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"SOUTHERN FINANCIAL"
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EFTA01368501
Dataset 10
2015-05-28
1p
314w
Subject:
Southern Financial
Call - 5/28/2015 [1]
From:
Paul Morris
To:
Vahe Stepanian Stewart Oldfield
…Dwyer Subject Re:
Southern Financial
Call - 5/28/2015 [I] Classification: For Internal Use Only Thanks, we reached out to him last week on #3 and he was interested, haven't talked with Fred this week on status of the deal so let's not bother him with nda yet From: Vahe Stepanian Sent: Thursday, May 28, 2015 03:22 PM To: Paul Morris; Stewart Oldfield Cc: Daniel Sabba; Ariane Dwyer Subject:
Southern Financial
Call - 5/28/2015 [1] Classification…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368501.pdf
EFTA01368524
Dataset 10
2013-09-09
1p
220w
Subject:
Re: ACATS for
Southern Financial
/Trust [I]
From:
Jay Lipman/-
To:
Amanda Kirby
…USA, 10154-0004 Tel. Fax Emai (Embedded image moved to file: pic22659.gif) From: Jay Lipman/- To: Amanda Kirby Cc: Tazia Smith , vahe Stepanian Date: 09/09/2013 04:03 PM Subject: Re: ACATS for
Southern Financial
/Trust [I] Classification: For internal use only Hi Amanda, As we discussed earlier, the ACAT's will be more complicated than usual due to the exotic nature of some of the assets in the accounts. As for Jeepers, please find attached below the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368524.pdf
EFTA01368528
Dataset 10
2013-09-09
1p
240w
Subject:
Re: ACATS for
Southern Financial
/Trust [I)
From:
Paul Morris
To:
Amanda Kirby
…USA, 10154-0004 Tel. Fax +11111111111111 Email (Embedded image moved to file: pic22065.gif) From: Jay Lipman/ To: Amanda Kirby Cc: Tazia Smith , Vahe Stepanian Date: 09/09/2013 04:03 PM Subject: Re: ACATS for
Southern Financial
/Trust [I] Classification: For internal use only Hi Amanda, As we discussed earlier, the ACAT's will be more complicated than usual due to the exotic nature of some of the assets in the accounts. As for Jeepers, please find attached below…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368528.pdf
EFTA01368529
Dataset 10
2013-09-09
1p
223w
Subject:
ACATS for
Southern Financial
/Trust [I]
From:
Amanda Kirby
…NY 10154 Tel. Fax (646 257-3131 Email (Embedded image moved to file: pic15013.gif) From: Amanda Kirby To; Jay Lipman/ Cc: Tazia Smith, vahe Stepanian/ Date: 09/09/2013 10:59 AM Subject: ACATS for
Southern Financial
/Trust [I] classification: For internal use only Hi Jay, wanted to touch base in regards to the ACATS for southern Trust and
southern Financial
. I know you were working on them on Friday. would like to send them to the client today…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368529.pdf
EFTA01368678
Dataset 10
2017-11-20
1p
160w
Subject:
RE:
Southern Financial
LLC first FX Option fl]
From:
Stewart Oldfield
To:
Martin Zeman : Xavier Avila Daniel-E Kaiser
…Subject: RE:
Southern Financial
LLC first FX Option fl] Classification: For Infernal use only Awesome! It has taken a lot of work to get to this point and I appreciate everyone's efforts. Let's keep it going. From: Martin Zeman Sent: Monday, November 20, 2017 4:18 PM To: Xavier Avila ; Daniel-E Kaiser Cc: Todd Stevens ; Joshua Shoshan ; Liam Osullivan aw • e- errazza ; Stewart Oldfield ; Chris Maxmin ; Nicholas Angilletta Joe Aglione Subject:
Southern Financial
LLC first FX Option…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368678.pdf
EFTA01368854
Dataset 10
2016-08-29
1p
242w
Subject:
RE:
Southern Financial
- Saudi bond new issue. II)
From:
Stewart Oldfield
To:
Vahe Stepanian Daniel Sabba Darlene Zong
From: Stewart Oldfield Sent: 8/29/2016 11:48:47 AM To: Vahe Stepanian Daniel Sabba Darlene Zong CC: Joseph Durs Subject: RE:
Southern Financial
- Saudi bond new issue. II) Classification: For Internal use only Guess we aren't leading the deal From: Vahe Stepanian Sent: Monday, August 29, 2016 11:47 AM To: Stewart Oldfield; Daniel Sabba; Darlene Zong Cc: Joseph Dursi Subject: RE:
Southern Financial
- Saudi bond new issue. [I] Classification: For Internal use only Stew - came across…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368854.pdf
EFTA01368880
Dataset 10
2017-07-06
1p
291w
Subject:
RE: Epstein/
Southern Financial
reboot
From:
Daniel-E Kaiser
To:
Stewart 0ldfield Todd Stevens
…9:35:21 AM To: Stewart 0ldfield Todd Stevens CC: Xavier Avila Tracy-Ann Hopkins■ Subject: RE: Epstein/
Southern Financial
reboot I would suggest the week of July 24th. Could you, me and Xavier meet on Monday to strategize? Original Message From: Stewart Oldfield Sent: Thursday, July 06, 2017 03:17 PM Eastern Standard Time To: Todd Stevens, Daniel-E Kaiser Subject: Epstein/
Southern Financial
reboot Jeffrey's new trader will be available to meet with us after July 14ih…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368880.pdf
EFTA01368881
Dataset 10
2017-07-06
1p
275w
Subject:
FW: Epstein/
Southern Financial
reboot Ill
From:
Vahe Stepanian
To:
Stewart Oldfield
From: Vahe Stepanian Sent: 7/10/2017 6:00:38 PM To: Stewart Oldfield BCC: Subject: FW: Epstein/
Southern Financial
reboot Ill Classification: For Internal use only Did you get a response on this? From: Stewart Oldfield Sent: Thursday, July 06, 2017 3:18 PM To: Todd Stevens Daniel-E Kaiser Subject: Epstein/
Southern Financial
reboot Jeffrey's new trader will be available to meet with us after July 14th, when he wraps up his current job (I think he…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368881.pdf
EFTA01368903
Dataset 10
2018-10-26
1p
214w
Subject:
Re: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP (II
From:
Stewart Oldfield
To:
Mayur Rathod
From: Stewart Oldfield Sent: 10/31/2018 9:16:29 AM To: Mayur Rathod CC: Richard larossi Vinita Advani Vijay-A Sawant Subject: Re: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP (II Pretty sure we have already provided some of these. I still need to talk to the client about the remaining items. Have been away for 3 days in sales training with Brad, hope to call client today or tmw. Stewart Oldfield, CFA, CAIA Director Deutsche…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368903.pdf
EFTA01368904
Dataset 10
1p
390w
Subject:
RE: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP
Subject: RE: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP Importance: High Hi Stewart, For Hyperion LLC and .1 Epstein Virgin Islands Foundation Inc in rejected KYC 01977699, we require the following items mentioned in red fonts — (3) Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed). The comment must include the name of the person…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368904.pdf
EFTA01368905
Dataset 10
2018-10-25
1p
212w
Subject:
RE: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP
From:
Stewart Oldfield
To:
Vijay-A Sawant
From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant Cc: Bradley Gillin • Richard larossi Alka Babu Mayur Ratho ; Vinita Advani Subject: RE: Pending responses on rejection cases under the
SOUTHERN FINANCIAL
RELATIONSHIP We've responded to many of these already. Please list only outstanding items in a single email. Thanks From: Vijay-A Sawant Sent: Thursday, October 25, 2018 10:50 AM To: Stewart Oldfield Cc: Bradley Gillin Richard larossi >; Alka Babu ; Mayur…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368905.pdf
EFTA01369010
Dataset 10
2017-10-25
1p
199w
Subject:
RE:
Southern Financial
LLC III
From:
Martin Zem
To:
Anjali Thadani
…Sferrazza ; Ellenoi Jarvis I Chris Maxmin Subject: RE:
Southern Financial
LLC III Anjali, Thank you. I assume the end-user paperwork is in order as well, correct? Martin Front: Anjali Thadani .‘t > Date: Wednesday. Oct 25 2017 16:19 To: Martin Zeman Cc: Xavier Avila Stewart Oldfield . Joshua Shoshan e-A Sferrana Ellcnoi Jarvis - Chris Maxmin Subject: RE:
Southern Financial
LLC IIj Classification: For Internal use only Martin, you're good to trade non-margin from a regulatory perspective…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369010.pdf
EFTA01369022
Dataset 10
2016-12-20
1p
99w
Subject:
Southern Trust Company, Inc. and
Southern Financial
, LLC
To:
Daniel Sabba Stewart Oldfield
From. Darren lndyke Sent 12/20/2016 9:52:48 PM To: Daniel Sabba Stewart Oldfield CC: Richard Kahn Subject: Southern Trust Company, Inc. and
Southern Financial
, LLC Attachments: doc01187320161220133144.pdf; Untitled attachment 015S7.htm Please see attached ISDA and GMRA Termination Agreements signed by Southern Trust Company, Inc. and
Southern Financial
, LLC. Please return fully countersigned agreements to me at your earliest convenience. Thank you. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th Floor New York…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369022.pdf
EFTA01369043
Dataset 10
2018-01-11
1p
280w
Subject:
RE: N4G-026161 -
Southern Financial
From:
Stewart Oldfield
To:
Zbynek Kozelsky Cynthia Rodriguez
…Sferrazza oshua Shoshan Subject: RE: N4G-026161 -
Southern Financial
Copying Cynthia. Thanks From: Zbynek Kozelsky Sent: Thursday, January 11, 2018 3:41 PM To: Stewart Oldfield Cc: Liam Osullivan Davide-A Sferrazza Joshua Shoshan Zbynek Kozelsky Subject: N4G-026161 -
Southern Financial
Hi Stew, The above account is collateral one and DBOI is setting it up to feed into the "LS2" system (I am told it tracks loans/collateral). For them to set that up they need the PB KYC — please…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369043.pdf
EFTA01369048
Dataset 10
2016-11-23
1p
65w
Subject:
Stew - can you give me a call when you have a moment RE:
Southern Financial
Wire? Thank you. III
From:
Vahe Stepanian
To:
Stewart 0ldfield I
From: Vahe Stepanian Sent: 11/23/2016 10:24:44 AM To: Stewart 0ldfield I Subject: Stew - can you give me a call when you have a moment RE:
Southern Financial
Wire? Thank you. III Classification: For Normal use only Thank you, Vahe Vahe Stepanian Key Client Partners Deutsche Bank Securities Inc. Tel. Mobile Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0061114 CONFIDENTIAL SDNY_GM_00207298 EFTA01369048
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369048.pdf
EFTA01369094
Dataset 10
2017-07-06
1p
259w
Subject:
Re: Epstein/
Southern financial
reboot
From:
Todd Stevens
To:
Stewart 0ldfield
From: Todd Stevens Sent: 7/6/2017 7:33:45 PM To: Stewart 0ldfield CC: Daniel-E Kaiser Subject: Re: Epstein/
Southern financial
reboot Week of 24tg better On Jul 6, 2017, at 3:17 PM, Stewart Oldfield < > wrote: Jeffrey's new trader will be available to meet with us after July 14th, when he wraps up his current job (I think he's coming from JPM or GS, but don't know that for sure). He will…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369094.pdf
EFTA01369155
Dataset 10
2016-11-09
1p
219w
Subject:
Re: High Risk KYC Request:
Southern Financial
, LLC - CRDS ID:
From:
Stewart Oldfield
To:
Todd Stevens
…Risk KYC Request:
Southern Financial
, LLC - CRDS ID: Classification: For Internal Use Only Thanks. Let me know what they need my help with. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel: 212 454-2881 Mobile blackberry Email: Securities offered through Deutsche Bank Securities Inc. From: Todd Stevens Sent: Wednesday, November 09, 2016 06:20 PM To: Stewart (Ydfield Subject: FW: High Risk KYC Request:
Southern Financial
…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369155.pdf
EFTA01369156
Dataset 10
1p
401w
Subject:
High Risk KYC Request:
Southern Financial
, LLC - CRDS ID: n
To:
Vahe Stepanian
To: Vahe Stepanian Subject: High Risk KYC Request:
Southern Financial
, LLC - CRDS ID: n Classification: For Internal use only Dear Vahe, Please acknowledge within 24hrs and/or complete within 48hrs: In accordance with Deutsche Bank's ongoing 'Know Your Client' (KYC) requirements, I am writing to you in relation to completing a KYC review for the below entity:
Southern Financial
, LLC—Internal DB Ref: Client On-boarding (COB) was able to complete a percentage of the KYC Regular Review from…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369156.pdf
EFTA01369195
Dataset 10
2017-03-03
1p
141w
Subject:
RE:
Southern Financial
/Epstein accounts [I]
From:
Arthur Tremblay
To:
Stewart Oldfield; Cynthia Rodriguez
… Brendan Heinz Subject: RE:
Southern Financial
/Epstein accounts [I] Classification: For Internal use only Yes, the rate is approved, but a TEAS ticket needs to be submitted with Rate Plan 718. Arthur Tremblay Director Deutsche Bank Trust Company Americas fa itch- nk hM n mn From: Stewart Oldfield Sent: Friday, March 03, 2017 10:04 AM To: Charlie Burrows; Arthur Tremblay Cc: Cynthia Rodriguez Subject:
Southern Financial
/Epstein accounts [I] Classification: For Infernal use only Charlie, Please confirm that Jeffrey…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369195.pdf
EFTA01369231
Dataset 10
2017-10-18
1p
69w
Subject:
Automatic reply:
Southern Financial
LLC -> documents for a new ISDA draft DJ
From:
Stewart Oldfield
To:
Keith Buckholz
From: Stewart Oldfield Sent: 10/18/2017 11:40:09 AM To: Keith Buckholz Subject: Automatic reply:
Southern Financial
LLC -> documents for a new ISDA draft DJ Please note that I will be out of the office until Monday Oct. 23rd and may not have consistent email access. For immediate assistance, please contact Brad Gillin ll. Cynthia Rodriguez Thanks CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0061395 CONFIDENTIAL SDNY_GM_00207579 EFTA01369231
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369231.pdf
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