EFTA01433580.pdf

Subject: Fwd: Inquiry Regarding Account 42959295, Client: LSJE, LLC; Alert No. 83817 - DUE April 11, 2018 [I] From: Stewart Oldfield Date: Thu, 05 Apr 2018 12:23:03 -0400 To: Bradley Gillin Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management Securities offered through Deutsche Bank Securities Inc. Begin forwarded message: From: Amlcompliance Inquiries <[email protected]> Date: April 5, 2018 at 11:04:26 AM EDT To: Hildegarde Berrios , Michele-M Quattrocchi Cc: Stewart Oldfield < , Amlcompliance Inquiries <[email protected]>, Rob Wang < Subject: RE: Inquiry Regarding Account len : E, LLC; Alert No. 83817 - DUE April 11, 2018 [I] Classification: For internal use only Hi Hildegarde, Michele, Please assist as Cynthia is no longer at the firm. Thanks, EFTA01433580 Robert From: Rob Wang On Behalf Of Amlcompliance Inquiries Sent: Thursday, April 05, 2018 11:01 AM To: C nthia Rodri uez Stewart Oldfield Cc: Amlcom liance Inquiries <[email protected]>; Rob Wang Subject: Inquiry Regarding Account 42959295, Client: LSJE, LLC; Alert No. 83817 - DUE April 11, 2018 [I] 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 Wires: 2/7/2018 , $3,000 for at SBERBANK (Russia) 2/9/2018 , $5,000 for at SWEDBANK AB (LITHUANIA) 1. Please explain the purpose of this Outgoing Wire. 2. Please explain the relationship between the Client and Counterparty. EFTA01433581 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 GrOgen, PWM AML Compliance Deutsche Bank 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. EFTA01433582