EFTA01435764.pdf

Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Bradley Gillin Date: Mon, 24 Sep 2018 10:43:43 -0400 To: Vijay-A Sawant < Cc: Mayur Rathod Stewart Oldfield Richard Iarossi Classification: For internal use only Vijay, The inquiry on .7 Epstein Virgin Island was answered in a previous email. Thanks. One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. We'll need Purpose of this account, expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. o This is a dummy account # - there is no balance. There is no purpose. It should be removed from the system. "Purpose of the account" required for all the below accounts. GCIS 483883 Purpose - For private investments. Southern Trust is a private consulting company provides financial and tax advice to clients. 965 — DB AG preferred account — High yielding interest account for cash 812 — Brokerage account — To hold marketable securities and cash EFTA01435764 9244 — DB Money market account — High yielding interest account for cash {cid:[email protected]} GCIS 483289 Purpose - For private investments. 968 - Brokerage account — To hold marketable securities and cash 519 — Custody account to hold FX cash deposits {cid:[email protected]} Regards, Brad fcid:[email protected] Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Tel. (212) 454-1130 Fax (646) 736-0721 Email Securities offered through Deutsche Bank Securities Inc. EFTA01435765 From: Vijay-A Sawant Sent: Friday, September 21, 2018 10:18 AM To: Richard Iarossi Cc: Bradle Gillin Stewart Oldfield ; Mayur Rathod Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hi Rich, Following are the pending items in above accounts - One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. We'll need Purpose of this account, expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. "Purpose of the account" required for all the below accounts. GCIS 483883 {cid:[email protected]} GCIS 483289 {cid:[email protected]} GCIS 486427 - DB Insight is not showing the below account. We'll need expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. {cid:[email protected]} EFTA01435766 Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. +91 22 6181-1485 Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard Iarossi Cc: Bradley Gillin < ; Stewart Oldfield Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#01977703 for these accounts and following are pending items - Southern Financial LLC — One of the RP's Jean Anne Brennan Wiebracht has incorrect name reflected in Corp Resolution and Signature Card from 2017. The name reflecting there is Jeanne Brennan whereas her driving license, attached for reference reflects Jean Anne Brennan. Could we request for an updated Corp Resolution with correct name, please? Note the Operating agreement reflects the name Jeanne Brennan). EFTA01435767  Southern Financial LLC - SOS from USVI website or COGS dated within last 6 months. LSJE LLC - SOS from USVI website or COGS dated within the last 6 months. Thanks & Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. +91(22)6181-1485 Mobile From: Vijay-A Sawant Sent: Tuesday, August 14, 2018 5:20 PM To: Bradley Gillin < Cc: Stewart Oldfield Subject: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. EFTA01435768 Upon review of all docs from the repositories and attachments, we have completed attached checklists for which please see assessment below — Acct Holder — Southern Financial, LLC (SFL) Sole Member@SFL - Southern Trust Company, Inc (STC) President & Authorized Signatory@SFL; President, Sole Shareholder & Authorized Signatory@STC — Jeffrey E. Epstein Authorized Signatory@SFL & VP, Secretary@STC - Darren Indyke Authorized Signatory@SFL — Jeanne Brennan Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. During review, I found the USVI domiciled Certificate of Existence for the account holder and sole member, however unable to extract the SoS from the USVI website for either of these entities. Additionally the COGS on records, is more than 6 months old. So kindly provide the SoS or COGS (dated within the 6 months) for this account holder & Sole Member. If there are any material changes to this account, we will require updated ID docs for Darren Indyke & Jeanne Brennan, as their drivers licenses have expired. Finally we require Fincen CDD form for this account as well. Acct Holder — LSJE, LLC Sole Member, shareholder & Authorized Signatory — Jeffrey Epstein Authorized Signatory — Darren Indyke Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. EFTA01435769 During review, I have found the Certificate of Existence for this entity, but couldn't extract SoS from the USVI website and the COGS is missing. Kindly provide either the SoS or COGS dated within last 6 months, so this requirement is satisfied. Finally, we require Fincen CDD form for this account. I will launch KYC case upon receipt of your confirmation of material changes, thanks, Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. +91(22)6181-1485 Mobile EFTA01435770 EFTA01435771