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"Securities Inc."
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Corpus: 1990-03-17 – 2025-12-01
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EFTA01370663
Dataset 10
2017-07-28
1p
192w
Subject:
RE: Securities to buy [C]
From:
Stewart Oldfield
To:
Vahe Stepanian I
…Did you reach back out to him? From: Vahe Stepanian Sent: Friday, July 28, 2017 11:24 AM To: Stewart Oldfield < Subject: RE: Securities to buy (C) He never came back to me. Vahe Stepanian Key Client Partners Deutsche Bank
Securities Inc
. Tel. Mobile Email ----Original Message--- From: Stewart Oldfield Sent: Friday, July 28, 2017 11:12 AM Eastern Standard Time To: Vahe Stepanian Subject: RE: Securities to buy [C] Did these get done? From: Vahe Stepanian Sent Thursday…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370663.pdf
EFTA01374438
Dataset 10
2017-07-28
1p
158w
Subject:
RE: Securities to buy IC) [I]
From:
Vahe Stepanian
To:
Stewart 0ldfield
…IC] Did you reach back out to him? From: Vahe Stepanian Sent: Friday, July 28, 2017 11:24 AM To: Stewart Oldfield Subject: RE: Securities to buy [C] He never came back to me. Vahe Stepanian Key Client Partners Deutsche Bank
Securities inc
. Tel. Mobile Email Original Message From: Stewart Oldfield Sent: Friday, July 28, 2017 11:12 AM Eastern Standard Time To: Vahe Stepanian Subject: RE: Securities to buy [C] Did these get done? From: Vahe Stepanian Sent: Thursday…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374438.pdf
EFTA01382083
Dataset 10
2017-07-28
1p
192w
Subject:
RE: Securities to buy ICI
From:
Vahe Stepanian
To:
Stewart Oldfield I
From: Vahe Stepanian Sent: 7/28/2017 11:23:40 AM To: Stewart Oldfield I Subject: RE: Securities to buy ICI He never came back to me. Valle Stepanian Key Client Partners Deutsche Bank
Securities Inc
. Tel. Mobile Email ----Original Message From: Stewart Oldfield Sent: Friday, July 28, 2017 11:12 AM Eastern Standard Time To: Vahe Stepanian Subject: RE: Securities to buy [C] Did these get done? From: Vahe Stepanian Sent: Thursday, July 27, 2017 2:33 PM To…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01382083.pdf
EFTA01448025
Dataset 10
2013-12-06
1p
154w
Subject:
SFLLC Securities Received (CI
From:
Vahe Stepanian
…NTS BUFFERED NOTES LKD TO EURO STOXX 50 0.000% 08/29/14 B/E DID 05/30/13 N/C Please let me know if you have any questions. Thank you, Vahe (Embedded image moved to file: pic16047.gif) Vahe Stepanian Associate I Wealth Investment Coverage Deutsche Bank
Securities Inc
. Deutsche Asset & wealth Management 345 Park Avenue - 26th Floor New York NY 10154-0004 Tel Fax Mob Ema (Embedded image moved to file: pic29102.gif) CONFIDENTIAL - PURSUANT TO FED…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448025.pdf
EFTA01430379
Dataset 10
2017-07-28
10p
515w
Subject:
RE: Securities to buy [C] [I]
From:
Stewart Oldfield
To:
Vahe Stepanian ‹ >
…Did you reach back out to him? From: Vahe Stepanian Sent: Friday, July 28, 2017 11:24 AM To: Stewart Oldfield ‹ > Subject: RE: Securities to buy [C] He never came back to me. EFTA01430379 Vahe Stepanian Key Client Partners Deutsche Bank
Securities Inc
. Tel. Mobile Email Original Message From: Stewart Oldfield Sent: Friday, July 28, 2017 11:12 AM Eastern Standard Time To: Vahe Stepanian Subject: RE: Securities to buy [C] Did these get done? From: Vahe Stepanian Sent…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01430379.pdf
EFTA01344078
Dataset 10
2013-10-16
1p
250w
Subject:
Re: update on outstanding securities for southern Trust Co., Inc. (C)
From:
Lisa D Hurd [mailto:
To:
Young, Janet E
…1. HSBC BRL STEP UP NOTE 3/27/14 40432XD32 66 1,000,000.000 10/15/13 LNKD TO BRL VS USD 1,000,000.00 882,200.00 85MARRIER- 5%CPN-28.5% MXRTRN MD I do not see the other being received, please advise, thank you. Kind regards, Lisa Hurd (Embedded image moved to file: pic03401.gif) Lisa D Hurd ACATS Deutsche Bank
Securities Inc
. Private Wealth Management US Operations 1 South Street, 21202-3298 Baltimore, MD…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01344078.pdf
EFTA01422343
Dataset 10
2016-06-16
2p
162w
Subject:
DB - List of Preferred Securities
From:
Andrew King a>
To:
Richard Kahn
…rating on the issuers' common equity -The Bloomberg consensus rating on the issuers' common equity -Credit rating -Strip yield -Yield to call and call date -Average daily volume over the past 30 days Please let us know if you have any questions or would like to discuss further. Best regards, Andrew King fcid:
[email protected]
Andrew King, CFA Vice President I Investment Solutions Group EFTA01422343 Deutsche Bank
Securities Inc
. Deutsche Asset & Wealth Management 345 Park Avenue, New York…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01422343.pdf
EFTA01350839
Dataset 10
2013-10-17
4p
653w
Subject:
RE: Update on outstandin securities for Southern Trust Co., Inc. (C]
From:
Lisa D Hurd
To:
Lisa D Hurd/db/dbcom@DBAmericas,
…Co., Inc. (C] From: Lisa D Hurd Date: Thu, 17 Oct 2013 15:40:50 -0400 To: Cc: Amanda Kirby < Barrett Team < Classification: Confidential I see the shares being received, thank you. Kind regards, Lisa Hurd (Embedded image moved to file: pic31364.gif) Lisa D Hurd ACATS Deutsche Bank
Securities Inc
. Private Wealth Management US Operations 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email (Embedded image moved to file: pic14280.gif) From: "Young, Janet E…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01350839.pdf
EFTA01344466
Dataset 10
2013-10-09
1p
148w
Subject:
Fw: moving securities in Southern Financial & Southern Trust [I]
From:
Tazia Smith
To:
Paul Morris
… Southern Trust.xlsx classification: For internal use only (Embedded image moved to file: pic22890.gif) Tazia Smith Director I Key Client Partners - US Deutsche Bank
Securities Inc
Deutsche Asset & wealth management Fax Mobi e Email (Embedded image moved to file: pic12398.gif) Forwarded by Tazia smith/db/dbcom on 10/09/2013 01:58 PM From: vahe stepanian/db To: Date: 10/09/2013 01:43 Pm Subject: Fw: moving securities in Southern Financial & Southern Trust [I] Classification: For internal…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01344466.pdf
EFTA01350835
Dataset 10
2013-10-17
4p
553w
Subject:
RE: Update on outstanding securities for Southern Trust Co., Inc.
From:
"Young, Janet E"
To:
Lisa D Hurd
…1 security today: 1. HSBC BRL STEP UP NOTE 3/27/14 40432XD32 66 1,000,000.000 10/15/13 LNKD TO BRL VS USD 1,000,000.00 882,200.00 85%BARRIER- 5%CPN-28.5% MXRTRN MD I do not see the other being received, please advise, thank you. Kind regards, Lisa Hurd Lisa D Hurd ACATS Deutsche Bank
Securities Inc
. Private Wealth Management US Operations 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01350835.pdf
EFTA01344100
Dataset 10
2013-10-17
1p
142w
Subject:
Re: Fw: moving securities in Southern Financial & Southern Trust ill
From:
Jay Lipman
To:
Amanda Kirby
…Classification: For internal use only My. Hero. Thanks Kirbs Kind Regards, Jay Lipman (Embedded image moved to file: pic15657.gif) Jay Lipman Analyst I markets Coverage Group Deutsche Bank
Securities Inc
Deutsche Asset & wealth Mana•ement (Embedded image moved to file: pic29914.gif) From: Amanda Kirby/db/dbcom TO: Date: 10/17/2013 05:14 PM Subject: Fw: moving securities in Southern Financial & Southern Trust [I] classification: For internal use only Jay -- Spreadsheet of all holdings for ST and SF. …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01344100.pdf
EFTA01350833
Dataset 10
2014-03-27
2p
302w
Subject:
Re: Update on outstandin securities for Southern Trust Co., Inc. [C]
From:
Lisa D Hurd <
…000,000.000 10/15/13 LNKD TO BRL VS USD 1,000,000.00 882,200.00 85%BARRIER- 51tCPN-28.5t MXRTRN MD I do not see the other being received, please advise, thank you. Kind regards, Lisa Hurd (Embedded image moved to file: pic19647.gif) Lisa D Hurd ACATS Deutsche Bank
Securities Inc
. Private Wealth Management US Operations 1 So 2-3298 Baltimore, MD, USA Tel Fax Email (Embedded image moved to file: pic02114.gif) From: "Young…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01350833.pdf
EFTA01350883
Dataset 10
2013-10-17
3p
318w
Subject:
Re: Fw: moving securities in Southern Financial & Southern Trust [I)
From:
Jay Lipman ‹ >
To:
Amanda Kirby <E IMM>
…17 Oct 2013 17:28:40 -0400 To: Amanda Kirby <E IMM> Classification: For internal use only My. Hero. Thanks Kirbs Kind Regards, Jay Lipman (Embedded image moved to file: pic15657.gif) Jay Lipman Analyst I Markets Coverage Group Deutsche Bank
Securities Inc
Deutsche Asset & Wealth Management 345 Park Avenue - 26th Floor New York, NY 10154 Tel. Fax Email (Embedded image moved to file: pic29914.gif) From: Amanda Kirby/db/dbcom To: Jay Lipman/db/dbcom@DBAMERICAS, Date: 10/17…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01350883.pdf
EFTA00032901
Dataset 8
2020-03-30
5p
2,251w
Subject:
Citing COVID-19, SEC Eases More Filing Requirements
From:
Securities Law360 <newsgi3law360.com>
…I Read full article » Adams & Reese Andrews & Springer NY Justices Take Up JP Morgan's $140M Coverage Battle Arias Sanguinetti New York's highest court on Thursday agreed to review a lower court's ruling Austin LLP that J.P. Morgan
Securities Inc
. is not entitled to insurance coverage for a Barnes & Thornburg $140 million chunk of a settlement that Bear Stearns paid to the U.S. Securities and Exchange Commission because that sum is an uninsurable Beatty & Wozniak penalty…
https://www.justice.gov/epstein/files/DataSet%208/EFTA00032901.pdf
EFTA01462167
Dataset 10
2014-08-21
1p
330w
Subject:
DEutsche JApan View on FX - USD/JPY: Stay bullish
From:
"Taisuke Tanaka, Deutsche Securities Inc." <
[email protected]
>
To:
Tazia smith/db/dbcomOD8AMERIcAs,
…2014 Net Premium: <Client> Receives USD 41,503 Forwarded by Tazia Smith/db/dbcom on 09/02/2014 08:55 AM From: "Taisuke Tanaka, Deutsche
Securities Inc
." <
[email protected]
> To: Tazia smith/db/dbcomOD8AMERIcAs, Date: 08/21/2014 02:42 AM Subject: DEutsche JApan View on FX - USD/JPY: Stay bullish Deutsche
Securities Inc
. - Fixed Income Research 0Eutsche )Apan View on FX - USD/)PY: Stay bullish 21 August 2014 (1 page/ 192 kb) Download the complete report:…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01462167.pdf
EFTA01374410
Dataset 10
1p
567w
To:
Deutsche Bank Securities Inc.
Trading Outside Of Normal Business Hours Authorization Letter To: Deutsche Bank
Securities Inc
. I wish to have the ability to enter orders for execution in equity securities outside of normal trading hours (9:30 am — 4:00 pm EST) in my brokerage account with Deutsche Bank
Securities Inc
. (DBSI). In order for DBSI to execute such transaction on my behalf, I represent that I understand the following: I am aware of the material risks associated with trading equity securities outside…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374410.pdf
EFTA01381206
Dataset 10
1p
567w
To:
Deutsche Bank Securities Inc.
Trading Outside Of Normal Business Hours Authorization Letter To: Deutsche Bank
Securities Inc
. I wish to have the ability to enter orders for execution in equity securities outside of normal trading hours (9:30 am — 4:00 pm EST) in my brokerage account with Deutsche Bank
Securities Inc
. (DBSI). In order for DBSI to execute such transaction on my behalf, I represent that I understand the following: I am aware of the material risks associated with trading equity securities outside…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381206.pdf
EFTA01370962
Dataset 10
1p
304w
Securities Inc
. cannot guarantee the accuracy of this information, or the reliability of these sources. Please refer to your official account statements and confirmations for all trade information. KCP procbcts and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 40512(C)(3), and who are capable of evaluating the strategies. characteristics and investment risks of and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370962.pdf
EFTA01368770
Dataset 10
2013-10-28
1p
478w
SECURITIES ACCOUNT CONTROL AGREEMENT This agreement, dated October 28, 2013 (this "Agreement") sets forth the agreement between DEUTSCHE BANK
SECURITIES INC
. (the "Intermediary"), SOUTHERN FINANCIAL, LLC (the "Debtor") and DEUTSCHE BANK AG or any of its affiliates referred to in Section 9 (the "Secured Party"). All references herein to the "UCC" shall mean the Uniform Commercial Code as in effect in the State of New York. Section 1. Establishment of Securities Account. The Intermediary hereby confirms that: 1.1 Account…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368770.pdf
EFTA01369294
Dataset 10
2019-04-10
1p
185w
Subject:
RE: Euro purchase JE acc
From:
Stewart Oldfield
To:
Nicole Perskawiec Brigid Macias
Securities offered through Deutsche Bank
Securities Inc
. From: Stewart Oldfield Sent: Wednesday, April 10, 2019 10:16 AM To: Nicole Perskawiec Brigid Macias Cc: Firdaus Madiar Bradley Gillin Subject: RE: Euro purchase JE acc Classification: For Internal use only I'm sure we have newer ones. We've also done a thousand transactions with them since these dates, so not sure why we would just be figuring this out now . . . From: Nicole Perskawiec Sent: Wednesday, April 10, 2019 9:50…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369294.pdf
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