document_description: Authorization letter to Deutsche Bank Alex. Brown for executing equity securities orders outside normal trading hours. The letter outlines the risks associated with such trading, including lower liquidity, higher volatility, changing prices, unlinked markets, news announcements, wider spreads, and lack of calculation or dissemination of underlying index values. It also specifies restrictions applicable to trading securities governed by ARCA.

title: Authorization for Trading Outside Normal Business Hours

document_subtype: authorization letter


source: doj

document_description: A document indicating that Deutsche Bank Alex. Brown may choose not to accept any order at its discretion. It also states that the bank will rely on the client's representation. The document includes placeholders for client and advisor signatures, as well as account details, all of which are currently empty.

document_type: financial

document_subtype: account agreement


document_description: A letter from Deutsche Bank Securities Inc. to a client, outlining the terms and conditions for accepting trading instructions via email and facsimile. The client is required to acknowledge and agree to the terms by signing the document.

document_type: correspondence

document_subtype: letter

key_organizations:
Deutsche Bank
Deutsche Bank Securities Inc.
Deutsche Bank AG
Deutsche Bank Alex. Brown


document_description: Certification document for electronic delivery of information requirements related to the U.S. Securities & Exchange Commission. It includes general exemptions and lists restricted persons/entities under the New Issue Rule.

document_subtype: Certification

key_organizations:
Deutsche Bank Securities Inc.
U.S. Securities & Exchange Commission
FINRA


document_description: This document outlines various definitions related to the New Issue Rule and IPO Allocation Rule, including terms like 'Associated person,' 'Beneficial interest,' 'Collective investment account,' 'Covered non-public company,' 'Executive officer or director,' 'Finder,' 'Immediate family member,' 'Limited business broker-dealer,' 'Material support,' and 'Public Company.'

document_type: legal

document_subtype: legal definitions

key_organizations: FINRA SEC


document_description: This document outlines the terms and conditions under which Deutsche Bank Securities Inc. will execute securities transactions for a client's account and clear them through Pershing LLC. It includes details on account establishment, customer trades, applicable laws and regulations, and the handling of short, short exempt, and long sales.

title: Agreement for Prime Brokerage Clearance Services

document_subtype: Agreement

key_organizations: National Association of Securities Dealers

key_organizations: Board of Governors of the Federal Reserve System


document_description: This document outlines the terms and conditions of a Prime Brokerage Agreement, including the authorization for the Executing Broker to mark sell orders as 'long', customer qualification requirements, and the process for confirmations of trade data. It specifies the responsibilities of the customer, the Prime Broker, and the Executing Broker in relation to securities transactions.

document_subtype: Prime Brokerage Agreement

key_organizations:
Executing Broker
Prime Broker
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document outlines the obligations and responsibilities of a customer in a Prime Brokerage Agreement, including settlement obligations, discretionary account management, fees and charges, and restrictions on accounts. It specifies the customer's liability in the event of a Prime Broker's failure to settle transactions and the procedures for managing discretionary accounts. It also details the fees and charges applicable and the rights of the Executing Broker or Pershing to refuse or restrict transactions.

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document outlines the terms and conditions of a Prime Brokerage Agreement, including default events, legally binding terms, clearance accounts, and margin account provisions. It specifies the rights and obligations of the parties involved, including the Executing Broker, Pershing, and the client.

key_organizations:
Pershing LLC
Executing Broker
The Bank of New York Mellon Corporation


document_description: This document is an agreement between a client and Pershing LLC, outlining the terms and conditions of their brokerage relationship. It covers topics such as the lending of securities, interest on debit balances, amendment procedures, telephone conversation monitoring, assignability, severability, and the client's capacity to contract.

key_organizations: National Association of Securities Dealers, Inc.


document_description: This document outlines various provisions of a legal agreement, including extraordinary events, headings, governing law, designation of advisor/agent, arbitration disclosures, and consent to jurisdiction. It specifies the conditions under which the executing broker or Pershing is not liable for losses, the governing law as New York law, and the arbitration process.

document_subtype: contract

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document outlines arbitration procedures under the rules of the Financial Industry Regulatory Authority (FINRA) for disputes involving predecessors, subsidiaries, affiliates, and employees. It specifies that class actions cannot be brought to arbitration unless certain conditions are met. The document is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.

document_subtype: arbitration agreement

key_organizations:
Financial Industry Regulatory Authority
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a Margin Account Agreement acknowledging that securities in the margin account may be loaned to Pershing or others. It includes a pre-dispute arbitration clause and is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.

title: Margin Account Agreement


document_description: A schedule listing managed accounts covered by an agreement for prime brokerage clearance services. All customer details are empty.

document_subtype: Prime Brokerage Clearance Services Agreement


document_description: This document outlines the special risks associated with uncovered option writing, emphasizing the potential for significant loss. It is intended for knowledgeable investors who understand these risks and have the financial capacity to incur substantial losses. The statement highlights the unlimited potential loss from uncovered call writing, substantial loss from uncovered put options, and the risks of combination writing. It also discusses the need for sufficient liquid assets to meet margin requirements and the potential unavailability of a secondary market for options.

title: Special Statement for Uncovered Option Writers

document_subtype: financial risk statement

key_organizations:
Deutsche Bank Alex. Brown
Deutsche Bank Securities Inc.


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 rules of criminal procedure, indicating it may be part of a legal investigation or proceeding.

document_type: other


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation in the Southern District of New York.


document_description: A table containing financial metrics such as Last Price, High, Average, Low, Open Interest, and SMAVG (15) with corresponding values. The document also includes contact information for Tazia Smith, Director at DB Securities Inc.

document_type: tabular

document_subtype: financial data

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


document_description: This document is a confidential communication, possibly containing attorney-client privileged or inside information, intended only for the addressee. Unauthorized use, disclosure, or copying is prohibited. It includes disclaimers about legal and tax advice from Deutsche Bank and instructions for handling if received in error.


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 rules of criminal procedure, indicating its relevance to a legal case or investigation.


document_description: This document is a financial statement detailing live and closed trades as of April 29, 2014. It includes descriptions, trade dates, expiration dates, notional amounts, cost basis, mark-to-market values, and profit/loss calculations for various financial instruments.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0111952, SDNY_GM_00258136, and EFTA01454042, which may be case or document numbers.


document_description: The document contains financial trading data as of April 29, 2014, including live and closed trades with details such as trade dates, expiration, notional amounts, cost basis, and mark-to-market values. It also includes a price history for LME Dec14 Copper.


document_description: A communication from Tazia Smith, Director at DB Securities Inc, containing confidential and/or privileged information. The communication is intended for a specific recipient and includes disclaimers about unauthorized use, disclosure, or copying. It also mentions that Deutsche Bank does not provide legal or tax advice.

key_people:
Tazia Smith
Jeffrey Epstein

key_organizations:
DB Securities Inc
Deutsche Asset S. Wealth Management
Deutsche Bank


document_description: The document contains financial trading data as of April 29, 2014, including live and closed trades with details such as trade dates, expiration dates, notional amounts, cost basis, and mark-to-market values. It also includes a price history for LME Dec14 Copper.


document_description: A communication from Tazia Smith, Director at Deutsche Bank, containing confidential and/or privileged information. It emphasizes the confidentiality of the information and warns against unauthorized use, disclosure, or copying. The communication is intended for Jeffrey Epstein and includes a disclaimer about Deutsche Bank not providing legal or tax advice.

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


document_description: Confidential communication intended for the addressee, possibly containing attorney-client privileged or inside information. Unauthorized use, disclosure, or copying is prohibited. If received in error, notify via email and destroy the communication.


document_description: The document contains financial trading data as of April 29, 2014, including live and closed trades with details on trade dates, expiration, notional amounts, cost basis, and mark-to-market values. It also includes historical price data for LME Dec14 Copper.


document_description: A confidential communication from Tazia Smith, Director at Deutsche Bank, containing disclaimers about the confidentiality and privileged nature of the information. It emphasizes that the information is intended only for the addressee and unauthorized use is prohibited.


document_description: Confidential communication intended for the addressee, possibly containing attorney-client privileged or inside information. Unauthorized use, disclosure, or copying is prohibited.


document_description: This document is a confidential communication, possibly containing attorney-client privileged or inside information, intended solely for the addressee. It emphasizes the prohibition of unauthorized use, disclosure, or copying of the communication. The document also includes a disclaimer from Deutsche Bank regarding legal or tax advice.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains reference numbers that likely pertain to a case or investigation in the Southern District of New York (SDNY).


document_description: A financial statement detailing live and closed trades as of April 29, 2014, including descriptions, trade dates, expiration dates, notional amounts, cost basis, mark-to-market values, and profit/loss calculations.

document_subtype: financial statement


document_description: This document provides key financial metrics for the security LPZ4 Comdty over the date range 04/30/2013 - 04/29/2014. It includes data on last price, volume, open interest, and various price statistics such as high, average, and low prices.


document_description: A confidential communication from Tazia Smith, Director at Deutsche Bank, regarding privileged information related to Jeffrey Epstein. The communication emphasizes confidentiality and legal disclaimers.


document_description: Instructions for completing various financial and legal documents related to onboarding a new capital markets client. Includes references to specific forms and documents that need to be completed, signed, and returned.

key_people:
Jay Lipman
Tazia Smith

document_subtype: memo

key_organizations:
DB Securities Inc
Deutsche Asset & Wealth Management


document_description: This letter is addressed to a prospective client of the Asset & Wealth Management (AWM) Key Client Partners (KCP) Desk - US, explaining the non-advised nature of services offered by KCP and the requirement to sign and return the FINRA 2111 Institutional Suitability Certificate. It distinguishes between KCP and AWM Private Wealth Management (WM) services and requires the client to acknowledge their understanding and acceptance by signing and returning the letter.

title: Prospective Client Letter from Deutsche Asset & Wealth Management

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

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank Securities Inc
AWM Private Wealth Management
KCP Desk - US


document_description: This document is an Institutional Suitability Certificate affirming the exercise of independent judgment in connection with recommended transactions or investment strategies by a registered broker-dealer, as per FINRA Rule 2111. It outlines the responsibilities and acknowledgments of the institutional account, including the capability to evaluate investment risks independently and the obligation to notify Dealogic and broker-dealers if the certificate's statements cease to be true.

title: Institutional Suitability Certificate Affirmative Indication of Exercise of Independent Judgment

key_locations: 120 Broadway, 8th Floor, New York, NY 10271

document_subtype: Institutional Suitability Certificate

key_organizations: Dealogic FINRA


document_description: This document is a certification for entities acting as Qualified Institutional Buyers (QIB) under Rule 144A. It outlines the criteria for entities to qualify as QIBs, including ownership or investment of at least $10 million in securities. It specifies the conditions under which securities can be purchased and the need for entities to notify of any changes in their certification status. The document is incomplete with several fields left empty, such as the name of the entity, assets under management, and signatures.

document_subtype: Qualified Institutional Buyer Certification


document_description: A form detailing client objectives and strategies for options trading with Deutsche Bank Securities Inc. The form includes options for income, portfolio protection, and speculation, with specific strategies like covered call writing, purchasing options, option spreads, uncovered put writing, and uncovered call writing. The form requires client and advisor signatures and approvals from the options department.

key_people:
Client
Deutsche Bank Securities Inc.
Deutsche Bank Alex. Brown

document_subtype: form

key_organizations:
Deutsche Bank Securities Inc.
Options Clearing Corporation


document_description: The document is an authorization letter addressed to Deutsche Bank Alex. Brown, requesting the ability to enter orders for execution in equity securities outside of normal trading hours. It outlines the material risks associated with trading during these hours, including lower liquidity, higher volatility, changing prices, unlinked markets, news announcements, wider spreads, and lack of calculation or dissemination of underlying index values. It also specifies restrictions applicable to trading securities governed by ARCA.

title: Trading Outside of Normal Business Hours Authorization Letter

document_subtype: authorization letter


document_description: A document acknowledging that Deutsche Bank Alex. Brown may choose not to accept any order and will rely on the client's representation.

document_subtype: account agreement


document_description: This document outlines various definitions related to the New Issue Rule and IPO Allocation Rule, including terms such as 'associated person,' 'beneficial interest,' 'collective investment account,' 'covered non-public company,' 'executive officer or director,' 'finder,' 'immediate family member,' 'limited business broker-dealer,' 'material support,' and 'public company.'

key_organizations: FINRA SEC


document_description: This document outlines the terms and conditions under which Deutsche Bank Securities Inc. will execute securities transactions for a client's account and clear them through Pershing LLC. It includes details on account establishment, customer trades, applicable laws and regulations, and responsibilities for short and long sales.

key_organizations: National Association of Securities Dealers


document_description: This document outlines the terms and conditions of a Prime Brokerage Agreement, including default events, legally binding terms, clearance accounts, and margin account provisions. It specifies the rights and obligations of the parties involved, including the Executing Broker, Pershing, and the client.


document_description: This document outlines the terms and conditions of an agreement between a client and Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation. It covers the lending of securities, interest on debit balances, amendment procedures, telephone conversation monitoring, assignability, severability, and capacity to contract. The agreement allows Pershing to lend securities held in the client's account and charge interest on debit balances. It also permits the Executing Broker to modify the agreement terms with prior notice and to monitor or record telephone conversations. The agreement is not assignable without consent, and provisions inconsistent with laws will be modified or rescinded.


document_description: The document outlines arbitration procedures under the rules of the Financial Industry Regulatory Authority (FINRA) for disputes involving predecessors, subsidiaries, affiliates, and employees. It specifies that class actions cannot be brought to arbitration unless certain conditions are met, such as denial of class certification or decertification. The document is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.


document_description: This document is an agreement acknowledging that securities in a margin account may be loaned to Pershing or others, and includes a pre-dispute arbitration clause. It is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.


document_description: This document is a schedule listing managed accounts covered by an agreement for prime brokerage clearance services. All customer details such as name, address, and tax ID number are left empty. The document is marked confidential and is associated with Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation.

title: List of Managed Accounts for Prime Brokerage Clearance Services


document_description: Instructions for the Executing Broker (EB) to send transaction confirmations to the undersigned's prime broker as per the Agreement for Prime Brokerage Clearance Services. The document clarifies that these instructions are not part of the Agreement and that EB should not charge differential fees or create incentives based on these instructions.

title: Instructions to Executing Broker Regarding the Mailing of Confirmations

document_subtype: instructions


document_description: This document outlines the special risks associated with uncovered option writing, emphasizing the potential for significant loss. It details the risks of uncovered call and put writing, combination writing, and the limitations of relying on the secondary market. It is intended for knowledgeable investors who understand these risks and have the financial capacity to handle potential losses.

document_subtype: Special Statement for Uncovered Option Writers


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC as of April 30, 2014. It includes information on FX rates and details about the valuation methodology used by Deutsche Bank. The statement emphasizes that valuations are for internal use only and may change over time due to various factors, including market conditions and Deutsche Bank's valuation methodology adjustments.

title: Deutsche Bank Group Valuation Statement

document_subtype: valuation statement

key_organizations:
Deutsche Bank Group
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group, detailing FX options and base metal derivatives trades involving Southern Financial, LLC. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, option style, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes details on valuation methodology, potential adjustments, and disclaimers regarding the use of the valuations. The statement is intended for internal use by Southern Financial, LLC and includes contact information for inquiries.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: Vinit Sahni from Deutsche Asset & Wealth Management discusses going back to the drawing board for ideas and offers to have a phone call. The email includes disclaimers about the confidentiality and non-binding nature of the ideas shared.

key_organizations:
Deutsche Asset & Wealth Management
Deutsche Bank AG


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated May 2, 2014. It provides an economic assessment of transactions or instruments from Deutsche Bank's perspective, including potential premium adjustments and disclaimers about the accuracy and liability of the valuations.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 2, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


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

title: RM0081851 Daily Deposit Report

key_people:
Jeffrey Epstein
Leon D Black
Dominique Leimer
Darren K. Indyke

document_subtype: financial report

key_organizations:
Summit Equities LLC
Southern Trust Company, Inc.
Southern Financial LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
Zorro Development Corp.


document_description: Confidential communication related to EU corporate and regulatory disclosures, with a focus on privacy information. The message emphasizes confidentiality and legal restrictions on unauthorized use or disclosure.


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated May 6, 2014. It provides economic assessments of transactions or instruments from Deutsche Bank's perspective, including potential premium adjustments and disclaimers about the accuracy and liability of the valuations.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


document_description: This document is a valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 6, 2014. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 7, 2014. The document includes contact information for sales inquiries and questions, exchange rates, and disclaimers about the nature and use of the valuations provided.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Jabwcpa
Harry Beller
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 7, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and mark-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a Power of Attorney signed by Jeffrey Epstein on March 13, 2014. It includes clauses on indemnification of third parties, termination conditions, and acknowledgments both within and outside New York State. The document is notarized by Lesley K Groff, a Notary Public in New York.

key_people:
Jeffrey Epstein
Lesley K Groff

document_subtype: Power of Attorney


document_description: This document outlines the responsibilities and legal obligations of an agent under a Power of Attorney agreement. It specifies the duties of the agent, including acting in the principal's best interest, avoiding conflicts of interest, keeping the principal's property separate, maintaining records, and disclosing their identity as an agent. The document also includes an acknowledgment of appointment by the agent, Darren Indyke, and a notary acknowledgment in New York State.

key_people:
Darren Indyke
Yolanda Richardson


document_description: Request to add Jeffrey Epstein's Euro Account to online view for a client.

key_people:
Jeffrey Epstein
Margaux McGrath

document_subtype: internal memo

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


document_description: A forwarded message requesting confirmation of receiving wire transfer instructions for an international wire in US Dollars.

key_people:
Bella
Margaux Mcgrath

document_subtype: forwarded message


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 9, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Harry Beller
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 9, 2014. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: The document discusses reforms in China's financial and corporate sectors, focusing on private equity, mixed ownership reform, and financial risk management. It highlights the need for direct financing to support SMEs and emerging industries, the promotion of mixed ownership to enhance SOE performance, and the balance between innovation and financial stability.

key_locations: China US Japan Germany India Indonesia


document_description: The State Council of China issued guidelines for the development of capital markets, focusing on stock, bond, and private equity markets, among others. The policy aims to open up China's capital markets, promote direct financing, and improve financial stability and capital allocation.

title: Guiding Principles for the Healthy Development of Capital Markets

key_locations:
China
Shanghai
Hong Kong

document_subtype: report

key_organizations:
State Council of China
CSRC
Securities Association of China


document_description: The State Council of China issued the 'Guiding Principles for the Healthy Development of Capital Markets', outlining roadmaps for China's capital market development in nine areas, including stock and bond markets, private equity, and market regulation. The policy, known as the 'New National Nine Rules', aims to establish multi-layer capital markets, encourage efficient capital allocation, and promote economic restructuring. Key reforms include opening up capital markets, promoting direct financing, and fostering private equity and venture capital funds.


document_description: The document discusses financial reforms in China, focusing on promoting direct-financing, mixed ownership reform, and balancing innovation with financial risk prevention. It highlights the need for private equity and venture capital to support SMEs and emerging industries, and the importance of diversifying China's capital markets. The document also emphasizes the role of mixed ownership in enhancing SOE performance and the importance of financial stability.


document_description: The document is a financial table detailing trades and their respective financial metrics as of May 12, 2014. It includes information on USDJPY and Copper trades, with details on trade dates, expiration, notional amounts, cost basis, and mark-to-market values.


document_description: The State Council of China issued guidelines for the development of capital markets, focusing on nine major areas including stock and bond markets, private equity, and market regulation. The policy aims to establish multi-layer capital markets, encourage efficient capital allocation, and promote economic restructuring. Key reforms include opening up China's capital markets, promoting direct financing, and fostering private equity and venture capital funds.


document_description: The State Council of China issued the 'Guiding Principles for the Healthy Development of Capital Markets', outlining China's future capital market development in nine major areas. The policy, also known as the 'New National Nine Rules', aims to establish multi-layer capital markets, encourage efficient capital allocation, and promote economic restructuring. Key reforms include opening up China's capital markets, promoting direct-financing, and promoting mixed ownership reform.

document_date: May 9


document_description: The document discusses the performance of State-Owned Enterprises (SOEs) in China, highlighting the market capitalization distribution between SOEs and private companies as of February 2014. It outlines expectations for future reforms, including opening monopolized sectors to private investment and increasing private capital in competitive sectors. Additionally, it emphasizes the balance between innovation and financial risk prevention in China's capital market, stressing the importance of financial stability and investor protection.

key_people:
Lin Li
Audrey Shi

key_organizations:
Autobahn
Desktops Bank


document_description: This document is an authorization for Deutsche Bank Trust Company Americas to cash personal checks drawn on Jeffrey Epstein's account, with each check not exceeding $7,500 in foreign currency. The authorization is granted to Darren K Indyke, who is authorized to present the checks. The document includes indemnification clauses for the bank.

title: Authorization for Deutsche Bank to Cash Personal Checks

key_people:
Jeffrey Epstein
Darren K Indyke


document_description: Discussion on China's new capital market reforms and their impact on commodities trading, particularly copper.

title: DB China unveils agenda for comprehensive capital market reform

key_people:
Matt
Amy Tan
Tazia Smith

key_organizations:
DB Commodities Trading
Deutsche Bank
State Council of China


document_description: The document discusses China's economic reforms, focusing on mixed ownership reform and balancing innovation with financial risk prevention. It highlights the potential for private investment in state-owned enterprises (SOEs) and the importance of financial stability.

key_people:
Lin Li
Audrey S


document_description: The document is a financial table detailing trades, including USDJPY Triple One-Touch 101 Call and Dec14 Copper 7000 Call, with trade dates, expiration dates, notional amounts, cost basis, and mark-to-market values.


document_description: The document discusses China's announcement of the 'New National Nine Rules' aimed at increasing openness in capital markets. It includes a research summary from Deutsche Bank on the implications of these rules, particularly on copper financing trades. Additionally, it provides details on specific trades and their market-to-market valuations.

key_people:
Matt
Tazia Smith
Amy

key_organizations:
Deutsche Bank
State Council of China


document_description: The document discusses China's financial reforms, including increasing investment quotas under QFII and QDII programs, relaxing foreign capital shareholding limits, and promoting direct financing. It highlights the development of bond and equity markets, private equity, and mixed ownership reform. The reforms aim to improve financial stability, capital allocation, and market diversity while managing financial risks.

key_organizations:
CSRC
Securities Association of China
State Council


document_description: The document contains a statement about investor rights and regulatory concepts related to the trust market and shadow banking. It also includes an advertisement for Deutsche Bank's research available on iPad, with instructions on accessing a report and subscription details.


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, amounts, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts, including those associated with Jeffrey Epstein and other entities. It includes account numbers, names, categories, and balances, as well as descriptions of large transactions.

title: RM0081851 Daily Deposit Report


document_description: A communication from Margaux McGrath, an analyst at Deutsche Bank Trust Company Americas, containing confidential information. The document includes disclaimers about the confidentiality and the nature of the information, stating that Deutsche Bank does not provide legal or tax advice.

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


document_description: Margaux McGrath from Deutsche Bank Trust Company Americas is coordinating the delivery of a package containing checks. The shipping provider requires a contact name and phone number at the delivery address. Margaux has cc'ed Amanda, who is back in the office, in the communication.

key_people:
Margaux McGrath
Amanda


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


document_description: The State Council of China issued the 'Guiding Principles for the Healthy Development of Capital Markets', outlining reforms in nine major areas to develop China's capital markets. The reforms aim to open up capital markets, promote direct financing, and establish multi-layer capital markets by 2020. Key initiatives include increasing QFII and QDII quotas, relaxing foreign shareholding limits, and developing local government bond issuance schemes.

title: Data Flash - China unveils agenda for comprehensive capital market reform

document_subtype: research report

key_organizations:
State Council of China
CSRC


document_description: The document discusses reforms in China's stock market, including the shift from an approval-based to a registration-based stock issuance system, accompanied by new IPO rules. It highlights efforts to crack down on insider trading, enhance information disclosure, improve the delisting regime, and support pension fund investments through preferential tax policies. The State Council aims to foster private equity and venture capital markets, encouraging support for SMEs and emerging industries. The document also covers mixed ownership reform in SOEs, promoting private capital investment and M&A activities. It emphasizes balancing innovation, development, and financial risk prevention in China's capital markets.

key_people:
State Council
CSRC


document_description: The document discusses the rights of investors, particularly small investors, to know, participate, appeal, and supervise in the context of the 'orderly default' concept proposed by regulators for trust and shadow banking markets. It also includes promotional content about Deutsche Bank's research available on iPad and instructions for accessing a specific report.


document_description: A financial table detailing trades, including USDJPY Triple One-Touch 101 Call and Dec14 Copper 7000 Call, with trade dates, expiration dates, notional amounts, cost basis, and mark-to-market values.


document_description: Promotional content for Autobahn Mobile featuring Deutsche Bank's research available on iPad.

key_organizations:
Autobahn
Deutsche Bank


document_description: The document discusses China's capital market reforms, focusing on mixed ownership reform and balancing innovation with financial risk prevention. It highlights the potential for private investment in state-owned enterprises (SOEs) and the importance of financial stability. The document also includes an advertisement for Autobahn Mobile and instructions for accessing a Deutsche Bank research report.

key_people:
Lin L
Audrey Shi


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 13, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, prepared by Southern Financial, LLC, dated 14 May 2014. It includes details of FX options and commodities base metal derivatives trades, with specific trade IDs, counterparties, trade types, dates, amounts, and market-to-market valuations in USD.

title: Deutsche Bank Group Valuation Statement


document_description: The document discusses the use of Private Placement Variable Annuities (PPVAs) as a tool for income tax planning for high-net-worth individuals. It highlights the increasing tax burdens on the wealthy and the potential benefits of PPVAs in deferring taxes on investment gains. The document also clarifies what PPVAs are and are not, emphasizing their differences from traditional retail annuities and their authorization under the Internal Revenue Code.

title: Private Placement Variable Annuities

key_people:
Edward J. Finley II
Michael Liebeskinci

document_date: December 2012

document_type: media

key_organizations:
Deutsche Bank Private Wealth Management
SALI Fund Services


document_description: The document discusses the features and limitations of Private Placement Variable Annuities (PPVA), highlighting their tax efficiency and suitability for high-income individuals. It includes a table comparing the net growth rate value of PPVA accounts versus taxable accounts over a 30-year period.

title: Investments - PPVA


document_description: The document discusses the impact of potentially higher income taxes on charitable giving and introduces the concept of Private Placement Variable Annuities (PPVAs) as a solution. PPVAs allow individuals to maintain ownership and investment options for earmarked assets while deferring income taxation. The document also addresses challenges faced by U.S. clients residing abroad in structuring investments and suggests PPVAs as a potential solution.

title: FEATURE: INVESTMENTS


document_description: The document discusses strategies for offshore investments to avoid U.S. tax consequences, focusing on sheltering a client's portfolio from U.S. taxation during their stay in the United States. It highlights the use of PPVA investment accounts for tax-deferred retirement planning and managing UBTI for tax-exempt entities.

title: FEATURE: INVESTMENTS


document_description: The document discusses the use of PPVA (Private Placement Variable Annuity) investment accounts as a method to block Unrelated Business Taxable Income (UBTI). It explains how PPVA accounts can change the character of investments to passive income, thus avoiding UBTI. The document also highlights the IRS's favorable rulings on PPVA accounts and compares them to other UBTI blocker arrangements. It outlines the benefits of PPVA accounts, such as tax-free transfers and systematic distribution of principal, and provides guidelines for structuring customized accounts with investment managers.

title: FEATURE: INVESTMENTS

reference_numbers:
IRC Section 72(u)(1)
IRC Section 1035
IRC Section 817(h)


document_description: The document discusses the tax deferral benefits of different asset classes over time, highlighting the impact of compounding on these benefits. It introduces new evaluation metrics, TEM and TDM, to assess the utility of asset classes in tax-free and tax-deferred environments. A table compares the value differences of Asset Class 1 and Asset Class 2 over one and twenty years, both taxable and tax-free.

title: Effect of Compounding

document_date: June 2014


document_description: The document compares tax drag to the tax exemption multiple (TEM) and the tax deferral multiple (TDM) for different asset classes over 20 years. It discusses the potential of emerging market equities and developed market equities in private placement portfolios, emphasizing the importance of asset location strategy. The document also outlines strategies for optimizing tax-free structures in private placement portfolios.

title: Investments: Better Predictors

document_subtype: investment analysis


document_description: The document discusses the advantages of asset allocation strategies in private placement portfolios, comparing diversified portfolios with those focused on asset classes with the highest tax exemption multiples (TEMs). It includes assumptions about tax rates and asset allocation, and highlights the importance of execution and partnering with advisors for optimal investment strategies. The document also touches on the investor control doctrine and the challenges of adding custom IDFs to carrier platforms.

title: Asset Allocation Advantage

key_people:
Edward J. Finley
Michael Liebeskind
Mike Cohn
Edward J. Finley II
C. Reed

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


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives trades as of May 14, 2014. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing account balances and large transactions for various entities, including Jeffrey Epstein, Southern Trust Company, Inc., and others. It includes account numbers, names, categories, balances, and transaction descriptions.

title: RM0081851 Daily Deposit Report 20140515

key_people:
Jeffrey Epstein
Leon D Black
Dominique Leimer
Darren K. Indyke

document_subtype: Daily Deposit Report


document_description: The memo discusses investment opportunities in dividend growth and high yield baskets via delta 1 certificates. It includes references to charts on US 10Y and Bunds, and emphasizes that the ideas are for discussion purposes only and not legally binding. The memo is confidential and intended for sophisticated investors.

key_people:
Pierluigi Amicarella
Tazia Smith

document_subtype: memo

key_organizations:
Deutsche Bank (Suisse) SA
OBS Key Client Partners
Deutsche Bank AG

reference_numbers: DBCTDGYN DBCTUQDN DBUSDIVG


document_description: A confidential correspondence prepared for Jeffrey Epstein discussing a 510-15mm total return swap on the CROCI index, focusing on dividend-paying US equities. The document outlines the benefits of active valuation for passive price, quantitative selection, and tax-efficient exposure via total-return swap. It includes a strategy for long/short positions and mentions the involvement of Joe Hall from the CROCI team.

title: Consider: 510-15mm Total Return Swap on Cash Return On Capital Invested (CROCI), 3mL+85bps [c]

key_people:
Jeffrey Epstein
Joe Hall

key_organizations:
Key Client Partners (KCP)
DB CROCI Analyst team
DB GM Equity Derivatives


document_description: A table showing the yield percentages for Germany's 10-year government bonds from 2009 to 2014, with data sourced from Bloomberg Finance L.P. as of May 15, 2014.

title: Germany Generic Govt 10Y Yield


document_description: The table provides a comparison of the performance of various CROCI indices against their respective benchmark indices as of January 31, 2014. It includes cumulative growth, compounded annual growth, and excess annualized return for each index since their live dates.

title: Index performance since live date vs. benchmark indices

document_subtype: financial performance table

key_organizations:
Deutsche Bank
Bloomberg
DB AG London
DIMA


document_description: A financial statement from Deutsche Asset & Wealth Management detailing assets and liabilities, including fixed and current assets such as intangible assets, inventories, securities, and cash.

document_subtype: financial statement


document_description: CROCI (Cash Return On Capital Invested) is a proprietary stock-valuation methodology developed by Deutsche Bank. It involves adjusting financial statements for comparability, maintaining a database of large cap stocks, providing publications on CROCI indices, and delivering valuation processes and indices for investment strategies. CROCI was launched in 1996 and moved to Deutsche Asset & Wealth Management in 2013. It is supported by a team of 60 people and includes 10 indices used globally. Past performance is not indicative of future results.

key_organizations: Deutsche Investment Management Americas, Inc.


document_description: The document compares the correlation between accounting and economic P/E ratios with other financial metrics. It includes two charts: one showing the relationship between Accounting P/E and P/BV & ROE, and another showing Economic P/E vs EV/NCI & CROCI. The economic P/E correlations are notably higher.

title: Economic vs Accounting P/E Correlations

document_subtype: chart

key_organizations:
Deutsche Bank
Deutsche Asset & Wealth Management


document_description: The document provides a table comparing the performance of various CROCI indices against their respective benchmark indices as of January 31, 2014. It includes cumulative growth, compounded annual growth, and excess annualized return for each index.

key_organizations:
Deutsche Bank
Bloomberg
DB AG London
DIMA
Deutsche Asset & Wealth Management


document_description: The document discusses the limitations and assumptions of backtested performance data for investment strategies, emphasizing that past performance is not indicative of future results. It includes a table of CROCI indices with their respective live dates, highlighting the transition from backtested to live data.

document_subtype: financial analysis


document_description: The document outlines the CROCI valuation methodology and investment strategies, including a bottoms-up valuation approach, quantitative stock selection, and the use of total-return swaps for tax-efficient, liquid, levered exposure. It describes the CROCI indices and their focus on sustainable dividends and attractive valuations. The document also details long-only and long/short strategies involving CROCI US Dividends and S&P 500 indices.

key_organizations:
DB CROCI Analyst team
Bloomberg
DB GM Equity Derivatives

reference_numbers: DBUSSDUT SPTR


document_description: This document provides a comparative return analysis of various indices, including the CROCI Index, S&P 500 Index, EuroSTOXX 50, TOPIX 100, MSCI World USD Net TR Index, and others, over different periods. It includes cumulative growth, compounded annual growth, and excess annualized return for each index. The data is sourced from Deutsche Bank and Bloomberg as of January 31, 2014.

title: Comparative Return Analysis

key_organizations:
Deutsche Bank
Bloomberg


document_description: This document is a financial statement from Deutsche Asset & Wealth Management detailing assets and liabilities, including fixed assets, current assets, inventories, securities, and cash.

title: Deutsche Asset & Wealth Management - CROCI


document_description: CROCI (Cash Return On Capital Invested) is a proprietary stock-valuation methodology developed by Deutsche Bank. It involves adjusting financial statements for comparability, maintaining a database of large cap stocks, providing publications on CROCI indices, and delivering valuation processes and indices for investment strategies. CROCI was launched in 1996 and moved into Deutsche Asset & Wealth Management in 2013. The methodology is supported by a dedicated team and is used globally by Deutsche Bank entities.


document_description: The document outlines the main differences between accounting and economic data in the context of the CROCI valuation methodology. It contrasts accounting data, which relies on historical costs and often ignores intangible assets, with economic data, which adjusts for inflation and includes capitalized intangibles. Key differences are highlighted in terms of book value, return on equity, market capitalization, and net income versus their economic counterparts.

title: CROCI Valuation Methodology

key_organizations:
Deutsche Bank CROCI team
Deutsche Asset & Wealth Management


document_description: The document presents a comparison between Accounting P/E and Economic P/E, highlighting the higher correlation of Economic P/E with real economic data. It includes a table with R-squared values for the relationships between P/BV vs. ROE and EV/NCI vs. CROCI, based on data from the CROCI global universe in 2012.

title: Comparison of Accounting P/E vs. Economic P/E

document_subtype: comparison analysis


document_description: The document outlines the methodology for selecting stocks for CROCI indices, which are large-cap selection pools excluding financials. Stocks are ranked by trailing 12-month economic P/E, and a fixed number of highest-ranked stocks are selected. The CROCI Index is equal-weighted, long-only, rebalanced monthly, and does not hold cash positions. The indices are systematic, transparent, and region-neutral to MSCI indices. CROCI Global Dividends Index and CROCI US Dividends Index are rebalanced quarterly. Index returns assume reinvestment of dividends and do not reflect fees or expenses.

title: CROCI Selection Methodology

document_subtype: methodology


document_description: The document provides an overview of various CROCI indices, including country-specific, regional, global, and dividend-focused indices. It mentions the availability of daily closing levels on Bloomberg, Reuters, and DBIQ, and highlights the investment strategies of the indices, such as targeting sustainable dividends and attractive valuations.

title: Benchmarking real value investment: CROCI indices


document_description: The document provides a performance comparison of various CROCI indices against their respective benchmark indices as of January 31, 2014. It includes cumulative growth, compounded annual growth, and excess annualized return for each index.

title: Index performance since live date vs. benchmark indices as of 1/31/14

document_subtype: index performance report

key_organizations:
Deutsche Bank
Bloomberg
DB AG London
Deutsche Asset & Wealth Management


document_description: The document discusses the limitations and assumptions of backtested performance data for CROCI indices. It highlights that backtested performance is not indicative of future results and is developed with hindsight, not reflecting actual trading or market conditions. The document includes a table of CROCI indices with their respective live dates.


document_description: This document is a disclaimer from Deutsche Bank AG regarding a proposed transaction. It clarifies that the document is for discussion purposes only and does not create any legally binding obligations. It advises investors to rely on final documentation for investment decisions and highlights that Deutsche Bank is not acting as a financial adviser. The document also mentions the proprietary CROCI equity valuation process and the role of Deutsche Asset & Wealth Management.

document_subtype: disclaimer


document_description: A valuation statement from Deutsche Bank Group provided to Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 15, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments based on market conditions and other factors.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris

document_subtype: valuation statement

key_organizations:
Deutsche Bank Group
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: The document discusses investment strategies focusing on dividend-related stocks and provides data on US 10Y yields from Dec-2012 to Dec-2014. It also mentions Deutsche Bank's custom synthetic baskets for dividend stocks and the availability of delta 1 certificates for investment.


document_description: An email from Pierluigi Amicarella of Deutsche Bank discussing proposed investment ideas for discussion purposes only, emphasizing that they are non-advisory and confidential. The email includes a table of end-of-year yields from 2009 to 2014 and a note on the yield as of May 15, 2014. It also includes a disclaimer about the nature of the investment ideas and the lack of legal obligation from Deutsche Bank.

key_people:
Pierluigi Amicarella
Tazia Smith
Joe Hall
Mark Whyman
Richard Kahn
Paul Morris
Vahe

document_subtype: email


document_description: A confidential financial strategy document prepared for Jeffrey Epstein, discussing a $10-15 million total return swap on the Cash Return On Capital Invested (CROCI) index, focusing on dividend-paying US equities. The document outlines the benefits of active valuation for passive price, quantitative stock selection, and the potential for tax-efficient, liquid, levered exposure via a total-return swap.

title: Consider: $10-15mm Total Return Swap on Cash Return On Capital Invested (CROCI)

key_organizations:
Key Client Partners (KCP)
DB CROCI Analyst team


document_description: This document provides a financial analysis comparing the performance of CROCI US Dividends and the S&P 500 index over a 5-year period. It includes details on client payments and receipts based on performance metrics, initial margin requirements, and indicative levels as of April 8, 2014. The analysis is sourced from DB GM Equity Derivatives and Bloomberg.

title: CROCI US Dividends vs. S&P 500 Performance Analysis

key_organizations:
DB GM Equity Derivatives
Bloomberg Finance LP


document_description: Confidential communication notice indicating attorney-client privilege and intended for a specific addressee. Unauthorized use, disclosure, or copying is prohibited and may be unlawful. Recipients in error are instructed to notify via email and destroy the communication.


document_description: A valuation statement from Deutsche Bank Group for SOUTHERN FINANCIAL, LLC, detailing the economic assessment of transactions as of May 16, 2014. The document includes exchange rates and notes on valuation methodologies and disclaimers.

title: Deutsche Bank Group Valuation Statement

document_subtype: Valuation Statement

key_organizations:
Deutsche Bank Group
SOUTHERN FINANCIAL, LLC


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC as of May 19, 2014. It includes contact information for inquiries, exchange rates, and a disclaimer about the nature and use of the valuations provided. The statement emphasizes that valuations are for internal use only and may change over time due to various factors.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX-Options and Base Metal Derivatives trades as of May 19, 2014. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: A table showing the 12-month price history of Brookdale Senior Living as of May 19, 2014, including metrics such as last price, change, volume, high, average, low, and simple moving average.

title: Brookdale Senior Living 12mo Price History

document_subtype: financial data

key_organizations:
Brookdale Senior Living
Bloomberg Finance LP
DB Securities Inc
Deutsche Asset & Wealth Management


document_description: Confidential communication from Deutsche Bank indicating that the information may be attorney-client privileged and is intended only for the addressee. Unauthorized use, disclosure, or copying is prohibited.


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated May 20, 2014. It provides an economic assessment of transactions or instruments from Deutsche Bank's perspective, including potential premium adjustments and disclaimers about the accuracy and liability of the valuations.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Jabwcpa
Harry Beller
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


document_description: This document is a valuation statement from Deutsche Bank AG, provided by Southern Financial, LLC, detailing FX-Options and Commodities trades as of May 20, 2014. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: A communication discussing the possibility of making an introduction, with confidentiality and privilege notices from Deutsche Bank.


document_description: This document contains a confidentiality notice indicating that the information is confidential, may be attorney-client privileged, and is intended only for the addressee. Unauthorized use, disclosure, or copying is prohibited. It mentions Deutsche Bank and includes a disclaimer about not providing legal or tax advice.

key_organizations:
Deutsche Bank
JEE


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated May 21, 2014. It provides an economic assessment of transactions or instruments from Deutsche Bank's perspective, including potential adjustments for market, liquidity, credit, operational risks, and premium adjustments. The statement includes a disclaimer about the potential variability and limitations of the valuations provided.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Amanda Kirby


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 21, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: A confidential document related to Deutsche Bank Trust Company Americas Private Wealth Management, located at 60 Wall Street, New York, NY, USA. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).


document_description: An internal inquiry as part of the PWM anti-money laundering monitoring program, requesting details about a transaction involving $130,000 sent to Banco Popular for Terrence Rabsatt. The memo asks for the relationship between Mr. Rabsatt and Mr. Epstein and the purpose of the payment.

title: Inquiry regarding Acct# SOUTHERN TRUST COMPANY, INC. - Case #117549

key_people:
Yang Chen
Terrence Rabsatt
Mr. Epstein

document_subtype: internal memo

key_organizations:
Deutsche Bank Trust Company Americas
Banco Popular
SOUTHERN TRUST COMPANY, INC.


document_description: This document is a valuation statement from Deutsche Bank Group, requested by Southern Financial, LLC, detailing FX options and commodities trades as of May 22, 2014. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of May 22, 2014. It includes account numbers, names, categories, and balances.

title: RM0081851 Daily Deposit Report

document_subtype: financial report

key_organizations:
Summit Equities LLC
Southern Trust Company, Inc.
Southern Financial LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
Zorro Development Corp.


document_description: A memo from Yang Chen at Deutsche Bank Trust Company Americas requesting information about a transaction involving Mr. Rabsatt and Mr. Epstein as part of an anti-money laundering monitoring program.

key_organizations:
Deutsche Bank Trust Company Americas
BANCO POPULAR


document_description: A valuation statement from Deutsche Bank Group provided to Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 23, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, requested by Southern Financial, LLC, detailing FX-Options and Commodities Base Metal Derivatives as of May 23, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, prepared by Southern Financial, LLC, dated 27 May 2014. It includes details of FX options and commodities base metal derivatives trades, including trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values in USD. The total valuation is negative, indicating a loss.

title: Deutsche Bank Group Valuation Statement


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 26, 2014. The document includes contact information for inquiries and notes on valuation methodologies and disclaimers.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of May 28, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated May 29, 2014. It provides economic assessments of transactions or instruments from Deutsche Bank's perspective, including potential adjustments for market, liquidity, credit, operational risks, and premium adjustments. The statement includes a disclaimer about the potential variability and limitations of the valuations provided.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Harry Beller
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including FX options and commodity options with their respective trade details and market-to-market valuations.

title: Deutsche Bank Group Valuation Statement


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


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


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of May 30, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Joseph Cothron


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: Meeting invitation from Paul Morris to Paul Morris with a dial-in code and a note about confidentiality. Includes a reference to Deutsche Bank and legal disclaimers.


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes details on valuation methodology, potential adjustments, and disclaimers regarding the use of the valuations. The statement is intended for internal use only and highlights the potential for valuation changes over time due to market conditions and other factors.

title: Deutsche Bank Group Valuation Statement


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of June 2, 2014. The document includes trade details, maturity dates, settlement dates, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 2, 2014. It includes account numbers, names, categories, and balances.

title: RM0081851 Daily Deposit Report

key_organizations:
Summit Equities LLC
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
NES, LLC
Zorro Development Corp.


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 3, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, provided by Southern Financial, LLC, detailing FX options and commodities base metal derivatives as of June 3, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, option style, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a communication from the DeAWM Key Client Partners (KCP) London desk, discussing proposed ideas for professional investors. It emphasizes that these ideas are for discussion purposes only and do not create any legally binding obligations for Deutsche Bank AG or its affiliates. The document also notes that the KCP London desk does not provide investment advice and that all trades on proposed ideas require internal approvals before execution.


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 4, 2014. The document includes contact information for sales inquiries and valuation questions, as well as a note on the valuation methodology and disclaimers regarding the use of the valuations.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: This document contains a disclaimer from Deutsche Bank AG, Filiale London, regarding the non-binding nature of proposed ideas shared by the DeAWM Key Client Partners London desk. It emphasizes that the ideas are for discussion purposes only and are intended for professional investors who can independently evaluate the strategies and risks. The document also includes confidentiality and privilege notices, along with instructions for handling the email if received in error.

document_subtype: email disclaimer

key_organizations:
Deutsche Bank AG
DeAWM Key Client Partners
KCP London desk


document_description: The memorandum discusses the U.S. federal income tax treatment of a U.S. individual owning a private placement variable annuity (PPVA). It explains the deferral of taxation on the growth in value of the investment portfolio underlying a PPVA and the tax implications upon receiving payments, surrendering the PPVA, or upon the owner's death. It also notes the tax benefits if a tax-exempt charity or private foundation is made the beneficiary.

title: U.S. Tax Treatment of Private Placement Variable Annuity

key_people:
Richard L. Reinhold
David J. McCabe
Catherine A. Harrington
Tyler H. Ladner

document_date: August 2011

key_organizations:
Willkie Farr & Gallagher LLP
Winged Keel Group, Inc.


document_description: The document outlines the terms and conditions of a Private Placement Variable Annuity (PPVA) issued by an insurance company to U.S. individual investors or trusts. It details the payment structure, investment options, and tax implications of the PPVA, including the ability to designate a tax-exempt entity as a beneficiary. The PPVA is designed to comply with sections 72 and 817 of the Internal Revenue Code.


document_description: The document discusses the treatment of variable annuities for U.S. federal income tax purposes, focusing on the definition and taxation of annuities, particularly PPVAs (Private Placement Variable Annuities). It explains the rules under Section 72 of the Internal Revenue Code regarding the taxation of scheduled payments from a PPVA, including the treatment of return on investment and ordinary income.

document_subtype: legal discussion


document_description: The document discusses the tax implications of distributions from a Private Placement Variable Annuity (PPVA). It covers the treatment of ordinary income, recovery of invested amounts upon death, and other distributions from the PPVA. It explains how distributions are taxed based on whether they are considered a return on investment or ordinary income, and the conditions under which deductions can be made.

document_subtype: tax regulation


document_description: The document outlines the tax implications and penalties associated with the transfer, early withdrawal, and distribution of a PPVA (Private Placement Variable Annuity). It covers topics such as deemed payments from gifts, 10% penalty for early withdrawal, required distributions upon the death of the owner, and gain or loss upon sale of PPVA. Exceptions to these rules are also discussed.

document_subtype: tax implications


document_description: The document discusses IRS private letter rulings regarding the transfer of annuities and IRAs to tax-exempt charities or foundations. It highlights that such transfers do not trigger income in respect of a decedent (IRD) to the estate, and only the charities include distributions in gross income. The document also notes that the form of bequest is important to avoid triggering IRD.

document_subtype: IRS private letter rulings


document_description: This document discusses the U.S. federal estate tax implications of a PPVA (Private Placement Variable Annuity) upon the death of the annuitant. It explains that the value of the PPVA is included in the decedent's gross estate for tax purposes, and there is no fair market value basis step-up. It also covers the estate tax deduction available if a tax-exempt charity is the beneficiary of the PPVA, referencing several IRS private letter rulings. The opinion is limited to U.S. federal income and estate tax matters and is subject to change.

document_subtype: legal opinion


document_description: An email from Nay Gupta, Managing Director at Deutsche Bank AG, discussing a financial strategy involving EURUSD options. The email is intended for professional investors and includes disclaimers about confidentiality and the non-binding nature of the ideas presented.

key_organizations:
Deutsche Bank AG
DeAWM Key Client Partners


document_description: Confidential communication notice with instructions to notify and destroy if received in error.


document_description: A confidentiality notice and disclaimer from Brian Gartner of Winged Keel Group, Inc. The notice emphasizes that Winged Keel Group does not provide legal, accounting, tax, or actuarial advice and advises recipients to seek appropriate counsel. It also includes a confidentiality notice and mentions that securities are offered through M Holdings Securities, Inc.

key_organizations:
Winged Keel Group, Inc.
M Holdings Securities, Inc.


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated June 5, 2014. It provides an economic assessment of transactions or instruments from Deutsche Bank's perspective, including potential premium adjustments and disclaimers about the accuracy and liability of the valuations.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 5, 2014. It includes account names and balances, with notable entries for Jeffrey Epstein and Southern Trust Company, Inc.

title: Daily Deposit Report

key_organizations:
Summit Equities LLC
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
Hyperion Air, Inc
JEGE, INC
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
NES, LLC
Zorro Development Corp.


document_description: This document is a one-page presentation on optimizing planned gifts to a private foundation or public charity using a PPVA Investment Account. It highlights the benefits of tax-deferred environments for charitable bequests, allowing for significant growth in asset value over 20 to 30 years. The PPVA Investment Account offers control over the investment portfolio, deferral of gains, and potential tax elimination on gains if a charity is named as beneficiary.

document_subtype: presentation


document_description: A confidentiality notice from Winged Keel Group, Inc. indicating that they do not provide legal, accounting, tax, or actuarial advice and advising recipients to seek appropriate counsel. The notice also includes a disclaimer about securities offered through M Holdings Securities, Inc. and mentions confidentiality under Federal Rule of Criminal Procedure 6(e).


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various FX-Options and Base Metal Derivatives trades, including trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 9, 2014. The document includes exchange rates and notes on valuation methodologies and disclaimers.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 9, 2014. It includes account numbers, names, categories, and balances.

title: RM0081851 Daily Deposit Report


document_description: The email from Tazia Smith at Deutsche Bank Securities discusses proposed ideas delivered by the DeAwm Key Client Partners London desk for discussion purposes. It emphasizes that these ideas do not create any legally binding obligation and are intended for professional investors who can evaluate them independently. The email also contains a confidentiality notice.

key_locations:
London
New York, NY

key_organizations:
Deutsche Bank AG
Deutsche Bank Securities, Inc.
Deutsche Asset & Wealth Management
DeAwm Key Client Partners


document_description: A memo from Vanshree Verma of Deutsche Bank AG, London, discussing proposed ideas for professional investors. The memo emphasizes that the ideas are for discussion purposes only and do not create any legally binding obligations. It also includes a disclaimer about confidentiality and privacy.

document_subtype: memo


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 10, 2014. The document includes contact information for sales inquiries and questions, as well as a disclaimer about the nature and limitations of the valuations provided.

title: Deutsche Bank Group Valuation Statement

key_organizations:
Deutsche Bank Group
Southern Financial, LLC


document_description: This document is a valuation statement from Deutsche Bank Group, provided by Southern Financial, LLC, detailing various financial trades including FX options and base metal derivatives. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement

key_organizations:
Deutsche Bank AG
Southern Financial, LLC


document_description: A valuation statement from Deutsche Bank AG for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 11, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments based on market conditions.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various FX options and base metal derivatives trades, including trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report detailing large, zero, and negative balances for various accounts, including those associated with Jeffrey Epstein and other entities. It also lists large transactions for specific accounts.

title: RM0081851 Daily Deposit Report

key_people:
Jeffrey Epstein
Leon D Black
Dominique Leimer
Darren K Indyke

key_organizations:
Summit Equities LLC
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
Zorro Development Corp.


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


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes contact information for sales inquiries and questions related to the statement. The document outlines the valuation methodology and disclaimers regarding the use of the valuations provided. It specifies that valuations are for internal use and may not reflect terms for new transactions or liquidation. The statement includes a note on FX rates and the perspective of the 08 Group.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Jabwcpa
Harrybeller
Richard Kahn
Gedeon Pinedo
Vahe Stepanian
Joseph Cothron
Amanda Kirby
Paul Morris


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

title: RM0081851 Daily Deposit Report 20140613

document_subtype: Daily Deposit Report


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various financial trades including foreign exchange options and commodity options. It includes trade details such as trade type, trade date, maturity date, settlement date, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 16, 2014. The document includes exchange rates and notes on valuation methodologies and disclaimers.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, prepared by Southern Financial, LLC, detailing various financial trades including FX options and base metal derivatives as of June 16, 2014. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group, requested by Southern Financial, LLC, detailing FX-Options and Base Metal Derivatives trades as of June 17, 2014. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and market-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


document_description: This document is marked as confidential and is produced in native format under the Federal Rules of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0112526, SDNY_GM_00258710, and EFTA01454429.


document_description: A valuation statement from Deutsche Bank Group provided to Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 18, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 18, 2014. It includes account numbers, names, categories, and balances.

title: RM0081851 Daily Deposit Report 20140619

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC
Neptune, LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
New York Strategy Group, LLC
Zorro Development Corp.


document_description: Confidential account review document for Southern Financial LLC, ending on June 17, 2014, managed by Tara Smith, Client Advisor at Deutsche Asset Wealth Management.

title: Account Review for Southern Financial LLC

document_subtype: account review

key_organizations:
Southern Financial LLC
Deutsche Asset Wealth Management


document_description: This document provides a monthly portfolio overview for Deutsche Asset & Wealth Management as of May 31, 2014. It includes changes in financial position, historical performance, and asset allocation details.

title: Deutsche Asset & Wealth Management Monthly Portfolio Overview

document_subtype: Monthly Portfolio Overview

key_organizations:
Deutsche Asset & Wealth Management
SOUTHERN FINANCIAL LLC


document_description: This document is a monthly performance summary by asset class as of May 31, 2014, provided by Deutsche Asset & Wealth Management. It includes detailed performance metrics for various equity and fixed income assets, with market values, percentage changes over different periods, and inception dates. The report is confidential and subject to Federal Rule of Criminal Procedure 6(e).

title: Monthly Performance Summary by Asset Class

document_subtype: Monthly Performance Summary

key_organizations:
Deutsche Asset & Wealth Management
Southern Financial LLC


document_description: This document is a monthly performance summary by asset class from Deutsche Asset & Wealth Management as of May 31, 2014. It includes detailed performance metrics for various financial instruments, including market value, monthly and year-to-date performance, and inception dates. The report is intended for Southern Financial LLC, Account N4G023804.

title: Deutsche Asset & Wealth Management Monthly Performance Summary by Asset Class


document_description: This document is a monthly performance summary by asset class for Deutsche Asset & Wealth Management as of May 31, 2014. It includes details on various financial instruments, their portfolio percentage, market value, and performance metrics over different time periods.

key_organizations: Washington Mutual Mortgage Securities Corp


document_description: This document is a financial statement from Deutsche Asset & Wealth Management detailing changes in financial position from October 12, 2013, to May 31, 2014. It includes account flows, beginning and ending market values, net contributions/withdrawals, and investment gains/losses.

title: Change in Financial Position

document_subtype: financial statement


document_description: This document is an investment report from Deutsche Asset & Wealth Management, providing important information about performance returns, advisory fees, cost basis, pricing, and reinvestment policies. It emphasizes the importance of reading the report in conjunction with other account reports for accurate fee reflection and clarifies that the data should not be used for tax purposes.

document_subtype: investment report

key_organizations:
Deutsche Asset & Wealth Management
Pershing


document_description: The document provides information about Deutsche Asset & Wealth Management's client asset handling and transaction clearing through Pershing LLC. It advises clients to compare reports with account statements from Pershing and notes limitations on obtaining data for 'Held Away' assets. Data sources include Morningstar, Dow Jones, and Morgan Stanley Capital International.

key_locations: One Pershing Plaza, Jersey City, New Jersey 07399

key_organizations: Morgan Stanley Capital International Inc.


document_description: The document is marked as confidential and is related to legal proceedings, specifically under the Federal Rules of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0112547, SDNY_GM_00258731, and EFTA01454443, which may be case or document numbers.


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 19, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments based on market conditions.

title: Deutsche Bank Group Valuation Statement

key_people:
Tazia Smith
Edeon Pinedo
Ahe Stepanian
Richard Kahn
Amanda Kirby
Paul Morris
Joseph Cothron

document_subtype: valuation statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX-Options and Base Metal Derivatives trades as of June 19, 2014. It includes trade IDs, counterparties, trade types, dates, notional amounts, currencies, and mark-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: This document is marked as confidential and is produced in native format under the Federal Rules of Criminal Procedure 6(e). It contains identifiers such as DB-SDNY-0112555, SDNY_GM_00258739, and EFTA01454447, indicating it is part of a legal case or investigation.


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes contact information for sales inquiries and questions related to the statement. The document outlines the terms and conditions of the valuations, which are for internal use only and may change over time due to various factors. It also includes a disclaimer about the potential for errors and the non-liability of Deutsche Bank for any inaccuracies.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing FX-Options and Base Metal Derivatives trades as of June 20, 2014. It includes trade details such as trade ID, counterparty, trade type, trade date, maturity date, settlement date, notional amounts, currencies, option styles, and mark-to-market values in USD.

title: Deutsche Bank Group Valuation Statement


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


document_description: A communication from Tazia Smith, Director at Deutsche Asset & Wealth Management, containing a confidentiality notice and disclaimer about legal or tax advice.

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


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, dated June 24, 2014. It provides the economic assessment of transactions or instruments from Deutsche Bank's perspective, including potential premium adjustments and disclaimers about the use of these valuations.

title: Deutsche Bank Group Valuation Statement


document_description: Internal correspondence from Paul Morris, Managing Director at Deutsche Bank Private Bank, mentioning entities such as Tisch, Black, Thirdlake, General Atlantic, and MSD Capital.

key_people:
Paul Morris
Amanda

key_locations: 345 Park Avenue, 27th Floor, New York, NY 10154

key_organizations:
Deutsche Bank Private Bank
Tisch
Black
Thirdlake
General Atlantic
MSD Capital


document_description: This 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 includes identifiers such as DB-SDNY-0112585, SDNY_GM_00258769, and EFTA01454469, which suggest it is part of a legal case or investigation in the Southern District of New York.


document_description: This document is marked as confidential under Federal Rule of Criminal Procedure 6(e) and contains identifiers related to a legal case or investigation, likely within the Southern District of New York (SDNY).


document_description: Internal note listing financial entities and contact information for Paul Morris, Managing Director at Deutsche Bank Private Bank.

document_subtype: note


document_description: A valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing the economic assessment of transactions or instruments as of June 25, 2014. The document includes disclaimers about the nature of the valuations and potential adjustments.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group for Southern Financial, LLC, detailing various FX-Options and Base Metal Derivatives trades, including trade IDs, counterparties, trade types, dates, amounts, and market-to-market values.

title: Deutsche Bank Group Valuation Statement


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes exchange rates and details about the valuation methodology, including potential adjustments for market, liquidity, credit, and operational risks. The statement emphasizes that valuations are for internal use and may not reflect terms for new transactions or liquidation. It also disclaims liability for errors in valuation calculations.

title: Deutsche Bank Group Valuation Statement


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of June 26, 2014. It includes account names and balances.

title: RM0081851 Daily Deposit Report

document_subtype: financial report

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC
Hyperion Air, Inc
JEGE, Inc
JEGE, LLC
HBRK Associates, Inc
Zorro Development Corp.


document_description: Discussion on sizing and valuation of stock warrants listed on the Athens exchange, including worst-case valuation analysis and trading strategy.

key_people:
Nay Gupta
Jeffrey E.

key_locations: London Athens

key_organizations:
Deutsche Bank AG
Deutsche Asset & Wealth Management


document_description: The document discusses the potential value changes of a warrant based on stock price movements. It includes details about the warrant's entitlement to acquire new common shares held by HFSF, with specific issue amounts and step-up strike prices over several dates. The memo is from Nav Gupta, Managing Director at Deutsche Bank AG, and includes a disclaimer about the non-binding nature of the ideas presented.

key_organizations:
Deutsche Bank AG
HFSF
Deutsche Asset & Wealth Management


document_description: This document contains a confidentiality notice and disclaimers from Deutsche Bank, indicating that the information may be confidential, privileged, or contain inside information. It is intended only for the use of the addressee and unauthorized use, disclosure, or copying is prohibited. The document also states that Deutsche Bank does not provide legal or tax advice.


document_description: This document is a valuation statement from Deutsche Bank Group provided to Southern Financial, LLC. It includes contact information for sales inquiries and questions related to the statement. The document outlines the terms and conditions of the valuations, which are provided for internal use only and may be subject to adjustments based on various risks and market conditions. The statement also includes a disclaimer regarding the potential for differences in future valuations and the bank's liability for errors or omissions.

title: Deutsche Bank Group Valuation Statement