EFTA Document EFTA01456962

From: Vahe Stepanian Sent: 3/11/2015 10:18:30AM To: Roddy Moore CC: Daniel Sabba BCC: Subject: ; Ariane Dwyer ; Gedeon Pinedo ; Troy-0 Williams ; Andrew Xu RE: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 870,000.00 [II classification: For internal use only understood on point (1), thought this was the case which is why I added Gedeon. Gedeon, please clarify who we should reach out to so that we're added to the distribution. Ari can help with following up. ok on point (2), we will not reach out to the client regarding a margin call until we hear otherwise from your CRM team. Thanks for the quick follow up. vahe original message From: Roddy moore sent: Wednesday, march 11, 2015 10:16 AM To: vahe Stepanian; Troy-D Williams; Andrew xu Cc: Daniel sabba; Ariane Dwyer; Gedeon Pinedo Subject: RE: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 870,000.00 [I] Classification: For internal use only we aren't the ones that manage the margin call distribution list. so, we can't help you there. I cc'd you on an email a while back to who was my best guess. You should follow up with them or Gedeon to get pointed in the right direction. The client is not in a call. It's been like pulling teeth trying to get the feeds fixed. This exposure is something that we look at regularly to make sure we're covered while we try to work it out. Roddy Moore Credit Risk Management Deutsche Asset & Wealth management original Message From: vahe Stepanian Sent: Wednesday, march 11, 2015 9:52 AM To: Troy-D Williams; Roddy Moore; Andrew xu Cc: Daniel Sabha; Ariane Dwyer; Gedeon Pinedo Subject: FW: Margin call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 870,000.00 (I] classification: For internal use only Hi team - two things: (1) we really need to be added to the distribution for Southern Financial's margin calls. It's been over a month since we first requested to be added. Please make sure to add myself, Daniel and Ariane Dwyer. (2) Is this a good call? I suspect that there is a call, but that the amount is incorrect. Please let us know at your earliest convenience. Thank you, vahe Original Message From: Paul morris Sent: Wednesday, march 11, 2015 9:36 AM To: Vahe Stepanian; Daniel Sabba CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0116321 CONFIDENTIAL SDNY_GM_00262505 EFTA01456962