EFTA01284112.pdf

KYC Print Page I of 15 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01748087 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: souit if RN FINANCIAL RELATIONSHIP:00000483290 Booting Center: New York Relationship Manager: Stewart Oldfiekt • New PWM Relationship 12 Existing PWM Relationship Reatiomaip to PWM: If elating, please Indicate since when the relatIonsrop edits, provide reason (or new Profile and • checkng account with accotnt title as Zorro Management U.C(House Acct) and adding new steno I? Client Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc) Flow Was the Clangs) Introduced, How long has the RM personaly known the please provide details (e.g. name of referral source, how many years RN personally has losown client, etc.): Jeffrey Epstein client? reached out to Stew Oldfieki on 3/7/17 to have a new act opened under Zorro Management Lit end add two new signers to the new acct only. Does Deutsche Bank pay a • Yes I l'Al No retrocession or similar compensation to a thrd party for the introduction of this (//Yes, describe relationship? list an existing and new awaits Involved in this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) Account(s) I El 20110 Management, LLC - Deposit 12/27/2016 2 O Zone, Management, LIC (Howe Acct) 3/10/2017 Who is he primary contact person or the Rati (linte: This Preferred method of contact Darren Indyke person needs to have signatory (indicate phone no., fax no., rights a d/or Information right eine' address, etc.): for the accounts.): SDNY_GM_00040025 https://dbforcepb.my.salesforCCINEJIDULTdiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002849 EFTA_00150634 EFTA01284112  KYC Print Page 2 of 15 One sheet must be estabAshed for each account to be opened 2. Account Ownership Summary Account Name: Zorro Management, LLC - Deposit Acct. Nunter fr awarlatikt. Account Manager stewart °Wield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tam investment, payment/expense account)? the purpose of this account is to nonage the daily expenses of the company Indicate from where the assets are expected to arrive? a Dlit Group: Same Booldng Center (indicate account number): 35269691 O DO Group: Other Booking Center (indicate Dft location and account details): O Other Institution- (Indkate name P. location): O Physical Deposits (specify cash, securities, cheques, .4 What is the expected size and frequency of regular intim% and outflows for the account (ndicate estimated number and volume per month)': 0-10 inflows/outfbws between 50k and 100k on a monthly basis ICurtency What is the expected volume of assets and currency for the account approx. 90 days after opening? I I 16d 11000000 ICurrency I usci What is the expected volume of assets and currency for the account apprac one year after opening? Does ill the client have Assets Under Management (AIM) within DB under Eta 3Kr arts EiNo Please list all partks related to the account. For each party: • Check if a source of wealth descnpbon 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 describe the relationship between the parties in the last column. • Please drill down to the Stimaterunderlying Beneficial Chmer(s). ..egal 3esaipabn AccountbIC Senior of ..litimate 'Signatory _ImPeainanclal Signifkant ._egal .3antorgettlort-oundinglDther .tntityaf Source balder Dwiserlant / 3eneficialor Full ?OA IntermedlaryShareliolderlepresentative Donor 'please at Wealth Founder of Owner POA (FIM) (> -2596) iescnbe -equked Foundation Non-PIC other roles entity and/or (indicate ndicate Parties ownership relationship -elated to %) Setween his attar* mines) Zero i E1 O rlanagernent,El O CI • O • O O I a Lit Jeffrey 2 O 5 Epstein • O • 2 0 • O O • • Darren O O O 5 D O Ind O 121 • O O si I SONY_GM_00040026 https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002850 EFTA_00I 50635 EFTA01284113  KYC Print Page 3 of 15 2. Account Ownership Summary Account Name: 20410 Management LLC (House Acct) Acct. Humber (ifovadalaW: Account Manager: stew °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody seiVICC6, long-term Investment, paymentiexpense account)? The purpose M the account Is to manage the monthly wanes of the company Indicate from where the assets are expected to who, 0 CO Group: Sane Booldng Ceder (nhate account ember): O DB Group: Other Boding Center (Indicate DO location and accowst details): O Caw Irtgillti011- (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...t What is the expected size and frequency or regular inflows and outflows for the accomt (indicate estimate] number and volume per month)': 0-10 Mflows/outflows of no more than 10k on a monthly basis 1 10000 I Currency I usd What Is the expected volume of assets and currency for the account approx. 90 days after opening? 15000 'Currency What is the expected volume of assets and currency for the account approx. one year after opening, I usd DoesAvill the client have Assets Under Management (AIM) vathki DB under fir. 3M7 O yes 2 No Please list all parties related to the account. For each party: • Check il a source or wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • I none of the check boxes apply, describe the party's rela ion to the account in the 'Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the WU-nate/underlying Beneficial Owner(s). seal Description sccounWIC Settbr of Atli-rate Signatory Jetted Financial Significant ...mat `rstantor/SettbrFounding Otha Enbtyof Source Holder OwnerTrust/ Teneficiallor Full ?OA InterrnediaryShareholderneptesentatrve Dona please of Wealth Fowider of >taw POA (FIM) (>=2S14) *scribe required Fotmdation Non.PIC Wier roles entity aid/or (Indicate ndicate arum ownership tatlonshlp bled to 14) between account -tanks) Zorro 1 O 121 anent, 9 O O O O O O O O O LC Jeffrey O O O 2 ID O pstein O El CI O O O O 3 • O Darren O • • O El ID I:1 O O • ndyko 4 O O O • O O El O O O O • 5 O O O O O O El O O O O O SDNY_GM_00040027 https://dbforcepb.my.salesforcCLINErilDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002851 EFTA_00 I 50636 EFTA01284114  K YC Print Page 4 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indolduars Name: 'dire/ Epstein • 00000783289 Date of Birth: 1/20/1953 Country of Residence: USV1 Country of °Wend*: USA Has client resided outside of title Saint hires Saint Thomas 00802 his/her country of nationality O yes a fin Address of primary residence: for 5 years or more' Profession/Occupation: Set Empolyed Tax ID / 591: Current Employer: Southern FlnaixIal U.0 Position/Tele/Rank: President Address of emPbYer: St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial D yes ga No rid ustry? or an enUty listed on a DEtrecognised exchange? (Not applicable for operating entitles Is the indMdual a Politicaty Exposed Person (PEPy(r/ Yes, describe) O Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB group?(/ • Family O faendship E None Farr* or Frieldthip, descrbe) To the best of your knowledge, k the Individual party to a non-banking relationship vdth Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)? El Yes El No (A Yes,desabe) Indicate where and when the dent meeting(s) took plane: If applicable, indicate which bank officers have met the person: Client Private Client Placed Bank Offker Name(%) Bank Office: Other Location (specify): Date: Domicile: Business: O O O • O O • O O O Wealth DelaNs for this individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth desuiption as Indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? sumnsinze Source of Wealth: Ea Business Onner 054,N/famines 0 Investment O lnheritance/Glfts • Other: Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate swath' For inheritance, how did Minty accumulate wealth1For business owners, how bog in business, how maw employees, level d proleabikly/ Indicate type of business, countries of major activitles, important business partners) Festal began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982, Epstein founded his own financial managnneit firm, 1. Epstein & Co., managing the assets of dents with more than a Mon in net worth. In 1996, 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. Al of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial management lima Estimated Annual Income(S): 10,000,000.00 Estimated amount of irroestable assets(S): $50 MM - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to kwest WO PWM($): Other Known Financial InsUtutions: Institution: Country: Est. Meets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040028 https://dbforcepb.my.salesforeCCINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002852 EFTA_00150637 EFTA01284115  KYC Print Page 5 of 15 Institution Est. Assets Under Mgt Please indicate the lenity situation of the individual (marital status, other Caney members, S.): SDNY_GM_00040029 Imps://dbforcepb.my.salesforCCINErlacrbadiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002853 EF1'A_00150638 EFTA01284116  KYC Print Page 6 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indrruluats Plant. Wm.!, In:yko 001c4sn40S Dated Birth: Country of kr:seance: USA Country of Otizensh0: USA itas client resded outside of Livingston 07039 United States ht/her country of nationality O yes la No Address of pasty r Noce: for 5 years or more' Profession/Occupation: Lawyer Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer. Livingston NY United States 10022 Does the person work as senior executive of a Darecognited regulated entity in the financial O ya nd ustry? or an entity listed on a DElirecognised exchange' (Not applicable for operating entities NO Is the indadual a Politically Exposed Person (PEPp(f Yes, tote) • Ye @ No To the bat of your knowledge, is the Individual rebted to an employee of the DB groupt(tY • Family O FnendsNp @ None Falter Riendship, desathe ) To the best of your knowledge, k the indbklual party to a non-hanking seat:3,15Np with Deutsche Bank (e.g., edema! legal counsel, client referral source, supplier of goods or services)' O Yes RI No (A Yes,desat) Indicate where and when the clan' nreting(s) took place: If applicable, .ideate which bank officers have met the person: Bank Officer bands) Bank Office: Client Private Client Place of Other i ci ...I sr if D.:tr. Donate: Business: Stevan Oldfield 0 O O I). 1 "El lb O O CI O O O O Wealth Denies for this individual are not flied in, because they are the same as for the folcasing person: M. Wealth DetMb (Only for parties requiring soma of wealth description as indicated in Section 2) Nature of the IndivitharsffinineLs: Primary Country of source of wealds/source of Funds? Primary nanny of source of Weath/Souice of Funds/ Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inhotance/Gifts • Other: I other Describe Source of Wealth /Dela the history of swath for ash of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did famfy accumulate wealth/For business owners, how brig in useless, how many employee, le et of profitability/ Indicate type of business, roulettes of major activities, important business partners.) I throated Annual Income($): Estimated amount of investable asseta): Estimated Net Worth($): Mount of assets planned to hat with MKS): Other Known Financial Institutions: Institution: County: Est. Assets Under Mat: Institution: Country: Est. Mies Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indiv col (mental status, other fandy members, etc.): SONY_GM_00040030 lit tps://dbforcepb.my.salesforcCaNEJIDEsciardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002854 EFTA_00150639 EFTA01284117  KYC Print Page 7 of 15 SDNY_GM_00040031 latps://dbforcepb.my.salesforcCLINEJIDerhilidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002855 EFTA_00150640 EFTA01284118  K YC Pri nt Page 8 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownesshb Summa 3A. Individual Details (for all parties) linkkuars Name Date of Birth: Country of Residence: USA Country of °Wend*: USA Has client resided outside of Slinky 87056 United States his/her country of natkmakY O Yet El No Address of pernary residence: for S years or more' Profession/Occupation: Manager Tax ID / SSIV: Current Employer: Zorro Management Posit/on/Title/Rank: Manager Address of employer: St Thomas unked States Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB:recognised exchange? (hot applicable for operating entitles OYin WI No Is the individual a Politkaly Exposed Person (PEPP(r/ Yes, **vibe) O Yes 2 No To the best of your knowledge, is the Individual related to an employee of the DB groufa(if Il Family O friendsNp El None Fein* or Friendship, desmbe) To the best of your knowledge, is the Individual party to a nonhanking relationship with Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senores)? Ores 10 No (I Yes, describe) Indicate where and when the client meeting(s) took oboe: If appicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other location (specifyh Date: Domicile: Business: O O O • O • • O O O Wealth Details for this individual are not flied in, because they are the same as for the (denying person: 38. Wealth Details (Only (or parties rogueing source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Pommy industry of source or Wealth/Souite of Funds' Summarize Source of Wealth: • Business Owner OSekry/Eamings O Investment C inheritance/Gifts • Ott*: (tether Describe Source of Weals/Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did fan* accumulate we.alth"for business owners, how bog in business, how many snant,...., level er workability" Indicate type of business, countries of *nor activities, important business parbiers.) Estimated Annual Income(p): Estimated amount of investabk assets($): Estimated Net Worth($): Amount of assets planned to invest with PWII($): I Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: lintflutk3n: Country: Est. Assets Under Mgt: Please and it ate the lam fi sit toot. of the individual (roar till status, other family members, etc.)'. SDNY_GM_00040032 https://dbforcepb.my.salesforeCLINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002856 EFTA_OOI 50641 EFTA01284119  KYC Print Page 9 of 15 SDNY_GM_00040033 tps://dbforcepb.my.salesforCCINEJIDrNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002657 EFTA_00150642 EFTA01284120  KYC Print Page 10 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indroduars Name: Date of Birth: Country of Residence: USA Country of Otiten010: USA Has client resided outside of Stanley 87056 tinted State his/Mr country of nationality O yes RING Address of prmaryr ence: for S years Cr more, Profession:Occupation: Manager Tax ID I &SN: Current Employer: Zocro Management LLC Position/Title/Rant Manager Address of employer: USVI United States Does the person work as senior Jacobite of a DWrocognized regulated entity in the financial O 2 ,40 ndustry? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities y.< Is the individual a Polnicalty Exposed Person (PEPp(d Yes, describe) . Yes 2 No To the best of your knowledge, is the individual related to an employee of the DB grafp?(f O Family O Friendship Rhone Faster Friendship, describe) To the bat of your knowledge, a the Individual patty to a non-banking relationship with Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services), No LI Ye' El (I Yes,desabe ) Indicate while and when the (lent meetiiN(s) took place: If applicable, aureate Muth bank officers have met the person: Bank Officer Name(s) Bank Office: Client Private Client Place of location (specify) Date: Donidle: Business: O O O • O O • O O r.i Wealth Details for this inzlendual are not filed in, because they are the same as for the Mowing person: 38. Wealth Detail, (Only for parties reguring source of weal desolation as indicated In Section 2) Nature of the Individual's Buenas: Primary Country of source of wealth/source of Funds? Primary industry ol source of Wealth/Scotto of Funds? Summarize Source of Wealth: OBusiness Owner OSalary/Famings O Investment O Inheritance/Gifts /Other: further Describe Source of Wealth /Dela the history of wealth for each of the sources: (e.g. For trusts, haw did senior accumulate twalth? For inheritance, how did family accumulate wealUVFor business owners, how long in useless, how many employees, level of proltabihtyl Indicate type of business, countries al major advances, important bigness partners.) I *mated Annual Income($) Estimated amount of investable assets($): Estimated Net Worth(f) Amount of assets planned to That with PWII4($) 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 !only situation of the individual (rnantal status, other handy members, etc.): SO _GM_00040034 NY Imps://dbforcepb.my.salesforcCuNEJIDEJardiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002858 EF1'A_00150643 EFTA01284121  KYC Print Page 11 of 15 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity OctalIs (for all Legal Entitles) Legal Entity Narne: Zorn) Management, Lit - 00003550331 O FoundatIon/Anociatlan O Trust ®Company O Estate Ofinvate Investment O type of Entity Purpose of Entity: • Partnership PhiaMhropic/Charitabk OCommercbl LLC Purpose of Entity Type of Entity Other (specify): Other (specifyY Country of USA Date of Incorporation / 12/14/1016 mcorpxation/registration: regkgration: Identified on Customer Profile No Volcker Status: Vokker Flag: St. Thomas; USV1 00802 United Address (city, street, post U.S. TIN/EIN: States code): Provide a description of the entlys organtational structure, Its ownership structure and Its Top Management. For trusts/foundations, Include information about revocabilty,settbr and benefickarles,etc.: Jeffrey Epstein is the sole manager and owner of this entity. Signors on this account wall be: Jeffrey Easter Darren Indyke Signors co the house acct are: Jeffrey Epstein Darren Indyke Please mdkate how (warship of the legal entity is reflected: D Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the deed owna of the entity to the ultimate beneficial owner (if not the same peaces): Jeffrey Epstein is the sole manager and owner of I his entity. sows on this account will be: Jeffrey Epstein Darren Indyke Signors on the house acct are: Jeffrey Epstein Darren Ind To the bat of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)': Yes • No Describe Nature of Entity's Primary Business and Investment Activities a real estate holding company. It is a company formed to an and operate al acWities associated Nature of the business: aWth a property that Jeffrey Epstein owns in the US Vrgin islands. Countries where business is transacted: USA Number of employees: 1+ 3D. Wealth Profile (Cs* for parties requiring soave of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of wealth/Source or Fundst Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabities): This company Is funded by Jeffrey Epstein's personal wealth Estimated gross receipts p.a.($): 1,000,000.00 Estnoted net profit pa. (S): 1,000,000.00 SDNY_GM_00040035 https://dbforeepb.my.salesforeCLINEIDEgrNIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002859 EFTA_00150644 EFTA01284122  KYC Print Page 12 of 15 Estimated investable assets ($): f 1 MM • 2 fel Potential Amount to be Wrested vdth PVill ($): Other Known Rnancisl Institutions: Institution: Country Est Assets Under Mgt Insntution: Country. Est Assets Under Mgt: Insttitbn: Country. Est. Assets Under Mgt: SONY_GM_00040036 Imps://dbforcepb.my.salesforCCINEJILIFschiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002860 EFTA_00150645 EFTA01284123  KYC Print Page 13 of 15 DB PWM GLOBAL KYC/NCA: US/LatArn/Intli PART B rA Relationsb Name SOUTHERN FINANCIAL REIATIONSHIP Risk Rating Comments: Booking Center Env I: O Offshore IR° m°detate 0 Nigh Risk jToccaull chung /Offshore ask (Compliance Signature) D DB EmPlaYee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 0. Attachments A. Type of Photo ID Provided 5 Drivers Lkeitse O Passport • Nate:gal/State 10 • Other B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached 0 Yes O No C. Please indicate the results of the database searches performed RDC searches complete i Yes O No negative results found Oyes 0 No PCR checks complete Ryes Olio negative results found Oyes 10 No OFAC checks complete Eves O No negative results found Oyes RIND BIS searches complete (LexisMexis, Factam, Reuters, Dow Jones, D&B) 5 yes • No negative results found Oyes 0 No Denial Orders cheeks complete Dye ONo negative results found Oyes 12INo MarundaieHubbell searched (LawyereLaw Ferns only) Oyes EINo negative results found Oyes O No D. Please summarize any negative results from the database sea