EFTA01284127.pdf

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case = Slats : 6. Approved One sheet must be establbhed per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booldng Center. New York Relationship Manager. Stewart Okifield • New PWM Relationship 2 Existing PWM Relationship If orating, please indicate since when the relationship exits, provide reason fee new profile and attach old profile: "'This KYC IS a periodic review fo high risk remediatbnni Relationship to PWM: Original KYCM ONLY adding signers to account. Al signers have already been approved in previous KYCs. Please rush as this Nash:nab update. Darien Indyke was approved in KYC Harry Beier was added in approved KYC 2 client Referral O RM Prospect O Intermediary/PIM I O Other Source (CM, etc.) How Was the Client(s) Intrcducedo lbw long has the RM personally known the Please provide details (e.g. ame of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein client, reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a O Yes I2 No retrocession or similar compensation to a third party for the Introduction of this (ff Yes, *scribe): relatiaish07 1st all existing and new accounts involved in this relationship Legal Entity Account fame / Number Opening Date (intended/actual) Account(s) 1 rAi Southern Financial, LLC Deposit 9/5/2013 2 re Southern Trust Company, Inc- Deposit. 827/2013 3 2 Jeffrey Epstein - Deposit 3/8/2016 4 9 3. Epstein Virgin Islands Foundation, Inc - Brokeragel 9/30/2013 Who Is he primary contact person or the RM7 (Nate: This Preferred method of contact person needs to have Darren Indyke (Indicate phone no., fax no., signatory rights and/or e-mail address, etc.): information right for the accounts.): SDNY_GM_00040040 https://dbforcepb.my.salesforcaaNtErilDalirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002864 EFTA_00150649 EFTA01284127  KYC Print Page 2 of 21 One sheet mint be established (or each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, LLC Deposit Acct. Number (ifavailable). Account Manager: stewart oldfkid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long tenn investment, payment/expense account), The purpose of ties account is to manage the daily expenses of the company Indicate from where the assets are expected to arrive? O C43 Group: Same booking Center (indicate account number): O DO Group: Other Booking Center (indicate DO location and account details): 0 Other Italian — (Indicate name & location): El physical Deposits (specify cash, securities, cheques....): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after 46,600 and 11479051.88 I USD opening? I Cunene( What Is the expected vokime of assets and currency for the account approx. one year after 47,000 and 11679051.88 I Currency I USD opening, Does/will the client have Assets Under Management (AuM)wItlin DB under Fur. 3M? OYesI2No Please list all parties related to the account. for each party: • heck I a source of wealth escription is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • I non f of the check boxes pply, describe the patty's relation to the accost in the 'Other column. • Alway d escn he the relation hip between the parties in the last cceumn. • lease drill down to the ultimate/underlying Beneficial Owner(s). axial Descrutun AccouruPIC Senior of Jltimate Signatorytimited`lnancial Significant _egal daraMor/Settiorfotridem Other Entityol Source Holder Owner Trust / &eneficialor Full sOA ntermedleaySharehoideetepresentatIve Donor please of Weath Founder of Owner DOA PIM) .> • 25%) describe required Foundation NorePIC other roles entity and/or Parties ,indicate ndlcate related to ownership relationship this Na) between account arties) Sole Jeffrey rf O O O 2 O O O O O shareholde l O 9 E. Epstein " of Soul Trust Southern 2 2 2 Financial a • • • O • O O O O LLC Southern Trust is the sole member of Southern Southern Trust Financial 3 Ea • O O O O O O 100 O • Company, O and Jeffrey Inc. Epstein is he sole sharehoide of South Trust; Darren n O O 4 O O O O O O O O O indyke " 5 O O lia" Beller • O IT O 5 O • O O O Jean Anne 6 • O Brennan • • 0 • 9 0 0 0 • O idebrache SDNY_GM_0004004I https://dbforcepb.my.salesforeCLINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002865 EFTA_00 I 50650 EFTA01284128  KYC Print Page 3 of 21 2. Account Ownership Summary Account Nam: Southern Trust Company, Inc- Deposit. Acct. Number (if svaiOsbley. Account Manager. Stewart Oldfleld What is the purpose of the accost (eg. portfolio management, advisory account, custody services, longterm Investment, payment/expense account)? The Purpose of this account is to manage the daily expenses of the con:parry Indicate from where the assets are expected to arrive? O De Group: Same Booking Center (indicate account matter): O DO Group: Other Booking Center (Indicate DB location and account details): O Other Institution - (Indicate name & location): O physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 10 allows and 10 outflows per month ranging from $1,000 to $10,000 What's the expected volume of asses and currency for the account approx. 90 days after' 32060.99 and 18028369.27 'Currency I USD opening? What s the expected volume of assets and currency for the account approx. one year 33000 and 18280364.27 'Currency I USA after opening? Does/WI the client have Assets Under Management (AuM) wthin De under Fur. Ift? 0 Yes allo Please Ilk all perdu related to the account. For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check bows ripply, describe the party's relation t the accown in the 'Other column. • mays describe the relationship between the parties in the last clan. • Please drill down to the ultimate/underlying &notelet Owner(s). ..egailDescriptbn Amours:PIC tettbr of Jtimate ISignatorys.antedpnancsol Significant egal GrantoriSettlorroundmg Other Entityof Source holder Dwnes Trust / Beneficialor Full POA mermediarySharelsoldereepresentatne Donor please of Wealth Founder ofOrmer POA MM) , >=25%) describe required Foundation Non-PIC other roles entity and/Or Parties ,indicate ndicate related to ownership relationship .his %) Jebveen account ntes) Sole shareholder of Southern Trust 3effrey n Ei O 1 O 0 - Epstein "I 2 O O O 100 O O O Epsteindeffrey is the sole shareholder of Southern Trust; Southern Trust 2 5 O company, 5 0 O • O O O O • O Irx. 3 II O Darren Indyke • • El • a • o a • O Harry • . O 4 O O Beller ■ ■ • O O O O • O Jean Orme 5 O O Brennan • O O O 21 OO O O O Wiebracht SDNY_GM_00040042 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002866 EFTA_00 I 50651 EFTA01284129  KYC Print Page 4 of 21 2. Account Ownership Summary Account Nan*: Jeffrey Epstein - Depose Acct. Number (if evititerbki.. Account Manager Stewart Oldfleld what is the purpose of the account (eg. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit accounts for Jeffrey Epsteirrs personal daily use. Indicate from where the assets are expected to agree? Ei De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physkal Deposits (specify cask securities, cheques, ...): What is the emected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per rronth)': Roughly 15 inflows and outflows per month ranging from $100410,000. What is the expected volume of assets and currency for the account approx. 90 days after 13478441.80 'Currency USD I opening? What as the expected volume of assets and currency for the account approx. one year after 12980000 opening? I Currency I USD Does/wi the client have Assets Under Management (AMM) within De under Eur. Itt? Oyes 0 No Please Ilst all parries related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes ripply, describe the patty's relation to the accowit in the 'Other' column. • mays describe the relationship behmen the parties in the last cokenn. • Please drill down to the ullimate/underlying Beneficial Owner(s). -egallDesciptian Acca nit PIC Settler of inmate Signatory‘imitedIFinancial Significant _egal trantor/SetUorlFounding Other Entayof Source 1011,- AvnefTrust / 3eneficialor full 70A IntentederyShareholderltepresentathe Donor 'please of Wealth founder of Owner POA (MM) >=25%) describe required Foundation Non-PIC other roles entity and/or Parties Indicate mikate related to ownership -elationship his 46) teween account Mies Jeffrey E. a O O 'DO Epstein O e O O O O O limy O 2 • O Seller • • • 5 O • O O • Darren O O O O 3 O O endEke 12] O C1 O O O SDNY_GM_00040043 https://dbforcepb.my.salesforeCLINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002867 EFTA_00I 50652 EFTA01284130  KYC Print Page 5 of 21 2. Account Ownership Summary Account Name: J. Epstein Virgin Islands Foundation, Inc . Brokerage Acct. Hunter Mandeb/O: Account Manager stewart oldfieid What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)' the pewee of chic account b to manage the foundation's securities and trade nvestments. Indicate from were the assets are ecpected to &Moe? 9 D8 Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (Indicate DB location and account details): O Other Instaution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the everted size and frequency of regular inflows and outflows for the account (indicate estiirnted number and volume per month)7: 0.10 inflows/oulliows of security sales and purchases on a monthly basis between 10k and 150k. What is the enweted volume of assets and currency for the account approx. 90 days 1640130 'Currency IS after opening? I What ii the expected volume of assets and currency for the account approx. one year' 680000 'Currency I usd after openng? Doeshvil the client have Assets Under Management (Auer) Milan 06 under Eur. 314? • Yes RIM Please list all parties related to the account For each party: • Check I a source of wealth description is roe sued for the party. • Check the appropriate box to describe the re ationship of the party to the account (> 1 can be selected). • I none of the cheek boxes apply, describe the party's relation to the taxman in the 'Other" coluan. • Always describe the relations ip between th parties h he last column. • Please dril down to the ultimate/underlying Beneficial Owner(s). -egal Description AccountPIC SetUor of 'Ultimate SIgnatorytimited nanclal 'Significant Jegal Grantor/SettlorlFounchnOther Entityof Source Holder Jana Trust/ Beneficial or Fill POA ntermediary§hareoldeelepresentathis Donor 'please of Wealth Founder otOwner ?OA FIN) f>=2SCco) describe required roundmisn n-PIC other roles and/or Parties Indicate rititY ndicate related to ?masher relationship his ?b) account lathes) 3. Epstein Virgin I si a Islands 9 O • • O O O O • • Foundation Inc 2 O a kftreY E. Epsteil • O O 2 2 O O O O • 3 O O Erliklearhats Ke • • O O 9 • O O • O 4 O O D yke • O O O 2 O O O O • SDNY_GM_00040044 https://dbforcepb.my.salesforcCLINErilDai LIM L000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002868 EFTA_00I 50653 EFTA01284131  KYC Print Page 6 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth: Country of Ream.: USA Country of Citiroiship: USA Has client resided outside of his/her country of nationaltY O Yes g No Address of primary residence' for 5 years or more' Profession/Occupation: Accountant Tax ID f SSN: Current Errployer: HBRK Associates, Inc Positioraille/Rank: Address of enetioYer: Does the person work as senior executive of a DB-recognized regulated entity In the financial ndustry? or an entity listed on a DEI.recognised exchange? (Not applicable for operating entitles O yes ONo Is the individual a Politically Exposed Person (PEP)T(d Yes describe) O Yes WIND To the best of your knoMedge, is the individual related to an errvlayee a the DB group?(if O Family [...] Friendship g None Family or friendship, dewily) To the best of your knowledge, Is the Individual party to a ion-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes RN° services)?(/ Yeadesenbe) Indicate where ant when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: a Client Place of Bank Officer Name(s) Bank : Other locators (pecify): Date: Slip Business: Paul Morris RI O O 10/21/20B • 0 0 a O 0 • Wealth Details for this indivklual are not filled r, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2) Nature of the Individuats Business: Primary Country of source of wealth/source of Funds' Primary industry of source of YVealUVSource of Funds? Summarize Source of Wealth: O Business Owner Salary/Earnings E]Invc-stmcnt F...] In ante/Gifts O Other: II Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumula e wealth' For inheritance, how did family accumulate vrealth"For business ovmers, how long k business, how many en-ployees, level of profitability' Indicate type of business, countries of ma activities, important business partners.) Estimated Annual Income(3): Estimated amount of irreestable assets($): Estimated Net Worth(S): Amount of assets planed to Invest with PWM($): Other Known Financial Institunclis: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00040045 Imps://dbforcepb.my.salesforcCuNEJIDLIINITM10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002869 EFTA_00150654 EFTA01284132  KYC Print Page 7 of 21 I Please indicate the fanely situation of the individual (marital status, other family members, etc.): I SDNY_GM_00040046 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002870 EFTA_00I 50655 EFTA01284133  K YC Print Page 8 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all penes) Individuals Name: Darren Indyke Date of Both: Country of Residence: USA Country of Citizenship: USA Has client resided outside of Address of primary residence: United States hl;/her country of netionelty Dyes g No fa 5 years or more Profession/Occupation: Larger Tax ID / SSN: Current Employer: Southern Armorial LLC Posibconrile/Rank: Address of employer 575 Lexington Avenue, 4th A New York NY United States 10022 Does the person work as senior executive of a DEVrecognized regulated entity in the financial i—r 614,,, industry' or an entity listed on a DEhrecognised exchange' (Not applicable for operating entrain LI Yes No Is the incleMual a Politkally Exposed Person (PEP)'(/' Yes, describe) ales RIND To the best of your knowledge, is the individual related to an employee of the DB group(/' O Farnly O Friendship 21None Family or Friendship, describe) 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, supplier of goods or afes RIND services)7(/ YeLdesaibe) Indicate where and Mien the client meeting(s) took place: If applicable, indicate Mich bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other locations (pecify): Date: Dominic: Business: O D O O N O O ii O • Wealth Details for this Individual are not filled in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nat We of the Individual's Business: Primary Country of source of wealth/source of Funds' Pnmary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner II Salary/Earnings O investment U Inheritance/Gifts a Other: Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For tuts, how did senior accumulate wealth' For Inheritance, how did family accumulate makh7Eor business owners, how long in business, how many eirployees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of ineestable assets(3): Estimated Net Worth(S): Amount of assess blamed to Invest with PVR4($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: at. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00040047 https://dbforcepb.my.salesforcGONErilraircliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002871 EFTA_00I 50656 EFTA01284134  KYC Print Page 9 of 21 I Please indicate the family situation of the indmdual (marital status, other famly members, etc.) SONY_GM_00040048 https://dbforcepb.my.salesforCQNBIDailtiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002872 EFTA_00150657 EFTA01284135  K YC Print Page 10 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indrndualk Name: Erika Kekrhals - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of Address of primary residence: his country of nationality O yes tZ No for 5 years or more' Profession/Occupation: Attorney Tax 10 / SSN: Current Employer: Kellerhals Ferguson Kroban PLLC Position/Tale/Rank: Address of employer: 9100 Pon of Sale Mall, Ste IS St. Thomas VI United States 00802 Does the person work as senior executive of a 06 -recognized regulated entity in the financial odustry' or an entity listed on a DEI.recognisecl exchange' (Not applicable for operating entitles O Yes RiNo Is the 'dual a Politically Exposed Person (PEP)''(if Yes, desctibe) ales 2.1Nci To the best of your kncnvledge, is the individual related to an errployee al the De group'fiF O Iambi O Friendship Ei6None Family or Fnends/vA ilesathe1 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, supplier of goads or O yes 'Y. No services'?" Yes,detafbe) Indicate and Mien the client meetisg(s) took place: II applicable, indicate %Mich bank officers have met the person. Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify): Date: Dontie: Business O O O O • O O I. C3 • Wealth Details for this Individual are not Ailed 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 wealthrsource of Funds' Pnmary industry of source of WealtIVSource of Funds" Summarize Source of Wealth: O Business Owner Satary/Earnings O Investment • Inheritance/Gifts II Other: II Further Describe Source of Wea th /Detail the history of wealth for each of the smote': (e.g. For trusts, how did senior accumulate wealth' For Inheritance, how did family accumulate weakh, For biainess owners, how long in business, how many employees, level of profitability' Indicate type of business, (mottles of major activoks, important business partners.) Estimated Annual Income($): Estirroted amount of irreestable assets($): Estimated Net Worth(S): Haunt of assets planed to Invest with PY/M($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: