EFTA Document EFTA01299339

Mayur Rathod From: Yoonsun Chung Sent: Wednesday, November 14, 2018 7:04 PM To: Kimberly Hart; Mayur Rathod Cc: Andrew Gallivan; Stewart Oldfield; Richard larossi; Bradley Gillin Subject: RE: Epstein - negative media [I] [C] Thank you Kim. Yoonsun Chung Vice President I AML Compliance Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA ME From: Kimberly Han <alb com> Date: Wednesday, Nov 14 2018 8:16 AM To: Yoonsun Chung • An Iliv , Bradley Gillin Subject: FW: Epstein - negative media Ill ICI Classification: Confidential Mayur Rathod Richard larossi Yoonsun/Mayur — I received the below email from Andrew Gallivan confirming his comfort with continuing the Epstein relationship. I do not see any new allegations that have not been previously considered and risk accepted. The recent lawsuit appears to be unfounded and was promptly withdrawn. Please let me know if you are seeing something additional that should be considered and escalated. Otherwise, I think that we can proceed based on the previous clearance. Regards, Kim 1 SDNY_GM_00065268 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0028093 EF1'A_00175768 EFTA01299339 Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas "floor, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. From: Andrew Gallivan Sent: Tuesday, November 13, 2018 10:38 AM To: Stewart Oldfield < >; Kimberly Hart < Cc: Bradley Gillin < >; Richard larossi < Subject: RE: Epstein - negative media Ill [CJ Classification: Confidential Based on the below I approve continuing this relationship Regards, Andrew Gallivan Andrew Gallivan Deutsche Bank Trust Company Americas 154-0004 New York, NY, USA Email #Positivel m pact From: Stewart Oldfield Sent: Wednesday, November 07, 2018 5:12 PM To: Andrew Gallivan < >; Kimberly Hart < > Cc: Bradley Gillin < >; Richard Iarossi > Subject: FW: Epstein - negative media [I] I have more info as outlined below based on a conversation with Jeffrey's lawyer. Andrew — please confirm that you remain comfortable with the business risk here. Kim — please forward as necessary 2 SDNY_GM_00065269 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0028094 EFTA_00 I 75769 EFTA01299340 Summary of situation: This was a frivolous lawsuit that was quickly withdrawn by the plaintiff attorneys upon response from Epstein's lawyers. The person ultimately behind the lawsuit was Steven Hoffenberg, who was convicted of fraud and served a long jail sentence. Hoffenberg was called "unstable" and "manic" by the judge that sentenced him. He repeatedly filed lawsuits against the government from jail and against other people (including his lawyers), all of which were dismissed. He convinced the plaintiffs to file this suit as a class action. That way Hoffenberg wouldn't be the plaintiff himself. The original matter here was thoroughly investigated by the SEC and others and Hoffenberg was the only person deemed to have been involved. If you Google Hoffenberg, it's easy to find the full history here. I think we should accept this matter as closed on our side. Thanks From: Richard larossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart < Cc: Bradley Gillin < >; Stewart Oldfield < Subject: RE: Epstein - negative media ill Classification: For Internal use only Hi Kim, 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. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard larossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New Yor NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM 3 SDNY_GM_00065270 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0028095 EFTA_00 175770 EFTA01299341 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? L Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas Park Avenue. 14" floor. New York. NY 10154 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 Stewart Oldfield, CFA. CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York. NY 10154 Securities offered through Deutsche Bank Securities Inc. 4 SDNY_GM_00065271 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0028096 EFTA_00I 75771 EFTA01299342 5 SDNY_GM_00065272 CONFIDENTIAL - PURSUANT TO FED. R.Q0NIE IDENTIAL DB-SDNY-0028097 EFTA_00I75772 EFTA01299343