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"Classification For Internal"
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EFTA01356414
Dataset 10
2017-05-08
1p
197w
Subject:
RE: KYC HR Clients Remediation - Status Ill
From:
Rodrigo Quintero
To:
Patrick Harris
Classification: For Internal
use only I am a little delayed on today's report. Working out some issues on the DBForce data. I will provide this as soon as it is available. Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkw , Suite 400, 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Monday, May 08, 2017 9:19 AM To: Patrick Harris Cc: Emily Craig Daphne Cales Subject…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356414.pdf
EFTA01360338
Dataset 10
2013-09-03
1p
207w
Subject:
Richard I) Kahn rdc alert
From:
PWM BIS-Res
To:
Amanda Kirby
Classification: For internal
use only Hi, The below RDC alerts do pertain to our client. Richard D Kahn is the person in question. However, he will not be a client of the bank. We are opening an account for a trust, for which he is a trustee. It does not seem that he would pose any risk (reputational or otherwise) to the bank. Please approve Richard D Kahn rdc alertpdf Richard D Kahn rdc alert_1.pdf PWM BIS-Research…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360338.pdf
EFTA01369441
Dataset 10
2017-07-28
1p
115w
Subject:
Check Referral - Act -
From: Sent: 7/28/2017 6:53:32 AM To: CC: Subject: Check Referral - Act - Attachments: 1333.pdf
Classification For internal
use only Hi All, Please respond with a pay/no pay decision for the mentioned in the attachment -Signature not on file If any of the transactions are deemed fraudulent, you must immediately notify your business manager and report the fraud to PBFraudReporting. Please follow the steps detailed in the fraud procedures. https://dbpolicyportal ntranet.db.com/gpag/pdf…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369441.pdf
EFTA01390384
Dataset 10
2013-03-28
1p
277w
Current Classification: (click here for help) Internal KCP Exceptions [I] Amy Horak Zbynek Kozelsky 11103/2014 12:41 PM cc SBOM, Zia Memon
Classification: For internal
use only After our review with Zia last week,apse_note-the-exceptions below. I also spoke to Dawn, and if there is any issue that isn't abbe —ad-dressed, New Accounts wircame- k to us to further review. Sou em Financial: BSO Exception granted to accept agreement on file for 025080 to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390384.pdf
EFTA01360910
Dataset 10
2013-11-01
1p
179w
Subject:
Re: DB Force Case# 01146170: Darren K. Indyke PLLC (I]
From:
PWM AOG/db/dbcom
To:
Pema sherpaWIRMOINPRIWa
…47 AM Subject: Re: DB Force Case# 01146170: Darren K. Indyke PLLC (I]
Classification: For internal
use only Hi Pema, FYI Thanks, Dhruv Yadav PWM AOG DBOI Global Services Private Limited Email : From: PWM AOG/db/dbcom To: Amanda Kirby Cc: PWM ADG Date: 11/01/2013 10:42 AM Subject: DB Force Case# 01146170: Darren K. Indyke PLLC [I]
Classification: For internal
use only Hi Amanda, while reviewing the account opening docs, we came across the below issues: 1…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360910.pdf
EFTA01399598
Dataset 10
2019-02-07
1p
87w
Subject:
KCP RELATIONSHIPS DEC 19 2018 (002).xlsx [I]
From:
Funda Bozkurt <=I >
To:
Kimberly Hart ‹ >
Subject: KCP RELATIONSHIPS DEC 19 2018 (002).xlsx [I] From: Funda Bozkurt <=I > Date: Thu, 07 Feb 2019 10:23:26 -0500 To: Kimberly Hart ‹ >
Classification: For internal
use only Hi - I was looking for you... I will come over when you are here. The KCP package signed is a subset of the Adopted. If there are 51 accounts accounted, and 40 of them have the package signed, this means that 11 of them just have the Finra…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399598.pdf
EFTA01378137
Dataset 10
2018-12-21
1p
104w
Subject:
FW: JEGE INC III
From:
Bella Klein I I
To:
Stewart Oldfield <
Cc: Daphne Cales < Subject: FW: JEGE INC III
Classification: For Internal
use only Please confirm that the balance is 0 and then close. I think there is one last wide that just went to clear out the balance. Thanks! From: Bella Klein I I Sent: Friday, December 21, 2018 2:12 PM To: Stewart Oldfield < Cc: Bradle Gitlin < >; Richard Kahn < >; Darren Indyke Subject: JEGE INC Stewart. Please close JEGE Inc bank account. Balance in…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378137.pdf
EFTA01390480
Dataset 10
2013-08-26
1p
214w
CI Current Classification: (click here for help) Internal CIP failure rectification (I) Jay Lipman to: Fran M Wickman 08/26/2013 12:04 PM Sender Date Subject S3 Jay Lipman 08/26//201312:04 PM a CIP failure rectification fll Fran M Wickman 08/26/2013 12:08 PM Re: CIP failure rec
Classification: For internal
use only Hi Fran, Please could you let me know if this document is sufficient for what we need? For Source of Wealth: Epstein…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390480.pdf
EFTA01360337
Dataset 10
2013-02-26
1p
285w
…Kirby 11/01/2013 10:54 AM Sent hy: Michael Vila Cc. Jacqueline Ughtbody. PWMUS AMLKYC, Janice Franklin
Classification: For internal
use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn - after further review it appears the below alert dated 9/3/2013 is a false positive. AML Compliance has reviewed an email dated 10/31/2013 that the business received from Mr. Kahn attesting that he has not been bared from NYSA Arca and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360337.pdf
EFTA01407085
Dataset 10
2017-02-21
2p
171w
Subject:
Volker covered fund : : Southern Financial LLC [I]
From:
Manish-m Gupta
To:
USPWM KYC
…Tue, 21 Feb 2017 13:28:22 -0500 To: USPWM KYC Cc: Cynthia Rodriguez
Classification: For internal
use only Hello Team, Can you please update the Volker covered fund in db force as it is blank. Please see the below screen shot. Please confirm so we proceed further. Kind regards, Manish-m Gupta {cid:
[email protected]
} Manish-m Gupta Process Supervisor I PWM US Operations DBOI Global Services Private Limited COO Wealth Management Operations A-1 & A-2…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01407085.pdf
EFTA01465022
Dataset 10
2013-09-20
1p
144w
Subject:
Re: Update [I]
From:
Paul Morris <
To:
Amanda Kirby
Subject: Re: Update [I] From: Paul Morris < Date: Fri, 20 Sep 2013 17:13:33 -0400 To: Amanda Kirby
Classification: For internal
use only Thanks Original Message From: Amanda Kirby Sent: 09/20/2013 04:44 PM EDT To: Paul Morris Subject: Update [I]
Classification: For internal
use only 1. Southern Financial is being sent out now 2. Jeepers will hopefully be out in the next hour or so 3. Southern Trust is missing a signature so will go…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01465022.pdf
EFTA01464222
Dataset 10
2013-09-12
1p
90w
Subject:
Re: Fw: New bankin account :- Jeepers, Inc # 1:1
From:
Manish-m Gupta >
To:
PWM AOG
…m Gupta > Date: Thu, 12 Sep 2013 17:55:03 -0400 To: PWM AOG Amanda Kirby 11§§§§§§§§§§§§§§§1.>, Paul Morris s > Cc: Kusam Saini PWM AOG Shivani Kacholia
Classification: For internal
use only Hello Everyone, Both accounts are opened. Please let me know if any changes required. Thanks & Regards, Manish Gupta Manish Gupta DBOI Global Services Private Limited Private Banking A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India EFTA01464222
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464222.pdf
EFTA01409731
Dataset 10
2017-07-12
3p
372w
Subject:
RE: RMS [I]
From:
Vahe Stepanian ‹ >
To:
Chris Maxmin
…<MMII M>
Classification: For internal
use only We haven't traded with this counterparty in a while, so it doesn't surprise me that their DF protocol is not up to date. I'll relay to the client. Thanks for checking. Best, Vahe From: Chris Maxmin Sent: Wednesday, July 12, 2017 4:30 PM To: Vahe Stepanian ‹ > Subject: RE: RMS [I]
Classification: For internal
use only They are not approved on our platform They show Ceiling of 40mm usd…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409731.pdf
EFTA01361774
Dataset 10
2015-03-02
1p
180w
Subject:
RE: Case :Gratitude America [I]
From:
Navin-Kumar Pankaj On Behalf Of PWM AOG
To:
Pema Sherpa
…America [I]
Classification: For internal
use only Hi Pema, We are clearing on Point 2 & 3 however on point 1, Legal address which is given W-9 is not matching With KYC# address. We need to put the legal address while Prepairing EDF in MD3 for post ABR Approval. Can we move further with the same? Thanks, Navin —------- ---------------- PWM AOG DBOI Global Services Private Limited Email : Pema Sherpa—03/02/2015 02:07:51 PM--
Classification: For internal
use only…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361774.pdf
EFTA01362583
Dataset 10
2017-07-07
1p
156w
Subject:
FW: RDC Alert Southern Financial LLC Ill
From:
Cynthia Rodriguez
To:
Kshitij Golani
To: Kshitij Golani Subject: FW: RDC Alert Southern Financial LLC Ill
Classification: For internal
use only From: Cynthia Rodriguez Sent: Friday, July 07, 2017 1:00 PM To: PWMUS MALKYC Subject: RDC Alert Sout ern Financial LLC
Classification: For internal
use only Dear AML Compliance, Attached is an RDC alert for Southern Financial LLC, part of KYC remediation case 01790655. These are false positives as the alerts are referencing Southern Financial Services Inc and Southern Financial Group Inc. This entity…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362583.pdf
EFTA01432667
Dataset 10
2018-03-05
2p
105w
Subject:
OD - 5 days [I]
From:
Anna-Sofiya Lupolover < >
To:
Stewart Oldfield <
Subject: OD - 5 days [I] From: Anna-Sofiya Lupolover < > Date: Mon, 05 Mar 2018 14:45:40 -0500 To: Stewart Oldfield < Cynthia Rodriguez
Classification: For internal
use only Hello Team, Please be advised that the below account has been overdrawn for 5 days. If the OD persists into Weds, the account will be issued a procedural violation. Account # Account Name RM Name BO Name Balance OD Days 35267258 AND Stewart Oldfield Stewart Oldfield -1171.92 5 EFTA01432667…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01432667.pdf
EFTA01413703
Dataset 10
2017-02-01
1p
69w
Subject:
Southern Financial [I]
From:
Vahe Stepanian
To:
Stewart Oldfield ‹ >
Subject: Southern Financial [I] From: Vahe Stepanian Date: Wed, 01 Feb 2017 15:46:26 -0500 To: Stewart Oldfield ‹ > Cc: Cynthia Rodriguez
Classification: For internal
use only Rich mentioned he wants to set up the AG preferred deposit accounts for Haze, SFLLC, and Southern Trust. Wanted to make sure we're on same page. Thank you, Vahe Vahe Stepanian Key Client Partners Deutsche Bank Securities Inc. Tel. Mobile Email EFTA01413703
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413703.pdf
EFTA01449128
Dataset 10
2013-09-12
1p
117w
Subject:
Re: Fw: New banking account :- Jeffrey Epstei
To:
PAIMAOG Amanda Kirb . Paul Morrisla
…Kusam Saini ,,,,,,— fl,„..„„„...„,0, PWM AO iKachoha Subject: Re: Fw: New banking account :- Jeffrey Epstei
Classification: For internal
use only Hello Everyone, Both Accounts are opened. Please let me know if any changes required. Amanda The Online is not setup because the ACH & Wire Limit is not mentioned in the form. Could you please provide the Limits as well. Thanks & Regards, manish Gupta Manish Gupta DBOI Global Services Private Limited Private Banking A-1 & A-2, Evolve - mahindra Technology Park…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01449128.pdf
EFTA01362531
Dataset 10
1p
182w
Subject:
RE: • "REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 Ill
Subject: RE: • "REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 Ill
Classification: For Internal
use only Hi Nina, I'm seeing a lot of these products as already active in dbCAR (other than convertible bonds) under BR 1007494283 . See below and let me know if you need anything else in addition. Business Unit Adoption Location Adoption Entity Product System Account ID Status United Kingdcl- .O8 AG (London, I1Drtrnixlities CUR PVICSBAL8f0 Active Active FXPCA PVTCSBAL870 Active OPENLINK SOUTHFIN_LE Active RMS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362531.pdf
EFTA01359648
Dataset 10
2015-10-05
1p
109w
Subject:
RE: URGENT: Account Re-opening Ill
From:
Jj Litchford
To:
Gaurav Bhargava
From: Jj Litchford Sent: 10/5/2015 3:35:09 PM To: Gaurav Bhargava Subject: RE: URGENT: Account Re-opening Ill
Classification: For internal
use only Thanks! JJ Litchford Associate Banker Deutsche Bank Trust Company Americas nagement Pedc-ifrh-^ter PeArea.t. From: Gaurav Bhargava Sent: Monday, October 05, 2015 3:32 PM To: Daphne Cares; 3' Litchford Cc: Gwen Hill; ; Prashant Mahendru; Halina Laczny; Paul Morris Subject: RE: URGENT: Account Re-opening [I] Hi, Approved to re-open the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01359648.pdf
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