Illegal Activity
none
Blackmail
none
Date
2019-04-01
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
Stewart Oldfield is notified about excessive transactions on a client's money market account at Deutsche Bank. The email outlines the bank's procedure for handling such violations, including notifying the client and potentially converting the account to a transactional account.
Metadata
- Subject
- Re: Excessive Transactions March 2019 Account
- Sender
- Stewart Oldfield
- Recipients
- dboi oversight
- Document ID
- 44129244
- Date
- 2019-04-01
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Stewart Oldfield | employment | Deutsche Bank | Stewart Oldfield is an employee of Deutsche Bank. |
| Southern Trust Company | banking relationship | Deutsche Bank | Southern Trust Company has an account with Deutsche Bank. |
Notable Quotes 2
Please be advised that the below listed money market account has exceeded the allowed number of transactions on Date (03/29/2019).
Please advise your client about the Regulation D requirement allowing only 6 transactions per month.
Financial Information
Assets:
- Money market account
Transactions:
- Excessive transactions on money market account
- 8 Transactions- Preauthorized Debit
Legal Compliance
- Violation of Regulation D
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondence
Organizations 4
Deutsche Bank Trust Company AmericasDeutsche Bank Wealth ManagementDeutsche Bank Securities IncSouthern Trust Company
Locations 1
345 Park Avenue, New York, NY 10154
Financial Entities 2
Deutsche BankSouthern Trust Company
Text Analysis
- Tone
- Professional
- Purpose
- To inform Stewart Oldfield about excessive transactions on a client's money market account and the potential consequences.
- Significance
- Highlights a potential violation of Regulation D and the bank's procedures for handling such violations.
File Info
- File Name
- EFTA01372233.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:17.279400
- DOJ Source
- View on DOJ