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sd-10-EFTA01386325Dept. of JusticeOther

EFTA Document EFTA01386325

GM was able to identify some names of clients that are currently on their portal, and they came back with this list for your clients. This list may not be complete. However, would you please confirm whether or not these individuals should be given access to the new research portal? Please let me know. Thank you. Contact First Name Last Name Email Coverage Employee Client Name Nikhil Patel Deutsche Bank Securities INC,XX Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vi

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Dept. of Justice
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sd-10-EFTA01386325
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GM was able to identify some names of clients that are currently on their portal, and they came back with this list for your clients. This list may not be complete. However, would you please confirm whether or not these individuals should be given access to the new research portal? Please let me know. Thank you. Contact First Name Last Name Email Coverage Employee Client Name Nikhil Patel Deutsche Bank Securities INC,XX Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vi

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
GM was able to identify some names of clients that are currently on their portal, and they came back with this list for your clients. This list may not be complete. However, would you please confirm whether or not these individuals should be given access to the new research portal? Please let me know. Thank you. Contact First Name Last Name Email Coverage Employee Client Name Nikhil Patel Deutsche Bank Securities INC,XX Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax +1(646)690,1193 Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday, November 02, 2017 10:20 AM To: Cc: Armen Brash Nicholas Allen < Subject: RE: MIFID II & research - access to portal for clients III Classification: For Infernal use only Hello, ; Sheffali Welch If you have not had the chance to provide your list of clients who need access to the new Research portal, please do so by the end of the day. As a reminder, we will need the client's name and email address. Thank you. Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087972 CONFIDENTIAL SDNY_GM_00234156 EFTA01386325

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Subject: RE: MIFID II & reseassisSisitents [I] From: Anna-Sofiya Lupolover Date: Thu, 09 Nov 2017 15:17:37 -0500 To: Stewart Oldfield ‹ > Classification: For internal use only Perfect, thank you! Kind Regards, Anna-Sofiya fcid:3 [email protected] Anna-Sofiya Lupolover Assistant Vice President Deutsche Deutsche 345 Park Tel. Fax Email Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 Securities offered through Deutsche Bank

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Subject: RE: MIFID II & research - access to portal for clients [I] From: Stewart Oldfield e > Date: Thu, 09 Nov 2017 15:15:48 -0500 To: Anna-Sofiya Lupolover Bcc: I'm not exactly sure who registered from each client, but the likely emails are below. If anyone gets shut off and cares, I'm sure they will call to be reactivated. Thanks Steve Warner [email protected] Paul Barrett Third Lake Paul Watson ■ Robert Forsythe Orix — skip for now. I think the people who were registered left th

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To clarify, Nikhil Patel is the individual from Safanad. But who should be receiving for the other entities you mentioned? Do you have their email addresses? Safanad - Nikhil Patel - Orix Tisch — Steve Warner Alpha Group — Paul Barrett Third Lake Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. Fr

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Subject: RE: MIFID II & research - access to portal for clients [I] From: Stewart Oldfield ‹ > Date: Thu, 09 Nov 2017 15:19:10 -0500 To: Anna-Sofiya Lupolover Thanks for staying on top of it. I was prepared to just wait for clients to call and yell at me. This way seems better From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 3:18 PM To: Stewart Oldfield ‹ > Subject: RE: MIFID II & research - access to portal for clients [I] Classification: For internal use only Perfect, t

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