From: Melisa Venegas Sent: 4/7/2014 5:25:59 PM To: Kimberly Hart CC: l ; Andrew Gallivan Michael Jacoby el Davis Subject: March 2014 AML/KYC Escalation Reports III Attachments: Domestic Coverage_HRIP Meeting Report_Mar 2014.xlsx; Domestic Coverage_M

Castelnuovo for Geneva or Hamburg •For accommodation trade approvals, please contact Diana Canter or Zia Memon •For KYC approvals, please contact Michael Jacoby, Andrew Gallivan, or Coley Jellinghaus, Michael Rogers, Chris Ainsworth, or George Crosby •For any Fraud or Error Resolution items, please contact

nte ct: Janet Sible 312-952-9280 New ADVISOR SELECT account - Manager Clearbridge 1/22/2014 PB S -CH Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby COVERAGE-Domestic Temp orary exception granted for the DB corporate resolutions. E-mail is attached N 226 01250909 9800 La Cienega, LLC Mayra

Pivot Row Labels Count of Customer Owner MSR Count Count of Customer Name Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York Rosemary Vrablic 9 San Francisco 16 Joanne Jensen 5 Los Angeles 9 Paul Bartilucci 1 Chicago 1 Terrence Tangney 9 Grand Total

lcolm Kimble 303,266 558,305,596 Add to Top 50 list 47 SOUTHERN FINANCIAL Paul Morris 296,348 222,667,130 Add to Top 50 list 48 SINCOCK CRAIG Michael Jacoby 202,673 171,582,948 Add to Top 50 list 49 STERN ED Maryann Coleman 142,434 357,080,564 Add to Top 50 list 50 ELLISON) Russell Daulton (80,70

lcolm Kimble 303,266 558,305,596 Add to Top 50 list 47 SOUTHERN FINANCIAL Paul Morris 296,348 222,667,130 Add to Top 50 list 48 SINCOCK CRAIG Michael Jacoby 202,673 171,582,948 Add to Top 50 list 49 STERN ED Maryann Coleman 142,434 357,080,564 Add to Top 50 list 50 ELLISON) Russell Daulton (80,70

693 - WEINBERG.' BARRY GARBER PCS 215,217 114,269,600 46 R007034968 - WILLIAMS GERMANN/HASSAN/FINK PCS 214,707 48,987,361 47 SINCOCK CRAIG Michael Jacoby PB 202,673 171,582,948 48 STERN ED Maryann Coleman PB 142,434 357,080,564 49 R000645531 - BOLLING BRAD LACONTE PCS 141,647 19,261,051 5

r Not applicable 6123267 JACOBY, MICHAEL A Mark Westhoff 6201215594 WM Americas Front Office Dinner Not applicable 6123267 JACOBY, MICHAEL A Michael Jacoby 6201215594 WM Americas Front Office Dinner Not applicable 6123267 JACOBY, MICHAEL A 6201215594 WM Americas Front Dinner Not applicable ACER

99 US183900100000175329 42 HIRTLE CALLAGHAN & Terrence Tangney 1.8624096026737002 E8 2330636.933040002 US183900100000221685 43 KELLEY BRAD Michael Jacoby 1.8249653799533987E8 79320.4251 3 US183900100000424046 44 SINCOCK CRAIG Michael Jacoby 1.7226060122136003E8 162253.179 85 US1839001000001640