EFTA01399702Set 10
2018-04-1712p1,565w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Tue, 17 Apr 2018 14:58:46 -0400
To: Mathew Negus
Nina Tona ... Xavier Avila , Nina Tona
Cc: Ian Salters , Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Yep Thursday let's catch ... Mathew Negus ; Nina Tona
Cc: Ian Salters ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
2028
We will need most of our clients trading XCCY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399702.pdf
EFTA01406895Set 10
2018-04-1711p1,407w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
From: Mathew Negus 1.11.1.0..M>
Date: Tue, 17 Apr 2018 10:44:22 -0400
To: Xavier Avila
Nina Tona ... Tona •: >, Xavier Avila a
Cc: Ian Salters a , Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Extension to FFT goes ... NCAOTC Derivatives
ar in eman < >; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Classification: For internal use only
Mat — let me know
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406895.pdf
EFTA01406881Set 10
2018-04-179p1,194w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Mathew Negus
Date: Tue, 17 Apr 2018 09:10:47 -0400
To: Nina Tona
Xavier Avila ... Salters
Pankaj-A Chopra ; NCAOTC Derivatives
; Martin Zeman ; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Mat — let me know ... opra NCAOTC
Derivatives eman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
I'll check who should handle the product extension to FFT. I expect
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406881.pdf
EFTA01406871Set 10
2018-04-1710p1,259w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Tue, 17 Apr 2018 10:17:15 -0400
To: Mathew Negus
Nina Tona ... Nina Tona Xavier Avila
Cc: Ian Salters Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Extension to FFT goes ... Panka•-A Cho ra NCAOTC Derivatives
; Martin Zeman Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Mat — let me know
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406871.pdf
EFTA01406955Set 10
2018-04-1710p1,258w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
From: Akash Malhotra
Date: Tue, 17 Apr 2018 10:19:48 -0400
To: Nina Tona
Mathew Negus
Jimmy ... Salters
Panka*-A Chopra ; NCAOTC Derivatives
; Martin Zeman < :.; Alka Gopala
>
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Classification: For internal use only
Mat — let me know ... Salters ; Nina
Tona hopra < NCAOTC
Derivatives ; Martin Zeman
Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
I'll check who should handle the product extension
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406955.pdf
EFTA01406857Set 10
2018-04-179p1,128w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
From: Nina Tona
Date: Tue, 17 Apr 2018 08:32:04 -0400
To: Mathew Negus
Jimmy-H Xu
Xavier ... Tona an<aj opra NCAOTC
Derivatives ; Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
I'll check who should handle the product extension ... Derivatives
Alka Gopala
Panka'-A Cho ra
, Martin Zeman
NCAOTC
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
In general, everything should
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406857.pdf
EFTA01406845Set 10
2018-04-178p952w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Mathew Negus
Date: Tue, 17 A r 2018 07:10:33 -0400
To: Jimmy-H Xu
Xavier Avila ... Tona Pankaj-A Chopra NCAOTC
Derivatives , Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
In general, everything should ... Salters Nina
Tona a NCAOTC
Derivatives Martin Zeman
Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406845.pdf
EFTA01406948Set 10
2018-04-177p792w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Jimmy-H Xu
Date: Tue, 17 Apr 2018 02:53:54 -0400
To: Xavier Avila
Mathew Negus
Akash ... Tona Pankaj A Chopra NCAOTC
Derivatives ; Martin Zeman •
Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked ... Panka'-A Cho ra NCAOTC
Derivatives , Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406948.pdf
EFTA01406915Set 10
2018-04-166p681w
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Mon, 16 Apr 2018 21:30:18 -0400
To: Jimmy-H Xu
Mathew Negus
Akash ... Tona Pankaj-A Chopra NCAOTC
Derivatives , Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Approved ... Tona Pankaj-A Chopra NCAOTC
Derivatives Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406915.pdf
EFTA01406890Set 10
2018-04-165p615w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
From: Jimmy-H Xu
Date: Mon, 16 Apr
To: Xavier Avila
Mathew Negus
Akash Malhotra <
Cc: Joe Aglione ... Chopra NCAOTC
Derivatives <II IMMIS; artin eman
Alka Gopala <IIIMMMIlli.
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade ... Pankaj-A Chopra ; Alka
Gopala < ; Nina Tona ; an a ters
; Martin Zeman <
Su sec SOUTHFINANMD , LLC FFT Location [I]
Classification: For internal use only
I would re-book to London
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406890.pdf
EFTA01401922Set 10
2018-04-164p527w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Mon, 16 Apr 2018 12:55:22 -0400
To: Mathew Negus
Akash Malhotra <
Cc: Shawn ... Chopra -; Alka
Go ; Nina Tona -; Ian Salters
I ; Martin Zeman
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
I would re-book ... Alka
; Nina Tona ; Ian Salters
; Mathew Negus ; Martin Zeman
EFTA01401922
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Negus, what do we do with the below
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01401922.pdf
EFTA01406842Set 10
2018-04-163p364w
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
From: Mathew Negus
Date: Mon, 16 Apr 2
To: Xavier Avila
Akash Malhotra
Cc: Shawn Staker
NCAOTC Derivatives
Pankaj ... Chopra Alka
• Nina Tona Ian Salters
• Mathew Negus Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Negus, what do we do with the below ... Avila
Cc: Shawn Staker NCAOTC Derivatives
Pankaj-A Chopra Alka
Gopala
Subject: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Hi Alex,
For adoption
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406842.pdf
EFTA01358382Set 10
2018-04-161p213w
Aglione
Pankaj-A Cho artin
Zeman Alka Gopala
Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade to London ... Derivatives Pankl-A
Chopra Alka Gopala
Ian Salters Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Internal use only
I would re-book ... Gopala ina Ton
Ian Salters Mathew Negus ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below?
If easy
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358382.pdf
EFTA01362961Set 10
2018-04-161p232w
Tona
Pankaj-A Cho•ra ; NCAOTC Derivatives
Zeman ; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade ... Derivatives
Chopra ; Alka Gopala Nina Tona
Ian Salters ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Memel use only
I would re-book ... Alka Gopala Nina Tona
Ian Salters ; Mathew Negus • Martin Zeman
Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362961.pdf
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below?
If easy extension to OTC Rates ITT we can provide dots ... Avila
Cc: Shawn Stakma, NCAOTC Derivatives Pankaj-A Chopra <
Alka Gopala
Subject: KYC Brcach_SOUTHFINANMD_Southem Financial, LLC_FFT Location ill
Classification: For Internal use only
Hi Alex,
For adoption ... Summit application for OTC Derivative Product,
details as follows:
Trade ID: G175714L
Summit Code: SOUTHFINANMD
Date of Trade: 13/04/2018
Client Name: Southern Financial, LLC
We have got your name
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362998.pdf
EFTA01362995Set 10
2018-04-171p373w
Salters Pankaj-A Chopra
NCAOTC Derivatives ; Martin Zeman Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Internal use only
Mat — let me know ... Denyanyes ; Martin
Zeman a opals c~~ ,
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
I'll check who should handle the product extension to FFT. I expect ... Akash Malhotra
Cc: Joc Aglione Pankaj-A
Cho ra
pala
u ject: WIC SOUTHFINANMD_Southem Financial, LLC_FFT Location ill
CONFIDENTIAL - PURSUANT TO FED. R. CRIM
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362995.pdf
EFTA01363055Set 10
2018-04-161p234w
Pankaj-A Chopra ; NCAOTC Derivatives ; Martin
Zeman a opals Mila
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade ... Chopra ; Alka Gopala ; Nina Tona
Ian Salters ‘ ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Inbmal ties only
I would re-book ... Alka Gopala ina Tona <
Ian Salters Mathew Negus ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363055.pdf
EFTA01406626Set 10
2018-04-166p579w
Hello static data team,
EFTA01406626
Please update SSI as per below information
Short code: SOUTHFINANMD
Currency EUR
SSI details
fcid:image003.png@OlD3D5CC.2540E1501
Kind regards,
Pankaj Singh
DBOI Global Services Private ... Preconfirmation ******* Missing SSI 17April
2018***********[C]
Classification: Confidential
Hello,
SSI details for short codes SOUTHFINANMD
Incoming EURO instructions:
Bank: Citibank Frankfurt
Swift:
Beneficiary: Pershing LLC
IBAN:
Ref:
DBSI Account: SOUTHERN ... Hello Team,
Could you please help us with the SSI details for short codes SOUTHFINANMD
EFTA01406629
as DB is looking to pay EUR 1,021,732.88 value dated 17April
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406626.pdf
EFTA01363009Set 10
2018-04-161p200w
Tona Pankaj-A
Chopra , NCAOTC Derivatives Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification For Internal use only
Approved ... Chopra NCAOTC Derivatives >, Martin
Zeman c ill~»; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade ... Chopra ; Alka Gopala ; Nina Tona
Ian Salters >; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
aassification: For Internal use only
I would re-book
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363009.pdf