EFTA00166948.pdf

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case 0 : 01195153 One sheet must be established per rela - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SCUT/ERN FINANCIAL RELATICNSHIP:00000013190 Booting Center: New York Relationship Manager: Paul moms D New PWM Relationship g Existing PWM Relationship Relationship to KYR: If existing, please ndicate since when the relationship odds, provide reason for new profit and attach old profile: Update of approved KYC 01135524 to add Darren lndyke as a authorized signer. Darren has been approved in KYC 01133377 O Client Referral g RM Prospect O Intermediary/NM O Other Source (CIB, etc.) How Was the C kends) Introduced' How long has the lanl personally known the thent, Please provide details (e.g. name of referral source, ow many years RM personally has 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 dint of Paurs at )P Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who Introduced them wSe Paul was at lPhlorgan. 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 Cr unilar O Yes I O No compensation to a thud party for the introduction of this relationship' al Yes, anent?). List all existng and new accounts involved in this relationship Legal EntRy Accounts) Account Name / Number Opening Date (intended/actual) 1 El Neptune LLC 10/16/2013 2 2 Neptune LLC — Money Market 10/16/2013 Who is the primary contact person for the Rat/ (Note: This person needs to have signatory rights and/or nformabon right for the accounts.): Marry Beier Preferred method of contact (indicate phone no, fax no., e-mall address, etc.): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002722 EFTA_00016196 EFTA00166948 KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LAX Acct. Humber (drayarranie) 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)' Checking account used for the daily needs of running Jeffrey Epstein's home In NYC. Indicate from where the assets are expected to arrive' • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate 08 location and account detat): 9 Other Institution (Indicate name & location): 1Felorgan. New York O Physical Deposits (specify cash, securities, cheques, ••.): What is the expected site and frequency of regular Inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from 5.1000 to $10,000 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 expected volume of assets and currency for the account approx. one year after opening? 110000 I Currency I USD Does/will the client have Assets Under Management (Aual) within De under Eur. 3M" 0 Yes Ea 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 parlys relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s). **gal 'Description Entity of Source of Wealth required Parties -elated to this ACCOUnt Account Holder PIC amerTrust Serra of / Founded Foundabcn Jtvnate Benefkial Owner iignatory..imitednnancial or Full ?OA POA InterrneduryShareholder (Flt) Significant K> -2S4) Non-PIC entry (indicate ownership %) -egal Representative Grantor/SettlorboundingrOther Donor (please describe other roles and/or Indicate relabonship between Parfet) I 9 El **cunt El ' LLC O O O O O O O Li z 0 Ed kr" tpstein 0 0 0 5 CI 0 • 0 Li L 3 • • Many 3elkr . O O O [21 O • • • D 4 • D Dane' lO endYke OO O a • O O O E CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002723 EFTA_00016197 EFTA00166949 K YC Print Page 3 of 13 2. Account Ownership Summary Account Name: Neptune LLC — Money Market Acct Number filava4blet. 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 to hold funds necessary to run the costs associated with Jeffrey Epsteln's NYC home Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): 2 Other Institution (Indicate name & location): JPSIorgan. NYC O PhYskal Deposits (specify cash, securities, cheques, .-): What is the expected size and frequency of regular inflows and outflows for the account (indicaW estimated number and volume pe month)': RoughN 1-3 inflows and 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 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening'' 1 10,000 'Currency I ISO Does/will the client have Asset Under Management (AM) within DB under Eur. " • yes 2 No Please list an parties related to tM 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 ch cc boxes pply, describe the party's relation to the account In the 'Other' column. • Always describe the relationship between the parties in the last olumn. • Pease drill down to the ultimate/underlying Beni:tidal Owner(s) .egal Entity Description of Source of Wealth required Parties -elated to this account AccountPIC Holder ISettior Ovasertrust of / Founder of Foundation Jbnate Beneficial Owner "Signatory or Full >OA ...irnitedrinancial POA "Significant IntermediaryShaseholder (FIM) '>=25%) Non-PIC entity ;Indicate 'immesh'', NO -egal Representative Grantor/SettiorroundinorOther Donor (please describe other roles and/or indicate •elabonship oetween Dames) 1 2 2 Neptune ac O O O O O O O O O O 2 O Fa 'drill P 2stern O O O 5 E6 O O O O O 3 • • " 3eller K O • • O 1S • O II II II 4 LI O endYke °a" en D O • O 2 O O O O • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002724 EFTA_00016198 EFTA00166950 K YC Print Page 4 of 13 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth. 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Line Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of Ns/her country of nationality far S years or more El yes ®No Profession/Occupation: Self Employed Tax ID / SSN: Current Employer: Southern Estancia' LLC Position/Title/Rank: President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating entities r--, L..1 Yes Z No Is the individual a Politically Exposed Person (PEP)>(if Yes, ckscnte) O Yes E4g No To the best of your knovAedge, FM* Friendshs detaibt) is the individual related to an employee of the D8 group'(, I:Family Chien:Nino 2 Nene or To the best of your knowtedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)'(/ Yes,thrscnbe) No • Yes 0 If applicable, indicate which bank officers have met the person: Indicate Mitre and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O 0 9/13/2013 • O o O ID El • 0 Wealth Details 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 IndiVduars Business: Private nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0 Salany/Eainings investment 0 Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of mayor activities, inportant business partners.) Epstein beg. his financial career in 1976 as an options trader at Bear Steams and became a panned n 1980. In 1982, Epstein founded his awn financial management firm, 3. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worlh($): $100 MM • S00 MM An aunt of assets planned to invest with PVIPI($): Other Known Fnancial Institutions: Insbtution 3Pflorgan I Country: USA Est Assets Under Mgt: 1200,000,000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002725 EFTA_00016199 EFTA00166951 KYC Print Page 5 of 13 Institution: Counby: Est Asset Under Mgt: Institution: Counby. Please indicate the famly situation of the individual (marital status, other family members, etc.): Eu Asset Under Mgt: J 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-0002726 EFTA_000 16200 EFTA00166952 K YC Print Page 6 of 13 must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth. Country of Residence: USA Country d Ctienship: USA Address of primary residence: Has client resided outside of his/her country of nationality for S years or more El yes 2) No Profession/Occupabon: Accountant Tax ID / SSN: Current Employer /BIRK Associates Posibon/Title/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial ridustry, or an entity Isted on DB-recognised exchange' (Not applicable for operating entitles r--i 1...1yes Z No Is the individual a Politically Exposed Person (PEP)>(d Yes, cksente) O Yes no To the best of your knoMedge, FM* Friendshs describe) is Me Individual related to an employee of the DB group'(d OFamor Ornery:Wile 21 Nine or To the best of your know4edge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)'(/ Yes,decarbe) No • Yes Iii If applicable, indicate itch bank officers have met the person: Indicate where and when the client meding(s) took place: Bank Officer Name(s) Bank Office: Chent Private pornicile: Client Place of Business: Other Location (seedy): Date: Paul Morris O 0 9/13/2013 • O o O ID El • 0 Wealth Details 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 Indlvidual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0Business owner 0 Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did family 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.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWTI($): Other Known Fnancial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: County: Est Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002727 EFTA_00016201 EFTA00166953 KYC Print Page 7 of 13 Please indicate the family sltuabas of the individual (manta) status, 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-0002728 EFTA_000 16202 EFTA00166954 K YC Print Page 8 of 13 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indniduars Name: Darren Indyke - Date of Birth. Country of Residence: USA Country d Ctzenship: USA Address of primary residence: Has client resided outside of her/her country of nationality far S years or more El yes ®No Profession/Occupabon: Lawler Tax ID / SSN: Current Employer Southern Rnancial LLC Position/Title/Rank: Address of employer: 575 Lexngton Ave, 9th Fl New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles r—, LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovdedge, FM* Friendshs describe) is the individual related to an employee of the DB group'(d OFamor Chien:Wile 2114cce or To the best of your knowiedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)'(/ Yes,thrsarbe) No • Yes El If applicable, indicate itch bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private poinicile Client Place of Business: Other Location (seedy): Date: O O • O o • ID El iii 0 Wealth Details 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 IMO/dugs Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Summarize Source of Wealth: DElusiness Owner 0Salary/Earnings 0Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of miler activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Asset Under Mgt Institution: County: Est Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002729 EFTA_00016203 EFTA00166955 KYC Print Page 9 of 13 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet mint be established for EACH LEGAL ENTITY In Section L Account Symms 3C. Legal Entity Details (For al Legal Entitses) Legal Entity Name: Neptune, LLC - 00000487264 Type of Entity: O Foundation/Associatien O Trust IA Company O Estate O Partnership Purpose of EMity: Pi Private Investment Ill phganguppk/charsabk 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporabon/registrabon: USA Date of incorporation/ registration: 12/21/2011 Voicker Status: Volcker Flag: Address (city, street post code): 6100 Red Hook, Quarter 83 St Thomas 00802 USVI US. TIN/UN: 45-4093384 Provide a descrlpbon of the entity's organizational structure, Its ownership strucbme and Its Top Management For trusts/foundations, allude Information about revocability,settior and benefici riesett: Single member LLC. Jeffrey Epstein Is the sole member Please indicate how ownership of the legal entity is reflected: Shares - Indicate inhere shares are custodied: • Special attention: Bearer Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (i/not the same persona To the best of your knowledge, Is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client r *nal source, supplier of goods or services)? yes U — No Fa Describe Nature of Entity's Primary Business and Imestment Activities Nature of the business: This LLC was formed to hold the funds necessary to cover the costs and taxes asscciated with running Jeffrey Epstein's NYC home Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds/ Primary industry of source of Wealth/Source of Funds/ Provide Evidence cf Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This LLC is funded my conbibutions made by Jeffrey Epstein. Estimated gross receipt ..(5): Estimated net profits (5): Estimated Investable asset (5): <$1 MM Potential Amount to be invested with P%Vfl (5): 20,000.00 Other Known Fnancial Institutions: Institution: "Morgan Country: USA Est. Asset Under Mgt: 20,000.00 Institution: County: Est Asset Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002730 EFTA 00016204 EFTA00166956 KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Infl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rang Comment: Booking Center C Offshore IE) Moderate R isk Jacqueline LighteddY 5 NY S High Risk NY/Offshore [ Y/ (Compliance Signature) CI DB Employee D De Managed PIC 0 DB is Ins:tee/Co-Trustee • Bearer Shares 4. Attachments A. Type cf Photo ID Provided 1210thers License 0 Passport 0 National/State ID 0 Other for Checklist of names (ndericluals and/or entities) that were submitted database searches Is B. 1:4' Yes • No attached C. Please imitate the results of the database searches performed RDC searches complete @ yes 0 No negative results found @ yes 0 No PCR checks complete 2 Yes 0 No negative results found Oyes @ No OFAC checks complete ni yes • No negative results found Oyes 2 No WS searches complete (Lois/MAL Factva, Reuters, Dow Jones, Eli Oyes 0 No negative results found ales 0 No Denial Orders checks complete 0 yes 0 No negative results found Oyes 0 No Marbndale-Hubbel searched (Lawyers/Law Firms only) 0 Yes 5 No negative results found • yes 0 No Please summarize any negative results from the database searches isclicabxl above: D.ARREN INDYKE KYC approved in case 41133377 NEPTUNE LLC: See attached MIL Clearance -- The RDC alert %malaise hit Negative Media: MI negative media is not our client. N negative media either predates our dent's format on (2011) or s another U.C. Our Neptune LLC is a single member LLC that runs the operations of a home D. JEFFREY EPSTEIN: See KYC #01082293 and #01121718 for previous KYC approval and all pertaining documents HARRY BELLER: Negative Meda: Not our client All negative media pertains to an envkawnental microblobast On client is an accountant Court Cases: 41: Disposed in 1987 MI other cases are not our client The other court cases refer to a Dr. Marry Biller. Our client is an accountant E. To the best of your knowledge, has the dent ever been convicted of a arra.' offense 0 Yes • No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its sutskliaties or is the customer threateMng litigation against F. 0 Yes 12 No Deutsche Bank AG or any of its subsidiaries' at Yes, ppvide details batw and contact Quay NO. (LatAm/Intl)of the Rego/may Control Group and nobly Complexe immediately) financial Does the client or related party have any or other association / Interactions within G. 0 Yes 1rd No by the Office Foreign Assets Control countries or regimes sanctioned of (OFAC)' H. Does the client or related party have any financial or other assoaalion/ Interactions within high risk o yes 2 No countries, I. Corporate Documentation Attached (Legal Enbbes Only) 0 Yes • No • Not Appkable 1. Undisclosed Principal Form Complete (b iaries Only) • Yes • No 74 Not Appkabk K. U Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an English summary of the nature/contents of the non-Engish Documentation: L Special Rs/ Factors CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002731 EFTA_00016205 EFTA00166957 KYC Print Page 11 of 13 Does the account have Nexus to Special Risk Countries, Dyes Eft Is the account stnKture unusually compeex? Dies E No Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties, . yes to Is there any Indication this could be a prohibited business relationship, Oyes g No Are the bearer shams Ideated subject to acceptable controls? O Um g No littps://dbforcepb.my.sal et/serviet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002732 EFTA_000 16206 EFTA00166958 KYC Print Page 12 of 13 M. Case Comments Created By Date Comments Jacqueline LigMbody 3/14/1143:00 PM 1 DB Certificate LLC Resolution the 2nd that did lot b The page ea of wth net all signers, acceptable. a Mon was the 2nd page with the oriect signers that's attached separately. ONSHORE APPROVALS Client Facing Professional (CFP). Paul Morns (Signature) Paul Wens 2/24/2014 Office DirectorBusiness Head: Bnan M. Biggar (Signature) Brian M. Biggar 2/W2014 Regional Office Director (Signature) NIL Business Risk: (Signature) AML Compliance: Gwen Pill oiblo Janke Franklin Jacqueline Lighted,/ (Signature) Gwen Hill o/b/o Janice Franklin Jacqueline Lightbody 3/14/2014 3/14/2014 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head i(GMTH)/Subrlarket Team Heed 'Seth(): (Sygnature) AML Business Risk (Signature) AML Compliance (BPI:Mature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals/( I) (CFP's) 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 of a 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 simpletons relating to the money laundering or unethical activities on the pan of the chews) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the NMGlobal KYC Policy 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-0002733 EFTA_000 16207 EFTA00166959 KYC Print Page 13 of 13 1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. 211 Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002734 EFTA_000 16208 EFTA00166960