EFTA00168833.pdf

KYC Print Page I of 33 DB PWM GLOBAL KYC/NCA: PART A KYC Case A : 01790820 Status : 6. Approved One sheet must be established per relationshI - list all accounts included In the relationshi 1. Relationship Details Relatonshp Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Boding Center New York Relationship Manager Stewart Oiceeki 0 New PWM Relationship 0 Existo PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: "'This KYC Relationship to PWM: is a periodic review for high risk remediationn• Original KYC1748087 n newcheddng account with account title as Zorro Management LLC(House Acct)and adding 2 new signors: 0 alert Referral 0 RM Prospect • Intennedlary/FIM • Other Source (CIB, etc.) How Was the Gongs) Introduced? How long has the RI4 personalty known the Please provide details (e.g. ame of referral source, how many years RM personalty ha known dent, etc.): Jeffrey Epstein client? reached out to Stew Citified on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new Ognas to tits new acct only. Does Deutsche Bank pay a 0 Yes retrocession or similar 19 No compensation to a third party for the introduction of this (if Yes, denote) relationship? Ust all existing and new account involved in this relationship Legal Entity Account Name / Number Openkig Date (interried/actual) Acount(s) 1 9 &no Management LLC - Deposit-42966807 12/20/2016 2 9 &no Management, LLC (House Acct)-42967439 3/13/2017 3 9 LSJE, LLC - Deposit-42959295 2/25/2015 4 9 Md.. Inc - Deposit-42959017 2/6/2015 5 9 Jeepers Inc- Brokerage-N4G024935 W23/2013 6 9 Hyperion /Jr, LLC - Deposit-42953432 10/18/2013 7 2 Plan D LLC- Deposes-42953467 10/18/2013 8 2 JEGE LLC- Deposits-42953475 10/18/2013 9 9 JEGE Inc - Deposits-42953459 10/18/2013 Vito is the primary contact person for the RM? (Note: This Darren Preferred method of contact person needs to have signatory Indusre (Indicate phone no., fax no., rigus and/or Intonation right e-mail address, etc): for the amounts.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000213 11,K92814176 EFIA_00019086 EFTA00168833  Kl"C Print Page 2 of 33 One sheet must be established tor each account to be opened 2. Account Ownership Summary Account Name: Zero Management, LLC . Deposit Acct. Number (ifavailabt9: 42966807 Account Manager: stenart oldneld What S the purpose of the account (e.g. portfolio management, advisory account, custody soviets, longterm nvestment, payment/expense account)? the purpose of this accent is to manage the daffy expenses of the company Indicate from where the assets are expected to arrive? 2 C13 Group: Same Backing Center (Skate account number): 42966807 O DB Group: Other Booking Center (indicate DB location and amount details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What s the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volute per month)?: 0-10 Inflows/outflows between 50k and 100k on a monthly bass What s the expected volume of assets and currency for the account approx. 90 days after 1485559.78 I Currency exiling? I usd What s the expected volume of assets and currency for the account approx. one year after 1 300500 I Currency exiling? I usd Doesival the client have Assets Under Management (AuM) within DEI under Eur. 3M? O Yes 2 NO Please list all parties related to the account For each party: • Check if a source of wealth description IS requred for the party. • Check the appropnate box to describe the relationship of the party to this accent (> I can be selected). • (nate of the check boxes apply, describe the party's relation to the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please doll down to the Sumate/urderlying Benetcal Ormer(s). _egal Description Amount PlC Seulor of _Narrate Signatory _motet Financial Significant _egal Grantor/Settiorfounding)ther Entity-of Source Holder Owner nun / Benefice or Full ?OA Intermaliary SharehoberVepresentative Donor (please of Wealth Pounder of Owner POA (FIM) (5 -25%) describe recruited Foundation Non-PIC other roles entity and/or (indicate State ?ones ownership relationship 'elated to %) between this accont oarties) Zeno I 2 0 Management, o O O • O • • O O O LLC 2 O O Jeffrey E. O O O 2 2 • • O O O Epstein Darren O O O 3 O O Indyke O 2 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000210 U .M9 2 814 177 EFIA_00019087 EFTA00168834  KYC Print Page 3 of 33 2. Account Ownership Summary Account Name: Zero Management, LLC (House Acct) Acct. Number (Nava llabk2 42967439 Account Manager: stew oldfeld V/hat is the purpose of the account (e.g. portfolio management, advisory account, custody servkes, longterm investment, payment/expense accomt)? the purpose of the account s to manage the monthly expenses of the company Indicate from where the assets are expected to arrNe? g 1:13 Group: Same Booking Center (indicate account number): 42967439 O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Desna (specify cash, securities, cheques, ...): What S the expected size and frequency of regular Inflows and outflows for the aaowu (indicate estimated number and volime per month)?: 0-10 Inflows/outflows of no more than 15k on a moMNy bass What S the expected volume of assets and currency for the account approx. 90 days after 19906.52 I Currency I usd Sening? What S the expects volume of assets and currency for the account approx. one year after 1 12000 'Currency usd Writhe? I Does/wi the client have Assets Under Management (AuM) %%Rhin D6 under Eur. 3M? 1O Ms 2 No Please list all parties related to the account For each party: • Check if a source of wealth descriptor, s required for the party. • Check the appropriate box to describe the relationship of the party to this account (5 1 can be selected). • f note of the check boxes apply, describe the paty's relation to the account in the 'Other' column. • Always desote the relationship between the parties In the last slurs. • Please drill down to the Letemate/urderlying Beneficial Owner(s). Legal Description Account PlC Senior of Jibrrete Signatory _meet Financial SignificaM _egal Grantor/SettiorfoindingOther ultitrof Source Holder Owner Trust / lent sabor Full ?OA IntermediandharehoklerRepresentative Donor (please of Wealth Founder of Dwner POA (FIM) (>=25%) describe required Foundation Non-PIC other roles entry and/or (ndicate ndicate Panes ownership eLationship related to %) oetween this account ,arties) Zorro I M 2 Management, O O O O O OO O 0 0 LLC 2 • N Jeffrey E. D O O 0 0 O O O O O Epsusn Darren O El indyke CI O O • !A • E • O O 4 Ei O O O O O O O O O O O 5 O O lir O • O O 0 OO • O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000215 UM92814178 EFIA_00019088 EFTA00168835  KYC Print Page 4 of 33 2. Account Ownership Summary Account Name: LSE, LLC - Deposit Ace. Number (ilavailatee): 42959295 Account Manager: stewed oldfield what is the purpose of the account (e.g. portfoap management, advisory account, custody soviets, king-tom investment, payment/expense accepts)? the purpose of the account s to manage the monthly expenses of the company Indicate from where the assets are expected to arrive? g 06 Group: Same Booking Center (indicate account number): 42959295 O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnition - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What S the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 0-10 Inflows/stilton/ of $0-$30k on a monthly bass What S the expected volume of assets and currency for the account approx. 90 days after 1 121165 I Currency I usd opening? What S the expected volume of assets any currency for the account approx. one year after 1350000 I Currency opening? I usd Does/? the client have Assets Under Management (AuM) within DB under Eur. 3M? Dyes a No Please list all parties related to the account For each party. • Disk if a source of wealth description Is requeed for the patty. • Cneck the appropriate box to describe the relationship of the party to this account (> I can be selects). • (nem of the check boxes apply, describe the patty's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last °Ours. • Please drill down to the Samate/urxierlying Beneficial Owner(s). Legal Description AccounePIC Settlor of Jttlmate iSIgnaton UrnteCFinancel Significant _egal Grantor/SedorfoundineDther zribtypf Source Holder Dwnerfrust / Beneficlalor Full POA InterrnedieyShareheider Zepresentative Donor (please of Wealth Founder of Owner POA (ELM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate 'elated to awnersho relationship this %) between account Denies) 1 O O LSE, set:in O • O • O O O O O 2 O O mile, E. O O O Epsteln ❑ a a O O . O O Darren O O O 3 O O Indyke • 2 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000216 u§t92824179 EFIA_00019089 EFTA00168836  KYC Print Page 5 of 33 2. Account Ownership Summary Account Name: Mort, Inc - Deposit Acct. Hunter (Java/lab/O 42959017 Account Manager: stewart ddfield V/hat is the purpose of the account (e.g. portfobo management, advisory account, custody services, king-tam investment, payment/expense accotmt)? the purpose of the account is to manage the monthly expenses of the company Indicate from where the assets are expected to arrive? g I313 Group: Same Booking Center (nclicate account number): 42959017 O DB Group: Other Burning Canter (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the accotmt (indicate estimated number and volume per month)?: 0-5 infbivs/outflows of less than $10k on monthly basis What s the expected volume of assets and currency for the account approx. 90 days after 14853.12 I Currency I usd opening? What is the expected volume of assets and currency for the account approx. one year after 16500 I Currency I usd opening? Does/ty■ the client have Assets Under Management (AuM) within DB under Eur. 3M? El yes I21No Please list all parties related to the account For each party: • Check if a source of wealth descripton IS requeed for the party. • Check the appropriate box to desote the relationship of the patty to this account (> I can be selected). • (none of the check boxes apply, describe the patty's relation to the a unt in the 'Other column. • Always desote the relationship between the parties in he last °km& • Please drill down to the ternate/unierlying Beneficial Ormer(s). egal‘lescription AccountoIC Settlor of Jttimate iSignaton Lfinteo Financial Significant _egal Grantor/Setdorfoundincpther : zntityof Source Holder OwnerTrust i Beneficialor Full POA InterrnediarySharehoider Zepresentative Donor (please of Wealth Founder of Owner POA (ELM) (>=25%) describe required Foundation ter-PIC other roles entity and/or Patties (indicate indicate related to ownership relationship this %) between account parties) 1 Q O Mon, Inc n I O • O • O O O O O Jeffrey E. O O O 2 O O Epstein a a O O . O D Darren O O O 3 O O Indyke • 2 O O O O DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000217 1,49 2 814180 EFIA_00019090 EFTA00168837  KYC Print Page 6 of 33 2. Account Ownership Summary Account Name: leepers Inc- Brokerage Am. Number (tavatrable) N4G024935 Account Manager: stewed oldfield What as the purpose of the account (e.g. portfoba management, advisory account, custody services, long-term investment, payment/emesse accent)? The purpose of the account a to manage the securitim purchases of the company Indicate from where the assets are expected to arrive? e 06 Group: Same Booking Center (indicate account number): N4G024935 O DEI Group: Otte Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What as the expected size and frequency of regular inflows and outflows for the account (ndleate estimated number and volume per month)?: 0110 inflows/outflow s of less than $5k a month What is the expected volume of assets and currency for the account approx. 90 days after 13169993 I Currency I usd opening? What is the expected volume of assets and currency for the account approx. one year after 13149993 I Currency opening? I usd Does/w1 the client have Assets Under Management (Aunt) within 013 under Eur. 3M? aies Olio Please list all parties related to the account For each party: • Check if a source of wealth description a requeed for the patty. • Check the appropriate box to descrte the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, des Abe the party's relation to the account in the *Other column. • Always desote the relationship between the parties in he last column • Please drill down to the Sormate/underlying Benefoal Owner(s). egal Description AccounWIC Senior of Jitimate ignatay Unite nancel Significant _egal Grantor/Setdorfoundinepther : :Athol Source Holder OwnerTrust f Beneficialbr Full POA IMenmediarySharehoklerlapresentative Donor (please of Wean Founder of Owner POA (NM) (>=25%) describe required Foundation Non-PIC other roles entity and/or P2ctes (indicate vidicate Tinted to ownership relationship this %) between account parties) Jeepes, O O O 1 a a Inc ❑ • O O O O • • Jeffrey E. O O O 2 O O Epstein 74 El O O O O O Damn O O O 3 O O man O e o o o o o Jean Anne 4 O Brennan O O O • a O O • • • O WiebraeM 5 O O Ham/ Bello O O O O a O O • • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000218 UW328y318 I EFTA_00019091 EFTA00168838  KYC Print Page 7 of 33 2. Account Ownership Summary Account Name: Hyperon Air, LLC - Depose Acct. Number (idvafidDle). 42953432 ACCOunt Manager: stewart of What is the purpose of the account (e.g. portfobo management, advisory account, custody services, king-term investment, payment/expense accoint)? The purpose of the account s to manage the monthly expenses of the company Indicate from where the assets are expected to arrtve? g De Group: Same Booking Center (indicate account number): 42953432 O D8 Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the aaoint (indicate estimated number and volume per month)?: 0-3 Inflows/outflows on a bl monthly basis of less than 55k Mat IS the expected volume of assets and currency for the account approx. 90 days after 1 10029179 I Currency opening? I usd What is the expected volume of assets and currency for the account approx. one year after 193500 I Currency I usd opening? Doestivil the client have Assets Under Management (AuM) within 08 under Eur. 3M? OYes2hk. Please list all parties related to the account. For each party: • Check if a source of wealth description s requeed for the party. • Check the appropriate box to desote the relaticnshlp of the party to this account (> 1 can be selected). • (none of the check boxes apply, describe the party's relation to the account in the 'My' column. • Always desote the relationship between the parties In he last column. • Please drill down to the Leamate/underheing Beneficial Ormer(s). 'Description A000undPIC Settlor of Jitimate Signaton Luntec Financial Significant _coal Grantor/Setdorf-oundincpther :r egal zribty-af Source Holder Ownerfrust / Beneficialor Full POA InterrnedianAharetoider Representative Donor (please of Wealth Founder of Onner POA (ELM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or ?woes (indicate indicate 'elated to ownership relationship this %) between account Parties) Hyperion .1 O • 1 2 12 Ae LLC '' O • O O O O O Jeffrey E. O O O 2 O O ❑ 2 a O O O O O Epstein Damn O O O 5 O O rid ken • a O O O O ID 4 HanY O O O O 2 O O O O O Seller O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000219 UM 9 2 82 4 182 EFIA_000 19092 EFTA00168839  KYC Print Page 8 of 33 2. Account Ownership Summary Account Name: Nan D LLC - Deposits Acct. Number at available, 42953467 Account Manager: stewart oilfield What is the purpose of the account (e.g. portfobo management, advisory account, custody services, long-term investment, payment/expense access)? The purpose of the account s to manage the monthly expenses of the company Indicate from ahem the assets are expected to erne? g I313 Group: Same Booking Center (indicate account number): 42953467 O DB Group: Other Booking Center (indicate DB location and account details): O Other InsbtutIon - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): Whet is the expected size and frequency of regular inflows and outflows for the accotmt (Indicate estimated number and volume per month)?: 0-5 Inflows/outflows between $10k and $150k on a monthly basis YMat IS the expected volume of assets and currency for the account approx. 90 days after 1229030.42 I Currency I usd opening? What is the expected volume of assets and currency for the account approx. one year after 1160650.00 I Currency opening? I usd Does/ve the client have Assets Under Management (AuM) mithin DB under Eur. 3M? ❑O Yes 2l No Please list all parties related to the account For each party: • Ole& if a source of wealth description s required for the patty. • Check the appropriate box to describe the relationship of the party to this amount (> 1can be selects). • (none of the check boos apply, describe the party's relation to the amount in the 'Other column. • Always describe the relationship between the parties in he last alum. • Please drill down to the Leamate/urderlying Beneficial Ormer(s). r egal 'Description AccouneoIC Senor of Jltimate iSignaton Luntec Financial Significant _egal Grantor/Setdorf-oundingpaher zribbrof Source Holder DwnerTrust / Beneficialor Full POA InterrnedieryShareticider Zepresentative Donor (please of Wealth Founder of Owner POA (Fim) (>=25%) describe required Foundation to-PIC other roles entity and/or ?woes (indicate indicate related to ownership relationship this %) between account Parties) Plan D. O O • I 12 M LLC O • O O O O O Ei a O O O 2 Ewan IZ 21 O O O O O O Dam O O O O O indyken • a OO O O D Beill 4 O O Beller O ❑ O O O 2 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000220 UW6) 2 814183 EFIA_00019093 EFTA00168840  KYC Print Page 9 of 33 2. Account Ownership Summary Account Name: JEGE LLC - Deposits Acct. Hunter (rierterleer: 42953475 Account Manager: stewart &Meld What as the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/epense accent)? the purpose of the account Is to manage the monthly expenses of the company Indicate from where the assets are expected to arrive? 9 06 Group: Same Booking Center (indicate account number): 42953475 O 08 Group: Otter Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): I/Mat as the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0110 inflowskutflows of re to S100k on a monthly bass What as the expected volume of assets and currency for the account approx. 90 days after 1 176381.00 I Currency I usd opening? V/hat as the expected volume of assets and currency for the account approx. one year after 1 130777 I Currency I usd opening? Does/tv,I the client have Assets Under Management (AuM) within 08 under Eur. 314? ares@No l Please list all parties related to the account For each party: • Check if a source of wealth description s required for the patty. • Meek the appropriate box to describe the relationship of the party to this accent (> 1 can be selected). • (none of the check boxes apply, describe the party's relation to the account In the *Gther column. • Always describe the relationship between the parties In he last column. • Please drill down to the Sormate/underlying Beneficial Owner(s). egal Description AccounVIC Settlor of Jitimate ignatay Unite nanoal Significant _egal Grantor/Settiorfoundiepther : zntihrof Source Holder Owner Trust / Beneficialbr Full POA IMenmediarySharehoklerlapresentatIve Donor (please of Wean Founder of Owner POA (NM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or P2dteS (indicate rwicate related to »rawest* relationship this %) between account oarties) 1 g O JEGE, LLC O OO • • O O O • • Jeffrey E. O O O 2 O O E en 74 O O O O O O Darre O O O 3 O O lndyken O El O O O O O 4 O O Ham/ Beller O O O • 2 O O • • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000221 184 U 711 1/28 EFTA_000 19094 EFTA00168841  KYC Print Page 10 of 33 2. Account Ownership Summary Account Name: lEGE Inc - Deposits Acct. Number (ffavagabfe)t '42953459 Account Manager: stewart oldneld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, king-term investment, payment/opens accotmt)? The purpose of the account s to manage the monthly expenses of the company Indicate from where the assets are expected to arrNe? g 08 Group: Same Booking Center (indicate account number): 42953459 O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of repute/ inflows and outflows for the accotmt (Indicate estimated number and volume per month)?: 0-5 Inflows/outflows of less than S5k on a monthly bass What is the expects volume of assets and currency for the account approx. 90 days after I 963187.55 I Currency I usd opening? What is the expected volume of assets and currency for the account approx. one year after I 950500 I Currency opening? I usd Does/a the client have Assets Under Management (AuM) within DB under Eur. 3M? Dyes ®No Please list all parties related to the account For each party: • Oieck if a source of wealth description s requeed for the party. • Check the appropriate box to describe the relationship of the party to this accowit (> I can be selected). • (none of the check boxes apply, describe the patty's relation to t