EFTA01255037.pdf

KYC Print Page 1 of 17 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01121718 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: I New York Relationship Manager: Paul Morris 17 New PWM Relationship Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: New personal checking and money market for Jeffrey Epstein. This is an update of approved KYC NO1082293 where Jeffrey has already been approved. r Client Referral 57 RM Prospect IF Intermediary/FIM Ir Other Source (as, etc.) I How Was the Clients) 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 was a client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual the client? friend/colleague who introduced them while Paul was at JI3Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to llfflorgan Does Deutsche Bank pay a retrocession or similar r Yes IF No compensation to a third party for the introduction (If yes, describe). of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) F Account(s) F 1 Southern Financial, LLC 8/19/2013 F 2 Southern Financial, LLC 8/19/2013 I5 F Southern Trust Company, Inc. 8/19/2013 F 4 Southern Trust Company, Inc. 8/19/2013 F Jeffrey Epstein 9/11/2013 6 Jeffrey Epstein 9/11/2013 Who is the primary contact person for the RN? (Note: Preferred method of This person needs to have Jeffrey Epstein ontact(indkate phone 340 775 2525 signatory rights and/or no., fax no., email information right for the address, etc.): accounts.): SDNY GM_00053638 littps://na4.salesforce.com/servlet AtririElpr0pAt0D9Di&eid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016462 EFTA_00164219 EFTA01255037  KYC Print Page 2 of 17 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number Ofavailable) 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 DS Group: Other Booking Center (indicate DB location and account details): P . Other Institution (Indicate name & location): JPMorgan, NYC 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 2 inflows & outflows per month ranging from $1000 to $10,000. Mat 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. • Akway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legabescription AccountPIC Settlor of slItimate Signatory-imitec nancial Significant Entityof Source Holder OwnerTrust / Beneficialor Full POA IntermediarySharehoider of Wealth =minder of Owner POA (FIM) K>=25%) required l'ouridabon Non-P1C Other (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between s account %) 'parties) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 F F Southern Finantial F F F F F F F LLC Southern Trust is the sole member of Southern Friancial 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; SONY GM_00053639 IMps://na4.salesforce.com/seMet rpriCiEtfrpAt0D9Di&eid=5006000... 979/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016463 EFTA_00I 64220 EFTA01255038  KYC Print Page 3 of 17 2. Account Ownership Summary Account Name: Southern Financial, 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 to hold hinds for the company. Indicate from where the assets are expected to arrive? F 013 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 013 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 10 inflows and 10 outflows per month ranging from $1,000 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 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 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 Ovnier(s). Legal Description AccountPlC Settler of _Iltimate Signatory _imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficialor Full POA IntermediaryShareholder 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 kills account %) oarbes) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 F r Southern Financial F r r r F F r LLC Southern Trust is the sole member of Southern Anemia, Southern Trust 3 F F F F F F F F F 100 and Jeffrey Epstein Company, Inc. s the sole shareholder of Southern Trust; SDNY_GM_00053640 litt p ip:EtnntAtoD9Di&eid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED. R. s://na4.salesforce.com/servle INN I l'-' DB-SONY-0016464 EFTA 00164221 EFTA01255039  KYC Print Page 4 of 17 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (ifayallab.eet. 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 08 location and account details): F Other Insbtubon (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 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. • 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 Settfor of _Iltimate Signatory_imitecfRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full DOA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) t(>-25%) required Foundation `‘lon-PIC Other (please entity describe other roles (indicate and/or indicate pities i related to ownership relationship between s account %) ,arbes) Sole shareholder of 1 F F Jeffrey Jeff Epstein r F F F F F F Southern Trust; 2 F F Southern Trust r f- r F F r- Company, Inc. SDNY_GM_00053641 Ims://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/serelet TO FED. R. PleEtfittAt Fi t-) 0D9Di&eid=5006000... 9/9/2013 DB- -00 16465 016465 EFTA (H)164222 EFTA01255040  KYC Print Page 5 of 17 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)? 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 DB location and account details): F 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 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 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 tither 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 Settler of Jltimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr 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 ?antes related to ownership relationship between is account Vo) ,arbes) Sole shareholder of 1 F F Jeff Jeffrey Epstein r r r F F F F Southern Trust; Southern Trust 2 F Company, Inc. F r F r r r r SDNY_GM_00053642 litt PiiirnIENIntAtoD9Di&eid=5006000... CONFIDENTIAL s://na4.salesforce.com/servlet - PURSUANT TO FED. R. Filb) I DB-SONY 9/9/2013-0016466 EFTA (()164223 EFTA01255041  KYC Print Page 6 of 17 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 dairy use. Indicate from where the assets are expected to arrive? F 08 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 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 50,000 Currency LSD 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 tither 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 Settfor of _Iltimate Signatory _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiatr Full °OA 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 itiesrelated to ownership relationship between is account %) oarbes) 1 F F Jeffrey Epstein F F r r r r r SDNY_GM_00053643 Imps://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED. R. ne) i._, RififfEWRACEDD9Di&eid=5006000... 9/9/2013 DB-SDNY-0016467 EFTA_OOI 64224 EFTA01255042  KYC Print Page 7 of 17 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): 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 1-2 inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for 100,000 Currency LSD 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 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. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Owner(s). Legal Description AccountPlC Settfor of _Iltimate Signatory _imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiatr 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 is related to ownership relationship between is account %) ,arbes) 1 F F Jeffrey Epstein F F r r r r r SDNY_GM_00053644 litt e e IiFI EN TIACL0D9Di&eid=5006000... 9/9/2013 s://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED. R. AtRe) l'-' DB-SDNY-0016468 EFTA_00I 64225 EFTA01255043  K NIT Print Page 8 of 17 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: 090-44-3348 Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas, USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) 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- i Yes with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of 17 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 4/3/2013 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 parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investment r; Business Owner F Salary/Eamings 7 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 sector accumulate wealth? For inheritance, how *d 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 client 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 Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM ($): Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 SDNY_GM_00053645 ho s://na4.salesforce.com/serele CONFIDENTIAL - PURSUANT TO FED. R. e e Filt PleEtfiTikt 0D9Di&eid=5006000...DB-SDNY-00 9/9/2013 16469 EFTA_00164226 EFTA01255044  KYC Print Page 9 of 17 Other Known Financial Institutions: Institution: 3PMorgan Country: USA F.St. Msets 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 (mantal status, other family members, etc.): Single SDNY_GM_00053646 Imps://na4.salesforce.com/serelet CONFIDENTIAL - PURSUANT TO FED. R. Fi t) FIDEN APTL 0D9Di&eid=5006000... 9/9/2013 DB-SONY-0016470 EFTA_00164227 EFTA01255045  KYC Print Page 10 of 17 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 Anancial LLC - 00000483882 F Private Investment Type of Entity: i-- Foundation/Association r- Trust 1'7 Company Purpose of Entity: F Philanthropic/Chantabte F Estate F Partnership F Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of US Virgin Islands 2/25/2013 incorporation / incorporation/registration: registration: 6100 Red Hook Quarter 63 St Thomas 00802 US Virgin Address (city, street, post U.S. TIN/EIN: 66-0799192 Islands code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocalal ty,settlor and beneliciaries,etc.: Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: 1- Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not 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 1— No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities This business is funded by Jeffrey Epstein's wealth. This company was formed to old Mr. Epstein's personal wealth 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 $1,000 from he sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Financial Institutions: Institution: I JPMorgan I Country: Cou ry: I USA I Est. Assets Under Mgt: 1,000,000.00 SDNY_GM_00053647 litt s://na4 CONFIDEN pTIAL - PURSUANT .salesforce.com/servlet TO FED. R. Fi t) FIBEifillkt 0D9Di&eid=5006000... 9/9/2013 DB-SDNY-0016471 EFTA_00I 64228 EFTA01255046  KYC Print Page II of 17 I ' Ins=ton: I Country: Est. Assets Under Mgt: Institutlon: Country: Est. Assets Under Mgt: I I SDNY_GM_00053648 Imps://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. 1Ntr IBEWITAL0D9Di&eid=5006000.. 9/9/2013 DB-SONY-0016472 EFTA_00164229 EFTA01255047  KYC Print Page 12 of 17 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 Trust Company, Inc. - 00000483883 F Private Investment r Foundation/Association r - Trust F Company Type of Entity: 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 US Virgin Islands 11/18/2011 incorporation / incorporation/registrabon: registration: 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Address (city, street, post islands U.S. TIN/EIN: 66-0779861 code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, inckide information about revocabil ty,settlor and beneflcianes,etc.: 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 (ifnot the same persons) To the be