EFTA Document EFTA01472373

Subject: RE: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I] From: Amanda Kirby < Date: Thu, 19 Feb 2015 15:41:46 -0500 To: Vahe Stepanian < Paul Morris Cc: Daniel Sabba Classification: For internal use only Thanks Vahe. Just let us know From: Vahe Stepanian Sent: Thursday, February 19, 2015 2:41 PM To: Paul Morris; Amanda Kirby Cc: Daniel Sabba Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I] Classification: For internal use only Paul / Amanda — just an FYI that I believe the SFLLC margin call to be no good. We're going to hold off on reaching out to the client until we hear back on the below. Thanks, Vahe From: Andrew Xu Sent: Thursday, February 19, 2015 2:37 PM To: [email protected].; Courtney Dubbuisson; Rob Bechtold; Roddy Moore; Troy-D Williams Cc: Vahe Stepanian Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I] EFTA01472373 Classification: For internal use only Hi Guys I need your help on 2 things. First thing is to add Vahe Stepanian and Daniel Sabba on to the email chain for this client and remove Tazia Smith and Kevin Quinn. Second thing is, it seems that the client is getting double charged the IM for 1 of the trades. Highlighted below is a new IM that just popped up for this client, however I know that for that trade the IM is getting captured in the Rules of the Road segment. Can you guys double check to make sure the client is not getting penalized twice? Thanks fcid:[email protected] Andrew Xu, CFA Original Message From: Vahe Stepanian Sent: Thursday, February 19, 2015 1:39 PM To: Roddy Moore Cc: Troy-D Williams; Andrew Xu; Daniel Sabba Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I] Classification: For internal use only Roddy- I just received the attached margin call from Paul Morris. EFTA01472374 Can you please make sure that Daniel Sabba and myself are added, while Tazia Smith and Kevin Quinn are removed? More importantly, I would appreciate if you could walk me through what exactly triggered the margin call. I looked at the valuation statements and was unable to conclude what triggered it. Will hop on the phone with the client to move assets around as soon as I have a better understanding. I have attached the past two valuation statements for your convenience. Will call you shortly to follow up. Vahe Original Message From: Paul Morris Sent: Thursday, February 19, 2015 1:03 PM To: Daniel Sabba; Vahe Stepanian Subject: Far: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( ) for USD 340,000.00 [I] Classification: For Internal Use Only Need to get on distribution thx Original Message From: CMNY Margin Sent: Thursday, February 19, 2015 09:43 AM To: Paul Morris; Amanda Kirby; Kevin Quinn; Tazia Smith; CRM-PWM Derivatives EFTA01472375 Subject: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ) for USD 340,000.00 Please find attached: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC ( for USD 340,000.00 This email has been sent by DEUTSCHE BANK AG (157). Please look at the following attachments EFTA01472376