EFTA00166898.pdf

KYC Print Page 1 of 20 DB PWM GLOBAL KYC/NCA: PART A KYC Case x : 01195100 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relation shi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York Reritionshp Manager: Paul Morris 2 New MTh Relationship O Existing PWM Relationship Relationshp to PWM: If existing, please indkate since when the relationship exists provide reason for new profile and attach old profile: ONLY adding signers to account. Al signers have already been approved i prevbus KYCS. Please rush as this is a surge update. Darren Indyke was approved in KYC 01133377 Harry Beller was added in approved KYC 01191308 O Client Referral in RM Prospect O Interrnediary/FIM • Other Source (CO3, etc.) How Was the Client(s) Introduced, How long has the Please provide details (e.g. name of referral source, how many years RM personalty ha known client, etc.): Jeffrey Epstein is a RM personally known the current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of client> Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at .riMorgari. 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 Oyes I O No retrocession or sender compensation to a third party for the introduction of this (If Ya, dambey. relationship/ List all existing and new accounts involved in this relationship I real Entity Account Name / Number Opening Date (Intended/actual) Account(s) I 2 Southern Financial, LLC 8/19/2013 2 2 Southern Financial, LLC 8/19/2013 3 12I Southern Tryst Company, Inc. 8/19/2013 4 e Southern Trull Company, Inc. 8/19/2013 5 e Jeffrey Epstein 9/11/2013 6 2 Jeffrey pstein 9/11/2013 1Vho Is he primary contact person or the Phi, (Note: This Preferred method of contact person eeds to have Jeffrey Epstein (indicate phone no., fax no., signatory rights and/or email address, etc ) informs tan right for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002672 EFTA_00016146 EFTA00166898  KYC Print Page 2 of 20 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Narre: Southern Financial, 11C Acct. Number Of twagable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody serykes, tangier°, investment, payment/expense account)? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DO Group: Other Booking Center (indicate DB location and account details): 0 Other InstRution (Indicate name & location): Pitman, NYC O Physical Deposits (specify cash, securItks, cheques....): What ts the expected size and frequency of regular inflow and outflows for the account (Indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per rnodh ranging from $1000 to $10,000. I Currency What a the expected volume of assets and currency for the account approx. 90 days after opening? I USD 1 150,000 'Currency What is the expected volume of assets and currency for the account approx. one year after opening? I USD Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M? CI Yes F6 No Please list all parties related to the account. For each party: • Check if a source of wealth escription is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes nay, describe he party's relation to the account In the 'Other column. • Always describe! e relationship between the parties In the lad colienn. • Please dill down to the ultimate/underlying Beneficial Owner(s). _egal Description AccountpiC Sean of _Mutate Signatoryikneteittancial Significant egal Grantot/Settbrfounding Dther Entityof Source Holder OnnefTrust/ Benefit',lor Ful ?OA intermediaryShareholderNepresentative Donor "lease of wealth Founder of antler PDA (FIM) ,>=254b) describe required Foundation Non-P1C other roles entity and/or oktles $dicate ndlcate related to ownership relationship his 6) etavecri /account yolks) Sole Jeffrey shareholder O ci Epstein O O O CI O O CI O CI of Southern Trust; Southern El CI El El El El El El 2 ❑ a ncancial Southern Inns is the sole member el Southern Southern Trust Financial 3 ci Company, O O O O O O 100 O and Jeffrey Inc. Epstein is the sole shareholder of Southern Trust; Darren 4 O CI Indyke CI O O El O O Marry 5 ❑ Beller O O El ❑ CI 6 ❑ Jeanne Brennan El O El O O ❑ ❑ ❑ https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002673 EFTA_00016147 EFTA00166899  KYC Print Page 3 of 20 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, La Paul Morris Acct. Number (davailable): T What is the purpose of the account (e.g. portfolio inanagemen advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for the company. Indicate from where the assets are expected to arrive' O C43 Group: Same Booking Center (indicate account camber): • 013 Group: Other Booldng Center (indicate DB location and account details): @ Other Institution (Indicate name & location): WM:Alan, NYC O Physical Deposits (specify cash, marines, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days alter opening? I opening? 1 100,00D ICuirency I USD What is the expected volume of assets and currency for the account approx. one year after Doesivell the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes ElNo Please Bet 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 (> I can be selected). • If none of the check boxes apply, describe the party's rebtion to the account in the 'Other colon. • Always describe t e relationship between the parties in the lad colienn. • Please drill down to the ultimate/underlying Beneficial Owner(s). ...egalOescription Account PlC Settler of Jltimate SIgnatorlantediFiriandad Significant _egal `Sranter/Settbrkounding Other lEntttyaf Soiree Holder Owne(Trust / Benefirialor RI PO* InterrrediatyShareholderlepresentative Ponce please afWealth Founder of Owner POA (F1M) >=25%) describe required Foundation bion-PIC other roles entity and/or Parties ,ndkate ndkate related to ownership rolticnsitip his ;5) wtv.vol 4.4CCOUnt Janie.) Sok Jeffrey in O O O shareholder 1 • Fj EPsteln Li-t O a O O O of Southern Trust; Southern 2 la Financial S • O • O O O O O O La Southern Trust Is the sole member of Sotahern Southern st is m O O O O O 100 O O O 3 2 2 Company, — and a rer Inc. Epstein is the sole shareholder of Southern Trust; 4 0 0 Darren O O O 2 ID ID 0 0 0 Indyke S ID • Hrry O • Li • El I O O O O Bealler 6 O O Jeanne . O O O Iii O O O O O Brennan "" latps://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0002674 EFTA_000 16148 EFTA00166900  KYC Print Page 4 of 20 2. Account Ownership Summary kcount Name: Account Manager: Southern Trust Company, Inc. Paul Morris Acct. Number 6f available/. T What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, Parnell/Odense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O G43 Group: Same Booking Center (indicate account ember): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): )PMorgan, NYC CI Physical Deposits (specify cash, monies, cheques, ...): What Is the expected site and frequency of regular Inflows and outflows for the account (Indicate est noted number and volume pe monthly. Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 I 1Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' What is the expected volume of assets and currency for the account approx. one year after 1100,000 Currency I USD opening' I Does/wIl the client have Assets Under Management (AM) within 06 under Eur. 3M? OYes & 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 party's relation to the account in the 'alter column. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial Ovabe(s). ...egal)escription Account PIG Settler of dtimate SignatorlanitediFiriancial Significant _egal 'Granice/Settiorkounding Other lEntttyaf Source Molder Ownertrust / Benefklalor Rd POA IntemediaryShareholderttepresentative Tenor please al Wealth Founder of >wrier POA (F1M) >=25%) describe tequired Foundation NonPIC other roles entity and/or ?arnes ,ttidicate edicate related to ownership relationship Jib '6) mina+, „account James) Sole Jeffrey shareholder 1 O El Epstein ❑ in 1.--i O O • M O O O O O of Southern Trust; Southern 2 !A [7] ran DI u u • O O O O O O carmany, in.' Inc. • O , OOO • 21 O O O O O ke 4 O O IlanY Beller O O O O n O O ri n • JAW! 5 • O Brennan • • O • El • O .....J O Intps://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002675 EFTA_00016 149 EFTA00166901  KYC Print Page 5 of 20 2. Account Ownership Summary amount Name: Southern Trust Company, Inc. Acct. Number (law:We Account Manages: Paul lawns What is the purpose of the account (e.g. portfolio manag ment, 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' O C43 Group: Same Booking Center (indicate account nwnber): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Instkulbn (Indicate narne & location): )PMorgan, NYC O Physical Deposits (specify cash, sonnies. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (Indicate est mated number and volume pe month)'. Roush?, 2 inflows & outflows per month ranging from $1,000 to $10,000 What ed* expected volume of assets and currency for the account approx. 90 days after opening? I ' Cunene( I uSD What is the expected volume of assets and currency for the account approx. one year after 1150,000 Currency opening? I I USD Does/wil the client have Assets Under Management (AM) within D6 under Eur. NV OYes & 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 (> I can be 'elected). • If none of the check boxes apply, describe the party's rebtlon to the account n the 'Other' column. • Always describe t e relationship between the parties in the lad maxim. • Please del down to the ultimate/underlying Beneficial Owner(s). .egal)eunplion Account PlC Settbr of Jkimate Signatorysimkedirmancial SigMicant egal '11raritorThettbrkounding Other . rstityaf Smote Molder Ownertrust / Beneficlalor RA PO* IntermediaryShareholderttepresentatne .Mnor please of Wealth Founder of Owner Km (RIM) ,> =2540 describe -equIred Foundation NonPIC other roles entity and/or ?aitt ,Indkate ndirate related to ownership relatanship MIS tts) wt yawl iccount James) Sole El Jeffrey O O shareholder I O Epstein ❑ in 1.-.1 O O • M O O O ofSouthern Trust: Southern 2 :.9 [7] rant Company, DI u U • O O O O O O 1.1-1 Inc. • O rren IDandyke O O O • El O O O O O 4 O O Ha" Beller O O O O n O O O CI • JAW! 5 • O Brennan • • O • El • O c_l O latps://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002676 EFTA_00016150 EFTA00166902  KYC Print Page 6 of 20 2. Accommt Ownership spy Account Name: Jeffrey Epstein Acct. Number (Favadabk): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm Investment PaYment/mpenSe account)? GhedOng account Mr Jeffrey Epsteln's personal daily use. Indicate from where the awes me expects to arrive? O DES Group: Same Booking Center (indicate account nutter): • 08 Group: Other Elooldng Getter (indicate DB location and account details): @ Other Insttution (Indicate name & location): MMorgan Chase. New York, NY Cil Physical Deposits (specify cash, securities, cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)'. Roughly 15 inflows and outflows per month ranging from $1C0-$10,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening? I Currency 1 USD What is the expects volume of assets and currency for the account approx. one year after opening? I Does/wIl the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes Rho Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the parry. • 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 rekitbn to the accost in the 'Other- coleus. • Always describe the relationship between the parties in the kid colmnn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egalDescription AccomOIC Senior of Jltimate Signatorwirnitedlimancial 61gralunt egal Grantot/Settlor. bunding Other ntttyof Source Holder 3,one-trust / Benefloallor Full ?OA Intermedkvy5harehold epresentatIve Donor please of Wealth Founder of Owner POA (RN) >=25%) describe required Foundation Von-PIC other roles entity Ind/or Nutt-. _indicate narrate elated to ownership relationship hr. ) between recount parties) O E effrey 2 O O O 0 O O O O El I Jeffrey iron, O O O • n O iii 2 • O 3eller • O • 3 O O Darren O O O ❑ • 27 O • O O ndyke 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-0002677 EFTA_00016151 EFTA00166903  KYC Print Page 7 of 20 2. Accomet OWNISSIelp Seatmery Account Name: Jeffrey Epstee Acct. Humber (a`available) Account Manager: Paul Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense aCcouni)> Money Market account to hold Jeffrey Epsteln's personal funds. Indicate from where the assets are expected to arrive? O 013 Group: Same Booking Center (indicate account matter): • DB Group: Other &cling Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): JPMorgan Chase. New York, NY O Physical Deposits (specify cash, senates, cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account Ondkate estimated number and volume per monthly: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000 I Currency 1 USD What is the expected volume of assets and currency for the account approx. 90 days after opening? I ICurtency I USD What is the expected volume of assets and currency for the account approx. one year after opening? I 200,000 Does(wil the client have Assets Under Management (Auld) within DB under Eur. 3M? ll Yes R 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 party's faction to the account in the 'Other' opium. • Mays describe t e relations rip between the parties in the lad cokenn. • Please dr* down to the ultimate/underlying Beneficial Ovaber(s). .egal)escript AccotrottlIC `Senior of Jltbnate SignatorwInaelFsnanclal tignikant Legal Grantor/Settlorroond g Other "Entttyal Source Molder Dwneffrust / Beneficlalor Ful ?OA lntermediaryShareholderRepresentative Donor please al Wealth Founder of owner POA (FIM) (>=25%) describe -equIred Foundation Yon-PIC other roles entity and/or arties indicate ndkate ed to armership mlationship la) Setween nt )arties) 1 O O WrrY O OD O 0 O O O O O kr Jeffrey 2 • I2,1 tein a O O • !a O • • O O Owen O O O 3 O O dyke • RI O O O O ii https://dbforcepb.my. sal esforce.com/serdet/servl et.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002678 EFTA_00016152 EFTA00166904  KYC Print Page 8 of 20 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 • Date of Oath: 1/20/1953 Country of Residence: USVI Country of Cmzenship: USA lids client resided outside of Line Saint James Saint Thomas 00802 US Virgin Islands hisiher country of nationality 0 yes tri No Address of primary residence: for 5 years or more> Profession/Occupation: Self Empolyel Tax ID / SSN: Current Employer Southern Hnandal LLC Position/Me/Rank Pr ens Address of employer: Does the person work as senior executse of a DB.recogntted regulated entity in the financial mi yes r40 Mashy? Or an entty listed on a De-recognised exchange? (Not applicable for operating entities ® Is the individual a Polltkalk Exposed Person (PEP)?tif Ye4. deso-ibe) • Yes No To the best of your knowledge, is the individual related to an employe* of the DB group(/' 0 Fag* 0 Alessi* 2 None Farn(ly or FrierdsoNA dcsmbe ) To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, <lint referral source, supplier of goods or 0 Yes 7/ NS senzicespfr Yes,ckscate) Indicate where and sheen the client meebng(s) took place. If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Narne(s) Bank Office: Business Other Location (specify): Date: Domicile: Paul Morris 0 0 Ed 413/2013 • 0 0 0 0 0 • Wealth Details for this Individual are not fled ids, because they are the same as for the following person: 30. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private mestments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Hods' Summarize Source of Wealth: 2 Business Owner U Salary/Eamings 0 Investment U Inheritance/Gifts 0 Other Further Describe Source of Wealth /Detail the history of wealth for each of the sources'. (e.g. For trusts, how did senior accumulate wealth' For Inheritance, how did family accumulate woaRIPEce business owners, how bong in business, how many employees, level of prititability? Indicate type of buseress, countries of major acUyeles, important business partners.) Epstein began his financial career in 19/G as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own nano& management firm, J. Epstein & Co., managing the assets of clients with more than a Neon in net worth. In 1996, Epstein changed the name of hi firm to The Financial Trust Company and based a on the island of St Thomas in the US Vegin Islands, itch merged into Southern Financial LLC. MI of his clients were anonymous except for the very wealthy businessman Leslie Wexner. 116 wealth has come from his days at Bear Stearns and his financial management firms Estimated /mut Income($): 10,000,000.00 Estimated amount of investable assets(I): $50 MM - 100 MM Estimated Net Worth(1.): $100 MM - 500 MM amount of assets planned W invest with PWM(S): 10,000.00 Other Known financial Instituti