EFTA00166863.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case ♦ : 01141322 One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000463290 I Becki-g Center: I New York Relationship Manager: Paul Monis O New PWM Relationship O Existing PWM Relationship Relationship to AVM: If existing, please indicate skxe when the relations p exists, provide reason for nev profile and attach old profile: O Client Referral I0 RM Prospect ll O Intermechary/FIM I O Other Source (CIB, etc.) How Was the Cbent(s) Introduced? How long has the RNI personally known the client' Please provide details (e.g. name of referral source, how many years RM personally has known cent, etc.): 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 dent of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who Introduced them while Paul was at II:Horgan. 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 retrocession or similar O Yes I 0 No compensation to a third party roc the introduction of the relationship, (If Yes, desenbel. Int all existing and new accou is involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended/actual) 1 0 NES, LLC 10/28/2013 2 gi NES, LLC — Money Market 10/28/2013 Who is the primary contact linen for the Rter (Note: This person needs to have signatory rights and/or information right for the accounts.): Harty Seller Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002637 EFTA_00016 III EFTA00166863 KYC Print Page 2 of 12 One sheet must be established for each account to be o 2. Account Ownership Summary Account Name: NES, LLC Acct. Number (if evadable). Account Manager Paul Morris What s the purpose of the account (e.g. portfolio management, advisory account ustody services, long-term investment payment/expense account)' Checkng account to boil the funds necessary to cover the costs associated mac running one of Jeffrey Epsteln's homes Indicate from inhere the assets are expected to arrive' • 08 Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (indicate DB location and account details): O Other Institution (Indicate name & location): II/Morgan. New York O Physical Deposit (specify cash, securities, cheques, ..): What is the expected size and frequency of regular rflows and outlaws for the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from $1000 to $20000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1100000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1100000 I Currency I USD Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes No Please list all parties related to the account. For each party: • Check if a source of wealth description is requied 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 partys relation to the account In the "Other" column. • Always describe the relationship between the parte in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). _egal Intitycf Description Source of Wealth required Parties related to this account\ AccanthlC Holder OwnerTrust Bettor of / Founder of Foundation Jitimate Benefkiator Owner %natty Full POA ArniteciFinancial ?OA IntermediaryShareholder (FIM) Significant (>•25%) Non-PIC entity (Indicate ownership %) ,egal Representative Grantor/Setdcricundmg Donor O Other (please describe other roles and/c. indicate relationship between cartes) 1 21 5 "Es' LLC El O O O O • O O O 2 O O Harry K Beller ri "3 O O O 2 O O O O O 3 • 5 ;ter n m Epst ei • O O 2 F2) El • O • • 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-0002638 EFTA_000161 12 EFTA00166864 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: NES, LLC — Money Market Acct Number (1 avar:rO4r) Account Manager Paul Morris what is the purpose of the account (eq. portfolio managem nt, advisory account. custody services, long-berm kwestrrkrit, payment/expense account), Money market account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate from where the assets are expected to amve, O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 21 Other Institution (Indicate name & location): )PMorgan. New York O Physical Deposits (specify cash, securities, cheques, ...): What is the expected she and frequency of regSar nflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1.3 inflows and outflows per month ranging from $1000 to $10000 What s the expected volume of assets and currency for the account approx. 90 days after opening, 1 100000 I Currency I USD What 6 the expected volume of assets and currency for the account approx. one year after opening, 1 100000 I Currency I uSD Does/wit the client have Assets Under Management (AuM) within DB under Eur. 3M' Dyes RI Flo 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 his account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the -Other column. • Always describe the relationship between the parties in the last column. • Please drill dorm to the ulbrnate/ ndeelying Beneficial Owner( ). _egal Mayor Description Source of Wealth reputed Pastes related to this account AccountrIC Molder Ciwnertnnt babe of / Founder of Foundation Jltimate Beneficiabor Ovmer Signatoryirritealeinancial Poi POA POA Intemserharytehareholder (FIN) Signifcant (>=25%) Non-PIC entity (indicate ownership %) -egal Representative Grantor/SettlorlFoundng Donor • Other (please describe other roles and/ct indicate relationship between parties) 1 2 2 sea, LLC e a o 0 • 0 . • D 2 E] O Harry Beller ri "1 • O O lifi O • O O O 3 O El Jeffrey Epstein s—, ,—. O O O O • O O 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-0002639 EFTA_00016113 EFTA00166865 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownstship Summa 3A. Individual Details ( all parties) Individuars Name: Jeffrey Epstein - 00000483289 Date of Birth 1/20/199 Country of Residence: USVI Country of Citizenship: USA Address of primary residence Lae Sant lames Saint Thomas 00802 US Virgo Islands Has client resided outside of hie/her country of natharsalRy ter 5 years or mete? O yes ?allo Profession/Occupation: Self Empotyed Tax ID / 5511: Current Employer Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustre or an entity listed on DB-recognised exchange? (Not applkable for operating nutlet L.J yes 0 No Is the individual a Politically Exposed Person (PEP)'('/ Yes, describe) O yes INo To the best of your knoWedge, is the Individual related W an employee of the 08 group/(A Faint or FnencIsixA describe ) 0 Family 0 Friendship eg None To the best of your knowledge, is the individual party to a non-banking relabcrishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'() Yes, desert.) O Yes iN No If applicable, indicate which bank celkers have met the person: Indkate where and Wien the client meetkg(s) took place: Bank Officer Name(s) Bank Office Client Private cile. Client Place of Other Location (specify): Date: Paul Morris O O 0 10/21/2013 O O O K O u O Wealth Debit 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 Individual's Business: Prwate investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Surrrnarize Source of Weakly E Business Conner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Descrbe Source of Wealth /Detail the history of neath for each of the sources: (e.g. For trusts, how did settlor &cumulate weal h? For inheritance, how did family accumulate wealth>For business owners, how long In business, how many employees, level of profitability' Indicate type of business, counties of major activities. important business partners.) Epstein began It financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of dents with more than a billion in net north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management Roos Estimated Annual Income(S) 10,000,000.00 Estinated amount of investable asseW(S): $100 MM - SOO MM Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest vii PWN(S): Other Known Financial Institutions: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002640 EFTA_00016114 EFTA00166866 KYC Print Page 5 of 12 Institution. Idmorgan Institution: Deutsche Bank Institution: Country: USA Est. Assets Under Mgt 40,000,000.00 Country: USA Est Assets Under Mgt 154,000,000.00 Country: Est Assets Under Mgt: Please imitate the farm& situation of the indrvidual (marital status, other famty 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-0002641 EFTA_00016115 EFTA00166867 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account ownstship Sustssnry_ 3A. Individual Details (for all parties) Individual's Name. Harry Beller - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of his/her country of natlenalky for 5 years or more? No Dyson Profession/Occupation: Accountant Tax ID / 5511: Current Employer KIRK Associates, Inc Position/Trtle/Rank: Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY USA 10022 Does the person work as senio executive of a DB-recognized regulated entity in the financial ndustry' or an entity listed on CB-recognised exchange' (Not applicable for operating nutlet O Yes 0 No Is the individual a Politically Exposed Person (PEP)(/ Yes describe) O yes EZI No To the best of your knowledge, IS the Individual related Wan employee of the DB group"(r/ Faint or (nencIsixA describe ) 0 Family 0 Friendship eg None To the best of your knowledge, is the individual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'at Yes, desrnb e I O Yes rA No If appeal*, indicate with bank cfrKers have met the person: Indicate where and when the client meet:4(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Locabon (specify): Date: Paul Morris O O 0 10/21/2013 O O O O O u El Wealth Debin for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: OBusiness Owner O Salary/Eamings 00ther: i i i Investment O Inheritance/Gifts Further Desoto Source of We Rh /Detail the history of weath for each of the sources: (e.g. For trusts, how did setUor accumulate wealth' For inheritance, how did family accumulate we Ith'For business owners, how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvitles, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Insbtubon: Country: Est Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002642 EFTA_00016116 EFTA00166868 KYC Print Page 7 of 12 Institution: Country Est Assets Under Mgt Please incicat the family situation of the indmdual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Enbties) Legal Entity Name: NES, LLC - 00000487265 Type of Entry El Foundation/Associatice DTrust R Company O Estate O Partnership Purpose of Entity: RI Pnvate Investment Ell Philanthropic/Chartable 1r...) Commercial Type of Entity Other (specify). Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of incorporation/ registration: 8/13/1998 Vokker Status: Volcker Flag: Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00302 USVI U.S. TIN/EIN: 13.4146141 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revccabillty,settfor and beneficiaries,etc.. Single member LLC. Jeffrey Epstein is the sok member Please indicate how ownership of the legal entity is reflected: Single member LLC. Jeffrey Epstein 's the sole member D Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entry to the ultimate beneficial owner (if not x same persons) Single member LC. Jeffrey Epstein is the sole member To the best of your know/edge, Is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)': YeS O No W Describe Nature of Entity's Primary Business and Investment Activities Nature of the buuness- NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes Counties where business is transacted: USA, USVi Hunter of employees: 1 3D. Wealth Profile (Only for part es requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of WealthrSour« of Funds' Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/kat:rites): AI funds come from Jeffrey Epstein, who has been KYCd previously Estimated gross receipts Noy Estimated net profit. (3): Estimated investable assets ($): <31. MM Potential Amount to be invested with RAM ($): 200,000.00 Other Known Fnancial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: 200,000.00 Institution: Country: Est Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002643 EFFA_00016117 EFTA00166869 KYC Print Page 8 of 12 Institution: County: Est Assets Under Mgt I 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-0002644 EFTA_00016118 EFTA00166870 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Bookng Center NY/ Offshore C Offshore Risk n Moderate Janice Franklin re- ..I NY JHigh Risk (Compliance Signature) O CB Managed PIC 7 DB is Trustee/Co-Trustee • DB Employee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 4 Drivers License A Passport • Nabonal/State ID O Other Checklist el names (individualsand/or'Mites) that were submitted for database searches is B. @Yes O No attached C. Please Indicate the results of the database searches performed RDC searches complete @Yes • No negative results found FA Yes ONO PCR checks complete 121Yes O No negathe results found O Yes No OFAC checks complete 121Yes O No negative results found O Yes 0 No BIS searches complete (Lexis/Nexis, Peak., Reuters, Dow Jones, MI CZ Yes • No negative results found O Yes 21No Denial Orders checks complete El Yes CI No negabve results found O Yes ®No Martindale-Hubbell searched (Lawyers/Law Firms only) O Yes 'Zi No negative results found • Yes ONo Please sum Se any negative results from the database searches indicated above: JEFFREY EPSTEIN: Previously = and approved in: 01082293 and 01121718 HARRY BELLER D. Previously and approved: 01133624 NES, LLC: Negative media does not pertain to our client. Ow dent is an LLC that is only used to pay for the costs associated with running a private home No court CMOS E. To the best of your knowledge, has the client ever been convicted of a criminal offense' ri Yes • No To the best of your knowledge, has the customer ever been evolved in any past litigation against AG is litigation Deutsche Bank or any of is subsidiaries or the customer threatening against ID Yet i& No F Deutsche Bank AG Yes, del below or any of Rs subsidiaries' (If provide IS and contact Quaely Mgt. (LatAnyint7) or the Regulatory &awl Group and notify Compeance immediatey) financial Does the client or related party have any or other association / interacbons within G. • Yes @No Foreign Assets countries or regimes sanctioned by the Office of Control (OFAC)' financial H. Does the client or related party have any or other association/ Interactkos within high ra • Yes Ml No risk countries' I. Corporate Documentation Attached (Legal Entities Only) WI Yes O No O Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes ON* !i Not Applicable K. If Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation is net in English, please provide an Englsh summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account here Nexus to Special Risk Countries' O Yes (21No Is the account strucbme unusual/ complex' D Yes No Dyes n No CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002645 EFTA_00016119 EFTA00166871 KYC Print Page 10 of 12 Is there any indication the client set up a non operating occipany expressly for the purpose of transferring shares to third patties' Is there any bxlicabon this could be a prohibited business relationship? K yes He Me the bearer shares kkribfied subject to acceptable controls> ❑Yes No 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-0002646 EFTA_00016120 EFTA00166872 KYC Print Page 11 of 12 M. Casa ammonia !to records to display. ONSHORE APPROVALS Dent Facing Professional (CFP): Paul Marls rignature) ul Mont 10/22/2013 Office DirecbX/Business Head: Brian M. Biggar (Signature) Brian M. Biggar 10/23/200 Regional Orrice Director (Signature) AFIL Business Risk, (Signature) AML Compliance: Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Ughtbody Janice Franklin 11/8/3013 11/e/2013 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head •GHTH)/Sub-Ilarket Team Head SlilTH) (Signature) AML Business Risk (Signatuie) ANL Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(I) (CEP is)should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CPT's) include: Relationship Managers. Wealth Advisors. Product Officers. Brokers. Client Managers, etc. • https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002647 EFTA_00016121 EFTA00166873 KYC Print Page 12 of 12 I Douro Bonk Arnorkos Now York CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002648 EFTA_00016122 EFTA00166874