Illegal Activity
suspicious
Blackmail
none
Date
2015-06-10
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This email exchange involves Deutsche Bank employees discussing structured notes and providing stock information to Jeffrey E. The primary focus is on potential investment opportunities in single name stocks, with details on transaction terms and stock valuations provided.
Metadata
- Subject
- RE: bullish expression of sin le stocks [C] [I]
- Sender
- Stewart Oldfield
- Recipients
- Paul Morris, Daniel Sabba
- Document ID
- EFTA01429693.txt
- Date
- 2015-06-10
Illegal Activity
- Severity
- suspicious
- Description
- The document shows Jeffrey E. receiving information about stock valuations and structured notes from Deutsche Bank employees. While not explicitly illegal, the context of the investigation warrants further scrutiny of these financial interactions.
- Content Type
- first_hand
Relationships 19
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Stewart Oldfield | email correspondence | Paul Morris | Stewart Oldfield responds to Paul Morris' email regarding bullish expression of single stocks. |
| Stewart Oldfield | email correspondence | Daniel Sabba | Stewart Oldfield responds to Daniel Sabba's email regarding bullish expression of single stocks. |
| Paul Morris | email correspondence | Stewart Oldfield | Paul Morris forwards an email to Stewart Oldfield and Daniel Sabba regarding bullish expression of single stocks. |
| Paul Morris | email correspondence | Daniel Sabba | Paul Morris forwards an email to Stewart Oldfield and Daniel Sabba regarding bullish expression of single stocks. |
| Paul Morris | employment | Deutsche Bank Private Bank | Paul Morris is a Managing Director at Deutsche Bank Private Bank. |
| Jeffrey E. | email correspondence | Daniel Sabba | Jeffrey E. sends emails to Daniel Sabba regarding single stocks. |
| Jeffrey E. | email correspondence | Paul Morris | Jeffrey E. sends emails to Paul Morris regarding single stocks. |
| Daniel Sabba | employment | Deutsche Bank Securities Inc. | Daniel Sabba works at Deutsche Bank Securities Inc. |
| Ariane Dwyer | email correspondence | Jeffrey E. | Ariane Dwyer sends stock information to Jeffrey E. |
| Ariane Dwyer | email correspondence | Vahe Stepanian | Vahe Stepanian is CC'd on an email from Ariane Dwyer to Jeffrey E. |
| Ariane Dwyer | email correspondence | Daniel Sabba | Daniel Sabba is CC'd on an email from Ariane Dwyer to Jeffrey E. |
| Ariane Dwyer | email correspondence | Paul Morris | Paul Morris is CC'd on an email from Ariane Dwyer to Jeffrey E. |
| Daniel Sabba | email correspondence | Jeffrey E. | Daniel Sabba sends an email to Jeffrey E. regarding closing prices. |
| Daniel Sabba | email correspondence | Vahe Stepanian | Vahe Stepanian is CC'd on an email from Daniel Sabba to Jeffrey E. |
| Daniel Sabba | email correspondence | Ariane Dwyer | Ariane Dwyer is CC'd on an email from Daniel Sabba to Jeffrey E. |
| Daniel Sabba | email correspondence | Paul Morris | Paul Morris is CC'd on an email from Daniel Sabba to Jeffrey E. |
| Jeffrey E. | email correspondence | Daniel Sabba | Jeffrey E. requests stock prices from Daniel Sabba. |
| Jeffrey E. | email correspondence | Richard Kahn | Richard Kahn is CC'd on an email from Jeffrey E. to Daniel Sabba. |
| Jeffrey E. | email correspondence | Paul Morris | Paul Morris is CC'd on an email from Jeffrey E. to Daniel Sabba. |
Notable Quotes 3
Primary benefits are worst-of structure which can't be replicated with vanilla options and the barrier which gives better protection vs. long stock/-short call.
We had reached out to discuss using short dated structured notes to articulate constructive views on single name stocks.
The investor receives 2.50% per quarter (10% p.a.) if all (2) underlying stocks are above the coupon barrier on the quarterly observation date.
Financial Information
Amounts:31.85 USD52 USD4.91 USD46.25 USD55 USD72.07 USD105 USD149.77 USD182 USD88.76 USD101 USD140.25 USD166 USD86.83 USD94 USD58.78 USD1456 GBP1540 GBP66.71 USD85 USD201.56 USD239 USD90.78 USD104 USD10.00% p.a.2.50%
Assets:
- AAPL (Apple Inc)
- BK (Bank of New York Mellon)
- RTRX (Retrophin)
- OREX (Orexigen Therapeutics)
- AKRX (Akorn)
- DISH (Dish Networks)
- PXD (Pioneer Natural Resources)
- EOG (EOG Resources)
- GD (General Dynamics)
- DLPH (Delphi Automotive)
- CMCSA (Comcast)
- GSK (Glaxo Smith Kline)
- VIAB (Viacom)
- BIDU (Baidu)
- BABA (Alibaba)
Transactions:
- Discussion of short dated structured notes to articulate constructive views on single name stocks.
- Sample transaction terms - 18mo Callable Yield Note
- Contingent Coupon: 10.00% p.a. subject to coupon barrier
- Settlement at termination can be either cash or physical.
Public Knowledge
- Context
- The communication between Jeffrey E. and Deutsche Bank employees regarding financial products and stock valuations could be of interest to the media, given the context of the investigation.
- Media Worthy
- Yes
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsCommunications/correspondence
Organizations 20
Deutsche BankDeutsche Bank Private BankDeutsche Bank Securities Inc.BNP ParibasApple IncBank of New York MellonRetrophinOrexigen TherapeuticsAkornDish NetworksPioneer Natural ResourcesEOG ResourcesGeneral DynamicsDelphi AutomotiveComcastGlaxo Smith KlineViacomBaiduAlibabaDB Global Market Research
Financial Entities 2
BNP ParibasDeutsche Bank
Text Analysis
- Tone
- Professional
- Purpose
- To discuss and provide information on structured notes and stock valuations to Jeffrey E.
- Significance
- This document shows communication between Deutsche Bank employees and Jeffrey E. regarding potential investment opportunities in single name stocks using structured notes.
File Info
- File Name
- EFTA01429693.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:27.098400
- DOJ Source
- View on DOJ