EFTA01253036.pdf

akaum.... -ssassF,.aayaams:.r,mrunctumstsrsaa.-ra;sstnru:tornhsuu7aAti.Tsa t: 101F-57.11 MIPg x r AUTHORIZATION OF POWER OF ATTORNEY N ittilahrf For Natural/Individual Persons For Brokerage Accounts and/or retirement accounts with DBSI This Authorization/Power of Attorney constitutes a non-durable limitedpower of attorney, designed to give a person or persons designated by you either (1) limited authority over your Account(s) or (2) lull authority over your Account(s) as set forth below. NOTE: UNDER NEW YORK LAW, THE FOLLOWING DISCLOSURE IS REOUIRED TO BE INCLUDED, VERBATIM, IN EVERY POWER OF ATTORNEY. CAUTION TO THE PRINCIPAL: Your Power of Attorney is an important document. As the "Principal," you give the person whom you choose (your "agent") authority to spend your money and sell or dispose of your property duriog your lifetime without telling you. You do not lose your authority to act even though you have given your agent similar authority. When your agent exercises this authority, he or she must act according to any instructions you have provided or, when there are no specific instructions, in your best interest. Important Information for the Agent" at the end of this document describes your agent's responsibilities. Your agent can act on your behalf only after signing the Power of Attorney before a notary public. You can request information from your agent at any time. If you are revoking a prior Power of Attorney by executing this Power of Attorney, you should provide written notice of the revocation to your prior agent(s) and to the financial institutions where your accounts are located. You can revoke or terminate your Power of Attorney at any time for any reason as long as you are of sound mind. If you are no longer of sound mind, a court can remove an agent for soling improperly. Your agent cannot make health care decisions for you. You may execute a "Health Care Proxy" to do this. The law governing Powers of Attorney is contained in the New York General Obligations Law, Article 5, Title 15. This law is available at a taw library, or online through the New York State Senate or Assembly websites, www.senate.stete.ny.us or www.assembly.state.ny.us. If there is anything in this document that you do not understand, you thould consult with your lawyer. AUTHORITY The undersigned Principal (the "Undersigned" or "Principal") hereby appoints: A' 51-e 'I as the Undersigned's agenlls) and attorneys) in-fact rAgent(sr) to act INDIVIDUALLY with respect to any and all accounts, if applicable (see below) in the Undersigned's name ("Account(s)"), held individually or jointly (provided that all joint account holders have executed this fonn) with DBSI, as well as indivicrnal retirement acxxionts held for the benefit of the Undersigned ("IRAC), with the authority to direct DBSI to buy, sell (including short sales) and otherwise transact in any security, including but not limited to stocks, bonds, mutual fund shares, limited partnership interests, call and put options (covered and uncovered), on margin or otherwise, and any inctrument agreement or contract relating to same, on margin or otherwise, or enter into futures, options on futures abd forward contracts, interest rate, currency, equity or commodity swap transactions, deposit accounts at financial institutions and direct or indirect interests in securities, deposit instruments or contracts whore all or part of the return is calculated by reference to changes in, among other things, the value of securities, commodities, currencies, interest rates, property of any description or indices, in each case in accordance with DBSI's teens and conditions for the Undersigned's account, account type, and risk and in the Undersigned's names, or number(s) on DBSI's books. Agent(s) must exercise the authority granted herein pursuant to the Undersigned's instructions, or otherwise for purposes which the Agent(s) reasonably deems to be in the Undersigned's best interest. By giving this authority, the Undersigned authorizes Agents) to make inquiries on the Account(s), including requesting information about account transactions, balances and holdings. 61)4(10tuttufiao Iiliii lid ' COPY I 1-PWIA-0)133 (011121 006011-010512 cnk SDNY_GM_00037993 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0000817 EFTA_00145602 EFTA01253036  Principal agrees that DBSI shall not be obligated to proceed with instructions that are inconsistent with the terms of any agreements governing the Account(s), or that would violate any applicable laws, rules or regulations, or that would be otherwise limited by the account type or documentation on file. THE UNDERSIGNED AUTHORIZES THE AGENT(S) TO RECEIVE COPIES OF ACCOUNT STATEMENTS AND TRANSACTION CONFIRMATIONS UPON THE AGENT(SFS REQUEST. DBSI RETAINS THE RIGHT IN ITS SOLE DISCRETION TO REFUSE TO ACCEPT INSTRUCTIONS BY THE AGENT(S) TO CHANGE THE MAILING ADDRESS ASSIGNED TO THE UNDERSIGNED'S ACCOUNT(S) OR ANY BENEFICIARY DESIGNATIONS. NOTE: If you want to authorize your Agent(s) to make gifts of your money or assets or other property held in the Account(s) during your lifetime, without restriction, to any one or more persons, including the Agent(s) himself, herself or themselves, you will need to execute a Statutory Major Gifts Rider. Giving such a power to your Agent(s) grants your Agent(s) authority to take actions which could significantly reduce your property or change how your property is distributed at death. OBSI shall not be responsible to monitor whether any payments or transfers are gifts and/or require the execution of a Statutory Major Gifts Rider. SELECT AND INITIAL THE APPLICABLE BOX FOR LIMITED OR FULL TRADING AUTHORIZATION O LIMITED TRADING AUTHORIZATION. In all such purchases, sales or trades, DBSI is 6.0tota, authorized to follow the instructions of Agent(s) in every respect concemingrthe Account(s), add Agents) is/are authorized to act for the Undersigned and on the Undersigned's behalf in the same manner and with the same force and effect as the Undersigned might or could do with respect to such purchases, sales or trades as well es with respect to all ether things necessary or incidental to the furtherance or conduct of such purchases, sales or trades. Note: This Limited Authorization does not permit Agent(s) to withdraw or transfer assets from the Account(s). — OR — El FULL AUTHORIZATION TO TRADE AND MOVE ASSETS. DBSI is authorized to follow the • ructions of Agent(s) in every respect conceming the Account(s), and to make deliveries or transfers of assets (including cash), from the Accounts) end payment of muneys as directed by Agent(s), without restriction 4incluthliptirtWqmsele), himself, herself or themselves except in connection with IBA.) in accordance with DBSI's terms and conditions and account type. In all matters and things aforementioned, as well as in all other things necessary or incidental to the!urtherance or conduct of the Accouni(s), Agent(s) may act in the same manner and with the same force and effect as the Undersigned might or could do. Note: This Full Authorization grants Agent(s) unrestricted authority to trade in the Accounts) and to withdraw or transfer assets from the Account(s). For IRAs, Agent is authorized to elect whether to make tax withholding elections in connection with distributions. This Authorization/Power of Attorney shall remain in full force and effect until DBSI receives actual written notice signed by the Undersigned of its revocation to be delivered to the Undersigned's DBSI Client Advisor or his or her branch manager. However, the limited power of attorney granted hereunder is nQt a durable power of attorney and will cease to be effective upon actual receiof by DBSI of written notioe of the occurrence of either of the following events: (i) the Undersigned is judicially declared to be incompetent, or (in the death of the Undersigned. Notwithstanding the foregoing, the Undersigned acknowledges that DBSI shall beentitled to continue to rely upon this Authorization/Power of Attorney until such time as DBSI receives such actual written notice. 2 11.1'1MA-O2O (01/12) 039611-010612 SDNY_GM_00037994 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000818 EFTA_00 I 48603 EFTA01253037  The Undersigned understands and agrees that DBSI has the right to require additional verification and , documentation from the Undersigned or the Undersigned's Agent(s) in certain transactions that DBSI, in its sole discretion, deems necessary. In addition, DBSI has the right to request that either a new Authorization/ Power of Attorney be executed or that the Agent(s) verify in writing the validity of the current Authorization/ Power of Attorney. Agent Name: ti iva KeePita fi Agent Name: Address: re° Raj // cok Address: Sr [oh%itc cis v) c qt.%) TIN of Agent: TIN of Agent: Relationship Relationship to Principal: to Principal: THIS DOCUMENT DOES NOT REVOKE ANY OTHER POWERS OF ATTORNEY THAT THE UNDERSIGNED HAS PREVIOUSLY EXECUTED, UNLESS THE UNDERSIGNED HAS SPECIFIED OTHERWISE ON THE LINES BELOW. INDEMNIFICATION The Undersigned acknowledges and agrees that the Undersigned is responsible for all acts of the Agent(s). The Undersigned hereby agrees, individually and on behalf of his/her heirs, executors, legal representatives, and assigns to indemnify and hold harmless DBSI and its parents, affiliates, subsidiaries, officers, employees, and agents (collectively, "DB") from all claims that may arise in connection herewith, and to pay DB promptly, on demand, any and all losses and liabilities arising therefrom or from any action taken or not taken by DB in reliance hereon, including without limitation, any debit balance due with respect to the Account(s). The Undersigned further hereby ratifies and confirms any and all transactions (including any payments or transfers) made by the Undersigned's Agent(s) in connection with the Account(s) prior or subsequent to the execution of this document and holds harmless DB regarding same. This Authorization/Power of Attorney shall inure to the benefit of DB and its successors and assigns irrespective of any change or changes at any time in the personnel thereof for any cause whatsoever. The Undersigned understands and agrees that the DBSI may require joint account holder(s) to sign all requests for withdrawals from an account jointly with the Agents). 3 11-PWIA.0911S I01/12/ 009611.010612 SONY_GM_00037995 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000819 EFTA 00148604 EFTA01253038  The Undersigned by signing below confirms that he/she has read the contents of this Power of Attorney • and understands same, and has executed this Power of Attorney of his/her own free will and has received advice about the effect of this Power of Attorney from his/her advisers as he/she has deemed necessary or • advisable. In witness whereof, the Undersigned has executed this Auntet:id world tIorney• Date: /` 416 Signature: ( Print Name: {the "Undersigned") TO BE EFFECTIVE FOR JOINT ACCOUNT(S), ALL ACCOUNT HOLDERS MUST SIGN: In witness whereof, the Undersigned has executed this Authorization/Power of Attorney. Date: Signature: Print Name: (the "Undersigned") This section intentionally left blank. 4 wewmcees(01/121 009611-010512 SDNY_GM_00037996 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-O000820 EFTA_00I48605 EFTA01253039  ACKNOWLEDGEMENT OF PRINCIPAL'S SIGNATURE IN NEW YORK STATE STATE OF NEW YORK, COUNTY OF 00 ,4" ,,4 a.: ss.: On 0 ci du.— 1 / l-cf4 before me, Aiv y7 Pie (7/ v-- personally appeared 'im't • v• 0 .personally known to me or proved to me on the basis of satisfactory evidence to be the individualls) whose name(s) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s), or the person upon bah if of who a dividual(s) acted, executed the instrument. c4 Th. HARRY I. SELLER Notary Public Notary Pubic, Stale of New York No. CH Siie,353924 ACKNOWLEDGEMENT OF PRINCIPAL'S SIGNATURE OUTSIDE NEW YORK &Oka a d in Recklarie County -Commission Expires Fob. 17, 20 STATE OF COUNTY OF ss.: On before me, personally appeared personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/ their signature(s) on the instrument, the individual(s), or the person upon behalf of whom the individual(s) acted, executed the instrument, and that such individual(s) made such appearance before the Undersigned in (state/coumiy). (signature and office of the individual taking acknowledgement) ACKNOWLEDGEMENT OF PRINCIPAL'S SIGNATURE IN NEW YORK STATE (for joint accounts) STATE OF NEW YORK, COUNTY OF ss.: On before me personally appeared personally known to me or proved to me on the basis of satisfactory evidence to be the individuals) whose namels) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed tile same in his/her/their capacitylies), and that by his/her/their signatures) on the instrument, the individual(s), or the person upon behalf of whom the individual(s). acied, executed the instrument. Notary Public ACKNOWLEDGEMENT OF PRINCIPAL'S SIGNATURE OUTSIDE NEW YORK STATE (for joint accounts) STATE OF COUNTY OF ss.: On before me, personally appeared personally known to me or proved to me on the basis of satisfactory evidence to be the individualls) whose name(s) is (are) subscribed to within the instrument and acknowledged to me that he/she/hey executed the same in his/her/their capacity(ies), and that by his/her/ their signature(s) on the instrument, the individual(s), or the person upon behalf of whom the individual(s) acted, executed the instrument, and that such individual(s) made such appearance before the Undersigned in (state/country). (signature and office of the individual taking acknowledgement) 5 11.PWM.0985 /12) 009611-MS12 SDNY_GM_00037997 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-OO00821 EFTA_00148606 EFTA01253040  IMPORTANT INFORMATION FOR THE AGENT(S): .When you accept the authority granted under this Authorization/Power of Attorney, a special legal relationship is created between you and the Principal. This relationship imposes on you legal responsibilities that continue until you resign or the Authorization/Power of Attorney is terminated or revoked. You must: 1. act according to any instructions from the Principal, or, where there are no instructions, in the Principal's best interest; 2. avoid conflicts that would impair your ability to act in the Principal's best interest; 3. keep the Principal's property separate and distinct from any assets you own or control, unless otherwise permitted by law; 4. keep a record of all receipts, payments, and transactions conducted for the Principal; 5. disclose your identity as an Agent whenever you act for the Principal by writing or printing the Principal's name and signing your own name as "Agent" in either of the following manner: (Principal's Name) by (Your Signature) as Agent, or (Your Signature) as Agent for (Principal's Name); and 6. agree that DBSI shall not be obligated to proceed with instructions that are inconsistent with the terms of any agreements governing the Account(s) or that would violate any applicable laws, rules or regulations. You may not use the Principal's assets to benefit yourself or give major gifts to yourself or anyone else unless the Principal has specifically granted you that authority in this Authorization/Power of Attorney and in a Statutory Major Gifts Rider which the Principal may attach to this Authorization/Power of Attorney. If you have that authority, you must act according to any instructions of the Principal or, where there are no such instructions, in the Principal's best interest. You may resign by giving written notice to the Principal and to any co-agent, successor agent, or the Principal's guardian if one has been appointed. If there is anything about this document or your responsibilities that you do not understand, you should seek legal advice. Liability of Agent: The meaning of authority given to you is defined in New York's General Obligations Law, Article 5, Title 15. If it is found that you have violated the law or acted outside the authority granted to you in the Authorization/Power of Attorney, you may be liable under the law for your violation. AGENT(S)' SIGNATURE AND ACKNOWLEDGEMENT OF APPOINTMENT: It is not required that the Principal and the Agent(s) sign at the same time, nor that multiple Agents sign at the same time. I/we, rr,1 4/ have read the foregoing (insert namo(s) of Agent(s)) Authorization/Power of Attorney. I am/we the person(s) identified therein as Agent(s) for the Principal named therein. Agent's signature Agont's signature Dated: ...L6L/91/...,S____ Dated: SONY_GM_00037998 CONFIOENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) il•PINM•0985 (01112) 1101041 I AltICII DB-SDNY-0000822 EFTA_00I48607 EFTA01253041  ACKNOWLEDGEMENT OF AGENT(S). SIGNATURE IN NEW YORK STATE i , ....-) f/9ji.le STATE OF NEW YORK, COUNTY OF i ss.: On thh. before me, 4 3 -(i+ personally appeared Ii:Ps it l# nsefi k4 t, personally known to me or droved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s), or the person u ehalf of whoa Afe individuals) acted, executed the instrument. --1. HARRY I. RULER Wary Rvnlic. State of New York Notary Public No. 018114a53924 Oue)ifiat in Rockland Co:.:ntyg C ommission Expire; Feb. I7, 20f ACKNOWLEDGEMENT OF AGENT(S)' SIGNATURE OUTSIDE NEW YORK STATE STATE OF COUNTY OF ss.: On before me personally appeared personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name(s) is (are) subscribed to within the instrument end acknowledged to me that he/shehhey executed the same in his/her/their capacity(ies), and that by his/her/ their signature(s) on the instrument, the individual(s), or the person upon behalf of whom the individual(s) acted, executed the instrument, and that such individual(s) made such appearance before the Undersigned in (state/country). (signature and office of the individual taking acknowledgement) ACKNOWLEDGEMENT OF AGENT(S)' SIGNATURE IN NEW YORK STATE (for joint accounts) STATE OF NEW YORK, COUNTY OF ss.: On before me personally appeared personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose nameis) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signatere(s) on the instrument, the individual(s), or the person upon behalf of whom the individual(s) acted, executed the instrument. Notary Public ACKNOWLEDGEMENT OF AGENT(S)' SIGNATURE OUTSIDE NEW YORK STATE (for joint accounts) STATE OF COUNTY OF ss.: On before me, personally appeared personally known to me or proved to me on the basis of satisfactory evidence to bathe individual(s) whose name(s) is (are) subscribed to within the instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/ their signature(s) on the instrument, the individual(s), or the person upon behalf of whom the individual(s) acted, executed the instrument, and that such individual(s) made such appeerance before the Undersigned in (state/country). (signature and office of the individual taking acknowledgement) 7 11PATI-COBS 101/121 CO9611-010512 SDNY_GM_00037999 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000823 EFTA_00I 48608 EFTA01253042  decotwissitustistst'esaatt.r, BRENNAN-WIEBRACHT, JEAN ANNE !s sued 2/24/2V 4. 9/2/ 2017:,.. Figt 6" in' Des Wgt 2 Hair BRO Eyes Class A Wood Type Allergies NONE -b Endorsements P.esZrictiaras • SDNY_GM_00038000 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0000824 EFTA_00148609 EFTA01253043  Ei Current Classification (click here for help) Internal Re: BSO Exception Request - DB POA Form (I) Zia Memon to: Zbynek Kozelsky, Vahe Stepanian 10/22/2013 07:54 AM Cc. Jay Lipman• Tazia Smith, Fran M Wickman, Amanda Kirby Sender Date Subject Vahe Stepanian 10/21/2013 08:47 AM 8S0 Exception Request - Zbynek Kozelsky 10/22/2013 07:49 AM Re: BSO Exceptioi Zia Memon 10/22/2013 07:54 AM Re: BSO E Classification: For internal use only BSO approved Zbynek Kozelsky Original Message --- From: Zbynek Kozelsky Sent: 10/22/2013 07:49 AM EDT To: Vahe Stepanian/db/cibcomriDRArnericas@DBAMERICASCBCOEX; Zia Memon Cc: Jay Lipman; Tazia Smith; Fran Wickman; Amanda Kirby Subject: Re: RSO Exception Request - DB POA Form (I) Classification: For internal use only Good morning Zia, Please see below. Ziggy Kozelsky Markets Coverage Group Deutsche Bank Securities Inc. Private Wealth Management 345 Park Avenue New York, NY 10154 Sent From Blackberry Vahe Stepanian Original Message From: Vahe Stepanian Sent: 10/21/2013 08:47 AM RDT To: Zia 14emon Cc: Zbynek Kozelsky; Jay Lipman; Tazia Smith; Fran Wickman; Amanda Kirby Subject: BSO Exception Request - DB POA Form (I) Classification: For internal use only Good Morning Zia, Hope you had a great weekend. SDNY_GM_00038001 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000825 EFTA_00 148610 EFTA01253044  . Just wanted to follow up on an email that was sent over by Fran Mckrnan (pls. see below). ' As you may know, we arc in the process of onboarding a new client, Jeffrey F pstein, who has already transferred in $120mm÷ liquid across his accounts. A few items that we're requesting exceptions for: 1) Using DB POA for entity accounts (per Fran, POA is meant for natural persons accts.) - Client would like his assistants to have FULL POA over accts. Cannot use LTA in this situation. 2) Approval of Full POA for professional relationship (to agent) - requires BSO Approval 3) The Signatures were notarized by.one the Agents being appointed power of attorney - Client's assistant is notary. Assistant is NOT notarizing his own signature, just Jeanne's (other assistant). I've CC'ed Fran here who can correct if I've misstated or lett anything off. Please let me know if you have any questions. We're meeting with the client tomorrow morning, so we would appreciate if you could please review at some point today. Thanks in advance for your help. Vahe Forwarded by Vahe StepaNanklbrdbcom on 10/21/2013 08:35 AM From: Fran M Wickman(dh(dbcom . To: Vahe Stepanianklb/dbcom©DBArnericas, Jay Lipman/dbidbcorn@DBAMERICAS, Cc: Zbynek Kozelsky/dbidbcomODBAmencas, MO CIP Date: 10/18/2013 02:62 PM Subject POA Issues II) Classification: For internal use only - DB POA is for Natural Persons accounts only. DB Limited Trading Authorization is to be completed for trusts & corporations. - Professional relationship to Agent requires BS0 approval. Jean Anne Brennan was appointed as agent. Her name on her ID is Jean Anne Brennan-Wiebracht. - DB POA is for Natural Persons accounts only. DB Limited Trading Authorization is to be completed for corporations & Li-Cs. is not a valid acct #. Jean Anne Brennan was appointed as agent. Her name on her ID is Jean Anne Brennan-Wiebrachl. The signatures were notarized by one the Agents being given power of attorney. Kind regards, Fran Wickman SDNY_GM_00038002 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000826 EFTA_0014861I EFTA01253045  • Fran Wickman Deutsche Bank Securities Inc. Private and Institutional Client Services (PICS) I South Street. 21202-3298 Barnum. MD. USA T01 i ll Fax Mobile Email Peneernit. SDNY_GM_00038003 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000827 EFTA 00148612 EFTA01253046