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EFTA01268397.pdf
AI Summary
Email correspondence from October 2017 between TD Ameritrade financial consultant Rafael Otoya and Alpha Group Capital LLC regarding transfer of assets forms and updating cost basis for moved positions. This appears to be routine financial asset transfer documentation between a brokerage and investment firm. [Rating: 4/10 - Standard financial asset transfer correspondence with case-specific entities but no obviously significant revelations]
Flags
financial_transactions
Extracted Entities
| Name | Type | Context |
|---|---|---|
| Alpha Group Capital LLC | organization | Investment firm transferring assets, located in New York |
| TD Ameritrade | organization | Brokerage firm receiving asset transfers |
| Paul Barrett | person | Representative of Alpha Group Capital LLC handling asset transfers |
| Rafael Otoya | person | Senior Financial Consultant at TD Ameritrade facilitating asset transfers |
| Richard Kahn | person | CC'd recipient involved in asset transfer process |
Full Text
From: Paul Barren To: RafaeLOtoyattdameritrnde n2m Cc Richard Kahn Subject RE: Transfer of Assets Form Date: Thursday, October 5, 2017 3:10:16 PM Attachments: gnage001 nag Hi Rafael Please call me. We need to update the cost basis for the positions moved in. Thanks Paul Barrett Alpha Group Capital LLC 142 W 57th Street, 11th Floor, New York, NY 10019 646-876-5277(O) 646-342-6930 (c) al ALPHA GROUP CAPITAL From: Rafael.Otoya@tdameritrade.com Imailto:Rafael.Otoya@tdameritrade.coml Sent: Monday, September 25, 2017 12:57 PM To: Cc: Paul Barrett • Subject: Transfer of Assets Form Hello, Richard & Paul. Here is the Transfer of Assets form, per my conversation with Paul. Also, to check on the status of the Trading Authorization I was told that the resolution will be sent via our "Communication Center" in our website www tdameritrade Con Kind regards, Rafael CONFIDENTIAL SDNY_GM_0001 2324 EFTA_00I 22973 EFTA01268397 Rafael Otoya Senior Financial Consultant 10 Ameritrade 4600 Alliance Gateway Freeway Fort Worth, TX 76577 Direct: 817-490-2081 Fax: 402-970-8391 Email: rafael.otoya@tdameritrade.com Service and Trading: 800-669-3900 Option 1 - Quotes Option 2 - Automated phone system for trading/quotes Option 3 - To speak with a representative CONFIDENTIAL SDNY_GM_0001 2325 EFTA 00122974 EFTA01268398