EFTA01356265.pdf

Moderate Risk 4 1 2 7 IA 3 3 Low Risk 2 2 Moderate Risk 1 1 LENDING 7 1 34 42 Low Risk 4 1 5 10 Moderate Risk 2 1 3 High Risk 1 28 29 TRUST 7 2 3 4 16 Low Risk 6 2 3 2 13 Moderate Risk 1 1 2 High Risk 1 1 Grand Total 166 53 22 109 350 Please note there are certain customers that appear to have outstanding ACUs for several months and even years. This may be due to either a system glitch or some other circumstance out of the CFP's control. I am working on these cases with the CFPs on a one to one basis. Please also note that the below reports are created as of the first of the month- clients may appear below even though the ACUs have been completed by the time all notifications are sent out. Kind regards, Rich larossi Rich larossi Deutsche Bank Wealth Management 60 2836 New York, NY, USA Tel. Emal PARcio-1,-10-Pedition CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042041 CONFIDENTIAL SDNY_GM_00188225 EFTA01356265