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sd-10-EFTA01356542Dept. of JusticeOther

EFTA Document EFTA01356542

Pesci tn..* Peg:tint Securities offered through Deutsche Bank Securities Inc. From: Andrea Tapia Sent: Thursday, November 06, 2014 5:29 PM To: Melisa Venegas Cc: Kimberly Hart; Armen Brash Subject: RE: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customers accounts have been closed, two are Brokerage only, two should be transferred to IA,

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sd-10-EFTA01356542
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Pesci tn..* Peg:tint Securities offered through Deutsche Bank Securities Inc. From: Andrea Tapia Sent: Thursday, November 06, 2014 5:29 PM To: Melisa Venegas Cc: Kimberly Hart; Armen Brash Subject: RE: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customers accounts have been closed, two are Brokerage only, two should be transferred to IA,

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Text extracted via OCR from the original document. May contain errors from the scanning process.
Pesci tn..* Peg:tint Securities offered through Deutsche Bank Securities Inc. From: Andrea Tapia Sent: Thursday, November 06, 2014 5:29 PM To: Melisa Venegas Cc: Kimberly Hart; Armen Brash Subject: RE: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customers accounts have been closed, two are Brokerage only, two should be transferred to IA, and one has an existing KYC. We are working with the respective Banker teams to resolve the remaining ACU's not included. Please see the corresponding notes in column N and let me know if you have any questions. Kind regards, Andrea Tapia Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York. NY 10154.0004 111111M1 Securities offered through Deutsche Bank Saturates Inc. PA:flint-1r Pegonvt, From: Kimberly Hart Sent: Wednesday, November 05, 2014 11:35 AM To: Andrea Tapia Subject: Fw: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042443 CONFIDENTIAL SDNY_GM_00188627 EFTA01356542

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