EFTA Document EFTA01408713

Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] From: Jitan Patel <a> Date: Mon, 26 Feb 2018 18:23:58 -0500 To: Nina Tona Rita Shteynberg Zack Bunimovich Lindsay Robinson Cc: [email protected], Davide-A Sferrazza ‹ > Classification: For internal use only Hi Nina, Megha Arora includes you on the approval process before an account is exited (i.e. in the example of Tonell) as a result of it being on the red list. An account would not be exited without your knowledge as part of the clearing house. The red list has a number of drivers and I can link you into the ACO team who can give you the detail behind why the acct would have been added to the red list. Thanks From: Nina Tona Sent: Monday, February 26, 2018 6:12 PM To: Rita Shteynber. ; Zack Bunimovich ; Jitan Patel ; Lindsay Robinson Cc: [email protected]; Davide-A Sferrazza Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Classification: For internal use only Jitan Please advise why Southern Financial is on the red list. This client was EFTA01408713 asked to be retained through Jane Varley and we are in the process of and NCA and product extension. This also happened to another client today, Tonell. I have not been part of the emails in regards to the red list. Please advise where we go from here as its very frustrating to find out while we are in the middle of an NCA and while we were trying to conduct trades. Thank you Nina Tona From: Rita Shteynberg Sent: Monday, February 26, 2018 5:48 PM To: Nina Tona ; Zack Bunimovich Jitan Patel ; Lindsay Robinson Cc: [email protected]; Davide-A Sferrazza Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Classification: For internal use only Nina- If a client has been red listed we cannot proceed with the NCA process. Please speak with Jitan Patel about red listed clients and the process around this. Thank you From: Nina Tona Sent: Monday, February 26, 2018 4:46 PM EFTA01408714 To: Zack Bunimovich Cc: Rita Shteynberg ; [email protected]; Davide- A Sferrazza Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Classification: For internal use only Yes, we don't understand why it was put on that list. We need to make sure the NCA is completed and extended for global credit derivatives. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, February 26, To: Nina Tona Cc: Rita Shte A Sferrazza Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] 2018 4:44 PM Classification: For internal use only Hi Nina, ; [email protected]; Davide- If the client was put on the red list that means we can't trade with them? Is this request still needed? Thanks, Zack EFTA01408715 From: Nina Tona Sent: Monday, February 26, 2018 4:14 PM To: Zack Bunimovich Cc: Rita Shteynberg ; [email protected]; Davide- A Sferrazza Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Importance: High Classification: For internal use only Hello Zack, Please advise on the below as I was told they were put on a "red List". Thank you Nina Tona From: Nina Tona Sent: Tuesday, February 20, 2018 4:12 PM To: Zack Bunimovich Cc: Rita Shteynberg cob-cst.n @list.db.come <cob- [email protected]>; Davide-A Sferrazza Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Zack — not sure if I responded. Please continue with the below. EFTA01408716 Thank you Nina Tona From: Zack Bunimovich Sent: Wednesday, February 14, 2018 1:44 PM To: Nina Tona Cc: Rita Shteynberg ; [email protected]; Davide- A Sferrazza Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Nina, I'm seeing a lot of these products as already active in dbCAR (other than convertible bonds) under BR 1007494283 . See below and let me know if you need anything else in addition. {cid:[email protected]} {cid:[email protected]} Thanks Zack From: Nina Tona Sent: Wednesday, Februar 14, 2018 10:19 AM To: Zack Bunimovich EFTA01408717 Cc: Rita Shteynberg ; [email protected]; Davide- A Sferrazza Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Zack, Please advise on the below. Thank you Nina Tona From: Nina Tona Sent: Tuesday, February 13, 2018 8:07 AM To: Zack Bunimovich Cc: Rita Shteynberg Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Zack, Thanks for your help. EFTA01408718 fcid:[email protected] Thank you Nina Tona From: Zack Bunimovich Sent: Monday, February 12, 2018 6:09 PM To: Nina Tona Cc: Rita Shteynberg Subject: RE: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Nina, I will be case managing this request going forward, and will see that it is assigned with our Jax team asap. I see that some work has been done already by Amber, but the fund triggered a full KYC review — I'll find out if we need any extra documentation/information. Can you also forward me your original request for what products the client is looking to trade? Thanks, Zack From: Nina Tona Sent: Monday, Februar 12, 2018 7:42 AM To: Amber Davis < ; Kareen Johnson EFTA01408719 COB GMLondon-Jax <a, , Yolanda Wood ; Rita Shteynberg Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Hello All, Please advise on the below. The client wants to conduct business and we need to complete this NCA as soon as possible. Thank you, Nina Tona From: Nina Tona Date: Friday, Feb 09, 2018, 10:17 AM To: Amber Davis < , Kareen Johnson COB GMLondon-Jax Yolanda Wood Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hello Kareen Please advise who will take this on. EFTA01408720 Thank you Nina Tona From: Amber Davis Sent: Thursday, Februar 08, 2018 1:12 PM To: Kareen Johnson < ; COB GMLondon-Jax <COB.GMLondon- [email protected]>; Yolanda Wood Cc: Nina Tona Subject: ***REASSIGN NEEDED FW: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Good afternoon, This will need to be reassigned due to I am now working strictly GSAM accounts, please have assigned to someone else. This fund triggered an alert that this account is past review date, so we must complete a full KYC. Thanks, fcid:[email protected] Amber Davis EFTA01408721 Client On-Boarding I Client Data Services I COO DBUSA Core Corp. Deutsche Bank Securities Inc. 5201 Gate Parkway Jacksonville FL 32256 Email: From: Nina Tona Sent: Thursday, February 08, 2018 12:37 PM To: Amber Davis Cc: Kareen Johnson ; Nick Watkins ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Hi Amber, Please see below. Also, are you guys checking dbCAR because some of these items/info was there already. If anything else is required, please let me know — thanks! Organization Chart o Per attachment "Southern Financial Operating Agreement" (pages 1, 16) § Southern Trust Company Inc. is the sole member of Southern Financial LLC § Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc. EFTA01408722 UBOs (Owners) that own greater than 10% o Jeffrey Epstein is the sole UBO (see "Organization Chart" above) The source of funds for the UBOs (owners) that are greater than 10% o Jeffery Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner in 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms. List of Legal representatives o Per attachment "Southern Financial Operating Agreement" (pages 16) § Jeffrey Epstein, Darren K. Indyke, Richard Kahn Annual report o See attachments "Southern Financial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest financial statements Thank you Nina Tona EFTA01408723 From: Amber Davis Sent: Wednesday, January 10, 2018 8:15 PM To: Nina Tona Cc: Kareen Johnson < Nick Watkins ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Good evening , I apologize to request additional documents, but While entering the information into the system for this fund, it triggered an alert that this account is past review date, so we must complete a full KYC. Could you please provide the following documents: 10% Organization Chart UBOs (Owners) that own greater than 10% The source of funds for the UBOs (owners) that are greater than List of Legal representatives Annual report Thank you kindly, fcid:[email protected] Amber Davis EFTA01408724 Client On-Boarding I Client Data Services Deutsche Bank Securities Inc. 5201 Gate Parkway Jacksonville FL 32256 Email: From: Nina Tona Sent: Wednesday, January 10, 2018 12:58 PM To: Amber Davis Cc: Kareen Johnson ; Nick Watkins ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] I COO DBUSA Core Corp. Classification: For internal use only Hi Amber, Please provide an update on the below. Thank you Nina Tona From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:55 AM To: Amber Davis < ; Nina Tona EFTA01408725 Cc: Kareen Johnson ‹ > Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Please see W9 attached Thanks Alastair Mackinlay Key Client Partners - Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or EFTA01408726 disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:28 AM To: Amber Davis ; Nina Tona Cc: Kareen Johnson Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Thanks Amber — I've contacted our sales person and will let you know Alastair Mackinlay Key Client Partners - Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. EFTA01408727 The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Amber Davis Sent: Wednesday, December 20, 2017 11:09 AM To: Nina Tona Cc: Kareen Johnson < ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Good morning, For tax document, I need something like a W9 or a W8, for example. Thank you, {cid:[email protected]} Amber Davis Client On-Boarding I Client Data Services I COO DBUSA Core Corp. Deutsche Bank Securities Inc. 5201 Gate Parkway EFTA01408728 Jacksonville FL 32256 Email: From: Nina Tona Sent: Monday, December 18, 2017 8:57 AM To: Amber Davis < Cc: Kareen Johnson < ; Alastair Mackinlay ; Nick Watkins Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Good Morning Amber, Please advise on the below. Thank you Nina Tona From: Nina Tona Sent: Friday, December 15, 2017 5:34 PM To: Amber Davis Cc: Kareen Johnson ; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] EFTA01408729 Classification: For internal use only Amber and Kareen, I have a few questions. The client has a Brokerage Acct in WM and wants to use those instructions for SSI, are we able to do that? Also, kindly clarify what you mean by Tax Document. Do you have an example or explanation? DBSI Account: Southern Financial LLC DBSI Account #: Pershing LLC DTC: Euroclear: 98730 Incoming USD instructions: Bank: ABA: Beneficiary: 443 Bank of New York 021 0000 18 Pershing LLC Beneficiary #: FFC (ref): DBSI Account: DBSI Account #: Thank you Southern Financial LLC EFTA01408730 Nina Tona From: Amber Davis Sent: Friday, December 15, 2017 2:20 PM To: Nina Tona Cc: Kareen Johnson Subject: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For internal use only Good afternoon, Could you please provide a tax document , the system was flagging that one was needed for this fund. Thank you kindly, {cid:[email protected]} Amber Davis Client On-Boarding I Client Data Services I C00 DBUSA Core Corp. Deutsche Bank Securities Inc. 5201 Gate Parkway Jacksonville FL 32256 Email: EFTA01408731 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01408732