ay, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Tern Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classificatio

ay, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Tern Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classificatio

cott Prokop Janet Sible Theresa Romano ; Elizabeth Payne Julie Cataudella Brenda Guerrier ; Paul E Betts PWMLatAm_NY-Miami SVC Eduardo Pieta Andrea Nicoletti Mary C • Keaveney uana Beale Lantz Rachel aglicic Mark RWesthoff Wolkenb l rod Michae S Jacob Brown M W Cataudella Westhoff Keavene

M GTO-Reporting Sent: 1/18/2019 7:04:02 PM To: Scott Prokop Gillin CC: Pecorino Mauricio Pretelt Rosema Vrablic _0=EXCHANGE Josie Alonso Andrea Nicoletti Sequana Beale Westhoff ; Michele-M Quattrocchi ; Carlos Luna ; Aracely Sanchez ; Deirdre Judge • Michael Herold ; Dou: Jas Robertson ; Anu 8

sa Romano Terrence F Tangney Hildegarde Berrios Sean Jules ; Joanne Jensen ; Terri Sohrab ; Scott Proko ; Aracely Sanche I; Stephan Wessel ; Andrea Nicoletti ; Douglas Robertson ; S lvia • Rebecca Velanis ; Daphne Cales ; Edward Golden ; Mary C Keaveney ;'Cynthia Rodriguez' IINICEAEX- Bradley Gillin

ontoriero' Carlos Luna Terri Sohrab Sylvia Ju hardt ; Marjorie Hansen-Cosby I; Bradley Gillin I; Liz Fitzgerald I; Gavin Kim Elizabeth Payne Andrea Nicoletti , Brian P Convey ; Douglas Robertson ; Edward Golden ]; Salvatore ; Michele-M Quattrocchi I ; Gavin Kim I; Hilde ; Bradley Gillin Carlos Lun

ay, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classificati

ivera Stewart Oldfield Elizabeth Payne I Brendan Heinz • Mauricio Pretelt [email protected]; Leanna Rivera • Elizabeth Payne CC: Sanchez Andrea Nicoletti Janice M Smith Tangney Lori Jackson ; Gavin Kim • Scott Prokop I; Sylvia Junghardt • Carlos Luna Ma 'orie Hansen-Cosby Therese Hormillosa B

E_OU=EXCHANGE+20ADMINISTRATWE+2OGROUP+20+28FYDIBOHF23SPDLT+29_CN=RECIPIENTSCN=Pontmat8ce Marjorie ; Elizabeth Payn Michelle Pecorin ■; Stephan We • Andrea Nicoletti Douglas Ro • TerrencE Heather Kirby Carlos Luna loolmimaiimat Terri Sohrab Cosby ImMMI IESII I; Bradley Gillin iiMMI El l1; Scott Prokop servic

ay, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classificati

ayne >; 'Matthew Pontoriero' >; Terri Sohrab < >; hardt >: >; Elizabeth >; >; Mayra >; Sylvia >; Bradley Gillin >; Therese Norm illosa >; Andrea Nicoletti Brien Essenbreis < >; Salvatore Moore >- S .uana Beale Heather Kirby < Anthony Scotti < >; Janet Morales < >; Susan Rodri uez >; 'Chi. >; PW

Bank Auto Exempt Reason Client Since Date Offshore Account Open Date MSR Silo Manually Remove? Lisa S. Benenson Insurance Trust 00000287202 Andrea Nicoletti 1995 1 Reta it Banking < $250K 8/18/1992 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic No Altpoint Capital Pa

ar upon closure of the account. 65 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob US-Onshore 01774886 Limestone Partners Client Andrea Nicoletti 42979 Kerry (LPOA)'s summary of civil suits. 61 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael JacoliiiiiiiiiiiOnshore 01813239 Tradel

y, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classificati

April 05, 2017 1:15 PM To: Vaishali-P Mehta; Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: RE: MD approval for ACUs completed for High Risk Clients [I] Classifi

Terrence Tangney 2006 1 5/9/2003 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore Booker Company, Inc. 00000219021 Andrea Nicoletti 2011 1 7/12/2000 Arme n Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore The Unity Trust 00000219920 Carolin Botzenhard 20

Retail Banking < $250K 2/28 /2007 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Lisa S. Benenson Insurance Trust Andrea Nicoletti 1995 1 Reta it Banking < $250K 8/18/1992 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Altpoint Capital Partne

From: Sent: To: CC: Michael Coomb-Smith 3/7/2016 11:04:42 AM Anna-Sofiya Lupolover Elizabeth Payne Cad LaRose Liles Andrea Nicoletti Michele-M Quattrocchi ;Scott Prokop Hildegarde Berrios Brigid Macias Cathy L Carneiro Dahlia Uchihara Israel Velasquez Daphne Cales Theresa

Annualized June YTD (ex NTLP) Ann YTD vs. Goal Pipeline Ann YTD + Pipeline Ann RR & Pipeline vs. Goal Projected FY % of Goal Achieved Andrea Nicoletti 3,750,000 1,709,175 3,418,350 (331,650) 27,763 3,446,113 (303,887) 92% Botzenhard/Bennett 6,000,000 4,176,645 8,353,290 2,353,290 793,6