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Hope you had a great weekend. Thank you in advance for your help with the

DOJ EFTA Data Set 10 document EFTA01344184

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DOJ EFTA Data Set 10 document EFTA01344184

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EFTA Disclosure
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Hope you had a great weekend. Thank you in advance for your help with the below. Please see my notes below in red. 1PM Southern Financial, LLC - Assets to be transferred to Pershing LLC A/C # N4G- Southern Financial, LLC 2,000,000 HSBC Cont Buffer SX5E 08/29/14 80% EKO BARRIER- 4% CPN / Cusip: tx via DTC - okay to free deliver: Pershing DTC # = 1,000,000 JPM CONT BUFF EQ SX7P 10/16/14 85% CONTIN BARRIER- 0% CPN / 25% CAP Cusip: 48126NVE4 tx via DTC - Okay to free deliver: Pershing DTC # = 17% CAP 2,000,000 SG MARKET PLUS WTI CRUDE 08/05/14 LNKD TO CL1 78.75% BARRIER- 10%CPN ,UNCAPPED Cusip: tx via DTC- okay to free deliver: Pershing DTC # = 3,000,000 LBG CAPITAL NO.1 PLC 144A VAR RT 12/29/2049 HELD BY EUROCLEAR amount1111!!!!'!!' can match free delivery. ISIN: Pershing Euroclear # = - EUROCLEAR ISIN: amount so that we can match free delivery. . Please confirm t/d, s/d and LLOYDS BANK PLC MTN 9 7/8% DEC 16 2021 DTD 12/16/2011 HELD BY - Pershing Euroclear # = . Please confirm t/d, s/d and 2,500,000 PETROLEOS DE VENEZUELA S 5% OCT 28 2015 HELD BY EUROCLEAR ISIN - Pershing Euroclear # = . Please confirm t/d, s/d and amount so that we can match free delivery. EUR 291,846.67 EURO cash wire instructions needed. Relevant instructions: Bank: Citibank, Frankfurt SWIFT: CITIDEFF Account name: Pershin LLC IRAN: For Furt er cre it to: soul ern Financial, LLC Account #: N4G- JPM Southern Trust Co., Inc.(Wxxxx5001) Assets LLC A/C # N4G-xxx812 2,000,000 PETROLEOS DE VENEZUELA S 5% ISIN - Pershing Euroclear # = amount so t at we can match. Thank you, vahe to be transferred to Pershing OCT 28 2015 HELD BY EUROCLEAR . Please confirm t/d, s/d and (Embedded image moved to file: pic20508.gif) vahe Stepanian Associate I wealth Investment Coverage Deutsche Bank Securities Inc. Deutsche Asset & wealth Management 345 Park Avenue - 26th Floor New York, NY 10154-0004 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0029480 CONFIDENTIAL SDNY_GM_00175664 EFTA01344184

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From: Vahe Stepanian Sent: 3/14/2018 5:51:56 PM To: Paul Barrett CC: Stewart Oldfield Martin Zeman Subject: DB Bitcoin and Blockchain Event - April 3, 2018 Paul — hope all is well at Alpha Group. Reaching out because we wanted to extend the below invite to a DB hosted Bitcoin and Blockchain panel discussion here in New York on Tuesday, April 3(6. Let us know if the event is of interest and we can help to get you registered. Happy to answer any questions. Thank you, Vahe Deutsche

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Subject: RE: RIN follow up From: Vahe Stepanian Date: Fri, 20 Apr 2018 14:16:02 -0400 To: Paul Barrett Cc: Stewart Oldfield Martin Zeman No problem, happy to help. The team assumes a 50bps p.a. default rate, and I would point you to page 29 of the book to support this point. Also worth looking at the scenario analysis on pg. 40 — think scenarios 1-7 are particularly relevant because the 50bp issuance costs are in line with RIN I (vs. 2% for a BSL). Thank you, Vahe From: Paul Barrett

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Subject: Re: Fw: Epstein - Assets to transfer [C] From: Vahe Stepanian ‹ > Date: Mon, 02 Dec 2013 10:22:42 -0500 To: Cc: Amanda Kirby Lisa D Hurd Classification: Confidential Janet, Hope you had a great weekend. Thank you in advance for your help with the below. Please see my notes below in red. JPM Southern Financial, LLC - Assets to be transferred to Pershing LLC A/C # — Southern Financial, LLC 2,000,000 HSBC Cont Buffer SXSE 08/29/14 80% EKO BARRIER- 4% CPN / 17% CAP Cusip: 40

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Subject: RE: Remediation 2015-2016 ACO queries.xlsx [I] From: Vahe Stepanian Date: Wed, 01 Feb 2017 08:42:14 -0500 To: Christopher Whyton Cc: Isabel-A Gonzalez < Stewart Oldfield Alastair Mackinlay Classification: For internal use only Hi Chris — we are actually offboarding Southern Financial in GM. Let us know if you need anything else. Best, Vahe From: Christopher Whyton Sent: Wednesday, February 01, 2017 8:38 AM To: Vahe Stepanian Cc: Isabel-A Gonzalez Subject: RE: Remediation

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Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel ce On Oct 17, 2016, at 10:54 AM, Darlene Zong wrote: Classification: Confidential Morning Rich, Hope you had a great weekend. Please find below the two way quotes this morning — Haze Trust Bank of America 8.125% Pfd 12/29/2049 05/10/11 3,4 CUSIP: - 102.25 x 103.75 Southern Financial LLC Frontier Communications 8.5% 4/15/2020 7/6/15 3,4 CUSIP: 105.875 x 107.375 Best, <mage001.gif, Darlene Zo

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Subject: Fw: GBP + AAPL [C] From: Vahe Stepanian ‹ > Date: Thu, 05 Dec 2013 13:00:35 -0500 To: Paul Morris Cc: Classification: Confidential Paul - would like to send JE the below as a follow up to Tuesday. If he wants to write calls vs. AAPl, think now is an opportune time. Let me know what you think Thanks, Vahe Good Afternoon Jeffrey - following up Tuesday's email (included below): 1) WSJ has reported that AAPL has signed a deal w/China mobile, providing it a boost in the world's

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