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sd-10-EFTA01362828Dept. of JusticeOther

EFTA Document EFTA01362828

From: Michael Raphael Sent: 9/21/2018 1:40:11 P To: Davide-A Sferrazza CC: Amit Garg • Liam Osulliva Subject: RE: 2018 Peri is eview o ccts Southern Financial LLC (GCIS4483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP (I) (C) Classification: Confidential The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to 2015. I'd guess you could get some info. out of the lending folks. Start with Sa

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sd-10-EFTA01362828
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From: Michael Raphael Sent: 9/21/2018 1:40:11 P To: Davide-A Sferrazza CC: Amit Garg • Liam Osulliva Subject: RE: 2018 Peri is eview o ccts Southern Financial LLC (GCIS4483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP (I) (C) Classification: Confidential The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to 2015. I'd guess you could get some info. out of the lending folks. Start with Sa

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From: Michael Raphael Sent: 9/21/2018 1:40:11 P To: Davide-A Sferrazza CC: Amit Garg • Liam Osulliva Subject: RE: 2018 Peri is eview o ccts Southern Financial LLC (GCIS4483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP (I) (C) Classification: Confidential The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to 2015. I'd guess you could get some info. out of the lending folks. Start with Santa Medina. If she can't help, let me know and I can try to come up with a better idea. From: Davide-A Sferrazza Sent: Friday, Septem r 01 : M To: Michael Raphael Cc: Amit Garg cl =nnam Osullivan Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Importance: High Classification: Confidential Mike, Do you happen to have any idea what this is account code is? STRUPDT0118001 KYC team said the following: One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. Not sure if you've ever come across this before, and I am not aware of any SP trades with this client since I've been here, but figured it was worth checking with you. Thanks, Davide From: Liam Osullivan Sent: Friday, September PM To: Davide-A Sferrazza Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Importance: High Classification: Confidential I do not recognize the account code. Do you know what it is? Thanks From: Stewart Oldfield Sent: Friday, September 21 2018 1:20 PM To: Liam Osullivan CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052448 CONFIDENTIAL SDNY_GM_00198632 EFTA01362828

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