EFTA01283935.pdf

KYC Print Page I of 20 DB PWM GLOBAL KYC/NCA: PART A KYC Case 8 : 01195100 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relation sh i 1. Relationship Details Relationship Name: EPSTEIN. JEFFREY REtATTONSIRP:00000013290 Booking Center: New York Relationship Manager: Pad Monis Ii1 New PWM Relationship I El Existing Paill Relationship Relationship to PWM: If existing, please indicate since when the relationship exists provide reason for new profile and attach old prone: ONLY adding signers to account. MI signers have already been approved ri previous KYCs. Please rush as this is a simple update. Darren Indyke was approved in KYC 01133377 Harty Beller was added in approved KYC 01141308 El Client Referral IR) RM Prospect I O Intermediary/Fill I • Other Source (O8, etc.) How Was the Client(s) Introduced, How long has the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein Is a RM personally know 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 A Morgan. Paul and Jeffrey Epstein had a mutual friend/coleague who introduced them while Paul was at Miliforgen. Over the course of a few meetings Paul was able to get Jeffrey to brag some of his funds over to Deutsche Bank Does Deutsche Bank pay a Eves I O No retrocession or similar compensation to a third party for the introduction of tha (if Yes, dacnbc): relationshOT List all existing and new accounts involved In this relationship legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 12 Southern Financial, LLC 9/19/2013 2 e Southern Financial, LLC 8/19/2013 3 21 Southern Trust Company, Inc. 8/19/2013 4 2 Southern Trust Company, Inc. 8/19/2013 5 2 Jeffrey Epstein 9/11/2013 6 2 Jeffrey Epstein 9/11/2013 Who is he primary contact person or the RMT (Note: This Preferred method of contact person tied% to have Jeffrey Epstein (ndicate phone no., fax no, sronatory rights and/or email address, etc.): informo ion rkiht for the a«ounrs.): SONY_GM_00039846 https://dbforcepb.my.salesforCQUErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002672 EF1'A_0O15O457 EFTA01283935  KYC Print Page 2 of 20 One sheet must be established for each account to be opened 2. Account Ovewnshlp Sonsery Account Name: Southern Financial, LLC Acct. Number (Iavailable). Account Manager: Paul MOMS What is the purpose of the account (e g. portfolio management, advisory account, custody senses, longterm investment, payment/expense account)/ Monet' Market. To hold funds for the company. Indkate from where the assets are expects to arrive? O D8 Group: Same Booking Center (iidkate account number): El DB Group: Other Booking Center (Indicate DB location and account details): Other hest/Won (Indicate name & location): JPMorgan, NYC O Physkal Deposits (specify cash, securities, cheques,...): Whet is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month?: Roughly 2 Inflows S outflows per month ranging from $1000 to $10,000. I Currency I USD That is the expected vokone of assets and currency for the account approx. 90 days after opening? I 1150,1100 'Currency I Um What b the expected volume of assets and currency for the account approx. one year after opening? Doe wit the client have Assets Under Management (AuM) within DB under Eur. 3M? OYeaga No Please list all parties related to the account. I or each party. • Check it a source of wealth des< hobo,' is required for the party. • Check the appropriate box t chic robe the relationship of the party to this account (> I can be selected). • t non of the check boxes pply, describe the party's relation t the accost in the "Other colorist • AMay descnbe the relation hip between t e parties in the la/ column. • Please drill down to the ultimate/underlying Beneficial Owner(s). egal Deurction AccountPIC Settler of Planate Signatotedkinancial Significant opal 3rantor/Settlorfounding Either C :m :mitred Source holder Owner-Trust / Beneficialor Fut P A Intermethas6hareholderfteptesentathe Donor please of Wealth Founder of Owner POA (FIN) .> -25%) describe required Foundation Non-PIC other roles entity and/cc Parties .indocate nclicate related to ownership -relationship this %) eretween account ;sties) Sok Jeffrey n O O O shareholder i O 2 Epstein ' O e O O O El of Southern Trust; Southern 2 2 0 Amadei a a O El El rl El 11 11 El LLC Southern Trust is the sole member of Southern Southern Trust Financial 3 IZI Company, • O O O O O O I00 O O O ondJeffrey Inc. Epstein Is he sole shareholder of Southern Trust; Dann O 4 O • Indyke O O CI 5 D O • O O 5 O O Ka" Baer O O O O O O O O O O Jeanne 6 O O Brennan • O O • Pi O O O I O SONY_GM_00039849 ht tps://dbforcepb.my.salesforcCaNtalOalniliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002673 EF1'A_0O15O458 EFTA01283936  KYC Print Page 3 of 20 2. Account Ownership Summary Account Name: Southern Financial, LLC Aca. Number (f available) Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tom investment, payment/expense account)? Chaddng account to hold funds for the company. Indicate from Wsere the assets are expected to Krim? O De Group: Same Booking Center (indicate account nuntier): O DO Group: Other Booking Center (Indicate DB location and account details): R Other InstAution (Indicate name & locationk 'Morgan, NYC O Physical Deposits (specify cask 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 °unions per month ranging from $1,000 to $10,000. I Currency I What is the expected volume of assets and currency for the account approx. 90 days after opening' I USO 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 Avels Under Management (Aunt) within Plunder Fur. 3M? Oyes gi No Please list all parties ,elated to the account For each party: • Check I a source of wealth description 6 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 party's relation t the meow* in the 'Other' column. • Ainsays describe the relationship between the parties in the last coltann. • Please dril down to the ultimate/underlying Beneficial Owner(s). -egallDescriptian AccounbPIC Senior of JIM:nate ISignatorytimitectinancial Significant .egal GrantortSettiorkounding Other Entityof Source Holder DwnerTrust / 3endiciabr Fug POA MermediarySharehoiderReprmentative Donor please of Wealth Founder of Owner POA ,Flail) >=25%) iescribe required Foundation Non.PIC other roles entity and/or Parties ,indkate ndicate related to 3svnership dationship this %) >elV/5211 account ganies) Sok Icifrey n O • O O OO O • O shareholder 1 • a Epstein " I of Southern Trust; Southern 2 O fa financial la O n O O O O O O O 111C Southern Trust is the sole member of squthein Southem Trust 3 5 O Company, • O O O O O O too O O O Financial and leffrey Inc. Faster, is the sole shareholder of Southern Tont 4 O CI lCI" ndyke O O O O • O • O O O Reny u O O 5 O O Beller O O OO O O O Manna 6 O O Brennan • • O • 0 • O • O O SDNY_GM_00039850 https://dbforcepb.my.salesforcCuNErilE/EgriatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002674 EFTA_00150459 EFTA01283937  KYC Print Page 4 of 20 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number fit am:W.O. Account Manager: Paul Morris What is the purpose of the account (eq. portfolio mama ement, advisory account, custody services, long term Investment, payment/expense account), Checking account. To hold funds for company Indicate from %Mere the assets are expected to art Ste? O De Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & bcationk lPFlorgan, NYC O Physkal Deposits (specify cask 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 10 inflows and 10 outlaws 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 ir the expected volume of asses and currency for the account approx. one year after 1100,000 I Currency opening? I USD Dom/will the client have Assets under Management (AuM) within DO under Eur. 3Mo • Yes .,. No Please Net 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 desert* the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation t the account in the 'Othercolurrn. • Always describe the relationship between the parties In the last column. • Please drill down to the ultimate/underlying Beneficial Owner( s). -egallDescriptbn AccounOPIC Settler of Jitimate ISignatogsinutedr-Inancial 5Ignificant _ego/ GrantonSettiorrounding Other [mayor Source Holder DwnerTrust/ 3eneficia r Ful POA IntermediaryShateholdereepresentative Donor please of Wealth Founder &Owner POA (FIM) ,>•250/6) describe required Foundation Non PIC other roles entty and/or Parties ,Indicate ndicate related to smership dationship .hls %) oetween account sorties) son Jeffrey m • O O shareholder 1 W El Epstee 121 O O O O ❑ O of Southern Trust; SOuthem 2 Icil 0 Trust O s O O O O • O Company, • ill kw. Darren m O 1 O O Indyke '—' ❑ O 21 OO O O O 4 O O i" Beller • • • O }21 O O O • • Jeanne O O Brennan • • O • Ea O O O • O SDNY_GM_00039851 https://dbforeepb.my.salesforeCLINErilatiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002675 EFTA_00150460 EFTA01283938  KYC Print Page 5 of 20 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number rdavadtbe Account Manager Paul Monis what is the purpose of the account (e.g. portfolio management advisory account, custody services, long.term Investment, payment/expense account)? Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive? O De Group: Same Booking Center (indicate account number): O DO Group: Other Booking Center (Indicate OB location and account details): R Other Institution (Indicate name & bcationk Inlorgan, 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 pe month)?: Roughly 2 inflows & outflows per month ranging from $1,000 to $10,0)0 I Currency I USD YAM is the expected volume of assets 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 opening? I USD Does/will the client have Ands Under Management (AuM) within Do under Eur. 3M? • yes .,. No Please list all parties related to the account For each party: • Check I a source of wean 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 party's relation t the accowit in the 'Other column. • Akrays describe the relationship between the parties in the last coition. • Please did down to the ultimate/underlying Beneficial Owner(s). -egal Description Accoun IC Senior of Jitimate ISignatorytimitectinancial Significant _egal aantor/Settlor-ounding Zither Entityof Source Holder OwnerTrust / 3enelkialor Fut POA InterrnediaryShareholdertepresentative Donor please of Wealth Founder of Owner POA (FIM) ,>=25%) describe required Foundation Non.PIC other roles entry rod/or Parties ,indkate ndxate related to ownership dationship .hls %) oetween 3CCOUIlt sorties) Sob Jeffrey • O O shareholder I III El Erni& U 21 O O O O O of Southern TN* Southern 2 I23 0 Trust O O El t-7. Company, L'Ll O O O O U O Inc. Darren . . O O Indyke "❑m' O 21 O O O O O 4 O O Belie, • OO O 121 Os • • • Jeanne 500 Brennan • • O • Ea O O O • O SONY_GM_00039852 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002676 EFTA_00150461 EFTA01283939  KYC Print Page 6 of 20 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (If availitile): Account Manager Paul Morris What is the purpose of the account (e g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)' Checking account for killer Cpsteirds personal day 11'..!. Indicate from where the assets are expected to arrNel O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Instkution (Indicate name & location): lPfdorgan Chase. New York, NY O Physical Deposits (specify cash, securities, cheques, ...): What is the everted size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 15 Slows and outflows per month ranging from $100410,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after openng• I 1100,000 'Currency 1 USD What is the everted volume of assets and currency for the account approx. one year after opening? Does,kvill the client have Assets under Ma nagernent (AuM) within 06 under Eur. 3M? Il Yes (5 No Please list all parties related to the account for each party: • Check I a source of wealth description d required for the party. • Check the appropriate box to describe the relationship of the party to Vies account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other" column. • Mertes describe the relationship between the parties in the last coition. • Please drill down to the ultimatetunderlyam Beneficial Owner(s). -egailDescratbn Account)IC Settlor of Arnett SignatotwirnibeciFinarxial Significant _egal ‘.taantor/SeWor‘-i - ounding Other Entityof Source Holder Ownearust / 3eneficialor full ?OA Intermediary Shareholdeltepreentative Jaw 'please of Wealth founder of Dwner POA (f1M) >•25%) describe required inundation NonPIC sther roles entity and/or Parties Indicate ndkate related to ownership elationship .hls 46) 5etween account sorties) I O 2 _Jeffrey 2 O O O 2 O O O O O ;intern liter/ O 2 a O orf • O • 5 O • • O O Damen O O O 1 O O -.dyke O n O r O O O SONY_GM_00039853 https://dbforcepb.my.salesforcGONErilDEgrNiiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002677 EFTA_00150462 EFTA01283940  KYC Print Page 7 of 20 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number Of evadable). Account Manager Paul Morris What is the purpose of the account (eg. pcdfollo management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold Jeffrey Epsterris personal funds. Indicate from oboe 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): R Other Institution (Indicate name & location): 1PFlorgan 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 (Indicate estimated number and volume per month)?: Roughly 1.2 Slows and outflows per month ranging from $1,000 to $20,000 'Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening? I 1200,000 'Currency 1 USD What is the expected volume of assets and cunency for the account approx. one year after opening? Does/vi the client have Ames Under Management (AuM) within Do under Fur. 3M? 0 Yes 15 No Please Ilst all pardon 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). • If none of the check boxes apply, describe the party's Sefton to the monad in the 'Other- coition. • Always describe the relationship between the parties In the last teflon. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egallDescrotbn &ccn nit PIC Senior of Jitimate Signatory‘imitedIFinancial Significant _egal `.2.rantor/SeWorkunding Other [mayor Source lair. AvnefTrust / 3eneficialor Full ?OA Intermediary Shareholdeltepresentathe Donor 'please of Wealth rounder of Dwner NU (MM) >=25%) Jescnbe required inundation Non-PIC other roles entity and/or Parties Indicate skate related to ownership elationship .hls %) teweeri account ?aches) Harry O I O O Beller O O O III O O O O O 2 a El Jeffrey a . O • 11 O • • O • Epsteis Danen O O O O El OO O O O 3 O O sow SDNY_GM_00039854 https://dbforcepb.my.salesforeCLINErilEtairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002678 EFTA_00150463 EFTA01283941  KYC Print Page 8 of 20 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: 1/20/1953 Country el Residence: USVI Country of Citizenship: USA Has client resided outside of Address of primary residence: Ube Saint James Saint Thomas 00802 US Virgin islands hisrihis/hacountry of nellonalty O yes FAN. fa 5 years or more Profession/Occupation: Self Empolyed Tax ID / SSN: 090443348 Current Employer: Southern financial LLC PoslUcriffille/Ranic President Address of entiloYer: Does the person work as senior executive of a 06-recognised regulated entity In the financial industry'/ or an entity listed on a DB-recognised exchange' (Not applicable for operating entities al Yes Melo Is the ndnldual a Politically Exposed Person (PEP)7(i/ Yes, desctibe) Oyes RIND To the best of your knowledge, is the Individual related to an employee of the D8 gioupY(i/ O Family O Friendship &None Family or Friendship, dewily) To the best of your knowledge, is the individual party to a non-banking rebtkunhb with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes & No services)7(Y Yes,describe) Indicate where and wt the client meeting(s) to* place: U applicable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Names) Bank Office: Other Location (specify): Date: Domicie: Business Paul Morris O O 21 4/312013 O M O O O 0 • Wealth Details for this Individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nat ure of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds/ Pnrnary industry of source of WealdVSource of Funds' Summarize Source of Wealth: gl Business Owner • Salary/Earnings Pi Investment • Inheritance/Gifts O Other: Further Descrte Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how dad senior accumulate wealth' For Inheritance, how did family accumulate weakh, For business owners, how long in business, how many wrployees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Epstein began his