EFTA01282225.pdf

KY(' Print Page 1 of 21
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case : Status : 6. Approved
One sheet must be established per relationshi - list all accounts included in the relationshi
1. Relationship Details
Relabonshe Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York
Relationship Manager: Stewart Oldfeld
• New PArTI Relationship 2 Ensting PWM Relationship
Relationship to FWM: If edstIng, please indicate since when the relationship exist, provide reason for new profile and attach old profile: "*" 2018
Periodic Review 0,"
Last Approved KYC It - LSE LW - 1790820; Southern Firendal LLC - 1790655
2 alert Referral O RM Prospect O Intermediary/PIM O Other Son (08, etc)
How Was the Client(s)
Introduced? How long has the
PM personally known the Please provide details (e.g. ame of referral source, how many years RM personally has known dint, etc): Jeffrey Epstein
client? readied out to Stew Oldflekl on 3/7/17 to have a new acct opened under this relationshp..
Does Deutsche Bank pay a O Yes I 2 No
retrocession or similar
compensation to a third party
for the introduction of this (If Yes describe).
relationship?
List all edsbng and new accounts involved in this relationship
Legal Entity Account Name! fainter Opening Date (Intended/actual)
Account(s)
1 LSE LW - 42959295 - DDA-42959295 2/25/2015
2 2 Southern Finandal LLC - 77000457 - DDA-7/00095/ 2/27/2017
3 2 Southern Finandal LLC - N46023804 - D851144G023804 8/2612013
Who 6 the primary CCIltiCt
person or the RM? (Note: This
Preferred method of contal
person needs to have Darren K. Indyke (212) 971-1314
(indicate phone no., fax no.,
signatory rests aid/or
email address, etc.):
Information right for the
acccunis.):
SDNY_GM_00037613
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SOW-0000437
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EFTA_00148225
EFTA01282225

KY(' Print
Page 2 of 21
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: WE LLC - 42959295 - DDA Acct Number el available):
Account Manager: Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term InvesbneM, payment/expense account)? The
purpose of the account is to manage the monthly expenses of the company.
Indicate from where the assets are expected to arrive?
2 DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution - (Indicate name & location):
O Physical Deposits (spedfy cash, stones, cheques, ...):
What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 10-15/month:
$100 - S 350K
What is the expected volume of assets and ctrrency for the account approx. 90 days after 255,287.52 I Currency I USD
opening?
What is the expected volume of assets and ctrrency for the account approx. one year after 255,287.52 I Currency I USD
opening?
Does/will the client have Assets Under Management (AM) within DB under Eur. 3M? aresE2Ita
Please list all parties related to the account
For each party:
• Check if a source of wealth descnption is requred for the patty.
• Check the appropriate box to describe the rdationstip of the party to this account (> 1 can be selected).
• f none of the check boxes apply, describe the palls relation to the account In the `Other column.
• Always describe the relationship between the parties in the last column.
• Please drill down o the ultimate/underlying Beneficial Owner(s).
regal Description AccounisoIC Setdor of Jltimate Signatory LimiteciFirendal Significant Legal GrantoreSenectoundingOther
tntityof Source Holder Owner Trust / Benefiaalor Full POA Intermediaryehereholdee Representative Donor (pease
of Wealth Founder of Owner PUPA (FIM) (>=25%) descnbe
required Foundation Yon-PAC other roles
entity and/or
Parties (indicate indicate
related to ownership rdatiortshp
this %) between
)al000unt parties)
1 al El Lsm,ux I21 • O O O O O O O O
2 O gl E J p e s ff t r e e in y E. O DO S S O O 100 O O O M S e o m le b er;
Damen K.
3 O O indyke • • O • a OO O O O
SDNY_GM_00037614
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000438
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EFTA_00148226
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KYC Print Page 3 of 21
2. ACCount Ownership Summary
Account Name: Southern Financial LLC - 77000357 - DOA Acct. Number tdavadable):
Account Manager: Stewart OldieId
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? The
purpose of this account IS to manage the daily expenses of the company.
Indicate from where the assets are expected to arrive?
2
DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB locabon and amount details):
O
Other Institution - (Indicate name & baton):
O
Physical Deposits (specify cash, secretes, cheques, ...):
What is the expected size and frequency of regular .flows and outflows for the account ( nckcate estimated number and volume per month)?: 03/month; 5500
• 51000000
What is the expected volume of assets and currency for the account approx. 90 days 1 1,535,257.07 Currency
after opening? I I UW
What is the expected volume of assets and cr.rrexy for the account approx. one year 1,535,257.07 I Currency
after opening? I UW
Does/will the diets have Assets Under Management (ALM) within DB under Eur. 3M? 0 yes 2 No
Please list all parties related to the account
Fee each party:
• Check if a source of wealth description is requred for the party.
• Check the appropnate box to describe the relationship of the party to this account (> 1 can be selected).
• f none of the check boxes apply, describe the party's elation to the account in the 'Other' column.
• Always describe the relationship between the panes in the last column.
• Please doll down to the ultimate/underlying Beneficial Owner(s).
regal Description Account PIC Sake of Ultimate Signatoorsnitedrinanaal Significant Legal Grantor/SettlorFoundineher
zntityof Source Holder OnnerTrust/ Beneficialor Full DOA ntermediarySShh areholder Representative Donor please
of Wealth Founder of Owner DOA ,FIM) (>=25%) deserts
required Foundation Non.PIC other roles
entity and/or
Parties (indicate ndkate
related to ownership elabonship
this between
account „lames)
Southern
1 O Financial
LLC
2 Jeffrey 2
E. Epstein
Jean
Anne 2
3
Brennan
Wiebracht
4 Darren 2
K. Indyke
Southern
Trust
Company
Inc is the
sole
member of
$outhern
Southern
9 9 Trust n Fronde'
LLC &
Company,
Jeffrey
Inc.
Epstein is
the sole
shareholder
of Southern
Trust
Company
no;
SDNY_GM_00037615
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000439
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EFTA (()148227
EFTA01282227

KYC Print Page 4 of 21
2. Account Ownership summary
Account Name: Southern Friancial LLC - N46023604 - DBSI Acct. Hunter fravadaNef.
Account Manager: Stewart Oldfield
What is the purpose of the account (e.g. p dot* management, advisory account, custody services, longterm investment, payment/expense account)? The
purpose of this account IS to invest long term with the bank.
Indicate from where the assets are expected to arrive?
0 DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and azo3unt details):
O Other Institution - (Indicate name & location):
O Physical Deposits (specify cash, secuntes, cheques, ...):
What is the expected size and frequency of regular .Mows and outflows for the account (indicate estimated number and volume per month)?: 25-35/month; $0 -
5250K
What is the expected volume of assets and currency for the account approx. 90 days 1113,764,196.27 I Currency
after opening? I USD
What is the expected volume of assets and ctsrency for the account approx. one year 113,764,196.27 I Currency
after opening? I USD
Doesivill the client have Assets Under Management (AM) within DB under Eur. 3M? 0 Yes El No
Please Ust all parties related to the account
For each party:
• Check if a source of wealth description is reared for the party.
• Check the arixopnate box to describe the relabonship of the party to this accent (> 1 can be selected).
• f of the check boxes apply, describe the palls elation to the accent in the 'Other' column.
• Always describe the relationship between the pates in the last column.
• Please doll down to the ultenate/underlying Beneficial Owner(s).
regal Description Account PIC Settle' of Ultimate 4Signatoor—rnitedrinancel Significant Legal Grantor/SettlorkundindlOther (please
intityof Source Fielder OnnerTrust / Beneficialor Full 00A ntermediaryShareholderRepresentative Donor Jesate
of Wealth Fender of Owner POA ,FIM) (>=25%) other rolm
required Foundation Non-PIC andkr
parties entity ndkate
related to (indicate -elabonship
this ownership between
account %) lames)
Southern
1 2 0 Anancial 5 • • O • O O O O •
LLC
Jeffrey n O O
2 O 0 E Epsten " E2I a O O 0 O O
Jean
Anne • a O
3 O O Brennan O IS O O O O •
Virebracht
Darren
4 0 0 K lndyke • • • O 5 O O O 0 •
Southern
Trust
Company
Inc is the
sole member
of Southern
Southern
Financial LLC
5 2 2 C Tr o u m st p any, Li Li U U • O O O ..j & Jeffrey
Epstein is
Inc.
the sole
shareholder
of Southern
Trust
Company
Inc;
Tradrig
Authorization
6 • O B P a a r u re l t S t . • • O O • 0 O O O • P Li u m rc it h e a d s e to s &
Sales of
,Securrbes;
SDNY_GM_00037616
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. t DB-SONY-0000440
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EFTA_00 I 48228
EFTA01282228

KYC Print Page 5 of 21
l' 1O1O r ID 1O1O ID l 1O 1O I ID ID 1O 1 I
SDNY_GM_00037617
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SOW-0000441
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EFTA_00148229
EFTA01282229

KY(' Print Page 6 of2 1
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 E. Epstein - Date of Birth:
Country of Residence: Won Islands, US. Country of ClUzenship: United States
Has client resided outside of
Little Sant James Sant Thomas 03802 WO Islands, U.S. his/her country of nationality • vim No
Address of primary residence:
for 5 yeas or more?
Profess on/Ocapation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Trust Company Inc Pose:km/Title/Rank: President
Address of employer: 6100 Red Hock Quarter B3 St. Thomas Virgin Islands, U.S. 00802
n ...
DOES the person work as senior executive of a DB-recognized regulated entity in the financial
Mosby? of an entity listed on a DB-recognised exchange? (Not applicable for operating entitles L-IYm i•A No
Is the individual a Politically Exposed Person (PEP)?(s/ Yes, describe) Comection with Prince 2 Y. O No
Andrew and BM Clinton
To the best of yar knowledge, is the individual related to an employee of the 08 group?(d O Family • Friendshp '4 None
Family or Friendslgo, desaite) N/A
To the best of yar knowledge, is the individual party to a nen-banking relationship with Yes 67d
Deutsche Bard( (e.g., external legal counsel, client referral source, supplier of goods or • No
seivices)?(if Yesdesoibe) N/A
Indicate where and Wren the client meeting(s) took dace:
If applicable, indicate which bank officers have met the person:
hint Private Client Place of
Bank Officer Name(s) Bank Office. Other Location (specify): :
• de: Business:
Stewart Oldfield .•4 • O 6/28/2017
O q O
O • •
• Wealth Details for this indrodual are not filled ri, because they are the sane as for the following person.
3B. Wealth Details (Only for pestles requiring source of wealth descnption as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary County of source of wealth/source of Funds? United States
Primary industry of source of Wealth/Source of Funds? High Risk Financial Institutions
Summarize Source of Wealth: Business Owner O Salary/Eamings 0 Investment • Inhentance/Gifts O Other:
Rather Oescnbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how rid setdor accumulate wealth? For inhertance, hem
did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of
major activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender ri the United
States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus
and physics at the Dalton School ri Manhattan from 1973 to 1975. Among his students was a son of Man C. Greenberg, chairman of Bear Stearns
In 1976, Epstein started work as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax
strategies. Proving successful ri his financial career, in 1980 Epstein became a partner at Bear Stearns.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managrg the assets of dents with more than $1 eon in net worth. In 1987,
Leslie Weiner, founder and chairman of Ohio-based The Limited chain of women clothing stores, became a welt-known client. Wexner acqured Abercrombie &
Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the
wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for tax advantages, based et on the island of
St. Thomas in the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New York magazine. Other bidders were adverasng exeomve Donny Deutsch, investor Nelson Pelt, media mogul and publisher
Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime
Wall Street investor, who paid $55 million.
In 2004, Epstein and Zuckerman committed up to $25 mean to finance Radar a celebnty and pop culture magazine founded by Maer Roshan. Epstein and
Zudemen were equal partners in the venture. Roshan, as its editor-in.chief, retained a small ownership stake.
SDNY_GM_00037618
ONF I D ENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SDNY-0000442
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EFTA_00148230
EFTA01282230

KYC Print Page 7 of 21
Presently, Mr. Epstein (prided Southern Trust Company Inc, a pivate consulting company that invests the assets of their dents 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 arC the fees
associated with rrenageng their dent's assets.
Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): SSO MM - 100 WI
Estimated Net Worth($): $503 MM + Amount of assets planned to invest with PWS1($): 2,300,000.00
Other Known Friends' Institutions:
Insbtution: Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
Insttution: Country: Est Assets Under Mgt:
Please indicate the family situation of the orcliwcival (mental status, other family noil,na, etc): N/A
SDNY_GM_00037619
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000443
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EFTA_0014823 I
EFTA01282231

KYC Print Page 8 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershln Summa
3A. Individual Details (for all pales)
Indrethars Name: Darren K. Indyke - Date of Birth:
Country of Residence: United States Country of Otherehip: United States
Has client resided outsde of
Address of primary residence: his/her country of nationality • yin PI No
for 5 years or more?
Profess on/Ocapation: Acco.Irtant Tax ID / SSN:
Current Employer. Southern Financial LLC Posibcogide/Rank: Accountant
Address of employer: 6100 Red Hock Quarter B3 St Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial
Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 0 No
Is the individual a Poldcally Exposed Person (PEP)?(1Y es, describe) N/A O WS 2 NO
To the best of yar knowledge, is the individual related to an employee of the DB group?(, O Panay • Friendshp ?2 None
Family or Friends*, (lessee) N/A
To the best of yar knowledge, is the individual party to a non-banking relationship with ca
Deutsche Bank (e.g., external legal counsel, client referral sane, supplier of goods or O yes No
services)?(if rescfesoibe) N/A
Indicate where and Mien the client meeting(s) took place:
If applicable, indicate which bank officers have met the person:
Clent Private Client Place of
Bank Officer Name(s) Bark Office: Other Location (specify): Date:
Domicile: Business:
Stewart Oldfield • O 12/12/2016
ID El El
I:I • •
• Wealth Details for this individual are not filled ri, because they are the sane as for the following person:
39. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
NatLre of the IndMduS's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For assts, how red sabot accumulate wealth? For Inheritance, how
did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of
major actMbes, important business partners.)
Estimated Amual Income(S): Estimated amount of investable assers($):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Friancial Insboitions:
Insboition: Country: Est. Assets Under Mgt:
Insboition: Country: Est. Assets Under Mgt:
Insboition: Country: Et. Assets Under Mgt:
SDNY_GM_00037620
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000444
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EFTA_00148232
EFTA01282232

KYC Print Page 9 of 21
Please indicate the family situabon of the ridivelual (mental status, other family members, etc):
I
SDNY_GM_00037621
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IC DB-SONY-0000445
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EFTA_00148233
EFTA01282233

KYC Print Page 10 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: lean Anne Brennan Wiebrach: - Date of Birth:
Country of Residence: Won Islands, U.S. Country of Citizenship: Won Islands, U.S.
Has client resided outsde of
Address of primary residence: his/her country of nationality O Yes VIA No
for 5 years or more?
Frofession/Ocapation: Finance Tax ID/ SSN:
Current Employer: Southern Financial LLC Postionifitle/Rank: Finance
Address of employer: 6100 Red Hock Quarter, 83 St Thomas Virgin Islands, U.S. 00802
Does the person work as senior extortive of a D8-recognized regulated entity in the financial
Mussy? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes g No
Is the individual a Poll:tally Exposed Person (PEP)?(/ YeR deSOlbe) N/A arra g No
To the best of your knowledge, Is the Individual related to an employee of the DB group?(, O Family • Friendshp ni None
Famfror AnYnOsigo, desafte) N/A
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 El yes @No
services)?(/ Yescksoibe) N/A
Indicate and sedan the client meetings) took place:
If applicable, indicate which bank officers have met the person:
Oent Private Client Place of
Bank Officer Name(s) Bark Office: Other Location (speofy): Date:
Domicile: Business:
O • O
O
O O
1:1 • O
O Wealth Details for this indrvidual are not filled ri, because they are the sane as for the folformg person:
3B. Wealth Details (Only for parties requiring source of wealth destination as indicated tn Section 2)
Nature of the Individuals Business:
Pnmary Country of source of wealth/source of Funds?
Pnmay industry of source of Wealth/Source of Funds?
Summary Source of Wealth: a Business Owner O Salary/Earnings O investment • Inhentance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trues, how trd settlor accumulate wealth? For Inheritance, how
did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? indicate type of business, countries of
major activities, important business partners.)
Estimated Annual Income(S): Estimated amount of invistable assers($):
Estimated Net Worth($): Amorrit of assets planned to invest with OWM(3):
Other Known Fronde' institutions:
Insttution: Country: Est Assets Under Mgt:
Insttution: Country: Est Assets Under Mgt:
Insttution: Country: at. Assets Under Mgt:
SDNY_GM_00037622
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000446
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EFIA_00148234
EFTA01282234

KYC Print Page 11 of 21
Please indicate the family stuation of the ridhidual (mental status, other family mantes, etc):
I
ONFIDENTIAL
SDNY_GM_00037623
CONFIDENTIAL - PURSUANT TO FED. R. CC DB-SONY-0000447
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EFTA_00148235
EFTA01282235

KY(' Print Page 12 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershlo Summa
3A. Individual Details (for all pates)
Individual's Name: Harry Belle, Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outsde of
Address of primary residence: his/her country of nationality • yes No
for 5 years or more?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Positenritle/Rank: Acoountant
Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022
Does the person work as senior executive of a DB-recognized regulated entity in the finandal r-i ,.,
Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles L-I Yes i•A No
Is the individual a Poldcally Exposed Person (PEP)?" Yes, describe) N/A O Yes @NO
To the best of your knowledge, is the individual ,dated to an employee of the DB groupW El Family • Friendship 74 None
Family or Frienifsbfo, desaite) N/A
To the best of your knowledge, is the indindual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or Orin @ No
sennces)?(/ Yescfesoibe) N/A
Indicate where and ,Men the client meeting(s) took dace:
If applicable, indicate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Offer Other Location (seedy): Date:
Domicile: Business:
O • O
El El El
ID • •
• Wealth Details for this individual are not filled ri, because they are the sane as for the following person.
3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2)
NatLre of the IndMduats Business:
Primary Country of soLrce of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment O Inhentance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how 6c1 sctdor accumulate wealth? For inhentance, how
did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? IndicaW type of business, countries of
major actMbes, important business partners.)
Estimated Amual Income(S): Estimated amount of investable assets($):
Estimated Net Worth($): Amount of assets planed to invest with PVAM($):
Other Known Fronde' Institutions:
Instation: Country: Bt. Asses Under Mgt:
Insttution: Country: at. Assel3 Under Mgt:
Insttution: Country: at. Assts Under Mgt:
SDNY_GM_00037624
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. IA DB-SONY-0000448
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EFTA_00148236
EFTA01282236

KYC Print Page 13 of 21
Please indicate the family situation of the ridivglual (mental status, other family members, etc.):
I
SDNY_GM_00037625
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. ie DB-SONY-0000449
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EFTA_00148237
EFTA01282237

KYC Print Page 14 of 21
one sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershio Summa
3A. Individual Details (for all parties)
Indrockal's Name: Paul S. Bare: Date of Beth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outsde of
his/her country of nationality O Yes? No
Address of primary residence:
for 5 years or more?
Professon/Occupation: Invistment Advsor Tax ID / SSN:
Current Employer: ).P. Morgan Securities LLC Postai/Title/Rank: Investment Advisor
Address of employer: 277 Park Ave New York NY United States 10172
Does the person work as senior execubve of a DB-recognized regulated entry In the financial
Mustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes No
Is the individual a Poetically Exposed Person (PEP)?(/ Yes, describe) N/A arm @ No
To the best of your knowledge, is the individual related to an employee."( the DB group?(r O Family • Friendship ?2 None
'amebic( Friendsko, desaite) N/A
To the best of your knowledge, is the individual parry to a nen-banking relationship with
Deutsche Bard( (e.g., external legal counsel, dent referral source, supplier of goods or • Yes @ No
savices)?(if resoiescibe) N/A
Indicate where and Mien the client meetings) took place:
If applicable, indicate which bank officers have met the person:
Cent Private Client Place of
Bank Officer Name(s) Bar* Offix• Other Location (specify): Date:
' Domicile: Business:
O • O
O
O O
1:1 • •
• Wealth Details for this individual are not filled ri, because they are the sane as for the following person.
3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Sectim 2)
Natire of the Individuals Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: a Business Owner O Salary/Earnings O Investment • Inhentance/Gifts O Other:
Father Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trLes, how rad settlor accumulate wealth? For Inheritance, how
did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of
major activities, important business partners.)
Estimated Amual Income(S): Estimated amount of invaable assers($):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Fronde' Instal:Ions:
Instation: Country: at. Assets Under Mgt:
Insttution: Country: at. Assets Under Mgt:
Insteition: Country: at. Assets Under Mgt:
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Please indicate the family situation of the individual (mental status, other family members, etc.):
I
One sheet must be established for EACH LEGAL ENTITY in Section 7... Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: LSJE, LLC - 00000499733
Private Invament •
O Foundanon/Assocahon O Trust g Company O Estate ,,..
Type of Entity: rurPse of Entity: Flelanthrock/Charitable O
O Partnership
• mmercial
Purpose of Entity
Type of Entity Other (speofy):
Other (specify):
Country of Won Islands, U.S. Date of incorporation / 10/27/2011
incorporation/registration: regevabon:
Identified on Customer Profile No
Volcker Status: Volcker Rag:
6100 Red Hock Quarter, 83 St. Therms 00802 Virgin Islands,
Address (city, seem, post U.S. T1N/EIN:
U.S.
code):
Provide a descdpbon of the entity's organizational structure, its ownership structure and is Top Maneywnnrt. For trusts/foundations, include information about
revocablity,settlor and beneficiatles,etc:
LSJE is a single member LLC. Jeffrey Epstein Is the sole owner and member. He outs 100% of the 100 shares issued. The Srgri0iS on this account are Jeffrey
Epstein and Darren lndyke
Please indicate how ownership of the legal entity is reflected: Operating Agreement
• Special attention: Bearer Shams - Indicate where shares are custothed:
Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (Ina the same personft. LSJE IS a single member LLC. Jeffrey Epstein is
the sole owner and member. He owns 100% of the 103 shares issued. The signas on this accoint are Jeffrey Epsten and Darren Indyke
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche
tiara (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes O Noe
N/A
Describe Nature of Entity's Primary Business and Investment Activities
LSJE, LLC was established for purposes of maintaining payroll arch maintenance related
Nature of the bigness:
expenses of Jeffrey Epsteres private residence. No buuness purpose.
Countries where business is transacted: Virgin Islands, US.
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Pnmary Couty of soiree of wealth/source of Funds? United States
Pnmary Industry of source of Wealth/Source of FLrids? High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Funds from Jeffrey Epstein. LSJE, LLC was estatitshed for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstan's private
residence. No business purpose.
Estimated gross receipts p.a.($): 1,000,000.00
Estimated net profit p.a. (5): 100,000.00
Estimated Investable assets (S): S2 Mil - S Mil
Potential Amount to be Invested with PWM (5): 500,000.00
Other Known Wander Institutions:
Insttution: Couty: Est. Assets Under Mgt:
Institution: Couty: Est. Assets Under Mgt:
Institution: Carey: Est. Assets Under Mgt:
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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 Entities)
Lego! Entity Name: Southern Trust Company, Inc. - 00003483883
2 0 Private Investment O
• Foundation/Assooation • Trust Company • Estate
Type of Entity: O Partnership Purpose of Entity: Philanthropic/Charitable D
Commercial
Purpose of Entity
Type of Entity Other (specify):
Other (spec ify):
Country of Virgin Islands, US. Date of incorporation / 11/18/2011
incorpotabon/registration: regsvation:
Identified on Customer Profile No
Volcker Status: Volcker Rag:
6100 Red Hock Quarter B3 St. Thomas 00802 Virgin Islands,
Address (city, street, post U.S. TIN/EIN: 66-0779861
U.S.
code):
Provide a description of the erays orgaNzational structure, its ownership structure and is Top Management. For trusts/foundatens, include information about
revocablity,settlor and beneficiales,etc:
Jeffrey Epstein IS the sole shareholder of this company.
Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors
O Special attention: Bearer Shares - Indicate where shares are custoded:
Desaibe the than from the direct owner of the entity to the ultimate beneficial owner Of not the same persons): Jeffrey Epstein is the sole shareholder of this
company.
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, suppler of goods or senrices)?: Yes • No
1/A
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services 'thing on France' and Biomedical algorithms. Southern Trust is a private
consulting company that invests the assets of their Cents and gets their revenue from the return
Nature of the business: of these investmenis. Southern Trust invests in different portfolios catered to their clients and
makes their revenue based on the returns and the fees associated with menacing that dents
assets
Countries where business is transacted: Virgin Islands, US.
Number of employees: 3
3D. Wealth Profile (Only for parties requag source of wealth desorption as indicated in Section 2)
Primary Cointry of solace of wealth/source of Funds? United States
Primary Industry of source of Wealth/Source of Funds? High Risk Fronde' Insotutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/babilities):
Consul and invest client funds and ciain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,030,000.00
Estimated net profit pa. ($): 1,500,000.00
Estimated Wives-tat& assets ($): 52 MM • 5 MM
Potential Amount to be invested with PWM ($): 300,000.00
Other Known Wanda Institutions:
Insolation: Country: Est. Assets Under Mgt:
Institution: Canby: Est. Assets Under Mgt:
Institution: Canby: Est. Assets Under Mgt:
One sheet mu t be established for EACH LEGAL ENTITY In Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
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Legal Entity Name: Southern Financial LLC
O
E R 0 Private Invesbnent
Foundatron/Assocaoon O Trust Company O Estate
Type of Entity: C Partnership Purpose of Entity: Philanthropic/Chantal:1e O
ommerdal
Purpose ci Entity
Type of Entity Other (specify):
Other (spedfy):
Country of %ergo Islands, U.S. Date of incorporation / 2/25/2013
incorpotabon/registratan: registration:
Identified on Customer Profile No
Volcker Status: Volcker Rag:
6100 Red Hock Quarter 93 St Thomas 00802 Virgin
Address (city, street, post Islands, U.S. TIN/EIN:
U.S.
code):
Provide a description of the era-0 organizational structure, its ownership structure and es Top Management. For trLstsfloundations, inckide informabon about
revocablIty,settior and beneficianes,etc:
Southern Must Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
Please indicate how ownership of the legal entity Is reflected: Operating Agreement
El Special attention: Bearer Shares - Indicate where shares are custodied:
Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (If not the sane persons); Southern Trust Company Inc is the sole
member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche
Bar* (e.g. extemal legal counsel, dant referral source, supplier of goods or services)?: Yes • No
1/A
Describe Nature of Entity's Primary Business and Investment ActWitles
This business is funded by Jeffrey Euston's wealth. This company was formed to hold Mr.
Epstan's personal wealth and invest in different ventures. This company invests in real estate,
Nature of the tautness:
equities, commodities, etc and gets its revenue from the gairs it makes in these investments. It
s a company formed to invest the assets of W. Epstein.
Countries where business is transacted: Virgin Islands, US.
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth desaiptan as indicated in Section 2)
Pnmary Country of soLrce of wealth/source of Fonds? United States
Pnmary industry of source of Wealth/Source of Finds? High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsffabilitlin):
The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managng member (Jeffrey Epstein). Please revert to Mr. Epstein's source at
wealth for more details.
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): cS1 MM
Potential Amount to be Invested with PWM ($): 300,000.00
Other Known Palencia' Institutions:
Institution: Corny: Est Assets Under Mgt:
Institution: Corny: Est. Assets Under Mgt:
Institution: Corny: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Boding Center 2 NY O O Offshore n Moderate 2 High Risk Gwen H/
NY/Offshore Risk
(Compliance Signature)
O DB Employee O Cf; Managed PIC O DB IS Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided g Myers License 0 P or:kM icinaI r e W>DZther : Darren
B. C at h ta e c c h k e lis d t of names (Individuals and/or enabes) that were submitted for database searches is 2 Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete 174 YES • No negative results found in Yes O No
PCR checks compete tn. yes • No negative results found Yet O No
OFAC checks complete Eyes O No negative reads found Ores g No
BIS searches compete (Lais/Nexis, Factiva, Reuters, Dow Jones, D&B) in yes O No negative results found 2 yOS O No
Denial Orders checks complete 4 Yes • No negative rats found • Yet 2 No
Martindale-Hubbell searched (Lawyers/Law Firms only) • yes No negative rats found • y4S O No
D. Please summanze any negative results from the database searches indicated above: LSJE LLC:
- No negative media
- No coin cases
LW Employees LLC:
- No negative media
- No coral cases
Southern Finanoal LLC:
- No negative media
- No coral cases
- RDC alert found - False positives, does not pertain to our dent. Clearance attached.
Southern Trust Company Inc:
- No negative media
- No coral cases
Finery:al Infomatis Inc:
- No negative media
- No coral cases
Jeffrey Edward Epstein:
- Negaave media relates to the sex offence ri the past which are akeacty cleared. (KYC 0 - 01790655)
- Court cases relates to Jeffrey's sex offence in the past which is already cleared, another (Gerber Et Al V. The Financial Trust Company Et Al) a a recent
ongoing owl Lawsuit pertaining to fraud which has been dismissed (attached document), but part of normal business operations for this client. And in ale of
the case he's neither defendant nor planaff. He's Just named as a respondent and the case is immaterial in rature.neither defendant nor plaintiff. He's just
named as a respondent and the case a immaterial in nature.
- Criminal Filings relates to sex offence which a already cleared in the past
- RDC alert Maid - Sex offences in the past wNch has been deared - Clearance attached.
Darren Indyke:
- Negative news in Google relates to Jeffrey Epstein's Founclabon and are not material in nature.
- Court case mentioned in Google search relates to Jeffrey Epsten's sex offence in the past 'Mich has been cleared already. Darren isiust an attorney for
Jeffrey in the case.
- Fircosoft alert has been cleared by AML Compliance. Clearance attached.
Jean Anne Bremen Webtacht:
- No negative media
- No coat cases
Ham/ Beller:
- No negatNe media
- Harry Beller a the plaintiff in the court case, also it has been disposed.
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Paul S Barrett
- No negative media
- No coot cases
- RDC alert found - False positives. does not pertain to our dent. Clearance attached.
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? RI Yes El No
To the best of your knowledge, has the customer ever been involved ri any past litigation against
F Deutsche Bank AG or any of its subsidenes or is the customer threatenng litigation against 2
Deutsche Bank AG or any of its subsidades? (If Yes, prom* details below and contact (katory Mgt. 0 Yes No
(LatAm/Intl) or the RegulatoryControl Group andn otifyCompliance imenecitaWly)
Does the client or related party have any financial or other association / interactions within countries Eyes No
G' or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
0 2
Does the client or related party have any financial or other associadort/ interactions within high risk Yes No
It counties?
I. Corporate Documentation Attached (Legal Entities Only) @Yes 0 No 0 Not Appkable
I Undisclosed Principal Form Complete (Intermediarlit Only) 0 Yes 0 No 2 Not Applr_able
K. If Leds/Necis Search Results, Corporate Document or Other Supporting Documentabon is not in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Spedal Risk Countries? 0 yes 2 No
Is the account struchre unusually complex? ElYm 2 No
2
Is there any indication the client set up a non operating company expressly 0 Ion No
for the purpose of transferring shares to third parties?
Is there any indication this could be a prohibited business relationship? OYin 2 No
Are the bearer shares slentned subject to acceptable controls? Dew El *a
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M. Case Comments
Created By Date Comments
mayor Rathod 9/20/118 7:46 AM No material changes confirmation 'oaf attached in the case.
This KYC serves as a high rlsk review for LSJE LLC and Southern Financial LW (herein referred to as
"aoccuntholderr) -
Below are the reasons why we are comfortable with approving this IOC:
• Information and supporting documents required by our AML Policy were provided and renewed; and as a
result, we have an understanding of the structse of the accountholders, thew purpose, the purpose of the
accounts and expected transaction activity.
• There are a few rsk factors associated vnth the accountholders —
Gwen Hill 10/26/118 4:06 PM -SOW: The 1160 (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's asset.
SOW verification was obtained.
-Negative Media & PEP: There is some negative media against Pt. Epstein and he is also maintains a close
relatinship with Bill Clinton and Prime Andrew. Please see risk calculator for more information. Appropriate
approval was obtained.
• Our review did not idenofy any red flags and thus there was no need to escalate this case further.
• We performed due diligence seardres on all parties and did not find the names searched to be on any sanctions
as.
ONSHORE APPROVALS
cent Facing fig/L....lona' (CFP): Stewart Oldfield ;Signature) 10/15/2018
Stewart Wield
Office Drector/Busness Head: Andrew F Gallivan (Signature) 101150018
Andrew F Gallivan
Regional Office Drector: (Signature)
NIL Business Risk:
(Signature)
AML Compliance:
(Signature)
Richard Corbel! Richard Cottrell 10/26/2018
Gwen Hill Gwen Hal 10/26/2018
LATAM/INTERNATIONAL APPROVALS
Client Facing Professanal (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Camplia-ce
(Signore)
PRIVATE WEALTH MANAGEMENT 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 swish, our high standards of
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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 have followed all the procedures relating to account opening as described
in the PWM Americas Procedures and the PWM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Broken,
Client Managers, etc.
Deutsche Bank Americas New York
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