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  • Exhibit D

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    Matias Smith
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    Exhibit D: Email stating, "Further to the SEC's request below and the cover letter addressed to me dated 17 March 2017, attached please find the communications sent to the Fortress-related clients in question."

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    25-5

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    Exhibit D: Email stating, "Further to the SEC's request below and the cover letter addressed to me dated 17 March 2017, attached please find the communications sent to the Fortress-related clients in question."

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    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
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    Download as pdf or txt
    34 views3 pages

    Exhibit D

    Uploaded by

    Matias Smith
    Exhibit D: Email stating, "Further to the SEC's request below and the cover letter addressed to me dated 17 March 2017, attached please find the communications sent to the Fortress-related clients in question."

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Flag for inappropriate content
    Download as pdf or txt
    of 3

    Case 2:17-cv-01287-CCC-MF Document 25-5 Filed 04/28/17 Page 1 of 3 PageID: 261

    EXHIBIT D
    Case 2:17-cv-01287-CCC-MF Document 25-5 Filed 04/28/17 Page 2 of 3 PageID: 262

    Brunson, Natalie

    From: Mark Trafeli <[email protected]>


    Sent: Monday, March 20, 2017 11:27 AM
    To: Bosch, Thomas; Stefan Giemza
    Cc: Murnahan, Shawn; Jorjoladze, Nana; Brunson, Natalie
    Subject: RE: SEC v. Unknown Traders in Fortress Investment Group LLC, Case No. 2:17-cv-01287-
    CCC-MF
    Attachments: SEC v. Unknown Traders in Fortress Investment Group LLC, Case No. 2:17-cv-01287-
    CCC-MF

    Dear Tom,

    Further to the SEC's request below and the cover letter addressed to me dated 17 March 2017, attached please find the
    communications sent to the Fortress-related clients in question.

    Yours sincerely
    Mark Trafeli

    MARK TRAFELI
    General Counsel EMEA
    mtrafeli(a?riobrien.com
    d +44(0)20 3872 3385
    [Please note that with immediate effect my phone number has changed]

    ■ RJO'Brien Limited
    Business Design Centre, 52 Upper Street
    .~ ~~~rt+~~l Islington, London N1 OQH
    www.riabrien.co.uk
    L16ITEC! ~ Ut~ITE[~ K~tti;~0.;i

    R. J, O'Brien Limited is authorised and regulated by the Financial Conduct Authority and FCA Register Number 11412D
    {This email, including its contents and attachments (if any) are subje~~t to khe RJOUK Email Disclaimer -Standard)

    From: Bosch, Thomas [mailto:[email protected]]


    Sent: 17 March 2017 20:12
    To: Mark Trafeli <[email protected]>; Stefan Giemza <[email protected]>
    Cc: Murnahan, Shawn <MURNAHANW@sec.~ov>; Jorjoladze, Nana <JorjoladzeN@sec.~ov>; Brunson, Natalie
    <BrunsonN@sec.~ov>
    Subject: SEC v. Unknown Traders in Fortress Investment Group LLC, Case No. 2:17-cv-01287-CCC-MF

    Mark and Stefan:

    Attached are courtesy electronic copies of the following documents being mailed to you today:

    • Letter dated March 17, 2017


    • Summons
    • Complaint
    • Temporary Restraining Order Freezing Assets, Granting Other Relief, and Order to Show Cause ("TRO")
    Case 2:17-cv-01287-CCC-MF Document 25-5 Filed 04/28/17 Page 3 of 3 PageID: 263

    As explained in the attached cover letter, these documents are being sent to you in your capacity as the broker and/or
    agent of individuals or entities who traded insecurities of Fortress Investment Group LLC (the "Fortress Traders")
    between February 10, 2017 and February 15, 2017. The cover letter includes instructions regarding providing these
    materials to the Fortress Traders and confirming to the SEC staff that you have done so.

    Please let us know if you have any questions.

    Thank you,

    Tom

    Thomas B. Bosch
    Counsel
    U.S. Securities and Exchange Commission
    Enforcement Division, Atlanta Regional Office
    (404)942-0701

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