EFTA Document EFTA01425048

Subject: Re: returned funds to Caterpillar From: Stewart Oldfield ‹ > Date: Tue, 02 Apr 2019 18:06:20 -0400 To: Brigid Macias Cc: Natalie Barak No. Doesn't work. Although, we may have done it just last year. Double check. This is being done to exit the relationship. Stewart Oldfield, CFA, CAIA Deutsche Deutsche 345 Park Tel. Mobile Email Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Apr 2, 2019, at 11:07 PM, Brigid Macias <[email protected]> wrote: >Hi, Please see below. We are now being asked to process an updated KYC to re-open this account. Suggestions? Kind regards, Brigid Macias <image004.png> EFTA01425048 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: Sunil-F Kumar Sent: Tuesday, April 02, 2019 5:03 PM To: Brigid Macias Cc: ' ricit il,” L irne funds to Caterpillar Hi Brigid, ; Natalie Barak In the review stage we identified that approved KYC for the client is not valid as, this KYC#01898372 was valid till 13th Feb 2019 as this is a high risk client. Please provide a valid KYC in order to approve this request. Kind regards, Sunil Kumar EFTA01425049 <image001.png> PWM US Operations DBOI Global Services Private Limited C00 Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Mobil Email Please send all the PWM AOG- COB mail related Queires to our new Group E- mail ID [email protected] From: Brigid Macias [mailto: Sent: Wednesday, A ril 03, 2019 2:14 AM To: Ruchi Lohani Cc: Subject: RE: returned funds to Caterpillar Good Afternoon, Following up on the below please. Kind regards, Brigid Macias >; Natalie Barak EFTA01425050 <image002.png> Brigid Macias Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue 24th Floor New Y rk NY 1.1 4 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Brigid Macias Sent: Tuesday, April 02, 2019 11:09 AM To: Ruchi Lohani Cc: Natalie Barak • Subject: RE: returned funds to Caterpillar Importance: High Good Morning, Please see attached. Please provide approval so we can get this account opened today. Kind regards, Brigid Macias EFTA01425051 <image002.png> 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: Ruchi Lohani Sent: Friday, March 29 2019 4:27 PM To: Brigid Macias Cc: Bradle Gillin Subject: RE: returned funds to Caterpillar Hi Brigid, • Natalie Barak We would need client letter confirmation as the account is closed by customer request. Kind regards, Ruchi Lohani EFTA01425052 <image003.png> Ruchi Lohani PWM Tel. 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 Tel. Emai Please send all the PWM AOG- COB related Queires to our new Group E-mail ID From: Brigid Macias [mailto Sent: Saturday, March 30, 2019 1:26 AM To: c: Bradley ; Natalie Barak Subject: FW: returned funds to Caterpillar Good Afternoon, RE: 42969987 - THE 2017 CATERPILLAR TRUST Can you please approve to reopen the above account so we can credit back a returned wire? Kind regards, EFTA01425053 Brigid Macias <image002.png> 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: Natalie Barak Sent: Friday, March 29, 2019 3:52 PM To: Brigid Macias Cc: Bradley Gillin Subject: Fwd: returned funds to Caterpillar Hi Brigid. Can we reopen the account? What would we need? Natalie Barak Begin forwarded message: From: Richard Kahn <O> Date: March 29, 20 To: Natalie Barak Cc: Bella Klein , tewart Oldfield , Bradley Gillin EFTA01425054 Subject: Re: returned funds to Caterpillar this is a trust with limited ability on where funds can go.. trust does not allow for any of the entities that remain at DB to receive a distribution thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New tel fax cel On Mar 29, 2019, at 3:17 PM, Natalie Barak wrote: Hi Bella The first step is to credit the returned funds to an existing account. Can you let me know which one? Step two will be to initiate another wire. Kindly provide a signed letter of instruction and be sure to make note of the debit account number and dollar amount. Please let me know if you have any questions. EFTA01425055 Natalie Barak On Mar 29, 2019, at 3:08 PM, Bella Klein a wrote: Natalie, As Trustee of The 2013 Butterfly Trust I would like to send this money to HBRK Associates for accounting fees. Wire instructions below: Bank Name: TD Bank Routing No: Account Name: HBRK Associates Inc Account No: Thank you, Bella Tel On Mar 29, 2019, at 10:35 AM, Natalie Barak wrote: EFTA01425056 Hi Bella — Stewart is travelling for work so I wanted to touch base on the below. Kindly advise. Regards, Natalie <image002.gif> Natalie Barak Vice President I Relationship Officer Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc EFTA01425057 From: Stewart Oldfield Sent: Thursday, March 28, 2019 11:29 AM To: Bella Klein Cc: Richard Kahn ; Bradley Gitlin <[email protected]>; Natalie Barak <[email protected]> Subject: returned funds to Caterpillar We had an $8723.23 wire returned that was sent to Caterpillar. Since that account is now closed, we need to credit the funds to a different account. What's the best one to use? Thanks <image003.png> Stewart Oldfield, CFA, CAIA Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile 917 209-0686 Email Securities offered through Deutsche Bank Securities Inc. 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. EFTA01425058 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. <image002.gif><image003.png> 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. EFTA01425059 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. EFTA01425060