EFTA01298149Set 10
2010-02-013p1,633w
Exchange Services, LLC and AVL Properties, LLC in
Asheville. Court documents state that through Southem Financial Services Inc.. Bailey fraudulently
induced clients to deposit monies and purported to provide ... Exchange Services. LLC and AVL Properties. LLC in
Asheville. Court documents state that through Southem Financial Services Inc., Bailey fraudulently
induced clients to deposit monies and purported to provide asset ... 02/04/2011, DOJ US Attorneys Offices Press Releases 2009 to 2012
Alert Notes
Notes: Southem Financial Services. aka Southern Financial Services Inc., was associated with fraud.
Source Information
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298149.pdf
EFTA01363055Set 10
2018-04-161p234w
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 to London ... 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 ... 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?
If easy
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363055.pdf
EFTA01362961Set 10
2018-04-161p232w
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 ... 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 ... 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?
If easy
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362961.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 ... 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
EFTA01362995Set 10
2018-04-171p373w
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
EFTA01363009Set 10
2018-04-161p200w
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
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 ... 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 location Frankfurt
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362998.pdf
EFTA01362997Set 10
2018-04-161p194w
NCAOTC Derivatives
Zeman ; Alka Gopala <a'
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade to London pis?
From ... NCAOTC Derivatives
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362997.pdf
EFTA01363049Set 10
2018-04-161p207w
NCAOTC Derivatives Martin
Zeman A a opa a
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [1]
MO, is it ok to move this trade to London ... Panki-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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363049.pdf
EFTA01363002Set 10
2018-04-161p216w
Pankaj-A Cho r ra AOTC Derivatives ; Martin
Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
MO, is it ok to move this trade to London ... 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?
If easy
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363002.pdf
EFTA01363054Set 10
2018-04-171p176w
NCAOTC Derivatives Martin
Zeman A a opa a
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... Malhotra
Pankaj-A
NCAOTC Derivatives Martin Zeman
, Alka Gopala
Subject: RE: KYC Breacti_SOUTHFINANMD_Southem Financial, LLC_FFT Location (II
Classification: For intemal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363054.pdf
EFTA01362996Set 10
2018-04-171p204w
NCAOTC Derivatives < >; artin
Zeman >; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... Pankaj-A
Chopra , NCAOTC Derivatives , Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFTNANMD_Southem Financial, LLC_FFT Location II]
Classification: For internal use only
CONFIDENTIAL - PURSUANT
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362996.pdf
EFTA01363004Set 10
2018-04-171p205w
Zeman Alka Gopala .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 it will ... Derivative , Martin Zeman
, Alka Gopala
Subject RE: KYC Brcach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification. For internal use only
In general, everything should face FFT and other booking
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363004.pdf
EFTA01363021Set 10
2018-04-161p207w
NCAOTC Derivatives I; Martin Zeman
I ; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD_Southem Financial, LLC_FFT Location [Ij
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... CAOTC Derivatives axial
, Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [1]
Classification: For Internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363021.pdf