ny Americas nk h n m n SDNY_GM_00060125 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0022949 EFTA_00 170668 EFTA01297232 From: Darnetta Chandler-Johnson Sent: Thursday, June 22, 2017 4:48 PM To: Cynthia Rodriguez Ct: Stewart Oldfield; Daphne Cales; Patrick Harris; Vaishali-P Mehta Subject: KYC Rem

PURSUANT TO FED. R.WIN(F IDENTIAL DB-SONY-0028071 EFTA_00 I 75746 EFTA01299331 From: Reena Chandwani Sent: Friday, July 21, 2017 11:58 AM To: Darnetta Chandler-Johnson < Cc: PWM BIS-Research < >; PWMUS AMLKYC Subject: RDC alert Richard Kahn and PCR Hit _ Darren Indyke [I) Classification: For Internal use only H

From: Darnetta Chandler-Johnson Sent: 6/22/2017 4:38:08 PM To: Subject: Case tt 01790685: has been assigned to you. O44 NEW CASE ASSIGNMENT NOTIFICATION 4" The following case

ices & Branch Manager Deutsche Bank Trust Company Americas WM Americas 345 Perk Avenue. 10154-0004 New York. NY. USA PaSTrien".+7 PeeffrOn From: Darnetta Chandler-Johnson Sent: Thursday, June 22, 2017 4:48 PM To: Cynthia Rodriguez Cc: Stewart Oldfield ; Vaishali-P Mehta Subject: KYC Remediation - Southern Financia

From: Darnetta Chandler-Johnson Sent: 6/22/2017 4:37:24 PM To: Subject: ase u : as een assigned to you. O44 NEW CASE ASSIGNMENT NOTIFICATION 4" The following case has been as

ant Vice President Deutsche Bath Trust Company Americas Deutsche Bat Wealth Management 345 Park Avenue 24th Fl 10154-0004 New York. NY. USA From: Darnetta Chandler-Johnson Sent: Thursday, June 22, 2017 4:48 PM To: Cynthia Rodriguez Cc: Stewart Oldfield; Daphne Cales; Patrick Harris; Vaishali-P Mehta Subject: KYC Rem

nue. 10154-0004 New York, NY, USA Tel. Fax Mobile Email Pearei tn.* Peefenn From: Cynthia Rodriguez Sent: Thursday, July 06, 2017 5:53 PM To: Darnetta Chandler-Johnson < Cc: Stewart Oldfield < >; Vaishali-P Mehta >; Daphne Cales < Subject: RE: KYC Remediation - Southern Financial Relationship [I] Classification

From: Darnetta Chandler-Johnson [ Sent: 6/22/2017 4:47:09 PM To: Subject: Case tt : has been assigned to you. " NEW CASE ASSIGNMENT NOTIFICATION *** The following case has

From: Darnetta Chandler-Johnson Sent: 6/22/2017 4:45:52 PM To: Subject: Case tt has been assigned to you. O44 NEW CASE ASSIGNMENT NOTIFICATION 4" The following case has been

From: Darnetta Chandler-Johnson [ Sent: 6/22/2017 4:45:02 PM To: Subject: Case tt 01790849: has been assigned to you. *** NEW CASE ASSIGNMENT NOTIFICATION *** The following c

From: Darnetta Chandler-Johnson [ Sent: 6/22/2017 4:38:40 PM To: Subject: Case tt 01791049: has been assigned to you. " NEW CASE ASSIGNMENT NOTIFICATION *** The following ca

From: Darnetta Chandler-Johnson [ Sent: 6/22/2017 4:43:37 PM To: Subject: Case tt : has been assigned to you. " NEW CASE ASSIGNMENT NOTIFICATION *** The following case has

From: Darnetta Chandler-Johnson Sent: To: Subject: Case • has been assigned to you. O44 6 22 2017 4:39:16 PM NEW CASE ASSIGNMENT NOTIFICATION " 4 The following case has been

From: Darnetta Chandler-Johnson [ Sent: 6/22/2017 4:41:45 PM To: Subject: Case tt 01790755: has been assigned to you. *** NEW CASE ASSIGNMENT NOTIFICATION *** The following c

From: Darnetta Chandler-Johnson Sent: 6/22/2017 4:44:15 PM To: Subject: Case tt 01790820: has been assigned to you. *** NEW CASE ASSIGNMENT NOTIFICATION *** The following cas

From: Darnetta Chandler-Johnson Sent: Thursday, June 22, 2017 4:48 PM To: Cynthia Rodrigu Cc: Stewart Oldfield ion - Southern Financia Classification: For Internal use only He

From: Darnetta Chandler-Johnson Sent: 7/7/2017 7:34:01 AM To: Cynthia Rodriguez CC: Stewart 0ldfield Daphne Cales Patrick Harris Vaishali-P Mehta Subject: RE: KYC Remedia

LSJE, LLC Organization 2/25/2015 483290 SOUTHERN FINANCIAL RELATIONSHIP Stewart Oldfield Oct-17 N/A Y $ n/a 222,973,649.34 EFTA01398678 Darnetta Chandler-Johnson Completed Completed 1790820 Approved August 2017 550868 HIGH Prytanee, LLC Organization 1/20/2017 483290 SOUTHERN FINANCIAL RELATIONSHIP