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Corpus: 1990-03-17 – 2025-12-01
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EFTA01421741
Dataset 10
2015-07-21
1p
252w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Paul Morris ..z >
To:
Vahe Stepanian
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Paul Morris ..z > Date: Tue, 21 Jul 2015 11:31:35 -0400 To: Vahe Stepanian Troy-D Williams Roddy Moore Cc: Stewart Oldfield Daniel Sabba Andrew Xu Team where are we with this ? Please let me know if I can be helpful. Thanks Original Message From: Vahe Stepanian Sent: Tuesday, July 07, 2015 10:27 AM Eastern Standard Time To: Troy-D Williams; Roddy Moore Cc: Paul Morris…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421741.pdf
EFTA01423719
Dataset 10
2015-07-14
5p
804w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Roddy Moore ‹ >
To:
Vahe Stepanian
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Roddy Moore ‹ > Date: Tue, 14 Jul 2015 17:11:07 -0400 To: Vahe Stepanian Troy-D Williams Cc: Paul Morris Stewart Oldfield Daniel Sabba Ariane Dwyer Andrew Xu I'll take a look. Have you confirmed whether an increased limit fits within the confines of what Compliance/Rep Risk have approved? Roddy Moore Credit Risk Management Deutsche Asset & Wealth Management (P) From: Vahe Stepanian Sent: Tuesday, July 14…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01423719.pdf
EFTA01410464
Dataset 10
2015-07-14
4p
738w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Vahe Stepanian
To:
Roddy Moore
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Vahe Stepanian Date: Tue, 14 Jul 2015 17:08:27 -0400 To: Roddy Moore Troy-D Williams <a> Cc: Paul Morris < Stewart Oldfield Daniel Sabba Ariane Dwyer Andrew Xu Classification: For internal use only Roddy — today we received an updated financial statement (FS) for the Southern Financial relationship per our conversation last week. I've attached the FS here (last attachment), as well as the brokerage and checking…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01410464.pdf
EFTA01375473
Dataset 10
2015-07-07
1p
264w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[II
From:
Paul Morris I
To:
Vahe Stepanian Troy-D Williams I I; Roddy Moore
…Sabba Andrew Xu Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[II Team where are we with this ? Please let me know if I can be helpful. Thanks Original Message From: Vahe Stepanian Sent: Tuesday, July 07, 2015 10:27 AM Eastern Standard Time To: Troy-D Williams; Roddy Moore Cc: Paul Morris; Stewart Oldfield; Daniel Sabba; Andrew Xu Subject: Southern Financial and Southern Trust ISDA/
CSAs
[I] Classification: For internal use only Troy/Roddy - we are following up…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375473.pdf
EFTA01404619
Dataset 10
2015-07-21
2p
424w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Vahe Stepanian ‹ >
To:
Roddy Moore
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Vahe Stepanian ‹ > Date: Tue, 21 Jul 2015 14:46:14 -0400 To: Roddy Moore Cc: Stewart Oldfield Daniel Sabba Andrew Xu Paul Morris Troy-D Williams Classification: For internal use only Roddy — we spoke to the client this afternoon. He mentioned that since we're in the process of amending the ISDA/CSA for Southern Financial, we should also amend the ISDA/CSA of Southern Trust. He requested…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01404619.pdf
EFTA01401343
Dataset 10
2015-07-07
3p
489w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Roddy Moore
To:
Vahe Stepanian
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Roddy Moore Date: Tue, 07 Jul 2015 10:42:39 -0400 To: Vahe Stepanian Troy-D Williams Cc: Paul Morris Stewart Oldfield Daniel Sabba Andrew Xu We're going to need updated financials to amend the CSA. From a process perspective, we'll review the financials with the ask in mind and determine if the ask is supported by what we see. If so, then we submit the request…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01401343.pdf
EFTA01412862
Dataset 10
2015-07-07
3p
543w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Vahe Stepanian
To:
Roddy Moore
Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Vahe Stepanian Date: Tue, 07 Jul 2015 16:27:20 -0400 To: Roddy Moore Troy-D Williams Cc: Paul Morris < Stewart Oldfield Daniel Sabba Andrew Xu Classification: For internal use only Roddy — I have requested updated financials from the client per our conversation. We will send along once received. Thank you, Vahe From: Roddy Moore Sent: Tuesday, July 07, 2015 10:43 AM To: Vahe Stepanian; Troy-D…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412862.pdf
EFTA01376767
Dataset 10
2015-07-14
1p
326w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
Ill
From:
Roddy Moore
To:
Vahe Stepanian Troy-D Williams
…questions. Thank you, Vahe From: Vahe Stepanian Sent: Tuesday, July 07, 2015 4:27 PM To: Roddy Moore; Troy-D Williams Cc: Paul Morris; Stewart Oldfield; Daniel Sabba; Andrew Xu Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] Classification: For Internal use only Roddy - I have requested updated financials from the client per our conversation. We will send along once received. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073145 CONFIDENTIAL SDNY_GM_00219329 EFTA01376767
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376767.pdf
EFTA01376768
Dataset 10
2015-07-07
1p
412w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Roddy Moore
To:
Vahe Stepanian; Troy-D Williams
…July 07, 2015 10:43 AM To: Vahe Stepanian; Troy-D Williams Cc: Paul Morris; Stewart Oldfield; Daniel Sabba; Andrew Xu Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[I] We're going to need updated financials to amend the CSA. From a process perspective, we'll review the financials with the ask in mind and determine if the ask is supported by what we see. If so, then we submit the request for the amendment. If not, then…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376768.pdf
EFTA01363840
Dataset 10
2015-07-21
1p
340w
Subject:
RE: Southern Financial and Southern Trust ISDA/
CSAs
[II
From:
Roddy Moore
To:
Paul Morris ; Vahe Stepanian ; Troy-D Williams IM
…2015 11:53:06 AM To: Paul Morris ; Vahe Stepanian ; Troy-D Williams IM CC: Stewart Oldfield ; Daniel Sabba [ ]; Andrew Xu Subject: RE: Southern Financial and Southern Trust ISDA/
CSAs
[II As discussed with Daniel, the amendment is being worked in parallel with Daniel's getting Compliance feedback. However, once completed, the draft won't get released until we get Compliance's concurrence in writing. Roddy Moore Credit Risk Management Deutsche Asset & Wealth Management (P) From: Paul Morris Sent: Tuesday…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363840.pdf
EFTA01365887
Dataset 10
2015-07-07
1p
445w
Subject:
Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Vahe Stepanian
To:
Troy-D Williams; Roddy Moore
… Daniel Sabba; Andrew Xu Subject: Southern Financial and Southern Trust ISDA/
CSAs
[I] Classification: For Internal use only Troy/Roddy — we are following up on our conversations last week regarding Southern Financial and Southern Trust's existing ISDAs with Deutsche Bank. As mentioned, the
CSAs
currently have USD 40mm and USD 10mm "Tier I Ceiling Limit" respectively (ISDA/
CSAs
are attached). The client has requested that we increase Southern Financial LLC's Tier I Ceiling Limit to USD 100mm. On…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365887.pdf
EFTA01383241
Dataset 10
2015-07-07
1p
367w
Subject:
Southern Financial and Southern Trust ISDA/
CSAs
From:
Vahe Stepanian
To:
Troy-D Williams Roddy Moore
…Subject: Southern Financial and Southern Trust ISDA/
CSAs
Attachments: Fully Executed SFLLC ISDA 10.29.2013.pdf; Fully Executed SIC ISDA 10.29.2013.pdf; STC SFLLC Haze FS Nov 2014.pdf Classification: For internal use only Troy/Roddy — we are following up on our conversations last week regarding Southern Financial and Southern Trust's existing ISDAs with Deutsche Bank. As mentioned, the
CSAs
currently have USD 40mm and USD 10mm "Tier I Ceiling Limit" respectively (ISDA/
CSAs
are attached)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01383241.pdf
EFTA01474017
Dataset 10
2015-07-21
2p
377w
Subject:
FW: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Paul Morris ‹ >
To:
Daniel Sabba
Subject: FW: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Paul Morris ‹ > Date: Tue, 21 Jul 2015 11:58:07 -0400 To: Daniel Sabba Vahe Stepanian Please keep me posted and coordinated so I can post chip if needed as compliance may reach out to him Thx Original Message From: Roddy Moore Sent: Tuesday, July 21, 2015 11:53 AM Eastern Standard Time To: Paul Morris; Vahe Stepanian; Troy-D Williams Cc: Stewart Oldfield; Daniel Sabba; Andrew Xu…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01474017.pdf
EFTA01474016
Dataset 10
2015-07-21
1p
45w
Subject:
Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Andrew Xu <
[email protected]
>
To:
Paul Morris <
Subject: Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Andrew Xu <
[email protected]
> Date: Tue, 21 Jul 2015 11:31:36 -0400 To: Paul Morris < Please redirect all messages to Troy- D Williams or Roddy Moore, Credit- AB or Uspwm Risk a Capital Management EFTA01474016
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01474016.pdf
EFTA01458161
Dataset 10
2015-08-20
1p
46w
Subject:
Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[Ij
From:
Paul Morris (a
To:
Roddy Moore
From: Paul Morris (a Sent: 8/20/2015 9:12:45 AM To: Roddy Moore Subject: Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[Ij I'm currently out of the office, please contact Stewart 0ldfield at CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 117958 CONFIDENTIAL SDNY_GM_00264142 EFTA01458161
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01458161.pdf
EFTA01474363
Dataset 10
2015-08-20
1p
37w
Subject:
Automatic re l : Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Paul Morris
To:
Roddy Moore
Subject: Automatic re l : Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Paul Morris Date: Thu, 20 Aug 2015 09:12:45 -0400 To: Roddy Moore ' out of the office, please contact Stewart Oldfield at Ink EFTA01474363
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01474363.pdf
EFTA01424806
Dataset 10
1p
62w
Subject:
Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[I]
From:
Stewart Oldfield
To:
Roddy Moore < >
Subject: Automatic reply: Southern Financial and Southern Trust ISDA/
CSAs
[I] From: Stewart Oldfield Date: Tue, 14 Jul 2.1 • • - 00 To: Roddy Moore < > Please note that I will be out of the office until Monday July 27th, but should have periodic access to email. For immediate assistance, please contact Paul Morris ( ) or Amanda Kirby Thanks EFTA01424806
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01424806.pdf
EFTA01450128
Dataset 10
1p
326w
Drafted 2 separate ISDA/
CSAs
Schedule Specified Transaction in relation to the client — Expanded to cover third party derivative transactions. Cross Default has been made bilateral and Threshold has been amended3 ATEs have been amended Payee tax representations — Southern Trust Company Inc — Retained W9 and US rep. Southern Financial LLC — Since this is a disregarded entity - relevant rep has been proposed, please confirm if this is acceptable and also advise relevant tax forms to be provided by Parent entity and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01450128.pdf
EFTA01465276
Dataset 10
1p
314w
Drafted 2 separate ISDA/
CSAs
Schedule Specified Transaction in relation to the client — Expanded to cover third party derivative transactions. Cross Default has been made bilateral and Threshold has been amended3 ATEs have been amended Payee tax representations — Southern Trust Company Inc — Retained W9 and US rep. Southern Financial LLC — Since this is a disregarded entity — relevant rep has been proposed, please confirm if this is acceptable and also advise relevant tax forms to be provided by Parent entity and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465276.pdf
EFTA01450097
Dataset 10
1p
326w
Drafted 2 separate ISDA/
CSAs
Schedule Specified Transaction in relation to the client — Expanded to cover third party derivative transactions. Cross Default has been made bilateral and Threshold has been amended3 ATEs have been amended Payee tax representations — Southern Trust Company Inc — Retained W9 and US rep. Southern Financial LLC — Since this is a disregarded entity - relevant rep has been proposed, please confirm if this is acceptable and also advise relevant tax forms to be provided by Parent entity and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01450097.pdf
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