EFTA00166741.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01082293 Status : 6. Approved One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Petationship Name: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York Relatiorah0 Manager: Paul Monis RI New PAN Relationship O Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach obi profile: LI Client Referral El RM Prospect ID Intermediary/PIM li Other Source (CIS, etc.) How Was the Client(s) Introduced, How long has the RH personally known the Please provide details (e.g. amt of referral source, how many years RM personally ha known client, etc.): Jeffrey Epstein was dent, a client of Paul's at JP Morg n. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at wmorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of his funds over to Priorgan Does Deutsche Bank pay a 0 Yes 12 No retrocession or similar compensabon to a thid party for the Introduction of this relationship, pr Yee,describe List all existing and new MCOVIIIS InvoNed in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) I 2 Southern Financial, LI.0 8/19,0013 A Southern Financial, RIC 8/1912013 3 El Southern Teta Company, Inc. 8/1912013 4 El Southern That Company, Inc. 8/19/2013 Who is the primary contact person a the RN? (Note: This Preferred method of contact person needs to have Jeffrey Epstein (nd•cate phone no., fax no., signatory rights and/or email addren etc. Sweetish right for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di8ce... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002515 EFTA_000 15989 EFTA00166741  KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, at Air I. hunter (if avaMiNe). kcounl Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term investment, payment/expense account)? Money Market. To hold funds for the company. Indicate (ran where the assets are expected to arrive? O 08 Group: Same Booking Center (Indicate account muter): El DB Group: Other Booldng Center (Indicate DB location and account details): w LA Other Insfitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, securltks, cheques....): What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000. ICurrency I USD What es the expected volume of assets and currency for the account approx. 90 days after opening? 1 50,E 150,000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 Does/wi the client have Assets Under Management (AuM) within C6 under Eur. )M? • Yes El No Please list all parties related to the account. For each party: • Check if a source of wealth description it. required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account in the "Other column. • ?Mays &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _egalbescription AccountplC Settler of Jitimate Signatoryskrniedrinancial Significant _egal Grantor/Sernorfounding Other Entity,' Soiree Molder OwnefTrust / Bencficialor FAA POA InterinediaryShareholdeditepresentative Donor "lease al Wealth Founder of armer POA (FIN) :>•2529) describe -Acquired Foundation Non-PIC other roles entity and/or Parties indicate ndicate -elated to ownership relationship ins %) between mcount ?ernes) Sole shareholder l O 0 jeffreY Epstein • O ILI O O O O O O O of Southern Trust; Southern 2 El El arZlindll PI El IT O O O O O O n Southern Trust is the sole member of Southern Southern fnist O O ico O Financial 3 2 0 Co want. n❑"I D O DD O and Jethey Inc Epstein is the sole shareholder of Southern Trust; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SIDNY-0002516 EFTA_00015990 EFTA00166742  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, La Paul Morris Acct. Number (d available): T What is the purpose of the account (e.g. portfolio minagemen advisory account, custody services, long-term investment, payment/expense account)'+ Checking account to hold funds for the company. Indicate from where the assets are expected to arrive' O 013 Group: Same Booking Center (indicate account camber): • DI3 Group: Other Boob% Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, soarers, cheques, ...): What Is the expected site and frequency of regular inflows and outflows for the account (indicate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. 150'000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days alter opening? opening? 1 100,00D ICutrency I USD What is the expected volume of assets and currency for the account approx. one year after Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes ElNo Please list all parties related to the 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 (> I can be elected). • If none of the check boxes apply, describe the party's reaction to tbe account in the 'Other column. • Always describe t e relationship between the parties in the lad coltsnn. • Please drill down to the ultimate;undertying Beneficial Owner(s). .rigal)escretion Account PlC Settler of amide SIgnatorebnitediFiriancial Significant _opt 'Grantee/Steno minding Other Jntilyof Smote Holder Owne(Trust / Beneficialor Rd PO* IntembellaryShareholdefeepresentative nor please of Wealth Founder of Owner POA (PIM) >=25%) describe -Nuked Foundation Non-PIC other roles entity and/or Notes ,Mdkate ndirate related to ownership relatonship his Sb) Moroi i sCCOUnt Janie.) Sole Jeffrey in O O shareholder l • Fj EPsteln 1--J O a O O O O of Southern Trust; Southern 2 la 9 Financial N • O • O O O O O O La Southern Trust Is the sole member of Southern Southern bus mi O O 3 Ea 0 Company, — is O O O O O 1 CO and a rey Inc. Epstein Is the sole shareholder of Southern Trust; https://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002517 EFTA_0001599 1 EFTA00166743  KYC Print Page 4 of 12 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. Paul Morris Acct. Number (laved/de) T What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parnell/Odense account)'+ Checking account To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booldng Center (indicate account limber): • 06 Group: Other Booldng Center (indicate DB location and account details): @ Other Instifutbn (Indicate name & location): )'Morgan, NYC O Physical Deposits (specify cash, diorites, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume pe month)'': Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 I Currency I USD What 6 Use expected volume of assets and currency for the account approx. 90 days alter opening' 1 50,E What is the expected volume of assets and currency for the account approx. one year after 100,000 I Currency I USD opening' 1 Does/W6 the client have Assets Under Management (AM) within 06 under Eur. 311? • Yes 21No Please list all parties related to the 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' alum. • Always describe t e rdaticoship between the parties in the lad oakum. • Please del down to the ultimate/underlying Beneficial Owner(s). ..egal7escription Account PlC Settler of Jttimate Signatoosimilietkiarttird Sigrilirant _egal Yiranter/Settbrkounding Other lEntttyaf Source Holder Ownertrust / Beneficialor HA POA IntemediaryShareholderttepresentative 2onor please al Wealth Founder of Owner POA (FIM) >=25%) describe required Foundation lion-PIC other roles entity and/or lodes ,Odicate nditate elated to wnershlp rciatonsho Ns %) frutv.voi i sccouM sanest Sole Jeffrey sh I O El idstein ❑ in i—J O O • A O O O O O of areholder Southern Trust; Southern 2 2 E rant Di u u • O • O O O O :armful, il-' ,nc. https://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002518 EFTA_00015992 EFTA00166744  KYC Print Page 5 of 12 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (rf availabl) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody se ekes, long-term investment, payment/expense account)> Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account combo): • 06 Group: Other Booking Center (Sdkate DB location and account details): Eil Other Institution (Indicate name & location): 3PMorgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows for the account Ondkate est mated number and volume pe month)'. Rouohly 2 inflows & outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1 5 '°C.3 I Currency II'S° What S the expected volume of assets and currency for the account approx. one year after 1 150,000 Currency opening' I I USD Does/wal the client have Assets Under Management (AuM) within DB under Eur. 3M? Likes RI No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the parry. • Check the appropriate box to describe the relationship of the party to thin account (> I can be selected). • If none of the check boxes apply, describe the party's reLotbn to the account b the Tithe- wham. • Mvays describe t e relationship between the parties in the tel colt.nn. • Please dn. down to the utimateunderlying Beneficial Owner(s) ,sgalDescriptkin Account PlC Settior of Ultimate SignatorykinSeerinancial Significant ..egal 'arantor/Settior"Sunding Other ntttyof Source Holder OwnerTrust / Beneficialor Full ?OA /ntermediaryShareholderRepresentatree )onor please of Wealth -tender a Owner PO4 (FIN) (i..75%) describe -mitred Foundation Non PIC other roles only orstror ?rubes ',indicate ndlcate 'Mated to ownership relationship SS %) between account Janie.) Sok Jeffrey in O O O shareholder I O U Epstein I--I 121 O O O O ❑ nof Southern Trust: Southern Trust 2 74 31 Company, • • O O O • O O O O lbw- Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002519 EFTA_00015993 EFTA00166745  KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) individuals Name Jeffrey Epstein • Date of Birth: 1/20/1953 Country of Residence: USV1 Country of Cmzenship: USA Has client resided outside of Litte Saint James Saint lhomas 00802 US Virgin Islands his/her country of nationality O yeg 12 No Address of primary residence: for 5 years or more, Profession/Occupation: Self Empotyed Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas USW 00802 Does the person work as senior executive et a DB-recognized regulated enUty In the financial is yes E .ri r40 Sus or an entity hied on a DB-recognised exchange? (Not applicable for operating entities Is the iffilvidual a Pdltically Exposed Person (PEP)?(f Yes ckso-ibe) Dyes No To the best of your knowledge, Is the individual related to an employe* of the DB group(/' O palm O Friendship 2 None Family or FrierdsoNA dcsmbe ) To the best of your knowledge, is the inderiduzd party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O yes in Ng services), Or Yes,ckscate) Indicate where and when the client meebnig(s) took place. If applicable, indicate which bank officers have met the person: CUM Private Client Place of Bank Officer Names) Bank Office: Cnher Location (specify): Date: DornIdle: Business Paul Morris O O 10 413i2013 • 0 0 O O O O Wealth Details for this Individual are not filed h, 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: Private nvestments Primary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Finds? Summarize Source of Wealth: WI Business Owner Salary/Eamings 0 Investment U Inheritanceffins O Other: U iurther Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. fur trusts, how did senior accumuia e weakh? For Inheritance, how did family neurnithle wealthYlca business owners. how long in business, how many employes., level of profitability? Indicate type of bushes, countries of ma)pr activties, important business partners.) Epstein began his financial career in 19/6 as an options trader at Bear Stearns an became a partner ri 1980. In 1982, Epstein founded his own manual management firm, 1. Epstein & Co., managing the assets of clients with more than a NI n in net worth. In 1996, Epstein changed the name of hi firm to me Financial Trust Company and based a on the island cl St. Thomas in the US Virgin Islands. All of his clients wee anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management firms I stimated Annual Incorne($): 10,000,000.00 Estimated amount of investable assets(y): $50 MN - 100 PIM Estimated Net Worth($): $100 MM - SOO MM Mount of asses planned to Irwest with PWM($): 10,000.00 other known Financial Institutions: Institution: 1ffilorgan Country: USA Est. Assets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002520 EFTA_00015994 EFTA00166746  KYC Print Page 7 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the farrity situation of the individual (ma tat status, other family members, etc.): ngle 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: Southern financial ti C-- ❑ Foundatran'Assocotton MI Dust O R company O Estate purpose Cif Z Prtvate Investment O Entity' Philanthropic/Charitable O O Partnership /Commercial Purpose of Entity Type of Entity Other (specfy): Other (specify): Country of US Virgin Islands Date of Incorporation / 2/25/2013 incorporation/registration: registration: Vokker Status: Volcker Flag: Address (city, street. post 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN;EIN: code): Provide a description of the entity's organuauonal structure, its ownetslip structure and Its Top Management. For trusts/foundations, include information about nwocabilly,settlor and benefkiaries,etc.: Southern Trust Company Inc b the sole member of Southern Financial 11.C. Jeffrey Epstein Is the sole shareholder ol Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Dust Company Inc Is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the died owner of the entity to the ultimate beneficial owner (dolt the sensepawns): Southern Trust Company Inc le the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc TO the best of your knowledge, is the entity party toe non-banking relationship with Deutsche Bank (e.g. External legal counsel, client refers source, supplier of goods or services)): Yes O No 0 Describe Nature of Entity's Primary Business and Investment ActNIties This business Is funded by Jeffrey Epstekt's wealth. This company was formed to hold Mr. Epstelds personal wealth and Invest In different ventures this company Invests in rest estate, Nature of the business: equities, commodities, etc and gets is revenue from the gams it makes in these investments. It 6 a company formed to Invest the assets of Mr. Epstein Countries vdtere business Is transacted: US Virgin Islands Number of employees: 3 30. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weakh/source of Funds' Primary industry of source of Wealth/Source d Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lablikies): The initial funding in February 2013 vies $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein) Estimated gross receipts pa.(3): 2,000,000.00 Estimated net profit p.a. ($) 1,500,000.00 Estimated investable assets (3): <$1 I4M Potential Amount to be Invested with PPM ($): 300,000 00 Other Known Financial Institutions: instRution: I "Woman Country: USA Est. Assets Under Mgt: 1,000,00130) Institution: Country: Est. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002521 EFTA_00015995 EFTA00166747  KYC Print Page 8 of 12 IOne Institution: Country: sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary I UM AVAtt Under Llgt - I 3C. Legal Entity Details (F-or all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. ❑ Foundabon/Assoclation O Trust W Company O Estate O Ed Private Investment O Type of Entity: Depose d Entite: Philanthrople/CharkableEl O Partnersibp Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Country of US Virgin Islands Dote of Incorporation / 11/16/2011 incorporation/registration: registration: Volcker Status: Voklom IsHg: Address (city, street. post 6100 Red Hook Quarter B3 St Thomas 00602 US Virgin Islands U.S. TOWEIN: code): Pronde a description of the enteys organtrational structure, Its ownership structure and Its Top Manageniert. For trusts/foundations, Inekide information about revocability...odor and benefx lariesetc.: Please indicate how ownership of the legal entity n reflected: lefftey (Wert:sole managing member O Special attention: Bearer Shares - Indicate where shares ate custoded: Describe the chain from the Oen owner of the entity to the ultimate beneficial owner (if not the same persons}. Jeffrey Epstein is sole managing member To the best of your knowledge, Is the entity party to a nowbanking relationship with Deutsche Bank (e.g. external legal counsel, (bent referred source, suppler of goods or services?: Yes • No :a Describe Nature of Entity's Primary Business and Investment Activities Consulting Services relying on FinarKlal and Blom edkal algorithm Southern Inn/ is a private consulting company that invests the assets of their clients and gets their revenue from the return Nature of the business: of these investments. Southern Trust West; in different portfoIos catered to thor clients and makes their revenue based on the returns and the lees associated wilt managing their clients assets Counlnes where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties rectum-mg source of wealth descnpbon as indicated in Section 2) Pitman, Country of source of wealth source of Funds') Primary industry of source of Wealth:Source of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetslabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000 00 Estimated net pat p.a. ($3 L500,000 00 Estimated invadable assets (S) $2 MM • 5 MM Potential Amount to be invested with PV/TI (S): 300,000.00 Other Known Financial Institutions: Institution: iPMorgan Country: USA Est. Assets Under llgt: 2,000,000 CO Institution: Country: Est Assets Under Mgt: Institubon: (:ountry: Est. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002522 EFTA_00015996 EFTA00166748  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comment: • • moderate •► FrA High Risk Braking Center RI NY • Offshore iNY/Cffshore tisk (Compliance Signature) O NJ Employee O CO Managed PIC O DB es Trustee/Co-Trustee O Bearer Shares