EFTA00168866.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01791049 BMus : 6. Approved One sheet must be established per relationship • list all accounts Included In the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHI • Booking Center. I New York Relationship Manager: Stewart Oldfield O New PWM Relationship 2 Existing PWM Relationship Relationship to PWM: If exisbng, please Indicate since when the relationship costs, provide reason for new profile and attach old profile: •**This KYC sal:medic review for high risk remediatin", Original KYC1133377 2 Cent Referral O RM Prospect O Intermediary/PIM O Other Source (CM, etc.) How Was the Clent(s) Introduced? How long has the Please provide details (e.g. name of referral source, how maw years R/1 personally ha known client, etc.): Stew Oldfleld RM personaly known the reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changes to the accounts. Rich Kahn confirms that client? he is now the sole owner and signor of HBRK Associates. Hs main source of wealth derives from tits company. Darren confirms no material changes to his PLLC Does Deursche Bank pay a O Yes I2 No retrocession or similar compensation to a third party for the introduction of this (If lin dercribe,R relationship? lust all edging and new accounts Involved in tits reinonship Legal Entity Account Name / Nitrite Opening Date (mended/actual) Account(s) 1 HERR Associates, Inc- Deposit 11/1/2013 2 a Darren IC. Indyke MAC- Deposit 11/1/2013 Who is the primary contact person or the RM? (Note: This Preferred method of comet person needs to have (Indicate phone no., fax no., seretory rights and/or e-maill address, etc.): information right for the accounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000246 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... U§192824 2°9 EFIA_00019119 EFTA00168866  Kl"C Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: /IBM( Associates, Inc. Deposit Acct. Ntrnber (drawl/able): Account Manager stewed oldheld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term imstment, paymettexpense account)? Checking amount to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): • DB Group: Other Booking Center (indicate DB location and account details): Other Institution - (Indicate name & location): • O Physical Deposits (specify cash, securities, cheques, ...): What is the expected Sze and frequency of regular Inflows and outflows for the account (indicate estimated numbs and volume per month)?: 0-15 inflowsioutifows between 1k and 6k on a monthly basis What is the expected volume of asses and currency for the account approx. 90 days after 100000 Currency USD opening? What is the expected volume of assets arid currency far the account approx. one year after 1 163601.48 I Currency opening? I UtZ Does/will the client have Assets Under Management (AuM) within DB under Eve. 3M? I ales WI No Please list all parties related to the account For each party: • Check if a source of wealth descripoon is required for the party. • Check the appropriate box to desate the relationship of the patty to this account (> 1 can be selects). • f none of the check boxes apply, descnbe the party's relation to the account In the 'Other column. • Always describe the relationship between the parties in the last column. • Pease drill down to the ultimateftridedying Beneficial Owner(s). Legal Description Accou IC Senor of Jitirrete SIgnationlimiteo Fmancial SigniflcaM _egal GrentoriSettlorfoundingOther Entrtyof Source Roder Owner/rust/ Beneficialor Ful POA IntermediaryShareholderfteixesentative Donor (please of Wealth Pander of Owner POA (FIN) (>=25%) iesate requred Forridation 4co-PIC other roles and/or Parties ilitbi ,indicate ncicate *elated to vtnership relationship this %) n aCCOLOlt roes) HMI( 1 5 2 Associates, 2 O ID • • O O • • • Inc n 2 O 2 pant L---1 O O El El OO • • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000247 UM92814210 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFTA_00019120 EFTA00168867  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Darren K. Indyke MSC- Deposit Acct. Number (if avadable). Account Manager: stewart oldbeld What is the purpose of the account (e.g. portfolio management, advisory accotrit, custody seMces, long-term investment, paymentfexpense account)? Checking account for the clay use of the this law tam Indicate from where the assets are effected to amve? 2 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated nutter and volume per month)?: 0-15 inflowstoutfbws between 1k and 15k on a monthly basis What is the expected volume of assets and currency for the account approx. 90 days after' 100500 I Currency opening? I USD What is the expected volume of assets and currency for the account approx. one year 1295086.86 I Currency after opening? I USD Does/will the client have Assets Under Management (AuM) within DB under Sir. 3M? Oves El 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 descrte the reLationship of the patty to the account (> 1 can be selected). • If none of the check boxes apply, describe the patty's relation to the account In the 'Other column. • Always desate the relationship between the parties in the last column. • Please drill down to the ultimate,tridelying Beneficial Owner(s). Legal Description AccounUPIC Settlor of Jibmate Signatory Limited Financial Significant .agal Granta/Settlorfounding• the intrtrof Source Holder Ownefrust / BenefKialor Full POA intern edi yShareholderltaresentative Donor (please of Wealth Founder of Owner POA (Flm) (>=25%) 1escrte requted Foundation Non-PIC Dther roles awry and/or Parties (indicate ndicate related to ownership relationship this %) Sehyeen account )ones) IDandyrren K. O O O 1 0 2 ke 2 O O O O a Darren K. 2 2 0 IndYke 2 O O • O M M O O O PLLC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000248 U§192824211 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFIA_00019121 EFTA00168868  KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all parties) Maw:lugs Name: Darren K. Indyke - Date of Birth: Country of Residence: USA Country of Ottoenship: USA Has chant resided ouiside of Address of primary residence: his/her country of nationality O yes No for 5 years or more? Profession/Occupation: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Postion/Tttle/Rank: Address of employer: 575 Lexington Ave, 4th Fl LMngstcn NY Untted States 10022 Does the person work as senor executive of a DB-recognized regulated entity in the financial ri nri ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " Tesm No Is the individual a Politically Exposed Person (PEP)VI Yes, Sate) D Yes I❑ 0 No To the best of your knowledge, is the Individual related to an employee of the I313 group?(if • Family • Friendship 2 None Family oneriendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship with Deuische Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes 2 No seivicm)?Of res,desmbe) Ind.cate where and when the client meeting(s) took place: If applicable, Widicate wrath bar* officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domoile: Business: O O • O O O O CI O O Wealth Details for this individual are not filled in, because they we the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as rioted In Section 2) Nature of the Irchvicluars Business: Attorney Primary Country of source of wealtrysource of Funds? Primary i -dustry of source of Weatth/Source of Funds? Summate Source of Wealth: O Business Owner 2 Salary/Earnings 2 Investment O Inheritance/Gifts O Other: Further Descrte Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For iris's, how did senor aco.miulate wealth? For inheritance, how did family accumulate weath?For business owners, hcw long in business, how many employees, level of peofitabLay? Indicate type of business, countros of major activities, important business partners.) Darren has teen an in-house lawyer for Jeffrey Epstein at Southern Financial LLC for over 15yrs, wheren his main source of income derives from. Southern Finance' LW s a current client of DB. See case 1082293 as a reference. Mr. Indyke also owrs his awn legal practice called Darren Indyke PLLC, as welt as smatter LLCs for his own personal Investments. Estimated Annual Income($): I 300,000.00 Estimated amount of investable assels(S): 51 MM - 2 MM Estimated Net Worth(5): $2 MM - 5 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Insbtution: Casty: Est. Assets Under Mgt: Institution: Casty: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000249 U§192824212 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019122 EFTA00168869  KYC Print Page 5 of 12 Insbtution: I Est. Assets Under Mgt: Please indicate the (amity situation of the inctvidual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000250 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824213 EFIA_00019123 EFTA00168870  KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershl Summa 3A. Individual Details (for all parties) indivclues Name: Richard D. Kahn . Date of Birth: Country of Residence: USA Country of Ottaenship: USA Has client resided acme of Address of primary residence: his/her country of nationality O yes No for 5 years or more? Professlon/Ocaipatlon: Accountant Tax ID / SSN: Current Employer: HBRK Assodates, Inc PositionfTele/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senor executive of a DB-recognized regulated entity in the financial n yes 2 No ndusby? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles " Is the individual a Polidcalty Exposed Person (PEP)VI Yes, Sate) D Yes I❑ 0 Pb To the best of your knowledge, is the Individual related to an employee of the I313 group?(if • Family • Friendship 2 None Family onetiendship, describe) To the best of your knowledge, is the inavickel party to a non-bankng relationship with Deuische Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes 2 No savicm)?tif res,desmbe) Indcate where and when the client meeting(s) took place: If applicable, ndlcate which bar* officers have met the person: Cent Private Chent Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Dombolle: Business: O O • O O O O CI O • Wealth Details for this indMdual are not filled in, because they we the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as rioted In Seddon 2) Nature of the Individual's Busness: Accountant Primary Country of source of wealth/sane of Funds? Primary ndustry of source of Vieakh/Source of Funds? Summarae Source of Wealth: 2 Business Owner 2 SalaryfEamings O Investment O Inheritance/Glfts O Other: Further Desate Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth 'For business owners, how long in business, how many employees, level of pefitabLty? Indicate type of business, countnes of major activities, important busness partners.) Rich Kahn has been an in-house accountant for Jeffrey Epstein fa over ID years. He began HBRK with another in house accountant Harry Bello. Mr. Bello a now retired and Rd. has taken over ownership of this entity. Assets come from the rates he charges for his accounting services. Estimated Annual Income($): 116,000.00 Estimated amount of investable asset.($): <S1 MM Estimated Net Worth(5): <SI MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: 08 Canby: LISA Est. Assets Under Mgt: Institution: Canby: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000251 UM92814214 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0I N30000000D9Di&e... EFIA_00019124 EFTA00168871  KYC Print Page 7 of 12 Institution: Est. Assets Under Mgt: Pease indicate the family situation of the inctvidual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY In Section 2 Account Summa 3C. Legal Entity Details (Foe all Legal Entities) Legal Entity Name: Darren K. Indyke PLLC - O Prnate Investment O 0 Fourdation/Associaten 0 Trust0 Company 0 Estate Type of Entity: Purpose of Entity: philanthropic/chartable O Partnership Commercial Purpose of Emory Type of Entity Other (specify): Other (specify): Country of LISA Date of Incorporation / 9/5/2008 incorporation/regsvation: registration: Determmabcn Required No Volcker Status: Volcker Hag: Address (oty, street, post 575 Lmangton Avenue New Yak NY 10022 United States U.S. TIN/EIN: code): Provide a description of the ent ty's organizational stricture, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,sctbor and beneficianes,etc.: Single member PLLC with Darren IC Indyke as the sole menter and owner Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member and owner O Special attention: Bearer Shares - Indicate where shares are custoded: Desate the chain from the direct owner of the entity to the ulamate beneficial owner (ifnot the same perms] Single member Mit with Darren K. Indyke as the sole member and owner To the best of your knowledge, s the entity party to a non.bankirg relationship with Deutsche er Bank (e.g. edema' legal counsel, client referral source, supplier of goods or services)?: Yes O No •A Describe Nature d Entity's Primary Business and Investment Acthritles Nature of the business: Law practice. This is Darren Indyke's pnvate law firm. Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties reaelrg source of wealth description as indicated In Section 2) Primary Country of source of weatth/source of Funds? Primary ndustry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (erg. balance sheet or equivalent summary of assetsflabilibes): is came from the rates he charges dienN for his law services Estimated gross receipts p.a.(;): 300,000.00 Estimated net profit p.a. (5): 200.000.00 Estimated investable assets ($): 451 MM Potential Amount to be invested math PWM (5): 100,000.00 Other Known Finanoal Institutions: Institution: JPMagan County: USA Est. Assets Under Mgt: 500,000.00 Insbtution: Canby: Est. Assets Under Mgt: Instattion: Canby: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000252 UM92814215 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019125 EFTA00168872  KYC Print Page 8 of 12 3C. Legal Entity Details (Foe all Legal Entrees) Legal Entity Name: HBRK Associates, Inc - O Private Investment O O Foundation/Associaton O Trust RI Company • Estate Type of Entity: Purpose of Entity: philanthropic/chartable 2) O Partnership Commercial Repose of Entity Type of Entity Other (specify): Other (specify): Country of USA Date of Incorporation / 8/19/2008 incorporation/registration: registration: Determination Required No volcker Status: Vokker Hag: Address (city, street, post 575 Le dngton Avenue, 4th Fl New York NY 10022 United States US TIN/EDI: code): Provide a description of the ent his organizational stnxture, its ownershp structure and its Top Management. For trust/foundations, include information about revocability,settor and beneficiaresetc.: itchard Kahn is 100% owner and signor of this entity. Pease indicate how ownership of the legal entity s reflected: Richard Kahn 50% owner Harry Beier 50% owner D Special attention: Bearer Shares - Indicate where shares are custoded: Descrte the chain from the direct owner of the entity to the ultimate beneficial owner (f not The some person). Richard Kahn is 100% owner and signor of this entity. To the best of your knowledge, is the entity party to a non banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: A«ounung fam Countries where business is transacted: USA Number cf employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth descrpton as indicated in Section 2) Primary Ccunty of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (eg. balance sheet or equivalent summary of asset/liabilities): Rich is an in-house accountant for Jeffrey Epstein. His started this company with Harry Beller who retied. The company assets comes from the fees he charges 'or this service. Estimated gross receipts p.a.(;): 400.000.00 Estimated net profit pa. (5): 300,000.00 Estimated investable asset (5): <si MM Potential Amount to be invested with PWM (5): 200,030.00 Other Known Financial Institutions: Institution: DB Country: USA Est. Assets Under Mgt 200,000.00 Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SDNY-0000253 U§192824216 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFIA_00019126 EFTA00168873  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B ReLabors* Name EPSTEIN, JEFFREY RELATIONSHIP Rrsk Rating Comments: Boolung Center NY ' NO • Offshore CI moderate ri L_I High Ibsk YOOnSun Chung Offshore Risk M (Compliance *natty) 0 DB Employee 0 DB Managed PIC • DB IS Trustee/Co-Tn.stee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided E DMUS License 0 Passport 0 National/State ID 0 Other Cher.kkst of names (individuals and/or motes) that were subnitted fct database searches is B. FA Yes 0 No attached C. Please indicate the results of the database searches performed RDC searches complete 11A Yee 0 No negative results found 0Yes 1•4 No PCR checks complete In Yes 0 No negative results found Oyes No OFAC checks complete n Yes 0 No negative results found Oyes No 0 BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jaws, DUB) "L Yes 0 No negative results found Oyes 0 No Denial Orders checks complete 121 Yes 0 No negative results found 0Yes 2 No Martindale-Hubbell searched (Lawyers/Law Firms only) • yes @No negative results found 0Yes • No Please summarize any negative results frozen the database searches indicated above: DARREN K. INDYKE: No negative Media No court cases NEW YORK STRATEGY GROUP, LLC: No negative media No court cases DARREN K. INDYKE PLLC: No negatve media No court cases HBRK ASSOCIATES INC: No negative media No court cases D. RICHARD KAHN: Approved KYC 001082293 AML Clearance attached to this KYC Not barred from NYSE Area and he was cleared Mace as seen in the attachments HARRY BELLER: Negative Media: Not ar client. Al negative meda pertains to an environmental rnadologst. Our client is an accountant Court Cases: tel: Disposed in 1987 Al other cases are not our client. The other court cases refer to a Dr. Harry Seller. Our client is an accountant JEFFREY EPSTEIN INSURANCE TRUST: No negative media No cart cases JEFFREY EPSTEIN: Previously KYCO and approved in: 01082293 and 01121718 E. To the best of your knowledge, has the client ever been convicted of a criminal offense? CI Yes In No To the best of you knowledge, has the customer ever been involved in any past litigation aganst Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against F. ❑ Yes RI No 0 Deutsche Bank AG or any of its subsidiaries? a, Yes provide Ma bebiranciconlact Quote Mgt ([oterollnil) or We Regulatory control Group andnoory Conerance immediately) G. • Yes 21 No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(6) DB-SIDNY-0000250 Tip/2824217 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... EFIA_00019127 EFTA00168874  KYC Print Page 10 of 12 Does the client a Mated party have any financial or other association / interacbons wtthin countries or mama sanctioned by the Office of Foreign Assets Control (OFAC)? Does the dent a related party have any financial a other association/ interactions within Ngh risk K • Yes 21No countries? I. Corporate Documentation Attached (Legal Eretes Only) 2 Yes 0 No 0 Not Applicable l. Undisclosed Pnnopal Form Complete (Intermediaries Only) • Yes • No n Not Applicable IC If Lecis/Nexis Search Results, Corporate Documents or Other Supporting Documentaton is not in English, please provide an English signmary of the native/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Rsk Countries? • yes 2 No Is the account structure unusualy complex? Ekes 2 No Is there any indication the client set up a non operating company expressly . yes 2 No for the purpose of barsfening shares to third parties? Is there any indication this could be a proNtlted business relationship? DYES 2 No Are the bearer shares Identified subject to acceptable controls? • Yes 2 No CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000255 UM92814218 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019128 EFTA00168875  KYC Print Page 11 of 12 M. Case Comments Created By I Date Comments Cynthia Rodriguez 7/17/117 1:05 PM Dated resolution attached HBRK Associates Inc and Darren K Indyke PLLC (accounthdders) have been clients of DB since 2013. Below are the reasons why we are comfortable with approving this update/high risk review - • Information and supporting documents required by our NIL Pokey were prowled and reviews; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected trartsacbon array. )(slit) Golent 7/18/117 1:01 PM • The account holders' source of wealth and source of funds were sufficiently detailed and appears plausible • The account holders' source of wealth Is via the company's operations, which is accounting flrm/lavi fem. • Our review did not Identify any red flags relating to fraudulent ownership hence we believe the true ownership of the accountholder was identified. • We performed due diligence searches on al key parties including the client, UBOs and authorized signatories and de not find the names searched to be on any sanctions lists. Cynthia Rodriguez 7/17/117 1:25 PM purpose of the accounts and current activities have been reflects on the KYC Cynthia Rodriguez 7/17/117 1:05 PM • HBRK Cynthia Rodriguez 7/17/117 1:04 PM KBRK Incorporation ekes attached to reflect ownesNp. Cynthia Rodriguez 7/17/117 1:23 PM Stew Old ieid readied out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm mate -al changes to the accounts Cynthia Rodriguez 7/18/117 11:41 AM tax ownership document attached showing rich kahn as sole owner. ONSHORE APPROVALS cent Facing Professional (CFP): stewart oldie:id (Signature) 7/13/2017 stewart °Weld Office Director/Business Head: Andrew F Gallivan (Signature) 7/14/2017 Andrew F Gallivan Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature)