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sd-10-EFTA01378660Dept. of JusticeOther

EFTA Document EFTA01378660

New York, NY 10022 tel fa ce On Mar 8, 2019, at 9:55 AM, Liam Osullivan ne> wrote: Classification: Confidential Rich, IB did not send back the corrected request. The latest request was rejected. They will need to re- submit with the correct tax id. We could also process a free delivery and wire with signed instructions. Thank you, Liam '1=0)01 .gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 • w York

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sd-10-EFTA01378660
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New York, NY 10022 tel fa ce On Mar 8, 2019, at 9:55 AM, Liam Osullivan ne> wrote: Classification: Confidential Rich, IB did not send back the corrected request. The latest request was rejected. They will need to re- submit with the correct tax id. We could also process a free delivery and wire with signed instructions. Thank you, Liam '1=0)01 .gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 • w York

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Text extracted via OCR from the original document. May contain errors from the scanning process.
New York, NY 10022 tel fa ce On Mar 8, 2019, at 9:55 AM, Liam Osullivan ne> wrote: Classification: Confidential Rich, IB did not send back the corrected request. The latest request was rejected. They will need to re- submit with the correct tax id. We could also process a free delivery and wire with signed instructions. Thank you, Liam '1=0)01 .gif> Liam O'Sullivan Investments & Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 w York. NY 10154.0004. USA Tcl. Mobil 4 Email Visit us: http:Ndeutschewealth.com. <image002.gif> IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as Institutional accounts' under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment In evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP America desk may include investment recommendations and brokerage advice. IWP does not provide investment management or investment advisory services, and private market opportunities and other products arid services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0075880 CONFIDENTIAL SONY GM_00222064 EFTA01378660

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Subject: RE: EURUSD options trade confirmation From: Liam Osullivan ‹ > Date: Tue, 15 May 2018 14:51:14 -0400 To: Martin Zeman "Paul Barrett ( Richard Kahn Cc: Xavier Avila Davide-A Sferrazza Stewart Oldfield Joshua Shoshan Paul & Rich, We have attached the confirms for the EURUSD option trades. Please have signed and email back to us. Thank you, Liam { } Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0

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Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC 20190305 [C] From: Richard Kahn < Date: Fri, 08 Mar 2019 10:47:12 -0500 To: Liam Osullivan Cc: Stewart Oldfield thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel fax cell On Mar 8, 2019, at 10:46 AM, Liam Osullivan Classification: Confidential The cash balance is $190,415.39 From: Liam Osullivan Sent: Friday, March 08, 2019 10:02 AM To: 'R

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Subject: Re: Boods to sell [C] From: Richard Kahn Date: Mon, 11 Feb 2019 09:51:33 -0500 To: Liam Osullivan < Cc: Jeanne Brennan Stewart Oldfi Martin Zeman Davide-A Sferrazza thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel c fax On Feb 11, 2019, at 9:50 AM, Liam Osullivan Classification: Confidential Rich, Will we be back with pricing. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Weal

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DOJ EFTA Data Set 10 document EFTA01295633

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