allivan (Signature) Mdrew F Gallivan 2/8/2018 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Matthew-) Purcell Yoonsun Chung (Sgnature) Matthew-) Purcell Yoonsun Cliung 2/13/2018 2/13/2018 tATAm / INTERNATIONAL APPROVALS Client Facing Professional (CFP

M. Case Comments Created By Date Comments Your ,Ur CI i., ', 4 3/18/118 10:52 AM The client Trust is regstened in US VI, not USA. Matthew-3 Purcell 2/13/118 11:13 AM TNs Kit senes as a Ngh risk review for the new client The 2017 Caterpilar Trust (referred as accountholder') - Below are the reas

rged you. Adapted from Sand, et al., Modern Federal -flay Instructions, Instr. 2-12; and the charge of the Hon. Denise L. Cote in United States v. Purcell, 18 Cr. 081 (DLC). 3 EFTA00074506 Contact with Others/Social Media During your deliberations, you must not communicate with or provide any infor

64-18; Edward J. Devitt et al., Federal Jury Practice and Instructions, Instr. 60-07; and the charge of the Hon. Denise L. Cote in United States v. Purcell, 18 Cr. 081 (DLC). See United States v. Vargas-Cordon, 733 F.3d 366, 375 (2d Cir. 2013) ("[T]he contemplated unlawful sexual activity need not be t

From: Cynthia Rodriguez I Sent: 3/16/2018 4:07:09 PM To: Matthew-1 Purcell Subject: RE: Missed conversation with Matthew-J Purcell Yesterday's issue was for Jefferies SRI Fund GP LP I believe. They have so many similarly

going forward to monitor him Cynthia Rodriguez 9:19 AM: im hoping it just gets approved causeeeeee my last day at the firm is 3/21 (u) Matthew-1 Purcell 9:21 AM: Congrats to you! and sad to hear because you're very good Cynthia Rodriguez 9:22 AM: thank youuuuu \ It's a really good opportunity and

Cynthia Rodriguez 10:45 AM: yupp Matthew-1 Purcell 10:45 AM: thank you Matthew-1 Purcell 10:50 AM: approved Cynthia Rodriguez 1222 PM: resubmitted guardian for you let me know if i missed anythi

From: Matthew-1 Purcell Sent: 3/16/2018 4:05:25 PM To: Cynthia Rodriguez Subject: RE: Missed conversation with Matthew-1 Purcell do you remember the client by any chance? KYC number? I will search for it Matthew Purcell Assistant Vice President I AML Compliance Deutsche Ban

going forward to monitor him Cynthia Rodriguez 9:19 AM: im hoping it just gets approved causeeeeee my last day at the firm is 3/21 (u) Matthew-1 Purcell 9:21 AM: Congrats to you! and sad to hear because you're very good Cynthia Rodriguez 9:22 AM: thank youuuuu \ It's a really good opportunity and

er 2018, the General Crimes Unit convicted Lavelleous Purcell after trial of five counts related to his forced prostitution of multiple adult women. Purcell was sentenced to 188 months' imprisonment. • In December 2018, Clint Edwards was sentenced to 20 years in prison for arranging to meet a 14- year o

Matthew-1 Purcell 9:03 AM: hey Cynthia Rodriguez 9:56 AM: heyyy Matthew-1 Purcell 1:20 PM: Hey sorry to bother you but the TIN # for The Caterpillar Trust 2017 is an individuals can you provide me with the correct TIN and i will

9 of 10 N. Case Comments Created By Date Comments rowsun Chung 3/16/118 10:52 MI The client Trust is registered in US VI, not USA. Matthew-3 Purcell 2/13/11B 11:13MI This KYC saves as a high risk renew for the new dent The 2017 Caterpilar Tiust (referred as "atcountholder) - Below are the reasons