EPSTEIN
page 1 / 365 . OCR, unverified
Dataset10 031
--- SOURCE: IMAGES__0031__EFTA01362969.txt ---
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METADATA_FILENAME: EFTA01362969.pdf
----------------------------------------
KCP
LATAM
Inversiones
Alabama
Limitada
N A
Yes
N, A
Wily 0
Nina T
Rita
Shteynberg
ASAP
Nc
KCP
LATAM
AB
Colina
Insurance
Limited
1007668198
No
Rodrigo G
Nina T
KCP
Armory Fund
LATAM
LDC
1000635214
No
Billy 0
Nina T
Rita
Shteynberg
Amzak
KCP US
Capital
Management
LLC
1000713302
No
Martin Z
Nina T
MSD Capital
KCP US
L.P.
1000005933
No
Martin Z
Nina T
KCP US
Centaurus
AB
Capital LP
1000802041
No
Martin Z
Nina T
W De
KCP
LATAM
Argentina -
Inversiones
S.A
1007979444
No
Xavi A
Nina T
Rita
Shteynberg
End
Apr'l
Nc
Thank you
Nina Tona
From: Xavier Avila
Sent: Monday, March 12, 2018 6:55 PM
To: Nina Tona
Davide-A Sferrazza <
Mackinlay
Cc: Martin Zeman <
>; Joshua Shoshan <
Subject: RE: GM KCP Bible - Action Plan - Update I DJ
Nina, pls consolidate a priority list of KYC Remediation/NCA/Extensions
From all the team
So that we can discuss with lan/Jitan/Mat
Thanks
>; Alastair
; Billy Obregon
From: Nina Tona
Sent: Monday, March 12 2018 4:26 PM
To: Xavier Avila
>; Davide-A Sferrazza
Alastair
Mackinlay
Cc: Martin Zeman
; Joshua Shoshan <
.>; Billy Obregon
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0052743
CONFIDENTIAL
SDNY_GM_00198927
EFTA01362969
--- SOURCE: IMAGES__0031__EFTA01362970.txt ---
METADATA_SOURCE: IMAGES0031
METADATA_FILENAME: EFTA01362970.pdf
----------------------------------------
From: Nina Tona
Sent: Friday, March 02 2018 12:16 PM
To: Xavier Avila
Davide-A Sferrazza
Alastair
Mackinla
Cc: Martin Zeman
Joshua Shosha
Billy Obregon
Subject: RE: GM KCP Bible - Action Plan - Update I llj
Team -
Please let me know which clients are of priority so we can start the NCA process.
Thank you
Nina Tona
From: Nina Tona
Sent: Wednesday, February 21, 2018 11:30AM
To: Xavier Avila
Davide-A Sferrazza
Mackinlay
Cc: Martin Zeman
Joshua Shosha
Subject: RE: GM KCP Bible - Action Plan - Update I ill
Team,
Alastair
Billy Obregon
For all the below clients KYC review date is overdue. Please review and advise if, 1- renew KYC and 2- who will be my
contact for Info
Team
KCP
LATAM
WM client/
Account Name
Armory Fund
LDC
Renew
KYC Review
dbur ID
KYC
Date
Y/N
Yes
Responsible
- For
Info/0ocs
Billy O
Banker
Responsible
- For
Contact/CM
Nina T
Case
Manager
Corn
Starte
Need
info fr
Eduar
KCP
LATAM
Blue Media
Investments
Inc
KCP
LATAM
Bradwell
Commercial
Ltd
KCP
LATAM
Drake Aurora
Fund
KCP
LATAM
Fratelli
Investments
Limited
Yes
Billy 0
Mauricio
P
Nina T
KCP
LATAM Inverban
KCP
LATAM
Proaltus
Capital
I
Partners SL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0052746
SDNY_GM_00198930
EFTA01362970
--- SOURCE: IMAGES__0031__EFTA01362971.txt ---
METADATA_SOURCE: IMAGES0031
METADATA_FILENAME: EFTA01362971.pdf
----------------------------------------
KCP
LATAM
Puerto Asis
Corporation
KCP
LATAM
Signature
Capital
No
Billy s
client
open
new
entity
KCP
LATAM
Tonelle
Limited
KCP
LATAM
Tra nsacciones
e Inversiones
Arizona SA
KCP
Latam
Fratelli
Investments
Limited,BM
KCP
LATAM
AB
Colina
Insurance
Limited
Yes
Rodrigo G
KCP US
Amzak Capital
Management
LLC
KCP US
Canyon
Green
Solemint
LLC,US /
Geoffrey H
Palmer,US
KCP US
DAVID H
MURDOCK
LIVING TRUST
KCP US
Dean
Holdings Inc
KCP US
Gapstow
KCP US
George Kaiser
Family
Foundation
Yes
Xavi A
Davide S
KCP US
Guardian
Investment
Company
Ltd,BS
KCP US
JMB Capital
Partners LP
I
KCP US
Somerston
Investments
Ltd,GB
I
KCP US
Southern
Financial LLC
Yes
Martin Z
Nina T
Zack
Bunimovich
Proce
has
starte
KCP US
West Family
Investments
Inc
I
KCP US
MSD Capital
I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0052747
SDNY_GM_00 198931
EFTA01362971
--- SOURCE: IMAGES__0031__EFTA01362972.txt ---
METADATA_SOURCE: IMAGES0031
METADATA_FILENAME: EFTA01362972.pdf
----------------------------------------
4.
Live Trade — Davide first shot, then Nina will help
5.
GM or Umbrella Account — Davide and Nina
Team
WM
Client/
dbcar
Account
ID
Name
GM or
Good
Umbrella
Active
Retain
To
ISDA
Account
Trade
Uve
Trade
Banker
KCP
Coverage
ACO
KYC
RP
RR
Outreach
R
Tab 2 — "Latent', Tab 3 —'US', Tab 4 — 'Alex Brown" — WM show
In addition to the info in Tab 1, it will also have all the products they are active for
Tab S —Off-Boards — Will show
The clients that we have decided we no longer want to retain
Thanks
Kind regards,
ci mage002.gif>
Nina Tona
Associate
Business Control Manager, Key Client Partners —Americas
Deutsche Bank Wealth Management
5022 Gate Parkway
Jacksonville. Florida 32256
KCP products and servkes ore intended and availatKe onh for persons who ore sophithcoted institutional investors within the intoning of the FINRA Rule