EFTA01294937.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01195153 Status 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Paul Morris r New PWM Relationship k Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: update of approved KYC 01135524 to add Darren Indyke as an authorized signer. Darren has been approved in KYC # 1133377 r Client Referral I ri RM Prospect IF Intermediary/FIM Ir Other Source (CIB, etc.) How Was the atent(s) Introduced? Row long has Please provide details (e.g. name of referral source, how many years RM personalty has known client, the RM personally known etc.): Jeffrey Epstein is a, current client of the Bank. Wants to open a new account. Introduction detail of Paul the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at inlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a r Yes r- No retrocession or similar compensation to a third party for the introduction at yes, descnbe): 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 F Neptune LLC 10/16/2013 2 F Neptu e LLC -- Money Market 10/16/2013 Who i the primary contact perso for the RM? (Note: Preferred method of This person needs to have Harry Geller contact(indicate phone signatory rights and/or no., fax no., e-mail information right for the address, etc.): amounts.): SDNY_Gt.4_00053569 Imps://na4.salesforce.com/servle frittpriErlfrpACE/D9Diaceid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016412 EFTA_00164169 EFTA01294937  KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LLC Acct Number (Ifavailable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account used for the daily needs of running Jeffrey Epstein's home in NYC. Indicate from where the assets are expected to arrive? 7 DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): P . Other Institution (Indicate name & location): JPMorgan. New York 7 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)?: Roughly 10 inflows and outflows per month r nging from $,1000 to $10,000 %That is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 10000 Currency USD the account approx. one year after opening? 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. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal notion AccountPIC Settler of Jltmate Signatory _imitecFnancial Significant Enti f Source Holder OwnerTrust / Beneficiabr Full 'OA IntermediarySharehoider Wealth =ounder of Owner POA (FIM) (>=25%) equired •:ouridation Non-PIC Other (please entity describe other roles (indicate and/or indicate r ies related to ownership relationship between is account %) oarties) 1 F F nepoine, LLC F 7 7 7 7 7 7 2 7 F Jeffrey Epstein 7 7 7 F F 7 7 3 7 7 Harry Beller 7 7 7 7 F 7 7 4 F 7 Darren Indyke 7 7 7 7 F F F SDNY_GM_00053589 t OD9Di&eid=500600... DB-SDNY-00 Fi t) PleE/419Ik lut s://na4 3/21/2014 CONFIDENpTIAL - PURSUANT .salesforce.com/servlet TO FED. R. 16413 EFTA 00164170 EFTA01294938  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Neptune LLC -- Money Market Acct Number (ifavarlab.ee) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market to hold funds necessary to run the costs associated with Jeffrey Epstein's NYC home Indicate from where the assets are expected to arrive? F DI3 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O13 location and account details): F Other Institution (Indicate name & location): JPMorgan. NYC F 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)?: 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 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 10,000 Currency USD the account approx. one year after opening? 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 tither column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K> -25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p ities related to ownership relationship between i s account %) Jetties) 1 F F Neptune, LLC F F F F F F F 2 F F Jeffrey Epstein F F F F F r r 3 F F Harry Beller F F F F F F F 4 F F Darren Indyke F F F F F F F SDNY_GM_00053590 hus://na4 p Iip:EtnrapAED9Di&eid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT .salesforce.com/servlet TO FED. R. Filb) l'-' DB-SDNY-0016414 EFTA 00164171 EFTA01294939  KYC Print Page 4 of 14 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 Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Otizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Friendship, descnbe) 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 source, supplier of r Yes F No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments f; Business Owner F Salary/Eamings 7 Investment F Inheritance/Gifts Summarize Source of Wealth: F Other: 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.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM a): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY GM_00053591 haps://na4.salesforce.com/servle AtrIBEWITTACE0D0Di&eid=500600... 3/-21/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016415 EFTA_00164172 EFTA01294940  KYC Print Page 5 of 14 Institution: 3Ptiorgan Country: USA Est. Assets Under Mgt: 200,000,000.00 Institution: 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.): SDNY_GM_00053592 https://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. Att IDEN•1914t 0D9Di&eid=500600 . 3/21/2014 DB-SONY-0016416 EFTA_00I64I73 EFTA01294941  KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beller - 00000487202 Date of Birth: 5/9/1956 Country of Residence: USA Country of Citizenship: USA Address of primary 12 Golar Drive Monsey NY 10952 USA residence: Profession/Occupation: Accountant Tax ID / SSN: 081-52-0727 Current Employer: HBRK Associates Position/Tide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(,f Family a - Fnendsttp, describe) 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 source, supplier of r Yes F No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Oient Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth descripbon as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gills Summarize Source of Wealth: F Other. Further Describe Source of Wealth /Detail the history of vealth 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): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(g): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY_GM_00053593 lut s://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/serelet TO FED. R. PIDENTPAL P 0D9Di&eid=500600... 3/21/2014 DB-SONY-0016417 EFTA 00164174 EFTA01294942  KYC Print Page 7 of 14 ' Institution: 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.): SDNY_GM_00053594 https://na4.salesforce.com/servlet lirjEWRACL0D9Di&eid=500600 . 3/21/2014 CONFIDENTIAL -PURSUANT TO FED. R. DB-SONY-0016418 EFTA_00164175 EFTA01294943  KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Citizenship: USA Address of primary 2 Kean Court Livingston NJ 07039 USA residence: Profession/Occupation: Lawyer Tax ID / 55N: 098-54-8596 Current Employer: Southern Financial LLC Posibon/Title/Ftank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) F Yes 17 No To the best of your know'edge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Famdy a- Freactstvp, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes i— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' t*" No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: F Cther: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate vealth?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(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY GM_00053595 hups://na4.salesforce.com/servlet rittriBEWiribett0D9Di&eid=500600... 3/-21/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016419 EFTA 00164176 EFTA01294944  KYC Print Page 9 of 14 ' Institution: 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.): SDNY GM_00053596 Imps://na4.salesforce.com/servle AttleElnAt0D9Di&eid=500600... 3/-21/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016420 EFTA 00164177 EFTA01294945  KYC Print Page 10 of 14 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: Neptune, LLC - 00000487264 F Private Investment Type of Entity: r Foundation/Association r Trust P . Company Purpose of Entity: r Philanthropic/Charitable F Estate F Partnership r Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of USA 12/21/2011 incorporation / incorporation/registration: registration: Address (city, street, post 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI U.S. T1N/EIN: 4S-4093384 code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabil ty,setUor and beneflaanes,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: F Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (,fnot the same persons): To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods Yes F No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities This LLC was formed to hold the funds necessary to cover the costs and taxes Nature of the business: associated With running Jeffrey Epstein's NYC home Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities): This LLC is funded my contributions made by Jeffrey Epstein. Estimated gross receipts p.a.(;): Estimated net profit p.a. (5): Estimated investable asses (5): <$1 MM Potential Amount to be invested with PWT4 (5): 20,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 20,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY GM_00053597 hups://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. tic iEwripActoD,Di&eid=500600... DB-SONY-0016421 3/-21/2014 EFTA 00164178 EFTA01294946  KYC Print Page I I of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B .0.3 eiationsnip Name (SOUTHERN FINANCIAL RELATIONSHIP i— long Center F NY 7 NY/Offshore F Offshore s k Moderate F High Risk Jacqueline Lightbody (Compliance Signature) DB Employee F DB Managed PIC F 08 is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other Checklist of names (indivKluals and/or entities) that were submitted for database B. searches *attached F Yes F No C. Please indicate the results of the database searches performed RDC searches complete 7 yes r No negative results found F resF No KR checks complete 7 Yes F*0 negative results found r Yes F No OFAC checks complete F Yes F No negative results found r yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No D&B) Denial Orders checks complete 17 Yes r No negative results found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes 7 No negative results found F Yes F No Please summarize any negative resuks from the database searches indicated above: DMREN INDYKE KYC approved in case * 1133377 NEPTUNE LLC: See attached AML Clearance — The RDC alert was a false hit Negative Media: All negative media is not our client. All negative media either predates our clients formation (2011) or is another LLC. Our Neptune LLC is a single member LLC that runs the operations of a home D. JEFFREY EPSTEIN: See KYC *01082293 and 001121718 for previous KYC approval and all pertaining documents HARRY BELLER: Negative Media: Not our client All negative media pertains to an environmental microbiologist. Our dient is an accountant Court Cases: #1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harty Beller. Our client Is an accountant E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 7 Yes F No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening Itigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (LatAm/Inti) or tole Regclatory Control Grow and notify Compliance immediately) the client or related party have any financial or other association / interactions C'' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ''' F Yes F No H. Does the client or related party have any financial or other association/ interactions F Yes F No within high risk counbies? SDNY_GM_00053598 hu e piiriEwbektoD,Di&eid=500600... 3/2 1/20 14 s://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. Atb) ' DB-SDNY-0016422 EFTA 00(64(79 EFTA01294947  KYC Print Page 12 of 14 I. Corporate Documentation Attached (Legal Entitles Only) F Yes F No r Not Applicable J. Undisclosed Principal Form Complete (intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis 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 Documentation: SDNY_GM_00053599 htt s://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/servlet TO FED. R. Fi t PIDEN AITt 0D9Di&eid=500600... 3/21/2014 DB-SONY-0016423 EFTA_00164180 EFTA01294948  KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Jacqueline 1 page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable. 3/14/2014 3:00 PM Lightbody The only revision was the 2nd page with the correct signers that is attached separately. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2014 Paul Morris Office Director/Business Head: Brian M. Biggar ;Signature) 2/24/2014 Brian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Gwen Hill o/b/o Janice Franklin Gwen Hill o/b/o Janice Franklin 3/14/2019 Jacqueline Lightbody Jacqueline Lightbody 3/14/2014 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manages: (Signature) Global Market Team Head (Signature) (GHTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00053600 htt s://na4 e e 0D9Di&eid=500600... 3/21/2014 CONFIDENpTIAL - PURSUANT TO FED. R. .salesforce.com/servle Fi t) FliBEIVTAL DB-SONY-0016424 EFTA 00164181 EFTA01294949  KYC Print Page 14 of 14 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(1) (CFP'N) should establish and maintain business relationships only with persons who satisfy our high standards qrsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed aU the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00053601 littps://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED_ R. b) ( pliRE-Nrytektomisceid=500600... 3/21/2014 DB-SDNY-0016425 EFTA_00164182 EFTA01294950