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sd-10-EFTA01383500Dept. of JusticeOther

EFTA Document EFTA01383500

Cc: Stewart Oldfield < >; Natalie Barak < >; tgtopwmbankingexceptioncheckprocessin @list.db.com' < >; Oversight Control < >; Rishabh Shah >; Rishabh Sharma < > Subject: RE: Non Post Transactions 05-09-2019 For AC III Classification: For Internal use only Hi Brigid, For the below account client submitted a wire yesterday. As yesterday you also submitted a case to close the account, so when the night batch ran it got account closed so the entry was bounced back to non-post. Please

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Dept. of Justice
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sd-10-EFTA01383500
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Cc: Stewart Oldfield < >; Natalie Barak < >; tgtopwmbankingexceptioncheckprocessin @list.db.com' < >; Oversight Control < >; Rishabh Shah >; Rishabh Sharma < > Subject: RE: Non Post Transactions 05-09-2019 For AC III Classification: For Internal use only Hi Brigid, For the below account client submitted a wire yesterday. As yesterday you also submitted a case to close the account, so when the night batch ran it got account closed so the entry was bounced back to non-post. Please

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EFTA Disclosure
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Cc: Stewart Oldfield < >; Natalie Barak < >; tgtopwmbankingexceptioncheckprocessin @list.db.com' < >; Oversight Control < >; Rishabh Shah >; Rishabh Sharma < > Subject: RE: Non Post Transactions 05-09-2019 For AC III Classification: For Internal use only Hi Brigid, For the below account client submitted a wire yesterday. As yesterday you also submitted a case to close the account, so when the night batch ran it got account closed so the entry was bounced back to non-post. Please let me know if I can call you regarding the same. Kind Regards Ag Bhavesh Chandani Bhavesh Chandani Process Supervisor I PWM US Operations DBOI Global Services Private Limited COO Wealth Managemert Operations ndra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur. India US IoU Deutsche Bank's volunteering and giving community #Positivelmpact Integrity I SusrainAile Performance I Client Centricity I iiiinwatic.“ Di-mipi Please send all the Banking related Queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessimarDlist.db.com From: Rishabh Shah Sent: Friday, May 10, 2019 10:57 AM To: Rishabh Sharma < Cc: Stewart Oldfield < >; Brigid Macias < >; 'firtopwmbankingexceptioncheckprocessing@list.db.com' >; Oversight Control < Subject: RE: Non Post Transactions 05-09-2019 For AC Partnership >; Natalie Barak CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0083211 CONFIDENTIAL SDNY_GM_00229395 EFTA01383500

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Wire Refwire yesterday

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EFTA Document EFTA01378746

850 temporary exception approved to reopen the account. Once the issue is resolve please respond to this e mail by 5/16/19, at which time the exception will expire. Regards, William Barrett William Barrett Assistant Vice President I Business Supervisory Office Deutsche Bank Securities Inc. 5022 uite 400, 32256 Jacksonville, USA Tel. Mobile Email #Positivelmpact From: Brigid Macias Sent: Frida , Ma 10, 2019 2:40 PM To: Cc: Bhavesh Chandan • Vikas Dave >: Rishabh Sharma Stewart

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From: Sent: To: CC: Subject: Bella Klein 5/13/2019 3:25:50 PM Natalie Barak Brigid Macias I; Bradley Gillin I I; Stewart Oldfield ; Richard Kahn [ Re: Zorro management account )000(61307 Hello Team, Please update on the status for wire recall $1200 to CKG Painting Thank you, Bella Tel: On May 10, 2019, at 11:57 AM, Natalie Barak ‹ > wrote: Reaching out again to our back office to see if there is any update from Wells Fargo. Natalie Barak We President I Relationship Met Deuts

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Subject: RE: URGENT!!! Need to close accounts ASAP - please prioritize today [C] [I] From: Zbynek Kozelsky <Ma Date: Mon, 08 Jul 2019 09:39:44 -0400 To: Brigid Macias Mary Murray Cc: Natalie Barak Stewart Oldfield Daphne Cales Classification: For internal use only The brokerage accounts are hard closed. Thanks {cid:image003.png@O1CFFD0A.6F882F50} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Investment Solutions Group US & Latin America Deutsche Bank Securities

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Subject: RE: URGENT!!! today [C] [I] From: Kimberly Hart Date: Tue, 09 Jul 2019 To: Brigid Macias Daphne Cales Cc: Stewart Oldfield Need to close accounts ASAP - please prioritize 08:28:37 -0400 Classification: Confidential Great — thank you! Can you confirm back when they are closed in the datawarehouse? {https://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gif} Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deuts

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Subject: Re: Neptune $1200 and $1000 wire From: Bella Klein a> Date: Mon, 06 May 2019 15:58:41 -0400 To: Brigid Macias Cc: Natalie Barak Richard Kahn Bradley Gillin <bradley. illin@db.com>, Stewart Oldfield Thank you Thank you, Bella Tel: On May 6, 2019, at 3:55 PM, Brigid Macias Good Afternoon, Both recalls have been processed. We are waiting to hear back from the bank for a response. Kind regards, Brigid Macias Brigid Macias Assistant Vice President Deutsche Bank Trust Comp

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From: Natalie Barak Sent: 4/3/2019 10:14:06 AM To: Daphne Gales CC: Brigid Macias Subject: FW: returned funds to Caterpillar Stewart Oldfield Hi Daphne — do you have a minute to discuss today? We are off-boarding this client. The last wire they sent out (bringing their account to zero) bounced back but we had already closed their deposit account. Since it is a trust, the funds can't be credited to another entity. We wanted to re-open the account, credit the funds, resend the wire

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