EFTA02475041.pdf

"Southern Financial owns 2,469,000 of these securities (ap=rox. market value of $2.49mm)"

"Richard Kahn HBRK Associates Inc."

"Ariane Dwyer Analyst I Key Client Partners - US Deutsche Bank Securities Inc"

"From: Ariane Dwy=r Su=ject: RE: Follow up to this morning's callar> Date: January 12, 2016 at 1:29:30 PM EST To: Richard Kahn"

"From: jeffrey E. [email protected] Sent: Friday, January 15, 2016 9:33 PM To: Richard Kahn Subject: Re: GE Preferred no"

"i understand we were not filled on our=order of 100.5 ... please advise if we should proceed with exchange thank you Richard Kahn"

"Richard Kahn asks Epstein for advice on whether to proceed with an exchange for shares owned by Southern Financial, and Epstein provides a final decis"

"I spoke with Pershing regarding the General Electric security exchange. They clarified that this was a mandatory exchange"