EFTA Document EFTA01435244

[email protected] Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 [I] From: Vijay-A Sawant Date: Wed, 17 Oct 20 To: Bradley Gillin < Stewart Oldfield Cc: Richard Iaros Mayur Rathod Hello Brad/Stewart, Many thanks for all the docs. We have re-submitted this rejected KYC (01977695) back to AML for final approval. Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway - 400063 , India From: Bradley Gillin Sent: Friday, October 12, 2018 9:13 PM To: Vijay-A Sawant Stewart Oldfield Cc: Richard Iarossi < ; Mayur Rathod Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 [I] EFTA01435244 Classification: For internal use only Vijay, Paul Barrett should be added to the KYC — ID and SS# attached. See attached bank statement for Zorro. Regards, Brad fcid:[email protected] Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Friday, October 12, 2018 4:11 AM To: Stewart Oldfield < >; Bradley Gillin ; Mayur Rathod Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 Importance: High EFTA01435245 Hi Stewart, Many thanks for the confirmation, we look forward to the documentation regarding the case dismissal which should help in resolving the rejection point below. Below two are the remaining pending items - 1) Please provide documentation that evidences signing authority for - Southern Trust Company Inc - N4G023812 - DBSI. (KG - UNRESOLVED. After reviewing this account in NetEx, it seems that Paul S Barrett is was added as an LPOA. Please add him and provide the appropriate research etc.) — Kindly advise on this? Does Paul Barrett really need to be added? He was not added in previously approved cases. Kindly provide supporting documentation if your answer is yes. 2) Please provide proof of address for Zorro Management LLC? (KG — UNRESOLVED. Please provide independent proof) — Please advise if ok to use DB bank statement as 'independent' proof of address or provide any alternative relevant doc, if available. They are not accepting address verification from the LLC Agreement for this entity. Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India [email protected] From: Stewart Oldfield Sent: Friday, October 12, 2018 3:41 AM To: Vijay-A Sawant Bradley Gitlin EFTA01435246 Cc: Richard Iarossi <[email protected]>; Mayur Rathod <[email protected]> Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 I understand that this lawsuit was frivolous and has been dismissed. Will get some documentation so you can close all of these out and complete the KYCs. If there's anything else we still need to do that, let us know. Thanks From: Vijay-A Sawant Sent: Tuesday, October 09, 2018 9:48 AM To: Bradle Gillin Stewart Oldfield Cc: Richard Iarossi Mayur Rathod <Mal Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 Hi Brad, As discussed, please refer to attached research report Pg 89 which indicates $1BN lawsuit against Jeffrey by Gerber, Et Al. Regards, fcid:1 [email protected] Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management EFTA01435247 B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. Mobil [email protected] From: Vijay-A Sawant Sent: Monday, Octob To: Bradley Gillin i....21 4: PM om>; Stewart Oldfield Cc: Richard Iarossi ; Mayur Rathod <[email protected]> Subject: Assistance required in resolving Rejection Points - KYC 01977695 Good Morning Brad/Stewart, We require your assistance today in resolving below rejection points — Relationship: EPSTEIN, JEFFREY RELATIONSHIP Customer Name: Epstein, Jeffrey E Customer Number: 00000483289 Reason for Rejection: 1) Please provide documentation that evidences signing authority for - Southern Trust Company Inc - N4G023812 - DBSI. (KG - UNRESOLVED. After reviewing this account in NetEx, it seems that Paul S Barrett is was added as an LPOA. Please add him and provide the appropriate research etc.) — Kindly advise on this? Does Paul Barrett really need to be added? He was not added in previously approved cases. Kindly provide supporting documentation if your answer is yes. 2) Please provide proof of address for Zorro Management LLC? (KG — UNRESOLVED. Please provide independent proof) — Please advise if ok to use DB bank statement as 'independent' proof of address or provide any alternative relevant doc, if available. They are not accepting address verification from the LLC Agreement for this entity. 4) Please address the "Gerber Et Al V. The Financial Trust Company Et Al" EFTA01435248 lawsuit under Jeffrey Epsteins research. (KG — UNRESOLVED. As per the email from Kim Hart, the conditional approval was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted sex offender Jeffrey Epstein in New York federal court on Tuesday for his alleged role in developing and executing a $473 million Ponzi scheme for which Steven Hoffenberg was convicted in 1997. We look forward to your responses so we can submit this rejection case accordingly, thanks. Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway - 400063 , India EFTA01435249