EFTA01298687.pdf

KYC Print Page 1 of 19 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : Status : 6. Approved One sheet must be established per relationshi - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELA11ONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Ok'field EJ New PWM Relationship kJ Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ... 2018 Periodic Review - HR Overdue KYC ••• Last Approved KYC # - Jeepers Inc, Jege Inc & Jege LLC - 01790820 S:?.1 Client Referral LI RM Prospect 0 Intermediary/FIM El Other Source (cm, etc.) How Was the Client(s) Introduced? How long has the RM personally Please provide details (e.g. name of referral source, how many years RM personalty has known client, known the client? etc.): Jeffrey Epstein reached out to Stew Oldfteld on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay LI Yes No a retrocession or similar 1.2 compensation to a third party for the introduction (/f Yes, desalbel of this relationship? List all existing and new accounts Involved In this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 R) Jege Inc - - DOA-4M 10/18/2013 2 a f Jege LLC - DDA- 10/18/2013 3 r. Jeepers Inc - - DBSI- 9/23/2013 Who is the primary contact person for the contacted of RM? (Note: This person Darren K. Indyke contactfindicate phone needs to have signatory no., fax no., e-mail rights and/or information address, etc.): right for the accounts.): SDNY_GM_00063614 N30000000D9Di&... 10/16/2018 littps://dbforcepb.my.salesforce.c‘ CONFIDENTIAL . . ( ) er ilENT, - PURSUANT TO FED. R. 71‘arl t At DB-SDNY-0026439 EFTA 00174122 EFTA01298687  K YC Print Page 2 of 19 One sheet must be established for each account to be opened 2. Account Ownership Summary Acct. Number (if Account Name: Jege Inc - IIIM9 - DDA Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to pay for costs associated to Jeffrey Epstein's airplanes. Indicate from where the assets are expected to arrive? g DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): El Other Institution — (Indicate name & location): [Ti Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: — 0.3/months; $0 - $1K What is the expected volume of assets and currency for the 26,795.55 I Currency I USD account approx. 90 days after opening? What is the expected volume of assets and currency for the 26,795.55 I Currency account approx. one year after opening? I USD Does/will the client have Assets Under Management (AuM) Dyes NJ No within DB under Eur. 3M? Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none 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 dnll down to the ultimate/underlying Beneficial Owner(s . _egal Description Account PIC Settler of *Aimee signatoryLintea Financial Significant Enotyof Source Holder Owner Trust / Beneficial or Full POA ,ntermediary Shareholder of Wealth Founder of Owner POA (FIM) (>=25%) Other (please required Foundation Yon-PIC describe other entity vies and/or ;Indicate ndicate Parties related to ownership relationship "his account %) oetween parties) 1 tv., LA JEGE, Inc I Eli 11 O O El O 2 7. [7.1 Harry Beller O Li [1 O g O O 3 r'l rA Jeffrey E. Epstein D n D g g Li D 100 4 O Ej Darren K. InclykeD OD O g O O SDNY_GM_00063615 littps://dbforcepb.my.salesforce.ccinirgWyleflopAOLN130000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItorP. DB-SDNY-0026440 EFTA 00174123 EFTA01298688  KYC Print Page 3 of 19 2. Account Ownership Summary latcct. Number (if Account Name: lege LLC - 42953475 - DOA 42953475 atlable): Account Manager: Stewart °ideal wnat is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/al:tense account)? The purpose of this account Is daily expense including taxes and payments for Jeffrey Epstein's airplanes. Indicate from where the assets are expected to anive? 41.1 DB Group: Same Booking Center (indicate account number): Existing L: El DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): ,..-I L.J Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: ••••• 1-4/month; $100 • $47K What is the expected volume of assets and currency for the 284,777.18 I Currency account approx. 90 days after opening? I L6D What is the expected volume of assets and currency for the 284,777.18 'Currency account approx. one year after opening? I USD Does/will the client have Assets Under Management (AuM) N Yes 'R No within DB under Eur. 3M? Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Oviner(s . _egal Description Account ?IC Settlor of Jlbmate Signatorysimpted Financial Significant nbtyof Source Holder OwnerTrust / 3eneficial x Full ?OA ntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>2•25%) Other (please required Foundation Non-PIC describe other entity -des and/or ;indicate ndicate Parties related to iwnership -elationship ,riis account Yo) Setween parties) 1 LA A 3EGE, LLC Li O E a O 2 --"' FA cji Jeffrey E. Epstein i • nj ri Pell D D Sole Member; 3 1 1 (1 Hain, Bener [1i O ri Ll Wi Cl [1 4 LI O Darren K. lndyke El O [1:1 Ea El O SDNY_GM_00063616 littps://dbforcepb.my.salesforce.ccineMbilsgvI D EN0pAOL130000000D0Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'otrP. DB-SDNY-0026441 EFTA_00 I 74 I 24 EFTA01298689  KYC Print Page 4 of 19 2. Account Ownership Summary Acct. Number (if Account Name: Jeepers Inc - 1111111111 - DBSI N4G024935 available), Account Manager: Stewart Oldfield what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold and make investments in marketable securities. Indicate from where the assets are expected to anive? g DB Group: Same Booking Center (indicate account number): Existing O 06 Group: Other Booking Center (indicate DB location and account details): D Other Institution - (Indicate name & location): ,....: l...J Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: •••••4-10/month; $2K - $40K What Is the expected volume of assets and currency for the 13,269,297.20 'Currency I USD account approx. 90 days after opening? What is the expected volume of assets and currency for the 3,269,297.20 'Currency I USD account approx. one year after opening? Does/will the client have Assets Under Management (AuM) O Yes 'd No within DB under Eur. 3M? Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Oviner(s . _egal Description Account ?IC Settlor of Jlbmate Signatorysimpted Financial Significant :inbtyof Source Holder OwnerTrust / 3eneficial x Full ?OA ntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>••25%) Other (please required Foundation Non-PIC describe other entity vies and/or ;indicate ndicate Parties related to ownership -elationship this account )/0) Setween parties) I w EA Jeepers, Inc RI • Lj O O O O Director & 2 r O Darren K. Indyke O • O O g O O Authorized Si nato • 3 L...J O Harry Beller Li • O O g • m Jean Anne 4 O Eli Brennan O O O O g ❑ O Wiebracht 5 Jeffrey E. Epstein Ej LI O g g O O 100 SDNY_GM_00063617 littps://dbforcepb.my.salesforce.etAkhgvIDENopAt130000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. neels.a(b) I DB-SDNY-0026442 EFTA 00174125 EFTA01298690  KYC Print Page 5 of 19 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000, Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Has Client resided outside Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of Address of primary U.S. nationality for 5 years or E . 1Yes -- Wi No residence: mere? Profession/Occupation: Self Empolyed Tax ID / SSN: I Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas Virgin Islands, V.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In ri the financial industry? or an entity listed on a DB-recognised exchange? (Not Li Yes W No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Ye4 describe) M Yes 0 No Connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB El Family L. Friendship ELI None group?(ifFamily Cr Fnenc/styp, descfibe) N/A To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes W No source, supplier of goods or services)?(f Yesdescnbe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Ghent Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: Stewart Oilfield k II 0 6/28/2017 0 0 0 rn i...j 0 OWealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of High Risk Anancial Institutions Funds? Summarize Source of Wealth: WI Business Owner E3 SalSalary/EarningsW. Investment E3 Inheritance/Gifts E Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setrior accumulate wealth? For inheritance, how did family accumulate wealth?For busirms owners, how long in business, how many employees, level of SDNY_GM_00063618 N30000000D9Di&... 10/16/2018 littps://dbforcepb.my.salesforce.c‘417VVIDENTIAt CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026443 EFTA_00174I 26 EFTA01298691  KYC Print Page 6 of 19 profitabikty? Indicate type of business, countries of major activities, Important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed hes own firm, J. Epstein & Co. He lives in the US Wgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net- worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid 555 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revalue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets Estimated Annual Income 10,000,000.00 Estimated amount of investable assets($): $50 MM- 100 MM 5): Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Financial Institutions: Country: Est. /meets Under Mgt: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): N/A SDNY_GM_00063619 littps://dbforeepb.my.salesforce.ctfMatWIDNoTtAts130000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. ReP.111(b) ' DB-SDNY-0026444 EFTA 00174127 EFTA01298692  KYC Print Page 7 of 19 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Belle - 00000S Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of his/her country of Address of primary 12 Golar Drive Monsey NY 10952 United States nationality for 5 years or O Yes 1 •.;.e..No - residence: mere? Profession/Occupation: Accountant Tax ID / SSN: Sfillfl Current Employer: HBRK Associates, Inc Position/Tide/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not Oyes R : No applicable for operabng entitles Is the individual a Politically Exposed Person (PEP)?(if Yes, descnbe) N/A •Yes R No To the best of your knowledge, Is the indMdual related Wan employee of the DB O Family O Friendship ,5 None group?(ifFamily Cr Fnends/vp, desalbe) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes Et No source, supplier of goods or senkes)?(if Yesclescnbe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: O El O ii O El O . --: ....I wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/EarningsC!investment [!Inheritance/Gifts O Other: SDNY_GM_00063620 Imps://dbforeepb.my.salesforce.eCr' fghtNpleEttpA0L130000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. INICP. e(b) I DB-SDNY-0026445 EFTA_00174I 28 EFTA01298693  KYC Print Page 8 of 19 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income Estimated amount of investable assets($): (S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Insbtutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est ASSets Under Mgt: Institution: Country: Bt. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00063621 littps://dbforcepb.my.salesforce.cPM leniENTIAOL30000000D9Di8c... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRIatt I DB-SDNY-0026446 EFTA_00174129 EFTA01298694  KYC Print Page 9 of 19 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Indyke - 0000' Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of his/her country of Address of primary 2 Kean Court Livingston NI 07039 United States nationality for 5 years or F.11 Yes l',.i • -- No residence: mere? Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Rnancial LLC Posibon/litle/Rank: Accountant Address of employer: 6100 Red Hook Quarter 83 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not O Yes No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Yes descnbe) N/A • Yes g No To the best of your knowledge, Is the IndMdual related to an employee of the DB O Fumy O Friendship 0 None group?(,fFamei y or Fnendshep, describe) N/A To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes W No source, supplier of goods or services)?(if Yes describe ) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: Stewart Oldfield R • O 12/1212016 O O O O • O : --, L...1Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gifts O other: SDNY_GM_00063622 N30000000D9Di&... 10/16/2018 littps://dbforeepb.my.salesforce.c‘4171‘OVIDENMAt CONFIDENTIAL - PURSUANT TO FED. R DB-SDNY-0026447 EFTA_00I74I30 EFTA01298695  KYC Print Page 10 of 19 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did sector accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actrvities, important business partners.) Estimated Annual Income Estimated amount of investable assets(f): (S): Estimated Net Worth($): Amount of assets planned to invest with FWM(S): Other Known Financial Insbtubons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (manta) status, other family members, etc.): SDNY_GM_00063623 littps://dbforcepb.my.salesforce.cPer IffectotTIMOL30000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R.CR0eFt DB-SDNY-0026448 EFTA_00174B1 EFTA01298696  KYC Print Page 11 of 19 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jean Anne Brennan Wlebracht - 00000487647 Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: Virgin Islands, U.S. Has client resided Outside *6-110 Bt. Nazareth St. Thomas 00802 Virgin of his/her country of Address of primary Islands, U.S. Wi nationality for 5 years or 'El Yes -- No residence: mere? Profession/Occupation: Finance Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, 83 St, Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not ❑ Yes No applicable for operabng entitles Is the individual a Politically Exposed Person (PEP)?(if Yes *sate) N/A • Yes g No To the best of your knowledge, is the IndM1Idual related to an employee of the 08 ❑ pamiy O Riendship Wil None grout7(,1Famei y or Fnendsivt, despite) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes a source, supplier of goods or services)?(if Yes describe ) N/A If applicable, indicate which bar* officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: O O O a O o ❑ O ---: L...1Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings pinvestment Li Inheritance/Gifts O Other: SDNY_GM_00063624 littps://dbforcepb.my.salesforce.cCrifqhWvIDENopA0L130000000D9Di&... 10/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItotrP ' DB-SDNY-0026449 EFTA _00174132 EFTA01298697  KYC Print Page 12 of 19 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income Estimated amount of investable assets($): (S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Acsetc Under Mgt: Please Indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: JEGE, Inc • 0000C 0 Foundation/Association 0 Trust RI Company Private Investment ED Type of Entity: Purpose of Entity: Philanthropic/Charitable 0 D Estate El Partnership Commercial Type of Entity Other Purpose of EntAy (specify): Other (specify): Date of Country of United States 9/7/2000 incorporation / incorporation/registration: registration: Identified on Customer Profile No Volcker Status: Volcker Flag: 6100 Red Hook, Quarter 83 St, Thomas 00802 Virgin Address (city, street, post U.S. TIN/EIN: Islands, U.S. code): Provide