EFTA Document EFTA01434934

Subject: FW: Southern Financial - Client Confirmation [C] From: Stewart Oldfield Date: Wed, 28 Mar 2018 12:09:38 -0400 To: Xavier Avila Liam Osullivan Cc: Martin Zeman Coming down to discuss before I call them back. Thanks From: Richard Kahn [mailto: Sent: Wednesday, March 28, 2018 11:17 AM To: Stewart Oldfield Cc: Alpha Group Capital Subject: Fwd: Southern Financial - Client Confirmation [C] can you please call me to review attached with paul thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 Begin forwarded message: EFTA01434934 From: Martin Zeman cc > Subject: Southern Financial - Client Confirmation [C] Date: March 19, 2018 at 5:14:55 PM EDT To: 'Richard Kahn' , "'Paul Barrett ( )1" Cc: Liam Osullivan < , Davide-A Sferrazza clavicle- >, Xavier Avila Classification: Confidential Richard, We are making sure that Southern Financial can trade in credit derivatives and to have the entity properly on-boarded in that area, we need you to confirm that the attached information came from you. Would you please check the documents and confirm to this email that it indeed came from you? If some of this doesn't make sense, please call me. Thank you! W-9 Organization Chart o Per attachment "Southern Financial Operating Agreement" (pages 1, 16) § Southern Trust Company Inc. is the sole member of Southern Financial LLC EFTA01434935 § Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc. UBOs (Owners) that own greater than 10% o Jeffrey Epstein is the sole UBO (see "Organization Chart" above) The source of funds for the UBOs (owners) that are greater than 10% o Jeffery Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms. List of Legal representatives o Per attachment "Southern Financial Operating Agreement" (pages 16) § Jeffrey Epstein, Darren K. Indyke, Richard Kahn Annual report o See attachments "Southern Financial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest EFTA01434936 financial statements Source of Wealth: o The source of wealth is Jeffrey Epstein as the sole shareholder. Jeffery Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Mr. Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms. Client Contact: o Richard Kahn o 0 Formation Document: o Attached LLC Documents include the Articles of Organization EFTA01434937 Thank you, Martin Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. 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