EPSTEIN
page 2 / 888 . OCR, unverified
December 5th. Liam, Greg Kiesel and Josh Shoshan have been following up with
the client with no success. Greg is planning a trip to visit them to see if
this relationship will work out.
2.27.2019 Nina sent follow up to Janet
Awaiting a document showing percent ownership of Fairview. Reached out to
Fairview on 1/10/19. Banker needs to follow up with client.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Wealth Management
NCA
Walleye N/A
Brokerage Account
Low
11/1/2018
4/15/2019
119
Janet Sible
In
Progress
Banker Joshua Shoshan
Gregory J Kiesel
2.27.2019
Nina sent follow up to Janet
Pending with KYC - Client responded 12/18/18 without all of the information
DB requested for WM KYC. Brokerage not started. Client responded with
additional information 01/31/2019. Will need to go back to client when KYC
is reviewed with KYC fixes and brokerage documents. 02/28/2019 - Josh met
with Larry Hurvich from Walleye today and discussed the outstanding requests
fro the account on-boarding, both WM KYC and brokerage. Item
site4922/-
Lists/IWP Americas CM Desk KYC Tracking
EFTA01410756
--- PAGE 3 ---
Wealth Management
NCA
Jon Gruber IRA
N/A
Brokerage
Account High
Client interested in trading
12/15/2018
2/28/2019
Payal Gupta
In Progress
Banker;#COB
Alan Brody
Wendy McMillan
2.27.2019 Payal said KYC is complete. 2/3
accounts are open. 1 peniding
2.27.2019 Nina sent a follow up to Payal
Client has received all paperwork and is in process of filling out. Liam
spoke with Wendy and they are working on the KYC. When the KYC is approved
we will work with her team on the brokerage/kcp documents.
-John and Linda Gruber Tst
-Gruber Foundation
-Options
-SP, WM KYC completed 02.13.2019. Brokerage documents are with IWP
Incomplete documents have been sent to banking team 2.15.2019. Three
accounts: 2 with Account Opening Team. 1 with Banker to amend KYC. 2
accounts opened -GRUBER FAMILY FOUNDATION QJ8001613 and JON D AND LINDA W
GRUBER TRUST QJ8001621 as of 02/28
Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Wealth Management
NCA
Jerry Weintraub N/A
Brokerage
Account Medium 12/15/2018
4/15/2019
Payal Gupta
In Progress
Banker Alan Brody
Jake Block
2.27.2019 Paya
said waiting on docs from client, they should have 2.28.2019 from client
2.27.2019 Nina sent a follow up to Payal
Banker needs to follow-up. Alan & Jake spoke with Nancy at Jerry's office
01/09/2019
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Wealth Management
NCA
Steve Massman
N/A
Brokerage
Account Medium 1/2/2019
4/15/2019
Melissa Clark
In Progress
Client;#Banker
Alan Brody
Richard Aguiar
2.27.2019
Richard Aguiar will reach out to client this week
2.27.2019 Nina folllowed up with Melissa
Client KYC moving slowly due to client concerns over how much information is
being requested. Rich and team (Payal & Israel) were to reach out to client
w/o 12/31/18.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Wealth Management
NCA
Fox Growth Fund Inc.
N/A
Brokerage
Account Medium 11/15/2018
3/8/2019
105
Briana
Gargurevich
In Progress
Client Martin Zeman
Roberto Teofilo
2.28.2019 NAO was submitted, pending with client for more info.
2.27.2019 Brianca said KYC was completed 9/27/2018, so Nina followed up
with Liam on account opening.
2.27.2019 Nina sent follow up to Briana
Had call with client on 2/1/2019 to discuss missing documentation to move
forward with account opening, but have not heard back. Client returned
missing documents 2/14. Case is being built in NAO by IWP. Document review
has resulted in the need fopr an updated form. Sent to client on
02/26/19.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Wealth Management
NCA
Hall Group
N/A
Brokerage
Account Low
11/29/2018
Not Yet Started Banker Alan
EFTA01410757
--- PAGE 4 ---
Brody
Sean Jules
2.22.2019 From banker: Client has possesion of
paperwork. He is following up regularly.
2.22.2019 Nina - IWP to follow up with Bank
IWP has reached out to banker on multiple occasions for an updated status.
Sean is working with client to determine what entity they want to open -
they have existing WM kyc for certain entitiies. Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Wealth Management
NCA
Harold Ripps
N/A
Brokerage
Account Low
10/15/2018
135
Not Yet Started Banker Alan
Brody
Mark Gonzalez
2.22.2019 - Banker said Alan should have an update
2.22.2019- Nina - IWP to follow up with Bank
Banker has not contacted client. Brian Murphy emailed 10/19/18 (Ripps & Time
Inc.) - Alan assigned to Mark Gonzales
Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Wealth Management
NCA
Abe Mitchell
N/A
Brokerage
Account Low
10/19/2018
126
In Progress
Banker Alan
Brody
Mark Gonzalez
Banker has not contacted client. Brian Murphy
emailed 10/19/18. - Alan assigned to Mark Gonzales.
Nina - IWP to follow up with Bank (2.22.2019)
Item
site4922/Lists/IWP