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Corpus: 1990-03-17 – 2025-12-01
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EFTA01399591
Dataset 10
2014-11-05
2p
158w
Subject:
Fw: October 2014
AML/KYC
Escalation Reports [I]
From:
Kimberly Hart ‹ >
Subject: Fw: October 2014
AML/KYC
Escalation Reports [I] From: Kimberly Hart ‹ > Date: Wed, 05 Nov 2014 11:35:17 -0500 To: Classification: For internal use only Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. Forwarded by Kimberly Hart/db/dbcom on 11/05/2014 11:35 AM From: Melisa Venegas/db/dbcom To: Andrew Gallivan…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399591.pdf
EFTA01399596
Dataset 10
2014-11-04
2p
208w
Subject:
Re: October 2014
AML/KYC
Escalation Reports [I]
From:
Kimberly Hart -:= >
Subject: Re: October 2014
AML/KYC
Escalation Reports [I] From: Kimberly Hart -:= > Date: Tue, 04 Nov 2014 09:20:06 -0500 To: Cc: Armen Brash < Classification: For internal use only A number of the account opening items are associated with IA - not coverage. Can you follow-up with them directly? Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email Securities offered through…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399596.pdf
EFTA01399608
Dataset 10
2015-03-30
1p
110w
Subject:
AML/KYC
Escalation Reports [I]
From:
Andrea Tapia ‹ >
To:
Melisa Venegas
Subject:
AML/KYC
Escalation Reports [I] From: Andrea Tapia ‹ > Date: Mon, 30 Mar 2015 13:53:07 -0400 To: Melisa Venegas Cc: Kimberly Hart Classification: For internal use only Hi Melisa, In the attached file, please find comments in column N for the list of ACU's with material changes. Let me know if you have any questions, or if there is anything else I can do to help clear this list. Kind regards, Andrea Tapia {cid:image001.gif…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399608.pdf
EFTA01398740
Dataset 10
2017-10-10
1p
113w
Subject:
Sept - 2017
AML/KYC
Escalation Reports [I]
From:
Melisa Venegas fl MMIE>
To:
Andrew Gallivan a,
Subject: Sept - 2017
AML/KYC
Escalation Reports [I] From: Melisa Venegas fl MMIE> Date: Tue, 10 Oct 2017 12:14:50 -0400 To: Andrew Gallivan a, Michael S Jacob , Lee Flutter Mark LaRoe Armen Brash < MI > Cc: Vaishali-P Mehtalar, Patrick Harris Sheffali Welch Anna-Sofiya Lupolover Teresa Metallo < Lisa-M Ramos Classification: For internal use only All, Attached is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398740.pdf
EFTA01356884
Dataset 10
2015-03-30
1p
121w
Subject:
AML/KYC
Escalation Reports III
From:
Andrea Tapia
To:
Melisa Venegas I I
From: Andrea Tapia Sent: 3/30/2015 1:53:07 PM To: Melisa Venegas I I CC: Kimberly Hart . Subject:
AML/KYC
Escalation Reports III Attachments: ACU_COVERAGE_Domestic 3.17.15.xlsx Classification: For internal use only Hi Melisa, In the attached file, please find comments in column N for the list of ACU's with material changes. Let me know if you have any questions, or if there is anything else I can do to help clear this…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356884.pdf
EFTA01356369
Dataset 10
2016-12-02
1p
183w
Subject:
Nov 2016
AML/KYC
Esca ation Reports
From:
Melisa Venegas 1
To:
Armen Brash I Andrew Gallivan .by
From: Melisa Venegas 1 Sent: 12/2/2016 12:5 : To: Armen Brash I Andrew Gallivan .by Mark laRo CC: Vaishali-P Mehta Subject: Nov 2016
AML/KYC
Esca ation Reports Attachments: US_Onshore.xlsx Classification: For Internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes' Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356369.pdf
EFTA01399576
Dataset 10
2014-12-03
5p
422w
Subject:
FW: October 2014
AML/KYC
Escalation Reports [I]
From:
Kimberly Hart ‹ >
To:
Melisa Venegas
Subject: FW: October 2014
AML/KYC
Escalation Reports [I] From: Kimberly Hart ‹ > Date: Wed, 03 Dec 2014 13:56:27 -0500 To: Melisa Venegas Cc: Armen Brash Classification: For internal use only The updates that Andrea sent to you do not seem to be reflected on the recent report that you just sent out. Is there a reason that the items were not removed? Do you require additional information? fcid:
[email protected]
Kimberly Hart Managing Director Deutsche…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399576.pdf
EFTA01398934
Dataset 10
2015-10-05
1p
96w
Subject:
Sept 2015
AML/KYC
Escalation Reports [I]
From:
Melisa Venegas
To:
Andrew Gallivan >1
Subject: Sept 2015
AML/KYC
Escalation Reports [I] From: Melisa Venegas Date: Mon, 05 Oct 2015 11:37:19 -0400 To: Andrew Gallivan >1 Kimberly Hart Michael-J Davis a, Michael S Jacob Lee Flutter < Mark LaRoe Cc: Armen Brash ce. Classification: For internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly Thank you. Regards, Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398934.pdf
EFTA01356317
Dataset 10
2016-01-06
1p
109w
Subject:
Jan 2015
AML/KYC
Escalation Reports (I)
From:
Melisa Venegas
[email protected]
]
To:
Armen Brash (
[email protected]
); Andrew Gallivan [
[email protected]
]; Michael S Jacoby
… Michael S Jacoby
[email protected]
; lee Hutter
[email protected]
; Mark LaRoe
[email protected]
CC: Vaishali-P Mehta [
[email protected]
] Subject: Jan 2015
AML/KYC
Escalation Reports (I) Attachments: COVERAGE_Domestic.xlsx Classification: For Internal use only All, Happy New Year! Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly. Thank you. Regards, Melisa Venegas Deutsche Bank Trust Company Americas…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356317.pdf
EFTA01398705
Dataset 10
2016-11-03
2p
209w
Subject:
Oct 2016
AML/KYC
Escalation Reports [I]
From:
Melisa Venegas
To:
Armen Brash
Subject: Oct 2016
AML/KYC
Escalation Reports [I] From: Melisa Venegas Date: Thu, 03 Nov 2016 12:22:00 -0400 To: Armen Brash Andrew Gallivan Michael S Jacob Lee Flutter Mark LaRoe < Cc: Vaishali-P Mehta Classification: For internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398705.pdf
EFTA01398919
Dataset 10
2014-05-06
1p
283w
Subject:
April 2014
AML KYC
Escalation Reports [I]
From:
Melisa Venegas
To:
Andrew Galliva
Subject: April 2014
AML KYC
Escalation Reports [I] From: Melisa Venegas Date: Tue, 06 May 2014 13:34:02 -0400 To: Andrew Galliva Kimberly Hart Michael-J Davis >, Michael S Jacob Cc: Armen Brash Classification: For internal use only All, Included below are the the monthly
AML/KYC
escalation reports for overdue items. Please review and address accordingly. PLEASE NOTE: 1) For the ACUs prompting material change KYC updates please focus on the rows shaded in green. For the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398919.pdf
EFTA01356542
Dataset 10
2014-11-06
1p
191w
Subject:
RE: October 2014
AML/KYC
Escalation Reports [I]
From:
Andrea Tapia
To:
Melisa Venegas
Pescitn..*Peg:tint Securities offered through Deutsche Bank Securities Inc. From: Andrea Tapia Sent: Thursday, November 06, 2014 5:29 PM To: Melisa Venegas Cc: Kimberly Hart; Armen Brash Subject: RE: October 2014
AML/KYC
Escalation Reports [I] Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customers accounts have been closed, two are Brokerage only, two should be transferred to IA…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356542.pdf
EFTA01399585
Dataset 10
2014-11-04
2p
260w
Subject:
Fw: October 2014
AML/KYC
Escalation Reports (I]
From:
Kimberly Hart <
To:
Armen Brash <
Subject: Fw: October 2014
AML/KYC
Escalation Reports (I] From: Kimberly Hart < Date: Tue, 04 Nov 2014 09:16:50 -0500 To: Armen Brash < Cc: Classification: For internal use only Armen - Can you call or stop by to discuss HRIP meetings? A bunch of new past due HRIP meetings appeared on the report this month. I do not want these reported to SRC since we were never made aware of these required meetings. If they need to be…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399585.pdf
EFTA01359712
Dataset 10
2014-09-16
1p
131w
Subject:
Re: Fw: 2014
AML KYC
Audit [I]
From:
Pradeepta Roy
To:
Ying Wang
Regards, Peter Wang From: Pradeepta Roy Sent: Tuesday, September 16, 2014 14:24 To: Ying Wang Cc: Cherie Quigley; Wayne Salit Subject: Re: Fw: 2014
AML KYC
Audit [I] Classification: For internal use only Hi Ying: Hope all is well. At your earliest convenience, please provide me an update on the information requested below. Kind regards, Pradeepta Pradeepta Roy Vice President I Group Audit Deutsche Bank AG. FM*le New York GA-Lea al. Compliance GRAD. HR. Co-Chairmen Panitrwity…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01359712.pdf
EFTA01398658
Dataset 10
2016-04-06
1p
158w
Subject:
Apr 2016
AML/KYC
Escalation Re orts [I]
From:
Melisa Venegas
To:
Armen Brash a>,
Subject: Apr 2016
AML/KYC
Escalation Re orts [I] From: Melisa Venegas Date: Wed, 06 Apr 2016 12:22:14 -0400 To: Armen Brash a>, Andrew Gallivan <=IS>, Michael S Jacoby Lee Flutter , Mark LaRoe Cc: Vaishali-P Mehta < > Classification: For internal use only Classification: For internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes Risk I…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398658.pdf
EFTA01356252
Dataset 10
2016-04-06
1p
151w
Subject:
Apr 2016
AML/KYC
Escalation Reports III
From:
Melisa Venegas
To:
Armen Brash Andrew Gallivan ; Michael S Jacoby
…6/2016 12:22:14 PM To: Armen Brash Andrew Gallivan ; Michael S Jacoby ; Mark LaRoe CC: Vaishali-P Mehta Subject: Apr 2016
AML/KYC
Escalation Reports III Attachments: US Onshore.xlsx Classification: For Internal use only Classification: For Internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes Risk I Days Overdue 1-30 31-60 61-90 >90…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356252.pdf
EFTA01399554
Dataset 10
2015-03-17
3p
280w
Subject:
RE: February 2015
AML/KYC
Escalation Reports [I]
From:
Andrea Tapia
To:
Kimberly Hart ‹ >
Subject: RE: February 2015
AML/KYC
Escalation Reports [I] From: Andrea Tapia Date: Tue, 17 Mar 2015 17:48:23 -0400 To: Kimberly Hart ‹ > Classification: For internal use only Hi Kim, In the attached file, please find my comments re: updates in column N. The three private equity accounts for McCarthy's client, Craig Haesemeyer, are highlighted in red. Kind regards, Andrea Tapia Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399554.pdf
EFTA01356450
Dataset 10
2016-06-03
1p
162w
Subject:
RE: June 2016
AML/KYC
Escalation Reports ll]
From:
Melisa Venegas
To:
Armen Brash Andrew Gallivan • Michael 5 Jacoby
…00 AM To: Armen Brash Andrew Gallivan • Michael 5 Jacoby ; Mark LaRoe CC: Vaishali-P Mehta Subject: RE: June 2016
AML/KYC
Escalation Reports ll] Attachments: US_Onshore.xlsx Classification: For Internal use only File attached. Melisa Venegas Deutsche Bank Wealth Management 160 Wail Street 10005-2836 New York, NY, USA Tel.: -I Email Classification: For Internal use only All, Included below is the monthly
AML/KYC
escalation report for overdue and coming due items. Please review and address accordingly…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356450.pdf
EFTA01399449
Dataset 10
2015-03-17
2p
145w
Subject:
FW: February 2015
AML/KYC
Escalation Reports [I]
From:
Kimberly Hart ‹ >
To:
Andrea Tapia ‹ >
Subject: FW: February 2015
AML/KYC
Escalation Reports [I] From: Kimberly Hart ‹ > Date: Tue, 17 Mar 2015 09:14:55 -0400 To: Andrea Tapia ‹ > Classification: For internal use only Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. From: Melisa Venegas Sent: Monday, March 02, 2015 4:36 PM To: Andrew Gallivan; Kimberly Hart; Michael-J…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399449.pdf
EFTA01356310
Dataset 10
2015-03-02
1p
102w
Subject:
February 2015
AML/KYC
Escalation Reports [I)
From:
Melisa Venegas
To:
Andrew Gallivan Kimberl Hart I I; Davis (l=
From: Melisa Venegas Sent: 3/2/2015 4:35:56 PM To: Andrew Gallivan Kimberl Hart I I; Davis (l= CC: Armen Brash Subject: February 2015
AML/KYC
Escalation Reports [I) Attachments: COVERAGE_Domestic.xlsx; Acct Opening - COVERAGE.xlsx Classification: For internal use only All, Included below is the monthly AMUKYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. Regards, Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 60 Wolf…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356310.pdf
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