EFTA01255921.pdf

Vijay-A Sawant From: Velmir Vejzovic on behalf of PWMUS AMLKYC Sent: Tuesday, October 31, 2017 7:58 PM To: PWMUS AM LKYC Subject: CLEARED: PCR Alert- Darren Indyke [I] Attachments: PCR Alert - Darren Indyke.pdf-, PCR Alert 1 - Darren Indyke.pdf Follow Up Flag: Follow up Flag Status: Completed Classification: For Mental use only Hi Darnetta, AML Compliance has reviewed the attached PCR alert generated on 6/15/17 for Darren Indyke, authorized signor for the following accounts Southern Financial LLC, Southern Trust Company, Inc., Jeffrey Epstein., and J. Epstein Virgin Islands Foundation, Inc. Client of the private bank. Darren K. Indyke is an attorney practicing law in the State of New York. On a monthly basis, Indyke has routinely cashed a $7,500 check drawn on Epstein's WM account at the WM Bank branch located at 345 Park Avenue, New York, NY. Occasionally, Indyke withdraws funds from his own accounts at the same time. DBTCA has previously filed CTRs on the cash withdrawal activities of Indyke exceeding $10,000 on 05/28/2014 and 02/16/2016. According to the WM Bank Teller from 345 Park Avenue, on 07/20/2016, Indyke brought two (2) checks to the teller window: 1) Check number 1054 drawn on Epstein's WM checking account in the amount of $7,500, and 2) Check number 1045 drawn on Indyke's WM attorney business account in the amount of $4,000. Indyke presented the $7,500 check for cashing, and mentioned that he would be cashing the $4,000 check the next business day to, "avoid all the paperwork and going over his cash limit." On 07/21/2016, Indyke returned to the 345 Park Avenue Branch to cash check number 1045 in the amount of $4,000 drawn on his business account. Based on Indyke's statement and behavior, it appears that he purposely structured cash transactions in order to avoid the CTR requirement. Based on the activity described above, a internal investigation from WM AML was conducted, a one-year historical review of the activity in Indyke's multi-account WM relationship, and did not identify any other instances of possible CTR avoidance. Indyke's multi — accounts have remained open. AML Compliance clears this alert from an AML perspective All the best, Velmir Vejzovic Velmir Vejzovic Associate AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2"d floor Jacksonville, Florida 32256. USA 1 SDNY_GM_00065113 CONFIDENTIAL — PURSUANT TO FED. CQN FJ DENTIAL DB-SDNY-0027938 EFTA_001756 I 3 EFTA01255921  Tel. Email From: Shanu Gujaria On Behalf Of PWM BIS-Research Sent: Friday, June 16, 2017 1:46 PM To: Darnetta Chandler-Johnson <[email protected]> Cc: PWMUS AMLKYC <[email protected]> Subject: PCR Alert- Darren Indyke Hello Dametta, Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC Thanks and Regards, Shanu Gujaria Shanu Gujaria Associate I Research and Control — VVM COO Wealth Management Operations DBOI Global Services Private Limited A-I & A-2. Evolve - Mahindra Technology Park. Inside Mahindra World City - SEZ. 302029 Jaipur. India Tel. Mobile Emai 2 SDNY_GM_00065114 CONFIDENTIAL — PURSUANT TO FED. CQN Fe)DENTIAL DB-SDNY-0027939 EFTA_00 I 75614 EFTA01255922