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sd-10-EFTA01431075Dept. of JusticeOther

EFTA Document EFTA01431075

Subject: RE: Southern Financial - AUM example [I] From: Stewart Oldfield Date: Thu, 11 Oct 2018 10:55:50 -0400 To: Donna Kerri an Leslie Roth Cc: Robert Frohlich Bradley Gillin It seems to have been that way for the last 3 months. Thanks From: Donna Kerrigan Sent: Thursday, October 11, 2018 10:54 AM To: Leslie Roth Cc: Robert Frohlich < Stewart Oldfield Subject: FW: Southern Financial - AUM example [I] Classification: For internal use only Hi Leslie — Please can you take a look on

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Dept. of Justice
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sd-10-EFTA01431075
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Subject: RE: Southern Financial - AUM example [I] From: Stewart Oldfield Date: Thu, 11 Oct 2018 10:55:50 -0400 To: Donna Kerri an Leslie Roth Cc: Robert Frohlich Bradley Gillin It seems to have been that way for the last 3 months. Thanks From: Donna Kerrigan Sent: Thursday, October 11, 2018 10:54 AM To: Leslie Roth Cc: Robert Frohlich < Stewart Oldfield Subject: FW: Southern Financial - AUM example [I] Classification: For internal use only Hi Leslie — Please can you take a look on

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Text extracted via OCR from the original document. May contain errors from the scanning process.
Subject: RE: Southern Financial - AUM example [I] From: Stewart Oldfield Date: Thu, 11 Oct 2018 10:55:50 -0400 To: Donna Kerri an Leslie Roth Cc: Robert Frohlich Bradley Gillin It seems to have been that way for the last 3 months. Thanks From: Donna Kerrigan Sent: Thursday, October 11, 2018 10:54 AM To: Leslie Roth Cc: Robert Frohlich < Stewart Oldfield Subject: FW: Southern Financial - AUM example [I] Classification: For internal use only Hi Leslie — Please can you take a look once the month-end is complete today. Thanks, Donna From: Stewart Oldfield Sent: Thursday, October 11, 2018 10:52 AM To: Donna Kerrigan Subject: FW: Southern Financial - AUM example [I] FYI, KCP brokerage (and also AG deposits) don't seem to be flowing into GMIS CBV data. NNA data seems to be unaffected From: Bradley Gillin EFTA01431075 Sent: Thursday, October 11, 2018 10:19 AM To: Stewart Oldfield <= > Subject: Southern Financial - AUM example [I] Classification: For internal use only Both and account balances have been removed from our GMIS reports. GMIS: fcid:[email protected] Account Balances: fcid:[email protected] Regards, Brad fcid:[email protected] Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 EFTA01431076 Securities offered through Deutsche Bank Securities Inc. EFTA01431077

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