EFTA01283897.pdf

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATICNSHIP Booking Center: New York Relationship Manager: Paul Mont O New OWN Relationship El Ensbng PWM Relationship Relationship to PV/M: If existing, pl I e since when the relationship exists provide reason for new profile and attach old profile: Update of approved KYC Update Is ONLY to add aditional authorized signer. Harry Beier has already been KYC approved In case Please rush as this ti e simple update . Client Referral 2 RM Prospect O Intermediary/FIN O Other Source (CIB, etc.) How Was the Client(s) Introduced? How long has the Please provide details (e.g. name of referral source, ow many years RM personally has know dent. etc.): Jeffrey Epstein is RM personally known the a current client d the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client client' of Paufs at JP Morgan. Paul and Jeffrey Epstein had mutual fnend/colleague who introduced them while Paul was at JONorgan. 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 Bank pay a O Yes 12 No retrocession or similar compensation to a third party for the introduction of this (if yes, &escor) relationship' List all existing and new accounts involved ri this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 9 Jeepers Inc 9/18/2013 2 2 Jeeper Inc 9/16/2013 Who Is the primary contact person for the RN' (Note: Preferred method of contact This person needs to have Jeffrey Epstein (ndicate phone no., fax no., signatory rights and/or e-mail address, etc.): kiforrnaticn right for the accounts.): SDNY_GM_00039799 https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002623 EF1'A_00150408 EFTA01283897  KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: leepers Inc Acct. Number (if wadable): Account Manager Paul Moms What is the purpose of the account (e.g. pordobo management, advisory account, custody services, long-term investment, payment/expense account), Checking account for leepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive', O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account detalis): R Other Institution (Indicate name & locator* WMorgan Chase. New York, NY O Physical Deposals (Weary cash, securities, cheques. ...): What Is the expected size and frequency of regular Inflows and outfbws for the account (indicate estimated number and volume per month)? Roughly 5-10 Inflows and outlaws per month ranging from $1,000 to $10,000 Currency What is the expected volume of assets and currency for the accent approx. 90 days after opening, I I I USD 'Currency I uSD What is the expected volume d assets and currency fa the account approx. one year after opening, I 5°P® Does/VAN the client have Assets Under Management (Aunt) within CO3 under Eur. ? U Yes E No Please list all parties related to the account. For each party: • Check if a source d wealth desorption is required for the party. • Check the appropriate box to describe the relationshi of the party to this account (> I can be selected). • If none of the check boxes apply, describe the patty relation to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please die down to the ultimate/underlying Beneficial Ovmer(s . _egal notion AccounWPlC of Jibmate Sgnatory_I naixtal Significant {gal Sian /SettkeFounding Odle Entitynt Source Holder OwnerTrust / Beneioalor Full ?OA intermediary Shareholdeflepresentatve Donor (please / Wealth Founder of >ernes POA (FIN) (>=25%) describe required Foundation Non-PIC other roles entity and/or Parties (bdkate ndicate related ownership elationship to this 16) *Olsten account >attics) I 'ewe' El Inc • O O O O O O • O Jeffrey 0 0 sr 2 0 2 Epsizin r, I—I Il a 0 0 I 0 I 3 O O HanY Beier O • O • sa O o o 0 • Jeanne 4 O O Brennan • • O O 121 O • O O O SDNY_GM_00039800 Ilttps://dbforcepb.my.salesforcOraNtaliaFerbadiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002624 EFTA_00150409 EFTA01283898  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (I avaiatiel Account Manager: Paul Mors 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 leepers Ines cash. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (innate account number): 0 DB Group: Other Booking Center (Indicate DB locate, and account deals): Fe other Institution .4 (Imitate name a location): 1PMorgan Chase. New York, NY 0 Physical Depots (specify cash, secureles, cheques, ...): What is the expected it and frequency of regular Inflows and outflows for the account (irairate estimated number and volume per month)," Roughly 1-2 inflows and outflows per month ranging from $1,000.$10,000 'Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening, I 1150,000 I Currency What is the expected volume of assets and currency for the account approx. one year after opening? I USD DoesfvIN the client have Assets Under Management (AuM) within CS under Eur. 3M, II Yes 7) No Please list aN parties related to the account. For each party: • Check Ile source of wealth descriptkm is required for the Party. • Check the appropriate box to describe the relationshi of the party to this account (> 1can be selected). • f non of the check bares apply, describe the party 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). _egalbescnpbon AccounWPlC Senor of inmate Signatorysneedhnanaal Significant /gal Stantor/Settlatounding Oth et .intity of Source colder Ormertrust/ generic/aloe Full PO* Intermediary ShareholdergePiesentathe Donor (please of Wealth rounder of Owner POA (FIN) (>=25%) describe required Foundation Non-PIC other roles entity and/or Parties (ndkate ndkate related ownership elatimship to this %) between account sorties) i 9 9 2 0 0 • • the per/' 0 0 0 0 0 Jeffrey ri 0 0 2 0 IZA Epstein I" 0 a 0 0 0 0 0 3 0 0 rr( BKaeller • •❑ 0 IIII 5 • • 0 0 MI Jeanne 4 0 0 "❑ Brennan r-i • • 0 9 0 0 • 0 0 SDNY_GM_OOO398O1 https://dbforcepb.my.salesforetaNErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002625 EFTA_001504I0 EFTA01283899  KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's !tame: Jeffrey Epstein - Date of Birth: country of Residence: USVI Country of Citizenship: USA Has dent resided outside of Lite Saint James Saint Thomas 00802 US Virgin Islands his/her county of nationality MI yes 12] No Address of primary residence: for 5 years or more> Pidession,Occupation: Self Empolyed Tax ID / 5511: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Does the person work as senior executive el a De-recognized regulated entity in the financial ri __ pm ndustry' or an entity listed on a D8-recognised exchange? (Not appkabk for operating entities i--i Yes Is the individual a Politically Exposed Person (PEP)/(if Yes, describe) Ehes E?) No To the best of your knowledge, is the individual related to an employee of the DB group'(‘ [3 Family 0 Friendship 5 None Farn4, or rnencWup, desathe) To the best of your knowledge, is tie individual party to a narbanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes J No servkes)>(if YeArfescribe) If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place: Perkin: Client Pilate Client Placed Bank Officer Names) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris El • 0 8/7/2013 Li O O O • O 0Wealth Details for this individual 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 Individual's Business: Private investments Nimbly Country of source of wealth/source of Funds' Primary industry of source of Wealth/Soutce of Funds' Summarize Source of Wealth: Z Business Owner O Salarygamings RIInvestment O Inherftance/Glfts 00ther. Further Describe Source of liVealth /Detail the history of wealth or each of the sowers: (e.g. For trusts, how did setter accumulate wean' For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilky? Indicate type of business, countries of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a parberi n 1980. In 1982, Epstein founded his own finandal management firm, J. Epstein & Co., managing the assets d clients with more than a billion in net worth. In 19%, 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. /Os wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): S50 WI • 100 Mk Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to Slyest with FWM(S): Other Known Financial Institutions: Instibition: JPMorgan Chase Country: USA Est. Assets Under Mgt: 20000,000.00 SIDNY_GM_00039802 https://dbforcepb.my.salesforeCCINErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002626 EFTA_00I504I EFTA01283900  KYC Print Page 5 of 14 Institution' Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Mease indicate the family situabon of the mein/I.:Nal (marital status, other (amity members, etc.): Single SDNY_GM_00039803 t ps://dbforcepb.my.salesforcOrtaNEJIDEArdiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002627 EFTA_00150412 EFTA01283901  KYC Print Page 6 of 14 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 Beier - Date of Birth: County of Residence: USA County et Cttrenship: USA Has dent resided outside of his/her country of nationality MI yes W No Address et primary residence: for 5 years or more> PicifessioniOccupation: Accountant Tax ID / 5511: Current Employer: HBRK Associates, Inc Position/Tele/Rank: Address of ernPloYet: 575 Lexington Avenue, 4th Roor Money NY USA 10022 Does the person work as senior executive el a De-recognized regulated entity In the financial ri __ ndustry' or an entity listed on a CEI-recognised exchange? (Not appkabk for operating entities t—iles L7-1I4° Is the individual a Pobbcally Exposed Person (PEP)'(if Yes, desenbe) Oyes FA No To the best of your knowledge, is the individual related to an employee of the D8 groupW 0Family 0 Friendship rf None raIII4' or &rends/up, denote) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes J No serykes)'(tf Yescfescribe) If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place: Perkin: Ghent Hyatt Client Flare of Bank Officer Names)(s) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris RI • O 10/21/2013 L..: O O D • 0 0Wealth Details for this indMdual are not filled in, because they are the same n for the following person: 38. 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 indusby of source of Wealth/Source of Funds' Summarize Source of Weary 0 Business Owner 0 Salary/Eamings 0 Investment 0 Inherttance/Gifts 00ther: Further Describe Source of Wealth /Detail the het:cry of swath or each of the sowers: (e.g. For trusts, how did setbor accumulate weami' For Inhentance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilty? Indicate type of business, countries of mayor activities, important business partners.) Estimated Annual Income(S): Estimated amount d Investable asset(s): Estimated Net Worth($): Amount d assets planned to Swat with PWM(5): Other Knower Financial Institutions: Institution: Country: Est Asset Under Mgt: Institution: Country: Est Asset Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_OOO398O4 https://dbforcepb.my.salesforcaINErilEatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002628 EFTA_00150413 EFTA01283902  KYC Print Page 7 of 14 IPlease Skate the family deaths of the Individual (nartel stabs, other tinily mothers, etc.): I SDNY_GM_00039805 INI ps://dbforcepb.my.salesforCCINEJIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002629 EF1'A_00150414 EFTA01283903  KYC Print Page 8 of 14 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 Date el Birth: country of Residence: USVI Country of Ctuenship: USVI Has dent resided outside or his/her country of nationality Eyes 5 No Address of primary ressdenCe: Ice 5 years or more Profession/Occupation: Finance Tax ID / 5511: Current Employer: Southern Financial, LLC Position/Title/Rank: Address of employer: 6100 Red Hook Quarter, B3 St Thomas USVI 00802 Does the person work as senior executive of a DB-recognised regulated entity In the financial ri__ cyri ndustre or an entty listed on a CB-recognised exchange' (Nat spoke* for operating entities ❑t--3 les rz-I NO Is the individual a Pditically Exposed Person (PEP)'(if Yes, desrnbe) O Yes E4 NO To the best of your knowledge, is the individual related to an employee of the DB group(ri 0Family 0 Friendship rd None ram* or rnencWup, descnbe) To the best of your knowledge, is the individual party to a nce.bankng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or I: Yes J No servkes)'fr res,eksenbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Ghent Private Client Place d Bank Officer Names) Bank Office: Other Location (specify): Date: Domicile: Business: O • O O O O a 0 0 0 Wealth Details for this indwklual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for patties requiring source of wealth description as Indicated in Section 2) Nature or the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealthraource of Funds' Summarize Source of Weary 0 Business Owner 0 Salary/Eamings DInvestment 0 Inheritance/Gets 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the scores: (e.g. For trusts, how did seltor accumulate wealth" For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of profitatdty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incorne(S): Estimated amount d Investable assds(S): Estimated Net Worth($): Amount of assets planned to nest with PWM(S): Other Known Financial Institutions: InstlbAlon: Country: Est. Asset Under Hgt: Instilartion: Country: Est Assets Under Mgt: Institution: Country: at. Assets Under Mgt: SONY_GM_00039806 https://dbforcepb.my.salesforeCCINErilEaTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002630 EFTA_00I504I5 EFTA01283904  KYC Print Page 9 of 14 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Seegers, Inc 0 Private Investment O OFoundation/Association O Trust El Company O Estate TYPe of Entity: Purpose of Entity: Philanthropic/Charitable 0 O Partnership Commercial Purpose of Entity Type of Entity Other (specty): Other (specify): te Country of United States Virgin Island 8/18/2003 Da incorpora of tion / incorporation/registration: registration: Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hook Quarter 93 St Thomas 00802 USVI U.S. 11N/EIN: code): Provide a description of the entity's organizational structure, its ovmership structure and its Top Management. For trusts/foundations, include nfonnabon about revocatility,settlor and benehoiaries,etc.: Jefhey Epstein is the sole shareholder of Japers Inc Please Indicate how ownership d the legal entity is reflected: • Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same persomf. To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche r--, Bank (e.g. external legal counsel, client referral source, supplier of goods or services)>: yes l_i No 0 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Jeepers Inc is a private company that holds investments of es owner, Jeffrey Epstein. Countries where business s transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requirng source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds, Primary Industry of source of WeatIVSource of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabitRies): /tenets Inc was started to hold the personal invesbnents of Jeffrey Epstein. The company began with 1,000 stares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable asset (S): $20 MM - 50 Mal Potential Amount to be invested with PWM (5): 200,000.00 Other Known Financial Insbtubons: 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_00039807 https://dbforcepb.my.salesforeCLINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002631 EFTA_00150416 EFTA01283905  KYC Print Page 10 of 14 SDNY_GM_00039808 littps://dbforcepb.my.salesforcCaNEIDsKidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002632 EFTA_00150417 EFTA01283906  KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/InCI PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center El NY O E Ceshore ❑O Mockrate ©High Ftsk Michael Wes NY/ re sk (Compliant Signature) • DB Employee • ea Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 0 Drivers Ucense O Passpat aNallettal/Stite ID O0ther B Checklist of names (individuals and/or entitles) that were submitted for database searches Is attached Orin 0 No C. Please indicate the results of the database searches performed RDC searches complete I21yes I: No negative result kind Mt EINO PCR checks complete 0 yes O No negative results found Ova 0 No OFAC checks complete ®Yes CING negative results found ages NO BIS searches complete (Les's/Nos, Factiva, Reuters, Dow )ones, MB) RI yes O No negative results found Ova ONG Denial Orders checks complete Ere% El No negative results found Oro n NO alanindale-Hutbell searched (Lawyers/Low Firms only) area Eno negative results found Ova 0 No Please summarize any alive results from the database searches indicated above: HARRY BELLER: KYC approved in case )EANNE BRENNAN: No Negative Media No Court Cases D. JEFFREY EPSTEIN: Jeffrey vas approved In KYC His PCR/RCC alerts and elear:roce ii documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media Al court cases are not our client. The court cases refer to a )eepers Inc in Arizona and one in North Carolina. Our dent is based in the US Virgin Islands E. To the best of your knowledge, has the client ever been convicted of a ervninal offense> El Yes 0 No To the best of your knowledge, has the customer ever been involved In any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of it subsidiaries> (If Yes, prow* detads below andcontact Quality Mgt O Yes FA No gatArnantl) or the Regulatory Control Gnaw arc( nobly Comptiatxr immediately) Does the client or related party have any financial or other association/interactions within G. countries a regimes sanctioned by the Office of Foreign Assets Control (OFAC)? O Yes El No H Does the client or related party have any financial or other association/ interactions within high risk oyes countries? ONO L Corporate DccurneMatkm Atbebed (Legal Entitles Only) 0 Yes O No O Not Applicable 3. Undisclosed Prlectpal Form Complete (Intermediaries Only) 0 Yes 0 No ®Not Applicable K If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentations not ki English, please provide an English summary el the nature/contents of the non-English Documentatkn: L. Special Risk Factors Does the account have Nexus to Special Risk Countries> ayes EZ No SONY_GM_00039809 hups://dbforcepb.my.salesforCCINEJIDEgALIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002633 EF1'A_00150418 EFTA01283907  KYC Print Page 12 of 14 Is the account structure unusually complex? Oyes E No Is there any indkabon the client set up a non cperabng company expressly for the purpose d transferring shares to third parties' U Yes E No Is there any indkation this could be a prohibited business relationship/ O yes E No Are the bearer shares Identeled subject to acceptable controk, ❑Yes EZ No SDNY_GM_00039810 https://dbforcepb.my.salesforeCCINEIDEgrNiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002634 EFTA_001504I9 EFTA01283908  KYC Print Page 13 of 14 PI Can Comments Created By Date Comments amass Light** 10/29/1131:38 PM Ron b nn change In RN rek rØ for this update. Therein, a new SA Sohn:: not required. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 10/24,2013 Paul Morris Office Director/Business Head: Brian St Biggar (Signature) 10/24/2013 Brian M. Biggar Regional Office Director. (Signature) Aril Business Risk (Signature) AML CcarMianie: (Signature) Jacqueline Ughtbocty Jacqueline Ughtbody 10/29/2013 Michael Via Michael Via 10/29/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager (Signature) Global Market Team Head (Signature) (644T11)/Sub- Market Team Head >MN: MIL Business Risk: (Signature) MIL Compliance: