EFTA01284086.pdf

KY(' Print Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Status : 6. Approved One sheet mu., er relationship - list all accounts included in the relationshi 1. Relationship Details Relaliornhip Name SOUTHERN FINANCIAL RELAIIONSIIi Booking Center: New York Relationship Manager: Stewart Oldfieid El New PWM Relationshp El Existing PWM Relationship Relationship to PWM: If edging, please indicate since when the relationship exists, provide reason for new profile and attach old profile: RI Pent Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc.) Flow Was the Chent(s) Introduced' How long has the RM personaly known the Please provide deals (eg. name of referral source, how many years RH personally has known client, etc.): Jeffrey Epstein client? (President of Gratitude America) is a current them of the bank. He and Darren Indyke reached out to Stew OldtkId on 12/12)2016 to open a checking account for la newest entity, Zorro Management LLC Does Deutsche Bank pay a • Yes 2 No retrocession or similar compensation to a third party for the introduction of this (If yes, Ciescnte): relationship? List all existing and new accowes involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 5 Zone Managanent, LLC - Deposit 12,2//2016 Who is he primary contact person or the RMR (Note: This Preferred method of contact Darren Indyke person needs to have signatory (indicate phone no., fax no., rights a d/or information ;NM enusi address, etc.): for the c(ounts.): SDNY_GM_00039999 haps://dbforcepb.my.salesforCCINEillacklIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002823 EF1'A_00150608 EFTA01284086  KYC Print Page 2 of 10 One sheet mud be estAbBubed for each account to be opened 2. Account Ownership Summary Account Name: Zorro Management, LLC - Deposit Acct. Number (fI nelabkl. Account Manager stewed deed What is the purpose of the account (e.g. portfolio management, advisory account, custody service, long-ems Investment, payment/expense account)? the purpose d this account Is to nonage the daily expenses of the company Indicate from share the asses are expected to arrive? 21 CS Group: Same Booking Center (indicate account number): 35269691 0 DB Group: Other Bade) Center (Indicate DB location and account details): D Cther Institution - (Indicate name & location): Li Physical Deposits (specify cash, securities, cheque, -.3 What is the expected size and frequency of regular nlbn and outflows for the account (indicate estimated number and volume per month)': 0-10 inflows/outflows between 50k and 100k on a monthly basis 11000000 I Currency I usd What's the expected volume of asses and currency for the account approx. 90 days after opening? opening? 1 1000000 Hey I iscl What is Me expected volume of asses and currency for the account approx.one year after DoesSmn the client have Assets Under Management (AuM) wen DB under Eta 3M? 0 kes Edo Please list all parties related to the account. For each party: • Check if a source of wealth descnpbco is required for the party. • Check the appropriate box to describe the rebtiortship of the party to this account ( > 1stn be selected). • If none of the check boxes apply, describe the party's rela ion to the account in the 'Other" column. • Always describe the relationshi between the parties in the last column. • please drill down to the ultrnate/undertYkl9 Beneficial Owner(s). ..egal escrieen AccountbIC Setter of Jltlinite Signatory .need financial Signifkant _egal ‘3antorgettiorSounclingOther tntityof5ource folder DwnerTnist / enerialor Full ?OA Intern ediaryShareolderlepresentatbe Donor (please of Wealth Founder of Owner POA (ElM) (>•25%) descnbe -equired Foundation Non&IC Ater roles entity and/or (indicate ndicate Parties ownership relationship ebted to iv) etween his accoust owes) Zero i El El Management, • 0 0 • 0 • 0 0 a ac a Jeffrey 2 0 ea Epstein • 0 • El El • CI 0 • • Darren 3 D 0 0 0 0 0 El II 0 0 at si SONY_GM_00040000 https://dbforcepb.my.salesforeGONErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002824 EFTA_00 I 50609 EFTA01284087  KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details ( for all parties) IndNiduars Name: kart( Epstein • 00000483289 Date of Birth: 1/20/1953 Country of Residence: Wel Country of °Wend*: USA Has client resided outside of Lille Saint James Saint Thomas 00802 his/her country d matins/AFT O Yes RI No Address of primary residence: for 5 years or mere Profs:en/Occupation: Self Ernpe4yed Tax ID / 59i: Current Employer: Southern Financial LLC Posit/en/TRle/Rank: President Address of enidoYer: 6100 Red Hook Quarter 63 St. Thomas United States 00802 Does the person work as senior executive of a Dffirecognized regulated entity in the financial D yes ga No nd ustry? or an entity listed on a DB•recognised exchange? (Nast applicable for operating entities Is the individual a Politkalty Exposed Person (PEPyel Yes, describe) O yes 2 No To the best of your knowledge, is the IndNHoat rebted to an employee of the DB grouPW O Family O FriendsNp A None Amoy or Frieddship, describe) To the best of your knowledge, is the IndNHvat party to a nem-baiting relationship with Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senncesp Ores 2 No (/ Yes, describe) Indicate where and when the dent meeting(s) took plane: If applicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other location (specify Date: Dornicile: Business: O . O • • O • O O O Wealth Details for this individual ere not filed in, because they are the same as for the folcnving person: 38. Wealth Detalb (Only for parties requiring source of wealth desalption as Indicated In Section 2) Nature of the Incitykiuds Business: Private investments Primary Country of source of wealth/source of Funds? Pnmary briusby of source of WealtiVSource of Funds? Surnmartze Source of Wealth: Ea Business Omer Mabry/Earnings RIInvestment O Inheritance/Gifts • Other: further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did Vanity accumulate we.althYFor business owners, how bng in business, how many employees, level d prolitabiklyn Indicate type of business, countries of major activities, important business partners.) Eastern began his financial career m 1976 as an options trader at Bear Steams and became a parMen n 1980. In 1982, Epstein founded his own financial management firm, 1. Epstein & Co., managing the assets of dents with more than a Mien in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns chests were anonymous except /or Me very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management finm Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(8): $50 MM - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to West WO PWM($): Other Known Financial InsUtutions: Instrtution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040001 https://dbforcepb.my.salesforcGONEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002825 EFTA_001508I0 EFTA01284088  KYC Print Page 4 of 10 r Ed. Mats Under Mgt ' Cam"; Please Indicate the family *aeon el the IratIvidual stMus, ether fan* mentos, WI: SONY_GM_00040002 Imps://dbforcepb.my.salesforcGCNEJICailidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002826 EFTA_001506II EFTA01284089  KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Iodoidual's Name: Darren Indyke - 00000466405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Cituenshix USA itas client resided outside of h4/her countiy of natIONaltY O Yes RINo Address of primary residence: for 5 years or more? Prolestoutwripation. I avryer lax ID / SSII: Current Employer: Southern Financial LLC Postionfill:NfRanle Address of employer: 575 Lexington Ave, 4th H Livingston NY United States 10022 Does the person work as senior executive of a DDrecognited regulated entity in the financial Dyeso no niusby, or an entity listed on a DB'recognlsed exchange' (Not applicable for operating entitles Is the IndMdual a Politically Exposed Person (PEPr(f Yes, describe) . YIN @No To the best of your knowledge, is the Indhidtal related to an employee of the DB group, (d O Family O Fnendshp 21None Fame/yew Riendship, describe) To the best of your knowledge, h the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal (COM', client referral source, supplier of goods or services), O Yes 21N° (if Yes,ciescribe) Indicate where and when the (bent meeting(%) took place: If applicable, nthcate with bank officers have met the person: Bank Officer Name(s) Bank Office: atilt Private Client Place of Other I {.,,,I .4 if D.:tr. Denial.: Business: Stewart Oldneld R O O U. 1 ' Ellt, • O O • O • O Wealth Details for this individual are not flied in, because they are the same as for the folotAng person: 38. Wealth Detail, (Only for parties requiring source of wealth desalpUon 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 WeakhlSourt of Funds' Summarize Source of Wealth: O Business Owner OSalery/Eamings O Investment O InlwritancerGifts O Other: Further Describe Source of Wea h Metal the history of wealth foe each of the sources: (e.g. For busts, how did settler accumulate swath' For inheritance, how did tangy accumulate wealth'For business owners, how long in usiiess, how many employees, riel of profitability/ Indicate type of business, countries of major arthritics, important business partners.) rumored Annual Income($): Estimated amount of investable assett(g): Estimated Net Worth($): Mount of assets planned to invest with PWI4(3): Other Known Financial Institutions: Institution: County: Est. Assets Under Mgt: Institution: Country: Est. MIS Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indiv int (marital status, other family mentors, etc.): SDNY_GM_00040003 t ps://dbforcepb.my.salesforcaraNtaIDEgrbaliA19000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002827 EFTA_00150612 EFTA01284090  KYC Print Page 6 of 10 I One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (Eor all legal Crank* Legal Entity Name: Zeno Management, LLC - 00003550331 O Foundatkin/Associatkin O Trust RI Company O Estate 121Private Investrnert O Type of Entity Purpose of Entity' III Partnership 'Philanthropic/Charitable OCommercbi LLC Purpose of Entity Type of EntRy Other (sporty): Other (speCifYI Country of USA Date of incorporation / 12/19/2016 incepaation/reflistration: registration: Detenrinaten Required No Volcker Status: Vokker flag: 6100Ra Hook Qterter, 93 A. Thomas; USV1 00002 units Address (city, street, post U.S. TINEEIN: States code): Provide a description of the entty's °reset:Menai structure, its oremership structure and rs Top Management. For information about revocability,seabr and benelkerles,etc: Jeffrey Epstein is the sole manager and owner of this entity. Sqnors CC this account will be: Jeffrey Epstein Darrell Indyke Please indicate how ownership of the legal entity is reflected: . O Special attention: Bearer Shares' Indicate where shares are custodkd: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (anot the name pews): Jeffrey Epstein is the sole manager and owner of this entity. Signors on this account will be: Jeffrey Epstein Darren 1ndyke To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)': Yes El No RI Describe Nature of Entity's Primary Business and Investment Activities a real estate holding company. It is a company formed to rim and operate al activities associated retire of the business: with a property that Jeffrey Epstein owns In the US Vegin islands. Countries where bushes-s is transacted: USA Number of employees: I 3D. Wealth Profile (Only for parties rogueing source of wealth desalption as indicated In Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Sourte of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetstliabAties) This company Is funded by Jeffrey Epstein's personal wealth Esimatal gross receipts p.a.(S): 1,000,000.00 Estimated net profit pa. (S): 1,000000.00 Estimated Investable assets ($): SI MM - 2 PIM Potential Amount to be Invested with PWM (Sy Other Known fi nancial Institutions: Inetutbn: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_00040004 https://dbforcepb.my.salesforcalNErilDaialiA141000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002828 EFTA_00150613 EFTA01284091  KYC Print Page 7 of 10 it I Country. II Est. Assets Under Mgt: SDNY_GM_00040005 t ps://dbforcepb.my.salesforcaINEJIDWidLAIL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002829 EFTA_00150614 EFTA01284092  KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: BcokIng Center Ow I: O Offshore El Moderate High Risk ToccHun Chung /Offshore ink (Gauntlet* Signature) DDB Employee O DB Managed PIC • DB is Trustee/Co-Trustoe O Bearer Shares 4. Attachments A. Type of Photo ID Provided N Drivers License ElPassport O Natknal/State ID O Other 8. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®yes O* C. Please Indicate the results of the database searches performed RDC searches complete :-.4 yes • No negative results found Oyes @No PCR checks complete Ryes O No negative results found Ores 2 No OFAC checks complete Era O No negative results found Oyes ®No WS searches complete (Loris/Re*, Factrva, Reuters, Dow Tones, D&B) Rya ONo negative results found Oyes ®No Denial Orders checks complete ®ye Otto negative results found Oyes ®No Martindale-Hubbell searched (targets/Law Fenn only) Dyes EINo negative results found Oyes Die D. Please summarize any meat* results from the database searches indicated above: E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Dyes EA No To the bat of your knowledge, has the customer ever been involved in any past litigation against 8 Deutsche Bank AG or any of its subsidiaries or is the customer threatening *cation against Deutsche Dyes R u3 Bank AG or any of Is subsidiaries' (If Yes, provide details babe and contact Quably Mgt flatrilnarell a the RegeAtny Conti,/Crap andnotify Compliance immediately) Does the client or related party have any financial or other association / interactions wthin countries n or regimes sanctioned by the Office of Foreign Assets O241U01 (CfAC), Li Yes 0 No Does the client a related party have any financial or other association/ interactions within high rig a m YIN 0 No countries, I. Corporate Documentation Attached (Legal Entities Only) ®Ye O Et O Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) ales O No 0 Not Applicable K. If Lexis/Nexis Search Results, Corporate DOCUSISISS or Other Supporting Documentation is not in English, please provide an English summary of the naturelcontents of the norrEnglish DOEUTESWIEll: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? • Yen Oleo Is the account structure unusually comp*, • Yes ®No Is there any Indication the client set up a non operating company expressly for the purpose of transferring share to third part*? LI Ye RINo Is there any Indication this could be a prohibted business relationsele7 O Yes ®No Are the bearer shares identified subject to acceptable controls? O Yes ®No SDNY_GM_00040006 https://dbforcepb.my.salesforCCINErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002830 EF1'A_00150615 EFTA01284093  KYC Print Page 9 of 10 Pt Coss Contests Created By Date Comments Cynthia Rodriguez 12/15/116 2:42 PM Ramat research (or Darren Indyke and Jeffrey Epstein can be found in case 01651789. ONSHORE APPROVALS Client Facing Professional Ian tern solyab Signature) 12/15/2016 Ctrl solwab Otte Director/Business Head: Armen Brash Signature) 12/15/2016 Armen Brash Regional Office Director .Signature) AML Business Wilt: ( 509nahrt9 Abl. Compliance: (Signature) Domini Morey Dingtra Manley 12/20/2016 Yoonsun Chung Yoonsun Chung 12/20/2016 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP) (Signature) Account Manager (*nature) Global Markm Team Head (GMTLIpSub. (Signature) Market Team Head (SHIM: AML Busness Risk (Sri siiiiii-) Abt Compliance fskritlir0) PRIVATE WEALTH MANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PIVAff worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals!(I) (CFP 's) should establish andmaintain business relationships only with persons who sane our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by 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 and beliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe dimity's) and that 1have followed all the procedures relating to account opening as describedin the PIVM AmericasProcedures and the PliM Global KYC Policy (l) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors. Product Officers. Brokers, Client Managers. etc. Deutsche Bank Americas New York SDNY_GM_00040007 Ilttps://dbforcepb.my.salesforCCINEJIDWIdEAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002831 EF1'A_00150616 EFTA01284094  KYC Print Page 10 of 10 in I SDNY GM 00040008 https://dbforcepb.my.salesforCCINErilDnEglardiAL000000D9Di&e... 7/36/2619 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002832 EFTA_00150817 EFTA01284095