EFTA Document EFTA01373295

From: Joshua Shoshan Sent: 3/22/2018 5:01:02 PM To: Bradley Gillin CC: Martin Zeman BCC: Subject: DO NOT FORWARD: Brad, can you give me an urgent call re Jeffrey Epstein? Best regards, --Josh Attachments: AccountActivity PAUL comm sales credits II.PDF • Liam Osullivan Stewart Oldfield Todd Stevens • Daniel-E Kaiser Daniel- ); Ian Salters Thanks, Brad. We do need help in understanding the details, as I could only get to about $75mm in deposits if DB Force says assets are -$226mm -- and I know we have 5149mm in brokerage. Following is what I wrote yesterday to Dan and Todd, and if you see anything to correct, or something important to add (you show much larger deposits, e.g.), please help us put as urgently as you can. We really appreciate it. For conversations this week about Southern Financial/ Epstein, we are providing you with details about this multifaceted and important relationship: • The RM is Stewart Oldfield • Assets held in WM brokerage (Pershing) are $149mm, and there are an additional -$76mm in various bank deposits • DB Force shows "relationship rolling year revenue" of $315,659, and assets of $225,764,813 • Attached is a spreadsheet of WM brokerage activity since Paul Barrett started working with Jeffrey Epstein on 9/14/17. We separate the attached into three sections: Non-ECM brokerage revenues, ECM buys and ECM sells. The client had been participating in all ECM transactions, but decided in February to stop this regular activity. We do have an 1O1 of 50k shares for this week's transaction • 188 transactions for the accounts via Pershing since 9/14/17. Excluding all ECM related buys and sell, there were 115 transactions (73 of the 188 were ECM related) • Regular-way trading revenues via Pershing (non-ECM) since 9/14/17 were $76,983. Additional ECM related revenues were $49,357, for a total in brokerage (Pershing) of $126,340 • We also transact with this client FX and rates OTC derivatives trades. Since Paul started, we did ten transactions with approximately another $25,000 in revenues. Martin will provide an exact number tomorrow. Stewart, please call me and Martin if you want background. . We look forward to speaking to you. Best regards, --Josh From: Bradley Gillin Sent: Wednesday, March 21, 2018 5:08 PM To: Joshua Shoshan < Cc: Martin Zeman < >; Liam Osullivan < Subject: Re: Brad, can you give me an urgent call re Jeffrey Epstein? Best regards, --Josh Josh, I will provide the full relationship summary tomorrow morning but here's a quick snapshot: Relationship has approx. $170mn in deposits. This included $15mn of new deposits into new DB AG account last Friday, 3/16. There is no custody account, just your KCP global markets account. Will provide full summary tomorrow with revenues and pending opportunities. Safe travels. Regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067399 CONFIDENTIAL SDNY_GM_00213583 EFTA01373295