EFTA00166822.pdf

KYC Print Page 1 of 11 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case N : 01135524 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATICNSmIP Boolong Center: New York Relationship Manger: Paul Monts 5 New PWM Relationship • Existing PWM Relationship Relabenship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profik: O Client Referral g RM Prospect O Intermediary/P1M • Paler Source (CM, etc.) mow Was the Chea(s) Introduced/ How long has the Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc.): Jeffrey Epstein is Rt.1 personally known the a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client r;ient, of Pours at )P Morgan. Paul and Jeffrey Epstein had mutual friend/colleague vito introduced them while Paul was at Jr:Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a O Yes I 2 No retrocession or smith compensation to a third party for the introduction of this (if Yes, desaibey. relationship' List all exist:rig and new accounts involved in this relationship Legal Entty Account Name / Number Opening Date (intended/actual) Account(s) 1 El Neptune LLC 10/16/2013 2 2 Neptune LLC — Money Market 10/16/2013 Who Is the primary contact person for the RN/ (Note: Preferred method of contact This person needs to have Harry Beller (indicate phone no., fax no., signatory nights and/or e-mail address, etc.): information right for the accounts.): https://dbforeepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002596 EFTA_00016070 EFTA00166822  KYC Print Page 2 of I I One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LAX Acct. Humber (drayarranie) 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 used for the daily needs of running Jeffrey Epstein's home In NYC. Indicate from where the assets are expected to arrive' • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate 06 location and account detals): 9 Other Institution (Indicate name & location): Ottoman. New York O Physical Deposits (specify cash, securities, cheques, ••.): What is the expected site and frequency of regular Inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from $,1000 to $10,000 15000 I Currency What is the expected volume of assets and currency for the account approx. 90 days after opening' I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1 10000 Currency I USD Does/will the client have Asses Under Management (AuM) within DB under Eur. 3M' E.J Yes EA No 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 parlys relation to the account in the 'Other' column. • Mays describe the relationship between the parties in the last oiumn. • Please drill down to the ultimate/underlying Beneficial Owner(s). *eget 'Description Account PIC &Mix of Jtvnate iignatory..imitednnancial Significant -egal Grantor/SettlorboundincrOther Entity of Source Holder amerTrust / Benefkial or Full POA nterrneduryShareholder Representative Donor (please of Wealth Founder of Owner ?OA . FIM) (>-2S4) describe required Foundabcn Non-PIC other roles entry and/or Parties (indicate Indicate related to ,%mership relabonship this %) between 'account parties) 1 El El NePtu"' la LLC O O O O O O O O 2 El Ed kr" tpstein 0 0 El 5 CI 0 • 0 li L Many • DO O rA O • • • • 3 • • Belkr Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002597 EFTA_00016071 EFTA00166823  KYC Print Page 3 of 11 2. Account Ownership Summary Account Name: Neptune LLC — Money Market Acct Number (if availabk).. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term invesbnent, payment/expense account)' Money Market to hold funds necessary to run the costs associated with Jeffrey Epsteln's NYC home Indicate from where the assets are expected to arrive' C3 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): JPSIorgan. NYC O PhYskal Deposits (specify cash, securities, cheques, .-): What is the expected size and frequency of regular inflows and outflows for the account (indicaW estimated number and volume pe month)': RoughN 1-3 inflows and outflows per myth ranging from $1,000 to $10,000 'Currency What is the expected volume of assets and currency for the account approx. 90 days after opening' I 50® I USD What is the expected volume of assets and currency for the account approx. one year after 1 10,000 'Currency I MD Welling' Does/will the client have Asset Under Management (AuM) within DB under Eur. 3M' • yes EZI No Please list an parties related to tM 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 (> 1can be selected). • If none of the ch cc boxes apply, describe the party's relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • ',lease drill down to the ultimate/underlying Benefidal Owner(s) .egal Description AccountPIC ISettior of Jbnate "Signatory ...irnitedrinancial "Significant -egal Grantor/SettiorroundinorOther Entity of Source Holder Ovasertrust / Beneficial or Full POA IntermediaryShaseholder Representatate Donor (please of Wealth Founder of Owner >OA (FIM) '>=25%) describe required Foundation Non-PIC other roles entity and/or Parties ;Indicate indicate related to ammrship relabonship this NO between account „parties) Neptune, O O O 1 2 E1 LLC ❑ O O O O O O O 2 O 5 rrng O O O 5 6:6 O O O O O st Epein 3 • • il" Beller O • • O 0 • O 111 O • https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002598 EFTA_00016072 EFTA00166824  KYC Print Page 4 of 11 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - Date of Birth. 1/20/1953 Country of Residence: USVI Country d Citizenship: USA Has client resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands hasther country of nationality El yes ®No Address of primary residence: far S years or more ProfessionfOccupabon: Self Empolyed 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 of a DB-recognized regulated entity in the financial r--i industry' or an entity lilted on DO-recognised exchange' (Not applicable for operating entitles L..1 Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovAedge, Is the individual related to an employee of the D8 group'(f 0 Family Chien:Is/lip 2 None P.O* or Friendshs detaibt) 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, suppler of goods or • Yes Ei No services)'(/ Yes,decarbe) If applicable, indicate which bank officers have met the Indicate where and when the client meehng(s) took place: person: Chent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Monis O • 0 9/13/2013 O o O ID El • 0 Wealth Details for this individual are not filled 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 Indhiduars Business: Private nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0 salary/Earnings investment 0 Inheritance/Gifts 0 Other: Further Describe Source of WeaRh /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of mayor activkies, Mportant business partners.) Epstein begs his financial career in 1976 as an options trader *Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn financial management firm,./. Epstein 8 Co., managing the assets of clients with more than a billion In net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based It on the island of St. Thomas In the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(;): $50 MM - WO MM Estimated Net Worti($): $100 MM • SOO MM An aunt of assets planned to invest with PVIPI($): Other Known Financial Institutions: Institution JPtlorgan I Country: USA Est Assets Under Mgt: '200,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002599 EFTA_00016073 EFTA00166825  KYC Print Page 5 of I I Institution: Counby: Est Asset Under Mgt: Institution: Counby. Eu Asset Under Mgt: Please indicate the famly situation of the individual (marital status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002600 EFTA_00016074 EFTA00166826  KYC Print Page 6 of I I One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth. Country of Residence: USA Country d Ctzenship: USA Has client resided outside of his/her country of nationality O yes ®No Address of primary residence: for S years or more Profession/Occupabon: Accountant Tax ID / SSN: Current Employer HBRK Associates Posibon/Title/Stank: Address of employer: 575 Lexngton Ave, 9th Fl New York NY USA 10022 Does the person work as senor executive of a DB-recognized regulated entity In the financial r—, ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles I....l Yes Z No Is the individual a Politically Exposed Person (PEP)>(d (PEP)>(dYes, detente) O Yes 0 No To the best of your knovAedge, is the Individual related to an employee of the DB group'(d 0 Family 0 FrierxIship 2 None Family or Friendylma, describe) To the best of your knowaedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes 2No services)'(/ Yes,thrserbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meeting(s) took place: person: Chent Private Client Place of Bank Officer Name(s) Bank OOffice: Other Location (seedy): Date: Domicile: Business: Paul Monts O • 0 9/13/2013 O o O ID El • 0 Wealth Details for this individual are not filled 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 Indhiduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: DElusiness owner 0Salary/Earnings 0 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long In bushiest, how many employees, level of profitability' Indicate type of business, countries of miler activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWTil($): Other Known Fnancral Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002601 EFTA_00016075 EFTA00166827  KYC Print Page 7 of I I Please indicate the family situation of the kidividual (marital status, other family members, etc.): One sheet mint be established for EACH LEGAL ENTITY In Section 2. Account Somme I 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Neptune, LLC - O FoundabolvAssoziabon El Trust RI Company El Estate RI Private Investment II Type of Entity: Purpose of Eberly: phunguppk/charbabk 0 O Partnership Commercial Purpose of Entity Type of Entry Other (specify): Other (specify): Date of Country of USA incorporation/ 12/21/2011 incorporation/registrabon: regisbabcri: Volcker Status: Vokker Flag: Address (city, street post 6100 Red Hook. Quarter 83 St Thomas 00802 USVI US. TIN/EIN: code): Provide a descdpbon of the entity's organizational structure, Its ownership structure and Its Top Management. For trusts/foundations, allude Information about revocability,settlor and bendier ries,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: Single member LLC. Capital contribution of $4000 was made by Jeffrey Epstein who is the sole member • Special attention: Bearer Shares - Indicate 'Acre shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (Ince the samepersona). Single member LLC. Jeffrey Epstein is the sole member To the best of your knowledge, Is the entity party to a non-banking relationship with Deutsche yes — Bank (e.g. extemal legal counsel, client referral source, supplier of goods or services)? U No Fa Describe Nature of Entity's Primary Business and Imestment Activities This LLC was formed to hold the funds necessary to cover the costs and taxes associated mth Nature of the business: running Jeffrey Epstein's NYC home Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth descrpbon as indicated in Section 2) Primary Country of source of wealth/source of Funds/ Primary Industry of source of Wealth/Source of Funds/ Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsffiabilbes): This LLC is funded my contributions made by Jeffrey Epstein. Estimated gross receipt p.a.($): Estimated net profit pa. (S): Estimated investable asset ($): </I MM Potential Amount to be invested with RUM (S): 20,000.00 Other Known Fnancial Institutions: Institution: "Morgan Country: USA Est. Assets Under Mgt: 20,000.00 Institution: County: Est Asset Under Mgt: Institution: Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=0I N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002602 EFTA_00016076 EFTA00166828  KYC Print Page 8 of 11 DB PWM GLOBAL KYC/NCA: US/LatAm/Inti PART B rA Relationship Name SOUTFERN FINANCIAL RELATIONSHIP Risk Rang Comment: • Booking Center 5 NY NY/Offshore C Offshore I EM(/trate isk 5 High Risk Janice FrankIn R (Compliance Signature) O DB Employee El De Managed PIC O De is Trustee/Co-Trustee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Others Ucense 0 Passport O National/State ID 0C0er Checklist of names (individuals and/or entitles) that were submitted for database searches Is B. rd . Yes NW attached C. Please indicate the results of the database searches performed RDC searches complete 2 yes 0 No negative results found 2 yes 0 No PCR checks complete 21Yes O No negative results found • Yes 2 No OFAC checks complete 0 Yes O No negative results found • yes 2 No BLS searches complete (Lois/Nods, Parka, Reuters, Dow Jones, DAB) FZI Yes O No negative results found O Yes 0 No Denial Orders checks complete Fli Yes O No negative results found Ekes Ed No Marbndale-Hubbel searched (lawyers/law Firms only) 0 Yes 5 No negative results found • yes 0 No Please summarize any negative resets from the database searches indicated above: NEPTUNE LLC: See attached AML Clearance -- The RDC alert as a false hit Negative Meda: MI negative media is not our client. Al negative media either predates our client's formation (2011) or is another LLC. Our Neptune LLC is a singk member LLC that runs the operations of a home JEFFREY EPSTEIN: D. See KYC 0/1082293 and #01l21718 for previous KYC approval and all pertaining documents HARRY BELLER: Negative Meda: Not our client MI negative media pertains to an environmental nicablologist Our client Is an accountant Court Cases: at Disposed in 1987 MI other cases are not our client The other court cases refer to a Dr. Harry Beller. Our client Is an accountant E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? 5 Yes • No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of It subsidiaries or is the customer threatening &ligation against F. Deutsche Bank AG or any of es subsidiaries? (7/ Yes, provide disteds behsw andcontact Gaily Mgt. • Yes 74 No flatAmantl)or the Ressdatroy Control Gimp andnobly Compiance immediately) Does the client or related party have any financial or other association / Interactions within G. O Yes 74 No countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Does the client or related party have any financial or other associatkri/ interactions within high risk . 0 No H. Yes countries? I. Corporate Documentation Attached (Legal Enblies Only) S Yes • No • Not Appkable J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes • No IS Not Appicabie K. If Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an Engleh summary of the nature/content of the ton-English Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Countries? Dyes 5 No Is the account structure unusually complex? https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002603 EFTA_00016077 EFTA00166829  KYC Print Page 9 of 11 Dyes No Is there any Indicabso the client set up a non operating company expressly yes g for the purpose of transferring shares to third parties/ ❑ Is there any indication this could be a prohibited business relationship/ ❑ Yes E No Are the bearer shares identified subject to acceptable controls) O Yes No Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002604 EFTA_00016078 EFTA00166830  KYC Print Page 10 of 11 1 It Can Comments 4o records to dtsplay. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Horns ,Signature) 10/8/2013 kaul toms Office Director/Business Head. Brian M. Biggar (Signature) 10/8/2013 Brian M. Biggar Regional Office Director: (Signature) 0.141. Business Risk: (Signature) A141 Cemplience: (Signature) Jacquelne Ughtbody Jacqueline Ughtbody 10/17/2013 Janice Franklin Janice Franklin 10/17/2013 LOAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) ranO/Sub-Plarket Team Head SI1TH): AML Business Risk: (Signature) Mt Cancilince (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private WealthManagement (PWM) 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 withpersons who satisfy our high standards ofsuitability, 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 ln0w 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 andbeliefthe 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 client(s) and that! havefollowed all the procedures relating to account opening as described in the PIMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, (Went Managers, etc. Deutsche Bank Americas New York Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002605 EFTA_00016079 EFTA00166831  KYC Print Page II of II u https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002606 EFTA_00016080 EFTA00166832