EFTA01421186.pdf

Subject: Epstein clearance From: Stewart Oldfield ‹ > Date: Tue, 20 Nov 2018 15:50:26 -0500 To: Daniel-E Kaiser Alan Brody Liam Osullivan Cc: Andrew Gallivan Bcc: As discussed, this one was cleared last week. Looking to open new brokerage account for Butterfly Trust as soon as we can. Thanks From: Kimberly Hart Sent: Wednesday, November 14, 2018 8:17 AM To: Yoonsun Chung ; Mayur Rathod <[email protected]> Cc: Andrew Gallivan ; Stewart Oldfield ; Richard Iarossi < =.; 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 The recent lawsuit appears to be unfounded and was promptly withdrawn.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 EFTA01421186 fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl 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: Andrew Gallivan Sent: Tuesday, November 13, 2018 10:38 AM To: Stewart Oldfield .fl; Kimberly Hart Cc: Bradle Gillin < Richard Iarossi Subject: RE: Epstein - negative media [I] [C] Classification: Confidential Based on the below I approve continuing this relationship Regards, Andrew Gallivan fhttps://brandportal.intranet.db.com/img/modules/logo.gifl EFTA01421187 Andrew Gallivan Deutsche Bank Trust Company Americas 345 Park Avenue, 10154-0004 New York, NY, USA Email fhttps://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gifl From: Stewart Oldfield Sent: Wednesday, November 07, 2018 5:12 PM To: Andrew Gallivan ; Kimberly Hart Cc: Bradley ; 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risk here Kim — please forward as necessary Summary of situation: This was a frivolous lawsuit that was quickly withdrawn by the plaintiff attorneys upon response from Epstein's lawyers.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. EFTA01421188 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 From: Richard Iarossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart Cc: Bradley 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. EFTA01421189 Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 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 EFTA01421190 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 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 EFTA01421191 Email Securities offered through Deutsche Bank Securities Inc. EFTA01421192