Bethany Wagner From: Tameika Burns on behalf of Repo Margin Sent: Tuesday, November 22, 2016 10:36 AM To: CMNY Margin; Roddy Moore Ce: Keith Buckhoiz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi We have no agreement set up in Magellan for the below 2 accounts Kind Regards. Repo Margin Collateral Management DB Primary contacts Ansar Bhatti | Tameika Burns | | Escalation contacts James Hetherington James McCallister | | From: Christopher Olen On Behalf Of CMNY Margin Sent: 21 November 2016 21:00 To: Roddy Moore; Repo Margin Cc: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For interanal use only Hi Roddy, Confirmed the below ISDA accounts have no balance or exposure as of today. Repo Team, Are these GMRA accounts that you are able to confirm on? SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 ISAO 00179 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) GAO LES 839 EFTA_00019709 EFTA00169436

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SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Thank you, Chris Olen Chris Olen Operations Analyst Collateral Management and Valuations COO Global Markets Operations ul nk ri First Escalation — — From: Roddy Moore Sent: Monday, November 21, 2016 3:09 PM To: CMNY Margin > Cc: Keith Buckholz < >; Andrew Xu :ti‘“‘CSC‘~*@ Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only Following up on the below... We need to get back to the business on this. Thanks Roddy Moore Business Risk Management Deutsche Bank Wealth Management (P) From: Roddy Moore Sent: Monday, November 21, 2016 2:10 PM To: Roddy Moore; CMNY Margin Ce: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Sorry... Cptys below... CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG LER Bea0 EFTA_00019710 EFTA00169437

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SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Roddy Moore Business Risk Management Deutsche Bank Wealth Management (P) From: Roddy Moore Sent: Monday, November 21, 2016 2:10 PM To: CMNY Margin Cc: Keith Buckholz; Andrew Xu Subject: FW: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Can you confirm that the following 2 cptys have ne exposure/acct balance. They have to hear it from you, apparently. Roddy Moore Business Risk Management Deutsche Bank Wealth Management {P} 212-454-1162 From: Daniel Sabba Sent: Monday, November 21, 2016 2:07 PM To: Katherine Milligan; Sebastian Marcilese; Keith Buckholz; Roddy Moore; Andrew Xu Cc: Bethany Wagner Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Keith/Roddy/Andrew — could you maybe please assist? Many thanks, Daniel From: Katherine Milligan Sent: Monday, November 21, 2016 2:04 PM To: Daniel Sabba; Sebastian Marcilese Cc: Bethany Wagner Subject: FW: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only Daniel/Sebastian, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) BRADY LBbs41 EFTA_00019711 EFTA00169438

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lam unable to proceed with termination until CMV confirms below. | will be out of the office the remainder of this week and have asked my colleague Bethany (copied) to process these terminations if CMV confirmation is provided in my absence Please reach out if you have any questions or concerns. Many thanks! Best Regards, Katherine Katherine M. Milligan Associate | Legal DB Services From: Katherine Milligan Sent: Monday, November 21, 2016 2:02 PM Cc: Sebastian Marcilese < >; Daniel Sabba HIT Bethany Wagner Subject: FW: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only CMV: Following up on the below, kindly confirm if these accounts have 0 account balances so that we may proceed with termination of the same. Thank you SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Best Regards, Katherine ISAO 0C 2 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) URAQ ORAS a4 EFTA_00019712 EFTA00169439

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Katherine M. Milligan Associate | Legal From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:15 AM To: CMNY BA < Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi CMV, Kindly confirm 0 account balances for the funds listed below. Thanks very much in advance: SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Best Regards, Katherine Katherine M. Milligan Associate | L U OB Services From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:11 AM CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAO betde43 EFTA_00019713 EFTA00169440

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To: Roddy Moore < ; Andrew Xu <j > Cc: Sebastian Marcilese < >; Keith Buckholz >; Eduardo Waite TTT Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Many thanks in advance Best Regards, Katherine Katherine M. Milligan Associate | Legal From: Sebastian Marcilese Sent: Wednesday, November 16, 2016 11:07 AM To: Keith Buckholz < >; Katherine Milligan > Ce: Daniel Sabba < >; Roddy Moore < >; Andrew Xu <a - Subject: RE: Southern Financial and Southern Trust: ISDA and Repo Termination Sure Keith Katherine will be working on it From: Keith Buckholz Sent: Wednesday, November 16, 2016 10:01 AM To: Sebastian Marcilese Su eT 6 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAGIN LEB Aaa EFTA_00019714 EFTA00169441

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Subject: Southern Financial and Southern Trust: ISDA and Repo Termination Importance: High Sebastian, Wealth Management is offboarding the below two clients. Can we please begin the process of terminating these trading agreements? Thanks. SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA; PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Regards, Keith Buckholz Keith Buckholz Director Deutsche Bank Wealth Management Business Risk Management CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG Rdea5 EFTA_00019715 EFTA00169442

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Katherine Milligan From: Andrew Xu Sent: Wednesday, November 16, 2016 1:08 PM To: Katherine Milligan; Roddy Moore Ce: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: RE: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Categories: CRM APPROVALS Classification: For internal use only Confirmed. Andrew Xu, CFA From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:11 AM To: Roddy Moore; Andrew Xu Cc: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Many thanks in advance. Best Regards, Katherine Katherine M. Milligan Associate | i CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) WRADY LER 8e46 EFTA_00019716 EFTA00169443

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From: Sebastian Marcilese Sent: Wednesday, November 16, 2016 11:07 AM To: Keith Buckholz < >; Katherine Milligan <katherine Cc: Daniel Sabba < >; Roddy Moore < Subject: RE: Southern Financial and Southern Trust: ISDA and Repo Termination > >; Andrew Xu <i Sure Keith Katherine will be working on it From: Keith Buckholz Sent: Wednesday, November 16, 2016 10:01 AM To: Sebastian Marcilese < > Ce: Daniel Sabba < ; Roddy Moore <i >: andrew x. <i Subject: Southern Financial and Southern Trust: ISDA and Repo Termination Importance: High Sebastian, Wealth Management is offboarding the below two clients. Can we please begin the process of terminating these trading agreements? Thanks. SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No, 640330 GMRA: PLM Contract No. 752070 Regards, Keith Buckholz Keith Buckholz Director Deutsche Bank Weaith Management Business Risk Management CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) BRAG LR os47 EFTA_00019717 EFTA00169444

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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) RADY LEB Be48 EFTA_00019718 EFTA00169445

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Katherine Milligan From: Andrew Xu Sent: Wednesday, November 16, 2016 1:08 PM To: Katherine Milligan; Roddy Moore Ce: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: RE: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Categories: CRM APPROVALS Classification: For internal use only Confirmed. Andrew Xu, CFA From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:11 AM To: Roddy Moore; Andrew Xu Cc: Sebastian Marcilese; Keith Buckholz; Eduardo Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST 0] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) RAS LBBB e40 EFTA_00019719 EFTA00169446

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Many thanks in advance. Best Regards, Katherine Katherine M, Milligan Associate | Legal DB Services <mailto: melissa.ap USAO 0018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BEN Lib ess0 EFTA_00019720 EFTA00169447

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Bethany Wagner From: Tameika Burns on behalf of Repo Margin Sent: Tuesday, November 22, 2016 10:36 AM To: CMNY Margin; Roddy Moore Ce: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi We have no agreement set up in Magellan for the below 2 accounts Kind Regards Repo Margin Collateral Management 0 Primary conta Ansar Bhatti Tameika Burns | Escalation contacts James Hetherington | James McCallister | From: Christopher Olen On Behalf Of CMNY Margin Sent: 21 November 2016 21:00 To: Roddy Moore; Repo Margin Cc: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For interanal use only Hi Roddy, Confirmed the below ISDA accounts have no balance or exposure as of today Repo Team, Are these GMRA accounts that you are able to confirm on? SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) RAO babbss1 EFTA_00019721 EFTA00169448

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SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Thank you, Chris Olen Chris Olen Operations Analyst Collateral Management and Valuations COO Global Markets Operations Deutsche Bank Securities In First Escalation Second — From: Roddy Moore Sent: Monday, November 21, 2016 3:09 PM To: CMNY Margin < > Cc: Keith Buckholz < >; Andrew Xu i - Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only Following up on the below... We need to get back to the business on this. Thanks Roddy Moore Business Risk Management Deutsche Bank Wealth Management From: Roddy Moore Sent: Monday, November 21, 2016 2:10 PM To: Roddy Moore; CMNY Margin Cc: Keith Buckholz; Andrew Xu Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Sorry... Cptys below CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG LE hGes2 EFTA_00019722 EFTA00169449

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SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Roddy Moore Business Risk Management Dew 2 Bank Wealth Management {P} From: Roddy Moore Sent: Monday, November 21, 2016 2:10 PM To: CMNY Margin Cc: Keith Buckholz; Andrew Xu Subject: FW: Southern Financial and Southern Trust; -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Can you confirm that the following 2 cptys have no exposure/acct balance. They have to hear it from you, apparently Roddy Moore Business Risk Management Deupsche <Weaith Management {P) From: Daniel Sabba Sent: Monday, November 21, 2016 2:07 PM To: Katherine Milligan; Sebastian Marcilese; Keith Buckholz; Roddy Moore; Andrew Xu Cc: Bethany Wagner Subject: RE: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Keith/Roddy/Andrew — could you maybe please assist? Many thanks, Daniel From: Katherine Milligan Sent: Monday, November 21, 2016 2:04 PM To: Daniel Sabba; Sebastian Marcilese Cc: Bethany Wagner Subject: FW: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only Daniel/Sebastian, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) RADY LB biess EFTA_00019723 EFTA00169450

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lam unable to proceed with termination until CMV confirms below. | will be out of the office the remainder of this week and have asked my colleague Bethany (copied) to process these terminations if CMV confirmation is provided in my absence. Please reach out if you have any questions or concerns. Many thanks! Best Regards, Katherine Katherine M. Milligan Associate | DB From: Katherine Milligan Sent: Monday, November 21, 2016 2:02 PM Cc: Sebastian Marcilese < >; Daniel Sabba hii: Bethany Wagner Subject: FW: Southern Financial and Southern Trust: -TERMINATION APPROVAL REQUEST [I] Importance: High Classification: For internal use only CMV Following up on the below, kindly confirm if these accounts have 0 account balances so that we may proceed with termination of the same. Thank you SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Best Regards, Katherine CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG Dbbbes4 EFTA_00019724 EFTA00169451

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Katherine M. Milligan Associate | Lega! DB Services New Jersey inc From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:15 AM To: cMny BA <> Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi CMV, Kindly confirm 0 account balances for the funds listed below. Thanks very much in advance: SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No, 640330 GMRA: PLM Contract No. 752070 Best Regards, Katherine Katherine M. Milligan Associate | From: Katherine Milligan Sent: Wednesday, November 16, 2016 11:11 AM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) RAG babdess EFTA_00019725 EFTA00169452

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To: Roddy Moore < >; Andrew Xu < > Cc: Sebastian Marcilese < ; Keith Buckholz < >; Eduardo Waite Subject: FW: Southern Financial and Southern Trust: ISDA and Repo-TERMINATION APPROVAL REQUEST [I] Classification: For internal use only Hi Roddy and Andrew, At your earliest convenience, please confirm zero exposure for each of the accounts listed below: SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Many thanks in advance Best Regards, Katherine Katherine M. Milligan Associate | Legal From: Sebastian Marcilese Sent: Wednesday, November 16, 2016 11:07 AM To: Keith Buckholz >; Katherine Milligan < > a haan Andrew xu rT Subject: RE: Southern Financial and Southern Trust: ISDA and Repo Termination Sure Keith Katherine will be working on it From: Keith Buckholz Sent: Wednesday, November 16, 2016 10:01 AM To: Sebastian Marcilese > Ce: Daniel Sabba < >; Roddy Moore <i EE >; Andrew Xu <i > 6 CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG LE Sss6 EFTA_00019726 EFTA00169453

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Subject: Southern Financial and Southern Trust: ISDA and Repo Termination Importance: High Sebastian, Wealth Management is offboarding the below two clients. Can we please begin the process of terminating these trading agreements? Thanks. SOUTHERN FINANCIAL LLC ISDA: PLM Contract No. 640310 GMRA: PLM Contract No. 739190 SOUTHERN TRUST COMPANY INC ISDA: PLM Contract No. 640330 GMRA: PLM Contract No. 752070 Regards, Keith Buckholz Keith Buckholz Director Deutsche Bank Wealth Management Business Risk Management CONFIDENTIAL —- PURSUANT TO FED. R. CRIM. P. 6(e) RAG Dbboes7 EFTA_00019727 EFTA00169454

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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) WRAY LE Bese EFTA_00019728 EFTA00169455