EFTA Document EFTA01390412

Deutsche Asset & Wealth Management Account Agreement Southern Financial LLC mtlaufs) Adds s. 6100 Rod Hook Cleaner El3 St Thomas Coy 00502 • gate by CM. Account Iles !Comp:ate if &Parent from the Client atone Arcx.trt MiPoin AtiT Pt-b4SC SIGN 'Cl(44Rel,011?i THIS,ACCOYRTWOOP:MANTI;-: Tills Is the account easement 'Account Agreement, oetween Client and Deutsche Bank Securities Inc. (referred to herein as "DBSIry. It Includes the terms and condit ens and Is the contract that controls each brokerage account In Much Client has en interest (oath en -Account'l. Client agrees to read this Account Agreement end the Appendix to this Account Agreement: Disclosures and Definitions ?Appendix-I Caralisfiy. If Client Is not willing to be bound by these terms and conditions. Client Oneida not sign this Account Agreement, Client's signature confirms that Client has reed and agrees to the terms 01 this Account Agreement and the Appendix annexed hereto. I. CLIENT REPRESENTATIONS Client certifies that all of the Information provided by Client In this Account Agreement is accurate arid compere and that each of the following statements Is accurate as to Client and Client's Account: a. Where Client Is a natural person, Chant is of legal age; b. For all accounts: (el no one except the person's) named on the Account(s). or, if signed m e teptasentative capacity. then no one except the beneficial owner(s), has any interest In the Account's). (b) Client b and will remain compliant with ill Applicable Laws. (c) Client Is financially capable of satisfying any obligations undertaken through Client's Account's), (d) Client acknowledges that the purchase and sale of securities entails substantial economic risk, and represents knowingly and willingly that Client can assume such risk and le; Client has road end understands the terms set forth In this Account Agreement and those agreements or supplements incorporated by reference and understands Mal Client Is bound by such terms; C. Chant agrees to notify us In Wilting II: ;a) Client IS or becomes en employee, member or immediate family member of any securities exchange (or corporation of which ern exchange owes a majority of the capital stock). Financial Industry Regulatory Authenry„ Inc. (FINTtAhor of any broker-dealer, (b) Client is or becomes a senior officer or immediate family member of such person of any bank. savings and loan InstItutlon, insurance' company.invesimenr company, Investment atIVISOTY firm or institution that purchases securities, or ether employer whose consent IS required to °pato end maintain this Account by regulation or otherwise. unless such consent has been provided to OBSI. Client will promptly notify °BSI In writing if any of the above circumstances change. TERMS AND CONDITIONS THAT APPLY TO CLIENT'S ACCOUNT(S) The knowing tenni end conditions goverh Client's Account's): 1. Rights of DEMI. All rights granted to CMS' under this Account Agreement are granted with the understanding that it shall be within the eelr &straiten of DBSI whether, andiin what roamer, to exercise such rights, The failure of OBSI to exercise any right granted under thti AcetentAgrea Tent shall not be deemed a waiver of such right or any other right granted hereunder. 01151 retains the right to oelegite to Its agent, including its clearing agent, Pershing LLC (Pershing). Ono or more of 08Shs rights or obligations under this Averment without notice to Client. 2. Cash Account. 0B51 will classify each Account es a cash brokerage sm:oeunt. DEIST must eaperataty approve the opening of a margin account (Metgln Account! and Cliiint must separately sign the Margin Agreamein. 3. Order Execution. Orders for the purchase or salt of assets may be routed to or executed through army exchange, market or broker that CMS! selects. 4. Rules end Regulations. An transactions In Account) shall be conducted in accordance with and subject to Applicable Law. III IIIIIII III Ill D2 "am*" 0•21•1032213 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094915 CONFIDENTIAL SDNY_GM_00241099 EFTA01390412