/16 8.000 200,000 172.640

___7,_354,151 -317.75Co 278.2452i Total SopthInt Mpg Co. - Fixed Income (Merrill) 7,632,903 Southern Trust Co. - Fixed income (Morgan Stanley) Charles Schwab 8.0% Preferred $25 par 727/15 40,000 1,000,000 1,086,400 1.106.000 106.000; Annaly Cap Management 7/25/17 40,000 1,000,000 - 994,000 -6,

..1,000.000_ L. 901,750 7,632,903 594.500 7,537,466 584.000 -317.750 7,354,451, -278,462 Southern Trutt CO. - Fixed Income (Morgan Stanley) Charles Schwab 6.0% Preferred 525 pat 7/27/15 40,000 1 000 000 1.086.400 1.106.000 106,000 Annaly Cap Management 7/25/17 40 000 994 000 4,000 1 000 000

50 Total Southern Trust Co. - Fixed Income (Merrill) 7,632,903 7,537,466 7,354,451 -278,452 Southern Trust Co. - Fixed Income (Morgan Stanley) Charles Schwab 6.0% Preferred $25 per 7/27/15 40,000 1,000,000 1,086,400 1,106,000 106,000 Annaly Cap Management 7/25/17 40,000 1.000.000 - 994,000 -8.

307.250 Total Southern Trust Co. - Fixed Income (MEMO 7,832,903 7,304,454 7,537,468 415,436 Southern Trust Co. - Fixed Income (Morgan Stanley) Charles Schwab 6.0% Preferred $25 par 7/27/15 40.000 1,000.000 1,091,600 1,0t0,400 86,400 NGL Energy Partners 9%525 par 6/6/17 46484 1,162,100 - 1,151,8

Total Southern Trust Co. - Fixed Income (Merril° 8,366,663 8,429,069 8,306,385 40,189 Southern Trust Co. - Fixed income (Interactive Brokers) Charles Schwab 6.0% Preferred 525 par 7/27/15 40,000 1,000,000 1,080,800 1,075,200 75,200 NGL Energy Partners 9% 525 par 616/17 40,000 1,000,000 972.800

778 Total Southern Trust Co. - Fixed Income (Merrill) 8,365,553 8,305,365 , , -25,809 Southern Trust Co. - Fixed Income (Interactive Brokers) Charles Schwab 6.0% Preferred $25 par 7/27/15 40,000 1.000,000 1,075,200 1,049.200 49,200 NGL Energy Partners 9%525 par 6/6/17 40,000 1,000,000 976,000

ome (Interactive Brokers) Capkal One 5.55% Fixed to 9.1.2020 then 380 over 3 mo libor 5/14/15 3,000,000 3,009,819 3,105,000 3,142,500 132,682 Charles Schwab 6.0% Preferred 325 par 7/27/15 40,000 1,000.000 1,041,600 1,039,600 39,600 Etrade Financial 5.875% fixed to 9-15-2026 then floats 10/11/16 3