primary. Others who gave King $5,200 were Pojoaque Gaming Inc.; the Buffalo Thunder Resort & Casino in Pojoaque Pueblo; Amelia Carson of Santa Fe; Bill King of Moriarty; HBRK Associates, a New York investment company; Neptune LLC, a Virgin Islands investment company; and Darren Indyke, a New York lawyer

al t/c D. Indyke, final/final on summary, email JEE 0.70 245.00 WCB Jan-17-14 T/C D. Indyke, ole Jack O, email to Tonja 0.40 140.00 WCB T/C Bill King re: hearing and review motion 0.30 105.00 WCB Jan-21-14 R/R Motion in Opposition, conference call 1.30 455.00 WCB Jack, Darren and Tonja, re

Managed Exit account handling Managed Exits.xlsx 880884540439, PIN 7303# 6/5/2019 1:00:00 PM 6/5/2019 1:30:00 PM Tentative Recurrence: (none) Bill King ); Kimberly Maria Pedulla ( Term Definition PA Checks/Review Review of client account activity to establish open obligations which prevent onbo

3:16 PM To: Victoria Bruce; Funda Bozkurt; Thomas Klemm; Kimberly Hart; Puzant Merdinian; Steven Mattus; Olivier Poncet; Ian Salters; Andrea DeMar; Bill King; Jeffrey Roth Subject: FW: Client OTC derivatives trading with CIB (I] When: Friday, February 15, 2019 2:30 PM-3:15 PM (UTC+00:00) Dublin, Edinburg

ctoria Bruce < >; Thomas Klemm Olivier Poncet < >; Ian Salters >; Steven Mattus >; >; Andrea DeMar < ; Kimberl Hart >; Puzant Merdinian < >; Bill King < >; Jeffrey Roth < Subject: RE: Client OTC derivatives trading with CIB (I) Classification: For Internal use only Please see below for the SII e

tachments: Mane ed Exits.xlsx Location: Start: 5/30/2019 11:00:00 AM End: 5/30/2019 11:30:00 AM Show Time As: Tentative Recurrence: (none) ; Bill King ; Maria Pedulla • Kimberly Term Definition PA Checks/Review Review of client account activity to establish open obligations which prevent onboa

; Janice Franklin Managed Exit account handling Mana ed Exits.xlsx 5/30/2019 11:00:00 AM 5/30/2019 11:30:00 AM Tentative Recurrence: (none) ; Bill King ; Kimberly ; Maria Pedulla Term Definition PA Review of client account activity to establish open obligations which prevent offboard Checks/Re

ofessional-clients-and-eligible-counterparties.pdf homas Klemm ; Puzant Merdinian ;And Joe Hamilton ; Kimberly Hart ; Steven Mattus db.cont Bill King Classification: For Internal use only Dear All, After JAX produced the last file identifying which clients had been through the CB onboarding proce

nt: 2/14/2019 6:43:48 PM To: Victoria Bruce ; Thomas Klemm ; Kimberly Hart Puzant Merdinian • Steven Mattus Olivier Poncet ; Andrea DeMar ; Bill King • Jeffrey Roth CC: Ian Salters Subject: RE: Client OTC derivatives trading with CIB Ill Attachments: WM clients trading with GM - WM Update 02

2:27 PM To: Oliver Esslin er < >; Thomas Klemm < >; Kimberl Hart Puzant Merdinian < >• Steven Mattus < Olivier Poncet < >; Andrea DeMar < >; Bill King < Jeffrey Roth < >; Joe Hamilton < Cc: Victoria Bruce < >; Ian Salters < Subject: OTC Derivative trading with CIB [II Classification: For Inter

Case Tracker (WIP).xlsx Tiele Aldridge ; Kareen Johnson Hello Team, ; Oliver Esslinger Yasmeen Alim ; Nina Tona I- ; Davide Sferrazza [davide- Bill King ; Steven Mattus ; Ellenoi Please see the attached tracker. We are currently working on updating it to reflect suggested changes by senior managem

From: Sent: To: CC: Subject: Davide-A Sferrazza 2/28/2019 10:50:17 AM Nina Tona Bill King RE: KYC remediation (I) Classification: For Intema) use only WM AN 1 VOA , N,4110 Li IWP fNP 111/2 MP lWa tva Daniel ad Suzanne Co..tn

From: Ian Salters Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino Kareen Johnson Davide-A Sferrazza Nina Tona Ian Cc: Bill King <- Salters Subject: KYC remediation (lj Classification: For Internal use only Brian/Kareen - As previously discussed, the priority list is less th

ded). Ian Sent with BlackBerry Work (www.blackberry.com) From: Ian Salters < Date: Friday, FebFc I PR IMI M To: Olivier Poncet milimommilms., Bill King Cc: Alastair Mackinlay Nina Tona Subject: FW: Combined KYC list and priorities Ill Classification: For internal use only FYI From: Ian Salters

To: Brian Serino < Cc: Bill King Salters Subject: KYC remediation Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While br

From: Nina Tona Sent: 2/28/2019 3:39:24 PM To: Bill King CC: Davide-A Sferrazza Subject: RE: KYC remediation III an Salters Classification: For Internal use only Hi Bill —can you please call me to cl

ce. Nina — can you please add to tracker. Ian From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salta >; Brian Serino Cc: Bill King ; Davide-A Sferrazza Yasmeen Alim ; Jamaal Bushara Subject: RE: KYC remediation Classification: For Internal use only Hi Ian, We will add them

r help in advance. Nina — can you please add to tracker. Ian From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salters Cc: Bill King < Yasmeen Alim ; Brian Serino < >; Davide-A Sferrazza >; Jamaal Bushara < Subject: RE: KYC remediation (I) Classification: For internal use onl

From: Ian Salters Sent: 3/1/2019 4:58:26 PM To: Kareen Johnson CC: Bill King Yasmeen Alim Subject: RE: KYC remediation [I] Classification: For Internal use only Dear All, ; Brian Serino : Davide-A Sferrazza • Jamaal Bu

r help in advance. Nina — can you please add to tracker. Ian From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salters Cc: Bill King < Yasmeen Alim < Subject: RE: KYC remediation [I) Brian Serino < >; Davide-A Sferrazza < >; Jamaal Bushara < Classification: For Internal use o