EFTA01253300.pdf

KYC Print Page I of I I DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01135524 Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SOUDIERN FINANCIAL RELATIONSHI Booking Center I New York Relationship Manager: Paul Morris J New PWM Relationship ❑ Ensting PWM Relationship Relationship to PWM: If exisbng, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ■ Client Referral 2 RM Prospect ❑ Intermediary/Mal ❑ Othe Source (CIB, etc.) How Was the Client(s) Introduced' Flow long has the Please provide details (e.g. name of referral source, ow many years RM personally has known cknt, etc.): Jeffrey Epstein is PM personally known the a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client client' of Paufs at JP Morgan. Paul and Jeffrey Epstein had mutual filerid/crAleague who Introduced them while RILII was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to brig some of Ns funds over to Deutsche Bank Does Deutsche Bank pay a ■ yes 12 No retrocession or similar compensation to a third party for the introduction of thn al ref tote) relationship' List all existing and new accounts evolved si this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 2 NeMune LLC 10/16/2013 2 El Neptune LLC .. Money Market 10/16/2013 Who Is the primary contact person for the Rat? (Note: Preferred method of contact This person needs to have Harry Beier (ndicate e-mail phone no., fax no., signatory rights and/or address, etc.): information fight for the accounts.): SDNY_GM_00039772 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002696 EF1'A_0015038I EFTA01253300  KYC Print Page 2 of 11 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LLC Pat. Nero:: aranriBtlie Account Manager: Paul Morris What is the purposed the account (e.g. portfotio management, advisory account, custody services, longterm investment, paymenbexpense account)/ Checking account used for the daily needs of running Jeffrey Epstein's home In NYC. Indicate from where the assets are expected to Nine' O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): e Other Institution (Indicate name & location): 3PMorgan. New York O Physical Depostis (specify cash, sectaries, cheques, ...): What Is the expecte:1We and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)," Roughly 10 infkiws and outflows per month ranging from $,1000 to $10,000 I Currency What is the expected volume ct assets and currency for the account approx. 90 days after opening, I 5C" I USD 110000 1Currency I USD What is the expected volumed assets and currency for the account approx. one year after opening? Does/VAII the client have Assets Under Management (Audi) within 06 under Eur. 3M/ Dyes E No Please list ad parties related to the account. For each party: • Check de source of wealth description 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 elation to the account in the "Other column. • Always describe the relationship between the parties I the last olumn. • Please dnl down to the oh-nate/underlying Beneficial Owner(s). _egal5escnption AccounWIC Settlor of JItirnate Sagnatory_imrtedkinancial Significant _egal Grants/Settle coundingOther Entity,( Source Holder Onnerlrust/ Beneficial or Full >OA Intermediary Sharetiolderstepresentative Donor (please of Wealth Founder of 'enter POA (FIN) (> =25%) describe required Foundation Non-PIC other roles entity and/or Parties (indicate indicate related to ownership relationship his r`b) between account parties) Neptune, ., 1 ii) 1Z LLC L-1 O O O O O O O • 2 0 63 ./dtrey ri 0 0 El 2 0 • U 0 0 Epstein " 3 O O HanY Bar O O O • 0 O • O • • SONY_GM_00039773 Imps://dbforcepb.my.salesforcGCNEJIDEATJA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002597 EFTA 00150382 EFTA01253301  KYC Print Page 3 of 11 2. Account Ownership Summary Account Name: Neptune LLC -- Money Market Acct. Number (if ay.sdabCo) Account Manager: Paul Morris What is the purpose d the account (e.g. portfolio manag ment, atheism account, custody services, longterm investment, payment/expense account)' Money Market to hold funds necessary to run the costs associated with Jeffrey Epstein's NYC home Indicate from where the assets am expected to arrive? O DB Group: Same Booking Center (Instate account number): 0 DB Group: Other Booking Center (indicate DB location and account detail): 2 Other Institution (Indicate name & location): 3PMorgan. NYC 0 Physkal Defrost (specify cash, %cooties, cheques, ...): What Is the expected size arid frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 Inflows and outflows per month ranging from 91,000 to $10,000 15000 I Currency I USD What is the expected volume d assets and currency fa the account approx.90 days after opening' What is the expected volume of assets and cwrency for the account approx. one year after 110,000 I Currency I USD opening' Does/Nil the client have Assets Under Managenent (AuM) within CO under Eur. 3M? • yes 5 No please 1St aN parties related to the account. For each party: • Check Ile source of wealth description is required for the pant. • Check the appropriate box to describe the relationship or the party to this account (> 1can be selected). • If non of the check boxes apply, describe the partys relation to the account in the 'Other column. • Always describe the relationship between the parties in the last olumn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _eganescnpbcn AccounfRIC Settlor of Jltimate Signaboryumrted Financial Significant _egal Grantor/Settlor sounding:tiler .inbty of Source Holder Cemerlrust/ Beneficial or Full ?OA Intermediary Sharehoiderlepresentative Donor (please of wealth Founder of Tuner ON (Fled) (>=25%) describe ,equffed Foundation Yon-PIC other Mira, entity and/or Parties (indicate indicate related to ownership relabonshie this %) between account parties) eptune, 2 O D 1 2 2 LNLC O El O O O Ei O Jeffrey r • • 2 O g Epstein l—1 El • • O O O • LI • Harry is • • • 5 • 0 • LI • Beller SDNY_GM_00039774 Imps://dbforcepb.my.salesforca:tNEJIDairdiA19000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002598 EFTA_00150383 EFTA01253302  KYC Print Page 4 of 11 One sheet must be established for EACH INDIVIDUAL PARTY in Sect ion 2. Account Owneaship Summa 3A. Individual Details (for all pasta) Indinduat's Name: Jeffrey Epstein Date of Birth: County of Residence: USVI Country of Citizenship: USA Has dent resided outside of Ltte Saint James Saint Thomas (0802 US Virgin Islands his/her country of nationality Oyes 0 No Address of primary reresidence: for 5 years or more? Profession/Occupation: Self Empolyed Tax ID / 5511: Current Employer: Southern Financial LLC Position/TM/Rank: President Address of emPloYer: 6100 Red nook Quarter B3 St Themes USW 00802 Does the person work as senior executive ci a DO-recognized regulated entity In the financial n ndustry' or an entry listed on a DB-recognised exchange, (Not applicable for operating entitles"Ye. ONO Is the individual a Poetically Exposed Person (PEP)?/, Yes, desmbe) OMS 0 No To the best of your knowledge, is the individual related to an employee of the DB group'(ef OFamily ORiendship EA None Family or Friendship, °Waite) 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, suppler of goods or OYes 0 No servkes)'fr Ye:tient< ) ((applicable, indicate which bank officers have met the Indicate where and when the c rent rreetng(s) took place: person: Client Private Client Hated Bank Officer Name(s) Bank Office: Other Location (specify): Date: pamirak: Business: Paul Mors O • 0 9/13/2013 O O • El III 0 O Wealth Details for this inclIncluel are not filled in, because they are the ante as for the b aking stem: 3$. Wealth Details (Only for parties requiring source of wealth description as Imitated 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 c4 Funds' Sun-mate Source of inkath: 2 Business Owner O Salary/Earnings 0 investment O inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the histcry of wealth or each of the scums: (e.g. For trusts, how did setdor accumulate wealth' For inhernance, how did (array accumulate wealth?For business owners, how long in business, how many employees, level of profitatilty? Indicate type of business, countries of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., nunagng the assets of clients with more than a billion 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 SArgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. has wealth has come from his days at Bear Steams and ho financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Wortfs(S): $100 MM - 500 MM Amount of assets planned to nvest with PWS1($): Other Known Financial Institutions: InstWbon: JPMorgan County: USA Est Assets thlder Mgt 200,000,000.00 SONY_GM_00039775 https://dbforcepb.my.salesforCCINBIDEArdiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002599 EF1'A_00150384 EFTA01253303  KYC Print Page 5 of 11 Institution: Country: Est Assets Under Mot: [ Institubon. Country: Est Assets Under 14ot Pease indicate the family situabon of the individual (m rrtal status, other (amity members, etc.): SONY_GM_00039776 ilt t ps://dbforcepb.my.salesforcaINEJIDILchilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002600 EFTA_00150385 EFTA01253304  KYC Print Page 6 of I I One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indus:loafs Name: Harry Beller - 00000487202 Date of Birth: County of Residence: USA Country of Citizenship: USA Has dent resided outside of his/her country of nationality O yes EZNo Address of primary residence: for S years or more> Prole-soon/Occupation: Accountant Tax ID / 5511: Current Employer: KIRK Associates PotitiOn/TPM/Ranic Address ce employer. 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senior executhre of a DB-recognized regulated entity In the financial n ndustry' or an entity kW on D8-recognised exchange? (Not applicable for operating entitles Yes ONO Is the individual a Poetically Exposed Person (PEP)1(if Yes, *sate) O MS 0 No To the best of your knowledge, is the individual related to an employee of the DB groupW D Famihr O Friendship R None Family or Friendshy, descnbe) To the best of your knowledge, is the individual party to a non-banking relationdup with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes 0 No services)>0f Yes,cfesarbe) ((applicable, indicate which bank officers have met the Indicate where and when the client meetirxXs) took place: person: Olent Private Client Plated Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domidk: "rosiness: Pate Mont • • 0 9/13/2013 O O O F1 O O O Wealth Details for this indixklual are not filled in, because they are the same as for the fdiowing person: 38. Wealth Details (Only for pages requiring source of vrealth description as indicated in Section 2) Nature of the Individuars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of WeatIVSource of Fords' Summarize Source of Wealth: O Business Owner O Salary/Eamings I:Investment OInheritance/Gits 00ther: Further Describe Source of Wealth /Detail the bitty of wealth or each of the scorers: (e.g. For trust, how did settler accumulate wealth' For inhentance, how did (amity accumulate wealth?For business COMM, how long in baseless, how many employees, level of profitatdity? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(S): Estimated amount of Investable assets(s): Estimated Net Worth(S): Amount of assets planned to nvest with PWM($): Other Known Financial Institutions: Institubon: Country: Est Assets Under Mgt: Institution: County: Est ASsetS Under Mgt Instfb.thon: County. Est Assets Under Mgt. S0NY_GM_00039777 Imps://dbforcepb.my.salesforCCINtErlaceNniliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002601 EF1'A_00150386 EFTA01253305  KYC Print Page 7 of 1 I Please indicate the family situation of the ndividual (marital status, other family members, etc.): 1 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Neptune, LLC • 00000487264 0 Private Imestrnent O OFoundation/Association O Trust EICanpany O Estate a.. Type of Entity: " rpm a Entity: Philanthrcpic/Chantable 0 O Pedro:N*0 Commercial Purpose of Entity Type d Entity Other (specty): Other (specify): te Country of USA 12/21/2011 Da incorporaticn of / ircorporabon/registration: registration: Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI US. TIN/EIN: 45-4093384 code): Provide a description of the entity's organbational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocatility,settior and beneficiaries,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership d the legal entity is reflected: Single member LLC. Capital contribution d 5.1000 was made by Jeffrey Epstein who is the sole member • Special attention: Bearer Shares • Indicate where shares are custcdied: Descnbe the chain from the drect owner of the entity to the ultimate beneficial owner Ofnot the same persons): Single member U.C. Jeffrey Epstein is the sole member To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche r—i Bank (e.g. external legal counsel, client referral source, supplier of goods or services)>: yes L.1 No Describe Nature of Entity's Priming Business and Investment Activities This LLC was formed to hold the funds necessary to cover the costs and taxes associated with Nature of the business: wring Jeffrey Epstein's NYC home Countries where business Is transacted: USA Number of emPloYecs: 1 3D. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source a Funds! Primary Industry of source of Wealtli/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabeties): This LLC is funded my contsbutions made by Jeffrey Epstein. Estimated gross receipts p.a.(5): Estimated net profit pa. (5): Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM (5): 20,000.00 Other Known Financial Institutions: Institution: JPMorgan Country. USA Est. Assets Under Mgt 20,000.00 Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt SDNY_GM_00039778 https://dbforeepb.my.salesforeCCINErilDIEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002602 EFTA_00I 50387 EFTA01253306  KYC Print Page 8 of I I DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship NAM! SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comment: Offshore0 Moderate fl i Boodle Center .4 . NY NY/ Offshore E [ Offshore Risk c_i High Risk Janke Franklin (Compliance Signature) IN DB Employee • 08 managed PIC • 06 is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided ®Drivers License SZI Passport ONational/State ID 00ther Checklist of names (Individuals and/or entitles) that were submitted for database searches Is B. attached r Yes 0 No C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes 0 No negative results found 2 Ya 0 No Pat checks complete 2 yes Clio negative results found 0 Yes No CFAC thetas complete 12Ires C No negative result found Ora gl NO BIS searches complete (Leds/Nes, Factiva, Reuters, Dow Jones, EX9B) RI Yes 0 NO negative results found Oyes El No Denial Orders checks complete g Yes C No negative results found Ora 2 No Martindale-Hubbell searched (Lawyers/Law Firms only) Ora RN* negative results found Ova • No Please summarize any negative results from the database searches Indicated above: NEPTUNE LLC: See attached AML Clearance -- The ROC alert was a false hit Negative Media: MI negative media is not our tient Al negative media either predates cur dents formation (2011) or is another LLC. Our Neptune LLC Is a single member LLC that runs the operations of a home JEFFREY EPSTEIN: D. See KYC *01082293 and 801121718 for previous KYC approval and aN pertaining document HARRY BELLER: Negative Media: Not our client All negative melt pertain to an environmental microbiologist Our client is an accountant Court Cases: 81: Deposed In 1967 Al other cases are not ow dent. The other court cases refer to a Dr. Harry Beller. Our dent is an accountant E. To the best of your knowledge, has the client ever been convicted MacWrite' offense' 2 Yes 0 No To the best of your knoWedge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening legation against F' Deutsche Bank AG or any of its subsidiaries" (if yes, payee details baby and contact (Slay Mgt 0 yes nNo (Laternantl)ortbe Regulatory Control Gaup and notly Compliance immediately) Does the client or related party have any financial or other association / interactsees within G. countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? Ores E No Does the client or related party have any financial or other association/ Interactions within high risk oya n H. countries? No L Corporate Documentatin Attached (Legal Entities Only) g Yes 0 No ['Not Applicable I. Undisclosed Principal Form Complete (mntermedianes Only) 0 Yes 0 No ®Nat Applicable K. T1 Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summery of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' Ores EN* Is the account structure untsualy complex? SDNY_GM_00039779 https://dbforcepb.my.salesforcettaNErilDnEgiNitidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002603 EFTA_00 I 50388 EFTA01253307  KYC Print Page 9 of 11 E No Oyes Is there any indkation the client set up a non operating company expressly n for the purpose of transferring shares to third parties' LI Yes E No Is there any Indication this could be a prohibited business relationship/ O Yes E No Are the bearer shares Identified subject to acceptable controls/ Oyes E No SONY_GM_00039780 https://dbforcepb.my.salesforeCLINErilEatiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002604 EFTA_OOI 50389 EFTA01253308  KYC Print Page 10 of 11 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 10 i3 2013 Paul Monis Office Director/Business Head: Brian H. Biggar (Signature) 10.8:2013 Brian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AM1 Compliance. (Signature) Jacqueline Lightbody Jacqueline Lightbody 10/17/2013 Janice Franklin Janice Franklin 10/17/2013 LATAM/INTERNATIONAL APPROVALS Client Facing ProfessMnal (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (Garin/Sub-Market Team Head (SWF(); MIL Business Risk: (Signature) MIL Cempllance: (Signature) PRIVATE WEALTHMANAGEMENT POLICY STATEMENT: Deutsche Bank Private WealthManagement (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals)(1) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitabili0i, background and character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCFP's to demonstrate that they blow their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers. etc. Doutstho Bank Amorkas Now York SDNY_GM_00039781 Ilt tps://dbforcepb.my.salesforCCINEJIDWidEAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002605 EFTA_00150390 EFTA01253309  KYC Print Page II of II SIDNY_GM_00039782 https://dbforcepb.my.salesforcaINErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002606 EFTA_00150391 EFTA01253310