Case File
efta-efta01192110DOJ Data Set 9OtherSOUTHERN FINANCIAL, LLC
Date
Unknown
Source
DOJ Data Set 9
Reference
efta-efta01192110
Pages
2
Persons
0
Integrity
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SOUTHERN FINANCIAL, LLC
January 24, 2014
Vahe Stepanian
Deutsche Bank Securities Inc.
Deutsche Asset & Wealth Management
Wealth Investment Coverage
345 Park Avenue - 26th Floor
New York, NY 10154
Dear Vahe,
Please use this letter as authorization to process wires to Deutsche Bank AG London in
connection with Southern Financial, LLC's FX trades. The funds should be withdrawn from
Southern Financial, LLC's account listed above to satisfy payments to Deutsche Bank AG London
in various currencies. Various currencies should be wired per Deutsche Bank AG London
Standard Settlement Instructions.
Thank you for your prompt attention to this matter.
1
Print Name:
Harry Beller
Confidential
EFTA01192110
Deutsche Bank
Private Wealth Management
Authorization for Asset Movement
For Non-Retirement Accounts
The undersigned hereby authorizes and directs Deutsche Bank Alex. Brown ('Deutsche Bank Alex. Brown- or 'DBAB') to follow the below asset movement instructions,
If you wish to request multiple vexes. checla. Panes a Nee deliveries. Please use the long form.
DBA8 Account Name: Southern Financial US
Wire
As Verbally
Confirmed
Wre federal funds in the amount of $ with Client
To Bank Name. Please find attached Instruction Letter
city/ state.
with additional (stall.
ABA t
Rader credit to Intermediary Financial Institution (Optional)
ACCOunt F.
Nana
Urn) Bonefioary Infotodicn:
Beefeary home Riggiche
Bank AG. London. (IDEUTGB2LI
moot,
Varies by Currency.
AOSeisnir instrucloris
Meth
beseeched in the amount el $
fists
Nene
mat
flenieti lAsing Adages
Journal
CI Journal Funds in the amount el
CI Journal Holdings:
Oty/SymboUSecurity:
OtylSymboVSecuriry:
o
Journal All Holdings
To DRAB Account
Account Name:
Fee Deeveles
K
Please deliver the securities imitated beow to:
DTCCI.
Name of Receiving Arm:
Account Name:
Account Number.
OlynymbOiSecurity:
Oty/SymbuitSetsintit
at Receiving Arm
Standing Ailexezaton
0
The undersigned hereby requests that the isulhOreation act os a standing authorization. The undersigned understands and agrees that this autriCeaatiox will
remain in effect until Deutsche Bank Alex, Brown requests a new authorization. The undersigned authorizes Deutsche Bank Alex Brown to issue the wire,
check or journal on the
clay of
for a term of 1111011-reauest.
Li The undersigned further authorizes Deutsche Bank Alex. Brown to accept verbal instructions from the undersigned to wire funds, issue eteCkS or journal
funds toilrom the above listed accounts. The undersigned veil provide verbal instructions as to the date and the amount of the wire, chedt a journal. If the
undersigned decides to vary either the dale or the amount of the wire. Check or journal. the undersigned hereby authorizes Deutsche Bank Alex. Brown to
accept the verbal instructions from the undersigned regarding the change or changes. The undersigned further understands and agrees to comply with the
procedures of Deutsche Bank Alex. Brown to verify the authonzation anti accuracy of verbal instructions.
The undersigned hereby acknowledges that 0) the information contained in this forma ampere and accurate to the best knowledge of the undersigned; and 00 the
undersigned is responsible for the method of transmission of any instructions issued pursuant to this authorization. If the undetected elects to transmit any such
instructions via fax (inducing castle* fax), via enact or as an image attachment to einPI (e.g., es a PDF. TIF or Other image of such instructions), the undersigned
underStands and agrees that the undersigned bears the risk Or CGS arising from such method of transmission in the event of transmission errors, misunderstandings.
impersonations, transmission by unauthorized persons, forgery or intercepts. For trusts or Other entities, the undersigned further acknowledges that the undersigned is
authorized to Issue the above asset tnereement instructions under the terms of the gemming documents and any appliceble laws. The undersigned hereby rekieses and
hOldS harmless Deutsche Bank Alex. Brown frcen and against Kea from any action, claim or demand of any person as e result of Deutsche Bank Alex. Brown's reCeot of
or compliance with this authorization and/or any instructions that may be given to Deutsche Bank A/ex. Brown pursuant to this authorization (including any standing
authorization).
The undersigned understands that Deutsche Bank Alex. Brown may, but Is not required to. seek verification of the undersigned's instructions by Call back and that
Deutsche Bank Alex Brown may in its sole disc/coon refuse to (male such instructions (including standing inStructionsl given pursuant to tic authorization, without
incurring any
.
bility. if Deutsche Bank Alex. Brown has renew to believe such instructions (a standing instructions) have not been provided by the undersigned. The
undersigned u9l er understands t49tDeutSche Bank Alex. Brown retains the right to WIS.) to execute any instructions to transfer funds or securities to any eccountu)
pursuant to
authorizotiOn
out tcen instructions bearing vicarial signatures) of
e undersigned
Print Warne
ratii e 7 ).>, /fey—
44r7,
Signature
te
itcriature
Print Name
Date
III I IN ICI III N
le-I:WM.0177S 112/10,
EFTA01192111
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