EFTA00169057.pdf

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01977703 Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RBATIONSHIP:00000483290 Booking Center. New York Relationship Manager: Stewart Oldfleld O New PWM Relationship 2 Existing MN Relationship Relationship to PWM: If existing, please vacate since when the relationship exsts, provide reason for new profile and attach old profile •" 2018 Periodic Review n* Last Approved KYC 9 - LSJE LLC - 1790820; Southern Fronde' LLC - 1790655 21 pant Referral O RM Prospect O Intermediary/PIM O Other Source (Cs, etc.) How Was the Chant(s) Introduced? How king has the PM person* known tbe Please provide derails (e.g. name of referral sarce, how many years RM persona y ha known client, etc.): Jeffrey Epstein client? reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under this relationship.. Does Deuisthe Bank pay a O Yes 12 No retrocession or similar compensation to a third party for the introduction of this af Yes, desatixot relationship? List all existing and new accounts involved in this relaflonship Legal Bitty Account Name / Nankin Opening Date (rtended/actual) Account(s) I et ,4 LSJE LLC - 42959295 - DOA-42959295 2/25/2015 5 Southern Anemia LLC - 77000957 - DDA-77000957 2/22/2017 3 RI Southern Anemia LLC - N4G023804 - DBSI.N4G023804 8/26/2 13 Who Is the primary contact person for the RN? (Note: This rkeferred method of coMact person needs to have Darren K. Indyke (indicate phone no., fax no., signatory rights and/or e-mal address, etc): information right for the accounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(B) DB-SONY-0000437 UM92814400 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019310 EFTA00169057  Kl"C Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: LSJE LLC - 92959295 - DOA Act. Number (ffavadatle). 42959295 Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory accent*, custody services, long-term investment, payment/expense account)? The pLrpose of the account is to manage the monthly expenses of the company. Indicate from atere the assets are expected to aMve? DB Group: Same Bookng Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): • O Physical Deposits (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 10-15/most; $100 - $ 35C1( What is the expected volume of assets and currency fa the account approx. 90 days after 255,287.52 'Currency 1 ISSD opening? What is the expected volume of assets arid currency for the account approx. one year after' 255,287.52 ICmwmcy opening? I tiSD Does/will the client have Assets Under Management (AuM) within DB under fur. 3M? ID yes RI No 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 descrte the reLauonship of the party to this account (> 1 can be selected). • f none of the check boxes apply, descnbe the party's relation to the account In the Tither" column. • Always descrte the relationship between the parties in the last column. • Pease drill down to the ultimate/ triderlying Beneficial Owner(s). Legal Discripton AcoountPIC Sent,' of Jitimate Signator&mreo Financial Significant _egal Grantor/SettlorFoundi ther Entrtyof Source Holder OwnefTrust / Beneficulor Full 0OA IntermedaryShareholderittonsentative Donor please of Wealth Fonder of Owner POA (FIN) "”25%) reqtared Foundation Yon-PIC roles entity for Parties (indicate Indicate *elated to ownership elationshic this %) n account ) 1 0 0 LSE, LLC El DO O O O O O O O Jeffrey E. O • O Sole 2 O O 0 O O O 100 O O O ber; Darren K_ 3 O O lndyke O Do O 0 O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-OO0O438 U§192824401 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019311 EFTA00169058  KYC Print Page 3 of 21 2. Account Ownership Summary Account Name: Southern Finarnal LLC - 77000957 - DDA Acct. Number (ifavaiteble): 77000957 Account Manager. Stewart Oldfleld What is the pLrpose of the account (e.g. portfolio management, advisory account, custody senAces, long-term investment, payment/expense account)? The pupae of this account is to manage the daily expenses of the company. Indicate from Mere the assets are expected to anlve? DB Group: Same Booking Center (Indicate account number): Existing 2 • DB Group: Other Booking Center (indicate 08 location and account details): • Other Insotution — (Indicate name & location): O Physical Deposils (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)?: 0.3/month; 5500 - $1000000 What is the expected volume of asses and currency for the account approx. 90 days 11,535,257.07 I Currency after opening? I USD What is the expected volume of asses and currency for the account approx. one year 11,535,257.07 I Currency after opening? I USD Does/will the client have Assets Under Management (AuM) within Oft under Eur. 3M? El Yes El No Please list all parties related to the account. For each patty: • Check if a source of wealth desolation k required for the patty. • Check the appropriate box to desate the relationship of the party to 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 desate the relationship between the parties in the last column. • Please drill down to the ultimate/Lmdedwng Beneficial Owner(s). Legabosalption AccountIFIC Settlor of Utornxe S:gnatowmited Financial Significant Legal GrantorlSettic.fourding5ther Entittof Source older OwnerTrust/ Beneficabr Full DOA Imertnedia Sharefalder Representative Donor please of Wealth Founder of Owner POA (FIM) (>=25%) Jescobe -equted Foundation NIon.PIC other roles entity and/or Parties (indicate ndicate related to ownership elatonship this %) between account darbes Southern 1 21 21 Financial g LLC O ❑ Jeffrey 2 21 E. Epstein lean Anne 3 Brennan 121 Wiebrachi 4 Darren K. lndyke Southern Tnst Company Inc is the sole member of Southern Southern Financial rn.st 11 Pi ❑ Company, 11 LW & Jeffrey Inc. Epsten is the sole shareholder of Southern Trust Company ,Inc; CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000439 UM92814402 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFFA_00019312 EFTA00169059  KYC Print Page 4 of 21 2. Account Ownership Summary Account Name: Southern Financial LLC - N4G023804 - DBSI Acct. Number Of ayslatt). N4G023804 Account Manager: Stewart Oldfeld What is the ptspose of the account (e.g. portfolio management, advisory account, custody senAces, long-term investment, payment/expense account)? The pLrpose of this account is to invest long term %nth the bank. Indicate from ntere the assets are erected to anlve? gl DB Corp: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location at account details): O Other Insotution - (Indicate name & location): O 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)?: 25.35/month; $0 - 5250K What is the expected volume of assets at currency for the account approx. 90 days 1 113,761,196.27 I Currency 1 USD after opening? What is the expected volume of assets and currency for the account approx. one year 1 113,761,196.27 1Currency I USD alter opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? El Yes 2 No Please Ilst all parties related to the account. For each party: • Check if a source of wealth description Is required for the patty. • Check the appropriate box to descrte 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. • Always desate the relationship between the pates in the last column. • Please drill down to the ultimate// derlying Beneficial Owner(s). Legal Description AocounttIC Settlor of Utomxe Signatcommited inanoal Significant Legal Grantor/SettlocCounding Other (please inlayed Source Molder OwnerTrust/ Benehci Full POA I ntermedlarySharelwlder Representative Donor describe of Wealth Founder of Owner POA Fim) (>=25%) other roles reclined Foundation Nlon.PIC and/or Parties entity ndlcate related to indicate relationship this ownership between aCCOLMI % . -rties Southern 1 ca 21 Finandal gd o o o N o o • D O Liz 2 O 0 mein ❑ O O D n ? • o • D O Jean O e . u O O 0 O O O • O 3 O Anne — Bre Wiebradm Darren 4 00 K. Inchke r--i " ❑ u O 0 R 0 • • O • Soithern Trust Company Inc is the sole member of Southern Southern Financial LLC Li/ Li, mat El Li j Company, 1- , _ U U - Li O & Jeffrey Epstem is Inc. the sole shareholder of Southern Trust Company Inc: Trading Authorize 6 0 O Paul S. u u • • O O O • O Limited to Barrett ri "I Purchases & Sales of Securities: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DS-SDNY-0000440 U§192894403 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019313 EFTA00169060  KYC Print Page 5 of 21 Iery lo lo lo Ig lo lo I° I° CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000441 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928144°4 EFIA_00019314 EFTA00169061  KYC Print Page 6 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Mew:lugs Name: Jeffrey E. Epstein - 03000483289 Date of Bath: 1/20/1953 Country of Residence: Virgin Islands, US. Country of Citizenship: tinted States Has client resided outside of Uthe Saint James Saint Thomas 00802 Virgin Islands, US. his/her country of nationaltty O yes ©No Address of primary residence: for 5 years or more? Profession/Ocapatkn: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Positionifitle/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Wands, US. 00802 Does the person work as sensor executive of a DB-recognized regulated entity in the financial ri 2 Pb ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " Yes Is the indMdual a Politically Exposed Person (PEP)?(// Yes, *sate) Correction with Prince 2 yes O Pb Andrew and Bill Clinton To the best of your kncmledge, is the individual related to an empkryee of the 08 group?(d O Family Friendship O None MI Family oneriendS4), describe) N/A To the best of your knowledge, is the inclividel party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, diet refetal source, supplier of goods or O Yes O1No servidr)?Of l'es,desmbe) N/A Indcate where and then the dent meeting(s) took place: If applicable, indicate Mich bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domcdle: Business: Stewart Oldfield O O • 6/28/2017 o O O O CI O O Wealth Details for this individual are not filled In, because they are the same as for the following person: 3B. Wealth Details (Orgy for parties regranng source of wealth description as indicated In Section 2) Nature of the Individual's Business: Pnvate investments Primary Country of source of wealth/source of Funds? United States Primary ndustry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarae Source of Wealth: 2 Business Owner O Salary/Eamings O Investment . INpritance/Gifts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor axumulate wealth? For inheritance, how did family accumulate wealth7For business owners, how long in business, how many employer, level of profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an Amencan financier and registered sex offender in the United States. He worked at Bear Stearns early In Ns career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, charman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams kMere he worked in the special products division, advising Ngh-net-worth clients on tax strategies. Proving successful in his financial career, ki 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his cam financial management firm, J. Epstein & Co., managing the asses of clients with more than 51 billion n net worth. In 1987, Leslie Wexner, founder and chairman of Ohm-based The Linked chain of women's clothing stores, became a well-known dkent. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the weehiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epsten bid to acquwe New York magazine. Other bidders were advertrsing executive Denny Deutsch, Investor Nelson Peltz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately putted by Bnce Wasserstein, a longtime Wag Street investor, vino pan 555 mist. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Mae Rcshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-In-chief, retained a small ownership stake. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000442 U§192824405 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019315 EFTA00169062  KYC Print Page 7 of 21 Presently, Mr. Epstein founded Southern Trust Company Inc, a private ca-isulting company that invests the assets of their diet and gets thew revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees assodated with managing their diet assets. Estimated Annual b-icome($): 10,000,000.00 Estimated amount of Investable assets($): $50 MN - WO MM Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known finandal Institutions: insbtution: Catty: Est. Assets Under Mgt Insbtution: Catty: Est. Assets Under Mgt: Institution: Catty: Est. Assets Under Mgt: Please indicate the family situation of the indvidual (marital status, other family members, etc): WA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000443 U§192824406 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019316 EFTA00169063  KYC Print Page 8 of 21 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 K. Indyke - Date of Birth: Country of Residence: United States Country of Otbaenship: United States Has client resided outside of his/her country of nationality O Yes ©No Address of primary residence: for S years or more? Profession/Ocamatka: Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Pomba/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter B3 St Thomas Virgin Islands, US. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial in yes 2 ndustry? or an entity listed on a DB-recognised exchange? (Not applicalie for operating entitles " Pb Is the individual a Politically Exposed Person (PEP)?(if lies, asserhe) N/A O Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB group?(if • Family • Friendship O None Family once-Awash*, describe) N/A To the best of your knowledge, is the inclividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dolt referral source, supplier of goods or Dyes I21No seivicm)?Of res,desmbe) N/A Ind.cate where and when the client meeting(s) took place: If applicable, indicate Muth bank officers have met the person: Cent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Dommile: Business: Stewart Oicifield R O • 12/12/2016 o O O o o O • Wealth Details for this individual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as rioted in Seddon 2) Nature of the Individual's Busness: Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Vieakh/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/EamIngs O Investment O Inheritance/Gifts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior 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 busmess partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amours of assets planned to invest with FWM($): Other Known Finanztal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000444 U§192824407 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019317 EFTA00169064  KYC Print Page 9 of 21 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000445 U§192824408 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019318 EFTA00169065  KYC Print Page 10 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all parties) Individual's Name: lean Anne Brennan Webracht - Date of Skth: Country of Residence: Virgin Islands, U.S. Country of Cat'Kahle: Virgin Islands, U.S. Has client resided outside of Address of primary residence: hts/her country of nationality O Yes ©No for S years or more? Profession/Ocapatin: Penance Tax ID / SSN: Current Employer: Southern Rnancial LLC Posten/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 9_ Thomas Virgin Islands, US. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial in 2 Pb ndustry? or an entity listed on a DB-recognised exchange? (Not applicalie for operating entitles " Yes Is the individual a Politically Exposed Person (PEP)?(if VW, Sete) N/A O Yes g No To the bestial your knowledge, Is the Individual related w an employee of the DB group?(if • Family • Friendship g None Family once-Awash*, describe) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client refeTal source, supplier of goods or Dyes 2 No seivicm)?Of res,demte) N/A Ind.cate where and viten the client meeting(s) took place: If applicable, indicate whith bar* officers have met the person: Cent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domaolle: Business: O O • O O O O CI O • Wealth Details for this individual are not filled In, because they we the same as for the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated In Section 2) Nature of the Individual's Busness: Primary Country of source of wealth/source of Funds? Primary industry of source of Weatth/Source of Funds? Summarae Source of Wealth: O Business Owner O Salary/Eamings O Investment O Inheritance/Glfts O Other: Further Desate Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of prolitatery? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable asset($): Estimated Net Worth(S): Amount of assets planned to invest with FWM($): Other Known Finanaal Institutions: Insbtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000446 U§192824409 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFFA_00019319 EFTA00169066  KYC Print Page 11 of 21 Please indicate the family situation of the inoviclual (mental status, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000447 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...U§192824410 EFIA_00019320 EFTA00169067  KYC Print Page 12 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all panes) indiveual's Name: Harry Bever • Date of Bird,: Country of Residence: United States Country of Ottaenship: United States Has client resided outside of