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efta-01362233DOJ Data Set 10Other

EFTA01362233

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DOJ Data Set 10
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efta-01362233
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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
From: Vahe StepanianIPMIMMINSIMI Sent: 8/1/2017 11:08:58 AM To: Stewart 0ldfield CC: Bradley Gill in [IPPIRIIIIMPIPIPPMMUIPIN; Cynthia Rodrigue Subject: RE: Trade Update 8/1/2017 [C] Classification: Confidential I haven't put either Tisch or SFLLC trading on the pipeline (given small size) — but revenue is automatically tracked via Pershing once traded. Happy to add if you feel otherwise. From: Stewart Oldfield Sent: Tuesday, August 01, 2017 10:59 AM To: Vahe Stepanian Cc: Bradley Gillin >; Cynthia Rodriguez Subject: RE: Trade Update 8/1/2017 IC] Are you managing the brokerage revenues through the KCP pipeline? Don't want to double count on my side. Thanks From: Vahe Stepanian Sent: Tuesday, August 01, 2017 10:58 AM To: Steve Warner < Cc: Stewart Oldfield Liam Osullivan Subject: Trade Update 8/1/2017 [C] Classification: Confidential Steve — thus far, you've executed the following per our conversation: S 5,400 L @ $48.61185 Please give me a call if you wish to amend your order. Thank you, Vahe Vahe Stepanian Key Client Partners Deutsche Bank Securities Inc. KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3). and who are capable of evaluating the strategies, characteristics and investment risks of. and exercising independent judgment in evaluating. the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution. and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products. investment ideas and solutions and related matters discussed herein we provided for discussion purposes only. and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051576 CONFIDENTIAL SDNY_GM_00197760 EFTA01362233

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