EFTA01299115.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : Status 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL FtELATIONSHIP:00000.483290 Booking Center: New York Relationship Manager: Paul Morris 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: r Client Referral 17 RM Prospect 1.— Interrnediary/FIM r Other Source (06, etc.) How Was the Client(s) Introduced? How 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 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 'Morgan. 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 F No retrocession or similar compensation to a third party for the introduction (If Yes, deptsibe): 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 Neptune LLC 10/16/2013 2 F Neptu e LLC -- Money Market 10/16/2013 Who is the primary contact person for the RM? (Ncte: Preferred method of This person needs to have Harry Seller contact0ndicate phone signatory rights and/or no., fax no., e-mail Information right for the address, etc.): accounts.): SONY GM_00064812 hups://na4.salesforce.com/servlet AttliCeprpAt0D9Di&eid=50066.. . 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027637 EFTA_00175315 EFTA01299115  KYC Print Page 2 of 12 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? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 17 Other Institution (Indicate name & location): JPMorgan. New York 1 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 $4000 to $10,000 What is the expected volume of assets and currency for 5000 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 t e relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Description AccountPIC Settlor of siltimate Signatory-imitec nancial Significant Entityof Source Holder OwnerTrust / Benefioakor Full POA ntermediarySharehoider of Weakh =minder of Owner POA kFiM) (>=25%) required •:ouridation Non-P1C abet (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between s account %) oarties) 1 F F Neptune, LLC F F F F F F F 2 F F Jeffrey Epstein F F F F F F F 3 F F Harry Beller F F F F F F F SDNY_GM_00064813 htt p 11iFftropAtorsmi&eid=50060... E 10/30/2013 CONFIDENTIAL- s://na4.salesforce.com/seMet PURSUANT TO FED. R. Fit) I' DB-SDNY-0027638 EFTA_00I753 I 6 EFTA01299116  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Neptune LLC -- Money Market 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 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 DB location and account details): F 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 5000 Currency USD 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 '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 Sector of itimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner ROA (FIM) !(> -25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate r rtesrelated to ownership relationship between i s account %) ,arbes) 1 F F Neptune, LLC F F F r r F r 2 r F Jeffrey Epstein F r F F F r F 3 F F Harry teller F F F F F r F SDNY_GM_00064814 htt PrifE ttl ritALD9Di&eid=50060... 10/30/2013 CONFIDENTs://na4.salesforce.com/servlet AL - PURSUANT TO FED. R. INN ii I l'-' DB-SONY-0027639 EFTA_001753I7 EFTA01299117  KYC Print Page 4 of 12 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 Citizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial 11C Position/Tide/Rank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) Yes 17 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- Friendship, desaibe) 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 rye 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: ef 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 parte requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments 17 Business Owner F Salary/Eamings F Investment F Innentance/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 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, ./. 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): $50 MM - 100 MM a): Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. AtriciEtfroptktoD,Di&eid=50066.. . SONY GM_00064815 10/30/2013 DB-SONY-0027640 EFTA_001753 IS EFTA01299118  KYC Print Page 5 of 12 Institution: JPMorgan 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 ixlividual (marital status, other family members, etc.): SDNY_GM_00064816 Impsi/na4.salesforce.com/servle ntliDENITTACE/D9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027641 EFTA_00175319 EFTA01299119  KYC Print Page 6 of 12 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: 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: Current Employer: HBRK Associates Posibon/Trbe/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes 17 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 or Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes ,— With Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' l•' 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 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 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: r- Cther: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did senior 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 Country: I I Est. Assets Under Mgt: SDNY_GM_00064817 https://na4.salesforce.com/serylet PfirifEWFVACEDD9Di&eid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. Atb) 1 l ' -' DB-SDNY-0027642 EFTA_00I 75320 EFTA01299120  KYC Print Page 7 of 12 ' 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_00064818 hus://na4.salesforce.com/servle PPR EtflitpAt0D9Di&eid=50060... 10/30/2013 CONFIDENTIAL -PURSUANT TO FED. R. AL I DB-SDNY-0027643 EFTA_00175321 EFTA01299121  KYC Print Page 8 of 12 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/Associabal r Trust P- Company Purpose of Entity: r Philanthropic/Charitable F Estate F Parbiership 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. TIN/E1N: 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,setbor and beneflciaries,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: Single member U.C. Capital contribution of $,1000 spas made by Jeffrey Epstein who is the sole member F Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner (ifnot the same persons). Single member LLC. Jeffrey Epstein S the sole member To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods yes F No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities This LLC was formed to hold the funds necessary to cover the costs and taxes Nature of the business: associated with running Jeffrey Epstein's NYC home Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities): This LLC is funded my contributions made by Jeffrey Epstein. Estimated gross receipts p.a.($): Estimated net profit pa. (5): Estimated investable assets (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: SONY GM_00064819 https://na4.salesforce.com/serylet r rIBENTVACED9Di&eid=500601.. 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. pt DB-SONY-0027644 EFTA_00175322 EFTA01299122  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B P2 Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center F NY F Moderate r:r r - NY/Offshore F Offshore Risk Iv High Risk Janice Franklin (Compliance Signature) F 08 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 (individuals and/or entitles) that were submitted for database B. searches s attached F Yes F No C. Please indicate the results of the database searches performed RDC searches complete r Yes F No negative results found F resF No PCR checks complete F Yes r- No negative results found r yes F No OFAC checks complete F Yes F No negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) r yes r No negative results found F yes F No Denial Orders checks complete F Yes r No negative results found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) r yes F No negative results found r yes F No Please summarize any negative results from the database searches indicated above: 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 JEFFREY EPSTEIN: D. See KYC *01082293 and *01121718 for previous KYC approval and all pertaining documents HARRY BELLER: Negative Media: Not our client All negative media pertains to an environmental microbiologist. Our client is an accountant Court Cases: #1: Disposed In 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Beller. Our client is an accountant E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F Yes r 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 litigation against Deutsche Bank AG or any of Its subsidiaries? (If Yes, r yes P . No provide details bdow and contact Quality Mgt (Lat4m/Intl) or the Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions r•-• F G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' yes No „. Does the client or related party have any financial or other association/ interactions r yes F No " within high risk counties? I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable SDNY_GM_00064820 hus://na4.salesforce.com/servlet PliFfEWF VACE0D9Di&eid=50060... 10/30/2013 CONFIDENTIAL -PURSUANT TO FED. R. Fi le) I DB-SONY-00276455 EFTA_00175323 EFTA01299123  KYC Print Page 10 of 12 J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No 17 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/content of the non-English Documentation: SDNY_GM_00064821 httpsl/na4.salesforce.com/servle AttliDEIMACE/D9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027646 EFI'A_00175324 EFTA01299124  KYC Print I I e l l of II' F M. Case Comments lo records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) 10/8/2013 Paul Morns Office Director/Business Head: Brian M. Biggar Signature) 10/8/2013 rian r M. Biggar Regional Office Director: Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Jacqueline Lightbody Jacqueline Lightbcdy 10/17/2013 Janice Franklin Janice Franklin 10/17/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PR/ VATE WEALTH MANAGEMENT POLICY STATEMENT: lkiasche Hank Private Weahh SDNY_GM_00064822 https://na4.salesforce.com/servle pliciEtfroktoD,Di&eid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. Fi lb) 1 DB-SONY-0027647 EFTA_00175325 EFTA01299125  KYC Print Page 12 of 12 Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client FacingProfessionals/(I) (CFP 's) should establish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship andon an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I have followedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWM GlobalKYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers. etc. Deutsche Bank Americas New York P2 SDNY_GM_00064823 hupslina4.salesforce.comiservle AtrirjetneD9Diaceid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027648 EFTA_00175326 EFTA01299126