Case File
efta-01427344DOJ Data Set 10OtherEFTA01427344
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Unknown
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DOJ Data Set 10
Reference
efta-01427344
Pages
2
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0
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Text extracted via OCR from the original document. May contain errors from the scanning process.
Subject: Approval Needed - List of Preferreds
From: Andrew King
Date: Fri, 10 Jun 20
•
•
-
To: Zbynek Kozelsky
Cc: Stewart Oldfield
Ziggy,
I've attached a list of preferred equities that was asked for by Richard
Kahn; the CFO for Southern Financial, which is an investment entity for the
personal wealth of Jeffrey Epstein (one of Stew Oldfield's clients).
The list isn't a recommendation. Instead, it is a list of commonly traded
preferred equities, which Richard and Jeffrey can select from to build their
own basket.
The original list was provided by Delores Rubin from STG. ISG added the
preferred equity CUSIPS, the average daily volume, the Bloomberg consensus
rating for the issuers' common equity, and the DB rating for the issuers'
common equity columns. Bloomberg was the source of the non DB information.
We'd like to send on Monday afternoon at the latest. Please let us know what
disclosures would be required for approval.
Thanks in advance.
Best regards,
Andrew King
{cid:[email protected]}
Andrew King, CFA
Vice President I Investment Solutions Group
Deutsche Bank Securities Inc.
Deutsche Asset & Wealth Management
EFTA01427344
345 Park Avenue. New York. NY 10154
fcid:[email protected]
EFTA01427345
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Subject: RE: Southern Financial - Client Confirmation [C] From: Xavier Avila Date: Wed, 28 Mar 2018 18:04:47 To: Richard Kahn Paul Barrett Cc: Martin Zeman Liam Osullivan Davide-A Nina Tona Stewart Oldfield -0400 Richard, as discussed today, in order for the Southern Financial account in Global Markets can get KYCed and we can extend product adoptions to a couple of other asset classes (credit and equity OTC derivatives), we need you to confirm that the below information and the at
4p
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