EFTA01410755.pdf

WM and GM Onboarding Division KYC Type Client Name dbCAR ID/- Account Product/Account Type Priority Priority Reasoning Date Started Target Due Date Age COB Contact/Rel Cor COB Status Pending With IWP Contact Banker Issues/Comments Outstanding Item Type Path Global Markets NCA Inversiones Alabama Limitada 1016136898 N/- A High Aged - Needs to be finalized 1/12/2017 3/5/2019 778 Tiele Aldridge In Progress AFC Martin Zeman Reynaldo Figueredo PRIORITY HIGH: Onboarding has pending in progress of over a year, we need to finalize and conduct business. 1. Awaiting updated W8 from client, as of 2.21.19, client should be sending by 3.02.2019 2. Provided name clarification to AFC, pending final approval from AFC.Nina followed up with COB 2.21.2019, COB followed with AFC UK/US Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Sheffield Asset Management 1000077095 N/A Low 12/24/2018 4/30/2019 59 Andrea Sandven On Hold Client Joshua Shoshan Gregory J Kiesel On hold until further conversation with client Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Cantillon Capital Management LLC 1000024165 N/A Low 12/24/2018 4/30/2019 60 Jamaal Bushara On Hold Banker Joshua Shoshan Gregory J Kiesel On hold until further conversation with client Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Deprince, Race & Zollo 1000050019 N/- A Low 12/24/2018 4/30/2019 60 Jamaal Bushara On Hold Client Martin Zeman Gregory J Kiesel Pending with G.K as of 1.16.19 client has not responded Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Seminole Capital Partners, L.P 1000078557 N/A Low 12/24/2018 4/30/2019 60 Andrea Sandven On Hold Client Joshua Shoshan Gregory J Kiesel Pending with G.K as of 1.16.19 client has not responded Item site4922/- Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Bass Brothers Taylor & Company N/A N/A Low 12/24/2018 4/30/2019 60 Yasmeen Alim On Hold IWP Joshua Shoshan Gregory J Kiesel Pending wit business to provide BSF from Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Salient Partners N/A N/A Low 12/24/2018 4/30/2019 60 Yasmeen Alim On Hold COB Joshua Shoshan Gregory J Kiesel On hold until further conversation with client Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Black Maple Capital Partners N/A Fixed Income High Client interested in trading 2/8/2019 3/15/2019 20 Jamaal Bushara In Progress Client Alan Brody Gregory J Kiesel 2.21.19 still awaiting client response as they are finalizing docs. List of NCA requirements have been sent to client 2.8.2019. Item EFTA01410755 site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Jeffrey D. Murray Tst N/A GED High Client interested in trading 1/11/2019 3/31/2019 48 Erik Lutkus In Progress Client;#COB Joshua Shoshan Johnathan Hirsh 2.22.19 Davide sent additional confirmation needed from client Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the info. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Laura A. Murray Tst N/A GED High Client interested in trading 1/11/2019 3/31/2019 48 Erik Lutkus In Progress Client;#IWP Joshua Shoshan Johnathan Hirsh 2.22.19 Davide sent additional confirmation needed from client Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the info. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Katelyn J. Murray Tst N/A GED High Client interested in trading 1/11/2019 3/31/2019 48 Erik Lutkus In Progress Client;#IWP Joshua Shoshan Johnathan Hirsh 2.22.19 Davide sent additional confirmation needed from client Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the info. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Refresh;#Extension Equity Investments LP 1009171312 OTC Rates Medium 1/16/2019 3/15/2019 37 Andrea Sandven In Progress Client Alan Brody Sean Jules Pending with client. Nina - IWP to follow up with Banker 2.22.2019 Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Fairview Capital N/A Brokerage Account Low 6/1/2018 6/1/2019 272 Dana Zook In Progress Client;#Banker Joshua Shoshan Gregory J Kiesel 2.28.2019 Janet said: waiting on the client to sign the LLC Authorization stating the signers of the entity. Liam O'Sullivan requested this on December 5th. Liam, Greg Kiesel and Josh Shoshan have been following up with the client with no success. Greg is planning a trip to visit them to see if this relationship will work out. 2.27.2019 Nina sent follow up to Janet Awaiting a document showing percent ownership of Fairview. Reached out to Fairview on 1/10/19. Banker needs to follow up with client. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Walleye N/A Brokerage Account Low 11/1/2018 4/15/2019 119 Janet Sible In Progress Banker Joshua Shoshan Gregory J Kiesel 2.27.2019 Nina sent follow up to Janet Pending with KYC - Client responded 12/18/18 without all of the information DB requested for WM KYC. Brokerage not started. Client responded with additional information 01/31/2019. Will need to go back to client when KYC is reviewed with KYC fixes and brokerage documents. 02/28/2019 - Josh met with Larry Hurvich from Walleye today and discussed the outstanding requests fro the account on-boarding, both WM KYC and brokerage. Item site4922/- Lists/IWP Americas CM Desk KYC Tracking EFTA01410756 Wealth Management NCA Jon Gruber IRA N/A Brokerage Account High Client interested in trading 12/15/2018 2/28/2019 76 Payal Gupta In Progress Banker;#COB Alan Brody Wendy McMillan 2.27.2019 Payal said KYC is complete. 2/3 accounts are open. 1 peniding 2.27.2019 Nina sent a follow up to Payal Client has received all paperwork and is in process of filling out. Liam spoke with Wendy and they are working on the KYC. When the KYC is approved we will work with her team on the brokerage/kcp documents. -John and Linda Gruber Tst -Gruber Foundation -Options -SP, WM KYC completed 02.13.2019. Brokerage documents are with IWP Incomplete documents have been sent to banking team 2.15.2019. Three accounts: 2 with Account Opening Team. 1 with Banker to amend KYC. 2 accounts opened -GRUBER FAMILY FOUNDATION QJ8001613 and JON D AND LINDA W GRUBER TRUST QJ8001621 as of 02/28 Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Jerry Weintraub N/A Brokerage Account Medium 12/15/2018 4/15/2019 74 Payal Gupta In Progress Banker Alan Brody Jake Block 2.27.2019 Paya said waiting on docs from client, they should have 2.28.2019 from client 2.27.2019 Nina sent a follow up to Payal Banker needs to follow-up. Alan & Jake spoke with Nancy at Jerry's office 01/09/2019 Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Steve Massman N/A Brokerage Account Medium 1/2/2019 4/15/2019 56 Melissa Clark In Progress Client;#Banker Alan Brody Richard Aguiar 2.27.2019 Richard Aguiar will reach out to client this week 2.27.2019 Nina folllowed up with Melissa Client KYC moving slowly due to client concerns over how much information is being requested. Rich and team (Payal & Israel) were to reach out to client w/o 12/31/18. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Fox Growth Fund Inc. N/A Brokerage Account Medium 11/15/2018 3/8/2019 105 Briana Gargurevich In Progress Client Martin Zeman Roberto Teofilo 2.28.2019 NAO was submitted, pending with client for more info. 2.27.2019 Brianca said KYC was completed 9/27/2018, so Nina followed up with Liam on account opening. 2.27.2019 Nina sent follow up to Briana Had call with client on 2/1/2019 to discuss missing documentation to move forward with account opening, but have not heard back. Client returned missing documents 2/14. Case is being built in NAO by IWP. Document review has resulted in the need fopr an updated form. Sent to client on 02/26/19. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Hall Group N/A Brokerage Account Low 11/29/2018 90 Not Yet Started Banker Alan EFTA01410757 Brody Sean Jules 2.22.2019 From banker: Client has possesion of paperwork. He is following up regularly. 2.22.2019 Nina - IWP to follow up with Bank IWP has reached out to banker on multiple occasions for an updated status. Sean is working with client to determine what entity they want to open - they have existing WM kyc for certain entitiies. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Harold Ripps N/A Brokerage Account Low 10/15/2018 135 Not Yet Started Banker Alan Brody Mark Gonzalez 2.22.2019 - Banker said Alan should have an update 2.22.2019- Nina - IWP to follow up with Bank Banker has not contacted client. Brian Murphy emailed 10/19/18 (Ripps & Time Inc.) - Alan assigned to Mark Gonzales Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Abe Mitchell N/A Brokerage Account Low 10/19/2018 126 In Progress Banker Alan Brody Mark Gonzalez Banker has not contacted client. Brian Murphy emailed 10/19/18. - Alan assigned to Mark Gonzales. Nina - IWP to follow up with Bank (2.22.2019) Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA L2 Capital N/A Brokerage Account High Client interested in trading 1/1/2019 2/28/2019 58 Valerie ()Connor In Progress COB Joshua Shoshan Michael King DB Documents and SOW narrative received from client 01/31/2019. Incomplete, will be reviewed and we will go back to client. KYC completed 2.7.2019 NAO case has been submitted. Documents under review by BSO 2/15 Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Oasis Capital N/A Brokerage Account High Client interested in trading 1/1/2019 2/28/2019 58 Valerie OConnor In Progress COB Joshua Shoshan Michael King DB Documents and SOW narrative received from client 01.31.2019. Incomplete, will be reviewed and we will go back to client. KYC completed 2.7.2019. NAO case has been submitted. Documents under review by BSO 2.15.2019 Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Map Investco N/A Brokerage Account Low 12/6/2018 4/30/2019 83 Payal Gupta In Progress Client Alan Brody Jake Block 2.27.2019 Nina sent a follow up to Payal Banker followed-up Jan 22, waiting on client Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Lyn rock Lake 1016083002 N/A Medium 2/13/2019 3/31/2019 9 Jamaal Bushara In Progress IWP Alan Brody Gregory J Kiesel COB sent list of requirements 2.15.2019. IWP reviewing prior to sending to client Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Detroit Street N/A Brokerage Account Low 1/23/2019 4/30/2019 36 Henry Clark Not Yet Started Banker Alan Brody Gregory J Kiesel 2.27.2019 Henry said they have followed up multiple time, no response from client. EFTA01410758 2.27.2019 Nina followed up with Henry 2.22.2019 Alan said not to send follow up yet Banker needs to initiate the KYC/account opening process. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Alpha Group Capital N/A Brokerage Account Low 2/8/2019 4/30/2019 14 Rachel Wachs On Hold Banker Alan Brody Stewart Oldfield 2.22.2019 Alan said to put on hold KYC is with the banker, needs to confirm no involvement with Epstein. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA Fox Growth Fund Inc. N/A FX Medium 2/1/2019 5/1/2019 21 Jamaal Bushara In Progress Client Martin Zeman Roberto Teofilo NCA list sent to client, waiting on client to respond 2.01.2019 - Liam spoke to them 2.21.19 - they should send by end of week Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Hallador N/A Brokerage Account Low 2/1/2019 4/30/2019 21 Not Yet Started Banker Alan Brody Anthony Scotti 2.22.2019 Alan spoke with Banker, client has been giving run-around Scotti, banker needs to start KYC/account opening process. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Refresh;#Extension DA Capital LLC 1000851282 Fixed Income Medium 2/13/2019 3/15/2019 9 Yasmeen Alim In Progress Client;#IWP Alan Brody Terri Sohrab COB sent list of requirements 2.15.2019. IWP reviewing prior to sending with client. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA DA Brazil (Fund) N/A Fixed Income Low 2/13/2019 4/30/2019 9 Yasmeen Alim Not Yet Started COB Alan Brody Terri Sohrab Need list from COB. DA Capital LLC=IM Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Refresh;#Extension Staple Street Global Opportunities (Master) L.P 1007957018 Possibly - Credit Derivatives, FX rates Medium 2/13/2019 3/15/2019 9 Yasmeen Alim In Progress IWP Alan Brody Terri Sohrab Need list from COB. Sent ask 2.13.19. Need to specify extension product, but just refresh for now. DA Capital LLC=Investment Manager Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Hartz Capital N/A Brokerage Account Low 2/5/2019 4/30/2019 23 Natalie Barak Not Yet Started Client Alan Brody Mary A Coleman 2.28.2019 Natalie said docs were sent to client 2/8, client is working on them. She will follow up 2.27.2019 Nina sent a follow up to banker Banker needs to initiate KYC renewal Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management Refresh Stillwater N/A Brokerage Account Low 2/6/2019 3/8/2019 21 Not Yet Started IWP Alan Brody Mary A Coleman 2.27.2019 Nina sent follow up to Matt G IWP to request confirmations on 3rd EU Recertification to cleint to confirm EFTA01410759 ( Matt G to send by Feb 28th) Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation W De Argentina Inversiones S.A 1007979444 N/A Medium 2/13/2019 3/15/2019 9 Andrea Sandven In Progress IWP Billy Obregon Need to remediate. Need list from COB. Sent ask 2.13.19 Gabriel Micheletti <[email protected]> BANKER Item site4922/- Lists/IWP Americas CM Desk KYC Tracking Global Markets NCA DA Venezuela (Fund) N/A Fixed Income Low 2/13/2019 4/30/2019 9 Yasmeen Alim Not Yet Started COB Alan Brody Terri Sohrab DA Capital LLC=IM Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Glovax Biotech LLC. N/A Brokerage Account Low 2/7/2019 3/15/2019 15 Joshua Hincapie In Progress COB Billy Obregon Sven-Otto Westphalen KYC Completed. FAA has been submitted for the brokerage accounts (2) 02/13,. When FAA apporved NAO for brokerage account will be submitted. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Spartan Fund Management Inc. N/A Brokerage Account Low 2/6/2019 4/15/2019 22 Henry Clark In Progress Client;#Banker Joshua Shoshan Henry Clark 2.27.2019 Henry said they have followed up multiple time, no response from client. 2.27.2019 Nina followed up with Henry Banking team is working with client to gather on -boarding documents/ information. Canadian Anti-Spam Law letter signed 2/6/2019. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Willett Advisors LLC 1003437027 N/- A High Project Mercury - Tight Deadline 2/20/2019 4/15/2019 9 Mallisa Stokes In Progress IWP Martin Zeman Stewart Oldfield Due to Project Mercury Spring list, due by 4.15.2019 Pending with COB as of 2.20.19 to provide list of requirements Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation MONEX INVERSIONES SA 1001261818 US/- GB N/A High Project Mercury - Tight Deadline 2/20/2019 4/15/2019 9 Jamaal Bushara In Progress Banker Martin Zeman Reynaldo Figueredo 3.01.2019 Nina sent requirements to banker Due to Project Mercury Spring list, due by 4.15.2019 Amending ISDA. Awaiting lis from COB Item site4922/Lists/IWP Americas CM Desk KYC Tracking Wealth Management NCA Endurance Voyages PE Holdings LLC N/- A Brokerage Account Medium 2/12/2019 3/15/2019 16 Janet Sible In Progress COB Joshua Shoshan Michael King 2.28.2019 Janet said: KYC was in the system but rejected with no major issues. She will resubmit tomorrow, 03.01.2019 EFTA01410760 2.27.2019 Nina sent follow up to Janet WM KYC has been submitted and awaiting approval. We have received brokerage documents back from client. Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Daniel and Suzanne Cohen 1000234458 N/A Medium 2/27/2019 4/30/2019 1 Not Yet Started COB Joshua Shoshan Dan Gray From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Belford Investments N/A Medium 2/27/2019 4/30/2019 0 Not Yet Started COB Billy Obregon Mauricio Pretelt From BREXIT List Item site4922/- Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Euro Partners Fund 1016128204 N/- A Medium 2/27/2019 4/30/2019 1 Not Yet Started COB Joshua Shoshan Chris Maxmin From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Guy Wyser Pratte 1013145796 N/- A Medium 2/27/2019 4/30/2019 1 Not Yet Started COB Joshua Shoshan Chris Maxmin From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation The Lamia Ventures Corporation 1014430782 N/A Medium 2/27/2019 4/30/2019 0 Not Yet Started COB Billy Obregon Mauricio Pretelt From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Vanguardia Inversiones SAS 1008199869/1008300941 N/A Medium 2/27/2019 4/30/2019 0 Not Yet Started COB Billy Obregon Eduardo Pieta From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation 140-154 W 72 Realty LLC 1009332990 N/- A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Joanne Jensen BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation 198-202 Elizabeth Street LLC 1004605944 N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Joanne Jensen BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation 239-243-247 W 21 Realty LLC 1013291265 N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Joanne Jensen BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation BioDuro LLC 1013878919 N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Anthony Scotti BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation 250 E 63 Realty LLC 1013312792 N/- A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Joanne Jensen BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation David Todd Stevens 1013498819 N/- EFTA01410761 A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Brian P Convey BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Elysee of Brickell LLC 1014183772 N/- A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Rachel Maglicic BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Granite 1717 Hotel 1013291378 N/- A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Joseph Sabbagh BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Internet Resources Management INC 1014183296 N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation MC2 Holdings LLC 1013501794 N/- A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Freddy Menjivar BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Steven J Kassin and Isaac S Franco Jointly & Sever 1001234661 N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Rosemary Vrablic BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation Sunset and Dohney Property LLC N/A Medium 2/27/2019 5/31/2019 0 Not Yet Started COB Bill King Deirdre Judge BILL KING RESPONSIBLE :From BREXIT List Item site4922/Lists/IWP Americas CM Desk KYC Tracking Global Markets Remediation MANTIQUEIRA OVERSEAS FUND LTD 1009965413 N/A High Project Mercury - Tight Deadline 2/28/2019 4/15/2019 0 Andrea Sandven In Progress Banker Billy Obregon Eva Pace 2.28.2019 Nina sent list of requirements to Billy Due to Project Mercury Spring list, due by 4.15.2019 Item site4922/- Lists/IWP Americas CM Desk KYC Tracking Global Markets Refresh Ultralat capital markets 1000048597 N/- A Low 3/4/2019 5/31/2019 -4 Not Yet Started COB Billy Obregon Rachel Maglicic Item site4922/Lists/IWP Americas CM Desk KYC Tracking &"arial unicode ms,Regular"For internal use only EFTA01410762