EFTA01360419.pdf

Case: 01082293 - salesforce.com - Unlimited Edition Page I of 9 4 Close Wndow salestrce.cont , Print This Pape 4 Expand All I Collapse All Case: 01082293 Relationship Details Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Status 6. Approved Primary Officer Paul Morris Office New York Reason for KYC New Client Reason for Update (If Applicable) Wealth Details Same Reason for Rejection 1. Please change account opening for All Parties (If Applicable) dates; these are in the past. RESOLVED 2. Please mark the accounts legal entity/corporate accounts. RESOLVE 3. Please give a more substantial explanation of how the client was introduced; how did Paul meet Jeffrey in the first place. RESOLVED 4. The source of wealth description is not sufficient; please give a more detailed bio/narrative on his source of wealth with employer names/positions held, salaries, etc. The SOW description should include an explanation of how he got started, anc how he got to where he is today. RESOLVED 5. For the entities, please give a bette description of exactly what they do... the purpose of entity/nature of business provided is not sufficient. RESOLVED 6. Please attach full searches on the previous name of the company. RESOLVED 7. According to the shareholder info attachment; Southern Trust Company Inc is the sole member of Southern Financial LLC: and Jeffrey is the sole shareholder of Southern Trust Company Inc. Therefore, the KYC hasn't been set up correctly to reflect this set up. RESOLVED 8. Please attach the LLC operating agreement for Southern Financial LLC this should also include proof of ownership/control. RESOLVED 9. Please attach the articles of incorporation and if available, bylaws for Southern Trust Company Inc. RESOLVED 10. Please also attach full searches of Financial Trust Company Inc; which merged into Southern Financial LLC. RESOLVED 11. Please attach all alerts and alert clearances. RESOLVED Some issues above were not resolvec and there is a new issue below 1. Please attach full searches on J. https://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL45006000000Qah5L A... 8/28/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048749 CONFIDENTIAL SDNY_GM_00194933 EFTA01360419