EFTA01299339.pdf

Mayur Rathod
From: Yoonsun Chung
Sent: Wednesday, November 14, 2018 7:04 PM
To: Kimberly Hart; Mayur Rathod
Cc: Andrew Gallivan; Stewart Oldfield; Richard larossi; Bradley Gillin
Subject: RE: Epstein - negative media [I] [C]
Thank you Kim.
Yoonsun Chung
Vice President I AML Compliance
Deutsche Bank
60 Wall Street, 10005-2836 New York, NY, USA
ME
From: Kimberly Han <alb com>
Date: Wednesday, Nov 14 2018 8:16 AM
To: Yoonsun Chung Mayur Rathod
• An Iliv Richard larossi
, Bradley Gillin
Subject: FW: Epstein - negative media Ill ICI
Classification: Confidential
Yoonsun/Mayur —
I received the below email from Andrew Gallivan confirming his comfort with continuing the Epstein relationship. I do
not see any new allegations that have not been previously considered and risk accepted. The recent lawsuit appears to
be unfounded and was promptly withdrawn. Please let me know if you are seeing something additional that should be
considered and escalated. Otherwise, I think that we can proceed based on the previous clearance.
Regards,
Kim
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Kimberly Hart
Managing Director I Divisional Control Officer
Wealth Management Americas
Deutsche Bank Trust Company Americas
"floor, New York, NY 10154
Email
Securities offered through Deutsche Bank Securities Inc.
From: Andrew Gallivan
Sent: Tuesday, November 13, 2018 10:38 AM
To: Stewart Oldfield < >; Kimberly Hart <
Cc: Bradley Gillin < >; Richard larossi <
Subject: RE: Epstein - negative media Ill [CJ
Classification: Confidential
Based on the below I approve continuing this relationship
Regards,
Andrew Gallivan
Andrew Gallivan
Deutsche Bank Trust Company Americas
154-0004 New York, NY, USA
Email
#Positivel m pact
From: Stewart Oldfield
Sent: Wednesday, November 07, 2018 5:12 PM
To: Andrew Gallivan < >; Kimberly Hart < >
Cc: Bradley Gillin < >; Richard Iarossi >
Subject: FW: Epstein - negative media [I]
I have more info as outlined below based on a conversation with Jeffrey's lawyer.
Andrew — please confirm that you remain comfortable with the business risk here.
Kim — please forward as necessary
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Summary of situation:
This was a frivolous lawsuit that was quickly withdrawn by the plaintiff attorneys upon response from Epstein's lawyers.
The person ultimately behind the lawsuit was Steven Hoffenberg, who was convicted of fraud and served a long jail
sentence.
Hoffenberg was called "unstable" and "manic" by the judge that sentenced him. He repeatedly filed lawsuits against the
government from jail and against other people (including his lawyers), all of which were dismissed.
He convinced the plaintiffs to file this suit as a class action. That way Hoffenberg wouldn't be the plaintiff himself.
The original matter here was thoroughly investigated by the SEC and others and Hoffenberg was the only person
deemed to have been involved.
If you Google Hoffenberg, it's easy to find the full history here. I think we should accept this matter as closed on our
side.
Thanks
From: Richard larossi
Sent: Thursday, October 18, 2018 5:22 PM
To: Kimberly Hart <
Cc: Bradley Gillin < >; Stewart Oldfield <
Subject: RE: Epstein - negative media ill
Classification: For Internal use only
Hi Kim,
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 larossi
Assistant Vice President
Deutsche Bank Wealth Management
345 Park Avenue, 24th Floor
New Yor NY 10154
Securities offered through Deutsche Bank Securities Inc.
From: Kimberly Hart
Sent: Tuesday, October 09, 2018 12:15 PM
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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 diligence?
L
Kimberly Hart
Managing Director I Divisional Control Officer
Wealth Management Americas
Deutsche Bank Trust Company Americas
Park Avenue. 14" 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
Stewart Oldfield, CFA. CAIA
Director
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
New York. NY 10154
Securities offered through Deutsche Bank Securities Inc.
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