EFTA01298740.pdf

KYC Print Page 1 of 23 DB PWM GLOBAL KYC/NCA: PART A KYC Case * Status : 6. Approved One sheet must be established per relationshi - list all accounts included in the relationshi I. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELAllONSHIP:00000483290 Booking Center: New York Relationship Manager: Stewart Oldfield Li New PWM Relationship RI Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: "* 2018 Periodic Review *** Last Approved KYC e - LSJE LLC - 1790820; Southern Financial LLC - 1790655 RI Client Referral U RM Prospect 0 Intermediary/FIM EJ Other Source (C18, etc.) How Was the Client(s) Introduced? How long has the RM personally Please provide details (e.g. name of referral source, how many years RM personalty has known client, known the dient? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. Does Deutsche Bank pay LI Yes Li) No a retrocession or similar compensation to a third patty for the introduction (If Yes, desalbel of this relationship? List all existing and new account Involved In this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 pj ism 'lc - 2/25/2015 2 Southern Financial LLC 2/27/2017 3 f. Southern Financial LLC - 8/26/2013 Who is the primary PM? contact person for the Preferred method of (Note: This person Darren K. Indyke contact(indicate phone needs to have signatory no., fax no., e-mail rights and/or information address, etc.): right for the accounts.): SDNY_GM_00063924 N30000000D9Di&... 10/26/2018 Intps://dbforcepb.my.salesforce.c‘4171,PWIDIEWRAt CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026749 EFTA_OOI 74430 EFTA01298740  K YC Print Page 2 of 23 One sheet must be established for each account to be opened 2. Account Ownership Summary 1,:ct. Number (if Account Name: LSJE 11C adatVey. Account Manager: Stewart (Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of the account is to manage the monthly expenses of the company. Indicate from where the assets are expected to arrive? g6 DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution — (Indicate name & location): El Physical Deposes (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)?: 10.15/month; $100 - $ 350K What is the expected volume of assets and currency for the 255,287.52 'Currency I LSD account approx. 90 days after opening? What is the expected volume of assets and currency for the 255,287.52 'Currency account approx. one year after opening? I USD Does/will the client have Assets Under Management (AuM) 0 yes EZ No within DB under Eur. 3M? 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. • Always describe the relationship between the parties in the last column. • Please dell down to the ultimate/underlying Beneficial Owner(s . _egal Description Account 'IC Settler of Jitimate SignatoryLimited Financial Significant Enotyof Source Molder ownerTrust / Beneficial or Full 'OA ntermediary Shareholder of Wealth Founder of Owner POA FIM) :>=25%) Other (please required Foundation Yon-PIC describe other entity oies and/or ;Indicate ndicate parties related to ownership relationship Ibis account %) 3etween parties) I P) EA ISJE, 11C 1-41 [.1 [1 El i j [1 El 2 ' RI Jeffrey E. Epstein crj n n gel ,1q; El Ell 100 Sole Member; [1 Darren K. Indyke ( r VI n n 3 r Li 1.1 L._ SDNY_GM_00063925 Intps://dbforcepb.my.sales N30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. ThraVIDENT, force.c‘ . . ( ) At DB-SDNY-0026750 EFTA_OOI 74431 EFTA01298741  KYC Print Page 3 of 23 2. Account Ownership Summary Acct. Number U Account Name: Southern Flume! LLC 77000957 available): Account Manager: Stewart Oldfield what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company. Indicate from where the assets are expected to amve? 66 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): F3 Other Institution - (Indicate name & location): i..J 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)?: 0-3/month; $500 .$1000000 What Is the expected volume of assets and currency for the 1,535,257.07 !Currency account approx. 90 days after opening? I USD What is the expected volume of assets and currency for the 1,535,257.07 'Currency account approx. one year after opening? I USD Does/will the client have Assets Under Management (AuM) O Yes R No within DB under Eur. 3M? 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 (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultintate/undedying Beneficial Owner(s . _egal Description Account PIC Settlor of Jlbmate Signatoryiimpted Financial Significant cinbtyof Source Holder OwnerTrust / 3eneficial x Full ?OA ntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>.•25%) Other (please required Foundation Non-PIC describe other entity tiles and/or indicate ndcate Partes related to iwnership 'elationship his account Ye) Setween parties) Southern 1 L.71 R] Financial LLC Li FJ O R O 2 .--' FA Jeffrey E. Epstein r i [1,1 Ez R11 E.1 L 1 Jean Anne 3 E n Brennan O Li Lu Wi [11 I - I ifflebracht 4 I El Darren K. Indyke Southern Trust :Company Inc is :he sole member of Southern Southern Trust r, f! inancial U.0 & 5 CFA Company, Inc. o El El 0 Jeffrey Epstein is the sole shareholder of Southern Trust 7.m n Inc; SDNY_GM_00063926 littps://dbforcepb.my.salesforce.ocemetwvieEttprt 30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWFI.a(b) I DB-SDNY-0026751 EFTA_00I 74432 EFTA01298742  KYC Print Page 4 of 23 SDNY_GM_00063927 littps://dbforcepb.my.salesforce.cSM IAOL30000000D9Di8c... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Cpl/ IDENT DB-SDNY-0026752 EFTA_00174433 EFTA01298743  KYC Print Page 5 of 23 2. Account Ownership Summary Acct. Number (it Account Name: Southern Rnancial LLC - available): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to invest long term with the bank. Indicate from where the assets are expected to amve? E. DB Group: Same Booking Center (indicate account number): Existing 0 DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): i...] 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)?: 25.35/month; $0 - $250K What Is the expected volume of assets and currency for the 113,764,196.27 I Currency I USD account approx. 90 days after opening? What is the expected volume of assets and currency for the 113,764,196.27 I Currency I USD account approx. one year after opening? Does/will the client have Assets Under Management (AuM) • Yes 1,4 No within DB under Eur. 3M? 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 (> 1can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always descnbe the relationship between the parties in the last column. • Please drill down to the ultintate/undedying Beneficial Oviner(s . _egal Description. Account ?IC Settlor of Jlbmate Signatory‘impted Financial Significant Inbtyof Source Holder OwnerTrust / 3eneficial x Full POA ntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>••25%) Other (please required Foundation Non-PIC describe other entity 'oles and/or ;indicate ndicate Parties related to iwnership -elationship „his account Yo) Dehveen parties) Southern I Fiji Pi Financial LLC EJ 0 0 .., 2 L -.' Pi Jeffrey E. Epstein 0 Lii if71 0 0 Jean Anne 3 1-1 n Brennan 0 0 0 U WO Li 0 Wiebracht 4 L.I [A Darren K. Indyke 0 Southern Trust Company Inc is the sole member of Southern Southern Trust r, -I Financial U.0 & g-71. q Company, Inc. D O DO Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc; SDNY_GM_00063928 littps://dbforeepb.my.salesforce.crCAMgvIDENMA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Itota) I DB-SDNY-0026753 EFTA_OOI 74434 EFTA01298744  KYC Print Page 6 of 23 6 0 D Paul S. Barrett 0 0 0 a ❑ Trading Authorial:ion Limited to Purchases & Sales of Securities: Many Beller 0 0 SDNY_GM_00063929 Illtps://dbforcepb.my.salesforce.etirgtatisgvIDEftpAOL130000000D9DiFic... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. Idol/ 64) ' DB-SDNY-0026754 EFTA_00174435 EFTA01298745  KYC Print Page 7 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States Has client resided outside Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of Address of primary U.S. nationality for 5 years or 'Ell Yes •W.No -- residence: mere? Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter 63 St. Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a D6-recognised exchange? (Not • Yes W No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Ve4 desoibe) 0 Yes O No Connection with Prince Andrew and Bill Clinton To the best of your knowledge, is the Individual related to an employee of the DB O Famiy O Friendship 0 None group7(,1 Family or Fnendsivp, descfibe) N/A 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 O Yes 0 No source, supplier of goods or servIces)?(f Yes describe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: Stewart Oklfield 0 O O 6/28/2017 O • O O • O OWealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of High Risk financial Institutions Funds? W Business Owner O Salary/Earnings W. Investment O Inheritance/Gifts Summarize Source of Wealth: E Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did seWor accumulate wealth? For inheritance, how dd family accumulate wealth?For business owners, how long in business, how many employees, level of SDNY_GM_00063930 littps://dbforcepb.my.salesforce.erbilspleENopAt130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. IWP. kb) ' DB-SDNY-0026755 EFTA_OOI 74436 EFTA01298746  KYC Print Page 8 of 23 rofitabili ? Indicate type of business, countries of major activities, Important business partners.) Jeffrey Edward Epstein (born s an American financier and registered sex offender in the united States. He worked at Bear Steams early in his career and then formed his own firm, ). Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net- worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a well-known client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revalue from the return of these inva-tments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client's assets. Estimated Annual Income 10,000,003D0 Estimated amount of investable assets($): $50 MM • 100 MM 5): Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00 Other Known Financial Institutions: Country: Est. /meets Under Mgt: 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.): N/A SDNY_GM_00063931 littps://dbforcepb.my .salesforce.ctAtatis.gvieEttpAto0000000D9Disz... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. be a(b) I DB-SDNY-0026756 EFTA_00174437 EFTA01298747  KYC Print Page 9 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren K. Inclyke - 00000486405 Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided outside of his/her country of Address of primary nationality for 5 years or 0 Yes I.•,--. No residence: mere? Profession/Occupation: Accountant Tax ID / SSN: Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant Address of employer: 6100 Red Hook Quarter 63 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DO-recognised exchange? (Not 0 Yes E6 No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A • Yes g No To the best of your knowledge, Is the indMdual related to an employee of the DB 0 Fame./ 0 Friendship 5 woe grout:P(1fFamily or Fnenclsivp, despite) N/A 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 0 Yes W No source, supplier of goods or servkes)?(f Yescfescribe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Narne(s) Bank Office: Private Other Location (specify): Date: of Business: Domicile: Stewart Oldfiekl R iii ,i__; 12/12/2016 0 III 0 El 0 --, ....I Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Weatth/Source of Funds? Summarize Source of Wealth: 0 Business Owner 0 Salary/Earnings pInvestment 0 Inheritance/Gifts 0 Other: SDNY_GM_00063932 littps://dbforcepb.my.salesforce.etrMstisgvIDENopp14/0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. niorP. e(e) I DB-SDNY-0026757 EFTA_00174438 EFTA01298748  KYC Print Page 10 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitablkty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income Estimated amount of investable assets($): (S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: 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.): SDNY_GM_00063933 Intps://dbforcepb.my.salesforcesSM leppENTIAOL30000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITitn DB-SDNY-0026758 EF1'A_00174439 EFTA01298749  KYC Print Page I I of 23 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jean Anne Brennan Wlebracht - 00000487647 Date of Birth: Country of Residence: Virgin Islands, U.S. Country of Citizenship: Virgin Islands, u.S. Has client resided outside of his/her country of Address of primary nationality for 5 years or O Yes •Vii-- . No residence: mere? Profession/Occupation: Finance Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St. Thomas Virgin WandS, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DO-recognised exchange? (Not ❑ Yes R : No applicable for operating entitles Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A • Yes R No To the best of your knowledge, is the indimdual related to an employee of the DB O Family O Friendship RINone group?(,fFamily or Fnendshep, descfibe) N/A 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 1:Yes EtNo source, supplier of goods or servkes)?(if Yesdescnbe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private , f Business: Other Location (specify): Date: Domicile: O O O O N O O O O --, [....1Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner E3 Salary/Earnings O Investment O Inheritance/Gifts O Other: SDNY_GM_00063934 Imps://dbforcepbmiy .salesforce.ccirieMbeiNgvIDENopA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. beP.1114) ' DB-SDNY-0026759 EFTA_(()I74440 EFTA01298750  KYC Print Page 12 of 23 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settior 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 actrvities, important business partners.) Estimated Annual Income i Estimated amount of investable assets($): (5): Estimated Net Worth($): Amount of assets planned to invest with PWM($): --I Other Known Financial Insbtubons: Institution: Country: Est. Assets Under Mgt: 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.): SDNY_GM_00063935 littps://dbforcepb.my.salesforce.cPM l efigNoTIA01±B0000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R.CRITIMI DB-SDNY-0026760 Erl'A_00174441 EFTA01298751  KYC Print Page 13 of 23 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Belle - 00000487202 Date of Birth: Country of Residence: United States Country of Citizenship: United States Has client resided Outside of his/her country of Address of pinery nationality for 5 years or O Yes 1•.,..-- No residence: mere? Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial industry? or an entity listed on a DB-recognised exchange? (Not O Yes R No applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes *roily) WA • Yes R No To the best of your knowledge, Is the Individual related to an employee of the DB O Forney O Friendship 0 None grout7(,1Famei y or Fnendshet, despite) N/A 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 O Yes R No source, supplier of goods or senkes)?(if Yesdescribe) N/A If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place: the person: Client Client Place Bank Officer Name(s) Bank Office: Private a Business: Other Location (specify): Date: Domicile: ❑ O IIII III O O O O :17; Wealth Details for this individual are not filled in, because they are the same as for the following person: 36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Bu ess: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Weakh: O Business Owner O Salary/Earnings Ei Investment O Inheritance/Gifts O other: SDNY_GM_00063936 littps://dbforcepb.my.salesforce.cteMORIDENopA0L130000000D9Di&... 10/26/2018 CONFIDENTIAL - PURSUANT TO FED. R. RolfP. kb) I DB-SDNY-0026761 EFTA_OOI 74442 EFTA01298752  KYC Print Page 14 of 23