EFTA01252911.pdf

KY(' Print Pagel of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Cost: y : 01791049 Status : 6. Approved One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00030483290 Booking Center: New York ReLationeup Manager: Stewart Oldfeld • New FWM Relationship 2 Eiisting PWM Relationship ReLatiorehip to PWM: If misting, please indicate since when the relationship exists, provide reason for new profile and attach old profile: """This Mt is a perb:lic review for high nsk remediationnit Original KYC1133377 2 Client Referral O RH Prospect O Intermediary/PIM O Other Son (CIB, etc) How Was the Client(s) Introduced? How long has the Please provide details (e.g. ame of referral source, how many years RM personally has known client, etc): Stew Oldfield RM personally 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 this company. Darren confrms no matenal changes to has PLC Does Deutsche Bank pay a O Yes I2 No retrocession or similar compensation to a tNrd party for the introduction of this (/f Yes aescnae)t relationship? List all existing and new accounts involved in this reLatiorishp Legal Entity Account Name / Number Opening Date (intended/actual) AccouM(s) 1 liBRK Associates, Inc- Depose 11/1/2013 2 2 Darren K. Indyke PLC- tepee 11/1/2013 Who is the primary contact person a the PM? (Note: TNs Preferred method of contact person needs to have (indicate phone no., fax no., signatory nglt andfor e-mail address, etc.): Information right for the account.): SDNY_GM_00037422 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000246 EFTA_00148034 EFTA01252911  KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: NBRK Associates, Inc- Deposit Acct. Number (ifavaiable Account Manager: stavait oldfleld What is the purpose of the account (e.g. portfoler management, advisory account, custody services, long-term Invesbnent, payment/expense account)? Cheddng account to hold fords for daily use for the company. Indicate from where the assets are expected to arrive? 0 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): 1:1 Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sue and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 0-1S inflows/outlfovis between lk and 6k on a monthly basis What is the expected volume of assets and cLrrency for the account approx. 90 days after 100000 opening? I CtirrencY I USD What is the expected volume of assets and chancy for the account approx. one year after 1 163601.98 I USU opening? I airrencY Does/will the client have Assets Under Management (ALM) within Ce under Eut. 3M? OYes 2 No Please list all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal Description AccountPIC Settor of JIUmate SignatorwimeedFinancial Significant Legal Grantor/Settlort)oxding Other tnUtyof Source Holder Owner Trust / 3enefkcialor Full DOA IntermediaryShateholder Reptesentaave or (please of Wealth Founder ofriwner POA (FIN) (>=25%) describe required Foundation von-PIC other roles entity and/or Parties ',ndicate Indicate rated to ownership relationship ,r,) petween Eccount !parties) FIBRK I ID 2 Associates, 2 O El O O O O O O O Inc 2 O FA RicKhahn D. ard • • O 0 El O O • O • SONY_GM_00037423 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000247 EFTA_00148035 EFTA01252912  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC- Deposit Act Number ( I available): Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory accorn, custody services, long-term investment, payment/expense account)? Chedong account for the daily use of the this law firm Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number O DB Group: Other Booking Center (indicate DB location and account details): • Other Institution - (Indicate name & 'pardon): • Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0.15 infkres/outflows between 1k and 15k on a monthly bass What is the expected volume of assets and currency for the account approx. 90 days after 110050D I Currency I USD opening? What is the expected volume of assets and currency for the account approx. one year 1295086.86 I Currency I USD after opening? Does/mil the denthave Assets Under Management (AtM) within DB under Err. 3M? Olt J No Please list all parties related to the account Far each party: • Check if a source of wealth description Is regind for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> 1 an be selected). • f none of the check boxes apply, describe the paths reLabon to the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Description AccountFIC Senior of Simate Signet Imite.inandal Significant Legal trantor/SettIctroundinsiCitnd Intityof Source Holder Owner Trust / Benet-calor Full A IntermediaryShareholds Representative Donor ;please of Wealth Founder oflOwner PO* (FIM) (>=25%) descnbe required Foundation Yon-PIC other roles entity and/or Parton (indicate naccate related to ownership -donorship the Yo) zetween account -,artes) Darren K. O D O I O Indyke 2 2 O O O O O Darren K. 2 El 3 Indyke I2i O O O O O O O O O PLC CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL SONY_GM_00037424 DB-SONY-0000248 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148036 EFTA01252913  KY(' Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershlo Summa 3A. Individual Details (for all parties) indtekluars Name: Darien K. Indite - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outode of his/her country of nationality O Yom No Address of primary residence: for 5 years or more? Profession/Occupation: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Posttion/Title/Rank: Address of employer: 575 Lexington Ave, 4th R LMngston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the Mandel ndusby? or an entity listed on a CO-recognised exchange? (Not applicable for operating entitles El Yee 0 No Is the individual a Politically Exposed Person (PEP)?(Y Yes, describe) O YeS 2 No To the best of your knowledge, is the individual related to an employee of the 08 group?(1 O Family • Friendship 74 None Fame)i or Frienosko, desaite) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or • Yes ca No services)?(/ Yesdesoibe) Indicate where and Mien the client meetirg(s) took place: If applicable, indicate which bank officers have met the person: Gent Private Client Place of Bank Officer Name(s) Bar* Office: Other Location (speofy): Date: Domicile: Business: O • O O O O 1:1 • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for pastes requiring source of wealth descnption as indicated in Section 2) Nature of the IndMduars Business: Attorney Pnmay County of scarce of wealth/source of Funds? Primary irdusby of source of Wealth/Source of Funds? Summarize Source of Wealth: a Business Owner 2Salary/Eamings 0 Investment • Inhentance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how red setdor accumulate wealth? For inhertance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor actmtles, important business partners.) Darren has been an in-house lawyer for Jeffrey Epstein at Southern Finery:el LLC for over 15yrs, wherein his man source of income derives from. Southern Francis' LLC is a current dent of DB. See case 1082293 as a reference. Mr. Indyke also owns his own legal practice called Darren Irdyke PLLC, as well as smaller LLCs for his own personal investments. Estimated Annual Income(S): 300,000.00 Estimated amount of investable assers($): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($): Other Known Emended Institution: Institution: Country: Est. Assets Under Mgt: Insboition: Country: Est. Asset Under Mgt: SDNY_GM_00037425 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000249 EFTA_00148037 EFTA01252914  KYC Print Page 5 of 12 Institubon: I Country: at Assels Under Mgt: Please indicate the family stuatan of the indivclual (mental status, other family members, etc.): SDNY_GM_00037426 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000250 EFTA_00148038 EFTA01252915  KY(' Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indtekluars Name: Richard D. Kahn • 00000466407 Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outsde of his/her country of nationality O Yes cudNo Address of primary residence: for 5 years or more? Profession/Occupation: AccounlaM Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 0 No Is the individual a Poldcally Exposed Person (PEP)?(/ Yes, describe) O yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(, O Family • Friendship 74 None 'amebic( Friends* desaite) To the best of your knowledge, is the indhedual party to a non-baniang relationship with Deutsche Bank (e.g., external legal courser, client referral source, supplier of goods or •Yes RIND senAces)?(d Yescfesoibe) Indicate where and when the client meeting(s) took pace: If applicable, indicate which bank officers have met the person: Gent Private Client Place of Bank Officer Name(s) Bar* Office: Other Location (speofy): Date: Domicile: Business: O • O O O O • • • • Wealth Details for this indrvidual are not filled 111, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpnon as indicated in Section 2) Nature of the IndSiduaFs Business: Accountant Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: i' n Business Owner 0 Salary/Earnings O Investment • Inhentance/Glfts O Other: Father Describe Source of Wealth /Detail the history of wet' for each of the sources: (e.g. For vests, how did minor accumulate wealth? For inhertance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor activities, important business partners.) Rich Kahn has been an in-house accountant for Jeffrey Epstein for over 10 years. He began HBRK with another in house accountant Hairy Beller. Mr. Beller is now retired and Rich has taken over ownership of this entity. Assets come from the rates he charges for his accounting services. Estimated Annual Income(s): 116,000.00 Estimated amount of investable asset$): <$1 MM Estimated Net Worth($): <$1 RN Amoixt of assets planned to invest with PWM($): Other Known France Institutions: Institution: DB Country: USA Est. Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: SDNY_GM_00037427 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000251 EFTA_00148039 EFTA01252916  KYC Print Page 7 of 12 Institution: I Country: at Assets Under Mgt: Please indicate the family situation of the indivodual (mantal status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Darren K. Indyke PLC - 00000487220 O Private Investment O El Foundation/Association O Trust 2 Company 0 state Type of Entity: Purpose of 811:4: Flaanthroptc/Chantabe O Partnership Commercial Purpose of Entity Type of Entity Other (specify): Other (spedfy): Country of USA Date of incorporation / 9/5/2008 incorpotabon/registratan: reastration: Determination Required No Volcker Status: Volcker Rag: Address (city, street, post 575 Lexington Avenue New York NY 10022 United States U.S. TIN/UN: 300503949 code): Provide a description of the ercity's organizational structure, ID ownership structure and rts Top Man t. For trusts/foundatans, ndude infomiabon about revocablity,settlor and benefiaanes,etc: Single member PLLC with Darren K. Indyke as the sole member 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: Desaibe the than from the direct owner of the entity to the ultimate beneficial owner (dnot the sane persons). Single member PLLC with Darren IC Indyke as the sole member and owner To the best of your knowledge, is the entity party to a non-banksng relationship with Deutsche Bark (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Acthittles Natire of the business: taw practice. This is Darren Indyke's private law firm. Countries where business is transacted: USA Number of employees: I 3D. Wealth Profile (Only for parties requiring source of weath desorption as indicated In Section 2) Pnmary Curvy of soLrce of wealth/source of Funds? Pnmary Irclusby of source of Wealth/Source of Funds? Provide Evidence of Corporate Asses (e.g. balance sheet or equivalent summary of asseisniabilities): Asses come from the rates he charges clients fat his law services Estimated gross receipts p.a.($): 300,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be nvested with PWM (5): 100,000.00 Other Known &andel Institutions: Ingestion: Pflorgan Country: USA Est. Assets Under Mgt: 500,000.00 Institution: Country: Bt. Assets Under Mgt: Institution: Country: Bt. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary SDNY_GM_00037428 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SOW-0000252 EFTA_00148040 EFTA01252917  KYC Print Page 8 of 12 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: HBRK Associates, Inc - 00000487223 O Private Invistment O ❑ Foundation/Association O Trust RI Company • Estate O . Type of Entity: Purpose of Entitle: Phdanthrodc/Chantable • Partnership Commerdal Purpose of Entity Type of Entity Other (speofy): Other (spedfy): Country of USA Date of Incorporation / 8/29/2008 incorporation/registration: registration: Determination Required No Volcker Status: Volcker Rag: Address (city, street, post 575 Lexington Avenue, 4th Fl New York NY 10022 United States U.S. TIN/EIN: 30-0503838 code): Provide a description of the entity's organizational sbucture, its ownershp structure and es Top Management. For trusts/foundations, rdude information about revocatility,settke and benelidanesetc.: Richard Kahn s 103% owner and signor of this entity. Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Beller 50% owner O Special attention: Bearer Shares - Indicate where shares are custoded: Describe the chain from the direct owner of the entity to the ultimate tenefiaal owner Plena tire same persons). Richard Kahn is 100% owner and signor of this entity. To the best of your knowledge, is the entity party to a non.banking reboonship with Deutsche Bar* (e.g. external legal counsel, dient referral source. suppler of goods or services)?: Yes O Noe Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Acoounting fen Countnes where business is transacted: USA Number of employees: 2 3D. Wealth Profile (Only for par ;es requiring sauce a' meats dexiiptcn as indicated in Section 2) Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Ich Is an in-house accountant for Jeffrey Epstein. His started this company with Harry Beller who ratted. The company assets comes from the fees he charges or this service. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 300,000.00 Estimated investable assets ($): 451 MM Potenoal Amount to be invested with PWM (5): 200,000.00 Other Known Frontier Instrubons: Insotution: DB Canby: USA Est. Assets Under Mgt: 203,000.00 Insotution: Country: Est. Assets Under Mgt: Insotution: : Est. Assets Under Mgt: SDNY_GM_00037429 CONFIDENTIAL - PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000253 EFTA_00148041 EFTA01252918  KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B VA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Bodong Center NY O offshore Omoderate O mo Risk Risk Yodisun Chung OOffshore NW I2 (Compliance Signature) O DB Employee D De Managed PIC O DB IS Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided El Divers License O Passport O Natictial/State ID O Other Checklist of names (individuals and/or enabes) that were submitted for database searches is B. attached 2 Yes El No C. Please indicate the results of the database searches performed RDC searches complete R1l'eS O No negative results found O Yes FZI No PCR checks complete In Yes • No negative results found O Yes RI No OFAC checks complete Yes • NO negative resits found Ores 2 No BIS searches complete (Leds/Nexis, Fame, Reuters, Dow Jones, MB) A let • NO negative results found Ores 2 No Denial Orders checks complete PI Yes O No negative results found O Yes 0 No Martindale-Hubbell searched (Lawyers/Law Firms only) Oyes IR1 No negative results found Ores O No Please sumrrenze any negatve results from 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 negative media No court cases HBRK AcAnNATES INC: No negative media No court cases D. RICHARD KAHN: Approved KYC X01082193 AML Clearance attached to this KYC Not barred from NYSE Area and he was cleared twice as seen in the attachments HARRY BELLER: Negative Media: Not our client. All negative media pertains to an environmental nwroddogist. Our client is an accountant Court Cases: #1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Cr. Harry Seller. Our dent is an accountant JEFFREY EPSTEIN INSURANCE TRUST: No negative media No court cases JEFFREY EPSTEIN: Previously KYC'd and approved in: 01082293 and 01121718 E. To the best of your knowledge, has the client ever been convicted of a cnmmal offense? • Yes O No To the best of your knowledge, has the customer ever been invoked ri any past litigation against Deutsche Bank AG or any of As subsidanes et is the customer threatening litigation against F. Deutsche Bank AG or any of asubsdanes? (If Yes, provide defogs belay and contact Qualey Mgt. ❑ Yes E21No O (Lat4m/Int1)& the Regulatory Control croup and notifyCompliance immeciakly) G. O Yes ®No SDNY_GM_00037430 CONFIDENTIAL — PURSUANT TO FED. R. t I ONFIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000254 EFTA_00148042 EFTA01252919  KYC Print Page 10 of 12 Does the client or related party have any financial or other assocabon / interactiors within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other asscoabon/ Interactions within high risk n countries? LJ Yes No 121 I. Corporate Documentaoon Attached (Legal Entities Only) Yes O No • Not Applr_able J. Undisclosed Principal Form Complete (Intermediart Only) O Yes O No RINot Applr_able K. If Leas/Nobs Search Results, Corporate Dxumenis or Other Supporting Documentation IS not in English, please provide an English summary of the rature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? at 12 ta Is the account struch.re unusually complex? at 0 tip Is there any indication the client set le a non operating company expressly D yes 2 No for the purpose of transferring shares to third parties? Is there any Indication the could be a prohibited business relationship? ElYm 2 Pk. Are the bearer shares identified subject to acceptable controls? Dyes 0 No SONY_GM_00037431 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 DB-SONY-0000255 EFTA_00148043 EFTA01252920  ICY( Print Page 11 of 12 M. Case Comments Created By Date Comments C,nt' :!a:cr iu,.: /;17/1171:05 PM Dated resolution adached HBRK Associates Inc and Darren K Indyke PLLC (accountholders) 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 AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accoultholders, them purpose, the purpose of the accounts and expected transaction activity. kshiui Golan 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 frm/Law Arm. • Our renew did not identify any red flags relating to fraudulent ownership hence we believe the true ownership of the accountholder was 'denoted. • We performed due diligence searches on all key parties mxluding the client, UBOs and authorized signatories and did not And the names searched to be on any sanctions lists. Cynthia Rodrguez 7/17/117 1:25 PM purpose of the accounts and current activities have been reflected on the KYC Cynthia Rodrguez 7/17/117 1:05 PM * HBRK Cynthia Rodnguez 7/17/117 1:04 PM KBRK Incorporation dots attached to reflect ownership. Stew Oldfleld reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changesto the Cynthia Rodrguez 7/17/117 1:23 PM Accounts Cynthia Rodrguez 7/113/117 11:41 AM tax ownership document attached showing it kahn as sole owner.