EFTA00166961.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01195159 Status : 6. Approved One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP I Bookng Center. I New York Relationship Manager: Paul hlorns O New PV/14 Relabonshp I RI Existing PWM ReLationshp Relationship to PWM: If existing, please indicate since when the relations p exists, provide reason for nev profile and attach old profile: Update c( KYC #01141322 to add Darren Indyke as an authorized Signer. Darren has been KYC approved in case #1133377 O Client Referral I0 RM Prospect 1O Interrnedlary/FIM IO Other Source (CD3, etc.) How Was the Chent(s) Introduced' How long has the please provide details (e.g. name of referral source, how many years RM personally has known dent, etc.): Jeffrey Epstein impersonally known the Is a current client of the Bank. Wants to open a new account Introduction detais of Paul and Jeffrey: Jeffrey Epstein was a client/ dent of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 3PMorgan. 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 I O No retrocession or similar compensation to a third party for the introduction of this (If Yes, descnbel. relationship' Ust all existing and new accou is involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 0 NES, LLC 10/28/2013 2 O NES, LLC - Money Market 10/28/2013 Who is the primary contact person for the RH, (Note: Preferred method of contact This person needs to have Harry seller (indicate phone no., fax no., signatory rights and/or e-mail address, etc.): information right for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002735 EFTA_00016209 EFTA00166961  KYC Print Page 2 of 14 One sheet must be established for each account to be o 2. Account Ownership Summary Account Name: NES, LLC Acct. Number (ifavaialle) Account Manager Paul Morris What s the purpose of the account (e.g. portfolio management, advisory account ustody services, long-term investment payment/expense account)' Checkng account to hob the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes Indicate from inhere the assets are expected to arrive' • DB Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (indicate DB location and account details): O Other Institution (Indicate name & location): WMorgan. New York O Physical Deposit (specify cash, securities, cheques, ..): What is the expected size and frequency of regular rflows and outlaws for the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from $1000 to $20000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 1100000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes No Please list all parties related to the account. For each party: • Check if a source of wealth description is requked 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 partys relation to the account In the "Other" column. • Always describe the relationship between the pate in the last column. • Please drill down to the ultimate/ nderlyng Beneficial Owner( ). _egal Description AccountPIC kettlor of Jltimate %natty JmAeciFinancial Significant _ego! Grantor/Setdat-cundmg Other Intitycf Source Holder OwnerTrust / Benefkialor Full ?OA IntermedlaryShareholder Representative Donor (please of Wealth Founder of Owner POA (FIM) (>•254t) describe required Foundation Non-PIC other roles entity and/or Parties (Indicate indicate related ownership relationship to this %) between account\ varbes) 1 21 5 "Es' LLC 0 O O O O • O O O O Harry 2 O O O O Beller "❑ 1 r-i O • O O O O O Sertrey in Epstein DO 3 lii 2 J 0 O 11 • O • Dar O O 4 O O 1ndyreken n `—' O El O O O O O https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002736 EFTA_00016210 EFTA00166962  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: NES, LLC — Money Market Acct Number (d'avadable) Arrant Manager: Paul Morris What is the purpose of the account (e.g. portfolio managers nt, advisory account custody services, long-term rivestment payment/expense account)' Money market account to hold the funds necessity to cover the costs associated wah naming one of Jeffrey Epstein's homes and earn interest Indicate from where the assets are expected to arrive? • 08 Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DEI location and account details): M Other Institution (Indicate name & location): )PMorgan. New York El Physical Deposits (specify cash, securities, cheques, .•.): What S the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume p r month)': Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10000 'Currency I USD What s the expected volume of assets and currency for the account approx. 90 days after opening' I What s the expected volume of assets and currency for the account approx. one year after 1100000 'Currency opening> I USD Does/wi the client have Assets Under Management (AuM) within 113 under Eur. 3M/ • Yes 12No 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 relatlonstup of the party to the account (> 1can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Always describe the relationship between the parties it the last column. • Please drill down to the ultimate/ nderlYm9 Beneficial Owner( ). _eget Description AccounIPIC Settlor of Jltimate Signatory JmiteciFinancial Significant -eget Grantor/Setborfounding Other Intityof Source Holder OwnerTrust / Benelkialbr Ni ?OA InternedlaryStrareholder Representative Donor (please of Wealth Founder of 'wrier POA (9M) (>=25%) describe requked Foundation Non-PIC other roles entity and/cr Pastes (indicate indicate related ownership relationship to this %) between account parties) NES, LL zd- O O 1 2 5 C O • O • O O O Harry 2 O O ❑ Bei err l-i ❑ O O O ,e4 O O O O O Jeffrey n O O 3 O 2 Epstein i❑ L-J 2 2 O O O O O Darren n O O • 4 O • Indyke " O I: O O O O https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002737 EFTA_00016211 EFTA00166963  KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhin Summa 3A. Individual Details (for all parties) Indtviduars Name: Jeffrey Epstein - Date of Bete 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Litre Sant lames Saint Thomas 00802 US Virgo Wands his/her country of natiOnalky O Yes 'fa No Address of primary residence: for 5 years or mete? Profession/Occupation: Self Empotyed Tax ID / SSW Current Employer Southern Financial LLC Position/Title/Rank: President Address of employer: Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustre a an entity listed on DB-recognised exchange' (Not applicable for operating LJ Yes 0 No nutlet Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O yes 0 No To the best of your knowledge, is the Individual related to an employee of the 06 group'(' D Family 0 Friendship IN None Faint or FnencIsixA describe) To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc ❑O Yes TA No services)'(' Yes, describe I If applicable, Silicate Mich bank celkers have met the indicate Mere and Wien the client meet4(s) took place: person: Client Prirate Client Place of Bank Officer Name(s) Bank Office: Other locabon (specify): Date: Domicile: Business: Paul Morris O O 0 10/21/2013 O El O O O u OWealth Debits 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: Prwate investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Surrrnarize Source of Weakly 0 Business Owner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Dewitt Source of Wealth /Detail the history of neath for each of the sources: (e.g. Fee trusts, how did set or &cumulate wealth? For inheritance, how did family accumulate wealth'For business ovmers, how long In business, how many employees, level of profitability' indicate type of business, countries of major activities. important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Steams and became a partners 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 north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and hi financial management Rims Estimated Annual Income(S) 10,000,000.00 Estinated amount of investable asseD(S): $100 MM - SOO MM Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest vii PWN(S): Other Known Financial Institutions: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002738 EFTA_00016212 EFTA00166964  KYC Print Page 5 of 14 Institution. Institution: Institution: IPMorgan Deutsche Bank Country: Country. Country: USA USA Please indrtate the farm& situation of the indryidual (marital status, other famty members, etc.): Est. Assets Under Mgt Bt Assets Under Mgt Est Assets Under Mgt: 40,000,000.00 154,000,000.00 1 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002739 EFTA_00016213 EFTA00166965  KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownarshi Somme 3A. Individual Details (for all parties) Individual's Name. Harry Beller - Date of Beth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of his/her country of natIOnalty El yes 'fa No Address of primary residence: for 5 years or wore? Profession/Occupation: Accountant Tax ID / SSW Current Employer: HEIRK Associates, Inc Position/Trtle/Rank: Address of employer: Does the person work as senio executive of a CO-recognized regulated entity in the financial ndustry' a an entity lived on Ce-recognised exchange' (Not applicable for operating O Yes ELI No notes Is the individual a Politically Exposed Person (PEP)(/ Yes, describe) O Yes 0 No To the best of your knowledge, IS the Individual related to an employee of the Ce group"(r/ D Family 0 Friendship IN Plate Faint or FnencIsixA describe) To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc O Yes rA No services)'at l'es,desrnbe I If applicable, indicate with bank officers have met the indicate where and Wien the client meets (s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Locabon (specify): Date: Domicile: Business: Paul Morris O O 0 10/21/2013 O El O O O u O Wealth Debi. 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: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealbi/Source of Funds' Summarize Source of Wealth: O Business Owner O Salary/Earnings il Investment O Inheritance/Gifts 00ther: Further Deseret Source of We MI /Detail the history of weath for each of the sources: (e.g. For trusts, how did stela accumulate wealth' For inheritance, how did family accumulate we Ith'For business owners, how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvitles, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Insbtubon: Country-. Est Assets Under Mgt Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002740 EFTA_00016214 EFTA00166966  KYC Print Page 7 of 14 Insbtution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (marital status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SIDNY-0002741 EFTA_00016215 EFTA00166967  KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership S 3A. Individual Details (for all parties) Individuars Name. Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of hts/her country of natIOnally El yes 'fa No Address of primary residence: for 5 years or mete? Profession/Occupation: Larger Tax ID / 5511: Current Employer: Southern Financial LLC Posh:Ion/Title/Rank: Address of employer: 575 Lexington Ave New York NY USA 10021 Does the person work as senio executive of a DB-recognized regulated entity in the fbarKial ndustry> a an entity listed on CB-recognised exchange' (Not applicable for operating O Yes Wino emotes Is the individual a Politically Exposed Person (PEP)'(/ Yes describe) L3 r- Yes S6 No To the best of your knowledge, IS the Individual related Wan employee of the D8 group, (rf 0 Family 0 Friendship Ri None Fn)' or (nencIsixA describe ) To the best of your knowledge, is the indndual party to a non-banking reiabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc ❑O Yes N No services)'() Yes, desrnbe I If applicable, indicate which bank officers have met the indicate Mere and Wien the client meethig(s) took place: person: Client Prirate Client Place of Bank Officer Name(s) Bank Office: Othet Location (specify): Date: Domicile: Business: O O O O El O O O u OWealth Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbes 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: OBusiness Omer O Salary/Eamings II Investment O Inheritance/Gifts 00ther: Further Deseret Source of We MI /Detail the history of swath for each of the sources: (e.g. For trusts, how did settler accumulate wealth> For inheritance, how did family accumulate we )'For business owners, how long In business, how many employees, level of profitability' Indicate type of business, countries of major aobvities, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets(!): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutor': Institution: Country: Est Assets Under Mgt: Insbtubon: Country-. Est Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002742 EFTA_00016216 EFTA00166968  KYC Print Page 9 of 14 Institution: Country: Esc Assets Under Mgt Please indicate the family situation of the edividual (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 all Legal Entities) Legal Entity Name: NES, LLC - ®Private Investment • Type of Entity. El Foundauonmssocianyi O Trust R Company El Estate Purpose of Entity: O Partnership tanthropic/Chartable 0 ommercial Type of Entity Other Purpose of Entity (specify). Other (specify): Date of Country of USA 8/13/1998 incorporation / inCOrpOrabbn/regiStrabOn: reentrance: Vokker Status: Volcker Hag: Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIWEIN: code): Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundations, include information about revocability,setifor and beneficiaries,etc.: Single member U.C. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the seine persons) To the best of your km:Wedge, is the entity party &Saban-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes O No services)?: Describe Nature of Entity's Primary Business and Investment Activities NES, LLC was formed to take care of the expenses associated %%eh running one of Jeffrey Nature of the business: Epstexis homes Countries whet business is transacted: USA, USVI Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Sectioe 2) Primary Country of source of math/source of Funds' Primary Industry of source of Wealth/Source of Funds> Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabeities): Al funds come from Jeffrey Epstein, who has been KYCd previously Estimated gross receipts p.a.($): Estimated net profit pa. (5): Estimated investable assets (S): <S1 MM Potential Amount to be Invested with PWM (5): 200,000.00 Other Known Financial Institutions: Institution: )PMorgan Country: USA Est Assets Under Mgt: I 200,000.00 Insbtution: County: Est. Maas Unger Mgt: https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002743 EFTA_000 162 17 EFTA00166969  KYC Print Page 10 of 14 Institution: County: at Assets Under Mgt I Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002744 EFTA_00016218 EFTA00166970  KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center rr ...4 NY O NY/Offshcre C Offshore E isk Moderate 7.1 High Risk Jacqueline Ughtbody (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided Ti Drivers License 74 Passport • Nabonal/State ID O Other Checklist dnames (individuals and/ccentitles) that were submitted for database searches is B. 74 Yes O No attached C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes O No negative results found 74 Yes O No PCR checks complete 2 Yes • No negative results found O Yes 0 No OFAC checks complete 2 Yes O No negative results found O Yes @No BIS searches complete (Lexis/Nexis, Factlea, Reuters, Dow Jones, MO g Yes . No negative results found • Yes 2 No Denial Orders checks complete TAYes 0 No negative result found • Yes @No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes Elio negative results found • Yes EINcr Please summarize any negative results from the database searches Indicated above: DARREN INDYKE: Previously KYC approved In case a 1133377 JEFFREY EPSTEIN: Previously KYCd and approved in: 01082293 and 01121718 D. HARRY SELLER: Previously KYC0 and approved: 01133624 NES, LLC: Negative media does not pertain to our client Our client is an LLC that is only used to pay for the costs associated with naming a private home No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense' 7a Yes O No To the best of your knowledge, has the customer ever been Involved in any past litigation against Deutsche Bank AG or any of As subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of is subsidiaries, of yes, provide deters below end crated Quaky 0 Yes @ No Met geblirdlon)erb• Rfleotory Control Group endnotify Complexe irnmetettly) Does the client or related party have any financial or other association / interactions within G. 0 Yes @ NO countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other association/ interactions within high . rs H. risk countries' M Yes Ml No I. Corporate Documentation Attached (Legal Enbties Only) 2 Yes 0 No • Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No RI Not Applicable K. If Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary d the nature/contents of the noirEnglish Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Counties? O Yes 2 No Is the account structure unusually complex' https://dbforcepb.my.salesforce.com/servlet/servIet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002745 EFTA_000 16219 EFTA00166971  KYC Print Page 12 of 14 Oyes No Is there any inclicabon the client set up a non operabng company expressly for the purpose of transferring shares to third parties, ❑Yes @No Is there any indrcabon bus could be a prohibited business relabonship7 ❑ yes EiNO Are the bearer shares identified subject to acceptable controls, ❑Yes EaNo Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D B -SDNY-0002746 EFTA_000 16220 EFTA00166972  KYC Print Page 13 of 14 M. Case Comments Created By Date Comments 1 page of DB Certificate of LIG Resokitian with the 2nd that did not list all signers, is acceptable. The only Jacqueline Ugtody W14/114 3:20 PM sevlsion was the 2nd page w*h the cared signers that Is attached separately. ONSHORE APPROVALS Clent Facing Professional (CFP): Paul Morris Signature) 2/24/2014 Saul Moms Office Director/Business Head: Brian M. Biggar (Signature) 2/24/2014 3nan H. Biggar Regional Office Director: (Signature) APR Business Risk: (Signature) AelL Compliance: (*imbue) Gwen Hill o/b/o Janke Franldin Gwen Hill ortalo Janice Franklin 3/14/2014 Jacqueline ughtbody Jacqueline Lightbody 3/14/2014 LATAM/INTERNATIONAL APPROVALS Client Facile Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (Gt4TH)/Sub-Market Team Head SMT14): MIL Business Risk: (Signatuie) AM) Compliance: (Signatuie) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT• Deutsche Rank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so. Client Facing Professionals)(!) (CFP's) shouldestablish andmaintain business relationships only withpersons who sail* our high standards ofsuitability. background and character. Due diligence obtainedon the