EFTA Document EFTA01478768

report1391435811898 1 Opportunity Owner Opportunity Name Type Product Family Product Category uct Name Product Description Close Date Fiscal Period Age Created Date omer Name Total Reportable Assets Total Estimated Revenue Office Customer Owner Judith Webster Piles, Stan and Pat - Loan New Product - Existing Client Global Lending ing U.S. Structured Lending (Unsecured) 1/13/2014 Q1-2013 76 10/29/2013 s Jr., Stanley J. 500000 7500 San Francisco Judith Webster Judith Webster Piles, Stan and Pat-Money Market Account New Product - Existing Client ing Products Banking Private Wealth Premium Money Market 1/13/2014 Q1-2013 0 /2014 Piles Jr., Stanley J. 100000 350 San Francisco Judith Webster Judith Webster Altitude Investment Partners LLC- Syndicate New Product - New Client Brok erage Investments Brokerage (Commissions) Syndicate Commissions Dec 2013 1/2/2014 Q1-2 013 0 1/6/2014 Altitude Investment Partners LLC 33625.44 San Francisc o Judith Webster Judith Webster Syndicate Additional Assets - Existing Product Brokerage Investments Brokerage (Commissions) Dec 2013 Revenue 1/2/2014 Q1-2013 0 1/6/2014 AMN Investments LTD dba Colorado Family Partner 60401.31 San Francisco Judith Webster Judith Webster Syndicate Additional Assets - Existing Product Brokerage Investments Brokerage (Commissions) Dec 2013 Syndicate Fees 1/2/2014 Q1-2013 0 1/6/2014 Pens on Financial Services Echo Investments LLC DBA Wynkoop Capital LLC 60401.31 San Francisc o Judith Webster Judith Webster BRIGADE CAPITAL MANAGEMENT- Syndicate Additional Assets - Existing Product Brok erage Investments Brokerage (Commissions) Dec Syndicate Commission 1/2/2014 Q1-2 013 0 1/6/2014 BRIGADE CAPITAL MANAGEMENT 47983.50 San Francisco Judi th Webster Russell Daulton Crawford, Gary Mortgage New Product - Existing Client Residential Mortgage Bank ing Standard Mortgage - 5/1 Arm 1/7/2014 Q1-2013 131 8/29/2013 Crawford, Ga ry Collins 3500000 43750 San Francisco Russell Daulton Andrea Nicoletti Drawdown on Facility Additional Assets - Existing Product Global Lendi ng Banking U.S. Structured Lending (Secured) 1/13/2014 Q1-2013 0 1/27/2014 Jonathan P. Zambetti Grantor Trust 260000 2600 New York Andrea Nicoletti Andrea Nicoletti Addition to IA Additional Assets - Existing Product Investment Advisory Investments U.S. IA - Balanced 1/17/2014 Q1-2013 0 1/23/2014 Windels, Jam es H. 500000 1875 New York Andrea Nicoletti Brian Convey Addition to FI Additional Assets - Existing Product stments U.S. IA - RCM 1/2/2014 Q1-2013 0 1/2/2014 314.52 4136.63 New York Brian Convey Cindy L. Loudenslager new custody account New Product - Existing Client stments Onshore Custody 1/2/2014 Q1-2013 43 11/20/2013 Seamans Fund, LLC 2000000 0 New York Cindy L. Loudenslager Cindy L. Loudenslager new IA New Product - New Client Investment Advisory U.S. IA - Balanced 1/3/2014 Q1-2013 4 12/30/2013 Merrow, John .17 New York Cindy L. Loudenslager Cindy L. Loudenslager structured loan New Product - New Client Global Lending Banking U.S. Structured Lending (Secured) 1/27/2014 Q1-2013 28 12/30/2013 RMDL LLC 2800 000 70000 New York Cindy L. Loudenslager Cindy L. Loudenslager structured loan New Product - New Client Global Lending Banking U.S. Structured Lending (Secured) 1/27/2014 Q1-2013 28 12/30/2013 NAAB LLC 3745 000 93625 New York Cindy L. Loudenslager Cindy L. Loudenslager IA account New Product - New Client Investment Advisory Inve stments U.S. IA - Balanced 1/3/2014 Q1-2013 0 1/3/2014 Lonergan, Joan Z. 227435 2456.3 New York Cindy L. Loudenslager Cindy L. Loudenslager add to IA Additional Assets - Existing Product Investment Advisory Investments U.S. IA - Balanced 1/3/2014 Q1-2013 0 1/3/2014 Skerritt, Su san E 236807 2841.68 New York Cindy L. Loudenslager Cindy L. Loudenslager bank account New Product - New Client ing Private Wealth Premium Checking 1/30/2014 Q1-2013 23 60000 300 New York Cindy L. Loudenslager Cindy L. Loudenslager new brokerage New Product - Brokerage (Commissions) 1/3/2014 Q1-2013 0 York Cindy L. Loudenslager Cindy L. Loudenslager fx New Product - Spot Trade (FX) 1/7/2014 Q1-2013 0 t dated August 4 1993 150 New York Cindy L. Loudenslager brokerage account stments Brokerage (Commissions) 1/8/2014 New York Cindy L. Loudenslager Cindy L. Loudenslager new IA New Product - New Client Investment Advisory U.S. IA - Balanced 1/3/2014 Q1-2013 0 1/9/2014 Merrow, John 6.47 New York Cindy L. Loudenslager Cindy L. Loudenslager bank account New Product - New Client ing Private Wealth Premium Checking 1/24/2014 Q1-2013 14 igers, LLC 48851 244.26 New York Cindy L. Loudenslager Cindy L. Loudenslager add to dynamic etf Additional Assets - Existing Product Investments Brokerage (Asset-Based Fees) - Advisor Select 1/9/2014 Q1-2013 /2014 THE JENNIFER M. BAHADUR REVOCABLE TRUST 758576.32 4551.46 New York denslager Cindy L. Loudenslager add to dynamic etf Additional Assets - Existing Product Investments Brokerage (Asset-Based Fees) - Advisor Select 1/9/2014 Q1-2013 Investment Advisory Kestenbaum, Alan Prod Cust Bank Pile Bank 1/13 Inve 2068 Global Custody Inve Global Clean Energy Investments 610479 6593 Banking Products Bank 1/7/2014 NAAB LLC Existing Client Brokerage Investments 1/7/2014 Vaccaro, Jon A. 0 New Existing Client GIS-Capital Markets Investments 1/8/2014 G Donald Johnston III Revocable Trus Cindy L. Loudenslager New Product - Existing Client Brokerage Inve Q1-2013 0 1/8/2014 Abdo, Bernard 0 Investments 1026525 1108 Banking Products Bank 1/10/2014 ASD Thirty T Brokerage 0 1/10 Cindy L. Lou Brokerage 0 1/10 EFTA01478768 /2014 THE NINA N BAHADUR REVOCABLE TRUST denslager Cindy L. Loudenslager spot fx New Product - Existing Client GIS-Capital Markets Spot Trade (FX) 1/15/2014 Q1-2013 0 1/15/2014 Bahadur, Sekhar 150 Cindy L. Loudenslager Cindy L. Loudenslager bank account New Product - New Client Banking ing Private Wealth Premium Checking w/Interest 1/15/2014 Q1-2013 10000 50 New York Cindy L. Loudenslager bank account New Product - New Client Banking Premium Checking w/Interest 1/15/2014 Q1-2013 50 New York Cindy L. Loudenslager bank account New Product - New Client Premium Checking w/Interest 1/15/2014 50 New York Cindy L. Loudenslager spot fx Additional Assets - Existing Product 1/22/2014 Q1-2013 0 1/22/2014 New York Cindy L. Loudenslager Cindy L. Loudenslager bank account New Product - New Client ing Private Wealth Premium Checking w/Interest 1/23/2014 Merrow, John 10000 50 New York Cindy L. Loudenslager Cindy L. Loudenslager new VDF Additional Assets - Existing Product stments Derivatives (Equity - Forward) 1/27/2014 Q1-2013 0 , Sara 5653.40 New York Cindy L. Loudenslager Cindy L. Loudenslager upgrade from fx to equity Transfer to Existing Account stment Advisory Investments U.S. IA - Equity 1/27/2014 Q1-2013 0 Demoulas, Fotene 17500 New York Cindy L. Loudenslager Cindy L. Loudenslager new DBLCI note Transfer to New Account (Upgrade) GIS-Capital Markets Investments Structured Notes & Deposits (Commodity) 1/21/2014 Q1-2013 0 1/27/2014 Michael W. Copps Revocable Tr Dtd 7/3/96 1900 New York Cindy L. Loudenslager Cindy L. Loudenslager new DBLCI note Transfer to New Account (Upgrade) GIS-Capital Markets Investments Structured Notes & Deposits (Commodity) 1/21/2014 Q1-2013 0 1/27/2014 Classon, Bruce 2850 New York Cindy L. Loudenslager Cindy L. Loudenslager new DBLCI note Transfer to Existing Account (Upgrade) GIS-Capital Markets Investments Structured Notes & Deposits (Commodity) 1/21/2014 Q1-2013 0 1/27/2014 2850 New York Cindy L. Loudenslager new custody account New Product - Existing Client 1/28/2014 Q1-2013 0 1/29/2014 COHRS, Loudenslager new custody account New Product - Existing Client 1/28/2014 Q1-2013 0 1/29/2014 Cohrs, New York Cindy L. Loudenslager Cindy L. Loudenslager repricing-custody Repricing Global Custody ore Custody 1/28/2014 Q1-2013 0 1/29/2014 Cohrs, Michael Cindy L. Loudenslager Cindy L. Loudenslager add to IA account New Product - New Client Investment Advisory Investments U.S. IA - Balanced 1/30/2014 Q1-2013 0 1/30/2014 Yankee Kingd om Advisory, LLC 50000 600 New York Cindy L. Loudenslager George Zahringer John C. Goff 2010 Family Trust-Savings New Product - New Client Bank ing Products Banking Private Wealth Premium Money Market 1/6/2014 Q1-2013 328 2/12 /2013 John C. Goff 2010 Family Trust 8000000 4000 New York George Zahringer Joanne Jensen 1 Year Committed Line of Credit New Product - New Client Global Lending Bank ing U.S. Secured Lending (Lombard) 1/24/2014 01-2013 161 8/16/2013 GF Investmen is II LLC 10000000 200000 New York Joanne Jensen Brandon Buchmayr GF Investments II LLC New Product - Existing Client Brokerage Inve stments Brokerage (Commissions) 1/15/2014 Q1-2013 0 1/17/2014 GF Investments II LL C 3.1379376765E8 0 Malcolm Kimble Deposits ate Wealth Premium Checking Revocable Trust 30000000 Malcolm Kimble CROCI Div Structured Notes & Deposits y Foundation 550000 4125 New York Malcolm Kimble Malcolm Kimble CROCI Div New Product - Existing Client GIS-Capital Markets Structured Notes & Deposits (Equity) 1/31/2014 Q1-2013 10 1/21/2014 Willene Dobson Foundation 150000 1125 New York Malcolm Kimble Malcolm Kimble DBCLIMR Transfer to Existing Account (Upgrade) GIS-Capital Markets Structured Notes & Deposits (Commodity) 1/21/2014 01-2013 0 1/21/2014 Willene Dobson Foundation 142.50 New York Malcolm Kimble Mary Ann Coleman HF Loan Additional Assets - Existing Product Global Secured Lending (Lombard) 1/24/2014 Q1-2013 0 1/24/2014 100000 2000 New York Mary Ann Coleman Mary Ann Coleman HELOC Draw Additional Assets - Existing Product Residential Mortgage Banking Home Equity Loan (HELOC) 1/27/2014 Q1-2013 0 1/27/2014 Chao 2000 Tr ust 1000000 20000 New York Mary Ann Coleman Mary Ann Coleman NYC Mortgage Additional Assets - Existing Product Residential Mortgage Banking Standard Mortgage - 5/1 Arm 1/27/2014 Q1-2013 0 1/27/2014 Chao 2000 Tr ust 2100000 21000 New York Mary Ann Coleman Mary Ann Coleman Additional Assets Additional Assets - Existing Product Global Custo dy Investments Onshore Custody 1/28/2014 Q1-2013 0 1/28/2014 YD SMA LLC Lonergan, Joan Z. Cindy L. Loudenslager ing Private Wealth Merrow, John 10000 Cindy L. Loudenslager ing Private Wealth Merrow, John 10000 Cindy L. Loudenslager stments Spot Trade (FX) CLASSON, WILMA F Cindy L. Loudenslager stments Onshore Custody New York Cindy L. Cindy L. Loudenslager stments Onshore Custody 758377.69 4550.27 New York New York Joanne New Product - Existing w/Interest 1/17/2014 171000 New York New Product - Existing (Equity) 1/30/2014 Jensen Client 01-2013 Malcolm Client Q1-2013 Cindy L. Lou Investments New York Products Bank 0 1/16/2014 Products Bank 0 1/16/2014 Banking Products Bank Q1-2013 0 1/16/2014 GIS-Capital Markets Inve Demoulas, Fotene 250 Banking Products Bank Q1-2013 0 1/24/2014 GIS-Capital Markets Inve 1/27/2014 Howard Garay (Upgrade) Inve 1/27/2014 Global Custody Inve ARLENE 7500000 3750 Global Custody Inve Michael 7500000 3750 Investments Onsh 1200 New York Banking Products Banking Priv 1 1/16/2014 Leonard Tow Kimble GIS-Capital Markets Investments 9 1/21/2014 Dobson Famil Investments Russell and Investments Russell and Lending Banking U.S. Giordano, Mark V. EFTA01478769 25000000 21250 New York Mary Ann Coleman Mary Ann Coleman Global Custody Additional Assets - Existing Product Global Custody stments Onshore Custody 1/31/2014 Q1-2013 0 1/31/2014 Deccan Value Investors LP 20000000 17000 New York Mary Ann Coleman Mary Ann Coleman Dennis Miller Living Trust UAD 6/6/11- Notional GIS-Capital Investments Derivatives (Equity - Option) 1/16/2014 Q1-2013 0 1/28/2014 is Miller Living Trust UAD 6/6/11 22050 New York Mary Ann Coleman Mary Ann Coleman Dennis Miller Living Trust UAD 6/6/11- Notional GIS-Capital Investments Derivatives (Equity - Option) 1/31/2014 Q1-2013 0 1/31/2014 is Miller Living Trust UAD 6/6/11 43500 New York Mary Ann Coleman Paul Morris Epstein, Jeffrey- New Product - New Client Banking ing Private Wealth Premium Checking w/Interest 1/6/2014 Q1-2013 263 4/18/2013 Epstein, Jeffrey 2000000 7000 New York Paul Morris Jeepers, Inc- Additional Assets - Brokerage (Commissions) 1/6/2014 Q1-2013 124 New York Paul Morris Paul Morris Brokerage Funds Additional Assets - Brokerage (Commissions) 1/9/2014 Q1-2013 0 New York Paul Morris David Jumper Addition to RCM Additional Assets - stments U.S. IA - RCM 1/16/2014 Q1-2013 0 979695 3428.93 New York Rosemary Vrablic Rosemary Vrablic Donald J. Trump New Product stments U.S. IA - RCM 1/30/2014 Q1-2013 0 0000 15000 New York Rosemary Vrablic Rosemary Vrablic Blau, Jeff- New Product - Existing Client Global Lending Banking U.S. Structured Lending (Unsecured) 1/17/2014 Q1-2013 2678 9/18/2006 Blau, Jeff 3500 0000 525000 New York Rosemary Vrablic Rosemary Vrablic Lone Star Real Estate Fund III (U.S) LP- New Product - Existing Clien t Global Lending Banking U.S. Structured Lending (Secured) 1/3/2014 Q1-2013 66 10/29/2013 Lone Star Real Estate Fund III (U.S) LP 4.697265625E7 1384225.27 New York Rosemary Vrablic Rosemary Vrablic Lone Star Real Estate Fund III (Bermuda) LP- New Product - Existing Clien t Global Lending Banking U.S. Structured Lending (Secured) 1/3/2014 Q1-2013 66 10/29/2013 Lone Star Real Estate Fund III (Bermuda) LP 4.552734375E7 1341633.73 New York Rosemary Vrablic Rosemary Vrablic Pincay RE, LLC- New Product - New Client Global Lending Banking U.S. Structured Lending (Unsecured) 1/14/2014 Q1-2013 75 10/31/2013 Pincay RE, LLC 1.01 10659186E8 2527664.8 New York Rosemary Vrablic Rosemary Vrablic PIMCO BRAVO Fund II, L.P.- Additional Assets - Existing Product Glob al Lending Banking U.S. Structured Lending (Secured) 1/13/2014 Q1-2013 24 12/2 0/2013 PIMCO BRAVO Fund II, L.P. 187500000 5618750 New York Rosemary Vrablic Rosemary Vrablic The Related Companies LP- LC FEES Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/9/2014 Q1-2013 0 1/13/2014 The Related Companies LP 5440 New York Rosemary Vrablic Rosemary Vrablic AGS Ventures II LLC-LC Fees Additional Assets - Existing Product Glob al Lending Banking U.S. Letter of Credit 1/10/2014 Q1-2013 0 1/13/2014 AGS Ventures II LLC 14448.63 New York Rosemary Vrablic Rosemary Vrablic The Related Companies LP- LC FEES Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/13/2014 Q1-2013 0 1/13/2014 The Related Companies LP 10362.84 New York Rosemary Vrablic Rosemary Vrablic Blau, Jeff New Product - New Client Banking Products Bank ing Private Wealth Premium Money Market Wire in 1/14/2014 Q1-2013 0 1/15/2014 Blau, Jeff 5000000 25000 New York Rosemary Vrablic Rosemary Vrablic Arclight Energy Partners Fund V LP Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/15/2014 Q1-2013 0 1/21/2014 Arcl ight Energy Partners Fund V LP 1106818.43 New York Rosemary Vrablic Rosemary Vrablic ArcLight Energy Partners Fund II LP LC Fees Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/21/2014 Q1-2013 0 1/30 /2014 ArcLight Energy Partners Fund II LP 82014.28 New York Rosemary Vrablic Rosemary Vrablic ArcLight Energy Partners Fund IV LP LC FEES Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/21/2014 Q1-2013 0 1/30 /2014 ArcLight Energy Partners Fund IV LP 252892.80 New York Rosemary Vrablic Rosemary Vrablic ArcLight Energy Partners Fund II LP- UNUSED FEES Additional Assets - Existing Product Global Lending Banking U.S. Structured Lending (Secured) 1/21/2014 Q1-2013 0 1/30/2014 ArcLight Energy Partners Fund II LP 18452.67 New York Rosemary Vrablic Rosemary Vrablic ArcLight Energy Partners Fund IV LP - UNUSED FEES Additional Assets - Existing Product Global Lending Banking U.S. Structured Lending (Secured) 1/21/2014 Q1-2013 0 1/30/2014 ArcLight Energy Partners Fund IV LP 31938.44 New York Rosemary Vrablic Rosemary Vrablic Arclight Energy Partners III, LP-UNUSED FEES Additional Assets - Existing Product Global Lending Banking U.S. Structured Lending (Secured) 1/21/2014 Q1-2 013 0 1/30/2014 ArcLight Energy Partners Fund III, LP 29540.79 New York Rosemary Vrablic Rosemary Vrablic Arclight Energy Partners III, LP - LC FEES Additional Assets - Existing Product Global Lending Banking U.S. Letter of Credit 1/21/2014 Q1-2013 0 1/30 /2014 ArcLight Energy Partners Fund III, LP 206755.07 New York Rosemary Vrablic David Jumper Addition Additional Assets - Existing Product Investment Advisory Inve Inve Fund Markets Denn Markets Denn Products Bank Paul Morris Existing Product 9/4/2013 Existing Product 1/9/2014 Existing Product 1/24/2014 - New Client 1/30/2014 Brokerage Jeepers, Inc Brokerage Jeepers, Inc Investments 5000000 0 Investments 1100000 0 Investment Advisory Inve Dr. David W. Altchek, M.D. Investment Advisory Inve Trump, Donald J. 1000 EFTA01478770 stments U.S. IA - Balanced able Trust 20937566 David Jumper Addition stments U.S. IA - Balanced Charitable Remainder Unitrust Terrence Tangney NNA January Investments U.S. IA - RCM RCM es 1789400 4473.50 New York Terrence Tangney NNA January Investments U.S. IA - RCM RCM gory 1659400 3318.80 New York Terrence Tangney NNA January Investments U.S. IA - RCM RCM y 1005000 2010 New York Terrence Tangney Terrence Tangney 10MM Loan Drawdown Additional Assets - Existing Product Global Lendi ng Banking U.S. Structured Lending (Secured) 1/14/2014 Q1-2013 0 1/14/2014 DeGeorge, Peter R. 10000000 80000 New York Terrence Tangney $5MM NNA 450419 New Product - Existing stments U.S. IA - Equity 1/15/2014 Q1-2013 0 5000000 25000 New York Terrence Tangney Terrence Tangney $5MM NNA 450420 New Product stments U.S. IA - Fixed 1/15/2014 Q1-2013 0 000 12500 New York Terrence Tangney Terrence Tangney $3MM NNA 450420 New Product stments U.S. IA - Fixed 1/2/2014 Q1-2013 0 000 7500 New York Terrence Tangney Terrence Tangney $2.7MM NNA 450419 New Product - Existing Client Investment Advisory Investments U.S. IA - Equity 1/14/2014 Q1-2013 0 1/16/2014 DeGeorge, Pe ter R. 2770962 13854.81 New York Terrence Tangney Terrence Tangney $1.78MM NNA 450419 New Product - Existing Client Investment Advisory Investments U.S. IA - Equity 1/23/2014 Q1-2013 0 1/24/2014 DeGeorge, Pe ter R. 1787385.40 8936.93 New York Terrence Tangney Terrence Tangney 52.51MM NNA 450419 New Product - Existing Client Investment Advisory Investments U.S. IA - Equity 1/29/2014 Q1-2013 0 1/30/2014 DeGeorge, Pe ter R. 2511690 12558.45 New York Terrence Tangney Carolin Botzenhard Structured Notes Notional GIS-Capital Markets Investments Structured Notes & Deposits (FX) 1/2/2014 Q1-2013 0 1/2/2014 Burger, Pete  1870 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional GIS-Capital Markets Investments Structured Notes a Deposits (FX) 1/2/2014 Q1-2013 0 1/2/2014 Burger, Pete  1730 Los Angeles Carolin Botzenhard Carolin Botzenhard The Price Group LLC- New Product - New Client Referral Fee Inve stments PIC Desk Revenue Credits Block Sale 1/3/2014 Q1-2013 0 1/3/2014 The Price Group LLC 46000000 450000 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional GIS-Capital Markets Investments Structured Notes a Deposits (FX) 1/13/2014 Q1-2013 0 1/13/2014 Burger, Pete  2000 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional GIS-Capital Markets Investments Structured Notes a Deposits (FX) 1/13/2014 Q1-2013 0 1/13/2014 Burger, Pete  2070 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional Structured Notes a Deposits (FX) 1/17/2014 Q1-2013  1910 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional Structured Notes a Deposits (FX) 1/21/2014 Q1-2013  1750 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional Structured Notes a Deposits (FX) 1/24/2014 Q1-2013  2175 Los Angeles Carolin Botzenhard Carolin Botzenhard Alliance Business Holdings, Lending New Product - New Client Glob al Lending Banking U.S. Secured Lending (Lombard) 1/27/2014 Q1-2013 0 1/27/2014 Alliance Business Holdings, LLC 1000000 7500 Los Angeles Carolin Botzenhard Carolin Botzenhard Structured Notes Notional GIS-Capital Markets Investments Structured Notes a Deposits (FX) 1/28/2014 Q1-2013 0 1/28/2014 Burger, Pete  1100 Los Angeles Carolin Botzenhard Cheryl Paller CRE Referral New Product - New Client Referral Fee Investments Refe rral Fee 1/24/2014 Q1-2013 266 5/3/2013 Comrie, William H. 28000000 280000 Los Angeles Cheryl Paller Cheryl Paller Plug and Play Swap New Product - New Client GIS-Capital Markets Inve stments Derivatives (Fixed Income/Interest Rate - Swap) 5-yr SWAP with 10 bps 1/17/2014 Q1-2 013 322 3/1/2013 440 Wolfe Road LLC 24010000 120050 Los Angeles Cher yl Paller Cheryl Paller Residential Loan New Product - New Client Residential Mortgage Bank ing Standard Mortgage - 10/1 Arm 1/6/2014 Q1-2013 272 4/9/2013 Yadegar, Jac 64000 Los Angeles Cheryl Paller Commercial Real Estate New Product - New Client Referral Fee Investments 1/17/2014 Q1-2013 193 7/8/2013 Goldrich a Kest Industries, LLC 7500 Los Angeles Cheryl Paller Investment Advisory New Product - Existing Client Investment Advisory Inve 1/7/2014 52343.92 Additional 1/24/2014 17659551 Q1-2013 0 New York Assets - Existing Q1-2013 0 56510.56 1/24/2014 Ruth T Bedford Revoc Salvatore E. Moore Product Investment Advisory Inve 1/27/2014 Ruth T. Bedford 2007 New York Salvatore E. Moore Additional Assets - Existing 1/14/2014 Q1-2013 0 Terrence Tangney Additional Assets - Existing 1/14/2014 Q1-2013 0 Terrence Tangney Additional Assets - Existing 1/14/2014 Q1-2013 0 Product Investment Advisory 1/14/2014 Kriebel, Jam Product Investment Advisory 1/14/2014 Kriebel, Gre Product Investment Advisory 1/14/2014 Kriebel, Gar 3200000 Cheryl Paller Referral Fee 000 50000 Cheryl Paller Terrence Tangney Client Investment Advisory Inve 1/16/2014 DeGeorge, Peter R. - Existing Client 1/16/2014 - Existing Client 1/16/2014 Investment Advisory DeGeorge, Peter R. Investment Advisory DeGeorge, Peter R. GIS-Capital Markets 0 1/17/2014 Inve 5000 Inve 3000 Investments Burger, Pete GIS-Capital Markets Investments 0 1/21/2014 Burger, Pete GIS-Capital Markets Investments 0 1/24/2014 Burger, Pete EFTA01478771 stments U.S. IA - Equity 1/9/2014 Q1-2013 118 9/13/2013 Camino Palmero West, LLC 3000000 Cheryl Paller Investments Living Trust Cheryl Paller Investments mes 303000 Cheryl Paller Investments 504379 2269.71 Cheryl Paller Investments U.S. IA - Balanced ase 505571 2275.07 Los Angeles Cheryl Paller Investment Advisory - Investments U.S. IA - Balanced erovic, Radoslav 850000 4250 Cheryl Paller Investment Advisory - Investments U.S. IA - Balanced a 501822 2258.2 Los Angeles Cheryl Paller Investment advisory - dvisory Investments U.S. IA - Balanced money Trust 3000000 15000 Los Angeles Cheryl Paller HPC I Loan New Product eal Estate 1/17/2014 Q1-2013 14 0000 380800 Los Angeles Cheryl Paller Cheryl Paller Plug and Play loan New Product ercial Real Estate 1/17/2014 Q1-2013 14 0000 480200 Los Angeles Cheryl Paller Cheryl Paller HPC 1 Swap New Product - New Client Derivatives (Fixed Income/Interest Rate - Swap) 5-yr SWAP 1/3/2014 1149 Gower Street Hollywood LLC 19040000 r Cheryl Faller Business Deposit Account New Banking Private Wealth Premium Checking 1/17/2014 treet Hollywood LLC 2345844.03 11729.22 Cheryl Faller Business Deposit Account New Banking Private Wealth Premium Checking 1/17/2014 ad LLC 4641460.21 23207.30 Los Angeles Susan Burnett Madisyn 1, LLC - Yellowstone New Banking Standard Mortgage - 10/1 Arm 1/15/2014 Q1-2013 90 10/17/2013 Madisyn 1, L LC 5000000 60000 Los Angeles Susan Burnett Susan Burnett THE TULCHIN TRUST- New Product - New Client Brokerage Investments Brokerage (Commissions) 1/8/2014 Q1-2013 36 12/3/2013 THE TULCHIN TRUST 1000 000 0 Los Angeles Susan Burnett Cari LaRose DB STEP Deposit 1 m0 - $50MM New Product - Existing Client Banking Products Banking STEP Deposit (Time Deposit-GPLUS) $50,000,000 STEP Deposit (maturity 2/26/2014) 1/27 /2014 Q1-2013 0 1/27/2014 EFPRP Investments LLC 50000000 0 Chicago Davi d Rodin Cari LaRose $45MM STEP Deposit New Product - Existing Client Banking Products Bank ing STEP Deposit (Time Deposit-GPLUS) One month STEP maturing 2/20/2014 1/21/2014 Q1-2013 0 1/27/2014 Charles Chase Koch Revocable Trust 45000000 0 Chic ago David Rodin Cari LaRose $20MM STEP Deposit New Product - Existing Client Banking Products Bank ing STEP Deposit (Time Deposit-GPLUS) One month STEP from 1/21/2014 t0 2/20/2014 1/21 /2014 Q1-2013 0 1/27/2014 Charles G. Koch 1997 Trust 20000000 0 Chic ago David Rodin Cari LaRose DB STEP Deposit 1 mo - $25MM New Product - Existing Client Banking Products Banking STEP Deposit (Time Deposit-GPLUS) $25,000,000 STEP Depoist (maturity 2/20/2014) 1/21 /2014 Q1-2013 0 1/27/2014 Elizabeth Robinson Koch Revocable Trust 25000000 0 Chicago David Rodin Michael King IA Fee Increase Repricing Investment Advisory Investments U.S. IA - Ba lanced 1/21/2014 Q1-2013 0 1/29/2014 MacDonnell Children 1988 Trust A FBO Claire B. MacDonnell 21878.38 Chicago Michael King Closed Business - for Diego Copyright (c) 2000-2014 salesforce.com, inc. All rights reserved. Confidential Information - Do Not Distribute Generated By: Samantha Harmon 2/3/2014 8:56 AM Deutsche Bank Private Bank 32400 Los Angeles Investment Advisory U.S. IA - Balanced 866071 4330.36 Los Investment Advisory U.S. IA - Balanced 1363.50 Los Angeles Investment advisory U.S. IA - Balanced Los Angeles Cheryl Paller TCM New Product - New Client Investment Advisory 1/3/2014 Q1-2013 46 11/18/2013 Budinger, Ch Cheryl Paller TCM New Product - Existing Client IRA 1/3/2014 Q1-2013 39 Los Angeles Cheryl Paller TCM New Product - New Client 1/3/2014 Q1-2013 Cheryl Paller TCM Additional 1/3/2014 Cheryl Paller - New Client 1/3/2014 Cheryl Paller - TCM New Product - New Client Investment Advisory 1/24/2014 Q1-2013 120 9/26/2013 Marko Jaric Angeles Cheryl Paller - TCM New Product - New Client Investment Advisory 1/3/2014 Q1-2013 99 9/26/2013 Gist III, Ja Cheryl Paller - TCM New 1/3/2014 Investment Advisory - Product - New Client Investment Advisory Q1-2013 86 10/9/2013 Davis, Paul - New Client 1/3/2014 Investment Advisory 11/25/2013 Nest Investment Advisory 39 11/25/2013 Walker, Kemb Assets - Existing Product Investment A Q1-2013 28 12/6/2013 Bull Global Lending Banking Commercial R 1149 Gower Street Hollywood LLC 1904 Global Lending Banking Comm 440 Wolfe Road LLC 2401 GIS-Capital Markets with 10 bps 1/17/2014 95200 Los Angeles Product - Existing Q1-2013 0 Los Angeles Product - Existing Q1-2013 0 Cheryl Paller Product - Existing Client Residential Mortgage Investments Q1-2013 14 Cheryl Palle Client Banking 1/21/2014 Cheryl Paller Client Banking 1/21/2014 Products 1149 Gower S Products 440 Wolfe Ro EFTA01478772