Hi Wayne,
The correct spelling of Courteney's last name is Fornal. She is Director and Registered Principal for the deal. Courteney
is on vacation, but she's checking her email and would be available for a chat. Jan and I actually spoke with her a few
days ago on a separate topic. I don't believe she's high enough for our purposes but we could definitely start with her.
The Managing Director for this business is William Shelton. He's out on an MTA and this is his out-of-office message: "I
am on my mandatory time away with no access to e-mail. I will be
back in the office on Friday, January 2nd. For immediate assistance, please call the desk at (212) 250.4940. For
emergencies, my mobile number is (917) 913-4868."
The ultimate head of the Business is Ted Gonedes, Global Head of Equity Derivatives Sales for CB&S Markets (sits here in
NY). He's also on an MTA and will be back next Monday, December 29.
Thanks and regards,
Dmitri
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel: +1 212 250-4760
E-mail
Parricrwirr Perpron
From: Carlos-A Garcia
Sent: Tuesday, December 23, 2014 8:15 AM
To: Wayne Salit
Cc: Carlos-A Garcia; Dmitri Saks
Subject: FW: EDD package for the RID : M.'"arty name : Southern Financial LLC [I]
Classification: For Internal use only
Hello Wayne,
From the information listed below, it appears that Courteney B Formal is the head for this request.
Kind regards,
Carlos Garcia
From: Carlos-A Garcia On Behalf Of US-CB S-AML
Sent: Tuesday, December 23, 2014 8:13 AM
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068350
CONFIDENTIAL SDNY_GM_00214534
EFTA01373918