EFTA Document EFTA01425553

Subject: Re: Epstein - ne ative media [I] From: Kimberly Hart Date: Thu, 01 Nov 20 : : - To: Stewart Oldfield ‹ > Sounds like fun :-) Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc On Nov 1, 2018, at 7:02 AM, Stewart Oldfield wrote: Just finished yesterday. It's good but they stretched a day and half of material into two and a half days. All in a windowless room in the basement of 60 Wall ... Stewart Oldfield, CFA, CAIA Director 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 Nov 1, 2018, at 6:48 AM, Kimberly Hart <[email protected]> wrote: EFTA01425553 No worries - was just checking in. How is the training? Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Mobil Email Securities offered through Deutsche Bank Securities Inc On Oct 31, 2018, at 11:05 PM, Stewart Oldfield <a> wrote: I'm talking to his CFO tmw for more details. Missed him the last few days while I was in sales training. Sorry for the delay. Thanks. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. On Oct 31, 2018, at 9:00 PM, Kimberly Hart <[email protected]> wrote: Were you able to obtain the additional details from the client as discussed with Andrew? Kimberly Hart Managing Director I Divisional Control Officer EFTA01425554 Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc On Oct 22, 2018, at 3:39 PM, Stewart Oldfield wrote: > Might be easiest to discuss. Please let me know when From: Kimberly Hart Sent: Monday, October 22, 2018 2:30 PM To: Richard Iarossi < Cc: Bradle Gillin < ; >; An rew Ga ivan Subject: FW: Epstein - negative media [I] Classification: For internal use only It is hard for me to comment without additional information. I am comforted by the fact that the case was dismissed but it would be helpful to know the following: (1) Why was this suit brought against Mr. Epstein? What was his connection to Hoffenberg? (2) What was told to you by Mr. Epstein or his representatives regarding the claims? Did he serve as a "consultant" to TFC? (3) Why were the claims dismissed? (4) Has Andrew reviewed the information and is he comfortable maintaining the relationship with Mr. Epstein and his related entities? EFTA01425555 <image001.gif> Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Tel Fax Mobil Email Securities offered through Deutsche Bank Securities Inc. From: Richard Iarossi Sent: Monday, October 22, 2018 1:36 PM To: Kimberly Hart Cc: Bradley Gillin > Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, I hope you had a nice weekend. Stewart Oldfield Just wanted to follow up on the below. Attached is the Dismissal Notice for the latest lawsuit filed against Jeffrey Epstein. Compliance has asked that we obtain your approval to continue the KYC approval process. EFTA01425556 Please let me know if you have any questions or would like to discuss. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Richard Iarossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, Stewart Oldfield AML Compliance (Yoonsun) has requested that we receive your approval to move forward on all Southern Financial/Epstein KYC remediation's. As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. EFTA01425557 As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due diligence? <image001.gif> Kimberly Hart Managing Director I Divisional Control Officer EFTA01425558 Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, October 09, 2018 11:03 AM To: Kimberly Hart Cc: Bradley Gillin Subject: Epstein - negative media Kim, This just surfaced in our latest KYC reviews. Let's discuss what info I need from the client and then next steps. Thanks http://www.classactionsreporter.com/sites/default/files/- towers_ponzi_scheme_complaint.pdf <image002.png> Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas EFTA01425559 Deutsche Bank Wealth Management 345 Park Avenue. New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. EFTA01425560