[sheet: Cover]
Field | Value
Document Title | Interview Summary Index — All 47 Witnesses (Rounds 1–3)
Matter | Dunmore Energy Holdings Ltd. — DOJ Sanctions & Export Controls Inquiry
Matter No. | 1016-00009
Prepared By | Elena Vasquez, Paralegal Manager, Calderwood & Harkness LLP
Date Compiled | March 20, 2023
Classification | ATTORNEY-CLIENT PRIVILEGED / ATTORNEY WORK PRODUCT
Responsible Partner | Victoria Chambers, White Collar & Investigations, Washington, D.C.
Billing Partner | Howard Quinn, White Collar & Investigations, New York
Lead Associate | Jasmine Thornton, White Collar & Investigations, Washington, D.C.
Client | Dunmore Energy Holdings Ltd.
Client General Counsel | Marcus Wellbourne, Esq.
Adverse Party | United States Department of Justice — National Security Division, Counterintelligence and Export Control Section
DOJ Subpoena Reference | Grand Jury Subpoena GJ No. 22-418 (U.S. District Court for the District of Columbia, Grand Jury 22-2)
Total Witnesses Interviewed | 47
Round 1 Interviews | 22 (May 18, 2022 – June 30, 2022)
Round 2 Interviews | 15 (August 5, 2022 – September 30, 2022)
Round 3 Interviews | 10 (February 15, 2023 – March 15, 2023)
Jurisdictions Covered | 6 (USA, UAE, UK, Germany, Nigeria, Cayman Islands)
Interview Protocol Reference | Witness Interview Protocol & Upjohn Warning Script (April 18, 2022)
Notes | All interviews conducted pursuant to Upjohn corporate representation warning. Individual counsel present where noted. All memoranda maintained under attorney-client privilege and work product protections.
[sheet: Round 1 — Interviews]
Interview No. | Witness Name | Title / Role | Affiliation / Entity | Interview Date | Interview Location | Interviewer(s) — C&H | Personal Counsel Present | Counsel Firm | Upjohn Warning Administered | Key Topics Covered | Cooperation Level | Follow-Up Required | Interview Memo Reference | Notes
1 | Callum Renshaw | CEO, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2022-05-23 | Calderwood & Harkness LLP, Houston, TX (1200 McKinney Street, Suite 2100) | Jasmine Thornton | None | N/A | Yes | CEO's knowledge of DTI Dubai trading desk operations; reporting lines between Houston HQ and Dubai; oversight of Derek Hargrave; awareness of Petronova Trading FZE and Zenith Petroleum DMCC counterparty relationships; general compliance culture at Dunmore; communications with Gerald Fisk regarding OFAC screening | Cooperative | Yes | Interview Memo — Callum Renshaw, May 23, 2022 (by Jasmine Thornton) | Renshaw stated he was not aware of Volkhov connections until notified by Wellbourne on April 11, 2022
2 | Derek Hargrave | President, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-05-25 | Calderwood & Harkness LLP, Dubai (via DIFC conference facilities) | Victoria Chambers | None (not yet retained personal counsel) | N/A | Yes | Role in approving Petronova Trading FZE and Zenith Petroleum DMCC transactions; relationship with Sergei Volkov; knowledge of Volkhov Industrial Group JSC connections; approval of crude oil swap transactions; oversight of Natasha Sorokin's trading activity; decision-making on Caspian Logistik GmbH equipment shipments; awareness of payment routing through Crescent Commercial Bank PJSC | Partially cooperative; evasive on knowledge of Volkhov ties | Yes | Interview Memo — Derek Hargrave, May 25, 2022 (by Victoria Chambers) | Hargrave later placed on administrative leave July 1, 2022; retained James Overstreet of Overstreet & McClain PLLC
3 | Sandra Whitfield | CFO, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2022-05-30 | Calderwood & Harkness LLP, Houston, TX | Nicholas Ferreira | None | N/A | Yes | Financial reporting oversight; awareness of DTI trading desk revenue and transaction volumes; review of financial statements relating to crude oil swap transactions; internal controls over trade finance at DTI; interaction with Ashford & Whitmore LLP (auditors); knowledge of payment flows through Crescent Commercial Bank PJSC; Meridian National Bank credit facility compliance covenants | Cooperative | No | Interview Memo — Sandra Whitfield, May 30, 2022 (by Nicholas Ferreira)
4 | Natasha Sorokin | Senior Trader, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-06-02 | Calderwood & Harkness LLP, London (30 St Mary Axe, 12th Floor) | Jasmine Thornton; Liam Donahue | None (not yet retained personal counsel) | N/A | Yes | Direct dealings with Sergei Volkov (Petronova Trading FZE); execution of 14 crude oil swap transactions; knowledge of Volkhov Industrial Group JSC as ultimate counterparty; use of encrypted messaging for communications with Volkov; awareness of OFAC Directive 2 sectoral sanctions (November 15, 2019); role in structuring payments through intermediary accounts at Crescent Commercial Bank PJSC; interaction with Zenith Petroleum DMCC (Farhan Qureshi); personal communications review | Guarded; invoked need for personal counsel on certain questions | Yes | Interview Memo — Natasha Sorokin, June 2, 2022 (by Jasmine Thornton & Liam Donahue) | Sorokin placed on administrative leave May 16, 2022; later retained Philip Keane of Wexford Keane LLP; separated from Dunmore September 15, 2022
5 | Gerald Fisk | Former Chief Compliance Officer, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. (departed June 10, 2022) | 2022-06-08 | Calderwood & Harkness LLP, Houston, TX | Victoria Chambers | Catherine Blackthorn | Blackthorn & Associates LLP (Houston, TX) | Yes | OFAC screening protocols and deficiencies; failure to identify Petronova Trading FZE – Volkhov connection prior to April 11, 2022; compliance program design and resourcing; escalation procedures for sanctions red flags; Fisk's April 11, 2022 discovery of Volkhov exposure during routine screening refresh; notification to Marcus Wellbourne; supervisory oversight of DTI Dubai desk compliance; training programs (or lack thereof) for Dubai personnel | Cooperative through personal counsel; limited on certain topics per Blackthorn's instruction | Yes | Interview Memo — Gerald Fisk, June 8, 2022 (by Victoria Chambers; Blackthorn counsel present) | Fisk departed Dunmore June 10, 2022
6 | Rajesh Malhotra | Controller, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-06-06 | Calderwood & Harkness LLP, Dubai | Nicholas Ferreira | None | N/A | Yes | Knowledge of payment structuring through Crescent Commercial Bank PJSC intermediary accounts; processing of 127 wire transfers totaling $34.2 million; awareness of beneficial ownership of counterparties; internal accounting treatment of Petronova and Zenith Petroleum transactions; interaction with Khalid Mansour at Crescent Bank; financial controls at DTI | Cooperative but claimed limited awareness of structuring intent | Yes | Interview Memo — Rajesh Malhotra, June 6, 2022 (by Nicholas Ferreira)
7 | Analyst — DTI Trade Operations, Witness A | Trade Operations Analyst | Dunmore Trading International Ltd. (Dubai) | 2022-06-10 | Calderwood & Harkness LLP, Dubai | Amara Osei | None | N/A | Yes | Day-to-day trade execution processes; booking of crude oil swap transactions; interaction with Petronova Trading FZE and Zenith Petroleum DMCC; document handling for trade confirmations; reporting to Natasha Sorokin | Cooperative | No | Interview Memo — Witness A, June 10, 2022 (by Amara Osei) | Junior DTI staff
8 | Analyst — DTI Trade Operations, Witness B | Junior Trader | Dunmore Trading International Ltd. (Dubai) | 2022-06-10 | Calderwood & Harkness LLP, Dubai | Amara Osei | None | N/A | Yes | Trade execution procedures; awareness of counterparty identities; interaction with Sorokin on swap transactions; knowledge of crude oil sourcing | Cooperative | No | Interview Memo — Witness B, June 10, 2022 (by Amara Osei) | Junior DTI staff
9 | DTI Compliance Coordinator, Witness C | Compliance Coordinator | Dunmore Trading International Ltd. (Dubai) | 2022-06-12 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | None | N/A | Yes | OFAC screening procedures at DTI; use of screening software; escalation protocols; interaction with Gerald Fisk in Houston; awareness of Directive 2 sanctions on Volkhov (November 15, 2019); screening of Petronova Trading FZE | Cooperative | No | Interview Memo — Witness C, June 12, 2022 (by Jasmine Thornton)
10 | DTI Finance Manager, Witness D | Finance Manager | Dunmore Trading International Ltd. (Dubai) | 2022-06-13 | Calderwood & Harkness LLP, Dubai | Nicholas Ferreira | None | N/A | Yes | Payment processing at DTI; wire transfer approvals through Crescent Commercial Bank PJSC; knowledge of intermediary account structures; interaction with Rajesh Malhotra | Cooperative | No | Interview Memo — Witness D, June 13, 2022 (by Nicholas Ferreira)
11 | Omar Al-Rashidi | Head of Middle East Operations, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-06-14 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | None | N/A | Yes | DTI Dubai trading desk operations and structure; knowledge of Petronova Trading FZE counterparty relationship; awareness of Sergei Volkov's connections to Arkady Volkhov and Volkhov Industrial Group JSC; observations of Hargrave and Sorokin's conduct; crude oil sourcing and destination analysis; cooperation with internal investigation; willingness to serve as cooperating witness for DOJ | Highly cooperative | Yes | Interview Memo — Omar Al-Rashidi, June 14, 2022 (by Jasmine Thornton) | Identified as cooperating witness; later interviewed by DOJ on July 12, 2023
12 | Tobias Engel | Managing Director, Dunmore Renewables GmbH | Dunmore Renewables GmbH (Hamburg) | 2022-06-16 | Calderwood & Harkness LLP, London | Liam Donahue | None | N/A | Yes | Dunmore Renewables GmbH transaction with Caspian Logistik GmbH; nature and scope of Engel's involvement; knowledge of Caspian Logistik's connections to Russian end users; awareness of Klaus Weidemann's business relationships; export control compliance at Dunmore Renewables | Cooperative; tangential involvement only | No | Interview Memo — Tobias Engel, June 16, 2022 (by Liam Donahue) | Tangentially involved in one suspect transaction
13 | Dunmore Houston IT Manager, Witness E | IT Manager | Dunmore Energy Holdings Ltd. (Houston) | 2022-06-17 | Calderwood & Harkness LLP, Houston, TX | Liam Donahue; Thomas Bradshaw | None | N/A | Yes | IT systems and data sources; email servers; document management systems; data preservation and collection procedures; encrypted messaging applications used by DTI personnel; devices issued to Hargrave and Sorokin | Cooperative | No | Interview Memo — Witness E, June 17, 2022 (by Liam Donahue) | Relevant to e-discovery and data map
14 | Dunmore Houston HR Director, Witness F | HR Director | Dunmore Energy Holdings Ltd. (Houston) | 2022-06-18 | Calderwood & Harkness LLP, Houston, TX | Nicholas Ferreira | None | N/A | Yes | Employment records for Hargrave, Sorokin, Fisk; indemnification provisions in employment agreements; administrative leave procedures; separation terms; personnel files | Cooperative | No | Interview Memo — Witness F, June 18, 2022 (by Nicholas Ferreira)
15 | Marcus Wellbourne | General Counsel, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2022-05-20 | Calderwood & Harkness LLP, Houston, TX | Victoria Chambers; Jasmine Thornton | None | N/A | Yes | Receipt of Gerald Fisk's April 11, 2022 notification regarding Volkhov exposure; decision to retain Calderwood & Harkness LLP on April 14, 2022; prior knowledge of DTI trading counterparties; internal legal review processes; historical compliance program oversight; coordination with Ashford & Whitmore LLP regarding audit concerns | Cooperative | No | Interview Memo — Marcus Wellbourne, May 20, 2022 (by Victoria Chambers & Jasmine Thornton)
16 | Priya Nayar | Deputy General Counsel (at time of interview; later appointed CCO August 1, 2022) | Dunmore Energy Holdings Ltd. | 2022-06-20 | Calderwood & Harkness LLP, Houston, TX | Jasmine Thornton | None | N/A | Yes | Existing compliance infrastructure; gaps in sanctions screening; proposed improvements; knowledge of DTI trading desk operations from Houston perspective; prior interactions with Gerald Fisk regarding compliance resources | Cooperative | No | Interview Memo — Priya Nayar, June 20, 2022 (by Jasmine Thornton) | Subsequently appointed Chief Compliance Officer on August 1, 2022
17 | Yves Leclerc | Director of Logistics & Shipping, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-06-22 | Calderwood & Harkness LLP, London | Amara Osei | None | N/A | Yes | Logistics and shipping arrangements for oilfield equipment exports to Russia via Caspian Logistik GmbH (Hamburg); end-user certifications and their accuracy; knowledge of ECCN 2B350 and 2B999 classifications; EAR §746.5 compliance; relationship with Klaus Weidemann (Caspian Logistik); $12.4 million in equipment export value; shipping documentation and bill of lading review | Cooperative | Yes | Interview Memo — Yves Leclerc, June 22, 2022 (by Amara Osei) | French national; based in Dubai
18 | Gregory Stanhope | Managing Director, Meridian National Bank, N.A. | Meridian National Bank, N.A. (New York) | 2022-06-24 | Calderwood & Harkness LLP, New York (450 Lexington Avenue, 38th Floor) | Liam Donahue | N/A — third-party witness (bank counsel present) | Meridian in-house counsel | Yes (modified for third party) | Meridian revolving credit facility ($750 million senior secured); covenant compliance; Dunmore's reporting obligations; awareness of DTI trading activity; any flags raised by Meridian compliance regarding Dunmore counterparties | Cooperative within scope of bank counsel guidance | No | Interview Memo — Gregory Stanhope, June 24, 2022 (by Liam Donahue) | Third-party interview; limited scope
19 | DTI Shipping Coordinator, Witness G | Shipping Coordinator | Dunmore Trading International Ltd. (Dubai) | 2022-06-25 | Calderwood & Harkness LLP, Dubai | Amara Osei | None | N/A | Yes | Shipping logistics for oilfield equipment; interaction with Yves Leclerc and Caspian Logistik GmbH; end-user documentation handling; freight forwarding arrangements | Cooperative | No | Interview Memo — Witness G, June 25, 2022 (by Amara Osei)
20 | Dunmore upstream Americas VP — Trading, Witness H | Vice President, Trading | Dunmore upstream Americas LLC (Houston) | 2022-06-27 | Calderwood & Harkness LLP, Houston, TX | Jasmine Thornton | None | N/A | Yes | Houston trading desk operations vs. Dubai desk; knowledge of Petronova and Zenith Petroleum; inter-company transaction flow; crude oil market practices | Cooperative | No | Interview Memo — Witness H, June 27, 2022 (by Jasmine Thornton)
21 | DTI Back Office Analyst, Witness I | Back Office Analyst | Dunmore Trading International Ltd. (Dubai) | 2022-06-28 | Calderwood & Harkness LLP, Dubai | Amara Osei | None | N/A | Yes | Trade settlement procedures; reconciliation of swap transaction records; counterparty account details; documentation gaps | Cooperative | No | Interview Memo — Witness I, June 28, 2022 (by Amara Osei)
22 | Dunmore Legal Counsel (Dubai), Witness J | In-House Counsel | Dunmore Trading International Ltd. (Dubai) | 2022-06-29 | Calderwood & Harkness LLP, Dubai | Victoria Chambers | None | N/A | Yes | Legal review of trade contracts; awareness of sanctions compliance obligations; interaction with Gerald Fisk; contract terms with Petronova and Zenith Petroleum; knowledge of counterparty due diligence practices | Cooperative | No | Interview Memo — Witness J, June 29, 2022 (by Victoria Chambers)
[sheet: Round 2 — Interviews]
Interview No. | Witness Name | Title / Role | Affiliation / Entity | Interview Date | Interview Location | Interviewer(s) — C&H | Personal Counsel Present | Counsel Firm | Upjohn Warning Administered | Key Topics Covered | Cooperation Level | Follow-Up Required | Interview Memo Reference | Notes
23 | Derek Hargrave (Re-interview) | President, Dunmore Trading International Ltd. (on administrative leave since July 1, 2022) | Dunmore Trading International Ltd. | 2022-08-10 | Overstreet & McClain PLLC offices, Dallas, TX (2200 Ross Avenue, Suite 3600) | Victoria Chambers; Jasmine Thornton | James Overstreet | Overstreet & McClain PLLC (Dallas, TX) | Yes | Follow-up on Petronova Trading FZE relationship; knowledge of Sergei Volkov's connection to Arkady Volkhov; approval chain for crude oil swap transactions; communication records with Sorokin regarding Volkhov-sourced crude; decision to use Caspian Logistik GmbH for equipment exports; awareness of OFAC Directive 2 (November 15, 2019) restrictions; response to specific documents identified in TAR review | Limited cooperation per counsel's instruction; declined to answer certain questions | Yes | Interview Memo — Derek Hargrave (Re-interview), August 10, 2022 (by Victoria Chambers) | Personal counsel James Overstreet entered appearance July 5, 2022; Hargrave separated from Dunmore October 1, 2022
24 | Natasha Sorokin (Re-interview) | Senior Trader, Dunmore Trading International Ltd. (on administrative leave since May 16, 2022) | Dunmore Trading International Ltd. | 2022-08-18 | Wexford Keane LLP offices, Washington, D.C. (2000 K Street NW, Suite 650) | Jasmine Thornton; Liam Donahue | Philip Keane | Wexford Keane LLP (Washington, D.C.) | Yes | Detailed review of 14 crude oil swap transactions; identification of 9 tainted transactions ($156.3 million notional) with Volkhov-connected entities; encrypted messaging with Sergei Volkov; knowledge of Petronova as intermediary for Volkhov Industrial Group; personal financial interest in transaction bonuses; awareness of OFAC sanctions programs; Zenith Petroleum DMCC transactions with Farhan Qureshi | Significantly limited by counsel; declined to answer most substantive questions; invoked potential Fifth Amendment concerns | No (further interview unlikely) | Interview Memo — Natasha Sorokin (Re-interview), August 18, 2022 (by Jasmine Thornton & Liam Donahue) | Sorokin separated from Dunmore September 15, 2022; Philip Keane of Wexford Keane LLP entered appearance
25 | Omar Al-Rashidi (Re-interview) | Head of Middle East Operations, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-08-22 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | None | N/A | Yes | Expanded debriefing on Hargrave-Sorokin collaboration; additional details on Petronova counterparty meetings attended; identification of specific Volkhov personnel present at meetings in Dubai; corroboration of payment routing through Crescent Commercial Bank PJSC; preparation for potential DOJ proffer session | Highly cooperative | Yes | Interview Memo — Omar Al-Rashidi (Re-interview), August 22, 2022 (by Jasmine Thornton) | Cooperating witness; later interviewed by DOJ July 12, 2023 at C&H Washington, D.C.
26 | Rajesh Malhotra (Re-interview) | Controller, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-08-25 | Calderwood & Harkness LLP, Dubai | Nicholas Ferreira | None | N/A | Yes | Detailed review of 127 wire transfers ($34.2 million) through Crescent Commercial Bank PJSC; intermediary account structures; knowledge of beneficial ownership; internal approvals for wire transfers; interaction with Khalid Mansour at Crescent Bank; accounting entries for Petronova and Zenith Petroleum transactions | Cooperative; provided additional documentation | No | Interview Memo — Rajesh Malhotra (Re-interview), August 25, 2022 (by Nicholas Ferreira)
27 | Yves Leclerc (Re-interview) | Director of Logistics & Shipping, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2022-09-05 | Calderwood & Harkness LLP, London | Amara Osei | None | N/A | Yes | Follow-up on Caspian Logistik GmbH shipments; review of specific end-user certificates now identified as potentially false; interaction with Klaus Weidemann; ECCN 2B350 and 2B999 classified items; shipping routes and documentation for oilfield equipment valued at $12.4 million | Cooperative | No | Interview Memo — Yves Leclerc (Re-interview), September 5, 2022 (by Amara Osei)
28 | Kenneth Ashford | Engagement Partner, Ashford & Whitmore LLP | Ashford & Whitmore LLP (London) | 2022-09-08 | Calderwood & Harkness LLP, London | Liam Donahue | N/A — third-party witness (A&W in-house counsel present) | Ashford & Whitmore in-house counsel | Yes (modified for third party) | Audit procedures applied to DTI trading desk; observations regarding internal controls over trade finance; awareness of Petronova or Zenith Petroleum as significant counterparties; any audit findings or management letter comments related to DTI | Cooperative within scope | No | Interview Memo — Kenneth Ashford, September 8, 2022 (by Liam Donahue) | Third-party interview; outside auditor of DEH
29 | Khalid Mansour | Relationship Manager, Crescent Commercial Bank PJSC | Crescent Commercial Bank PJSC (Dubai) | 2022-09-12 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton; Amara Osei | N/A — third-party witness (Crescent Bank legal present) | Crescent Bank legal department | Yes (modified for third party) | DTI account structures at Crescent Bank; intermediary account routing; KYC/AML procedures applied to Petronova and Zenith Petroleum; awareness of beneficial ownership; wire transfer documentation; Crescent Bank's own compliance reviews | Limited; bank counsel restricted scope significantly | No | Interview Memo — Khalid Mansour, September 12, 2022 (by Jasmine Thornton & Amara Osei) | Third-party interview; trade finance bank
30 | Gerald Fisk (Re-interview) | Former Chief Compliance Officer (departed June 10, 2022) | Formerly Dunmore Energy Holdings Ltd. | 2022-09-15 | Blackthorn & Associates LLP offices, Houston, TX (700 Louisiana Street, Suite 4300) | Victoria Chambers | Catherine Blackthorn | Blackthorn & Associates LLP (Houston, TX) | Yes | Follow-up on compliance program deficiencies; specific red flags that were or should have been identified; OFAC screening software capabilities and limitations; escalation failures; Fisk's communications with Hargrave and Sorokin regarding counterparty concerns; Fisk's April 11, 2022 screening refresh and Volkhov identification | Cooperative through counsel; Catherine Blackthorn guided responses | No | Interview Memo — Gerald Fisk (Re-interview), September 15, 2022 (by Victoria Chambers; Blackthorn counsel present) | Fisk departed Dunmore June 10, 2022
31 | DEWA Country Manager, Witness K | Country Manager, Nigeria | Dunmore Exploration West Africa Ltd. (Lagos) | 2022-09-18 | Telephone interview (Lagos to London) | Amara Osei | None | N/A | Yes | DEWA operations; any transactions involving Petronova, Volkhov, or related entities in West Africa; crude oil trading in Nigeria; awareness of DTI Dubai operations | Cooperative; no material involvement identified | No | Interview Memo — Witness K, September 18, 2022 (by Amara Osei) | Peripheral witness; no significant nexus to suspect transactions
32 | DTI Senior Trader (non-Sorokin), Witness L | Senior Trader | Dunmore Trading International Ltd. (Dubai) | 2022-09-20 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | None | N/A | Yes | Trading desk culture; awareness of Sorokin's Petronova transactions; segregation of trading books; observations of Hargrave's management style; compliance training received | Cooperative | No | Interview Memo — Witness L, September 20, 2022 (by Jasmine Thornton)
33 | Dunmore Houston Treasury Director, Witness M | Treasury Director | Dunmore Energy Holdings Ltd. (Houston) | 2022-09-22 | Calderwood & Harkness LLP, Houston, TX | Nicholas Ferreira | None | N/A | Yes | Cash management and treasury operations; intercompany funding flows between Houston and Dubai; awareness of Crescent Bank payment routing; Meridian National Bank facility compliance | Cooperative | No | Interview Memo — Witness M, September 22, 2022 (by Nicholas Ferreira)
34 | DTI Administrative Assistant, Witness N | Executive Assistant to Derek Hargrave | Dunmore Trading International Ltd. (Dubai) | 2022-09-25 | Calderwood & Harkness LLP, Dubai | Amara Osei | None | N/A | Yes | Scheduling of meetings between Hargrave and external counterparties including Sergei Volkov; travel records; document handling; communications observed | Cooperative | No | Interview Memo — Witness N, September 25, 2022 (by Amara Osei)
35 | Dunmore Houston Internal Audit Manager, Witness O | Internal Audit Manager | Dunmore Energy Holdings Ltd. (Houston) | 2022-09-27 | Calderwood & Harkness LLP, Houston, TX | Nicholas Ferreira | None | N/A | Yes | Internal audit coverage of DTI; audit findings related to counterparty due diligence; any prior audit flags regarding Petronova or Zenith Petroleum; interaction with Gerald Fisk's compliance function | Cooperative | No | Interview Memo — Witness O, September 27, 2022 (by Nicholas Ferreira)
36 | Dunmore Renewables Finance Manager, Witness P | Finance Manager | Dunmore Renewables GmbH (Hamburg) | 2022-09-28 | Calderwood & Harkness LLP, London | Liam Donahue | None | N/A | Yes | Financial aspects of Dunmore Renewables GmbH transaction with Caspian Logistik GmbH; payment processing; knowledge of Klaus Weidemann; awareness of export control requirements | Cooperative | No | Interview Memo — Witness P, September 28, 2022 (by Liam Donahue)
37 | DTI Risk Manager, Witness Q | Risk Manager | Dunmore Trading International Ltd. (Dubai) | 2022-09-30 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | None | N/A | Yes | Risk management framework at DTI; counterparty credit risk assessments; any risk flags raised regarding Petronova or Zenith Petroleum; interaction with compliance function | Cooperative | No | Interview Memo — Witness Q, September 30, 2022 (by Jasmine Thornton)
[sheet: Round 3 — Interviews]
Interview No. | Witness Name | Title / Role | Affiliation / Entity | Interview Date | Interview Location | Interviewer(s) — C&H | Personal Counsel Present | Counsel Firm | Upjohn Warning Administered | Key Topics Covered | Cooperation Level | Follow-Up Required | Interview Memo Reference | Notes
38 | Omar Al-Rashidi (Third Interview) | Head of Middle East Operations, Dunmore Trading International Ltd. | Dunmore Trading International Ltd. (Dubai) | 2023-02-15 | Calderwood & Harkness LLP, Washington, D.C. (1750 Pennsylvania Avenue NW, Suite 800) | Victoria Chambers; Jasmine Thornton | None | N/A | Yes | Preparation for DOJ proffer; detailed chronological walk-through of all 14 crude oil swap transactions; identification of specific Volkhov-connected intermediaries in 9 tainted transactions ($156.3 million notional); corroboration of Ridgeline Advisory Group forensic findings; Crescent Commercial Bank payment flow details; anticipated DOJ questions | Highly cooperative | Yes — DOJ interview scheduled | Interview Memo — Omar Al-Rashidi (Third Interview), February 15, 2023 (by Victoria Chambers & Jasmine Thornton) | Cooperating witness; DOJ follow-up interview conducted July 12, 2023 with AUSA Calloway and Trial Attorney Kovacs present
39 | Callum Renshaw (Re-interview) | CEO, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2023-02-20 | Calderwood & Harkness LLP, Houston, TX | Jasmine Thornton | None | N/A | Yes | Follow-up on corporate governance and oversight; Board reporting on DTI trading desk; remediation steps taken since August 2022; appointment of Priya Nayar as CCO; implementation of enhanced compliance measures; Renshaw's communications with Greystone Capital regarding the investigation | Cooperative | No | Interview Memo — Callum Renshaw (Re-interview), February 20, 2023 (by Jasmine Thornton)
40 | Priya Nayar (Re-interview) | Chief Compliance Officer (appointed August 1, 2022) | Dunmore Energy Holdings Ltd. | 2023-02-22 | Calderwood & Harkness LLP, Houston, TX | Jasmine Thornton; Conrad Reeves | None | N/A | Yes | Implementation of remediation measures; enhanced OFAC screening program; new counterparty due diligence protocols; export control classification procedures; training program design with Pemberton Investors Solutions LLC; interaction with Dr. Anton Bremer; compliance program resourcing and staffing; preparation for Enhanced Program Board adoption | Cooperative | No | Interview Memo — Priya Nayar (Re-interview), February 22, 2023 (by Jasmine Thornton & Conrad Reeves)
41 | Former DTI Operations Analyst, Witness R | Former Operations Analyst (departed DTI November 2021) | Formerly Dunmore Trading International Ltd. | 2023-02-28 | Calderwood & Harkness LLP, London | Amara Osei | None | N/A | Yes | Newly identified witness based on document review; knowledge of early Petronova transactions (2020); observations of trading desk practices; awareness of Sergei Volkov visits to DTI offices | Cooperative | No | Interview Memo — Witness R, February 28, 2023 (by Amara Osei) | Newly identified through TAR review documents
42 | Dunmore Houston Deputy GC, Witness S | Deputy General Counsel | Dunmore Energy Holdings Ltd. (Houston) | 2023-03-01 | Calderwood & Harkness LLP, Houston, TX | Victoria Chambers | None | N/A | Yes | Legal oversight of DTI contracts; review of Petronova and Zenith Petroleum master agreements; sanctions representations in trading contracts; interaction with Gerald Fisk on compliance matters | Cooperative | No | Interview Memo — Witness S, March 1, 2023 (by Victoria Chambers)
43 | Former Crescent Bank Compliance Officer, Witness T | Former Compliance Officer | Formerly Crescent Commercial Bank PJSC | 2023-03-05 | Calderwood & Harkness LLP, Dubai | Jasmine Thornton | Personal attorney present | Independent counsel (Dubai) | Yes (modified for third party) | Crescent Bank's AML/KYC processes for DTI accounts; awareness of intermediary account structures; any internal reports regarding suspicious activity related to Petronova or Volkhov-connected entities; reasons for departure from Crescent Bank | Partially cooperative; personal counsel limited scope | No | Interview Memo — Witness T, March 5, 2023 (by Jasmine Thornton) | Newly identified witness; former Crescent Bank employee
44 | Caspian Logistik Former Employee, Witness U | Former Logistics Coordinator | Formerly Caspian Logistik GmbH (Hamburg) | 2023-03-07 | Calderwood & Harkness LLP, London | Liam Donahue; Amara Osei | None | N/A | Yes (modified for third party) | Caspian Logistik operations; knowledge of end-user certificates and their accuracy; relationship between Klaus Weidemann and Russian end users; specific shipments of ECCN 2B350/2B999 classified oilfield equipment; shipping routes | Cooperative | No | Interview Memo — Witness U, March 7, 2023 (by Liam Donahue & Amara Osei) | Newly identified witness; voluntary participation
45 | Sandra Whitfield (Re-interview) | CFO, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2023-03-08 | Calderwood & Harkness LLP, Houston, TX | Nicholas Ferreira | None | N/A | Yes | Follow-up on financial impact of investigation; voluntary disgorgement calculation methodology; Ridgeline Advisory Group findings regarding net margin on tainted transactions (5.6% net margin, $156.3M × 5.6% = $8.75M disgorgement); D&O insurance claim status with Garrison Mutual ($7.2 million recovery after $2.5M retention); total matter cost tracking; interaction with Ashford & Whitmore LLP regarding financial statement disclosures | Cooperative | No | Interview Memo — Sandra Whitfield (Re-interview), March 8, 2023 (by Nicholas Ferreira)
46 | DTI Former Administrative Staff, Witness V | Former Office Manager | Formerly Dunmore Trading International Ltd. (Dubai) | 2023-03-12 | Telephone interview (Dubai) | Amara Osei | None | N/A | Yes (modified for third party) | Office records and filing systems; visitor logs showing Sergei Volkov meetings; document retention practices at DTI Dubai office; handling of physical trade documents | Cooperative | No | Interview Memo — Witness V, March 12, 2023 (by Amara Osei) | Newly identified witness; departed DTI in 2022
47 | Marcus Wellbourne (Re-interview) | General Counsel, Dunmore Energy Holdings Ltd. | Dunmore Energy Holdings Ltd. | 2023-03-15 | Calderwood & Harkness LLP, Houston, TX | Victoria Chambers | None | N/A | Yes | Final follow-up on investigation findings; Wellbourne's assessment of compliance failures; coordination with Board and Greystone Capital Partners (Richard Fairbanks); preparation for DOJ submission of internal investigation report (176 pages, submitted May 15, 2023); OFAC voluntary self-disclosure strategy; remediation timeline | Cooperative | No | Interview Memo — Marcus Wellbourne (Re-interview), March 15, 2023 (by Victoria Chambers) | Final Round 3 interview
[sheet: Summary Statistics]
Category | Value
Total Witnesses Interviewed | 47
Round 1 Witnesses | 22
Round 2 Witnesses | 15
Round 3 Witnesses | 10
Round 1 Date Range | May 18, 2022 – June 30, 2022
Round 2 Date Range | August 5, 2022 – September 30, 2022
Round 3 Date Range | February 15, 2023 – March 15, 2023
--- | --- LOCATION BREAKDOWN ---
Interviews Conducted in Houston, TX | 17
Interviews Conducted in Dubai, UAE | 16
Interviews Conducted in London, UK | 8
Interviews Conducted in Washington, D.C. | 3
Interviews Conducted in Dallas, TX | 1
Interviews Conducted by Telephone | 2
--- | --- ENTITY BREAKDOWN ---
Dunmore Trading International Ltd. (DTI) Witnesses | 21
Dunmore Energy Holdings Ltd. (DEH) Witnesses | 15
Dunmore Renewables GmbH Witnesses | 2
Dunmore Exploration West Africa Ltd. (DEWA) Witnesses | 1
Third-Party Witnesses (Banks, Auditors, Former Employees of Counterparties) | 8
--- | --- COUNSEL PRESENCE ---
Interviews with Personal Counsel Present | 6
Personal Counsel: Catherine Blackthorn (Blackthorn & Associates LLP) — for Gerald Fisk | 2
Personal Counsel: Philip Keane (Wexford Keane LLP) — for Natasha Sorokin | 1
Personal Counsel: James Overstreet (Overstreet & McClain PLLC) — for Derek Hargrave | 1
Personal Counsel: Third-party bank/entity counsel | 2
Interviews without Personal Counsel | 41
--- | --- INTERVIEWER BREAKDOWN ---
Victoria Chambers (Responsible Partner) | Lead or co-lead on 12 interviews
Jasmine Thornton (Lead Associate) | Lead or co-lead on 18 interviews
Liam Donahue (Working Associate) | Lead or co-lead on 8 interviews
Amara Osei (Associate, London) | Lead or co-lead on 12 interviews
Nicholas Ferreira (Associate, Houston) | Lead or co-lead on 9 interviews
Conrad Reeves (Senior Counsel) | Co-lead on 1 interview
Thomas Bradshaw (Senior Paralegal) | Present at 1 interview (IT-related)
--- | --- KEY WITNESSES ---
Key Witnesses with Multiple Interviews | Derek Hargrave (2); Natasha Sorokin (2); Omar Al-Rashidi (3); Gerald Fisk (2); Callum Renshaw (2); Sandra Whitfield (2); Priya Nayar (2); Rajesh Malhotra (2); Yves Leclerc (2); Marcus Wellbourne (2)
Cooperating Witness | Omar Al-Rashidi — cooperating witness; interviewed by DOJ on July 12, 2023
Witnesses Separated from Dunmore During Investigation | Derek Hargrave (separated October 1, 2022); Natasha Sorokin (separated September 15, 2022); Gerald Fisk (departed June 10, 2022)
Witnesses Placed on Administrative Leave | Natasha Sorokin (May 16, 2022); Derek Hargrave (July 1, 2022)
Upjohn Warnings Administered | 47 of 47 (100%) — modified version used for third-party/non-employee witnesses
--- | --- FOLLOW-UP & DOJ COORDINATION ---
Witnesses Flagged for Follow-Up After Round 1 | 8
Witnesses Re-Interviewed in Round 2 or 3 | 10
Newly Identified Witnesses in Round 3 | 4
DOJ Follow-Up Interview Conducted | Omar Al-Rashidi — July 12, 2023 at Calderwood & Harkness LLP, Washington, D.C.; AUSA Meredith Calloway and Trial Attorney Samuel Kovacs present
[sheet: Jurisdictions & Data Sources]
Jurisdiction | Interviews Conducted | Key Entities in Jurisdiction | Data Sources Identified via Interviews | Notes
United States — Houston, TX | 17 | Dunmore Energy Holdings Ltd. (Operational HQ, 1200 McKinney Street, Suite 3400); Dunmore upstream Americas LLC; Calderwood & Harkness LLP Houston office (1200 McKinney Street, Suite 2100) | Houston email servers; shared drives; ERP system; HR and personnel files; compliance department records; treasury and accounting systems | Primary interview location for DEH Houston-based personnel
United Arab Emirates — Dubai | 16 | Dunmore Trading International Ltd. (Level 14, Gate Building 3, DIFC); Crescent Commercial Bank PJSC; Petronova Trading FZE; Zenith Petroleum DMCC | DTI trading desk systems; trade confirmation databases; Crescent Bank wire transfer records; DTI compliance screening logs; physical trade documents; visitor logs | Critical jurisdiction for suspect trading activity
United Kingdom — London | 8 | Calderwood & Harkness LLP London office (30 St Mary Axe, 12th Floor); Ashford & Whitmore LLP (1 Finsbury Square); Thornbury Asset Management Ltd. | London-based email accounts; audit workpapers (Ashford & Whitmore); Dunmore Renewables communications routed through London | Interviews of European-based witnesses and third parties
United States — Washington, D.C. | 3 | Calderwood & Harkness LLP Washington office (1750 Pennsylvania Avenue NW, Suite 800); Wexford Keane LLP (2000 K Street NW, Suite 650); DOJ National Security Division | N/A — interview location; DOJ coordination site | Includes DOJ proffer preparation interviews
United States — Dallas, TX | 1 | Overstreet & McClain PLLC (2200 Ross Avenue, Suite 3600) | N/A — counsel's office for Hargrave re-interview | Derek Hargrave re-interview at personal counsel's office
Nigeria — Lagos (by telephone) | 1 | Dunmore Exploration West Africa Ltd. (14B Kofo Abayomi Street, Victoria Island, Lagos) | DEWA local systems; email | Telephone interview; no significant nexus to suspect transactions identified
Germany — Hamburg (documents only, no in-person interviews) | 0 | Dunmore Renewables GmbH (Überseeallee 12, 20457 Hamburg); Caspian Logistik GmbH (Mönckebergstraße 22, 20095 Hamburg) | Dunmore Renewables accounting records; Caspian Logistik shipping documents (obtained through third-party interview in London) | Witness interviews for Hamburg-connected individuals (Tobias Engel, Witness P) conducted in London
Cayman Islands (documents only, no in-person interviews) | 0 | Dunmore Energy Holdings Ltd. (Harbour Place, 4th Floor, 103 South Church Street, George Town, Grand Cayman KY1-1002) | Corporate records; board minutes; articles of association | Document collection jurisdiction; no interviews conducted on-island