EFTA01409545.pdf

Case: 01195100 — salesforce.com - Unlimited Edition Page 1 of 12 Ti Close Window Ti Print This Page g Expand All I Collapse All Case: 01195100 Relationship Details Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Primary Officer Paul Morris Reason for KYC New Client Status 6. Approved Office New York Reason for Update (If Applicable) ONLY adding signers to account. All signers have already been approved i previous KYC's. Please rush as this is a simple update. Darren Indyke was approved in KYC 01133377 Harry Beller was added in approved KYC 01141308 Wealth Details Same for All Parties Moderate Risk High Risk Relationship Number 00000483290 Case Owner Approved KYC DB Pay for Third party for introduction Describe, Third party compensation Reason for Rejection (If Applicable) Reason for Rush (If applicable) Exception Expires Reason for Exception (If Applicable) Booking Location NY How Client Was Introduced Introduction Details Prospect Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey Jeffrey Epstein was a client of Paul's a JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at EFTA01409545 JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Request Temporary/Permanent Exception Special Client Type (select if applicable) DB Employee DB is Trustee/CoTrustee Custom Links Import Documents Export Documents View Documents From Repository KYC Wizard Launch Due Diligence View Due-Diligence Case-Report Global KYC Print 1. Documentation to add Mr. Beller to Mr. Epstein's accounts was not located. Please rush. Need confirmed addition of signer by February 27, 2014 DB Managed PIC Bearer Shares? https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409546 Case: 01195100 — salesforce.com - Unlimited Edition Page 2 of 12 A. Type of Photo ID Provided A. If Other, Type of Photo ID Provided B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached B. Yes C. Please indicate the results of the database searches performed Yes - Negative Results Found RDC searches complete OFAC checks complete Denial Orders checks complete Yes - No Negative Results Found Yes - No Negative Results Found U.S. Drivers License; Passport PCR checks complete BIS searches complete Martindale-Hubbell searched Yes - Negative Results Found Yes - No Negative Results Found Not Applicable D. Please summarize any negative results from the database searches indicated above D. DARREN INDYKE: Approved in KYC #01133377 HARRY BELLER: Approved in KYC #01133624 JEANNE BRENNAN: Jeanne was previously approved in KYC #01141315 JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media EFTA01409547 No court cases 3. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. Has the client or related party ever been convicted of a criminal offense? E. Yes https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409548 Case: 01195100 — salesforce.com - Unlimited Edition Page 3 of 12 F. Has the client or related party ever been involved in any past or threatened litigation against Deutsche Bank AG or any of its subsidiaries? F No G. To the best of your knowledge, does the customer have any financial association/interaction, e.g maintain homes or companies, etc., within the countries and regions, or is the customer associated with the regimes or organizations that.. G No H. Does the client or related party have any financial or other associations/- interactions within countries that pose a risk of money laundering? H. No I. Entity Documentation Attached I Yes J. Intermediary form approved by AML compliance? (intermediaries only) Not Applicable K. If any documentation is not in English, please provide an English summary or translation Summary Approvals Primary Officer/RM Approver AM Approver (Int'l Only) Office Dir./Bus. Head/GMTH/SMTH Approver Regional Office Director Approver AML & Business Risk Approver AML & Business Risk Approver II Compliance Approver Compliance Approver II Gwen Hill Janice Franklin Brian M. Biggar Paul Morris Primary Officer/RM Approval Date AM Approval Date (Int'l Only) Office Dir./Bus. EFTA01409549 Head/GMTH/SMTH Date Regional Office Director Approved Date AML & Business Risk Approved Date AML & Business Risk Approved Date II Compliance Approved Date Compliance Approved Date II *** REMINDER--You must check the active assignment box below to route to the office director Disregard the below fields Contact Name Jeffrey Epstein Subject 3/28/2014 3/28/2014 2/24/2014 2/24/2014 Priority Description High https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409550 Case: 01195100 — salesforce.com - Unlimited Edition Page 4 of 12 Contact Information Name Jeffrey Epstein Customer Name Epstein, Jeffrey Nickname *Marital Status Gender * SSN 090-44-3348 * Federal Tax ID # Birthdate Date of Death Relation to Customer Primary Main Contact Contact Name at Company Custom Links View Customer Accounts & Revenue Request to be Deleted Launch Due Diligence Update KYC Create KYC Show KYC's BIS Research Request Template Phone and Email Primary Phone Type Phone Home Phone Business Phone Mobile Other Phone Other Description Privacy Information Mailing Restrictions Do Not Call Address Information Mailing Address Type Business Other Address Type Primary Residence Contact Conversion Request Map View Due-Diligence CaseReport Self 1/20/1953 Contact EFTA01409551 Owner Last Modified By Created By Paul Morris Relational Junction, 3/2/2015 4:43 AM Tanuj Sharma, 4/18/2013 11:30 AM Customer Number 00000483289 Status Active Bank 1 Vantive Owner Type eSign Compliant Email Individual Email Email2 Website Asst. Phone Assistant Fax https://dbforcepb.my.salesforce.com/5006000000XeltI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409552 Case: 01195100 — salesforce.com - Unlimited Edition Page 5 of 12 * Business Name Southern Financial LLC * Other Business Name * Position/Title/Rank President Mailing Address 6100 Red Hook Quarter B3 St. Thomas, 00802 USVI Additional Address Information Other Address 2 Type Other Address 2 Other Address 3 Type Other Address 3 Legal Address (TEAS Ticket required to change Legal Address) * Legal Street Litte Saint James * Legal City * Legal State * Legal Zip Code 00802 * Legal Country Salutations Prefix: Formal - Couple Salutation: Formal - Couple Prefix: Formal - Solo Salutation: Formal - Solo Prefix: Informal - Couple Salutation: Informal - Couple Contact Description, Interest and Hobbies Marketing Interests Description Personal Interests Additional Party Information *Profession/Occupation * Nature of Individuals Business Self Empolyed Private investments *Is Indv/Entity a PEP (or associated)? * If Yes, describe PEP EFTA01409553 No Prefix: Informal - Solo Salutation: Informal - Solo Prefix: Other Salutation: Other US Virgin Islands Saint Thomas * Other Position/Title/Rank Other Address Litte Saint James Saint Thomas, 00802 US Virgin Islands * Country of Citizenship (Individual) * Country of Residence (Individual) USA USVI Spouse / Children Education https://dbforcepb.my.salesforce.com/5006000000XeltI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409554 Case: 01195100 — salesforce.com - Unlimited Edition Page 6 of 12 *Family Relationship to DB Employee * If Yes, details of Relationship KYC Related Parties Epstein, Jeffrey KYC Party Contact Jeffrey Epstein Type Individual contributes to account or wealth Account Holder Southern Financial LLC KYC Party Contact Southern Financial LLC Type Entity contributes to account or wealth Account Holder Southern Trust Company, Inc. KYC Party Contact Southern Trust Company, Inc. Type Entity contributes to account or wealth Account Holder Beller, Harry KYC Party Contact Harry Beller Type Individual contributes to account or wealth Account Holder Indyke, Darren KYC Party Contact Darren Indyke Type Individual contributes to account or wealth Account Holder Brennan, Jeanne KYC Party Contact Jeanne Brennan Type Individual contributes to account or wealth Account Holder KYC DB Accounts Southern Financial, LLC Southern Financial, LLC Southern Trust Company, Inc. None https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409555 Case: 01195100 — salesforce.com - Unlimited Edition Page 7 of 12 Southern Trust Company, Inc. Jeffrey Epstein Jeffrey Epstein KYC Related Party Roles Southern Trust Company, Inc. KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Sole shareholder of Southern Trust Last Modified Date 2/24/2014 Southern Trust Company, Inc. KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Sole shareholder of Southern Trust Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Sole shareholder of Southern Trust Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Sole shareholder of Southern Trust Last Modified Date 2/24/2014 Southern Trust Company, Inc. KYC Party Contact Southern Trust Company, Inc. Role Account Holder Please Describe Last Modified Date 2/24/2014 Southern Trust Company, Inc. KYC Party Contact Southern Trust Company, Inc. Role Account Holder Please Describe Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Southern Financial LLC Role Account Holder Please Describe Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Southern Financial LLC Role Account Holder https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409556 Case: 01195100 — salesforce.com - Unlimited Edition Page 8 of 12 Please Describe Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Southern Trust Company, Inc. Role Significant Shareholder(>=25%) Non-PIC Entity (Indicate ownership %) Please Describe Southern Trust is the sole member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Southern Trust Company, Inc. Role Significant Shareholder(>=25%) Non-PIC Entity (Indicate ownership %) Please Describe Southern Trust is the sole member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Jeffrey Epstein Role Account Holder Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Jeffrey Epstein Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Jeffrey Epstein Role Account Holder Please Describe Last Modified Date 2/24/2014 https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- EFTA01409557 5006000000XGHtIA... 8/28/2015 EFTA01409558 Case: 01195100 — salesforce.com - Unlimited Edition Page 9 of 12 Southern Trust Company, Inc. KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Southern Trust Company, Inc. KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Southern Financial, LLC KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Jeffrey Epstein KYC Party Contact Darren Indyke Role Signatory or Full POA Please Describe Last Modified Date 2/24/2014 Southern Trust Company, Inc. KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Trust Company, Inc. KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Financial, LLC KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409559 Case: 01195100 — salesforce.com - Unlimited Edition Page 10 of 12 Last Modified Date 3/24/2014 Southern Financial, LLC KYC Party Contact Harry Beller Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Trust Company, Inc. KYC Party Contact Jeanne Brennan Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Trust Company, Inc. KYC Party Contact Jeanne Brennan Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Financial, LLC KYC Party Contact Jeanne Brennan Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Southern Financial, LLC KYC Party Contact Jeanne Brennan Role Signatory or Full POA Please Describe Last Modified Date 3/24/2014 Case Comments 3/28/2014 10:45 AM User Gwen Hill Public Attachments Comment Risk Calculator located in KYC #1082293. POA D. Indyke for J. Epstein.pdf Size 354KB Ownership Denise Thompson View View file Last Modified 5/6/2014 4:15 PM 1195100 KYC Checklist Southern Trust Company Inc.xls Size 52KB Ownership Janice Franklin View View file Last Modified 3/28/2014 12:38 PM 1195100 KYC Checklist Jeffrey Epstein.xls Beller Signing Authority.pdf Size 29KB Approved KYC 1195100.pdf Size 126KB Ownership Gwen Hill EFTA01409560 View View file Last Modified 4/10/2014 4:02 PM 1195100 KYC Checklist Southern Financial LLC.xls Size 52KB Ownership Janice Franklin View View file Last Modified 3/28/2014 12:38 PM https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409561 Case: 01195100 — salesforce.com - Unlimited Edition Page 11 of 12 Size 52KB Ownership Janice Franklin View View file Last Modified 3/28/2014 12:37 PM ST Corp Res for DK, HB and JB.pdf Size 540KB Ownership Amanda Kirby View View file Last Modified 3/26/2014 12:57 PM LLC Res for DK, HB and JB.pdf Size 433KB Ownership Amanda Kirby View View file Last Modified 3/20/2014 12:33 PM Signed Personal POA for Darren.pdf Size 437KB Ownership Amanda Kirby View View file Last Modified 3/19/2014 2:56 PM Case History 5/6/2014 4:16 PM User Denise Thompson Action Deleted 4/11/2014 in Exception Expires. Changed Status from 7. Approved with Temporary Exception to 6. Approved. 3/28/2014 12:39 PM User Janice Franklin Action Changed Owner (Assignment) from Compliance KYC to Approved KYC. Changed Compliance Approver II to Janice Franklin. Changed Status from 4. Ready for AML & Bus. Risk Approval to 7. Approved with Temporary Exception. 3/28/2014 10:54 AM User Gwen Hill Action Changed Exception Expires to 4/11/2014. Changed Compliance Approver to Gwen Hill. 3/27/2014 1:45 PM User Amanda Kirby Action Changed Owner (Assignment) from Amanda Kirby to Compliance KYC. 3/25/2014 5:35 PM User Janice Franklin Action Changed Case Owner from Compliance KYC to Amanda Kirby. 3/24/2014 2:33 PM User Amanda Kirby Action Changed Owner (Assignment) from Amanda Kirby to Compliance KYC. 3/24/2014 2:25 PM User Gwen Hill EFTA01409562 Darren Signing Authority LOA.pdf Size 55KB Ownership Paul Morris View View file Last Modified 2/24/2014 12:02 PM Corp Res for DK, HB and JB.pdf Size 454KB Ownership Amanda Kirby View View file Last Modified 3/20/2014 12:33 PM SF LLC Res for DK, HB and JB.pdf Size 519KB Ownership Amanda Kirby View View file Last Modified 3/26/2014 12:57 PM Ownership Gwen Hill View View file Last Modified 3/28/2014 10:17 AM https://dbforcepb.my.salesforce.com/5006000000XGHtI/p?retURL=/- 5006000000XGHtIA... 8/28/2015 EFTA01409563 Case: 01195100 — salesforce.com - Unlimited Edition Page 12 of 12 Action Changed Case Owner from Compliance KYC to Amanda Kirby. 3/20/2014 12:33 PM User Amanda Kirby Action Changed Owner (Assignment) from Amanda Kirby to Compliance KYC. 3/4/2014 11:32 AM User Janice Franklin Action Changed Case Owner from Compliance KYC to Amanda Kirby. 2/26/2014 11:48 AM User Amanda Kirby Action Changed Owner (Assignment) from Amanda Kirby to Compliance KYC. Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. 2/26/2014 8:56 AM User Janice Franklin Action Changed Case Owner from Compliance KYC to Amanda Kirby. 2/26/2014 8:56 AM User Janice Franklin Action Changed Reason for Rejection (If Applicable). Changed Status from 4. Ready for AML & Bus. Risk Approval to Rejected. 2/24/2014 3:47 PM User Brian Biggar Action Changed Owner (Assignment) from New York KYC to Compliance KYC. Changed Office Dir./Bus. Head/GMTH/SMTH Approver to Brian M. Biggar. Changed Status from 3. Ready for Office Dir Approval/SMTH to 4. Ready for AML & Bus. Risk Approval. 2/24/2014 12:55 PM User Paul Morris Action Changed Owner (Assignment) from Paul Morris to New York KYC. Changed Primary Officer/RM Approver to Pau Morris. Changed Status from 1. In Progress to 3. Ready for Office Dir Approval/SMTH. 2/24/2014 12:02 PM User Amanda Kirby Action Changed Case Owner from Amanda Kirby to Paul Morris. 2/24/2014 11:54 AM User Amanda Kirby Action Created. 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