Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
policy
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document outlines the approval process for setting up and maintaining fees for different types of accounts (IA, GIM, GAT, Trust, Custody). It specifies who needs to approve these actions and any special considerations for each account type.
Metadata
- Subject
- Check Points
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0042569
- Date
- —
Relationships 11
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Jennifer Barker | Approval | IA | Jennifer Barker is an approver for IA accounts. |
| Mary Keaveney | Approval | IA | Mary Keaveney is an approver for IA accounts. |
| Robert Deffense | Approval | IA | Robert Deffense is an approver for IA accounts. |
| Kevin Brodbeck | Approval | GIM | Kevin Brodbeck is an approver for GIM accounts. |
| Oliver Esslinger | Approval | GIM | Oliver Esslinger is an approver for GIM accounts. |
| Deepak puri | Backup Approval | GIM | Deepak puri is a backup approver for GIM accounts. |
| ORM | Approval | GAT | ORM Approval is necessary for GAT accounts. |
| David Wolkenbrod | Approval | Trust accounts | David Wolkenbrod is an approver for fee reversal cases in Trust accounts. |
| Edward Golden | Approval | Trust accounts | Edward Golden is an approver for fee reversal cases in Trust accounts. |
| Paul Bett | Approval | Trust accounts | Paul Bett is an approver for fee reversal cases in Trust accounts. |
| TAG | Check | IA accounts | TAG will check charge date for new monthly fees for IA accounts. |
Notable Quotes 3
For IA accounts - Jennifer Barker/ Mary Keaveney or Robert Deffense approval is necessary (only e-mail is acceptable) for IA accounts for both Maintenance and FEE Setup cases.
For Trust accounts No approval is required however, in case of Maintence fee case type if it is fee reversal case then David Wolkenbrod, Edward Golden or Paul Bett approval is required.
AOG is authorized to create final fees without any documentation.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsEmployment/staffing
People 9
Organizations 8
IAGIMGATORMTAGAOGATNT TeamGBSA
Text Analysis
- Tone
- Informative
- Purpose
- To outline the approval process and special points for different types of accounts regarding fee setup and maintenance.
- Significance
- This document outlines the internal policies and procedures for handling different types of accounts and their associated fees, highlighting the necessary approvals and checks required at each stage.
File Info
- File Name
- EFTA01356621.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:31.106783
- DOJ Source
- View on DOJ