EFTA Document EFTA01378130

EFTA Document EFTA01444400

Subject: RE: Gratitude From: Stewart Oldfield ‹ > Date: Tue, 13 Nov 2018 10:14:13 -0500 To: Vijay-A Sawant Mayur Rathod Cc: Richard Iarossi Bradley Gillin < Bcc: Emily Craig will mark this as "pending exclusion" for now. In the meantime, please add a case note with the latest update: Stewart last spoke to Rich Kahn on Nov. 8th and told him that if we do not have clarity on whether we will get KYC info for the primary donor to Gratitude, we will begin proceedings to exit the account"

EFTA Document EFTA01413987

Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Mon, 29 Oct 2018 18:00:17 -0400 To: Richard Iarossi Cc: Bradley Gillin Rich, Let's get to the point where you can lead a call with Rich Kahn tmw to discuss the outstanding issues. When you get a sense of when you can do the call, let me know and I will step away from the training to do it. Thanks From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To:

EFTA Document EFTA01378130

From: Sent: To: Subject: Attachments: Stewart Oldfield 11/2/20181:02:40 PM Richard larossi FW: Larry Visoski attachment 1.pdf From: Richard Kahn [mailto Sent: Friday, November 02, 2018 12:37 PM To: Stewart Old ieId Cc: Bradley Gillin Subject: Larry Visoski attached is passport social 261.45-5821 thank you Richard Kahn HBFtIC Associates Inc. 575 Lexington Avenue 4th Floor CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0075291 CONFIDENTIAL SONY GM_00221475 EFTA01

EFTA Document EFTA01431341

EFTA Document EFTA01298891

KYC Print Page I of 23 KYC Case it 01977699 DB PWM GLOBAL 1O(C/NCA PART A One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. 00000483290 Booking Center: New York Relationship Manager: Stewart Ocilla 0 New PWM Relationship ii6. Existing FWM Relationship Relationship to FWM: If existing, please indicate since when the relationship exists. provide reason for new pro

EFTA Document EFTA01298930

KYC Print Page 1 of 27 DB PWM GLOBAL KYC/NCA: PART A P2 KYC Case # : 01977694 One sheet must be established per relationship - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship [el Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new