EPSTEIN
page 3 / 346 . OCR, unverified
DB-SDNY-0113478
CONFIDENTIAL
SDNY_GM_00259662
EFTA01454978
--- SOURCE: IMAGES__0080__EFTA01454979.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454979.pdf
----------------------------------------
Petwitnecir Peepwrvt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113480
CONFIDENTIAL
SDNY_GM_00259664
EFTA01454979
--- SOURCE: IMAGES__0080__EFTA01454980.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454980.pdf
----------------------------------------
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113481
CONFIDENTIAL
SDNY_GM_00259665
EFTA01454980
--- SOURCE: IMAGES__0080__EFTA01454981.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454981.pdf
----------------------------------------
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113483
CONFIDENTIAL
SDNY_GM_00259667
EFTA01454981
--- SOURCE: IMAGES__0080__EFTA01454982.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454982.pdf
----------------------------------------
DB Securities Inc
Deutsche Asset 8 Wealth Maragement
345 Park Avenue 10154-0004 New York, NY. USA
ParrimA:ityPeefiron.
Paul Morris—07/30/2014 10:41:48 AM--Classification: For internal use only these # you're getting from cb&s look very low???
Paul Morris
From:
Paul Morris/db
To:
Tazia Smith/db
Cc:
Amanda Kirby/db
Date:
07/30/2014 10:41 AM
Subject:
Re: Southern Financial revenues ll]
Valie Stepanian/db
Classification: For internal use only
these # you're getting from cb&s look very low???
Paul Morris
Managing Director
Deutsche Bank Private Bank
345 Park Avenue, 27th Floor
w Y
NY 10154
Tazia Smith—07/23/2014 04:17:49 PM—Classification: For internal use only Paul - YTD total and specifics below. $37,018 in
2013.
From
To:
Cc:
Date:
Subject:
Tazia Smith/db
Paul Morris/db.
Ainanda Kirby/db
07/23/2014 04:17 PM
Re: Southern Financial revenues [II
Vatic Stcpanian/db
Classification: For internal use only
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113486
CONFIDENTIAL
SONY GM_00259670
EFTA01454982
--- SOURCE: IMAGES__0080__EFTA01454983.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454983.pdf
----------------------------------------
Paul - YTD total and specifics below.
$37,018 in 2013.
Account
RM
Desaiption
Trade Date
SC (USD)
Total R( (USD)
KCP RC (USD)
Epstein
Morris
USDCAD Call Spread
1/17/2014
8,900
Epstein
Morris
USD1PY 3mo Call
1/31/2014
13,000
Epstein
Morris
USDCAD Unwind
3/6/2014
5,000
Epstein
Morris
USDRUE1 Binary
3/13/2014
3,250
1,625
Epstein
Morris
WTI Risk Reversal*
3/13/2014
3,450
Epstein
Morris
Copper Call
4/3/2014
2,500
1,250
Epstein
Morns
Nationwide"
4/15/2014
TBD
Epstein
Morris
£URUSD Risk Reversal
6/6/2014
Epstein
Morris
Copper Call Unwind
7/2/2014
1,250
625
' Euros converted at 1.38
• Andrew McNeill LfFINEIN2
Tazia Smith
Director I Key Client Partners - US
DB Securities Inc
Deutsche Asset & Wealth Management
345 Park Avenue. 10154-0004 New York. NY. USA
Tel.
Fax
E
PetScitYR:i Perfcrrryt.
30,350
7,000
3,500
OTC Total:
listed Total:
Total:
57,686
33.850361
91,5
Paul Morris--07/23/2014 04:01:30 PM--Classification: For internal use only Math can you look into commodities trades we have
done (oil,
Front
To:
Cc:
Date
07/23/2014 04:01 PM
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113487
CONFIDENTIAL
SONY GM_00259871
EFTA01454983
--- SOURCE: IMAGES__0080__EFTA01454984.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454984.pdf
----------------------------------------
Subject:
Southern Financial revenues [I]
Classification: For internal use only
Matt, can you look into commodities trades w•e have done (oiL copper) and associated revenue. i don't think they are being captured.
th.x
Paul Morris
Managing Director
Deutsche Bank Private Bank
345 Park Avenue, 27th Floor
New York. NY 10154
Office
Cell:
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0113488
CONFIDENTIAL
SONY GM_00259872
EFTA01454984
--- SOURCE: IMAGES__0080__EFTA01454985.txt ---
METADATA_SOURCE: IMAGES0080
METADATA_FILENAME: EFTA01454985.pdf
----------------------------------------
Subject:
Valuation Statement for SOUTHERN FINANCIAL, LLC as at 4 Aug 2014 - Request 182298
Attachments: 182298_20140804_20140805_1.pdf; 182298_20140804_20140805_1.csv
Dear Sir/Madam,
Please find attached the valuation as of the value date specified in the attached statement.
For queries please contact the number provided on the statement.
Kind regards,
Deutsche Bank Group
customer valuations Group
This is an automated email account. Please do not reply to this email as the account is not monitored.
valuations are sent to you subject to our valuation Disclosure statement.
we also direct you to the following additional disclosures:
In reference to the provision of valuations for daily marks:
http://cbs.db.com/new/docs/Daily_Mark_Methodologies_and_Assumptions_Disclosure_march_28_2013_(2).pdf