EFTA Document EFTA01414078

Subject: Fwd: Excessive Transactions March 2019 Account From: Stewart Oldfield < => Date: Mon, 01 Apr 2019 17:46:10 -0400 To: Robert Dicerbo Arthur Tremblay Bradley Gillin Cc: Charlie Burrows Bcc: [I] Can you guys have a look and let me know what needs to be done here? I didn't know we had any accounts with Epstein that had transaction limits. With the exiting of the relationship there is clearly increased activity. Thanks. Stewart Oldfield, CFA, CAIA Deutsche Deutsche 345 Park Tel. Mobile Email Bank Trust Company Americas Bank Wealth Management Avenue. New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. Begin forwarded message: From: dboi oversight Date: April 1, 2019 at 11:41:30 PM GMT+2 To: Stewart Oldfi Cc: Ryan Neumann Jasper Subject: xcessive ransactions March 2019 Account Surendra Sin h Teresa Metallo , Debra > Excessive Transactions December 2017 Account internal use only Hello Stewart, Please be advised that the below listed money market account has exceeded [I] Classification: For EFTA01414078 the allowed number of transactions on Date (03/29/2019). You are receiving this email because you are the banking officer on this account. Letter to the client will be sent out on (04/04/2019) notifying them of the violation. If it is the third violation, the account must be converted to a transactional account (i.e., DDA or NOW) within 10 days from the date of the final notice. In the event a subsequent transaction is posted to the non- transactional account post 3rd violation, during the 10 day grace period, the funds must be transferred to a transactional account immediately. If you think your client's violation is due to a bank error, please respond to both myself and Ryan Neumann in Compliance with your reason and it will be reviewed. If we do not receive a response in next two business day, we will assume you are not disputing this violation and letters will be sent according to Federal Regulations. Acc # - Southern Trust Company, 1st violation Please advise your client about the Regulation D requirement allowing only 6 transactions per month. {cid:[email protected]} 8 Transactions- Preauthorized Debit Thanks & regards, Oversight & Escalation Team Oversight & Escalation DBOI Global Services Private Limited COO Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World Cit - SEZ 302029 Jaipur, India Tel. (BCP) Email EFTA01414079