Classification: For internal use only Hi Amanda, AML Compliance has reviewed the alert dated 5/29/2013 pertaining to our perspective client, Southern Financial LLC. According to the business, our perspective client, Southern Financial LLC was organized in 2013 in the US Virgin Islands. The RDC alerts all occurred prior to the incorporation of our client, and refer to companies located in North Carolina, South Carolina, Virigina, and Florida. Additionally, the companies in the alerts are all corporations whereas our perspective client is a limited liability company. Accordingly, AML Compliance CLEARS these alerts as false positives. Best regards, Andrew J. Kisz Andrew J. Kin Associate I AML Compliance Officer DB Services New Jersey. Inc Asset 8 Wealth Management 5122GateDarkuavSuite4O0. 32256 Jacksonville. USA astritp4vPeeftwem From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom©DBAmericas. Cc: Andrea Klingenberg/db/dbcom@DBAMERICAS Date' 08/12/2013 05:38 PM Subject: Fw. ROC Alert :—Southern Financial LLC Classification: For internal use only Hi, I realized I never heard back for the below clearance approval. Please let me know as soon as possible as we are now moving ahead with this client and would like to open accounts ASAP. Thank you, Amanda — Forwarded by Amanda Kirby/db/dbcom on 08/12/2013 05:37 PM -- SDNY_GM_00065168 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SONY-0027993 EFTA_00175668 EFTA01255930