From: Shalini Goyal [mailto Sent: Monday, June 05, 2017 12:07 PM To: Cynthia Rodriguez a>; Bradley Gillin Cc: Debra Jasper ; Oversight Control Subject: RE: OD REFERRALS ( 06-02-2017 ) A/c # Classification: For Internal use only Hi team, Please provide an update on below. Kind regards,

ail ID From: Annanya Pareek Sent: Wednesday, February 24, 2016 8:13 PM To: 3 Litchford Cc: Subject: OD REFERRALS ( 02-23-2016 ) A/c Hi Team, ; Oversight Control; Debra Jasper; Hemant-Kumar Rathore Please find the attached OD Referral for today and approve these with your decision hand-written on the OD refer

ul Morris Cc: Jj Litchford; Subject: FW: OD REFERRALS ( 02-23-2016 ) NC Classification: For Internal use only Hi Team, [I] [I] , Debra Jasper; Oversight Control Please find the attached OD Referral for today and approve these with your decision hand-written on the OD referral form with two signatures (manda

Cc: ; Oversight Control; Debra Jasper; Hemant-Kumar Rathore Subject: OD REFERRALS ( 02..23-.2016 ) A/c Hi Team, Please find the attached OD Referral for today and approve

low. Kind regards, Komal Shahani Komal Shahan Process Supervisor 0501 Global Services Private Limited COO Wealth Mara ,:tnent 0 ratoons Email Oversight Control; Debra Jasper; Hemant-Kumar Rathore [I] Please send all the Bankin related • ueires to our new Group E-mail ID From: Annanya Pareek Sent: Wednesd

oy Sent: Wednesday, February 24, 2016 3:48 PM To: He -n -Ku Ra h tew- fi-I. P ul M rris: 3) Litchford Cc: • Kathryn 3 Stanfield; Debra Jasper; Oversight Control Subject: RE: OD REFERRALS ( 02-23-2016 )Nc [I] Classification: For Memel use only Hemant, Please waive fee. Thank you From: Hemant-Kumar Rathor

March 22, 2016 9:26 AM To: J Litchford• Melinda Ro Cc: Subject: OD REFERRALS ( 03-21-2016 ) # Classification: For Internal use only Hi Team, ; Oversight Control; Debra Jasper [II Please find the attached OD Referral for today and approve these with your decision hand-written on the OD referral form with tw

new Group E-mail ID From: Shalini Goyal [mailto Sent: Monday, June 05, 2017 9:54 AM To: Stewart Oldfield < Cc: Debra las >; Bradley Gillin < >; Oversight Control < Subject: OD REFERRALS ( 06-02-2017 ) A/c # 35267258 III >; Cynthia Rodriguez Classification: For ',risme' use only Hi Team, Please find the at

[email protected]; Oversight Control <[email protected]> Subject: RE: OD Referral dated 05-17-2019 For AC # 42953424 Classification: For internal use only Please provide an upd

rocessinciplist.db.com From: Shalini Goyal [nal Sent: Monday, lune 05, 2017 9:54 AM To: Stewart Oldfield < Cc: Debra las >; Bradley Gillin < >; Oversight Control < Subject: OD REFERRALS ( 06-02-2017 ) A/c # 35267258 111 Classification: For Internal use only Hi Team, >; Cynthia Rodriguez Please find the at

thore tewart Oldfield Bradley Gitlin Rachel Wachs CC: Halina laczny [email protected]; gtopwm pan tingexception ec [email protected]; Oversight Control ([email protected]) Subject: RE: OD Referral dated 06-07-2019 For AC # 42953758 DI Attachments: 4361001.pdf Classification: For Internal

rities Inc. From: Shalini Goyal Sent: Monday, June 05, 2017 09:54 AM To: Stewart Oldfield; Bradley Gillin; Cynthia Rodriguez; William-M Finn Cc: Oversight Control; Debra Jasper Subject: OD REFERRALS ( 06-02-2017 ) A/c # 35267258 [I] Classification: For internal use only Hi Team, CONFIDENTIAL - PURSUANT TO F

; Oversight Control < Subject: OD Referral dated 05-17-2019 For AC # Classification: For internal use only Hi Team, Please find the attached OD Referral for today an

talie Barak Sent: 6/6/2019 1:38:10 PM To: Hemant-Kumar Rathore Stewart Oldfield Gillin ; Rachel Wachs CC: Halina Laczn Debra Jasper l l Oversight Control Subject: RE: OD Referral dated 06-05-2019 For AC 11 Attachments: MFPScan2019-06-06-133644.pdf Classification: For Internal use only Do NOT pay

From: Sent: To: CC: Halina laczny Debra Jasper ; Oversight Control Subject: RE: OD Referral dated 06-05-2019 For Hemant-Kumar Rathore 6/6/2019 1:42:15 PM Stewart Oldfield I Bradley Gillin Hello Natalie, Thank

ities Inc. From: Shalini Goyal Sent: Monday, June 05, 2017 09:54 AM To: Stewart Oldfield• Bradle Gitlin• C nthia Rodris uez• William-M Finn Cc: ' Oversight Control; Debra Jasper CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054537 CONFIDENTIAL SDNY_GM_00200721 EFTA01364036

Securities Inc. From: Shalini Goyal Sent: Monday, June 05, 2017 09:54 AM To: Stewart Oldfield* Bradle C Rodri ue m im i ii•WWr' , 1-M Finn Cc: Oversight Control; Debra Jasper Subject: OD REFERRALS ( 06-02-2017 ) A/c # 35267258 [I] Classification: For Infernal use only Hi Team, Please find the attached OD

Shalini Goyal Sent: Tuesday, October 06, 2015 9:20 AM To: Amanda Kirb • J Litchford Cc: Sain; dboi oversight Subject: Nonpost Transaction A/c ; Oversight Control; Debra Jasper; Shanu Gujaria; Ashish-K - 10-05-2015 [I] Classification: For Internal use only Hi, Please advise if the below transactions are OK

db.com From: Annanya Pareek Sent: Wednesday, February 24, 2016 8:13 PM To: Jj Litchford Cc: '[email protected]; Oversight Control; Debra Jasper; Hemant-Kumar Rathore Subject: OD REFERRALS ( 02-23-2016 ) A/c #35267258 Hi Team, Please find the attached OD Referral for today and

11/5/2014 1 : : To: Arush Jain CC: Aracely Sanchez Debra Jasper GTO-PWM-Banking Exception- Check-Processin - . [email protected]]; Oversight Control Subject: Re: OD REFERRALS ( 11-04-2014 j A/C # 35267258 (II Attachments: pic18167.gif; pic29151.gif; 0157_001.pdf classification: For internal us