EFTA01369337.pdf

From: Stewart Oldfield Sent: 4/1/2019 5:46:10 PM To: Robert Dicerbo Arthur Tremblay Bradley Gillin CC: Charlie Burrows BCC: Subject: Fwd: Excessive Transactions March 2019 Account Attachments: image003.jpg Can you guys have a look and let me know what needs to be done here? I didn't know we had any accounts with Epstein that had transaction limits. With the exiting of the relationship there is clearly increased activity. Thanks. Stewart Oldfield, CFA, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile- Email Securities offered through Deutsche Bank Securities Inc. Begin forwarded message: From: dboi oversight Date: April I, 2019 at 11:41:30 PM GMT+2 To: Stewart Oldfield Cc: Ryan Neumann Surendra Singh Teresa Metallo Debra Jasper ■ Subject: Excessive Transactions March 2019 Account Classification: For IMernal use only Hello Stewart, Please be advised that the below listed money market account has exceeded the allowed number of transactions on Date (03/29/2019). You are receiving this email because you are the banking officer on this account. Letter to the client will be sent out on (04/04/2019) notifying them of the violation. If it is the third violation, the account must be converted to a transactional account (i.e., DDA or NOW) within 10 days from the date of the final notice. In the event a subsequent transaction is posted to the non-transactional account post 3rd violation, during the 10 day grace period, the funds must be transferred to a transactional account immediately. If you think your client's violation is due to a bank error, please respond to both myself and Ryan Neumann in Compliance with your reason and it will be reviewed. If we do not receive a response in next two business day, we will assume you are not disputing this violation and letters will be sent according to Federal Regulations. Acc Southern Trust Company, 1st violation CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0061546 CONFIDENTIAL SDNY_GM_00207730 EFTA01369337