EFTA01284060.pdf

KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Cased : 01469735 Status : 6. Approved One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Rdationship Manager: Paul Morris U New Mil Relationship • Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relations p exists, provide reason for new profile and attach old profile: The account was closed due to nactivity. To reopen the account AOG needs an updated NYC. Client Referral O RM Prospect O Intermetary/FIM O Other Source (CIB, etc.) How Was the Client(s) Introduced, How long has the RN personally known the Please provide details (e.g. name of referral source, how many years RM personally has known client. etc.): Jeffrey Epstein client', (President of Gratitude America) Is a current client of the bank Does Deutsche Bank pay a U Yes I0 No retrocession or similar compensation to a third party for the introduction of this (If Yes, desalt.): relatkashIP lint al existing and new accounts twoNed in this relationship Legal Entity Account Name / Hunter Opening Date (intended/actual) Account(s) 1 4 Mort, Inc 11/12/2013 2 4 Mort, Inc -- Money Market 11/12/2013 Who is the primary contact person for the RR' (Note: Preferred method of contact This person needs to have (indicate phone no., fax no., signatory rights and/or e-mail address. etc ): information right for the accounts.): SDNY_GM_00039973 https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002797 EF1'A_00150582 EFTA01284060  KYC Print Page 2 of 12 One sheet mud be established for each account to be opened 2. Account Ownersh p Summary Account Name: Mod, Inc Acct Minter Of svadeblei Account Manager: Paul Morris What's the purpose of the account (e.g. portfolio management, advisory account custody services, long-term invest:tient, PaYment/aPerne account)' CheckIng account to had assets for the company. Indicate from where the assets are expected to ante' El 08 Group: Same Booking Center (Indicate account number): El 08 Group: Other Booking Center (indicate 08 locabon and account details): 21 Other Institution (Indicate name & locabon): JPitagan. New York • Physical Deposits (specify cash, secunbes, cheques, ...): What b the expected sloe and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 10 Inflows and oulfbvn per month ranging from $1,000 to $10,000 'Currency I USD What b the expected volume of assets and currency for the account approx. 90 days after opening' f 150000 'Currency I USD What b the expected volume of assets and currency for the account approx. one year after opening' Does/wil the client have Assets Under Management (AuM) within 08 under Eur. 3M' Dyes El No Please list all parties related to the account For each party: • Check d a source of wealth descndion is required for the party. • Check the appropriate bat to describe the relationship of the party to this account (> 1can be .,cle.tcd). • If none of the check boxe apply, describe the party's relation to the account in the 'Other' colurm. • Always describe the relationship between the pantie in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). .egal .3s-seriatim AccounD'IC Settles of ildmate 75ignatcry imitecinnancial Significant -egal Srantor/SetborfoundinipOther Enter/ Source Kohler ChmerTrust / 3eneficiabr Full POA IntermediaryShareholderkepresentative Donor (please of Wealth Founder of ,wner 'OA (FIN) (>=25%) describe required Foundation Non-PLC other roles entity and/or Parties (Indicate ndlcate related ownership relationship to this %) aebveen account ;allies) 1 (7?) 9 .i nc 5 0 • • • • • El • • Jeffrey 0 0 2 0 2 Epstein r-, I.--i ❑ El El 0 0 0 0 0 Darren no 0 0 3 0 0 Ike IP" • Ea D • • • • SDNY_GM_00039974 https://dbforeepb.my.salesforeCCINErilEtairdiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002798 EFTA_OOI 50583 EFTA01284061  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Mort, Inc — Money Market Acct. Number (lendable) Account Manager: Paul Morris What is the purpose of the account (e.g. porffollo management, advisory account, custody services, long-term Investment, payment/expense account), Money Market account to hold assets for the company and to earn interest Indicate from where the assets are expected to arrive' IN 06 Group: Same Booking Center (indicate account number): • 06 Group: Other Booldng Center (Indicate 06 location and account details): :ra Other Institastion (Indicate name & location): IPMagan, New York O Physical Deposit' (specify cash, securities, cheques, ...): What 6 the expected site and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 inflows and outflows per month ranging from $1000 to $10,000 (Currency I USD What 6 the expected volume of assets and currency for the account approx. 90 days after openng7 I 150000 (Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' Does/wh the client have Assets Under Management (Aunt) within DB under Eur. 3M' Dyes IA No Please Nst all parties related to tits 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 boxe apply, describe the parWs relation to the account In the 'Other column. • Alvays describe the relationship between the parth In the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). ,egarDeuripthri AccounWIC Settles of Jitimate rignatay JmiterWinanclal Significant _eget Santor/Settforfoundi • • . - "intlycf Source Holder OwnerTrust / Beneficlabr rut 70A InterrnediaryShareholdertepresentative Donor please of Weath Founder of ,,mer POA (FIN) (>=25%) describe required Foundation Non-PIC other roles enbty and/or Parties (indicate ndicate -elated ownership -elabonship to this %) *buten account acmes) Mort, I O 0 Inc • • O O O O O O • le Jeffrey ri O O 2 Ej 0 Epstein " 3 El O O O O O Darren r O O 3 O O I nd rtee " O e O O O O O SDNY_GM_00039975 https://dbforeepb.my.salesforeC5CINErilDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002799 EFTA_00150584 EFTA01284062  KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parbes) Individual's Name: Jeffrey Epsten - Date d Birth: 1/20/1953 County of Residence: USVI Country of Citizenship: USA Has client resided outside of Ube Saint James Saint Thomas 00802 US Virgin Islands Ms/her country of nabonalty O yes g No Address of primary residence: fcr S years or more? Prciession/Occupatiat Self Empolyed Tax ID / SSN: Current Employer Southern Financial LLC Position/Mk/Rank: President Address of employer: Does the person work as sent'r executhe of a DB-recounted regulated entity in the financial ndustryz or an entity listed on DB-recognised exchange? (Not applicable for operating O Yes ®No entities Is the individual a Politically Exposed Person (PEP), (it Yes *Kobe) Ova gib To the best of your knowledge, is the individual related to an employee of the DO group?(# • Family OFriendship r4 None Family or Friendship, descnbe) To the best of your knowledge, Is the individual party to a non-banking reins:mho with Deutsche Bank (e.g., external legal counsel, client referral source, supplier et goods or O Yes FA No services)?(/ Yes,describe) If appicable, indicate which bank officers have met the Indicate where and when the lent meetng(s took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (spxty): Date: &Mike*: Business: Paul Morris • D 71 10/22/2013 O • O • O O • Wealth Details for this Individual are not NIS in, because they are the same as for the following person: 35. Wealth Details (Only for parbes 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? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: g Business Owner OSalary/Earnings g Investment O Intrertance/Gifts 00ther Further Describe Source of Wealth /Detre the history of wealth for each of the sources: (e.g. For trusts, how did settkr 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.) Epstein began his %uncial career in 1976 as an options trader at Bear Stearns and became a partneri n 1960. In 1982, Epstein founded his own Nuncio' management Arm, J. Epstein & Co., managing the assets of clients web more than a billion in net worth. In 1996, Epstein changed the name of his Wm to The Financial Trust Company and based it on the bland of St. Thomas in the US Virgin Islands. Ai of his cknts were anonymous except for the very wealthy businessman ladle Wexner. Hs wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(S): $50 NM - 100 MM Estimated Net Worth(d): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): Other Known Financial Instttubons: SDNY_GM_00039976 https://dbforcepb.my.salesforcCLINEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002800 EFTA_00I 50585 EFTA01284063  KYC Print Page 5 of 12 Instituted: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Instgutled: Country: Est Assets Under Mgt: Please Indicate the family Seaton of the IndwIdual (rnartal status, ether fan* mernters, etc.): SDNY_GM_00039977 Itttps://dbforcepb.my.salesforcaZOIDEgVilliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002801 EFTA_00150586 EFTA01284064  KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) bs&dduars Name: Curren Indyke - Cote of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of Ms/her country of nationality O Vs ®No Address of primary residence: fa S years or more Orofession/Occupabon: Lawyer Tax ID / $SN: Current Employer: Southern Financial LLC aositonffItle/Rank: Address of employer: 575 Lexington Ave, 4th A New York NY USA 10022 Does the person work as senor executive of a DB-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating Oyes ®No entities Is the individual a Politically Exposed Person (PEP), (it Yes desolbe) Ores ®No To the best of your knowledge, Is the individual related to an employee of the DB groupt(d OFamly ElFrOndshlp 5 None Family or Friendship, desente) To the best of your knowledge, is the individual party to a non-banking reiabenship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or ElYes 7a NO servxes)?(t Yes,clescnbe) If amicable, indicate which bank officers have met the Indicate where and sheen the client meeting(s took place: person: Cient Private Client Place of Bank Officer hornets) Bank Office: Other Location (specify): Date: Deenkile: /Business: • ID • LI • O ri El Wealth Debits for this individual are not filled in, because they are the same as for the folkaong person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2) Nature d the IndividualS Business: Primary County of source of wealth/source of Funds? Primary Industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Omer O Salary/Earnings • Investment O Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history d wealth for each of the sources: (e.g. For trusts, how did settles accumulate wealth? For inheritance, how did family accumulate we Ith?Fog business owners, how long in business, how many errOOYeeS, level of praitabilite Indkate type d business, countries of major activities, Important business partners.) Estimated Annual Incorne(3): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with FWM(;): Other Known uncial Institutions: Institubco: Country: Est Assets Under Mgt: Ingitubon: Country: Est Assets Under Mgt: S0NY_GM_00039978 Imps://dbforcepb.my.salesforCQNErilDalniliA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002802 EF1'A_00150587 EFTA01284065  KYC Print Page 7 of 12 Institution Country: Est Asset Under Mgt: Please inchcat the family situation of the individual (martal 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 Mort Inc . 00000437266 Li Foundabon/Asscoabon O Trust R Company El Estate Purpose of Entity: bli Pr tvate Investment Ell Type of Entity: PhilanthropkiCharltable 0 O Partnership Commercial Type of Entity Other Purpose of Entity (specIfy): Other (specify): Date of Country ef u.SVI 4;12/2011 incorporation / incorporation/registratkin: registration: volckn Status: Volcker Rag: Address (city, street, post 6100 Red Hook Quarter, 83 St. Thomas 00802 USVI US. TIN/EIN: 66-0765963 code): Provide a description of the entity's organizational structure, th ownership structure and its Top Management. For trusts/foundahons, include information about revocablIty,settior and beneficiaries,etc : Corporation With 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. 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 (ifnot the same persons) To the best et your knowledge, Is the entity party to a nombanking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes O No Ed services)': Describe Nature of Entity's Primary Business and Investment Activities Investment holding company. A prtvate company that b used to hold investements that the Nature of the business: /sole owner, Jeffrey, would like to keep separate from other Investments Countries where busness is transacted: USVI Number of employees 2 3D. Wealth Profile (Only for parties retailing source of wealth description as indicated in Section 2) Primary Country of source of weal:II/source of Funds' Pnmary industry of source et Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Camtal contrioutto of 51000 from Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net profit p.a. ($): Estimated Investable asses (5): <$1 MM Potential Amount to be invested with PWM (S): 100,000.00 Other Known Financial Institutions: InstRutko 1Pflorgan Country: USA Est. Assets Under Mgt: 100,000.00 Instibilicm: Country: Est. Assets Under Mgt: SDNY_GM_00039979 tps://dbforcepb.my.salesforcaaNtEll DErNiTal IA L000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002803 EFTA_00150588 EFTA01284066  KYC Print Page 8 of 12 IInsttuthr I Canby: eit Assets Under Mgt SONY_GM_00039980 Ilt t ps://dbforcepb.my .salesforcaINEJIDWidLAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002804 EF1'A_00150589 EFTA01284067  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUDERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center R NY E Offshore Risk OModerate IR] nigh Rai]Gwen Hit NOY/Offshcre (Compliance Signature) O DB Employee O DB Managed PIC O De is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 74 Drivers License Pfl Passport O National/State ID O Other Checklist of names (inclivkluals and/or entities) that were submitted for database searches is B. attached ElYes • No C. Please indicate the resuts of the database searches performed RDC searches complete RI Yes O No negative results found O yes ElNo PCR checks complete RI Yes O No negative results found 2 Yes • No OFAC checks complete 2 Yes O No negative results found O Yes 0 No BIS searches complete (Leds/Neds, Factiva, Reuters, Dow Jones, (*8) RI Yes • No negative results found • Yes No Denial Orders checks complete RI Yes 0 No negative results found 0 Yes El No Martindale-Hubbell searched (LawyersAaw Firms orgy) 0 Yes El No negative results found 0Yes • No Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377 Negative media: only references Darren briefly as a lawyer who helped subdivided a townhouse. JEFFREY EPSTEIN: KYC Approved and all pertaining documents ii case 4:1121718 and 01082293. In the attached legal proceedings, one is a false positive for Jeffrey S. D. Epstein (not Jeffrey E. Epstein) and the other contains no new Information. The case relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KYCs. MORT INC: All negative media does not pertain to our client. NI court cases do not pertain to our client E. To the best of your knowledge, has the client ever been convicted of a criminal offense> 2 Yes • No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of is subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of Its subsidiaries' al Yes, peva* cleat below and canted Gabe, 0 Yes RI No NIA (Lebinfinn) aced Repulakwy Control Group andnoel* Longtime/mm*4story) Does the client or related party have any financial or other association / interactions within G. 0 Yes 5 No countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any &uncial or other association/ interactionswithin high •—• risk countries? U Yes Rao I. Corporate Documentation Attached (Legal Entitles On/r) El Yes • No • Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No El Na Apptcabk K. If Leds/Nexis Search Raub, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' O Yes IRI No Is the account structure unusually complex? SDNY_GM_OOO39981 https://dbforcepb.my.salesforCCINErilDnEglardiAL000000D9Di&o... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002805 EFTA_00 I 50590 EFTA01284068  KYC Print Page 10 of 12 O Yes GiNo Is there any indicabon the client set up a non operabng company expressly for the purpose of transtemng shares to third parties' El yes @No Is there any indication this could be a prohibited business relabonship? D Yes E ft Are the bearer shares Identified subject to acceptable mints? ❑yes No SDNY_GM_00039982 Imps.//dbforcepb.my.salesforCCINEIDLAIrdiA[0000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002806 EF1'A_00150591 EFTA01284069  KYC Print Page 11 of 12 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Protests:mai (CFP): Paul Moms (Signature) 10/5/2015 Paul Von's Office Director/Business Head: Andrew F Gallivan (Signature) 10/511015 Andrew F Ga van Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance (Signature) (mica Manley Dimitra Manley 10/512015 Gwen MI Gwen Hill 10/5/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Prolessianal (CFP) (Satnatu.e) Account Manager: (Signature) Global Market Team Head (signatc.'e) (GMT11)/Sub.filaiket Team Head !MTH): MIL Business Risk: (Signature; AML Compliance -. (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private WealthManagement (PFF7i0 worldwide is committed to professionally serve the interests ofas clients. To do so, Client Facing Ptofessionals1(1)(CFP's)should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers. etc. SONY_GM_00039983 ht tps://dbforcepb.my.salesforcaINEJIDWIdiAL000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002807 EFTA 00150592 EFTA01284070  KYC Print Page 12 of 12 I Deutsche Bunk Moak= New York SDNY_GM_00039984 https://dbforcepb.my.salesforCCINBIDaliTuJiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002808 EFTA_00150593 EFTA01284071