EFTA01371587.pdf

From: Danya Friedman on behalf of Amlcompliance Inquiries Sent: 10/23/2017 10:17:00 AM To: Stewart Oldfield CC: Amlcompliance Inquiries ; Cynthia Rodriguez I; Andrew Gallivan Subject: Inquiry Regarding Account 44129244, Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 Importance: High Classification: For Internal use only Good Morning: The above referenced account has had the following activity. To assist in this review and further document your supervision of this account, please provide information regarding the following transactions. Your complete response must be received within 5 business days. Outgoing Wire 09/19/2017, $78,938.00, ALPHA GROUP CAPITAL LLC at BANK OF AMERICA, N.A., NY 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 Grii8en, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor New York NY 10005 - 2836 PLEASE NOTE: YOU ARE BEING CONTACTED BECAUSE YOU ARE LISTED AS THE PRIMARY OFFICER FOR THIS ACCOUNT ON GCIS. IF YOU ARE NOT THE CURRENT PRIMARY OFFICER, PLEASE LET ME KNOW IMMEDIATELY, SO THAT I MAY FORWARD THIS EMAIL TO THE APPROPRIATE PARTY. Do not forward this e-mail or any attachment directly to the client. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0065043 CONFIDENTIAL SDNY_GM_00211227 EFTA01371587