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EFTA Document EFTA01388793EFTA Document EFTA01388795
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sd-10-EFTA01388794Dept. of JusticeOther

EFTA Document EFTA01388794

Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl Ncw York. NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 11:00 AM To: Bradley Gillin ; Richard larossi Cc: Mayur Rathod ; Stewart Oldfield Subject: RE: Neptune LLC Corp Resolution Query - KYC#01977698 Hi Brad, As per our call today, please note the below Corp Resolution issue was found in other accounts in the Sothern Fina

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Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl Ncw York. NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 11:00 AM To: Bradley Gillin ; Richard larossi Cc: Mayur Rathod ; Stewart Oldfield Subject: RE: Neptune LLC Corp Resolution Query - KYC#01977698 Hi Brad, As per our call today, please note the below Corp Resolution issue was found in other accounts in the Sothern Fina

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Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl Ncw York. NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 11:00 AM To: Bradley Gillin ; Richard larossi Cc: Mayur Rathod ; Stewart Oldfield Subject: RE: Neptune LLC Corp Resolution Query - KYC#01977698 Hi Brad, As per our call today, please note the below Corp Resolution issue was found in other accounts in the Sothern Financial Relationship, listed below — • JEGE LLC • NES LLC • Plan D Attached relevant does which highlights this issue. As discussed, we will resolve this issue by using dots which reflect ALL the RP's for respective accounts. Let me know if any queries, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche OB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 5:17 PM To: Bradley Gillin a; Richard larossi Cc: Mayur Rathod Stewart Oldfield Subject: Neptune LLC Corp Resolution Query - KYC#01977698 Hello Rich, I wanted to have a quick chat regarding the attached corp resolutions for Neptune LLC when you come in today, so we can solve a rejection point in our case 1977698, thanks. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0092551 CONFIDENTIAL SDNY_GM_00238735 EFTA01388794

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Subject: Your KYC has been rejected - Case #: 01946825 From: Vijay-A Sawant Date: Fri, 07 Sep 2018 10:10:02 -0400 To: Kshitij Golani Cc: Bradley Gillin Stewart Oldfield Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case #: 01946825 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: 00000550868 Reason for Rejection:7/31 A — Please provide a recent document that will serve as

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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Vijay-A Sawant Date: Fri, 10 Aug 2018 01:27:16 -0400 To: Bradley Gillin Cc: Stewart Oldfield Hi Brad, A kind reminder of the below 'updated' Exco approval request for acct Prytanee LLC under the SOUTHERN FINANCIAL RELATIONSHIP for KYC Case#01946825. Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Ba

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vijay-a.sawant@db.com Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 [I] From: Vijay-A Sawant Date: Wed, 17 Oct 20 To: Bradley Gillin < Stewart Oldfield Cc: Richard Iaros Mayur Rathod Hello Brad/Stewart, Many thanks for all the docs. We have re-submitted this rejected KYC (01977695) back to AML for final approval. Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited

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Subject: RE: Assistance Required in Rejection of KYC Case#01977698 [I] From: Bradley Gillin < => Date: Mon, 24 Sep 2018 11:50:10 -0400 To: Vijay-A Sawant Stewart Oldfield Cc: Richard Iarossi Mayur Rathod Vinita Advani Daphne Cales Classification: For internal use only Vijay, We received confirmation from the client that dentistry represent less than 25% of Karyna's earnings. Karyna's SOW comes from her interior designing firm - JSC Interiors LLC. Thanks. Regards, Brad fcid:image0

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