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sd-10-EFTA01374300Dept. of JusticeOther

EFTA Document EFTA01374300

From: Stewart Oldfield [ Sent: 3/30/2018 12:21:14 PM To: Richard Kahn Subject: Automatic reply: Southern financial - Client Confirmation [C] I will be out of the office until Monday April 9th but will be checking emails regularly. For immediate assistance, please contact Brad Gillin ( I or Hilda Berrios Thanks ~)• This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please not

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Dept. of Justice
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sd-10-EFTA01374300
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From: Stewart Oldfield [ Sent: 3/30/2018 12:21:14 PM To: Richard Kahn Subject: Automatic reply: Southern financial - Client Confirmation [C] I will be out of the office until Monday April 9th but will be checking emails regularly. For immediate assistance, please contact Brad Gillin ( I or Hilda Berrios Thanks ~)• This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please not

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Stewart Oldfield [ Sent: 3/30/2018 12:21:14 PM To: Richard Kahn Subject: Automatic reply: Southern financial - Client Confirmation [C] I will be out of the office until Monday April 9th but will be checking emails regularly. For immediate assistance, please contact Brad Gillin ( I or Hilda Berrios Thanks ~)• This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068928 CONFIDENTIAL SDNY_GM_00215112 EFTA01374300

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URLhttps://db.com/disclosures

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01352419

Subject: Re: Debit card From: Richard Kahn e > Date: Fri, 22 Dec 2017 10:08:38 -0500 To: Stewart Oldfield e > no worrieshave plenty of time to work out we will do 1 large withdrawal in january then revert to card thank you and happy new year.. Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York NY 10022 tel fax cell On Dec 22, 2017, at 10:07 AM, Stewart Oldfield wrote: Cynthia is working on it right now. us. Sorry Stewart Oldfield, CFA, CAIA Director Deut

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From: Vijay•A Sawant Sent: 8/1/2018 8:07:05 AM To: Bradley Gillin ; Stewart Oldfield CC: Mayur Rathod Subject: 2018 Periodic Review o accts Mort, Inc nd Gratitude America Ltd under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Mort, Inc Checklist 2018.xlsx; Gratitude America Ltd Checklist 2018.xlsx; Entity Self Certification Form.pdf; Form 990 2016.pdf; Non Profit Resolution.pdf; KYC Print 01790739.pdf Importance: High Hello Brad/Stewart, This review relates to review of ab

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Subject: Re: Debit card From: Stewart Oldfield Date: Fri, 22 Dec 2017 10:25:27 -0500 To: Richard Kahn ffi > I figured given you took $3k on your card. Cynthia is fixing. I think we can get daily limit to $12k. Stewart Oldfield, CFA, CAIA Director Deutsche Deutsche 345 Park Tel. Mobile Email Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Dec 22, 2017, at 10:18 AM, Richard Kahn ffi wrote:

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EFTA Document EFTA01370533

From: Vijay-A Sawant Sent: 7/25/2018 6:15:23 AM To: Kshitij Golani CC: Bradley Gillin ; Stewart Oldfield Subject: FW: Your KYC has been rejected - Case #: 01946825 Attachments: Constitutional docs, COI & IRS Letter.pdf; Corp Resolution.pdf Importance: High Hi Kshitij, I have resolved all points below and re-submitting this case to you for your approval. Let me know if any queries, I look forward to your feedback, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deut

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Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell > On Aug 8, 2018, at 4:10 PM, Bradley Gillin <a. wrote: > Classification: Confidential > Hi Rich, > • Please find attached account opening paperwork. > • Please complete the resolution. All other documents have pre-filled and marked for execution. > Thank you. > Regards, > Brad > • Bradley Gillin > Vice President > Deutsche Bank Wealth Management > 345 Park Avenue, 24th Fl > Ne

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EFTA Document EFTA01379622

From: Stewart Oldfield Sent: 10/24/2018 9:49:33 AM To: Bradley Giffin Richard larossi Subject: RE: Assistance required in resolving points - KYC Let's get a list of things we need confirmed by JE's team and set up a call with Rich Kahn. He knows we're plowing through all of this remediation. From: Bradley Gillin Sent: Wednesday, October 24, 2018 9:44 AM To: Stewart Oldfield Subject: Fwd: Assistance required in resolving points - KYC Regards, Brad Bradley Gillin Deutsche Bank We

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