Case File
efta-01356394DOJ Data Set 10OtherEFTA01356394
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01356394
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
Out-of-Scope Identified*
143
152
18
10
323
312
98
1
7
with Banker Team"
418
4
6
with Manager Director (MD)
10
6
3
with ABR/AFC
9
24
9
1
# of Downgrades (No longer HR)
34
* Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm.
`• Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC.
Week over week
HR Client Remediation Progress
• arn i 2,17
•53/.1017
•5'522017
WIV:027
• WZEIZZII
is 4.(0:317
• 67:017
• 6:W2.7a
• 6'2i/2'.27
• fann27
1171?)2011
• 7nzt2017
Regards,
Rodrigo
Rodrigo Quintero
Vice President
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
5022 Gate Parkw , Suite 400, 32256 Jacksonville. USA
From: Rodrigo Quintero
Sent: Monday, Jul 10 2017 8:34 AM
To: Patrick Harris
Cc: Emily Craig
Daphne Cales
; Janice Franklin
Armen Brash
ea]
ech <
1 Vaishali-P
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0042240
CONFIDENTIAL
SDNY_GM_00188424
EFTA01356394
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