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unknown
DataSet-10
EFTA01447675
EFTA01447675.pdf
buys European USD Call on USD/JPY
Strike: 103
Notional: USD 10,000,000
Expiry: Thu 13-Aug-2015 (1y)
Settlement: Mon 17-Aug-2015
ZoneCut: NY
Premium: USD 278,000
Premium Date: Fri…
P17
D7
unknown
DataSet-10
EFTA01450723
EFTA01450723.pdf
Bullish China (8.6% GDP Growth)
Other - Bullish Equities, favor Tech in the US
(See attached file: ARIA - competitor upgrade 12.20.13.pdf)
(See attached file: AEGR 11.18.13.pdf) (See atta…
P17
D7
unknown
DataSet-10
EFTA01369157
EFTA01369157.pdf
referrals/introducers).
8. What was the client's rationale for establishing the relationship?
Why did the client open their account with DB?
Bearer Shares …
P17
D1
D7
unknown
DataSet-10
EFTA01461166
EFTA01461166.pdf
Leg 1: European Option Call
buys European USD Call on USD/JPY
Strike: 100.2
Notional: USD 1,000,000
Expiry: Mon 17-Nov-2014 (1y)
Settlement: Wed 19-Nov-2014
ZoneCut: NY
Premium: …
P17
D7
unknown
DataSet-10
EFTA01366415
EFTA01366415.pdf
FINRA Filing Fee 23.788
Travel and road show …
D7
P20
P17
unknown
DataSet-10
EFTA01461160
EFTA01461160.pdf
where you owe a payment (318.7k in this 1mm notional example) if lower levels
(in this example 99, 98, 97) are touched (American barriers).
The structure below is zero cost, includes 3 knock-in …
P17
D7
email
DataSet-10
EFTA01462363
EFTA01462363.pdf
Subject: Trade Report 1/27/14 C
From: Tazia Smith <
Date: Mon, 27 Jan 2014 11:24:15 -0500
To: jeevacationegmail.com
Cc: Paul Morris <
Vinit Sahni <
Vahe Stepanian
Classification: Confident…
P17
D7
unknown
DataSet-10
EFTA01369918
EFTA01369918.pdf
23. agree or commit to (A) any fee. "profit sharing" payment. or other consideration in connection with
any approval, consent, ratification. permission. waiver, or authoriz…
D1
D7
P17