EFTA01282264.pdf

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01121738 Status : 6. Approved One sheet must be established Sadonsh - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY REtATIONSHIP: Booking Center: N'-t. mi rk Relationship Manager: Pad Morris w New PWM Relationship .4 O Exciting PWM Relationship Relationship to PWM: II existing, please indicate since when the relationshi exists, provide reason for new rook and attach old proffle: New personal chaffer:9 and money market for Jeffrey Epstein. This S an update of approved KYC $01082293 where Jeffrey has already been approved. • Client Referral El RM Prospect O Intermediary/71M O Other Source (as, exc.) How Was the Chang') Introduced, How long has the RM personalty known the Meese provide details (e.g. ante of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was clients a client of Paul's at ./P Morg n. Paul and Jeffrey Epstein had a mutual frlendffoleague who Introduced them while Paul was at WMorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of his funds over to JOMorgan Does Deutsche Bank pay a • Yes 110 No retrocession or similar conipensatto toe third party for the introduction of this (71 Yes, descnbe): relationslic, list all existing and new accounts invoked in this relationship Legal Entity Cunt Name / Number Opening Date (ntended/adual) Account(s) I O Southern Finandal, LLC 8/19/2013 2 El Southern Financial, LLC 8/19/2013 3 RI Southern Trust Company, Inc. 8/19/2013 4 12 Southern Trust Company, Inc. ti19(2013 5 I21 Jeffrey Epstein 9/11/2013 6 5 Jeffrey 'PStenl 9/11/2013 Who is he primary contact person or the Rme (Note: This Preferred method of contact person needs to have Jeffrey Epstein 390 775 2525 (indicate phone no., fax no., signatory rights and/or e-mail address, etc.): Information right for the accounts.): SDNY_GM_00037667 https://dbforcepb.my.salesforCCINEADailIJIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DE-SDNY-0000491 EFTA_00148276 EFTA01282264  KW' Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, !IC Acct. Number Ofavailable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)/ Money Market. To hold funds for the company. Indicate from where the assets are expected to ante? El DB Group: Same Booking Center (Indicate account number): El DB Group: Other Booking Center (Indicate DB location and account details): Fr Other Ina/ration (Indicate name & location): JPMorgan, NYC .4 El Physical 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 2 inflows & outflows per month ranging from $1000 to $10,030. I Currency I USD What is the expected vokime of assets and currency for the account approx. 90 days alter opening, I 1150,000 What is the expected volume of assets and currency for the account approx. one year alter opening? I Cana." ' USD DoesAvil the client have Assets Under Management (MM) within DB under Eur. 3M? Dik•S 0 tdo Please list all parties related to the account. For each party: • Check t a source of wealth escription Is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f non of the check boxes pply, describe the party's relation t the accot.it in the `Other column. • /Wray descnbe the relation hip between t e parties n the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Ccoal Description AccountplC Senior of Monate Signatormantectinancial Significant egal Srantor/Settbr Founding Other :abb.)! Source Holder OwnerTrust / Bendiciabr Full 'NM Intermettlan/Sharehoklerlepresentatbe Donor please of Wealth Founder of >erne, POA (FIN) > -25%) describe retuned Foundation Non-PIC Aber roles entity and/cc Parties indicate ndicate related to ownership relationship this , 0) between Account Unties) Sok shareholder 3 O 0 se" Epstein O O O O O O O CI O 0 of Southern Trust; Southern 2 El 0 Financial NI in [ -1 ri rl (7) El 11 ITI LIC Southern Trust is the sole member of Southern Southern Trust 3 5gl Company, • O CI O O O O 100 O O O and Jeffrey Inc. Epstein is he sole shareholder of Southern Trust; SDNY_GM_00037664 hups://dbforcepb.my.salesforcaaNtallacMUN0000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000492 EFTA_00148277 EFTA01282265  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Southern Financial, tic Am. Number (f warlable) Account Manager Paul Moths What is the purpose of the account (e.g. pertfolio management advisory account, custody services, long.tern Investment, payment/emense account)' Checking account to hold funds for the corrpany. Indicate from mime the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate OB location and account details): El Other InstAution (Indicate name & locationk lfliorgan, NYC O Physkal Decosits (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)y: Roughly 10 Slows and 10 °Wm..' 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 after opening' I 100,000 I Currency I USD What is the expected vc4urne of assets and currency for the account approx. one year after opening? 1 Does/will the client have Assets Under Management (AuM) wthin 011 under Fur. 3bo 0 Yes gl No Please list all parties related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to desert* the relationship lithe party to this account (> 1 can be selected). • If none of the check bows apply, describe the patty's Sefton t the account in the 'Other' token. • Always describe the relationship between the patties in the last column. • Please drill down to the ultimate/underlying Benetkial Owner(s). -egaliDescriptbn Accounb?IC Settler of Atimate gnatorytimtedrinancial Significant egal GrantonSettlotounding Other Entityol Source Holder DymerTrust/ 3eneficia r Ful POA InterinediarySharehokierRepresentative owe please of Wealth Founder of Owner (FIN) ,>n25%) irscribe required Foundation NoniPIC other roles entty and/or Parties ,indicate ndkate related to ownership ciationship this %) ietween account levities Sole Jeffrey i, • • shareholde 1 O N O N O • • • • Epstee of Southern Trust; Southern 2 12 WI Financial pi El Ei3 O O si O O O O IC Southern Trust Is the sole "veneer of Southern Southem 3 Ira O Trust ri . O O O O O 100 O O O Financial Company '—' and leffrey Inc. Epstein h the sole shareholder of Southern Trust: SDNY_GM_00037669 https://dbforcepb.my.salesforcCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000493 EFTA_00148278 EFTA01282266  KYC Print Page 4 of 14 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number rdavaladet. Account Manager Paul Morris what is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, long-term investment, payment/expense account)' Checking account. To hold funds for company Indicate from where the assets are expected to arrhte? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 12 Other Institution (Indicate name & bcationk 1Pliorgan, NYC 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 pe month)?: Roughly 10 aillows and 10 outflows per month ranging from $1600 to $10,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening', I What 6 the expected volume of assets and currency for the account approx. one year after 1100,000 I Currency opening, I USD Don/will the client have Assets Under Management (AuM) witNn DO under Eur. 3M? n Yes . No Please list all parties related to the account For each party: • Check I a source of wealth descrIptkin is required for the party. • Check the appropriate box to desatbe the relationship tithe party to this account (> 1 can be selected). • If none of the check bons apply, describe the party's relation t the account in the 'Other' cokxm. • Always describe the relationship between the parties In the last cokann. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egallDescriptian AccounDPIC Settler of -Iltimate SignatonninsteiFinancial Significant .egal rrantortSt•ttiorrounding Other Entityof Source Holder DwnerTrust / 3enericialor RA POA GnernedarySharehoklerRepresentatse Donor please of Wealth Founder of Owner POA (FIN) ,>=25%) describe requited Foundation Non-PIC other roles entity snd/or Parties ,indicate ndxate related to ownership dationshlp his %) between account >aches) Sole Jeffrey i, • • O O O O O • • shareholder 1 III El Epste6 of Southern Trust; Southern 2 El 0 rust O O • O O O O • O T_ompany, roi ,nt. SDNY_GM_00037670 https://dbforcepb.my.salesforeCLINEIDEgrNinliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000494 EFTA_00148279 EFTA01282267  KYC Print Page 5 of 14 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Hunter rdavaledei. Account Manager. Paul Monis What is the purpose of the account (eg. potato management, advisory account, custody services, long-term Investment, payment/expense account)? Money Market account. To hold funds for the co pang. Indicate from vane the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location )(Morgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the tweeted size and frequency of regular idioms and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 2 inflows & 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 after opening, I What s the expected volume of assets and currency for the account approx. one year after 1150,000 I Currency I USD opening, Does/vi the client have Ames Under Management (AuM) vAllin 06 under Eur. Ws • yes . . No Please Ilk all hordes related to the account For each party: • Check I a source of wealth desorption is required for the party. • Check the appropriate box to describe the relationship tithe party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation t the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egallDesattbn AccounOPIC Settler of Jltimate ISignatorysinitectinancial Significant _egal Grantor/Settlorrounding Otter Entityof Source Holder DwnerTrust / 3eneficiabr Ful POA 4termediarySharetiokterlepretentetive Donor please of Wealth Founder of Owner POA (FIM) ,>•25%) ieurte required Foundation Non.PIC other roles entity and/or Parties ,indicate ndicate related to ownership dationship his %) oetween account wiles) Sole Jeff m • • shareholder I O 0 Epsten rey O 2] O O O • • of Southern Trust; Southern 2 23 21 Irust O O • O O O O • O t-A, _ompany, i❑r AC SDNY_GM_00037671 https://dbforcepb.my.salesforeCLINErilDEgrialliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000495 EFTA_00148280 EFTA01282268  KYC Print Page 6 of 14 2. Account Ownership Summary Account Name: )eltrey Epstein Acct. Number (ifavailaWe): Account Manager Paul Morris What is the purpose of the accoum (e.g. portfolio management, advisory account, custody services, long term investment, payment/expense account)' Checking account for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to anise? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): El Other Institution (Indicate name & location): Walorgan Chase. New York, NY O physical 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 15 Slows and outflows per month ranging from $100.510,000. 150,000 I Currency I USD What is the expected vekene of assets and currency for the account approx. 90 days after opening? 1100,000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/call the client have Assets Under Management (AuM) whiln 011 under fur. 3M? • Yes 0 No Please list all parties related to the account for each party: • Check I a source of wealth description 6 required for the party. • Check the appropriate box to describe the relationship of the party to tins account (> 1 can be selected). • If none of the check boos apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last colonn. • Please drill down to the ultimatefunderlyhm Beneficial Owner(s). AgallDesciptian Account 'IC Settler of iltimate tignatory‘imitecifiriancial Significant egal `.kanter/SetUoicoundinOther [mayor Source ioldr. "Xynearust / Seneficialx RA ROA intermediary Shareho eereentative Donor *please of Wealth Founder of Owner POA (Fla) >=25%) describe required Foundation ,51ort-PIC other roles Parties pray ,indkate and/or ndicate related to ownership elationship .his Rog >etween account Tarbes) kffrey a O O 1 O 0 Epstein O O O O O O O SDNY_GM_00037672 https://dbforcepb.my.salesforCaNErilDnEgrNIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED_ R_ CRIM. P. 6(e) DB-SDNY-0000496 EFTA_00148281 EFTA01282269  KYC Print Page 7 of 14 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (Favaabley. Account 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 account to hold Jeffrey Epstern's personal funds. Indicate from where the assets are expected to arrive? O DC Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): El Other Institution (Indicate name & location): JPFlorgan Chase. New York, NY O Physkal Deposits (specify cash, securities, cheques, ...): What is the epected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 1.2 Slows and outflows per month ranging from $1,000 to $20,000 I 100,000 Currency I USD What is the expected rearm of assets and currency for the account approx. 90 days after opening? 200,000 I Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/w/ the awe have Assets Under Management (Aunt) within 043 under Eur. 3M? • Yes 0 No Please flat all nerd's related to the account For each party: • Check I 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 bons apply, describe the party's relation to the account in the 'Other <alum. • Ahrays describe the relationship between the parties In the last teflon. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egaliDescriptbn Account ?IC Senior of JRJrnate SignatotwirnibediFinauxial Significant eget `.kantor/SetUorfoundinOther [mayor Source lob/... mriceinist / 3eneficiabx Full ?OA Intermediary Shortly careen Donor 'please of Wealth Founder of Owner POA (FIN) >=25%) describe requited Foundation Non-PIC other roles entity ondior Parties indicate ndicate related to ovaiershlp elationshp .his 36) between acco Tanks) Jeffrey 0 O O O 0 astern ❑ O O O O SDNY_GM_00037673 https://dbforcepb.my.salesforeCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000497 EFTA_00148282 EFTA01282270  K4/'( PT nt Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (tor .ill [tat t-.) Individuars Name: Jeffrey Epstein - 00000483289 Date of Binh: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Address of primary residence: Utte Saint James Saint Thorns 00802 US Virgin Islands M5/her country of ;enormity El yes No In 5 years or more' Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red hook Quarter 83 St. Thomas, USVI 00802 Does the person work as senior executive of a DP recognized regulated entity in the finance' CCTT ridustry7 or an entity listed on a Dave-cognised exchange' (Not appeal,* for operating entities • Yes [Ono is the indvidual a Politically Exposed Person (PEP)7(if Yes, dcsaibe) Oyes RI* To the best of your knowledge, Is the individual related to an employee of the Dt3 group'fr O Famly O Friendship 21None Family or Friendship, desaibe) To the best of your knowledge, is the indMdual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Elves zra No senices)7(ric Yes,desaibe) Indicate where and when the client meeting(s) took place: LI applicable, indicate wfirch bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other location (specify): Date: Dominic: Business: Paul Morris O I: 2 4/3/2013 ID N O O 0 O ID Wealth Details for this Individual are not filled h, 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 Indleidues Business: Private Investments Primary Country of source of wealtbrsource of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: ICI Business Owner • Salary/Earnings PiInvestment II Inheritance/Gifts O Other: Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For Dugs, bow did senior accumulate wealth' For inheritance, how did (amity 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.) Epstein began his financial career in 1976 a an options trader at Bear Stearns and became a partner) n 1980. In 1982, Epstein founded his own Joanna' management firm, J. Epstein & Co., managing the assets of theists with more than a beim in net worth. In 1996, I pstein changed the name of his firm to The Financial Trust Company and based It on the island of St. Thomas in the US Virgin Islands, which merged into southern Allan( lal U.C. Al of his clients were anonymous except for the very wealthy businessman taste Werner. HP wealth has con* from his days at Bear Stearns and his financial management firms Estimated Annual Income(1): 10,000,000.00 Estimated amount of investable assets()): 350 MM - 100 MM I stimated Net Wath($): $100 MM - KC MM Mount of assets planned to Invest with PV/M(1): 10,000.00 Other Known Financial Institutions: Institution Mangan ICountry: I USA I Est. Assets Under Mgt: 20,000,000.00 SDNY_GM_00037674 https://dbforcepb.my.salesforeCLINEIDEgrlardiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000498 EFTA (H)148283 EFTA01282271  KYC Print Page 9 of 14 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family rnernbets, etc.): Single One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Somme 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Southern Einancial LEC - 00030483882 0 Foundation/Association O This) 21Company O Estate Private Investment O Type of rutty: Purpose of Entity: PhilanthropkiChantable O O Partnership Commerce' Purpose of Entity Type of Entity Other (specify): Other (specify): Country of IS virgin Islands Date of incorporation / 2/7517013 Incorporation/registration. registration: Volcker Status: Volcker Flag: Address (city, greet, post WOO Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: code): provide a description of the entity's organtratlonal structure, Its ownenflp structure and As Top Management. For trustfffoundations, include information abo,Ii revocablllty,settlor and beneficiariesvetc.: Southern 1rust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Dust Company Inc Please intkate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). To the best of your knowledge, is the entity party to a non-banking relationship with