EFTA Document EFTA01430981

Subject: RE: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC 20190305 [C] From: Liam Osullivan Date: Fri, 08 Mar 2019 10:02:28 -0500 To: Richard Kahn Cc: Stewart Oldfield > Classification: Confidential From: Richard Kahn [mailto: Sent: Friday, March 08. 2019 9:57 AM To: Liam Osullivan Cc: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 [C] lets do that delivery from you please call me to review since they are a bit confused.. thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel EFTA01430981 On Mar 8, 2019, at 9:55 AM, Liam Osullivan wrote: Classification: Confidential Rich, IB did not send back the corrected request. The latest request was rejected. They will need to re-submit with the correct tax id. We could also process a free delivery and wire with signed instructions. 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. Mobil Email Visit us: http://deutschewealth.com. EFTA01430982 <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). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Liam Osullivan Sent: Thursday, March 07, 2019 2:57 PM To: 'Richard Kahn' Cc: Stewart Oldfield Subject: RE: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 [C] EFTA01430983 Classification: Confidential We are waiting for IB to send back a corrected request. Our transfer department reached out to IB with what they needed. It may help if you push the people at IB. From: Richard Kahn [mailto: Sent: Thursday, March 07, 2019 2:18 PM To: Liam Osullivan Cc: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 [C] any updates please advise thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell EFTA01430984 On Mar 6, 2019, at 6:00 PM, Liam Osullivan < 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 EFTA01430985 To: Liam Osullivan c > Cc: Stewart Oldfield ‹ > Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 [C] ok thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cel On Mar 6, 2019, at 9:19 AM, Liam Osullivan wrote: Classification: Confidential EFTA01430986 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 EFTA01430987 Deutsche Bank Wealth Management 345 Park Avenue New York NY 10154-0004, USA Tel. Mobil Email 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). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01430988 From: Richard Kahn [mailto: Sent: Wednesday, March 06, 2019 5:41 AM To: Liam Osullivan ; 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? please advise thank you EFTA01430989 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 EFTA01430990 Begin forwarded message: From: Subject: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 Date: March 6, 2019 at 3:16:59 AM EST To: EFTA01430991 To: To: To: To: Cc: EFTA01430992 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. 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. 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. EFTA01430993 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. EFTA01430994