EFTA00169078.pdf

KYC Print Page 1 of 18 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case 4 : 01977705 Status : 6. Approved One sheet mug be established Der relationship - list all accounts included In the relationshl 1. Relationship Debts Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New Ark Relationship Manager: Stewart Oldficfd O New PWIM Relationship la Brisling PWM Relationship Relationship to PWM: If east g, please rickcate since when the relationship crisis, provide reason for new profile and attach old profile: "* 20th Periodic Renew - HR Overdue KYC "* Last Approved KYC • - kepers Inc, Sege Inc & Jege LLC - 01790820 2 Client Referral 0 RM Prospect 0 Interne:Nary/PIM • Other SoLrce (CI8, etc.) How Was the Oient(s) Introduced? How long has the RM personally known the Please provide details (e.g. name of referral source, how many years RM personally has known che-it, etc.): Jeffrey Epstein client? readied out to Stew Oldbeld on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay a O Yes Ia No retrocessaori or similar compensation to a third party for the introduction of this iff yes describe): relationship? List all existing and new axounis involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) I 2 Jege Inc . - DOA 10/18/2013 2 p Jege LLC - - DOA 10/18/2013 3 2 Jeepers Inc • - MI 9/23/2013 Who is the primary mritact person for the RM? (Note: Preferred method of contact This pawn needs to have Darren K. lndyke (indicate phone no., fax no., signatory Aghts and/or e-mail address, etc): information right for the accoLnis.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000458 Tip/2824421 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... EFFA_00019331 EFTA00169078  KYC Print Page 2 of 18 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: lege Inc - - DDA Acct. Number (Wand:We): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. pxtfdio management, advisory account, custody services, long-term invesbnent, payment/expense account)? The purpose of this account 6 to pay for costs associated to Jeffrey Epstein's ardanes. Indicate from where the asses we expected to arrive? 2 013 Group: Sane Booking Center (indicate account number): Existing O Of3 Group: Other Booking Center (indicate DB location and account details): O Other Institution— (Indicate name B. location): O Physical Deposes (specify cash, securities, cheques, ...): What is the expected size and frequency of regular Mows and outflows for the accoLnt (indicate estimated number and volume per month)?: — 0-3/months; SO- SU( What is the expected volume of assets and currency for the account approx. 90 days after 126,795.55 I Currency I USD opening? What is the expected volume of assets and currency for the account approx. one year after opening? 126,795.55 I Currency I USD Does/wd the dealt have Assets Under Management (ALM) within DB under Eur. 3M? Oyes2No Please list all parties related to the account. For each party: • Check If a source of wealth desaption is reared fo the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the cried( boxes apply, describe the party relation to the account in the "Other' colunn. • /Wray descnte the relationship between the parties n the last column. • Please drill down to the ultimate/underlying Beneficial Onner(s . _egalbascnption P000untPIC Seeder of Ultimate Signato MitediFinancial Significant Legal Grantor/Settlorf-ourdinghther Inbtyci Source Holder Ownerirust / Beneficial or Full • aA MemeciaySharcholder Representative Donor (pease d Wealth Founder of Owner POA ,FIM) (>=25%) iescnbe required Foundation Non.PIC other roles entity and/or Parties (indicate ndicate related ownership relatiorsh( to this %) between account parties) JEGE, sI O . 1 O O Inc O O O O O O O Harry O • 2 O O Belkr r—i " • 2 O • 0 O O Jeffrey 3 O 2 E. • O • I 2 O O too • O O Epstein Darren 4 O O K. • O • O O O O O O O Indyke CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000459 U§192824422 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019332 EFTA00169079  KYC Print Page 3 of 18 2. Account Ownership Summary Account Name: lege LLC - - ODA Acct. Number (davailatie) Account Manager: Stewart Oldheid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is daily expense including taxes and payments for Jeffrey Epstein's airplanes. Indicate tram where the assets are expected to acme? O1 De Group: Same Booking Center (indicate account number): Existing . DB Group: Other Booldng Center (indicate D8 location and account detads): II Other lnsbtubon - (Indicate name & location): 3 Physical Deposes (specify cash, secunbes, cheques, ...): What is the expected size and frequency of regular flows and outflows for the account (indicate estimated number and volume per month)?: n. 14/month; 5100 - $47K What is the expected volume of assets and currency for the account approx. 90 days after 1284,777.18 Currency opening? I I USD What is the expected volume of assets and currency for the account approx. one year after 284,777.18 USO opening? I Currency I Does/wi the client have Assets Under Management (ALM) within DB under Eur. 314? ChfinEINo Please Ilst all parties related to the account For each party: • Check If a source of wealth desoiction is recriked fo the party. • Check the appropriate box to desate the relationship of the party to this account (> 1 can be selects). • If none of the chedc boxes apply, describe the party relation to the account in the "Other' column. • Alway desate the relationship between the parties n the last column. • Please dull down to the ultimate/underlying Beneficial Owner(s . _egal7esoiption Accoun.IC Settlx of Ultimate Signator&mitediFinancial Significant Legal Grantor/SettJorr-ourdindOther Enter,' Source Molder Onnearust / Beneficial or Full POA MemedayShareholder Representative Donor (please of Wealth Founder of Owner POA ,FIM) (>=25%) describe *eqdred Foundation Non.PIC other roles entity and/or Parties (indicate nolicate related ownership elatiorship ), this 3$) Setween account elates) JEGE, 2 1 g P O O O O O O O O O LLC lethal 2 O 2 E. O O O 0 O O O O O O Number; Epstein Harry ri O O 3 O O Bdkr " 1 O O O O O O O Darien 4 O O K. O O O O O O O O O O Indyke CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-OOOO46O UM92814423 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019333 EFTA00169080  KYC Print Page 4 of 18 2. Account Ownership Summary Account Name: Jeepers Inc - - 0851 Acct. Number 01 avallattie): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory acmes% custody services, long-term investment, payment/expense account)? The purpose of this account is to had and make investments in marketable securities. Indicate from where the assets are expects to arrive? WI De Group: Same Booking Center (indicate account number): Existing . DB Group: Other Booking Center (indicate DB location and account detads): II Other lnsbtubon - (Indicate name & location): 0 Physical Deposes (specify cash, secunbes, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate 'unmated number and volume per month)?: •-• 4-10(month; S2K - $40K What is the expected volume of asses and currency for the account approx. 90 days 13,269,297.20 I Orrency after opening? I USD What is the expected volume of assets and currency for the account approx. one year 3,269,297.20 Currency USD after opening? Does/wil the client have Assets Under Management (AM) within DB under Eur. 3M? 0 YesEl No Please Ilst all parties related to the account For each party: • Check if a source of wealth description is recyEed for the party. • Check the appropriate box to descrte the relatkenship of the party to this account (> I can be selects). • If none of the chedc boxes apply, descnbe he party's relation to the account in the "Other' column. • away descrte the relationship between the pates in the last column. • Please drill down to the utumweiundedying Beneficial Owner(s). _egar tioni Accoun PIC ketdor of Ultimate Signato&UmitecliFinancial tignifkant ta rle vjGrantor/Settlorr-ounding:ther Ent, Source ce Holder Orme rust/ Beneflcialor Full POA Intermediaryharenolde sentati Donor (please of Wealth Fonder of Owner POA (Flm) '>=25%) describe *eqdred Fondation Non-PIC other riles entity and/or Parties (indicate ndicate related to ownership relationship this %) between account parties) kepers, 2 O O 1 Q Q Inc O O O O I O O O 2 O O Damn n O O O la O O O O • Authorized Director& K. Indyke "' Signatory; 3 O O Hain' Beller O O O O El OO O O O Jean Anne ri 0 0 4 0 0 Brennan I—I ❑ El a a a M 0 0 Webracht Jeffr O O N 5 O RI E. Eastoney ri 1—, ❑ 10 RI OO too O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000461 U§192824424 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019334 EFTA00169081  KY(' Print Page 5 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swum 3A. Individual Details (for all parties) Indwiduars Name: Jeffrey E. Epstein - Date of Birth: Country of Residence: Virgin Wands, US. Country of Otizenship: Unted States Has client resided outside of Little Saint lames Saint Thomas 00802 Vran Islands, US his/her country of nationalityEDyes No Address of primary °ardente: fors years or more Profinacm/Ocapatiot Self Erripolyed Tax ID / SSN: Curent Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senio executive of a OB-recognized regulated entity in the financial ri ndustry? or an entity listed on a DB-reidognised exchange? (Not applicable for operating entities " Yes 2 No Is the inclvidual a Politically Exposed Person (PEP)?(AY Yes, desert,* Connection with Prince 52 yes • No Andrew and Bill Clinton To the best of your knowledge, is the exlvidual related to an employee of the DB group?(if O Family • Friendship 0 None Family or Prie-tdship, desarbe) N/A To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods a O Yes 0 No services)?(if Yes,r/esmbe) N/A If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Gent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Stewart Oldfieki 0 • 0 6/28/2017 O O O O O ❑ • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Indvicluars Business: Private investments Pnmary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Frontlet Institutions Summarize Source of Wealth: 2Busness Owner O Salary/Earnings RI Investment O 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 family accumulate wealth?Fa business owners, how long in burnes, how ma em level of profitability? Indicate type of business, ccuntnes of major activities, in-portant business partners.) Jeffrey Edward Epstein (ban is an American finantler and registered sex offender in the United States. He waked at Bear Stearns early in his career and then formed his own firm, 3. 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, chairman of Bear Steams. In 1976, Epstein started work as an calms trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving successful in Ns finandal career, in 1980 Epstein became a partner at Bear Steams. In 1982, Epstein founded his own frendal management ftm, J. Epstein & Co., managing the assets of clients with more than 51 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known dont. Werner acqLeed Aberacmhe & 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, ri the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Finandal Trust Company and, for tax advantages, based ton the island of St. Thomas in the U.S. Vrgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid SSS million. In 2004, Epstein and Zuckerman committed up to $25 maim to finance Radar a celebrity and pop culture magazine founded by Meer Roshan. Epstein and CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000462 U§192824425 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019335 EFTA00169082  KYC Print Page 6 of 18 Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a pnvate consulting company that invests the assets of their clients and gets their revenue from the return of these iwortments Southern Trust invests in different portfolios catered to then Cells and makes their revenue based on the returns and the fees associated with managing then Cent's assets Estimated Annual Incane(S): 10,000,000.00 Estimated amount of investable assets($): 550 MM - 100 MM Estimated Net Worth(S): $500 MM ♦ Amount of assets planned to invest with PV/M($): 2,30%000.W Other Known Financial Institutions: Institution: Cou-err Est. Assets Under Mgt: Institution: Cou-err Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please rickcate the family situation of the individual (mental status, other family members, etc.): N/A CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000463 U§192824426 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019336 EFTA00169083  KY(' Print Page 7 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swum 3A. Individual Details (for all parties) Indwiduars Name: Harry Beller - Date of Birth: Country of Residence: United States Country of Obzenship: United States Has client resided outride of United States his/her counb-y of naborelity El yes@ No Address of primary rinelence: for S years or more? Proonsicn/Ocapatien: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rade Accountant Address of employer: S7S Lexington Avenue, 4th Boor Monsey NY United States 10022 Does the person work as senio executive of a OB-reoognized regulated entity in the financial ri rdustry? or an eroty listed on DB-reozgnised exchange? (Not applicable for operating entitiesI—I Yes RI No Is the individual a Pohbcally Exposed Person (PEP)?(/ yes, torte) N/A O Yin 5 No To the best of your knowledge, is the Wdvidual related to an employee of the DB group?(// O Family • Friendship @None Family or friendship, Ossetia) N/A To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral same, suppler of goods a O Yes 0 No senAces)?(if Yes,desmbe) N/A If applicable, indicate which bank officers have and the Indicate where and when the dient meetng(s) took place: person: Cknt Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 0 O O O O O • Wealth Details for this rick/dual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for pates requiring source of wealth description as Indicated In Section 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &islets Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Descobe Source of Wealth /Detail the history of wealth for each of the source:: (e.g. For trusts, how del settler accumuate wealth? For inheritance, how did ferrety accumulate we th?For business owners, how long in buskins, how many employees, levd of profitability? Indicate type of business, canes of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investatle assets($): Estimated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Insbtubon: 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(6) DB-SONY-0000464 U§192824427 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?1id=0I N30000000D9Di&e... EFIA_00019337 EFTA00169084  KYC Print Page 8 of 18 I I I I I I Please locate the family situatico of the Individual (mental SLOE, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000465 U§192824428 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFIA_00019338 EFTA00169085  KY(' Print Page 9 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershlD Swum 3A. Individual Details (for all parties) Indwiduars Name: Darren K. lndyke - Date of Birth: Country of Residence: United States Country of Obzenship: United States Has client resided outride of United States his/her co !try of nationality El yes@ No Address of primary neklence: for S years or more? Profinsen/Ocapaticm Accountant Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Accountant Address of enedoyer: 6100 Red Hock Quarter 83 St Thomas Virgin Islands, U.S. 00802 Does the person work as senio eXeCutiVe of a OS-recognized regulated entity in the financial n rAustry? or an entity listed on a DB-reozgnised exchange? (Not applicable for operating entities 1--I Yes 2 No Is the individual a Politically Exposed Person (PEP)?(if Yes, tote) N/A O Yin 5 No To the best of your knowledge, is the ixividual related to an employee of the DB group?(if O Family • Frierdstip 0 None Family or friendship, Ossetia) N/A To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral same, suppler of goods a O Yes 0 No services)?(if Yes,c/esmbe) N/A If applicable, indicate which bank officers have met the Indicate where and ivhen the client meetng(s) took place: person: Gent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Stewart Oldfiekl 0 • 0 12/12/2016 O O O O O ❑ • Wealth Details for this ridrodual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for pates requiring source of wealth description as Indicated In Section 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O &dress Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Descobe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumuate wealth? For inheritance, how did ferrety accumulate wea th?For business owners, how long in busied, how many employees, lend of profitability? Indicate type of business, canes of major activities, important business partners.) Estimated Annual bxeme($): Estmated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Insbtuidons: Insbtuton: Country: Est. Assets Under Mgt: Insbtuton: Country: Est. Assets Under Mgt: Insbtuton: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000466 U§192824429 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019339 EFTA00169086  KYC Print Page 10 of 18 I I I I I I Please locate the family situatico of the individual (mental SLOE, other family members, etc.): I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000467 U§192824430 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19340 EFTA00169087  KYC Print Page 11 of 18 One sheet mug be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Surnm 3A. Individual Details (for all parties) IneWiduars Name: lean Anne Brennan Webracht - Date of Birth: Country of Residence: Virgin Wands, U.S. Country of Obzenship: Virgin Islands, U.S. Has client resided outride of Virgin Islands, U.S. his/her counb-y of nationality El yes 10 No Address of primary residence: for S years or more? Profinsicn/Ocowatien: France Tax ID/ SSN: Current Employer: Southern Financial LLC Position/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virg., Islands, U.S. 00802 Does the person work as senio executne of a OB-recognized regulated entity in the financial n reustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles "I Yes No Is the individual a Politically Exposed Person (PEP)?(if Yes, desote) N/A O Tim 5No To the best of your knowledge, is the itividual related to an employee of the DB group?(if O Family • Friendship @Nene Family or friendship, Ossetia) N/A To the best of your knowledge, is the ixividual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral same, suppler of goods a O Yes 2 No sernces)?(if Yes,c/esmbe) N/A If applicable, indicate which bank officers have me the Indicate where and when the dient meetng(s) took place: person: Cknt Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: 0 • 0 0 O O O O O • Wealth Details for this ridroclual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Inclviduars Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Basi-ess Owner O Salary/Earnings O Investment O Inheritance/Gifts O Other. Further Descnbe Source of Wealth /Detail the history of wealth for each of the source:: (e.g. For trusts, how del settler accumuate wealth? For inheritance, how did family accumulate we th?For business owners, how long in busker's, how many employees, lend of profitability? Indicate type of business, canes of major activities, important business partners.) Estimated Annual Income($): Estmated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PINTO): Other Known Financial Institutions: Insbtubon: Country: Est. Assets Under Mgt: Insbturion: Country: Est. Assets Under Mgt: Insbtubon: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000468 I https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§19282443 EFIA_00019341 EFTA00169088  KYC Print Page 12 of 18 Please indicate the family situation of the individual (mantel status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summ 3C. Legal Entity Details