EFTA Document EFTA01425583

Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC 20190305 [C] From: Richard Kahn < Date: Wed, 06 Mar 2019 19:14:12 -0500 To: Liam Osullivan <liam.osullivan@db.com> Cc: Stewart Oldfield Jeanne Brennan < ok please let me know tomorrow thanks 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 On Mar 6, 2019, at 6:00 PM, Liam Osullivan <Liam.osullivan@db.com> wrote: Classification: Confidential Rich, It looks like the transfer request came in today but will be rejected again for Tax ID mismatch. I will know more tomorrow. Thanks Liam From: Richard Kahn [mailto: Sent: Wednesday, March 06, 2019 9:22 AM To: Liam Osullivan <Liam.osullivan@db.com> Cc: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 [C] ok thank you EFTA01425583 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 On Mar 6, 2019, at 9:19 AM, Liam Osullivan <Liam.osullivan@db.com> wrote: Classification: Confidential Good morning, We will work on have the margin statements turned off. We have not received the request from IB yet. Thank you, Liam <image001.gif> Liam O'Sullivan Investments & Trading I Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154-0004, USA Tel. +1 212 454-0453 Mobile +347 564-0612 Email liam.osullivan@db.com EFTA01425584 Visit us: http://deutschewealth.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). 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From: Richard Kahn [mailto: Sent: Wednesday, March 06, 2019 5:41 AM To: Liam Osullivan <Liam.osullivan@db.com>; Stewart Oldfield Subject: Fwd: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 can you please look into why we are still receiving these emails.. also any update from IB pulling apple stock? EFTA01425585 please advise 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 Begin forwarded message: From: dbgrip.alerts.prod.uk@list.db.com Subject: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 EFTA01425586 Date: March 6, 2019 at 3:16:59 AM EST To: To: To: joe.aglione@db.com To: chris.maxmin@db.com To: crm-pwm.derivatives@db.com Cc: dbgripwmmargin@list.db.com This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01425587 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01425588