EFTA Document EFTA01384756

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Dept. of Justice

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sd-10-EFTA01384756

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B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard larossi Cc: Bradley Gillin < >; Stewart Oldfield < > Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC ) & LSJE, LLC ( ) under the SOUTHERN FINANCIAL RELATIONSHIP [I) Importance: High Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#01977703 for these accounts and following are pending items - • Southern Financial LLC — One of the RP's Jean Anne Brennan Wiebracht has incorrect name reflected in Corp Resolution and Signature Card from 2017. The name reflecting there is Jeanne Brennan whereas her driving license, attached for reference reflects Jean Anne Brennan. Could we request for an updated Corp Resolution with correct name, please? Note the Operating agreement reflects the name Jeanne Brennan). • Southern Financial LLC - SOS from USVI website or COGS dated within last 6 months. • LSJE LLC - SOS from USVI website or COGS dated within the last 6 months. Thanks & Regards, Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Tuesday, August 14, 2018 5:20 PM To: Bradley Gillin < Cc: Stewart Oldfield < Subject: 2018 Periodic Review of Accts Southern Financial LLC ( ) & LSJE, LLC under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085259 CONFIDENTIAL SDNY_GM_00231443 EFTA01384756

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Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Liam Osullivan ‹ > Date: Fri, 21 Sep 2018 13:28:03 -0400 To: Davide-A Sferrazza ‹ > Classification: Confidential I do not recognize the account code. Do you know what it is? Thanks From: Stewart Oldfield Sent: Friday, September 21, 2018 1:20 PM To: Liam Osullivan Cc: Bradley Gillin ; Richard Iarossi Subject: FW: 2018 Period

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Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC & LSJE, LLC (GCIS#IIIIII) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant <MEMMIIIM> Date: Fri, 21 Sep 2018 10:18:14 -0400 To: Richard Iarossi Cc: Bradley Gillin Stewart Oldfield Mayur Rathod Hi Rich, Following are the pending items in above accounts - One of the account for Southern Financial LLC (GCIS is Structured Transactions account with account ID on DB Force cus omer page as . We believe it'

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Subject: Re: Vijay, please call me when you can [I] From: Stewart Oldfield Date: Mon, 17 Dec 2018 06:35:10 -0500 To: Vijay-A Sawant Cc: Vinita Advani < Bradley Gillin Richard Iarossi Thanks very much. No need to continue any remediation. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Mana.ement Securities offered through Deutsche Bank Securities Inc. On Dec 17, 2018, at 4:50 AM, Vijay-A Sawant <vijay-a.sawant@db.com> wrote: > Classifi

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Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Stewart Oldfield < › Date: Fri, 21 Sep 2018 13:20:00 -0400 To: Liam Osullivan Cc: Bradley Gillin Richard Iarossi Do you recognize account code STRUPDT0118001? Thanks From: Vijay-A Sawant Sent: Friday, September 21, 2018 10:18 AM To: Richard Iarossi Cc: Bradley Gillin ; Mayur Rathod Subject: RE: 2018 Periodic Review of Accts S

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Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Michael Raphael Date: Fri, 21 Sep 2018 13:40:11 -0400 To: Davide-A Sferrazza Cc: Amit Garg Liam Osullivan Classification: Confidential The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to 2015. I'd guess you could get some info. out of the lending folks. Sta

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