| 20301 |
EFTA01362986.txt |
Certificate of Existence |
Gregory R. Francis, Lieutenant Governor of the Virgin Islands |
none |
none |
2013-02-27 |
Certificate |
dataset_10 |
|
This document is a Certificate of Existence issued by the Lieutenant Governor of the Virgin... |
Business dealingsLegal matters/litigation |
— |
Corp No, 5R3164 |
gemini-2.0-flash-001 |
| 20302 |
EFTA01362987.txt |
Employer Identification Number (EIN) Assignment |
INTERNAL REVENUE SERVICE |
none |
none |
2013-02-28 |
notice |
dataset_10 |
|
The document is a notice from the IRS to Southern Financial LLC, informing them of their... |
Financial transactions/money flowLegal matters/litigation |
— |
CP 575 G |
gemini-2.0-flash-001 |
| 20303 |
EFTA01362988.txt |
Consent of The Board of Directors of Southern Trust Company, Inc. |
|
none |
none |
March 19, 2011 |
Consent |
dataset_10 |
|
This document is a consent resolution from the Board of Directors of Southern Trust Company,... |
Business dealingsFinancial transactions/money flow |
— |
SDNY_GM_00198957
DB-SDNY-0052773 |
gemini-2.0-flash-001 |
| 20304 |
EFTA01362989.txt |
Consent Resolution |
|
none |
none |
2013-03-101 |
legal filing |
dataset_10 |
|
This document is a consent resolution from the directors of Financial Trust Company, Inc. It... |
Business dealingsLegal matters/litigation |
— |
DB-SDNY-0052775, SDNY_GM_00198959 |
gemini-2.0-flash-001 |
| 20305 |
EFTA01362990.txt |
Consent of the Board of Directors of Financial Infomatics, Inc. |
|
none |
none |
2011-11-18 |
Consent of Board of Directors |
dataset_10 |
|
This document is the Consent of the Board of Directors of Financial Infomatics, Inc., dated... |
Business dealings |
— |
None |
gemini-2.0-flash-001 |
| 20306 |
EFTA01362991.txt |
Corporate Resolutions |
|
none |
none |
November 18, 2611 |
resolution |
dataset_10 |
|
This document outlines the corporate resolutions for a new corporation, including the... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052777 |
gemini-2.0-flash-001 |
| 20307 |
EFTA01362992.txt |
Bank Account Resolutions and Corporate Authorizations |
|
none |
none |
None |
resolution |
dataset_10 |
|
This document contains resolutions authorizing corporate officers to manage bank accounts,... |
Financial transactions/money flowBusiness dealingsLegal matters/litigation |
— |
DB-SDNY-0052778
SDNY_GM_00198962 |
gemini-2.0-flash-001 |
| 20308 |
EFTA01362993.txt |
Resolution regarding conducting business and authorizing officers |
|
none |
none |
2011-11-18 |
resolution |
dataset_10 |
|
This document is a resolution from Financial Infomatics, Inc., authorizing its officers to... |
Business dealings |
— |
DB-SDNY-0052779, SDNY_GM_00198963 |
gemini-2.0-flash-001 |
| 20309 |
EFTA01362994.txt |
Subscription for Common Stock |
|
none |
none |
2011-11-18 |
subscription agreement |
dataset_10 |
|
This document is a subscription agreement for common stock of Financial Infomatics, Inc. Jeffrey... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052780, SDNY_GM_00198964 |
gemini-2.0-flash-001 |
| 20310 |
EFTA01362995.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Nina Tona |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
This email chain discusses a KYC breach related to Southern Financial, LLC and the product... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Mathew Negus, Jimmy-H Xu, Xavier Avila, Akash Malhotra,... |
DB-SDNY-0052781
SONY GM_001989135 |
gemini-2.0-flash-001 |
| 20311 |
EFTA01362996.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
The email discusses a KYC breach related to Southem Financial, LLC and questions regarding... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Jimmy-H Xu, Mathew Negus, Akash Malhotra |
DB-SDNY-0052782 |
gemini-2.0-flash-001 |
| 20312 |
EFTA01362997.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Jimmy-H XU |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email chain discusses a KYC breach related to Southern Financial, LLC and the FFT location.... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Mathew Ne, Akash Malhotra |
DB-SDNY-0052783 |
gemini-2.0-flash-001 |
| 20313 |
EFTA01362998.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Akash Malhotra |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email discusses a KYC (Know Your Customer) breach related to a trade booked for Southern... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Xavier Avila |
G175714L |
gemini-2.0-flash-001 |
| 20314 |
EFTA01362999.txt |
Escalations Contact |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a standard confidentiality disclaimer from Deutsche Bank. It states that the... |
|
— |
DB-SDNY-0052785 |
gemini-2.0-flash-001 |
| 20315 |
EFTA01363000.txt |
Update on Southern Financial |
Anthony Lentini |
none |
none |
None |
email |
dataset_10 |
|
Anthony Lentini is requesting a new CRS Self Cert file for Southern Financial because the... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052788, SDNY_GM_00198972 |
gemini-2.0-flash-001 |
| 20316 |
EFTA01363001.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
The email discusses a KYC breach related to SOUTHFINANMD and the need to ensure KYC compliance... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jimm -H Xu, Mathew Ne, Akash Malhotra |
DB-SDNY-0052791 |
gemini-2.0-flash-001 |
| 20317 |
EFTA01363002.txt |
RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email discusses a potential KYC breach related to Southern Financial, LLC, and explores the... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Mathew Ne s, Akash Malhotra |
DB-SDNY-0052792 |
gemini-2.0-flash-001 |
| 20318 |
EFTA01363003.txt |
KYC Brcach_SOUTHFIIIIMPAancial. LLC_FFT Location Ill |
Akash Malhotra |
suspicious |
none |
2018-04-13 |
email |
dataset_10 |
|
Akash Malhotra informs Alex about a KYC violation related to a trade booked for Southern... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Alex, Shawn Stalker Ma, Pankaj-A Chopra, Alka Gopala |
G175714L |
gemini-2.0-flash-001 |
| 20319 |
EFTA01363004.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Jimmy-H Xu |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
The email discusses a KYC breach at Southern Financial, LLC and the preferred booking location... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Mathew Ne, Akash Malhotra, Nina, Pankaj-A,... |
DB-SDNY-0052796 |
gemini-2.0-flash-001 |
| 20320 |
EFTA01363005.txt |
RE: KYC Breach_SOUTHFINANMD_Southcm Financial, LLC_FFT Location [I] |
Jimmy-H Xu |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email discusses a KYC breach related to a financial transaction and seeks approval to move... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Xavier Avila, Mathew No, Martin Zeman, Alka Gopala |
DB-SDNY-0052797 |
gemini-2.0-flash-001 |
| 20321 |
EFTA01363006.txt |
KYC Violation |
Akash Malhotra |
suspicious |
none |
None |
email |
dataset_10 |
|
The email from Akash Malhotra at DBOI Global Services informs the recipient of a KYC violation... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
GI757144 5 |
gemini-2.0-flash-001 |
| 20322 |
EFTA01363007.txt |
None |
Akash Malhotra |
none |
none |
None |
email |
dataset_10 |
|
This email provides trade information and contact details for client onboarding and escalations... |
Business dealingsCommunications/correspondence |
— |
G175714t |
gemini-2.0-flash-001 |
| 20323 |
EFTA01363008.txt |
reac _SOUTHFINANMD_Southcm Financial, LLC_FFT Location II] |
Xavier Avila |
none |
none |
2018-04-17 |
email |
dataset_10 |
|
Xavier Avila emails Jimmy-H Xu and others at Deutsche Bank AG to inquire about the booking and... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jimmy-H Xu |
DB-SDNY-0052806 |
gemini-2.0-flash-001 |
| 20324 |
EFTA01363009.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email discusses a potential KYC breach related to Southern Financial, LLC and the... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Mathew Negus, Akash Malhotra, Martin Zeman, Pankaj-A |
DB-SDNY-0052807 |
gemini-2.0-flash-001 |
| 20325 |
EFTA01363010.txt |
Re: Jeffrey Epstein / Southern Financial III |
Kimberly Hart |
suspicious |
none |
2017-09-26 |
email |
dataset_10 |
|
Keith Buckholz alerts Kimberly Hart about the potential re-engagement of Jeffrey Epstein as a... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Keith Buckholz |
DB-SDNY-0052811 |
gemini-2.0-flash-001 |
| 20326 |
EFTA01363011.txt |
RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS jlj |
Nina Tona |
none |
none |
2019-01-04 |
email |
dataset_10 |
|
Nina Tona's email confirms an agreement between GM and KCP, allowing WM to act as an ACO for a... |
Business dealingsCommunications/correspondence |
ITC ACO, Xavier Avil, Jitan Patel, Matthew Peckman,... |
DB-SIDNY-0052813 |
gemini-2.0-flash-001 |
| 20327 |
EFTA01363012.txt |
RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS (lj |
Marcus Spooner |
none |
none |
2018-12-20 |
email |
dataset_10 |
|
This email exchange discusses the internal processes for client account attestation within... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila |
DB-SDNY-0052814 |
gemini-2.0-flash-001 |
| 20328 |
EFTA01363013.txt |
RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding ICJ |
Martin Zeman |
none |
none |
2018-03-15 |
email |
dataset_10 |
|
This email exchange discusses the KYC (Know Your Customer) process and onboarding of Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, Xavier Avila, Nina Tona, Rita... |
DB-SDNY-0052818 |
gemini-2.0-flash-001 |
| 20329 |
EFTA01363014.txt |
Southern Financial LLC - KYC and Enva Ives convertible bonds onboarding [CI |
Martin Zeman |
suspicious |
none |
2018-03-13 |
email |
dataset_10 |
|
This email provides KYC information for Southern Financial LLC, identifying Jeffrey Epstein as... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, Rita Shteynberg, Jitan Patel |
SDNY_GM_00199003 |
gemini-2.0-flash-001 |
| 20330 |
EFTA01363015.txt |
Tue 5 Jun 2018 15:47:01 Conversation 46522473 |
|
none |
none |
2018-06-05 |
email |
dataset_10 |
|
The email is a request to send a standard KYC notification email to Richard Kahn regarding... |
Financial transactions/money flowCommunications/correspondenceLegal matters/litigation |
— |
6522473 |
gemini-2.0-flash-001 |
| 20331 |
EFTA01363016.txt |
RE: SF [I] |
Monika Valantiejute |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
This email exchange discusses a client's transaction and the need to determine the CIB color... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avil, lain Macara, Rita Shtevnbe, Jitan Patel,... |
DB-SDNY-0052834 |
gemini-2.0-flash-001 |
| 20332 |
EFTA01363017.txt |
None |
Nina Tona |
none |
none |
None |
email |
dataset_10 |
|
This email from Nina Tona of Deutsche Bank Wealth Management outlines the terms and conditions... |
Business dealingsCommunications/correspondence |
— |
DB-SDNY-0052846, SDNY_GM_00199030 |
gemini-2.0-flash-001 |
| 20333 |
EFTA01363018.txt |
RE: Darren, greetings. Here is your fill: |
Joshua Shoshan |
none |
none |
2017-09-14 |
email |
dataset_10 |
|
Joshua Shoshan from Deutsche Bank sends an email to Stewart Oldfield providing trade execution... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Stewart Oldfield, Martin Zeman |
DB-SDNY-0052847 |
gemini-2.0-flash-001 |
| 20334 |
EFTA01363019.txt |
QCOM Equity Buy |
Joshua Shoshan |
none |
none |
11/17/17 |
other |
dataset_10 |
|
This document is a trade execution report for a QCOM equity buy transaction, provided by Joshua... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052848 |
gemini-2.0-flash-001 |
| 20335 |
EFTA01363020.txt |
Treasuries Trading and Southern Financial Status |
Microsoft UC |
none |
none |
2018-02-08 |
email |
dataset_10 |
|
This email exchange discusses the trading of treasuries and the status of Southern Financial.... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052850 |
gemini-2.0-flash-001 |
| 20336 |
EFTA01363021.txt |
RE: KYC Breach SOUTHFINANMD_Southem Financial, LLC_FFT Location [Ij |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email exchange discusses a KYC breach involving Southern Financial, LLC and the need to... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jimmy-H Xu, Mathew Negus, Akash Malhotra |
DB-SDNY-0052851 |
gemini-2.0-flash-001 |
| 20337 |
EFTA01363022.txt |
KYC Violation - Trade ID: G175714L |
Akash Malhotra |
none |
none |
13/04/2018 |
other |
dataset_10 |
|
Akash Malhotra from DBOI Global Services Private Limited informs a recipient about a KYC... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
G175714L |
gemini-2.0-flash-001 |
| 20338 |
EFTA01363023.txt |
RE: Southern Financial - KYC Docs. 111 |
Aiasha Khokhar |
none |
none |
2018-04-19 |
email |
dataset_10 |
|
This email exchange discusses providing assistance to Southern Financial with their CRS form and... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, Martin Zeman, Nina Tona |
DB-SDNY-0052854 |
gemini-2.0-flash-001 |
| 20339 |
EFTA01363024.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC |
Zack Bunimovich |
none |
none |
2018-05-18 |
email |
dataset_10 |
|
Zack Bunimovich clarifies the account opening process for Southern Financial LLC to Nina Tona,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, ODC-Equities Account-Opening, Jesse-1 Cruz |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20340 |
EFTA01363025.txt |
RE: Escalation: ONB-1135648 LINCGB-160049 Southern Financial LLC |
Zack Bunimovich |
none |
none |
2018-05-17 |
email |
dataset_10 |
|
This email exchange discusses the need for confirmation details for downstream setups related to... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
ODC-Equities Account-Opening, Jesse-J Cruz, ODC... |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20341 |
EFTA01363026.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC |
Jesse-1 Cruz |
none |
none |
2018-05-17 |
email |
dataset_10 |
|
Jesse Cruz from Deutsche Bank requests the setup of ONB-1135648 for GED and Convertible Bonds.... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
ODC-Equities Account-Openin, ODC FixedlncomeRepoECM |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20342 |
EFTA01363027.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC III |
Martin Zeman |
suspicious |
none |
2018-05-16 |
email |
dataset_10 |
|
This email chain discusses an extension request for Southern Financial LLC. It highlights an... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
James Gladwin, Daniel-A Klyashtorny, Nina Tona, Xavier... |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20343 |
EFTA01363028.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 Southern Financial LLC |
James Gladwin |
suspicious |
none |
2018-05-11 |
email |
dataset_10 |
|
James Gladwin provides an update on the KCP Extension issue, detailing the steps taken to... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Martin Zeman, Zack Bunimovich |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20344 |
EFTA01363029.txt |
RE: Escalation: ONB-1135648 / LKYCGB-16O049 / Southern Financial LLC [II |
James Gladwin |
suspicious |
none |
2018-05-10 |
email |
dataset_10 |
|
James Gladwin is inquiring about BRG approval for a cross-jurisdictional adoption from DBSI to... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Zack Bunimovic, Jesse-1 Cruz=, Kareen Johnso, Daniel-A... |
ONB-1135648 / LKYCGB-16O049 |
gemini-2.0-flash-001 |
| 20345 |
EFTA01363030.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] |
Martin Zeman |
none |
none |
2018-05-08 |
email |
dataset_10 |
|
Martin Zeman responds to Zack Bunimovich's questions regarding Southern Financial LLC's trading... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, AMLUK Reviews, Jesse-J Cruz, James... |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20346 |
EFTA01363031.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [Ij |
James Gladwin On Behalf Of AMLUK Reviews |
none |
none |
2018-05-08 |
email |
dataset_10 |
|
James Gladwin from AMLUK Reviews is responding to a request from Jesse-J Cruz regarding an... |
Financial transactions/money flowCommunications/correspondence |
Jesse-J Cruz, James Gladwin |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20347 |
EFTA01363032.txt |
RE: Escalation: 0NB-1135648 / LKYCGB-160049 / Southern Financial LLC [II |
Zack Bunimovich |
suspicious |
none |
2018-05-07 |
email |
dataset_10 |
|
This email chain discusses an escalation regarding a principal product extension for Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jesse-J Cruz, AMLUK Reviews, amluk compliance |
0NB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20348 |
EFTA01363033.txt |
Request ID ONB-1135648 " s Southern Financial, LLC ** • |
Neha Dugar |
none |
none |
2018-05-16 |
email |
dataset_10 |
|
Neha Dugar from Tata Consultancy Services, on behalf of Deutsche Bank, requests confirmation... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Amber Davis |
ONB-1135648 |
gemini-2.0-flash-001 |
| 20349 |
EFTA01363034.txt |
RE: Request ID ONB-1135648 1' Southern Financial, LLC • |
Amber Davis |
none |
none |
2018-05-16 |
email |
dataset_10 |
|
This email exchange discusses the account opening process for Southern Financial, LLC. Amber... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
ODC-Equities Account-Opening, Neha Dugar |
ONB-1135648 |
gemini-2.0-flash-001 |
| 20350 |
EFTA01363035.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a disclaimer from Harvest Volatility Management, LLC, outlining the risks... |
Financial transactions/money flowLegal matters/litigation |
— |
DB-SDNY-0052873 |
gemini-2.0-flash-001 |
| 20351 |
EFTA01363036.txt |
OVERLAYS SEEK TO MAKE YOUR EXISTING ASSETS WORK HARDER |
|
none |
none |
None |
other |
dataset_10 |
|
This document describes the benefits of using overlay strategies to enhance client portfolio... |
Financial transactions/money flowBusiness dealings |
— |
SDNY_GM_00199059
DB-SDNY-0052875 |
gemini-2.0-flash-001 |
| 20352 |
EFTA01363037.txt |
CYES ILLUSTRATION ON BALANCED PORTFOLIO |
|
none |
none |
None |
other |
dataset_10 |
|
This document is an illustration of a balanced portfolio's performance from 2008 to 2017,... |
Financial transactions/money flow |
— |
SDNY_GM_00199062
DB-SDNY-0052878 |
gemini-2.0-flash-001 |
| 20353 |
EFTA01363038.txt |
DISCIPLINED INVESTMENT MANAGEMENT PROCESS |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a diagram illustrating a disciplined investment management process focused on... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052879
SDNY_GM_00199063 |
gemini-2.0-flash-001 |
| 20354 |
EFTA01363039.txt |
EXPERIENCED TEAM |
|
none |
none |
None |
other |
dataset_10 |
|
This document lists the experienced team members of a company, including their titles,... |
Employment/staffing |
— |
SDNY_GM_00199065
DB-SDNY-0052881 |
gemini-2.0-flash-001 |
| 20355 |
EFTA01363040.txt |
GLOSSARY (CONT.) TERMINOLOGY |
|
none |
none |
None |
glossary |
dataset_10 |
|
This document is a glossary defining financial terms related to options trading, volatility, and... |
Financial transactions/money flow |
— |
SDNY_GM_00199067
DB-SDNY-0052883 |
gemini-2.0-flash-001 |
| 20356 |
EFTA01363041.txt |
Glossary (Cont.) - Metrics |
|
none |
none |
None |
glossary |
dataset_10 |
|
This document is a glossary defining financial metrics, including Mean Return, Annualized... |
Financial transactions/money flow |
— |
SDNY_GM_00199068
DB-SDNY-0052884 |
gemini-2.0-flash-001 |
| 20357 |
EFTA01363042.txt |
Implied Volatility Through Time |
|
none |
none |
None |
chart |
dataset_10 |
|
The document is a chart illustrating implied volatility through time and the S&P 500 price... |
Financial transactions/money flow |
— |
DB-SDNY-0052885
SDNY_GM_00199069 |
gemini-2.0-flash-001 |
| 20358 |
EFTA01363043.txt |
REFERENCE DATA (CYES - SPX - VIX) |
|
none |
none |
None |
other |
dataset_10 |
|
The document presents reference data for CYES, SPX, and VIX, including closing values,... |
Financial transactions/money flow |
— |
DB-SDNY-0052886, SDNY_GM_00 199070 |
gemini-2.0-flash-001 |
| 20359 |
EFTA01363044.txt |
REFERENCE DATA (CYES - SPX - VIX) |
|
none |
none |
None |
report |
dataset_10 |
|
The document is a financial report providing reference data for CYES, SPX, and VIX, including... |
Financial transactions/money flow |
— |
DB-SDNY-0052887, SDNY_GM_00199071 |
gemini-2.0-flash-001 |
| 20360 |
EFTA01363045.txt |
ADDITIONAL DISCLAIMERS |
|
none |
none |
None |
other |
dataset_10 |
|
This document contains disclaimers from Harvest Volatility Management ILC regarding the use of... |
Financial transactions/money flowLegal matters/litigation |
— |
SDNY_GM_00199075
DB-SDNY-0052891 |
gemini-2.0-flash-001 |
| 20361 |
EFTA01363046.txt |
Collateral Yield Enhancement Strategy (CYES) Investor Update |
|
none |
none |
12/31/2017 |
report |
dataset_10 |
|
This document is an investor update for the Collateral Yield Enhancement Strategy (CYES) as of... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052893 |
gemini-2.0-flash-001 |
| 20362 |
EFTA01363047.txt |
Supplemental Disclosure by Deutsche Bank Wealth Management |
|
none |
none |
2018-01-09 |
presentation |
dataset_10 |
|
This document is a supplemental disclosure from Deutsche Bank Wealth Management, clarifying that... |
Financial transactions/money flowBusiness dealings |
— |
026883T 010918 |
gemini-2.0-flash-001 |
| 20363 |
EFTA01363048.txt |
RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location |
Jimmy-H X |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
This email exchange discusses a KYC breach related to Southern Financial, LLC, and the preferred... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Mathew Negus, Akash Malhotra |
None |
gemini-2.0-flash-001 |
| 20364 |
EFTA01363049.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [1] |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email chain discusses a KYC breach related to a trade involving SOUTHFINANMD_Southem... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Mathew Ncgus, Akash Malhotra |
DB-SDNY-0052897 |
gemini-2.0-flash-001 |
| 20365 |
EFTA01363050.txt |
RE: KYC Breach_SOUTHF1NANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email exchange discusses a KYC breach related to a trade booked for Southern Financial, LLC... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Akash Malhotra |
DB-SDNY-0052898
SDNY_GM_00199082 |
gemini-2.0-flash-001 |
| 20366 |
EFTA01363051.txt |
None |
Akash Malhotra |
none |
none |
None |
email |
dataset_10 |
|
This document is an email signature block from Akash Malhotra, an Associate at DBOI Global... |
Communications/correspondence |
— |
DB-SDNY-0052899, SDNY_GM_00199083 |
gemini-2.0-flash-001 |
| 20367 |
EFTA01363052.txt |
RE: KYC Breach SOuTHFINANMD_Southem Financial, LI.C_FFT Location |
Mash Malhotra |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
This email discusses a KYC breach related to Southern Financial, LLC and a trade reflecting... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, Xavier Avila, Joe Aglione, NCAOTC... |
DB-SDNY-0052900 |
gemini-2.0-flash-001 |
| 20368 |
EFTA01363053.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Mathew Negus |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
This email discusses a KYC breach related to Southern Financial, LLC and the preferred location... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jimmy-H Xu, Xavier Avila, Akash Malhotra |
DB-SDNY-0052901 |
gemini-2.0-flash-001 |
| 20369 |
EFTA01363054.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
The email discusses a KYC breach related to Southern Financial, LLC and the need to complete KYC... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Jimmy-H Xu, Akash Malhotra, Joe Aglione, Ian Salters,... |
DB-SDNY-0052902 |
gemini-2.0-flash-001 |
| 20370 |
EFTA01363055.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email chain discusses a potential KYC breach related to a trade with Southern Financial,... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Mathew Negus, Akash Malhotra |
DB-SDNY-0052903 |
gemini-2.0-flash-001 |
| 20371 |
EFTA01363056.txt |
KYC Brcach_SOUTHFINANMD_Southem Financial. LLC_FFT Location Ill |
Akash Malhotra |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
Akash Malhotra informs Xavier Avila about a KYC violation related to a trade booked for Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila |
DB-SDNY-0052904 |
gemini-2.0-flash-001 |
| 20372 |
EFTA01363057.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document provides login details for a Deutsche Bank website or iPad app and information on... |
Communications/correspondence |
— |
DB-SDNY-0052907 |
gemini-2.0-flash-001 |
| 20373 |
EFTA01363058.txt |
FW: JEE WT |
Jj Litchford |
none |
none |
2015-02-09 |
email |
dataset_10 |
|
Jj Litchford forwards an email from Andrew King to Mark Gonzalez, providing context about... |
Employment/staffingBusiness dealingsCommunications/correspondence |
Mark Gonzalez |
DB-SDNY-0052910 |
gemini-2.0-flash-001 |
| 20374 |
EFTA01363059.txt |
Fw: JEE WT |
Amanda Kirby |
suspicious |
none |
2015-02-09 |
email |
dataset_10 |
|
Amanda Kirby requests Andrew King's assistance with a wire transfer for Jeffrey Epstein's... |
Financial transactions/money flowCommunications/correspondence |
Andrew King |
|
gemini-2.0-flash-001 |
| 20375 |
EFTA01363060.txt |
None |
Darren K |
none |
none |
2015-02-09 |
memorandum |
dataset_10 |
|
This is a memorandum from Darren K to Amanda Kirby instructing her to wire $2000 to Nordea bank... |
Financial transactions/money flow |
Amanda Kirby |
DB-SDNY-0052912 |
gemini-2.0-flash-001 |
| 20376 |
EFTA01363061.txt |
Account Opening Information and High Risk Assessment for Jeffrey Epstein |
Cynthia Rodriguez |
suspicious |
none |
2004-04-22 |
other |
dataset_10 |
|
This document outlines the high-risk assessment conducted by Deutsche Bank regarding Jeffrey... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052916 |
gemini-2.0-flash-001 |
| 20377 |
EFTA01363062.txt |
DELIVERY FAILURE: 550 5.1.1 < >... User unknown |
|
none |
none |
2017-02-21 |
email |
dataset_10 |
|
This email is a delivery failure notification. It indicates that an email with the subject 'RE:... |
Communications/correspondenceFinancial transactions/money flow |
Cynthia Rodriguez |
DB-SDNY-0052918 |
gemini-2.0-flash-001 |
| 20378 |
EFTA01363063.txt |
Volcker Questionnaire for Onboarding of WM Vehicles |
|
none |
none |
None |
Questionnaire |
dataset_10 |
|
This is a Volcker Rule questionnaire used by Deutsche Bank Wealth Management to determine if a... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
WM167243 |
gemini-2.0-flash-001 |
| 20379 |
EFTA01363064.txt |
Volcker Questionnaire for Onboarding of WM Vehicles |
|
none |
none |
None |
Questionnaire |
dataset_10 |
|
This document is a Volcker Rule questionnaire from Deutsche Bank for onboarding Wealth... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
WM167243 |
gemini-2.0-flash-001 |
| 20380 |
EFTA01363065.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a form related to Volcker Rule compliance, determining if a vehicle is an... |
|
— |
WM157243 022673.011518 |
gemini-2.0-flash-001 |
| 20381 |
EFTA01363066.txt |
Volcker Questionnaire for Onboarding WM Vehicles |
|
none |
none |
None |
questionnaire |
dataset_10 |
|
This document is a Volcker Rule compliance questionnaire for Deutsche Bank Wealth Management to... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
wriat57243 022673.011516 |
gemini-2.0-flash-001 |
| 20382 |
EFTA01363067.txt |
Volcker Rule Compliance |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a compliance form to determine if a vehicle is compliant with the Volcker Rule.... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
W1.1167243 022673.011516 |
gemini-2.0-flash-001 |
| 20383 |
EFTA01363068.txt |
Re: Art Fund Account |
Darren Indyke |
none |
none |
2017-01-09 |
email |
dataset_10 |
|
Darren Indyke follows up with Cynthia Rodriguez at Deutsche Bank regarding the status of... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Cynthia Rodriguez |
DB-SDNY-0052929 |
gemini-2.0-flash-001 |
| 20384 |
EFTA01363069.txt |
RE: Art Fund Account |
Cynthia Rodriguez |
suspicious |
none |
2016-12-29 |
email |
dataset_10 |
|
Cynthia Rodriguez from Deutsche Bank is preparing account opening documents for Prytanee, LLC... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Darren Indyke |
DB-SDNY-0052931 |
gemini-2.0-flash-001 |
| 20385 |
EFTA01363070.txt |
Re: Art Fund Account |
DARREN K. INDYKE |
none |
none |
2016-12-21 |
email |
dataset_10 |
|
Darren K. Indyke sends Cynthia Rodriguez Etienne Binant's passport for verification purposes... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Cynthia Rodriguez |
DB-SDNY-0052932 |
gemini-2.0-flash-001 |
| 20386 |
EFTA01363071.txt |
Re: Art Fund Account |
Darren Indyke |
none |
none |
2016-12-21 |
email |
dataset_10 |
|
Darren Indyke is providing Cynthia Rodriguez with information and documentation to set up an Art... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Cynthia Rodriguez |
None |
gemini-2.0-flash-001 |
| 20387 |
EFTA01363072.txt |
Art Fund Account |
Darren Indyke |
suspicious |
none |
2016-12-20 |
email |
dataset_10 |
|
Cynthia Rodriguez from Deutsche Bank requests updated photo IDs for Jeffrey Epstein and Caroline... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Cynthia Rodriguez |
DB-SDNY-0052934 |
gemini-2.0-flash-001 |
| 20388 |
EFTA01363073.txt |
KYC items needed for onboarding the new art fund |
|
suspicious |
none |
2016 |
email |
dataset_10 |
|
The email provides KYC information for a new art fund, Prytanee, LLC, including details about... |
Financial transactions/money flowBusiness dealingsLegal matters/litigation |
Darren |
DB-SDNY-0052935 |
gemini-2.0-flash-001 |
| 20389 |
EFTA01363074.txt |
Re: ISA LLC acc xxxxx9295 |
Bella Klein |
none |
none |
2017-10-25 |
email |
dataset_10 |
|
This email exchange between Bella Klein and Cynthia Rodriguez discusses issues with a wire... |
Financial transactions/money flowCommunications/correspondence |
Cynthia Rodriguez |
DB-SDNY-0052938 |
gemini-2.0-flash-001 |
| 20390 |
EFTA01363075.txt |
*** NEW CASE ASSIGNMENT NOTIFICATION *** |
Yoonsun Chung |
none |
none |
None |
email |
dataset_10 |
|
Yoonsun Chung received a notification about a new case assignment related to KYC for Butterfly... |
Business dealingsCommunications/correspondence |
— |
01651789 |
gemini-2.0-flash-001 |
| 20391 |
EFTA01363076.txt |
RE: OD REFERRALS 06-02-2017 c M 35267258 [I] |
Cynthia Rodriguez |
none |
none |
2017-06-05 |
email |
dataset_10 |
|
This email exchange between Cynthia Rodriguez and Stewart Oldfield at Deutsche Bank discusses OD... |
Communications/correspondenceFinancial transactions/money flow |
Stewart 0ldfield |
35267258 [I] |
gemini-2.0-flash-001 |
| 20392 |
EFTA01363077.txt |
Fw: O0 REFERRALS ( 06-02-2017 ) A/c # 35267258 [I] |
Stewart Oldfield |
none |
none |
2017-06-05 |
email |
dataset_10 |
|
This email chain discusses a client referral within Deutsche Bank. Shalini Goyal sent an email... |
Financial transactions/money flowCommunications/correspondence |
Cynthia Rodriguez |
DB-SDNY-0052942 |
gemini-2.0-flash-001 |
| 20393 |
EFTA01363078.txt |
OD Referral |
Shalini Goyal |
none |
none |
YYYY-MM-DD |
email |
dataset_10 |
|
This email from Shalini Goyal requests approval for an OD referral, including a decision on... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052943, SDNY_GM_00199127 |
gemini-2.0-flash-001 |
| 20394 |
EFTA01363079.txt |
Case tt 01790685: has been assigned to you. |
Darnetta Chandler-Johnson |
none |
none |
2017-06-22 |
email |
dataset_10 |
|
Darnetta Chandler-Johnson received an email notification about a new case assignment related to... |
Business dealings |
— |
01790685 |
gemini-2.0-flash-001 |
| 20395 |
EFTA01363080.txt |
RE: LSJE LLC acc xxxxx9295 |
Cynthia Rodriguez |
none |
none |
2017-10-25 |
email |
dataset_10 |
|
Cynthia Rodriguez informs Bella Klein about a system error that prevented a wire transfer and... |
Financial transactions/money flowCommunications/correspondence |
Bella Klein |
|
gemini-2.0-flash-001 |
| 20396 |
EFTA01363081.txt |
Re: Zorro Management. LLC |
Deutsche Bank Trust Company Americas |
none |
none |
2017-01-25 |
letter |
dataset_10 |
|
Deutsche Bank Trust Company Americas is providing information to CenturyLink regarding Zorro... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Kathie Montano |
DB-SDNY-0052947 |
gemini-2.0-flash-001 |
| 20397 |
EFTA01363082.txt |
Customer requesting monthly telecom services of $4,000.00 |
Kathie Montano |
none |
none |
2017-01-25 |
form |
dataset_10 |
|
This document is a credit inquiry form from CenturyLink regarding Zorro Management LLC. It... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052948 |
gemini-2.0-flash-001 |
| 20398 |
EFTA01363083.txt |
Zorro Management, LLC Salesforce - Unlimited Edition |
|
none |
none |
12/20/2016 |
other |
dataset_10 |
|
This document is a screenshot of a Salesforce customer profile for Zorro Management, LLC,... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052949 |
gemini-2.0-flash-001 |
| 20399 |
EFTA01363084.txt |
Customer: Zorro Management, LLC Salesforce - Unlimited Edition |
|
none |
none |
12/14/2013 |
other |
dataset_10 |
|
This document is a Salesforce account view for Zorro Management, LLC, displaying customer... |
Business dealings |
— |
DB-SDNY-0052950 |
gemini-2.0-flash-001 |
| 20400 |
EFTA01363085.txt |
Customer: Zorro Management, LLC Salesforce - Unlimited Edition |
|
none |
none |
1/25/2017 |
other |
dataset_10 |
|
This document is a screenshot or diagram of a Salesforce page for Zorro Management, LLC,... |
Business dealings |
— |
DB-SDNY-0052951 |
gemini-2.0-flash-001 |