EFTA01282225.pdf

KY(' Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : Status : 6. Approved One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relabonshe Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Stewart Oldfeld • New PArTI Relationship 2 Ensting PWM Relationship Relationship to FWM: If edstIng, please indicate since when the relationship exist, provide reason for new profile and attach old profile: "*" 2018 Periodic Review 0," Last Approved KYC It - LSE LW - 1790820; Southern Firendal LLC - 1790655 2 alert Referral O RM Prospect O Intermediary/PIM O Other Son (08, etc) How Was the Client(s) Introduced? How long has the PM personally known the Please provide details (e.g. ame of referral source, how many years RM personally has known dint, etc): Jeffrey Epstein client? readied out to Stew Oldflekl on 3/7/17 to have a new acct opened under this relationshp.. Does Deutsche Bank pay a O Yes I2 No retrocession or similar compensation to a third party for the introduction of this (If Yes describe). relationship? List all edsbng and new accounts involved in this relationship Legal Entity Account Name! fainter Opening Date (Intended/actual) Account(s) 1 LSE LW - 42959295 - DDA-42959295 2/25/2015 2 2 Southern Finandal LLC - 77000457 - DDA-7/00095/ 2/27/2017 3 2 Southern Finandal LLC - N46023804 - D851144G023804 8/2612013 Who 6 the primary CCIltiCt person or the RM? (Note: This Preferred method of contal person needs to have Darren K. Indyke (212) 971-1314 (indicate phone no., fax no., signatory rests aid/or email address, etc.): Information right for the acccunis.): SDNY_GM_00037613 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SOW-0000437 7/11/2019 EFTA_00148225 EFTA01282225  KY(' Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: WE LLC - 42959295 - DDA Acct Number el available): Account Manager: Stewart Oldfield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term InvesbneM, 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? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and account details): 0 Other Institution - (Indicate name & location): O Physical Deposits (spedfy cash, stones, 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 - S 350K What is the expected volume of assets and ctrrency for the account approx. 90 days after 255,287.52 I Currency I USD opening? What is the expected volume of assets and ctrrency for the account approx. one year after 255,287.52 I Currency I USD opening? Does/will the client have Assets Under Management (AM) within DB under Eur. 3M? aresE2Ita Please list all parties related to the account For each party: • Check if a source of wealth descnption is requred for the patty. • Check the appropriate box to describe the rdationstip of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the `Other column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal Description AccounisoIC Setdor of Jltimate Signatory LimiteciFirendal Significant Legal GrantoreSenectoundingOther tntityof Source Holder Owner Trust / Benefiaalor Full POA Intermediaryehereholdee Representative Donor (pease of Wealth Founder of Owner PUPA (FIM) (>=25%) descnbe required Foundation Yon-PAC other roles entity and/or Parties (indicate indicate related to ownership rdatiortshp this %) between )al000unt parties) 1 al El Lsm,ux I21 • O O O O O O O O Jeffrey E. O DO Sole 2 O gl Epstein S S O O 100 O O O Member; Damen K. 3 O O indyke • • O • a OO O O O SDNY_GM_00037614 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... DB-SONY-0000438 7/11/2019 EFTA_00148226 EFTA01282226  KYC Print Page 3 of 21 2. ACCount Ownership Summary Account Name: Southern Financial LLC - 77000357 - DOA Acct. Number tdavadable): Account Manager: Stewart OldieId What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm 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 arrive? 2 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB locabon and amount details): O Other Institution - (Indicate name & baton): O Physical Deposits (specify cash, secretes, cheques, ...): What is the expected size and frequency of regular .flows and outflows for the account ( nckcate estimated number and volume per month)?: 03/month; 5500 • 51000000 What is the expected volume of assets and currency for the account approx. 90 days 1 1,535,257.07 Currency after opening? I I UW What is the expected volume of assets and cr.rrexy for the account approx. one year 1,535,257.07 I Currency after opening? I UW Does/will the diets have Assets Under Management (ALM) within DB under Eur. 3M? 0 yes 2 No Please list all parties related to the account Fee each party: • Check if a source of wealth description is requred for the party. • Check the appropnate 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 elation to the account in the 'Other' column. • Always describe the relationship between the panes in the last column. • Please doll down to the ultimate/underlying Beneficial Owner(s). regal Description Account PIC Sake of Ultimate Signatoor snitedrinanaal Significant Legal Grantor/SettlorFoundineher zntityof Source Holder OnnerTrust/ Beneficialor Full DOA Shareholder Representative ntermediarySh Donor please of Wealth Founder of Owner DOA ,FIM) (>=25%) deserts required Foundation Non.PIC other roles entity and/or Parties (indicate ndkate related to ownership elabonship this between account „lames) Southern 1 O Financial LLC Jeffrey 2 E. Epstein 2 Jean 3 Anne Brennan 2 Wiebracht Darren 4 K. Indyke 2 Southern Trust Company Inc is the sole member of Southern $outhern Fronde' Trust n 9 9 Company, LLC & Jeffrey Inc. Epstein is the sole shareholder of Southern Trust Company no; SDNY_GM_00037615 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9DiSte... 7/11/2019 DB-SONY-0000439 EFTA (()148227 EFTA01282227  KYC Print Page 4 of 21 2. Account Ownership summary Account Name: Southern Friancial LLC - N46023604 - DBSI Acct. Hunter fr avadaNef. Account Manager: Stewart Oldfield What is the purpose of the account (e.g. p dot* management, advisory account, custody services, longterm 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 arrive? 0 DB Group: Same Booking Center (indicate account number): Existing O DB Group: Other Booking Center (indicate DB location and azo3unt details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected size and frequency of regular .Mows and outflows for the account (indicate estimated number and volume per month)?: 25-35/month; $0 - 5250K What is the expected volume of assets and currency for the account approx. 90 days 1 113,764,196.27 I Currency after opening? I USD What is the expected volume of assets and ctsrency for the account approx. one year 113,764,196.27 I Currency after opening? I USD Doesivill the client have Assets Under Management (AM) within DB under Eur. 3M? 0 Yes El No Please Ust all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the arixopnate box to describe the relabonship of the party to this accent (> 1 can be selected). • f of the check boxes apply, describe the palls elation to the accent in the 'Other' column. • Always describe the relationship between the pates in the last column. • Please doll down to the ultenate/underlying Beneficial Owner(s). r egal Description Account PIC Settle' of Ultimate 4Signatoor —rnitedrinancel Significant Legal Grantor/SettlorkundindlOther (please intityof Source Fielder OnnerTrust / Beneficialor Full 00A ntermediaryShareholderRepresentative Donor Jesate of Wealth Fender of Owner POA ,FIM) (>=25%) other rolm required Foundation Non-PIC andkr parties entity ndkate related to (indicate -elabonship this ownership between account %) lames) Southern 1 2 0 Anancial 5 • • O • O O O O • LLC Jeffrey n O O 2 O 0 E2I a O O 0 O O E Epsten " Jean Anne • a O 3 O O O IS O O O O • Brennan Virebracht Darren 4 • • • O 5 O O O 0 • K lndyke 0 0 Southern Trust Company Inc is the sole member of Southern Southern Trust Financial LLC 5 2 2 Company, Li Li U U • O O O ..j & Jeffrey Epstein is Inc. the sole shareholder of Southern Trust Company Inc; Tradrig Authorization Paul S. Limited to 6 • O Barrett • • O O • 0 O O O • Purchases & Sales of ,Securrbes; SDNY_GM_00037616 CONFIDENTIAL - PURSUANT TO FED. R. t I ONFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000440 EFTA_00 I 48228 EFTA01282228  KYC Print Page 5 of 21 l' 1O1O r ID 1O1O ID l 1O 1O I ID ID 1O 1 I SDNY_GM_00037617 CONFIDENTIAL - PURSUANT TO FED. R. IA I - ONFIDENTIAL DB-SOW-0000441 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148229 EFTA01282229  KY(' Print Page 6 of21 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 - Date of Birth: Country of Residence: Won Islands, US. Country of ClUzenship: United States Has client resided outside of Little Sant James Sant Thomas 03802 WO Islands, U.S. his/her country of nationality • vim No Address of primary residence: for 5 yeas or more? Profess on/Ocapation: Self Empolyed Tax ID / SSN: Current Employer: Southern Trust Company Inc Pose:km/Title/Rank: President Address of employer: 6100 Red Hock Quarter B3 St. Thomas Virgin Islands, U.S. 00802 DOES the person work as senior executive of a DB-recognized regulated entity in the financial n ... Mosby? of an entity listed on a DB-recognised exchange? (Not applicable for operating entitles L-IYm i•A No Is the individual a Politically Exposed Person (PEP)?(s/ Yes, describe) Comection with Prince 2 Y. O No Andrew and BM Clinton To the best of yar knowledge, is the individual related to an employee of the 08 group?(d O Family • Friendshp '4 None Family or Friendslgo, desaite) N/A To the best of yar knowledge, is the individual party to a nen-banking relationship with Deutsche Bard( (e.g., external legal counsel, client referral source, supplier of goods or • Yes 67d No seivices)?(if Yesdesoibe) N/A Indicate where and Wren the client meeting(s) took dace: If applicable, indicate which bank officers have met the person: hint Private Client Place of Bank Officer Name(s) Bank Office. Other Location (specify): : • de: Business: Stewart Oldfield • .4 • O 6/28/2017 O ❑ O O • • • Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for pestles requiring source of wealth descnption as indicated in Section 2) Nature of the Individual's Business: Private investments Primary County of source of wealth/source of Funds? United States Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions Summarize Source of Wealth: Business Owner O Salary/Eamings 0 Investment • Inhentance/Gifts O Other: Rather Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rid setdor accumulate wealth? For inhertance, hem did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender ri the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School ri Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Stearns In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax strategies. Proving successful ri his financial career, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managrg the assets of dents with more than $1 eon in net worth. In 1987, Leslie Weiner, founder and chairman of Ohio-based The Limited chain of women clothing stores, became a welt-known client. Wexner acqured 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 et on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were adverasng exeomve Donny Deutsch, investor Nelson Pelt, 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 $25 mean to finance Radar a celebnty and pop culture magazine founded by Maer Roshan. Epstein and Zudemen were equal partners in the venture. Roshan, as its editor-in.chief, retained a small ownership stake. SDNY_GM_00037618 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SDNY-0000442 EFTA_00148230 EFTA01282230  KYC Print Page 7 of 21 Presently, Mr. Epstein (prided Southern Trust Company Inc, a pivate consulting company that invests the assets of their dents and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns arC the fees associated with rrenageng their dent's assets. Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 WI Estimated Net Worth($): $503 MM + Amount of assets planned to invest with PWS1($): 2,300,000.00 Other Known Friends' Institutions: Insbtution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Please indicate the family situation of the orcliwcival (mental status, other family noil,na, etc): N/A SDNY_GM_00037619 CONFIDENTIAL- PURSUANT TO FED. R. I IA ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000443 EFTA_0014823 I EFTA01282231  KYC Print Page 8 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa 3A. Individual Details (for all pales) Indrethars Name: Darren K. Indyke - Date of Birth: Country of Residence: United States Country of Otherehip: United States Has client resided outsde of his/her country of nationality • yin PI No Address of primary residence: for 5 years or more? Profess on/Ocapation: Acco.Irtant Tax ID / SSN: Current Employer. Southern Financial LLC Posibcogide/Rank: Accountant Address of employer: 6100 Red Hock Quarter B3 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 0 No Is the individual a Poldcally Exposed Person (PEP)?(1Yes, describe) N/A O WS 2 NO To the best of yar knowledge, is the individual related to an employee of the DB group?(, O Panay • Friendshp ?2 None Family or Friends*, (lessee) N/A To the best of yar knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral sane, supplier of goods or O yes ca No services)?(if rescfesoibe) N/A Indicate where and Mien the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Clent Private Client Place of Bank Officer Name(s) Bark Office: Other Location (specify): Date: Domicile: Business: Stewart Oldfield • O 12/12/2016 ID El El I:I • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) NatLre of the IndMduS's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For assts, how red sabot accumulate wealth? For Inheritance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actMbes, important business partners.) Estimated Amual Income(S): Estimated amount of investable assers($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Friancial Insboitions: Insboition: Country: Est. Assets Under Mgt: Insboition: Country: Est. Assets Under Mgt: Insboition: Country: Et. Assets Under Mgt: SDNY_GM_00037620 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000444 EFTA_00148232 EFTA01282232  KYC Print Page 9 of 21 Please indicate the family situabon of the ridivelual (mental status, other family members, etc): I SDNY_GM_00037621 CONFIDENTIAL - PURSUANT TO FED. R.IC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000445 EFTA_00148233 EFTA01282233  KYC Print Page 10 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: lean Anne Brennan Wiebrach: - Date of Birth: Country of Residence: Won Islands, U.S. Country of Citizenship: Won Islands, U.S. Has client resided outsde of his/her country of nationality O Yes VIA No Address of primary residence: for 5 years or more? Frofession/Ocapation: Finance Tax ID/ SSN: Current Employer: Southern Financial LLC Postionifitle/Rank: Finance Address of employer: 6100 Red Hock Quarter, 83 St Thomas Virgin Islands, U.S. 00802 Does the person work as senior extortive of a D8-recognized regulated entity in the financial Mussy? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes g No Is the individual a Poll:tally Exposed Person (PEP)?(/ YeR deSOlbe) N/A arra g No To the best of your knowledge, Is the Individual related to an employee of the DB group?(, O Family • Friendshp ni None Famfror AnYnOsigo, desafte) 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 source, supplier of goods or El yes @No services)?(/ Yescksoibe) N/A Indicate and sedan the client meetings) took place: If applicable, indicate which bank officers have met the person: Oent Private Client Place of Bank Officer Name(s) Bark Office: Other Location (speofy): Date: Domicile: Business: O • O O O O 1:1 • O O Wealth Details for this indrvidual are not filled ri, because they are the sane as for the folformg person: 3B. Wealth Details (Only for parties requiring source of wealth destination as indicated tn Section 2) Nature of the Individuals Business: Pnmary Country of source of wealth/source of Funds? Pnmay industry of source of Wealth/Source of Funds? Summary Source of Wealth: a Business Owner O Salary/Earnings O investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trues, how trd settlor accumulate wealth? For Inheritance, how did family accumulate wealth?Fct 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(S): Estimated amount of invistable assers($): Estimated Net Worth($): Amorrit of assets planned to invest with OWM(3): Other Known Fronde' institutions: Insttution: Country: Est Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: Insttution: Country: at. Assets Under Mgt: SDNY_GM_00037622 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000446