Cc: Padam Chainani >; Ana Hunter >; Ian Salters Oliver Esslinger < Subject: RE: Case aassification: For Internal use only Hi, Update to this week's cases for ISG. Per ACO response to ADL outreach - 1149 Gower

ted List PI >; Ian Salters < Classification: For internal use only Hi Team, Please see the updated list. ;Joseph Harleston Ellenoi Jarvis < >; Oliver Esslinger < Pending with COB Client Name KYC Type Status Action COB Due Date Responsible George Kaiser Remediation Family Pending with AFC (UK and

From: Oliver Esslinger [ Sent: 6/20/2019 1:52:20 PM To: rvi ; Jamaal Bushara I; Joseph Harleston • Nina Tona I I • Funda Bozkurt I CC: Padam Chainani I; Ana Hun

, 2019 11:27 AM To: Ellenoi Jarvi >; Craig Roberts Ian Salters On Rebecca Gaily < Cc: Keith Buckholz < • ' ; Julia-C Vetter >; Funda Bozkurt Oliver Esslinger Subject: RE: NFA Classification: For Internal use only Ellenoi, Just to confirm, every WM client on this list has completed the Swaps Protocol Que

AM To: Jamaal Bushara Cc: Padam Chainani >; Ian Salters Subject: RE: Cases for this Week - Upda ed List III ;Joseph Harleston Ellenoi Jarvis < Oliver Esslinger >; Ana Hunter CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041262 CONFIDENTIAL SDNY_GM_00187446 EFTA01355939

From: Oliver Esslinger Sent: 6/20/2019 2: To: Ellenoi Jarvis CC: Subject: Attachments: Live Swaps.xls; Managed Exits.xlsx Importance: High Classification: For int

Rebecca Gaily a> Cc: Keith Buckholz ; SwapDealer Compliance < • Julia-C Vetter Funda Bozkurt < •.; Oliver Esslinger Subject: : Classification: For Internal use only Hi, I had to update list once more. Please use this list as we needed to include another counte

without our written consent is strictly forbidden. From: Nina Tona Sent: Monday, June 10, 2019 3:38 PM Cc: Padam Chainani <ana >; Ian Salters Oliver Esslinger < ; Joseph Harleston < > ; Ellenoi Jarvis < • ; Ana Hunter To: Jamaal Bushara Subject: Cases for this Week [I) Classification For internal us

xlsx Classification: For Internal use only Paolo, By the end of this week can you please get Funda what she needs? Thanks. Regards, Keith From: Oliver Esslinger Sent: Thursday, June 13, 2019 5:00 PM To: Funda Bozkurt Keith Buckholz ; Paolo De-Leon < Cc: Kimberly Hart a. , Swasi Bate < Subject: RE: NFA [

e Im pa ct From: Craig Roberts Sent: Friday, May 24, 2019 10:19 AM To: Ian Salters < >; Rebecca Gaily < Cc: Funda Bozkurt >; Ellenoi Jarvis < ; Oliver Esslinger Keith Buckholz >; Julia-C Vetter a>; '[email protected]'< Subject: RE: NFA [I] Classification: For internal use only + Swap Deal

From: Paolo De-Leon Sent: 6/25/2019 5:45:15 PM To: Oliver Esslinger CC: Ellenoi Jarvis ; Funda Bozkurt I; Joseph Cothron Subject: RE: Cases for this Week - 6/21 II) Attachments: Copy of Managed Exits (002).xlsx

2.gif> Ellenoi Jarvis Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue. 10154-0004 New York, NY, USA NIS •=image003.gif> From: Oliver Esslinger Sent: Thursday, June 20, 2019 1:52 PM To: Ellenoi Jarvi Harleston Cc: Padam Chainani ; Jamaal Busher Joseph Nina Tona Funda Bozkurt ; Ana Hu

Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management )ruts. he I set& CoMpal” Americas Postal akidn.+3s: 345 flak

Nina Tona Sent: Monday, June 17, 2019 11:06 AM To: Jamaal Bushara Cc: Padam Chainani < >; Ian Salters ;Joseph Harleston >; Ellenoi Jarvis < ; Oliver Esslinger < Subject: RE: Cases for this Week - Updated List [I) Classification: For Marnal use only Good Morning Team, Please see the below list for this w

na Tona Sent: Tuesday, June 11, 2019 12:03 PM To: Jamaal Bushara oseph H a rleston Cc: Padam Chainani Ellenoi Jarvis Ana Hunter • Ian Salters Oliver Esslinger < u ject: : ases or t is Week - Updated List [Ii Classification: For Internal use only Hi Team, Please see the updated list. Pending with COB

esrt. 145 Park Avenmt. t4th floor. New York, NY 10 I S4, USA NVWW dell(50CWCZ1)113 From: Ellenoi Jarvis Sent: Thursday, June 20, 2019 2:07 PM To: Oliver Esslinger a>; Jamaal Bushara .,M MI>; Joseph Harleston Nina Ton >; Funda Bozkurt Cc: Padam Chainani < >; Ana Hunter < Ian Salters olo De-Leon •:=MMIMII

Mohite 1 Preeti Shrivastav 1 Rachel Wachs 1 Grand Total 97 From: Adrienne Bull Sent: Monday, July 09, 2018 9:57 PM To: Daphne Cales < Cc: Oliver Esslinger < Subject: Prioritization of the true overdues Hi Daphne >; Melisa Venegas Based on the outcome of today's meeting with Global Management, I will

From: Oliver Esslinger Sent: 7/10/2018 6:01:01 PM To: Andrew Gallivan CC: Adrienne Bull ; Daphne Cale Subject: FW: Prioritization of the true overdues Attachments:

To: Daphne Cales , Oliver Esslinger Melisa Venegas Subject: RE: Prioritization of the true overdues (IJ Classification: For Internal use only All - Please see attached for the curr

t: Monday, June 10, 2019 3:38 PM To: Jamaal Bushara a; Joseph Harleston Cc: Padam Chainani a›; Ellenoi Jarvis ; Ana Hunter Ian Salters ff .; Oliver Esslinger Subject: Cases for this Week [I] Classification: For Internal use only Hi Joe and Jamaal, Please see the below list to be worked on for this week