EFTA01456792.pdf

From: Amanda Kirby Sent: 2/19/2015 3:41:46 PM To: Vahe Stepanian Paul Morris CC: Daniel Sabba Subject: RE: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 340,000.00 [II Classification: For Internal use only Thanks Vahe. Just let us know From: Vahe Stepanian Sent: Thursday, February 19, 2015 2:41 PM To: Paul Morris; Amanda Kirby Cc: Daniel Sabba Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 340,000.00 [I] Classification: For Internal use only Paul / Amanda — just an FYI that I believe the SFLLC margin call to be no good. We're going to hold off on reaching out to the client until we hear back on the below. Thanks. Vahe From: Andrew Xu Sent: Thutsda Februa 19, 2015 2:37 PM To: Courtney Dubbuisson; Rob Bechtold; Roddy Moore; Troy-D Williams Cc: Va to tepaman Subject: FW: Margin Call from DEUTSCHE BANK AG (157) to SOUTHERN FINANCIAL, LLC (8032932) for USD 340,000.00 [I] Classification: For Internal use only Hi Guys I need your help on 2 things. First thing is to add Vahe Stepanian and Daniel Sabba on to the email chain for this client and remove Tazia Smith and Kevin Quinn. Second thing is, it seems that the client is getting double charged the IM for 1 of the trades. Highlighted below is a new IM that just popped up for this client, however I know that for that trade the IM is getting captured in the Rules of the Road segment. Can you guys double check to make sure the client is not getting penalized twice? Thanks CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 116088 CONFIDENTIAL SDNY_GM_00262272 EFTA01456792