EFTA01359550

Southern Financial LLC salesforce.com - Unlimited Edition Page 6 of 12 Description Additional Brokerage Product Family Stage Close Date Total Assets Total Estimated Revenue Probability (%) Expected Revenue Lead Source Owner Full Name Won Fiscal Period Next Step Type Last Modified Date Description Brokerage Funds Product Family Stage Close Date Total Assets Total Estimated Revenue Probablity (%) Expected Revenue Lead Source Owner Full Name Won Fiscal Period Next Step Type Last Modified Date Description Brokerage Business Awarded 12/5/2013 510,000,000.00 50.00 100 Paul Morris O1.2013 Additional Assets - Existing Product 12/9/2013 Brokerage #2 Product Family Stage Close Date Total Assets Total Estimated Revenue Probability (%) Expected Revenue Lead Source Owner Full Name Won Fiscal Period Next Step Type Last Modified Date Description Brokerage Business Awarded 11/26/2013 $5,992,414.75 50.00 100 Paul Morris O4-2012 Additional Assets - Existing Product 11/26/2013 Brokerage Business Awarded 10/18/2013 514,500,000.00 50.00 100 Paul Morris O4-2012 New Product - Existing Client 10/18/2013 hups://dbforcepb . my . sal esforce.com/00 I 6000000qaNVw/p?retURL=10016000000qaNVw 9128/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047635 CONFIDENTIAL SDNY_GM_00193819 EFTA01359550