Illegal Activity
suspicious
Blackmail
none
Date
2019-01-16
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:44
Summary
The email chain discusses the retention of client accounts at Deutsche Bank and the assignment of Accountable Control Officers (ACOs) for KYC remediation. Nina Tona requests guidance on which accounts to retain, and Billy Obregon and Alan Brody provide input on ACO assignments and account status.
Metadata
- Subject
- RE: Please advise if we need to retain [I]
- Sender
- Alan Brody
- Recipients
- Billy Obregon, Nina Tona, Davide-A Sferrazza, Joshua Shoshan, Martin Zeman
- Document ID
- EFTA01399674.txt
- Date
- 2019-01-16
Illegal Activity
- Severity
- suspicious
- Description
- The email discusses retaining or offboarding various client accounts, including one associated with the current president of Chile. While not explicitly illegal, the mention of a politically exposed person (PEP) warrants further scrutiny for potential compliance risks.
- Content Type
- first_hand
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Alan Brody | Employment | Deutsche Bank Wealth Management | Managing Director I Head of KCP Americas Global Investments & Trading |
| Nina Tona | Employment | Deutsche Bank Wealth Management | Associate, Business Control Manager, Key Client Partners — Americas |
| Davide Sferrazza | Employment | Deutsche Bank Securities, Inc. | Analyst I Key Client Partners |
Notable Quotes 2
I think for all offshore Martin should be the ACO if that is permitted or Alan if it must be a MD.
Please advise if you the below should be retained and if so provide ACO, rationale and client outreach (RR and RP).
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsCommunications/correspondenceLegal matters/litigation
People 8
Organizations 17
Deutsche Bank Wealth ManagementDeutsche Bank Securities, Inc.FINRAKey Client Partners (KCP)DBSIWILLETT ADVISORS LLCDRAKE AURORA FUNDCOLINA INSURANCE LIMITEDSOUTHERN FINANCIAL, LLCMONEX INVERSIONES SAGAPSTOW CAPITAL PARTNERS LPBANCARD INTERNATIONAL INVESTMENT INCCRE CAPITAL LLCMANTIQUEIRA OVERSEAS FUND LTD.TECHVIEW INVESTMENTS LTD.ICAHN ENTERPRISES L.P.W DE ARGENTINA - INVERSIONES S.A
Locations 4
New York, NY, USAJacksonville, FloridaChileArgentina
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Professional
- Purpose
- To determine which accounts should be retained and who should be the ACO (Accountable Control Officer) for KYC (Know Your Customer) remediation.
- Significance
- The email discusses the retention of various client accounts and the assignment of ACOs for KYC remediation, indicating a compliance review process.
File Info
- File Name
- EFTA01399674.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:44:01.281047
- DOJ Source
- View on DOJ