EFTA00169096.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYCMCA: PART A rA KYC Case I : 01082293 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: New York Relationsht Manager: Paul Morris 2 New PWM Relationship O Existing Will Relationship ReLatIonshlp to PWM: If existing, please indicate since when the relationship exits, provide reason for new profile and attach old profile: O Client Referral El RM Prospect O Intennediary/FIM MI Other Source (CB, etc.) How Was the Client(s) Introduced, How long has the RM personally known the Please provide details (e.g. ame of referral source, how many ears RM personally ha known client, etc.): Jeffrey Epstein was tient' a dent of Paul's at V Morg n. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at llablorgan. Over the course f a few meetings Paul was able to et Jeffrey to bring some of his funds over to PMorgan Does Deutsche Bank pay a O Yes I RI No retrocession or similar compensation to a third party for the introduction of this (/f Yes, desenbe) relatianshipa List all existing and new accounts Involved in this relationship Legal Entity Account Name / fainter Opening Date (intended/actual) Account(s) I g Southern Financial, TLC 8/19/2013 1 g Southern Financial, LC 8/19/2013 3 g Southern Trust Company, Inc. 8/19/2013 4 Ig Southern Trust Company, Inc. 8/19/2013 Who Is he pnmary contact person or the Ralf (Note: This Preferred method of contact person needs to have Jeffrey Epstein (indicate phone no., fax no., signatory rights and/or (or e-mad address, etc.k information right the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid = 01N30000000D9Di&e... 1410 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) MO00479 EFTA_000 19349 EFTA00169096  KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, at Air I. hunter (if avaMiNe). kcounl Manager: 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. To hold funds for the company. Indicate (ran where the assets are expected to arrive? O 08 Group: Same Booking Center (Indicate account muter): CI DB Group: Other Booldng Center (Indicate DB location and account details): w LA Other Insfitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, securltks, cheques....): What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000. ICurrency I USD What es the expected volume of assets and currency for the account approx. 90 days after opening? 1 50,E 150,000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 Does/wi the client have Assets Under Management (AuM) within C6 under Eur. )M? • Yes El No Please list all parties related to the account For each party: • Check if a source of wealth description it. required for the party. • Check the appropriate box to describe the relationship 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. • Nways &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _egalbescription AccountplC Settler of Jitimate Signatoryskrniedrinancial Significant _egal Granto/Sernorfounding Other Entity,' Soiree Molder OwnefTrust / Bencficialor FAA POA InterinediaryShareholdeditepresentative Donor "lease al Wealth Founder of Owner POA (FIN) :>•2529) describe -Acquired Foundation Non-PIC other roles entity and/or Parties indicate ndicate -elated to ownership relationship ins %) between recount ?ernes) Sole shareholder l O 0 jeffreY Epstein • O 111 O WI O O O O O of Southern Trust; Southern 2 El El arZlindll 0 El IT O O O O O O El Southern Trust is the sole member of Southern Southern fnist O O ico O Financial 3 El El Co want. n❑"I CI O O O O and Jethey Inc Epstein is the sole shareholder of Southern Trust; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 1440 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -000048o EFFA_00019350 EFTA00169097  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, La Paul Morris Acct. Number (d available): T What is the purpose of the account (e.g. portfolio minagemen advisory account, custody services, long-term investment, payment/expense account)'+ Checking account to hold funds for the company. Indicate from where the assets are expected to arrive' O 013 Group: Same Booking Center (indicate account camber): • DB Group: Other Boob% Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, societies, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. 150'000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days alter opening? opening? 1 100,00D ICutrency I USD What is the expected volume of assets and currency for the account approx. one year after Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes 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 describe the relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the party's reaction to tbe account in the 'Other column. • Always describe t e relationship between the parties in the lad cokann. • Please drill down to the ultimate;undertying Beneficial Owner(s). Jigal'Oescretion Account PlC Settler of anode SIgnatoreimitedIFiriancial Significant _opt 'Grantev/Settbrkounding Other Jritityof Smote Holder Owne(Trust / Beneficialor Rd PO* IntemedlaryShareholderlepresentative Tenor please of Wealth Founder of Owner POA (PIM) >=25%) describe -Nuked Foundation Non-PIC other roles entity and/or Notes ,Mdkate ndirate related to ownership relatonship Ns Sb) Moroi i sCCOUnt Janie.) Sole Jeffrey in O O O O shareholder O l • Fj EPsteln 1--J O a O of Southean Trust; Southern 2 la 9 Financial • • O • O O O O O O La Southern Trust Is the sole member of Southern Southern Hirst O O 3 Ea 0 Company, — is mi O O O O O 1 CO and rey Inc. Epstein Is the sole shareholder of Southern Trust; littps://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... ?441 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 41000481 EFFA_00019351 EFTA00169098  KYC Print Page 4 of 12 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. Paul Morris Acct. Number (laved/de T What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parnell/Odense account)'+ Checking account To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booldng Center (indicate account limber): • 06 Group: Other Booldng Center (indicate DB location and account details): @ Other Instifutbn (Indicate name & location): )'Morgan, NYC O Physical Deposits (specify cash, diorites, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume pe month)'': Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 I Currency I USD What 6 Use expected volume of assets and currency for the account approx. 90 days alter opening' 1 50,E What is the expected volume of assets and currency for the account approx. one year after 100,000 I Currency I USD opening' 1 Does/W6 the client have Assets Under Management (AM) within 06 under Eur. 311? • Yes 21No 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 describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' alum. • Always describe t e rdaticoship between the parties in the lad oakum. • Please del down to the ultimate/underlying Beneficial Owner(s). ..egal7escription Account PlC Settler of dtimate Signatoosimilietkiarttird Sigrilirant _egal Yiranter/Settbrkounding Other lEntttyaf Source Holder Ownertrust / Beneficialor HA POA IntemediaryShareholderttepresentative Joni:it please al Wealth Founder of Owner POA (FIM) >=25%) describe required Foundation lion-PIC other roles entity and/or lodes ,Odicate nditate elated to wnershlp rciatonsho Ns %) frutv.voi i sccouM sanest Sole Jeffrey sh I O El idstein ❑ in i—J O O • A O O O O O of areholder Southern Trust; Southern 2 2 E rant Di u u • O • O O O O :armful, il-' ,nc. littps://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01 N30000000D9Di&e... CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 00482 EFTA_00019352 EFTA00169099  KYC Print Page 5 of 12 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (rf availabl) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody se ekes, long-term investment, payment/expense account)> Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account combo): • 06 Group: Other Booking Center (Sdkate DB location and account details): Eil Other Institution (Indicate name & location): 3PMorgan, NYC 11 Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows for the account Ondkate est mated number and volume pe month)'. Rouohly 2 inflows & outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1 5 '°C.3 I Currency II'S° What S the expected volume of assets and currency for the account approx. one year after 1 150,000 Currency opening' I I USD Does/wal the client have Assets Under Management (AuM) within DB under Eur. 3M? Likes RI No Please list all parties related to the account- For each party: • Check if a source of wealth description is required for the parry. • Check the appropriate box to describe the relationship of the party to thin account (> I can be selected). • If none of the check boxes apply, describe the party's reLotbn to the account b the Tithe- wham. • Mvays describe t e relationship between the parties in the tel colt.nn. • Please dn. down to the utimateunderlying Beneficial Owner(s) ,sgalDescriptkin Account PlC Settior of Ultimate SignatorykinSeerinancial Significant ..egal 'arantor/Settior"Sunding Other ntttyof Source Holder OwnerTrust / Beneficialor Full ?OA /ntermediaryShareholderRepresentatree )onor please of Wealth -tender a Owner PO4 (FIN) (i..25%) describe -mitred Foundation Non PIC other roles only orstror ?rubes ',indicate ndlcate 'Mated to ownership relationship SS %) between account Janie.) Sok Jeffrey in O O O shareholder I O • Epstein I---I 21 O O O O ❑ O of Southern Trust: Southern Trust 2 31 31 Company, td • O O O • O O O 1.3 lbw- Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9441 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1)0010483 EFTA_00019353 EFTA00169100  KYC Print Page 6 of 12 One sheet mint be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownenhi Semen' 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein-- Date of Birth: 1/20/1953 Country of Residence: USVI Country of Ctuenship: USA Has client resided outside of Late Saint James Saint therms 00802 US Virgin Islands his/her country of nationality O yes & No Address of primary residence: for 5 years or more, Professian/Occupation: Self Empalyed Tax ID / SSN: Current Employer: Southern Financial LLC PositstwVTitlefitanIc President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Does the person work as senior executive et a DB-recognized regulated enUty in the financial — Wintry' or an entity teed on a DB-recognised exchange' (Not applicable for operating entitles • Yes 0 No Is the ndendual a Politically Exposed Person (PEPr(f Yes, clescabe) • Yes 5 No To the best of your knowledge, is the Individual related to an employee of the DB groups(! O family U Friendship [0 None Family or FriendshfA descnbe 1 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, supplier of goods or O Yes 0 No servIces),(f Yesi cksente) Indicate where and when hiredient meeting(s) took place: If applcable, indicate which bank officers have met the person: Client Private Client Place of Bank Officer Names Bank Office: Other Location (specify): Date: Domicile: Ekninesa Paul Morris • • V3/20B O O • O O • • Wealth Details for this Individual are not filed In, because they are the same as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndMduaYs Business: Private investments Primary Country of source of wench/source of hinds? Pnnwy industry of source of Wealth/Source of Finds? Summarize Source of Wealth: O Business Owner IDSalary/Earnings 0 Investment • Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did famfy accumulate weath'For business owners, how long in business, how many erreloyees, level of profitability' Indicate type of buseess, countries of major actIvales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982, Epstein founded his own financial management firm, 1. Epstein & Co., managing the assets of dents with more than a eon in net worth. In 1996, Epstein changed the name of his firm to the Financial Trust Company and based it on the island of St. Thomas in the US Virgil Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from Ns days at Bear Steams and his financial management firms Estimated Annual Imorne(a): 10,000,000.00 Estimated amount of investable assets(a): $50 rim - wo MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to Invest with PWM(3): 10,000.00 Other Known Financial Institutions: Institution: 11"Morgan Country: USA Est. Assets Under Mgt: 20,000,030.00 Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) inattm484 EFTA_00019354 EFTA00169101  KYC Print Page 7 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the farrity situation of the individual (ma tat status, other family members, etc.): ngle One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) legal Entity Name: Southern financial ti C-- ❑ Foundatran'Assocotton MI Dust O R company O Estate purpose Cif Z Prtvate Investment O Entity' Philanthropic/Charitable O O Partnership /Commercial Purpose of Entity Type of Entity Other (specfy): Other (specify): Country of US Virgin Islands Date of Incorporation / 2/25/2013 incorporation/registration: registration: Vokker Status: Volcker Flag: Address (city, street. post 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN;EIN: code): Provide a description of the entity's organuauonal structure, its ownetslip structure and Its Top Management. For trusts/foundations, include information about nwocabilly,settlor and benefkiaries,etc.: Southern Trust Company Inc b the sole member of Southern Financial 11.C. Jeffrey Epstein Is the sole shareholder ol Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Dust Company Inc Is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the died owner of the entity to the ultimate beneficial owner (dolt the sensepawns): Southern Trust Company Inc le the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc TO the best of your knowledge, is the entity party toe non-banking relationship with Deutsche Bank (e.g. External legal counsel, client refers source, supplier of goods or services)): Yes O No 0 Describe Nature of Entity's Primary Business and Investment ActNIties This business Is funded by Jeffrey Epstekt's wealth. This company was formed to hold Mr. Epstelds personal wealth and Invest In different ventures this company Invests in rest estate, Nature of the business: equities, commodities, etc and gets is revenue from the gams it makes in these investments. It N a company formed to Invest the assets of Mr. Epstein Countries vdtere business Is transacted: US Virgin Islands Number of employees: 3 30. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weakh/source of Funds' Primary industry of source of Wealth/Source d Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lablikies): The initial funding in February 2013 vies $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein) Estimated gross receipts pa.(3): 2,000,000.00 Estimated net profit p.a. ($) 1,500,000.00 Estimated investable assets (3): <$1 I4M Potential Amount to be Invested with PPM ($): 300,000 00 Other Known Financial Institutions: instRution: I "Woman Country: USA Est. Assets Under Mgt: 1,000,0003) Institution: Country: Est. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9445 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1)000485 EFTA_00019355 EFTA00169102  KYC Print Page 8 of 12 Institution: I I Country: I Est. Assets Under Mat: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. • ❑ O Foundation/Association O Trust W CompanyO Estate Ed Private Investment O Toe of Entity: Purpose l'i Entitr El Philanthropic/Charltable O Partnersiep Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): Country of US Virgin Islands Date of Incorporatbn I 11/16/2011 incorporation/registration: registratim: Volcker Status: Vokker Reg: Address (city, street. Post 6100 Red Hook Quarter B3 St Thomas 00602 US Virgin Islands U.S. MEIN: code): Provide a descnption of the enteys organtradonal structure, Its ownership structure and Its Top Management. For trustffounditIons, include information about revocabilemettior and benelc iariessetc.: Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein Is sole managing member O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the Oen owner of the entity to the ultimate beneficial owner (if not the same penons): Jeffrey Epstein is sole managing member To the best of your knowledge, h the entity party to a non-bared* relationship with Deutsche Bank (e.g. external legal counsel, client referral source. supplier of goods or sewkesp: Yes • No Describe Nature of Entity's Primary Business and Investment ActivIties Consulting Services relying on Fbancial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return Nature of the balance's: of these investments. Southern Trust invests in different portfolios catered to their <bents and makes their revenue based on the returns and the fees associated well managing their clients assets Countnes where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requeng soiree of wealth descnpoon as indicated in Section 2) Primary Country of source of wealth source of Funds) Pnnwy industry of source of Wealth/Source of Funds) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunnary of assetseabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.(3): 2,000,000 00 Estimated net wait p.a. ($) 1,500,000 00 Estimated investable abets ($): $2 MM • 5 MM Potential Amount to be Invested with PV/IM (S): 300,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.comiservlet/servlet.Integration?lid-0IN30000000D9Di&e.. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SIVED