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sd-10-EFTA01371825Dept. of JusticeOther

EFTA Document EFTA01371825

New York, NY 10022 On A r 25, 2017, at 4:14 PM, Vahe Stepanian > wrote: 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 < Cc: Vahe Stepanian < 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 c

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Dept. of Justice
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sd-10-EFTA01371825
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New York, NY 10022 On A r 25, 2017, at 4:14 PM, Vahe Stepanian > wrote: 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 < Cc: Vahe Stepanian < 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 c

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New York, NY 10022 On A r 25, 2017, at 4:14 PM, Vahe Stepanian > wrote: 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 < Cc: Vahe Stepanian < 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 [a] 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065384 CONFIDENTIAL SDNY_GM_00211568 EFTA01371825

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