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Corpus: 1990-03-17 – 2025-12-01
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EFTA01368676
Dataset 10
1p
134w
1. Please explain the purpose of this Incoming Wire. 2. Please explain the relationship between the Client and
Counterparty
. 3. Please explain the business activities of the
Counterparty
. Please provide any additional pertinent information. Thank you in advance for your prompt attention to this matter. Best Regards/Mit freundlichen Grtillen, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor New York, NY 10005 - 2836 Fax: PLEASE NOTE: YOU ARE BEING CONTACTED BECAUSE YOU ARE LISTED AS THE PRIMARY OFFICER…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368676.pdf
EFTA01370872
Dataset 10
1p
127w
1. Please explain the purpose of this Outgoing Wire. 2. Please explain the relationship between the Client and
Counterparty
. 3. Please explain the business activities of the
Counterparty
. Please provide any additional pertinent information. Thank you in advance for your prompt attention to this matter. Best Regards/Mit freundlichen Grtillen, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor PLEASE NOTE: YOU ARE BEING CONTACTED BECAUSE YOU ARE LISTED AS THE PRIMARY OFFICER FOR THIS ACCOUNT ON GCIS. IF…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370872.pdf
EFTA01374692
Dataset 10
1p
500w
…security that is subject to reporting under Section 13 of the U.S. Securities Exchange Act of 1934, as amended (the "Affected Shares"),
Counterparty
represents and warrants to Deutsche that the aggregate of
Counterparty
's exposure to the Affected Shares through actual ownership, derivative positions (including swaps and all Transactions), or otherwise (the "Total Exposure') is less than 10% of the total stock outstanding of the Issuer ("TSO"); provided that a breach of this representation shall not be an Event…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374692.pdf
EFTA01448101
Dataset 10
1p
269w
…
Counterparty
's election to require or not to require IM Segregation in accordance with the CFTC Segregation Regime will apply solely with respect to any Uncleared Swap that is entered into after delivery of such election letter to us at the address specified in Exhibit A or, if such delivery is before the Compliance Date, on or after the Compliance Date. The election made by
Counterparty
may be changed at any time by delivery of written notice to us at…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448101.pdf
EFTA01455869
Dataset 10
1p
175w
…fund. investor and/or other principalllthe accounts, clients. funds, investors and/or other principals named on the attached sheet)". If the agent is acting on behalf of more than one
Counterparty
. (I) it may list the names (and Leis) of such Counterparties on a separate sheet and (ii) this letter should be treated as if it were a separate letter with respect to each
Counterparty
listed on such sheet. 01$004 01004 -3- CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455869.pdf
EFTA01413288
Dataset 10
2018-02-06
3p
372w
Subject:
RE: Inquiry Regarding Account 35269691, Client: JEFFREY E. EPSTEIN;
From:
Cynthia Rodriguez
To:
Amlcompliance Inquiries <
[email protected]
>,
…NLR RESORTS INTERNATIONAL LLC at TD BANK, NA 1. Please explain the purpose of this Incoming Wire. REPAYMENT OF LOAN 2. Please explain the relationship between the Client and
Counterparty
. FRIENDS 3. Please explain the business activities of the
Counterparty
. LEGAL Kind regards, Cynthia Rodriguez {cid:
[email protected]
} Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management EFTA01413288 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA Tel. Fax Emai From…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413288.pdf
EFTA01455978
Dataset 10
1p
244w
…only apply to Uncleared Swaps that are executed by such agent on behalf of
Counterparty
. Moreover, if this letter is being executed by an agent on behalf of one or more Counterparties, the agent should insert before the signature: "as agent for [insert name of account, client, fund, investor and/or other principal] OR [the accounts, clients, funds, investors and/or other principals named on the attached sheet)". If the agent is acting on behalf of more than one
Counterparty
…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455978.pdf
EFTA01456005
Dataset 10
1p
312w
Counterparty
:_Southern Financial LLC Address: lot Oa Raik libookialtarksei. 8 3 Spry, % t_)sAlk cienot . Deutsche Asset & Wealth Management
[email protected]
Date:Oar:lax _.19(f )4zA 4.1 Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 ("CFTC IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for
Counterparty
may be provided…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456005.pdf
EFTA01448091
Dataset 10
1p
239w
…the confirmation and election above on behalf of
Counterparty
. Legal Name ofEntity Completing Letter' _Southern Trust Company Inc Countcrparty CICl/LEI:8 By: Name: Title: The relevant election in this letter will only apply to Uncleared Swaps that are executed by the relevant party that executes this letter. For instance, if this letter is being executed by any agent, then the relevant election will only apply to Uncleared Swaps that arc executed by such agent on behalf of
Counterparty
. Moreover…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448091.pdf
EFTA01455982
Dataset 10
1p
323w
To:
Deutsche Bank AG ("Swap Dealer")
…Compliance Date): (check one)
Counterparty
hereby elects to require IM Segregation in accordance with the CFTC Segregation Regime. Note: If
Counterparty
chooses this first election, certain documentation, including a tri-party custodial agreement that meets the requirements of the CFTC Segregation Regime, must be put in place. After the Compliance Date, choosing this election may prevent Swap Dealer from entering into Uncleared Swaps with
Counterparty
until such documentation is in place.
Counterparty
hereby elects not to require IM Segregation in…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455982.pdf
EFTA01455878
Dataset 10
1p
175w
…fund. investor and/or other principalllthe accounts, clients. funds, investors and/or other principals named on the attached sheet)". If the agent is acting on behalf of more than one
Counterparty
. (I) it may list the names (and Leis) of such Counterparties on a separate sheet and (ii) this letter should be treated as if it were a separate letter with respect to each
Counterparty
listed on such sheet. 01$004 01004 -3- CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455878.pdf
EFTA01456002
Dataset 10
1p
293w
Counterparty
: Southern Trust Company Inc Address: (X) ea 4c.014.04,004-feri 63 v. .1R.; k Deutsche Asset & Wealth Management Date: tt.1,019.4y- t ao t Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 ("CFTC IM Segregation Right Notices"). CFTC IM Segregation Right Notices for
Counterparty
may be provided to the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456002.pdf
EFTA01457283
Dataset 10
1p
252w
…FINANCIAL. LLC . Subtotal: .1,- Li-:" F: FA -Options Settlement Not.Ccy Not.Ccy DealGroupID
Counterparty
Trade Type Trade Date Maturity Date Date Not.Amt 1 1 Not.Amt 2 2 Long/ Short Option Style Putt Call Strike Price MTM(USD) 418822243' SOUTHERN FirEurcOpl 12-Aug-2014 12-Aug-2015 14-Aug-2015 75,000000 00 USD (462,Q10.00300) Chk4 SHORT EURCPEAN PUT 6.1600 ISO 845 64) 834462395 FINANCIAL LLC Subtotal Equity -Swap Hybrid db Ticket Counterpart' Ref. Entity…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01457283.pdf
EFTA01456007
Dataset 10
1p
189w
…C
Counterparty
LB / CICI By: Name: 301 ire, GesEe Title: Mou,eas-itte- Employer: S pat. triorTy--J5+_ Eat. If this letter is being executed and delivered by an agent on behalf of one or more Counterparties, the agent should insert "as agent for (name of account, client, fund, investor and/or other principal][the accounts, clients, funds, investors and/or other principals named on the attached sheet]". If the agent is acting on behalf of more than one
Counterparty
…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456007.pdf
EFTA01455980
Dataset 10
1p
270w
…any questions regarding this notice, please contact your sales representative. Very truly yours, Deutsche Bank AG potential impact on trading in Uncleared Swaps with us and whether an election to not require IM Segregation in accordance with CFTC Segregation Regime is preferable until such time as a mutually acceptable tri-party custodial arrangement is executed. As further described in this notice,
Counterparty
may exercise its right to change its election at any time. CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455980.pdf
EFTA01455876
Dataset 10
1p
280w
Counterparty
:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for
Counterparty
may be provided to the person identified below (the "Collateral Contact") using the following contact information.' I. Collateral Contact Type2 (please select one)3…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455876.pdf
EFTA01459149
Dataset 10
1p
120w
21 Dec2015 Page 3 Of 3 Deutsche Bank AG Equity -Swap Hybrid db Ticket
Counterparty
Ref Entity Put/ Call Expiry Date Not Amt Not Ccy Not. Amt 2 NotCcy2 Strike Price MTM(USD) Subtotal- 212 2o2 0U FX • N0F Settlement Not Ccy Not.Ccy DealGroupID
Counterparty
Trade Type Trade Date Maturity Date Date Not Amt 1 1 Not.Amt 2 2 DBPays DBRecerves BuySell MTM(USD) SOUTHERN FXNDF 30-Oct-2015 02-Aug.2016 044kug-2016 11.541).400.000…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01459149.pdf
EFTA01414126
Dataset 10
2017-06-15
3p
373w
Subject:
RE: Inquiry Regarding Account , Client: JEFFREY EPSTEIN; Case
From:
Cynthia Rodriguez <
[email protected]
>
To:
Amlcompliance Inquiries <amlcom
[email protected]
>,
…Emirates NBD (for each of the above-referenced transactions) EFTA01414127 1. Please explain the purpose of this Outgoing Wire. 2. Please explain the relationship between the Client and
Counterparty
. 3. Please explain the business activities of the
Counterparty
. Please provide any additional pertinent information. Thank you in advance for your prompt attention to this matter. Best Regards/Mit freundlichen GrOgen, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor New York, NY 10005 - 2836 Fax: PLEASE NOTE: YOU ARE…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01414126.pdf
EFTA01455871
Dataset 10
1p
280w
Counterparty
: Southern Trust Company Inc Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 ("CFTC IM Segregation Right Notices"). CFTC N Segregation Right Notices for
Counterparty
may be provided to the person identified below (the "Collateral Contact") using the following contact information. I I. Collateral Contact Type2 (please select…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455871.pdf
EFTA01385885
Dataset 10
1p
492w
…security that Is subject to reporting under Section 13 of the U.S. Securities Exchange A* of 1934, as amended (the 'Affected Shares"),
Counterparty
represents and warrants to Deutsche that the aggregate of
Counterparty
's exposure to the Affected Shares through actual ownership, derivative positions (Including swaps and ell Transactions), or otherwise (the 'Total Exposure') is less than 10% of the total stock outstanding of the Issuer ("ISO"); provided that a breach of this representation shall not be an Event…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01385885.pdf
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