EFTA Document EFTA01385616

From: Kahn Sent: 10/23/2017 12:08:43 PM To: Cynthia Rodri uez CC: Bella Klein Subject: Fwd: Outgoing Wire Details please see answers below in CAPS thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Tel: ; Stewart Oldfield Begin forwarded message: From: Cynthia Rodriguez <eM> Subject: Outgoing Wire Details Date: October 23 2017 at 10:21:12 AM EDT To: Bella Klein < Hi Bella, Hope all is well. Our audit team selects wires at random and requests more information on the purpose and beneficiary. Please provide the following information for an outgoing wire sent from Southern Trust Company to Alpha Group Capital LLC sent on 9/19/2017: 09/19/2017, $78,938.00, ALPHA GROUP CAPITAL LLC at BANK OF AMERICA , N.A., NY 1. Please explain the purpose of this Outgoing Wire. ADVISORY FEE FOR INVESTING 2. Please explain the relationship between the Client and Counterparty. ADVISOR ON STOCKS AND BONDS 3. Please explain the business activities of the Counterparty. ADVISOR ON STOCKS AND BONDS Thank you. Kind regards, Cynthia Rodriguez CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0086917 CONFIDENTIAL SDNY_GM_00233101 EFTA01385616