EFTA00169108.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A O KYC Case :01121718 Status : 6. Approved One sheet must be established per relationship . list all accounts included in the relation shi I. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: BooWng Center: Nevi York Relationship Manager: Paul Morris 2 New FINN Relationship El Existing PWM Relationship Reiatiorshp to FAIN: If emoting, please Skate nee when the relationshi exists, provide reason for new rade and attach old profile: New personal checking and money market for Jeffrey Epstein. This is en update of approved KYC 501082293 where Jeffrey has already been approved. O client Referral la RN Prospect O Intermediary/FIN O Other Source (CB, etc.) How Was the ClIent(s) Introduced? How long has the Rt4 personally known the Please provide details (e.g. ame of referral source, how many years RM personally ha Imam, client, etc.): Jeffrey Epstein was client' a chent of Paul's at JP Morg n. Paul and Jeffrey Epstein had a mutual friend/colleague who inUoduced them while Paul was at JPMorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of hi funds over to JPMorgan Does Deutsche Bank pay a O Yes I WI No retrocession or sender compensation to a third party for the introduction of this pi Yea, descnbel. relationship/ List all existing and new accounts involved in this relationship Legal Entity Account Name/Number Opening Date (intended/actual) Accounts) I 2 Southern Financial, LLC 8/19/2013 2 e Southern Financial, LW 8/19/2013 3 2 Southern Trust Company, Inc. 5/19/2013 4 IA Southern Trust Company, Inc. 8/19/2013 5 IO Jeffrey Epstein 9/11/2013 6 71 Jeffrey pstein 9/1//2013 Who is the primary contact parson for the RN (Note: This Pretend method of contact person needs to have Jeffrey Epstein (indleate phone no., fax no., signatory rights and/or e-mall address, etc. information right for the accounts* https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 451 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) -60-00,491 EFTA_00019361 EFTA00169108  KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Noire: Southern Financial,liC Acct. Number OfrwavArbiolt Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody serykes, tangier°, kwestment, payment/expense account)? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? O DO Group: Same Booking Center (Indicate account number): O DO Group: Other Booldng Ceder (indicate DB location and account details): rr ...4 Other fiestkution (Indicate name & location): intro.°, NYC O Physical Deposits (specify cash, securkks, cheques....): What s the expected size and frequency of regular inflov6 and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. I Currency What is the expected volume of assets and currency for the account approx. 90 days after opening? I I USD 150,000 'Currency What is the expected volume of assets and currency for the account approx. one year after opening? 1 I USD • Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M? yes ON° 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). • (none of the died( boxes nay, describe the party's refation to the account In the 'Other cdumn. • Always describe ! e relationship between the parties in the last colknn. • Please dill dorm to the ultimate/underlying Beneficial Owner(s). _egal Description AccounIPiC Settler of _Climate 5ignatoryskikitstinancial Significant egal Grantor/Settbrfounding Dther Entkyof Souse Holder OwnefTrust / Benefit-Wier Ful 7OA IntermediaryShareholderNepresentative Jonor ,please of Wealth Founder of antler PGA (FIM) ,>=25%) describe required Foundation Non-PK other roles entity and/or 7arteS ,indkate ndlcate related to ownership relationship lis ki) between Account lathes) Sole 1 O 0 jeffrel O O O O 2 O O O O c:3 shareholder Epstein of Southern Trust; Southern 2 N N rnIancIal • • 0 • 0 • 0 0 0 O C Southern Inns is the sole member of Southern Southern Trust financial 3 Ea 0 Company, O O O O O O O 100 O O El and Jeffrey Inc. Epstein is the sole shareholder of Southern Trust; https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) itaia492 EFTA_00019362 EFTA00169109  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, La Paul Morris Acct. Number (d available): T What is the purpose of the account (e.g. portfolio managemen 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): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): 3PM>rgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account Ondrate 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 100,00D 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 Does/wIl the client have Assets Under Management (Ault) wtthIn OB under Eur. 311? U Yes a 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 'Other' odium. • Always describe t e relationship between the parties in the lad oakum. • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal)escription Account PlC Settler of Jttimate SIgnatorlanttetkiarridd Significant _egal ?Sranter/Seetbdrounding Other lEntttyaf Smote Holder OwnerTrust / Beneficialor Rd PO* InternsecharyShareholderlepresentathre Ponca please al Wealth Founder of Owner POA (FIM) >=25%) describe -equired Foundation lion-PIC other roles entity mho/or ?adios ,Mdkate nditate related to ownership relahonship his %) ninon, ,accouM dames) Sole eholder 1 • a jefireY EPsteln O O CI O a O O O O O sharouther of S n Trust; Southern 2 a Financial S O O • O O O O O O La Southern Trust Is the sole member of Southern Southern 3 Ea 0 Bust Copany, — ig N O O O O O leer O O Financial and Jeffrey Inc Epstein Is the sole shareholder of Southern Trust; hops://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 53 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Do493 EFTA_00019363 EFTA00169110  KYC Print Page 4 of 14 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. Paul Morris Acct. Number (ifavailable) T What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parned/aPense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account ember): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, acuities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. 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 I Currency I USD opening' Does/wil the client have Assets Under Management (AM) wtthln 06 under Eur. 311? 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 faction to the account in the 'Other' opium. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial 0vabe(s). ..egalOescription Account PlC Settler of amide Signatornimilatinarkial Sigrilkant _egad 'Granter/Settiorkounding Other lEntttyaf Source Holder Ownertrust / Beneficialor RI POA IntemediaryShareholderttepresentative )onor please al Wealth Founder of Omer POA (F1M) >=25%) describe required Foundation llon-PIC other roles entity and/or lanes ,Mdicate ndirate elated to wnershlp rciatonship Jib %) frutv.voi „account James) Sole Jeffrey in O O shareholder 1 O El )' stem 1--J • A O O O O El of Southern Trust; Southern 2 2 E rant Di u u • O • O O O U tampon, ls-' ,nc. https://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 9454 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1010D0494 EFTA_000 19364 EFTA00169111  KYC Print Page 5 of 14 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (f avadable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody smokes, 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 06 Group: Same Booking Center (indicate account mother): • 06 Group: Other &Nang Center (ndkate DB location and account details): 0 Other Institution (Indicate name & location): 3PMorgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the expected sire and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 2 inflows & outflows per month 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 I I uSD What S 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 (AuM) within DB under Eur. 3M? Eves el'y. No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the [AMOY. • 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 rektbn to the account b the 'Other- wham. • Always describe t e relationship between the parties in the kid colunn. • Please drill down to the climate/underlying Beneficial Owner(s) ..egalDescriptkin Account PlC Settler of 'Ultimate Signatorydrnteerinancial Signakant ..egal 'Grantor/Settlor"Sunding Other ntttyof Source Holder Ownertrust / Beneficiabor Full ?OA thtermediaryShareholderRepresentathee )onor please of Wealth -tondo a Owner PO4 (FIN) (>=75%) describe -soared Foundation Non PIC other roles entity mid/or ?rubes ;indicate ndlcate related to milers!, relationship SS %) between account throes) Sok O u Jerry ,-, O O O shrareholder I Epstein " I 21 O O O O O o SouNkan Trust: Southern Trust 2 31 31 Company, n • O O O • O O O O lbw- littps://dbforcepb.my. salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9DiSce... CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ks O0Db4ss EFTA_000 19365 EFTA00169112  KYC Print Page 6 of 14 2. Mast Owner/14IIfainsmary Account Name: Jeffrey Epstein Acct. Number 0f avadatVel 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)? CMS's° account far Jeffrey Epstein's personal daily use. Indicate from where the awes me expects to arrive? O DO Group: Same Booldng Center (indicate account number): • 013 Group: Other Booking Getter (indicate DB locaten and account details): @ Other Instkotlon (Indicate name & location): .WMorgan Chase. New York, NY O Physical Deposits (specify cash, seaters cheques, ...): What is the expected site 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 $100.110,000. 150,000 I Currency I USD Nut is the expected volume of assets and currency for the account approx. 90 days after opening? opening? I 100,000 I Currency 1 USO Slat is the expected volume of assets and currency for the account appeox. one year after Does*. the client have Assets Under Management (AuM) witNn OB under Eur. 3M? —I — . Yes RI 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 the account (> 1 can be selected). • If none of the check boxes apply, describe the party's rebtbn to the accost in the 'Other- column. • Always describe the relationship between the parties in the law colunn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egaiDesaiptkin AccoirOlC Setter of Jitirnate Signatonsimitedlimancial Oignalcant _eget Grantor/Settlor. bunding Other ntttraf Source Holder 3wneffrust / Benefeallor Full ?OA Intermediary5hareholderttepresentative Donor please if Wealth Founder of Owner POA (Flm) >=2S9b) Jescxibe required Foundation Von-PIC riher roles entity Ind/or ?mem "indicate ndkate e!sted to winterise relationship nn %) between ICCOUIll )(MIN) I O E Jeffrey 2 O O O O O O O L Epstein Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9456 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -100100496 EFTA_000 19366 EFTA00169113  KYC Print Page 7 of 14 2. ACCOMfat Owningelpiellenely Account Name: Jeffrey Epstein Acct. timber ("available) 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 Jeffrey Epsteln's personal funds. Indicate from where the assets are expected to arrive' O D6 Group: Same Booking Center (indicate account manna): • 08 Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY O 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 1.2 inflows and outflows per month ranging from $1,000 to $20,000 Want is the expected volume of assets and currency for the account approx. 90 days ter opening? I mom ICurrency I USD I 200,000 I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? Does** the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes 2 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 selected). • If none of the check boxes apply, describe the party's rentbn to the account In the 'Other- column. • Always describe the relationship between the parties in the lad connn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egaiDescription AccoirOlC Senior of Allman Signatorwimitedifinancial Bignlicant _Anal Grantor/Settlor. bunding Other ntttraf Source Holder 3wnerirust / Benefiaallor Fug ?OA IntermednyShareholdereepresentatIve Donor please al Weagh Founder of Owner POA (riM) >=2S9b) *scribe required Foundation Von-PIC riher roles entity Ind/or 'amt-. "indicate ndkate elated to ownership relationship hr. ?a) `Se wean ICCOUIll )(MIN) I O E Jeffrey 2 O O O O O O O L Epstein Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... /it5 7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D497 EFTA_000 19367 EFTA00169114  KYC Print Page 8 of 14 One sheet must be established for [ACM INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name Jeffrey Epstein • Date of Birth: 1/20/1953 Country of Residence: USVI Country of Cozenshlp: USA Has client resided outside of Address of namely residence: Line Saint James Saint Thomas 00802 US Virgin Islands his/her country of nationality O yes g m° for 5 years or more, Profession/Occupation: Self Empriyed Tax ID / SSN: Current Employer Southern Financial LLC Position/Me/Rank President Address of employer: 6100 Red Hook Quarter B3 St. Thomas, USVI 00802 Does the person work as senior executive eta DB-recognized regulated entity In the financial me yes r40 imhestry? or an entity Isted on a 08-recognised exchange? (Not applicable for operating entitles ® Is the Individual a Pdltically Exposed Person (PEP)?(f Yed. ckso-ibe) Oyes No To the best of your knowledge, Is the Individual related to an employe* of the DB groups(/ O Fan* O Friendship 2 was Family 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, client referral source, supplier of goods or O Yes in MO services), Or Yes,ckscate) Indicate where and when the <lint 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 O O Ed 4/3/2013 • O O O O O • Wealth Details for this Individual are not fled 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 Individuals Business: Private investments Prissy Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of hods' Summarize Source of Wealth: g Business Owner 0 Investment U Inheritance/Gifts O Other: USalarygamings Further Describe Source of Wealth /Detail the history of wealth for each of the sources (e.g. FOr tins, how did settler accumulate wealth' For Inheritance, how did family accumulate wealth'Fcc business owners. how bang in business, how ninny employees, level of profitability' Indicate type of busOess, countries of major achytkri, 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 Oents with more than a baton in net worth. In 1996, Epstein changed the name of hi firm to The Financial Trust Company and based it on the island ot St Thomas in the US VegO Islands, Sikh merged into Southern Financial LLC. MI of his clients were anonymous except for the very wealthy businessman Leshe Wexner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated /meal Income($): 10,000,000.00 Estimated amount of investable assets(d): $50 MM - 100 MM Estimated Not Worth($): $100 MM - 500 MM amount of assets planned to invest with PWT4($): 10,000.00 Other Known financial Institutions: Institution: .1l4lOrgarl Country: USA Est. Assets Under Mgt: 20,000,000 00 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9 ig CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -100D0498 EFTA_000 19368 EFTA00169115  KYC Print Page 9 of 14 Institution: Country: Est. Assets Under Mgt: Institution: I I Country: Est. Assets Under Mgt: Please Indicate the family situation of the indMdual (mental status, other family writer:, etc.): ogle One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial LLC - 11 .1 FoundatiorciAssomation O Trust R Company O Estate