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sd-10-EFTA01407870Dept. of JusticeOther

EFTA Document EFTA01407870

Subject: RE: OD Referral dated 06-05-2019 For AC # 42953424 [I] From: Natalie Barak Date: Thu, 06 Jun 2019 13. • - To: Hemant-Kumar Rathore Stewart Oldfield Bradley Gilli Rachel Wachs Cc: Halina Laczny Debra Jasper gtopwmbankingexceptioncheckprocessing@list.db.com, Oversight Control <oversight.control@db.com> Classification: For internal use only Do NOT pay Waive fee {logo} Natalie Barak Vice President I Relationship Officer Deutsche Bank Wealth Management Deutsche Bank Trust

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sd-10-EFTA01407870
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Subject: RE: OD Referral dated 06-05-2019 For AC # 42953424 [I] From: Natalie Barak Date: Thu, 06 Jun 2019 13. • - To: Hemant-Kumar Rathore Stewart Oldfield Bradley Gilli Rachel Wachs Cc: Halina Laczny Debra Jasper gtopwmbankingexceptioncheckprocessing@list.db.com, Oversight Control <oversight.control@db.com> Classification: For internal use only Do NOT pay Waive fee {logo} Natalie Barak Vice President I Relationship Officer Deutsche Bank Wealth Management Deutsche Bank Trust

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Subject: RE: OD Referral dated 06-05-2019 For AC # 42953424 [I] From: Natalie Barak Date: Thu, 06 Jun 2019 13. - To: Hemant-Kumar Rathore Stewart Oldfield Bradley Gilli Rachel Wachs Cc: Halina Laczny Debra Jasper gtopwmbankingexceptioncheckprocessing@list.db.com, Oversight Control <oversight.control@db.com> Classification: For internal use only Do NOT pay Waive fee {logo} Natalie Barak Vice President I Relationship Officer Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Erna Securities offered through Deutsche Bank Securities Inc From: Hemant-Kumar Rathore Sent: Thursday, June 06, 2019 10:59 AM ; Rachel Wachs ; Natalie Barak EFTA01407870 Cc: Halina Laczn MINIMMOILINIPPPLiiii Debra Jasper topwmbankin exceptioncheckprocessing@list.db.com; Oversight Control Subject: OD Referral dated 06-05-2019 For AC # 42953424 Hi Team, Please find the attached OD Referral for today and approve these with your decision hand-written on the OD referral form with two signatures (mandatory). Please provide the below information on the form 1. Transactions - Ok to pay / Not Ok to pay 2. Reason on how and when the OD will be covered 3. Seek CRM Approval for any account if overdrawn USD 100K. Thanks, With regards, Hemant-Kumar Rathore {cid:image003.png@OlD2C5BD.84AC7070} Hemant-Kumar Rathore DBOI Global Services Private Limited COO Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Mobi Emai Please send all the Banking related Queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessing@list.db.com EFTA01407871 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01407872

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Emailexceptioncheckprocessing@list.db.com
Emailgtopwmbankingexceptioncheckprocessing@list.db.com
Emailoversight.control@db.com
Phone2953424
URLhttps://db.com/disclosures

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Subject: Re: returned funds to Caterpillar From: Stewart Oldfield ‹ > Date: Tue, 02 Apr 2019 18:06:20 -0400 To: Brigid Macias Cc: Natalie Barak No. Doesn't work. Although, we may have done it just last year. Double check. This is being done to exit the relationship. Stewart Oldfield, CFA, CAIA Deutsche Deutsche 345 Park Tel. Mobile Email Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Apr

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Subject: FW: Neptune_$1200 and $1000 wire [I] From: Bradley Gillin Date: Fri, 03 May 2019 12:23:44 -0400 To: Stewart Oldfield Classification: For internal use only FYI From: Bella Klein [mailto: Sent: Friday, May 03, 2019 12:23 PM To: Natalie Barak Cc: Richard Kahn ; Brigid Macias < Subject: Re: Neptune_$1200 and $1000 wire Dear Team, • Bradley Gillin Please recall 2 wires sent from Neptune LLC account No xxxx3424 as vendor did not receive them. Please let me know if anything else

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