EFTA Document EFTA01423705

Subject: Fwd: Butterfly Trust account From: Stewart Oldfield Date: Wed, 31 Oct 2018 19:58:15 -0400 To: Bradley Gillin Richard Iarossi So now we need to get the full remediation done to open the butterfly brokerage. Frustrating, but we are close Stewart Oldfield, CFA, CAIA Director 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: Daniel-E Kaiser < Date: October 31, 2018 at 6:16:43 PM EDT To: Stewart Oldfield Cc: Andrew Gallivan Subject: Re: Butterfly Trust account Stewart, > Andrew and I agreed that until the current review of this client is completed that we would not open these related accounts. Regards, Dan Daniel E Kaiser Managing Director Head of Key Client Partners - America's EFTA01423705 Deutsche Bank Securities Inc. Wealth Management Division 345 Park Avenue, 26th Floor New York, NY 10154-0004 Work Mobile Email: Key Client Partners (KCP) Americas does not provide investment advice and the products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non- advisory basis. 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. 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. On Oct 31, 2018, at 17:30, Stewart Oldfield a wrote: Dan and Andrew, Perhaps we've had some miscommunication on this one, or maybe I'm out of the loop since I've been in sales training for three days, but I'm confused about what's creating concern opening a new account for a client that we have recently KYC'd and have other accounts for. I still need to remediate some KYCs for Jeffrey's other accounts, but I don't think this one should be part of that group. If that's the issue, I will have that resolved early next week I think. If there's something else I need to address, let's discuss as soon as possible. Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas EFTA01423706 Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. EFTA01423707