EFTA01478589.pdf

Subject: Re: Fw: allocation [C] From: Haig Ariyan <[email protected]> Date: Tue, 05 Nov 2013 10:36:05 -0500 To: Caroline Kitidis Chip Packard Did not agree yet. Let us know case by case please for now. Original Message From: Caroline Kitidis Sent: 11/05/2013 10:11 AM EST To: Chip Packard; Haig Ariyan Subject: Fw: Fw: allocation [C] Classification: Confidential H&C, Per our conversation you agree that KCP allocations can come off top before PB/PCS breakdown? Its 3 clients where we have allocations. If so I will discuss w Mike I. See below. Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154-0004 Tel. Fax. Mobi Email Original Message From: Joshua Shoshan Sent: 11/05/2013 10:04 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential Caroline, as far as I understand, the KCP accounts are Epstein, Rose and Wolfson (Daniel Wolfson will be in the book) -- so far. I guess Bollag is not EFTA01478589 KCP, but he should be, based upon size -- but there is no KCP interaction here, as far as I know. In short, the KCP accounts should get an allocation before the PCS/PB split, but Mike Iaquinta tells me adamantly that he has no instructions about a KCP carve-out, and he needs those instructions from you, Haig and Chip. Maybe you might call Iaquinta? He is at 212 250 9224. Best, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax Date: 11/05/2013 09:59 AM Subject: Re: Fw: allocation [C] Classification: Confidential These are KCP accounts we r referring to or PB WIC ? EFTA01478590 We said KCP accounts shd come off top and they agreed. WIC PB comes out of regular allocation? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New Y Tel. Fax. Mobi Emai Original Message From: Joshua Shoshan Sent: 11/05/2013 09:55 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential I spoke to Chip yesterday, and I think we still have a real problem with these special allocations not coming off the top. If they come out of the PB allocation, they are three times more "expensive". Can you try to get that pre-split allocation to take place? Chip said he was talking to you. I have not spoken to Haig, which I think makes sense . . . Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax From: EFTA01478591  Date: 11/05/2013 09:51 AM Subject: Re: Fw: allocation [C] Classification: Confidential So what is feedback here from chip and haig, their call ? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobil Email Original Message From: Joshua Shoshan Sent: 11/05/2013 09:48 AM EST To: Caroline Kitidis Subject: Re: Fw: allocation [C] Classification: Confidential EFTA01478592 Hi. Butenhoff is an active client; not new. He trades a decent amount -- so we have about $55k of revs with him ytd -- which means he is real -- and, separately, RV has business with him, including loans. She is also very old friends. If he gets 500 shares, that might be nice. The other guy is Bollag, a billionaire that RV made this big deal about since yesterday. He has $100mm + in the firm. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fax Date: 11/05/2013 09:43 AM Subject: Fw: allocation [C] Classification: Confidential EFTA01478593 Can I get color here on these accounts ? They are new for syndicate and or other real business or we are doing this as a favor for PB w no business opp? Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154-0004 Tel. Fax. Mobi Emai Original Message From: Rosemary Vrablic Sent: 11/05/2013 09:39 AM EST To: Chip Packard; Haig Ariyan Cc: Caroline Kitidis; Donald Summer; Joshua Shoshan; Zbynek Kozelsky Subject: allocation [C] Classification: Confidential Chip and Haig In addition to Bollag, the only other name that needs allocation consideration is Kurt Butenhoff. Thanks for the attention in both these names. Kind regards, Rosemary Vrablic (Embedded image moved to file: pic29267.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York NY 10154-0004 Tel Fax EFTA01478594 Mobile Email NMLS# 1046752 (Embedded image moved to file: pic28540.gif) Securities offered through Deutsche Bank Securities Inc. Date: 11/05/2013 09:33 AM Subject: Bollag brokerage account [C] Classification: Confidential Chip and Haig As requested, we just received the executed brokerage account docs for Michael Bollag. Thanks. EFTA01478595 Kind regards, Rosemary Vrablic (Embedded image moved to file: pic10325.gif) Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New -•004 Tel. Fax Mobi Email NMLS# 1046752 (Embedded image moved to file: pic10878.gif) Securities offered through Deutsche Bank Securities Inc. From: To: Cc: Date: 11/04/2013 01:17 PM EFTA01478596  Subject: Re: [C] Classification: Confidential I don't think Michael would have any qualms about opening a DBAB account if its required. I've had some discussions with him in the past regarding purchasing CLOs via the PIC desk so I don't think it would hurt having an account open on the PCS side. It may be a way to facilitate some more activity from him moving forward... I'll talk to Josh when he returns from a meeting and we'll see what we have to do to get this started. Thanks, Sean (Embedded image moved to file: pic09428.gif) Sean Magee, CFP® Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154 Tel. Fax Mobil Email (Embedded image moved to file: pic24207.gif) Securities offered through Deutsche Bank Securities Inc. EFTA01478597  To: Cc: Date: 11/04/2013 11:53 AM Subject: Re: [C] From a business perspective I am supportive given the importance of the overall PB relationship. From a regulatory perspective, can we do this if he doesn't have an open brokerage account? Sent from my iPad On Nov 4, 2013, at 11:05 AM, "Rosemary Vrablic" wrote: Classification: Confidential Given the "one bank" approach I keep hearing about, total Bollag investment and deposit assets with AWM (not brokerage) are approx $130 million. Kind regards, Rosemary Vrablic EFTA01478598  <0.27A.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York. NY. 10154-0004 Tel Fax Mobi e Email NMLS# 1046752 <0.CD8.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:45:40 AM - --Classification: Confidential RV, hi. This is not an easy conversation , and Michael has no brokerage To: Cc: Date 11/04/2013 10:45 AM Subj Re: Fw: [C] ect: EFTA01478599  Classification: Confidential RV, hi. This is not an easy conversation, and Michael has no brokerage account with us. Please sketch this out for a moment. What are the assets and nature of the business? Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Office Cell E-Fa Rosemary Vrablic---11/04/2013 10:33:26 AM---Classification: Confidential given the significant amount of $ Michael and Ben have with us, please From: To: Cc: Date: 11/04/2013 10:33 AM Subject: Re: Fw: [C] EFTA01478600  Classification: Confidential given the significant amount of $ Michael and Ben have with us, please let me know if Chip or Haig need to be brought in Kind regards, Rosemary Vrablic <0.2444.gif> Rosemary Vrablic Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 27th Floor New York NY 10154-0004 Tel. Fax Mob Ema NMLS# 1046752 <0.2EA2.gif> Securities offered through Deutsche Bank Securities Inc. Joshua Shoshan---11/04/2013 10:31:39 AM---Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan From: To: Cc: Date: 11/04/2013 10:31 AM EFTA01478601  Subject: Re: Fw: [C] Classification: Confidential Sean, please call me at any time. Best regards, --Josh Joshua Shoshan Director Deutsche Bank Securities Inc. Private Wealth Management - Americas Private Client Services 345 Park Ave, 26th Floor New York, NY 10154 Offic Cell E-Fax Sean Magee---11/04/2013 10:26:39 AM---Classification: Confidential Josh - I'm sure you're many requests like this. Let me know if you have From: To: Cc: Date: 11/04/2013 10:26 AM Subject: Fw: [C] EFTA01478602  Classification: Confidential Josh - I'm sure you're getting many requests like this. Let me know if you have a moment to discuss today Thanks, Sean <0.3F22.gif> Sean Magee, CFPO Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Fax Mobil Email <0.4954.gif> Securities offered through Deutsche Bank Securities Inc. Forwarded by Sean Magee/db/dbcom on 11/04/2013 10:20 AM From: Michael To: Cc: Date: 11/04/2013 10:18 AM Subject: Re: EFTA01478603 [C] Sean, anything you guys can do to get me an allocation on this weeks twitter IPO? I hear you are co-runners on the book Sent from my iPhone On Nov 4, 2013, at 1:51 PM, Sean Magee wrote: Classification: Confidential No problem. I'll have it emailed to you today. Thanks, Sean <mime-attachment.gif> Sean Magee, CFPID Vice President I Fixed Income Deutsche Bank Asset & Wealth Management 345 Park Avenue, 26th Floor New York. NY 10154 Tel. Fax Mobi Emai <mime-attachment.gif> Securities offered through Deutsche Bank Securities Inc. Fr m: Date: 11/03/2013 03:42 EFTA01478604 AM Subject: Re: Can you prepare the excel spreadsheet that you send me every once in a while. The one which shows cost, tax cost, PL. yield to call, yield to maturity,premium to scale.... hopefully accretion on the bonds beyond Feb 2013. Please also send the current AAA scale. I get home Monday so I would like to review Tuesday or Wednesday. Sent from my iPad This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01478605 EFTA01478606