EFTA01283911.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case : 01141322 Status : 6. Approved
One sheet must be established per relationshi • list all accounts included in the relationshi
1. Relationship Details
Rdabonship Name: SOUTHERN FINANCIAL FtELATIONSHIP.00000483290 Booking Center: New York
Relationship Manager: Paul Morris
• New FINN Relationship El Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationsh p exists, provide reason for new profile and attach old profile:
O Client Referral 21 RM Prospect O thtermethary/FIM O Other Source (as, etc.)
How Was the Client(s)
Introduced> How long has the Please provide debts (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein
RN personally thown the is a current dent of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein vas a
clients client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who Introduced them wide Paul was at
JPhlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank
Don Deutsche Bank pay a O Yes I g No
retrocession or similar
compensation to a third party
for the introduction of this (If Yes, desenbe)
relationship>
List all sating and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (Intended/actual)
Account(s)
1 2 NES, LLC 10/28/2013
2 FA NES, L C — Money Market 10/28/2013
Who is the pitman/ contact
person for the RH> (Note:
Preferred method of contact
This person needs to have Hairy Beller
(indicate phone no„ fax no.,
signatory rights and/or
e-mail address, etc.):
information right for the
accounts.):
SDNY_GM_00039813
https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002637
EF1'A_00150422
EFTA01283911

KYC Print Page 2 of 12
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: NES, LLC Acct Number (daysYstsW.
Account Manager: Paul Morris
What's the Purpose of the account (e.g. portfolio management, advisory account. at:4y services, long-term investment, Darman/exPena
account)' Checking account to hold the hods necessary to cover the costs associated wt, running one of Jeffrey Epsteki's homes
Indicate from where the asset are expected to ante'
0 043 Group: Same Booking Center (indicate account number):
0 08 Group: Other Booking Center (indicate CS location and account details):
I21
Other Institution (Indicate name & location): Pita:sun. New York
• Physical Deposits (specify cash, securities, cheques, ...):
What b the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 10
Inflows and Outibvn per month ranging from $1000 to $20000
What b the expected volume of assets and currency for the account appox. 90 days after opening' 1 100000 I Currency 11150
1100000 I Currency I USD
What s the expected volume of asses and currency for the account approx. one year after opening'
Doeshvil the client have Assets Under Management (Aunt) within De under Eur. 3M' 0 yes Rho
Please Nat all parties related to the att.:ma.
For each party:
• Check d 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 ,cleated).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other' colurm.
• Always describe the relationship between the parte in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( ).
.egal .3escriptim AccountlsIC Settlor of Jftimate Signatory imitedinnancial Significant -eget Srantor/SettforfoundingOther
Enter/ Source Hokler ChmerTrust/ 3eneflclabr Ful a0A Intermediaryeshareholder2tPretentathre Donor (please
of Wealth Founder of ,arner 'OA (FIM) (>=25%) describe
required Foundation Nca-PLC other roles
entity and/or
Parties (Indicate ndicate
related ownership relationship
to this %) Setween
account ;antes)
i 0 123 D N .cES' 5 0 • • • • • 0 • •
2 0 0 any n 21 0 0 0 0 0
BMeller i--, 0 0 0
3 0 5 E J p ef s f t r e e in y • 0 0 rii 21 0 • • • •
SDNY_GM_00039814
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002638
EFTA_00 150423
EFTA01283912

KYC Print Page 3 of 12
2. Account Ownership Summary
Account Name: NES, LLC — Money Market Acct Number (if avallable)
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio managem nt, advisory account, custody services, longterm iwestment, payment/expense
account)? Money market account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's hones and earn interest
Indicate from where the assets are expected to arrive
08 Group: Same Booking Center (indicate account number):
011
. 08 Group: Other Booking Center (indicate 08 location and account details):
0 Other Institution (Indicate name & location): WHorgan. New York
O Physical 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 p r month)': Roughly 1-3
Inflows and outflows per month ranging from $1000 to $10000
What s the expected volume of assets and currency for the account approx. 90 days after opening'
1100000 I Currency I USD
What Is the expected volume of assets and currency for the account approx. one year after 1100000 'Currency I USD
°Penn?
Ebb
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes
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 titian:mem of the party to the account (> I can be selected).
• f none of the check boxes apply, describe the parts relation to the account In the 'Other column.
• Always describe the relationship between the part* In the last column.
• Please doll down to the ultimate/n*0y ng Beneficial Owner( ).
,.egal5escriphon AccounwlC Senor of Athlete rignatory -IrritedFinancial Significant _egal .3rantor/SedlorPoundIng5ther
Sntityet Source Holder Dmitri-rust / 3eneficlabr Ful ?OA InterinediaryShareholdergepresentative Donor (please
of Wealth Founder of Owner POA (FIN) (>=25%) iescrite
-equired foundation lion-PIC other roles
entity and/or
Parties (indicate ndicate
related ownership -elabonship
to this %) petween
*count tarts)
1 trA- a N c ES e 5 O O O O O O • • •
2 O O BRelilellr' O OO O 0 O O O O O
3 O 2 E J p e s f t f e re in y • O O a a O O • O •
S0NY_GM_00039815
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ht t
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002639
EF1'A_00150424
EFTA01283913

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parbes)
Individual's Name: Jeffrey Epstein - Date d Beth:
County of Residence: USVI Country of Citizenship: USA
Has client resided outside of
Address of primary residence: LAte Saint James Saint Thomas 00802 US Virgin Wands Ins/her country of nabonality O Yes (RI No
fee 5 years or more?
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Mk/Rank President
Address of employer 6100 Red Hock Quarter B3 St Thomas USVI 00802
Does the person work as senior execubVe of a DEt-reoogntred regulated entity in the financial
ndusbr or an ently fisted on DO-recognised exchange' (Not applicable for operating Oyes ®No
entities
Is the indrodual a Politically Exposed Person (PEP)?(/ Ve4 desoibe) Ova ®No
To the best of your knowledge, is the individual related to an employee of the DO group'(d • Family OFrtendship rd None
Panty or Freres/no, cfescnbe)
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& goods or Ores I No
services)?(i Yes,describe)
If appkabk, indicate which bank officers have met the Indicate where and when the lent meetng (s took place:
person:
Client Private Client Place of
Bank Officer Na Bank Office: Other location (specty): Date:
Dernkile: Business:
Paul Monis • El tra 10/21/2013
O • O
ii
O O
...
• Wealth Details for this individual are not Med in, because they are the same as for the folbWing person:
35. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2)
Nature of the Individuars Business: Private investments
Pnmary Country of source of wealth/source of Funds?
Primary industry of source of Weakh/Source of Funds'
Summarize Source of Wealth: Z Business Omer 0 Salary/Earnings ®Investment OInheritance/Gifts 00ther
Further Describe Source of Wealth /Detad the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance,
how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability" Indicate type of business,
countries of major activities, important business partners.) Epstein began his Mandel career in 1976 as an options trader at Bear Stearns and became a
partneri n 1980. In 1982. Epstein founded his own financial management Arm, J. Epstein & Co., managing the assets of clients with more than a billion in net
worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the bland of St. Thomas in the US Virgin Islands. AA
of hie clients were anonymous except for the very wealthy businessman Leslie Wexner. Hs wealth has come from his days at Bear Stearns and his financial
management firms
Estimated Annual Income($): 10,000,000.00 Estenated amount of investable assets($): $100 MM - 500 MM
Estimated Net Worth($): $100 MM - 500 MN Amount of assets planned to invest with PWM($):
Miser Known Financial Insttullons:
SDNY_GM_00039816
https://dbforcepb.my.salesforeCaNapairdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002640
EFTA (()150$25
EFTA01283914

KYC Print Page 5 of 12
Institutor PMorgan I Country: USA Est Asset Under Mgt 40,000,000.00
Institutke: Deutche Bank I Country: USA Est. Asset Under Mgt 154,000,000.00
Country: Est Asset Under Mgt:
Please indicate the family stuation of the Individual (marital status, other fame/ men tern, et.):
SDNY_GM_00039817
https://dbforeepb.my.salesforeCCINErilEalTIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002641
EFTA_00I 50426
EFTA01283915

KYC Print Page 6 of 12
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parbes)
Individual's Name: Harry Beller - Dated Birth:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Address of primary residence: his/her country of nabonality O Yis Ica No
fa S years or more?
ProfessgrgOccupabstr Accountant Tax ID/ $SN:
peak
Current Employer: Associates, Inc PositionffItle/Rank:
Address of employer: SYS Lexington Avenue, ilth Floor Homey NY USA 10022
Does the person work as stake executNe of a DB-recognised regulated entity M the financial
Mushy' or an entity listed on DB-recognised exchange? (Not applicable for operating Dyes gl No
entities
Is the individual a Politically Exposed Person (PEP),(it Yes desolbe) O Yes M No
To the best of your knowledge, is the individual related to an employee of the DO grOup?(Y OFamily OFrtendslip r4 None
Family or Friendship, desalt.)
To the best of your knowledge, is the individual party to a non-banking relatienship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or O Yes E21 No
services)?(i Yes,descnbe)
If appkable, Indicate which bank officers have met the Indicate where and Mien the client meeting(s took place:
person:
Client Private Client Place of
Bank Officer tiame(s) Bank Office: Other Location (specify): Date:
Domicile: pushe=s:
Paul Morris • D 74 10/21/2013
n • O
F-1
CIWealth Details for this Individual are not filkd in, because they are the same as for the folkwang person:
3B. Wealth Details (Only for parbes requinng source of wealth description as indicated in Section 2)
Nature d the IndwidualS Business:
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Weami/Source of Funds?
Summarize Source of Wealth: • Business Omer O Salary/Earnings • Investment anliertance/Gifts • Other:
Further Describe Source of Wealth /Detal the history d vrealtii for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inheritance,
how did family accumulate we ItissFor business owners, how long In business, how many employees, level of prcatability? Indicate type d business,
countries of major activities, Important business partners.)
Estimated Annual 1ncome($): Estimated amount of Investable assets($):
Estimated Net Worth(1): Amount of assets planned to Invest with FWI4(;):
Other Known nancial Institutions:
Insblaticri: Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
SONY_GM_00039818
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002642
EFTA_00150427
EFTA01283916

KYC Print Page 7 of 12
DudMien: Country: Est Asset Under Slut:
Please indcat the far* sibatko d the individual (marital status, other Vanity members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entry Name NES, LLC - 00000487265
r: Private El
L R Investment
i Foundabon/Asscoabon Druid Company DEstate
Typeof Entity: Purpose of Entity:
PhilanthropK:Charitatge iii
O Partne rship
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specfy):
Date of
Country of USA 8/13/1998
incorporation /
incorporatIonfregistrabon:
registration:
Volcker Status: Volcker Rag:
Address (city, street, post 6100 Red Hock Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN: 13-4146141
code):
Provide a description of the entity's organizational structure, lb ownership structure and its Top Management. For trusts/foundabons, include information
about revocablaty,selikr and beneficiaries,ete:
Single member LLC. Jeffrey Epstein is the sole member
Please Indicate how ownership of the legal entity is reflected: Single member LLC. Jeffrey Epstein b the sole member
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same pavons). Single member LLC. Jeffrey Epstein is the
sole member
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, supplier of goods or Yes O No
serykes)7:
Describe Nature of Entity's Primary Business and Investment Activities
NES, LLC was formed to take care of the expenses associated with running one of Jeffrey
Nature of the business:
Epstein's homes
Countries where busness is transacted: USA, Mr
Number of employees 1
3D. Wealth Profile (Only for loathes requiring source of wealth description as indicated in Section 2)
Primary Country of source of weati/source of Funds?
Pnmary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Al funds come from Jeffrey Epstein, who has been ICYCd previously
Estimated gross receipts p.a.(1.):
Estimated net profit p.a. (5):
Estimated Investable assets (5): cm. MN
Potential Amount to be invested we, PWM (5): 200,000.00
Other Known Financial Institutions:
Insteutko: JPPlorgan Country: USA Est. Assets Under Mgt: 200,000.00
Instititicm: Country: Est. AnetS Under Mgt:
SDNY_GM_00039819
https://dbforcepb.my.salesforcaaNtapainTaliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002643
EFTA_00150428
EFTA01283917

KYC Print Page 8 of 12
I
Canby: eit Assets Under MOt
insttuthr: I
SONY_GM_00039820
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CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002644
EFTA_00150429
EFTA01283918

KYC Print Page 9 of 12
DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B
Relationship Name SOUTTERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center 2 Ny E Offshore RiskO Moderate c fl . l i High Risk Janice Frank*
NY/Offshore
(Compliance Signature)
O DB Employee O DEt Managed PIC M DB is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided 0 Drivers License 0 Passport O National/State ID O Other
Checklist of names (individuals and/or entities) that were submitted for database searches is
B. attached 0 Yes • No
C. Please indicate the results of the database searches performed
RDC searches complete 2 Yes O No negative results found 2 yes • No
PCR checks complete 2 Yes O No negative results found O Yes J No
OFAC checks complete 2 Yes O No negative results found O Yes 0 No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DAB) 2 Yes O No negative results found • yes FA No
Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No
Martindale-Hubbell searched (LawyersAaw Firms on/y) 0 Yes El No negative results found Oyes • No
Please summarize any negative results from the database searches Indicated above: JEFFREY EPSTEIN:
Previously KYCd and approved kr 01082293 and 01121718
HARRY BELLER:
D. Previously KYCd and approved: 01133624
NES, LLC:
Negative media does not pertain to our client Our client is an LLC that is only used to pay for the cats associated with running a prtvate home
No court cases
E. To the best of your knowledge, has the chest ever been convicted of a criminal offense' 2 Yes 0 No
To the best of your knowledge, has the customer ever been involved in any past litigation against
F. D D e e u u t t s s c c h h e e B B a a n n k k A A G G o o r r a a n n y y o o f f i i t t s s s s u u b b s s i i d d i i a a r r i i e e s s a ' 9 i / s Y th e e s, c p u ro st v o n m le e d r e th ta re ils a t b e e n l i o n w g l a it n ig d a c ti o o n n t a a c g t a Q in u s a t li'fy O Yes 2 No
MO- (LOAM/Inc?) or the Regulatory Control Group and notify Compliance imnweiatety)
Does the client or rated party have any financial or other association / interactions within
G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC), O Yes FA No
H. D ris o k e s c o th u e nt c ri l e ie s n ? t or related party have any financial or other association/ interactions within high O Yes 2 No
I. Corporate Documentation Attached (Legal Entities Only) Oyes • No • Not APPacable
J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No Not Appkabie
IRI
K. If Lexis/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not in Engfish, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? 0 Yes El No
Is the account structure unusually complex' 0 Yes 2 No
2
0 Yes No
SDNY_GM_00039821
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002645
EFTA_00 I 50430
EFTA01283919

KYC Print Page 10 of 12
Is there any indicabon the client set up a non operating company
expressly fce the purposed transfemng shares to third parties'
Is there any indication this could be a prohibited business relationship' q Yes ®No
Are the bearer shares identified subject to acceptable controls' q Yes RI NO
SONY_GM_00039822
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002646
EF1'A_00150431
EFTA01283920

KYC Print Page 11 of 12
M. Case Comments
No records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 10/22/2013
Paul Moue
COfice Director/Business Head: Brian M. Biggar (Signature) 10/23/2013
Brian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AK Compliance-
(Signature)
Jacqueline lightbody Jacqueline Ughtbody 11/13/2013
Janice Franklin Janice Franklin 11/8/2013
LATAM/ INTERNATIONAL APPROVALS
Client Facile Profesienai (CFP) (5,;n e)
Account Manager: (Signature)
Global Market Team Head (5,ana.:L'e)
(GMTH)/Sub.klarket Team Head
(SMTH):
AML Business Risk:
(Sp nature:
MIL Compliance-
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management
(PW1i0 worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing
Professionals! (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our
high standards ofs uitability, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFP. It is the responsibility ofC FP'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 belieft he 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 followeda ll the procedures relating to account opening
as described in the P WMA mericas Procedures and the Prat. Global KYC Policy
(1) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth AaVisors, Product Officers,
Brokers. Client Managers. etc.
SONY_GM_00039823
Imps://dbforcepb.my.salesforCLINEJIDEgrhtlidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002647
EF1'A_00150432
EFTA01283921

KYC Print Page 12 of 12
Dautsda Bank Americas New York n
SDNY_GM_00039824
https://dbforcepb.my.salesforCCINtErlIDEgrhiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002648
EFTA_00150433
EFTA01283922