document_description: The document provides an organizational chart for the WheelTug Program Team, detailing roles, names, and responsibilities within the company. It includes information about the oversight of development, finance, and strategy, as well as key partnerships and collaborations.

key_people:
Rodney Cox
Isaiah Cox
Joseph Cox
John Hanson
Jan Vana
Mark Lardas

document_subtype: organizational chart

key_organizations:
WheelTug
ABS Jets
Czech Airlines
Czech Ministry of Defense
Nike
IBM
Mercedes Benz
Intel
Princeton
UPen
DRS Avionics
Avenger
Aversan
Ultra
Phixos
TAG
HarcoSemco
Stirling Dynamics
CSAT
Air Transat
Kalco Machine
Czech Air Navigation Services
Prague Airport
Czech Technical University


source: doj

document_description: A collection of news clippings about WheelTug, a company developing an electric taxi system for airplanes. The clippings highlight WheelTug's FAA certification approval, technology features, and potential time and cost savings.

document_type: media

document_subtype: news clippings

key_organizations: WheelTug FAA


document_description: WheelTug holds over 100 issued patents with worldwide protection and has dozens more pending. In 2017, they were granted 27 patents. They continue to apply for patents globally.

title: WheelTug Patent Information

document_type: other

document_subtype: Patent Information


document_description: This document outlines the development and certification expenses for WheelTug, including costs for product development, production setup, entry into service, sales and marketing, general and administrative, and patent expenses.

title: Development & Certification Expenses

document_type: tabular

document_subtype: financial summary


document_description: The document provides a financial overview of WheelTug's operations for the year 2022, including deposits, leases, spares, production, SG&A costs, total costs, and revenues. It also mentions the number of WheelTug systems in service by the end of 2022.

title: WheelTug 2022 Operating Cash Flow

document_subtype: financial report


document_description: The email discusses the need for a revised ownership confirmation for Southern Financial LLC as advised by AML Compliance. It highlights that the provided Board resolution is for Southern Trust Company, Inc., not Southern Financial LLC, and requires validation of key statements.

key_people:
Manikandan Muralidharan
Dmitri Saks
Jofin Varghese
Ganesh Balaji
Bharath-Kumar MS
Karthi
Balaji
Sujith Shetty
Anastasia Pringle
Kumud Sharma

document_type: correspondence

document_subtype: email correspondence

key_organizations:
DBOI Global Services Private Limited
Southern Financial LLC
Southern Trust Company, Inc.
DBAMERICAS
DBAPAC


document_description: Internal communication regarding EDD package for Southern Financial LLC, highlighting Jeffrey Epstein as the only control person and the lack of notarized documentation.

key_people:
Jofin Varghese
Dmitri Saks
Jeffrey Epstein

key_locations:
Bangalore, India
New York, NY

document_subtype: internal memo

key_organizations:
DBOI Global Services Private Limited
Deutsche Bank Securities Inc.
Southern Financial LLC


document_description: Escalation of a request for a Private Investment Vehicle setup for Southern Financial LLC. The request is for DBSI-Equity custody/Margin (Type 1) and has been escalated to AML Compliance. Various documents related to the request have been deleted by Dmitri Saks.

title: Escalation of Private Investment Vehicle Request

key_people:
Kameshwaran
Jofin
Dmitri Saks
Sujith Shetty

key_organizations:
Southern Financial LLC
DBSI-Equity
AML Compliance


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. The document includes identifiers such as DB-SDNY-0067748, SDNY_GM_00213932, and EFTA01373522, suggesting it is part of a larger set of legal documents or evidence.


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: Internal communication regarding the identification of the Head of Business for Southern Financial LLC for AML compliance discussion before account approval.

key_people:
Anastasia Pringle
Manikandan Muralidharan

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial LLC


document_description: The document is a consent resolution by the Board of Directors of Southern Trust Company, Inc., certifying the unanimous adoption of certain resolutions on March 19, 2013. It includes the names of the directors and their consent to actions taken without a formal meeting, in accordance with the General Corporation Law of the U.S. Virgin Islands.

title: Consent of the Board of Directors of Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn

document_subtype: Board Resolution


document_description: Internal memo regarding the escalation of an EDD package for Southern Financial LLC, a private investment vehicle. The request is escalated to AML Compliance for further action.

key_people:
Sujith Shetty
Manikandan Muralidharan
Jofin Varghese
Kameshwaran
Dmitri Saks

key_organizations:
Southern Financial LLC
DBSI- Equity - custody/Margin
AML Compliance


document_description: A check issued by JEGE, LLC through Deutsche Bank Trust Company Americas to Charles Pickett III for the amount of $8,613.87. The check is dated 12/29/2016 and has a check number of 1396. The payee's address is 42023 North Anthem Heights Dr, Anthem, AZ 85086. The check has an exception type of 'High dollar pull' with a previous decision to refer due to 'Signature not on file'.

document_type: financial

document_subtype: check

key_organizations:
JEGE, LLC
Deutsche Bank Trust Company Americas


document_description: This is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and intended recipient of the message. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Wealth Management, discussing the availability of Todd, who is in Asia and Europe until the end of January. The communication includes a confidentiality notice and a disclaimer about legal and tax advice.

key_people:
Stewart Oldfield
Todd

key_locations:
345 Park Avenue, New York, NY 10154
Asia
Europe

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


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


document_description: The document is marked as confidential and is related to a legal matter, as indicated by the reference to Federal Rule of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0067790, SDNY_GM_00213974, and EFTA01373548, suggesting it is part of a legal or governmental investigation or case file.


document_description: This document outlines the authorized signers for corporate resolutions, including Jeffrey Epstein, Darren Indyke, and Jeanne Brennan. It specifies the conditions under which they are authorized to act individually or jointly and confirms the validity of their signatures. The document also states that the bank may rely on the instructions of the authorized signers unless notified otherwise.

key_people:
Jeffrey Epstein
Darren Indyke
Jeanne Brennan

document_subtype: Corporate Resolutions


document_description: This document outlines the authorized signers for an LLC, including Jeffrey Epstein, Darren Indyke, and Jeanne Brennan. It specifies the conditions under which they are authorized to act and confirms the validity of their authority as of the date shown.

document_date: February 17, 2017

document_subtype: LLC Resolutions

key_organizations:
Southern Trust Company, Inc
Socker Financial LLC


document_description: This document is a signature card for a corporate account at Deutsche Bank Trust Company Americas, associated with Southern Trust Company, Inc. It includes signatures of account holders and specifies the account type as corporate.

title: Deutsche Bank Signature Card for Southern Trust Company, Inc.

document_subtype: Signature Card

key_organizations:
Deutsche Bank Trust Company Americas
Southern Trust Company, Inc.


document_description: This document is a signature card for a joint account with rights of survivorship at Deutsche Bank Trust Company Americas for Southern Financial LLC. It includes signatures of Jeffrey Epstein and Darren Indyke, with Jeanne Brennan also listed. The account requires one signature for transactions.

title: Deutsche Bank Trust Company Americas Signature Card for Southern Financial LLC

key_organizations:
Deutsche Bank Trust Company Americas
Southern Financial LLC


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 March 29, 2017.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Darren K. Indyke
Todd R. Wanek
Shari Wagner
Kati Forsythe

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


document_description: A communication from Stewart Oldfield of Deutsche Bank discussing scheduling a meeting for a new trading setup. Proposed times for the meeting are provided for the week of September 18th.


document_description: This document is a self-disclosure letter template from Deutsche Bank AG for non-centrally cleared derivatives trading activity. It includes sections for counterparty legal name, DBAG group entities, multibranch entity offices, and representations regarding EMIR status.

title: Deutsche Bank AG — Self-Disclosure Letter

document_subtype: Self-Disclosure Letter


document_description: This document outlines representations made to DBAG regarding the status of an entity in relation to EMIR and US regulations. It includes options for entities to declare their status as a US person, non-US person, or exempt entity under various CFTC exemptions.

title: Representation to DBAG

document_type: legal

key_locations:
United States
European Union

document_subtype: regulatory compliance

key_organizations: DBAG CFTC EMIR


document_description: A self-disclosure letter template for counterparties to disclose their classification and compliance with regulations regarding uncleared derivatives transactions. It includes a table for estimating the year when the average aggregate notional amount (AANA) of outstanding uncleared derivatives is expected to cross certain thresholds. The letter also asks for information on other regulations requiring mandatory margining of uncleared derivatives.


document_description: This document provides a classification guide under EMIR for counterparties to OTC derivatives contracts, distinguishing between Financial Counterparties (FCs) and Non-Financial Counterparties (NFCs). NFCs are further divided into NFC+ and NFC- based on derivative transaction thresholds.

title: EMIR Classification

document_subtype: classification guide


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 26, 2016.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Todd Wanek
Karen Wanek
Darren K. Indyke

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
NES, LLC
Zorro Development Corp.
LSJE, LLC
Wanek Trust of 2000
KWF 2007 LLC
SSW 2007 LLC
Gratitude America, Ltd


document_description: Email correspondence discussing the ABR resource gap and backlog reduction expectations, slide adjustments for a presentation, and updates on staffing and account closures.

key_people:
Sheffali Welch
Adrienne Bull
Oliver Esslinger
Emily Craig
Melisa Venegas
Daphne Cales
Wayne Salit

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas


document_description: An email disclaimer from Zbynek 'Ziggy' Kozelsky, Director at Deutsche Bank Securities Inc., regarding trade execution information and confidentiality notice.

key_locations: 345 Park Avenue, 26th Floor, New York, NY 10154

document_subtype: email disclaimer

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Asset & Wealth Management


document_description: A signature block from Andrew King, Vice President at Deutsche Bank Securities Inc., with contact information and confidentiality notice.


document_description: Andrew King discusses with Vahe the next steps for a 520MM total return swap on a basket of preferreds, as requested by Richard Kahn. The memo seeks input from Capital Markets on assembling the basket and providing indicative terms.

key_people:
Andrew King
Vahe
Stewart Oldfield
Richard Kahn


document_description: The document contains a table detailing the Trading Outreach Output, including client IDs, legal names, GM Sales Sponsors for Outreach, and other related information. It also includes email correspondence between Isabel Gonzalez and Christopher Whyton discussing the outreach and suggestions for further contact.

key_people:
Isabel Gonzalez
Christopher Whyton
Anthony Campo
Adrienne Coyle
Vahe Stepanian
Olivier Pariente
Matt Barnett

key_locations: Winchester House, 1 Great Winchester Street

document_subtype: Trading Outreach Output

key_organizations:
Deutsche Bank AG
William Beaumont Hospital
Proven Wealth Limited
Southern Financial, LLC
Tradition SEF, Inc.


document_description: A table listing legal names and GM Sales Sponsors for outreach, with a note about a non-existent person in the directory.

key_people:
Adrienne Coyle
Vahe Stepanian
Olivier Pariente

document_type: email

document_subtype: tabular

key_organizations:
William Beaumont Hospital
Proven Wealth Limited
Southern Financial, LLC
Tradition SEF, Inc.


document_description: A memo discussing updates and questions regarding AFCs queue, KYC cases, and HR status. It includes comments on slide presentations and case management strategies.

key_people:
Wayne
Daphne
Nick
Vinita
Jorge Antonio Caputo
Robert FX Sillerman
Edward H Benenson
Jan Wagener
Oliver

document_subtype: memo

key_organizations:
Global Team
Southern Financial Relationship
Principals of Aquiline Relationship
Goldentree Relationship


document_description: Sheffali Welch discusses the need for updated statistics and plans for improving throughput in the Wealth Management Americas division of Deutsche Bank. The memo outlines the need for updates on dialogue with Irwin, overdue status of high-risk items, actions taken to improve throughput, and staffing updates.

key_people:
Sheffali Welch
Oliver
Irwin
Wayne
Adrienne

key_locations:
New York, NY, USA
Mumbai

key_organizations:
Deutsche Bank Wealth Management
Global AFC


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


document_description: Confidential communication from Cynthia Rodriguez, Assistant Vice President at Deutsche Bank Trust Company Americas, regarding privileged information. The document includes a disclaimer about the confidentiality and legal nature of the content.

document_subtype: fax

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: A communication between Richard Kahn of HBRK Associates Inc. and Stewart Oldfield of Deutsche Bank Trust Company Americas, discussing confidential matters. The email includes contact information for both parties and a confidentiality notice.

key_people:
Richard Kahn
Stewart Oldfield

key_locations: 575 Lexington Avenue, New York, NY 10022

key_organizations:
HBRK Associates Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management


document_description: Premium neutral risk reversals on WTI executed through Southern Financial's ISDA. Includes call and put options with various expiration dates and strike prices.

document_subtype: option trading

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial


document_description: This document contains multiple disclaimers about confidentiality and the non-provision of legal or tax advice by Deutsche Bank. It also references a document titled 'Spectrum_Asset ManagementPrincipal_-_1Q_16_Profile.pdf'.


document_description: A communication from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, containing a confidentiality notice and disclaimer about legal and tax advice.


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 October 7, 2016. It includes account names, categories, balances, and a large transaction for Jeffrey Epstein.

title: RM0082289 Daily Deposit Report

key_people:
Jeffrey Epstein
Darren K. Indyke

document_subtype: financial report

key_organizations:
Southern Financial LLC
Neptune, LLC
JEGE, INC
JEGE, LLC
NES, LLC
LSJE, LLC
Southern Trust Company, Inc.
Wanek Trust of 2000
Gratitude America, Ltd
Kati Forsythe 2014 GRAT


document_description: Discussion on HR status and updates on slides for a presentation. Includes updates on overdue approvals, pending documentation, and staffing updates. Mentions changes to slides and executive summary.

key_people:
Sheffali Welch
Adrienne Bull
Oliver Esslinger
Emily Craig
Jan Wagener


document_description: Contact information for Sheffali Welch, Managing Director and COO of Wealth Management Americas at Deutsche Bank.


document_description: Cynthia Rodriguez from Deutsche Bank is requesting missing documentation and signature pages related to a deletion instrument and attachments from Darren Indyke, Karyna Shuliak, and Richard Kahn. The email is part of a confidential communication regarding the Butterfly Trust.

key_people:
Cynthia Rodriguez
Darren Indyke
Karyna Shuliak
Richard Kahn
Harry Beller
Stewart Oldfield

document_subtype: email correspondence

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management


document_description: The document contains a table related to Trading Outreach Output, listing clients, their legal names, GM Sales Sponsors for Outreach, and other related details. It also includes a correspondence between Isabel Gonzalez and Christopher Whyton discussing the outreach and suggestions for further contact.

key_people:
Isabel Gonzalez
Christopher Whyton
Adrienne Coyle
Vahe Stepanian
Olivier Pariente
Matt Barnett
Bruce

key_locations: Winchester House, 1 Great Winchester Street, EC2N 2DB London

document_subtype: table

key_organizations:
Deutsche Bank AG
William Beaumont Hospital
Proven Wealth Limited
Southern Financial, BC
Tradition SEF, Inc.


document_description: Audie Apple is coordinating with Andrew G to follow up with bankers for client meetings. They have a meeting set with General Atlantic and are awaiting updates on Southern Financial and Tisch.

key_people:
Audie Apple
Andrew G

key_organizations:
Deutsche Bank Wealth Management
General Atlantic
Southern Financial
Tisch


document_description: Contact information and confidentiality notice related to a document in the Jeffrey Epstein case.


document_description: Authorization for asset movement for non-retirement accounts, directing Deutsche Bank Alex Brown to wire $1,500,000 to Deutsche Bank Trust Co Americas for Southern Trust Company Inc. Includes provisions for checks, journals, and free deliveries, with standing authorization options and acknowledgment of transmission risks.

document_subtype: Authorization for Asset Movement

key_organizations:
Deutsche Bank Alex Brown
Southern Trust Company Inc.
Deutsche Bank Trust Co Americas


document_description: A confidential correspondence from Richard Kahn to Stewart Oldfield, sent on September 28, 2016, with an attachment titled 'Butterfly Trust Docs - Executed by EAK.pdf'.


document_description: The document outlines the decision by the trustees of the Butterfly Trust to administer the trust's assets in Delaware and the United States Virgin Islands, ensuring it qualifies as a U.S. domestic trust under the Internal Revenue Code.

title: Butterfly Trust - Selection of Location of Trust Administration

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn
Harry I. Beller
Erika A. Kellerhals

key_locations:
Delaware
United States Virgin Islands

document_subtype: Trust Administration Document


document_description: The document outlines the deletion and addition of beneficiaries to the Butterfly Trust. Harry I. Beller and Erika A. Kellerhals, acting as trustees, remove Ghislaine Maxwell as a beneficiary and add Karyna Shuliak, Darren K. Indyke, and Richard Kahn as beneficiaries under Article Third of the Trust Agreement.

title: Butterfly Trust - Deletion and Addition of Beneficiaries

key_people:
Jeffrey E. Epstein
Darren K. Indyke
Richard Kahn
Harry I. Beller
Erika A. Kellerhals
Ghislaine Maxwell
Karyna Shuliak

document_date: November 2014

document_subtype: Trust Document


document_description: Notarized acknowledgment of Erika A. Kellerhals executing an instrument in her individual capacity, with Jeffrey E. Epstein as Grantor.

key_people:
Erika A. Kellerhals
Jeffrey E. Epstein
Gina Marie Bryan

key_locations:
St. Thomas
St. John
Virgin Islands

document_subtype: notarized document


document_description: Designation of Erika A. Kellerhals as successor Trustee of the Butterfly Trust, effective upon the death, resignation, or removal of current Trustees Darren K. Indyke or Richard Kahn. Acceptance by Erika A. Kellerhals and acknowledgment by Jeffrey E. Epstein.

title: Butterfly Trust Designation and Acceptance of Successor Trustee

key_people:
Darren K. Indyke
Richard Kahn
Erika A. Kellerhals
Jeffrey E. Epstein

document_subtype: Trust Designation


document_description: Darren K. Indyke resigns as Trustee of the Butterfly Trust, effective October 31, 2014. The resignation is acknowledged by Jeffrey E. Epstein, Richard Kahn, Harry I. Beller, and Erika A. Kellerhals.

title: Butterfly Trust Resignation of Trustee

key_people:
Darren K. Indyke
Jeffrey E. Epstein
Richard Kahn
Harry I. Beller
Erika A. Kellerhals

document_subtype: Trustee Resignation


document_description: Richard Kahn resigns as Trustee of the Butterfly Trust, effective October 31, 2014. The resignation is acknowledged by Jeffrey E. Epstein, Darren K. Indyke, Harry I. Beller, and Erika A. Kellerhals.

title: Butterfly Trust Resignation of Trustee

key_people:
Richard Kahn
Jeffrey E. Epstein
Darren K. Indyke
Harry I. Beller
Erika A. Kellerhals

document_subtype: resignation letter


document_description: Business card for Andrew King, Vice President at Deutsche Bank Securities Inc.

document_subtype: business card


document_description: A confidential business correspondence from Stewart Oldfield, Director at Deutsche Bank Trust Company Americas, related to Deutsche Bank Wealth Management.

document_subtype: business correspondence

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


document_description: This document provides the KYC relationship details for Lilia Judith Lapidus, including the status of the relationship, primary officer, reason for KYC update, and wealth details. It also includes information about the introduction of the client and special client types.

title: KYC Relationship Details for LAPIDUS, LILIA JUDITH

key_people:
Lilia Judith Lapidus
Berta Ruth Bronstein de Lapidus
Analia Lapidus
Mauricio Pretelt
Martin Barzi
Enrique Lapidus

key_locations:
Southern Cone
NY

document_subtype: KYC Relationship Details


document_description: Salesforce record detailing contact information, privacy preferences, and legal address for an individual associated with Cardozo & Lapidus Abogados.

key_locations: De La Chinchilla (Nordelta) 7, Tigre, Buenos Aires, Argentina

key_locations: Vuelta de Obligado 2845, piso 1ro, Buenos Aires, Argentina

document_subtype: Salesforce Record


document_description: The document contains Know Your Customer (KYC) information related to individuals associated with an account or wealth. It includes personal and professional details, marketing interests, and relationships to the account.

key_people:
Lilia Judith Lapidus
Analia Lapidus
Berta Ruth Bronstein de Lapidus

document_subtype: KYC Information


document_description: KYC document detailing account holders and related party roles for Lilia Judith Lapidus, Analia Lapidus, and Berta Ruth Bronstein de Lapidus. Includes case comments and attachments related to risk calculations and searches.

key_people:
Lilia Judith Lapidus
Analia Lapidus
Berta Ruth Bronstein de Lapidus
Briana Gargurevich
Mauricio Pretelt
Morgan Trichel
Matthew-J Purcell

document_subtype: KYC Document


document_description: The document contains a Salesforce case history with details of file modifications, ownership, and actions taken by users. It includes information about changes in case ownership and status updates.

key_people:
Morgan Trichel
Briana Gargurevich

document_subtype: Salesforce Case History

key_organizations:
AML & Business Risk
Approved KYC


document_description: Salesforce case log detailing changes in case ownership and status by users Mauricio Pretelt and Briana Gargurevich.

key_people:
Mauricio Pretelt
Briana Gargurevich

document_subtype: Salesforce Case Log


document_description: A communication from Richard Kahn of HBRK Associates Inc. regarding a financial matter involving Southern Financial LLC and Frontier Communications.

key_organizations:
Southern Financial LLC
Frontier Communications
HBRK Associates Inc.
DeutscheBank


document_description: A high dollar pull exception for a check from Jeffrey Epstein's account due to the image not being available. The check amount is $7,500.00 and requires one signature.

document_subtype: bank document


document_description: A check issued by JEGE, LLC from Deutsche Bank Trust Company Americas to William Hammond for pilot services rendered on specified dates.

key_people:
William Hammond
Damen Subter

document_subtype: check

key_organizations:
Deutsche Bank Trust Company Americas
JEGE, LLC


document_description: A check issued by JEGE, LLC to William Hammond for pilot services provided on specified dates. The check is drawn on Deutsche Bank Trust Company Americas and is to be deposited in JPMorgan Chase Bank, N.A. The check amount is $19,799.37.

key_people:
William Hammond
Daren Woff

key_locations:
St. Thomas, USVI
New York, NY
Westerville, OH

key_organizations:
JEGE, LLC
Deutsche Bank Trust Company Americas
JPMorgan Chase Bank, N.A.


document_description: A check issued by NES, LLC to A.D.Winston Service, Inc. for the amount of $15,264.28. The check is associated with invoice numbers 2988 and 2989. The check is drawn on Deutsche Bank Trust Company Americas.

key_locations:
St. Thomas
New York
Long Island City

key_organizations:
NES, LLC
A.D.Winston Service, Inc.
Deutsche Bank Trust Company Americas


document_description: Cynthia Rodriguez from Deutsche Bank Trust Company Americas is inquiring about the Butterfly Trust. The compliance group has questions regarding the purpose of the trust, the support for the change of beneficiaries in the trust agreement, and the reasons for changing beneficiaries.

document_subtype: memo


document_description: The document is an AML review of Southern Financial LLC, a private investment vehicle owned by Jeffrey Edward Epstein. It highlights Epstein's criminal background and the potential reputational risk to Deutsche Bank (DB) due to his involvement. The document recommends marking the relationship as high risk and escalating the case to the Americas Reputational Risk Committee for further review.

key_people:
Jeffrey Edward Epstein
Richard Kahn
Bill Richardson
Gary King
Eliot Spitzer
Mark Green

key_locations:
U.S. Virgin Islands
Michigan
California
West Palm Beach
New York
New Mexico
Paris

document_subtype: AML Review

key_organizations:
Southern Financial LLC
Southern Trust Company, Inc.
J. Epstein & Co.
The Financial Trust Company
Deutsche Bank


document_description: A signature block from Dmitri Saks, AML Compliance Officer at Deutsche Bank Securities Inc., including contact information and confidentiality notice.


document_description: Andrew Gallivan outlines the process for planning sessions with 10 clients, including coordination with ISG/DPM partners, lending specialists, and wealth planning specialists. The memo emphasizes the use of DBForce for managing client information and opportunities, and assigns roles for ROs in the sessions.

key_organizations: ISG DPM DBForce


document_description: A note from Audie Apple inquiring about updates on Southern Financial and Tisch.

document_subtype: note

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Securities Inc.


document_description: Cynthia Rodriguez from Deutsche Bank Trust Company Americas communicated with Rich regarding the request to open AG Preferred Deposit Accounts for The Haze Trust, Southern Financial, LLC, and Southern Trust Company, Inc. Account opening documents were attached.

key_people:
Cynthia Rodriguez
Rich
Vahe

key_organizations:
Deutsche Bank Trust Company Americas
The Haze Trust
Southern Financial, LLC
Southern Trust Company, Inc


document_description: The document outlines the terms and conditions of the Preferred Cash Management Service offered by Deutsche Bank for The Haze Trust. It details the automatic fund transfer capabilities between a DBTCA Deposit Account and a Preferred Banking Account at Deutsche Bank AG New York Branch, including features like Maximum Balance and Automatic Transfer Option.

title: Preferred Cash Management Service Addendum

document_subtype: bank service addendum

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank AG New York Branch


document_description: The document outlines the terms and conditions of the Target Balance feature for DBTCA Deposit Accounts, allowing automatic fund transfers between the DBTCA Deposit Account and a Preferred Banking Account at Deutsche Bank AG New York Branch to maintain a specified minimum balance.

document_subtype: bank service agreement

key_organizations:
DBTCA
Deutsche Bank AG New York Branch


document_description: A form for selecting Deutsche Bank's Preferred Cash Management Service features, including Maximum Balance and Target Balance options, or termination of service. The form includes authorization for fund transfers between accounts and acknowledges the lack of FDIC insurance.

document_subtype: Bank Service Selection Form


document_description: The document outlines the terms and conditions of the Preferred Cash Management Service offered by Deutsche Bank. It details the automatic fund transfer capabilities between a DBTCA Deposit Account and a Preferred Banking Account at Deutsche Bank AG New York Branch, including features like Maximum Balance and Automatic Transfer Option.

document_subtype: Bank Service Addendum

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Bank AG New York Branch
Southern Financial, LLC


document_description: The document outlines the terms and conditions of the Target Balance feature for DBTCA Deposit Accounts, allowing automatic fund transfers between the DBTCA Deposit Account and a Preferred Banking Account at Deutsche Bank AG New York Branch to maintain a specified minimum balance. It includes details on the authorization of transfers, conditions under which transfers may not occur, and the responsibilities of the account holder.

document_subtype: Bank Service Agreement


document_description: Jeffrey Epstein requests Deutsche Bank Trust Company Americas (DBTCA) and Deutsche Bank AG New York Branch to provide the Preferred Cash Management Service. The form includes options for Maximum Balance Feature, Target Balance Feature, and Termination of Service. Epstein's signature is dated February 17, 2017.

title: Deutsche Bank Preferred Cash Management Service Selection Form


document_description: The document outlines the terms and conditions of the Preferred Cash Management Service offered by Deutsche Bank. It details the ability to transfer funds between a DBTCA Deposit Account and a Preferred Banking Account, including features like Maximum Balance and Automatic Transfer Option.


document_description: The document outlines the terms and conditions of the Preferred Cash Management Service offered by Deutsche Bank AG New York Branch and DBTCA. It allows customers to set a Target Balance in their DBTCA Deposit Account, authorizing automatic transfers between this account and their Preferred Banking Account to maintain the Target Balance. The document details the responsibilities of the account holder, conditions under which transfers may not occur, and the liability limitations of the bank. It also mentions the possibility of future fees and the process for canceling or changing service features.

document_subtype: Preferred Cash Management Service Addendum

key_organizations:
Deutsche Bank AG New York Branch
DBTCA
Deutsche Bank Trust Company Americas


document_description: Jeffrey Epstein requests Deutsche Bank Trust Company Americas (DBTCA) and Deutsche Bank AG New York Branch to provide the Preferred Cash Management Service. The form includes options for Maximum Balance Feature, Target Balance Feature, or Termination of Service. Epstein acknowledges that funds in the Preferred Banking Account are not insured by FDIC or any U.S. governmental agency.

document_subtype: Preferred Cash Management Service Selection Form


document_description: The document is marked as corrupted/unprintable and cannot be produced. It is labeled as confidential.


document_description: A check issued by Neptune, LLC to Coastal Windows & Doors, LLC for the amount of $32,717.84, with reference to Quote SAF-Q16-040B and balance invoice 14-874.

key_locations:
St. Thomas USVI
New York, New York
West Palm Beach, FL

key_organizations:
Neptune, LLC
Coastal Windows & Doors, LLC
Deutsche Bank Trust Company Americas


document_description: Andrew King discusses with Vahe the next steps for a $20MM total return swap on a basket of preferreds, as requested by Richard Kahn. The memo mentions the possibility of Capital Markets putting together the basket for the swap.

key_people:
Andrew King
Vahe
Stewart Oldfield
Richard Kahn

document_subtype: internal memo

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Asset & Wealth Management


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 table listing various entities and individuals associated with private equity investments, family offices, and other financial activities. It includes details about the nature of business, changes in activities, and investment income for each entity.


document_description: The document is a table listing various entities, their representatives, and updates on their status as of late September and October 2016. Most entries indicate no material changes or developments.


document_description: A correspondence from Vaishali Mehta, Head of Anti-Money Laundering Business Risk at Deutsche Bank Wealth Management, providing contact information and a confidentiality notice.


document_description: This document is an authorization form for asset movement for non-retirement accounts at Deutsche Bank Alex. Brown. It includes instructions for wire transfers, checks, journals, and free deliveries. The document specifies a wire transfer of $20,000 to EasCorp Federal Credit Union for the benefit of Joscha Bach. It also outlines the terms of standing authorization and the responsibilities of the undersigned, Darren Indyke, who signed the document on December 27, 2016.


document_description: Internal communication regarding setting up AG preferred deposit accounts for Haze, SFLLC, and Southern Trust.


document_description: A check issued by Darren K. Indyke PLLC to AFEX for the amount of $5,512.50. The check was processed with a high dollar pull exception due to a signature irregularity. The check is associated with Deutsche Bank Trust Company Americas.


document_description: The correspondence involves a request for a revised ownership confirmation for Southern Financial LLC, as advised by AML Compliance. The email chain includes a forwarded message indicating that the provided Board resolution is for Southern Trust Company, Inc., not Southern Financial LLC, and requires validation of key statements.


document_description: A check issued by Gratitude America, Ltd through Deutsche Bank Trust Company Americas, payable to Charlie Albright for the amount of $50,000.00. The check includes security features and is marked as confidential under federal rules.


document_description: A professional correspondence from Anna-Sofiya Lupolover, an associate at Deutsche Bank Trust Company Americas, expressing gratitude. The message includes her contact information and confidentiality notices.


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of April 13, 2017. It includes account names, categories, and balances.


document_description: A communication from Richard Kahn of HBRK Associates Inc inquiring about whether a service would be provided by Deutsche Bank's Wealth Management group or Investment Bank.


document_description: A financial document detailing a transaction involving Jeffrey Epstein, where a check for $7,500 was issued to cash from Deutsche Bank Trust Company Americas.


document_description: Contact information for Arthur Tremblay, Director at Deutsche Bank Trust Company Americas and Deutsche Bank Wealth Management.


document_description: Invitation from Deutsche Bank Wealth Management for an exclusive preview of Frieze London on October 5, 2016, including access to the Deutsche Bank Lounge and a schedule of events throughout the day.


document_description: This document designates Erika A. Kellerhals as a successor trustee for the Butterfly Trust, effective upon the death, resignation, or removal of the current trustees, Darren K. Indyke and Richard Kahn. Erika A. Kellerhals accepts the designation and agrees to execute her duties as trustee.


document_description: This document designates Harry I. Beller as the successor trustee of the Butterfly Trust, effective upon the death, resignation, or removal of the current trustees, Darren K. Indyke and Richard Kahn. The document includes the acceptance of this designation by Harry I. Beller and is acknowledged by Jeffrey E. Epstein, the grantor of the trust.


document_description: Richard Kahn resigns as Trustee of the Butterfly Trust, effective October 31, 2014, as per the provisions of the trust agreement dated December 27, 2006. The resignation is acknowledged by Jeffrey E. Epstein, Darren K. Indyke, Harry L. Beller, and Erika A. Kellerhals.


document_description: The document contains personal and professional details of Harry Beller, a CPA at Louis J. Septimus & Company, including his address and New York State Driver License information. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document is a United States Passport Card issued by the U.S. Department of State. It features star motifs along the right edge and has redacted photo and personal data blocks. The card is shown vertically and is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: This document contains confidential information related to a Deutsche Bank Trust Company Americas account. It includes details such as account holder title, account number, and types of account ownership options. The document also references a power of attorney and includes placeholders for signatures and approval dates.


document_description: The SFTR Disclosure Letter indicates that no response is required from clients. Questions should be directed to the Relationship Manager, with legal or compliance involvement as needed. An internal Q&A is attached for internal use only. Assistance can be sought from Armen or Anna-Sofiya.


document_description: The document outlines a SIFMA Master Securities Lending Agreement, which is a security collateral arrangement where the borrower takes title to the borrowed securities. It also mentions bespoke security agreements with rehypothecation rights. The document is copyrighted by several financial associations and is marked as confidential under federal rules.


document_description: This document outlines the risks and consequences associated with collateral arrangements involving U.S. broker-dealers, futures commission merchants, and banks. 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 CFTC and SEC, including segregation requirements and the conditions under which assets can be used or substituted.


document_description: The document discusses the treatment of customer assets and collateral arrangements in the event of insolvency for U.S. broker-dealers, FCMs, and banking organizations. It outlines the rights and risks associated with the use of customer assets and collateral, including the potential impact on property interests and claims in insolvency proceedings.


document_description: This document discusses the rights and risks associated with financial instruments, particularly in the context of insolvency. It highlights the potential for reduced exposure through collateral and the possibility of superior rights being granted to other parties. The document also addresses the implications of insolvency proceedings, including the potential for asset or liability transfers and the impact on claims. It is copyrighted by several financial associations but not endorsed by them.


document_description: This document contains internal frequently asked questions related to SFTR, intended for use within Deutsche Wealth Management.


document_description: The document provides an overview of the Securities Financing Transaction Regulation (SFTR), a European regulation aimed at enhancing transparency in securities financing transactions (SFTs) and the re-use of collateral. It outlines the definition of SFTs, the Article 15 requirement for disclosure of risks and consequences of collateral re-use, and the scope of clients and products affected by the regulation.


document_description: The document is a daily deposit report dated January 4, 2017, detailing account balances and large transactions for various entities associated with Jeffrey Epstein. It includes account names, categories, balances, and transaction amounts.


document_description: This document provides insights into opportunities within the US municipal market, specifically targeting key client partners or US institutional investors. It includes contact information for Deutsche Bank's Municipal Capital Markets Desk and Structured Solutions Desk.


document_description: The document provides an overview of Deutsche Bank's Municipal Capital Markets Group, highlighting its focus on customized client solutions, efficiency, adaptability, and substantial capacity for large transactions. It emphasizes the group's deep client relationships, streamlined execution process, and significant business resources.


document_description: This document is a presentation from the Deutsche Bank Municipal Capital Markets Group, intended for key client partners or US institutional investors, and not for retail distribution. It outlines the integrated platform of Deutsche Bank's Municipal Capital Markets, highlighting the roles of borrowers, banks, financial advisors, investors, developers, broker dealers, and internal teams. The presentation also covers aspects such as cash sales, tender options, structured financing, and swaps.


document_description: The document outlines the Deutsche Bank Municipal Capital Markets Group's four client businesses, focusing on issuer financing, tax-exempt and affordable housing, investor financing, and cash and derivatives trading. It details direct lending strategies, relationships with various financial entities, and financing municipal bonds.


document_description: This document is a confidential financial report from Deutsche Bank's Global Markets division, focusing on Muni Capital Markets and relative value analysis. It is intended for key client partners or US institutional investors and is not for retail distribution.


document_description: The document discusses the appeal of US municipal bonds as a unique asset class, particularly in a rising interest rate environment. It highlights the historical outperformance of municipal bonds compared to other taxable fixed income investments during periods of increasing rates. The document includes statistical analysis and regression data showing the relationship between 30-year UST yields and municipal bond yields.


document_description: The document outlines the attractive characteristics of the US municipal bond market, highlighting its USD-denominated fixed income nature, long duration, historically steep yield curve, low correlation with other financial instruments, and potential for outperformance in a bear rates environment. It emphasizes the market's high grade, low default rates, and the benefits of diversification for investors.


document_description: This document is a confidential financial report by Deutsche Bank's Global Markets division, focusing on municipal capital markets and the leveraging of municipal bonds. It is intended for key client partners or US institutional investors and is not for retail distribution.


document_description: The document provides indicative returns for selected municipal bonds under a recourse financing framework. It includes bond information such as ratings, maturity, call dates, bond yields, prices, and indicative returns for Class A and Class B rates. The data is intended for key client partners or US institutional investors and is not for retail distribution.


document_description: This document provides an overview of risks and considerations associated with Term A/B Financing, specifically for key client partners or US institutional investors. It outlines various risks related to muni bond prices and A/B financing structures, including risk-free rates, muni market spreads, idiosyncratic credit spread, liquidity spread risk, callability, bond price risk, tenor mismatch risk, trigger price risk, early termination risk, collateral risk, and taxability risk. The document emphasizes the importance of investors being comfortable with these risks and consulting with their advisors before executing any transactions.


document_description: This document is a confidential financial report by Deutsche Bank Global Markets, focusing on short-term tax-exempt municipal opportunities. It is intended for key client partners or US institutional investors and not for retail distribution.


document_description: The document provides details on a short-term tax-exempt investment portfolio designed for key client partners or US institutional investors. It includes portfolio statistics such as average credit quality, maturity, market price, average coupon, and overcollateralization. The document also outlines key characteristics of the Senior TOB Certificate program and provides a sample list of CUSIPs with associated obligors, states, ratings, floater rates, and overcollateralization percentages.


document_description: This document is a sample portfolio of select TOB Senior Certificate Cusips, detailing series, amounts, floater cusips, names, bond cusips, bond ratings, states, current rates, short term ratings, and overcollateralization levels. It is intended for key client partners or US institutional investors and not for retail distribution. The document includes a disclaimer about the illustrative nature of the information and the need for final approvals.


document_description: The document provides an overview of risks and considerations associated with TOB Senior Certificates, specifically for key client partners or US institutional investors. It outlines various risks such as Trigger Price Risk, DB Credit Risk, Tender Option Termination Events (TOTE) Risk, and TOB Senior Certificate Rate Risk. It also discusses Muni Bond Price Risks including Interest Rate Risk, Muni Market Spreads, Credit Spread, Liquidity Spread Risk, and Optionality/Callability. The document emphasizes the importance of understanding these risks and consulting with advisors before executing any transactions.


document_description: The document is related to Deutsche Bank's Global Markets, specifically focusing on Muni Capital Markets and Direct Lending. It is marked as confidential and is intended for key client partners or US institutional investors, not for retail distribution.


document_description: This document is a disclaimer from Deutsche Bank AG intended for key client partners or US institutional investors, not for retail distribution. It clarifies that the document is for discussion purposes only and does not create any legally binding obligations. It advises investors to rely on specific final documentation for investment decisions and not on the summary provided. The document disclaims any provision of investment advice and highlights potential conflicts of interest within Deutsche Bank's Sales and Trading functions. It also notes regulatory authorizations and restrictions on the distribution of the document.


document_description: This document contains confidential information related to a legal matter, as indicated by the reference to Federal Rule of Criminal Procedure 6(e).


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts as of April 17, 2017. It includes a list of accounts with their respective balances and categories, as well as a section on large transactions involving significant amounts of money transfers.


document_description: The document is a daily deposit report dated April 21, 2017, detailing large, zero, and negative balances, as well as large transactions for various accounts. Key entities include Jeffrey Epstein, Southern Trust Company, Inc., and others, with significant cash management transfers and transactions noted.


document_description: A correspondence from Elizabeth J. Ford, Managing Director and Head of Compliance for the Americas at Deutsche Bank, expressing gratitude to an individual named Jan. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: Vahe Stepanian from Deutsche Bank Securities Inc. informs recipients about his upcoming travel and requests to CC a group for any questions. The email includes a disclaimer about the confidentiality and non-advisory nature of the communication, and mentions attached documents related to Israeli tax declaration and an offer to purchase.


document_description: A check issued by Jeffrey Epstein to cash for the amount of $7,500.00, processed by Deutsche Bank Trust Company Americas. The check includes account and routing numbers, and is marked as confidential under federal rules.


document_description: The document outlines the addition of a beneficiary to the Butterfly Trust, as per the authority granted under Article Third, Paragraph B of the Trust Agreement dated December 27, 2006. The current acting trustees, Harry I. Beller and Erika A. Kellerhals, add a beneficiary named Angelika to the Trust.


document_description: The document is an amendment to the Butterfly Trust Agreement, allowing the addition of new beneficiaries by the acting trustees, Harry I. Beller and Erika A. Kellerhals, under the authority of Article Third, Paragraph B of the Trust Agreement dated December 27, 2006. The amendment is acknowledged by Harry I. Beller in New York on March 30, 2015.


document_description: A notarized document acknowledging the execution of an instrument by an individual on March 30, 2015, in the Territory of the Virgin Islands, Division of St. Thomas & St. John.


document_description: This document is a confidential legal communication from Darren K. Indyke, PLLC, indicating that unauthorized use, disclosure, or copying is prohibited and may be unlawful. It includes a copyright notice and confidentiality statement pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: Correspondence from Daphne Cales, Director of Banking Services & Branch Manager at Deutsche Bank Trust Company Americas, including contact information and confidentiality notice.


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It includes a link for EU corporate and regulatory disclosures and a disclaimer that Deutsche Bank does not provide legal or tax advice.


document_description: The document is a disclaimer and confidentiality notice regarding trade execution information provided by Deutsche Bank. It emphasizes that the information is preliminary and subject to change, with official confirmations governing the terms. It also highlights the confidentiality of the information and the non-advisory nature of the communication.


document_description: The document provides a financial profile for Lilia Judith Lapidus, including net worth, investable assets, and income details. It also mentions the inheritance from Enrique Lapidus, who was a client at DB Suisse.


document_description: The document contains Salesforce case records related to Lilia Judith Lapidus, detailing various case types such as KYC - Onshore and Administrative Change. It includes information on case subjects, contact names, dates opened, statuses, and owners.


document_description: The document is a Salesforce report detailing changes in primary officer assignments and various attachments related to a specific relationship ID 01909661. It includes a list of attachments with their types, owners, and related descriptions.


document_description: The document contains a list of attachments related to Lilia Judith Lapidus, including various proofs of address, checklists, and search results. The attachments are owned by individuals such as Gwen Hill and Briana Gargurevich and are related to a specific case number 01774563.


document_description: The document is a Salesforce record related to Lilia Judith Lapidus, containing various attachments and research files related to the entity ID 01190044. It includes details about file owners, types, and descriptions, as well as a record of an annual client update meeting on 3/15/2017.


document_description: The document is a Salesforce audit trail and account history record for Lilia Judith Lapidus, detailing meetings and changes in customer ownership. It includes meeting dates, types, and creators, as well as changes in customer ownership by different users.


document_description: The document is a table of financial transactions detailing trades made between September and November 2017. It includes information such as trade dates, settlement dates, buy/sell indicators, quantities, symbols, prices, principals, commissions, fees, transaction currencies, and sales credits.


document_description: The document contains a series of financial transactions, specifically sales of various securities and financial instruments, along with associated financial figures. It includes details of sales transactions by date, quantities, and securities involved, as well as financial summaries and confidential notes.


document_description: Email thread involving Richard Kahn discussing financial transactions related to SFL options and regulatory paperwork requirements.


document_description: A confidential document marked pursuant to Federal Rule of Criminal Procedure 6(e), with identifiers DB-SDNY-0068232, SDNY_GM_00214416, and EFTA01373841.


document_description: A confidential warning message directed at an individual named Rich, advising him to look elsewhere. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document contains confidential information related to a meeting scheduled for the week of the 24th. It includes references to legal confidentiality under Federal Rules of Criminal Procedure and specific document identifiers.


document_description: The document contains confidential information related to a legal matter, as indicated by the reference to Federal Rule of Criminal Procedure 6(e).


document_description: The document contains confidential information related to Stewart Oldfield, a director at Deutsche Bank Trust Company. It includes reference numbers DB-SDNY-0068238, SDNY_GM_00214422, and EFTA01373845, and is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is a confidential record related to Deutsche Bank Wealth Management, located at 345 Park Avenue, New York, NY 10154. It includes reference numbers DB-SDNY-0068239, SDNY_GM_00214423, and EFTA01373846, indicating it may be part of a legal or financial investigation.


document_description: The document contains contact information with some details redacted and marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document is marked as confidential and is related to a legal matter, possibly involving the Federal Rules of Criminal Procedure.


document_description: This document is marked as confidential and is related to a legal matter, possibly involving the Federal Rules of Criminal Procedure.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers such as DB-SDNY-0068245, SDNY_GM_00214429, and EFTA01373850.


document_description: The document contains a confidentiality notice related to legal communication, specifically under Federal Rule of Criminal Procedure 6(e).


document_description: The document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers such as DB-SDNY-0068249, SDNY_GM_00214433, and EFTA01373852.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under Federal Rule of Criminal Procedure 6(e).


document_description: The document contains a confidentiality notice and a disclaimer from Deutsche Bank, indicating that unauthorized copying, disclosure, or distribution of the material is strictly forbidden. It also provides a link for additional EU corporate and regulatory disclosures and states that Deutsche Bank does not render legal or tax advice.


document_description: The document contains a disclaimer from Deutsche Bank regarding legal and tax advice, and references additional EU corporate and regulatory disclosures. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of January 25, 2018. It includes account names, categories, and balances.


document_description: Notes from an account planning session discussing various client relationships and strategies for increasing engagement and financial opportunities. Key actions include increasing coverage, exploring lending opportunities, and introducing asset class specialists.


document_description: The document outlines potential investment opportunities and strategies for various clients and prospects, including Thirdlake, Tisch, and Willet. It discusses interest in tech views via structured notes, hedge fund investments, and potential introductions to companies like Diamond Offshore Drilling. The document also mentions internal groups and strategies for connecting with hedge fund contacts.


document_description: The document contains a list of international contact phone numbers for various countries, including Singapore, United Kingdom, United States, and others. It is marked as confidential under federal rules.


document_description: The 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 email discusses the need for a Statement of Status (SoS) for an entity registered in the US Virgin Islands to confirm its active status. It also addresses a correction needed in a Customer Due Diligence (CDD) form regarding Jeffrey Epstein's legal address, which was incorrectly listed as the entity's address instead of his personal address. The sender requests the client to amend the form and plans to launch a KYC case upon confirmation of the changes.


document_description: Jeffrey E. Epstein's Virgin Islands driver's license details including name, address, issue and expiry dates, and license classes.


document_description: Certification document for the beneficial owner of a legal entity account being opened by Jeffrey E. Epstein for Zorro Management, LLC. It includes details of ownership and management responsibilities, as well as verification signatures.


document_description: A check issued by Banco Popular to Jeffrey Epstein for the amount of $450,000.00, dated September 20, 2017.


document_description: The document lists security features of a check, including a security seal pattern, micro-printing, and a check security screen. It also includes a declaration of non-citizenship by Jerry Epstein and confidentiality notices.


document_description: The document provides a career overview and financial progress of an individual with 20 years of experience in banking, including roles at JP Morgan, Credit Suisse, and Deutsche Bank. It details their achievements in investment banking, private banking, and asset management, highlighting key positions and financial milestones. The document also discusses client relationships and financial performance, particularly with Third Lake, and mentions confidential information related to the DOJ crisis.


document_description: The document outlines various client relationships and internal highlights within a financial institution. Key client relationships include Ashley Furniture, Southern Financial, and MCM, with details on mandates won and improvements in client relations. Internal highlights focus on partnerships with bankers, involvement in internal networks, and contributions to corporate culture. The document also lists managing directors who should support a promotion.


document_description: The document lists various individuals associated with different departments or roles within Deutsche Bank, including DPM, Credit, Deposits, Bankers, CIB, and Marketing. It also mentions individuals the sender would like to get to know better. The document is marked as confidential and includes contact information for Stewart Oldfield, a director at Deutsche Bank Trust Company Americas.


document_description: The document is a consent form from the Board of Directors of Southern Trust Company, Inc., certifying resolutions adopted on March 19, 2013. It includes the names of the directors and their unanimous consent to actions taken without a formal meeting, in accordance with U.S. Virgin Islands law.


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


document_description: The document contains contact information for Stewart Oldfield, a Director at Deutsche Bank Trust Company Americas, and mentions several entities or names: Bright, Dorrance, GU, JL, Orix, Parami, Hillspire. It also includes confidentiality notices and reference numbers.


document_description: This document is a cashier's check issued by Deutsche Bank Trust Company Americas to Jeffrey Epstein, with a payment of $7,500.00 to cash. The check includes account information, exception type, and audit details. It is marked as confidential under federal rules.


document_description: The document is an AML review concerning Jeffrey Edward Epstein, the sole UBO and control person of Southern Financial LLC. It highlights Epstein's background as a financier and philanthropist, his criminal history as a registered sex offender, and the reputational risks associated with his involvement. The document recommends marking the relationship as high risk and escalating the case to the Americas Reputational Risk Committee for further review.


document_description: This document contains contact information for Dmitri Saks, an AML Compliance Officer at Deutsche Bank Securities Inc. It is marked as confidential and subject to Federal Rule of Criminal Procedure 6(e).


document_description: The document outlines sections for client relationship management, including client facts, financials, current business opportunities, and account planning outcomes. It mentions the provision of Excel files for financial and pipeline data and announces upcoming sessions for template clarification.


document_description: The document is a daily deposit report dated February 9, 2017, detailing large, zero, and negative balances for various accounts associated with Jeffrey Epstein and related entities. It includes account names, categories, and balances.


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts associated with Jeffrey Epstein and related entities as of February 27, 2017. It includes a table of account balances and a list of large transactions involving cash management transfers.


document_description: This document is a check issued by Neptune, LLC to Coastal Windows & Doors, LLC for the amount of $32,717.84. The check is drawn on Deutsche Bank Trust Company Americas and is dated March 17, 2017. It includes a memo referencing a quote and invoice number. The document also contains information about the account and a restrictive endorsement stamp indicating it is for deposit only.


document_description: A check issued by Jeffrey Epstein from Deutsche Bank Trust Company Americas to Karenhart dela Cruz for $10,000.00. The check has a high dollar pull exception due to a signature irregularity.


document_description: The document is a consent resolution by the Board of Directors of Southern Trust Company, Inc., a U.S. Virgin Islands Corporation, certifying the unanimous adoption of certain resolutions on March 19, 2013. The directors, Jeffrey Epstein, Darren K. Indyke, and Richard Kahn, consent to actions in lieu of a meeting in accordance with the General Corporation Law of the U.S. Virgin Islands.


document_description: A check issued by Jeffrey Epstein from Deutsche Bank Trust Company Americas to Jay Ryan Fontanilla for the amount of $10,000.00. The check has a high dollar pull exception due to a signature irregularity.


document_description: Richard Kahn from HBRK Associates Inc requests to place two good till cancel orders for selling Disney and Pfizer stocks. The orders are to sell 1000 Disney shares at $114.12 or better and 4200 Pfizer shares at $34.60 or better. Darren is expected to confirm these orders.


document_description: This document is a confidentiality agreement between American Medical Properties LLC (AMP) and an unnamed investor regarding a potential equity investment in AMP's acquisition of hospital-related real estate assets. The agreement outlines the terms under which confidential information will be shared with the investor, emphasizing the need for secrecy and the prohibition of disclosure to third parties without AMP's consent.


document_description: This document is a binding agreement letter between an investor and American Medical Properties (AMP). The letter requires the investor to sign and return a copy to confirm acceptance of the terms and commitments outlined. The letter is signed by Mark Karlan, President and CEO of AMP, and awaits the investor's signature.


document_description: The document is an investment teaser for American Medical Properties, intended for key client partner clients or U.S. institutional investors, and not for retail distribution. It is marked as confidential under federal rules.


document_description: American Medical Properties LLC (AMP) is forming a company to acquire high-quality hospital and healthcare real estate assets in the U.S. The company plans to raise $300-$400 million in equity to acquire over $750 million in assets, with a target annual dividend yield above 8%. The strategy involves leveraging real estate and healthcare expertise to acquire assets in off-market transactions and improve hospital operations. AMP has a pipeline of $2 billion in sale and leaseback opportunities across 35 assets.


document_description: The document outlines risk management strategies for American Medical Properties (AMP) in the context of healthcare reform, tenant concentration, competition, interest rates, and tenant solvency. It discusses the potential impacts of changes in the Affordable Care Act, AMP's diversified tenant pipeline, competition in the healthcare real estate market, projected interest rate increases, and the monitoring of tenant performance metrics to mitigate risks.


document_description: This document is a confidential notice from Deutsche Bank Securities Inc. It outlines the limitations and disclaimers regarding the information provided, emphasizing that it is not an offer or solicitation for any financial transaction. The notice advises recipients to seek independent advice and highlights the risks involved in financial instruments. It also stresses the confidentiality of the document and restricts its distribution.


document_description: This document is a notice to potential investors of Deutsche Bank, outlining that it is for discussion purposes only and does not create any legally binding obligations. It emphasizes that investment decisions should be based on final transaction documentation and not on the summary provided. The document also clarifies that Deutsche Bank is not acting as a financial adviser or in any fiduciary capacity for the proposed transaction. It advises investors to seek independent advice and highlights that the information is based on reliable material but is not guaranteed to be accurate or complete. The document also notes that the investment is not FDIC insured and that Deutsche Bank does not provide legal, tax, or accounting advice.


document_description: An invitation to the opening night of the US Open with two tickets available, allowing the recipient to bring a guest.


document_description: This document is a confidential communication from Deutsche Bank, which includes a disclaimer about unauthorized copying, disclosure, or distribution. It also states that Deutsche Bank does not provide legal or tax advice.


document_description: The document is a consent resolution by the Board of Directors of Southern Trust Company, Inc., a U.S. Virgin Islands Corporation, certifying the unanimous adoption of certain resolutions on March 19, 2013. The document lists the directors as Jeffrey Epstein, Darren K. Indyke, and Richard Kahn, and states that the consent is in lieu of a meeting, in accordance with the General Corporation Law of the U.S. Virgin Islands.


document_description: This document is a confidential communication from Richard Kahn of HBRK Associates Inc., containing disclaimers about the confidentiality and privileged nature of the information. It also includes a disclaimer from Deutsche Bank regarding legal or tax advice.


document_description: This document is a confidential legal communication from Darren K. Indyke, PLLC, intended only for the use of the addressee. It contains attorney-client privileged information and is protected under confidentiality agreements. Unauthorized use or disclosure is prohibited.


document_description: The document outlines premium neutral risk reversals on WTI, with Southern Financial buying calls and selling puts for zero net premium. It includes details of option expirations and strike prices for future references CLU6, CLZ6, and CLH7. The communication is marked confidential and is from Daniel Sabba of Deutsche Bank Securities Inc.


document_description: The document is a daily deposit report dated April 11, 2017, listing large, zero, and negative balances for various accounts. It includes account names, categories, and balances.


document_description: The document is an AML compliance report regarding Southern Financial LLC, highlighting concerns about Jeffrey Edward Epstein, a control person and UBO, due to his criminal history and allegations of sexual misconduct. The report recommends marking the account as high risk and escalating the case to the Americas Reputational Risk Committee due to potential reputational risks for Deutsche Bank.


document_description: This document contains contact information and confidentiality notices related to a location at 60 Wall Street, New York, NY. It includes a phone number and a redacted email address, along with confidentiality markings indicating it is confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: This document is a Certificate of Existence issued by the Government of the Virgin Islands of the United States, certifying that PRYTANÉE, LLC is a legally registered Limited Liability Company in the Virgin Islands as of July 22, 2016.


document_description: This document outlines the Articles of Organization for Prytanée, LLC, a limited liability company organized under the Uniform Limited Liability Company Act in the Virgin Islands. It specifies the company's name, address, principal office, and resident agent.


document_description: The document outlines the Articles of Organization for a limited liability company organized under the laws of the U.S. Virgin Islands. It specifies the company's purpose, duration, organizer, management, and initial capital.


document_description: The document outlines the limitation of liability for managers and members of a company as per the Uniform Limited Liability Company Act. It specifies conditions under which managers can be held liable, such as breaches of duty or intentional misconduct. It also states that members are not liable for the company's debts and obligations. Additionally, it includes a severability clause ensuring the rest of the document remains effective even if a part is deemed void or illegal.


document_description: This document is a notarized statement confirming Brett Geary as the Organizer of a Company, signed and sworn before a Notary Public in the United States Virgin Islands on July 22, 2016.


document_description: This document outlines definitions and provisions related to an Operating Agreement of a company. It includes definitions for terms such as 'Adjusted Capital Account Balance', 'Affiliate', 'Agreement', 'Artwork', and 'Capital Account'. The document specifies how Capital Accounts are maintained and adjusted in accordance with relevant regulations.


document_description: This document outlines definitions and terms related to a limited liability company, Prytanée, LLC. It includes definitions for terms such as Capital Contributions, Cash Flow, Certificate, Code, Company, Consent, and Depreciation. The document specifies the conditions under which modifications can be made, the calculation of cash flow, and the meaning of consent among members.


document_description: This document outlines definitions related to a legal agreement, including terms such as 'Membership Interest', 'Notice', 'Person', 'Profits', and 'Losses'. It specifies the rights and obligations of members, the definition of notice, and how profits and losses are calculated for a company. The document also references specific sections of the United States Treasury Regulations and the Internal Revenue Code.


document_description: The document outlines the formation and operation of a limited liability company named Prytanee, LLC. It details the company's purpose, which is to engage in the acquisition, ownership, and management of artwork for investment purposes, with a financial cap on investments in works by a single artist. The document also specifies the company's registered agent and the process for qualifying to do business in additional jurisdictions. It includes definitions of terms such as 'Transfer' and 'Unreturned Capital Contributions.'


document_description: This document outlines the terms of membership interests, capital contributions, and financial allocations for a company. It specifies that the company will issue one type of ownership interest with voting rights tied to membership status. Initial capital contributions are detailed in Exhibit A, and no additional contributions are required unless decided by STC. Members cannot withdraw without consent, and additional membership interests require member consent. Capital accounts will be maintained for each member, and profits and losses will be allocated according to specified rules.


document_description: The document outlines the allocation of profits and losses among members of a company as per Section 4.2 and 4.3 of the agreement. It specifies how losses are allocated based on membership interests and adjusted capital account balances. It also provides the manager with the authority to reallocate profits and losses to ensure substantial economic effect or alignment with members' interests. Tax allocations are to follow the same manner as capital account allocations.


document_description: This document outlines specific sections of an operating agreement for a company, focusing on tax allocations and cash flow distribution among members, as well as management structure. Section 704(c) deals with tax allocations related to property contributions, ensuring compliance with federal tax regulations. Section 4.6 describes the distribution of cash flow, prioritizing members with unreturned capital contributions. Article 5 discusses the management of the company, naming Etienne Binant as the initial manager and mentioning a management agreement.


document_description: The document outlines the roles, responsibilities, and limitations of the Manager in a company, including the process for entering agreements, liability limitations, removal, resignation, and appointment of a new Manager. It specifies that the Manager must act in good faith and in the best interest of the company and its members. The document also details the conditions under which a Manager can be removed or resign, and the procedure for appointing a new Manager.


document_description: This document outlines the management and member provisions of a company agreement, including indemnification of the manager, powers of members, and conditions for company property partitioning.


document_description: The document outlines the rules for transactions between members or managers and the company, as well as the management of the company's fiscal year, books, records, and bank accounts. It specifies that members or managers can lend money or transact business with the company with the consent of the members. The company's funds must be deposited in federally insured bank accounts approved by STC, and all financial records are to be maintained at HBRK Associates' office. The document also details the requirements for maintaining accurate books and records, which must be open for inspection by any member. Monthly accounting reports are to be provided to STC and, upon request, to the Trust.


document_description: The document outlines the financial and tax responsibilities of the Manager and STC, including the preparation of monthly accountings, tax returns, and the role of the Tax Matters Partner. It also details the conditions under which membership interests can be transferred and the circumstances leading to the company's dissolution.


document_description: This document outlines the procedures for the dissolution of a company, including the conditions under which dissolution may occur and the steps to be taken upon dissolution. It specifies the order of priority for distributing the proceeds of liquidation, starting with the payment of debts and liabilities, creation of reserves for unforeseen liabilities, repayment of member loans, and finally distribution to members. The document also details the management of the company's affairs during the dissolution process to preserve assets.


document_description: This document outlines the miscellaneous provisions of an agreement, including binding terms, execution in counterparts, effects of consent or waiver, enforceability, entire agreement clause, and governing law jurisdiction. The agreement is binding on the parties and their successors, can be executed in multiple counterparts, and is governed by the laws of the United States Virgin Islands.


document_description: This document lists the names, addresses, and membership interests of the members of a company, along with their percentage ownership and initial capital contributions.


document_description: The IRS has assigned an Employer Identification Number (EIN) 66-0865925 to PRYTANEELLC. The notice includes instructions for using the EIN, filing requirements, and information on tax classification. It also provides contact information for assistance and resources for obtaining tax forms and publications.


document_description: This document is an IRS notice regarding the issuance of an Employer Identification Number (EIN) to PRYTANEE LLC. It includes important reminders about maintaining records, using the EIN on federal tax forms, and providing the name control 'PRYT' when filing electronically. The notice is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: The Pierre Trust Agreement, established in November 2016, outlines the terms under which Caroline Sophie Camille Lang, as both Grantor and Trustee, manages the trust. The agreement specifies the disbursement of income and principal during the Grantor's lifetime, and reserves specific rights for the Grantor, including the ability to amend or revoke the trust, remove trustees, and add property to the trust.


document_description: This document outlines the provisions for the distribution and administration of a Trust Estate after the death of the trustor. It specifies that the Trust Estate's income and principal are to be distributed equally to the trustor's daughters, Anna Lea Elvire Laik and Rebecca Zoe Berths Laik, if they survive the trustor. If either daughter predeceases the trustor, their share is to be distributed to their descendants or the surviving daughter. If both daughters predecease the trustor, the Trust Estate is to be paid to the Executor of the probate estate. The document also details the discretionary powers of the Trustee in distributing the Trust Estate and the allocation of assets.


document_description: The document outlines the powers and responsibilities of a Trustee in managing a trust. It includes provisions for equitable adjustment, lapsed distribution, notice requirements, and the exercise of judgment and powers by the Trustee. It also addresses the compensation and reimbursement of the Trustee for expenses incurred in the performance of their duties.


document_description: This document outlines the powers and responsibilities of a trustee in managing a trust. It includes provisions for holding and managing assets, delegating powers, employing personnel, conducting geological surveys, and engaging in activities related to the trust's assets. The trustee is also empowered to litigate, settle claims, loan or borrow money, invest in entities, manage business enterprises, and enter into transactions with entities in which the trustee has an interest. Additionally, the trustee can purchase assets from the estate or make loans to the estate.


document_description: This document outlines the powers and restrictions of a trustee in managing a trust. It includes provisions for leasing, mortgaging, or encumbering trust assets, abandoning property deemed worthless, electing distribution modes for various plans, conducting audits for compliance with environmental laws, and more. It also specifies restrictions on transactions between the trustee and related parties, and the employment of agents and advisers.


document_description: This document outlines the powers and authorities granted to the Trustees of a Trust. It includes provisions for delegating management of trust assets, signing financial instruments, accessing safe deposit boxes, distributing assets to beneficiaries, and maintaining records. The document also addresses the registration of the Trust with the probate division of the Superior Court of the United States Virgin Islands.


document_description: This document outlines the powers and restrictions of a Trustee in managing a Trust. It includes provisions for granting and eliminating powers of appointment to beneficiaries, disclaiming assets or powers, and executing necessary instruments to fulfill the Trust's terms. It also details restrictions on Trustees, particularly regarding discretionary decisions involving personal benefits and conflicts of interest.


document_description: This document outlines the responsibilities and protections for Trustees managing a Trust, including relief from certain statutory provisions of the Virgin Islands Code. It specifies that Trustees are not liable for negligence unless acting in bad faith and that legal fees for defending actions against Trustees will be covered by the Trust. It also addresses representation of persons under disability, simultaneous deaths, and the governing law of the Trust.


document_description: This document outlines the terms and conditions of a Trust Agreement, specifying that the laws of the U.S. Virgin Islands govern the trust, but allowing the Trustee to transfer the trust's situs to another jurisdiction if deemed necessary. It defines key terms such as 'Trustee' and 'Executor' and includes a no-contest clause that voids benefits for any beneficiary who contests the agreement.


document_description: This document is a confidential correspondence from Melisa Venegas at Deutsche Bank Trust Company Americas, part of Deutsche Asset & Wealth Management. It includes contact information and confidentiality notices.


document_description: Cynthia Rodriguez from Deutsche Bank Trust Company Americas is inquiring about an incoming wire of $22,500,000 from BV70 LLC. She seeks information on the purpose of the wire, the relationship between the client and BV70 LLC, the type of products/services provided by BV70 LLC, and any available resources or contact information for BV70 LLC. Richard Kahn from HBRK Associates Inc. confirms the wire was sent.


document_description: This document contains confidential SEC Rule 506(d) disclosure statements related to Alpha Group Capital and Alkeon Growth PW Partners, LP. It is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: A letter from Alkeon Capital Management, LLC to an investor regarding disclosures related to their investment in Alkeon Growth PW Partners, LP, as required by SEC Rule 506(d).


document_description: This letter from Alkeon Capital Management, LLC (ACM) confirms that neither ACM nor its affiliates have had any Disqualifying Events under the SEC Rule 506 Bad Actor Rules as of December 21, 2016. The letter pertains to the offer and sale of securities in reliance on Rule 506 exemptions for Alkeon Growth PW Partners, LP. ACM commits to notifying recipients of any future Disqualifying Events.


document_description: The document is an annex detailing the absence of disqualifying events for ACM, Alkeon Capital Advisers, LLC, Alkeon Capital Offshore, LLC, and other connected persons. It specifies that no covered person has had criminal convictions, certain injunctions, restraining orders, or final regulatory actions that would disqualify them under specified rules.


document_description: The document outlines restrictions and orders related to Covered Persons under SEC regulations. It details prohibitions on associations with regulated entities, engagement in securities, insurance, or banking businesses, and participation in savings or credit union activities. It also covers SEC disciplinary orders that suspend or revoke registrations, limit activities, or bar associations with entities. Additionally, it includes SEC cease-and-desist orders against violations of anti-fraud provisions and Section 5 of the Securities Act.


document_description: The document outlines that no Covered Person associated with AGP LP 519 Alpha Group Caudal Paul Barrett has been suspended or expelled from any securities exchange or association, nor have they been involved in any SEC registration or offering statement subject to a refusal or stop order in the past five years. Additionally, no Covered Person has been subject to any false representation order by the US Postal Service in the last five years.


document_description: The document is a table listing various legal actions and their outcomes involving UBS Financial Services and individual financial advisors. It includes details such as the date of action, the entity involved, the party bringing the action, allegations, and the disposition of each case.


document_description: This document is a legal correspondence from Deutsche Asset & Wealth Management to Alkeon Capital Management, LLC, regarding the execution of amendments to Rule 506 of Regulation D under the Securities Act of 1933. The amendments, effective September 23, 2013, implement Section 926 of the Dodd-Frank Act. Deutsche Asset & Wealth Management provides representations and warranties to Alkeon Growth PW Partners LP, Alkeon Growth Offshore Fund Ltd, and ACAP Strategic Fund, ensuring compliance with the new requirements and confirming no disqualifying events that would affect the exemption from registration under Rule 506.


document_description: Deutsche Asset & Wealth Management authorizes the inclusion of Disqualifying Events in the Fund's private placement memorandum, with prior approval. They commit to preventing any Agent Covered Person with a Disqualifying Event from participating in the Offering and to notify the Funds of any changes in the truth of their statements or information provided.


document_description: Deutsche Bank Securities Inc. (DBSI) reached a settlement agreement with various regulatory bodies, including the SEC, NASD, NYSE, and the New York Attorney General, related to investigations into research analyst independence. DBSI agreed to pay $87.5 million as part of the settlement.


document_description: The document outlines disqualifying events for Solicitors under Section 506(d)(iii)(B) due to final orders from state securities commissions for violations related to fraudulent conduct. Solicitors are seeking a waiver from the SEC. They have settled with 40 states, Puerto Rico, the Virgin Islands, and the District of Columbia over allegations of failing to supervise and engaging in unethical practices related to auction rate securities (ARS). The settlements include purchasing ARS from eligible customers and paying fines. The document lists the completion dates of these undertakings for various states.


document_description: The document contains a table listing various U.S. states and territories along with corresponding dates. It is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: Merrill Lynch faced allegations from the Massachusetts Securities Division (MSD) for unethical practices in selling auction rate securities (ARS) to the city of Springfield. Without admitting guilt, Merrill Lynch agreed to buy back the ARS at par value and cease violations of the Massachusetts Uniform Securities Act. Additionally, Merrill Lynch entered into consent orders with various state regulators to resolve issues related to ARS sales, agreeing to buy back ARS from eligible investors, pay civil penalties, and provide liquidity solutions.


document_description: The document outlines findings from a 2011 Order against Merrill Lynch for improper trading practices, including misuse of customer order information and failure to disclose mark-ups. It also details violations of the Massachusetts Uniform Securities Act related to auction rate securities sales. Merrill Lynch agreed to cease violations, pay penalties, and undertake measures to provide liquidity to affected investors.


document_description: The document discusses the ineligibility of certain investors, specifically AGP LP 519 Alpha Group Capital and Paul Barrett, to participate in the ARS buyback under a settlement agreement. It also mentions Merrill Lynch's control affiliate BAS entering into similar consent orders with state securities regulators.


document_description: The document is a regulatory disclosure from Merrill Lynch and its affiliates regarding SEC orders and waivers related to violations of securities regulations. It details the SEC's administrative orders against Merrill Lynch for inadequate due diligence in municipal securities offerings and violations of short sale regulations under Regulation SHO. The document also includes information about a waiver granted to Bank of America and Merrill Lynch concerning residential mortgage-backed securities.


document_description: The Massachusetts Securities Division alleged violations by Merrill in the sale of auction rate securities (ARS) to the City of Springfield. Merrill agreed to cease and desist from violations, undertook certain actions, and entered into consent orders with state regulators to resolve issues related to ARS sales. This included buying back ARS from investors, paying differences for ARS sold below par, and participating in arbitration for damages claims. Merrill's affiliate BAS also entered into similar agreements.


document_description: A final judgment was entered against Stifel, Nicolaus & Company, Inc. by the U.S. District Court for the Eastern District of Wisconsin, resolving a civil lawsuit filed by the SEC in 2011. The lawsuit involved violations of antifraud provisions related to the sale of synthetic CDOs to Wisconsin school districts. Stifel is required to cease violations, pay disgorgement and penalties, and distribute funds to affected school districts. The SEC granted waivers and exemptions to Stifel and its affiliates from certain disqualification provisions.


document_description: Stifel, Nicolaus & Company, Incorporated consented to an SEC order for violations of antifraud provisions related to municipal securities underwriting. Stifel agreed to cease violations, pay a $500,000 penalty, and retain a compliance consultant. The SEC granted a waiver from disqualification provisions.


document_description: This document outlines the terms and conditions of a limited partnership agreement for AGP LP 519 Alpha Group Capital, managed by General Partner Paul Barrett. It details the process for assigning partnership interests, admitting new partners, and managing the partnership. The agreement specifies four series of limited partnership interests, each with different management fees and withdrawal rights. The General Partner has sole discretion over investments and management decisions.


document_description: The document outlines the powers and responsibilities of the General Partner in managing the partnership's investments and financial activities. It details the types of financial instruments and transactions the General Partner is authorized to engage in, including securities, options, commodities, currencies, and more. It also specifies the ability to manage bank accounts, pledge securities for loans, and invest in other funds.


document_description: This document outlines the terms of a partnership agreement for AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It includes sections on the limitation of liability and indemnification for the General Partner, Investment Manager, and their affiliates. The document specifies that these parties are not liable for losses unless caused by gross negligence or willful misconduct. It also details the expenses the partnership will bear, including legal, audit, and management fees, and describes the 'master-feeder' fund structure used for investments.


document_description: This document outlines the allocation of net profits and net losses among partners in the AGP LP 519 Alpha Group Capital. It specifies how profits and losses are distributed to capital accounts, the conditions under which reallocations to the General Partner occur, and the treatment of new issues and prior fiscal period items. The document also details the determination of net profits and losses using generally accepted accounting principles.


document_description: The document outlines the valuation procedures for securities held by AGP LP 519 Alpha Group Capital, managed by Paul Barrett. It details how domestic and foreign securities, debt securities, and options are valued, including the use of last sale prices, bid/ask prices, and fair value determinations by the Investment Manager or a valuation committee. It also covers the conversion of foreign currencies to U.S. dollars and the discretion of the General Partner to adjust valuations if deemed inaccurate.


document_description: The document outlines the valuation and allocation procedures for a partnership's interest in a Master Fund, including the valuation of assets and liabilities, deduction of expenses, and allocation of profits and losses. It also covers the handling of 'new issues' in securities and the allocation of income for tax purposes according to the Internal Revenue Code.