EFTA00236561.pdf

Message From: Kesner, Daniel Sent: 3/13/2015 9:04:59 PM To: Waldron, Chelsey Devon [ CC: Saveriano, Isabel I I; Guzman, Marylyn I I; Roan, Mizchelle I Juliana I Subject: RE: MAXWELL - RE: Adding Signatory to accounts Chelsey- Thank you. I look forward to receiving your call. Isabel, please coordinate next steps with =. Regards, Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue, New York, NY 10017 E. MARKS PANETH ACCOurilAtolS l £Dris:: From: Sent: Friday, March 13, 2015 3:36 PM To: Kesner, Daniel Cc: Saveriano, Isabel; Guzman, Marylyn; ubs.com; Subject: RE: MAXWELL - RE: Adding Signatory to accounts Hi Daniel, ; Ramdeen, Vijai 1; Shkreli, Roan, Mizchelle; We received the singed documents. We will review and reach out with any questions. Thank you, Chelsey From: Waldron, Chelsey Devon Sent: Wednesday, March 11, 2015 6:22 PM To: Kesner, Daniel CONFIDENTIAL UBSTERFtAMAR00000879 EFTA00236561 Cc: Saveriano, Isabel; Guzman, Marylyn; Chelsey Devon Subject: RE: MAXWELL - RE: Adding Signatory to accounts Hi David, Roan, Mizchelle; Ramdeen, Vijai; Shkreli, Juliana; Waldron, You can either fax to messenger to 299 Park Ave, FL 25 to my attention, whichever is easiest for you. We will confirm once we receive. Thank you! Chelsey Chelsey Waldron Client Service Associate UBS Financial Services Inc. Private Wealth Management 299 Park Avenue. 25th Floor New York, NY 10171 From: Kesner, Daniel Sent: Wednesday, Marc To: Waldron, Chelsey Devon Cc: Saveriano, Isabel; Guzman, Marylyn; Subject: RE: MAXWELL - RE: Adding Signatory to accounts Roan, Mizchelle; Ramdeen, Vijai; Shkreli, Juliana Chelsey- Much appreciated. Can you receive documents via a secure system? We use leapfile. If not, we can messenger tomorrow or fax them to you. Please let me know what can be possible. Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue, New York, NY 10017 MARKS PANETH CONFIDENTIAL UBSTERFtAMAR00000880 EFTA00236562 From Sent: Wednesday, March 11, 2015 11:51 AM To: Kesner, Daniel Cc: Saveriano, Isabel; Guzman, Marylyn; Roan, Mizchelle Subject: RE: MAXWELL - RE: Adding Signatory to accounts Fli Daniel, Yes, the Authorized Agent/Dual Signor Addendum Form and the Power of Attorney Form are the forms I sent back in January. Please return completed forms via email (PDF), we will review and reach out with any questions. Thank you, Chelsey From: Kesner, Daniel Sent: Wednesday, Marc .1•1 To: Waldron, Chelsey Devon Cc: Saveriano, Isabel; Guzman, Marylyn; Roan, Mizchelle Subject: FW: MAXWELL - RE: Adding Signatory to accounts Chelsey- Please see email below. Are these the very same form I already have in hand from January 8? If not, please send Ms. Maxwell the forms via and once she signs where necessary, then can send to me? Thank you, Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue, New York, NY 10017 E. MARKS PANETH CONFIDENTIAL UBSTERRAMAR00000881 EFTA00236563 From: Sent: Wednesday, March 11, 2015 10:30 AM To: Kesner, Daniel Cc: Saveriano, Isabel Subject: Re: MAXWELL - RE: Adding Signatory to accounts Good morning, I heard back from Chelsey and she confirmed the following re your access to Ms. Maxwell's accounts: The two forms below will provide Daniel authority to all accounts. Please see below and call me with any questions, 1. Authorized Agent/Dual Signor Addendum Form This will give Ms. Maxwell's accountant access to cut and sign checks only from accounts that have checking, listed below. o Pot & Kettle, LLC o Ghislaine Maxwell o ELLMAX, LLC o 116 East 65th Street LLC o TerraMar Project, Inc. o MAX FOUNDATION o Max Hotel Services Corp. 2. Power of Attorney Form This will allow the accountant to call the branch and request checks from accounts that do not have the checking service on the account. Please note that these checks can only be made for the benefit of the Ms. Maxwell. Best, From: <Kesner>, Daniel Date: Tuesday, March 10, 2015 at 12:23 PM To: MN Cc: "Saveriano, Isabel" Subject: RE: MAXWELL - RE: Adding Signatory to accounts As I thought as well. Thank you for your help on this. I will reach out to Chelsey to make sure I sign all documents at once. Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue. New York. NY 10017 CONFIDENTIAL UBSTERFtAMAR00000882 EFTA00236564 E. MARKS PANETH PtCOUNIANTS • e. From: Sent: Tuesday, March 10, 2015 10:36 AM To: Kesner, Daniel Subject: Re: MAXWELL - RE: Adding Signatory to accounts Hi Daniel, It was my understanding you had authority to cut / sign checks on all of her accounts (i.e. Personal, TerraMar, Max Fdtn etc.) and also access to view the non-checking accounts (investments, etc.). I am asking Chelsey to clarify and will get back to you. Everything should be set. Best, From: <Kesner>, Daniel Date: Monday, March 9, 2015 at 5:29 PM To: Cc: ', Juliana Shkreli, "Guzman, Marylyn", "Saveriano, Isabel" Subject: RE: MAXWELL - RE: Adding Signatory to accounts Chelsey- Thank you. Do you need my passport It as well? I thought the intention was for us to assist in recording all activity for Ms. Maxwell and not just her personal account. Please let us know and we will all proceed accordingly. Regards, Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue, New York, NY 10017 E. CONFIDENTIAL UBSTERRAMAR00000883 EFTA00236565 M RKS P NETH Fro Sent: Monday, March 09, 2015 11:28 AM To: Kesner, Daniel Cc: Subject: RE: MAXWELL - RE: Adding Signatory to accounts Hi Daniel, Yes, please return both signed forms via email (PDF) and give me a call at Guzman, Marylyn; Saveriano, Isabel; regarding your social. The Authorized Agent/Dual Signor Addendum Form will give your access to cut and sign checks only from Ms. Maxwell's accounts that have checking. The Power of Attorney Form will allow you to call the branch and request checks from accounts that do not have the checking service on the account. Please note that these checks can only be made for the benefit of the Ms. Maxwell. Regarding dupe statements, once we receive the signed documents, we will be able to add you to receive dupe statements as Ms. Maxwell authorized you to receive on the Power of Attorney Form. Thank you, Chelsey From: Kesner, Daniel Sent: Saturday, Marc To: Waldron, Chelsey Devon Cc: Ramdeen, Vijai; Shkreli, Juliana; Guzman, Marylyn; Saveriano, Isabel Subject: RE: MAXWELL - RE: Adding Signatory to accounts Chelsey- I came to work today to cleanup my Outlook (among other things) and realized that an email that I typed in January never went through to you. I had signed all of the documents, but wanted to know if I could return them to you without including my 554. Normally, I call the advisor/banker and give them the number over the phone to avoid the risk/exposure while in transit or in the hands of a messenger. Is that something we can do? I also wanted to understand what account(s) this pertained to. Is it just her personal accounts or also business? Where will statements be mailed to? We will be reconciling the accounts in my office. CONFIDENTIAL UBSTERRAMAR00000884 EFTA00236566 Thank you and I am sorry for the delay. Regards, Dan DANIEL KESNER , CPA, Partner-in-Charge Family Office & Business Management Marks Paneth, LLP 685 Third Avenue• New York, NY 10017 MARKS PANETH Fro Sent: Thursday, January 08, 2015 9:54 AM To: Kesner Daniel Cc: Subject: RE: MAXWELL - RE: Adding Signatory to accounts Daniel, Attached please find the paperwork completed by Ghislaine. Please find instructions below on where to complete on each form. Please complete and return via email (PDF). Please reach out with any questions. Thank you, Chelsey 1. Authorized Agent/Dual Signor Addendum Form Page 1 (Daniel Only) o First, Last name o Date of Birth o Social Security Number o Address o Home Phone o Sign and Date for "Agent Signature" Page 2 (Ghislaine only) o Nothing for Daniel 2. Power of Attorney Form • Page 1 (Ghislaine only) o Nothing for Daniel • Page 2 (Daniel) CONFIDENTIAL UBSTERFtAMAR00000885 EFTA00236567 o Daniel signs and date next to his name • Please note the client and witness date should be the same because they are signing in the presence of the witness • Page 3 (Daniel Only) o Daniel complete all the information on this page From: Shkreli, Juliana Sent: Wednesday, January 07, 2015 5:20 PM To: Cc: Ramdeen, Vijai; Waldron, Chelsey Devon; Subject: RE: MAXWELL - RE: Adding Signatory to accounts Confirming we received your email. We will review and let you know if we have any questions. Thanks, Juliana From: Sent: Wednesday, January 07, 2015 1:07 PM To: Waldron, Chelsey Devon; Cc: Ramdeen, Vijai; Shkreli, Juliana Subject: Re: MAXWELL - RE: Adding Signatory to accounts Good afternoon, Please see attached the signed POA from Ghislaine. Best, From: Chelsey Waldron Date: Thursday, December 18, 2014 at 4:50 PM To: , Cc: Chelsey Waldron, ', Juliana Shkreli Subject: RE: MAXWELL - RE: Adding Signatory to accounts Hi and Daniel, Attached please find the two forms that need to be completed. Below are instructions on how to complete each form. Please call me with at questions Thank you, Chelsey 1. Authorized Agent/Dual Signor Addendum Form Page 1 (Daniel Only) o First, Last name o Date of Birth O Social Security Number O Address O Home Phone CONFIDENTIAL UBSTERRAMAR00000886 EFTA00236568 o Sign and Date for "Agent Signature" • Page 2 (Ghislaine only) o Sign and date bottom of page where it says 'Account Holder Signature' 2. Power of Attorney Form • Page 1 (Ghislaine only) o Ghislaine initials in the space below her name (this will allow this POA to be applied to any future accounts open under the same name) o Ghislaine initials each authorization she would like to grant to you (there are S authorizations) o Do not sign the bottom of page 1. Page 2 (Ghislaine, Daniel & Witness) o Ghislaine signs and dates next to her name o Complete First and Last name of a Witness and they sign and date next to their name (= you can serve as witness) o Daniel signs and date next to his name • Please note the client and witness date should be the some because they are signing in the presence of the witness • Page 3 (Daniel Only) o Daniel complete all the information on this page From: Sent: Wednesday, December 17, 2014 4:24 PM To: Waldron, Chelsey Devon Cc: Subject: FW: MAXWELL - RE: Adding Signatory to accounts Hi Chelsey, To follow up on our recent conversation, I have cc'd Ms. Maxwell's accountant, Daniel Kesner, so the two of you can liaise for his information for authority on Ms. Maxwell's accounts. Many thanks, From Sent: W To: Cc: Subj Him, - I nesday, December 17, 014 1:11 PM ing signatory to accoun Regarding adding Ms. Maxwell's accountant authority to cut and sign checks from all her accounts there are two forms that need to be completed. Please find details regarding each form below. Please call me a o discuss. 1. Authorized Agent/Dual Signor Addendum Form • This will give Ms. Maxwell's accountant access to cut and sign checks only from accounts that have checking, listed below. Please note, this form does not have a set dollar limit attached. o Pot & Kettle, LLC o Ghislaine Maxwell (Individual Checking) o ELLMAX, LLC o 116 East 65th Street LLC o TerraMar Project, Inc. o MAX FOUNDATION o Max Hotel Services Corp. CONFIDENTIAL UBSTERRAMAR00000887 EFTA00236569 2. Power of Attorney Form • This will allow the accountant to call the branch and request checks from accounts that do not have the checking service on the account. Please note that these checks can only be made for the benefit of the Ms. Maxwell. Thank you, Chelsey Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of this information is prohibited. If you have received this transmission in error, please notify this office immediately. Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of this information is prohibited. If you have received this transmission in error, please notify this office immediately. Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of CONFIDENTIAL UBSTERFtAMAR00000888 EFTA00236570 this information is prohibited. If you have received this transmission in error, please notify this office immediately. Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of this information is prohibited. If you have received this transmission in error, please notify this office immediately. Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of this information is prohibited. If you have received this transmission in error, please notify this office immediately. Any tax advice in this e-mail should be considered in the context of the tax services we are providing to you. Preliminary tax advice should not be relied upon and may be insufficient for penalty protection. CONFIDENTIALITY NOTE: This transmission may contain confidential and/or privileged information. This information is intended for use by the individual or entity named above. If you are not the intended recipient, be aware that any disclosures, copying, distribution or use of the contents of this information is prohibited. If you have received this transmission in error, please notify this office immediately. CONFIDENTIAL UBSTERRAMAR00000889 EFTA00236571