EFTA01295105.pdf

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A raid KYC Case # : 01133377 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris F New PWM Relationship F Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: 17 Client Referral F RM Prospect F Intermediary/FIM F Other Source (06, etc.) How Was the Ctient(s) Introduced? How long has please provide details (e.g. name of referral source, how many years RM personally has known client, the RM personally known etc.): Darren Indyke is the in-house lawyer for Jeffrey Epstein, who is a current client of the bank. Darren has the client? worked extensively with Paul here at DB while we've opened accounts for Jeffrey Epstein and he was a previous client of Paul's when he was at PMorgan. He met Paul at JPM through Jeffrey Epstein Does Deutsche Bank pay a F Yes F No retrocession or similar compensation to a third party for the introduction (If Yes, descnbe). of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 F The 2007 Jeffrey E. Epstein Insurance Trust # 3 10/16/2013 2 F HBRK Associates, Inc 10/16/2013 3 F HBRK Associates, Inc -- Money market 10/16/2013 4 F Darren K. Indyke PLLC 10/16/2013 5 F Darren K. Indyke PLLC -- Money Market 10/16/2013 6 F Darren K. Indyke PLLC-Attorney Trust Account 10/16/2013 7 F Darren K. Indyke PLLC-Attorney Trust Account -- Money Market 10/16/2013 a F New York Strategy Group, LLC 10/16/2013 9 F New York Strategy Group, LLC -- Money Market 10/16/2013 Who is the primary ontact person for the RM? (Note: Preferred method of This person needs to have Darren Indyke contact(indicate phone 212 971 1319 signatory rights and/or no., fax no., email information right for the address, etc.): accounts.): SDNY_GM_00053823 httpsfina4.salesforce.corniservIet e CONFIDENTIAL - PURSUANT TO FED. R. Fi t) PIDEN1911kt 0D9Di&eid=50060... 11/18/2013 DB-SDNY-0016647 EFTA_00I 64393 EFTA01295105  KYC Print Page 2 of 29 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 I Acct. Number (Ifavailable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for this trust. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): 1; Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150000 Currency USD the account approx. one year after opening? 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 relation to the account in the "Other' column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Description AocountPIC Settlor of Ultimate Signatory imiteciFnancial Significant Entityof Source Holder OwnerTrust / Benefiaabr Full POA (ntermediary6harehoider of Wealth =ounder of Owner POA (FIM) K>=25%) required l'ouridabon Non-NC Other (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between s account %) Dailies) The 2007 Jeffrey E. 1 F F Epstein Insurance F F F F F F F Trust #3 2 F F Jeffrey Epstein F F F F F F Grantor; F 3 F F Darren Indyke F F F F F F F Trustee:; 4 F F Richard Kahn F r F F F r r Trustee:; SDNY_GM_00053824 hops://na4.salesforce.com/serele CONFIDENTIAL - PURSUANT TO FED. R. 'I..)PIDE/TRAt 0D9Di&eid=50060... 11/18/2013 DB-SDNY-0016648 EFTA (()164394 EFTA01295106  KYC Print Page 3 of 29 2. Account Ownership Summary The 2007 Jeffrey E. Epstein Insurance Trust #3 -- Account Name: Acct. Number (ifavailable): Money Market Account 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 account to hold hinds for the insurance bust Indicate from where the assets are expected to arrive? F 013 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 200000 Currency LlSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 250,000 Currency USD the account approx. one year after opening? 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 relation to the account in the 'Other column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settler of _Iltimate Signatory _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate ?arties related to ownership relationship between Ithis account %) oarbes) The 2007 Jeffrey E. 1 F F Epstein Insurance F F F F F F F Trust *3 2 F F Jeffrey Epstein F F F F F F F grantor; 3 F F Darren lndyke F F F F F F F Trustee:; 4 F F Richard Kahn F F F F F F F Trustee:; SDNY_GM_00053825 hups://na4.salesforce.com/serylet PPRElfr0pAt0D9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED. R. Ate) I l'-' DB-SONY-0016649 EFTA_OO164395 EFTA01295107  KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: HBRK Associates, Inc Acct. Number (ifavailable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? F DS Group: Same Booking Center (indicate account number): F 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after opening? Please list all parties related to the account For each patty: • 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 relation to the account in the "Other' column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPlC Settfor of _Itimate Signatory_imitecRnancial ignificant Entityof Source Holder OwnerTrust / Beneficiakx Full POA Intermedia hareholder of Weakh Founder of Owner POA (FIM) > ai25%) required Foundation -PIC Other (please tity describe other roles indicate and/or indicate p ities related to ership relationship between i s account o) parties) 1 F F HBRK Associates, F F F F F F F Inc 2 F F Richard Kahn F F F F F F F 3 F F Harry Beller F F F F F F F SDNY_GM_00053826 htt s://na4 0D9Di&eid=50060... 1 I/18/2013 F e EITRAt CONFIDENpTIAL - PURSUANT .salesforce.com/servlet TO FED. R. Fi t DB-SONY-0016650 EFTA_00164396 EFTA01295108  KYC Print Page 5 of 29 2. Account Ownership Summary Account Name: HBRK Associates, Inc -- Money market Acct Number (ifavailable): Account 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 account to hold hinds for the company and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 013 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan. new York, NY 7 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150000 Currency USD the account approx. one year after opening? 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 relation to the account in the 'Other column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Owner(s). Legal Description AccountPlC Sector of _Iltimate Signatory_imitedflnancial Significant Entity of Source Holder OwnerTrust / Beneficiakor Full ?OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) i(>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate ities related to ownership relationship between is account %) oarbes) 1 F F I HBRK Associates, r r r r r F F nc 2 r r Richard Kahn F F F F F r F 3 F F Harry Beller F F F 7 F F F SDNY_GM_00053827 has://na4.salesforce.com/servlet piFIEWRACEDD9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED. R. Fil b) l1 I''' DB-SDNY-0016651 EFTA 00164397 EFTA01295109  KYC Print Page 6 of 29 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC Acct Number (ifavailable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for the daily use of the this law firm Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after openng? 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 relation to the account in the 'Other column. • Abney describe the relationship between the parties in the last column. • Please drill (tom to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jftimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) 0.25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p ridesrelated to ownership relationship between i s account %) ,arties) 1 F F Darren Indyke F F F F F F F 2 F Darren K. Indyke iT PLLC F F F F F r- SDNY_GM_00053828 lutps://na4.salesforce.com/sen/let plifrffEtfrapAtoD9Di&eid=50060... 1 1/18/2013 CONFIDENTIAL - PURSUANT TO FED. R. Ate) I '''' DB-SDNY-0016652 EFTA_00I 64398 EFTA01295110  KYC Print Page 7 of 29 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC -- Money Market Acct Number (ifavailable). Account 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 account for the company to hold funds and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O13 location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 1-3 inflows and outflows per monthr anging from $1,000 to $10,000 What is the expected volume of assets and currency for 100000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 125000 Currency USD the account approx. one year after opening? 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 relation to the account in the 'Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Setttor of _Iltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p ates related to ownership relationship between i s account %) oarbes) 1 F F Darren Indyke F F F F F F F 2 F Darren K. Indyke i7 r— r-- F PLLC F F r- SDNY_GM_00053829 Ims://na4.salesforce.com/servlet pifrffEm AtoD9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED. R. At b) l1 I''' DB-SDNY-0016653 EFTA_00 I 64399 EFTA01295111  KYC Print Page 8 of 29 2. Account Ownership Summary Account Name: Dan-en K. Indyke PLLC-Attorney Trust Account Acct. Number (ifavailabreet. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for clients escrow. Funds are placed here to earn Interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after opening? 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 relation to the account in the -other column. • Ahiray describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jftimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>"25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate rises related to ownership relationship between account %) tames) 1 P F Darren K. Indyke 17 p r r r n r PLLC 2 P F Darren Indyke n r n r p I- r SDNY GM_0005.3830 hups://na4.salesforce.com/servle r eleEtepAt0D9Di&eid=50060.. . 11/I 8/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016654 EFTA 0()164400 EFTA01295112  KYC Print Page 9 of 29 2. Account Ownership Summary Darren K. Indyke PLLC-Attorney Trust Account -- Money Account Name: Acct. Number (if available): Market Account 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 account for clients escrow. Funds are placed here to earn interest Indicate from where the assets are expected to arrive? F 08 Group: Same Booking Center (indicate account number): F De Group: Other Booking Center (indicate DB location and account details): F7 Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 75000 Currency USD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 100000 Currency USD the account approx. one year after opening? 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 relation to the account in the "Other' column. • Ahmay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settler of Jtimate Signatory _imitecRnancial Significant Entityof Source Holder OvvnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate ?antes related to ownership relationship between is account %) cartes) 1 F F Darren Indyke F F F F F F F 2 F Darren K. Indyke ET r r- F PLLC F F r- SDNY_GM_00053831 htt p irjEwropAtoD,Di&eid=50060... 1 I/8/2013 CONFIDENTIAL s://na4.salesforce.com/servlet - PURSUANT TO FED. R. Filb) 1 DB- -0016655 016655 EFTA (()164401 EFTA01295113  KYC Print Page 10 of 29 2. Account Ownership Summary Account Name: New York Strategy Group, LLC Acct. Number Ofavailable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for the daily needs of the company Indicate from where the assets are expected to arrive? F D8 Group: Same Booking Center (indicate account number): F 08 Group: Other Booking Center (indicate 08 location and account details): F7 Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 25000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after openng? 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 relation to the account in the tither column. • Alway describe the relationship between the parties in the last column. • Please drill (tom to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of Jltimate Signatory _imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakir Full POA IntermediaryShareholder of Weakh Founder of Owner ?OA (FIM) K>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p rbesrelated to ownership relationship between i s account %) ,arbes) New York Strategy 1 F F F F F F F F F Group, /IC 2 F r Darren Indyke F r F F F f F SDNY_GM_00053832 lut t pi1ipfEttintAtoD9Di&eid=50060... 11/8/2013 CONFIDENTIAL s://na4.salesforce.com/serylet -PURSUANT TO FED. R. Fli l'-' DB-1SDNY-0016656 EFTA (()16440? EFTA01295114  KYC Print Page 11 of 29 2. Account Ownership Summary Account Name: New York Strategy Group, LLC -- Money Market Acct. Number Of avallab.eet. Account 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 account to hold funds for the company and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 17 Other Institution (Indicate name & location): JPMorgan. New York, NY 7 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after openng? 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 relation to the account in the tither column. • Ahmay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Setttor of Jftimate Signatory_imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate p ities related to ownership relationship between i s account %) oarbes) 1 F F New York Strategy F F r r r n r Group, LLC 2 F F Darren Indyke F r F F F f F SDNY_GM_00053833 lut s://na4.salesforce.com/serylet pip:EisfrtAtoD9Di&eid=50060... 11/18/2013 CONFIDENTIAL -PURSUANT TO FED. R. Fi t) 1 l'-' DB- 016657 -00 16657 EFTA (()16=403 EFTA01295115  KYC Print Page 12 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/