document_description: This document appears to be a form or questionnaire related to a financial or investment advisory entity, Partridge Hill Overseas Management, LLC. It includes questions about the nature of the related person's business, control relationships, registration status, and shared resources with the primary entity. The document is marked as confidential and includes reference numbers.


source: doj

document_description: This document is a disclosure form related to a legal entity, Cerberus Institutional Associates, L.L.C., detailing its affiliations and regulatory status. It specifies the types of financial services the related person is involved in, such as being an investment adviser and a commodity pool operator or trading advisor. It also addresses control relationships, shared resources, and registration exemptions.

document_type: legal

document_subtype: related person disclosure


document_description: This document contains information about the registration and relationships of CERBERUS ASIA ASSOCIATES, L.L.C. as an investment adviser and commodity pool operator. It includes details about control relationships, custody of client assets, and shared resources with related persons.

document_type: financial

document_subtype: investment adviser registration


document_description: This document is a questionnaire related to the legal and regulatory status of a related person, Cerberus Institutional International Associates, L.L.C. It includes questions about control, registration, and operational independence in relation to advisory services.

document_subtype: questionnaire


document_description: This document is a regulatory filing related to Cerberus Institutional Associates (America), L.L.C. It includes information about the company's registration status, control relationships, and business activities.

document_subtype: regulatory filing


document_description: This document is a questionnaire related to the relationship between the respondent and a related person, STYX ASSOCIATES LLC. It covers topics such as control, common control, custody of client assets, registration status, shared supervised persons, and shared physical location.


document_description: This document is a compliance form related to SEC registration, detailing the relationship and operational independence between the registrant and a related person, Cerberus Real Estate GP, L.L.C. It includes questions about custody of client assets, shared supervised persons, and physical location, as well as the related person's registration status and business activities.

document_subtype: SEC registration and compliance form


document_description: This document is a regulatory filing related to Partridge Hill Management, LLC, detailing its registration status and relationship with other entities. It confirms that Partridge Hill Management, LLC is an investment adviser exempt from registration and shares supervised persons and physical location with the related entity. The document also clarifies that the related person is not a qualified custodian for the client's advisory services.


document_description: This document is a questionnaire related to the legal and business details of a related person, Cerberus Associates II, L.L.C. It includes questions about registration with financial regulatory authorities, shared supervised persons, physical location, and control relationships.

document_type: correspondence


document_description: This document provides information about the related person, CERBERUS FIM, LLC, in connection with investment advisory services. It includes details about the related person's business activities, regulatory status, and relationship with the primary entity. The document also mentions another related person, CG MANAGER LLC.

document_subtype: Investment Adviser Registration

key_organizations:
CERBERUS FIM, LLC
CG MANAGER LLC


document_description: This document provides information about related persons involved in investment advisory services, including their business names, registration status, and roles. It includes details about CG Manager LLC and Cerberus Institutional International Management Company, LLC, their registration status, and their roles as investment advisers and commodity pool operators.

document_subtype: investment adviser disclosure


document_description: This document contains information about a related person, Cerberus Real Estate Capital Management, LLC, and its regulatory status and relationships. It includes details about the related person's business activities, control relationships, and registration status with financial authorities.

document_type: other


document_description: This document is a questionnaire related to the registration and regulatory status of a related person, Cerberus European Capital Advisors, LLP. It includes questions about control, registration exemptions, and shared resources between the respondent and the related person.


document_description: This document appears to be a regulatory filing or questionnaire related to a financial advisory or investment firm. It includes questions about the relationship between the filing entity and a related person, specifically Cerberus Asia Pacific Advisors Limited. The document asks about control relationships, custody of client assets, registration with financial authorities, and shared resources or locations. Cerberus Asia Pacific Advisors Limited is identified as an 'other investment adviser.'

key_organizations:
Cerberus Asia Pacific Advisors Limited
Financial Conduct Authority


document_description: This document is a questionnaire related to the relationship between an entity and a related person, Cerberus Beijing Advisors Limited. It covers topics such as control, shared resources, and regulatory status.


document_description: This document is a questionnaire related to the relationship between an entity and its related person, Cerberus Deutschland Beteiligungsberatung GmbH. It covers topics such as common control, custodian roles, investment adviser exemptions, and shared resources.


document_description: This document contains a table with questions and answers regarding the registration and regulatory status of a related person, Cerberus Global Investments, LLC. It includes information about exemptions from registration, foreign financial regulatory authority registration, shared supervised persons, and physical location sharing. It also lists various roles and registrations applicable to the related person.

document_type: tabular


document_description: This document is a regulatory filing related to CERBERUS JAPAN K.K., detailing its registration status, control relationships, and operational independence in relation to advisory services. It confirms that CERBERUS JAPAN K.K. is an investment adviser exempt from registration under the 'RELYING ADVISER' exemption and shares supervised persons and physical location with the filer. The document also notes that CERBERUS JAPAN K.K. is not registered with a foreign financial regulatory authority.


document_description: This document is a legal filing related to Cerberus Asia Operations and Advisory Limited, detailing its registration status and relationship with another entity. It includes information about the related person's business activities, control relationships, and regulatory status.

document_subtype: SEC filing


document_description: This document is a regulatory filing related to Cerberus Operations and Advisory Company, LLC and Cerberus Capital Chicago LLC. It includes information about the business activities, regulatory status, and relationships between these entities.


document_description: This document provides information about a related person, Cerberus California, LLC, including its business type, control relationships, and registration status with financial authorities.

title: Related Person Information

document_subtype: SEC Filing


document_description: This document provides information about a related person, Cerberus Iberia Advisors, S.L., in connection with investment advisory services. It includes details about the related person's registration status, control relationships, and operational independence.


document_description: This document is a questionnaire related to a related person's business activities and regulatory status. It includes questions about the related person's role, control relationships, custody of client assets, registration status, and shared resources.


document_description: This document is a regulatory filing related to Cerberus Levered Opportunities Master Fund GP, LLC. It includes information about the related person's registration status, control relationships, and operational independence. The document also addresses the related person's role as a commodity pool operator or commodity trading advisor, and its exemption status as an investment adviser.


document_description: This document contains information about the registration and business details of a related person, CERBERUS LEVERED OPPORTUNITIES GP, LLC. It includes questions about control, custody, registration exemptions, and shared resources with the related person.

title: Investment Adviser Registration Details

document_date: unknown


document_description: This document is a questionnaire related to the relationship between an entity and a related person, Cerberus Institutional Associates II, L.L.C. It covers topics such as control, common control, qualified custodian status, investment adviser registration, foreign financial regulatory authority registration, shared supervised persons, and shared physical location.


document_description: This document is a questionnaire related to the relationship between an entity and a related person, A5 Fund Management LLC. It covers topics such as common control, custody of client assets, registration with financial authorities, and shared resources.


document_description: This document is a regulatory filing related to a financial entity, COL I GP INC., detailing its registration status, exemptions, and relationships with other entities. It confirms that the related person is an investment adviser and commodity pool operator, and shares supervised persons and physical location with the filing entity. The document also notes that the related person is not registered with a foreign financial regulatory authority and does not act as a qualified custodian for clients' assets.


document_description: This document is a questionnaire related to the legal and regulatory status of a related person, CERBERUS NJ CREDIT OPPORTUNITIES GP, LLC. It includes questions about registration exemptions, foreign regulatory authority registration, shared supervised persons, and physical location sharing. It also covers control relationships and custody of client assets.


document_description: This document is a questionnaire related to the legal and business relationship between the respondent and a related person, Cerberus Real Estate GP III, L.L.C. It includes questions about shared supervised persons, physical location, control, and registration status with financial authorities.


document_description: This document provides information about related persons associated with CERBERUS ASRS CREDIT OPPORTUNITIES MANAGER, LLC and CERBERUS AUS LEVERED OPPORTUNITIES MASTER FUND GP, LLC. It includes details about their registration status, control relationships, and shared resources.


document_description: This document contains information about a related person's SEC filing details, including their legal and primary business name, and various regulatory and registration statuses.

document_subtype: SEC Filing Information


document_description: This document is a regulatory filing related to a financial entity, Cerberus Institutional Associates SC, L.L.C. It outlines the relationships and regulatory status of the related person, including their roles as an investment adviser and commodity pool operator. The document also addresses control relationships, custody of client assets, and shared resources with the related person.


document_description: This document is a questionnaire related to a 'Related Person' in the context of financial advisory services. It includes questions about the nature of the relationship, control, registration status, and shared resources with the related person, identified as CERBERUS LEVERED OPPORTUNITIES II GP, LLC.


document_description: This document is a questionnaire related to the registration and regulatory status of a related person, CERBERUS LEVERED OPPORTUNITIES MASTER FUND II GP, LLC. It includes questions about the control relationship, registration status, and shared resources between the respondent and the related person.


document_description: This document provides information about a related person, CERBERUS ASRS HOLDINGS LLC, in connection with regulatory requirements. It includes details about the control relationship, registration status, and shared resources between the entities.

title: Related Person Information


document_description: This document contains information about the registration status and relationships of a related person, COL II GP INC., with the SEC and other regulatory bodies. It includes details about shared supervised persons, physical location, and control relationships between the entities.

document_subtype: SEC registration and related person information


document_description: This document is a regulatory filing related to Cerberus Institutional Associates HH, L.L.C., detailing its registration status, business activities, and relationship with other entities. It includes information about the company's exemption from registration, shared supervised persons, and physical location with related persons.


document_description: This document is a regulatory filing related to CERBERUS INSTITUTIONAL ASSOCIATES MA, L.L.C. It includes information about the related person's registration status with financial regulatory authorities, shared supervised persons, and physical location. The document also details the related person's roles and whether they are under common control with the filer.


document_description: This document provides information about CERBERUS EUF 1 GP, LLC, including its business activities, regulatory status, and relationship with other entities. It indicates that the entity is an investment adviser and commodity pool operator, and it shares control and location with related persons. The document also mentions CERBERUS RMBS ASSOCIATES III, L.L.C.

key_organizations:
CERBERUS EUF 1 GP, LLC
CERBERUS RMBS ASSOCIATES III, L.L.C.


document_description: This document contains information about related persons associated with CERBERUS RMBS ASSOCIATES III, L.L.C. and CERBERUS INSTITUTIONAL ASSOCIATES CDP IC, L.L.C. It details their business activities, regulatory status, and relationships with other entities.


document_description: This document contains information about a related person, Cerberus Institutional Associates CP, L.L.C., and its regulatory status and relationships. It includes details about the related person's business activities, control relationships, and shared resources with the primary entity.


document_description: This document is a questionnaire regarding the relationship and control between the respondent and a related person, Cerberus Institutional Associates OT, L.L.C. It includes questions about the related person's business activities, registration status, and shared resources.

title: Related Person Questionnaire


document_description: This document is a regulatory filing related to CERBERUS SIGULER GUFF GP, LLC, detailing its business activities and relationships with related persons. It includes information about the company's registration status, control relationships, and shared resources with related persons.


document_description: This document is a regulatory filing related to CERBERUS MG GP, LLC, detailing its business activities, control relationships, and regulatory status. It includes information about the company's role as a sponsor, general partner, or managing member of pooled investment vehicles, and its status as an investment adviser and commodity pool operator or trading advisor.


document_description: This document is a registration form related to advisory services and the relationship with a related person, Cerberus Institutional Associates CT, L.L.C. It includes information about the related person's registration status, shared resources, and control relationships.

document_subtype: SEC registration form

key_organizations: CERBERUS INSTITUTIONAL ASSOCIATES CT, L.L.C.


document_description: This document is a regulatory filing related to CERBERUS CMBS ASSOCIATES, L.L.C., detailing its registration status, control relationships, and business activities. It includes questions about shared supervised persons, physical location, and registration with financial authorities.


document_description: This document contains information about the registration and relationship details of a related person, CERBERUS INSTITUTIONAL ASSOCIATES SMRS, L.L.C., with a financial regulatory authority. It includes details about shared supervised persons, physical location, and control relationships.


document_description: This document is a legal filing related to Cerberus Associates II, Ltd., detailing its business activities and regulatory status. It includes information about the related person's business type, control relationships, and regulatory exemptions.


document_description: This document provides information about Cerberus Institutional Associates, Ltd. and Cerberus Institutional Associates AD, L.L.C., including their business activities, regulatory status, and relationships with other entities.


document_description: This document is a disclosure form related to a person associated with an investment adviser. It includes information about the related person's registration status, business activities, and regulatory compliance.

key_people: CERBERUS INSTITUTIONAL ASSOCIATES AN, L.L.C.


document_description: This document is a disclosure form related to a legal entity, Cerberus Institutional Associates II, Ltd., detailing its affiliations and regulatory status. It specifies the roles and regulatory exemptions of the related person, including its status as an investment adviser and commodity pool operator. The document also addresses control relationships and shared resources with the related person.


document_description: This document is a registration form for an investment adviser, Cerberus Institutional Associates PW, L.L.C. It includes information about the related person's business activities, control relationships, and regulatory status.


document_description: This document is a questionnaire related to the legal and regulatory status of a related person, Cerberus Global Residential Mortgage Associates, Ltd. It includes questions about control, registration, and shared resources between the respondent and the related person.


document_description: This document is a questionnaire related to the legal and business relationships between the respondent and a related person, Cerberus RMBS Associates II, Ltd. It includes questions about control, shared resources, and regulatory status.


document_description: This document is a questionnaire related to the relationship between an entity and a related person, specifically CERBERUS SWC LEVERED OPPORTUNITIES GP, LLC. It covers topics such as common control, registration with the SEC, and shared resources.


document_description: This document is a regulatory filing related to the legal and business relationships of CERBERUS ICQ LEVERED OPPORTUNITIES GP, LLC. It includes information about the company's registration status, control relationships, and business activities.


document_description: This document is a questionnaire related to a 'related person' in the context of investment advisory and financial regulatory compliance. It includes questions about registration exemptions, foreign regulatory authority registration, shared supervised persons, and physical location sharing. It also provides details about the related person's legal and business names, SEC file number, CRD and CIK numbers, and roles in financial services.

key_organizations: CERBERUS KRS LEVERED OPPORTUNITIES GP, LLC


document_description: This document is a legal filing related to CERBERUS OPERATIONS AND ADVISORY COMPANY UK LIMITED, detailing its relationship with another entity. It includes information about shared supervised persons, physical location, control relationships, and registration status with financial regulatory authorities.


document_description: The document provides information about a related person, Portfolio Consulting and Advisory Company, LLC, including its legal and primary business name, SEC file number, and various roles it may hold in the financial industry. It also includes questions about control, common control, and custody of client assets, as well as registration with foreign financial regulatory authorities.


document_description: This document is a legal filing related to CAL II GP, LLC and its related person, CERBERUS ASSOCIATES SPV, LLC. It outlines the registration and regulatory status of the related person, including its roles as an investment adviser and commodity pool operator. The document also addresses control relationships, shared resources, and exemptions from registration.

key_organizations:
CAL II GP, LLC
CERBERUS ASSOCIATES SPV, LLC


document_description: This document contains information about a related person, Cerberus Institutional Associates AEN, Ltd., and its regulatory status and relationships. It includes details about the related person's business activities, control relationships, and registration status with financial regulatory authorities.


document_description: The document provides information about a related person, Cerberus Institutional Associates GSI, Ltd., and its relationship with the filer. It includes details about the related person's business activities, control relationships, and regulatory status.

document_subtype: Investment Adviser Information


document_description: This document is a registration form related to the advisory services provided by CERBERUS PSL GP, LLC. It includes information about the related person's qualifications, exemptions, and regulatory status.


document_description: This document is a regulatory filing related to CERBERUS REAL ESTATE GP IV, L.L.C., detailing its registration status and relationship with other entities. It includes information about the company's business activities, regulatory exemptions, and control relationships.


document_description: This document is a regulatory filing related to CERBERUS SL GP LLC, detailing its registration status, business activities, and relationship with other entities. It confirms that CERBERUS SL GP LLC is not registered with a foreign financial regulatory authority and shares supervised persons and physical location with the related entity. It also specifies the business activities of CERBERUS SL GP LLC, including being an investment adviser and commodity pool operator or trading advisor.


document_description: This document is a regulatory filing related to Partridge Hill SPV Management, LLC, detailing its business activities and regulatory status. It includes information about the company's registration status, control relationships, and operational independence.


document_description: The document provides information about R2 Advisors, LLC and R2 Management, LLC, including their roles as investment advisers and their regulatory status. It includes details about their control relationships, registration status, and shared resources.

key_organizations:
R2 Advisors, LLC
R2 Management, LLC


document_description: This document contains information about a related person, AVATAR GP, LLC, and its regulatory status and relationships. It includes details about the related person's business activities, control relationships, and registration status with financial authorities.


document_description: This document is a regulatory filing related to a financial entity, Cerberus FSBA Holdings, LLC. It outlines the relationship and regulatory status of the related person, including their roles as an investment adviser and commodity pool operator. The document also addresses control relationships, custody of client assets, and shared resources with the related person.


document_description: This document is a questionnaire related to the legal and regulatory status of a related person, CERBERUS FSBA LEVERED OPPORTUNITIES GP, LLC. It includes questions about the related person's business activities, control relationships, registration status, and shared resources with the respondent.


document_description: This document is a regulatory filing related to CERBERUS PSERS GP, LLC, detailing its business activities and relationships with related persons. It includes information about the company's registration status, control relationships, and shared resources with related persons.


document_description: This document is a questionnaire related to the relationship between the respondent and a related person, CERBERUS ICQ OFFSHORE GP, LLC. It covers topics such as control, common control, qualified custodian status, registration exemptions, foreign regulatory authority registration, shared supervised persons, and shared physical location.


document_description: This document is a compliance form related to SEC registration, addressing questions about operational independence, custody of client assets, and related person details. It includes information about the related person's business activities and regulatory status.


document_description: This document contains information about the related person, CERBERUS ICQ GP, LLC, and its registration status with financial regulatory authorities. It includes details about shared supervised persons, physical location, and control relationships between the entities.


document_description: This document is a regulatory filing related to CERBERUS SUPP GP LDC, detailing its registration status and relationship with other entities. It confirms shared supervised persons and physical location with the related person, but no control relationship. The related person is identified as an investment adviser and commodity pool operator or trading advisor, but not registered with a foreign financial regulatory authority.


document_description: This document provides information about related persons associated with CERBERUS INSTITUTIONAL ASSOCIATES DH, L.L.C. and CERBERUS OFFSHORE LEVERED OPPORTUNITIES III GP, LLC. It includes details about their business activities, regulatory status, and relationships with other entities.


document_description: This document is a legal filing related to CERBERUS OFFSHORE LEVERED OPPORTUNITIES III GP, LLC, detailing its registration status and relationships with related persons. It includes information about the related person's business activities, control relationships, and registration status with financial regulatory authorities.

key_organizations: CERBERUS LEVERED OPPORTUNITIES III GP, LLC


document_description: This document provides information about the related person, CERBERUS ICQ OFFSHORE LEVERED GP, LLC, including its legal and primary business name, SEC file number, and other regulatory details. It also includes a checklist of the related person's roles and regulatory status.

title: Related Person Disclosure for CERBERUS ICQ OFFSHORE LEVERED GP, LLC


document_description: This document is a questionnaire related to a 'Related Person' with the legal name CERBERUS PSL MANAGER, LLC. It includes various questions about the nature of the relationship and control between the respondent and the related person, as well as the related person's registration status and business activities.


document_description: This document is a regulatory filing related to Cerberus Institutional Associates CAL II, Ltd. It includes information about the company's registration status, control relationships, and exemptions from certain regulatory requirements.


document_description: This document is a questionnaire related to the relationship between an entity and a related person, specifically CERBERUS REDWOOD LEVERED OPPORTUNITIES GP B, LLC. It covers topics such as control, common control, custody of client assets, registration status, and shared resources.


document_description: This document is a section of a registration form related to advisory services and the relationship with a related person, Cerberus European Servicing Advisors (Netherlands) B.V. It includes questions about the related person's role as a custodian, registration status, and shared resources.


document_description: This document is a regulatory filing related to Cerberus Business Finance, LLC, detailing its registration status and relationship with other entities. It confirms that Cerberus is an investment adviser exempt from registration, does not share registration with foreign financial authorities, and shares supervised persons and physical location with the related entity. It also clarifies control relationships and custodian roles.


document_description: This document appears to be a regulatory filing or disclosure form related to a financial entity named 299 CREDIT FINANCE CLASS A MEMBERS, LLC. It includes information about the entity's registration status with foreign financial regulatory authorities, shared supervised persons, and physical location. It also lists the entity's roles and whether it is exempt from registration as an investment adviser.


document_description: This document is a questionnaire related to the legal and business relationship between the respondent and a related person, ABLECO CLASS A MEMBERS LLC. It includes questions about shared supervised persons, physical location, control relationships, and registration status with financial authorities.


document_description: This document provides information about a related person, CERBERUS CAVALIERS CREDIT GP, LLC, including its legal and primary business name, SEC file number, and various roles and registrations. It includes a checklist of roles the related person may hold, such as broker-dealer, investment adviser, and others. It also addresses control relationships and custodial responsibilities.

title: Related Person Information


document_description: This document is a disclosure form related to a financial entity, Cerberus Homes Fund GP, L.L.C., detailing its affiliations and regulatory status. It indicates the entity's roles, such as being an investment adviser and commodity pool operator, and its lack of control relationships with the disclosing party. The document also confirms shared supervised persons and physical location with the related person.


document_description: This document is a questionnaire related to the legal and regulatory status of a related person, CERBERUS LFGP XIX, LLC. It includes questions about the related person's business activities, regulatory registrations, and relationships with the respondent.


document_description: This document is a regulatory filing related to the legal and business relationships between the filer and a related person, CERBERUS LFGP XVIII, LLC. It includes information about the control and operational independence between the entities, registration status with the SEC and foreign financial authorities, and shared resources and locations.


document_description: This document is a regulatory filing related to CERBERUS LFGP XX, LLC, detailing its business activities and relationships with related persons. It includes information about control, registration, and shared resources with related persons.


document_description: This document contains a series of questions and answers related to the registration and compliance status of a related person, CERBERUS ND CREDIT HOLDINGS LLC, with the SEC. It addresses issues such as operational independence, exemption from registration, foreign regulatory authority registration, shared supervised persons, and physical location sharing. It also identifies the related person's business activities and control relationships.

document_subtype: SEC registration and compliance


document_description: This document is a section of a Form ADV, specifically addressing private fund reporting and participation or interest in client transactions. It includes responses to questions about proprietary and sales interests in client transactions, as well as investment or brokerage discretion.

document_subtype: Form ADV


document_description: This document is a questionnaire related to financial advisory services, focusing on soft dollar benefits, client referrals, and custody of client assets. It includes questions about compensation for referrals, custody of client funds and securities, and related custodial practices.


document_description: This document is a regulatory filing related to investment advisory services. It includes sections on qualified custodians, control persons, and disclosure information. The document outlines requirements for identifying control persons and disclosing disciplinary history. It also mentions the need for completing specific schedules and sections if certain conditions are met.


document_description: This document is a regulatory disclosure form related to legal and regulatory actions involving the respondent. It includes questions about past convictions, charges, and regulatory actions by the SEC, CFTC, and other regulatory bodies. The form requires disclosure of any felonies, misdemeanors, and regulatory violations or actions taken against the respondent or their advisory affiliates.

document_subtype: regulatory disclosure form

key_organizations: SEC CFTC


document_description: This document is a Form ADV filing related to investment adviser registration. It includes information about total assets, control relationships, and direct owners and executive officers of the firm. The document specifies that the firm does not have total assets of $5 million or more and is not required to answer certain items. It lists direct owners and executive officers, including Cerberus Capital Management, L.P., Andrew Irwin Kandel, and Stephen Andrew Feinberg, with details on their titles, ownership codes, and control status.

key_people:
Andrew Irwin Kandel
Stephen Andrew Feinberg


document_description: This document lists the senior managing directors and other key executives of a company, along with their roles and the date they acquired their status. It also includes a Schedule B for indirect owners, detailing ownership structures and control persons for various entities related to Cerberus Capital Management, L.P.

key_people:
William Lee Richter
Jeffrey Lawrence Lomasky
Seth Phillip Plattus
John William Snow
James Danforth Quayle
Lenard Billy Tessler
Frank William Bruno
Robert Davenport
William Brett Ingersoll
Ronald Jeffrey Kravit
Steven F Mayer
Lee Scott Millstein
Daniel Elias Wolf
Eric Fred Miller
Mark Alan Neporent
Stephen Andrew Feinberg

document_subtype: Schedule B - Indirect Owners

key_organizations:
Cerberus Capital Management, L.P.
Craig Court GP, LLC
Craig Court, Inc.


document_description: The document contains financial records related to various entities and individuals associated with Richter Investment Corp. and William L. Richter Perpetuities Trust 2. It includes details about partnerships, shareholders, and trustees, along with a miscellaneous schedule explaining the adviser's exemption from certain regulatory requirements.

key_people:
William L. Richter
Harold Jerome Greenberg
Harry Charles Steinmetz
Ari Joseph Richter

document_subtype: financial records

key_organizations:
Richter Investment Corp.
Cerberus Capital Management LP
William L. Richter Perpetuities Trust 2


document_description: Form ADV signed on behalf of a non-resident investment adviser, certifying the accuracy of the information and compliance with record-keeping requirements.


document_description: A memo from Deutsche Bank Wealth Management regarding compliance with the new Customer Due Diligence Requirements for Financial Institutions (CDD Rule). The memo requests the completion of a Certification Regarding Beneficial Owners and additional documentation for KYC review.

key_locations:
New York, NY
Panama
Republic of Cyprus

document_subtype: memo

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.
United States Department of Treasury


document_description: This document contains a disclaimer from Deutsche Bank regarding legal and tax advice, confidentiality, and privileged information. It includes a repeated notice about EU corporate and regulatory disclosures available at a specified URL.


document_description: A confidential communication from Deutsche Bank stating that they do not provide legal or tax advice.


document_description: This document is a standard confidentiality notice from Deutsche Bank, emphasizing that the communication may contain confidential or privileged information. It advises unintended recipients to notify the sender and destroy the communication. It also includes a disclaimer that Deutsche Bank does not provide legal or tax advice and refers to a URL for additional EU corporate and regulatory disclosures.


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about unauthorized copying, disclosure, or distribution. It emphasizes that the bank does not provide legal or tax advice and includes a link for additional EU corporate and regulatory disclosures. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document contains a disclaimer from Deutsche Bank regarding legal and tax advice, confidentiality notice, and references to EU corporate and regulatory disclosures.


document_description: This Trust Deed is an agreement between Ms. Irene Savvides, the Trustee, and Mr. Panagiotis C. Laskaridis, the Beneficiary. The deed outlines the registration of shares in the name of the Trustee, who holds them on behalf of the Beneficiary. The Trustee agrees to manage the shares and any dividends or interest according to the Beneficiary's directions. The Trustee is also responsible for notifying the Beneficiary of any communications received as the registered proprietor of the shares and attending shareholder meetings as directed by the Beneficiary.

key_people:
Irene Savvides
Panagiotis C. Laskaridis

document_type: property

key_locations:
Nicosia, Cyprus
Athens, Greece

document_subtype: Trust Deed


document_description: This document is a Deed of Trust involving the transfer and management of 1,450,000 registered shares in PRIME OVERSEAS INVESTMENTS AND ENTERPRISES LIMITED of Cyprus. It outlines the responsibilities and liabilities of the Trustee and the Beneficiary, including the power to appoint a new trustee and the jurisdiction for legal disputes. The document is signed by Irene Savvides and Panagiotis C. Laskaridis, with witnesses Sophia Chahwan and Marinia Protopapa.

title: Deed of Trust

key_people:
Irene Savvides
Panagiotis C. Laskaridis
Sophia Chahwan
Marinia Protopapa

key_locations:
Cyprus
Nicosia, Cyprus
Kifissia, Athens, Greece

document_subtype: Deed


document_description: The document is a corporate resolution empowering Justin T. McDonald and any director of the Company's Sole Director to execute necessary documents and actions on behalf of the company. It authorizes the issuance of certified copies of the resolutions and certificates naming authorized persons. It also ratifies prior actions taken by directors or officers related to these resolutions.

key_people:
Justin T. McDonald
Sarkis D. ian
Pascale S. Allen

document_subtype: corporate resolution


document_description: This document outlines the new signatory mandate for Techview Investments Ltd.'s accounts with Deutsche Bank Securities Inc., effective June 30, 2017. It specifies that any two of the listed individuals must sign jointly for transactions, with specific conditions for transactions exceeding $100,000. Exceptions are provided for certain transactions and administrative matters.

title: Restrictions to Corporate Account Authorization for Techview Investments Ltd.

key_people:
Dikran S. Izmirlian
Sarkis D. Izmirlian
Daphne C. Delaney
Pascale S. Allen
Justin T. McDonald

document_subtype: corporate account authorization

key_organizations:
Techview Investments Ltd.
Deutsche Bank Securities Inc.


document_description: A memo listing KYC cases handled by Vijay Sawant, a KYC Case Representative at Deutsche CIB Centre Private Limited - Deutsche Bank Group. The memo includes case numbers and associated entities.

key_organizations: J. Epstein Virgin Islands Foundation, Inc

key_organizations: Goldentree High Grade Floating Rate Fund GP LLC


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, containing confidential and/or privileged information. It includes disclaimers about unauthorized copying, disclosure, or distribution, and mentions that Deutsche Bank does not provide legal or tax advice.

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: A confidential communication from Deutsche Bank with a disclaimer about legal and tax advice, and a reference to EU corporate and regulatory disclosures.


document_description: A correspondence from Jeana Milligan, an associate in Regulation, Compliance and Anti-Financial Crime at Deutsche Bank Americas, located in Jacksonville, FL, USA. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is a Form 990-PF for the year 2015, filed by Gratitude America Ltd, a private foundation. It includes financial details such as revenue, expenses, and disbursements for charitable purposes. The foundation reported a total revenue of $10,007,332 and disbursements for charitable purposes amounting to $743. The fair market value of all assets at the end of the year was $10,006,564.

title: Return of Private Foundation or Section 4947(a)(1) Trust Treated as Private Foundation

document_subtype: Form 990-PF


document_description: The document is a Form 990-PF for the year 2015, detailing the balance sheets and analysis of changes in net assets or fund balances for a foundation. It includes information on assets, liabilities, and net assets or fund balances at the beginning and end of the year.

title: Balance Sheets and Analysis of Changes In Net Assets or Fund Balances


document_description: This document is a Form 990-PF for the year 2015, detailing the excise tax based on investment income, statements regarding activities, and other financial information for a foundation. It includes calculations for taxes, credits, and payments, as well as statements about political activities, changes in governing instruments, and substantial contributors.

title: Form 990-PF (2015)


document_description: This document is a section of Form 990-PF for the year 2015, detailing statements regarding activities for which Form 4720 may be required, and information about officers, directors, trustees, foundation managers, highly paid employees, and contractors. It confirms that the foundation did not engage in activities such as influencing legislation, elections, or providing grants for non-charitable purposes. It also lists the officers and their compensation, indicating no compensation was paid.

title: Form 990-PF (2015) - Page 6

key_people:
Richard Kahn
Darren K Indyke
Erika A Kellerhals

key_locations: 575 Lexington Ave 4th Floor, New York, NY 10022

key_locations: 9053 Estate Thomas Suite 101, St Thomas, VI 00802


document_description: This document is a section of Form 990-PF for the year 2015, detailing undistributed income and related financial information. It includes a table with columns for corpus, years prior to 2014, 2014, and 2015, and rows for distributable amounts, undistributed income, excess distributions carryover, qualifying distributions, and other related financial data.

title: Form 990-PF (2015) Part XIII Undistributed Income


document_description: This document is a section of Form 990-PF for the year 2015, specifically Part XVI-A, which analyzes income-producing activities. It includes categories such as program service revenue, membership dues, interest, dividends, rental income, investment income, and gains or losses from sales. The document also includes sections for unrelated business income and income excluded by sections 512, 513, or 514, with fields for business codes, amounts, exclusion codes, and related or exempt function income. Part XVI-B is intended to explain how each activity contributes to the foundation's exempt purposes, but it is not filled out in this document.

title: Part XVI-A Analysis of Income-Producing Activities


document_description: Form 990-PF Part XVII regarding transfers to and transactions with noncharitable exempt organizations. All questions answered 'No'. No affiliations with tax-exempt organizations described in section 501(c) or 527. Signed by an officer or trustee on 2016-11-09. Prepared by David M Hasson CPA of SHR CPAS LLC.


document_description: A financial document detailing legal fees for Gratitude America Ltd for the year 2015.

title: TY 2015 Legal Fees Schedule

document_subtype: Legal Fees Schedule


document_description: This document is a financial schedule detailing other expenses for GRATITUDE AMERICA LTD for the year 2015. It includes state filing fees and supplies expenses.

title: TY 2015 Other Expenses Schedule for GRATITUDE AMERICA LTD

document_subtype: Other Expenses Schedule


document_description: This document is a tax-related filing for the year 2015, listing substantial contributors to Gratitude America Ltd and BV 70 LLC.

key_locations:
Royal Palms Professional Building
445 Park Ave, New York, NY 10022

document_subtype: Tax Document

key_organizations:
Gratitude America Ltd
BV 70 LLC


document_description: This document is a Schedule B form for the organization Gratitude America Ltd, detailing contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for the year from any one contributor. The form is largely incomplete with empty fields for the purpose, use, and transfer of gifts.

title: Schedule B (Form 990, 990-EZ, or 990-PF)

document_subtype: Form 990 Schedule B


document_description: A check issued by Neptune, LLC to the Insurance Office of Central Ohio for the amount of $52,816.00. The check is drawn on Deutsche Bank Trust Company Americas. There is a note indicating that the signature is not on file.

key_locations:
St Thomas, USVI
New York, New York
New Albany, OH

document_subtype: check

key_organizations:
Neptune, LLC
Deutsche Bank Trust Company Americas
Insurance Office of Central Ohio
Fifth Third Bank


document_description: A financial alert from Deutsche Bank Private Bank regarding Southern Financial LLC, flagged for critical risk due to SEC violations and a Ponzi scheme. The alert is for monitoring purposes only and is confidential.

key_locations: Charleston, South Carolina, United States

document_subtype: Bank Alert

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC
Southern Financial Group Inc.
Securities and Exchange Commission


document_description: This document is a financial alert related to Southern Financial LLC, flagged as a critical risk due to SEC violations involving insider trading and securities fraud. The alert references a high-yield investment scheme involving Elfindepan, S.A., Strategic Asset Funds, S.A., and Southern Financial Group, controlled by Tracy Dunlap, defrauding investors of approximately $30 million.

key_locations: Greensboro, North Carolina, United States

document_subtype: alert

key_organizations:
Southern Financial LLC
Deutsche Bank Private Bank
Southern Financial Group
Elfindepan, S.A.
Strategic Asset Funds, S.A.
SEC


document_description: This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC, highlighting SEC violations and disciplinary actions related to securities fraud and insider trading. It details past legal actions against Elfindepan, S.A., Southern Financial Group, and Tracy Calvin Dunlap, Jr. for fraudulent investment schemes.

key_people:
Tracy Calvin Dunlap, Jr.
Barry Lowe

document_type: government

key_locations:
VIRGIN ISLANDS, U.S.
Middle District of North Carolina

document_subtype: Alert

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC
Elfindepan, S.A.
Southern Financial Group
Strategic Asset Funds, S.A.
SEC


document_description: This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC, marked as critical risk priority. It includes various SEC litigation release sources and is intended for alert purposes only, not for determining credit eligibility.

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC


document_description: This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC, added to monitoring on 06/15/2017. The alert highlights SEC violations related to insider trading and securities fraud, accusing Southern Financial Group Inc. of running a Ponzi scheme. The alert is marked as critical risk priority.

title: Deutsche Bank Private Bank Alert

key_locations:
Virgin Islands, U.S.
Summerville
Charleston, SC

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC
Southern Financial Group Inc.
SEC
The Post and Courier
RiskConnect


document_description: A check issued by NES, LLC to the Insurance Office of Central Ohio for the amount of $22,980.00. The check is drawn from Deutsche Bank Trust Company Americas.

key_locations:
St. Thomas
New York
New Albany, OH

key_organizations:
NES, LLC
Deutsche Bank Trust Company Americas
Insurance Office of Central Ohio


document_description: A check issued by Zorro Management, LLC to the Insurance Office of Central Ohio for the amount of $6,103.00. The check is drawn on Deutsche Bank Trust Company Americas and is associated with policy number 0003821633 and invoice 247628.

key_locations:
St. Thomas, USVI
New York, New York
New Albany, OH

key_organizations:
Zorro Management, LLC
Deutsche Bank Trust Company Americas
Insurance Office of Central Ohio


document_description: A check issued by Zorro Management, LLC to the Insurance Office of Central Ohio for the amount of $28,332.00. The check is drawn from Deutsche Bank Trust Company Americas and is associated with policy number 0002406965 and invoice 247629.


document_description: This document is an authorization form for asset movement for non-retirement accounts with Deutsche Bank Securities Inc. It includes instructions for wire transfers, checks, journal funds, and free deliveries. The form outlines the responsibilities and risks associated with the transmission of instructions and provides options for standing authorization and verbal or electronic instructions.

title: Authorization for Asset Movement For Non-Retirement Accounts

document_subtype: Authorization for Asset Movement

key_organizations:
Deutsche Bank Securities Inc.
The Haze Trust
Southern Financial LLC


document_description: Request for pricing to sell fixed income positions for Southern Trust Co. and Southern Financial LLC.

document_subtype: Fixed Income Pricing Request

key_organizations:
Southern Trust Co.
Southern Financial LLC
Deutsche Bank
HBRK Associates Inc.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of April 17, 2019. It includes account numbers, names, categories, and balances.

title: Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy and Michael Devane
Ali Rashid
Mara Wagner
Leah Kubis

document_subtype: financial report

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
NES, LLC
LSJE, LLC
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
Mizner Court Holdings, LLC
Solstice Loop Holdings, LLC
Sabal Club Holdings, LLC
San Marco Holdings, LLC
Sun Lake Multifamily Holdings, LLC
Verona Apartments Holdings, LLC
Summer Cove Holdings, LLC
Marina Landing Holdings, LLC
Lake Point Holdings LLC
Southern Aggregate Transport Services
Axcis Information Network Inc
Ashley Holdings Inc
Ashley Homestores Ltd
Ashley Real Estate, LLC
Ashley Distribution Services Ltd
Ashley Global Retail, LLC
Southern Financial LLC


document_description: The document contains financial information related to various entities, including Southern Trust Company, Inc., Todd R. Wanek and Karen A. Wanek, and several LLCs. It lists account balances, categories, and overdraft amounts for these entities. Some accounts have large balances, while others have zero or negative balances.

key_people:
Todd R. Wanek
Karen A. Wanek
Gabrielle E. Wanek

document_subtype: financial statement

key_organizations:
Southern Trust Company, Inc.
Ashley Furniture Industries Inc
Ashley Homestores Ltd
Ashley Real Estate, LLC
Ashley Distribution Services Ltd
Ashley Global Retail, LLC
Lake Point Holdings LLC
Southern Aggregate Transport Services
CRW 2007 LLC
GEW 2007 LLC


document_description: The document contains financial data in tabular format, listing various entities and their associated financial balances. It includes information on trusts, LLCs, and individuals, with specific amounts noted for each entry. The document is marked as confidential and is related to a legal proceeding, as indicated by the reference to Federal Rule of Criminal Procedure 6(e).


document_description: Financial document related to Ashley Distribution Services Ltd and Ashley Global Retail, LLC, indicating a transaction or balance of 25,000,000.00.

key_organizations:
Ashley Distribution Services Ltd
Ashley Global Retail, LLC


document_description: The document lists various entities and accounts associated with Jeffrey Epstein, including LLCs and trusts. It instructs to close certain brokerage and deposit accounts, coordinating with Dawn Forbes for brokerage accounts and distributing balances for deposit accounts.

key_people:
Jeffrey Epstein
Dawn Forbes
Kim

key_organizations:
JSC Interiors LLC
LSJE, LLC
MORT, INC
NEPTUNE, LLC
NES, LLC
PLAN D, LLC
ZORRO MANAGEMENT, LLC
J EPSTEIN VIRGIN ISLANDS FOUNDATION
JEEPERS INC
SOUTHERN FINANCIAL LLC
SOUTHERN TRUST COMPANY INC
THE HAZE TRUST
BUTTERFLY TRUST


document_description: Discussion on rejection points for a KYC case related to artwork investment, including updates on client information and approvals.

key_people:
Bradley Gitlin
Vijay-A Sawant
Stewart Oldfield
Chip Pacicard
Caroline
Jeffrey Epstein

document_subtype: email

key_organizations:
Deutsche Bank Wealth Management
Sotheby's Switzerland
Zorro Management


document_description: The document discusses various topics related to Jeffrey Epstein, including his jail sentence, source of wealth (SOW) verification, and financial activities. It mentions the need for email verification regarding Chip Packard's approval related to Epstein's jail sentence, SOW verification for Epstein and Caroline Lang, and updates to Epstein's SOW narrative due to a company merger. The document also touches on Epstein's financial history, including his work at Bear Stearns, founding of J. Epstein & Co., and involvement with Southern Trust Company Inc. Additionally, it discusses Epstein and Caroline Lang's joint art investments.

key_people:
Jeffrey Epstein
Chip Packard
Patrick Campion
Caroline Lang
Leslie Wexner
Alan C. Greenberg
Donny Deutsch
Nelson Peitz
Mortimer Zuckerman
Harvey Weinstein
Bruce Wasserstein
Maer Roshan

key_locations:
US Virgin Islands
Manhattan
Ohio
St. Thomas

key_organizations:
DB
Bear Stearns
J. Epstein & Co.
Financial Trust Company
Southern Financial LLC
Sotheby's
Warner Brothers Inc.
The Limited
Abercrombie & Fitch
New York magazine
Radar
Southern Trust Company Inc.


document_description: Vijay-A Sawant requests assistance from Stewart Oldfield in resolving rejection points on a KYC case related to Pritanee, LLC. The email discusses various points needing clarification or additional information, including address updates, email retrieval, SOW information for Jeffrey Epstein and Caroline, and other KYC-related issues.

title: Assistance Required in solving rejection points on KYC Case#01946825

key_people:
Vijay-A Sawant
Stewart Oldfield
Bradley Gillin
Jeffrey Epstein
Caroline
Richard Kahn
Chip Racecards

key_locations:
Royal Palms Professional Building
US Virgin Islands

key_organizations:
Pritanee, LLC
DB
AML
Financial Trust Company


document_description: A memo from Vijay Sawant, a KYC Case Representative at Deutsche Bank, requesting updates and information related to Southern Financial LLC and other entities. The memo includes requests for account usage details, monthly expenses, COGS for Plytanee, LLC, reconciliation of account opening dates, address updates, TAX ID for Caroline, proof of delivery for a FinCEN form, and Google searches for entities and individuals.

key_people:
Vijay Sawant
Darren Indyke
Richard Kahn
Caroline
Jeffrey Epstein

document_subtype: memo

key_organizations:
Southern Financial LLC
Plytanee, LLC
Deutsche Bank


document_description: A brief note from Christy Wolanski to Laura, expressing gratitude for assistance.

key_people:
Christy Wolanski
Laura


document_description: The document discusses various client relationships and internal highlights at Deutsche Bank (DB). It mentions the rebuilding of trust in DB, opening of new accounts, and significant deposits from clients like Ashley Furniture and Southern Financial. It also highlights internal partnerships and involvement in networks like NextGen.

key_people:
Terri Sohrab
Heather Kirby
Bruce McDermott
Rosemary Vrablic
Sarah
Paula Pullano

key_organizations:
Deutsche Bank
Ashley Furniture
Southern Financial
MCM
KCP
NextGen


document_description: A memo from Liam O'Sullivan, AVP at Deutsche Bank Wealth Management, discussing Key Client Partners (KCP) products and services intended for sophisticated institutional investors. It emphasizes the confidentiality of the information and the non-advisory nature of KCP products.

key_organizations:
Deutsche Bank Wealth Management
DB Securities Inc


document_description: A communication from Deutsche Bank Wealth Management containing a confidentiality notice and disclaimers about legal and tax advice.

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: This document contains a confidentiality notice from Deutsche Bank, advising unintended recipients to notify the sender and destroy the communication. It also states that Deutsche Bank does not provide legal or tax advice and includes a link for additional EU corporate and regulatory disclosures.


document_description: A communication from Deutsche Bank containing disclaimers about legal and tax advice, confidentiality, and privileged information. It includes instructions for unintended recipients and a link for additional disclosures.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation, including DB-SDNY-0066320, SDNY_GM_00212504, and EFTA01372577.


document_description: The table provides financial data related to Southern Financial and its investment platforms for the years 2018 and 2019. It includes details on capital markets, deposits, and other products, with a grand total of $1,323,200.

key_people:
Rob Frohlich
Stewart Oldfield

key_organizations:
Deutsche Bank AG
Southern Financial


document_description: This document outlines the key operating procedures for Enhanced Due Diligence (EDD) and Event Driven Review (EDR) as part of the AFC AML Advisory. It includes steps for obtaining and reviewing documentation from Global Markets or Corporate Finance Client On-Boarding, ensuring all necessary documentation is provided, and conducting searches within LEXIS and Google. It also details the process for saving documents and escalation emails to a shared drive.

title: AFC AML Advisory Enhanced Due Diligence and Event Driven Review Key Operating Procedures

document_subtype: operating procedures

key_organizations:
Global Markets
Corporate Finance Client On-Boarding
AML Compliance


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts, including those associated with Jeffrey Epstein and other entities.

title: RM0082289 Daily Deposit Report 20190315

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Ali Rashid
Shari Wagner
Mara Wagner
Leah Kubis

key_organizations:
The Jockey Club
The Grayson Jockey Club
Equibase Company
Incompass Solutions Inc
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
NES, LLC
LSJE, LLC
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
Kati Wanek-Forsythe 2015 GRAT
The 2017 Caterpillar Trust
Keyhole Partners, LLC
Addison at Millenia Holdings, LLC
Mizner Court Holdings, LLC
Solstice Loop Holdings, LLC
Sabal Club Holdings, LLC
San Marco Holdings, LLC
Sun Lake Multifamily Holdings, LLC
Verona Apartments Holdings, LLC
Summer Cove Holdings, LLC
Marina Landing Holdings, LLC
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
Ashley Holdings Inc
Ashley Furniture Industries Inc
SSW 2007 LLC
KWF 2007 LLC
CRW 2007 LLC
GEW 2007 LLC


document_description: The document contains two tables with financial data. The first table lists various trusts, LLCs, and individuals along with their respective balances. The second table highlights large, zero, and negative balances for certain entities. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document contains financial data related to various entities and individuals, including LLCs and trusts, with specific amounts associated with each. It also lists large, zero, and negative balances for certain accounts, with account numbers redacted. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: A request to reopen a closed account to credit back a returned wire related to the 2017 Caterpillar Trust.

key_people:
Ruchi Lohani
Brigid Macias
Bradley Gillin
Natalie Barak

key_locations:
Jaipur, India
New York, NY

key_organizations:
DBOI Global Services Private Limited
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: Natalie Barak requests a signed letter of instruction for a wire transfer, including debit account number and dollar amount. Bella Klein, as Trustee of The 2013 Butterfly Trust, intends to send money to HBRK Associates for accounting fees.

key_people:
Natalie Barak
Bella Klein

key_organizations:
The 2013 Butterfly Trust
HBRK Associates


document_description: Bank account details for HBRK Associates Inc at TD Bank.

document_subtype: bank information

key_organizations:
TD Bank
HBRK Associates Inc


document_description: Natalie Barak, Vice President, is reaching out to Bella regarding Stewart's work travel and seeking advice on a matter.

key_people:
Natalie Barak
Bella
Stewart


document_description: This document is a communication from Deutsche Bank, which includes disclaimers about legal and tax advice, confidentiality, and privileged information. It also contains reference numbers.


document_description: This is a confidential communication from Deutsche Bank, advising recipients not to respond to the email and to contact Customer Support for more information. It contains disclaimers about confidentiality, privilege, and the bank's non-provision of legal or tax advice.


document_description: The document contains headlines and summaries of various financial and legal news articles, including topics on tax reform affecting home-office deductions, diversification in financial planning, a significant Finra panel award for wrongful termination, and retirement planning advice. The document also includes a blank white canvas image with no extractable data.

document_type: media

key_organizations:
USAA
Finra
CFP Board


document_description: The document contains headlines and brief descriptions of various news articles and events, including Morgan Stanley's bearish outlook on global stocks, Jeffrey Epstein's accusation of sex trafficking, cybersecurity threats in 2019, and Deutsche Bank's workforce reduction plan. It also lists upcoming conferences and workshops related to financial advising.

key_people:
Jeffrey Epstein
Russ Alan Prince
Evan Jehle

key_locations:
New York, NY
Philadelphia, PA

document_subtype: news article

key_organizations:
Morgan Stanley
Deutsche Bank
JPMorgan
Financial Advisor Magazine
Private Wealth


document_description: The document contains a featured column by Kenneth Rogoff discussing the challenges of phasing out coal in developing countries without adequate incentives. It also includes a section on research publications related to market and economic outlooks and whitepapers.


document_description: The document contains a media article discussing various high-profile individuals and events. It mentions Jeffrey Epstein's connections with influential figures like Bill Clinton and Donald Trump, and the fallout after his charges of sexually abusing under-aged girls. Other topics include the financial impact of depression and anxiety on companies, Deutsche Bank's massive layoffs, Boris Johnson's potential impact on Brexit, and a feature on a Ugandan politician.

key_people:
Jeffrey Epstein
Bill Clinton
Donald Trump
Joshua Chaffin
Kadhim Shubber
Lilah Raptopoulos
James Fontanella-Khan
John Gapper
Boris Johnson
Jeremy Corbyn
Jim Pickard
David Pilling
Bobby Wine

key_locations:
New York
Uganda

key_organizations:
Deutsche Bank
FT Weekend Magazine


document_description: The document contains various news snippets and commentary on topics such as President Yoweri Museveni's rule, climate change discussions among Republicans, the Bretton Woods conference's legacy, and James Dyson's real estate purchase in Singapore. It also includes a confidential notice related to a legal case.

title: News Commentary and Confidential Notice

key_people:
Yoweri Museveni
Gillian Tett
Martin Wolf
James Dyson
Edwin Heathcote

key_organizations:
FT
Bretton Woods conference


document_description: A brief note wishing someone a nice weekend, signed by Roula. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: A confidential document from Deutsche Bank Wealth Management, likely related to financial transactions or accounts.

document_subtype: bank document


document_description: Confidential communication from Deutsche Bank with a disclaimer about unauthorized copying, disclosure, or distribution. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: This document provides answers to frequently asked questions regarding the Depositor Information Sheet (DIS) and its requirements for Deutsche Bank clients. It covers topics such as eligibility for deposit protection, language availability, signing requirements, and procedures for new and existing customers.

document_subtype: FAQ


document_description: This document contains a list of appendices related to legal entities, customer information, and regulatory papers. It includes spreadsheets, PDFs, and example cover letters.

title: Appendices


document_description: This letter from Deutsche Bank AG, London Branch, informs clients about the German Deposit Guarantee Scheme and the requirement to sign a depositor guarantee information sheet. It includes instructions for returning the signed sheet and provides contact information for further inquiries.

title: Client communication: German Deposit Guarantee Scheme

key_locations:
London, United Kingdom
Birmingham, United Kingdom

document_subtype: letter

key_organizations:
Deutsche Bank AG
DBOI Global Services (UK) Limited


document_description: Act transposing Directive 2014/49/EU of the European Parliament and of the Council on Deposit Guarantee Schemes.

title: DGSD Implementation Act (DGSD-Umsetzungsgesetz)

document_subtype: Act

key_organizations:
European Parliament
Council of the European Union


document_description: The document outlines various sections related to the obligations, inspections, and procedures for CRR credit institutions, including their exclusion from statutory compensation schemes, recognition of institutional protection schemes, and supervision rights. It also covers cooperation with other deposit guarantee schemes within the European Economic Area.

title: Obligations and Procedures for CRR Credit Institutions

key_organizations:
CRR credit institutions
BaFin
Federal Court of Auditors
European Economic Area


document_description: This document outlines various sections of a legal act concerning CRR credit institutions, deposit guarantee schemes, and administrative fines. It includes definitions and obligations for institutions to guarantee deposits, provisions for administrative fines, and requirements for non-recognized schemes.

document_subtype: Banking Regulation

key_organizations:
CRR credit institutions
Banking Act
European Parliament
Council of the European Union

reference_numbers:
Regulation (EU) No 575/2013
Regulation (EU) No 646/2012


document_description: The document outlines regulations related to financial instruments and deposit guarantees under the Securities Trading Act and Banking Act. It defines eligible and covered deposits, depositor information requirements, and rights to compensation in case of a transformation or compensation event.

document_subtype: legislation

key_organizations: Federal Financial Supervisory Authority (BaFin)


document_description: The document outlines the conditions under which compensation can be claimed under the Investor Compensation Act. It specifies the responsibilities of the deposit guarantee scheme for CRR credit institutions, the exclusions from deposit protection, and the extent and calculation of compensation claims.

document_subtype: Investor Compensation Act

key_organizations:
CRR credit institution
Investor Compensation Act
Banking Act
European Parliament
Council of the European Union

reference_numbers:
Regulation (EU) No 575/2013
Directive 2005/60/EC
Directive 2004/39/EC
Directive 2009/138/EC
Directive 2003/41/EC


document_description: This document outlines the coverage levels and conditions for compensation claims against CRR credit institutions. It specifies the standard coverage level of €100,000 and conditions under which this can be increased to €500,000. It also details the treatment of joint accounts and accounts held by condominium owners' associations, as well as the currency and exchange rate considerations for compensation payments.

document_subtype: legal statute

key_organizations:
CRR credit institution
BaFin
European Central Bank

reference_numbers:
Section 10 (1)
Section 8


document_description: The document outlines various types of payments and benefits under different German laws, including social security, civil servant pensions, occupational pensions, redundancy plans, and compensation payments. It also details the legal claims for compensation and the limitation of such claims.

key_organizations: Act Governing Civil Servants' Pensions and Allowances

key_organizations: Employee Representation Act of the Evangelical Church in Germany

key_organizations: Act on Compensation for Wrongful Conviction

key_organizations: European Convention for the Protection of Human Rights and Fundamental Freedoms

reference_numbers:
Section 10a
Part XI
Section 112
Section 32 (2)
Section 1 a
Section 9
Section 13
Section 14
Section 113
Section 22
Section 12
27th title of Part 8
Article 5 (5)


document_description: The document outlines the procedures and requirements for determining and announcing a compensation event for CRR credit institutions under financial distress, as per BaFin regulations. It includes the roles of BaFin and the deposit guarantee scheme in notifying depositors and handling compensation claims.

key_organizations:
BaFin
CRR credit institution
deposit guarantee scheme

reference_numbers:
section 46 (1)
section 5
section 8 (2)
section 8 (5)


document_description: This document outlines the financial requirements and target levels for deposit guarantee schemes. It specifies the target level for financial means, the process for determining liabilities, and the requirements for maintaining and investing available financial means. It also details the notification process for CRR credit institutions and the role of BaFin in reporting to the European Banking Authority.

document_subtype: Regulation

key_organizations:
BaFin
Deutsche Bundesbank
European Banking Authority


document_description: The document outlines the financial contributions and use of funds for deposit guarantee schemes under the Act. It specifies how contributions are calculated based on risk and covered deposits, and the use of funds for compensating depositors and absorbing losses. It also addresses confidentiality obligations for those involved in deposit guarantee schemes.

key_organizations:
CRR credit institutions
BaFin
European Banking Authority
Deutsche Bundesbank
European Central Bank


document_description: The document outlines the functions, powers, and regulations of statutory compensation schemes under the Act. It details the responsibilities of these schemes, including collecting contributions from CRR credit institutions, investing funds, and compensating creditors in case of a compensation event. The document also specifies the authority of the Federal Ministry of Finance to assign functions to legal persons and establish compensation schemes, as well as the assignment of CRR credit institutions to these schemes.

document_subtype: statutory regulation

key_organizations:
BaFin
Kreditanstalt für Wiederaufbau (KfW)

reference_numbers:
section 23
section 22
section 24


document_description: This document outlines the obligations and procedures for CRR credit institutions regarding extraordinary contributions and payments in the event of a compensation event. It specifies the conditions under which these contributions are required, how they are calculated, and the limits on their collection. It also details the process for deferring payments if they jeopardize a credit institution's financial stability, and the determination of funds required for compensation events.

key_organizations:
CRR credit institutions
statutory compensation scheme

reference_numbers:
section 26 (2)
section 11 (2)
section 14 (2)


document_description: The document outlines the procedures and consequences for CRR credit institutions regarding compliance with statutory compensation schemes. It details the notification process to BaFin and Deutsche Bundesbank if obligations are not met, the exclusion process from the compensation scheme, and the sanctions that can be imposed for non-compliance. It also covers the recognition of institutional protection schemes as deposit guarantee schemes by BaFin.

key_organizations:
BaFin
Deutsche Bundesbank


document_description: The document outlines the legal framework for the recognition, revocation, and operational requirements of institutional protection schemes under specific sections of a legal act. It includes provisions for the withdrawal and appointment of supervisory body members, the annual update of savings plans, and the revocation of recognition by BaFin. It also details the minimum requirements for the articles of association of recognized institutional protection schemes, including contribution collection, inspection rights, and conditions for disclosure of secrets.

key_organizations:
BaFin
CRR credit institutions

reference_numbers:
section 43
section 44
section 46
section 47
section 48
section 49
section 34
section 35
section 41


document_description: The document outlines the requirements for deposit guarantee schemes in terms of annual reporting, auditing, stress testing, and audits by the Federal Court of Auditors. It specifies the information to be included in annual reports, the auditing process, stress test requirements, and the role of the Federal Court of Auditors in examining the financial management of these schemes.

document_subtype: regulation

key_organizations:
BaFin
Deutsche Bundesbank
European Banking Authority
Federal Court of Auditors

reference_numbers:
Section 52
Section 53
Section 54
Section 55


document_description: The document outlines the cooperation requirements between domestic and host member state deposit guarantee schemes within the European Economic Area. It specifies the responsibilities of domestic deposit guarantee schemes in protecting deposits of branches in other states, the need for cooperation agreements, and the procedures for information exchange and compensation.

document_subtype: regulatory document

key_organizations:
BaFin
European Banking Authority


document_description: The document outlines regulations for CRR credit institutions, particularly those with branches outside the European Economic Area, regarding deposit protection and administrative fines. It specifies conditions under which branches can be exempt from certain assignments, requirements for providing information to depositors, and penalties for non-compliance with financial reporting. It also addresses requirements for non-recognized deposit guarantee schemes.


document_description: This document lists the counterparties that are out of scope for EinSiG reporting, including financial institutions, insurance undertakings, government funds, and others. It also provides a table of DB Industry Codes associated with these counterparties.

title: Counterparties Out Of Scope for EinSiG Reporting

document_subtype: industry codes

key_organizations:
Financial Institutions
Insurance and Reinsurance undertakings
Government or state funds
Pension funds


document_description: The document is a Depositor Information Sheet from Deutsche Bank AG, informing customers about the statutory Deposit Guarantee Scheme as per the German Banking Act. It outlines the protection limit of EUR 100,000 per depositor per credit institution, the reimbursement period, and contact information for the Entschädigungseinrichtung deutscher Banken GmbH, which is responsible for the deposit guarantee. Additional information is provided about joint accounts and exceptions for deposits above EUR 100,000.

document_subtype: Depositor Information Sheet


document_description: This document is a Depositor Information Sheet from Deutsche Bank AG, informing the customer about the statutory Deposit Guarantee Scheme as per the German Banking Act. It details the protection limit of EUR 100,000 per depositor per credit institution, the reimbursement period, and contact information for the Entschädigungseinrichtung deutscher Banken GmbH, which is responsible for the deposit guarantee. The document also explains the conditions under which deposits are protected and provides additional information on joint accounts and business partnerships.

key_locations: Berlin Germany


document_description: A letter from Deutsche Bank Wealth Management informing a client about the German deposit guarantee system and the need to sign and return the Depositor Information Sheet. It explains the statutory and voluntary deposit protection schemes applicable to Deutsche Bank AG's branches, including the New York and Cayman branches, but not Deutsche Bank Trust Company Americas.

key_locations:
New York, NY
Cayman

key_organizations: Entschadigungseinrichtung deutscher Banken GmbH


document_description: The document contains a reference to Deutsche Bank's Privacy Policy and EU corporate and regulatory disclosures. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This is a bank notice from Deutsche Bank Trust Co. Americas addressed to Karyna Shuliak, indicating an overdraft of $1,274.88 as of 06-02-17. The notice requests a deposit to cover the overdraft and mentions a fee deducted for handling returned items.

title: Overdraft Insufficient Funds Notice

key_locations: 345 Park Avenue, NYC20-0102, New York, NY 10154

document_subtype: Bank Notice


document_description: This document outlines the desktop procedures for AML/NCA assessment at Deutsche Bank U.S. It is marked as confidential and proprietary to Deutsche Bank Group, with restrictions on copying, use, and disclosure.

title: Deutsche Bank U.S. AML/NCA Assessment Desktop Procedures

document_subtype: internal document


document_description: The DBUS AML Compliance Unit will conduct AMIJNCA File Review Assessments for various business lines and account types on a monthly or quarterly basis. The reviews will evaluate the adequacy of CIP/AML processes and assess controls for higher risk accounts as per DBUS AML Policy.

document_subtype: memo

key_organizations:
DBUS AML Compliance Unit
Deutsche Bank Group


document_description: This document outlines the procedures for the Monthly CAG File Review Assessment, including steps for entering findings, tallying data elements, and communicating with AML and CAG/CRM management. It also details the resolution process for missing or incorrect data elements.


document_description: The document outlines the procedures for conducting monthly AML/NCA TALF Borrower File Review Assessments by the DBUS AML Compliance Unit. It involves reviewing five randomly selected new client adoption files to evaluate AML controls and processes for TALF borrowers. The assessment focuses on AML compliance aspects, including Customer Identification Program elements and escalation processes for high-risk accounts.

title: Monthly Term Asset-Backed Securities Loan Facility AML/NCA File Assessment

key_locations: NYSE NASD

document_subtype: assessment

key_organizations:
DBUS
Global Markets
TMG-QA
CAG
Deutsche Bank Group


document_description: The AML Unit will document each file reviewed using the TALF Borrower File Review Assessment Form. Exceptions identified during the review will be communicated via email to appropriate management and must be remedied by CAG/TMG-QA. Remediation will be tracked by AML Compliance.

key_organizations:
Deutsche Bank Group
AML Compliance
CAG
TMG-QA


document_description: The DBUS AML Compliance Unit will conduct quarterly assessments on ten randomly selected New Client Adoptions files affected by CRE to evaluate the adequacy of AML aspects in the new client adoption process. The assessment focuses on AML compliance, including Customer Identification Program elements and escalation processes for higher risk accounts. The review is applicable to new client adoptions in the CRE Loan Origination and CRE Syndicated Loan desks, excluding loans purchased for securitization. The process involves communication with CRE Business Managers, obtaining a list of new client adoptions, random file selection, and detailed file review.

title: Quarterly CRE AML/NCA File Assessment

document_subtype: assessment report

key_organizations:
DBUS AML Compliance Unit
CRE Loan Origination
CRE Syndicated Loan desks
Deutsche Bank Group


document_description: The document outlines the procedures for conducting quarterly AML/NCA file review assessments by the DBUS AML Compliance Unit. It involves reviewing ten randomly selected new client adoption files to evaluate AML controls and compliance with DBUS policy and applicable regulations.

title: Quarterly Global Banking AML/NCA File Assessment

key_organizations:
DBUS AML Compliance Unit
Global Banking
Deutsche Bank Group


document_description: This document is a quarterly assessment form for Anti-Money Laundering (AML) and Know Your Customer (KYC) compliance, specifically for Deutsche Bank Group. It includes sections for client information, compliance checks, and risk assessments.

title: Quarterly Global Banking AMLJNCA Assessment Form

document_subtype: AML Assessment Form


document_description: The document outlines the procedures for a quarterly assessment of mortgage broker-applicants approved and funded by MortgagelT. The assessment evaluates the adequacy of the Customer Identification Program (CIP) controls and includes a review of PCR alert escalations. The results are shared with DB AML Compliance and MIT Compliance Management.

title: Quarterly MortgagelT Broker-applicants AML/NCA File Assessment

key_people: Head of Branch Operations Support Services

key_organizations:
MortgagelT
DB AML Compliance
MIT Compliance Management
Deutsche Bank Group


document_description: This document outlines the procedures for reviewing loan files and conducting Quarterly NCA File Assessments at Deutsche Bank. It includes steps for checking borrower information, conducting PCR checks, and entering findings into the MIT Quarterly Summary Review Excel spreadsheet. The document emphasizes the importance of escalating true-positive alerts to AML Compliance and communicating findings to GM AML management and MIT compliance.

document_subtype: internal memo

key_organizations:
Deutsche Bank Group
Loan Investigation Department
AML Compliance
GM AML management
MIT compliance


document_description: A check issued by NES, LLC to Greenhouse Agency, Ltd. for the amount of $6,750.00. The check is drawn on Deutsche Bank Trust Company Americas.

key_locations:
St. Thomas
New York

document_subtype: check

key_organizations:
NES, LLC
Greenhouse Agency, Ltd.
Deutsche Bank Trust Company Americas


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts associated with Jeffrey Epstein and related entities as of August 28, 2017.

title: RM0082289 Daily Deposit Report 20170829

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Darren K. Indyke
Todd R. Wanek
Karen A. Wanek
Shari Wagner
Kati Wanek-Forsythe

document_subtype: financial report

key_organizations:
Neptune, LLC
JEGE, Inc
Plan D, LLC
JEGE, LLC
NES, LLC
LSJE, LLC
Gratitude America, Ltd
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
CRW 2007 LLC
GEW 2007 LLC
Wanek Trust of 2000
Southern Trust Company, Inc.
Southern Financial LLC
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts, including those associated with Jeffrey Epstein and other entities. It includes account names, categories, and balances, as well as a note on a large transaction for the Wanek Trust of 2000.

title: RM0082289 Daily Deposit Report

key_organizations:
Neptune, LLC
JEGE, Inc
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
LSJE, LLC
Gratitude America, Ltd
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Southern Trust Company, Inc.
Southern Financial LLC
SSW 2007 LLC
KWF 2007 LLC
CRW 2007 LLC
GEW 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of April 18, 2018. It includes account numbers, names, categories, and balances.

title: RM0082289 Daily Deposit Report 20180419

key_people:
Noel Volpe
Jeffrey Epstein
Nancy and Michael Devane
Ali Rashid
Darren K. Indyke
Shari Wagner
Kati Wanek-Forsythe
Todd R. Wanek

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Wanek Trust of 2000
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC
The 2017 Caterpillar Trust


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, containing confidential information and disclaimers about securities and legal advice.

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: This document contains a confidentiality notice and disclaimer from Deutsche Bank, indicating that the communication may contain confidential or privileged information. It advises unintended recipients to notify the sender and destroy the communication. It also includes a disclaimer that Deutsche Bank does not provide legal or tax advice.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of May 24, 2018. It includes account names, categories, and balances.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Ali Rashid
Kati Wanek-Forsythe
Cameron Wanek
Shari Wagner

key_organizations:
The Jockey Club
Equibase Company
Axcis Information Network, Inc.
Southern Financial LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
Darren K. Indyke PLLC
HBRK Associates, Inc.
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Wanek Trust of 2000
Southern Trust Company, Inc.
Butterfly Trust
Ashley Holdings Inc
SSW 2007 LLC
KWF 2007 LLC


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts as of June 27, 2018. It includes account names, categories, and balances.

title: RM0082289 Daily Deposit Report 20180628

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Kati Wanek-Forsythe
Cameron Wanek
Shari Wagner
Darren K. Indyke

key_organizations:
The Jockey Club
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
OSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Wanek Trust of 2000
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: A table listing various trusts and individuals with associated amounts, mostly zero, except for Travis Wagner and Robert S Forsythe Revocable Trust, both with amounts of 149,967.76.

key_people:
Kati Wanek-Forsythe
Cameron Wanek
Travis Wagner
Shari Wagner
Leah M
Mara Wagne
Robert S Forsythe
Todd R Wanek
Ronald Wanek
Joyce Wanek


document_description: The document is a daily deposit report for RM CODE 82289 dated 07/09/18, listing large, zero, and negative balances for various accounts. It includes account numbers, names, categories, and balances.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Nancy and Michael Devane
Kati Wanek-Forsythe
Cameron Wanek
Shari Wagner

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
Darren K. Indyke PLLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Wanek Trust of 2000
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: A table listing various trusts and individuals with associated amounts, mostly zero, except for two entries with amounts of 150,166.01. The table includes names like Kati Wanek-Forsythe, Cameron Wanek, Travis Wagner, Shari Wagner, and Robert S Forsythe. It also mentions Ashley Holdings Inc.

key_people:
Kati Wanek-Forsythe
Cameron Wanek
Travis Wagner
Shari Wagner
Robert S Forsythe
Todd R Wanek
Ronald Wanek
Joyce Wanek


document_description: This memo outlines the implementation of the FinCEN CDD Rule effective May 11, 2018, requiring financial institutions to obtain a certification of beneficial ownership from certain legal entity clients. It details the procedures for completing and submitting the CDD Form, including delivery options and verification requirements.

key_people: Janice Yoonsun KG Wayne

key_organizations:
Deutsche Bank
FinCEN


document_description: Certification form for beneficial owners of a legal entity opening an account. It requires information about the natural person opening the account, the legal entity, and individuals owning 25% or more of the entity's equity. It also requires details of an individual with significant management responsibility.

document_subtype: certification form


document_description: Certification form for beneficial owners of a legal entity opening an account. It requires information about the natural person opening the account, the legal entity, and individuals owning 25% or more of the entity. It also requires details of an individual with significant responsibility for managing the entity.


document_description: A standard disclaimer and confidentiality notice from Deutsche Bank Wealth Management, including contact information and legal disclaimers.

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas
Deutsche Bank Securities Inc.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of July 24, 2018. It includes account names, categories, and balances.

title: RM0082289 Daily Deposit Report

key_organizations:
The Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
JSC Interiors LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
Ashley Holdings Inc
SSW 2007 LLC
KWF 2007 LLC
CRW 2009 LLC
GEW 2009 LLC


document_description: This document outlines the terms and conditions for attending an event organized by DBSI. It includes clauses on the use of personal data, representations and warranties by the attendee, indemnification, and disclaimers of liability. The document specifies that any disputes will be governed by New York law and must be resolved in New York courts.

key_locations: United States District Court for the Southern District of New York

key_locations: Supreme Court of the State of New York for the County of New York

document_subtype: terms and conditions


document_description: A memo from Patrick Campion, Managing Director at Deutsche Bank, regarding a data enhancement exercise to update client wealth information in DbForce. The task is expected to take 30 minutes and is supported by SCM members Ashok Eastman, Daniel Eisenberg, and Henry Clark. The goal is to complete the data cleanup by August 17. The memo also mentions an upcoming DbForce system update.

title: Wealth Data Enhancement Exercise

key_people:
Patrick Campion
Ashok Eastman
Daniel Eisenberg
Henry Clark

key_organizations:
Deutsche Bank Trust Company Americas
Wealth Management - Americas


document_description: Confidential communication intended for the addressee, possibly attorney-client privileged, from Darren K. Indyke, PLLC. Unauthorized use, disclosure, or copying is prohibited.


document_description: Instructions for attaching proof of delivery to client's record and handling client responses regarding the SFTR Disclosure Letter. Emphasizes that no response is required from clients and that questions should be managed by the Relationship Manager with legal or compliance involvement.

key_people:
Armen Brash
Anna-Sofiya


document_description: This document provides examples of agreements related to Title Transfer Collateral Arrangements and Security Collateral Arrangements with a right of use. It clarifies that the examples are illustrative and not definitive legal characterizations. The document distinguishes between agreements under U.S. and European law.

title: Appendix 2 - Examples of Agreements

document_subtype: Information Statement

key_organizations: International Swaps and Derivatives Association

key_organizations: Association for Financial Markets in Europe

key_organizations: Securities Industry and Financial Markets Association


document_description: This document is a SIFMA Master Securities Lending Agreement, which is generally a security collateral arrangement with respect to collateral delivered to the lender. It includes provisions for the borrower to take title to the borrowed securities. It also mentions bespoke security agreements creating security in respect of financial instruments with rehypothecation rights or a right of use over the financial instruments in favor of the secured party. The document is copyrighted by several financial associations, including the International Swaps and Derivatives Association and the Futures Industry Association, but they have not reviewed or endorsed any modifications made to this document.

document_subtype: agreement

key_organizations: International Capital Market Association

key_organizations: International Securities Lending Association


document_description: This appendix outlines the risks and consequences associated with collateral arrangements involving U.S. banking organizations, broker-dealers, and futures commission merchants (FCMs). It distinguishes between Customer Assets, Custodial Assets, and Non-Customer Assets, and explains the regulatory requirements for each. The document also discusses the use of Customer Assets in transactions regulated by the SEC and CFTC, including segregation requirements and the conditions under which assets can be used or substituted.

title: Appendix 3: Re-use Risks and Consequences under Collateral Arrangements

document_subtype: Appendix


document_description: This document discusses the risks and implications of using financial instruments as collateral, including potential loss of property interest and rights in insolvency situations. It also mentions the potential for asset or liability transfers under insolvency regimes.

document_subtype: legal disclaimer


document_description: An internal FAQ document from Deutsche Wealth Management, marked as confidential and for internal use only, featuring a cityscape background with a reflective sculpture.

title: SFTR Internal FAQs

document_subtype: Internal FAQ

key_organizations:
Deutsche Wealth Management
Deutsche Bank