EFTA Document EFTA01373350

Case: 01774563 - Salesforce - Unlimited Edition Page 1 of 9 salesforce.corn Case: 01774563 • Close Wndow • Print This Page • Expand All I Collapse All V Relationship Details Relationship Name LAPIDUS, LILIA JUDITH RELATIONSHIP Primary Officer Mauricio Pretelt Reason for KYC Update to KYC Wealth Details Same for All Parties Moderate Risk High Risk 1 Relationship ■ Number Case Owner Approved KYC DB Pay for Third party for introduction Describe, Third party compensation v Special Client Type (select if applicable) DB Employee DB is Trustee/Co- Trustee Custom Links Import Documents Export Documents View Documents From Repository Status Office Reason for Update fif Applicable) Reason for Rejection (If Applicable) Reason for Rush (II applicable) Exception Expires Reason for Exception (If Applicable) Booking Location How Client Was Introduced Introduction Details DB Managed PIC Bearer Shares? KYC Wizard Launch Due Diligence View Due-Diligence Case- Report 6. Approved New York This KYC serves as the 2017 high risk review for the brokerage account held by Berta Ruth Bronstein de Lapidus, Analia Lapidus, and Lilia Judith Lapidus. Please refer to original KYC No. 1190044 for additional information. There are no further changes. Please provide address verification for Berta Ruth Bronstein de Lapidus. (RESOLVED) NY Other Source Ms Berta Ruth Bronstein de Lapidus is the widow of Mr. Enrique Lapidus, a DB Suisse client who passed away. Martin Barzi was the RM for the Lapidus family for many years. Mauricio Preteft now manages the relationship. Global KYC Print hups://dbforcepb.my.salesforce.com/500320000ICFHYH/p?retURL=15003200001CFHY. . . 4/10/2018 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0067480 CONFIDENTIAL SDNY_GM_00213664 EFTA01373350