Re: ref. case#1469681 - reopen a/[Redacted] - urgent [I]

Halina Laczny

Jj Litchford

Thanks.

From: Halina Laczny Sent: Friday, October 02, 2015 04:43 PM To: Daphne Cales Cc: Jj Litchford Subject: FW: ref case#1469681 - reopen a/ - urgent [I]

Classification: For internal use only

Daphne,

I talk to AOG and sent below message to them. I'm waiting for their response. It should come shortly.

Kind regards,

Halina Laczny
Assistant Vice President
DB Services New Jersey,
GTO Research & Investigations
100 Plaza One - 3rd Floor
Jersey City, NJ 07311-3901
MS : JCY03-0343
Phone

Securities offered through Deutsche Bank Securities, Inc

From: Halina Laczny Sent: Friday, October 02, 2015 4:28 PM To: Manish-m Gupta; PWM AOG Cc: Daphne Cales; Jj Litchford Subject: ref. case#1469681 - reopen a/ - urgent [I]

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Importance: High

Classification: For internal use only

Manish,

A/ and a/ n/o Mort, Inc is currently closed and FO working (KYC) on the re-opening these accounts.

FO is asking :

We have to confirm these accounts won't get purged from M&I over the weekend. Anyway we can put a status U on the account? Or make sure they don't get purged?

** I think that we can't add/change on the closed account — correct? **

Could you please check above in yellow and reply to it ? Thank you.

Kind regards,

Halina Laczny
Assistant Vice President
DB Services New Jersey,
GTO Research & Investigations
100 Plaza One - 3rd Floor
Jersey City, NJ 07311-3901
MS : JCY03-0343
Phone

Securities offered through Deutsche Bank Securities, Inc

From: Daphne Cates

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Sent: Friday, October 02, 2015 3:56 PM To: Jj Litchford; Halina Laczny; Paul Morris Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I]

Classification: For internal use only

Halina: We have to confirm these accounts won't get purged from M&I over the weekend. Anyway we can put a status U on the account? Or make sure they don't get purged?

Kind regards,
Daphne Cales

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Daphne Cales

Vice President I Service Team & Branch Supervisor

Deutsche Bank Trust Company Americas Lending & Deposits 345 Park Avenue, 10154-0004 New York, NY, USA

Tel.
Fax
Mobile
Email

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From: Jj Litchford Sent: Friday, October 02, 2015 3:54 PM To: Halina Laczny; Paul Morris; Daphne Cales Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I]

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Classification: For internal use only

Thanks Halina, we are working on a KYC for the account. This is on hold until Monday.

Appreciate the help.
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JJ Litchford
Associate Banker

Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
New York, New York 10154
Tel.
Mobile
Email

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From: Halina Laczny Sent: Friday, October 02, 2015 3:47 PM To: Paul Morris; Jj Litchford; Daphne Cales Cc: Catherine Logreco Subject: RE: Account closing notifications - urgent [I] Importance: High

Classification: For internal use only

A/C# is still closed, in order to reopen account DB Force teas case is needed.

On 10/1/2015 JJ created case#01469681 and case was rejected. Please check and advise. Thank you.

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Kind regards, Halina

Mort, Inc

Demand Deposit Account

Action {https://10.159.69.21/opstopb1/images/menu_d_sm.gif} Admin
{https://10.159.69.21/opstopb1/images/menu_d_sm.gif} Window {https://-
10.159.69.21/opstopb1/images/menu_d_sm.gif} Help {https://10.159.69.21/-
opstopb1/images/menu_d_sm.gif}

2:37:58 PM CDT

Account Identification {View Additional Identification Information}

Mort, Inc

Home: 000-000-0000
Tax ID: F

6100 Red Hook Quarter, B3

Work:

Last deposit:

210,000.00, 02/09/2015

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St. Thomas

Branch:

5 - Core Franchise

Current bal:

0.00

00802

Prim officer:

81385 - Amanda Kirby

United States Virgin Islands

Overview

Account type:

10 - Business Checking

Account short name:

Mort, Inc

Deposit category:

D - Demand Deposit

Opened:

02/06/2015

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Tax ID:

Closed, processing:

05/26/2015

Tax ID owner:

1 - Name/address line 1

Entered:

02/06/2015

Birth date:

Reopened:

Kind regards,

Halina Laczny
Assistant Vice President
DB Services New Jersey,
GTO Research & Investigations
100 Plaza One - 3rd Floor
Jersey City, NJ 07311-3901
MS : JCY03-0343
Phone

Securities offered through Deutsche Bank Securities, Inc

From: Paul Morris Sent: Friday, October 02, 2015 10:46 AM To: Jj Litchford; Daphne Cates Cc: Catherine Logreco; Halina Laczny Subject: RE: Account closing notifications - urgent [I]

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Classification: For internal use only

The client is funding a transaction in that account today. thanks

Paul Morris

Managing Director

Deutsche Bank Private Bank

Office:

Cell:

From: Jj Litchford Sent: Friday, October 02, 2015 9:12 AM To: Daphne Cales Cc: Catherine Logreco; Halina Laczny; Paul Morris Subject: Re: Account closing notifications - urgent [I]

Thanks Daphne.

Is there anyway to change that for a given client? For context this client (Southern Financial) has around $200MM at the bank spread over 20+ entities each with multiple accounts. This is a really contentious point for them.

Appreciate he help.

On Oct 2, 2015, at 9:08 AM, Daphne Cales wrote:

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Classification: For internal use only

Good morning.

Accounts with $0 balances for 90 days are closed automatically on the system. No notification required — if you look at page 43 of the terms and conditions it says we can close an account without notification. It is the account executive/banker/RO's responsibility to make sure accounts are funded and remain active.

Let me know if you need anything further.

Kind regards,
Daphne Cales:

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Daphne Cales

Vice President I Service Team & Branch Supervisor

Deutsche Bank Trust Company Americas Lending & Deposits 345 Park Avenue, 10154-0004 New York, NY, USA

Tel.
Fax
Mobile
Email

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From: Catherine Logreco
Sent: Thursday, October 01, 2015 6:25 PM
To: Daphne Cales
Cc: Halina Laczny; Jj Litchford
Subject: FW: Account closing notifications - urgent [I]
Importance: High

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Classification: For internal use only

Hi Daphne,

Would your group know about below?

From: Halina Laczny
Sent: Thursday, October 01, 2015 6:16 PM
To: Catherine Logreco
Cc: Jj Litchford
Subject: RE: Account closing notifications - urgent [I]
Importance: High

Classification: For internal use only
Cathy,
We need your help in ref. accts: a/c ███████ and a/ █████████.
Please check if between 2/15/2015 and 5/26/2015 was sent any notices to the client on those
accounts ?

We appreciate your assistance.

Thank you,

Kind regards,

Halina Laczny
Assistant Vice President
DB Services New Jersey,
GTO Research & Investigations
100 Plaza One - 3rd Floor

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Jersey City, NJ 07311-3901

MS : JCY03-0343

Phone

Securities offered through Deutsche Bank Securities, Inc

From: Jj Litchford
Sent: Thursday, October 01, 2015 5:47 PM
To: Halina Laczny
Subject: Account closing notifications [I]

Classification: For internal use only

Hi Halina--

One of our clients tried to transfer money toda to an account which was auto closed due to inactivity (Mort, Inc. a/c ). They are furious because they say they did not receive notification of the closing. Do you know who is in charge of that and if we keep records for mail that was sent? If you don't know, can you help point me in the right direction? This is very time sensitive because the client is so upset.

Much appreciated.
JJ

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JJ Litchford
Associate Banker

Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
New York, New York 10154
Tel. +████████████████
Mobile +████████████████
Email █████████████████████

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