EFTA01298930.pdf

KYC Print Page 1 of 27 DB PWM GLOBAL KYC/NCA: PART A P2 KYC Case # : 01977694 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship [el Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old Relationship to PWM: profile: m 2018 Periodic Review - IC Overdue KYC " 1, Last Approved KYC 4 Plan D LLC - 1790820; NES LLC - 1790739; The 2007 3effrey E Epstein Insurance Trust & The Haze Trust - 1804531. IDs for Darren Indyke & Richard Kahn can be found in "Repository" of GUS 4 486405. R Client Referral II RM Prospect 0 Intermediary/FIM 0 Other Source (GB, etc.) How Was the Oient(s) Introduced? How long has the RM personally Please provide details (e.g. name of referral source, how many years RM personally has known client, known the dient? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay 0 Yes I LV J No a retrocession or similar compensation to a third party for the introduction (/f 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) I Nes LLC • 42953758 • DDA-42953758 11/8/2013 2 7i Plan D LLC - 42953467 - DOA-42953467 10/18/2013 3 2 The Haze Trust - 77000949 - DDA-77000949 2/21/2017 4 5::4 . The Haze Trust - 146024943 - 0651-N46024943 9/23/2013 5 R1 The Haze trust - 42967287 - DDA-42967287 2/27/2017 Who is the primary contact person for the Preferred method of RM? (Note: This person Darren K. Indyke contact(indicate phone 212 971 1314 needs to have signatory no., fax no., e-mail rights and/or information address, etc.): right for the accounts.): SDNY_GM_00064323 littps://dbforcepb.my.salesforce.crsepgvIDENopAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. n'ota) ' DB-SDNY-0027148 EFTA_00174826 EFTA01298930  KYC Print Page 2 of 27 One sheet must be established for each account to be opened 2. Account Owns-ship Summary Acct. Number (if Account Name: Nes LLC - 42953758 - DDA 42953758 evadable): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account to take care of the expenses associated with running Jeffrey Epstein's NY home Indicate from where the assets are expected to arrive? 1, 7 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booking Center (Indicate DB location and account details): 0 Other Institution - (Indicate name & location): L..1 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)?: ni, 10-20/month; $30 - $20K What is the expected volume of assets and currency for the account 252,347.66 'Currency I USD approx. 90 days after opening? What is the expected volume of assets and currency for the account 252,347.66 I Currency I USD approx. one year alter opening? Does/will the client have Assets Under Management (AuM) within 0 Yes Witlo DB under Eur. 3M? mean 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. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s . _egal Descnption AccountblC Settlor of Jltimate Signatorycimeed mantle! Significant !Mayor Source Holder OwnerTrust / Beneficial or Full POA ntermediary Shareholder of Wealth Founder of Owner POA FIM) (>=25%) Other (please required Foundation Von-PIC describe other entity roles and/or ;indicate ndicate Parties related to ownership relationship this account j%) petween parties) 1 rtZ 2 NES, LLC 2 0 0 0 U 0 0 2 Li 0 Darren K. lndyke 0 • 0 0 2 iii 0 Auth Signor; 3 0 [1 Harry Beller 0 0 0 0 Z El 0 Aunt Signor; Beneficiary:Sole Member;Primary 4 0 q Jeffrey E. Epstein 0 0 0 0 Z CI 0 100 Decision Maker;Sole Owner; SDNY_GM_00064324 littps://dbforeepb.my.salesforce.ccnicghispitErEttpAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'oeP. a(b) ' DB-SDNY-0027149 EFTA 00174827 EFTA01298931  KYC Print Page 3 of 27 2. Account Ownership Summary Acct. Number (if Account Name: Plan 0 LLC - 42953467 - DDA 42953467 availatVel Account Manager: Stewart Oldfield What is toe purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account for pay for costs associated for Jeffrey Epstein's airplanes Indicate from where the assets are expected to arrive? 4i-..1 DB Group: Same Booking Center (indicate account number): Existing :7 O DB Group: Other Booking Center (indicate DB location and account details): D ,.. Other Institution - (Indicate name & location): "I t..J 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)?: ••••• 1-5/month; $100 • $500K What Is the expected volume of assets and currency for the account 790,453.14 1Currency approx. 90 days after opening? I US° What is the expected volume of assets and currency for the account 790,453.19 I Currency USO approx. one year after opening? I Does/will the client have Assets Under Management (AuM) within DB O Yes Z No under Eur. 3M? 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 (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultintate/undedying Beneficial Oviner(s . _egal Description Account ?IC Settlor of Jlbmate Signatorysimpted Financial Significant Inbtyof Source Holder OwnerTrust / 3eneficial x Full POA ntermediary5hareholder of Wealth Founder of Owner POA (FIM) (>2•25%) Other (please required Foundation Non-PIC Jesaibe other entity roles and/or ;indicate ndicate Parties related to iwnership "elationship this account %) Dehveen parties) 1 2 2 Plan D, LLC O Li O • O O Beneficiary;Sole 2 U [A Jeffrey E. Epstein O O O 11.€1 5 O O Member;Primary Decision Maker; 3 -' O Darren K. Inclyke L • O O El ❑ O Auth Signor; 4 L...] D Harry Beller O O [1] O W C7 O Auth Signor; 5 r- ❑ Lawrence Paul O O O O O ❑ O Manager; 1Asoski 3r SDNY_GM_00064325 IllIps://dbforcepb.my.salesforce.ctir4dsgvIDENopAts130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. Roe (b) ' DB-SDNY-0027150 EFTA 00174828 EFTA01298932  KYC Print Page 4 of 27 2. Account Ownership Summary Acct. Number 0' Account Name: The Haze Trust - 77000949 - DDA available): Account Manager: Stewart Oilfield what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is an interest bearing checking account for costs (taxes, etc.) related to this Trust Indicate from where the assets are expected to anive? E. DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): i...] 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)?: ••• 1.3/month; $10K - $10MM What is the expected volume of assets and currency for the account 7,707,707.25 1Currency I USD approx. 90 days after opening? What is the expected volume of assets and currency for the account 7,707,707.25 'Currency I USD approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB O yes R No under Eur. 3M? 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 (> 1can be selected). • If none of the theCk boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal Description AccountPIC Senior of Jlbmate Signatory_imitedlinancial Significant Enbtyof Source Holder OvmerTrust / Beneficiator Full ?OA IntermediarySharehoider of Wealth Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related ownership 'elabonship between o this account %) parties) 1 Lii Ri Thee Haze O D O st ❑ O O O 2 I I rren K. O O O O LI lDandyke W..1 O O Trustee:Trustee;Auth Signor as Trustee; Setdor;Beneficiary; Trustee:Trustee;Auth Jeffrey E. O O gz M V 3 El FA Epstein ❑ .i J O Signor as Trustee & 'riflery Decision (Maker; SDNY_GM_00064326 littps://dbforcepb.my.salesforce.eCr' ifMbdspleEttpA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ll'orP. e(e) ' DB-SDNY-0027151 EFTA_00174829 EFTA01298933  KYC Print Page 5 of 27 2. Account Ownership Summary Account Name: The Haze Trust - N4G024943 - DBSI Acct. Number (it N4G024943 available): Account Manager: Stewart Oktfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a brokerage account for the trust to hold and make investments in marketable securities is the purpose of the account Indicate from where the assets are expected to arrive? .12l DB Group: Same Booking Center (Indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): --, ....! Other Institution - (Indicate name & location): . ::-,sts (specify cash, securities, cheques, ...): 1. hat is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: - 3-10/month; $10 • $2MM What is the expected volume of assets and currency for the account 20,355,143.12 I Currency I USD approx. 90 days after opening? What is tne expected volume of assets and currency for the account 20,355,143.12 'Currency I USD approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DE El yes R No under Eur. 3M' 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 (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). _egal Description AccounWIC Settlor of Jltimate SignatoryjmitedFinancial Significant cnbtyof Source Holder OwnerTrust / Beneficial."( Full ?OA IntermediarySliarehoider of Wealth Founder of Owner POA (FIM) (>=25%) required Foundation Non•PIC Other (please entity describe other roles (indicate and/or indicate Parties related ownership relationship between to this account %) parties) Trust The Haze n 1 R 5 z U O O i_i O C Settlor;Beneficiary; Trustee:Trustee;Au Jeffrey E. L i Li --. 2 O 5 y ;.1 0 Y.I O O Signor as Trustee & Epstein Primary Decision Maker; Darren K. O O O E6 L U U Trustee:Trustee;Au 3 lndyke Signor as Trustee; Paul has Limited Trading 'I El El Paul Barrett O DO O O O Authorization for Brokerage account; POA for Brokerage 5 O [1 Harry Beller • o a a O D Account; 6 O O O O O • '5 III O POA for Brokerage Account; SDNY_GM_00064327 littps://dbforcepb.my.salesforce.eciriegisepgvIDENopA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. iforP. BM DB-SONY-0027152 EFTA_OOI 74830 EFTA01298934  KYC Print Page 6 of 27 I I I I I I I Jean Anne Brennan W,ebracht SDNY_GM_00064328 Imps://dbforcepb.my.salesforce.cPer IniENctiA0L130000000D9Ditic... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.CIRIa DB-SDNY-0027153 EFTA_00174831 EFTA01298935  KYC Print Page 7 of 27 2. Account Ownership Summary Acct. Number (if Account Name: The Haze trust - 42967287 - DDA 42967287 available). Account Manager: Stewart Oilfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account for costs (taxes, etc.) related to this Trust Indicate from where the assets are expected to amve? E. DB Group: Same Booking Center (indicate account number): Existing 2 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): i..i 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)?: There are regular transactions in The Haze brokerage account, which is where most of the activity is. The deposit account just holds cash to earn the interest. Wouldn't expect many transactions there. What is the expected volume of assets and currency for the account 2,503,667.84 'Currency 1 115O approx. 90 days after opening? What is the expected volume of assets and currency for the account 2,503,667.84 'Currency I OW approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB Ell yes g No under Eur. 3M' 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 (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Oviner(s). _egal Description AccounWIC Settlor of Jltimate Signatorytimited Financial Significant zntityof Source Holder Ownerfrust / Beneficialor Full POA Intermediary5hareholder of wealth Founder of Owner POA (FIM) (>=25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties related ownership relationship between this account %) ciarties) 1 ce, IA The rustHaze 2 C 2 CI ri i_i 0 E Settler:Beneficiary; Trustee:Trustee;Au 2 Jeffrey E. 0 0 2 72 Si) 0 C Signor as Trustee & Epstein Primary Decision Maker; Darren K. 3 0 0 lndyke 0 0 0 U d Li L Trustee:Trustee;Au Signor as Trustee; SDNY_GM_00064329 https://dbforcepb.my.salesforce.cr et N30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. . ( ) DB-SDNY-0027154 EFTA 00174832 EFTA01298936  KYC Print Page 8 of 27 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 E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Has client raided outside Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of Address of primary U.S. nationality for 5 years or 0 Yes -- WTI No residence: more? Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, V.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in ,.._ the financial industry? or an entity listed on a DO-recognised exchange? (Not L Yes M No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Ve4 destribe) bi Yes 0 No Connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB ri Famity ri Friendship WI None grout:P(1fFamily or Fnenclsivp, descfibe) N/A To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes W No source, supplier of goods or servIces)?(f Ye5descnbe) NA If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private of Business: Other Location (specify): Date: Domicile: Stewart Oklfield ❑ rn 6/28/2017 W i__i 0 0 0 0 F ..._., 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. 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 wealth/source of Funds? United States Primary industry of source of Wealth/Source of High Risk financial Institutions Funds? W Business Owner 0 SalSalary/EarningsW. Investment Ell Inheritance/Gifts Summarize Source of Wealth: D Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For inheritance, how did family accumulate wealth?For businms owners, how long in business, how many employees, level of SDNY_GM_00064330 littps://dbforcepb.my.salesforce.ctAlisepgvIDEMA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. ItoeP.B(b) 1 DB-SDNY-0027155 EFTA_00174833 EFTA01298937  KYC Print Page 9 of 27 profitabikty? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Steams early in his career and then formed his own firm, J. Epstein & Co. He lives in the US V1rgin 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 Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net- worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 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 client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands. In 2003, 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 $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revalue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets Estimated Annual Income 10,000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM (5): Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Financial Institutions: Country: Est. Assets Under Mgt: 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.): N/A SDNY_GM_00064331 Intps://dbforeepb.rny .salesforce.ctiet athgvettlopAts/30000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP.a(e) I DB-SDNY-0027156 EFTA_00174834 EFTA01298938  KYC Print Page I 0 of 27 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Inclyke - 00000486405 Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of his/her counuy of Address of primary nationality for 5 years or O Yes Kii.. • - No residence: mere? Profession/Occupabon: Accountant Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter 83 Livingston Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DO-recognised exchange? (Not ❑ Yes ki No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Yes describe) N/A • Yes W No To the best of your knowledge, is the indMdual related to an employee of the DB O Fan* O Friendship 0 None group?(ifFamily or Fnenclsivp, desalbe) N/A To the best of your knowledge, Is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes W No source, supplier of goods or servIces)?(f Yesdeseebe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: Stewart Oldfield R O O 12/12/2016 O iiii O O • O [11wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings El] Investment O Inheritance/Gifts O other: SDNY_GM_00064332 littps://dbforcepb.my.salesforce.c MpusgvIDEittpA0L130000000D9Di&... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP. ' DB-SDNY-0027157 EFTA_OOI 74835 EFTA01298939  KYC Print Page I I of 27 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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 invariable assets(f): (S): Estimated Net Worth($): Amount of assets planned to invest with FWM(S): Other Known Financial Insbtubons: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation or the individual (marital status, other family members, etc.): SDNY_GM_00064333 littps://dbforcepb.my.salesforce.cPer IftENTIAOL130000000D9Di8c... 11/19/2018 CONFIDENTIAL - PURSUANT TO FED. R.CR0oltItir DB—SDNY-0027158 EFTA_00174836 EFTA01298940  K Ye Pi nl