Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This document defines the Level 2 approvers for security transactions exceeding 10MM for different product teams within the institution, including Custody, Premium Banking Services Group, Discretionary Portfolio Management (DPM), and Trust. It specifies that an approval from any one of the listed individuals or their designees will constitute full approval.
Metadata
- Subject
- Security Transactions •ree Delivery - Security - From G+ to Another Institution
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0042622
- Date
- —
Relationships 15
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Barry Morris | Level 2 approver | Custody | Barry Morris is a Level 2 approver for the Custody business. |
| Scott Guest | Level 2 approver | Custody | Scott Guest is a Level 2 approver for the Custody business. |
| Michael Lantz | Level 2 approver | Custody | Michael Lantz is a Level 2 approver for the Custody business. |
| Anthony Western | Level 2 approver | Premium Banking Services Group | Anthony Western is a Level 2 approver for the Premium Banking Services Group. |
| Arthur Tremblay | Level 2 approver | Premium Banking Services Group | Arthur Tremblay is a Level 2 approver for the Premium Banking Services Group. |
| Charlie Burrows | Level 2 approver | Premium Banking Services Group | Charlie Burrows is a Level 2 approver for the Premium Banking Services Group. |
| Daphne Cales | Backup approver | Premium Banking Services Group | Daphne Cales is a backup approver for the Premium Banking Services Group. |
| Lisa Combatti | Level 2 approver | Discretionary Portfolio Management (DPM) | Lisa Combatti is a Level 2 approver for the DPM. |
| Oliver Esslinger | Level 2 approver | Discretionary Portfolio Management (DPM) | Oliver Esslinger is a Level 2 approver for the DPM. |
| Mary Keaveney | Level 2 approver | Discretionary Portfolio Management (DPM) | Mary Keaveney is a Level 2 approver for the DPM. |
| Deepak Puri | Level 2 approver | Discretionary Portfolio Management (DPM) | Deepak Puri is a Level 2 approver for the DPM. |
| David Wolkenbrod | Level 2 approver | Trust | David Wolkenbrod is a Level 2 approver for the Trust. |
| Paul Betts | Level 2 approver | Trust | Paul Betts is a Level 2 approver for the Trust. |
| Edward Golden | Level 2 approver | Trust | Edward Golden is a Level 2 approver for the Trust. |
| Andrew Gallivan | Level 2 approver | Trust | Andrew Gallivan is a Level 2 approver for the Trust. |
Financial Information
Amounts:10MM
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsEmployment/staffing
People 15
Organizations 4
CustodyPremium Banking Services GroupDiscretionary Portfolio Management (DPM)Trust
Text Analysis
- Tone
- Informative
- Purpose
- To define the approvers for security transactions over 10MM for various product teams.
- Significance
- This document outlines the approval process for security transactions within the institution.
File Info
- File Name
- EFTA01356654.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:19.847539
- DOJ Source
- View on DOJ