← Back to Browse
EFTA01283124.pdf
AI Summary
This document is a Deutsche Bank Institutional Suitability Certificate that establishes Jeffrey Epstein as an authorized signatory for two institutional accounts: Southern Financial LLC and Southern Trust Company Inc. The document affirms these entities' capability to evaluate investment risks independently and exercise independent judgment regarding Deutsche Bank's investment recommendations. [Rating: 7/10 - Document reveals Jeffrey Epstein's role as authorized signatory for institutional investment accounts at Deutsche Bank, providing insight into his financial operations and institutional banking relationships]
Flags
financial_transactions
legal_proceedings
Extracted Entities
| Name | Type | Context |
|---|---|---|
| Deutsche Bank | organization | Financial institution providing investment services and requiring institutional suitability certification |
| Southern Financial LLC | organization | Institutional account with Jeffrey Epstein as authorized signatory |
| Southern Trust Company Inc. | organization | Institutional account with Jeffrey Epstein as authorized signatory |
| Jeffrey Epstein | person | Listed as authorized signatory for both Southern Financial LLC and Southern Trust Company Inc. institutional accounts |
Full Text
SOUTHERN FINANCIAL LIC N4G024943 N4G023812 N4G025098 N4G025106 N4G025114 N4G023804 N4G025080 N4G026161 N4G024968 N4G024980 N4G024935 N4G025403 1111111EN 11111 KS SONV_GM_ODD38822 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0001646 EFTA_0()I4943 I EFTA01283124 0 4 0 kiodo Nut Ct 0)4 9 (+3 NI% e2n.s• io6 W%(n NAV° Kgi-Ce O.1S 811' N%1 Oa I 14- 67(tG, 01. 610 Mein 0 lek 139 1Q4(4 nc" Nt‘-(A caV18)(t l•Ptc,t 0)-00 N4-6 04 Vial Deutsche Bank Private SIVoilith Managorilent Institutional Suitability Certificate Affirmative Indication Of Exercise Of Independent Judgment (Pursuant To FINRA Rule 21 / 1)' In connection with any recommended= transaction or investment strategy by Deutsche Bank Securities Inc. (OBSI) or its Client Advisors. the undersigned admowledges on behalf of the Institution named below that: I. It is an Institutional Account as defined in ANRA Rule 45*(2(0)3; namely, q a) A bank, savings and loan association, Insurance company, or registered investment company 0 bl An investment adviser registered either with the Securities and Exchange Commission under Section 203 of The Investment Advisers Act of 1940 or witha state securities commission (or any agency or office performing like functions) c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of at least $50 million as of the date of this Certification (whether such assets are invested for such person's own account or under management for the account of others). IMPORTANT: You must select one of the above II. It (11 is capable of evaluating investment risks independently, both In general and with regard to all transactions and investment strategies involving a security or securities; and (2) will exercise independent Judgment in evaluating the recommendations of Deutsche Bank Securities Inc. or Its associated persons, unless it has otherwise notified Deutsche Bank Securities Inc. in writing; • • Itl. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account if anything in this Ceniticato ceases to be true; IV. He or she is authorized to sign on behalf of the Institutional Account named below. By signing this Certificate, the undersigned affirms that the.above statements are accurate but does not waive any rights afforded under U.S. federal or stale secuntiee laws, including without limitation, any rights under Section 10(b) of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder. NOTE: This Certificate shall apply with respect to all recommended transactions end investment strategies involving securities that are entered into by the "Institutional Account" named in this Certificate, whether for the account of such Institutional Account or for the account of any beneficial owner that has delegated decision making authority to such Institutional Account. Southern Financial lie Jeffrey Epstein Institutional Account Name Name of Authorized Signatory Ct sr— ofA uthorized Account Number Signature of Auth Date Southern Trust Company Inc. Jeffrey Etteteln Institutional Account Name Naritao f Authorized Signatory Tel Authorized Sign igneture of Autttorized a Client Advisor Signature 'Ayala's at http:iiveww.linre.OFORMdFIN osl 'As defined in FINRA Ruin 11•PWM•0309 011098.041612 S0NY_GM_000 38823 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001647 EFTA_00149432 EFTA01283125