EFTA01295042.pdf

KYC Print Page 1 of 23 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01195100 Status : 7. Approved with Temporary Exception 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 1:1 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: ONLY adding signers to account All signers have already been approved in previous KYC's. Please rush as this is a simple update. Darren Indyke was app oved in KYC 01133377 Harry Beller was added in approved KYC 01141308 F Client Referral IP RM Prospect Ir — Intermediary/FIN I F Other Source (C18, 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 WMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his hinds over to Deutsche Bank Dos Deutsche Bank pay a r Yes I F NO retrocession or similar 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) Account(s) 1 r Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 3 F Southern Trust Company, Inc. 8/19/2013 4 r Southern Trust Company, Inc. 8/19/2013 S F Jeffrey Epstein 9/11/2013 6 F Jeffrey Epstein 9/11/2013 Who I the pnmary ontact person for the RM? (Note: Preferred method of This person needs to have Jeffrey Epstein contact(indIcate phone 340 775 2525 signatory rights and/or no., fax no., e-mail Information right for the address, etc.): accounts.): SDNY GM_00053739 https://na4.salesforce.com/servle e istriE1547fACL0D9Di&eid=500600... 4/-10/2014 CONFIDENTIALa4PURSUANT TO FED. R. DB-SONY-0016563 EFTA_00I643 I I EFTA01295042  KYC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number (tfavailable). 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? 7 DB Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Cent (indicate DB location and account details): P . Other Institution (Indicate name & location): JPMorgan, 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 $1000 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 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. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). legabescription AccountPIC Settler of slItimate Signatory-imitecFnancial Significant Entityof Source Holder OwnerTrust / Benefiaalor Full POA IntermediarySharehoider of Weakh Founder of Owner POA (FIM) (>=25%) required foundation Non-P1C Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between this account %) 'parties) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 F F Southern Finanual F F F F F F F LLC Southern Trust is the sole member of Southern Anneal Southern Trust 3 F F Company, Inc. F r F F F F F 100 and Jeffrey Epstein s the sole shareholder of Southern Trust; 4 F r- Darren Indyke r r r F F F F s F F Harry Beller F F F 7 F F F 6 F F Jeanne Brennan r r r F F F F SDNY_GM_00053740 htt s://na4 1ip, E tep At0 D9Di&eid=500600... 4/0/2014 CONFIDENpTIAL - PURSUANT .salesforce.com/servlet TO FED. R. AtRb) I''' DB-1SDNY-0016564 EFTA_OOI 643 i 2 EFTA01295043  KYC Print Page 3 of 23 2. Account Ownership Summary Account Name: Southern Anancial, 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 08 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): FY Other Institution (Indicate name & location): JPMorgan, 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 $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 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 mother column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/under ying Beneficial Owner(s). Legal Description AccounlEiC Settior of _Iltimate Signatory _imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakor 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 Parties related to ownership relationship between this account %) oartes) r Sole shareholder of 1 F F Jeffrey Epstein F F F F F F Southern Trust; Southern Financial (-- 2 F F LLC F r F F r Southern Trust is the sole member of Southern Anancial Southn Trust 3 F F Compaer ny, Inc. F F F F F F F 100 and Jeffrey Epstein s the sole shareholder of Southern Trust; 4 F r Darren Indyke F F F F F F F 5 F F Harry Beller F F F F F F F 6 F F Jeanne Brennan F F r F F r F SDNY_GM_00053741 hu p Ipit '' Ell t At0 D9Di&eid=500600... 4/10/2014 CONFIDENTIAL s://na4.salesforce.com/serylet - PURSUANT TO FED. R. t) ' DB-SDNY-0016565 EFTA_00164313 EFTA01295044  KYC Print Page 4 of 23 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)? 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 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): 3PM0rgan, 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 mother 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 AccountlPIC Settler of Ultimate Signatory imitecFnancial Significant Entitrof Source Holder OwnerTrust / Beneficialor Full *OA Intermediaryehareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-Pic Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between phis account Q''a) oarbes) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 r r Southern Trust Company, Inc. F r- r F F F r 3 F F Darren indyke F F F F F F F 4 F F Harry Beller F F F F F F F s F F Jeanne Brennan F F F F F F F SDNY_GM_00053742 hups://na4.salesforce.com/serylet CONFIDENTIAL - PURSUANT TO FED. R. b)i._, plifrffwripActoD9Di&eid=500600... 4/10/2014 DB-SDNY-0016566 EFTA_00164314 EFTA01295045  KYC Print Page 5 of 23 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 O8 location and account details): F Other Institution (Indicate name & location): JPMorgan, 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 LSD 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. • 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 Settior of _Iltimate Signatory _imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficialor Full °OA IntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between his account Q/0) parties) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; Southern Trust 2 r r Company, Inc. F F r F F F r 3 F F Darren indyke F F F F F F F 4 F F Harry Beller F F F F F F F s F F Jeanne Brennan F F F F F r F SDNY_GM_00053743 Imps://na4.salesforce.com/senilet plififfElifflAt0D9Di&eid=500600... 4/10/2014 CONFIDENTIAL - PURSUANT TO FED. R. Filb) 1 I ' DB-SDNY-0016567 EFTA_OO164315 EFTA01295046  KYC Print Page 6 of 23 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 daily use. 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 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 15 inflows and outflows per month r nging from 5100-510,000. 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. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC SettSor of _Iltimate Signatory _imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full POA 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 alesrelated to ownership relationship between i s account %) ,arbes) 1 F F Jeffrey Epstein F F F F F F F 2 F F Harry Beller F F F F F r r 3 F F Darren Indyke F F F F F F F SDNY GM_00053744 lutps://na4.salesforce.com/servlet AtririEtfrOpAtOD9Di&eid=500600... 4/-10/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016568 EFTA_00164316 EFTA01295047  KYC Print Page 7 of 23 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 08 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DE3 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 Currency USD 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 tither column. • Nway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of _Iltimate Signatory _imitedflnancial ignificant Entityof Source Holder OwnerTrust / Benefiaabr Full POA Intermedia hareholder of Weakh Founder of Owner POA (FIM) >-25%) required Foundation -PIC Other (please tity describe other roles indicate and/or indicate p rtes related to ership relationship between i s account o) ,arbes) 1 F F Harry Beller F F F F F F F 2 F F Jeffrey Epstein F F F F F F r- 3 F F Darren Indyke F F F F F F F SDNY_GM_00053745 lut s://na4 CONFIDENpTIAL -PURSUANT TOFED.R. .salesforce.com/serylet FFin E IMPA t 0D9Di&eid=500600... 4/0/2014 DB-SDNY-00 1 EFTA_00164317 16569 EFTA01295048  KYC Print Page 8 of 23 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 Line Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Posibon/Trde/Ftank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, describe) 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?(if Family a- From/ship, 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: Chent Mvate Bus Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: Paul Moms r r F 4/3/2013 F r r F 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 parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments f; Business Owner F Salary/Eamings F Investment r- 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 ?rugs, 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, J. 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, 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(S): $50 MM • 100 MM (5): Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PVVM(g): 10,000.00 SDNY_GM_00053746 htt P i1iri fEW IT ACL0D9Di&eid=500600... 4/0/2014 CONFIDENTIAL- PURSUANT TO FED. R. s://na4.salesforce.com/serylet Fit) '' DB-1SDNY-0016570 EFTA_00164318 EFTA01295049  KYC Print Page 9 of 23 Other Known Financial Institutions: Institution: 3PMorgan Country: USA F.St. 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 (mantal status, other family members, etc.): Single SDNY_GM_00053747 htt s://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED. R. e e FI E/TRAL 0D9Di&eid=500600... 4/10/2014 DB-SDNY-0016571 EFTA_00164319 EFTA01295050  K YC Print Page 10 of 23 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 Date of Birth: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Trde/ftank: 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?(if Family a- Fneniship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes r— 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: Bus Place Chent Private Client Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Paul Moms v r r 10/21/2013 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: 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 Intieritance/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 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_00053748 hups://na4.salesforee.com/servlet AttliCiEWRACL0D9Di&eid=500600... 4/-10/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016572 EFTA_00164320 EFTA01295051  KYC Print Page 11 of 23 ' 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_00053749 htt e Pi iriENTIACt0D9Di&eid=500600... 4/0/2014 CONFIDENTIAL s://na4.salesforce.com/servle -PURSUANT TO FED. R. Fle) 1 DB- -00 016573 16573 EFTA_00164321 EFTA01295052  K YC Print Page 12 of 23 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 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/Tide/Rank: Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if Yes describe) 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?(rf Family a- Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes r— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' ho 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: r r r r r r F F F