EFTA Document EFTA01268490

From: To: Subject RE: SF LLC Date: Friday, May 31, 2019 2:37:40 PM Attachments: knaoe001.ond Hey Rich, So the "work item" that the processor was working to correct the transfer has been completed. That puts it in queue for this evening to process, and update to reflect on the account this evening. I reviewed the work item myself and it does include the remaining shares to move the remaining full amount of that position. Chad Markland Senior Financial Consultant www tdamelitrade corn ID Anteritrade Member FINRAISIPCMFA This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If you are not the intended recipient, you are hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you have received this electronic transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product. Any 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD AMERITRADE does not accept electronic instructions that would require an original signature. Information received by or sent from TD AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. From: Richard Kahn [mailto Sent: Friday, May 31, 2019 10:12 AM To: Markland, Chad W Cc: Jeanne Brennan; Alpha Group Capital Subject: Re: SF LLC thank you very much.. CONFIDENTIAL SDNY 12467 EF1'A_00123110 EFTA01268490 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Ma 31, 2019, at 10:58 AM, o e: Hey Rich, I'm already on it, been working with my back office for 45 minutes. Found the person that processed it incorrectly, they are now in the process of correcting it. Give me until 12 pm est, and I'll give you a call to status, or I'll call you before then if it is resolved faster than that. I apologize for the inconvenience, I tried to avoid this potential issue by getting ahead of it yesterday. I'll get it taken care of, no worries. Chad Markland Senior Financial Consultant movw triamontrado corn <image001.png> Member FINRA/SPONFA This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If you are not the intended recipient, you are hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you have received this electronic transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product. Any 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD AMERITRADE does not accept electronic instructions that would require an original signature. Information received by or sent from TD AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. CONFIDENTIAL SDNY_GM_00012468 EFTA_O0I23I I I EFTA01268491 From: Richard Kahn 'bait° Sent: Friday, May 31, 2019 9:54 AM To: Markland, Chad W Subject: Re: SF LLC F—WRD000„ippl Move to... Delete Download I Print I New window From: 867730320zIDate: 05/31/19 9:53 AMMessage available until 05/30/21. A i see that only 3,000 of 3,000,000 quantity was transferred please advise thank you rich Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 On Ma 0 2019 at 11:44 AM > wro e: Hey Rich, I confirmed with my back office and transfers team, no issues so far with the DTC transfer request submitted 05/29/19.1 also had them a note to clarify the quantity just to make sure, but per usual I will keep an eye on it for you now that I'm in the office today and tomorrow. The expectation is that they should get it moving this afternoon. Feel free to let me know if you have any other questions around it. As a heads up, there is a tiny amount of cash still in the account as well (from interest that posted the same day the wire of the cash went out). Thank you, CONFIDENTIAL SONY_GM_000 12469 EFTA_00123112 EFTA01268492 Chad Markland Senior Financial Consultant Phone: (817) 490-2333 Fax: (866) 594-5256 E-mail. Shad MarklandOTDAmentrade roam yoww tdarneritmde rem <image001.png> Member FINRA/SentelFA This message is confidential and sent by TD AMERITRADE solely for use by the intended recipient. If you are not the intended recipient, you are hereby notified that any use, distribution or copying of this communication is strictly prohibited. If you have received this electronic transmission in error, please notify us by telephone at 800-669-3900 immediately. This should not be deemed as an offer or solicitation, to buy or sell any product. Any 3rd party information contained herein was prepared by sources deemed reliable, but is not guaranteed. TD AMERITRADE does not accept electronic instructions that would require an original signature. Information received by or sent from TD AMERITRADE is stored, subject to review, and may be produced to regulatory authorities or others with a legal right to such. From: Richard Kahn UnailtQJ Sent: Wednesday, May 22, 2019 8:18 AM To: Markland, Chad W Cc: Jeanne Brennan Subject: SF LLC can you please look into 3,000,000 of Excela bond that never transferred to Schwab.. thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 CONFIDENTIAL SDNY_GM_00012470 EFTA 00123113 EFTA01268493