EFTA01282044.pdf

KYC Print Page 1 of 26 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case A : 01133377 Status : 6. Approved One sheet must be established per relationship • list all accounts included in the relationshi 1. Relationship Details Relatiorship Name: EPSTEIN, JEFFREY RELATIONSHIP. Booking Center: New York ReLatiorship Manager: Paul Moms w ia New MN Relationship O Existing PWM Relationship Relationship to PM: If edsting, please indicate since when the relationship costs, provide reason for new profile and attach old profile: RI alert Referral O RM Prospect O InterrnecharyfFIM O Other San (C18, etc) How Was the alent(s) Inunduced? How long has the Please prowde details (e.g. name of referral source, how many years RM personally has known client, etc): Darren Indyke is RM personally known the the in-house lawyer for Jeffrey Epstein, who Is a current client of the bank. Darren has worked extensively with Paul here at DB client? whde we've opened accounts for Jeffrey Epstein and he was a previous client of Paul's when he was at AIM:man. He met Paul at JPM through Jeffrey Epstein Does Deutsche Bard( pay a O Yes I2 No retrocession or similar compensation to a third party for the introduction of this (If Ye4 desmbe relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name! Number Opening Date (Intended/actual) AccouM(s) I 2 The 2007 Jeffrey E. Epstein Insurance Trust 93 10/16,2013 2 2 FORK Associates, Inc 10/16/2013 3 2 HSRK Associates, Inc -- Money market 10/16/2013 4 W ..A Darren K. Irdyke PLLC 10/16/2013 5 ra Darren K. Irdyke PLLC -- Money Market 10/16/2013 6 7 Darren K. Irdyke PLLC-Attomey Trust Account 10/16/2013 7 2 Darren K. Irdyke PLLC-Attorney Trust Account -- Money Market 10/16/2013 a 2 New York Strategy Group, LLC 10/16/2013 9 FA New York Strategy Group, LLC — Money Market 10/16/2013 Who is the primary contact person for the RM? (Note: This Preferred method of contact person needs to have Darren Indyke (indicate phone no., fax no., signatory rights mite e-mail address, etc.): infcemation tight for the accounts.): SONY_GM_00037298 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000122 7/11/2019 EFTA_00147910 EFTA01282044  KY(' Print Page 2 of 26 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust x3 Acct. limber Ofavai(bie): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Invesbnent, payment/expense account)? Chedcrig account to hold funds for this trust. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): FO Other Institution (Indicate name Lk location): JPMorgan. New York, NY O Physical Deposits (specify cash, seances, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 100030 Currency opening? I I USD What is the expected volume of assets and currency for the account approx. one year after 150030 Currency opening? I I USD Does/will the client have Asses Under Management (AiM) within Ce under Eut. 3M? •Yes ON° Please list all parties related to the account For each party: • Check if a source of wealth desorption is ratted for the patty. • Check the appropriate box to describe the relationsHp of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). _egal Description AccountrIC Seek(' of Jitimate Signatory UmeeciFlrancial Significant Legal GrantoriSettloefoundingOther Intityof Source Holder Owner Trust/ 3enefiaalor Full POA IntermediaryShateholder Representative Donor (please of Wealth Founder ofr)wner PO* (FIM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate rated to ownership donorship this -lb) etween po:ount names) The 2007 Jeffrey E. 1 El El Epstein 0 O El O O O O 0 0 O Insurance Trust 03 2 • g Jeffrey O Ei 2i O O O O LI O O Grantor; Epstein 3 • Da"n O O O O El O O 0 0 0 Trustee:; Indyke 0 Richard 4 O El Kahn • • D M El O El O O O Trustee:; SDNY_GM_00037299 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000123 EFTA_00147911 EFTA01282045  KYC Print Page 3 of 26 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust $3 — Money Market Acct. Number "available): Account Manager: Pad Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money market amount to hold funds for the insurance trust Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and amount details): 2 Other Institution (Indicate name B. location): JPMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected see and frequency of regular riflons and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 Inflows and outflows per month ranging from 51,000 to 510,000 What is the expected volume of assets and currency for the account approx. 90 days after 1200000 Currency opening? I I USD What is the expected volume of assets and currency for the account approx. one year 1250,000 Currency after opening? I I USD Does/will the client have Asses Under Management (AiM) within Ce under Eur. 3M? 0 Yes e No Please list all parties related to the account For each party: • Check If a source of wealth desorption is remind for the patty. • Check the appropriate box to describe the relationship of the party to this accoult (> 1 can be selected). • f mine of the check boxes apply, describe the palls relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimatefunderlying Beneficial Owner(s). _egal Description AccountPIC Setts of -Primate Signatory UmeedFiranaal Significant Legal ISrantor/SettioefoundingOtrier Intityof Source Holder Owner Trust/ Senernalor Full POA IntermediaryShareholdor Representanve Donor (please of Wealth Founder ofYiwner Pak (FIM) (>=25%) Jesonbe required Foundation Yon.PIC other roles entity and/or Parties (indicate nttcate related to ownership relationship Ns %) between ,account ?ernes) The 2037 Jeffrey E. I O WI Epstein i • O • O • O O El O Insurance Trust 03 effrey 2 O g EJpstein • O 0 • O O O O O O grantor; 3 O Ka Darren lndyke • • O • O O O O LI O Trustee:; Richard i: I: ci 4 . El Cahn O El O O O O O Trustee:: SDNY_GM_00037300 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000124 EFTA_00147912 EFTA01282046  KYC Print Page 4 of 26 2. Account Ownership Summary Account Name: HERK Associates, Inc Acct. Number Of avattatcre): Account Manager: Paul Moms What is the purpose of the account (e.g. portfolio management, advisory accant, custody services, long-term investment, payment/expense account)? Checking account to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, 'Jacques, ...): What is the expected sue and frequency of regular salons and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 150000 lOirrency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening? 150000 ICLrrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Doesinill the dieM have Assets Under Management (ALM) within DB under Eur. 3M? • Yes J No Please list all parties related to the account Fat each party: • Check if a source of wealth description is rammed for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> I can be selected). • from of the check boxes apply, describe the palls relation to the account in the 'Other column. • Always describe the relationship between the pates in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal Description AccountPIC Senior of Jitimate SignatorwlmitedFrencial 'Significant Legal Grantor/SettorPounding Other intityof Source Holder Owner Trust / Sena:labor Full 'OA IntermedwyShareholder Reptesentaave Donor (please of Wealth Founder orliviner POA (FIN) ..>=25%) describe required Foundation Non-PIC other roles entity and/or Parries 'indicate ndicate rated to ownership ..dationsNp Bits Yo) _.-- teen account :..a rues) HBRK I a g Associates, 2 O O O O O O O F H Inc Richard O • O 2 O El 2 2 O O O I Kahn 3 O g j aser O OO 2 2 O O L H • SONY_GM_00037301 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB-SONY-0000125 7/11/2019 EFTA_00147913 EFTA01282047  KYC Print Page 5 of 26 2. Account Ownership Summary Account Name: HBRX Associates, Inc -- Money market Acct. Number ("available): Account Manager: Paul Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? MOney market account to hold funds for the company and earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): )PMorgan. new York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular riflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 1 100007 I Currency USO opening? I What is the expected volume of assets and culency for the account approx. one year after 1 150000 I Currency USO opening? I Does/will the client have Assets Under Management (ALM) within DB under Etc 3M? • Yes 0'w Please list all parties related to the account Far each party: • Check if a source of wealth description is rated for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paitys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal Description AcccuntFIC Settor of Jltimate Signatorwimearrencial 'Significant Legal Grantor/SettorPoundng Other Intityof Source Holder Owner Trust / 3eneficelor Full 'OA IntermediaryShareholder Representaave Donor (please of Wealth Founder &Owner POA (Elm) ..>=25%) describe required Foundation Non-PIC other roles entity and/or Parties 'indicate indicate rated to ownership reationap this Ya) between account ?sorties) HBRK I 2 2 Assocetes, 2 O O O O O O O O O Inc 2 O 2 Richard O • O E E O O O O O Kam 3 O 2 HanY Beller O O O E E OO L O O SDNY_GM_00037302 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000126 EFTA_00147914 EFTA01282048  KYC Print Page 6 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC Acct. Number (flyable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Checking account for the daily use of the this law firm Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and ecoount details): 2 Other Institution (Indicate name & location): )PMorgan. New York, NY O Physical Deposits (specify cash, secunties, cheques, ...): What is the expected sue and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 150000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening? I Currency I USD What is the expected volume of assets and arrency for the account approx. one year after opening? I 7" Doesivnil the client have Assets Under Management (AM) within DB under Eur. 3M? ales @No Please list all parties related to the account Far each party: • Check if a source of wealth description is reqtred for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> I can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other" column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Description AccountPIC Sailor of -Primate Signatory UmeeciFirancial Significant legal taantor/Settleti-oundinsiDther Intityof Source Holder Owner Trust / Benet-calor Full POA IntermediaryShareholduRepresentaave Donor (please of Wealth Founder oflOwner PCIA (FIN) (>=25%) descnbe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership 'elatiorishp dins %) zetween account -,aites) I O 2 Darren ids O O O 5 O O O O O Darren K. 2 El 3 Indyke 2 D El O O O O O O O PLC SONY_GM_00037303 CONFIDENTIAL- PURSUANT TO FED. R. I IA ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000127 EFTA_00147915 EFTA01282049  KYC Print Page 7 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC -- Money Market Acct. Number Ofavailable) Account Manager: PS Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/experse account)? Money market excite for the company to hold funds and earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): RI Other Institution (Indicate name & location): )PMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular nflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per monthr anging from $1,000 to $10,000 What is the expected volume of assets and arrency for the account approx. 90 days after 1 100000 I USD opening? I CurrencY What is the expected volume of assets and arrency for the account approx. one year after 125000 I USD opening? I Currency Does/voll the client have Assets Under Management (Att4) within DB under Err. 3M? U Yes @ No Please list all parties related to the account Far each party: • Check if a source of wealth description is ranged for the patty. • Check the appropriate box to describe the relationsNp of the party to this accoin (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the empire in the 'Other" column. • Always describe the relationship between the pates in the last column. • Please drill down o the ulomate/underlying Beneficial Owner(s). .egal Description AccountPIC Setts of Jitimate SignatoriUmeedFirancial Significant Legal t.rantor/SettIcti-ounchrebther Intityof Source Holder Owner Trust/ Senefoalor Full POA IntermediaryShareholder Representahve Donor (please of Wealth Founder ofOwner Pak (F1M) (>.25%) descnbe required Foundation Yon-PIC other roles entity and/or Parties (indicate naccate related to ownership 'elaborate; this %) zetween account -,artes) I O 2 Damen O O O gl O O O O O indyke Darren K. 2 El 3 Indyke 2 D El O O O O O O O PC CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL SONY_GM_00037304 DB-SONY-0000128 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147916 EFTA01282050  KYC Print Page 8 of 26 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC-Attomey Trust Account Acct. Number Of ava,t3LW. Account Manage': Paul Monis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checkng account for dents esoow. Finds are placed here to earn interest Indicate from where the asses are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): El Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (spedfy cash, secuntes, cheques....): What is the expected sue and frequency of regular salons and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 150000 Currency I USD opening? I What is the expected volume of assets and currency for the account approx. one year after 75000 I USD opening? I Currency Does/nil' the dieM have Assets Under Management (ALM) within DB under Err. 3M? El Yes 2 No Please list all parties related to the account Far each party: • Check if a source of wealth description is requred for the party. • Check the appropriate box to describe the relabonship of the party to this account (> 1 can be selected). • f rone of the check boxes apply, describe the parlys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Description AccountPIC Settles of Jitimate Signatory UmAeciFirendal Significant Legal trantor/Seniciefoundingratrie Entityof Source Holder Owner Trust / Benet-calor Full POA IntermediaryShareholdeRepresentahve Donor (please of Wealth Founder oflOwner PO* (FIN) (>=25%) Jescnbe required Foundation Yon-PIC >trier roles entity and/or Parties (indicate ndicate related to ownership relationship the %) betneen account 'aloes) Darren K. I O 2 Indyke 0 O O O O • O O 7 El Ric Darren 2 O 2 lndyke • O O 5 El O O O I ID SONY_GM_00037305 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000129 EFTA_00147917 EFTA01282051  KYC Print Page 9 of 26 2. Account Ownership Summary Account Name: Darren K. lndyke PLLC-Attomey Trust Account — Money Market 'Acct. Number idavadaNd Account Manager: Paul Mortis What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Money market account fcc dents escrow. Funds are placed here to earn interest Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 1Z Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sue and frequency of regular flows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and arrency for the account approx. 90 days after 17500D opening? I aliTencY I UW What is the expected volume of assets and arrency for the account approx. one year 1 100000 Currency after opening? I I UW Does/will the client have Assets Under Management (AM) within DB under Eur. 3M? 0 Yes RI No Please list all parties related to the account For each party: • Check if a source of wealth description is ranged for the party. • Check the apixopnate box to describe the relabonslop of the party to this accoult (> 1 can be selected). • f none of the check boxes apply, describe the parties relation to the meant in the 'Other' column. • Always describe the relationship between the pates in the last column. • Please doll down to the ultimate/underhing Beneficial Owner(s). r egal Description AccountPIC Setter of Jldmate Signet meedFirencial Significant Legal `.;rantor/SettlotroundingOther intityof Source Holder Owner Trust/ 3enekelor Full , OA IntermediaryShareholder Representaave Donor (please of Wealth Founder oflOwner POA (FIM) (>=25%) describe required Foundation Yon-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship this %) between account mares) I O 121 Darren O O O 2 121 O O O O O Indyke Darren K. 2 2 Indyke 0 O O O O OO O O O 2 LC SDNY_GM_00037306 CONFIDENTIAL - PURSUANT TO FED. R. t I ON ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01 N 30000000 D9Di & e... 7/11 /2019 DB-SONY-0000130 DSONY-0000130 EFTA_00147918 EFTA01282052  KYC Print Page 10 of 26 2. Account Ownership Summary Account Name: New York Strategy Group, LLC Acct. Number (Ifavaleab1O Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Checlong account for the daily needs of the company Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB locatIon and account details): 2 Other Institution (Indicate name & location): WMorgan. New York, NY O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sae and frequency of regular flows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from $1,000 to 510,000 25000 I Currency I USD What is the expected volume of assets and currency for the account