EPSTEIN
page 1 / 275 . OCR, unverified
Dataset10 015
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From:
Vahe Stepanian
Sent:
7/28/2016 1:41:23 PM
To:
Andrew King
CC:
Daniel Sabha
Subject:
RE: Epstein - lune 1 Reports
Classification: For Internal use only
Currently no outstanding OTC positions.
I'm not familiar with that PIC acct.
From: Andrew King
Sent: Thursday, July 28, 2016 1:32 PM
To: Vahe Stepanian
Subject: RE: Epstein - June 2016 Reports [I]
Classification: For Intonel use only
Thanks Vahe. These all look like the public securities we can see on DB Insight. Has he executed any OTC transactions? Is
anything held in
From: Vahe Stepanian
Sent: Thursday, July 28, 2016 12:12 PM
To: Andrew King
Subject: FW: Epstein - June 2016 Reports [I]
Classification: For internal use only
Per your request...
From: Gbenga Omosuyi
Sent: Thursday, July 28, 2016 11:52 AM
To: Vahe Stepanian
Subject: Epstein - June 2016 Reports [I]
Classification: For internal use only
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031309
CONFIDENTIAL
SDNY_GM_00177493
EFTA01345148
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From:
Sent:
To:
Subject:
Attachments:
Bradley Gill in
8/23/2018 11:52:57 AM
Terri Sohrab
FW: KYC Remediation update [I)
RE_ Requested infor
High Risked Accounts
Importance:
High
Classification: For Internal use only
Sec High risk list below.
From: Vijay-A Sawant
Sent: Thursday, August 23, 2018 11:52 AM
To: Bradley Gillin
Cc: Richard larossi <
Subject: RE: KYC Remediation update (I)
Importance: High
Hi Brad,
J. Epstein Virgin Islan... (35.3 KB).msg; RE_ 2018 Periodic Review of
GCIS # 4... (19.2 KB).msg
>; Alka Babu <
; Mayur Rathod <
Following are the ongoing high risked accounts which are overdue for remediation in ascending order, their statuses
below —
•
AMAAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached
email)
•
HATTAN HOLDINGS LLC — DueDate 06/29/2018 - Pending SoS for SAMRA Holdings Ltd (refer attached l s' email)
•
MARSA HOLDINGS LLC — DueDate 06/29/2018 - Pending SoS for SAMRA Holdings Ltd (refer attached 1'' email)
•
JCP IV QP, LLC — DueDate 06/30/2018 — Docs received yesterday, pending review. Will advise as soon as that is
done.
•
DueDate 07/27/2018 — Docs required as per attached 2r4 email
•
Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per attached 3r° email. I am aware that you
have followed up with client on this, so thanks for that.
•
Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
•
Sillerman Investment Company III, LLC — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
•
Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per attached 5th email attached.
•
Elderberry X, LLC — DueDate 08/03/2018 — Pending CDD form as per attached 5th email attached.
•
Sillerman Investment Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
•
Epstein, Jeffrey E. — DueDate 08/08/2018 — Awaiting docs as per attached Si" email attached.
•
Southern Financial LLC DueDate 08/08/2018 — Awaiting docs as per attached 8th email attached.
•
Southern Trust Company, Inc. - DueDate 08/08/2018— Awaiting docs as per attached Sth email attached.
•
J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 — Docs & confirmation required as per attached
10th email
•
GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs & confirmation required as per attached
11th email
•
Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as per attached 6th email attached.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031310
CONFIDENTIAL
SDNY_GM_00177494
EFTA01345149
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•
Neptune, LLC— DueDate 08/16/2018 — Docs required as per attached 2n0 email
•
NES, LLC - DueDate 08/16/2018 — Docs & confirmation required as per attached 9th email.
•
BA, LLC — DueDate 08/18/2018 — Awaiting docs as per attached 8th email attached.
•
Hyperion Air, LLC— DueDate 08/18/2018 — Docs & confirmation required as per attached 10th email
•
JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7th email
•
JEGE, LLC — DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7" email
•
Plan D, LLC — DueDate 08/18/2018 — Docs & confirmation required as per attached 9th email.
•
Jeepers, Inc - DueDate 08/18/2018 —Awaiting confirmation & does as per attached 7th email
•
Mort, Inc - DueDate 08/18/2018 — Awaiting docs as per attached 6th email attached.