ed? Do you have their email addresses? Safanad - Nikhil Patel - Orix Tisch — Steve Warner Alpha Group — Paul Barrett Third Lake Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fa

ay, November 09, 2017 12:38 PM To: Anna-Sofiya Lupolover < Subject: RE: MIFID II & research - access to portal for clients ill Yes, thanks. From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 11:34 AM To: Stewart Oldfield < Subject: FW: MIFID II & research - access to portal for clients (I) Classificat

4 Tel Fax Email Securities offered through Deutsche Bank Securities Inc. From: Sheffali Welch Sent: Tuesday, October 31, 2017 8:31 AM To: Cc: Anna-Sofiya Lupolover ellIfifillfiffilinela Armen Brash Subject: FW: MIFID II & research - access to portal for clients (I) Classification: For Internal use only All,

new Research portal, please do so by the end of the day. As a reminder, we will need the client's name and email address. Thank you. Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, N

guez Subject: RE: OD - 5 days [I] Doesn't look like this has come in yet . . . From: Cynthia Rodriguez Sent: Monday, March 05, 2018 2:47 PM To: Anna-Sofiya Lupolover <[email protected]>; Stewart Oldfield < Subject: RE: OD - 5 days [I] Classification: For Intone] use only Hi Anna, We are wa

ssistant Vice President Deutsche Bark Trust Company Americas Deutsche Bark Wealth Management P rl Av n 4th Fl 10154-0004 New York. NY. USA From: Anna-Sofiya Lupolover Sent: Monday, March 05, 2018 2:46 PM To: Stewart Oldfield < >; Cynthia Rodriguez Subject: OD - 5 days [Ij Classification: For Internal use only

ggle Inc PWM - Viggle Inc Cynthia Rodriguez Harry Beller (Jeffrey Espstein) PWM - Harry Beller Stewart Oldfield Kind Regards, Anna-Sofiya IL Anna-Sofiya Lupolover Associate Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Email Securities

hia Rodriguez Viggle Inc PWM - Viggle Inc Cynthia Rodriguez Harry Beller (Jeffrey Espstein) PWM - Harry Beller Stewart Oldfield Kind Regards, Anna-Sofiya IL Anna-Sofiya Lupolover Associate Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Te

From: Cynthia Rodriguez Sent: 3/9/2017 5:30:55 PM To: Anna-Sofiya Lupolover I I; Mary Murray ; Stewart Oldfield Subject: RE: Anna - can you please confirm the accuracy of DBTCA acct # for THE HAZE TRUST 4296287

ice President Deutsche Bank Trust Company Americas Deutsche Bark Wealth Management 345 4th Fl 10154-0004 New York, NY, USA Tel. Fax Ema From: Anna-Sofiya Lupolover Sent: Thursday, March 09, 2017 5:28 PM To: Mary Murray; Cynthia Rodriguez; Stewart Oldfield Subject: RE: Anna - can you please confirm the accurac

th Management 345 Park Avenue, New York, NY 10154 Tel. Fax +1(646)690,1193 Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday, November 02, 2017 10:20 AM To: Cc: Armen Brash Nicholas Allen < Subject: RE: MIFID II & research - access to portal for clients

w. Thank you. Contact First Name Last Name Email Coverage Employee Client Name Nikhil Patel Deutsche Bank Securities INC,XX Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, N

e account active, but I would like to send the notice. Once the client confirms, does that reset the clock on the 18/24 month window? Thanks From: Anna-Sofiya Lupolover Sent: Tuesday, May 24, 2016 10:41 AM To: Stewart Oldfield Subject: Inactive/Dormant Accounts Hello All, Deposit accounts are deemed inactive aft

s to you. Account Dormant Response Date Client / Banking Officer Primary Officer Number inactive Date 5/23/2016 42952763 Kind Regards, Anna-Sofiya L Anna-Sofiya Lupolover Associate SOUTHERN TRUST COMPANY, INC Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Dark Av

ect: FW: Inactive/Dormant Accounts [I] Classification: For Internal use only Can you figure out who this account is associated with? Thanks From: Anna-Sofiya Lupolover Sent: Thursday, June 23, 2016 4:05 PM To: Stewart Oldfield Subject: Inactive/Dormant Accounts Hello, Deposit accounts are deemed inactive after

s to you. Account Dormant Response Date Client / Banking Officer Primary Officer Number Date Inactive 6/23/2016 44129914 Kind Regards, Anna-Sofiya NEW YORK STRATEGY GROUP, LIC inactive Stewart Oldfield Stewart Oldfield 7/3/2016 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0078

Avenue. New York. NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Mary Murray Sent: Thursday, March 09, 2017 5:21 PM To: Anna-Sofiya Lupolover Subject: Anna - can you please confirm the accuracy of DBTCA acct # for THE HAZE TRUST the acct # looks a digit short. We have to wire funds to th

II] Classification: For internal use only Hi Stewart and Cynthia, Can you please confirm the correct account # to Mary? Thank you. Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Associate Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. New York. NY 10154 Securi

mosuyi Cc: Cynthia Rodriguez Subject: FW: PRIIPs Client Notification Classification: For Internal use only FYI. Please see below. Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, N

Group Deutsche Eiank Securities Inc. I Deutsche Bank Wealth Management 345 Park Avenue. 24th Floor, New York, NY 10154-0004 Tel. + Email: From: Anna-Sofiya Lupolover Sent: Monday, December 18, 2017 11:26 AM To: Gbenga Omosuyi Cc: Cynthia Rodriguez Subject: FW: PRIIPs Client Notification Classification: For In

I Securities INC,XX Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fa

pany Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday, November 02, 2017 10:20 AM To: Cc: Armen Brash >; Nicholas Allen Subject: RE: MIFID II & research - access to portal for clients

d I Subject: RE: MIFID II & research - access to portal for clients II] Classification: For internal use only Perfect, thank you! Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fa

ner Paul Barrett Third Lake Paul Watson Robert Forsythe Orix — skip for now. I think the people who were registered left the firm Thanks From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 3:12 PM To: Stewart Oldfield < Subject: RE: MIFID II & research - access to portal for clients III Classificati

docx Let's remove Jockey Club, Southern and Third Lake. We're already taking care of the first two. Please reach out to Tebbi for Third Lake From: Anna-Sofiya Lupolover Sent: Monday, June 11, 2018 11:09 AM To: Bradley Gillin Rodney Macelus Subject: RE: FinCEN CDD Rule; Customer Mailing Stewart Oldfield Hi Team,

ot hear from you, all letters will be addressed to "Dear Client" and the contact person will be the customer owner for each. Thanks! Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, N

From: Cynthia Rodriguez Sent: 3/5/2018 2:46:42 PM To: Anna-Sofiya Lupolover [ :til; Stewart Oldfield [email protected] Subject: RE: OD - 5 days [I] Classification: For internal use only Hi Anna, We are waiting fo

lation. Account # Account Name RM Name 80 Name Balance OD Days 35267258 AND Stewart Oldfield Stewart Oldfield -1171.92 5 Kind Regards, Anna-Sofiya CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0080471 SDNY_GM_00226655 EFTA01381473

AP. Let me know if you have any questions. Thank you. Account # J Customer EEA Country I Customer Owner Italy Stewart Oldfield Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, N

345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA From: Anna-Sofiya Lupolover Sent: Monday, December 18, 2017 10:53 AM To: Stewart Oldfield Cc: Cynthia Rodrigue ; Bradley Gillin Subject: PRIIPs Client Notification Ill Cla

Cc: Cynthia Rodriguez < Subject: FW: PRIIPs Client Notification [I] Classification: For Internal use only FYI. Please see below. Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Securiti

curities offered through Deutsche Bank Securities Inc. >; Stewart Oldfield < From: Cynthia Rodriguez Sent: Monday, December 18, 2017 11:22 AM To: Anna-Sofiya Lupolover ; Stewart Oldfield < Cc: Bradley Gitlin Subject: RE: PRIIPs Client Notification [I] Classification: For Internal use only Hi Anna, This entity

nna-Sofiya Lupolover Cynthia Rodriguez • Sylvia Escobar Cc: Stewart Oldfield Olivier Poncet Subject: RE: PRIIPs Client Notification [I] Thanks Anna-Sofiya. Cynthia. Sylvia — kindly see below note re: N4G024943 and attached supporting doc. Can we please remove the client from the PRIIPs notification li

anagement-Americas 1 South Street. 21202.3298 Ballim r M Tel: Mobile: Email From: Gbenga Omosuyi Sent: Monday, December 18, 2017 11:37 AM To: Anna-Sofiya Lupolover Cynthia Rodriguez • Sylvia Escobar Cc: Stewart Oldfield Olivier Poncet Subject: RE: PRIIPs Client Notification [I] Thanks Anna-Sofiya. Cynthia

ice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Monday, June 04, 2018 6:21 PM To: Bradley Gillin < >; Stewart Oldfield < >; Hildegarde Berries < Subject: FW: FinCEN CDD Rule; Customer Ma

ot hear from you, all letters will be addressed to "Dear Client" and the contact person will be the customer owner for each. Thanks! Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management Securities offered through D

from the Banker CA validation... thanks! From: Sylvia Escobar Sent: Monday, December 18, 2017 11:58 AM To: Gbenga Omosuyi <[email protected]>; Anna-Sofiya Lupolover <[email protected]>; Cynthia Rodriguez <[email protected]> Cc: Stewart Oldfield <[email protected]>; Olivier Ponc

From: Gbenga Omosuyi [[email protected] Sent: 12/18/2017 11:58:48 AM To: Sylvia Escobar [email protected]]; Anna-Sofiya Lupolover [[email protected]; Cynthia Rodriguez [email protected]] CC: Stewart Oldfield [[email protected]; Olivier Poncet [olivi

ne Paul Barrett Third Lake Paul Watson■ Robert Forsythe Orix — skip for now. I think the people who were registered left the firm Thanks From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 3:12 PM To: Stewart Oldfield < Subject: RE: MIFID II & research - access to portal for clients (I) Classificati

oned? Do you have their email addresses? Safanad - Nikhil Patel - Orix Tisch — Steve Warner Alpha Group — Paul Barrett Third Lake Kind Regards, Anna-Sofiya Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue New York, NY