EFTA Document EFTA01368144

Reason for Recommendation Miti9ating Factors Documents Documents Entity Document Name Status Type Southern Financial); LLC Southern Account FinanciaLA Opening LLC Checklist Southern Operating Financial); Agreement LLC Southern FinanciaLA LLC Southern FinanciaLA LLC Southern Financial,A LLC Southern Financial); LLC Southern FinancialA LLC Southern FinancialA LLC Southern Financial); LLC Southern FinanciaLA LLC Southern Financial .A LLC Southern Financial); LLC Financial Statement Operating Agreement W-9 (December 2014) IRS LDD Checklist Operating Agreement KYC Summary Operating Agreement W-9 (December 2014) W-9 (December 2014) CRS LDD Checklist CRS LDD Checklist cRDS ID Status 1007406812Verified 1007406812 Verified 1007406812Verified 1007406812Verified 1007406812Venfied 1007406812Verified 1007406812Verthed 1007406812 Verified 1007406812Ver ified 1007406812Ver ified 1037406812Venfied 1037406812Venfied 1007406812Venfied Account Document X Classification Uploaded By Reference Classification Documents Onboarding Documents Onboarding Documents Onboarding Documents Classification Documents Classification Documents Onboarding Documents Onboarding Documents Onboarding Documents Classification Documents Classification Documents Classification Documents Classification Documents tyler osborn@db com Product extension but past NRD NA File Name Southern Trust Company Inc Financials June 2017 pdf soumya devadiga©db comON8-1135648 Check list xlsx amber davis@db com anthony lentini@db.com shobha snrantdb com amber davis@db com anthony lentintdb com Southern Financial Operating Agreement pdf anthony lentintdb corn anthony lentintdb corn Southern Financial Operating Agreement pdf anthony lentintdb corn ressel cruz@db.com ressel cruz@db com Jesse t cruz@db com Southern Financial Operating Agreement pdf Southern Financial NAO Docs ALL pdf TAX VV9_PADD_Southern Financial, LLC_UP_1037406812_20171120 pdf LDD Checklist pdf SOFL_LLC_Documents pdf W9 signed 2017 11 20 pdf Tax W9 signed 1007406812 2017 11 20 pdf CRS Validation Check List pdf CRS Validation Check List pdf Page 17 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059805 CONFIDENTIAL SDNY_GM_00205989 EFTA01368144