EFTA01282110.pdf

KYC l'rint Page 1 of 33 DB PWM GLOBAL KYC/NCA: PART A KYC Coy, : Status : 6. Approved One sheet must be established pr relationship - list all accounts Included In the retationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP. cooking Center: New Yak Relationship Manager: Stewart DIMS • New PWM Relationship 9 Existing PWM Relationship If costing, please indicate sate when the relationship exists, provide reason for new profde and attach old profile: ***This KYC Relationship to PWM: is a periodic review for high risk remediateni** Original o inb newcheclong account with account title as Zorro Management LLC(House Acct) and adding 2 new signets: Client Referral O RM Prospect O Intermediary/PIM O Other Source (GB, etc.) How Was the alent(s) Introduced How 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 client? reached out to Stew Oldfleld co 3/7/17 to have a new acct opened elder Zorro Management LLC and add two new signors to this new acct ally. Dees Deutsche Bank pay a O Yes retrocession or driller empanel:ion to a third party for the introduction of this al Yes desotei relationship? List al existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) El Zorro Management, LLC - Deposit 12/20/2016 2 2 Zorro Management, LLC (House Acct 3/13/2017 3 A LSJE, LLC - Deposit 2/25/2015 4 9 Mort, Inc - Deposit 2/6/2015 5 Jeepers Inc- 8rokerage- 0/23/2013 6 9 Hyperion Ai; LLC - Deposit 10/18/2013 7 9 Plan D LLC - Deposits 10/18/2013 8 • LI JEGE LLC - Deposits 10/18/2013 9 in JEGE Inc- Deposes 10/18/2013 Who is the primary contact person for the RN? (Note: This Darien Indyke Preferred method of contact person needs to have signatory (indicate phone no., fax no., rights and/or infemation right e-mad address, etc.): for the accounts.): SDNY_GM_000373S9 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000213 EFTA_00148001 EFTA01282110  K17(.7 Print Page 2 of 33 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name. Zorro Management, LW - Deposit Acct. Number (deavarlaAW Account Manager: stewwt oldfield What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, keg-tern investment, payment/expense account)? the pispose of this account a to manage the daily expanses of the company Indicate from where the assets we expected to ainve? 0 DB Group: Same Booking Center (Indicate account number): O DB Group: Other Docking Center (indicate DB location and account details): O Other Institutran - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques...,: What is the expected sae and frequency of regular inflows and outflows for the account (radicate estimated number and volume per mordi)?: 0-10 inflows/outhows between 50k and 100k u a monthly basis what is the expected vokune of asset and currency for the account approx. 90 days after 1485559.78 I Currency opening? I usd what is the expected vokime of assets and currency for the account approx. one year after 1300500 opening? I al"ncY I usd Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes FA No Please list all parties related to the account. Ric each party: • Check if a source of ‘weith description is required for the party. • Check the approp ate box to describe the relationship of the party o this account (> I can be selected). • If none of the check boxes apply, describe the party's 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 7esalptio AccourtPIC Settle of Jitimate Signatory Andel Financial ISIgnifkant _egal Grantor/SetdorFoundingpther Enoty of Source bolder Owner trust! 3enefklalor Full ?OA IntermeckaryShareholderRepresentative Donor L,please of Wealth Founder of Dwner POA (FIM) (>=25%) describe equired foundation Non-P1C other roles entity andior (indicate nelleate dies ownership relationship dated to %) between s account oodles) ZOITO i 2 2 anagemet, n • O O O O O O O O It effrey E. O O • 2 M M Jpstein O O O O O Darren O O O 3 O O ndyke O 0 O O O O 71 SDNY_GM_00037390 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000214 EFTA 00148002 EFTA01282111  KYC Print Page 3 of 33 2. Account Ownership Summary Account Name: Zorro Management, LLC (House Acct) Acct. Number (iftisTagc.X Account Manager: stew °Wield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, Ictig.terrn investment, payment/expense account)? The propose of the account is to manage the monthly expenses of the company Indicate from where the assets ate expected to arrive? 0 DB Group: Same Booking Cater (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): ID Other Institution - (Indicate name & location): O Physcal Deposts (specify cash, securities, cheques....): What IS the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0.10 infkiws/outflovrs of no more than 15k on a monthly bass What IS the expected volume of assets and currency for the account approx. 90 days after 19906.52 I Currency opening? I usd What IS the expected volume of assets and currency for the account approx. one year after 1 12000 I Currency opening? I usd Does/will the cleM have Assets Under Management (Aunt) within DB under Eur. 314? • Yes RI NO Please list all parties related to the account For each party: • Chedc If a source of wealth description I required for the party. • Cheick the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, dose be the party's relation to the account in the 'Other column. • Always describe the relationshp between the parties In the last column. • Please Cal down o the ultimate/underlying Beneficial Owner(s). _egal Dasalptio AccountPIC Settles of Jltimate Signatory _memFinancial Significant _egal Grantor/SethorFoundingOther Emory of Source bolder Onner Trust / Benefeialor Full PCIA IntermectarA6hareholderttepresentattve Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) describe equired Foundation Non-PIC other roles entity and/or (indicate indicate its ownership relationship elated to %) between s account parties) 2otro 1 2 2 anagemet, 2 O O O O O O O O O LC 2 O O Jeffrey E. . s O 21 El • • • O O pstein Darren Ill • X • • O M • • • • O ndyke 9 O O • El I: El 21 ID • O O O 5 O O O O O O 0 O O O O O SDNY_GM_00037391 CONFIDENTIAL - PURSUANT TO FED. R. t I O ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 DB-SONY-0000215 DSONY-0000215 EFTA_00148003 EFTA01282112  KYC Print Page 4 of 33 2. Account Ownership Summary Account Name: LSJE, LLC - Depost Acct. Number a I erveddble Aco3unt Manager: stewart oldfleld What is the purpose of the account (e.g. portfolio managemen , advisory account, custody services, long-term Immanent, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company indicate from where the assets we expected to amve? a C6 Group: Same Booking Center (Indicate account number): • DB Group: Other Booking Center (Indicate DO location and account details): O Other Institution — (Indicate me & iccatka): O Physical Deposits (specify cash, secunties, cheques...,: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per morith)?: 0.10 Inflowsioudlows of 50-$30k on a monthly basis What Is the expected vokime of assets and currency for the accorn approx. 90 days after 1 121165 I Currency opening? I usd What Is the expected vokime of assets and currency for the account approx. one year after 1350000 I Currency use opening? I Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes g No 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 &roux (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'ether' column. • Alway describe the relationship between the parties in the last column. • Please erd down to the ultim tefunclertylng Beneficial 0 mer(s). _eeal Xscription AccountP1C Senior of JIUmate Sgnat rote ono& Significant _egal Grantor/Settlorfoundnopther Entity Y Source Holder DemerTrust / 3eneficiake Ful ntennediaryShareholderitepresentative Donor (please YWealth Founder &Dan& POA 'ElM) (>=25%) describe -equired Foundation Yon-PIC other roles entity and/or Parties (.ndicate ndicate related to ownershp relationship tNs SS) r atween account aCCOU rties) 1 2 2 LelE, [SC O O O O O O O O O O Jeffrey E. O O O 2 MN Epstein 0 O O O O O O Darren O O O O O 3 O O indyke O El O O O SONY_GM_00037392 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSte... 7/11/2019 DB-SONY-0000216 EFTA_00148004 EFTA01282113  KYC Print Page 5 of 33 2. Account Ownership Summary Account Name: Mort, Inc - Deposit 'Acct. Number trfavant*/ I Account Manager: stewart oldfield What Is the purpose of the account (e.g. portfolio managemen , advisory account, custody servion, long.terrn inveimient, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company Indicate from where the assets we expected to amve? a C6 Group: Same Booking Center (indicate account number): • DB Group: Other Booking Center (Indicate D8 location and account details): O Other Institution — (falcate me & location): O Physical Deposits (specify cash, senates, cheques....): What is the expected sae and frequency of regular Inflows and outflows for the account (ndicate estimated number and volume per month)?: 0.5 lams/outflows of less than 510k on monthly basis What is the expected vokime of assets and currency for the account approx. 90 days after 4853.12 I Currency opening? I usd What Is the expected vokune of assets and currency for the account approx. one year after 6500 I Currency opening? I usd Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ❑O yes No 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 (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the 'Other' column. • Always describe the relationshp between the parties in the last column. • Please Cal down o the ultim te/underlying Beneficial 0 iner(s). algal Desolation hccountPIC Senior of Jitimate Spriatorydnutecfrinanclal Significant _egal Grantor/Settlort-ounetrigOther Cray of Source Holder OwneeTrust / Beneficial: Ful POA IntevnedlaryShareholdertlepresentative Donor (please sf Wealth Founder oflOnner POA (FM) (>=25%) describe equlred Foundation Yon-PIC other roles entity and/or Parties (indicate ndicate related to ownership relationship this 5b) between PCCOUnt parties) I 2 2 Mort, Inc 21 O O O O O O O O O 2 MN Ejas efirel tern E. O O O 0 El O O O O O Darren 3 El O Inclyke O O D ❑ O e O O O O O SDNY_GM_00037393 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000217 EFTA_00148005 EFTA01282114  KYC Print Page 6 of 33 2. Account Ownership Summary Account Name: )eepers Inc- Brokerage Acct. Number °lavas,lei Account Manager: stewart oldfeld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, keig.terrn investment, payment/expense account)? The purpose of the account is to manage the securities pt.rctases of the company Indicate from where the assets ate expected to arnve? ct DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physcal Deposts (specify cash, securities, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account tracheate estimated number and volume per month)?: 0/10 infkiws/outflows of less than S5k a month What is the expected volume of assets and currency for the account approx. 90 days after 13169993 Currency usd opening? I I What is the expected volume of assets and currency for the account approx. one year after 13149993 Currency opening? I I usd • yes A NO Does/will the client have Assets Under Management (AuM) within DB under Eur. 314? 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 (> I can be selected). • f none of the check boxes apply, describe the partys relation to the account in the 'Other column. • Always describe the relationshp between the parties in the last column. • Please Gal down o the ulUm te/underlying Beneficial O alerts). _egal Description AccountPIC Settlor of Jltimate Signatory Unice? anti& Significant _egal Grantor/SettlorfoundngOther Entity g Source Holder Ownertrust / 3enefidake Ful POA ntennediaryStateholderPepresentative Donor (please sf Wealth Founder &Owner POA FIM) (>=25%) describe equired Foundation Son-PIC other roles entity and/or Parties tracheate nelicate related to ownership relationship this %) between account parties) I 2 2 leepers, 45. O • • O O O O O • Inc 2 O • Jeffrey E. • • • N O O • O O • Epstein Dar 3 O O Indykrene • El • • 2 O O O O • Jean Anne 4 O O Brennan O O O O 12 O O O O O Webracht S O O Harry O O O O 2 O O O O O Beller ONFIDENTIAL SDNY_GM_00037394 CONFIDENTIAL - PURSUANT TO FED. R. t DSDNY-0000218 B- I ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 EFTA_00148006 EFTA01282115  KYC Print Page 7 of 33 2. Account Ownership Summary Account Name: Hyperon Air, LLC - Deposit Acct. Number (1f amiable) Account Manager: stewart okifield What h the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company Indicate from where the assets are waded to arnve? a DB Group: Same Boding Center (indicate amount number): • DB Group: Other Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What Is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0.3 inflows/outflows on a d monthly basis of less than $5k What Is the expected vokime of assets and currency fa the acomot approx. 90 days after 1 100291.79 I Current-y opening? I usd What Is the expected vokime of assets and currency for the account approx. one year after 193500 I Currency opening? I L6d Does/will the cheM have Assets Under Management (AuM) within DB under Eur. 3M? I • Yes No Please list all parties related to the account. For each party. • Check if a source of wealth desaiption is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the cheat boxes apply, desaibe the pa's relation to the account in the 'Cther column. • Alnay describe the relationship between the parties in the last column. • Please as dorm to the ultim te/underlying Beneficial O mer(s). _egal )escription PccountPIC Senior of Jitimate Sonataydnute anclal Significant _egal Granta/Settiorfoundnopther Entty of Source Holder Owner-frost 1 3eneliclake Ful 'OA ntennediaryShareholdertlepresentativo Donor (please if Wealth Founder &Dana POA ElM) (>=25%) desaibe tqulred Foundation other roles entry and/or Parties (indicate ndicate related to ownershp relationship this lb) Ooetween Account ilarties) 1 2 2 Hyperion Air, LLC O ® O O O O O O O O 2 • • Ejpstee ffrq in E. O O O 0 El O O O O O 3 O • Darrel Indyke O • O • 2 O • O O O Ha O O O 4 O O ale O 2 O O O O O SDNY_GM_00037395 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000219 EFTA_00148007 EFTA01282116  KYC Print Page 8 of 33 2. Account Ownership Summary Account Name: Man D LLC - Deposits Act Number (ifamiable) Account Manager: Stewart &died What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payment/expense account)? The appose of the account is to manage the monthly expenses of the company Indicate from where the assets are expected to amve? gli C43 Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institution — (Ireicate name & location): O Physical Deposits (specify cash, secunties, cheques.....: What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 0.5 inflows/outflows between $10k and $150k on a monthly basis What Is the expected vokune of assets and currency for the account approx. 90 days after 1229030.92 I Currency I usd opening? What Is the expected vokune of assets and currency for the account approx. one year after 1160650.00 I Currency opening? I usd Does/will the *ern have Assets Undo Management (AuM) within DB under Eur. 3M? 1O yes ONo Please list all parties related to the account. For each party: • Check If a source of wealth desolation Is required for the party. • Check the appropriate box to describe the relationship of the party to this actinic (> 1 can be selected). • f none of the check boxes apply, desaibe the party's relation to the account in the naher column. • Alway describe the relationship between the parties in the last column. • Please CM down to the ultim tefunderlying eenehaal 0 tner(s). _egal )esuiptIon liccountPIC Settlor of _Pinnate Signatory „Mute anclal Significant _egal Granta/SettiorfouneincfrOther Entity Y Source Holder DemerTrust 1 Benefloakt Ful 'OA ntemhediarySharehokkrQepresentawe Donor (please oe Wealth Fander oflOnner POA ElM) (>=25%) desaibe tqulred Foundation Non-PIC other roles entity and/or Parties (,miclicate ndlcate related to ownership relationship tills 5b) een "CCOLIf1t rleS) Plan D, O O O 1 2 2 LLC O O O O O O O 2 • • Jeffrey E. Epstein O O O 0 ® O O O O O Darren O . O 3 O • Indyke • 2 O • O O O Ha 4 O O ale O O O O 2 O O O O O SDNY_GM_00037398 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000220 EFTA_00148008 EFTA01282117  KYC Print Page 9 of 33 2. Account Ownership Summary Account Name: JEGE LLC - Deposals Acct. Nurnber tif availebk9: Account Manager: SICYfalt oldfreld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long.terrn investment, payment/expense account)? The purpose of the account is to manage the monthly expenses o the company Indicate from where the assets ate expected to arnve? 0 DB Group: Same Booking Cuter (InOcate account number): O DB Group: Other Booking Center (Indicate DB location and account details): O Other Instituter, — (Inelcate name & location): O Physcal Deposts (specify cash, secuntes, cheques....): What is the expected sae and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: 0/10 infkv.vs/cuttlows of up to $100k on a monthly basis What is the expected volume of assets and currency for the account approx. 90 days after 1 176381.00 I Currency opening? I usd What is the expected volume of assets and currency for the account approx. one year after 1 130777 I Currency opening? I usd Dos/will the cleM have Assets Under Management (AuM) within DB under Eur. 314? 1O Yes No 12 Please list all parties related to the account For each party: • Check if a source of wean' description is required for the party. • Check the appropriate box to describe the relationship of the party to this accottt (> 1 can be selected). • f none of the check boxes apply, describe the party's relation to the account In the 'Other' column. • Ahvays describe the relationshp between the parties In the last column. • Please Cal down to the ultim to/underlying Beneficial Owner(s). _egal Desorption hccountalC Settlor of Jltimate Senataydnutee ancel Significant _egal Grantx/SettlorfoundngOther Entity of Source Holder Ownearust / kneficiate Ful POA ntennediaryShateholderVepresentative Donor (please of Wealth Founder &Owner POA FIM) (>=25%) describe equlred Foundation Yon-PIC other roles entity and/or Parties (indicate ndicate related to 3mership relationship this %) between account parties) 1 21 2 JEGE, LLC E • • • O O O O O • Jeffrey 2 O . Epstein E. • • • E O O • O O • Darren O O Indyke • • U . • 2 O O O O • Hairy 4 O O Beller • O O O 21 O O O O O SDNY_GM_00037397 CONFIDENTIAL - PURSUANT TO FED. R. t I ON TIAL ht tps://db forcepb.my.sa lesforce.com/servlet/servlet.lntegration?lid=01N 30000000D9Di & e... 7/11/2019 DSONY-0000221 DB-SONY-00002