Subject: RE: RUSH EXCO Approval Needed: KYC Case
Subject: RE: RUSH EXCO Approval Needed: KYC Case
From: Stewart Oldfield
Date: Wed, 14 Ma 0
To: Dana Ponzio [I]
Yesterday I was asking Patrick to send the Rick Caruso email he sent this
morning. So thanks for that.
This is for a new account so we can move $15mm of deposits into DBNY
Thanks!
From: Dana Ponzio
Sent: Wednesday, March 14, 2018 11:44 AM
To: Stewart Oldfield ‹ >
Subject: FW: RUSH EXCO Approval Needed: KYC Case
Importance: High
Classification: For internal use only
Hi-This is the approval you were asking about yesterday?
Kind Regards,
Dana Ponzio
{https://brandportal.intranet.db.com/img/modules/logo.gif}
Dana Ponzio
Executive Assistant to Patrick Campion and Sheffali Welch
Deutsche Bank Trust Company Americas [I]
EFTA01420501
US Private Wealth Management
345 Park Avenue, 24th Floor
New York, NY, 10154
Tel.
Fax
Mobil
Email
From: Cynthia Rodriguez
Sent: Friday, February 09, 2018 3:18 PM
To: Patrick Cam
Cc: Dana Ponzio
Subject: RUSH EXCO Approval Needed:
Importance: High
Classification: For internal use only
Hello, KYC Case [I]
I am requesting Exco Approval for a new account opening for current DB
client Jeffrey Epstein.
RM Name
Stewart Oldfield
Business Line
EFTA01420502
US Onshore
GCIS # / KYC #
New or Existing Relationship?
If yes, please include relationahip since date, approx # of accounts, AUM,
etc.)
Existing relationship since 8/26/2013. A total of 30 deposit accounts and 3
money market accounts for multiple entities, 5 brokerage accounts and 1
custody account. Total AUMs $224mn.
Legal name of Account Holder(s)
The 2017 Caterpillar Trust
Name of UBO(s)
(Please include UBOs who own 25% and more; If there are multiple layers,
please include description of ownership structure)
Jeffrey Epstein
Description of Type of account being opened with detailed purpose of the
accounts
(Please include SOW information/ Geographic location/
For Entity Accounts: Description of the entity and background information on
the UBO)
We are opening a deposit account for The 2017 Caterpillar Trust. The
account will be used to pay annual annuity payments
EFTA01420503
Reason for High Risk
This relationship is deemed high risk due to multiple court cases on
Jeffrey Epstein, involving 22 April 2004 SEC filed a settled civil fraud
action for illegal insider trading in three publicly traded Massachusetts
banks. Final judgement permanently enjoins him from violating the antifruad
provisions and he agreed to pay a total of $72532.06 in disgorgement of
trading profits, prejudgment interest and civil penalties. Epstein was
sentenced to 21 months in federal prison for three counts of fraud, sexually
assaulting a girl and solicitation of prostitution. These alerts were
previously approved by senior management and AML Compliance. Prior clearance
is attached as a reference
PEP (Y/N)
If yes, include details
Yes, close affiliation to Bill Clinton and Prince Andrew
Any negative media and/or court cases?
Include ALL negative media & court cases
Yes
If Yes, please give details
Aside from the court cases listed in the reason for high risk, all other
alerts were false positives and no new court cases or negative media has
come up for this client.
Business Justification for the relationship despite High Risk Factors
All negative media and alerts have been reviewed by AML Compliance and they
do not see a reason to discontinue the existing relationship with Jeffrey
Epstein.
Kind regards,
Cynthia Rodriguez
EFTA01420504
fcid:[email protected]
Cynthia Rodriguez
Assistant Vice President
Deutsche
Deutsche
345 Park
TeL
Fax
Emai Bank Trust Company Americas
Bank Wealth Management
Avenue, 24th Fl 10154-0004 New York, NY, USA
EFTA01420505
📷 Images in this document (5 detected)
AI-generated factual descriptions of embedded images (llava:13b). These are searchable across the corpus.
[Image 1] The image appears to be a photograph of a printed document, specifically a letter or a note. The text is written in English and includes a salutation, a body with several paragraphs, and a closing. The visible text includes phrases such as "high risk," "relationship," "court cases," "media," "negative media," "court case," "Bill Clinton," "media attention," "court case," and "negative media." Ther
[Image 2] The image shows a document with text, which appears to be a letter or a notice. The document is titled "US ENTERPRISE" and includes a section titled "New Evolving Relationship." It mentions a "Relationship since 1/2/2015" and refers to a "Relationship since 1/2/2015." The text includes a section titled "Accounts," followed by a list of account numbers. There is also a section titled "Accounts," fo
[Image 3] The image shows a digital document, which appears to be an email. The email is from a user named "Dana Poppa" to a recipient whose name is redacted. The subject line of the email reads "RE: RUSH DISCO APPROVAL NEEDED NYC CASE." The body of the email contains a message thanking the recipient for their assistance and mentioning a new account that has been set up. There is a request for the recipient
[Image 4] The image shows a scanned document, which appears to be a letter or email. The document is addressed to "Steven Fields" and is from "Evelyn Rodriguez." The date on the document is "Friday, January 20, 2012." The subject line of the email is "US Private Wealth Management." The document contains text that discusses account approval and mentions a client named "Jeremy Easton." The text also includes
[Image 5] The image appears to be a photograph of a printed document, possibly a letter or an email. The document contains text that is too small to read clearly, and there are no visible names, dates, places, or logos that can be discerned from this image. The text is in English, and the document is printed on a white background. The visible part of the text includes phrases such as "Dear [Name]," "Assista