EFTA01374499.pdf

From: Vijay-A Sawant Sent: 8/14/2018 7:49:57 AM To: Bradley GiIlin CC: Stewart Oldfield Subject: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS4499733) under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Southern Financial LLC Checklist 2018.xlsx; LSJE, LLC Checklist 2018.xlsx Importance: High Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. Upon review of all docs from the repositories and attachments, we have completed attached checklists for which please see assessment below — Acct Holder —Southern Financial, LLC (SFL) Sole Member@SFL — Southern Trust Company, Inc (STC) President & Authorized Signatory@SFL; President, Sole Shareholder & Authorized Signatory@STC — Jeffrey E. Epstein Authorized Signatory@SFL & VP, Secretary@STC - Darren Indyke Authorized Signatory@SFL — Jeanne Brennan Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. During review, I found the USVI domiciled Certificate of Existence for the account holder and sole member, however unable to extract the SoS from the USVI website for either of these entities. Additionally the COGS on records, is more than 6 months old. So kindly provide the SoS or COGS (dated within the 6 months) for this account holder & Sole Member. If there are any material changes to this account, we will require updated ID docs for Darren Indyke & Jeanne Brennan, as their drivers licenses have expired. Finally we require Fincen CDD form for this account as well. Acct Holder — LSJE, LLC Sole Member, shareholder & Authorized Signatory —Jeffrey Epstein Authorized Signatory — Darren Indyke Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. During review, I have found the Certificate of Existence for this entity, but couldn't extract SoS from the USVI website and the COGS is missing. Kindly provide either the SoS or COGS dated within last 6 months, so this requirement is satisfied. Finally, we require Fincen CDD form for this account. I will launch KYC case upon receipt of your confirmation of material changes, thanks, Kind Regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069208 CONFIDENTIAL SDNY_GM_00215392 EFTA01374499