EFTA Document EFTA01421860

Subject: Re: Approval Needed - List of Preferreds [I] From: Terri Sohrab ‹ > Date: Tue, 14 Jun 2016 19:07:03 -0400 To: Stewart Oldfield ‹ > Go Zia! From: Stewart Oldfield Sent: Tuesday, June 14, 2016 5:59 PM To: Terri Sohrab Subject: FW: Approval Needed - List of Preferreds [I] Classification: For internal use only From: zia Memon Sent: Tuesday, June 14, 2016 5:56 PM To: Todd Stevens; Stewart Oldfield; Zbynek Kozelsky; Andrew King; Joseph Dursi Subject: RE: Approval Needed - List of Preferreds Todd, Initial approval should come from the immediate supervisor (9/10 or 24 )of the person preparing the marketing piece. If someone is putting together a customer presentation with factual market data, as long as Source is identified ( Bloomberg/Thompson) then it should take minutes for the supervisor & MRG to approve. EFTA01421860 Zlggy, Why don't you get your back-up RA ( Brian ) to assist on these items??? Lets talk tomorrow. Thank you fcid:[email protected] Kind Regards Zia Memon Managing Director I Head, WM-US Business Supervisory Office Deutsche Bank Securities Inc. Wealth Management Americas 345 Park Avenue, 10154-0004 Tel. Fax Mobile Email New York, NY, USA {cid:[email protected]} From: Todd Stevens Sent: Tuesday, June 14, 2016 5:31 PM To: Stewart Oldfield; Zbynek Kozelsky; Andrew King; zia Memon; Joseph Dursi Subject: RE: Approval Needed - List of Preferreds EFTA01421861 We are trying to amend the process to (1) go to MRG first and then (2) go to Ziggy only if presentation contains account specific information (balances, etc). If purely factual market information then the MRG should be sufficient. Zia will need to opine and advise how we can amend process. From: Stewart Oldfield Sent: Tuesday, June 14, 2016 5:06 PM To: Zbynek Kozelsky; Andrew King Cc: Todd Stevens Subject: RE: Approval Needed - List of Preferreds He is a private banking client . . . And ISG and KCP report to the same person. Who is now copied on this email because this is getting silly. From: Zbynek Kozelsky Sent: Tuesday, June 14, 2016 4:56 PM To: Andrew King Cc: Stewart Oldfield Subject: RE: Approval Needed - List of Preferreds Guys, EFTA01421862 Are we doing business with Epstein? This is a KCP client, why is ISG involved with the client? Thanks {cid:[email protected]} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Email: All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. EFTA01421863 From: Andrew King Sent: Friday, June 10, 2016 3:22 PM To: Zbynek Kozelsky Cc: Stewart Oldfield Subject: Approval Needed - List of Preferreds Ziggy, I've attached a list of preferred equities that was asked for by Richard Kahn; the CFO for Southern Financial, which is an investment entity for the personal wealth of Jeffrey Epstein (one of Stew Oldfield's clients). The list isn't a recommendation. Instead, it is a list of commonly traded preferred equities, which Richard and Jeffrey can select from to build their own basket. The original list was provided by Delores Rubin from STG. ISG added the preferred equity CUSIPS, the average daily volume, the Bloomberg consensus rating for the issuers' common equity, and the DB rating for the issuers' common equity columns. Bloomberg was the source of the non DB information. We'd like to send on Monday afternoon at the latest. Please let us know what disclosures would be required for approval. Thanks in advance. Best regards, Andrew King {cid:[email protected]} EFTA01421864 Andrew King, CFA Vice President I Investment Solutions Group Deutsche Deutsche 345 Park Tel. Fax Mobil Email Bank Securities Inc. Asset & Wealth Management Avenue, New York, NY 10154 fcid:[email protected] EFTA01421865