Fwd: Closed account [I]
Classification: For internal use only
Dear All
As part of a Brexit KYC review, we noticed the below clients may have previously contemplated trading with GM (derivatives), but do not have any KYC in place. My question is whether these account be closed process as part of our clean up exercise. Please let me know your thoughts.
WM Client Name
WM Contact/ RM Updated
509 Madison Avenue Associates LP
Rosemary Vrablic
EFTA01402022
Cascade Investment LLC
Russell Daulton
CHARLES M VON ARENTSCHILDT TR UAD 04/19/12 CHARLES & MEREDITH TTEES
Bradley Gitlin
Heritage Investing Inc
Jimmy Benzaquen
James E Ferrell Revocable Trust Two
Sean Jules (RM) Josh Shoshan (KCP)
JOHN R MILLER ENTERPRISES LLC
Xavier Avila
Mantiqueira Overseas
Eva Pace
Meister, Keith A
Rosemary Vrablic (RM) Josh Shoshan (KCP)
PETER FINE
Brian Convey
Robert L Allbritton
Douglas Robertson
Robert Lewis Allbritton 1996 Trust
Douglas Robertson
EFTA01402023
SOUTHERN FINANCIAL LLC
Stewart Oldfield
Southern Trust Company Inc
Stewart Oldfield
The Shenandoah 2008 Trust
Rosemary Vrablic (RM) Josh Shoshan (KCP)
Kind regards,
Ian Salters
{https://brandportal.intranet.db.com/img/modules/logogrey.gif}
Ian Salters
COO Americas - Institutional Wealth Partners
DB Securities Inc
Deutsche Bank Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel. +1 212 250-0037
Mobil
Email
Visit us: http://deutschewealth.com
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IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and
EFTA01402024
determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP).
Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis.
This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden.
EFTA01402025
Begin forwarded message:
From: Ian Salters
Date: February 26, 2019 at 07:34:44 CST
To: Rosemary Vrablic, Russell Daulton, Bradley Gillin, Sean Jules, Joshua Shoshan, Xavier Avila, Eva Pace, Brian P Convey, Douglas Robertson
Cc: Ian Salters
Subject: Closed account [I]
Classification: For internal use only
Dear All
As part of a Brexit KYC review, we noticed the below clients may have previously contemplated trading with GM (derivatives), but do not have any KYC in place. My question is whether these account be closed process as part of our clean up exercise. Please let me know your thoughts.
WM Client Name
WM Contact/ RM Updated
509 Madison Avenue Associates LP
Rosemary Vrablic
EFTA01402022
Cascade Investment LLC
Russell Daulton
CHARLES M VON ARENTSCHILDT TR UAD 04/19/12 CHARLES & MEREDITH TTEES
Bradley Gitlin
Heritage Investing Inc
Jimmy Benzaquen
James E Ferrell Revocable Trust Two
Sean Jules (RM) Josh Shoshan (KCP)
JOHN R MILLER ENTERPRISES LLC
Xavier Avila
Mantiqueira Overseas
Eva Pace
Meister, Keith A
Rosemary Vrablic (RM) Josh Shoshan (KCP)
PETER FINE
Brian Convey
Robert L Allbritton
Douglas Robertson
Robert Lewis Allbritton 1996 Trust
Douglas Robertson
EFTA01402023
SOUTHERN FINANCIAL LLC
Stewart Oldfield
Southern Trust Company Inc
Stewart Oldfield
The Shenandoah 2008 Trust
Rosemary Vrablic (RM) Josh Shoshan (KCP)
Kind regards,
Ian Salters
{https://brandportal.intranet.db.com/img/modules/logogrey.gif}
Ian Salters
COO Americas - Institutional Wealth Partners
DB Securities Inc
Deutsche Bank Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel. +1 212 250-0037
Mobil
Email
Visit us: http://deutschewealth.com
{https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif}
IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and
EFTA01402024
determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP).
Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis.
This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden.
EFTA01402025