EFTA01284036.pdf

KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case : 01345935 Status . 6. Approved One sheet must be established Der relationshi • list all accounts included in the relationshi 1. Relationship Details Rdabonship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483293 Booking Center: New York Relationship Manager: Paul Morris • New Mil Relationship _1O Existing PWM Relationship Relationship to PWM: If existing, please Indicate since when the relations p exists, provide reason for new profile and attach old profile: Client Referral O RM Prospect O Interrnediary/FIM O Other Source (CIB, etc.) How was the Client(s) Introduced, Mow long has the RN personally known the please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein clients is a current dient of the Bank. Wants to open a new account. LSIE eas established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's Myatt residence. No business purpose. Does Deutsche Bank pay a O Yes I E No retrocession or similar compensation to a third party for the introduction of this (MN* SscWe) relationship' List all existing and new accounts Mvolved in this relationship Legal Entity Account Name / Number Opening Date Petaled/actual) Account(s) 1 74 ism, LLC 7./17/2015 2 El LSJE, LLC 1/17/2015 Who is the primary contact person for the RN' (Note: Prefened methcd of contact This person needs to have Darren Indyke (lndkate phone no., fax no., signatory rights and/or email address, etc.): information right for the accounts.): SDNY_GM_00039949 https://dbforcepb.my.salesforCCINEJIDEptiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002773 EF1'A_00150558 EFTA01284036  KYC Print Page 2 of 12 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account Name: LSJE, LLC Acct Plumber (al evadable Account Manager: Pad Morris What S the purpose of the account (e.g. portfolio management, advisory account custody services, long-term Ovestment, PaYment/exPense account)/ Checking account for the daily expenses associated wadi running one of Jeffrey Epsteln's private homes. Indicate from where the assets are expected to antic' El 08 Group: Same Booting Center (indicate account number): Deutsche Bank 0 08 Group: Other Booking Center (indicate 08 location and account details): O Other Institution - (Indicate name 8 location): • Physical Deposits (specify cash, secuntes, cheques, ...): What b the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)/: Roughly 10-20 inflows and outflows per month ranging from $20,000 to $100,000 1250000 'Currency I USD What b the expected volume of assets and currency for the account approx. 90 days after opening/ 1250000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening/ Does/ivil the client have Assets Under Management (Aunt) wfthin D8 under Eur. 3M/ O yes tr. No Please list all parties related to the attolint. For each party: • Check if a source of wealth descnaion is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be led). • If none of the check boxes apply, describe the parties relation to the account in the 'Other' column. • Always describe the relationship between the pantie in the last column. • Please drat down to the ultimate/underlying Beneficial Omar( ). .egal Description ActounWIC Setrior of Jitimate 75ignatcry imiteciAnancial Significant -egal 3rantor/SetlforfoundingOther Entityof Source Holder ChwerTrust / 3eneficiabr Ful POA Intemediarfahareholderkepresentative Donor (please of Wealth Founder of >met /OA (FIN) (>=25%) describe required Foundation Hon-PIC other roles entity and/or Parties (indicate ndicate related ownership relationship to this %) Maven account parties) LSIE, 5 , L.1, 1 0 123 LLC Li • • • • O • • Darren ri O O 2 O O Indyke I-J O E1 O O O O O Jeffrey si O O 3 O 5 Ewes, — r4 [2] O • • • • SDNY_GM_00039950 https://dbforcepb.my.salesforea;INErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002774 EFTA_00I 50559 EFTA01284037  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: LSJE, LLC Acct Number (I 'wadable): Account Manager: Paul Marls What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)' Money Market account To hold funds and earn interest Indicate from where the assets are expected to arrive' Ca DB Group: Same Booking Center (indicate account number): DB • 06 Group: Other Boothia Center (Indicate 06 location and account details): E Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What s the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 inflows and outflows per month ranging from $10,000 to $100,000 1250000 'Currency I USO What 6 the expected volume of assets and currency for the account approx. 90 days after openrig7 1250000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' Does/wil the client have Assets Under Management (Aunt) within DB under Eur. 3M' U yes 5 No Please Nst all parties related to the account For each party: • Check if a source of wealth description Is required for the party. • Check the appropriate bar to describe the relationship of the party to this account (> 1can be selected). • f none of the check boxe apply, describe the partls relation to the account In the 'Other column. • Alvays describe the relationship between the parbe in the last column. • Please drill down to the ultimate/underly ng Beneficial Owner( ). _regal 'Description AccounWIC Seta« of Jltimate rignatory JmnedFlnancial Significant _eget Srantor/Sethoefoundi • • . - Jinteyef Source Holder OwnerTrust / Beneficlabr Ful 70A 1MennediaryShareholderlepreseMattve Donor ,please of Wealth Founder of Dwner POA (FIM) (>=25%) describe required coundation Non-PLC other roles entity and/or Parties (indicate ndicate related ownership -elabonship to this %) Oetween )account oarties) I O 0 LSJE, LLC e O O NI O O O O IN III 2 O Inge O D O • El O O O • O O Jeffrey O O 3 O O Epstein n" O O O O O O O SDNY_GM_00039951 https://dbforeepb.my.salesforcCLINEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002775 EFTA_00 I 50560 EFTA01284038  KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A- Individual Details (for all parties) TheeWars Name: Jeffrey Epstein - 00000483289 Date a Birth: Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Little Saint James Saint Thomas 00802 US Virgin Islands Its/her country of nabonallty Dyes ®No Address of primary residence: fa S years a more" ProfesslonlOccupatket Self Empolyed Tax ID / SSN: Current Employer. Southern Financial LLC PositonMtle/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating Ores ®No entities Is the individual a Politically Exposed Person (PEP)>(l Yes, describe) Oyes ®No To the best of your knowledge, is the individual related to an employee of the DB grour(tf • Family OFnendshlp 5 None Fan* of Frvendship, desente) To the best of your knowledge, is the individual party to a non-banking relatonshes with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or LiYes IN No servito)?(/' Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meetkig(s took place: person: Client Pilate Client Place of Bank Officer Name(s) Bank Office: Other Locabon (specify): Date: Dcrnkile: /Business: Paul Morris • 74 O 1,20/20IS r r' • n U. U n O Wealth Details for this individual are not filled in, because they are the same as for the folkymng person: 3B. Wealth Details (Only for parbes requinng source of wealth description as indkated In Section 2) Nature of the Individuals Business: Pnvate investments Pnmary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: Z Business Owner OSalary/Eamings g Investment • Inhentance/Glfts DOther: Further Describe Source of Wealth /Detad the history d ...yeah for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth'For business owners, how long In business, how many employees, level of profitability' Indicate type et business, countries of major activities, important business partners.) Epstein began hi %uncial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own Menotti management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net %with. In 1996, Epstein changed the name of hIs firm to The FlnanCial Trust Company and based it on the and of St. Thomas in the US Virgin Islands, Mich merged Into Southern Financial LLC. All of his clients we e anonymous except for the very wealthy businessmen Leslie Wexner. His wealth has come horn his days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(6): $50 MN - 100 MM Estimated Net Worth($): 5100 MM - SOO MIA Amount of assets planned to invest with PWM($): Other Known Financial Institutions: SDNY_GM_00039952 https://dbforcepb.my.salesforCQUEllUEALIAL000000D9Ditice... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002776 EFTA_00150561 EFTA01284039  KYC Print Page 5 of 12 Institution: Oeubche Bank Country: USA En Assets Under Mgt 330,000,000.00 Insbtutkm: Country: Est Asset Under Mgt: Institut:km: Country: Est Asset Under Mgt: Please lndkate the family situation of the Individual (marital status, ether famty rnernters, etc.): SDNY_GM_00039953 Imps.//dbforcepb.my.salesforCCINEJIDEschilidiA10000000D9DiSte... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002777 EFTA 00150562 EFTA01284040  KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3k Individual Details (for all parties) Individuars Name: Darren Indyke - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of his/her country of nahonality O yrs Ea No Address ci primary residence: fix 5 years or more? ProfesocinfOccupaben: Lawyer Tax ID / 55N: Current Employer: Southern Financial LLC PosttonfMe/liank: Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY USA 10022 Does the person work as senior executiVe of a DB-recogn&zed regulated entity in the financial ndusbr or an enbty listed on DB-recognised exchange? (Not applicable for operating Oyes EZNo entities Is the individual a Politically Exposed Person (PEP)'(/ Yes describe) OYU ®No To the best of your knowledge, Is the MdivIdual related to an employee of the DB group:P(ry Opanty ORtendship r4 None Family at Friendship, descabe) To the best of your knowledge, is the indrvidual party to a non-banking relabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes FA No services)?ff Yes/describe) If applicable, Indicate which bank officers have met the Indicate where and ‘‘hen the client meeting(s) took place: person: Client Private Client Place of Bank Officer flame(s) Bank Office: Domicile. Other Location (specify): Date: Business: • O i_l El El , S. O El El Wealth Details for this individual are not filled in, because they are the same as for the folly...Inn person: 3B. Wealth Debits (Only for parties requinna source of wealth description as indicated in Section 2) Nature of the IndwidualS Business: Pnmary Country of source of wealth/source of Funds? Omary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Omer O Salary/Earnings O Investment O Inheritance/Gifts DOther: Further Describe Source of Weak', /Debi the history of wealth for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inhertance, how did family accumulate we ItIPFcc business owners, how long In business, how many employees, level of profitability> Indiate type of business, countries of major acttvtes, Important business partners.) Estimated Annual Income($): Estimated amount of investabk assets($): Estimated Net Worth($): Amount of assets planned to Invest with PWM($): ether Known ;uncial Institutions: Institution: Country: Est. Assets Under Mgt: Instrbstice: Country: Est Assets Under Mgt: SDNY_GM_00039954 https://dbforcepb.my.salesforCQUEJIDEALTdiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002778 EF1'A_00150563 EFTA01284041  KYC Print Page 7 of 12 Institution: Country: Est. Assets Under Mgt: Please indicat the family situation of the individual (market status, other Vanity members, etc.): One sheet must be estabiished for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: LSJE, LLC - 00000499733 g Private Investment O O Foundation/Associabon O Trust 5 Company O Estate Type of Entity: Purpose of Entity: PhIlanthroplc/Chareat4e 0 El Partnership Commercial Type of Entity Other Purpose of Entity (specify): timer (specty): Date of Country of USA 10/27/2011 Incorporation incaperabon/registrabork registration: Vokker Status: Volcker Rag: Address (city, street, post 6100 Red Mock Quarter, B3 SL Thomas 00802 USV1 US. TIN/EIN: code): Provide a description d the entity's organizational structure, its ownership structure and its Top Management. For busts/foundations, include information about revirabilttsetlior and beneficiaries,etc.: ME is a simile member LLC. Jeffrey Epstein is the sole owner and member. He owns 100%d the 100 shares issued. Please indicate how ownership of the legal entity is reflected: WE is a single member LLC. Jeffrey Epstein is the sole owner and member. Me ova 100% of the 100 shares issued. 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain horn the direct owner of the entity to the ultimate beneficial owner (ifnot the same persons) LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. To the best of your knowledge, Is the entity party to a non•banting relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes • Nog services)'': Describe Nature of Entity's Primary Business and Investment Activities WE, LLC was established for purposes of malnblning payroll and maintenance related Nature of the business: expenses of Jeffrey Epstein's private residence. No business purpose. Countries where business 6 transacted: USA Number of ernployees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weati/source of Funds> Primary industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Funds from Jeffrey Epstein. WE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Estimated gross receipts p.a.(5): Estimated net profit pa. (5): Estimated investable assets (5): 52 MM • S KM Potential Amount to be invested with PWM (5): 500,000.00 Other Known Financial Institutions: Insbtution: Deutsche Bank Country: USA Est_ Assets Under Mgt 330,000,000.00 SDNY_GM_00039955 https://dbforcepb.my.salesforeCCINEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002779 EFTA_00 I 50564 EFTA01284042  KYC Print Page 8 of 12 Institution: Country: Est. Assets Under Mgt Canby Eft Meal Under Mgt SONY_GM_00039956 tps://dbforcepb.my.salesforcaINEJIDEgriNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002780 EFTA_00150565 EFTA01284043  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUDERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 NY E offshore Risk :1 W1z/trate IR] iligh Risk j Yoonsun Chung NY/Offshore (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License O Passport O National/State ID O Other Checklist of names (indiviluab and/or entities) that were submitted for database searches is B. attached O Yes 74 No C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes O No negative results found Oyes FA No PCR checks complete 2 Yes O No negative results found O Yes J No OFAC checks complete 2 Yes O No negative results found O Yes 0 No BIS searches complete (Leds/Nexis, Facttva, Reuters, Dow Jones, DM) gl Yes O No negative results found • Yes FA No Denial Orders checks complete R1Yes 0 No negative results found 0 Yes 0 No Martindale-Hubbell searched (LawyersAaw Firms only) 0 Yes El No negative results found 0Yes • No Please summarize any negative results from the database searches indicated above: LSJE, LLC: No negative media No court cases LSJE EMPLOYEES, LK: No negative media No court cases D. DARREN !NOVICE: Negative media mentions his name as an owner of a bulking. The negative media is not about him individually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC 4:01082293 & 01121718 AU negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? @Yes O No To the best of your luxmledge, has the customer ever been involved in any past Mtwara against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of its subsidiaries' iv Yes, provide *mt8 below and contact (auany . LI Yes 5 No Mgt. (Gatti/Win:1)ff the Regulatory Contm/ Group am:Ina:Ely Conpiance immediately) Does the client or rated party have any financial or other association /'interactions within G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes El No Does the client or rated party have any financial or other association/ interactions within high O H. Yes No risk countries? I. Corporate Documentation Attached (Legal Entities Only) Ri Yes • No • Not Amicable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No RINot App cable K. If LexisMexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Docurritntakin: L. Special Risk Factors SDNY_GM_00034957 https://dbforcepb.my.salesforcepNtErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002781 EFTA_00150566 EFTA01284044  KYC Print Page 10 of 12 Does the account have Nexus to Special Risk Counties' Oyes 74 No Is the account structure unusually complex> O yes ®No Is there any indication the client set up a non operating company expressly for the purpose of transremng shares to third partks? Yes n No Is there any indication this could be a prohibited business relationship? El yes ®No Are the bearer shares identified subject to acceptable cootrots, • yes no SDNY_GM_00039958 hit ps://dbforcepb.my.salesforcaINEJIDUITAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002782 EFTA_00150567 EFTA01284045  KYC Print Page 11 of 12 M. Can Gominonta No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris *Signature) 2/13/2015 laul Morris Deice Director/Business Head: Kimberly Hart :Signature) 1/13)201S Kimberly Hart Regional Mice Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Gwen Hill Gwen Hill 2/24/2015 Tccosun Chung Yoonsun Chung 2/24/2015 UTAH/ INTERNATIONAL APPROVALS Client Fang Professional (CFP) (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Sub.Market Team Head SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTHMANAGEMENTPOLICY STATEMEND Deutsche Bank Private WealthManagement (HMO worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Prefessionals1(1)(CW's)should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATIONFOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct and up to date. !confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWMGlobal KYC Policy (i) Client Facing Professionals (CFP Is) include: Relationship Managers. Wealth Ackisors, Product Officers, Brokers. Client Managers. etc. SONY_GM_00039959 https://dbforcepb.my.salesforcaaNtErilDatlidiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002783 EF1'A_00150568 EFTA01284046  KYC Print Page 12 of 12 Doutsthe Bank Americas New York n SONY_GM_00039960 https://dbforcepb.my.salesfonCINErilDnEgNt irdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002784 EFTA_00150569 EFTA01284047