EFTA01283881.pdf

KYC Print Page I of 16 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case a Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York Relationship Manager: I Paul Monis w New PWM .4 Relationship ID Exiting PWM Relationship Relationship to PVIM: If wasting, please indicate kxe when the relationshi exists provide rectal far new ronk and attach old work: ONLY adding signers to account. AI signers have already been approved in previous tits. Please rush as this is a simple update. Harry Beier was approved i KYC 01133624 • Client Referral I2 RM Prospect I O Intermediary/FIN I O Other Source (as, etc.) How Was the Client(%) Introduced> Nov. long has the Please provide details (e.g. ante of referral source, how many years RM personally has 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 chest of client' Paul's at JP Morgan. Paul a d Jeffrey Epstein had a mutual friend/coleague vita introduced them while Paul was at .01Morgan. 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 CI Yes I O No retrocession or similar compensation to a third party for the introduction of this (II Ye, describe). relaticoshp? Lit all siting and new accounts ink:Dived in this relationship Legal Ertty Account Name / Number Opening Date (intended/actual) Account(s) 1 2 Southern Fuincltil, LLC 8/19/2013 2 e Southern Firancial, LLC 8/19/2013 3 2 Southern Trust Company, Inc. 8/19/2013 4 2 Southern Trust Company, Inc. 5/19/2053 5 e Jeffrey Epstein 9/11/2013 6 2 Jeffrey Epstein 9/11/2013 Who is he primary contact person or the Rid? (Note: This Preferred method of contact person needs to have Jeffrey Epstein (indicate phone no, fax no., signatory rights and/or e-mail address, etc.): Wormation right for the accounts.): SONY_GM_00039783 https://dbforcepb.my.salesforCCINEillacelaTJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002607 EFTA 00150392 EFTA01283881  KYC Print Page 2 of 16 One sheet mint be established (or each account to be Opened 2. Account Ownership Summary Account Name: Southern Financial, !IC Acct. Number (I avadable) Account Manager Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longeteirn investment, payment/expense account? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? O CS Group: Same BookirN Center (Indicate account number): O DEI Group: Other Booking Center (indicate DB location and account details): 0 Other Insteullon (Indicate name & location): JPMorgan, NYC O 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)'?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. I Currency I USD What is the expected vokime of assets and currency for the account approx. 90 days after opening, I 1150'000 ICullen"' I USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (Auti) within DO under Eur. 3M? DAIS O Na Please list all parties related to the account. I or each party: • Check 4 a source of wealth escripbon is required for the party. • Check the appropriate box to describe the relationship et the party to this account ( > I can be selected). • f non of the check boxes pply, chschbe the party's relation t the account in the tither column. • Aftray descnbe the relation hip between t e parties n the last cobahn. • Please drill down to the ultimate,underlying Benelkial Owner(s). coal Descreition AccountplC Senior of thimate Signatory Imtectinancal Significant egal Grantor/Settbr Founding Other C ''OA :Nitro! Source )holder Ownearust / Bendicialor Fel ntermediaryShareholderftepresentathe Donor please of Wealth Founder of Owner POA FIN) , , "2S%) (eurt* required Foundation Non-PIC other rolm entity and/ix Parties Jrichcate nduate related to ownership etationship this NO) ntween Accent parties) Sole 1 O 2 Jeffrey O O O O 2 CI O Dshareholder Epstein ❑ O O of Southern Trust; Sort ern 3 O !A' Financial NI El ri El ri rl El [I] ri O LIC Southern Trust is the sole member c4 Southern Southern 3 lil Trust n O O • O O O 100 O • OFinancial Company, " and Jeffrey Inc. Epstein is he sole shareholder of Southern Trust; SDNY_GM_00039784 https://dbforcepb.my.salesforcalNaDEATIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002608 EFTA_OOI 50393 EFTA01283882  KYC Print Page 3 of 16 2. Account Ownership Summary Account Name: Southern Financial, LLC Acct. Number (f evadable) Account Manager Paul Morris What is the purpose of the account (eg. pa tfolio management, advisory account, custody services, longterm investment, payment/expense account)' Checking account to hold funds for the company. Indicate from %here the assets are expected to arrive? O De Group: Same Booking Center (indicate account muter): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & locationk Pliorgan, NYC O 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)': 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 after opening' I 100,000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 Does/will the client have Assets Under Management (AuM) vAtNn 013 under Eur. 310 0 Yes 0 No Please list all parties related to the account For each party: • Check I a source of wealth description 5 required for the party. • Check the appropriate box to describe the relationship tithe party to the account (> 1 can be selected). • If none of the check boxes apply, describe the patty's relation t the mown in the 'Other" column. • AMsays describe the relationship between the patties in the last cokann. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egaliDescriptian Accounb?IC Settler of Jltimate Signatorykinstectinancial Significant sgal Grantor/Settior:ounding )ther Inherit Source Holder Dwnearust / beneficiabr R POA litermediarySharehoiderRepresentatire Donor please of Wealth Founder of Owner POA (F1M) ,>=25%) desert* requied Foundation Non.PIC other roles entity snd/or Parties ,ndicate ndkate related to ownership elationship ills %) oetween account lathes) Sole Jeffrey n o O shareholder 1 • El Epstein 4--; ID 2 O • El • • of Southern Trust; Southern z® co Hnanciai O O O 0 • O [1 O O O Ltc Southern Trust is the sole member of Southern Southem Trust Financial 3 ID O Company, ■ • O O O O O O 100 O O O and leffrey Inc. Fasten n the sole shareholder of Southern Trust SDNY_GM_00039785 https://dbforcepb.my.salesforCCINErilDaililiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002609 EFTA_00150394 EFTA01283883  KYC Print Page 4 of 16 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number (/avadatset. Account Manager Paul Morris What is the purpose of the account (eg. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)' Cheering account. To hold funds for company Indicate from %here the assets are expected to whit? O DS Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location )(Morgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular mane and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 10 nflows and 10 outllows 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 after opening' I What is the expected volume of asses and currency for the account approx. one year after 1100,000 I Currency I USD opening? Does/will the client have Assets Under Management (AuM) whin DI3 under Eur. 3M? . Yes 5 No Please lit all parties related to the account For each party: • Check I a source of wealth description is requwed for the party. • Check the appropriate box to desert* the relationship of the party to this account (> 1 can be selected). • If none of the cheekbone apply, decree the patty's relation to the accord in the 'Other' column. • News describe the relationship between the parties In the last column. • Please drill down to the ultimate/underlying Beneficial ands) -egailDescriptbn Accounb?IC Senbr of Jltimate SignatorytkreteciFinancial 5ignificant _egal GrarkorrSettiorrounding .3ther Entityof Source Holder DwnerTrust / 3enditialor Ful POA IntermediaryShareholderflepresentative Iona, please of Wealth Founder oflymer POA (FIN) ,>•2596) lescribe required Foundation I NonPIC mher roles emky Ind/or Parties (indicate odium related to swnership elationshlp .his %) )etween KCQUM lanes) Sole Jeffrey i, • • shareholder I II El Fasten O N O O O O O of out Trust; Southern !rust O O 2 2 E?I _ompany, t-A • O O O O • O AC- SONY_GM_00039786 https://dbforeepb.my.salesforcCLINEIDEgclardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002610 EFTA_00 I 50395 EFTA01283884  KYC Print Page 5 of 16 2. Account Ownership Summary kcount Name. Southern Trust Company, Inc. Acct. Hunter (lavelabki. Account Manager. Paul Monts What is the purpose of the account (e.g. pallet management, advisory account, custody services, longterm investment, payment/expense account)? Money Market account. To hold funds for the compare. Indicate from mitre the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & locationk "Morgan, NYC O Physkal 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 pe month)?: Roughly 2 inflows & outflows per month ranging from $1,000 to $10,0)0 I Currency I USD What is the expected volume of asses and currency for the account approx. 90 days after opening' I What 6 the expected volume of assets and currency for the account approx. one year after 1150,000 I Currency I USD opening" Does/will the client have Assets Under Management (AuM)ydnIn De under Eur. 3M? • Yes 5 No Please Ilst all pordee related to the account. For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to desert, the relationship of the party to this account (> 1 can be selected). • If none of the check bows apply, describe the party's relation t the monad in the 'Other" column. • Airrays describe the relationship between the patties In the last column. • Please dril down to the ullimatetunderlying Benetkial Owner(s). -egallDescriptbn AccounOPIC Settler of -Relate 5lgnatorhknnciFinancial Significant _egal Grantor/Settlorkeunding 3ther Intityof Source Holder DwnerTrust/ 3eneficia r Ful POA triterniedlarySharehrddertepreientative Iona, please of Wealth Founder of wner POA (FIN) ,>•25%) describe required Foundation Non.PIC other roles entity and/or Parties ,Indicate nclicate related to ommership relationship his %) Setween Mount minks) Sole Jeffrey shareholder I II El East& • El MI O a O . O • o of Southern Trust; SOUhem Tnnt O O 2 21 Company, (-7I • O O O O • O ;M. SDNY_GM_00039787 https://dbforeepb.my.salesforeCCINErilEalTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002611 EFTA_OOI 50396 EFTA01283885  KYC Print Page 6 of 16 2. Account Ownership Summary Account Herne: Jeffrey Epstein Acct. Number (davaigge): Account Manager Pad Morris What is the purpose of the account (eg. portfolio management, advisory account, custody savkes, longterm Investment, payment/expense account)' Checking account for Jeffrey Epstein's personal dally use. Indicate from %here the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location): WMorgan Chase. New York, NY O Physkal Deposits (specify cask securities, cheques, ...): What is the expected size and frequency of regular Slows and outflows for the account Ondkate estimated number and volume per month)?: Roughly 15 Slows and outflows per month ranging from $100-$10,000. I Currency I USD What is the expected voltime of assets and currency for the account approx. 90 days after opening, I 1100,000 'Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? DoeshvIll the client have Assets Under Management (AuM) within 06 under Fur. OM? • Yes 0 No Please list all parries related to the account For each party: • Check I a source of math description 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 apply, describe the party's Salon to the account in the Tither column. • Ahrays describe the relationship between the parties In the last coition. • Please drat down to the ultimate/underlying Beneficial Owner(s). -egal 3escnption Account,IC Settler of "Wrote Signatorwirnitetinauxial Significant egal trantor/SeWorfoundinOther Entityof Source Holder OwnefTrust / geneficialor Full ?OA IntarmdaryShareholderltepresentatkee Donor please of Wealth founder of Owns POA (FIN) >.25%) Jescnbe requeed Foundation NortPIC other roles entity and/or Parties Indicate ndicate related to waterside elationship .hls kb) ketween account xarties) 1 O 2 Jeffrey a O O O 2 O O O O O Epstein Item, O 2 O O Belles O • • 1,1 O • O O • SONY_GM_00039788 https://dbforcepb.my.salesforeC6CINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002612 EFTA_OOI 50397 EFTA01283886  KYC Print Page 7 of 16 2. Account Ownership Summary Account Name: *they Epstein Acct. Number (i/avaiabiet. Account Manager Paul Morris what is the purpose of the account (e.g. portfolio management. advisory account, custody services, longterm Investment. payment/expense account)? Money Market account to hold Jeffrey Epstein's personal funds. Indicate from where the assets are expected to arrive? O De Group: San* Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): lPidorgan Chase. New York, NY O Physkal Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indr9te estimated number and volume per month)?: Roughly 1-2 Slows and outflows per month ranging from $1,000 to $20,000 I Currency I USD What is the expected voione of assets and currency for the account approx. 90 days after opening? I 1200,000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/vi the client have Assets Under Management (AuM) within 06 under Fur. 3M? • Yes 0 No Please Ilk all parties related to the account For each party: • Check I 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). • f none of the check boxes apply, describe the party's Sefton to the account in the 'Other- cokenn. • Always describe the relation hip between the parties n the last coliann. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egalbescriptian Account)IC Senior of -*Mete SignatorwirribreiFinarelal Significant _egal `irantor/SetUorlFounding Other Entityof Source Holder OwnerTrust / 3eneficialor Full ?OA lnternedtayShareholderltepresentathe Donor 'please of Wealth Founder of Owner POA (MM) >=25%) describe required Foundation Non.PIC other roles entity and/or Parties Indicate 'silicate related to ownership -elationship .hls %) titweerl NCOunt }armies) i O O deny O Beller O O O 2 O O O O O Jeffrey 9 O • 2 O 9 EpStein • 1,1 O • O O • SONY_GM_00039789 https://dbforeepb.my.salesforeCLINEritElFATIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002613 EFTA_OOI 50398 EFTA01283887  KYC Print Page 8 of 16 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 Birth: Country of Residence: 11%1 Country of Citizenship: USA Has client resided outside of !Ate Saint James Saint Thomas 00802 US Virgin Islands hisrher country of nationality Oyes ®No Address of primary residence: for 5 years or more, Profession/Occupation: Self Erna°lyed Tax ID / SSN: Current Employer: Southern Financial LLC Positico/TAle/Rank: President Address of employer: Does the person work as senior executive of regulated entity in the finance' iidustryz or an entity listed on a DB-recognised exchange' (Not applicable for operating entities lei Yes 1g1No Is the dual a Politically Exposed Person (PEP)7(i/ Yes, tcnbe) Oyes RIND To the best of your knowledge, is the individual related to an en-playee of the DB groupY(rF O Family O Friendship 21None Family or Friendship, *scat) 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 El Yes IRI No services)?(‘ Yes,descnbe) Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Often her location (specify): Date: Dominic: Business: Paul Morns O O 2/ 4/312013 O • O O • O O Wealth Details for des Individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring sauce of wealth description as Indicated In Section 2) Nature of the Individual's Business: Private bvestments Primary Country of source of wealtbrsource of Funds' Primary industry of source of ViealtNSource of Funds' Summarize Source of Wealth: Eil Business Owner • Salary/Eamings ga Investmcnt • Inheritance/Gifts O Other: Further Describe Source of Wea th /Detail the history of wealth for each of the sowces: (e.g. For gusts, how did senior accumulate wealth' For Inheritance, how did family accumulate AeakhaFor business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 wan options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own Mace' management firm, J. Epstein & Co., managing the assets of aents with more than a billion in net worth. In 19%, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands, which merged into Southern FinarK tar U.C. At of his dents were anonymous except for the very wealthy businessman Teske Wexner. His wealth has come from his days at Bear Stearns and his financial manag merit firms Estimated Annual Income(s): 10,000,000.00 Estimated amount of investable assets(s): $50 MM - 100 MM Estimated Net Wath(g): $100 MM - 500 MM Amount of assets planned to invest with PWIN($): 10,000.00 Other Known Financial Institutions: Institution: WMargan I Country: I USA I Est. Assets Under Mgt: 20,00%000.00 SONY_GM_00039790 https://dbforcepb.Illy.salesforeCLINErilEalidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002614 EFTA_OOI 50399 EFTA01283888  KYC Print Page 9 of 16 Institubon: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgl: Please Indicate the family situation of the inclhiclual (marital status, other family menters, etc.): Single SDNY_GM_00039791 Intps://dbforcepb.my.salesforceaNErilDair?Ed1411000000D9DiFice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002615 EFTA_00150400 EFTA01283889  KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) lndMduals Name: Harry Beller Date of Binh: Country of Residence: USA