EFTA00166898.pdf

KYC Print Page 1 of 20 DB PWM GLOBAL KYC/NCA: PART A KYC Case x : 01195100 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relation shi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York Reritionshp Manager: Paul Morris 2 New MTh Relationship O Existing PWM Relationship Relationshp to PWM: If existing, please indkate since when the relationship exists provide reason for new profile and attach old profile: ONLY adding signers to account. Al signers have already been approved i prevbus KYCS. Please rush as this is a surge update. Darren Indyke was approved in KYC 01133377 Harry Beller was added in approved KYC 01191308 O Client Referral in RM Prospect O Interrnediary/FIM • Other Source (CO3, etc.) How Was the Client(s) Introduced, How long has the RM personally known the client> Please provide details (e.g. name of referral source, how many years RM personalty ha known client, 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 client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at .riMorgari. 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 sender Oyes I O No compensation to a third party for the introduction of this relationship/ (If Ya, dambey. List all existing and new accounts involved in this relationship I real Entity Account(s) Account Name / Number Opening Date (Intended/actual) I 2 Southern Financial, LLC 8/19/2013 2 2 Southern Financial, LLC 8/19/2013 3 12I Southern Tryst Company, Inc. 8/19/2013 4 e Southern Trull Company, Inc. 8/19/2013 5 e Jeffrey Epstein 9/11/2013 6 2 Jeffrey pstein 9/11/2013 1Vho Is he primary contact person or the Phi, (Note: This person eeds to have signatory rights and/or informs tan right for the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no., fax no., email address, etc ) https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002672 EFTA_000 16146 EFTA00166898 KYC Print Page 2 of 20 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Narre: Southern Financial, 11C Acct. Number Of twagable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody serykes, tangier°, investment, payment/expense account)? Money Market. To hold funds for the company. Indicate from where the assets are expected to arrive? O DB Group: Same Booking Center (Indicate account number): O DO Group: Other Booking Center (indicate DB location and account details): 0 Other InstRution (Indicate name & location): Pitman, NYC O Physical Deposits (specify cash, securItks, cheques....): What ts the expected size and frequency of regular inflow and outflows for the account (Indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per rnodh ranging from $1000 to $10,000. What a the expected volume of assets and currency for the account approx. 90 days after opening? I Currency I USD 1 150,000 What is the expected volume of assets and currency for the account approx. one year after opening? 'Currency I USD Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M? CI Yes F6 No Please list all parties related to the account. For each party: • Check if a source of wealth escription is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes nay, describe he party's relation to the account In the 'Other column. • Always describe! e relationship between the parties In the lad colienn. • Please dill down to the ultimate/underlying Beneficial Owner(s). _egal Entityof Description Source of wealth required /account oktles related to his AccountpiC Holder OnnefTrust/ Sean of Founder of Foundation _Mutate Benefit', lor antler Signatoryikneteittancial Ful PDA ?OA intermediaryShareholderNepresentative (FIM) Significant ,>=254b) Non-P1C entity $dicate ownership 6) egal Grantot/Settbrfounding Donor Dther "lease describe other roles and/or ndlcate relationship etavecri yolks) O ci Jeffrey Epstein O O O CI O O CI O CI Sole shareholder of Southern Trust; 2 K Southern a ncancial El CI El El El El El El 3 ci Southern Trust Company, Inc. O O O O O O 100 O Southern Inns is the sole member el Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust; 4 O CI Darren Indyke CI O O El O O 5 K Marry Beller O O El K CI 6 K Jeanne Brennan El O El O O K K K 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) DB-SDNY-0002673 EFTA_00016147 EFTA00166899 KYC Print Page 3 of 20 2. Account Ownership Summary Account Name: Southern Financial, La Acct. Number (davailable): T Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio inanagemen 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 C43 Group: Same Booking Center (indicate account camber): • 013 Group: Other Booldng Center (indicate DB location and account details): @ Other Institution (Indicate name & location): WM:Alan, NYC O Physical Deposits (specify cash, marines, 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. What is the expected volume of assets and currency for the account approx. 90 days alter opening? I I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,00D ICuirency I USD Doesivell the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes El No Please Bet 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 rebtion to the account in the 'Other colon. • Always describe t e relationship between the parties in the lad colienn. • Please drill down to the ultimate/underlying Beneficial Owner(s). ...egalOescription lEntttyaf Soiree afWealth required 4.4CCOUnt Parties related to his Account Holder PlC Owne(Trust Settler of / Founder of Foundation Jltimate Benefirialor Owner SIgnatorlantediFiriandad RI POA PO* InterrrediatyShareholderlepresentative (F1M) Significant >=25%) bion-PIC entity ,ndkate ownership ;5) _egal `Sranter/Settbrkounding Ponce Other please describe other roles and/or ndkate rolticnsitip wtv.vol Janie.) 1 • Fj Jeffrey EPsteln in Li-t O O O a O O O O Sok shareholder of Southern Trust; 2 la Southern Financial La S • O • O O O O O O 3 2 2 Sotahern st Company, Inc. is — m O O O O O 100 O O O Southern Trust Is the sole member of Southern and a rer Epstein is the sole shareholder of Southern Trust; 4 0 0 Darren Indyke O O O 2 ID ID 0 0 0 S ID • Hrry Bealler O • Li • El I O O O O 6 O O Jeanne Brennan . "" O O O Iii O O O O O latps://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0002674 EFTA_000 16148 EFTA00166900 KYC Print Page 4 of 20 2. Account Ownership Summary kcount Name: Southern Trust Company, Inc. Acct. Number 6 f available/. T Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, Parnell/Odense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O G43 Group: Same Booking Center (indicate account ember): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): )PMorgan, NYC CI Physical Deposits (specify cash, monies, cheques, ...): What Is the expected site and frequency of regular Inflows and outflows for the account (Indicate est noted number and volume pe monthly. Roughly 10 inflows and 10 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' I 1 Currency I USD What is the expected volume of assets and currency for the account approx. one year after 1100,000 I opening' Currency I USD Does/wIl the client have Assets Under Management (AM) within 06 under Eur. 3M? OYes & 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'alter column. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial Ovabe(s). ...egal)escription lEntttyaf Source al Wealth tequired „account ?arnes related to Jib Account Molder PIG Ownertrust Settler of / Founder of Foundation dtimate Benefklalor >wrier SignatorlanitediFiriancial Rd POA POA IntemediaryShareholderttepresentative (F1M) Significant >=25%) NonPIC entity ,ttidicate ownership '6) _egal 'Granice/Settiorkounding Tenor Other please describe other roles and/or edicate relationship mina+, James) 1 O El Jeffrey K Epstein in 1.--i O O • M O O O O O Sole shareholder of Southern Trust; 2 !A [7] Southern ca ran rmany, Inc. DI in.' u u • O O O O O O • O , OOO ke • 21 O O O O O 4 O O IlanY Beller O O O O n O O ri n • 5 • O JAW! Brennan • • O • El • O .....J O Intps://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002675 EFTA_00016 149 EFTA00166901 KYC Print Page 5 of 20 2. Account Ownership Summary amount Name: Southern Trust Company, Inc. Acct. Number (law:We Account Manages: Paul lawns What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody services, 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 C43 Group: Same Booking Center (indicate account nwnber): • 013 Group: Other Booking Center (indicate DB location and account details): @ Other Instkulbn (Indicate narne & location): )PMorgan, NYC O Physical Deposits (specify cash, sonnies. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (Indicate est mated number and volume pe month)'. Roush?, 2 inflows & outflows per month ranging from $1,000 to $10,000 What ed* expected volume of assets and currency for the account approx. 90 days after opening? I ' Cunene( I uSD What is the expected volume of assets and currency for the account approx. one year after 1150,000 I opening? Currency I USD Does/wil the client have Assets Under Management (AM) within D6 under Eur. NV OYes & 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 'elected). • If none of the check boxes apply, describe the party's rebtlon to the account n the 'Other' column. • Always describe t e relationship between the parties in the lad maxim. • Please del down to the ultimate/underlying Beneficial Owner(s). .egal)eunplion . rstityaf Smote of Wealth -equIred ?aitt related to MIS iccount Account Molder PlC Ownertrust Settbr of / Founder of Foundation Jkimate Beneficlalor Owner Signatorysimkedirmancial RA Km PO* IntermediaryShareholderttepresentatne (RIM) SigMicant ,> =2540 NonPIC entity ,Indkate ownership tts) egal '11raritorThettbrkounding .Mnor Other please describe other roles and/or ndirate relatanship wt yawl James) I O El Jeffrey K Epstein in 1.-.1 O O • M O O O O O Sole ofS shareholder outhern Trust: 2 :.9 [7] Southern rant Company, Inc. DI 1.1-1 u U • O O O O O O • O IDandyke rren O O O • El O O O O O 4 O O Ha" Beller O O O O n O O O CI • 5 • O JAW! Brennan • • O • El • O c_l O latps://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002676 EFTA_00016150 EFTA00166902 KYC Print Page 6 of 20 2. Accommt Ownership spy Account Name: Jeffrey Epstein Acct. Number (Favadabk): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm Investment PaYment/mpenSe account)? GhedOng account Mr Jeffrey Epsteln's personal daily use. Indicate O from where the awes me expects to arrive? DES Group: Same Booking Center (indicate account nutter): 08 Group: Other Elooldng Getter (indicate DB location and account details): Other Insttution (Indicate name & location): MMorgan Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): • @ Cil What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated inflows and outflows per month ranging from $1C0-$10,000. number and volume per month)'. Roughly 15 What is the expected volume of assets and currency for the account approx. 90 days after opening? I I Currency I USD What is the expects volume of assets and currency for the account approx. one year after opening? I Currency 1 USD Does/wIl the client have Assets Under Management (AuM) within DB under Eur. 3M? Rho • Yes 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 this account (> 1 can be selected). • If none of the check boxes apply, describe the party's rekitbn to the accost in the 'Other- coleus. • Always describe the relationship between the parties in the kid colmnn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egalDescription ntttyof Source of Wealth required Nutt-. elated to hr. recount AccomOIC Holder 3,one-trust Senior of / Founder of Foundation Jltimate Benefloallor Owner Signatorwirnitedlimancial Full POA ?OA Intermedkvy5harehold (RN) 61gralunt >=25%) Von-PIC entity _indicate ownership ) egal epresentatIve Grantot/Settlor. bunding Donor Other please describe other roles Ind/or narrate relationship between parties) I O E Jeffrey effrey 2 O O O 0 O O O O El 2 O iron, 3eller O O O O O • • n iii • • 3 O O Darren ndyke O O K • O O O O 27 • 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-0002677 EFTA_00016151 EFTA00166903 KYC Print Page 7 of 20 2. Accomet OWNISSIelp Seatmery Account Name: Jeffrey Epstee Acct. Humber (a` available) Account Manager: Paul Morns What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense aCcouni)> Money Market account to hold Jeffrey Epsteln's personal funds. Indicate O from where the assets 013 Group: Same Booking Center DB Group: Other &cling Center Other Inslitutbn (Indicate Physical Deposits (specify cash, are expected (indicate (indicate to arrive? account matter): DB location and account details): location): JPMorgan Chase. New York, NY cheques, ...): • @ O name & senates, What is the expected sire and frequency of regular inflows and outflows for the account Ondkate estimated inflows and outflows per month ranging from $1,000 to $20,000 number and volume per monthly: Roughly 1-2 What is the expected volume of assets and currency for the account approx. 90 days after opening? I I Currency 1 USD What is the expected volume of assets and currency for the account approx. one year after opening? I 200,000 ICurtency I USD Does(wil the client have Assets Under Management (Auld) within DB under Eur. 3M? R No ll Yes 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' opium. • Mays describe t e relations rip between the parties in the lad cokenn. • Please dr* down to the ultimate/underlying Beneficial Ovaber(s). .egal)escript "Entttyal Source al Wealth -equIred arties ed to nt AccotrottlIC Molder Dwneffrust `Senior of / Founder of Foundation Jltbnate Beneficlalor owner SignatorwInaelFsnanclal Ful POA ?OA lntermediaryShareholderRepresentative (FIM) tignikant (>=25%) Yon-PIC entity indicate armership la) Legal Grantor/Settlorroond g Donor Other please describe other roles and/or ndkate mlationship Setween )arties) 1 O O WrrY kr O OD O 0 O O O O O 2 I2,1 Jeffrey tein a O O O O O • • !a • • 3 O O Owen dyke O O O RI O O O O ii • https://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002678 EFTA_000 16152 EFTA00166904 KYC Print Page 8 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name Jeffrey Epstein • Date of Oath: 1/20/1953 Country of Residence: USVI Country of Cmzenship: USA Address of primary residence: Line Saint James Saint Thomas 00802 US Virgin Islands lids client resided outside of hisiher country of nationality for 5 years or more> 0 yes tri No Profession/Occupation: Self Empolyel Tax ID / SSN: Current Employer Southern Hnandal LLC Position/Me/Rank Pr ens Address of employer: Does the person work as senior executse of a DB.recogntted regulated entity in the financial Mashy? Or an entty listed on a De-recognised exchange? (Not applicable for operating entities mi yes ® r40 Is the individual a Polltkalk Exposed Person (PEP)?tif Ye4. deso-ibe) • Yes No To the best of your knowledge, is the individual related to an employe* of the DB group(/' Farn(ly or FrierdsoNA dcsmbe ) 0 Fag* 0 Alessi* 2 None To the best of your knowledge, is the Individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, <lint referral source, supplier of goods or senzicespfr Yes,ckscate) 0 Yes 7/ NS If applicable, indicate which bank officers have met the person: Indicate where and sheen the client meebng(s) took place. Bank Officer Narne(s) Bank Office: Client Private Domicile: Client Place of Business Other Location (specify): Date: Paul Morris 0 0 Ed 413/2013 0 0 • 0 0 0 • Wealth Details for this Individual are not fled ids, because they are the same as for the following person: for description indicated in Section 2) 30. Wealth Details (Only parties requinng source of wealth as Nature of the Individual's Business: Private mestments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Hods' Summarize Source of Wealth: 2 Business Owner U Salary/Eamings 0 Investment U Inheritance/Gifts 0 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 family accumulate woaRIPEce business owners, how bong in business, how many employees, level of prititability? Indicate type of buseress, countries of major acUyeles, important business partners.) Epstein began his financial career in 19/G as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own nano& management firm, J. Epstein & Co., managing the assets of clients with more than a Neon in net worth. In 1996, Epstein changed the name of hi firm to The Financial Trust Company and based a on the island of St Thomas in the US Vegin Islands, itch merged into Southern Financial LLC. MI of his clients were anonymous except for the very wealthy businessman Leslie Wexner. 116 wealth has come from his days at Bear Stearns and his financial management firms Estimated /mut Income($): 10,000,000.00 Estimated amount of investable assets(I): $50 MM - 100 MM Estimated Net Worth(1.): $100 MM - 500 MM amount of assets planned W invest with PWM(S): 10,000.00 Other Known financial Institutions: Institution: /Morgan Country: USA Est. Assets Under Mgt: 20,000,00C 00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002679 EFTA_00016153 EFTA00166905 KYC Print Page 9 of 20 Institution: Country: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Please indicate the fan* situation of the individual (mortal MA US, other /an* man 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-0002680 EFTA_00016154 EFTA00166906 KYC Print Page 10 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for all parties) Indivkliars Name Hwy Defier • Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of his/her country of nationality for 5 years or more? O Yes 11 tics Profession/Occupation: Accountant Tax ID / SSN: Current Employer: MIRK Associates, Inc Posiuon/TMe/Rank: Address of employer: Does the person work as senior ececutho of a DB-recogntred regulated entity in the flmncial Mashy? Or an entty listed on a 00-recognised exchange? (Not applicable for operating entities no yes E i.i No Is the IndMdual a Politkally &posed Person (PEP)?(f Yet. deso-ibe) O Yes N3 To the best of your knowledge, is the indMdual related to an employee of the DO group?(/ FarnilyorFnerdsoNA dcsmbe ) O Fanny O Friendship O None 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 seivices)'fr Yes,ckscate) O Yes 7/ No If applicable, inhume which bank officers have met the person: Indicate where and ivhen the chant meebng(s) took place Bank Officer Names) Bank °Moe: Gent Prrvate Domirile: (bent Place of Business: Other Location (specify); Date: Paul Morris Eta O O 10:21:2013 O O O O O O • Wealth Details for this Individual are not Med in, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth description as indicated In Section 2) Nature of the IndMduaEs Business: Primary Country of source of wealth/source at rends? Primary industry of source of Wealth/Source of Fwids? Summarize Source of Wealth: O Business Owner U Salarygarnings MI Investment U 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 settler &crimple e wealth? For Inheritance, how did tardy accumulate weatth,ra business owners, how long in business, how many errployees, level of prolitability? Indicate type of business, countries of major activities, importam business partners.) Estimated Annual Income(S): Estimated amount of investable assetg$): Estimated Net Worth($): Amount of assets plamed to invest with PWM($): Other Known Financial Institutions: Institution: Country! Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: 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-0002681 EFTA_00016155 EFTA00166907 KYC Print Page 11 of 20 I Please indicate the family situation of the individual (mantel sleets, 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-0002682 EFTA_00016156 EFTA00166908 KYC Print Page 12 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indlvklisafs Name Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: lies client resided outside of his/her country of nationality for 5 years or more? O Yes 11 No Profession/Occupation: Lawyer Tax ID / SSN: I Current Empbyer: Southern Financial LLC Position/Me/Rank: Address of employer: 575 Lexington Avenue, 9th H New York NY USA 10022 Does the person work as senior executive et a DB-recognized regulated entity In the financial Industry? or an entity listed on a DB-nvognised exchange? (Not applkable for operating entities n yes E r.i No " Is the bdividual a Pdltically Exposed Person (PEP)?tif Ye* dao-ibe) Oyes N3 To the best of your knowledge, Is the individual related to an employee of the DB group?(/ Farm* or FrierdsoNA dcsaibe ) O panty O messil y) 2 None 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 services), Or Yes,ckscate) O Yes in lb If applicable, indicate which bank officers have met the person: Indicate where and when the chant meets g(5) took place. Bank Officer Narne(s) Bank Office: Gent Prrvate Domicile: (bent Place of Business Other Location (specify); Date. O O O 0 0 • O O O • Wealth Details for this Individual are not fled In, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndMduaEs Business: Primary Country of source of wealth/source of rends? Primary industry of since of Wealth/Source of Folds? Summarize Source of Wealth: O Business Owner U Salarygamings II Investment U Inheritance/Gifts O Other Further Describe Source of Wealth /Detail the history of wealth for each of the settees: (e.g. For trusts, how did settler marble e weakh? For Inheritance, how did fanny accumulate weaah?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(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planted to invest with PWM($): Other Known Financial Institutions: Institution: Country! Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: 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-0002683 EFTA_00016157 EFTA00166909 KYC Print Page 13 of 20 I Please indicate the family situation of the individual (mantel sleets, 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-0002684 EFTA_00016158 EFTA00166910 KYC Print Page 14 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) IndivIOMES Name Jeanne Brennan - Date of Birth: Country of Residence: USVI Country of Cmzenshlp: Address of primary residence: Has client resided outside of hisiher country of nationality for 5 years or more? O yes 2 No Profession/Occupation: Finance Tax ID / SSN: Current Empbyer: Southern Financial LW Position/Ttle/Rank: Address of employer: 61® Red Hook Quarter, B3 St, Thomas USVI 001302 Does the person work as senior executive et a DB.nrognized regulated entity In the financial Irklustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities • yes E i.i No Is the Individual a Pdltically Exposed Person (PEP)?(# Yes. desaibe) O Yes No To the best of your knowledge, Is the individual related to an employe* of the DB group?(/ Family or FrierdsoNA dcsmbe ) O Family Dmierkiggig 2 None To the best of your knowledge, is the indandual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servicespfr Yes,ckscate) O Yes in MI If applicable, indicate which bank officers have met the person: Indicate where and when the client meebng(s) took place. Bank Officer Narne(s) Bank Office: Client Prrvate Domicile: Client Place of Business: Other Location (specify); Date. O O O 0 0 • O O O • Wealth Details for this Individual are not Med In, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndMduaEs Business: Primary Country of source of wealth/source of rends? Primary industry of source of Wealth/Source of Folds? Summarize Source of Wealth: [..] Business Owner U Salaryitamings IN Investment U 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 settler ocarinas e wealth? For Inheritance, how did I amiy accumulate svearthVce business owners, how long in business, how many ovule/y®5, level of profitability? Indicate type of business, countries of major activities, importam business partners.) Estimated Annual income(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planted to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: InsUtugon: Country: 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-0002685 EFTA_00016159 EFTA00166911 KYC Print Page 15 of 20 Please indicate the family situation of the individual (mental status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial LLC - Type of Entty: O Foundation/Association O Purpose of Entity: 121Prhate Investment O Philanthroic/Chartable Trust a Company • Estate • • Partneishlp Commercial Type of Entity Other (specify). Purpose of Entity Other (specify): Country of incorporahonfregistration: US Virgin Islands Date of incorporation / registration: 2/25/2013 Volcker Status Volcker Rag: Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00602 US Virgin Islands U.S. 11N/EIN: Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundations, indite information about revocabley,setdor and benekbrIes,etc.: Southern Trust Company Inc Is the sole menter of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please ind Kate how onneishlp of the legal any is reflected: O Special attention: Bearer Shares - Indicate where shares are costarred: Describe the chain from the direct owner of the entity to the ultimate beneficial owner Pf not the same persons): To the best of your knowledge, Is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dent referral source, suppler of goods or services)?: Yes El No WI Describe Nature of Entity's Primary Business and Investment Activities Nature of the buttes: This business is funded by Jeffrey EfiStein's wealth. This company was formed to hold Mr. Epstelrfs personal wealth and Invest in different ventures. This company invests In real estate, thuilies, commodities, etc and gets its revenue from the gain it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 I 3D. Wealth Profile (Only for pants frothing source of wealth descrption as indicated in Section 2) Primary Country of source of weath/source of Funds? Primary industry of source of Wealth/Source of Funds" Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sun: nary of assets/labilitles): The initial funding in February 2013 was ;LOCO from the sole shareholder of the sole managing member (Jeffrey Epstein) Estimated gross receipts Beak 2,000,000.00 Estimated net profit p.a. (fit 1,500,000.00 Estimated investable assets (5): <$1 MM Potential Amount to be Invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: /Morgan Country: USA Est. Assets Under Mgt: 1,030,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary https://dbforcepb.my.salesforce.cornhervlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002686 EFTA_00016160 EFTA00166912 KYC Print Page 16 of 20 X. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - Type of Entity: Purpose of Entry: JO Private Investment O Phitanthropic/Charriable O Commercial O Foundation/Association • Trust n Company W Estate O Partnership Type of Entity Other (specify): Purpose of Entriy Other (wady): Country of incorporation/registration: US Virgin Islands Date of incorporation / registration: 11/18/2011 Vokker Status: Vokker Flag: Address (thy, street, post code): 6100 Red Hook Quarter B3 9 Thomas 00802 US Virgin Islands U.S. TIN/FIN: Provide a description of the entkys organizational structure, Its ownership structure and its Top Management. For trugsrloundations, inckide informatko about ievocalaisettlor and beneficiaries,etc.: Please indicate how ownership of the legal entity is reflected: O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the dart owner of the entity to the ultimate beneficial owner (Ina the same petsons): To the best of your knowledge, is the eray party to a non-barddng relationship with Deutsche Hank (e.g. external legal counsel, Oat referral source, suppler of goods or services)" • Yes No Describe Nature of Entity's Primary Business and Investment Activities Nature of the babas: Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their cants and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes then revenue based on the returns and the fees associated wet managing their clients assets Countries where business Is transacted: US Virgin Islands Nvicer of employees: I 1D. Wealth Prank (Only for parties requiring source of wealth description as indicated in Section 1) Primary Country of source of wealth/source of Funds' Pnmary industry of source of Wealth/Source of Finds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsitabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 tstirnated net moat pa. ($): 1,500,000.00 1 stimated investable assets (5): 52 MM • 5 Mid Potential Amount to be invested with MUM (5): 300,00000 Other Known Financial Institutions: Institution: Whloman Country: USA EM. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: EM. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et.Integratioelid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002687 EFTA_00016161 EFTA00166913 KYC Print Page 17 of 20 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Axing Comments: Booking Center M Ny • • Moderate Janice Franklin • Offshore Fr .►A High Risk NY/Cefshcre tisk (Compliance Signature) O OS Employee O DB Managed PIC O DB es Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 4 Drivers Ucense RI Passport • National/State ID Nether Checklist of names (individuab and/or entities) that were submitted for database searches Es ® B. yes • No attached C. Please indicate the results of the database searches perforrned ROC searches complete ®Yes O No negative results found ®yes Os PCR checks complete Era O No negative results found RI Yes O No OFAC checks complete ..4 yes • No negative results found • yes Oho ILLS searches complete (Leds/Neds, FERINZI, Reuters, Dow Jones, DAB) El re O No negative results found O Yes IZI No Denial Orders checks complete 74 yes O No negative results found M Yo IO No Martindale-Hubbell searched (Lawyers/Law Ants only) M yes 74 No negative results found • Yes O No D. Please summarize any negative results from the database seethes Mdkated above: DARREN INDYKE: Approved in KYC 401133377 HARRY BELLER: Approved in KYC *01133624 JEANNE BRENNAN: Jeanne was previously approved In KYC #0114L315 JEFFREY EPSTEIN: ROC Alert t I -- Cleared & APPROWD by Chip Packard, APIL Compliance, and Pat Harris PCR Alert S I/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 cuss. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Made is our client He has been cleared of posing a reputatianal risk as shown by the AML Clearance attached Court Cases have been dosed FINANCIAL TRUST & CO ROC/PCR alert is associated nth Southern Financial, the company a merged Mo. This alert has been cleared by Compliance ad is attached Court Cases are closed E. To the best of your km:Wedge, has the client ever been convicted of a criminal offense 5 yes • No F. To the best of your ICOOMed9e• MS the customer ever been involved in any past glisten against Deutsche Bank AG or any of RS subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of b subsidiaries, (If Yes, peon* cidaiik below and s, ontad Quay Mgt O Yes 0 No (LatArnfint7Jor the Regulatory Contra/ Cioup and notify Compliance immeditey) G. O Yes 0 No https://dbforcepb.my.salesforce.com/servlet/servIet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002688 EFTA_00016162 EFTA00166914 KYC Print Page 18 of 20 Does the client or related party have any financial a other association / Mera.Uw6 wrthen countries or regimes sanctioned by the Office of Foreign Assets Control (0fAC)> il. Does the client or related party have any financial or other association( interactions within high risk Dycs Kii No countnes> I. Corporate Documentation Mated (Legal Entitles Only) Ed Yes Ill No I Not Appkabie J. Undbclosed Principal Form Complete (Intermediaries Only) El Yes II No J Not Appkabie K. If Lexis/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? • Yes 121 NO Is the account structure unusually complex? Oyes Os Is there any indication the dent set up a non operating company expressly rex foe the purpose of transferring shares to Mad parties? LJ Yes II No Is there any indication this could be a prohibited business relationship> ElleS ED No Are the bearer snares identified subject to acceptable controls> • yes e No 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-0002689 EFTA_00016163 EFTA00166915 KYC Print Page 19 of 20 M. Case Comments Created By Date Comments Oven Hill 37(1/114 10:45 NI Risk Cakubtor Located In KYC 11082293. ONSHORE APPROVALS Cleat Facing Professional (UP): Paul Kurds Signature) Pail Morris 2/24/2014 Office Nectar Business Head: Brian M. Biggar Signature) Brian M. Biggar 2/24/2014 Regional Office Director: Signature) Mt Business Risk: (Signature) AM. Compliance: GVA±11 Hill Dance Frankin (Signature) Gwen Hal Janice Franklin 311811014 3.(28:2014 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (lIP): (Signature) Account Manager: (StinatUre) Global Market Team Head (GMTH)/Sub-Market Team Head (SPITH (Signature) AK Business Risk: (Signature) Aft Compliance: PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals)(!) (CFP's) should establish and maintain business relationships only with pencils who satisfy our high standards of suitability, 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 brow their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my 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 part of the client(s) and that I have followed all the procedures relating to account opening as described in the PIYM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers. 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-0002690 EFTA_000 16164 EFTA00166916 KYC Print Page 20 of 20 Datscbs Bank America New York ni Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di8ce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002691 EFTA_00016165 EFTA00166917