EFTA00167090.pdf

KYC Print Page 1 of 21 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01790655 One sheet must be established per relationship list all accounts Included In the reladonshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booting Center: New York Relationship Manager: Stewart Oldfield O New PWM Relationship 110 Existing PWM Relationship RelatIonshp to PWM: If noting, please indkate since when the relationship exists, provide reason for new profile and attach obi profile: • • 'This KYC Is a periodic review for high risk remedialion•'• Original KYC1195100 ONLY adding signers to account. Al signers have already been approved in previous KYCs. Please rush as this is a simple update. Darren Indyke was approved In KYC 01133377 Harry Beller was added in approved KYC 0/1/1308 ca Client Referral O RM Prospect O Intermediary/TIM O Other Source (CIB, etc.) How Was the Chent(s) Introduced? How long has the RM personally known the client] please provide details (e.g. name of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only. Does Deutsche Bank pay a retrocession or sealer O Yes I RI No compensation to a third party for the introduction of this relationship/ (If Yes, desenbel. List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Humber Opening Date (intended/actual) 1 El Southern Financial, LLC Deposit-42952771 9/5/2013 2 RI Southern Trust Company, Inc- Deposit-42952/63 8/27/2013 3 RI Jeffrey Epstein - Deposit-35269691 3/8/2016 4 M J. Epst in Wgin Islands Foundation, Inc - Brokerageh4G024150 9/30/2013 Who is he primary contact person or the NW (Note: Thal. person needs to have signatory rights and/or inforrnation right for the accounts.): Darren Indyke Preferred method of contact (indicate phone no, fax no., e-mail address, ete.3 Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SONY-000286a EFTA_000 16338 EFTA00167090 KYC Print Page 2 of 21 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial LLC Deposit Acct. Number (if evadable): 4295277/ Account Manager: stewart &Nell What is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, longterm Investment, payment/expense account)'' The purpose of tNs account Is to manage the dady expenses of the company Indicate EA O • O from where the assets are expected to arrive' DO Group: Same Booking Center (Indicate account number): 42952771; 77000957 08 Group: Other Booking Center (indicate DB location and account details): Other Institution - (Indicate name fi location): Physical Deposits (specify cash, securities. cheques....): What is the expected sire and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening' 46,600 and 11479051.88 I Currency I USD Mat 8 the expected volume of assets and currency for the account approx. one year after opening' 47,000 and 11679051.88 I Currency I USD Does/we the client have Assets Under Management (AuM) within DB under Eur. 7 • yes a 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 descnbe the relatiorohip of the party to this account (> 1 can be selected). • f none of the check boxes ppty, describe he party's relation to the account in the 'Other column. • Always describe! e relationship between the parties in the last cokann. • Please drdl down to the ultimate/underlying Beneficial Owner(s). _egal EntRyof Description Source of Wealth required larties *Mated to Ns Account AccountPIC folder OvrnerTrust Senor of / ;ponder of Foundation Utknate Beneficial*, Ginter Signatory Full POA iniked ?OA Financial nterrnediaryShareholderilepresentative FIN) Significant ,>=25%) Non-NC entRy ,irekate ownership ?a) _egal Grantor/Settlorfoundkig Donor Other please describe other roles and/or Skate relationship between parties) I O 0 E effrey E. J pstein r-i " O K O El 2 O O O O O Sole sharelxid of Scythe Trust 2 N N Southern inane's' LLC M i l l E l si El • El O O O 3 Ea 0 Southern bust Company Inc. n '—' O O O O O O 100 0 • O Southern Trust is the sole number of Southern manual nd Jeffrey Epstein is the sole shareholde of Southe Trust) 4 O O arren IDndyke O O O O 7.1 O • O O O 5 O O Harry Beller O O O O O a O O O 6 • D lean Brennan inebrachq O OO • El O O O O O https:// CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002865 EFTA_000 16339 EFTA00167091 KYC Print Page 3 of 21 2. Account Ownership Summary %count Name: Southern Trust Company, Inc- Deposit Acct. Number (if avadabk) 42952763 Account Manager: Stewart Ceifieki What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, PaYmentkerPense accoure)? The purpose of this account is to manage the daily expense of the company Indicate from where the assets are expects to arrive? 2 DB Group: Same Booking Center (indkate account number): 42952763; 77000965 O 08 Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities. cheques, •••): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 What's the expected volume of assets and currency for the account approx. 90 days after 132060.99 and 18028364.27 ' Currency opening? I USD What is the expected volume of assets and currency for the account approx. one year after openek? 33000 and 18280364.27 !Currency I US° Does/wil the client have Assets Under Management (AuM)wtthin DB under Eur. ? giros 2 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 faction to the account k the 'Other' cokes. • Always describe the relationship between the parties I. the last adman. • Please drill dam to the utUrnatefunderlying Beneficial Cvarer(s). ..egal)escription 2ntttyof Source of Wealth required patties related to his iccouM PrcoundPIC Holder OwnerTrust Better of / Founder of Foundation Jttrnate Beneficial°, Droner Signatoryanitedrinancial Full POA POA ntennediaryShareholderkepresentatve FIN) Significant ,>=25%) Non-PIC entity ,indkate ownership %) _eget Grantor/Settbr9oundinOther Donor :please describe other roles end/or ndicate relationship between smiles) i O 0 jeffret E. Epi.tein O ❑O ❑O 21 O O um O O O Sole shareholder of Southern Trust ff ray EpsteiJen Is the sok shareholder of Southern Trust; 2 2 2 Southern Trusmpany, Co Inc. 2 O O • li O O O O O 3 III • IDndyke "1' arren in • O • 2 • O O O • 4 0• Beller III • O a 2 • O O O • 5 O O lean Anne Brennan Aliebracht O O O O M O O O O O https://dbforcepb.my. sal et/servl et. Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0B-SDNY-0002866 EFTA_000 16340 EFTA00167092 KYC Print Page 4 of 21 2. Account Ownership Summary Account Name: Jeffrey Epstein • Deposit Acct. Number (11 avai4lare): 35269691 Account Manager: Stewart Oldfleld What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account), Deposit accounts for Jeffrey Epstein s personal daily use. Indicate from where the assets we expected to annex Ea DB Group: Same Boating Center (indicate account number): 35269691 O 08 Group: Other Booting Center (Indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, socwities. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per monthly: Roughly 15 inflows and outflows per month ranging from $100.410,000. What is the expected volume of assets and arrency for the account approx. 90 days after riming' 13478411.80 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 2980000 II Cunency I USD Doedwil the client have Assets Under Management (Auer) within DB under Ed. NV U Yes RI No Please list all parties related to the account. For each party: • Check if a source of wealth description 6 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 rebtion to the account in the 'Other' educe"). • Always describe t e relationship between the parties in the lad coition. • Please dii down to the ultimate/underlying Beneficial Owner(s). ttigal7escription "Entity-of Sauce of Wealth -Nuked „account lades elated to ins AccotritilIC Molder Owneffiust `Senior of / Founder of Foundation Jitlniate Beneacialor Jeerer Signatotwiridedrinanclal Full POA ?OA lntermedialyShareholderRepresentathe (PIM) tignificant (>=25%) Ion-PIC entity indicate ownership a) Legal Grador/Settlorround g Donor Other please describe otter roles and/or ndkate elationship Setween )arties) 1 O 2 Jeffrey E. Ffistein 0 K O O O 0 O O O O O 2 • O 3el"' ler O O D a .T2 O • • O O 3 O O „ncke ire O O O • 0 O O O O 11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 0B-SDNY-0002867 EFTA_00016341 EFTA00167093 KYC Print Page 5 of 21 2. Account Ownership Summary Account Name: ). Epstein Virgin Islands Foundation, Inc - Brokerage Acct. Number (/available). N46029950 Account Manages: stewart oilfield What is the purpose of the account (e. . portfolio management, advisory account, custody services. long-term investment, payment/expense amount)? the purpose of this account is to manage the foundation's securlUes and trade kwestments. Indicate from where the assets are expected to arrive? Ea DB Group: Same Booking Center (indicate account number): N4G024950 O DB Group: Other Booldng Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (speedy cash, scathes. cheques, ...): What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 610 inflows/outflows of security sails and purchases on a monthly bash between 10k and 150k. What is the expected volume of assets and currency for the account approx. 90 days after opening? 1640138 I Currency I usd What a the expected volume of assets and currency for the account approx. one year after opening? 1680000 'Currency I usd Does/wIl the client have Assets Under Management (Ault) within DB under Eur. ? • ling No Please list all parties related to the account For each party: • Check if a source of wealth description b required for the party. • Cheek the appropriate box to describe the relationship of the party to this account (> I can be 'Netted). • If none of the check boxes apply, describe the party's faction to the account in the Tither column. • AAyays describe t err:Worship between the parties in he lad eiskann. • Please drill down to the ultimate/underlying Beneficial Owner(s). ...egal)escription Intttyof Source a Wealth required ?artin related to Ns account Account:1C Holder Owner (ienior of Trust / Founder of Foundation Ultimate Benefit-ill Owner tignatorillimiledrinancial or Full ?OA PCS ntermediaryShareholderstepresentative FIM) Significant (>=25%) Non-PIC entity (indicate ovmership %) _egal tirantor/Settlocirourkling Donor O Other ,please describe other roles and/or silicate relationship between parties) 1 0 0 I. Epstein Virgin Islands Foundation, Inc e O O D O DD O O 2 • SI Jeffrey E. Epstein • O O El El OO • O O 3 O • Erika Kelerhals • O O • El O O • El El 4 O D Darren Owe O O O • 2 O O • O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002868 EFTA_000 16342 EFTA00167094 KYC Print Page 6 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (foi all parties) Inillvklisars Name Hairy Feller - 00000487202 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 '7 pie Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Me/Rank: Address of employer: Does the person work as senior ececuthe of a DEbrecognted regulated entity In the financial Meshy? Or an entty listed on a DE-recognised exchange? (Not applicable for operating entitles no yes ® r40 Is the edthdual a Politkally &Dosed Person (PEP)?tif Yet deso-ibe) • Yes No To the best of your knowledge, Is the individual related to an employee of the De group(' FarnilyorFnerdsoNA dcsmbe) O Fan* O Friendship gl 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 servicesflit Yes,ckscate) O Yes in NI If applicable, Indicate ich bank officers have met the person: which Indicate where and when the client meebng(s) took place Bank Officer Names) Bank Office: Gent Ornate Dorniole: (bent Place of Business Other Location (specify); Date: Paul Morris gi O O 1O:212013 0 0 0 O O O • Wealth Details for this Individual are not fled In, because they are the same as for the following person: 3D. Wealth Details (Only for parties requiring source of wealth desorption 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 Fuels? Summarize Source of Wealth: O Business Owner U Salary/Earnings • 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 accunula e wealth? For inheritance, how did lenity accumulate weaah'For business owners, how long in business, how many ermloyees, level of profitability' Indicate type of business, countries of mapr aunties, importam business partners.) Estimated Annual income(S): Estimated amount of investable assets(S): Estimated Net Wo.th($): Amount of assets /tamed to invest with PWM($): Other Known Financial Institutions: Institution: Country: ER. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002869 EFTA_00016343 EFTA00167095 KYC Print Page 7 of 21 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-0002870 EFTA_000 16344 EFTA00167096 KYC Print Page 8 of 21 One sheet must be estsblished for EACH INDIVIDUAL PARTY In Section 3. Account Ovmaship Somme 3A. Individual Details (for all parties) Indlvkluars Name Darren Indyke . 00000486405 Date of Earth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of hkszher country of nationality for 5 years or more, O yes '7 No Prolessbn/OccupatIon: lawyer Tax ID / SSN: Current Empbyer: Southern Financial LLC Poutionflttle/RanIc Address of employer: 575 Lexington Avenue, 4th A New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry, or an entity heed on a DB-recognised exchange' (Not applicable for operating entitles — • Yes RI No Is the mdividual a politically Exposed Person (PEP)'fir Yes, cleseibe) • yes 1.4 No To the best of your knowledge, is the individual related to an employee of the De group'(! Family or Fnendship, descnbe 1 O Ea n-ity O Friendship CO None To the best of your knowledge, is the indondual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or senaces)7(if Yesi cksente) O Yes El No If applicable, Indicate which bank officers have met Me person: Indicate where and when the dint meeting(s) took place: Bank Officer Names Bank Office: (Pent Private Domicile: Client Place of Business Other Location (specify): Date: • • • O O • O O • • Wealth Details for this Individual are not filed in, because they are the same as for the folkwing person: 39. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of swath/source of Funds? Primary industry of source of Wealth/Source of Maids' Summarize Source of Wealth: O Business Owner I l l Salary/Eamings n Investment N Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the soirees (e.g. For trusts, how did settfor accunula e weaker For inheritance, how did family accumulate wealth'Frs business owners, how long in business, how many employees, level of prernability' Indkote type of bustle's, countries of major activates, Important business partners.) Estimated Annual Income(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned 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: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002871 EFTA_00016345 EFTA00167097 KYC Print Page 9 of 21 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-0002872 EFTA_00016346 EFTA00167098 K YC Print Page 10 of 21 One sheet must be eslablished for EACH INDIVIDUAL PARTY In Section 2. Account Owne s_ hip Somme 3A. Individual Details (for all parties) Individual's Name Erika Kelierhals - 03000499664 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of hkszher country of nationality for 5 years or more, O yes EA No Profession/Occupation: Attorney Tax ID / SSN: Current Employer: Position/Title/Rank kellerhals Ferguson krotilln PLLC Address of employer: 9100 Port of Sale Mal, Ste 15 St. Thomas VI United States 00802 Does the person work as senior executhee of a DB-recognized regulated entity in the financial Wintry' or an entity hied a DB-recognised exchange' (Not applicable for operating entities — • Yes RI No Is the ithhidual a Politically Exposed Person (PEP)'fff Yes, cleseibe) • Yes 5 No To the best of your knowledge, is the individual related to an employee of the DO group'(! Family or Friendship, dcscnbe 1 O Ea re// O Friendship CO 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),fr Yesi cksente) O Yes ONO If applcable, Indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Names Bank Office: Clem Private Domicile: Client Place of Business Other Location (specify): Date: • • • O O • O O • • Wealth Details for this Individual are not filed n, because they are the same as for the foloMng person: 39. Wealth Details (Only for parties requiring source of wealth description as indicated In Section 2) Nature of the Individual's Business: Primary Country of source of swath/source of Rinds? Primary industry of source of Wealth/Source of Raids? Summarize Source of Wealth: O Business Owner I l l Salary/Eamings • Investment N Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sowces (e.g. For trusts, how did setttor accwnula e wealth? For inheritance, how did family accumulate vrealth'Fcc business owners, how brig in business, how many employees, level of profitability' Indicate type of Wale's, countries of major acUveles, important business partners) Estimated Annual Incomc(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned 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: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002873 EFTA_00016347 EFTA00167099 KYC Print Page 11 of 21 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-0002874 EFTA_000 16348 EFTA00167100 KYC Print Page 12 of 21 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Osvnershl Summary 3A. Individual Details (for all parties) Indkidisafs Name Jeffrey E. Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Little St JamesSaint Thomas 00802 Uneed States Has client resided outside of hks/her country of nationally for 5 years or more, No El yes tri Professbn/Occupation: Self Empalyed Tax ID / SSN: Current Employer Southern Financial LLC Position/tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial Wintry' or an entity feed on a DB-recognised exchange' (Not applicable for operating entities ii, yes RI NO Is the individual a Politically Exposed Person (PEPpfif Yes, desaibe) close relationship with Bill Clinton and Prince Andrew lij Yes 0 No To the best of your knowledge, is the individual related to an employee of the 08 group(/' Family or Friendship, dcscnbe 1 0 Family 0 Friendslilp 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)'fr Yesi cksente) Ores ®Na If applicable, Indicate which bank officers have met Use person: Indicate where and ?Men the client meeting(s) took place: Bank Officer Names) Bank Office _pornicile: Clem Private Client Place of Business: Location (specify): Date. 0 • • 0 0 • 0 0 o J 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 Individual's Business: Private kwestments rnmary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Fields' Summarize Source of Wealth: 0 Business Owner • Snlarygamings 0 Investment Ill Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of wealth for did family accumulate wealth'For business owners, how long In maps activities, important business partners.) Jeffrey Edward Epstein States. He worked at Bear Stearns early in his career and then formed for prostitution, for which he served 13 months in prison. He Ryes from 1973 to 1975. Among his students was a son of Alan C. Greenberg, In 1976, Epstein started work as an options trader at Bear Stearns suateges. Proving successful in his financial career, in 1980 Epstein In 1982, Epstein founded his own 'Mande/ management fkm, 3. i eslie Wooer, founder and chairman of Ohio -based The Limited Fitch the reboring year. In 1992 he converted a private school on wealthiest part of Manhattan. In 1996, Epstein changed the name St. Thomas in the U.S. Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders Mortimer Zuckerman, who had the New York Daly News, and film wall Street investor, who paid $55 million. In 2004, Epstein and Zuckerman committed up to $25 mason to each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how business, how many enplanes, level of profitability' Indicate type of bushes, countries of (born January 20, 1953) Is an American financier and registered sex offender in the United his own firm, 3. Epstein & Co. In 2008, Epstein was convicted of soliciting an underage girl in the US Virgin Islands. Epstein taught cakukis and physics at the Dalton School in Manhattan chairman of Bear Steams. where he worked in the special products division, advising highnetworth dents on tax became a partner at Bear Steams. Fasten & Co., managing the assets of dents with more than $1 billion in net worth. In 1987, chain of womerfs clothing stores, became a well-known dent. Wexner acquired Abercrombie & the Upper East Side into an enormous residence. Epstein later bought that property, in the of his fims to the Financial Trust Company and, for ter advantages, based it en the island of were advertising executive Donny Deutsch, Investor Nelson Pelt:, media mogul and publisher producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 OB-SDNY-0002875 EFTA_000 16349 EFTA00167101 KYC Print Page 13 of 21 Zuckerman were equal partners in the venture. Roshan, as its editooin.chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets. Estimated Annual Incorne(S): 10,000,000.00 Estimated amount of investable assets(S): 550 MM - 100 MM Estimated Net Worth(S): $500 MM ♦ Amount of antis planned to invest with PWM($): Other Known FManclal Institutl ns: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family vtuation of the indWidual (marital status, other family members, etc.). 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) D6-SDNY-0002876 EFTA_00016350 EFTA00167102 KYC Print Page 14 of 21 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (fee all parties) Indlvkluars Name Jean Mne Brennan Mete/KM - Date of Firth: Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Iles client resided outside of hkszher country of nationality for 5 years or more? O yes '7 Ne Prolession/OccupaUon: Finance Tax ID / SSN: Current Empbyer. Southern Financial, LLC Postoonintle/Rank: Address of employer: 61® Red Hook Quarter, 83 St, Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial °Misery' or an entity heed on a DB-recognised exchange' (Not applicable for operating entitles rm ❑L-Pres O N° Is the nclividual a Politically Exposed Person (PEP)'fif Yes, cleseibe) • Yes Fa No To the best of your knowledge, is the indwidual related to an employee of the DB group'(! Family or Fnendship, descnbe 1 O Ea nib U Friendship CO 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)'(/ Yesi cksente) O Yes El No If applcable, Indicate which bank officers have met the person: Indicate where and when diem meeting(s) took place: Bank Officer Names Bank Office: (bent Private Domicile: Client Place of Business Other Location (specify): Date: • • • O O • O O • • Wealth Details for this Individual are not filed ki, because they are the same as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Individual's Business: Primary Country of source of vie/nth/source of Rinds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner I l l Salary/Eamings • Investment N Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the soirees (e.g. For trusts, how did senior accwnula e weaken For inheritance, how did 'curdy accumulate wealth'Fcc business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of major acUvales, importaM business partners.) Estimated Annual Income(S): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002877 EFTA_00016351 EFTA00167103 KYC Print Page 15 of 21 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 Summers! 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: J. Epstein Virgin Islands Foundation, Inc - 00300486427 Type of Entity: Trust D Company El Estate purpose of Entity: O Prtvate Investment WI R Foundation/Association is O Partnership Philantliropic/Charltable MI Commercial Type of Entity Other (spongy). Purpose of Entity Other (specify): Country of incorporationftegistration: United States Virgin Islands Date of Incorporation / registration: 7/14/2000 Volcker Status: Estate or CharnabWPNIantophk Volcker Fag: No Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 United States U.S. TINTEIN: 66.0585379 Novide a description of the entity's organttallonel structure, its ownership structure and its Top Management. For trusts/ oundations, include information about revocabillty,settlor and beneficrines,etc.: This is a 501 (c)3 foundation vi tit Jeffrey Epstein serving as the President. Jaren Indyke serves as VP and Erika Kellethat as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke and Erika Kellerhals Please indicate how cnwership of the legal entity is reflected: D Specks' attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the died owner of the entity to the ullitnete beneficial owner Of not the same persons?. This is a 501 (c )3 foundation with Jeffrey Epstein serving as the Mesh:lent. lo the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dent Wirral source, supplier of goods or services) : Yes O No Describe Nature of Entity's Primers Business and Investment Activities Nature of the business: Private nonprofit foundation which is organized exclusively for charitable, educational and scientific purposes. Countries where business is trarnacted: USA, USVI Werner of employees: 5 I 3D. Wealth Profile (Only for parties requiring sour«. of iwarth de:inner:in as indicated in Sect ) Primary Country of source of wealth/source of Funds' Primary industry of source of WeaMi/Source of Rids, Provide Evidence of Corporate Assets (e.g. balance sheet or The initial donation came from Jeffrey Epstein's personal fund The profits the foudnabon get from these swestments are th quivalent :Amnion, of assetkiliabilines): . These funds have then been invested and reinvested as the source of income for the foundation n reinvested or donated to chartable endeavors Estimated gross receipts (5): 100.000.00 Estimated net Nat (5): 2000,000.00 I stirnated investable assets ($): <$1 MM Potential Amount to be invested with PWM (5): 800,000.00 Other Known Financial Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 800,000.00 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002878 EFTA_000 16352 EFTA00167104 KYC Print Page 16 of 21 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial 11.0 . 00000483882 Type of EntRy: Purpose of Entity: g Private Investment O • Foundation/Association • Trust g Company • Estate O Partnership Philanthroplc/Charltable • Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: US Virgin Islands Date of Incorporation / registration: 2/25/2013 Volcker Status: Identified on Customer Profile Vokker Hag: No Address (city, street, post code): 6100 Red Hook Quarter 83 00802 U.S. TIWEIN: 66-0799192 Provide a description of the entity's organtrational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabilly,settIor and beneficiades,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Wire/ Epstein is the sole shareholder of Sou hem Tnist Company Inc Please Skate how ownership of the legal entity is reflected: 0 Special attention: Bearer Shares - Indicate where shares are custedied: Desalbe the chain from the direct owner of the entity to the ultimate beneficial owner re not the same persons,. To the best of your knowledge, Is the &stay party to a non-baniung retationship with Deutsche Bank (e.g. fraternal legal counsel, cbent referral source. supplier of goods or services)': yO5 No LI g Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and Invest in different ventures. This company Invests in real estate, equities, commedItIM etc and gets as revenue from the gars 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: 1 3D. Wealth Profile (Only for parties requiring source of 'watt' description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary Industry of source of Wealth/Source of Fusels' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunvnary of assersilablilUes): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert to Hr. Epstein's Source Of wealth for more details. Estimated gross receipts ($): 2,000,000.00 Estimated net profit . (5): 1,500,000.00 Estimated investable assets ($): -- $1 MM Potential Amount to be invested with Ihral (5): 300,000.03 Other Known Financial Institutions: Institution: DO Country: USA Est. Assets Under Mgt: 1,000,00).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 I Legal Entity Name: 'Southern Trust Company, Inc. - 00000 483883 3C. Legal Entity Details (For all Legal Entities) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SONY-0002879 EFTA_00016353 EFTA00167105 KYC Print Page 17 of 21 Type or Ditity: O Foundation/Associationtion O Trust RI Company O Estate O Partnership Purpose of Entity: F A Private Investment Lj PhienthropiciCharrtable O Commercial Type of Entity Other (specdy): Purpose of Entity Other (specify): Country of Incorporation/registration: US Virgin Islands Date of incorporation / registration: 11/18/2011 Vokker Status: Identified on Customer Profile Vokka Rag: No Address (city, street, post code): 6100 Red Hook Quarter 83 00802 U.S. TIN/EIN: 66-0229861 Provide a description of the entity's organbational structure, its ownership structure and its Top Management. For trusts/foundations, include Mformarext about revocablay,settior and beneficianes,etc.: JeNrey Epstein Is the sole shareholder of this congmy. The sgnors on this account are leflrey Epstein, Harry Beller Jeanne Brennan, and Darren Please indicate how ownership of the legal entity is reflected: - Indicate where shares are custcdied: III Special attention: Bearer Shares Describe the chain from the direct owner of the entity to the ultimate beneficial owner ('nth the same persons). To the best of your knowledge, is the entity party to a non.banking relationship with Deutsche Hank (e.g. external legal counsel, cleat referral source, supplies of goods or services) Yes O No g Describe Nature of Entity's Primary Business and Investment Activities Nature of the busness: Consulting Services relying on Financial consulting company that invests of these investments. South em Trust makes their revenue based on the assets and Biomedical algorithms. the assets of their clients Southern Trust is a private and gets their revenue lam the return portfolios catered to their clients and well managing their clients invests in different returns and the foes associated Countries where business Is transacted: US Virgin Islands Hurter of employees: 4 3D. Wealth Profile (Only for parties roduiring source of wealth description as indicated in Section 2) Pommy Country of source of wealth/source of Funds? Prinary Industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsflabilthes): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts (5): 2,000,000.00 Estimated net profit ■ ($): 1,500,000.00 Estimated investable assets (5): 32 MM • 5 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: DB Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est Assets Under reit: Institution: County: Est. Assets Linder Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002880 EFTA_000 16354 EFTA00167106 KYC Print Page 18 of 21 DB PWIM GLOBAL KYC/NCA: US/LatAm/Intil PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Oddments: Booking Center ®NY O OffShOM o cotillo,. O Moderate isle Yconsun Chung ...e, • High Risk (Compliance Signature) O DB Managed PIC O DO is Trustee/Co•Trustee • OB Employee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 4 Drivers License gl Passport O National/State ID O Other B. Checklist of names (individuals and/or entities) that were submitted for database searches is ,1 Yes ONo eternised C. Please indicate the results of the database searches performed ROC searches complete 2 yes O No negative results found J Yes O No PCR checks complete 74 Yes O No negative results found in Yes Oho OFAC checks complete ®Yes • No negative results found O Yes ®No BIS searches complete Curds/Nods, Factva, Reuters, Dow Jones, M) 7.0 115 0 No negative results found Oyes En No Denial Orders checks complete lrK yes O No negative results found • Ms 0 No Martindak-Hubbeill searched (Lawyers/Law firms arty) . yes 74 No negative results found . ye O No D. Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Approved in KYC /01133377 HARRY BELLER: Approved in KYC /01133024 JEANNE BRENNAN: Jeanne was previously approved in KYC /01101315 JEFFREY EPSTEIN: ROC Alert *I -- Cleared & APPROVED by Chip Packard, Ads Complance, and Pat Harris PCR Alert 0 112 — 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 No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the Ant Clearance attached Court Cases have been closed FINANCIAL TRUST & CO ROC/PCR alert is associated with Southern Financial, the company it merged nto. This alert has been cleared by Compliance and is attached Court Cases are closed Erika Kelerhals: CM Action court case of James P Carroll v Dawn Prosser (a divorce case) which lists Erika Kellerhals as general counsel as she is an attorney. Mother case wth Supermarket Source Inc lists Erika as the defendent's mood These cases are standard in Enka's line of work, and they are not directed at her personaty. E. To the best of your knowkdge, has the client ever been convicted of a criminal offense, yes • No F. Dyes FA eio To the best of your knowkdge, has the customer ever been invohed in any past litigation against CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002881 EFTA_000 16355 EFTA00167107 KYC Print Page 19 of 21 Deutsche Bank AG or any of its wine iaries or is the customer threatenng litigation against Deutsche Bank AG or any of Is subsidiaries? (if Yes, pros,* Oda* below and erertaa Quality Mgt (LatAmfireVor the Regulatory Cot Crow and nobly Compliance immethetely) G. Does the client or related party have any financial or other association / nteractkos within countries . yes so or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other association/ interactions within high risk O yes No countries> I. Corporate Documentation Attached (Legal Entitles Only) Ea yes O No O Not &Hiked& 1. Undisclosed Principal Form Complete (Intemiediaries Only) Dyes • No J Not Appkable K. If lexis/Nexls 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: 1. Special Risk Factors Does the account have Nexus to Spec el Risk Countries? • yes is No Is the account structure unusually complex> • yes 121No Is there any indication the client set up a non operating company expressly • yes gi No for the purpose of transferring shares to third parties> Is there any indication this could be a prohibited business relationship? O Yes 2 NO Are the bearer shares identified subject to acceptable controls? • yes 21No 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) D6-SDNY-0002882 EFTA_000 16356 EFTA00167108 KYC Print Page 20 of 21 M. Case Comments Created By Date Comments KshitfiGobni 8/8/117 4:45 PM This KYC serves as a high risk update for the below listed clients (together 'accountholders') - 1. Southern Friancial, tiC 2. Southern Trust Company, Inc 3. Jeffrey Epstein 4. J. Epstein Virgin Islands Foundation, Inc Below are the reason why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and reviewed; and result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders - SOW: The UBOs (Jeffrey Easter) is the founder of Southern Trust Company Inc, which manages clients assets. SOW remotion was obtaMed. Negative Media & PEP: There is some negative media againt Mr Epstein and he is also rnairdains a close relationship Mb Bill Cknton and Prince Andrew. Please see risk calculator for more Information. Appropriate approval was obtained. • Our review did not Identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on al parties and did not find the names searched to be on any sanctions Isis Cynthia Rodriguez 7/7/117 1:50 PM Verification of Address for Jeffrey Epstein Kennelled. it is his most recent paycheck from Southern Trust Company Inc. Cynthia Rodriguez 6/30/117 1:28 PM google searches for UBO can be found in KYC case 01790820 Cynthia Rodriguez 7/7/117 2:28 PM client confirmed no material changes on 07/01/2017 via phone Cynthia Rodriguez 7/7/117 2:17 PM research for Jean Anne Brennan WiebracM Is attached to kyc case 01790620 ONSHORE APPROVALS Client Facing Professional (CFP): steam oldtleid ,Signature) stewart *field 7/5/2017 Office Director/Business Head: Andrew F Gallivan Signature) Andrew F Galivan 716/2017 Regional Mike Director: 'Signature) AM. Business Risk: (Signature) AK Compliance: Kshitii Golani Yoonsun Chung (Signature) Kshitg Galin Yoonsun Chung 8/8/2017 8/8/2017 UTAH/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head GMITIXSub-Market Team Head SMTH): (signature) AML Business Risk: (Signature) Aht Compliance: (Signature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002883 EFTA_000 16357 EFTA00167109 KYC Print Page 21 of 21 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! (I) (CFP's) should establish and maintain business relationships only with persons who sag* 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 of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECiARANON 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! 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. Deutsche Bank Americas New York CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 7/30/2019 DB-SONY-000288a EFTA_000 16358 EFTA00167110