Mullin Customer Number Customer Name Type * High Risk o Exempt Reason Exemption Reason John Lelend Mothershead Vi Trust * Moderate Risk Annual Client Update Due Dat Customer Owner Client N N 4/28/2017 Mich Edward C French Jr Trust Client N Nicholas Panasevich Trust Client N Eleanor J. Panasevich Trust Client N JOHN G LARUSSA 2014 IRRV TR FBO LEAH BROOKS ael Mullin JOHN G LARUSSA 2014 IRRV TR FBO JOHN TAYLOR ael Mullin JOHN G LARUSSA 2014 IRRV TR FBO ANNE PEARCE ael Mullin LaRussa 2014 Trust No 3 Client N LaRussa, John Taylor Client N LaRussa, Anne Pearce Client N Benny S Anne Larussa Grandchildrens TR No • 3 /2017 Michael Mullin Benny S Anne Larussa Grandchildrens TR No 3 /2017 Michael Mullin Benny S Anne Larussa Grandchildrens TR No 3 /2017 Michael Mullin LaRussa, Joseph Bruno Client N LaRussa Daughters GST Trust FBO Anna LaRussa n LaRussa n LaRussa n LaRussa ael Mullin LaRussa ael Mullin LaRussa N N N LARUSSA LARUSSA LARUSSA 5/2/2017 5/3/2017 5/3/2017 Client N Client N Client N 5/27/2017 5/27/2017 5/27/2017 FBO Leah Brooks FBO John Taylor FBO Anne Pearce 5/27/2017 Client N Daughters GST Trust FBO Barrett LaRussa Client Daughters GST Trust FBO Olivia LaRussa Client Grandchildrens Trust No. 2 FBO Anna LaRussa Grandchildrens Trust No. 2 FBO Barrett LaRussa 2014 Trust No. 2 Client N Madeleine Hilton McGraw Revocable Trust Client LaRussa, Leah Brooks Client N LARUSSA, MARY CARSON Client N LARUSSA, JOHN GREGORY Client N McGraw IV, Donald Client N Donald C McGraw Jr Residuary Tr u/a/d /2017 Michael Mullin DONALD C MCGRAW FOUNDATION INC Client N N Client N Client N Y 5/27/2017 Michael Michael Michael Larussa Larussa Larussa Michael Michael Mull Michael Mull Michael Mull Y Y Y 5/27 5/27 5/27 Mullin Mullin Mullin Client N Client N Client N Mullin 5/27/2017 • 5/27/2017 • 5/27/2017 Y Y 5/27 5/27 Michael Mull N N 5/27/2017 • 6/2/2017 • 6/2/2017 • 6/2/2017 N 6/8/2017 5/14/96 fbo David W Michael Mullin Michael Mullin Michael Mullin Michael Mullin McGraw Client N N 6/13/2017 Donald C McGraw Jr Residuary Tr u/a/d 5/14/96 fbo Sean Michael McGraw /2017 Michael Mullin The Jockey Club Client N Y 6/13/2017 Trust Estate u/w/o Mary Alice Victoria Chubb Wolsfelt, N 6/27/2017 Michael Mullin Mundkur, Christine A Client TJC Holdings, Inc Client Wolsfelt, G. Russell Client Wolsfelt, Peter Van Fleet French, Amanda F. Client Mundkur, Ajay Client N McGraw III, Donald C. Client Wolsfelt, Gerald Client Ashley Bjorklund Client French Jr, Edward C Client N N N N VICTORIA C WOLSFELT LIFE INSURANCE TRUST in Bjorklund, Ann M Client N Mothershead, VI, John L. Client N McGraw, Anne Schuyler Client N INCOMPASS SOLUTIONS, INC. Client N Elizabeth Anne McGraw Revocable Trust Client Erin Fincher Mcgraw Irrev Trust Client N Donald C. McGraw IV Revocable Trust Of 2004 N N N Client Mich N Michael Mull Client N Michael Mullin Gerald Wolsfelt, Trustee Clie Y 7/5/2017 Michael Mullin Y 7/6/2017 Michael Mullin N 7/14/2017 Michael Mullin N N 8/1/2017 Michael Mull N N 8/18/2017 Y 8/22/2017 Michael N 9/2/2017 N 9/6/2017 N 9/8/2017 N 9/8/2017 Client N Michael Mullin Mullin Michael Mullin Michael Mullin Michael Mullin Michael Mullin N 9/9/2017 9/14/2017 Michael Mullin N 9/14/2017 Michael Mull 9/14/2017 Michael Mullin N 9/15/2017 Michael Mull N N Client N 9/23/2017 Mich 9/23/2017 Michael Mull N N 9/26/2017 t•lichae Mu in EFTA01398970 Donald C McGraw Jr Residuary Tr u/a/d 5/14/96 N 9/26/2017 Michael Mullin Donald C McGraw Jr Residuary Tr u/a/d 5/14/96 N 9/26/2017 Michael Mullin Donald C McGraw Jr Residuary Tr u/a/d 5/14/96 /2017 Michael Mullin Donald C McGraw Jr Residuary Tr u/a/d 5/14/96 /2017 Michael Mullin AXCIS INFORMATION NETWORK, INC. Client in in Douglas C French Tr Client N French, Douglas C. Client N Equibase Company Client N LYNDA CLARK ROWLAND NY TRUST DIAA Jilline A Fearons Revocable Trust George T Fearons, The Anne N Y fbo Ian Christopher McGraw Clie fbo Taylor Williams McGraw Clie fbo Robert W McGraw Client N fbo Donald C McGraw III Client N 9/29/2017 Michael Mull N 9/29/2017 N 9/29/2017 Y 9/29/2017 Client N Client N Fearons Revocable Trust Client N George T Client N N 10/7/2017 Schuyler McGraw Accumulation Trust Client N Fendall, LLC Client N Amanda French Trust Client N McGraw, David W Client N Procel, Llc Client N The Jockey Club PAC Client Y Coalition for Horse Racing Integrity, The Jockey Club Foundation Client CM Strategic Advisors LLC McGraw, M. Lee Client N Weggie's Holdings LLC Client Panasevich, Eleanor J. Client Peters, Gerald Client N McGraw, Elizabeth Devin Client Holden Walker 4A, LLC Client Lipton, Tara Client N Lipton, Hunter Client N Amory, Caroline C. Client The Hunter E. Lipton Irrevocable Insuran Michael Mullin TJC Media Ventures, Inc. Client Client 10/18/2017 Michael N 10/21/2017 11/3/2017 Michael 11/9/2017 Michael N 11/10/2017 Inc. Client N Blood -Horse LLC Client N Van Fleet Worldwide LLC Client French, James R. Client PETER BJORKLUND JR. 1999 TRUST Mothershead III, J. Leland Amory, Doris M Client N Doris M. Amory Living Trust Volpe, Noel Client N VOLPE, MANDY JANE Client LaRussa, Cornelia Client Olivia Childs LaRussa Trust Barrett LaRussa Trust Client Declaration of Trust by Joseph 2018 Michael Mullin Joe and Cornelia LaRussa LLC N N N Y N N N N N Y N N Client Client N Client N N N Client Michael Mullin Michael Mullin Michael Mullin 10/4/2017 10/5/2017 10/5/2017 Michael Mullin N 10/13/2017 Mich Mich Mich Mullin Michael Mullin Mullin Mullin Michael Mullin 11/24/2017 N Y 11/24/2017 N Y 11/29/2017 11/30/2017 Michael N 11/30/2017 N 11/30/2017 12/1/2017 Michael N 12/6/2017 N 12/6/2017 12/6/2017 Michael 12/6/2017 Michael N 12/8/2017 ce Trust Dated 4/14/16 Michael Mull Michael Mull Mullin Michael Mullin Michael Mullin Mullin Michael Mullin Michael Mullin Mullin Mullin Michael Mullin Client N N N N 1/3/2018 Michael Mull 1/3/2018 Michael Mullin N 1/4/2018 Michael Mullin N 1/6/2018 Michael Mullin N N 1/11/2018 Michael Mull N Y 1/11/2018 1/12/2018 Michael Mullin N N 1/12/2018 Michael Mull Michael Mull 1/19/2018 Michael Mullin N 1/25/2018 Michael Mullin Y 2/3/2018 Michael Mullin N Y 2/3/2018 Michael Mull N Y 2/3/2018 Michael Mullin Bruno LaRussa for Anna Strong LaRussa Client N Client N LaRussa Grandchildrens Trust No. 2 FBO Olivia LaRussa ael Mullin Elizabeth B. McGraw Foundation Client N Seamus L.W. McGraw Revocable Trust Client N ael Mullin For internal use only 2/3/2018 Client N 2/3/2018 N 2/3/2018 Michael Mull 2/3/ Michael Mull Mich EFTA01398971