ement 345 Park Avenue New York, NY 10154 Tel Mobile Email Securities offered through Deutsche Bank Securities Inc. On Oct 31, 2018, at 9:13 AM, Mayur Ratho dyrote: Classification: For Internal use only Hi Rich, Hope all is well. Following up on the below email sent by Vijay regarding pending rejectio

August 23, 2018 11:52 AM To: Bradley Gitlin Cc: Richard laross Subject: RE: KYC Remediation update [lj Importance: High Hi Brad, ; Alka BabiM; Mayur Ratho Following are the ongoing high risked accounts which are overdue for remediation in ascending order, their statuses below — • AMAAN HOLDINGS LLC

From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant Cc: Bradley Gillin • Richard larossi Alka Babu Mayur Ratho ; Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP We've responded to many of these alrea

From: Vijay-A Sawan Sent: 9/18/2018 7:47:31 AM To: Bradley GRIM ichard larossi CC: Mayur Ratho ; Stewart 0ldfield Subject: Neptune LLC Corp Resolution Query - KYC#01977698 Attachments: LLC Resolution.pdf; Neptune LLC_LLC Resolution 2014.pdf

From: Mayur Ratho Sent: 11/15/2018 8:06:4 AM To: Stewart Oldfield CC: • Vijay-A Sawant Subject: RE: Pending responses on rejection cases under the SOUTHERN FIN

Western Express Highway Goregaon East, Mumbai - 400063 , India From: Vijay-A Sawant Sent: Friday, August 31, 2018 6:04 PM To: Stewart Oldfiel ; Mayur Ratho • Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Account Butterfly Truss and Neptune, LLC un er to IONSHIP (I] Importance:

press Highway Gor - 400063, India Tel Mobile From: Vijay-A Sawant Sent: Tuesday, Jul 31 2018 6:31 PM To: Bradley Gillin Stewart Oldfield Cc: Mayur Ratho Subject: 2018 Periodic Review of High Risked Account Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL REL

To: Bradley Gillin tewart Oldfield Cc: Mayur Ratho Subject: 2018 Peno t ig is e ccounts J. Epstein Virgin Islands Foundation, Inc & Hyperion Air, LL Importance: Hig Hello Brad/Stewart, This r