t: Pic Bank: 1 Account Number: Account Name: Southern Financial llC Customer Number: Source System: CMKTS Product: PIC Bank: I Kind regards, Andrea Tapia (Embedded image moved to file: pic06038.gif)cid:[email protected] Andrea Tapia vice President Deutsche Bank Trust Company Americas

ct: PIC Bank: 1 Account Number: Account Name: Southern Financial LLC Customer Number Source System: CMKTS Product: PIC Bank: 1 Kind regards, Andrea Tapia Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue. 24th Floor . ... New York NY

t: PIC Bank: 1 Account Number: Account Name: Southern Financial LLC Customer Number: Source System: CMKTS Product: PIC Bank: 1 Kind regards, Andrea Tapia fcid:[email protected] Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Pa

resolve the remaining ACU's not included. Please see the corresponding notes in column N and let me know if you have any questions. Kind regards, Andrea Tapia Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New Yor

From: Sent: To: Subject: Attachments Kimberly Hart 3/17/2015 9:14:55 AM Andrea Tapia FW: February 2015 AlsillAYC Escalation Reports II) COVERAGE_Domestic.xlsx; Acct Opening - COVERAGE.xlsx Classification: For Internal use only Kimbe

From: Sent: To: Subject: Attachments Andrea Tapia I 3/17/2015 5:48:23 PM Kimberly Hart RE: February 2015 AML/KYC Escalation Reports [Ij ACU_COVERAGE_Domestic 3.17.1S.xlsx Classification: For Int

resolve the remaining ACU's not included. Please see the corresponding notes in column N and let me know if you have any questions. Kind regards, Andrea Tapia Andrea Tapia Assistant Vice President CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043004 CONFIDENTIAL SDNY_GM_00189188 EFTA0135685

le Email Securities offered through Deutsche Bank Securities Inc. Per farm. From: Kimberly Hart Sent: Wednesday, November 05, 2014 11:35 AM To: Andrea Tapia Subject: Fw: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only L Kimberly Hart Managing Director Deutsche Sank

f ACU's with material changes. Let me know if you have any questions, or if there is anything else I can do to help clear this list. Kind regards. Andrea Tapia Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset 8 Wealth Management 345 Park Avenue, 24th Floor New -0004 Tel.

Subject: RE: October 2014 AML/KYC Escalation Reports [I] From: Andrea Tapia a Date: Thu, 06 Nov 2014 17:28:40 -0500 To: Melisa Venegas Cc: Kimberly Har Armen Brash Classification: For internal use only Hi Melissa, In t

omments re: updates in column N. The three private equity accounts for McCarthy's client, Craig Haesemeyer, are highlighted in red. Kind regards, Andrea Tapia Andrea Tapia Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY Tel

From: Andrea Tapia I Sent: 6/6/2014 11:SS:OS AM To: Chip Packard I CC: Kimberly Hart Slj Subject: RE: Client Tiering III Attachments: Top 50 WM Relationshipsid

already done so, do you want to leverage the top 10 relationships for the 4 teams I sent you yesterday? Let me know if you want to discuss. Andrea Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154

already done so, do you want to leverage the top 10 relationships for the 4 teams I sent you yesterday? Let me know if you want to discuss. Andrea Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154

lready done so, do you want to leverage the top 10 relationships for the 4 teams I sent you yesterday? Let me know if you want to discuss. Andrea Andrea Tapia Assistant vice President Deutsche Bank Trust Company Americas Deutsche Asset & wealth Management 345 Park Avenue, 24th Floor mew York NY 10154

From: Chip Packard Sent: 6/18/2014 8:00:25 AM To: Andrea Tapia I CC: Kimberly Hart Haig Ariyan I I; Russell-W Johnson [russell- Subject: RE: Client Tiering (C) Attachments: Top 50 WM Relationships - 2014 Ma

Client Advisory meeting is this coming Monday, June 9, so please let me know if there is anything else I can do. Kind regards, Andrea Tapia LIU Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154-

enue, 10154-0004 New York, NY, USA Tel. +1(212)454-2173 Fax +1(646)863-9811 Mobile Email (Embedded image moved to file: pic17108.gif) I From: 'Andrea Tapia/db/dbcom@DBCOEX I To: Ichip Packard/db/dbcomOO8Americas, > I Cc: 'Kimberly Hart/db/dbcon0084nericas I Date: 106/06/2014 11:55 AM I Subject:

0154-0004 New York, NY, uSA Tel. Fax +1(212)454-4437 Email (Embedded image moved to file: pic16910.gif) I From: 'Chip Fackard/db/dbcom I To: 'Andrea Tapia/db/dbcomMOBCOEX, I cc: > 'Kimberly Hart/db/dbcomODBAmericas, Haig eriyan/db/dbcomOD8emericas, Russell-W Johnson/db/dbcom I Date: 106/18/2014 0

ile: pic06276.jpg) cid:inage007.png001CF81 7D.F034A1F0 Subject: (Embedded image moved to file: pic06371.jpg) cid:[email protected] Andrea Tapia/db/dbcom@DBCOEX (Embedded image moved to file: pic32307.jpg) cid:[email protected] chip Packard/db/dbcom@DBAmericas, (Embedded image