EFTA00166948.pdf

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case 0 : 01195153 Status : 6. Approved One sheet must be established per rela - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SCUT/ERN FINANCIAL RELATICNSHIP:00000013190 Booting Center: New York Relationship Manager: Paul moms D New PWM Relationship g Existing PWM Relationship Relationship to KYR: If existing, please ndicate since when the relationship odds, provide reason for new profit and attach old profile: Update of approved KYC 01135524 to add Darren lndyke as a authorized signer. Darren has been approved in KYC 01133377 O Client Referral g RM Prospect O Intermediary/NM O Other Source (CIB, etc.) How Was the C kends) Introduced' How long has the Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc.): Jeffrey Epstein is lanl personally known the a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a dint thent, of Paurs at )P Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who Introduced them wSe Paul was at lPhlorgan. 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 O Yes No retrocession Cr unilar IO compensation to a thud party for the introduction of this al Yes, anent?). relationship' List all existng and new accounts involved in this relationship Legal EntRy Account Name / Number Opening Date (intended/actual) Accounts) 1 El Neptune LLC 10/16/2013 2 2 Neptune LLC — Money Market 10/16/2013 Who is the primary contact person for the Rat/ (Note: Preferred method of contact This person needs to have Marry Beier (indicate phone no, fax no., signatory rights and/or e-mall address, etc.): nformabon right for the accounts.): 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002722 EFTA_00016196 EFTA00166948  KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LAX Acct. Humber (drayarranie) 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)' Checking account used for the daily needs of running Jeffrey Epstein's home In NYC. Indicate from where the assets are expected to arrive' • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate 08 location and account detat): 9 Other Institution (Indicate name & location): 1Felorgan. New York O Physical Deposits (specify cash, securities, cheques, ••.): What is the expected site and frequency of regular Inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from 5.1000 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 110000 I Currency 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 (Aual) within De under Eur. 3M" 0 Yes Ea 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 parlys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s). **gal 'Description Account PIC Serra of Jtvnate iignatory..imitednnancial Significant -egal Grantor/SettlorboundingrOther Entity of Source Holder amerTrust / Benefkial or Full POA InterrneduryShareholder Representative Donor (please of Wealth Founded Owner ?OA (Flt) K> -2S4) describe required Foundabcn Non-PIC other roles entry and/or Parties (indicate Indicate -elated to ownership relabonship this %) between ACCOUnt Parfet) I 9 El **cunt' El LLC O O O O O O O Li z 0 Ed kr" tpstein 0 0 0 5 CI 0 • 0 Li L Many . O O O 3 • • 3elkr [21 O • • • D 4 • D Dane' lO OO O a • O O O E endYke 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002723 EFTA_00016197 EFTA00166949  K YC Print Page 3 of 13 2. Account Ownership Summary Account Name: Neptune LLC — Money Market Acct Number filava4blet. 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 to hold funds necessary to run the costs associated with Jeffrey Epsteln's NYC home Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): JPSIorgan. NYC O PhYskal Deposits (specify cash, securities, cheques, .-): What is the expected size and frequency of regular inflows and outflows for the account (indicaW estimated number and volume pe month)': RoughN 1-3 inflows and 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 USD What is the expected volume of assets and currency for the account approx. one year after 1 10,000 'Currency I ISO opening'' Does/will the client have Asset Under Management (AM) within DB under Eur. " • yes 2 No Please list an parties related to tM 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 ch cc boxes pply, describe the party's relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Pease drill down to the ultimate/underlying Beni:tidal Owner(s) .egal Description AccountPIC ISettior of Jbnate "Signatory ...irnitedrinancial "Significant -egal Grantor/SettiorroundinorOther Entity of Source Holder Ovasertrust / Beneficial or Full POA IntermediaryShaseholder Representative Donor (please of Wealth Founder of Owner >OA (FIM) '>=25%) describe required Foundation Non-PIC other roles entity and/or Parties ;Indicate indicate -elated to 'immesh'', •elabonship this NO oetween account Dames) Neptune O O O 1 2 2 ac O O O O O O O 2 O Fa 'drill O O O 5 E6 O O O O O 2stern P 3 • • " 3eller ❑ O • • O 1S • O II II II 4 LI O °a"en endYke D O • O 2 O O O O • 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002724 EFTA_00016198 EFTA00166950  K YC Print Page 4 of 13 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 Epstein - 00000483289 Date of Birth. 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Line Saint James Saint Thomas 00802 US Virgin Islands Ns/her country of nationality El yes ®No Address of primary residence: far S years or more Profession/Occupation: Self Employed Tax ID / SSN: Current Employer: Southern Estancia' LLC Position/Title/Rank: President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial r--, ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating entities L..1Yes Z No Is the individual a Politically Exposed Person (PEP)>(if Yes, ckscnte) O Yes E4g No To the best of your knovAedge, is the individual related to an employee of the D8 group'(, I:Family Chien:Nino 2 Nene FM* or Friendshs detaibt) To the best of your knowtedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes 0 No services)'(/ Yes,thrscnbe) If applicable, indicate which bank officers have met the Indicate Mitre and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: of Other Location (specify): Date: Domicile: Business: Paul Morris O • 0 9/13/2013 O o O ID El • 0 Wealth Details for this individual are not filled 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 IndiVduars Business: Private nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0 Salany/Eainings investment 0 Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of swath or 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 profitability' Indicate type of business, countries of mayor activities, inportant business partners.) Epstein beg. his financial career in 1976 as an options trader at Bear Steams and became a panned n 1980. In 1982, Epstein founded his awn financial management firm, 3. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worlh($): $100 MM • S00 MM An aunt of assets planned to invest with PVIPI($): Other Known Fnancial Institutions: Insbtution 3Pflorgan I Country: USA Est Assets Under Mgt: 1200,000,000.00 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002725 EFTA_00016199 EFTA00166951  KYC Print Page 5 of 13 J Institution: Counby: Est Asset Under Mgt: Institution: Counby. Eu Asset Under Mgt: Please indicate the famly situation of the individual (marital status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002726 EFTA_00016200 EFTA00166952  K YC Print Page 6 of 13 must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth. Country of Residence: USA Country d Ctienship: USA Has client resided outside of his/her country of nationality El yes 2) No Address of primary residence: for S years or more Profession/Occupabon: Accountant Tax ID / SSN: Current Employer /BIRK Associates Posibon/Title/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial r--i ridustry, or an entity Isted on DB-recognised exchange' (Not applicable for operating entitles 1...1yes Z No Is the individual a Politically Exposed Person (PEP)>(d Yes, cksente) O Yes no To the best of your knoMedge, is Me Individual related to an employee of the DB group'(d OFamor Ornery:Wile 21 Nine FM* or Friendshs describe) To the best of your know4edge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes Iii No services)'(/ Yes,decarbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meding(s) took place: person: Chent Private Client Place of Bank Officer Name(s) Bank Office: Other Location (seedy): Date: pornicile: Business: Paul Morris O • 0 9/13/2013 O o O ID El • 0 Wealth Details for this individual are not filled 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 Indlvidual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0Business owner 0 Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior 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 activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWTI($): Other Known Fnancial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: County: Est Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002727 EFTA_00016201 EFTA00166953  KYC Print Page 7 of 13 Please indicate the family sltuabas of the individual (manta) status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002728 EFTA_00016202 EFTA00166954  K YC Print Page 8 of 13 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indniduars Name: Darren Indyke - Date of Birth. Country of Residence: USA Country d Ctzenship: USA Has client resided outside of her/her country of nationality El yes ®No Address of primary residence: far S years or more Profession/Occupabon: Lawler Tax ID / SSN: Current Employer Southern Rnancial LLC Position/Title/Rank: Address of employer: 575 Lexngton Ave, 9th Fl New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial r—, ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovdedge, is the individual related to an employee of the DB group'(d OFamor Chien:Wile 2114cce FM* or Friendshs describe) To the best of your knowiedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes ElNo services)'(/ Yes,thrsarbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: of Other Location (seedy): Date: poinicile Business: O • O O o • ID El iii 0 Wealth Details for this individual are not filled 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 IMO/dugs Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Summarize Source of Wealth: DElusiness Owner 0Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior 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 miler activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Asset Under Mgt Institution: County: Est Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002729 EFTA_00016203 EFTA00166955  KYC Print Page 9 of 13 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet mint be established for EACH LEGAL ENTITY In Section L Account Symms 3C. Legal Entity Details (For al Legal Entitses) Legal Entity Name: Neptune, LLC - 00000487264 O Foundation/Associatien O Trust IA Company O Estate Pi Private Investment Ill Type of Entity: Purpose of EMity: phganguppk/charsabk 0 O Partnership Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Date of Country of USA incorporation/ 12/21/2011 incorporabon/registrabon: registration: Voicker Status: Volcker Flag: Address (city, street post 6100 Red Hook, Quarter 83 St Thomas 00802 USVI US. TIN/UN: 45-4093384 code): Provide a descrlpbon of the entity's organizational structure, Its ownership strucbme and Its Top Management For trusts/foundations, allude Information about revocability,settior and benefici riesett: Single member LLC. Jeffrey Epstein Is the sole member Please indicate how ownership of the legal entity is reflected: • Special attention: Bearer Shares - Indicate inhere shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (i/not the samepersona To the best of your knowledge, Is the entity party to a non-banking relationship with Deutsche yes — Bank (e.g. external legal counsel, client r*nal source, supplier of goods or services)? U No Fa Describe Nature of Entity's Primary Business and Imestment Activities This LLC was formed to hold the funds necessary to cover the costs and taxes asscciated with Nature of the business: running Jeffrey Epstein's NYC home Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds/ Primary industry of source of Wealth/Source of Funds/ Provide Evidence cf Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This LLC is funded my conbibutions made by Jeffrey Epstein. Estimated gross receipt ..(5): Estimated net profits (5): Estimated Investable asset (5): <$1 MM Potential Amount to be invested with P%Vfl (5): 20,000.00 Other Known Fnancial Institutions: Institution: "Morgan Country: USA Est. Asset Under Mgt: 20,000.00 Institution: County: Est Asset Under Mgt: Institution: Country: Est. Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002730 EFTA 00016204 EFTA00166956  KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Infl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rang Comment: 5 NY Moderate S High Risk Booking Center NY/Offshore Y/ [C Offshore IE) isk Jacqueline LighteddY R (Compliance Signature) CI DB Employee D De Managed PIC 0 DB is Ins:tee/Co-Trustee • Bearer Shares 4. Attachments A. Type cf Photo ID Provided 1210thers License 0 Passport 0 National/State ID 0 Other Checklist of names (ndericluals and/or entities) that were submitted for database searches Is B. 1:4' Yes • No attached C. Please imitate the results of the database searches performed RDC searches complete @ yes 0 No negative results found @ yes 0 No PCR checks complete 2 Yes 0 No negative results found Oyes @ No OFAC checks complete ni yes • No negative results found Oyes 2 No WS searches complete (Lois/MAL Factva, Reuters, Dow Jones, Eli Oyes 0 No negative results found ales 0 No Denial Orders checks complete 0 yes 0 No negative results found Oyes 0 No Marbndale-Hubbel searched (Lawyers/Law Firms only) 0 Yes 5 No negative results found • yes 0 No Please summarize any negative results from the database searches isclicabxl above: D.ARREN INDYKE KYC approved in case 41133377 NEPTUNE LLC: See attached MIL Clearance -- The RDC alert %malaise hit Negative Media: MI negative media is not our client. N negative media either predates our dent's format on (2011) or s another U.C. Our Neptune LLC is a single member LLC that runs the operations of a home D. JEFFREY EPSTEIN: See KYC #01082293 and #01121718 for previous KYC approval and all pertaining documents HARRY BELLER: Negative Meda: Not our client All negative media pertains to an envkawnental microblobast On client is an accountant Court Cases: 41: Disposed in 1987 MI other cases are not our client The other court cases refer to a Dr. Marry Biller. Our client is an accountant E. To the best of your knowledge, has the dent ever been convicted of a arra.' offense 0 Yes • No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its sutskliaties or is the customer threateMng litigation against Deutsche Bank AG or any of its subsidiaries' at Yes, ppvide details batw and contact Quay NO. 0 Yes 12 No F. (LatAm/Intl)of the Rego/may Control Group and nobly Complexe immediately) Does the client or related party have any financial or other association / Interactions within G. 0 Yes 1rd No countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)' Does the client or related party have any financial or other assoaalion/ Interactions within high risk o yes 2 No H. countries, I. Corporate Documentation Attached (Legal Enbbes Only) 0 Yes • No • Not Appkable 1. Undisclosed Principal Form Complete (b iaries Only) • Yes • No 74 Not Appkabk K. U Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an English summary of the nature/contents of the non-Engish Documentation: L Special Rs/ Factors 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002731 EFTA_00016205 EFTA00166957  KYC Print Page 11 of 13 Does the account have Nexus to Special Risk Countries, Dyes Eft Is the account stnKture unusually compeex? Dies E No Is there any indication the client set up a non operating company expressly . yes to for the purpose of transferring shares to third parties, Is there any Indication this could be a prohibited business relationship, Oyes g No Are the bearer shams Ideated subject to acceptable controls? O Um g No littps://dbforcepb.my.sal et/serviet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002732 EFTA_00016206 EFTA00166958  KYC Print Page 12 of 13 M. Case Comments Created By Date Comments 1 page ea DB Certificate of LLC Resolution wth the 2nd that did net lot all signers, b acceptable. The a Jacqueline LigMbody 3/14/1143:00 PM Mon was the 2nd page with the oriect signers that's attached separately. ONSHORE APPROVALS Client Facing Professional (CFP). Paul Morns (Signature) 2/24/2014 Paul Wens Office DirectorBusiness Head: Bnan M. Biggar (Signature) 2/W2014 Brian M. Biggar Regional Office Director (Signature) NIL Business Risk: (Signature) AML Compliance: (Signature) Gwen Pill oiblo Janke Franklin Gwen Hill o/b/o Janice Franklin 3/14/2014 Jacqueline Lighted,/ Jacqueline Lightbody 3/14/2014 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head (Sygnature) i(GMTH)/Subrlarket Team Heed 'Seth(): AML Business Risk (Signature) AML Compliance (BPI:Mature) PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals/(I) (CFP's) should establish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client b