EFTA00166833.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A KYC Case x : 0114130E Status : 6. Approved One sheet must be established per relationshi list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booldng Center: New York Relationship Manager: Paul Morris 2 New PWM Relationship ❑ Existing PWM Relationship Relatkinshei to PWM: If existing, please indkate nce when the relabonshi exists provide reason for new rothe and attach old profile: ONLY adding signers to account. Al signers have already been app oved i previous KYCs. Please rush as this iS a tingle update. Harry Beller was approved I KYC 01133624 ❑ ClieM Referral IS RM Prospect ❑ Intermediary/FIM ❑ Other Source (Cm, etc) 'low Was the Client(s) Introduced' How long has the please provide details (e.g. ame of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein is a RM personally known the current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of tient' Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them Mule Paul was at ./PMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Don Deutsche Bank pay a ❑ Yes I ❑ No retrocession or similar compensation to a third party for the introduction of this (If yet, dest-nbey. relationship' list all existing and new accounts Involved n this relationship Legal Entity Account Name / Number Opening Date (Mended/actual) Account(s) 1 @ Southern Financial, LW W19/2013 2 El Southern Financial, LLC 8/19/2013 3 e Southern Trust Company, Inc. 8/19/2013 4 e Southern Trust Company, Inc. 8/19/2013 5 RI Jeffrey Epstein 9/11/2013 6 e Jeffrey Epstein 9/11/2013 Who is he primary contact person or the RN' (Note: This Preferred method of contact person ends to have Jeffrey Epstein (indicate phone no., fax no., Signatory netts and/or e-mail address, etc.) inform ion for the accounts.): 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002607 EFTA_00016081 EFTA00166833  KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, at Air I. hunter at avaArbte). kcounl 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 (ran where the assets are expected to arrive? O 08 Group: Same Booking Center (Indicate account muter): El 013 Group: Other Booldng Center (Indicate DB location and account details): w LA Other Insfitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, securltks, cheques....): What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000. ICurrency I USD What es the expected volume of assets and currency for the account approx. 90 days after opening? I What is the expected volume of assets and currency for the account approx. one year after opening? 1 150,000 'Currency I USD Does/wi the client have Assets Under Management (AuM) within C6 under Eur. 3M? • Yes El No Please list all parties related to the account. For each party: • Check if a source of wealth description it. 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 party's relation to the account in the "Other column. • Nways &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _egalbescription AccountplC Settler of Jitimate Signatoryskrniedrinancial Significant _egal Granto/Sernorfounding Other Entity,' Soiree Molder OwnefTrust / Bencficialor FAA POA InterinediaryShareholdeditepresentative Donor "lease al Wealth Founder of Owner POA (FIN) :>•2529) describe -Acquired Foundation Non-PIC other roles entity and/or Parties indicate ndicate -elated to ownership relationship ins %) between recount ?ernes) Sole shareholder l O 0 jeffreY Epstein • O ILI O O O O O O O of Southern Trust Southern 2 El El arZlindll PI El IT O O O O O O n Southern Trust is the sole member of Southern Southern fnist O O O Financial 3 2 0 Co want. n❑"I D O DD ico O and Jethey Inc Epstein is the sole shareholder of Southern Trust Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002608 EFTA_000 16082 EFTA00166834  KYC Print Page 3 of 16 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, (LC Paul Morris Acct. Number (d available): T What is the purpose of the account (e.g. portfolio managemen 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' O C43 Group: Same Booking Center (indicate account camber): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): 3PM:ftgan, NYC O Physical Deposits (specify cash, secwities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account Ondeate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days alter opening? I 100,00D 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes a 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' taunts. • Always describe t e relationship between the parties in the lad oakum • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal)eunplion Account PlC Settler of Jltimate SIgnatorlanliedniancial Significant _egal ?Sranter/Settbribunding Other lEntttraf Smote Holder OwnerTrust / Beneficialor Rd PO* IntemvedlatyShareholde(iepresentatne Ponce please al Wealth Founder of Owner POA (F1M) >=25%) describe -equired Foundation $ion-PIC other roles entity and/or ]antics ,Mdkate ndicate related to ownership relationship Ns Ots) Moroi i sCCOUnt sorties) Sole eholder 1 • a jefireY O O O O a O O O O O EPsteln sharouther of S n Trust; Southern 2 a Financial S O O • O O O O O O La Southern Trust Is the sole member of Southern Southern 3 Ea 0 Dust ig — N O O O O O 1 CO O O and a Jeffrey rey Inc. Epstein ls the sole shareholder of Southern Trust; 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002609 EFTA_00016083 EFTA00166835  KYC Print Page 4 of 16 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. Paul Morris Acct. Number 6f available. T What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parned/aPense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account ember): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, acuities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 I 1Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening" What is the expected volume of assets and currency for the account approx. one year after 1100,000 I Currency I USD opening' Does/wil the client have Assets Under Management (AM) wtthln 06 under Eur. 311? OYes A 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' opium. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial 0vabe(s). ..egalOescription Account PlC Settler of amide Signatornimilatinarkial Sigrilkant _egad 'Granter/Settiorkounding Other lEntttyaf Source Holder Ownertrust / Beneficialor RI POA IntemediaryShareholderttepresentative )onor please al Wealth Founder of Omer POA (F1M) >=25%) describe required Foundation llon-PIC other roles entity and/or lanes ,Mdicate ndirate elated to wnershlp rciatonship Jib %) frutv.voi „account James) Sole Jeffrey in O O shareholder 1 O El )' stem 1--J • A O O O O El of Southern Trust; Southern 2 g Ei Rant rampon, DI u u • O • O O O U ta ls-' ,nc. 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002610 EFTA_00016084 EFTA00166836  KYC Print Page 5 of 16 2. Account Ownership Summary krount Name: Southern Trust Company, Inc. Acct. Number &lava:We Account Manages: Paul Woe What is the purpose of the account (e.g. portfolio !canoe ment, advisory account, custody services, long-term investment, parnentierPense account)' Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive' O C43 Group: Same Booking Center (indicate account camber): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Instkulbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, soctribes. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 2 inflows & outflows per month ranging from $1,000 to $10,000 Currency Metall* expected volume of assets and currency for the account approx. 90 days after opening" I I I uSD What is the expected volume of assets and currency for the account approx. one year after 1150,000 Currency opening' I I USD Does/wil the client have Assets Under Management (AM) within D6 under Eur. NV [Yes A No Please list all parties related to the account For each party: • Check If a source of wealth descripUon is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be 'elected). • If none of the check boxes apply, describe the party's reaction to the account in the 'Other' alum. • Always describe t e Italia-whip between the parties in the lad colon. • Please drill down to the ultimate/underlying Beneficial Owner(s). .egal)escription Account PlC Settler of Jkimate Signatorysimkedrinancial SigMicant egal ‘SranterThettbrkounding Other lEntttrof Source Holder Ownertrust / Beneficialor RA PO* IntermediaryShareholderlepresentative Jonor please of Wealth Founder of Owner pcm (RIM) ,>=25Cs) describe -equIred Foundation Non-PIC other roles entity and/or ladles ,Indkate ndkate elated to 3wnership relat.onship MIS %) frutv.vol 4§CCOUnt Janie.) Sole 2effrey O O • • O O O shareholder i O 0 :won t—i in O O of Southern Trust: Southern 2 g Ei Rant DI O Li • O • O O O O tornpany, •:-.1 mc. 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002611 EFTA_00016085 EFTA00166837  KYC Print Page 6 of 16 2. Accoest Ownership Samar/ Account Name: Jeffrey Epstein Acct. Number ft avadabe Account Manager: Paul Morris What is the purpose of the account (e.g. honk*o management, advisory account, custody services, long-term imestrnot, payment/expense account)? CriedOng account fee Jeffrey Epstein's personal daily use. Indicate from where the amen me expects to arrive? O DO Group: Same Booking Center (indicate account mate): • 08 Group: Other Booking Getter (indicate DB location and account details): @ Other InsttutIon (Indicate name & location): MMorgan Chase. New York, NY O Physical Deposits (specify cash, seethes, cheques, ...): What is the expected site and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 15 inflows and outflows per month ranging from $1C0-$10,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days ter opening? I opening? I 100,000 I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after DoesiWil the client have Assets Under Management (AuM) within DB under Fur. 3M? • yes RIM 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). • If none of the check boxes apply, describe the party's rekitbn to the accost in the 'Other corms. • Always describe the relationship between the parties in the law admin. • Please drill down to the ultimate/underlying Beneficial Owner(s). .rigalJescription AccoirOlC Settler of Jltimate Signatorwimitedlimancial 61gralunt egal Grantor/Settlor. bunding Other Fntttyaf Source Holder 3wneffrust / Benefloallor Fut ?OA Intermedkvy5harehold epresentative Donor please if Wealth Founder of Owner POA (rim) >=2S9b) describe *touted Foundation Von-PIG riper roles entity Ind/or ?arts-. indicate ndkate tired to winership relationship hr. bewsen account mites) 1 CI El jeffreY EPSt ein ❑ 2 O O O O OO O Li O 2 • • "arrY Beller O O O • ri O • O O 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002612 EFTA_00016086 EFTA00166838  KYC Print Page 7 of 16 2. Account Oweenildp Swatostry Account Name: Jeffrey EpsteM Acct. Humber (1available) Account Manager: Paul Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, parnent/exPerise atcnun()> Money Market account to hold Jeffrey Epsteln's personal funds. Indicate from where the assets are expected to arrive? O 013 Group: Same Booldng Center (indicate account master): • CS Group: Other Booldng Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): JPMorgan Chase. New York, NY O Physical Deposits (specify cash, secretes, cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account Ondkate estimated number and volume per monthly: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000 I Currency 1 USD What is the expected volume of assets and currency for the account approx. 90 days after opening? i ICurtency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 200,000 Does/wil the client have Assets Under Management (Autl) within DB under Eur. 311? • Yes R 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). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' column. • Mays describe t e relations rip between the parties in the lad coltsnn. • Please drill down to the ultimate/underlying Beneficial Ovene(s). ...egal'Oescription AccorrAPIC `Senior of JItlinate SignatorwindelFinancial figarkant Legal GraMor/Settlorfound g Other lEntttyaf Source (folder Owneffrust / Beneficlalor Full ?OA IntermedlaryShareholderRepresentathre Donor please al Wealth Founder of Owner POA (FIN) (>=25%) describe -equIred Foundation 'ton-PIC other roles entity and/or lames indicate ndkate elated to ownership elationshlp .his Pa) between account mules) I O O Mn-Y mi ler O O O O 0 OO O O O 2 • JeffreY a 0 Epstein go El • .1 O • • O O 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002613 EFTA_00016087 EFTA00166839  KYC Print Page 8 of 16 One sheet must be established for MN INDIVIDUAL PARTY In Section 2. Account Ownership Summa 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 Has client resided outside of Address of printery residence: Late Saint James Saint Moines 00802 US Virgin Islands hks/her country of nationality O yes Ea No for 5 years or more? Profession/Occupation: Sell Empalyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial — ndustry, or an entity kited on a DB-recognised exchange' (Not applicable for operating entitles • Yes RI No M yes 5 No Is the indbidual a Politically Exposed Person (PEPr(f Yes, clescibe) To the best of your knowledge, is the individual related to an employee of the DB group'(! O Family O Friendship CO None Family or Friendship, descnbe 1 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 goods or O Yes El No services)'(/ Yesi cksente) Indicate where and when the diem meeting(s) took place: If applicable, Indicate which bank officers have met the person: (Pent Private Client Place of Bank Officer Narrie(s) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris • • 413/2013 O O il O O • • Wealth Details for this Individual are not filed in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private Investments Primary Country of source of wench/source of Funds? Primary industry of source of Wealth/Source of hods? Summarize Source of Wealth: RI Business Owner O Salary/Eamings 0 Investment • Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how did fan* accumulate wealth1Fce business enviers, how long in business, how many employees, level of profitability' Indicate type of busbess, countries of major acUvales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1960. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dents with more than a Son in net worth. In 1996, Epstein changed the name of his firm to the Financial Trust Company and based k on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial MC. MI of his clients were anonymous went for the very wealthy businessman Leslie Wexner. Hs wealth has come from hIs days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,030,030.03 Estimated amount of investable assets($): $50 MM - 100 MM frannated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 Other Known financial Instauti Is: Institution: IPMoigan ICountry: I USA Est. Assets Under Mgt: 120,000,000.00 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002614 EFTA_00016088 EFTA00166840  KYC Print Page 9 of 16 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the fan* Stuatlon of the individual (marital Mb* other fancy merrhetes edc.k Single Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002615 EFTA_00016089 EFTA00166841