EFTA01363784.pdf

Epstein, Jeffrey E. — Salesforce - Unlimited Edition Page 2 of 310 Temporary Exception Valid Until Custom Links View DB Accounts and Client/Assets At Risk Create Annual Client Update Revenue Request Customer Deletion Loq Client Complaint Request ACU Contact Exemption Request Primary Officer Import Documents View Exemption Guidelines Change Request New Relationship Export Documents Generate Key Relationship Report Launch NAO Wizard View Documents From Launch ALAT Process Repository View NAO Cases View Loan Covenant Details Launch Due Diligence Classification Potential <$25 K Unconfirmed New Investor Revenue Status Client Satisfied Investor http://pwm intranet.db com/new/filehandlerphp? Satisfaction Status getFile=us/docs/InvestorStatusAddendum 10_24_07. pdf Definitions Industry • DB is TrusteetCo- Trustee Revenue D (< $25K) • DB Tier Employee? Forbes • DB Ranking managed PIC • Bearer Shams? Segment Financial Profile (KYC Information) ' Net Worth $500 MM Investment (Individual) Objective " Investable Assets $50 MM - 100 MM Risk Tolerance •Estimated Annual $10,000,000 Sophistication Income (Individual) "Estimated Annual Source Of Income Gross Income (Entity) •Estimated Annual • Source of Wealth Investment; Business Owner Net Profit (Entity) (Individual) • Description of Epstein began his financial career in Wealth/Entity 1976 as an options trader at Bear Assets Steams and became a partneri 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 https://dbforcepb.my.salesforce.com/00 I 6000000piPn0/p?retURL--400 I 6000000piPn0?srP... I / 1 6/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054069 CONFIDENTIAL SDNY_GM_00200253 EFTA01363784