EFTA Document EFTA01402204

Subject: Re: ref. case#1469681 - reopen a/ From: Daphne Cales ‹ > Date: Fri, 02 Oct 2015 16:44:46 -0400 To: Halina Laczny Cc: Jj Litchford Classification: For Internal Use Only Thanks. - urgent [I] From: Halina Laczny Sent: Friday, October 02, 2015 04:43 PM To: Daphne Cales Cc: Jj Litchford Subject: FW: ref case#1469681 - reopen a/ - urgent [I] Classification: For internal use only Daphne, I talk to AOG and sent below message to them. I'm waiting for their response. It should come shortly. Kind regards, Halina Laczny Assistant Vice President DB Services New Jersey, GTO Research & Investigations 100 Plaza One - 3rd Floor Jersey City, NJ 07311-3901 MS : JCY03-0343 Phone Securities offered through Deutsche Bank Securities, Inc From: Halina Laczny Sent: Friday, October 02, 2015 4:28 PM To: Manish-m Gupta; PWM AOG Cc: Daphne Cales; Jj Litchford Subject: ref. case#1469681 - reopen a/ - urgent [I] EFTA01402204 Importance: High Classification: For internal use only Manish, A/ and a/ n/o Mort, Inc is currently closed and FO working (KYC) on the re-opening these accounts. FO is asking : We have to confirm these accounts won't get purged from M&I over the weekend. Anyway we can put a status U on the account? Or make sure they don't get purged? ** I think that we can't add/change on the closed account — correct? ** Could you please check above in yellow and reply to it ? Thank you. Kind regards, Halina Laczny Assistant Vice President DB Services New Jersey, GTO Research & Investigations 100 Plaza One - 3rd Floor Jersey City, NJ 07311-3901 MS : JCY03-0343 Phone Securities offered through Deutsche Bank Securities, Inc From: Daphne Cates EFTA01402205 Sent: Friday, October 02, 2015 3:56 PM To: Jj Litchford; Halina Laczny; Paul Morris Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I] Classification: For internal use only Halina: We have to confirm these accounts won't get purged from M&I over the weekend. Anyway we can put a status U on the account? Or make sure they don't get purged? Kind regards, Daphne Cales {https://brandportal.intranet.db.com/img/modules/logo.gif} Daphne Cales Vice President I Service Team & Branch Supervisor Deutsche Bank Trust Company Americas Lending & Deposits 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Mobile Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Jj Litchford Sent: Friday, October 02, 2015 3:54 PM To: Halina Laczny; Paul Morris; Daphne Cales Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I] EFTA01402206 Classification: For internal use only Thanks Halina, we are working on a KYC for the account. This is on hold until Monday. Appreciate the help. fcid:[email protected] JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 Tel. Mobile Email {cid:[email protected]} From: Halina Laczny Sent: Friday, October 02, 2015 3:47 PM To: Paul Morris; Jj Litchford; Daphne Cales Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I] Importance: High Classification: For internal use only A/C# is needed. is still closed, in order to reopen account DB Force teas case On 10/1/2015 JJ created case#01469681 and case was rejected. Please check and advise. Thank you. EFTA01402207 Kind regards, Halina Mort, Inc Demand Deposit Account Action {https://10.159.69.21/opstopb1/images/menu_d_sm.gif} Admin {https://10.159.69.21/opstopb1/images/menu_d_smegif} Window {https://- 10.159.69.21/opstopb1/images/menu_d_sm.gif} Help fhttps://10.159.69.21/- opstopb1/images/menu_d_sm.gifl 2:37:58 PM CDT Show More Account Identification {View Additional Identification Information} Mort, Inc Home: 000-000-0000 Tax ID: F 6100 Red Hook Quarter, B3 Work: Last deposit: 210,000.00, 02/09/2015 EFTA01402208 St. Thomas Branch: 5 - Core Franchise Current bal: 0.00 00802 Prim officer: 81385 - Amanda Kirby United States Virgin Islands Overview Account type: 10 - Business Checking Account short name: Mort, Inc Deposit category: D - Demand Deposit Opened: 02/06/2015 EFTA01402209 Tax ID: Closed, processing: 05/26/2015 Tax ID owner: 1 - Name/address line 1 Entered: 02/06/2015 Birth date: Reopened: Kind regards, Halina Laczny Assistant Vice President DB Services New Jersey, GTO Research & Investigations 100 Plaza One - 3rd Floor Jersey City, NJ 07311-3901 MS : JCY03-0343 Phone Securities offered through Deutsche Bank Securities, Inc From: Paul Morris Sent: Friday, October 02, 2015 10:46 AM To: Jj Litchford; Daphne Cates Cc: Catherine Logreco; Halina Laczny Subject: RE: Account closing notifications - urgent [I] EFTA01402210 Classification: For internal use only The client is funding a transaction in that account today. thanks Paul Morris Managing Director Deutsche Bank Private Bank Office: Cell: From: Jj Litchford Sent: Friday, October 02, 2015 9:12 AM To: Daphne Cales Cc: Catherine Logreco; Halina Laczny; Paul Morris Subject: Re: Account closing notifications - urgent [I] Thanks Daphne. Is there anyway to change that for a given client? For context this client (Southern Financial) has around $200MM at the bank spread over 20+ entities each with multiple accounts. This is a really contentious point for them. Appreciate he help. On Oct 2, 2015, at 9:08 AM, Daphne Cales < > wrote: EFTA01402211 Classification: For internal use only Good morning. Accounts with $0 balances for 90 days are closed automatically on the system. No notification required — if you look at page 43 of the terms and conditions it says we can close an account without notification. It is the account executive/banker/RO's responsibility to make sure accounts are funded and remain active. Let me know if you need anything further. Kind regards, Daphne Cales {https://brandportal.intranet.db.com/img/modules/logo.gif} Daphne Cales Vice President I Service Team & Branch Supervisor Deutsche Bank Trust Company Americas Lending & Deposits 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Mobile Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Catherine Logreco Sent: Thursday, October 01, 2015 6:25 PM To: Daphne Cales Cc: Halina Laczny; Jj Litchford Subject: FW: Account closing notifications - urgent [I] Importance: High EFTA01402212 Classification: For internal use only Hi Daphne, Would your group know about below? From: Halina Laczny Sent: Thursday, October 01, 2015 6:16 PM To: Catherine Logreco Cc: Jj Litchford Subject: RE: Account closing notifications - urgent [I] Importance: High Classification: For internal use only Cathy, We need your help in ref. accts: a/c and a/ Please check if between 2/15/2015 and 5/26/2015 was sent any notices to the client on those accounts ? We appreciate your assistance. Thank you, Kind regards, Halina Laczny Assistant Vice President DB Services New Jersey, GTO Research & Investigations 100 Plaza One - 3rd Floor EFTA01402213 Jersey City, NJ 07311-3901 MS : JCY03-0343 Phone Securities offered through Deutsche Bank Securities, Inc From: Jj Litchford Sent: Thursday, October 01, 2015 5:47 PM To: Halina Laczny Subject: Account closing notifications [I] Classification: For internal use only Hi Halina-- One of our clients tried to transfer money toda to an account which was auto closed due to inactivity (Mort, Inc. a/c ). They are furious because they say they did not receive notification of the closing. Do you know who is in charge of that and if we keep records for mail that was sent? If you don't know, can you help point me in the right direction? This is very time sensitive because the client is so upset. Much appreciated. JJ {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 Tel. Mobile + Email <image006.gif> EFTA01402214 EFTA01402215