EFTA Document EFTA01413634

Subject: RE: ****REVISED**** RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] From: William Barrett Date: Fri, 10 May 2019 15:09:37 -0400 To: Brigid Macias Cc: aves an ani Rishabh Sharma Oversight Control <oversi ht.control@db.com>, Vikas Dave Stewart Oldfield Natalie Barak Classification: For internal use only BSO temporary exception approved to reopen the account. Once the issue is resolve please respond to this e mail by 5/16/19, at which time the exception will expire. Regards, William Barrett {logo} William Barrett Assistant Vice President I Business Supervisory Office Deutsche Bank Securities Inc. 5022 Gate Parkwa , Suite 400, 32256 Jacksonville, USA Tel. Mobil Email {positiveimpact} From: Brigid Macias Sent: Friday, May 10, 2019 2:40 PM To: 'bsoexceptions@list.db.com' <bsoexce tions@list.db.com> Cc: Bhavesh Chandani ; Rishabh Sharma EFTA01413634 Dave Oldfield Subject: FW: 42953432 [I] Importance: High REVISED** ; Oversight Control <oversight.control@db.com>; Vikas ; Stewart ; Natalie Barak RE: Non Post Transactions 05-09-2019 For AC Good Afternoon, RE: 42953432 - HYPERION AIR, LLC Can you please provide an approval to temporarily open the above referenced account so we can manually post a credit and debit, then close the account? The client processed an internal transfer from Online Banking from account 35269691 - JEFFREY EPSTEIN for $100,000 to the above account. The client then processed an outgoing wire (case 02087161) for $100,000. Both transactions were processed on 5/9/19. I put up case 02087297 to close the account as the balance was zero on 5/9/19. The issue we are having is, because the above account was closed, the back office cannot post the credit and debit accordingly. As per my conversation with the client, the recipient has already received the funds from the online banking wire. The client doesn't want to post the debit to another account as they see everything processed accordingly. The second issue will be, if we leave this alone, it will be an audit issue if we cannot show evidence the credit and debit were posted correctly. Once we process the credit and debit, I can close the account. EFTA01413635 If you need to speak with me, please call me. Kind regards, Brigid Macias fcid:image004.png@OlD50742.5C1789601 Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Brigid Macias Sent: Friday, May 10, 2019 2:17 PM To: Rishabh Sharma >; Bradley Gillin Gilkinson ; Rachel Cc: Natalie Barak egtopwmbankingexceptioncheckprocessing@list <gtopwmbankingexceptioncheckprocessing@list <oversight.control@db.com>; Vikas Dave Daphne Cales Subject: RE: ****REVISED**** RE: Non Post Transactions 42953432 [I] Importance: High Monica Stewart Oldfield Wachs < .db.com' .db.com›; Oversight Control ; Armen Brash 05-09-2019 For AC EFTA01413636 Im on with Bhavesh at the moment regarding this. Kind regards, Brigid Macias {cid:image004.png@OlD50742.5C178960} Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Rishabh Sharma Sent: Friday, May 10, 2019 1:49 PM To: Stewart Oldfield Wachs Cc: Nata :ara 'gtopwmbankingexceptioncheckprocessing@list.db com' <gtopwmbankingexceptioncheckprocessing@list.db com> <oversit trol@db.com>; Vikas Dave ; Daphne Cales Subject: ****REVISED**** RE: Non Post Transactions 42953432 [I] ; Bradley Gillin • Monica Gilkinson ; Brigid Macias ; Rachel • Oversight Control ; Armen Brash 05-09-2019 For AC Classification: For internal use only EFTA01413637 Hello, Please provide update on below before our cutoff of 2:30 PM EST. We cannot hold both these Debit and Credit breaks in our Non post GL, hence would need your decision today. Regards, Rishabh Sharma fcid:image003.png@OlD2OF46.0F9EFA101 DBOI Global Services Private Limited COO Wealth Management Operations Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 3 India Tel 02029 Jai ur . Mobile Email : Please send all the Banking related Queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessing@list.db.com From: Naveen Bagaria [mailto: Sent: Friday, May 10, 2019 11:42 AM To: Brigid Macias Cc: Stewart Oldfield ; Natalie Barak •ca>; 'gtopwmbankingexceptioncheckprocessing@list.db com' <gtopwmbankingexceptioncheckprocessing@list.db.com>; Oversight Control EFTA01413638 <oversight.control@db.com> Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] Classification: For internal use only Absolutely not, Brigid. This account # 42953432 doesn't even have a penny at this moment. Both the credit and debit transaction for 100K got stuck in Non Post as the account is closed. In order to pass both these transactions using this account — it needs to be open & active. And most importantly if you wish to close the account again, you need to make sure that happens the next day. Please let me know if this makes sense? Regards Naveen Bagaria COO - Wealth Management Operations DBOI Global Services Private Limited Tel: I VOIP: Fex: I Cell: Please send all Banking related queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessing@list.db.com From: Brigid Macias [mailto Sent: Friday, May 10, 2019 11:33 AM To: Ankit-Kumar Sharma Bhavesh Chandani Cc: Stewart 0 dfie d ; Natalie Barak EFTA01413639 'gtopwmbankingexceptioncheckprocessing@list.db.com' <gtopwmbankingexceptioncheckprocessing@list.db.com>; Oversight Control <oversight.control@db.com> Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] This account 42953432. Kind regards, Brigid Macias {cid:image001.png@OlD50725.12063A00} Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New York, NY 10154 Tel. Fax Emai Securities offered through Deutsche Bank Securities Inc. From: Ankit-Kumar Sharma Sent: Friday, May 10, 2019 11:32 AM To: Brigid Macias ; Bhavesh Chandani ewar ie ; Natalie Barak la; 'gtopwmbankingexceptioncheckprocessing@list.db.com' EFTA01413640 <gtopwmbankingexceptioncheckprocessing@list.db.com>; Oversight Control <oversight.control@db.com> Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] Hi Brigid, Which account? Kind regards ? {cid:image001.png@01D1D7AA.4A648990} Ankit Kumar Sharma Analyst I PWM-US Ops — Banking COO - Wealth Management Operations DBOI Global Services Private Limited A-1 Tower , Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel: Mobil Email Please send all Banking related queries to our new Group E-mail ID - gtopwmbankingexceptioncheckprocessing@list.db.com From: Brigid Macias [mailto Sent: Friday, May 10, 2019 11:27 AM To: Bhavesh Chandani Cc: Stewart Oldfield ; Natalie Barak ; 'gtopwmbankingexceptioncheckprocessing@list.db com' <g opwm an ingexcep ioncheckprocessing@list.db.com>; Oversight Control EFTA01413641 <oversight.control@db.com> Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] Importance: High Can we post to this account? Will the account be overdrawn? Kind regards, Brigid Macias {cid:image001.png@OlD50725.12063A00} Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New York NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Bhavesh Chandani Sent: Friday, May 10, 2019 11:24 AM To: Brigid Macias Cc: Stewart Oldfield ; Natalie Barak ; igtopwmbankingexceptioncheckprocessing@list.db.com' <gtopwmar gexceptioncheckprocessing@list.db.com>; Oversi ht Control <oversi ht.control@db.com›; Rishabh Shah ; Rishabh Sharma Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] EFTA01413642 Classification: For internal use only Hi Brigid, For the below account client submitted a wire yesterday. As yesterday you also submitted a case to close the account, so when the night batch ran it got account closed so the entry was bounced back to non- post. Please let me know if I can call you regarding the same. Kind Regards? Bhavesh Chandani {cid:image002.png@01D1AB5D.AD617A90} Bhavesh Chandani Process Supervisor I PWM US Operations DBOI Global Services Private Limited COO Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Mobile VOIP telephone: Email {cid:image003.png@01D424E9.BC333740} Integrity I Sustainable Performance Client Centricity Innovation EFTA01413643 Discipline I Partnership Please send all the Banking related Queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessing@list.db.com 10, 2019 IP IR From: Rishabh Shah [mailto: Sent: Friday, May To: Rishabh Sharma Cc: Stewart Oldfield Brigid Macias .: >; Natalie Barak 'gtopwmbankingexceptioncheckprocessing@list.db.com' <gtopwmbankingexceptioncheckprocessing@list.db.com>; Oversight Control <oversight.control@db.com> Subject: RE: Non Post Transactions 05-09-2019 For AC 42953432 [I] Please advise Brigid on below. Regards, {https://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gif} RISHABH SHAH Wealth Management (PWM US OPS - BANKING) DBOI Global Services Pvt Ltd. Deutsche Bank Group EFTA01413644 A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India From: Brigid Macias Sent: Friday, May 10, 2019 9:49 AM To: Rishabh Shah Cc: Oversi ht Control <oversight.control@db.com>; Natalie Barak ; Stewart Oldfield Subject: FW: Non Post Transactions 05-09-2019 For AC 42953432 [I] Importance: High Good Morning, Can you please advise what this means? The client put up case 02087161 on 5/9 so the funds should have been deducted yesterday from the account. Kind regards, Brigid Macias fcid:image004.png@OlD50722.B987E0B01 Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New York, NY 10154 Tel. Fax Emai EFTA01413645 Securities offered through Deutsche Bank Securities Inc. From: Rishabh Sharma Sent: Friday, May 10, 2019 9:06 AM To: Stewart Oldfield Wachs Cc: 1gtopwmbankingexceptioncheckprocessing@list.db.com' < to wmbankin exce tioncheckprocessing@list.db.com>; Debra Jasper ; Halina Laczny <E IMe; Oversight Control <oversight.control@db.com> Subject: Non Post Transactions 05-09-2019 For AC 42953432 [I] >; Bradle Gillin ; Monica Gilkinson ; Rachel Classification: For internal use only Hi Team, Please advise, if the below transaction(s) are okay to post or not:- Please note A/C is closed : 05/09/2019 5 42-953-432 HYPERION AIR, L 286 100,000.00 ACCOUNT CLOSED 997000509092719 524 N REF 1290927L FUNDS TRANSFER FRM DEP 35269691 FROM 5 42-953-432 HYPERION AIR, L 822 100,000.00 ACCOUNT CLOSED 998000509110307 521 N TO MANUFACTURERS A ND TRADERS TRUST C 0 A/C 9852497537 I NTERNATIONAL JET I NTERIORS, INC. If any of the transactions are deemed fraudulent, you must immediately notify your business manager and report the fraud to PBFraudReporting. Please follow the steps detailed in the fraud procedures. EFTA01413646 https://awm.wm.intranet.db.com/forms/private-bank-forms-account-agreements/- fraud Regards, Rishabh Sharma fcid:image003.png@OlD2OF46.0F9EFA101 DBOI Global Services Private Limited COO Wealth Management Operations Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jai ur, India Tel. Mobile Email Please send all the Banking related Queries to our new Group E-mail ID gtopwmbankingexceptioncheckprocessing@list.db.com This e-mail may contain confidential and/or privileged information. If you are not the intended recipient (or have received this e-mail in error) please notify the sender immediately and destroy this e-mail. 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If you are not the intended recipient (or have received this e-mail in error) please notify the sender immediately and destroy this e-mail. Any unauthorized copying, disclosure or distribution of the material in this e- mail is strictly forbidden. Privacy of communications In order to monitor compliance with legal and regulatory obligations and our policies, procedures and compliance programs, we may review emails and instant messages passing through our IT systems (including any personal data and customer information they contain), and record telephone calls routed EFTA01413648 via our telephone systems. We will only do so in accordance with local laws and regulations. In some countries please refer to your local DB website for a copy of our Privacy Policy. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01413649