EFTA Document EFTA01431691

Subject: Re: Epstein - ne ative media [I] From: Kimberly Hart Date: Wed, 31 Oct 2018 21:00:10 -0400 To: Stewart Oldfield Were you able to obtain the additional details from the client as discussed with Andrew? Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc On Oct 22, 2018, at 3:39 PM, Stewart Oldfield <M > wrote: > Might be easiest to discuss. Please let me know when From: Kimberly Hart Sent: Monday, October 22, 2018 2:30 PM To: Richard Iarossi Cc: Bradley Gillin < ; Stewart Oldfield >; Andrew Gallivan cz > Subject: FW: Epstein - negative media [I] Classification: For internal use only It is hard for me to comment without additional information. I am comforted by the fact that the case was dismissed but it would be helpful to know the following: EFTA01431691 (1) Why was this suit brought against Mr. Epstein? What was his connection to Hoffenberg? (2) What was told to you by Mr. Epstein or his representatives regarding the claims? Did he serve as a "consultant" to TFC? (3) Why were the claims dismissed? (4) Has Andrew reviewed the information and is he comfortable maintaining the relationship with Mr. Epstein and his related entities? <image001.gif> Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. From: Richard Iarossi Sent: Monday, October 22, 2018 1:36 PM To: Kimberly Hart Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, ; Stewart Oldfield EFTA01431692 I hope you had a nice weekend. Just wanted to follow up on the below. Attached is the Dismissal Notice for the latest lawsuit filed against Jeffrey Epstein. Compliance has asked that we obtain your approval to continue the KYC approval process. Please let me know if you have any questions or would like to discuss. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Richard Iarossi Sent: Thursday, October 18, 2018 5:22 PM To: Kimberly Hart Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Hi Kim, ; Stewart Oldfield EFTA01431693 AML Compliance (Yoonsun) has requested that we receive your approval to move forward on all Southern Financial/Epstein KYC remediation's. As per your discussions with Stew regarding the latest lawsuit against Jeffrey, please find the attached 'Notice of Dismissal' dated 10/5/18. As this occurred after your approval on 10/2/17, please confirm again that we are comfortable moving forward. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradley Gillin Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due EFTA01431694 diligence? <image001.gif> Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, October 09, 2018 11:03 AM To: Kimberly Hart Cc: Bradley Gillin Subject: Epstein - negative media Kim, This just surfaced in our latest KYC reviews. Let's discuss what info I need from the client and then next steps. Thanks http://www.classactionsreporter.com/sites/default/files/- towers_ponzi_scheme_complaint.pdf EFTA01431695 <image002.png> Stewart Oldfield, CFA, CAIA Director Deutsche Deutsche 345 Park Tel. Mobil Email Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. EFTA01431696