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sd-10-EFTA01382136Dept. of JusticeOther

EFTA Document EFTA01382136

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 Sent: Wednesday, March 06, 2019 9:22 AM To: Liam Osullivan < Cc: Stewart Oldfield < Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICI ok thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New Y 10022 York On Mar 6, 2019, at 9:19 AM, Liam Osullivan

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Dept. of Justice
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sd-10-EFTA01382136
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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 Sent: Wednesday, March 06, 2019 9:22 AM To: Liam Osullivan < Cc: Stewart Oldfield < Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICI ok thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New Y 10022 York On Mar 6, 2019, at 9:19 AM, Liam Osullivan

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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 Sent: Wednesday, March 06, 2019 9:22 AM To: Liam Osullivan < Cc: Stewart Oldfield < Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICI ok thank you Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New Y 10022 York On Mar 6, 2019, at 9:19 AM, Liam Osullivan < /Mb com> wrote: Classification: Confidential 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 & Tracing I Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York, NY 10154-0004, USA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081388 CONFIDENTIAL SDNY_GM_00227572 EFTA01382136

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Related Documents (6)

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From: Richard Kahn Sent: 3/8/2019 9:56:39 AM To: Liam Osullivan CC: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICJ 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 Y "r NY 10022 M On Mar 8, 2019, at 9:55 AM, Liam Osullivan < wrote: Classification: Confidential Rich, 18 did not send bac

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From: Richard Kahn Sent: 3/6/2019 9:21:36 AM To: Liam Osullivan CC: Stewart Oldfield Subject: Re: Auto Generated Margin Statement from DEUTSCHE BANK AG to SOUTHERN FINANCIAL, LLC_20190305 ICJ ok thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 10022 On Mar 6, 2019, at 9:19 AM, Liam Osullivan wrote: Classification: Coneduali Good morning, We will work on have the margin statements turned off. We have not received the request from ID yet.

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From: Sent: To: CC: Subject: Liam Osullivan 7/9/2018 4:28:09 PM Paul Barrett I Martin Zeman I I I; Stewart Oldfield Trade Details --> 7/9/18 ICI Classification: Confidential Paul, Richard Kahn • Davide-A Sferrazza In SFLLC: You bought 1mm EXLINT 10% 07/15/23 at 102.875. Thank you. Liam z Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York, NY, USA E . Email Xavier Avila Prepared on 07/09

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From: Liam Osullivan Sent: 5/21/2018 4:18:00 PM To: 'Paul Barrett 'Richard Kahn' CC: Martin Zeman Xavier Avila Davide-A Sferrazza Joshua Shoshan Stewart Oldfield Subject: Trade Details --> 5/21/2018 ICI Classification: Confidential Paul, In SFFLC: You were assigned 9,000 shares of GILD at 77.50. The account is now long 25,000 shares. There are no more GILD options in the account. You bought 2 shares of BRK/A at 297,000 You sold 20,000 shares of BASFY at 26.3245. In Haze: Y

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From: Sent: To: CC: Subject: Liam Osullivan 8/3/2018 8:52:40 AM Paul Barrett Martin Zeman RE: CDR (C) Classification: Confidential Paul, Richard Kahn ; Davide-A Sferrazza ; Stewart Oldfield You sold 15,320 CDR at 199.4626 PLN. Thank you, Liam Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue 10154.0004 New York. NY, USA Tel. Email ; Xavier Avila Prepared on OW03/2018 Source: Pershing NetX 360 Unofficial t

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From: Liam Osullivan Sent: 2/7/2019 8:39:39 AM To: Richard Kahn CC: Darren Indyke Jeanne Brennan Stewart Oldfield Subject: Balances (CJ Classification: Confidential Good morning Rich, The updated balances are: Foundation $128,626.14 Jeepers $3,276,640.23 Thank you, Liam It, Liam O'Sullivan Investments .@ Trading Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. New York. NY 10154.0004. USA Visit us: httplAleutschewealtheom

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