Illegal Activity
suspicious
Blackmail
none
Date
2018-10-11
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This email chain discusses issues with Southern Financial LLC's asset under management (AUM) data in GMIS reports, noting that KCP brokerage and AG deposits are not flowing into GMIS CBV data and that some account balances have been removed. The email requests a review of the data once the month-end is complete.
Metadata
- Subject
- FW: Southern Financial - AUM example ill
- Sender
- Donna Kerrigan
- Recipients
- Leslie Roth
- Document ID
- DB-SDNY-0070456
- Date
- 2018-10-11
Illegal Activity
- Severity
- suspicious
- Description
- The removal of account balances from GMIS reports and the discrepancies in data flow could indicate potential financial irregularities, warranting further investigation.
- Content Type
- first_hand
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Donna Kerrigan | email correspondence | Leslie Roth | Donna Kerrigan asks Leslie Roth to review something related to month-end. |
| Stewart Oldfield | email correspondence | Donna Kerrigan | Stewart Oldfield forwards information about Southern Financial AUM to Donna Kerrigan. |
| Bradley Gillin | email correspondence | Stewart Oldfield | Bradley Gillin sends information about Southern Financial AUM to Stewart Oldfield. |
Notable Quotes 2
FYI, KCP brokerage (and also AG deposits) don't seem to be flowing into GMIS CBV data. NNA data seems to be unaffected
Both and account balances have been removed from our GMIS reports.
Financial Information
Amounts:$136,024,620.23421,636,001.00$1,187,706.86$111,664,173.00$1,536,739.37
Assets:
- Brokerage Advisory
- Deposit Transactions
- DB AG NY Preferred Deposit
- Structured Transactions
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsCommunications/correspondence
Organizations 6
Southern Financial LLCKCP brokerageAG depositsGMIS CBVNNADB AG NY
Text Analysis
- Tone
- Informative, professional
- Purpose
- To inform recipients about issues with Southern Financial LLC's AUM data in GMIS reports.
- Significance
- The document highlights discrepancies in financial data related to Southern Financial LLC, potentially indicating reporting errors or other issues.
File Info
- File Name
- EFTA01375206.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:05.607953
- DOJ Source
- View on DOJ