EFTA01460680.pdf

From: Kimberly Hart Sent: 3/22/2014 10:46:14 AM To: Chip Packarcl l Subject: Fw: 2008 1099 Recipients - Addresses [II Attachments: 2008_Beneficiary_Address_List_2008_mailed_3_18_2014_6618.xlsx Just a heads up that we found out yesterday that 2008 1099s were sent to 1225 recipients by mistake. A letter was drafted by Marketing and approved by Compliance explaining the error. We are now working to verify addresses so the apology letter can be mailed early next week. Sageview - a former client of Mary Ann Coleman's - brought the issue to our attention, 100+ of their investors received the old 1099s. Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Private Wealth Management 345 Park Avenue, 24th Floor curates o ere t roug eu sc e Bank Securities Inc. From: Josh Rosen Sent: Friday, March 21, 2014 4:14 PM To: Melissa Pressl Cc: Kimberly Hartlif Andrew Gallivan Subject: 2008 1099 Recipients - Addresses [I] Classification: For internal use only Melissa, When the letter is ready, please respond to the group. Attached is the list of recipient address as provided by Roseann Defina from Thompson Reuters. (.ee attachedfile: 2008 Beneficiary Address List 2008 mailed 3 18 2014 6611-lidsv Kind regards, Josh Rosen Josh Rosen Director CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 122115 CONFIDENTIAL SDNY_GM_00268299 EFTA01460680