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sd-10-EFTA01371061Dept. of JusticeOther

EFTA Document EFTA01371061

Generally agree with Stewart. Is there anything specific you are looking at? Thanks, Vahe From: Stewart Oldfield Sent: Tuesday, April 25, 2017 4:02 PM To: Richard Kahn [email protected]> Cc: Vahe Stepanian <[email protected]> Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can c

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Generally agree with Stewart. Is there anything specific you are looking at? Thanks, Vahe From: Stewart Oldfield Sent: Tuesday, April 25, 2017 4:02 PM To: Richard Kahn [email protected]> Cc: Vahe Stepanian <[email protected]> Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can c

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Generally agree with Stewart. Is there anything specific you are looking at? Thanks, Vahe From: Stewart Oldfield Sent: Tuesday, April 25, 2017 4:02 PM To: Richard Kahn [email protected]> Cc: Vahe Stepanian <[email protected]> Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can clarify. Thanks From: Richard Kahn [mailto:ric_hardkahn12©gmail.con] Sent: Tuesday, April 25, 2017 3:48 PM To: Stewart Oldfield Subject: trading capabilities are we able to do any of the following trades in our accounts Trade fx forwards and options CDS Equity derivatives If so would this be out of your Wealth Management group or Investment Bank? please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064227 CONFIDENTIAL SDNY_GM_00210411 EFTA01371061

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Faxfax 212-320-0381
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Related Documents (6)

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EFTA Document EFTA01376901

From: Vahe Stepania Sent: 12/4/2015 1:56:49 PM To: Richard Kahn mj CC: Daniel Sabba riane Dwyer " ' 'Paul Morris [ Stewart Oldfield Subject: RE: Dispersion Call Option [CI Classification: Confidential One more point worth mentioning - the realized dispersion when we spoke on Wednesday was - 9.95%. This decline from 9.95% to 9.41% would also affect the indicative bid of the option. From: Vahe Stepanian Sent: Friday, December 04, 2015 1:09 PM To: Richard Kahn Cc: Daniel Sabba

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From: Richard Kahn Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith <a> Cc: Stewart Oldfield Vahe Stepanian ve; Matt Glassman >; Delores Rubin Subjec : e: o isc Any update on bid ask for 100k Roth 9 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 On May 22, 2017, at 6:47 PM, Tazia Smith ‹ > wrote: Working with our counterparts in Europe. Size / liquidity could be prohibitive for a market on that size but we will be back with color.

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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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From: Cynthia Rodriguez Sent: 9/6/2016 9:56:24 AM To: bellaklein CC: Vahe Stepanian Stewart Oldfield ; Gben a Omosuyi ; Darren Indyke ; Richard Kahn Subject: RE: (C) MI, The funds were returned this morning. Please submit another wire using the correct instructions. Feel free to reach out if you have any questions. Thanks. Kind regards, Cynthia Rodriguez It Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 3

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EFTA Document EFTA01381057

As s Rubin I Wealth Management Capital Markets Equity Trading DB Securities Inc Deutsche Bank Wealth Management 345 154-0004 New York, NY, USA Tel. Emal From: Richard Kahn [mailto Sent: Tuesday, May 23, 2017 6:18 AM To: Tazia Smith Cc: Stewart Oldfield ; Vahe Stepanian da; Matt Glassman ; Delores Rubin ‹ > Subject: Re: Rothschild [C] Any update on bid ask for 100k Roth ' Richard Kahn HBRK Associates Inc. 575 Lexington Avenue, 4th Floor New York, NY 10022 Phone- Fax Cell

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From: Sent: To: CC: Subject: Richard Kahn 6/1/2017 1:12:23 PM Delores Rubin Vahe Stepanian Re: Rothschild - Being shown an offer! ICI thanks for feedback buyer only interested at 100k quantity thank you for all your input so far Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Tazia Smith On Jun 1, 2017, at 8:39 AM, Delores Rubin < Classification: Confidential Hi Richard, ; Stewart Oldfield > wrote: I understand the client

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