From: Robert McKay
Sent: 1/8/2018 3:57:43 PM
To: Stewart Oldfield I
Subject: OF - Your Client List - Details To Be Confirmed (Urgent) Ill
Classification: For internal use only
HI Stewart,
As part of Dodd Frank (DF) Regulation, clients who trade GM products will be receiving quarterly and annual
disclosures. We are currently going through a clean-up exercise to ensure we have an accurate client list with up-to-
date client information.
The ask is for you to review your client list (see table below) and confirm whether these will be transacting GM
products. Can you advise:
1. If you believe that these clients will be transacting, if so please confirm client email (this is the email address
we'll use to send disclosures too) in column F
2. If they will not, please provide your confirmation that these clients can be off boarded from GM
platforms. Please put N in column E
3. Also, If you believe clients are missing from your population can you please advise the client name.
Unfortunately this is an urgent request, therefore, can you please respond at your earliest.
Thanks.
RM Client List:
RM Assign
to Client
Stewart
Oldfield
Client
SOUTHERN
FINANCIAL LLC
Client Email
via firm this
ofi
rNCIllent itoWb
seoartItute7iid
If client to be
_
Cole
nn Email
fitrm
Stewart Southern Trust
Oldfield Company Inc
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073034
CONFIDENTIAL SDNY_GM_00219218
EFTA01376684