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sd-10-EFTA01379122Dept. of JusticeOther

EFTA Document EFTA01379122

Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard laroso Assistant Vrce Po:salon Sri • - • ‘1",- aenteat Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradle Gillin Subject: RE: Epstein • negative media [I] Classification: For

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sd-10-EFTA01379122
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Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard laroso Assistant Vrce Po:salon Sri • - • ‘1",- aenteat Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradle Gillin Subject: RE: Epstein • negative media [I] Classification: For

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard laroso Assistant Vrce Po:salon Sri • - • ‘1",- aenteat Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradle Gillin Subject: RE: Epstein • negative media [I] Classification: For internal use only Was this returned as an ROC alert — or part of the regular Lexis/Nexis due diligence? <image001.gif> Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Com an Americas Emal Securities offered through Deutsche Bank Securities Inc. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076432 CONFIDENTIAL SDNY_GM_00222616 EFTA01379122

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From: Richard larossi Sent: 10/18/2018 4:12:33 PM To: Stewart Oldfield CC: Bradley Gillin Subject: RE: Epstein - negative media ill Attachments: Gerber Notice of Dismissal.pdf Classification: For Internal use only Hi Stew, Wasn't sure if you connected with Kim once we got this dismissal letter. AML has kicked back the KYC case asking for Kim's approval to move forward and I didn't want to reach out to her if you already have an email thread I can use. Thanks, Rich Richard laross

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Mayur Rathod From: Yoonsun Chung Sent: Wednesday, November 14, 2018 7:04 PM To: Kimberly Hart; Mayur Rathod Cc: Andrew Gallivan; Stewart Oldfield; Richard larossi; Bradley Gillin Subject: RE: Epstein - negative media [I] [C] Thank you Kim. Yoonsun Chung Vice President I AML Compliance Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA ME From: Kimberly Han <alb com> Date: Wednesday, Nov 14 2018 8:16 AM To: Yoonsun Chung • An Iliv , Bradley Gillin Subject: FW: Epste

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Subject: RE: Epstein - ne ative media [I] From: Richard Iarossi Date: Thu, 18 Oct 2018 16:12:33 -0400 To: Stewart Oldfield Cc: Bradley Gillin Classification: For internal use only Hi Stew, Wasn't sure if you connected with Kim once we got this dismissal letter. AML has kicked back the KYC case asking for Kim's approval to move forward and I didn't want to reach out to her if you already have an email thread I can use. Thanks, Rich Richard Iarossi Assistant Vice President Deutsche

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Classification: For Infernal use only Hi Kim, AMI. Compliance (Yoonsun) has requested that we receive your approval to move forward on all Southern Financial/Epstein KYC remediation's. As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard lamssi Assistant Vice Pin:

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As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard larossi Assistant Vice Prcsidcnl Deutsche Bank Wealth Managanent 345 Park Avenue. 24th Floor ' • • • 0134 Securities olTeral through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09

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