EFTA01283834.pdf

KYC Print Page I of 24 DB PWM GLOBAL KYC/NCA: PART A KYC Cate I : 01133113 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RHATIONSHJP:00000463290 Booking Center: New York Relationship hanger: Paul Morris ❑ New MOM Relationship ❑ Existing PWM Relationship Retationship to PWM: If existing, please indicate voce when the relatIontJtio exists, provide reason for new profile and attach old profile: ❑ pent Referral 2 RM Prospect ❑ Intermediary/FTM ❑ Other Source (GIB, etc.) How Was the (longs) Introduced' How long hn the please provide details (e.g. name of referral source, how many years Rat personally has known client, etc.): Jeffrey Epstein Is a RM personaly known the current client et the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of client' Pouts at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced then while Paul was at lnlorgan. 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 ■ yes 12 No retrocession or similar compensation to a thrd party for the introduction of this (It Pet detente): relationship' list all existing and new moist involved in tha relationship legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 5 Butterfly Trust -- Checking 10/9/2013 2 5 Butterfly Trust -- Money Market 10/9/2013 Who ts he primary contact pence or the RM' (Note: This Darren innyke Preferred method of contact person needs to have signatory (indicate phone no., fax no., rights and/or information right e-mal address, etc.): for the accounts.): SDNY_GM_00039725 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002549 EF1'A_00150334 EFTA01283834  KYC Print Page 2 of 24 One sheet must be established for each account to be opened 2. Account Ownership Summary MCOunt Nan*: Butterfly Trust -- Checking Acct. Number (if avaiitAte). Account Manager. Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody strokes, long-term invesonent, pap-nerd/expense account)/ This is a checking account to hold funds for the trust. Indicate from where the assets are expected to arrive/ O DB Group: Same Booking Center (Indicate account number): O DB Grow: Other Bedbug Colter (Indicate DB location and account details): a Other Institution (Indicate name & hxation)e WMorgan. New York, NY O Physical Deposits (specify cash, securities, cheques, — h What is the expected sire arid frequency of regular Sows and outflows fog the account tnelicate estimated number and volume pe month)': Roughly S-10 inflows and outflows per month ranging from $1,000 to 520,000 What is the expected volume of assets and currency for the account approx. 90 days after 4,000,000.00 I Currency I USD opening, What is the expected volume of assets and currency for the account approx. one year after 5,000,0,0.00 'Currency I USD opening) Doesfivill the client have Assets Under Management (ADM) within DB under Etc 3M' O Yes ®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 palls retation to the account In the Titer coition. • Always describe the rebticnship between the parties in the last column. • Please drill down to the ultimate/under/Ong Beneficial Owner(s). _egal Description AccounWIC 'Settly of Jkinete 5ignatcrass.railtedt-inanclal Significant ..egal GranUir/Setdorkounding Other Entityof Source Holder OwneeTrust / Benteleiatx Full eCiA nterniediaryShareholderRepresentative )onor !please of Wealth Reinder of Dwner ?OA (FIM) (>•25%) inaibe *equeed Foindation Pion-PIC Other roles entity and/or attics (indicate ndkate bled to ownership reiationsNp is %) between count James) Jeffrey , D 2 O MI 1 O El paten ID O O O O Grantor; Butterfly El O • 2 El O nist • • O • • • • Rkhard 3 D O hn O O O O El O • O O O Trustee; Darren 4 O O ndyke O O • • . ...i O II O • • Trustee:; 5 O • • O II • I O II I • • Beneficiary; b • O O illi O O O O O O • Oj Benelkiary; 7 0 0 • O O O O O O O O Beneficiary; 8 O O O O O O O O 9 Benefkrary; hniaine , O u O O O • O 9 • O Gtaxwell El 9 Befk m wry; 10 D O O O O O O O O O O O Beneficiary; SONY_GM_00039726 https://dbforcepb.my.salesforea-letNErilEagliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002550 EFTA_00150335 EFTA01283835  KYC Print Page 3 of 24 2. Account Ownership Summary Account Name: Butterfly Trust -- Money Market Acct. Number (rf wadable) Account Manager. Paul Morris What Is the purpose of the accourd (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense motet)? Money Market account. To hold cash for the trust to earn interest !Skate from where the ants are expected to arrive, CI 08 Group: Same Booking Center (Mdicate account nwnber): O DB Group: Other Bookng Center (Indicate DO location and account details): 0 Caw treautIon (Ind kale name & locatIon)c WMorgan. New York, NY O Physical Deposes (specify cash, securities, cheques, .4c What is the expected size and frequency at regular inflons and outflows for the (mown (indicate eslvnated number and volume pe month)': Roughly 1.2 ifflows and outflows per month ranging from $1,000 to $10000 What is the expected volume of assets and currency for the account apprwc. 90 days after 1500,000.00 'Currency I USD opening, What is the expected volume of assets and currency for the account approx. one year after 11,000,000.00 !Currency I USD opening, Doekacall tie the client have Assets Under Management (ALM) within DB under Eta. 3M7 O Yes 0 No Please list all parties related to the account. F or each party: • heck d a source 1 wealth description is required for the party. • heck the appropriate box to describe the relationship of the party to this account (> 1can be selected). • f none of the chi k boxes apply, describe die party's relation to the account In the 'COW column. • Always demnhe t e relationship between the parties n the last coluMn. • Please drill down to the usimate/underlying Benefklal Oivner(s). egal -ft-waxen AccounIPiC Settlor of Alfred, SignatonlUmItedrinanclal Significant _egal Crantor/Settiorf-ounclinobther --.ntitraf source Holder OemerTrust / Beneficial," Full POA IntermediaryShareholderlepresentaUve Donor Please al Wealth Founder of Owner POA (Flt) (>=25%) fearribe required Foundation Non-P1C sther mks entity vidlor ?antes (Indicate ndicate -elated to ownership elationship las %) $etween account ?weirs) 1 O 2 O O 2 O O O O O O O Grantor; pst Ek"e"in Butterfly ED O D 2 121 O MIA O O O O O li O likherd O • D 3 O O O O O O O O O Trustee:, Kahn Darren O O O 4 O O O O O O O O O Trustee:, OO O I O O O O O O • O Beuefleiery; ❑ ❑ ❑ ❑ 6 D O O • O O O O O O Benefkiwy; 7 O O O O • • O O Beneficiary; • • 8 O O O O • O • O • • O O Beneficiary; 5' ill • O • O O O O • O O D Beneficiary; 10 O O O O O O O O O O O O Beneficiary; SDNY_GM_00039727 https://dbforcepb.my.salesforCCINErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002551 EFTA_00150336 EFTA01283836  KY( Print Page 4 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Owne shb Stemma 3A. Individual Details (for all parties) IndnIduars Name: 6They Epstein - 00000183289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Clizenshb: USA Has client resided outside of Litte Saint James Saint Thomas 00802 US Virgin Islands irn/her crusty of nalbnally O yes 2 ti, Address of posy reside-roe: for 5 years or more? Profession/Occupation: Self Ernperyed Tax ID / SSN: Current Employer: Southern Financial LLC Postern/Ink/Rank: President Address of ernpbyer. 6100 Red Hook Quarter 63 St. Thomas USV1 00802 Does the person work as senior executive of a DB-recognized regulated entty in the financial nd ustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles Oyes a No Is the in a Politkally Exposed Person (PEPy(,y yesdescribe) Oyes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB groupflif O Family O Enendship R i.l bane astrayor Friascalap, describe) lathe bet of your knoveledge, k the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal round, dent referral source, supplier of goods or services)' El Yes ® No (d Fes, *scree) Indicate where and when the dent meeting(s) took oboe: It applicable, Skate ankh bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris O O 2 9/13/2013 • O • • O O O Wealth Details for this individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties rebuking sauce of wealth description as indicated h Section 2) Nature of the Individuars Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Ea Business owner OSalary/Earnings a Investment O Inheritance/Gifts • Other: further Describe Source of Wealth /Detail the history of wealth for earn of the sources: (e.g. For trusts, how did setter accumulate swath? For inheritance, how did landy accumulate wealth?For business owners, how brig in business, how many employees, level of prolitabaly? Indicate type of business, countries of major activities, important business partners-) Epsten began his financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial nThegdnent firm, 1. Epstein & Co., managing the assets of dents with more than a been in net worth. In 1996, Epstein changed the narne of his firm to The Financial Trust Company and based it on the Island of St. Thomas in the US Virgin Islands. Al of Ns clients were anonymous except for the very wealtiry businessman Leslie Werner. His wealth has come horn his days at Bear Stearns and his financial management Mrs Estemated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(5): $50 MM - 100 MM Estirreted Net Worth(6): $100 MN - 500 MM Amount of assets blamed to Invest WO PV/M($): 5,000,000.00 Other Known Financial instkutions: limutution: liel Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 70,000,000.00 SONY_GM_00039728 Int pa:11db forcepbmi y .salesforeGONEIDEgrNIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002552 EFTA_00I 50337 EFTA01283837  KYC Print Page 5 of 24 Institution 'Country: I Est. Moats Under Hgt Please indicate the lanai situatain of the individual (marital status, other fan* mantes, Mt): SONY_GM_00039729 Imps://dbforcepb.my.salesforcGC:tNEJIDEgehiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002553 EF1'A_00150338 EFTA01283838  KYC Print Page 6 of 24 One sheet mud be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Indtridualts flame: Darren Indyke - 00000486405 Dated Birth: Country of Residence: USA County of Citizenship: USA Has client resided outside of When (Om* of nationally O yasIRIH0 Address of pnrnary residence: for 5 years or mire? Prolessoetoupation. Attorney Tax ID / WM Current Empkwer: Southern Financial LLC PosNonfildet/Ranic Address of empbyer. 6100 Red Hook Quarter B3 Livingston USVI 00802 Does the person work as senor xecutfve of a Ceirecognirei regulated entity in tlx: financial Dui nrlusuy, or an entry listed on a DB'recognlsed exchange, (Not applicable for operating entities NO Is the individual a Politically Exposed Person (PEPPO yes, describe) U TIN @ No To the best of your knowledge, b the Individual nebtel to an employee of the DB group>(f O Family O Fnendship El None Pon* or Friendship, decal& ) To the bat of your knowledge, k the individual patty to a non-baiting relationship with Deutsche Bank (e.g., external legal coined, client referral source, supplier of goods or services)? O Yes 2 No be Yes,desabe ) Indicate where and when the client meeting(s) took place: If applicable, indicate which bank officers have met the person: Bank 011icer Name(s) Bank Office: Pent PrIate Client Place of co,r. I c(.,I ( i iiii.e. Business: Paul Moms O O 2 o I )i • O O • O • O Weath Details for tNs individual are not flied in, because they are the same as for the folowIng pence: 38. Wealth Detail, (Only for parties requiring source of wealth desalption as indicated In Section 2) Nature of the Individual s Business: Primary Country of source of weaMVsource of Funds? Primary iglus* of source of Weah/Soutte of Funds? Summarize Source of Wealth: O Business Owner Chary/Earnings O Investment O Inheritance/Gifts O Other: Norther Descnbe Source of Wealth Metal the history of math for each of the sources: (e.g. For Mists, how did sailor accumulate wealth' For inheritance, how did fan* accumulate wealth?For business omen, how brig n busbess, how many enplcryees, level of profilabllep Indicate type on buena* countries of major activities, important business partners.) Estimated Annual Incorne($k Estimated amount of investable assets(3): Estimated Net Worth($): Annum of assets planned to fl at with PV/M(3): 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 fame situation of the indiv nal (mantel status, ether lankly members etc.): SDNY_GM_00039730 Ilttps://dbforcepb.my.salesforca:INEJIDschilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002554 EFTA_00150339 EFTA01283839  KYC Print Page 7 of 24 SONY_GM_00039731 Imps://dbforcepb.my.salesforcaINEJIDXIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002555 EF1'A_00150340 EFTA01283840  KYC Print Page 8 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: Country of Residence: USA Country of OtizenshiP: USA Has client resided outside of Addreo. of primary residence: hother country 04 nationaMy O Yes 2 No for S years or mare? Prolmsiontrkcupalnn: Accountant Tax ID / SSA: Current Employer: Southern Financial, LLC Postam/Trtie/Rank: Address of employer. 6100 Red Hook, Quarter 83511hr/in& US Virgin Islands 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial o yes a No not ustry? or an entity listed on a DB.recognised exchange? (Not applcaWe for operating entities Is the individual a Politkaly Exposed Person (PEP)ag Yes, describe) • Yes g6 No To the best of your knowledge, is the individual related to an employee of the DB grouP?(f • Family • rnendsNp E None Farr* or Frieldthip, desmbe) To the bat of your knowledge, is the individual party to a nen-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? O yes 2 No (I Yes, credo-Abe) Indicate where end when the dent meeting(s) took place: If applicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other location (specify)c Date: Domicile: Business: Paul Horns O w 2 9/13/2013 • • • • O O O Wealth Details for INs individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties reputing source of wealth description as Indicated In Section 2) Nature of the Individuals (tuskless: Primary Country of source of wealthfsourte of Funds? POOMIly indusby of source of WeattuSource of Funds? Summarize Source of Wealth: • flatness Offilef OSalary/Famings O Investment C Inhatance/Gifts • Other: Further Describe Source of Wea h Metal the history of wealth for 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 n,hjy level or meltability? Indicate type of business, countries of major ad/vibes, important business partners.) Estimated Annual Income(d): Estinvited amount of investable assets(s): Estimated Net Worth($2. Amount of assets planned to invert with PWM(3): Other Known Financial InstAutIons: Institution: Country: Ed. Assets Under Mgt: Institubon: Country: Est. Assets Under Mgt: Iminution: Country: Est. /resets Under Mgt: Please indicate the family situation of the individual (mental status, other fan* members, etc.): SONY_GM_00039732 https://dbforcepb.my.salesforcaINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002556 EFTA_OOI 50341 EFTA01283841  KYC Print Page 9 of 24 SDNY_GM_00039733 littps://dbforcepb.my.salesforcaINEJIDEXIIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002557 EF1'A_00150342 EFTA01283842  KYC Print Page 10 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for SI parties) Indkidual's Name Glikisine Maxwell Date et Birth: Country of Residence: Country et ClUzemillp: Nes client resided outside of rvo MAK Associates hother COL•Itly of nationality O yes El No Address of primary residence: 575 Lexington Avenue, 1th Fl New York NY 10022 USA for 5 years or more, Profession/Occupation: Tax ID / SSN: Current Employer Postbon/TelbRank: Address of empbyer. Does the person work as senior executive of a DB-recognized regulated entity in the nnancial ndusby? or an entity listed on a DB.recogneed exchange? (hot applicable for operating entitles O Yes a No Is the mdMdual a Politkaly Exposed Person (PEPY(,/ Yes, describe) O Yes RI No To the best of your knowledge, is the Individual rented to an employee of the DB group?(/ O Family • FnendsNp El None Falai), or Friemiship, desenbe) To the best of your knowledge, k the Individual patty to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? I: Yes El No (I Testi:fasciae) Indicate where and when the dent meeting(s) took place: If applicable, Skate which bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other Location (specify) Date: Domicile: Business: O O O • O O • O O O Wealth Delats for this indtvid ual are not filed in, because they are the same as for the (plowing person: 38. Wealth Details (Only (or parties requiring duce of wealth description as Indicated In Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: • Business Owner Chaim/Earnings O Investment O Inheritance/Gifts • Other: I urther Describe Source of Wealth metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' Inc inheritance, how did family accumulate wealth'/For business owners, how bag in business, how many mbloyees, level of profitability/ Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($) Estimated amount of itwestable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial InstkutIons: institution: Country: Ed. Assets Under Mgt: InstitUbn: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Illdllaie the torn`, sItuatron of the individual (mental status, other family nsemberS, etc.): SONY_GM_00039734 https://dbforeepb.my.salesforeCLINErilEaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002558 EFTA_00 I 50343 EFTA01283843  KYC Print Page 11 of 24 SONY_GM_00039735 littps://dbforcepb.my.salesforcCLINEJIDSIIIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002559 EF1'A_00150344 EFTA01283844  KYC Print Page 12 of 24 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhio Summa 3A. Individual Details (for all parties) Ind's:alters Name: Date of Birth- Country of ilewdence: Country of Citizenship HaS client resided outside of cis/ HOAK Associates hikther country of nationality u Yes P li Its Address of pnmary residence: 575 texington Avenue, 40 Fl Plow York NY 10022 USA for 5 years or more, ProtesrsorsOwupation: Tax ID/ Mt Current Employer: Position/7Itle/Flank: Address of employer. Does the person work es senior executive of a DB-recogtzed regulated entity in the financial o w. 2 No ndustry? or an entity listed on a DB.recognIsed exchange? (Not applicable for operating entities Is the individual a Polak.* Exposed Person (PEPp(d Yes, describe) as El No To the best of your knowledge, as the individual related to an employee of the DB group?(d O Family O FnendsNp E1None Fame/yew Rienddrip, desaftte) To the best of your knowledge, k the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), Ore. RI No be Yes,desabe ) Indicate where and when the stint meeting(%) took place: If applicable, indicate Muth bank officers have met the person: Bank Officer Name(%) Bank Office: Pent PrIate Client Place of Other location (specify): ftise Domicile: Business: O O O • O O • O O O Wealth Details for this Individual are not filed in, because they are the same as for the foleming person: 3B. Wealth Details (Only for parties reguilng source of wealth desalpUon as Indicated in Section 2) Nature of the Individual's Huskies: Primary Country of source of wealthrsource of Funds? an:nary industry of source of 1Vealth,Soutte of Funds' Summanre Source of Wealth: OBusiness Owner OSalary/Earnings O linestwant OMN:chance/Gifts • Other: Further Descnbe Source of Wea h Metal the history of swath for earn of the sources: (e.g. For trusts, haw did settler accumulate wealth? For inheritance, how at did lankly accumulate wealth,la business enters, how long in ustess, how many employees, level of profitability/ Indicate type business, counties of major actentres, important trimness partners.) Estimated Annual Income(/): Estknated amount of attestable manta): Estimated Net Worth($): Amount of assets planned to That with PWN($): Other Known Filleleadi Institutions: Institution: County: Est. Assets Under Mgt: Institution: County: Est. MIS Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the fent situation of the individual (mental status, other family members, etc.): SONY_GM_00039736 ps://dbforcepb.my.salesforcCaNEJIDEArdiAL000000D9Di&e... 7/30/2019 ht t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002560 EFTA_00150345