""AML &"" — Epstein Files Search

Search Entities About Settings

/to search

Dataset

Sort

Status

DOJ Status

Date Range

–

Page Count

–

results for “"AML &"”

Keyboard Shortcuts

/

Focus search

Esc

Blur input

O

Open PDF

←→

Paginate

EFTA00151495Set 9

Federal Bank Secrecy Act ("BSA") requires financial institutions to have adequate anti-money laundering ("AML") policies and systems in place. New York State law requires financial institutions to devise ... duty to ensure that their systems run effectively. 3. In addition to having effective AML controls in place, it is also necessary for financial institutions to monitor their customers ... diligence should consider reasonably available information as to the customer's own AML record, the types of customers and markets served, and the AML regime in the client's home

https://www.justice.gov/epstein/files/DataSet%209/EFTA00151495.pdf

EFTA01417860Set 10

2015-01-0737p3,980w

Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name ... Classification: For internal use only EFTA01417862 Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort ... because of the Holiday schedule. Thanks and regards, Dmitri fcid:image003.png@OlD028DF.3B7C14F01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01417860.pdf

EFTA01418356Set 10

2015-01-0736p3,865w

Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : Party name : Southern Financial ... Classification: For internal use only Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because ... Holiday schedule. Thanks and regards, Dmitri EFTA01418358 fcid:image003.png@OlD028DF.3B7C14F01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418356.pdf

EFTA01419592Set 10

2014-08-244p4,027w

Hart, Andrew Galivan, Michael J. Davis, Michael Jacob New York COVERAGE-Domestic AML to Close - KYC Approved #1343368 Closed Landis, Donald M. Liz Payne LANDIS, DONALD RELATIONSHIP 10/3 /2014 Donald ... Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved #1343368 Closed Wilner Esq., Diane S. Liz Payne WILNER, DIANE S RELATIONSHIP ... Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - No Material Change - Client is Inactive Closed Marriott III, John W. Brian Convey MARRIOTT, JOHN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419592.pdf

EFTA01419447Set 10

2015-01-0533p3,469w

Jan11.11111.1. To: Courteney B Fornal Cc: Ged Account-Opening Manikandan Muralidharan US-CB S-AML Mark Whyman Anastasia Pringle Bcc: Classification: For internal use only Courtney, This requires a discussion ... between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because of the Holiday schedule. Thanks and regards, Dmitri {cid:image003.png ... OlD028DF.3B7C14F0} Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail fcid:image002.gif@O1CFDCA6.64B2B9301 From: Courteney B Fornal Sent: Monday

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419447.pdf

EFTA01435668Set 10

2018-05-2314p3,382w

their behalf Administraton agreement if administrator signing on behalf of a fund If AML documentatuin is received in one large file - note the relevant pages on the checklist Schedule ... moderate risk) Copy of the Register of Director Director: collect full AML documentation - complete relevant checklist based on entity type of all directors Does the entity issue Bearer Shares ... Industry, Nature of Business, Source of Wealth, Source of Funds, Estimated Income& New Worth AML documention for all beneficaries >10% (High) & 25% (Low & Moderate)- use relevant checklist based on entity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435668.pdf

EFTA01419759Set 10

2015-01-0735p3,775w

Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name ... Classification: For internal use only Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because ... Holiday schedule. Thanks and regards, Dmitri EFTA01419760 {cid:image003.png@OlD028DF.3B7C14F0} Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: + E-mail

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419759.pdf

EFTA01419393Set 10

2014-12-2332p3,569w

back next Monday, December 29. Thanks and regards, Dmitri fcid:image002.png@OlD01E93.4277AEF01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York ... Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject ... Fornal/db/dbcom@DBCOEX {cid:image001.png@OlD01E88.865A3A30} To: {cid:image002.png@OlD01E88.865A3A30} Anastasia Pringle/db/dbcom, US-CB S-AML/db/dbcom@DBAMERICAS, Mark Whyman/db/- dbcom, fcid:image001.png@OlD01E88.865A3A301 Cc: {cid:image002.png@OlD01E88.865A3A30} Ged Account-Opening

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419393.pdf

EFTA01418505Set 10

2014-12-2330p3,424w

back next Monday, December 29. Thanks and regards, Dmitri fcid:image002.png@OlD01E93.4277AEF01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York ... Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject ... Fornal/db/dbcom@DBCOEX {cid:image001.png@OlD01E88.865A3A30} To: {cid:image002.png@OlD01E88.865A3A30} Anastasia Pringle/db/dbcom, US-CB S-AML/db/dbcom@DBAMERICAS, Mark Whyman/db/- dbcom, EFTA01418507 fcid:image001.png@OlD01E88.865A3A301 Cc: {cid:image002.png@OlD01E88.865A3A30} Ged Account

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418505.pdf

EFTA01419098Set 10

2014-12-2330p3,438w

back next Monday, December 29. Thanks and regards, Dmitri fcid:image002.png@OlD01E93.4277AEF01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York ... Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject ... DBCOEX EFTA01419100 fcid:image001.png@OlD01E88.865A3A301 To: {cid:image002.png@OlD01E88.865A3A30} Anastasia Pringle/db/dbcom, US-CB S-AML/db/dbcom@DBAMERICAS, Mark Whyman/db/- dbcom, {cid:image001.png@OlD01E88.865A3A30} Cc: {cid:image002.png@OlD01E88.865A3A30} Ged Account-Opening

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419098.pdf

EFTA01418293Set 10

2014-12-2333p3,706w

next Monday, December 29. Thanks and regards, Dmitri {cid:image002.png@OlD01E93.4277AEF0} EFTA01418295 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York ... Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject ... Fornal/db/dbcom@DBCOEX {cid:image001.png@OlD01E88.865A3A30} To: {cid:image002.png@OlD01E88.865A3A30} Anastasia Pringle/db/dbcom, US-CB S-AML/db/dbcom@DBAMERICAS, Mark Whyman/db/- dbcom, {cid:image001.png@OlD01E88.865A3A30} Cc: {cid:image002.png@OlD01E88.865A3A30} Ged Account-Opening

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418293.pdf

EFTA01406182Set 10

their behalf Administraton agreement if administrator signing on behalf of a fund If AML documentatuin is received in one large file - note the relevant pages on the checklist Schedule ... moderate risk) Copy of the Register of Director Director: collect full AML documentation - complete relevant checklist based on entity type of all directors Does the entity issue Bearer Shares ... Industry, Nature of Business, Source of Wealth, Source of Funds, Estimated Income& New Worth AML documention for all beneficaries >10% (High) & 25% (Low & Moderate)- use relevant checklist based on entity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406182.pdf

EFTA01428140Set 10

2018-07-2613p2,882w

their behalf Administraton agreement if administrator signing on behalf of a fund If AML documentatuin is received in one large file - note the relevant pages on the checklist Schedule ... Copy of the Register of Director Consent of Board of Directors Director: collect full AML documentation - complete relevant checklist based on entity type of all directors Does the entity issue ... Source of Wealth, Source of Funds, Estimated Income& New Worth Jeffrey Epstein SOW available AML documention for all beneficaries >10% (High) & 25% (Low & Moderate)- use relevant checklist based on entity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428140.pdf

EFTA01425933Set 10

2018-07-2613p2,866w

their behalf Administraton agreement if administrator signing on behalf of a fund If AML documentatuin is received in one large file - note the relevant pages on the checklist Schedule ... Board of Trustees Copy of the Register of Director Not available Director: collect full AML documentation - complete relevant checklist based on entity type of all directors ID doc available ... Source of Wealth, Source of Funds, Estimated Income& New Worth Jeffrey Epstein SOW available AML documention for all beneficaries >10% (High) & 25% (Low & Moderate)- use relevant checklist based on entity

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425933.pdf

EFTA00069109Set 9

2020-07-2838p15,022w

partner, this fraud has an added element. So, after receiving my overwhelming evidence with AML red flags too numerous to count, what was the par for the course SEC response ... Columbus OH entity, a Chicago entity, and a Belize entity. Still counting the AML red flags? The icing on the top of this massive SEC facilitated fraud: ex NM Governor ... trading fairies". NOPE: NITE How is it possible that there is NO reference to AML in ANY of these SEC complaints? Because the SEC outsourced BD compliance with

https://www.justice.gov/epstein/files/DataSet%209/EFTA00069109.pdf

EFTA00064662Set 9

2020-07-2337p14,828w

partner, this fraud has an added element. So, after receiving my overwhelming evidence with AML red flags too numerous to count, what was the par for the course SEC response ... Columbus OH entity, a Chicago entity, and a Belize entity. Still counting the AML red flags? The icing on the top of this massive SEC facilitated fraud: ex NM Governor ... trading fairies". NOPE: NITE How is it possible that there is NO reference to AML in ANY of these SEC complaints? Because the SEC outsourced BD compliance with

https://www.justice.gov/epstein/files/DataSet%209/EFTA00064662.pdf

EFTA01419338Set 10

2014-12-2333p3,675w

back next Monday, December 29. Thanks and regards, Dmitri fcid:image002.png@OlD01E93.4277AEF01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street New York ... Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject ... Anastasia Pringle Sent: Monday, December 22, 2014 05:23 PM To: US-CB S-AML; Courteney B Fornal; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419338.pdf

EFTA01419169Set 10

2015-01-163p2,658w

Hart, Andrew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved # 01385526 Ellin, Howard Ed Finley ELLIN, HOWARD RELATIONSHIP 10/9/2014 Estimated annual income remains ... Hart, An drew Galivan, Michael J. Davis, Michael Jacoby New York COVERAGE-Domestic AML to Close - KYC Approved # LBF Consulting Services B.C. LTD Armando Estua-Belaunzaran RAMI REZ RELATIONSHIP 10/14/2013 ... sigantory is to be added. 5 a Arias, Felipe Goddard LatAm Intl COVERAGE-LATAM AML to Close - KYC Approved Landis, Betsy M. Liz Payne LANDIS, DONALD RELATIONSHIP 11/6

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419169.pdf

EFTA00086579Set 9

2021-02-1138p16,300w

NITE. The SEC knows this. Where are disclosures in SEC filings of this high AML risk business? You won't find any. Cifu stopped reporting post merger. Not in Sell ... total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect suspicious transactions. www.finra.org Related to the billions ... SEC/FINRA AND CGFIA was 1 of the shells in the FINRA Opco AML complaint AND where NITE and UBSS traded billions of shares of CGFIA AND where NITE and UBSS

https://www.justice.gov/epstein/files/DataSet%209/EFTA00086579.pdf

EFTA00070529Set 9

2020-10-1436p15,778w

total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect suspicious transactions. www.finra.org Related to the billions ... SEC/FINRA AND CGFIA was 1 of the shells in the FINRA Opco AML complaint AND where NITE and UBSS traded billions of shares of CGFIA AND where NITE and UBSS ... with Berger in March 2013, In August of 2013, FINRA brought a penny stock AML complaint against OpCo. Sale of unregistered penny stocks. WHO ultimately executed the trades

https://www.justice.gov/epstein/files/DataSet%209/EFTA00070529.pdf

Page 1

Corpus: 1990-03-17 – 2025-12-01

December 2025

Mo

Tu

We

Th

Fr

Sa

Su

None

Light

Medium

Heavy

Results by Dataset964 total

Set 8

10

Set 9

153

Set 10

794

Set 11

7