EFTA00167075.pdf

KYC Print Page 1 of 15 DB PWM GLOBAL KYCMCA: PART A KYC Case : 01748087 Status : 6. Approved One sheet must be established Des relationship - list all accounts included In the relatIonshi L. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP: Booking Center: New York Relationship Manager: Stewart Oldfielf O New PWM Relationship IKI Existing ROM Relationship Relationship to PWM: If existing, please indicate since when the relationship eche; provkie reason fee new profile and attach cad toile: o new checking account with account title as Zorro Management LLC(House Acct) and adding new signo 5 Client Referral • RM Prospect O Intermediary/FIN O Other Source (CH), etc.) How Was the °rents) Introduced, How king has the RM personally known the Please provide details (e.g. one of referral source, how many years RM personally has known client, etc.): .1effrey Epstein client' reached out to Stew °einem on 3/7/17 to have a new acct opened under 7orro Management LLC and add two new signors to DM new acct only. Does Deutsche Bank pay a O Yes I El No retrocession or similar compensation to a third party for the introduction of this (fig Yes, describe) relationshc' List all existing and new accounts involved n this relatkinshp Legal Entity Account lame/ Plumber Opening Date (intended/actual) &counts) 1 Zorro Management, LLC - Deposit 12/27/2016 O 2 Zorro Managemert, LLC (House Acct) 3/10/2017 0 Who it the Primer contact person or the RM' (Note: This Preferred method of contact Darren Indyke person needs to have signatory phone no., fax no., tights and/or information right e-mal Wrest etc.): for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002849 EFTA_00016323 EFTA00167075  KYC Print Page 2 of 15 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account Name: Zone Management tic - De a 'Acct. Number (f avaibtie) Account Manager: dessert oldfldd What Is the purpose of the account (e.g. portfolio ma irmywiin , advisory account, custody servkes, long-term Investment, payment/expense account)? the purpose of this account is to manage the day expenses of the company Indicate from where the assets are expected to arrive E21 DB Group: Same Booking Center (Indicate account number): O DB Group: Other Booking Center (militate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (spat, cash. securities. cheques...) What Is the expected sire and frequency of regular Inflows and outflows for the arrow/ (indicate estimated number and volume per month)' 0.10 inflows/outfbrrs between 50k and 100k on a monthly basis 'Currency I usd What is the expected volume ol assets and currency For the account approx. 90 days after opening? I I 1000000 'Currency I us What is the expected volume of assets and nirrency for the account approx. one year after opening? DoesAsill the client have Assets Under Management (AuM) within DO under fur htt • Yes RINo Please list all parties related to the account For each party: • Check if a source of weak h description is required for the party. • Check the appropriate box to describe the relationship of the party to tins account ( > 1can be selected). • ff none of the check boxes apply, describe the parties rein ion to the account in the 'Oilier' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultImatelundedyIng Benelkial Cwneffs). _coal Description accountPIC Settler of Jitimate Signatory imIted financial SIgiafkant _egal Grantor/Sett • -mounding Inv Ently-of Soiree touter Cromer Trust / 3eneferalor full ?OA Intermedia anal/Medley rancor • or please / Wealth rounder ol Owner PO* (FM) (>=25%) Sescnbe required foundation lion-NC other roles entity and/or (indicate indkate ernes ownership 'elatio related to tit) between dos account Tholes) Zorro 1 El 2 Management, [0 O O • O O O O • O pc Jeffrey 2 O a =sue O O O O a O O O • O Darren 3 O O Indyke O 0 0 0 0 0 O O O O Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SIDNY-0002850 EFTA_00016324 EFTA00167076  KYC Print Page 3 of IS — 2. Account Ownership Summary Account Name: Zorro Management, LLC (House Acct) Acct. Number (i/evadable). Account Manager: stew oklfield What is the purpose of the account (e.g. portfolio management, advisory account, custody service; long-term Investment, payment/expense account)? The purpose of the account s to manage the monthly expenses of the company Indicate from where the assets are expected to arrNe? 0 DB Group: Same BoolOng Center (indicate account number): • DB Group: Other Booking Center (ndicate DB location and account details): 0 Other Institution - (Indicate name & location): O Physical Deposits (specify cash, saturates, cheques, ...X What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per mcrahr: 0.10 inflows/outflows of no more than 10k on a monthly basis What Is the expected volume of assets and currency for the account approx. 90 days after opening? 1 10000 usd I Csadddi I I 5°°° ICsfrer" I usd What Is the expected volume of assets and currency for the account approx. one year after opening> Does/will the client have /diets Under Management (AuM) within DB under Eu. 3M? O yes [ONO Please Hat all parties related to the account For each party: • Check d a source of weath description is requred for the party. • Check the appropriate box to describe the relationship of the party to this account ("lean be selected). • If none of the check bones apply, descr be the partys rely ion to the account In the °Met column. • Always describe the relationshp between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Cremy(s). sgal Descriptko AccounWIC Stake of _Palmate Signatory Jmked Financial Significant eget Grantor/Settlorfounding Other Entity,/ Source Solder Owner Trust / Send-idol/at Full ?OA IntennediarfahareholderRepresentative Donor ,please of Wealth Founder of )Surer POA (F1M) (>-25%) describe required Foundation Non-PIC other roles entity and/or (Indkate ndkate ?antes ownership relationship related to 3b) Setween is account sarties) Zorro I (2) O Management, O O O O O O O O O O LC 2 • IZ Jeffrey Ipstein O En 0 0 O O O O O 3 • Indyke Darren 0 0 0 0 0 0 0 0 0 0 0 Gordon, O O • 4 • O Oren L. O 0 O • O O O Gorden, O O O 5 O MI NI 0 IN O O O O Nice M. 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-0002851 EFTA_000 16325 EFTA00167077  KYC Print Page 4 of IS One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Detalls (for all parties) Individuaes Name: Jeffrey Epstein-- Date of Birth: 1/20/1953 Country of Reddens: USVI Country of Citizenship: USA Has dent resided outside of Utte Saint James Saint Thomas 00602 Ms/her country of nationality O Yes No Address of primary resIderxe: for 5 years or mare? ProfessioniOccupaben: Self Errpolyed Tax ID / SSN: Current Empbyer Southern FIIISIldal U.0 Pormonfek/Ranic President Address of errpbyer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior executive of a Dtrrecogneed regulated entity in the financial ndustry? or an entity listed on a De-recognised exchange> (Not appicable for operating entitles O Yes 0 No Is the individual a Politically Exposed Person (PEP)'(it Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the 06 group)(A • Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the individual party to a nom banking relationship with Deutsche Bank (e.g., external legal counsel, Sent referral source, supplier of goods or services)? O Yes OW (et YeAdescree) Indicate where and seen the dent meeting(s) took place: II applicable, indicate which bank off' me the person: Client Prrvate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O • ID • O O O O • Wealth Details for this Individual are not filled in, because they are the same as for the following person: 30. Wealth Details (Only for parties requiring sows of wealth description as Indicated in Section 2) Nature of the (nevi:Mats Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 0 Business Owner OSalary/Earnings 0 Investment E Inheritance/Gifts O Other: Esther Describe Source of Wealth /Detail the history of wealth for each of the sources (e.g. For trusts, how did senior accumulate wealth? For ideritance, how did family accumulate wealth?For business owners, how bng in business, how many employees, level of profitabety? Indtate type of business, countries of major activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1960. In 1962, Epstein founded Ns own financial management firm J. Epstein & Co., managing the asses et Sees with more than a billion in net worth. In 1996, Epstein changed the name of Ms Mtn to The Financial Trust Company and based a on the Island d St. Thomas In the US Wgln Islands. Al d his clients wee anonymotn except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and hi financial management fins Estimated Annual Income(8): 10,000,000.00 Estimated amount of invellabia assets(s): 950 kW - 100 Nil Estimated Net Worth(9): 5500 MM 1 Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servIet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002852 EFTA_00016326 EFTA00167078  KYC Print Page 5 of 15 'Institution: H si"' I Cs1 AsuYs Under 14$' Please indicate the family situation of the ndhfclual (mortal 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-SDNY-0002853 EFTA_00016327 EFTA00167079  KYC Print Page 6 of IS One sheet must be established for EACH INDIWDUAL PARTY in Section 2. Account OwnershipSummary 3A. Individual Details (for all pones) Indio:bars Name: Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of hs/her country of nationality O yes No Address of primary residence: for S years or mare Profession/Occupation: Lawyer Tax ID / SSN: Current Empbyer: Southern Financial LTC Poston/Title/Rant Address of empbyer: 575 Lexington Ave, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-recog nized regulated entity in the financial ndusUy? or an entity listed on a Da-recognised exchange> (Not applcable for operating entitles O Yes g No Is the individual a Politically Exposed Person (PEP)>(II Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the 00 group)(A • Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, is the individual party to a now banking relatonship with Deutsche Bank (e.g., external legal counsel, dent referral source, wpplser of goods or services)? [ h e. O N° (de Yekdesenbe) Indicate where and when the cleat meeting(s) took place: II applicable, indkatc which bank off' mct the person: Client Prrvate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Stewart Oldfseld ga O • 12/12/2016 • • O O O O • Wealth Detais for this individual are not filled in, because they are the same as for the Mowing person: 30. Wealth Details (Only for parties 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 Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wm h /Detail the history of wealth for cad. of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, how did family accumulate wealth?for business owners, how bag in business, how many employees, level of meltability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Mount of assets planned to Invest with PWM($): Other known Financial Institutkins: Instance: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mat: Please indicate the (array situation of the individual (marker status, tithe family members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002854 EFTA_000 16328 EFTA00167080  KYC Print Page 7 of 15 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-0002855 EFTA_00016329 EFTA00167081  KYC Print Page 8 of 1.5 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh Sum 3A. Individual Details (for all Parties) Indroduars Name: Date of Birth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of hts/her country of nationality • yes ?I No Address of primary residence: for S years or mare? Profession/Oecupalion: Manager Tax ID / SSN: Current Empbyer Zorro Management Pos/Jonffille/Rant Manager Address of empbyer: St Thomas United States Does the person work as senior executive of a DElrecog Wed regulated entity in the financial ndustry? or an entity listed an exchange> (Not appicable for operating entitles O Yes g No Is the individual a Politically Exposed Person (PEP)'(it Yes, descnbe) • Yes la NO To the best of your knowledge, is the Individual related to an employee of the 00 group(A In Family O Friendship RI None Finn* or Mends/bp, desenbe) To the best of your knowledge, Is the Ind Mdual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, wppber of goods or service-9>On. OW (de Yesdeserbe) Indicate where and when the dent eneeUng(s) took place: II applicable, indkate which bank off' me the person: Client Prrvate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Donticile: Business: O O • O • O O O O • wealth Details for this indivklual are not filled In, because they are the same as for the Mowing person: 38. Wealth Details (Only for parties requiring soiree of wealth description as indicated in Section 2) Nature or the Individuals Business: Primary Country of source of wealthrsource of Funds? Primary Industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Wm h /Detail the history of weakh for each of the sources (e.g. For trusts, how did setter accumulate wealth? For inheritance, how did family accumulate wealth?for business owners, how bag in business, how many employees, level of pretest/key? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Inceme(l): Estimated amount of investable assets($): Estimated Net Yierth(l): Aznount of assets planned to Invest with PWM($): Other known Financial Institutians: Indhuties: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under MS: Please Indicate the (array situation of the indlvalual (mareal status, oche (array members, etc.): 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-0002856 EFTA_00016330 EFTA00167082  KYC Print Page 9 of 15 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-0002857 EFTA_00016331 EFTA00167083  KYC Print Page 10 of IS One sheet mud be established for EACH INDIVIDUAL PARTY in Sallee 3. Account Ownership Summary 3A. Individual Details (for all parties) Indrvaluars Name: Date of Birth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of ms/ter country of nationality • yes ?I No Address of primary residence: for S years or maze? Profession/Occupation: Manager Tax ID / SSN: Current Empbyer: Zorro Management LLC Poston/Mk/Rank: Manager Address of empbyer: USVI United States Does the person work as senior emotive of a DB-recognized regulated entey in the financial ndustry? or an entity listed on a De-recognised exchange? (Not appkable for operating entities O Yes g No Is the IndPadua' a Politically Exposed Person (PEP)'(Il Yes, descnbe) • Yes la No To the best of your knowledge, is the individual related to an employee of the 00 oroup)(e/ In Family O Friendship RI None FIT* Of Mends/bp, desenbe) To the best of your knowledge, Is the individual party to a now banking relationship with Deutsche Bank (e.g., external legal counsel, (tent referral source, topes of goods or service-9>On. O N° (/ Yecdeserebe) Indicate where and when the cleat eneeUng(s) took place: II applicable, indkate which bank off' met the person: Client Prrvate Client Place of Bank Officer Name(s) Bank Office: Other Location (specty): Date: Domicile: Business: O O • O • O O O O • Wealth Octets for this Mittel are not filled In, because they are the same as for the Mowing person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature d the Indeidurts Business: Primary Country of source of wealthrsource of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other: Esther Describe Source of Was h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumubte wealthWor business owners, how tang in business, how many employees, level of tenability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other known Financial Instittitkins: Internee: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mot: Please Indicate the family situation of the individual (martal status, oche (array members, etc.): https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002858 EFTA_000 16332 EFTA00167084  KYC Print Page 11 of 15 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: ZOITO PlaragelTlelle, IIC - Type of Entity: O Foundallca/Associetion O Trust 79 Gewgaw O Estate Purpose of Entity: 2 Private Investment O O Partnership philanthropic/Charitable Otommerdal Type of tiC Purpose of Entity Other (specify): Other (specify): Courtly of USA Date of Morporaten / 12/19/2016 incorporation/registration: registration: Identified on Customer Prole No Wicker Status: Mk ker Flag: 6100 Red Hook Quarter, 83 St. Thomas; USVI 00602 United Address (city, street, post U.S. TIWEIN: States code): Provide a description of the entity's organizational structure, its ownership structure and es Top Management. For trustsifoundations. include information about revecabillty,setUor and beneficiaties,ett; Jeffrey Epstein Is the sole manager and owner of this entity. Signors on this amount will be Jeffrey Epstein Omen lelyke Signors on the house acct are: Jeffrey Epstein wen • Please indicate how ownership of the legal entity is reflected: • Special attention: Bearer Shares - Indicate where shares are rustodiorl: Descrtie the chain from the direct owner of the entity to the ultimate beneficial owner hinot the same persons): Jeffrey Epstein IS the sole manager and owner of this entity. Signors on this aCCOLag will be: Jeffrey Epsteii Darren Indyke Signets on the house acct are: Jeffrey Epstein Darrell Ind To the best of your knowledge, is the entity party to a nonibanking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services.)'. Yes O No g Describe Nature of Entity's Primary Business and Investment Activities a real estate holding company. It is a company loaned to run and operate all amities(ISSIX glad Native of the business: with a property that Jeffrey Epstein owns in the US Virgin islands. Countries where business is transacted: USA 'hlter of employees: 14 3D. Wealth Profile (Orly for partics requking source of wealth description as edicated in Section 2) OrEvaty Country of •.otace of iwalthliource of lunch> Primary industry of source of WealthiSourte of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Natalea): This company ts funded by Jeffrey Epstein's personal wealth Estirrated gross receipt; Pia.(0: 1,000,000.00 Estknated net prof[ p.a. ($): 1,000,000.00 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002859 EFTA_00016333 EFTA00167085  KYC Print Page 12 of 15 Estimated investable assets ($): $1 MM - 2 141 Potential Amount to be Invested with P1VTI (9h Other Known financial Institutions Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: 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-0002860 EFTA_00016334 EFTA00167086  KYC Print Page 13 of 15 DB PWM GLOBAL KYC/NCA: US/LatAM/Int'l PART B Int Relationship Nacre SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center s Ny O O cmhore • Moderate 2 High Risk iYfifillstm CNN NY/Ofhhore IS (Compliance Signature) O DB Employee Doe Managed PIC O 08 is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided Lkense O Passport • NatisnaVState ID O Other 74 Drivels B. Checklat of names (Individuals and/or entitles) that were submitted for database searches Is attached 0 yes O No C. Please indicate the results el the database searches performed RDC searches complete 74 Yes O No regain results found Oyes a ea PCR checks complete 2 Yes • No negatkte results found • Yes 2 No OFAC checks complete 121Yes 0 No negative resits found • yes 2 No BIS searches complete (Lech/Nevis, Faces, Reuters, Dow Nines, DNB) 2 yes Olio negative mutts found • yes @No Denial Orders checks complete g yes O No negative results found OYes a NO Martindalc-Hubbell searched (Lawyers/Law Firms only) O yes OW negative results found Oyes O No D. Please summarize any negative results from the database searches indicated above: E. To the best of your knowledge, has the Sent ever been convicted of a criminal offense, • yes 121No To the best of your knowledge, has the customer ever been involved n any past litigation against F. Deutsche Bank AG or any of its subsidiaries or is the customs threatening kfigatian againt Deutsche n Bank AG or any of Its subsidiaries? (If Yes, provide debit; below and contat Quably Mgt 0 yes 2 No (Latam/Int7) of bYeRepubton, Cannel Grow andnobly Compaence wemedsten) Does the dent or related party have any financial or other association / interactions worn countries a or r—,