EFTA00168946.pdf

KYC Print Page I of 20 DB P1A/N1 GLOBAL KYC/NCA: PART A rA KYC Case # : 01977694 Status : 6. Approved ne sheet must be established per relationship - list all accounts Included In the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL REIATIONSNIP:00000483290 Booking Cater: New York Relationship Manager: Stewart Wiled O New PWM Relatenship la edging PWPI Relationship If existing, please Indicate since when the relationship esists, provide reason for new work and attach old prolle. m • m 2018 Periodic Relationship to %W14: Review - KR Overdue KYC -•, Last Approved KYC 8 Plan D LLC - 1790820; NES LLC - 1790739; The 2007 Jerre/ E Epstein Insurance Trust & The Haze Trust - 1804531. IDs foe. Damn froyea a Richard Kahn can be found in 'Repository' of GCIS r 486405. O Client Referral O RP1 Prospect • Intemediwy/FIM O Other Son (CB, a.) How Was the Client(s) Introduced? How long has the Rm Kev3KaKK m own the * Kw Please provide details (e.g. name of referral sate, how many yews RI4 wsonally has known dent, etc.): Jeffrey Epstein reached out to Stew Cildield on 3/7/17 to have a new acct opened under this relationship.. Ooes Deutsche Bank pay a O Yes No retrocession or similar I l° compensation to a third pay for the introduction of the arras, desolbei relationsNp? List all existing and new accounts Involved in this relationship Legs Entity Account Name / Weber Opening Date (ntendediacual) Acecungs) I O Its LLC - 42953758 - DDA-42953758 11/8/2013 2 21 Plan D LLC - 42953467 - DDA-42953467 10/18/2013 3 g The Haze Trust - 77000949 - DOA-7701:0949 2/21/2017 4 RI The Haze Trust - N4G024943 - DESI-N413024943 9/23/2013 5 0 The Haze trust - 42967297 - DDA-42967287 7/27/2 17 'Ate 6 he primary contact poison or the Stal? (Note: This Darren K. inchte Preferred method of contact prison needs to have signatory (Indicate phone no., fax no., I opts and/or Inforwatkin right e-mail adtress, etc.): roe the accounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000326 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0 I N30000000D9Di&e... U§192824289 EFIA_00019199 EFTA00168946  KYC Print Page 2 of 20 One sheet must be established for each account to be 2. Account Ownership Summary Account Name: Nes LLC - 92953758 - ODA Acct. !timber (iI evadable): 92953758 Accown Manager: Stewart Criteld What is the purpose of the account (e.g. portfolio management, Weary account, custody smites, long-term Investment, payMentiesPense account)? TM Is a sine* checking account to take care of the expenses associated with running Jeffrey Epstein's NY home Indicate from where the assets are expected to arrive? rr ..4 DB Group: Sane Backing Center (Indicate account nuttier): Eesting O DB Grow: Mt Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What is the copected axe and frequency of regular Mims aid outflows (or the accowit (Indicate estimated number and volume per month)?: ••• 10-20/month; $30 - S20K What is the expected yr:tome of assets and currency for the ao:ount approx. 90 days anis 252,347.66 I ardency I USD °Penne? What is the copected volume of assets and currency for the account apprce. one year after 254347.65 I ardency I USD opening? Ooesfwill the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes lil No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Cried( the appropriate box to desaite the relationship of the party to this account (> I can be selected). • U none of the check boxes apply, dew be the party's relation to the account In the "Other mann. • Always desalbe the relationship between the parties in the last column. • Please drill down to the ultimaWundedying Beneficial Owner(s). agar Desolation AccountPIC Senior of Lttimate Signatay‘imitedFirandal Significant Legal Grantor/Seale:founding Enfityof Smote ridder CnvnerTruSt / Benelkial or Full ?OA ntemeciaryStarehorder Representative Donor of Wealth Founder of Owner POA FIM) >=2514) Cther (please tan- ed Foundation ;Ion-PIC describe other entity roles and/or Parties inchcate ndicate dated to ownership relationship Ns account % between I g 51 NES, LLC O D O DO O O O 15 O O O Darren K. O O O O O O O O O Auth Sena; Inoyte 2 O 3 O O Haw Beier O OO O I21 O O O O O Atrch Sena; Beneficiary;Sole Member:Primary 4 O 0 Jeffrey E. O O O O O O O ix O O O Decision Epstein alaker;Sole Owner; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000327 UM92814290 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_00019200 EFTA00168947  KYC Print Page 3 of 20 2. Account Ownership Summary Account Plane: Plan D LLC - 42953467 - DDA Acct. Number Ofavailable: 42953467 Account Manager: Stewart Oldieki What Is the purpose of the account (e.g. portfolio management, adhscry account, custody services, long-tam investment, payment/expense account)? 11% Is a simple checking axowit for pay for costs associated for Jeffrey Epstein's airplanes Indicate Iran where the assets we expected to anive? 0 DB Group: Sane Backing Center (Indicate account nLenber): 06sting • DB Group: Cther 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 ao:owit (indicate estimated number and vane per month)?: ..., 1-$/month, $100 - $500K What Is the copected volume of assets and currency for the account approx. 90 days after 1 790,453.14 1Cwyercy 1 USD opening? What Is the expected volume of asses and currency for the account appiox. one year after 1 790,453.14 'Gummy 1 USD opening? Does/will the ctent have Assets Under Management (AuM) %thin DB under Eur. 3M? O YcsEa No Please list all parties related to the account. For each party: • Died( if a source of wealth descr1tion is required for the party. • Check the appropriate box to describe the relationship d the party to this account (> 1can be selected). • U none of the check boxes apply, desc, be the party's rdation to the account In the 'Mee coin. • Always desc,lbe the notatenship between the parties In the last column. • Please drill down o the ulUrnaWunderlying Benefidal Owner(s). egs bee:notion AccountPIC Senior of litimate Bgnatcry‘Imitectirandal tgnificant Legal toantor/SetUcerFouncling EnUtyof Saute KV. de OrrnerTrust / Beneficial or Full POA nterniectaryShareholder Ftepresentatna Donor of Wealth rounder of Owner POA ,FIM) >=25%) Geier (please requeed roundaUcri Yon-PIC desc,lbe other entity roles and/or Partes inckate ndicate related to )wnership relationship this account %) between pates) I M EI Mai D, LLC O O O O O O O O O O Beneficiaty;Scte 2 El Mernber;PrImary O a EPstein O O O a a • O O O Dedsion Maker; 3 O O Indyre Dwen IC O O O O a O O O O O Aunt Signor; 4 O O 1*M Beier O OO O a O O O O O Auth Signor; Lawrence 5 O O Pall Visoeld O O O O O O O 12 O O Manager: Jr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000328 UM92814291 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19201 EFTA00168948  KYC Print Page 4 of 20 2. Account Ownership Summary Account Nam: The Haze Trust - 77000949 - ODA Acct. Number (Java/able). 77000949 Accown Manager: Stewart OWNS What is the purpose of the account (e.g. portfolio management, adhsory account, custody services, longterm investment, paymaniexpense account)? INS San interest bearing cheddng account for costs (taxes, etc.) related to the Trust Indicate from where the assets are expected to wive? El DB Group: Same Backing Center (Indicate account number): EXeting • DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): • Phyrical Deposits (specify cash, securities, cheques, ...): What is the ("peeled size aid frequency of regular Inflows aid outflows for the acicowit (indicate estimated number and volzme per month)?: ..- I-3/month; Sink - MIMI What is the opected volume of assets and currency for the account approx. 90 days after 17,707,707.25 larrency °Penne? I USD What is the expected volume of asses and currency for the account approx. one year after 17,707,707.25 'aplenty I USD opening? Ooes/will the ctent have Assets Under Management (Ault) within DB under Eur. 3M? annO tao Please list all parties related to the account. For eadi party: • Oiedc if a source of wealth (description is required for the party. • C,eck the appropriate box to describe the telationshi of the party to this account (> I can be selected). • U none &the check boxes apply, describe the party's Mallon to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ulUrnaWundetlying BenetIdal Onner(s). cgs besalption AccounIPIC Sella of Illitknate 5Ignatoty;rniteC Financial tignificaM Legal Giantor/Setto,Founding Enntyof Scarce Holder Owns Trust / Beneficial/or Full POA IntornediaryShareholder Reptesentatiw Donor of Wealth Founder of Omer POA (Fill) (>=25%) reseed Foundation tion-PIC Other (please Parties entity desert* other roles related (Indicate and/a lnlcate to this ownership relationship between account %) Nunes) The I 2• haze 5 O D O O O El O O O Trust Damn 2 O • K. O O O O 5 • 2 O O O Trustee:Trustee;Auth I richece Slone, as Trustee: Senior:Beneficiary; Jeffrey Trustee:Trustee;Auth O5 E. O O 15 B O DO O O 2 Sigmaas Trustee & Epstein Primary Decision 'taker: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000329 U§192824292 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... EFIA_00019202 EFTA00168949  KYC Print Page 5 of 20 2. Account Ownership Summary Account Plane: The Haze that - N4G024943 - OBSI Patt. Number (ifareatleA N4G024943 Account Manager: Stewart Ordeal What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm Investment, paymentiopense account)? TNs Is a brokerage account for the Dust to hod and make investments in marketable securdes Is the purpose of the axmot. Indicate from where the assets are expected to anlye? 0 DB Grow: Same Booking Center (ndcate account number): EX6Ung O DB Grow: 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 site aid frequency of regular Inflows aid outflows for the xcoLMt (indicate estimated number and vaunt per month)?: -- 3-10/month; $10- $2MM What is the demoted volume of assets and currency for the account approx. 90 days after 120,355,143.12 I Currency USD °Perlin? I What is the expected volume of assets and currency for the account approx. one year after 120,355,143.12 I Currency I USD opening? Does/will the denthave Assets Under Management (NM) within DB under Eur. 3M? ❑O yes 0 No Please Ust all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Chock the appropriate box to describe the dationship of the party to this account (> 1 can be selected). • U none of the check boxes apply, describe the partyY relation to the account In the "Other column. • Always describe the nalatenship between the parties I the last column. • Please drill down to the ulUrnaWunderlying Beneficial Owner(s). _egal besalption Accountant Senior of ideate Signatory _imtedinancial Sgnificant _egal `3rantor/Settlart-ounding EnUtyflowte Holder OwnerTrust/ Benerbaer Full POA Interneda eateholdeneprosentabve Donor of Wealth Founder of Owner POA ',FIN) (>-25%) required Foundation Non.PIC Other (pease Parties allay describe other roles related to (Indicate and/or inch:ate tNs ownership relationsNp between account %) Duties) The I 2 s Haze 0 O O O O LI O O O O Trust Settlor;Bencliciary; Trustee:Trustee;Aurn 2 O O jeffiel E. Epstein O O 2 O o o o . O o Signor as TIUStee & Primary Decision Maker: Darren 3 O O O Trustee:Trustee;Aurn K. Indywe O O O O O O O O O Senor as Trustee; Pail has Limited Trading 4 O • Paul Barrett O O O O O O • O • • /wthotization for Brokerage account; POA In Bickelage O O B" am O O O O 0 O O O O O Account; Jean Anne POA In Brokerage 6 ID Li r—rl Brenran "❑ O O O O O O O • O Account; Webrach CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000330 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824293 EFIA_00019203 EFTA00168950  KYC Print Page 6 of 20 2. Account Ownership Summary Account Nam: The Naze trust - 92967287 - WA Acct Number (travailed/0: 42967287 Accost Manager: Stewart Oldfield What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The a a simple checking account for costs (taxes, etc) related to this Trust Indicate from where the assets are expected to arrive? El DB Group: Sane Backing Center (Indicate account number): Fasting • DB Group: Other Booking Caller (Indicate DB location and account details): O Other Instihtlon — (Indicate name & location): • Physical Deposits (specify cash, securities, cheques....): What is the wetted size aid frequency of regular Inflows and outflows for the accowit (Whale estimated number and vcaime per month)?: There are regular transactions in The Maze brokerage acccunt, whet) is where most of the activity is. The deposit cocure Just herds cash to earn the interest. Wouldn't apect many transactions there. What is the expected volume of assets and currency for the account approx. 90 days after 12,5D3,667.84 I Currency I USD Opening? What is the expected volume of assets and currency for the account approx. one year after 12,5D3,667.84 I Currency 'wring? I USD Ooesfwill the dent have Assets Under Management (AuM) %OUP DB under Eur. 3M? O Yes @ No Please list all parties related to the account For each party: • Cried( if a source of wealth description is reciLited for the party. • a led( the appropelate box to describe the relationshi of the party to this account (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ul mate/underlyi eeneria Owner(s). .9 Legal Desoiption AocounUNC Settler of (Ultimate ISigratonn..inuteC Financial Significant Legal Cy/error/Sett°,Founding Entity)f Source Holder Ovine Trust) Benelidalor Full POA IntermediarySharehokter Representative Domr of Wealth Founder ore...vier POA (FIN) (>=25%) requited ccundation Non-PIC Other (please Parties entty descrbe other roles related (Indicate ,idler indicate to this ownership iNationship between account %) )arties) The I O 0 Haze a O O O O O O O O O Trust Setidor:Benefleary; Jeffrey Trustee:Trustee;Auth 2 O • E. O O El El D • O D O O Wry as Trustee & Epstein Primary Decision Maker: Damen 3 O • K. O O O El 5 O O O O O Trustee:Trustee;Auth I S et as Trustee' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000331 UM92814294 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFTA_000 19204 EFTA00168951  KYC Print Page 7 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3/34/. Individual Details (tor all pates) Individual's Name: Jeffrey E. Epstein - 00000483289 Dated Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S Country of OUzenship: United States Has dent resided outside of Little Saint lames Salt Thomas 00802 Virgin Islands, U.S. his/Mr countryof nationality fa O yes ®No Adctess of plenary residence: 5 yeas or more? Profession/Occupation: Self Ernpolyed Tax ID! SSN: I Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, US. 00802 Does the person wok as senior executive of a CO-recognized regulated entity in the Mandel Industry? or an entity listed on a DB-reel:gilded exchange? (Not applicable for operating entities 0 Yes 0 No Is the mew/dual a politically Exposed Person (PEP)?(/ Yes, despite) Comectlon with Prince Andrew 2 Yes D No and Bill Clinton To the best of your knowledge, is the individual related to an employee of the DB group?(YFatra), Or O Family O Friendship g Now FrivaArtez descnbe) N/A To the best of your knowledge, is the individual party to a non-banking relatlonsNp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(a Oyes 2 No Yesdesothe) NA Indicate where and when the died meeting(s) took place: If applicable, notate which bank officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Office: other incadon (specify): Date: Client e: &Hitless: Stewart geoid 0 0 0 6/29/2017 0 O O O O D 0 Wealth Details fa this individual are not filled in, because they we the same as for the following person: 36. wealth Details (Only for parties requiring sows of wealth description as indicated in Section 2) Nature of the Individual's Busness: Private investments thimay Country of sows of wealth/soiree of Funs? Unted States thimay industry of source of Wealth/Source of Funs? High Rid Financial Institutions Summarize Source of Wealth: 5 Business Owner • Salary/Earnngs ril Investment O Inheritance/Oils O0ther: Further Desote Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For Create, how cid senior accumulate wealth? For Obedience, how did farnly acurmulate weath?For business owners, how long in busness, how many employees, level of prentability? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (ban January 20, 1953) is an American (bander and registered sex offender in the united States. He waked at Bear Stearns early in his career and then formed his own firm, 1. Epstein & Co. He Wes in the US Virgin islands. Epstein taught calculus and physics at the Dalton Schad in Manhattan from 1973 to 1975. Among Ns students was awn 0 Alan C. Greenberg, chairman of Bear Steams. In 1976, Epstein started week as an options nada at Bear Stearns where he waked in the special products dedrion, advising high-net-worth dents co tax strategies. Provng successful in his financial career, n 1980 Epstein became a partner at tear Stearns. In 1982, Epsten founded his own firancal management firm, 1. Epstein & Co, managing the assets d dents with more than $1 Son in net worth. In 1987, Leslie Werner, founder and chairman of Ohio-based The Limited than of woolen's clothing stores, became a well-known client. Wooer a:quiree Abercrombie & Fitch the folowing year. In 1992 he converted a private school on the Upper East Sole into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of InS firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising exec love Donny Deutsch, investor Nelson Pet, media mogul and publeher Malmo Zuckerman, who had the New York Daily News, and film producer Haney Weinstein. They were ultimately outbid by Duce Wasserstein, a longtime Wall Street investor. who paid $55 minion. In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman were equal patties in the venture. Restart, as its editor-In-chief, retained a wall ownership stake. Presently, W. Epstein founded Southern Trust Company Inc, a private consoling company that invests the assets of thew clients and gels their revenue from the return of these Invetmens. Seuthern Trust Invests In afferent port/dos catered to their dents and makes their revenue based on the returns and the fees associated with managing their dent's assets Estimated Annual Indine(S): 110,000,000.00 I Estimated amount of invstable asseu,($): I $501M1 - 100 MM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000332 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... / I/192814 295 EFIA_000 19205 EFTA00168952  KYC Print Page 8 of 20 Estimated Net Wort1($): $500 MM + I Arrant of assets pained to invest with INVI4($): 2,300,000.00 Other Known Mandel Instautbns: InsUtutico: Country: Est Assets Under MA: InsUtutico: Canby: Est Assets Under Mgt InsUtutico: Cotritry: Est Assets Under Mgt Please Indicate the family situation of the Individual (marital status, other fanely members, etc.): N/A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000333 4492824296 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=0IN30000000D9Di&e... EFIA_000 19206 EFTA00168953  KYC Print Page 9 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ownershl Summary 3k Individual Details (lor all pates) Individual's Name: Darren K. Indyke - Dated Birth: Country of Residence: Untal States Country of Otizenship: United States Has trent resided outside of Adtress of plenary his/her country of nationality faO yes ®No 5 yeas or more? Profession/Occupation: Accountant Tax ID i SSN: Current Employer: Southern Financial I1C Position/Tele/Rank: Accountwit Address of employer: 6100 Red Hook Quarter B3 LiVingston Virgin Islands, U.S. 00E:02 Does the person work as senior executhe of a CB-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognael exchange? (Not applicable for operating entities 0 Yes 0 No Is the incfMclual a Politically Exposed Pence (PEP)?0, Yes, tote) N/A O yes Ica No To the best of your knowledge, a the inchAdual related to an employee of the DB group/tit an/P.71, 0r O Family O Friendship g None Fnc.413.47, desmbe) N/A To the best of your knowledge, a the inchAdual party to a min-barking relationship with Deutsche Bank (e.g., external legal counsel, diem referral source, supplier of goods or sentes)?Or Oyes 2 No ves,deso-ibe) N/A Indicate where and when the client meeting(s) took place: if applicable, indicate which balk officers have met the person: Client Private Client Place of Bank Officer Name(s) Bank Offke: Other Locatbn (specify): Date: Derriere: Business: Stewart adfield 0 0 0 12/12/2016 0 O O O O CI 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring plate of math description as imitated in Seek.) 2) Nature of the IndNiduars &mines: Prepay Country of palate of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source of Wealth /Detail the history of wealth fa each of the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did Vanity accumulate wealh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important Cosines panties.) Estimated Annual Incane(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PWM($) Other Known Randal Instiutbns: Insttturion: