EFTA01299130.pdf

KYC Print Page 1 of' 19 DB PWM GLOBAL KYC/NCA: PART A Int KYC Case # : 01141308 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moms 17 New PWM Relationship F Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ONLY adding signers to account. All signers have already been approved in previous KYC's. Please rush as this is a simple update. Harry Beller was approved in KYC 01133624 r Client Referral P . RM Prospect F Intermediary/FIN r Other Source (CIB, etc.) How Was the Chent(s) Introduced? How long has Please provide details (e.g. name of referral source, how many years RM personally has known client, the RM personally known etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details 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 JINIorgan. 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 F Yes r NO retrocession or similar compensation to a third party for the introduction (If ye, tame). 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 Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 3 r Southern Trust Company, Inc. 8/19/2013 4 F Southern Trust Company, Inc. 8/19/2013 5 r Jeffrey Epstein 9/11/2013 6 F Jeffrey Epstein 9/11/2013 Who is the primary contact person for the RM? (Note: Preferred method of This person needs to have Jeffrey Epstein contact(indicate phone signatory rights and/or no., fax no., e-mail information right for the address, etc.): accounts.): SDNY_GM_00064834 PPR EW AC D9Di&eid=50060. . . 10/30/2013 TOpE CONFIDENpTIAL - PURSUANT .salesforce.com/servlet TO FED. R. 'Pt) 1 `—' DB-SONY-0027659 EFTA_00175335 EFTA01299130  KYC Print Page 2 of 19 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, 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)? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Cents (indicate DB 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 2 inflows & outflows per month ranging from $1000 to $10,000. What 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 150,000 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 -Other column. • Ahway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Cuner(s). legabescription AccountfIC Settler of Jltimate Signatory-imitecEnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermedlaryShareholder of Weakh Pounder of Owner POA (FIM) K>=25%) required Poundation Non-P1C Other (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between is account %) 'parties) Sole shareholder of 1 F F Jeffrey Epstein F F F F r F F Southern Trust; Southern Financial r p 2 F F LLC F F F F r Southern Trust is the sole member of Southern Anancial Southern Trust 3 F F Company, Inc. F F F F F F F 100 and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00064835 htt RififfElifrIACL0D9Di&eid=50060... 10/30/2013 CONFIDENTs://na4.salesforce.com/servlet AL - PURSUANT TO FED. R. Ft) I 1-1 DB-SONY-0027660 EFTA_00175336 EFTA01299131  KYC Print Page 3 of 19 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number (ifavailable),I 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 to hold funds for the company. 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 013 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 10 inflows and 10 outflows per month ranging from $1,000 to 410,000. What is the expected volume of assets and currency for Currency LlSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 Currency USD the account approx. one year after openng? 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 appropnate 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. • Ahvay descnbe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Ovmer(s). Legal Description AccountPlC Setttor of Ultimate Signatory imitedRnancial Significant Entitrof Source Holder OwnerTrust / Beneficialor Full POA Intermediaryehareholder of Weakh Founder of Owner POA (FIM) I(>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between pis account 4%) oarbes) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 F F Southern Financial F r F F F LLC F Southern Trust is the sole member of Southern Anancial Southern Trust 3 F F F F F F F F F 100 and Jeffrey Epstein Cornpany, Inc. s the sole shareholder of Southern Trust; SDNY_GM_00064836 hops://na4.salesforce.com/serelet CONFIDENTIAL - PURSUANT TO FED. R. At..)PHEYENIVIkt 0D9Di&eid=50060... 10/30/2013 DB-SDNY-0027661 EFTA_00175337 EFTA01299132  KYC Print Page 4 of 19 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. 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. To hold funds for company Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 17 Other Insbtubon (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 10 inflows and 10 outflows per month ranging from $1,000 to 410,000 What 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 100,000 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 'Other column. • Ahmy describe the relationship between the parties in the last column. • Please drill doom) to the ultimate/unde ying Beneficial Owner(s). Legal Description AaountPIC Settler of Ultimate Signatoryt:itedRnancial ignificant Entityof Source Holder OwnerTrust / Beneficialor Full • *A Intermedia hareholder of Weakh Founder of Owner POA (FIM) >-25%) required Foundation on-PIC Other (please City describe other roles indicate and/or indicate parties related to ership relationship between s account ii) Parbes) r Sole shareholder of 1 F F Jeffrey Epstein r r r F r n Southern Trust; Southern Trust 2 F F Company, Inc. F F F F r r r SDNY_GM_00064837 https://na4.salesforce.com/serelet CONFIDENTIAL - PURSUANT TO FED. R. Ft) FIBEMPAL 0D9Di&eid=50060... 10/30/2013 DB-SDNY-0027662 EFTA_00175338 EFTA01299133  KYC Print Page 5 of 19 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (ifavadable). 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 account. To hold funds for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O8 location and account details): 17 Other Institution (Indicate name & location): .WMOrgan, NYC 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 2 inflows & outflows per month ranging from 41,000 to 410,000 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 150,000 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 'Other 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 SettSor of _Iltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiatr Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) 0.25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p alesrelated to ownership relationship between i s account %) ,arbes) Sole shareholder of 1 F F Jeffrey Epstein Jeff r r r F F F F Southern Trust; Southern Trust 2 F F Company, Inc. F r r r r r r SDNY_GM_00064838 lut t piiriEmpActoD,Di&eid=50060... 10/30/2013 CONFIDENTIAL p s://na4.salesforce.com/servle - PURSUANT TO FED. R. Fi ' DB-SDNY-0027663 EFTA_00I 75339 EFTA01299134  KYC Print Page 6 of 19 2. Account Ownership Summary Account Name: Jeffrey Epstein 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 for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 08 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY 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 15 inflows and outflows per month r nging from 5100-510,000. What 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 100,000 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 "Other' column. • Ahmay 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 _Itimate Signatory_imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiakw Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-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 %) ,arbes) 1 F F Jeffrey Epstein F F F F F F F 2 r r Harry Beller F F F F r SONY GM_000648.39 https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. ciEwriAtoD,Di&eid=50066... 10/30/2013 DB-SDNY-0027664 EFTA_00175340 EFTA01299135  KYC Print Page 7 of 19 2. Account Ownership Summary Account Name: Jeffrey Epstein 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)? Money Market account to hold Jeffrey Epstein's personal funds. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F7 Other Insbtubon (Indicate name & location): 3PMorgan Chase. New York, NY 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 1-2 inflows and outflows per month ranging from $1,000 to $20,000 What 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 200,000 Currency USD the account approx. one year after opeNng? 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. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of _Iltimate Signatory _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate rtes related to ownership relabonship between pis account I%) oanoes) 1 r F Harry Beller r r r F F F F 2 r F Jeffrey Epstein F r r r- F r r SDNY_GM_00064840 htt ppfEtt ntieD9Di&eid=50060... 10/30/2013 CONFIDENTIAL p sfina4.salesforce.comiservle - PURSUANT TO FED. R. At) 11il ' -' DB-SDNY-0027665 EFTA_00175341 EFTA01299136  K NIT Print Page 8 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 Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Obzenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: 3348 Current Employer: Southern Financial LLC Positionrfrde/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) 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- Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r With Deutsche Bank (e.g., external legal counsel, client referral source, supplier of 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 morns r r F 4/3/2013 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 parse requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investment 17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- 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 famdy 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, ). 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, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM • 100 MM (S): Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 SONY GM_00064841 lutps://na4.salesforce.com/sen/le AttleEte pAt0 D9Di&eid=500601.. 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0027666 EFTA_00I 75342 EFTA01299137  KYC Print Page 9 of 19 Other Known Financial Institutions: Institution: WIlorgan Country: USA Est. Assets Under Mgt: 20,000,000.00 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.): Single SDNY_GM_00064842 hups://na4.salesforce.comiservle pliFIENSITMC09Diaceid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. li t) ' a-'.. DB-SDNY-0027667 EF1'A_00175343 EFTA01299138  KYC Print Page 10 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: Harry Beller -_7202 Date of Birth: 11956 Country of Residence: USA Country of Obzenship: Address of primary residence: Profession/Occupation: Current Employer: Accountant HBRK Associates, Inc Tax ID / SSN: Posibon/Trde/Rank: r0727 Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) 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- From/ship, 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 v r r 10/21/2013 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: 38. Wealth Details (Only for parole 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 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): (5): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00064843 ho R if?:EWFVACL0D9Di&eid=50060... 10/30/2013 CONFIDENpTIAL - PURSUANT TO FED. R. s://na4.salesforce.com/servlet FiNtb) 1 '' DB-SONY-0027668 EFTA_00175344 EFTA01299139  KYC Print Page 11 of 19 ' 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_00064844 hus://na4.salesforce.com/servlet CONFIDENTIAL -PURSUANT TO FED. R. ne) PlififfEtnin0D9Di&eid=50060... 10/30/2013 DB-SDNY-0027669 EFTA_00I 75345 EFTA01299140  KYC Print Page 12 of 19 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: Southern Financial LLC - 00000483882 F Private Investment r Foundation/Association r Trust 17 Company Type of Entity: Purpose of Entity: r Philanthropic/Charitable r Estate r partnership r commenial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of US Virgin Islands 2/25/2013 incorporation / incorporation/registrabon: registration: 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Address (city, street, post Islands U.S. TIN/EIN: 66-0799192 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,settlor and beneflciaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same pawns). 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 r- No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities This business is funded by Jeffrey Epstein's weakh. This company was formed to 'old W. Epstein's personal weakh and invest in different ventures. This company Nature of the business: nests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($):