Illegal Activity
suspicious
Blackmail
none
Date
2018-09-24
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This email chain discusses corporate resolution issues and KYC compliance for several LLCs within the Southern Financial Relationship and Neptune LLC. The sender, Vijay Sawant, is working to resolve these issues and seeks confirmation from Bradley Gillin and Richard Iarossi.
Metadata
- Subject
- FW: Corp Resolution Query for SOUTHERN FINANCIAL RELATIONSHIP
- Sender
- Vijay-A Sawant
- Recipients
- Bradley Gillin, Stewart Oldfield
- Document ID
- KYC#01977698
- Date
- 2018-09-24
Illegal Activity
- Severity
- suspicious
- Description
- The document discusses issues with corporate resolutions and KYC compliance, which could potentially indicate suspicious activity if not properly addressed. The need to resolve these issues across multiple accounts raises concerns.
- Content Type
- first_hand
Relationships 7
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Vijay-A Sawant | Employment | Deutsche Bank | Vijay Sawant is a KYC Case Representative at Deutsche Bank. |
| Bradley Gillin | Employment | Deutsche Bank Wealth Management | Bradley Gillin is a Vice President at Deutsche Bank Wealth Management. |
| Hyperion Air, LLC | Authorized Signatory | Harry Beller | Harry Beller is being added as an authorized signatory for Hyperion Air, LLC. |
| JEGE LLC | Account | Southern Financial Relationship | JEGE LLC is an account within the Southern Financial Relationship. |
| NES LLC | Account | Southern Financial Relationship | NES LLC is an account within the Southern Financial Relationship. |
| Plan D | Account | Southern Financial Relationship | Plan D is an account within the Southern Financial Relationship. |
| Neptune LLC | Client | Deutsche Bank | Neptune LLC is a client of Deutsche Bank, subject to KYC review. |
Notable Quotes 2
As discussed earlier, we are in possession of attached docs for entity Hyperion Air, LLC, with Harry Beller name missing on Pg 2 of the single pages attachment.
As per our call today, please note the below Corp Resolution issue was found in other accounts in the Sothern Financial Relationship, listed below — JEGE LLC, NES LLC, Plan D
Red Flags 2
- Inconsistencies in corporate resolutions across multiple accounts.
- Need to resolve KYC rejection points.
Legal Compliance
- Corporate resolution issues for Hyperion Air, LLC, JEGE LLC, NES LLC, Plan D, and Neptune LLC.
- KYC compliance issues
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowBusiness dealingsCommunications/correspondenceLegal matters/litigation
Organizations 10
Deutsche CIB Centre Private LimitedDeutsche Bank GroupDeutsche Bank Wealth ManagementDeutsche Bank Securities Inc.Hyperion Air, LLCJEGE LLCNES LLCPlan DNeptune LLCSouthern Financial Relationship
Locations 5
Mumbai, IndiaGoregaon East, MumbaiNirlon Knowledge Park, Western Express HighwayNew York, NY345 Park Avenue, 24th Fl
Financial Entities 2
Deutsche BankSouthern Financial Relationship
Text Analysis
- Tone
- Professional
- Purpose
- To resolve corporate resolution issues for various accounts within the Southern Financial Relationship and Neptune LLC.
- Significance
- The email chain discusses issues with corporate resolutions for several LLCs and the steps being taken to resolve them, indicating potential compliance or regulatory concerns.
File Info
- File Name
- EFTA01438413.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:01.619660
- DOJ Source
- View on DOJ