From: Michael Raphael
Sent: 9/21/2018 1:40:11 P
To: Davide-A Sferrazza
CC: Amit Garg • Liam Osulliva
Subject: RE: 2018 Peri is eview o ccts Southern Financial LLC (GCIS4483882) & LSJE, LLC (GCIS#499733) under the
SOUTHERN FINANCIAL RELATIONSHIP (I) (C)
Classification: Confidential
The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to
2015. I'd guess you could get some info. out of the lending folks. Start with Santa Medina. If she can't help, let me know
and I can try to come up with a better idea.
From: Davide-A Sferrazza
Sent: Friday, Septem r 01 : M
To: Michael Raphael
Cc: Amit Garg cl =nnam Osullivan
Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the
SOUTHERN FINANCIAL RELATIONSHIP [I] [C]
Importance: High
Classification: Confidential
Mike,
Do you happen to have any idea what this is account code is? STRUPDT0118001
KYC team said the following:
One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB
Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details
on DB Insight.
Not sure if you've ever come across this before, and I am not aware of any SP trades with this client since I've been here,
but figured it was worth checking with you.
Thanks,
Davide
From: Liam Osullivan
Sent: Friday, September PM
To: Davide-A Sferrazza
Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the
SOUTHERN FINANCIAL RELATIONSHIP [I] [C]
Importance: High
Classification: Confidential
I do not recognize the account code. Do you know what it is? Thanks
From: Stewart Oldfield
Sent: Friday, September 21 2018 1:20 PM
To: Liam Osullivan
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052448
CONFIDENTIAL SDNY_GM_00198632
EFTA01362828