EFTA01294969.pdf

KYC Print Page 1 of 17 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01195134 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 r New PWM Relationship lii Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of approved KYC 0112188t. Update is ONLY to add Darren Indyke as an authorized signer. Darren has been approved in KYC * 1133377 E Client Referral R RM Prospect F Intermediary/ElM F Other Source (CIB, etc.) How Was the memo) Introduced? Row 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 is acurrent 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 white 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 Bantle pay a Yes F No r retrocession or similar compensation to a third party for the introduction (/f Yes, descnbc9: 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 F Jeepers Inc 9/18/2013 2 F Jeepers Inc 9/18/2013 Who i the primary contact perso for the RM? (Note: Preferred method of This person needs to have Jeffrey Epstein contact(indicate phone signatory rights and/or no., fax no., e-mail information right for the address, etc.): accounts.): m.)PIDEITITAt SDNY_GM_00053620 http a4.salesforce.com/servle e e 0D9Di&eid=500600... 4/10/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016444 EFTA_00164201 EFTA01294969  KYC Print Page 2 of 17 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeepers Inc Acct Number Of available). Account Manager: Paul Mods What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for Jeepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Cent (indicate DB location and account details): F Other Institution (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 5-10 inflows and outflows per month ranging from 51,000 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 50,000 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/underlying Beneficial Owner(s). Legal notion AccoureIC Settler of Jltimate Signatory-imitecFnancial Significant Sib f Source Holder OwnerTrust / Beneficialor Full POA IntermediarySharehoider Weakh =ounder of Owner POA (FIM) K>=25%) equired l'ouridabon Non-P1C Other (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between s account %) oarties) 1 F F Jeepers, Inc 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 4 F F Jeanne Brennan F F F F F F F S F F Darren Indyke F F F F F F F SDNY_GM_00053621 l CONFIDENTIAL -PURSUANT TO FED. R. nb) i._ PliIENTVACL0D9Di&eid=500600... 4/10/2014 DB-SDNY-0016445 EFTA _00164202 EFTA01294970  KYC Print Page 3 of 17 2. Account Ownership Summary Account Name: ieepers 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 Jeepers Inc's cash. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DO Group: Other Booking Center (indicate DB location and account details): F Other Insbtubon (Indicate name & location): JPIdorgan 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-$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 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 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 Setttor of Jftimate Signatory _imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakw 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 ties related to ownership relationship between ris account %) oartes) 1 F F Jeepers, Inc F F F F F F r 2 r F Jeffrey Epstein F F F F F f F 3 F F Harry Beller F F F F F F F 4 F F Jeanne Brennan F F F F F F F s F F Darren Indyke F F F F F F F SDNY_GM_00053622 hasfina4.salesforce.comisenilel PPFilElepACEDD9Di&eid=500600... 4/10/2014 CONFIDENT AL - PURSUANT TO FED. R. Atb) '' DB-SDNY-0016446 EFTA_00I 64203 EFTA01294971  KYC Print Page 4 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 Otizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed I Tax ID / SSN: Current Employer: Position/Tide/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if Yes describe) 1- Yes F No To the best of your knowledge, is the individual related to an employee of the 08 F Family F Friendship F None group?(if Family or Fnendship, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship r— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of i Yes 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: Gent Private Client Place Bank Officer Name(s) Bank Office: ef Business: Other Location (specify): Date: Domicile: Paul Moms r r F 8/7/2013 r 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 investments (; Business Owner F Salary/Eamings F 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 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 CS): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: SDNY_GM_00053623 htt s://na4 .salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. Ate) PPR,En TiA t0D9Di&eid=500600... 4/10/2014 DB-SONY-0016447 EFTA_00I 64204 EFTA01294972  KYC Print Page 5 of 17 Institution: )PMorgan Chase Country: USA Est. Assets 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 (marital status, other family members, etc.): Single SDNY_GM_00053624 https://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. e e FIDENTIAt 0D9Di&eid=500600... 4/10/2014 DB-SONY-0016448 EFTA_00I 64205 EFTA01294973  KYC Print Page 6 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: Harry Beller - 00000487202 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F 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- Fnendship, descnbe) 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 ' Iv 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 fv r r 10/21/2013 F r r r r r r 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: Summarize Source of Wealth: r- Business Owner F Salary/Eamings F Investment F Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of vealth 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.) Estimated Annual Income Estimated amount of investable assets(s): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00053625 hups://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. Ate).._,RififfEtrrIACL0D9Di&eid=500600... 4/10/2014 DB-SDNY-0016449 EFTA_00I 64206 EFTA01294974  KYC Print Page 7 of 17 ' 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_00053626 https://na4.salesforce.com/seryle CONFIDENTIAL - PURSUANT TO FED. R. At) i--PliFnyElepAt0D9Di&eid=500600... 4/10/2014 DB-SONY-0016450 EFTA_00164207 EFTA01294975  KYC 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: Jeanne Brennan - 00000487647 Date of Birth: Country of Residence: USVI Country of Citizenship: USVI Address of primary residence: Profession/Occupation: Anance Tax ID / SSN: Current Employer: Position/Tide/Rank: Address of employer: Is the individual a PoliticallyExposed Person (PEP)?(if yes, descnbe) r- Yes F 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 a- From/ship, 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 ' Ito 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: Gent PrivateLlient Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: • Business: r r r r 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: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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.) Estimated Annual Income Estimated amount of investable assets(S): (S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY GM_0005.3627 hups://na4.salesforce.com/servle r treEeeACED9Di&eid=500600... 4/-10/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016451 EFTA_O0164208 EFTA01294976  KYC Print Page 9 of 17 ' 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_00053628 https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. AriciEwitiptktoD,Di&eid=500600... DS-SONY-0016452 4/-10/2014 EFTA_00164209 EFTA01294977  KYC Print Page 10 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: Darren Indyke - 0001)0486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/ride/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) 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 or Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes i— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' lv 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 Businez: Other Location (specify): Date: r r r r 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: 38. 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 Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, 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.) Estimated Annual Income Estimated amount of investable assets(S): (5): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00053629 lut s://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/serele TO FED. R. Fi t) PIDENTIAt 0D9Di&eid=500600... 4/0/2014 DB-1 -00 16453 016453 EFTA_OOI 642 I0 EFTA01294978  KYC Print Page 11 of 17 ' Institution: I 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_00053630 htt 11if E prffwitpActoD9Di&eid=500600... 4/10/2014 CONFIDENTIAL-PURSUANTTOFED.R. s://na4.salesforce.com/servlet M) l'-' DS-SONY-0016454 EFTA_00164211 EFTA01294979  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: lepers, Inc - 00000486423 F private Investment Type of Entity: r Foundation/Association r Trust 117 Company Purpose of Entity: r Philanthropic/Charilabie r Estate r Partnership r Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of United States VIrgin Island 8/18/2003 incorporation / incorporation/registrabon: registration: Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 66-0629193 code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,settlor and benelicianes,etc.: Jeffrey Epstein is the sole shareholder of Jeepers Inc 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 (if not the same persons) 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 Jeepers Inc is a private company that holds investments of its owner, Jeffrey Nature of the business: Epstein. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties 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): Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue comes from the gains of the in estments it holds. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM - 50 MM Potential Amount to be invested with PWM ($): 200,000.00 Other Known Financial Institutions: Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053631 hu PPR Ete pAt0 D9Di&eid=500600... 4/0/2014 CONFIDENTIAL s://na4.salesforce.com/servlet — PURSUANT TO FED. R. Ate) DB- -0016455 016455 EFTA_OOI 642 I 2 EFTA01294980  KYC Print Page 13 of 17 • Imps://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED_ R. ntpDEtnitACEM9Diateid=500600... 1 0 4 / /2014 SDNY_Ght000.53632 DB-SDNY-0016456 EFTA_00164213 EFTA01294981  KYC Print Page 14 of 17 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY r - NY/Offshore F Offshore Risk F Moderate F High Risk Gwen Hill (Compliance Signature) DB Employee F DB Managed PIC F D8 is Trustee/Co-Trustee F Bearer Shares F 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 is attached F Yes F No C. Please indicate the results of the database searches performed RDC searches complete F yes r No negative results found r Yes F No KR checks complete F Yes F No negative results found F Yes F NO OFAC checks complete F Yes F No negative results found r yes F NO 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r•-• D&B) iv yes r No negative results found F Yes F No Denial Orders checks complete 17 yes r No negative results found r yes P- No Martindale-Hubbell searched (Lawyers/Law Firms only) r yes F No negative results found F Yes r— No Please summarize any negative results from the database searches indicated above: DMREN INDYKE: KYC approved in case 4 1133377 HARRY BELLER: KYC approved in case 401133624 JEANNE BRENNAN: No Negative Media D No Court Cases JEFFREY EPSTEIN: Jeffrey was approved in KYC #01082293 His PCR/RDC alerts and clearances and all documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media All court cases are not our cheat. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our client is based in the US Virgin Islands E. To the best of your knovAedge, has toe client ever been convicted of a criminal offense? F Yes F No To the beg of your knovAedge, 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 re4. r Yes F No provide details below and contact Quahry Mgt (Lea-Winn)°, the Regulatory Control Croup and notify Compliance immediately) er Does the client or related party have any financial or other association / interactions r- F No .".. wan countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' Yes SDNY_GM_00053633 htt s://na4.salesforce.com/sen e ENTPAL 0D9Di&eid=500600... 4/10/2014 CONFIDENpTIAL - PURSUANT TO FED.iletR. Fi t F) IB DS-SONY-0016457 EFTA 00164214 EFTA01294982  KYC Print Page 15 of 17 Does the client or related party have any financial or other association! interactions H. witNn Ngh risk countries? r yes Fro No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) F Yes F No F 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/contents of the non-English Documentation: SDNY_GM_00053634 htt s://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/servle TO FED. R. e e X) PIDEITRAt 0D9Di&eid=500600... 4/10/2014 16458 DB- -00 016458 EFTA_00I 642 I 5 EFTA01294983  KYC Print Page 16 of 17