EFTA00166918.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : 01195134 Rata:CAppmved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relabooship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000 Booking Center: New York Relabooshp Manager: Paul Maris 0 New PVW4 Relationship WI Existing PWM Relationship Relatonship to PWM: If exisbng, please indicate since when the relationship exists, provide reason for new prone and attach old profile: Update of approved KYC 01121881. Update is ONLY to add Darren Indyke as an authorized signer. Darren has been approved in KYC *1133377 0 Client Referral El RM Prospect 0 Intermethary/FIM 0 Other Source (CIB, etc.) How Was the Client(s) Introduced' How long has the Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc.): Jeffrey Epstein is RM 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 friend/colleague who introduced them vkie Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a 0 Yes retrocession a similar In No compensation to a third party for the introduction of this (if Yet, &sate). relationship' List all existing and new accounts involved in thts relationship Legal Entity Account Name / Number Opening Date (intended;actual) Accounts) I 2I Jeepers Inc 9/18/2013 2 a lepers Inc 9/18/2013 Who Is the primary contact person a the RM' (Note: d method of contact The person needs to have Jeffrey Epstein Preferrete (indica phone no., fax no., signatory rig and/or e-mail address, etc.): information right fa the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-0002692 EFTA_00016166 EFTA00166918  KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: leepers Inc Acct Number (ai swailattle): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term invesbnent, payment/expense account)? Checkhg account for letters Inc day liquiddy needs. Indicate from where the assets are expected to arrive? • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account debits): Eil Other Institution (Indicate name & location): JPSIorgan Chase. New York NY O Physical Deposits (specify cash, securities, cheques....): what is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)?: Roue* 5-10 Mows and outflows per month ranging from $1,000 to $10,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days aft& opening? I 150,000 I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Asset Under Management (Aual) within 08 under Bur. 3M? I El Yes 7-4. No Please list all parties related to the account For each party: • Check if a source of wealth description is requiredfor the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party relation to the account In the "Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/is denying Benefkia Owner(s . egal ripton IC Senior of Jltimate Signatory. rancor Significant _eget antor/Settior Founding Other Entity of Source 'holder Dvniertrust / Beneficial& Full ?OA IntennediaryShareholdergepresentathe Donor (please of Wealth Founder of Owner POA (FIN) >=25%) describe -equired Foundation Yco-PIC other roles entity and/ot Parties (indicate ndkate -elated ownership relationship to this 20) between account 3arties) leepen, 0 O O tea the O O O O O O O Jeffrey r 1 0 0 0 0 2 0 E2) ipstern " 0 J 0 0 0 3 O O Hauy O O O • 21 O O O O • Beller Brennan O ID O • O O O O • O 5 0 0 Daen O O O • O 0 O O O rodYke Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002693 EFTA_00016167 EFTA00166919  KYC Print Page 3 of 16 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (1avadateA Account Manage: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account custody services, long-term investment, payment/expense account)' Money Market account to hold kept's Ines cash. Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indkate DB location and account deb's): 2 Other Institution (Indicate name A location): 1f+lorgan Chase. New York, NY O PhYskal Deposits (specify cash, securities, cheques, ..): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)'. Roughly 1-2 inflows and outflows per month ranging from $1,000-$10,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 1150.000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Asset Under Management (AuM) within DB under Eur. ? • Yes 9No Please list an parties Sated to the account. For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • If none of the ch ck boxes apply, describe the party relation to the account In the 'Other* column. • Always describe the relationship between he parties in the last column. • Please drill down to the ultimate/underlying Benefkial Ovmer(s . .egal Description accountbIC Senior of Jitimate Signatory‘imftedeinancial 3gnifcant _egai Srantor/Settlor Founding Other Entity of Source colder OvnierTrust / Benenciaax Full ?OA IntemiediarySharelidderetepresaitathe Donor (please I Wealth lounder of Dwner POA (FIN) '>=2S9b) describe required Foundation Yon-PIC other roles entity and/or Parties 'ndicate odicate related ownership relationshp to this "*) between account >ernes) 1 2 2 3"Pent l2 Bic O O O O O O O O O 2 O 5 Whey r-i O O O 5 O O O O O Epstein " 3 • • Beller • • O O 2 • • O O O 4 Jeanne r--1 O O Brennan '—' O 21 O O O O O O D Dar O O 5 El D Incheke r.." O • O O O O O ren " https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002694 EFTA_00016168 EFTA00166920  KYC Print Page 4 of 16 must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name: Jeffrey Epstein - Date of Birth. 1/20/1953 Country of Residence: USVI Country d Citizenship: USA Has client resided outside of tette Saint James Saint Thomas 00802 US Virgin Islands Ns/her country of nationality El yes ®No Address of primary residence: far S years or more ProfessionfOccupabon: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Trde/Rank: President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial r--i industry' or an entity listed on DB-recogrased exchange' (Not applicable for operating entitles Li Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovAedge, Is the individual related to an employee of the DB group'(f 0 Family 0 Friendship 2 None P.O* or Friendshs describe) 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 • Yes Ei No services)'(/ Yes,decarbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meehng(s) took place: person: Bank Officer Name(s) Bank OOffice: Chent Private Client Place of Other Location (seedy): Date: Domicile: Business: Paul Monis O • 0 8/7/2013 O o O ID El • 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Indiv`duars Business: Private hnwbi enter Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business Owner 0 Salary/Earnings investment 0 Inheritance/Gifts 0 other: Further Describe Source of Wealth /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealthiFor business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of mayor activities, important business partners.) Epstein begs his financial career in 1976 as an options trader *Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn financial management firm, 1 Epstein & Co., managing the assets of clients with more than a billion In net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based It on the island of St. Thomas In the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth(i): $100 MM • SOO MM ArnouM of assets planned to invest with PVIPI($): Other Known Financial Institutions: Institution JPilorgan Chase I Country: USA Est Assets Under Mgt: 120,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002695 EFTA_00016169 EFTA00166921  KYC Print Page 5 of 16 J Institution: Country: Est Asset Under Mgt: Institution: Counby: Est Asset Under Mgt: Please indicate the lam?), situation of the individual (marital status, other family members, etc.): Single Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002696 EFTA_00016170 EFTA00166922  KYC Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sums's. 3A. Individual Details (for all parties) Individual's Name: Hany Belief - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside c4 his/her country of nalknalty O yes 2 No Address of primary residence: for 5 years cc more' Profession/Occupation: Accountant Tax ID / SS& Current Employer: HBRX Associates, Inc PosibonifitleiStank: Address of employer. Does the person work as senior executive of a DB-recognized regulated entity In the financial y-1 nclustir or an entity listed on CO-recognised exchange' (Not appkabk for operating entitles "Yes 2114s Is the individual a Polka*/ Exposed Person (PEP)'(d Yes, describe) OYes Ea No To the best of your luicrniedge, Is the individual related to an employee of the DB group'(# O pan* Dpriendegp 2 None Family a- Frendstko, demobe ) To the best of your knonledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes 2No servIces)'(ar Yetdestnbe) If applicable, indicate Mich bank officers have met the Indicate %%here and INhen the client meeting(s) took place: person: (bent Private Client Place of Bank Officer Plarne(s) Bank Office: Other Location (speedy): Date: panKile: Business: Paul Morns Eil • O 10,21:2013 O • • ni M O O Wealth Details for this individual are not filed in, because they are the same as for the fol ng person: 38. Wealth Details (Only for parties requiring source of vceath description as indicated in Seaton 2) Nature of the Individual's Business: Primary Country of source <I wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summate Seance of Weath: D Ikfiness Owner O Salary/Earnings anvestrnent Inheritance/Gifts O Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did %Thor accumul to wealth' For inheritance, 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.) Estimated Annual Income($): Estimated amount of Investable assets($): Estimated Net Worth($): Amount el assets planned to invest with PWPI(f): Other Known Fnarxial Institutions: Institution: Co.mtry Bt Assets Under Mgt: Institution: County. Est Assets Under Mgt Institution: Dwain: Est Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002697 EFTA_00016171 EFTA00166923  KYC Print Page 7 of 16 Please indicate the family sltuabas of the individual (manta, status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002698 EFTA_00016172 EFTA00166924  KYC Print Page 8 of 16 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan - Date of Birth. Country of Residence: USVI Country d Ottenship: USVI Has client resided outside of Ns/her county of nationality El yes giNo Address of primary residence: far S years or more' Profession/Occupabon: Finance Tax ID / SSN: Current Employer Southern Rnancial, LLC Position/Title/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial r—, ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles LJ Yes Z No Is the individual a Politically Exposed Person (PEP)>(dYes, cksente) Oyes No To the best of your knovAedge, is the individual related to an employee of the DB group'(f OFamlhl Ornery:Wile 2 Nine FM* or Friendshs describe) To the best of your knowiedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes Ei No services)'(/ Yes,thrsarbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Placed Bank Officer Name(s) Bank Office: Other Location (seedy): Date: pomicile: Business: O • O O D • 0 O II 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndlVdual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Summarize Source of Wealth: DElusiness owner 0Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWTI($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution-. Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002699 EFTA_00016173 EFTA00166925  KYC Print Page 9 of 16 Please indicate the faulty situatai of the individual (mental status, *the family members, et): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002700 EFTA_00016174 EFTA00166926  KYC Print Page 10 of 16 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - Date of Birth. Country of Residence: USA Country of Ctzenship: USA Has client resided outside of her/her country of nationality El yes ®No Address of primary residence: far S years or more Profession/Occupabon: lawyer Tax ID / SSN: Current Employer Southern Rnancial LLC Position/Title/Rank: Address of employer: 575 Lexngton Ave, 4th Fl New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial r—, ridustry, or an entity listed on DB-recogrned exchange' (Not applicable for operating entitles LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, ckscnte) O Yes E4g No To the best of your knovdedge, is the individual related to an employee of the DB group'(d OFamlhi Chien:Wile 2 Nene FM* or Friendshs describe) To the best of your know4edge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or • Yes 2 No services)'(/ Yes,thrscnbe) If applicable, indicate itch bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: of Other Location (seedy): Date: Pantile: Business: O • O O El • O ED • 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IMO/dugs Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0Business Owner 0Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or 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 profitability' Indicate type of business, countries of miler activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002701 EFTA_00016175 EFTA00166927  KYC Print Page 11 of 16 Please indicate the faint& situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY In Seddon 2. Account Summit I 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: leesers, Inc - O FoundabolvAsscciabon El Trust R Company O Estate R1Private Investment II Type of Entity: Purpose of Enbty: lanthiopk/Chantabk 0 O Partnership merrier Purpose of Entity Type of Entity Other (specify): Other (specify): Date of County of United States Virgin Island 8/18/2003 incorporation incorporabon/registrabon: / registratien: Vetter Status: Volcker Rag: Address (city, street post 6100 Red Hook Quarter 83 St, Thomas 00802 USVI US. TIN/EIN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management For trusis/foundatIons, include information about renxability,settlor and benefici ries.etc.: Jeffrey Epstein is the sole shag holder of Jeepers Inc Please Indicate how ownership of the legal entity is reflected: • Special attention: Bearer Shares - Indicate inhere shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (iI not me samepersona To the best of your knowledge, h the entity party to a non-banking relationship with Deutsche yes — Bank (e.g. external legal counsel, client re/east source, supplier of goods or services)? U No Fa Describe Naha, of Entity's Primary Business and Imrestment Activities Nature of the business: Jeepers Inc Is a private company that holds Investments of Its owner, Jeffrey Epstein. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth descripbon as indicated in Section 2) Primary Country of source of wealth/source of Funds/ Primary industry of source of Wealth/Source of Funds/ Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liatilties): /eaters Inc was started to hold the personal Investments of Jeffrey Epstein. The company began with LOCO shares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.(S): 400,000.00 Estimated net profit pa. ($): 200,000.00 Estimated Investable assets ($): $20 MM - 50 Mel Potential Amount to be invested with MUM (5): 200,000.00 Other Known Friancial Instttutions: Institution: JP Morgan Chase County: USA Est. Assets Under Mgt 28,000,000.00 Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002702 EFTA_00016176 EFTA00166928  KYC Print Page 12 of 16 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002703 EFTA_00016177 EFTA00166929  KYC Print Page 13 of 16 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART Et Relationship Name EPSTE/11, JEFFREY RELATIONSHIP Risk Rating Comments: IE O Moderate tut Booking Center 2 ter • Offshore 'Risk r..i High Rick Gwen Hit (Compliance Signature) DM Employee O DO Managed PIC O DB Is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Typed Photo ID Provided Dams Ucense • Passport ONatitinagStath ID • Other Checklist of names (ndlvkluals and/or entitles) that were submitted for database searches Is B. YA Yes 0 NO attached C. Please indicate the results of the database searches performed RDC searches complete @ yes 0 No negative results found 0 Yes @ No KR checks complete RIYes O No negative results found Oyes No OFAC checks complete ®Yes 0 No negative results found Oyes O No B5 searches complete (Lexis/Nexh, Facbva, Reuters, Dow Jones, DM) Oyes O No negative results found • Yes 0 No Denial Ceders checks complete ®Yes O No negative results found • Yes Ri No Marandale-Hubbell searched (Lawyers/Law Finns only) 0 Yes n No negative results found 0 Yes 0 No Please summer de any negative results from the database searches indkated above: DARREN INDYKE: KYC approved in cases 1133377 HARRY BELLER: KYC approved in case #01133624 JEANNE BRENNAN: No Negative Media D. No Court Cases JEFFREY EPSTEIN: Jeffrey was approved in KYC #01082293 His PCR/RDC alerts and clearances and a documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media All court cases are not our client. The c