://dbcar.gto.intranet.db.com Please do not hesitate to contact me should you have any further questions regarding this matter. Thanks and Regards, Amber Davis CAUTION - Disclaimer """""""•""" This e-mail contains PRIVILEGED AND CONFIDENTIAL INFORMATION intended solely for the use of the addressee(s). If

0000 18 Beneficiary: Pershing LLC Beneficiary #: FFC (ref): DBSI Account: DBSI Account #: Thank you Nina Tona Southern Financial LLC From: Amber Davis Sent: Friday, December 15, 2017 2:20 PM To: Nina Tona < Cc: Kareen Johnson < Subject: SOUTHERN FINANCIAL LLC - ONB-1010155 [I) Classification: F

Please provide an update on the below. Thank you Nina Tona From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:55 AM To: Amber Davis < >; Nina Tona Cc: Kareen Johnson < Subject: RE: SOUTHERN FINAN( IAI I I ON R-1010155 (I) Please see W9 attached Thanks Alastair Mackinlay Ke

ancial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest financial statements Thank you Nina Tona From: Amber Davis Sent: Wednesday, January 10, 2018 8:15 PM To: Nina Tona Cc: Kareen Johnson < ck Watkins Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC

your original request for what products the client is looking to trade? Thanks. Zack From: Nina Tona Sent: Monday, Februa 12, 2018 7:42 AM To: Amber Davis >; Kare ; COB GMLondon-Jax olanda Wood ita Shteynberg < Subject: RE: ***REASSIGN NEEDED•••FW: SOUTHERN FINANCIAL LLC - DNB-101015 III Hello All

onsent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Amber Davis Sent: Wednesday, December 20, 2017 11:09 AM To: Nina Tona Cc: Kareen Johnson ; Alastair Mackinlay Subject: RE: SOUTHE 010155 III Classificatio

Hi Amber, Please provide an update on the below. Thank you Nina Tona From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:55 AM To: Amber Davis ; Nina Tona Cc: Kareen Johnson < Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 Please see W9 attached Thanks Alastair Mackinlay Key Client

eficiary: Pershing LLC Beneficiary #: 890-051238-5 FFC (ref): OBS' Account: DBSI Account #: Thank you Nina Tona Southern Financial LLC From: Amber Davis Sent: Friday, December 15, 2017 2:20 PM To: Nina Tona CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052002 CONFIDENTIAL SDNY_GM_001

Thanks, Zack From: Nina Tona Sent: Monday, Februa 12, 2018 7:42 AM To: Amber Davis >; Kareen Johnson < ; Yolanda Wood < Subject: RE: ***REASSIGN NEEDED***FW SOUTHERN FINANCIAL LLC Hello All, >• Rita Shte >; COB GMLondon-Jax n

Amber Davis Client On-Boarding I Client Data Services I COO DBUSA Core Corp. Deutsche Bank Securities Inc 5201 Gate Parkway Jacksonville FL 32256 Email: Fr

From: Amber Davis Sent: Wednesday, December 20, 2017 11:09 AM To: Nina Tona Cc: Kareen Johnson Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-101015

From: Amber Davis Sent: Wednesday. January 10 2018 8:15 PM To: Nina Tona Cc: Kareen Johnson ; Nick Watkins < ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL

Thank you Nina Iona From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:55 AM To: Amber Davis Nina Tona Cc: Kareen Johnson Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [II Please see W9 attached Thanks Alastair Mackinlay Key Client

From: Sent: To: Subject: Attachments: Amber Davis 5/16/2018 11:42:35 AM ODC-Equities Account-Opening RE: Request ID ONB-1135648 1' Southern Financial, LLC • n [I] image001.gif Classification: F

From: on behalf of Sent: To: CC: Subject: Hello Amber, Neha Dugar ODC-Equities Account-Opening 5/16/201811:30:02 AM Amber Davis ODC-Equities Account-Opening Request ID ONB-1135648 " s Southern Financial, LLC ** • Kindly provide us with confirmation details i.e. Email. FAX a

Amber Davis From: Xavier Avila Sent Thursday, November 16, 2017 10:31 AM To: Nina Tona; Martin Zeman Cc: Alastair Mackinlay; Mathew Negus; Joshua Shoshan

- dbcar.gto.intranet.db.com Please do not hesitate to contact me should you have any further questions regarding this matter. Thanks and Regards, Amber Davis ********************** CAUTION - Disclaimer ********************* This e-mail contains PRIVILEGED AND CONFIDENTIAL INFORMATION intended solely for

our original request for what products the client is looking to trade? Thanks, Zack From: Nina Tona Sent: Monday, February 12, 2018 7:42 AM To: Amber Davis ; Kareen Johnson ; COB GMLondon-Jax ; Yolanda Wood ; Rita Shteynberg Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155

Nina Tona From: Nina Tona Date: Friday, Feb 09, 2018, 10:17 AM To: Amber Davis , Kareen Johnson , COB GMLondon-Jax Yolanda Wood Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification

ncial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest financial statements Thank you Nina Tona From: Amber Davis Sent: Wednesday, January 10, 2018 8:15 PM To: Nina Tona Cc: Kareen Johnson < ; Nick Watkins ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIA