EFTA Document EFTA01364034
To: Stewart Oldfield Cc: Amlcompliance Inquiries; Andrew Gallivan Subject: URGENT - SECOND REQUEST - RE: Inquiry Regarding Account Case No. 141374 - DUE MAY 5 [I] Importance: High Classification: For internal use only Good Morning: Client: HBRK ASSOCIATES, INC; I am writing to follow up on the request below. Please note that the deadline for a response has passed. Please respond with an answer to the inquiry or a status update as soon as possible. Best Regards/Mit freundlichen GrilBen,
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To: Stewart Oldfield Cc: Amlcompliance Inquiries; Andrew Gallivan Subject: URGENT - SECOND REQUEST - RE: Inquiry Regarding Account Case No. 141374 - DUE MAY 5 [I] Importance: High Classification: For internal use only Good Morning: Client: HBRK ASSOCIATES, INC; I am writing to follow up on the request below. Please note that the deadline for a response has passed. Please respond with an answer to the inquiry or a status update as soon as possible. Best Regards/Mit freundlichen GrilBen,
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EFTA Document EFTA01430282
Subject: RE: Epstein Insurance Trust [I] [C] From: Yoonsun Chung <ffi Date: Fri, 16 Nov 2018 16:44:18 -0500 To: Bradley Gillin Stewart Oldfield Emily Craig Cc: Daphne Cales Classification: Confidential SO then we cannot kill the case. I will reject it back to you and please resubmit with the clients that will need the regular review done. {cid:image002.gif@OlD47DCB.99ADBC00} Yoonsun Chung Vice President I AML Compliance Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA Em
EFTA Document EFTA01282225
KY(' Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relabonshe Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Stewart Oldfeld • New PArTI Relationship 2 Ensting PWM Relationship Relationship to FWM: If edstIng, please indicate since when the relationship exist, provide reason for new profile and attach old pr
EFTA Document EFTA01431279
Subject: RE: Assistance required in resolving points - KYC #01977695 [I] From: Bradley Gillin Date: Wed, 24 Oct 2018 13:46:24 -0400 To: Alka Babu <fl. Cc: Vinita Advani < Vijay-A Sawant Stewart Oldfield Richard Iarossi <richard.iarossi@db.com> Classification: For internal use only Alka, See below in blue. We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highli
EFTA Document EFTA01369318
From: Yoonsun Chung Sent: Friday, November 16 201812:17 PM To: Stewart Oldfield < >; Bradley Gillin < Subject: RE: Epstein Insurance Trust Classification: Public Hello, So we need name, address, DOB and nationality. Then we need to verify him. In this case, the settlor is a PEP so we need ID. Do we think he is still a PEP? Is he still associated with prince Andrew? If you make a good case where he is no longer a PEP... then we can verify him in an alternative means — Lexis smartlinx—wh
EFTA Document EFTA01398793
Subject: RE: MD approval for ACUs completed for High Risk Clients [I] From: Andrew Gallivan Date: Fri, 07 Apr 2017 To: Vaishali-P Mehta < Classification: For internal use only Approved. From: Vaishali-P Mehta Sent: Friday, April 07, 2017 2:21 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I s
EFTA Document EFTA01379540
From: Stewart Oldfield Sent: 10/23/2017 10:37:15 AM To: Amlcompliance In • uirie CC: Cynthia Rodrigue Andrew Gallivan BCC: Subject: RE: Inquiry Regar' ing Accoun Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please call with
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