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"Roddy Moore"
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Corpus: 1990-03-17 – 2025-12-01
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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
From:
Roddy Moore
Sent: Monday, August 31, 2015 11:23 AM To: Ariane Dwyer Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only It's my understanding that this is part of onboarding. Have you tried Caleb or Joe? From: Ariane Dwyer Sent: Monday, August 31, 2015 11:15 AM To:
Roddy Moore
Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only Hi Roddy, I just spoke with…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365511.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
… From: Ariane Dwyer Sent: Tuesday, August 25, 2015 4:13 PM To:
Roddy Moore
Cc: Daniel Sabba; Vahe Stepanian Subject: RE: Southern Financial [I] Classification: For Internal use only Thanks Roddy. As discussed the client has approved a transfer of AAPL shares to meet today's margin call. We will address the issue with the incorrect haircut rate on AAPL next week when Daniel is back. From:
Roddy Moore
Sent: Tuesday, August 25, 2015 3:59 PM To: Ariane Dwyer…
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
…at cost". Note that there is over $40mm in cash in that account. • "Due from brokers" line item in Haze is cash (i.e. - $47mm) We would like to explore increasing N0P limits for both Southern Trust and Southern Financial. Please give us a call should you have any 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…
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
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
From:
Roddy Moore
Sent: 8/31/2015 11:22:38 AM To: Ariane Dwyer CC: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only It's my understanding that this is part of onboarding. Have you tried Caleb or Joe? From: Ariane Dwyer Sent: Monday, August 31, 2015 11:15 AM To:
Roddy Moore
Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - N4G026161 [I] Classification: For Internal use only Hi Roddy, I just spoke with…
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
…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 10…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365114.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
…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. Thank you, Vahe EFTA01423720 From:
Roddy Moore
Sent: Tuesday, July 07, 2015 10:43 AM To: Vahe Stepanian…
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
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
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
EFTA01410464
Dataset 10
2015-07-14
4p
738w
Subject:
RE: Southern Financial and Southern Trust ISDA/CSAs [I]
From:
Vahe Stepanian
To:
Roddy Moore
…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 account statements which demonstrate the client…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01410464.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
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