Case File
efta-efta01045337DOJ Data Set 9OtherFrom: Richard Kahn
Date
Unknown
Source
DOJ Data Set 9
Reference
efta-efta01045337
Pages
5
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Richard Kahn
To: "Jeffrey E." <[email protected]>
Subject: Fwd: ROTH
Date: Tue, 23 May 2017 15:33:17 +0000
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue 4th Floor
New York NY 10022
tel
fa
cel
Begin forwarded message:
From: "Atlas, Andrew S" <
Subject: RE: ROTH Closing Mkt 27.59 - 27.70
Date: May 23, 2017 at 11:13:12 AM EDT
To: Richard Kahn
ROTH 27.825 last up .24 on 10565 shares
27.81 - 27.84
150 x 150
Exchange closes at 11:30am est. If you would like to participate in the overnight market, the order needs to be in by 4pm
est. It will then be routed to Europe for execution. We can work the order any way STC would like.
Let me know if you have any questions.
-Andrew
Andrew S. Atlas
First Vice President
Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management
1290 Avenue of the Americas, 12th Floor New York, NY 10104
Tel/Direct
Fax:
NMLS ID X 1326736
From: Richard Kahn rmailto:
Sent: Tuesday, May 23, 2017 4:43 AM
To: Atlas, Andrew S (Wealth Mgmt MS)
Subject: Re: ROTH Closing Mkt 27.59 - 27.70
EFTA01045337
Thank you.
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue, 4th Floor
New York, NY 10022
Phone 212-971-1306
Fax 646-350-0954
Cell 917-414-7584
On May 23, 2017, at 4:04 AM, Atlas, Andrew S
> wrote:
Good Morning Rich,
ROTH FP... opened 27.755 only 1440 shares on the tape. Not very liquid.
Doesn't look like we are set up to trade on the international desk, so we're going to need to wait till someone on the
NY desk can take the order. I have emails and calls into the desk, and will be notified when someone is there.
Also looking for a natural seller to see if we could get access to some size.
Speak soon,
Andrew
Andrew S. Atlas
First Vice President
Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management
1290 Awn
s, 12th Floor I New York, NY 10104
Tel/Direct:
I Fax:
NMLS ID # 1326736
From: Richard Kahn [mailtod
Sent: Monday, May 22, 2017 5:29 PM
To: Atlas, Andrew S (Wealth Mgmt MS)
Subject: Re: ROTH Closing Mkt 27.59 - 27.70
will do
thanks
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue 4th Floor
New York, NY 10022
tel
fax
cel
EFTA01045338
On May 22, 2017, at 5:20 PM, Atlas, Andrew 5`=
> wrote:
Paris opens at 9am CET, so be on the lookout at 4am EST.
Speak then,
Andrew
Andrew S. Atlas
First Vice President
Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management
1290 Avenue of the Americas, 12th Floor I New York, NY 10104
Tel/Direct
Fax:
NMLS ID it 1326736
From: Richard Kahn [mailtod
Sent: Monday, May 22, 2017 5:06 PM
To: Atlas, Andrew S (Wealth Mgmt MS)
Subject: Re: ROTH Closing Mkt 27.59 - 27.70
please have your intention desk provide bid ask early tomorrow am
thanks
Richard Kahn
HBRK Associates Inc.
575 Lexington Avenue 4th Floor
New York, NY 10022
tel
fax
cell
On May 22, 2017, at 2:45 PM, Atlas, Andrew 5
> wrote:
<image001.png>
Not sure if this is helpful.
Speak soon,
Andrew
Andrew S. Atlas
EFTA01045339
First Vice President
Equity Sales/Middle Markets Group
Financial Advisor
Morgan Stanley Wealth Management
1290 Avenue of the Americas, 12th Floor New York NY 10104
Tel/Direct:
I Fax:
NMIS IDN 1326736
NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute.
advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in
error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege.
Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms
available at the following link: http://www.morganstanley.comithsclaimers If you cannot access these links. please notify us by reply message and we will
send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel
of Morgan Stanley.
NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute.
advice within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in
error. please destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege.
Morgan Stanley reserves the right. to the extent permitted under applicable law. to monitor electronic communications. This message is subject to terms
available at the following link: httplAvww.morganstanley.comfthsclaimers If you cannot access these links. please notify us by reply message and we will
send the contents to you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of
Morgan Stanley.
NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute, advice
within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please
destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley
reserves the right. to the extent permitted under applicable law, to monitor electronic communications. This message is subject to terms available at the
following link: http://www.momanstanley.comhiselaimers If you cannot access these links. please notify us by reply message and we will send the contents to
you. By communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley.
NOTICE: Morgan Stanley is not acting as a municipal advisor and the opinions or views contained herein are not intended to be. and do not constitute, advice
within the meaning of Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If you have received this communication in error. please
destroy all electronic and paper copies and notify the sender immediately. Mistransmission is not intended to waive confidentiality or privilege. Morgan Stanley
reserves the right. to the extent permitted under applicable law, to monitor electronic communications. This message is subject to terms available at the following
link: http:ftww.morganstanley.comidisclaimers If you cannot access these links. please notify us by reply message and we will send the contents to you. By
communicating with Morgan Stanley you consent to the foregoing and to the voice recording of conversations with personnel of Morgan Stanley.
EFTA01045340
EFTA01045341
Technical Artifacts (7)
View in Artifacts BrowserEmail addresses, URLs, phone numbers, and other technical indicators extracted from this document.
Email
[email protected]Fax
Fax 646-350-0954Phone
212-971-1306Phone
646-350-0954Phone
917-414-7584URL
http://www.momanstanley.comhiselaimersURL
http://www.morganstanley.comithsclaimersRelated Documents (6)
DOJ Data Set 10CorrespondenceUnknown
EFTA Document EFTA01765224
0p
DOJ Data Set 11OtherUnknown
EFTA02328489
1p
DOJ Data Set 10CorrespondenceUnknown
EFTA Document EFTA02125460
0p
DOJ Data Set 9OtherUnknown
From: "Jeffrey E." <[email protected]>
4p
DOJ Data Set 11OtherUnknown
EFTA02489202
1p
DOJ Data Set 10OtherUnknown
EFTA02086739
1p
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