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EFTA01365511
Dataset 10
2015-08-31
1p
201w
Subject:
RE: URGENT: Collateral Admin - N4G026161 [I]
From:
Roddy Moore
To:
Ariane Dwyer
…could provide this information? Best, Ari From:
Roddy
Moore Sent: Friday, August 28, 2015 2:56 PM To: Ariane Dwyer Cc: Vahe Stepanian; Daniel Sabba; Collateral Admin-NY Subject: URGENT: Collateral Admin - N46026161 [I] Classification: For Internal use only This should be sent to the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To:
Roddy
Moore Cc: Vahe Stepanian; Daniel Sabba…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365511.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
…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, 2015 5:08 PM To:
Roddy
Moore…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01423719.pdf
EFTA01409677
Dataset 10
2015-09-02
4p
522w
Subject:
RE: URGENT: Collateral Admin - [I]
From:
Roddy Moore < >
To:
Vahe Stepanian
Subject: RE: URGENT: Collateral Admin - [I] From:
Roddy
Moore < > Date: Wed, 02 Sep 2015 14:39:58 -0400 To: Vahe Stepanian Ariane Dwyer Cc: Troy-D Williams >, Daniel Sabba Classification: For internal use only If she is out, then why can't you take care of it? The collateral still isn't being monitored properly. Given what happened last week, I'd hope that we'd want to spare your team from having to go back to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409677.pdf
EFTA01365194
Dataset 10
2015-08-28
1p
136w
Subject:
URGENT: Collateral Admin - N4G026161 Ill
From:
Roddy Moore
To:
Ariane Dwyer
From:
Roddy
Moore Sent: 8/28/2015 2:56:27 PM To: Ariane Dwyer CC: Vahe Stepanian I I • Daniel Sabba Collateral Admin-NY Subject: URGENT: Collateral Admin - N4G026161 Ill Attachments: 2013 SF KYC.PDF; 2014 SF KYC.PDF Classification: For Internal use only This should be sent to the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To:
Roddy
Moore…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365194.pdf
EFTA01365953
Dataset 10
2015-08-28
1p
347w
Subject:
RE: Southern Financial [1]
From:
Roddy Moore
To:
Roddy Moore; Ariane Dwyer
…AAPL next week when Daniel is back. From:
Roddy
Moore Sent: Tuesday, August 25, 2015 3:59 PM To: Ariane Dwyer Subject: Southern Financial [I] Classification: For Internal use only Taking 50% on AAPL as we agreed, there would be a $2,735,000 shortfall including today's call. If we wants to cover with more AAPL, then he'd need to bring over twice that amount (i.e. $5,470,000).
Roddy
Moore Credit Risk Management Deutsche Asset & Wealth…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365953.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
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
From:
Roddy
Moore Sent: 7/14/2015 5:11:07 PM To: Vahe Stepanian Troy-D Williams CC: Paul Morris Stewart Oldfield aniel Sabba Ariane Dwyer ndrew Xu Subject: RE: Southern Financial and Southern Trust ISDA/CSAs Ill 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 De • • anagement (P) From: Vahe Stepanian Sent: Tuesday, July 14, 2015 5:08 PM…
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
Thank you, Vahe From:
Roddy
Moore Sent: Tuesday, 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376768.pdf
EFTA01365215
Dataset 10
2015-09-02
1p
241w
Subject:
RE: URGENT: Collateral Admin •
From:
Roddy Moore
To:
Ariane Dwyer
From:
Roddy
Moore Sent: 9/2/2015 2:33:16 PM To: Ariane Dwyer CC: Vahe Stepanian Troy-D Williams I. Daniel Sabba Subject: RE: URGENT: Collateral Admin • Classification: For internal use only Is this done? From:
Roddy
Moore Sent: Wednesday, September 02, 2015 10:30 AM To: Ariane Dwyer Cc: Vahe Stepanian; Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - [I] Classification: For Internal use only Why don't you just look at your existing clients, and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365215.pdf
EFTA01410568
Dataset 10
2015-09-02
5p
701w
Subject:
Southern Financial Collateral Acct [I]
From:
Roddy Moore dINIIIIII=IIIMPIIIMER>
To:
Daniel Sabba
Subject: Southern Financial Collateral Acct [I] From:
Roddy
Moore dINIIIIII=IIIMPIIIMER> Date: Wed, 02 Sep 2015 14:56:34 -0400 To: Daniel Sabba Vahe Stepanian < Ariane Dwyer Cc: Troy-D Williams <MMII >, Nicholas Haigh a> Classification: For internal use only All of the facts should be widely known at this point. CRM doesn't set up accts. If it isn't KCP, then it's someone who KCP is working with to get the accts set up. They weren…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01410568.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
From:
Roddy
Moore Sent: 7/21/2015 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…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363840.pdf
EFTA01365525
Dataset 10
2015-08-28
1p
130w
Subject:
URGENT: Collateral Admin - N4G026161 [I]
From:
Roddy Moore
To:
Ariane Dwyer
From:
Roddy
Moore Sent: Friday, August 28, 2015 2:56 PM To: Ariane Dwyer Cc: Vahe Stepanian; Daniel Sabba; Collateral Admin-NY Subject: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only This should be sent to the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To:
Roddy
Moore Cc: Vahe Stepanian; Daniel Sabba Subject: [I] Classification: For Internal use…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365525.pdf
EFTA01364934
Dataset 10
2015-08-31
1p
199w
Subject:
RE: URGENT: Collateral Admin - N4G026161 [I]
From:
Roddy Moore
To:
Ariane Dwyer
…could provide this information? Best, Ari From:
Roddy
Moore Sent: Friday, August 28, 2015 2:56 PM To: Ariane Dwyer Cc: Vahe Stepanian; Daniel Sabba; Collateral Admin-NY Subject: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only This should be sent to the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To:
Roddy
Moore Cc: Vahe Stepanian; Daniel Sabba…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364934.pdf
EFTA01365920
Dataset 10
2015-09-02
1p
339w
Subject:
Southern Financial Collateral Acct (I)
From:
Roddy Moore
To:
Daniel Sabba ; Vahe Stepanian I Ariane Dwyer
From:
Roddy
Moore Sent: 9/2/2015 2:56:34 PM To: Daniel Sabba ; Vahe Stepanian I Ariane Dwyer CC: TroyD Williams I ; Nicholas Haigh Subject: Southern Financial Collateral Acct (I) Classification: For Internal use only All of the facts should be widely known at this point. CRM doesn't set up accts. If it isn't KCP, then it's someone who KCP is working with to get the accts set up. They weren't set up properly from…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365920.pdf
EFTA01365524
Dataset 10
2015-08-31
1p
247w
Subject:
RE: URGENT: Collateral Admin - N4G026161 Ell
From:
Roddy Moore
To:
Ariane Dwyer
From:
Roddy
Moore Sent: 9/2/2015 10:30:06 AM To: Ariane Dwyer CC: Vahe Stepanian j; Troy-D Williams ; Daniel Sabba Subject: RE: URGENT: Collateral Admin - N4G026161 Ell Classification: For Internal use only Why don't you just look at your existing clients, and have the back office send you the SIC codes for those similar to SF/ST? Have them mimic the one for JAWS, as it's the same kind of client. Hopefully, we can finally…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365524.pdf
EFTA01365114
Dataset 10
2015-09-02
1p
238w
Subject:
RE: URGENT: Collateral Admin - [I]
From:
Roddy Moore
To:
Ariane Dwyer
Cc: Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - [I] Classification: For internal use only
Roddy
— Afi is out of the office today. She will follow up with you tomorrow morning. Thank you, Vahe From:
Roddy
Moore Sent: Wednesday, September 02, 2015 2:33 PM To: Ariane Dwyer Cc: Vahe Stepanian; Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - [I] Classification: For internal use only Is this done? From:
Roddy
Moore Sent: Wednesday, September 02, 2015…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365114.pdf
EFTA01372778
Dataset 10
2016-06-28
1p
300w
Subject:
RE: Southern Financial - IA Request [I]
From:
Andrew Xu
To:
Vahe Stepanian; Roddy Moore
…applies? As of now the client has enough cash in house to meet the IA requirement —we can revisit if he wishes to post other assets. Best, Vahe From: Andrew Xu Sent: Tuesday, June 28, 2016 11:00 AM To: Vahe Stepanian;
Roddy
Moore Cc: Daniel Sabba; Keith Buckholz Subject: RE: Southern Financial - IA Request [I] Classification: For Internal use only Hi Vahe, We can do 40% IM for this trade. Caveat, we need updated financials and brokerage statements. Additionally…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372778.pdf
EFTA01373604
Dataset 10
1p
91w
Subject:
Southern Financial - IA Request [I]
To:
Roddy Moore; Andrew Xu
To:
Roddy
Moore; Andrew Xu Cc: Daniel Sabba Subject: Southern Financial - IA Request [I] Classification: For Internal use only
Roddy
/Andrew — Southern Financial has indicated that they would like to enter into a TRS on the attached basket of preferreds. The total notional size would be $20mm and assume ly tenor. What would be the required IA for the attached basket? Thank you, Vahe Vahe Stepanian Key Client Partners Deutsche Bank Securities Inc. Tel. Mob e Emai CONFIDENTIAL - PURSUANT TO…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373604.pdf
EFTA01365886
Dataset 10
2015-08-28
1p
96w
Subject:
[I]
From:
Ariane Dwyer
To:
Roddy Moore
…the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To:
Roddy
Moore Cc: Vahe Stepanian; Daniel Sabba Subject: [I] Classification: For Internal use only Please find attached KYCs for Southern Financial. Best, Ari Ariane Dwyer Analyst I Key Client Partners - US Deutsche Sank Setunoes Inc Deutsche Asset 8 Wealth Management 345 Park Avenue. 26 Aggien, geferrea. CONFIDENTIAL - PURSUANT TO FED. R…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365886.pdf
EFTA01365140
Dataset 10
2015-08-28
1p
81w
From:
Ariane Dwyer
To:
Roddy Moore
From: Ariane Dwyer Sent: 8/28/2015 2:53:57 PM To:
Roddy
Moore CC: Vahe Stepanian Daniel Sabba I Subject: Attachments: 2013 SF KYC.PDF; 2014 SF KYC.PDF Classification: For internal use only Please find attached KYCs for Southern Financial. Best, Ari Im Ariane Dwyer Analyst I Key Client Partners - US Deutsche Bank Securities Inc Deutsche Asset 8, Wealth Management 345 Park Avenue. 26 Newyork NY 10154-0004 Ter PassiontittY Pe.frost cost CONFIDENTIAL - PURSUANT TO FED. R…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365140.pdf
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