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EFTA Document EFTA01389086EFTA Document EFTA01389088
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sd-10-EFTA01389087Dept. of JusticeOther

EFTA Document EFTA01389087

From: Sarah Rafferty Sent: 3/7/2018 5:37: To: Stewart Oldfield Subject: Frieze New York invitation to Preview day, Wednesday, May 2 We are following the same process as last year — as lone as your invitees meet the criteria outlined below, you may extend the invitation without securing pre-approval in the compliance system. If the client accepts, you will then be required to log in to Compliance using ID in the amount of €152 pp. All details are below including the invitation. If you

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From: Sarah Rafferty Sent: 3/7/2018 5:37: To: Stewart Oldfield Subject: Frieze New York invitation to Preview day, Wednesday, May 2 We are following the same process as last year — as lone as your invitees meet the criteria outlined below, you may extend the invitation without securing pre-approval in the compliance system. If the client accepts, you will then be required to log in to Compliance using ID in the amount of €152 pp. All details are below including the invitation. If you

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From: Sarah Rafferty Sent: 3/7/2018 5:37: To: Stewart Oldfield Subject: Frieze New York invitation to Preview day, Wednesday, May 2 We are following the same process as last year — as lone as your invitees meet the criteria outlined below, you may extend the invitation without securing pre-approval in the compliance system. If the client accepts, you will then be required to log in to Compliance using ID in the amount of €152 pp. All details are below including the invitation. If you have any questions, just et me 'now. Thanks. Criteria: • Invitees should be limited to the wealth management client (or prospect) and/or their family members • No sensitive counterparts (including public officials. regulatory agencies. etc.) • O13 payment of client travel & accommodation is not permitted • Pending business at the time of invite is not permitted (i.e. specific discussions pertaining to investment type and amount have occurred and decision or action is pending with client, or discussion on moving assets from bank x to DB). • Prospective business is ok — general relationship building. If your list below meets the above criteria, you may extend the invitation for the Wednesday. May 2 Preview of Frieze New York (imitation is bclo v). If you have any questions please let me know. Thanks. Wed. Pre iew 2 Rudy Sahay 54 Madison CEO Stewart Oldtield Wed. Preview 2 Leon Black Apollo CEO Stewart Oldfield Wed Preview 2 Michael Bloomberg Bloomberg LP CEO Stewart Okffield Wed. Preview 1 Andrew Weinberg Brightstar Founding Partner Stewart Oldfield Wed Preview 1 Renee Noto Brightstar Partner Stewart Oldfield Wed. Pro iew 1 Roger Bulloch Brightstar Partner Stewart Oldficld Wed. Preview 1 Rahul Vaid Crestline Partner Stewart OldtieId Wed. Preview 1 Tom Danziger Danziger, Danziger & Muro JD Stewart Oldfield Wed. Preview 2 Brad Wechsler Elysium CEO Stewart Oldfield Wed Pre\ ten 2 Barry Cohen Elysium President Stewan Oldfield Wed. Preview 2 Frohman Anderson Everwatch CEO Stewart Oldfield Wed Preview 2 Matt Womble Everwatch CIO Stewart Oldficld Wed. Pre\ iew 1 Edouard Gerschel Gerschel Principal Stewart Oldfield Wed. Preview 1 Jonathan Botwinick Gerschel Counsel Stewart Oldficld Wed Preview 2 Katherine Montrone Liberty Lane Partner Stewart Oldtield Wed. NO iCV. 2 Adam Lindemann Lindemann Capital Principal Stewart Oldtield Wed Preview I Don Marron Marron Investments Principal Stewart Oldficld Wed. Preview 1 Tony Persico Marron Investments CIO Stewart Oldheld Wed Preview 1 Todd Meister Meister Global Principal Stewan Oldtield Wed. Preview 2 Jim Burritt Pacific Life Head Private Investments Stewart Oldfield Wed I're\ e 2 Ali Rashid pvt client Suman Oldtield Wed. Pre, h.:xi 1 Greg Martin Shamrock CEO Stewart Oldfield Wed. Preview 1 Stan Gold Shamrock Chairman Stewart Oldfield CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0093347 SDNY_GM_00239531 EFTA01389087

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Subject: FW: Frieze New York invitation to Preview day, Wednesday, May 2 From: Stewart Oldfield Date: Mon, 12 Mar 2018 15:49:51 -0400 To: Ana A Zamora From: Sarah Rafferty Sent: Wednesday, March 07, 2018 5:38 PM To: Stewart Oldfield ‹ > Subject: Frieze New York invitation to Preview day, Wednesday, May 2 We are following the same process as last year — as long as your invitees meet the criteria outlined below, you may extend the invitation without securing pre-approval in the complianc

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Subject: Frieze NY registration status [I] From: Sarah Rafferty Date: Mon, 23 Apr 2018 10:47:03 -0400 To: Stewart Oldfield ‹ > Classification: For internal use only Hi Stewart, below if your invite list along with the respective RSVP's. Please let me know if you have any updates. Thanks. Ticket type # of tickets required Invitee first name Invitee last name Invitee company name Invitee job title DB nominator / contact Guest name RSVP Day VIP code Wed. Preview 2 Frohman A

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Subject: Frieze NY - re istration status [I] From: Sarah Rafferty < Date: Fri, 06 Apr 2018 15:28:07 -0400 To: Stewart Oldfield Classification: For internal use only HI Stewart, see below. Please continue to follow-up with all outstanding and if they plan to attend, ask them to register. If they decline, please let me know so I can update my file. Thank you. Ticket type # of tickets required Invitee first name Invitee last name Invitee company name Invitee job title DB nominator

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Subject: RE: Frieze NY - re istration status [I] From: Sarah Rafferty Date: Tue, 17 Apr 2018 13:55:55 -0400 To: Stewart Oldfield Cc: Bradley Gillin Classification: For internal use only Please invite Patrick McGuiness to our lounge/fair. Regards, Sarah fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Sarah Rafferty Director I Marketing - Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 24th floor, New York, NY 10154 Tel:

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Subject: RE: Frieze NY - registration status [I] From: Sarah Rafferty < > Date: Tue, 17 Apr 2018 14:23:26 -0400 To: Stewart Oldfield ‹ > Cc: Bradley Gillin Classification: For internal use only Yes — that was the day he showed up last year. Regards, Sarah fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Sarah Rafferty Director I Marketing - Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 24th floor, New York, NY 10154 Te

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Subject: RE: Frieze NY - re istration status [I] From: Stewart Oldfield Date: Tue, 17 Apr 2018 14:16:21 -0400 To: Sarah Rafferty Cc: Bradley Gillin For Wednesday? Thanks From: Sarah Rafferty Sent: Tuesday, April 17, 2018 1:56 PM To: Stewart Oldfiel Cc: Bradley Gillin Subject: RE: Frieze NY - registration status [I] Classification: For internal use only Please invite Patrick McGuiness to our lounge/fair. Regards, Sarah fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Sarah Rafferty

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