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EFTA Document EFTA01466548EFTA Document EFTA01466550
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sd-10-EFTA01466549Dept. of JusticeOther

EFTA Document EFTA01466549

Brokerage Paul Morris COUNTA(A4:A20)&" Accounts"=17 Accounts Account Id Account Name Relationship Date Opened Nov 2013 Market Value 2013 YTD Revenues Why is this account open? If applicable, please specify related relationship for accommodation accounts and accounts affiliated with larger relationships) Does the related rel slim have CBVs greater than $10mm? BLACK PEARL GLOBAL OPPORTUNITY ASADI, FAREED RELATIONSHIP 5/11/2009 1135 17 76078 3781.17399 Part of a larger relations

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sd-10-EFTA01466549
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Brokerage Paul Morris COUNTA(A4:A20)&" Accounts"=17 Accounts Account Id Account Name Relationship Date Opened Nov 2013 Market Value 2013 YTD Revenues Why is this account open? If applicable, please specify related relationship for accommodation accounts and accounts affiliated with larger relationships) Does the related rel slim have CBVs greater than $10mm? BLACK PEARL GLOBAL OPPORTUNITY ASADI, FAREED RELATIONSHIP 5/11/2009 1135 17 76078 3781.17399 Part of a larger relations

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Brokerage Paul Morris COUNTA(A4:A20)&" Accounts"=17 Accounts Account Id Account Name Relationship Date Opened Nov 2013 Market Value 2013 YTD Revenues Why is this account open? If applicable, please specify related relationship for accommodation accounts and accounts affiliated with larger relationships) Does the related rel slim have CBVs greater than $10mm? BLACK PEARL GLOBAL OPPORTUNITY ASADI, FAREED RELATIONSHIP 5/11/2009 1135 17 76078 3781.17399 Part of a larger relationship ASADI, FAREED RELATIONSHIP Yes BLACK PEARL GLOBAL OPPORTUNITY ASADI, FAREED RELATIONSHIP 2/8/2010 2.88 6413999874E7 0 Non-WIC Account BLACK PEARL GLOBAL OPPORTUNITY ASADI, FAREED RELATIONSHIP 5/10/2010 0 iiIIIIIIirrt of a larger relationship ASADI, FAREED RELATIONSHIP Yes PATRIOT STRATEGY PARTNERS LLC PATRIOT STRATEGY PARTNERS RELATIONSHIP 7/29/2013 3877.9552 Client self-directed investment NOMURA SECURITIES INTERNATIONAL PATRIOT STRATEGY PARTNERS RELATIONSHIP 10/14/2013 0 10254.12743 Client self-directed investment SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL RELATIONSHIP 8/26/2013 7.0872398316 61E7 15694.67591 Client self-directed investment SOUTHERN TRUST COMPANY INC SOUTHERN FINANCIAL RELATIONSHIP 8/26/2013 4828 234.41797 1400.4723 Client self-directed investment JEEPERS INC SOUTHERN FINANCIAL RELATIONSHIP 9/23/2013 3.642945384542E7 46506.14293 Client self-directed investment THE HAZE TRUST SOUTHERN FINANCIAL RELATIONSHIP 9/23/2013 2.123449473905E7 5733.70994 Client self-directed investment J EPSTEIN VIRGIN ISLANDS FOUNDATION INC SOUTHERN FINANCIAL RELATIONSHIP 9/30/2013 0 0 Part of a larger relationship SOUTHERN FINANCIAL RELATIONSHIP YeS JEFFREY EPSTEIN SOUTHERN FINANCIAL RELATIONSHIP 9/23/2013 0 0 Part of a larger relationship SOUTHERN FINANCIAL RELATIONSHIP Yes SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL RELATIONSHIP 10/8/2013 0 0 Cl ii it if-directed investment SOUTHERN TRUST COMPANY INC SOUTHERN FINANCIAL RELATIONSHIP 10/8/2013 0 0 Client self-directed investment SOUTHERN TRUST COMPANY INC SOUTHERN FINANCIAL RELATIONSHIP 10/8/2013 0 0 Collateral account SOUTHERN TRUST COMPANY INC SOUTHERN FINANCIAL RELATIONSHIP 10/8/2013 0 collateral account SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL RELATIONSHIP 11/4/2013 0 0 Collateral account SOUTHERN FINANCIAL LLC SOUTHERN FINANCIAL RELATIONSHIP 11/4/2013 62999.99412 26.25 Collateral account For internal use only EFTA01466549

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