uesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan Davide-A Sferrazza ; Alastair Mackinlay ; Martin Zeman < ..; Billy Obregon Ian Salters Subject: Re: GM KCP Bible - Action Plan Update I KYC Priority List [I] Both GBK and GKFF have trades in the books. On Mar 13, 2018, at 15:21, Nina

it this list. Thank you, Davide From: Nina Tona Sent: Tuesday, March 13, 2018 2:44 PM To: Xavier Avila < Cc: Joshua Shoshan >; Martin Zeman < Salters < >; Tazia Smith < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List Ill >; Davide-A Sferrazza Classification: For Internal us

Robert Lewis Allbritton 1996 Trust SOUTHERN FINANCIAL LLC Southern Trust Company Inc The Shenandoah 2008 Trust Kind regards. Ian Salters an Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. 10154.0004 New York. NY. USA Tel

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 than I though

From: Sent: To: 1. Ian 4/16/2019 Salters Joshua Shoshan Martin Zeman CC: an a ers ian.sa [email protected] Subject: IWP Package remediation • Phase ii Attachments: IWP Accounts_Summary_Funda

From: Sent: To: CC: Nina Tona 3/13/2018 2:00:20 PM Xavier Avila Davide-A Sferrazza ; Alastair Mackinlay an Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [Ij Classification: For internal use only Hi Tazia, Billy Obregon We are p

nt: 17 April 2018 02:30 To: Jimmy-H Xu Cc: Joe Aglione Pankaj-A Cho. Zeman Subject: Done, thanks. reac >; Mathew Negus .c ?; Akash Malhotra Salters >; Nina Tona <a; >; NCAMWI s <e; Martin ; Alka Gopala THFINANMD_Southem Financial, LLC_FFT Location [1] Are all the XCCYs generally booked and

Cc: Joe A lion , tan Salters Chopra , NCAOTC Derivatives Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] , Nina Tona Classification

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 brokerage s

Kareen Johnson From: Ian Salters Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino ; Kareen Johnso Cc: Bill King Davide-A Sferrazza ■ Salters Subject: KYC remediation [I) Classification: For Internal use only Nina Tona ■ Andrea Sandven Nina Tona Ian CONFIDENTIAL - PURSUANT TO FED. R.

the cases accordingly. Thank you ! Kareen Johnson From: Ian Salters Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino < Cc: Bill Kin: < Salters < Subject: KYC remediation [II >; Kareen Johnson < >; Davide-A Sferrazza < Classification: For internal use only >; Nina Tona < >; Andrea Sandv

Shoshan Sent: Thursday, March 22, 2018 9:12 AM To: Bradley Gillin Cc: Martin Zeman ; Liam Osullivan ; Todd Stevens Stewart ie aniel-E Kaiser- Salters Subject: DO NOT FORWARD: Brad, can you give me an urgent call re Jeffrey Epstein? Best regards, --Josh ; Ian Ian CONFIDENTIAL - PURSUANT TO FED.

Avila Sent: Wednesday, April 04, 2018 5:19 PM To: Mathew Negus ; Zack Bunimovich Cc: Martin Zeman Anthony Lentini ; Daniel-E Kaiser ; Ian r . > Salters Subject: RE: Southern Financial RDC Alerts [I] Nina told me it's me that I need to approve this instead of Martin, so I approve. Matt, let's disc

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