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DOJ EFTA Data Set 10 document EFTA01300859
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EFTA Document EFTA01467630
Subject: Re: [C] From: Paul Morris ‹ > Date: Mon, 10 Mar 2014 13:43:53 -0400 To: Classification: Confidential i can get on phone tomorrow at 11 or 2? Paul Morris Managing Director Deutsche Bank Private Bank 345 Park Avenue, 27th Floor New York, NY 10154 Office: Cell: From: David Mitchell <ffi la> To: Paul Morris/db/- dbcom@DBAMERICAS, Date: 03/10/2014 01:41 PM Subject: Re: [C] what works for you David Mitchell MITCHELL HOLDINGS LLC On Mar 10, 2014, at 1:35 PM, "Paul Morris" c >
EFTA Document EFTA01386112
AGP LP 519 Alpha Group Caudal Paul Barren STIFEL, NICOLAUS & COMPANY, INCORPORATED Waived Disqualifying Events On December 6, 2016, a final judgment ("Judgment") was entered against Stifel, Nicolaus & Company, Inc. ("Stifel Nicolaus") by the United States District Court for the Eastern District of Wisconsin (Civil Action No. 2:11-cv-00755) resolving a civil lawsuit filed by the U.S. Securities & Exchange Commission (the "SEC") in 2011 involving violations of several antifraud provisions o
15 July 7 2016 - July 17 2016 working progress_Redacted.pdf
Kristen M. Simkins From: Sent: To: Cc: Subject: Irons, Janet < Tuesday, July 12, 2016 10:47 AM Richard C. Smith Hello Warden Smith, mother is anxious to hear the results of your inquiry into her daughter's health. I'd be grateful if you could email or call me at your earliest convenience. I'm free today after 2 p.m. Alternatively, we could meet after the Prison Board of Inspectors Meeting this coming Thursday. Best wishes, Janet Irons 1 Kristen M. Simkins From: Sent:
EFTA Document EFTA01407289
NAME SEARCHED: Harry Beller PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: RDC PCR
EFTA Document EFTA01374040
AGP LP 519 Alpha Group Caudal Paul Barren STIFEL, NICOLAUS & COMPANY, INCORPORATED Waived Disqualifying Events On December 6, 2016, a final judgment ("Judgment") was entered against Stifel, Nicolaus & Company, Inc. ("Stifel Nicolaus") by the United States District Court for the Eastern District of Wisconsin (Civil Action No. 2:11-cv-00755) resolving a civil lawsuit filed by the U.S. Securities & Exchange Commission (the "SEC") in 2011 involving violations of several antifraud provisions o
EFTA Document EFTA01474962
Please find attached the October issue of CIO View, Deutsche Asset & Wealth Management's flagship thought-leadership publication. In this edition, Chief Investment Officer Asoka W6hrmann tackles the question "Why are markets so unsettled?" and explores why we believe a global economic recovery remains intact despite a more muted outlook for some markets, particularly in developing countries. His nine positions are: Pace of global economic growth is likely to slow down for a while. Emergi
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