EFTA01373350.pdf

Case: 01774563 - Salesforce - Unlimited Edition Page 1 of 9 salesforce.corn • Close Wndow • Print This Page • Expand All I Collapse All Case: 01774563 V Relationship Details Relationship Name LAPIDUS, LILIA JUDITH Status 6. Approved RELATIONSHIP Primary Officer Mauricio Pretelt Office New York Reason for KYC Update to KYC Reason for Update This KYC serves as the 2017 high fif Applicable) risk review for the brokerage account held by Berta Ruth Bronstein de Lapidus, Analia Lapidus, and Lilia Judith Lapidus. Please refer to original KYC No. 1190044 for additional information. There are no further changes. Wealth Details Reason for Please provide address verification Same for All Parties Rejection (If for Berta Ruth Bronstein de Lapidus. Applicable) (RESOLVED) Moderate Risk Reason for Rush (II applicable) High Risk 1 Exception Expires Relationship ■ Reason for Number Exception (If Applicable) Case Owner Approved KYC Booking Location NY DB Pay for Third How Client Was Other Source party for Introduced introduction Describe, Third Introduction Details Ms Berta Ruth Bronstein de Lapidus party compensation is the widow of Mr. Enrique Lapidus, a DB Suisse client who passed away. Martin Barzi was the RM for the Lapidus family for many years. Mauricio Preteft now manages the relationship. v Special Client Type (select if applicable) DB Employee DB Managed PIC DB is Trustee/Co- Bearer Shares? Trustee Custom Links Import Documents KYC Wizard Global KYC Print Export Documents Launch Due Diligence View Documents From View Due-Diligence Case- Repository Report hups://dbforcepb.my.salesforce.com/500320000ICFHYH/p?retURL=15003200001CFHY. . . 4/10/2018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0067480 CONFIDENTIAL SDNY_GM_00213664 EFTA01373350