EFTA01423200.pdf

Subject: FW: Epstein - ne ative media [I] [C] From: Stewart Oldfield Date: Tue, 13 Nov 2018 10:59:51 -0500 To: Vijay-A Sawant Mayur Rathod Alka Babu Cc: Daphne Cales Bradley Gillin Richard Iarossi Bcc: We will have all of the internal sign offs on the lawsuit that was dismissed later today I expect. Please let me know who I need to get this info to once Kim Hart approves. Thanks From: Andrew Gallivan Sent: Tuesday, November 13, 2018 10:38 AM To: Stewart Oldfield a; Kimberly Hart Cc: Bradley Gillin < ; Richard Iarossi Subject: RE: Epstein - negative media [I] [C] Classification: Confidential Based on the below I approve continuing this relationship Regards, Andrew Gallivan EFTA01423200 {https://brandportal.intranet.db.com/img/modules/logo.gif} Andrew Gallivan Deutsche Bank Trust Company Americas 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Mobile Email {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} From: Stewart Oldfield Sent: Wednesday, November 07, 2018 5:12 PM To: Andrew Gallivan ; Kimberly Hart Cc: Bradley Gillin ; Richard Iarossi Subject: FW: Epstein - negative media [I] I have more info as outlined below based on a conversation with Jeffrey's lawyer. Andrew — please confirm that you remain comfortable with the business risk here. Kim — please forward as necessary Summary of situation: This was a frivolous lawsuit that was quickly withdrawn by the plaintiff attorneys upon response from Epstein's lawyers. The person ultimately behind the lawsuit was Steven Hoffenberg, who was convicted of fraud and served a long jail sentence. Hoffenberg was called "unstable" and "manic" by the judge that sentenced him. He repeatedly filed lawsuits against the government from jail and EFTA01423201 against other people (including his lawyers), all of which were dismissed. He convinced the plaintiffs to file this suit as a class action. That way Hoffenberg wouldn't be the plaintiff himself. The original matter here was thoroughly investigated by the SEC and others and Hoffenberg was the only person deemed to have been involved. If you Google Hoffenberg, it's easy to find the full history here. I think we should accept this matter as closed on our side. Thanks From: Richard Iarossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart Cc: Bradley Gillin ; Stewart Oldfield Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, AML Compliance (Yoonsun) has requested that we receive your approval to move forward on all Southern Financial/Epstein KYC remediation's. As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that EFTA01423202 we are comfortable moving forward. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due diligence? fhttps://brandportal.intranet.db.com/img/modules/- DAWN_logo_metallic 46x46.gifl Kimberly Hart Managing Director I Divisional Control Officer EFTA01423203 Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, October 09, 2018 11:03 AM To: Kimberly Hart Cc: Bradley Gillin Subject: Epstein - negative media Kim, This just surfaced in our latest KYC reviews. Let's discuss what info I need from the client and then next steps. Thanks http://www.classactionsreporter.com/sites/default/files/- towers_ponzi_scheme_complaint.pdf {cid:[email protected]} Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas EFTA01423204 Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. EFTA01423205