EFTA Document EFTA01379540
From: Stewart Oldfield Sent: 10/23/2017 10:37:15 AM To: Amlcompliance In • uirie CC: Cynthia Rodrigue Andrew Gallivan BCC: Subject: RE: Inquiry Regar' ing Accoun Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please call with
Summary
From: Stewart Oldfield Sent: 10/23/2017 10:37:15 AM To: Amlcompliance In • uirie CC: Cynthia Rodrigue Andrew Gallivan BCC: Subject: RE: Inquiry Regar' ing Accoun Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please call with
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EFTA Document EFTA01282225
KY(' Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relabonshe Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Stewart Oldfeld • New PArTI Relationship 2 Ensting PWM Relationship Relationship to FWM: If edstIng, please indicate since when the relationship exist, provide reason for new profile and attach old pr
EFTA Document EFTA01398726
US-Onshore HRIPM Due2017 Customer Name leustomer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Explanation Bank Auto Exempt Reason Client Since Date Hernstadt, Edward W. Liz Payne 2017 1 3/20/1985 CLAWSON, CURTIS J Sean Jules 2017 1 1/24/2003 Sillerman, Robert F.X. Terri Sohrab 2017 1 1/5/2007 Allen, Paul Gardner Russell Daulton 2017 1 12/8/2009 Desnick, James Rosemary Vrablic 2017 1 7/22/2008 Desnick, Ahuva Rosemary Vrablic 2017 1 7/29/2
EFTA Document EFTA01431279
Subject: RE: Assistance required in resolving points - KYC #01977695 [I] From: Bradley Gillin Date: Wed, 24 Oct 2018 13:46:24 -0400 To: Alka Babu <fl. Cc: Vinita Advani < Vijay-A Sawant Stewart Oldfield Richard Iarossi <[email protected]> Classification: For internal use only Alka, See below in blue. We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highli
EFTA Document EFTA01398793
Subject: RE: MD approval for ACUs completed for High Risk Clients [I] From: Andrew Gallivan Date: Fri, 07 Apr 2017 To: Vaishali-P Mehta < Classification: For internal use only Approved. From: Vaishali-P Mehta Sent: Friday, April 07, 2017 2:21 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I s
EFTA Document EFTA01420255
Subject: FW: RUSH EXCO Approval Needed: KYC Case 01898372 [I] From: Dana Ponzio ‹ > Date: Wed, 14 Mar 2018 11:43:32 -0400 To: Stewart Oldfield ‹ > Classification: For internal use only Hi-This is the approval you were asking about yesterday? Kind Regards, Dana Ponzio {https://brandportal.intranet.db.com/img/modules/logo.gif} Dana Ponzio Executive Assistant to Patrick Campion and Sheffali Welch Deutsche Bank Trust Company Americas US Private Wealth Management 345 Park Avenue, 24th Fl
EFTA Document EFTA01425911
Subject: RE: Inquiry Regarding Account Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] From: Stewart Oldfield ‹ > Date: Mon, 23 Oct 2017 10:37:15 -0400 To: Amlcompliance Inquiries Cc: Cynthia Rodriguez Andrew Gallivan Bcc: Purpose of the wire is advisory fees Alpha Group Capital is an RIA that is now providing advisory and trading services to Southern Trust and Southern Financial You should expect to see wires consistently between the two parties. Please c
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