EFTA01282070.pdf

KYC l'rint Pagel of 10
DB PWM GLOBAL KYG/NCA: PART A
KYC Case = : Status : 6. Approved
One sheet must be established pr relationship - list all accounts Included In the retationsin
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center. New York
Relationship Manager: Pate Mans
• New PWM Relationship ID Existing PWM Relationship
Relationship to PWM:
If costing, please indicate wee when the relationship mists, provide reason for new profde and attach old profile:
2 Client Referral O RH Prospect • Intermediary/PIM O Other Source (GB, etc.)
How Was the Cilent(s)
Introduced? How long has the Please provide details (e.g. name of referral source, how many years Rel personally has known diet, etc): Jeffrey Epstein s a
RII personally known the current client of the Bank. Wants to open a new account. Irdroductko details of Paul and Jeffrer Jeffrey Epstein was a client of
diet? Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JP/organ.
Over the course of a fen meetings Paul was able to get Jeffrey to treig some of his funds over to Deutsche Bank
Does Deutsche Bank pay a O Yes
retrocession or singer 12 No
compensation to a third party
for the introduction of this Of Yes, &sate).
relationship?
List al existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intendcd/actual)
Account(s)
1 9 2orro Development Corp 4/28(2014
2 IL' I 2orro Development Com -- Money Market 4/28/2014
Who is the primary contact
person for the RN? (Note: This r.,_„„en thdyke Preferred method of contact
person needs to have signatory a " (indicate phone no., fax no.,
rights andfor anfonnabon right ems address, etc.):
foe the accounts.):
SDNY_GM_00037349
ONFIDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000173
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EFTA_00147961
EFTA01282070

KYC Print Page 2 of 10
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Z0IT0 Development Corp Pat. Winter (if available):
Account Manager: Pal Morris
What is the purpose of the account (e.g. portfolio managemen , advisory account, custody services, long-term invmment, payment/expense account)? Chedring
account for the thy-to-day expenses associated with turning the ranch re Nevi Mexico that 20110 owns
Indicate from where the assets ate expected to amve?
0 DB Group: Same Booking Center (indicate account number): From Jeffrey Epstein's account'
O
DB Group: Other Booking Center (indicate DB location and account details):
O Other Institution - (Iridcate name & location):
O Physcal Deposits (specify cash, securities, cheques.....:
What is the expected see and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-30
inflows and outflows per month ranging from $1000 to $10,000
What is the expected vokune of assets and currency for the accepts% approx. 90 days after opening? 1 100000 I Currency I USD
What is the expected volume of assets and currency for the account approx. one year after opening? 1 150000 I Currency I USD
Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3(4? • yes O No
Please list all parties related to the account.
For each party:
• Check if a source or wealth desenpuon is required for the party.
• Check the appropriate box to describe the relationship of the party o this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other column.
• Always describe the relationshp between the parties in the last column.
• Please MI down to the ultimate/underlying Benefidal Owner(s).
_egal 7esaiption Account PlC 'enior of _Serrate `Sigratory_mitedPinancial &militant Legal Grantor/SetdoriFoundina.3ther
Entity af Source Holier Owner Trust/ Benetc alor Full ?OA ntermediary•Shareholder Representative Donor (please
of Wealth Founder of Diner POA (FIM) (>=25%) describe
equired Foundation Non-PIC other roles
entity and/or
(indicate indicate
Parties ynnership relationship
related to %) between
/his account panes)
Z0IT0
I 12 O Development Lj O O O O O • O O
Corp.
2 • • i D nd a y rr k e e n O O • O I21 • • • O O
O O
Ekpiskte" n O O • 10 O O O • O O
FIDENTIAL
SDNY_GM_00037350
ON
CONFIDENTIAL - PURSUANT TO FED. R. t DB-SONY-0000174
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EFTA _00147962
EFTA01282071

KYC Print Page 3 of 10
2. Account Ownership Summary
Acoount Name: atm Development Corp — Money Market Acct. Number (ifa gsgabki
Aco3unt Manager: Paul Morris
What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payrnent/emense account)? Money
Market account forapensin associated with winning the ranch in New Mexico that ZOITO owns. This account we hold extra funds and earn Interest
Indicate from where the assets we expected to amve?
0 DB Group: Same Booking Center (Indicate account number): Jeffrey Epstein's account
O DB Group: Other Booking Center (Indicate DB location and account details):
O Other Institution - (Indicate name & location):
O Physical Deposits (specify cash, secunties, cheques....):
What Is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per Mort h)?: Roughly 1-3 Inflows
and outflows per month ranging from $1000 to $10,000
What Is the expected volume of assets and currency fa the account approx. 90 days after 1100000 I Currency I USD
opening?
What is the expected vokune of assets and currency for the account approx. one year after 1150000 I Currency I USD
opening?
2
DOES/Wall the orient have Assets Under Management (AuM) within DS under Eur. 3M? • Y on No
Please list all parties related to the account.
For each party:
• Check if a space of wealth desorption s required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> I can be selected).
• f none of the check boxes apply, dose be the parWs relation to the account In the 'Other column.
• Ahvay describe the relationshp between the parties in the last column.
• Please WI down to the ultimate/underlying Berefical Owner(s).
_egai Desorption Account PlC Senior of innate Signatory _Imited Financial Significant Legal Grantor/SetdatoundingOther
Entity of Source Haler Owner Trust / Beneficator Full POA Intermedlaythareholder Representative Donor (please
of Wealth Founder of Owner POA (FIM) (>=25%) describe
educed Foundation Non-PIC other roles
entity and/or
;indicate indicate
Parties ownership relationship
related to %) between
phis account parties)
loco a O O O o o o O L O
I I El Development
Corp.
O O Darren O 21 O O O O LI
2 Indyke • O O
O 5 O O
Ejpesftefiin" O O O O 0 O O •
SONY_GM_00037351
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000175
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EFTA01282072

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ
3A. Individual Details (for all parties)
IncliAlualt Name: Jeffrey Lpsten - Dated Birth: 1/20/1953
Country d Residence: USV1 Country of Otizenship: USA
Has client resided outside of
Address of primary residence: Utte Saint James Saint Thomas 00802 US Virgin Wands his/her cony of nationality O yes 0 No
for 5 years or more?
Profession/Occupation: Set Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC PostonatieRank: President
Address of employer: 6100 Red Hook Quarter B3 St. Thomas USV1 00802
No
Does the person work as senior °recur:lye d a DB-recognized regulated entity In the financial n yes O
ndustry? or an entity listed ona DB-recognised exchange? (Not applicable for operating entities '—'
Is the indvidual a Politically Exposed Person (PEP)kif yes, cleSCribel O Yes O No
To the best of your knowledge, is the Individual related to an employee of the DB groupyil • Family O Friendship 0 None
Family or friendsh(o, *at* )
To the best of your knowledge, is the indMdual party to a nal-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, wciplier of goods or servion)? . Yes 2 No
(if Yactesmbe)
if applicable, indicate whith bank officers have met the person: Indicate where and when the client meeting(s) took place:
Client Private Client Placed
Bank Officer Name(s) Bank Office: Other Location (seedy): Date:
Dormdle: Business:
Paul Mans O O 3/4/2014
2
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Orgy for parties recs.wing source of wealth dompton as .neficated in Sector. 2)
Natured the Individual's Business: Private Investments
Primary Country of soiree of wealth/source of Funds?
Primary industry of source of ViealtIVSource of Funds?
Summarize Source of Wealth: Business Owner OSalanyEarnings Investrnent . Inherence/Geis . Other:
Further Describe Source of Wealth /Detail the Nstory of wealth for 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
acavibes, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982,
Epstein founded his own financial management firm, J. Epstein & Ca, managing the assets of clients with more than a baron in net worts In 1996, Epstein
changed the name of his firm 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 Lambe Wexner. His wealth has carne from Ns days at Bear Stearns and his financial management firms
Estimated Annual Incane($): 10,000,000.00 Estimated amount of investatre assets($): $50 MM - HO MM
Estimated Net Worth(S): $100 MM - 500 MM Amount of asses premed to invest with PWM(6):
Utter Known Financial Institutions:
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00037352
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000176
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EFTA_00147964
EFTA01282073

KYC Print Page 5 of 10
hr.otuticn: I I Country: IEst. ASSets Under Mgt:
Please incicate the family situation of the individual (manta' status, other family members, etc.):
SDNY_GM_00037353
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000177
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EFTA_00147965
EFTA01282074

KY(' Print Page 6 of 10
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh lu Summ
3A. Individual Details (for all parties)
Individual's Name: Darren Indyke • Dated Birth:
Country of Residence: USA Country of Otizenship: USA
Has client rmided outside of
Address of primary residence: his/her country of nationality O Yes W No
for S years a more?
Profession/Occupation: Lawyer Tax ID/ SSN:
Current Employer: Southern Financial LLC Positionfhtle/Rank:
Address of employer: 575 Lexington Ave, 4th Fl Uvingston NY USA 10022
Does the person work as senior emotive of a DB-recognized regulated entry n the financial
ndustry? or an entity listed ona DB-recognised exchange? (Not applicable fa operating entities O Yes W No
Is the ineWidual a Politically Exposed Person (PEP)?(f Yes, legate) O Yes WI No
To the best of your knowledge, Is the Individual related to an employee of the DB group?(AY O Family O Friendship El None
Family or fdendsl(o, desaibe)
To the best of your knowledge, Is the Individual party to a nen-banking relationship wrth E,r
Deutsche Bank (e.g., edema' legs counsel, client referral source, worrier of goods a servicim)? • Yes No
(if Yadescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, indicate whith bank officers have met the person:
CileM Private Client Placed
Bank Officer Name(s) Bank Office: Dorntilt Business: Other Location (seedy): Date:
Paul Mart O O 9/17/2014
2
O O •
O O O
El Wealth Details for this individual are not filled in, because they are the same as for the fcalowing peson:
38. Wealth Details (Only for parties requiring soiree of wealth dim:notion as indicated in Section 2)
Nature of the Individual's Gumless:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Earnings IN Investment O Inbentance/Gfis O Other:
Further Describe Soiree of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate maze'? For Inheritance, haw
did family acomiubte wealth?For business owners, how long in business, how many employees, level of Profitability? Indicate type of Mildness, countries of major
activities, important business partners.)
Estimated Annual Incene($): Estimated amount of Investable assets(S):
Estimated Net Worth(S): Amount ct assets planned to Invest Wel PWM($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Indicate the family situation of the individual (mental status, othe family mutters, etc.):
SDNY_GM_00037354
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CC DB-SONY-0000178
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One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa
3C. Legal Entity Details (For all Legal &tubes)
Legal Entity Name: Zorto Development Corp. - 000a
121Company
O Foundation/Assccation • Trust • Estate 2 Private Investment
Type of Entity: Purpose of Entity:
• Partnership PNIaMlvcplc/Ctaritable O Commerdal
Ptrpose of Enbty
Type of Enbty Other (specify):
Other (specify):
Country of USA Date of inaltlaelstbn / 3/17/1903
incaporatichfregistrweon: nagtstratico:
Vokker Status: Vokker Flag:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 USN U.S. TIN/EIN: 85-040-9324
code):
Provide a desaiption of the entity's organaatioral sobaure, its ownership structure and Its Top Management. Fa trusts/foundatans, Include information about
revocability,settiot and benefldanesetc:
Zorro is able to issue 3000 shares Currently there are ally 100 shares Issued. MI owned by Jeffrey Epstein
Please indcate how °mato of the legal entity is reflected: Zorro is able to Issue 3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey
Epstein
El
Spedal attention: Bearer Shares - Indicate where shares ate custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (dent the same persons) Zorro is able to issue 3000 shares. Currently
there are only 100 shares issued. MI owned by Jeffrey Epstein
To the best of your knowledge, is the entity party to a non-banHng rebticnship with Deutsdie
Bank (e.g. external egad counsel, dent referral source, supplier of goods et services)?: Yes O No2
Describe Nature of Entity's Primary Business and Investment Activities
Zorro Development is a real estate holding compaw. It 'soca-many famed to rim and merate
Nature of the Osness:
all activities associated with a property that Jeffrey Epstein owns in New Mato
Countries where business is transacted: USA
Number of employees: 1
3D. Wealth Profile (Orgy for parties requiring source of wealth description as indicated in Section 2)
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/eattli/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Whites):
Ina company Is funded by Jeffrey Eosteits personal wealth
Estimated gross receipts pa($):
Estimated net profit p.a. (5):
Estimated investable assets ($): $1 MM - 2 MM
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Institutions:
Institution: Country: EsL Assets Under Mgt:
Institution: Country: ESL Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
_
SDNY_GM_00037355
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000179
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EFI'A_001 47967
EFTA01282076

KYC Print Page 8 of 10
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA
Relationship Name SOUTHERN FINANOAL RELATIONSHIP
Risk Rating Comments:
Booking Center NY O • Offshore O Moderate earra High Risk Gwen Hill
NY/Offshore (Risk
(Complance Signature)
O DB Employee O DB Managed PIC O DB e Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided @Drivers Ucense O Passport O National/State ID O Other
2
B. Chethlet of names (individuals and/or entities) that were sub fitted for database searches is attached Yes O No
C. Please indlote the teat of the database searches performed
RDC searches complete @Yes • No negative results found O Yes Sr No
PCR checks complete E Yes O No negative results found Oyes e No
Cf AC checks complete RI Yes O No negative results found O Yes RI No
BIS searches complete (Lees/Nods, Factiva, Reuters, Dow Jones, D&B) @Yes O No negative results found O Yes FA No
Denial Orders checks complete @Yes O No negative results found O Yes No
Martindale-Hormel searched (Lawyers/Law Firms only) O Yes No negative results found Oyes O No
Please sunananzeative results from the database searches indicated above: DARREN INDYKE:
KYC approved in and again when added as POA ri KYC-
JEFFREY EPSTEIN:
D. KYC approved in
ZORRO DEVELOPMENT CORP:
No Negative Media
No Coat Cases
E. To the best of your knowledge, has the client ever been convicted of a canker offense? Yes O No
To the best of your knowledge, has the customer ever been involved in any past litigation aganst
F. Deutsche Bank AG or any of its subsidiaries or is the customer tiveatening litigation against Deutsche o yes 2 No
Bank AG a any of IN subsilaries? (If Yes, provide details below and context Qvaty Mgt
(lataillnet) or the Regulatoty Coact Group al notify Compliance immazatew
Does the client or related pasty have any financial or other association / nteractions within counties a rts 2 No
a
or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
2 No
Does the client or related party have any (Vandal or other association) interactions within Ngh risk O yes
II' countries?
I. Corporate Documentation Attached (Legal Entities Only) @Yes O No O Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No Not Applicable
K. If Lens/Nods Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
native/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Speoal Risk Countries? O Yes No
Is the scone structure unusual*/ complex? O Yes RIND
2
Is there any indication the client set up a non operating company expressly O No
for the purpose of wansfernng shares to third 'mites? Yes
Is there any lildiCal011 this could be a prohibited business relationship? O Yes J No
SDNY_GM_00037356
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CC DB-SONY-0000180
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EFTA_00147968
EFTA01282077

KYC Print Page 9 of 10
Are the bearer shares Identified subject to acceptable cornets?
0 Yes No
SONY_GM_00037357
ONF IDENTIAL
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EFTA_00147969
EFTA01282078

KYC Print Page 10 of 10
M. Case Comments
'10 records to display.
ONSHORE APPROVALS
Cent Fa:ing Professional (CFP): Paul Morns (Signature) 4/23/2014
Pail Morris
Office Director/Business Head: Kimberly Hat (*native) 4/23/2014
lOmberly Hart
Regional Office Director: (*nature)
AML Business Risk:
(Signature)
AIL Compliance:
(Signature)
Janice Franklin lance Franklin 4/2512014
Gwen Hill Gwen Hill 4/2512014
LATAM/INTERNATIONAL APPROVALS
Cent Facing Professional (CFP): (*nature)
Account Manager: (Signature)
(cernivsub.
Global Market Team Head (Signature)
Market Team Head (514TH):
AML Business Risk:
(Signature)
AML Compliance:
(SiOnablre)
PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing Professionals1(1)
(CFP's) should establish and maintain business relationships only with persons 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 of CFP's to demonstrate that they know their client both at the inception ofa relationship and
on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofm y 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 oft he client(s) and that i havef ollowed all the procedures relating to account opening as described in the PIVM
Americas Procedures and the PWM Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
Deutsche Bank Americas New York
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EFTA01282079