EFTA01419169.pdf

Sheet2 Annual Client Update: ID Customer Number Customer Name Primary Officer Relationship Meet ing/Call Date Material Changes A15. Client Status Update Description Days Overdue MSR Bank Silos COMMENTS Nina Fund LP Mary Ann Coleman HARKIN RELATIONSHIP 1/16/2015 Nom ater/ nes Office address changed to 475 Park Avenue South NY NY 10016 A KYC update wil 1 be performed 105 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved # 01385526 Ellin, Howard Ed Finley ELLIN, HOWARD RELATIONSHIP 10/9/2014 Estimated annual income remains 1.5MM from salary and investment income. After further conver sation with the client, he revealed more information on positions we were not aware of. His estimate d net worth is now 20-25MM, revised up from 5-10MM. This is not a change in wealth, just a better un derstanding of the assets he has been holding since the relationship began. 204 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved # LBF Consulting Services B.C. LTD Armando Estua-Belaunzaran RAMI REZ RELATIONSHIP 10/14/2013 No material changes - consulting fees are relatively stable to last year's fees. One of the partners recently passed away - there is going to be changes to t he sigantories in the account. The client has not yet specified if a new sigantory is to be added. 5 a Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close - KYC Approved Landis, Betsy M. Liz Payne LANDIS, DONALD RELATIONSHIP 11/6 C ent passe away on 8/24/14. Account has been placed on Caution. Client passed away o n 8/24/14. Account placed on Caution. 176 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - KYC Approved II- Landis, Donald M. Liz Payne LANDIS, DONALD RELATIONSHIP 10/3 /2014 Donald Landis passed away on 8/24/14. Cautions have been placed on his accounts with us. We are awaiting Letters Testamentary, etc. on this account from his wife, Betsy Landis. Client passe d away on 8/24/14. 210 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1 11 Allen, Paul Gardner Russell Daulton ALLEN, PAUL GARDNER RELATIONSHIP IIIIIII IIIIIIIPIabeth Joy has left Vulcan and been replaced by Russell Paquette. We are currentl y working on updating all accounts to reflect those changes. We also spoke about the Dodd - Frank ru les that give Mr. Allen the option to segregate collateral on SWAPS. Russell is looking forward to s eeing us the next time we are in Seattle. Elizabeth Joy has left Vulcan, replaced by Russell P aquette. They are working on redocumenting all their accounts at which point we will update the KYC with new parties. 177 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby San GE-Domestic AML to Close - KYC Approved #1344477 Humility Ltd. Mary Ann Coleman TEMPLETON, JOHN RELATIONSHIP 2/19 2015 no material changes; current AUM $378,000,000 additional signer being added via KYC 71 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE GE-Domestic AML to Close - KYC Approved f Templeton World Charili tilliation, Inc. Mary Ann Coleman TEMP LETON, JOHN RELATIONSHIP 1/9/2015 Income is generated through the actively managed inv estment portfolios held by the Templeton organization. The Foundation maintains a small custody acco unt at DB. The entity changed it's name from Templeton World Charity Foundation to Templeton Wo rld Charity Foundation, Inc. A KYC update will be completed promptly. 112 Kim Hart, Andrew Gal ivan, Michael avis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC A roved Chiappina, Federico Josie Alonso CHIAPPINA, FEDERICO RELATIONSHIP 2/9/2015 Mr. Federico Chiappina's income derived from savings, and investments. Mr. Federico Chiappina passed away on January 21, 2015. Lina Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close - KYC Approved CAROLYN C ROWLAND TRUST Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 7/2/2013 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Tru st is terminating. 668 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved di CAROLYN C ROWLAND TRUST #2 Terri Sohrab CROSSETT, EDWARD C RELATIONS HIP 5/15/2012 Client died on 5/15/12. Account is terminating. Client died on 5/15/12. Acco unt is terminating. 1081 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERA E-Domestic AML to Close - KYC Approved CAROLYN C ROWLAND TRUST #2 Tent!". CROSSETT, EDWARD C RELATIONS HIP 6/27/2014 Carolyn Rowland died on 5/15/12. Carolyn Rowland died on 5/15/12. Tru st is terminating. 308 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New ybr /ERAE-Di estic AML to Close - KYC Approved # CAROLYN C ROWLAND TRUST #2 Terri.," CROSSETT, EDWARD C RELATIONS HIP 5/15/2012 Carolyn Rowland died on 5/15/2012. Trust is terminating. Carolyn Rowl and died on 5/15/2012. Trust is terminating. 1081 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - KYC Approved I Mortreux, Augustin Reynaldo Figueredo BISCAYNE CAPITAL SA RELATION SHIP 3/6/2015 Mrs. Mortereux lives in Washington DC. She is thinking what to do now that s he's a widow. She might remain in DC and invest in local Real Estate opportunities. We went over all the needed information to set the new account from joint to single tenant. Agustin Mortereux pa ssed away December 12 2014. 56 Lint. arias, Felipe Goddard LatAm Intl COVERAGE-LAT - KYC Approved Deccan Valueinvestors LP Mary Ann Coleman DECCAN RELATIONSHIP Investable assets are reflected in the custody account held here at DB. No material changes to report. George Ho is no longer a limited partner. New limited partners have been add ed and a KYC update is in process. 113 Kim Hart, Andrew Galivan, Michael J. Davis, Michael EFTA01419169 Jacob New York COVERAGE-Domestic AML to Close - KYC Approved $1381690 JEGE, LLC Paul Morris SOUTHERN FINANCIAL RELATIONSHIP 2/17/2015 No changes in income producing activities Darren Indyke was added as POA in February 2014 73 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-DomestiC ovedKYCII Compu!...! Inc Theresa Romano COMPUTERSHARE INC RELATIONSHIP 6/13 /2013 client has added 5 new authorized parties to the account as per company changes. Clie nt has added 5 new authorized parties to the account as per company changes. 687 Charlie Hoff ' s, Daphne Cales BANKING BANKING AML to Close - Approved KYC II Marriott III, John W. Brian Convey MARRIOTT, JOHN W RELATIONSHIP 2/4/ T ere are no recent changes to his employment status or health. Mr. Marriott recently provid ed account opening documents with a different address then previously recorded. 86 Kim Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Chan e Arnow, Joshua Terrence Tangney WEILER/ARNOW RELATIONSHIP 2/12 /2015 Terrence had a meeting today at the Weiler Arnow office. We are opening a 2 new accou nts for Josh Arnow due a recent fraud attempt. 78 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - No Material Change Ornatus Taiwan LTD Daphne Cales DEPRENDA, MICHAEL RELATIONSHIP 12/2 9/2014 All income remains the same, proceeds from his business. Street addressof the account has changed to: 3F, No. 97 Dunhwa S. Rd, Sec.2 Taipei City 106 TAIWAN 123 Charlie Hoffarth, Ch arlie Burrows Da hne Cales BANKING BANKING AML to Close - No Material Change William a Helen Little Family Foundation Paul Bartilucci WILLIAM LITT LE FAMILY RELATIONSHIP 12/4/2014 None Majority of client assets left DB to follow Gerald L arr to HPM Partners. We are currently still managing this portion of the funds since it has been lef t with DB. 148 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York AML to Close - No Material Change Leggett, Susan C. Paul Bartilucci CONVERSE/LEGGETT RELATIONSHIP 3/2/ iii No mater a changes We recently processed an address change for the client 60 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change The Alfred Harcourt Foundation Inc. Debjani Bagchi HARCOURT, A RELATION SHIP 12/12/2014 No material changes at this time. Client is transferring the account t o First Manhattan. Account is Terminating 140 Mary Keaveny, Lawrence Weisman IA IA AML to Clos - N Material Change Columbia Realty Venture LLC Ron Colonna BERNSTEIN MANAGEMENT CORPORA TION RELATIONSHIP 11/6/2014 Per Josh Bernstein, this account will refund in the future. Josh Bernstein and Bernstein Management Company used the funds from Columbia Realty Venture to perch ase property in November 2014. 176 Mary Keaveny, Lawrence Weisman New York COVERAGE AML to Close - No Material Change LUMA CAPITAL, S.A. de C.V. Dessy Arteaga LUMA RELATIONSHIP 2/18 /2015 Because DB's IA out performed the other investments, the Clients decided to allow us to mana ge another $200 MM . Because DB's IA out performed the other investments, the Clients decided to allow us to manage another $200 MM . 72 Lina Arias, Felipe Goddard LatAm Intl COVE RAGE-LATAM AML to Close - No Material Change Wilner Esq., Diane S. Liz Payne WILNER, DIANE S RELATIONSHIP 3/2/ 2015 Income producing activities have not changed Client wants to close account so no future t ransactions should occur. We need this account to be reactivated so that we can close it 60 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change - Client is Inactive Reist, Derrick Kim Hart REIST, J&L RELATIONSHIP 4/28/2015 Plea se see ACU comment There is no contact with this client. He is a "mutual fund only" client with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that asso ciates it to the Private Bank. We are trying to get the account coded correctly. In the meantime, th ere has been no account activity. The client has $18.43 invested in the ICT Treasury Portfolio. 3 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML 1 - N M terial Changes Burton, Katherine Kim Hart BURTON, KATE RELATIONSHIP 4/28 I P ease see ACU comment There is no contact with this client. She is a "mutual fund only" cl lent with no open Private Bank accounts. The mutual fund account is associated with a "dealer code" that associates it to the Private Bank. We are trying to get the account coded correctly. In the mea ntime, there has been no account activity. The client has $77.19 invested in the ICT Treasury Portfo lio. 3 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVE RAGE-Domestic AML to Close - No Material Changes Walter Living Trust Russell Daulton WALTER, RON RELATIONSHIP 4/14 /2015 Client has moved all assetts out of the bank. Only remaining asset is in Private Equity and can not be moved. Client is not responding to voice and email messages left by banker. Client has m oved all assetts out of the bank. Only remaining asset is in Private Equity and can not be moved. Cl ient is not responding to voice and email messages left by banker. 17 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - No Ma terial Chan es Kubali-Camoglu, Ishik Andrea Nicoletti CAMOGLU, ISIK RELATIONSHIP 5/27/2014 No material changes. Client is deceased 339 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material C hanges Kubali-Camoglu, Ishik Andrea Nicoletti CAMOGLU, ISIK RELATIONSHIP No material changes. Client is deceased 45 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material C hanges EFTA01419170  Parker, Kevin Brian Burckhard PARKER, KEVIN RELATIONSHIP 3/31/2015 The Client derives his inome from private instruments, art, real estate and his daily responsiblitie s at SICM & KNIC N/A 31 Charlie Hoffarth, Sarita Medina, Liz Fitzgerald STRUCTURED L ENDING LENDING AML to Close - No material changes Weisel, Thomas Ed Lok WEISEL, THOMAS RELATIONSHIP 3/30/2015 4-2- 15, No significant changes or updates There are no material changes to report. Mr. Weisel's net wort h has remained constant over the past few years. He is working to pay off debt and maintain liquidit y. 8-12-13: There is negative media surrounding Lance Armstrong and Thomas Weisel's sponsorship company, Trail Wind. Investigation is ongoing with the civil suit. 32 Kim Hart, Andrew Gal ivan, Michael J. Davis, Michael Jacoby San Francisco COVERAGE-Domestic AML to Close - No Ma terial Chan es Bern, Marc, J Joanne Jensen BERN, MARC. J RELATIONSHIP 3/6/2015 Bankers Joanne Jensen, Jennifer Shaw and team keep in regular contact with Marc Bern. To our knowled ge he is satisfied with his relationship with DB. Client Marc Bern is a Senior Partner at Napoli, Be rn, Ripka LLC, a nationally known plaintiff's law firm. To our knowledge, the claims against DB are with regards to its former building downtown. Paul Napoli, Marc Bern and their firm are robust and 1 ongstanding clients of banker Joanne Jensen and team. No longer pursuing litigation. 56 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Changes Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 1 1 On July 17, 2013, Mike McCarthy and Janet Sible spoke with Wendy to review t he outstanding documents needed to create an estate account. Craig Haesemeyer is deceased. New ac count in the name of The Estate of Craig Haesemeyer needs to be created as soon as necessary documen is are provided. 653 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - the "Active Accounts" are Private equity accounts onl y. The primary acct has been closed but the account remains "open" for revenue trailers. Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 10/7/2013 Client held two private equity funds which are reflected in the client's DB Alex Brown account. Craig Haesemeyer has passed away. Estate account has been establi shed and assets have been transferred to the new account, 571 Kim Hart, Andrew Galivan, Mi chael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - the "Active A ccounts" are Private equity accounts only. The primary acct has been closed but the account remains "o n" for revenue trailers. Haesemeyer, Craig Michael E. McCarthy HAESEMEYER, CRAIG RELATIONSH IP 11/2/2012 Marci e Brett met with Craig's widow, Wendy Haesemeyer, to see if we could b e of assistance and she was not ready to move forward with a trust and she was still pretty shell-sh ocked about the unexpected death of her husband. Mike McCarthy had an appointment to meet with Wendy in March and flew to Los Angeles before heading to another meeting in San Francisco. Mrs Haesemeyer cancelled their appointment when he reached the airport in LA. Craig Haesemeyer has passed away. 910 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Dom estic AML to Close - the "Active Accounts" are Private equity accounts only. The primary acct has been closed but the account remains "open" for revenue trailers. Pacific Health Corporation Malcolm Kimble PACIFIC HEALTH RELATIONSHIP .111. We are unable to contact the client as this company no longer exists. This company is no longer in existence. The funds in their accounts were used to pay down a loan of credit, and $117.04 is left in the account. We do not know where to remit these funds. 91 Kim Hart, An • 1 J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close Edward Torres Management Trust f/b/o Lara Torres Terrence Tangney TORRES, E RELATIONSHIP 3/11/2014 none DBTCNA has been removed as trustee by the trust prot ector and replaced by Wells Fargo. 416 Kim Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - Account closed EFTA01419171