EFTA01432125.pdf

Subject: RE: Epstein - ne ative media [C] [I] From: Mayur Rathod Date: Thu, 15 Nov 2018 03:45:30 -0500 To: Daphne Cales Cc: Bradley Gillin Richard Iarossi Stewart Oldfield Vijay-A Sawant Vinita Advani Alka Babu Classification: For internal use only Hi Daphne, Good Morning!! 2 KYCs with 6 GCIS were submitted yesterday with below document. Nothing is pending anymore. 1 KYC from above with 2 GCIS got approved as well 3 Thanks & Regards {cid:1 [email protected]} Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, Bl, DB Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063, India Tel.: Email: EFTA01432125 From: Daphne Cales Sent: Wednesday, November 14, 2018 7:08 PM To: Stewart Oldfield Vinita Advani ~ Cc: Bradley Gillin < ›; Vijay-A Savant a ur Rathod Richard Iarossi Alka Babu Subject: RE: Epstein - negative media [C] [I] Classification: For internal use only Thank you Stewart. @Vinita / Vijay: I believe there are several KYCs that can be submitted with the email attached. Please advise ASAP if there is anything missing. Thank you. Kind regards, Daphne Cales {https://brandportal.intranet.db.com/img/modules/logo.gif} Daphne Cales Director I Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA Email {https://brandportal.intranet.db.com/img/modules/claim.gif} EFTA01432126 From: Stewart Oldfield Sent: Wednesday, November 14, 2018 8:19 AM To: Daphne Cales ; Vinita Advani Alka Babu ; Richard Iarossi Subject: Fwd: Epstein - negative media [I] [C] Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. EFTA01432127 Begin forwarded message: From: Kimberly Hart ‹ > Date: November 14, 2018 at 8:16:36 AM EST To: Yoonsun Chung , Mayur Rathod <Ma Cc: Andrew Gallivan , Stewart Oldfield , Richard Iarossi •cl >, Bradley Gillin Subject: FW: Epstein - negative media [I] [C] Classification: Confidential Yoonsun/Mayur — I received the below email from Andrew Gallivan confirming his comfort with continuing the Epstein relationship. I do not see any new allegations that have not been previously considered and risk accepted. The recent lawsuit appears to be unfounded and was promptly withdrawn. Please let me know if you are seeing something additional that should be considered and escalated. Otherwise, I think that we can proceed based on the previous clearance. Regards, Kim {https://brandportal.intranet.db.com/img/modules/- DAWN_logo_metallic 46x46.gif} Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Email EFTA01432128 Securities offered through Deutsche Bank Securities Inc. From: Andrew Gallivan Sent: Tuesday, November 13, 2018 10:38 AM To: Stewart Oldfield < )-; Kimberly Hart > Cc: Bradley ; Richard Iarossi Subject: RE: Epstein - negative media [I] [C] Classification: Confidential Based on the below I approve continuing this relationship Regards, Andrew Gallivan {https://brandportal.intranet.db.com/img/modules/logo.gif} Andrew Gallivan Deutsche Bank Trust Com an Americas Email {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} From: Stewart Oldfield Sent: Wednesday, November 07, 2018 5:12 PM EFTA01432129 To: Andrew Gallivan ; Kimberly Hart Cc: Bradle ; Richard Iarossi Subject: FW: Epstein - negative media [I] I have more info as outlined below based on a conversation with Jeffrey's lawyer. Andrew — please confirm that you remain comfortable with the business risk here Kim — please forward as necessary Summary of situation: This was a frivolous lawsuit that was quickly withdrawn by the plaintiff attorneys upon response from Epstein's lawyers. The person ultimately behind the lawsuit was Steven Hoffenberg, who was convicted of fraud and served a long jail sentence. Hoffenberg was called "unstable" and "manic" by the judge that sentenced him. He repeatedly filed lawsuits against the government from jail and against other people (including his lawyers), all of which were dismissed. He convinced the plaintiffs to file this suit as a class action. That way Hoffenberg wouldn't be the plaintiff himself. The original matter here was thoroughly investigated by the SEC and others and Hoffenberg was the only person deemed to have been involved. If you Google Hoffenberg, it's easy to find the full history here. I think we should accept this matter as closed on our side. Thanks EFTA01432130 From: Richard Iarossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart Cc: Bradle Gillin Stewart Oldfield Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, AML Compliance (Yoonsun) has requested that we receive your approval to move forward on all Southern Financial/Epstein KYC remediation's. As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10151 EFTA01432131 Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due diligence? {https://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gif} Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, October 09, 2018 11:03 AM To: Kimberly Hart Cc: Bradley Gillin EFTA01432132 Subject: Epstein - negative media Kim, This just surfaced in our latest KYC reviews. Let's discuss what info I need from the client and then next steps. Thanks http://www.classactionsreporter.com/sites/default/files/- towers_ponzi_scheme_complaint.pdf fcid:[email protected] Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. EFTA01432133