EFTA01299082.pdf

KYC Print Page I of IS DB PWM GLOBAL KYC/NCA: PART A Int KYC Case # : 01082293 Status 6. Approved 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: r Client Referral F RM Prospect rInterrnediary/FIM F Other Source (C18, etc.) How Was the Chent(s) Introduced? Haw long has Please provide details (e.g. name of referral source, how many years RM personalty has known client, the RM personally known etc.): Jeffrey Epstein was a client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual the client? friend/colleague who introduced them while Paul was at WMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to JPMorgan Does Deutsche Bank pay a r 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 Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 3 F Southern Trust Company, Inc. 8/19/2013 4 r Southern Trust Company, Inc. 8/19/2013 Who is the primary ontact person for the RM? (Note: Preferred method of This person needs to have Jeffrey Epstein contact(indkate phone signatory rights and/or no., fax no., email information right for the address, etc.): accounts.): SDNY_GM_00064628 https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. Atb), -- plipEwripAtoD9Di&eid=500600... 8/26/2013 DB-SDNY-0027453 EFTA_00175131 EFTA01299082  KYC Print Page 2 of IS One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number &lava,lablei 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. To hold funds for the company. 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 tocation and account details): gr Other Institution (Indicate name & location): JPMorgan, NYC 1 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 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for 50,000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150,000 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. • Ahway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). legabescription AccountfIC Settler of Jltmate Signatory..imitecFnancial Significant Entityof Source Holder 0wnerTrust / Beneficialor Full POA InterrnediarySharehoider of Wealth =minder of Owner POA (FIM) K>=25%) required •:ouridation Non-PIC Other (please entity describe other roles (indicate and/or indicate parties related to ownership relationship between s account %) 'parties) Sole shareholder of 1 F F Jeffrey Epstein r r F F F r r Southern Trust; 2 F F Southern Financial LLC F r r r r r r Southern Trust is the sole member of Southern Friancial Southern Trust 3 F F Company, Inc. r r F r F r F 100 and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00064629 hups://na4.salesforce.com/servlet Pli RI Ealt pAt0D9Di&eid=500600... 8/26/2013 CONFIDENTIAL - PURSUANT TO FED. R. t) I l'-' DB-SDNY-0027454 EFTA 00175132 EFTA01299083  KYC Print Page 3 of IS 2. Account Ownership Summary Account Name: Southern Financial, LLC Acct. Number Of avallabreet. 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 hinds for the company. Indicate from where the assets are expected to arrive? F DI3 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, NYC 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 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. What is the expected volume of assets and currency for 50,000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 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 tither column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jltimate Signatory_imitedflnancial 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 ?antes related to ownership relationship between pis account %) oarbes) r Sole shareholder of 1 F F Jeffrey Epstein r r r r r r Southern Trust; Southern Financial 2 F F LLC F r r F F r Southern Trust is the sole member of Southern Anemia, Southern Trust 3 Fr Company, Inc. F F F F F F F 100 and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00064630 hups://na4.salesforce.com/servlet PPR EtepAt0D9Di&eid=500600... 8/26/2013 CONFIDENTIAL - PURSUANT TO FED. R. Atb) 1 l'-' DB- -0027455 027455 EFTA_00175133 EFTA01299084  KYC Print Page 4 of 15 2. Account Ownership Summary Account Name: Southern Trust Company, 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 company Indicate from where the assets are expected to arrive? 7 DB Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Center (indicate DB location and account details): F Other Insbtubon (Indicate name & location): .WMOrgan, NYC 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 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 what is the expected volume of assets and currency for 50,000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 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. • Ahtray describe the relationship between the parties in the last column. • Please drill dorm) to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPlC Settror of Ultimate Signatory4nitedRnancial Significant Entityof Source Holder OwnerTrust / Beneficialor Full • rA Intermediaryehareholder of Weakh rounder of Owner POA (FIM) (>-25%) required Foundation Non-piC Other (please entity describe other roles (indicate and/or indicate pries related to pwnership relationship between . is account '0) parties) Sole shareholder of 1 7 F Jeffrey Epstein F F F F F F F Southern Trust; 2 F F Southern Trust Company, Inc. F r F r r r r SONY GM_00064631 hups://na4.salesforce.com/serylet iltriEWFVACL0D9Di&eid=50060- 0... 8/26/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0027456 EFTA_00175134 EFTA01299085  KYC Print Page 5 of 15 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number Of availab.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. 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 Insbtubon (Indicate name & location): JP.Morgan, NYC 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 2 inflows & outflows per month ranging from $1,000 to 510,000 what is the expected volume of assets and currency for 50,000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150,000 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/untie ying Beneficial Owner(s). Legal Description AccountPlC Settfor of _Iltimate Signatory_imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (> ai25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate r tiesrelated to ownership relationship between i s account %) oarbes) Sole shareholder of 1 F F Jeffrey Epstein F F F F F F F Southern Trust; 2 F F Southern Trust Company, Inc. F r F r r r r SDNY_GM_00064632 plifrffEtraActoD9Di&eid=500600... 0 6 8 2 / 13 CONFIDENTIAL - PURSUANT TO FED. R. t) 1 I''' DB-SONY-0027457 EFTA_00175135 EFTA01299086  KYC Print Page 6 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(If Family a- Friendship, describe) 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, supplier of r Yes F No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Businew: Other Location (specify): Date: Paul moms r 1- F 4/3/2013 r r r--- F r n F Wealth Details for this individual are not filled in, bec use 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 investments 17 Business Owner F Salary/Eamings F Investment F Inhentance/GiRs Summarize Source of Wealth: r — Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor 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 major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion 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. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM ($): Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 Other Known Financial Institutions: SDNY_GM_00064633 hups://na4.salesforce.com/servlet PPR:EViAt0D9Di&eid=500600... 8/26/2013 CONFIDENTIAL - PURSUANT TO FED. R. t b) 1 '-' DB-SDNY-0027458 EFTA_00175136 EFTA01299087  KYC Print Page 7 of 15 Institution: )PMorgan Country: USA Est. Assets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Single SONY GM_00064634 hups://na4.salesforce.com/servlet AtrOfte pAtO D9Di&eid=50060-0... 8/26/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0027459 EFTA_O0I75137 EFTA01299088  KYC Print Page 8 of 15 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 Anancial LLC - 00000483882 F Private Investment Type of Entity: r— Foundabon/Associabon r Trust 1.7 Company Purpose of Entity: r Philanthropic/Charitable 1- Estate 1- partnership r Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of US Virgin Islands 2/25/2013 incorporation / incorporation/registration: registration: 6100 Red Hook Quarter 63 St Thomas 00802 US Virgin Address (city, street, post U.S. TIN/EIN: Is Islands Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For busts/foundations, include information about revocabil ty,settlor and beneficiaries,etc.: Southern Trust Company Inc is the sole member of Southern Anancial !IC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc r- Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner (if not the same persons) Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc 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, supplier of goods Yes 1— No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities This business is funded by Jeffrey Epstein's weath. This company was formed to ',old Mr. Epstein's personal weakh and invest in different ventures. This company Nature of the business: nests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated investable assets ($): <51 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: I JPMorgan I Country: I USA I Est. Assets Under Mgt: 1,000,000.00 SONY GM_00064635 https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. itic iEwroptoD,Di&eid=50066O... Ac O 6 8 2 / 13 DB-SDNY-0027460 EFTA_00I75138 EFTA01299089  KYC Print Page 9 of 15 I Instrtunon: I 1Country: Bt. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: I I SDNY_GM_00064636 https://na4.salesforce.com/servlet leEtepACL0D9Di&eld=500600 . 8/26/2013 CONFIDENTIAL — PURSUANT TO FED. R. 1-Str DB-SDNY-0027461 EFTA_00175139 EFTA01299090  KYC Print Page 10 of 15 One sheet must be established for EACH LEGAL ENTITY in Secdon 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 F Private Investment Type of Entity: r Foundation/Association r Trust F Company Purpose of Entity: r Philanthropic/Charilabie r Estate r Partnership r Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of US Virgin Islands 11/18/2011 incorporation / incorporation/registrabon: registration: 6100 Red Hook Quarter 63 St Thomas 00802 US Virgin Address (city, street, post islands U.S. TIN/E1N: code): Provide a descnpton of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,setUor and beneficianes,etc.: Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein 6 sole managing member F Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner (ifnor Me same persons) Jeffrey Epstein is sole managing member 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, supplier of goods yes F No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities Consulting Services relying on Financial and Biomedical algorithms. Southern Trust s a private consulting company that invests the assets of their clients and gets their Nature of the business: revenue from the return of these Investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Countries where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PINM (S): 300,000.00 Other Known Financial Institutions: Institution: 3PMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: SONY GM_000646.37 https://na4.salesforce.com/servle1 CONFIDENTIAL - PURSUANT TO FED. R. ittr iEtripAtoD,Di&eid=500660... DB8/26/2013 -SDNY-0027462 EFTA_00175140 EFTA01299091  KYC Print Page 11 of 15 Est. Asses Uncle' Mgt insdtlitim I CcluniTY: I Imps://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED_ R. Att,E, EtrirteD9Diaceid=500600... 0 6 8 2 / 13 SDNY_GM_00064638 DB-SDNY-0027463 EFTA_00175141 EFTA01299092  KYC Print Page 12 of IS DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name I EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F NY/Offshore F Offshore aF k moderate rtr re High Risk (Compliance Signature) F 08 Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or entitles) that were submitted for database B. searches is F Yes F No C. Please indicate the results of the database searches performed RDC searches complete F yes F No negative results found F Yes F No KR checks complete F Yes F No negative results found F yes F No OFAC checks complete F Yes r No negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes F negative results found F Yes F No D&B) No Denial Orders checks complete 17 yes r No negative results found F Yes F . No Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F Yes F No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: RDC Alert *1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris KR Alert *1/2 -- Not our client All Cases Dosed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. D. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert hat been cleared by Compliance and is attached Court Cases are dosed E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F Yes F No To the best of your knowledge, has the customer ever been involved in any past F. litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (Let/WI/Intl) or the Regclatory Gondol Group and notify Compliance immediately) SDNY_GM_00064639 h0ps://na4.salesforce.com/serylet CONFIDENTIAL - PURSUANT TO FED. R. PleEtrnikt 0D9Di&eid=500600... DB-SDNY-0027464 14(-) 8/26/2013 EFTA 00175142 EFTA01299093  KYC Print Page 13 of 15 G Does the client or related party have any financial or other association / Interactions r.- yes F No within countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? ' H. Does the client or related party have any financial or other association/ interactions wan high risk countries? r yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable ). Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Document or Other Supporting Documentation is not in English, please provide