EFTA Document EFTA01400330

Subject: Re: DB Force Case') 01146170: Darren K. Indyke PLLC (I] From: Amanda Kirby a Date: Fri, 01 Nov 2013 13:07:20 -0400 To: Pema Sherpa < Cc: Dhruv Yadav < Margarita Perez < >, PWM AOG < > Classification: For internal use only Thank you very much, Pema Best, Amanda Kirby (Embedded image moved to file: pic05391.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic00908.gif) From: Pena Sherpa/db/dhcom To: Amanda Kirby/db/ Cc: Dhruv Yadav/db/ Margarita Perez/db/ PWM ACIG/At'. Date: 11/01/2013 01:06 PM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: For internal use only We will open the account as a C Corporation and provide the account open coding via the case. Please provide us with an updated W-9 by next week. Kind regards, Pema Sherpa (Embedded image moved to file: pic03880.gif) Pema Sherpa Deutsche Bank Trust Company Americas 60 Wall Street, New York, NY 10005-2836 Tel. Fax EFTA01400330 Email (Embedded image moved to file: pic01414.gif) From: Amanda Kirby/db/dbcom To: Pena Sherpa/db/ Cc: Dhruv Yadav/db/ Margarita Perez/db/ , PWM AOG/db/ Date: 11/01/2013 01:03 PM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: For internal use only OK, I am sure he meant to write C Corporation instead of 'Sched C'. I can get a new one but can this please be approved right away with a temporary exception? This is an escrow account and the client has told me that a deal may not go through today if they cannot wire in funds. I will be able to get you an updated W-9 within 30 minutes but they desperately need to open these acounts. I would be so appreciative if we could get these opened asap and I will follow up with the W-9 shortly Best, Amanda Kirby (Embedded image moved to file: pic15241.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic24606.gif) From: Pena Sherpa/db/dbcom To: Amanda Kirby/db/ Cc: Dhruv Yadav/db/ Margarita Perez/db/ , PWM AOG/db/ EFTA01400331 Date: 11/01/2013 01:00 PM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: Hi Amanda, For internal use only Schedule C is not the correct tax classification. It has to be either C Corporation, S Corporation or Partnership. Kind regards, Pema Sherpa (Embedded image moved to file: pic10424.gif) Pema Sherpa Deutsche Bank Trust Company Americas 60 Wall Street, New York, NY 10005-2836 Tel. Fax Mobile +1 Email (Embedded image moved to file: pic197B9.gif) From: Amanda Kirby/db/dbcom To: Pema Sherpa/db/ Cc: Dhruv Yadav/db/ Margarita Perez/db/U Date: 11/01/2013 12:55 PM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: For internal use only Perna, You are correct. I am unsure why there are 2 separate W-9's since they are both the same company. The W-9 you just sent is correct Best, Amanda Kirby , PWM AOG/db/ EFTA01400332 (Embedded image moved to file: pic16404.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic29467.gif) From: Perna Sherpa/db/dbcom To: Amanda Kirby/db/ Cc: Dhruv Yadav/db/ PWM AOG/db/ , Margarita Perez/db/ Date: 11/01/2013 12:52 PM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: For internal use only Hi Amanda, Is it a sole proprietor then? I looked into the KYC to get more details on the LLC and found a W-9 (attached) which has LLC checked off and refers to Schedule C which is filed out by a Sole Proprietor, (attachment "Darren K. Indyke PLLC W-9.pdf" deleted by Amanda Kirby/db/dbcom] Kind regards, Perna Sherpa (Embedded image moved to file: pic28961.gif) Perna Sherpa Deutsche Bank Trust Company Americas 60 Wall Street, New York, NY 10005-2836 Tel. Fax Mobil Email (Embedded image moved to file: pic17969.gif) From: Amanda Kirby/db/dbcom EFTA01400333 To: PWM AOG/db/ Cc: Dhruv Yadav/db/ Pema Sherpa/db/ , PWM AOG/db/ Date: 11/01/2013 10:59 AM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] Classification: For internal use only HI, Here are the updated docs. For the W-9 it checked Other because it is a •PLLC• (Professional LLC) does not file under an LLC C,S or P. (attachment •0609_001.pdf" deleted by Pema Sherpa/db/dbcomj Best, Amanda Kirby (Embedded image moved to file: pic23630.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic04607.gif) From: PWM AOG/db/dbcom To: Pema Sherpa/db/ Cc: Amanda Kirby/db/ PWM AOG/db/ Date: 11/01/2013 10:47 AM Subject: Re: DB Force Case* 01146170: Darren K. Indyke PLLC (I] EFTA01400334 Classification: For internal use only Hi Pema, FYI Thanks, Dhruv Yadav PWM AOG DBOI Global Services Private Limited Email : From: PWM AOG/db/dbcOm To: Amanda Kirby/dh/ Cc: PWM AOG/dh/ Date: 11/01/2013 10:42 AM Subject: DE Force Case# 01146170: Darren K. Indyke PLLC [I] Classification: For internal use only Hi Amanda, While reviewing the account opening docs, we came across the below issues: 1. On Account Opening Application, both DB Private Wealth Online Plus and Link to Existing Online Relationship have been selected. Please select the correct one only. (Embedded image moved to file: picO8450.gif) 2. This entity is Limited Liability Corporation, however on W-9, Federal Tax Classification is selected as Other: Atty Tust Account. Please correct the same to LLC along with the Tax Classification (S,C or P) (Embedded image moved to file: pic23333.gif) 3. KYC is in pending status. Please let us know, once it is approved. Thanks, Dhruv Yadav PWM AOG DSOI Global Services Private Limited Email : EFTA01400335 EFTA01400336