Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PLM Con

Katherine Milligan From: Andrew Xu Sent: Wednesday, November 16, 2016 1:08 PM To: Katherine Milligan; Roddy Moore Cc: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: RE: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL RE

2015 11:15 AM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only Hi Roddy, I just spoke with Ellenoi and Mary Devitt and they do not work with SIC codes. Do you know who else could provide this information? Best, Ari F

From: Roddy Moore Sent: Monday, August 31, 2015 11:23 AM To: Ariane Dwyer Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification:

Subject: RE: Southern Financial and Southern Trust ISDA/CSAs [I] From: Vahe Stepanian ‹ > Date: Tue, 21 Jul 2015 14:46:14 -0400 To: Roddy Moore Cc: Stewart Oldfield Daniel Sabba Andrew Xu Paul Morris Troy-D Williams Classification: For internal use only Roddy — we spoke to the client t

14:46:14 -0400 To: Roddy Moore Cc: Stewart Oldfield Daniel Sabba Andrew Xu Paul Morris Troy-D Williams Classification: For internal use only Roddy — we spoke to the client this afternoon. He mentioned that since we're in the process of amending the ISDA/CSA for Southern Financial, we should al

Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST (I) Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LW ISDA: PLM Cont

lligan Sent: Wednesday, November 16, 2016 11:11 AM 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) aNWA;843 EFTA_00019713 EFTA00169440 To: Roddy Moore < ; Andrew Xu < > Cc: Sebastian Marcilese < >; Keith Buckholz >; Eduardo Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Rep

Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST ill Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PIM Con

igan Sent: Wednesday, November 16, 2016 11:11 AM 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) aaabla855 EFTA_000 19725 EFTA00169452 To: Roddy Moore < >; Andrew Xu < Cc: Sebastian Marcilese < >; Keith Buckholz < >; Eduardo Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Rep

day, August 31, 2015 1:25 PM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - Classification: For internal use only Hi Roddy, [I] Joe is on his MTA and I spoke with Caleb and Andy and they both do not know. Any other ideas? Best, Ari From: Roddy Moore Sent: Monday, Au

Classification: For internal use only Roddy — Afi is out of the office today. She will follow up with you tomorrow morning. Thank you, Vahe From: Roddy Moore Sent: Wednesday, September 02, 2015 2:33 PM To: Ariane Dwyer Cc: Vahe Stepanian; Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Ad

— we have relied in CRM for that. As we reviewed the margin calls last week, Ari and Vahe identified the error— this is how we were able to flag to Roddy the collateral was not feeding correctly. Before this, our team had no way to know CRM systems weren't feeding collateral correctly. The process Ro

ffice to fix the "SIC codes" in CRM systems — is something our team never did. We can discuss this as well as other issues further tomorrow. From: Roddy Moore Sent: Wednesday, September 02, 2015 2:57 PM To: Daniel Sabba; Vahe Stepanian; Ariane Dwyer Cc: Troy-D Williams; Nicholas Haigh Subject: Southern

Classification: For 'Menial use only Let's touch base when Daniel's back. From: Roddy Moore Sent: Friday, August 28, 2015 9:34 AM To: Roddy Moore; Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Finan

, 2015 4:13 PM To: Roddy Moore Cc: Daniel Sabba; Vahe Stepanian Subject: RE: Southern Financial [I] Classification: For Internal use only Thanks Roddy. As discussed the client has approved a transfer of AAPL shares to meet today's margin call. We will address the issue with the incorrect haircut ra

m DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 38 0,000.00 (I) Classification: For internal use only Hi Vahe, I just spoke with Roddy and he confirmed the margin call was erroneous and they are in the process o f fixing the error. Roddy - can you please confirm? Best, Ari Orig

2015 14:48:55 -0500 To: Paul Morris <I >, Amanda Kirby Cc: Daniel Sabba Classification: For internal use only Fyi... Original Message From: Roddy Moore Sent: Monday, February 23, 2015 2:44 PM To: Ariane Dwyer; Vahe Stepanian Cc: Daniel Sabba; Troy-D Williams; Andrew Xu Subject: RE: Margin Call fr

Bethany Wagner From: Tameika Burns on behalf of Repo Margin Sent: Tuesday. November 22, 2016 10:36 AM To: CMNY Margin; Roddy Moore Cc: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal

uckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For interanal use only Hi Roddy, Confirmed the below ISDA accounts have no balance or exposure as of today. Repo Team, Are these GMRA accounts that you are able to confirm on? S

11:15:28 AM To: Roddy Moore CC: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 III Classification: For Internal use only Hi Roddy, I just spoke with Ellenoi and Mary Davitt and they do not work with SIC codes. Do you know who else could provide this information? Best, Ari F

From: Ariane Dwyer Sent: 8/31/2015 11:15:28 AM To: Roddy Moore CC: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 III Classification: For Internal use only Hi Roddy, I just spoke with Ell

Katherine Milligan From: Andrew Xu Sent: Wednesday. November 16. 2016 1:08 PM To: Katherine Milligan; Roddy Moore Cc: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: RE Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQ

Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PLM Con

From: Roddy Moore Sent: 9/2/2015 2:33:16 PM To: Ariane Dwyer CC: Vahe Stepanian RE: URGENT: Collateral Admin • Subject: Classification: For internal use only

Monday, August 31, 2015 1:25 PM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - Classification: For Memel use only Hi Roddy, [I] Joe is on his MTA and I spoke with Caleb and Andy and they both do not know. Any other ideas? Best, Ari From: Roddy Moore Sent: Monday, Au

2015 11:15 AM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only Hi Roddy, I just spoke with Ellenoi and Mary Devitt and they do not work with SIC codes. Do you know who else could provide this information? Best, Ari F

From: Roddy Moore Sent: 8/31/2015 11:22:38 AM To: Ariane Dwyer CC: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For In

From: Roddy Moore Sent: 9/2/2015 10:30:06 AM To: Ariane Dwyer CC: Vahe Stepanian j; Troy-D Williams ; Daniel Sabba Subject: RE: URGENT: Collateral Admin - N4

, 2015 1:25 PM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only Hi Roddy, Joe is on his MTA and I spoke with Caleb and Andy and they both do not know. Any other ideas? Best, Ari From: Roddy Moore Sent: Monday, August

ith Troy and Roddy. Working with CRM has been difficult in your absence, and we need to determine best practices going fwd. Thank you, Vahe From: Roddy Moore Sent: Thursday, August 27, 2015 2:57 PM To: Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] C

Sabba Ariane Dwyer Subject: FW: Southern Financial Ill Classification: For Internal use only Daniel —we need to schedule a meeting with Troy and Roddy. Working with CRM has been difficult in your absence, and we need to determine best practices going fwd. Thank you, Vahe From: Roddy Moore Sent:

August 31, 2015 11:15 AM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin [I] Classification: For Internal use only Hi Roddy, I just spoke with Ellenoi and Mary Devitt and they do not work with SIC codes. Do you know who else could provide this information? Best, Ari F

It's my understanding that this is part of onboarding. Have you tried Caleb or Joe? From: Ariane Dwyer Sent: Monday, August 31, 2015 11:15 AM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin [I] Classification: For Internal use only Hi Roddy, I just spoke with Ellenoi and Mary

From: Roddy Moore Sent: Friday, August 28, 2015 2:56 PM To: Ariane Dwyer Cc: Vahe Stepanian; Daniel Sabba; Collateral Admin-NY Subject: URGENT: Collateral Admin -

From: Roddy Moore Sent: 8/28/2015 2:56:27 PM To: Ariane Dwyer CC: Vahe Stepanian I I • Daniel Sabba Collateral Admin-NY Subject: Attachments: 2013 SF KYC.PDF

From: Sent: To: CC: Subject: Roddy Moore 7/21/2015 11:53:06 AM Paul Morris Stewart Oldfield ; Vahe Stepanian ; Troy-D Williams IM ; Daniel Sabba [ ]; Andrew Xu RE: Southern Financial