EFTA01284036.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case : 01345935 Status . 6. Approved
One sheet must be established Der relationshi • list all accounts included in the relationshi
1. Relationship Details
Rdabonship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483293 Booking Center: New York
Relationship Manager: Paul Morris
• New Mil Relationship _1O Existing PWM Relationship
Relationship to PWM:
If existing, please Indicate since when the relations p exists, provide reason for new profile and attach old profile:
Client Referral O RM Prospect O Interrnediary/FIM O Other Source (CIB, etc.)
How was the Client(s)
Introduced, Mow long has the
RN personally known the please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein
clients is a current dient of the Bank. Wants to open a new account. LSIE eas established for purposes of maintaining payroll and
maintenance related expenses of Jeffrey Epstein's Myatt residence. No business purpose.
Does Deutsche Bank pay a O Yes I E No
retrocession or similar
compensation to a third party
for the introduction of this (MN* SscWe)
relationship'
List all existing and new accounts Mvolved in this relationship
Legal Entity Account Name / Number Opening Date Petaled/actual)
Account(s)
1 74 ism, LLC 7./17/2015
2 El LSJE, LLC 1/17/2015
Who is the primary contact
person for the RN' (Note:
Prefened methcd of contact
This person needs to have Darren Indyke
(lndkate phone no., fax no.,
signatory rights and/or
email address, etc.):
information right for the
accounts.):
SDNY_GM_00039949
https://dbforcepb.my.salesforCCINEJIDEptiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002773
EF1'A_00150558
EFTA01284036

KYC Print Page 2 of 12
One sheet mud be established for each account to be opened
2. Account Ownership Summary
Account Name: LSJE, LLC Acct Plumber (al evadable
Account Manager: Pad Morris
What S the purpose of the account (e.g. portfolio management, advisory account custody services, long-term Ovestment, PaYment/exPense
account)/ Checking account for the daily expenses associated wadi running one of Jeffrey Epsteln's private homes.
Indicate from where the assets are expected to antic'
El 08 Group: Same Booting Center (indicate account number): Deutsche Bank
0 08 Group: Other Booking Center (indicate 08 location and account details):
O Other Institution - (Indicate name 8 location):
• Physical Deposits (specify cash, secuntes, cheques, ...):
What b the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)/: Roughly 10-20
inflows and outflows per month ranging from $20,000 to $100,000
1250000 'Currency I USD
What b the expected volume of assets and currency for the account approx. 90 days after opening/
1250000 'Currency I USD
What is the expected volume of assets and currency for the account approx. one year after opening/
Does/ivil the client have Assets Under Management (Aunt) wfthin D8 under Eur. 3M/ O yes tr. No
Please list all parties related to the attolint.
For each party:
• Check if a source of wealth descnaion is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be led).
• If none of the check boxes apply, describe the parties relation to the account in the 'Other' column.
• Always describe the relationship between the pantie in the last column.
drat
• Please down to the ultimate/underlying Beneficial Omar( ).
.egal Description ActounWIC Setrior of Jitimate 75ignatcry imiteciAnancial Significant -egal 3rantor/SetlforfoundingOther
Entityof Source Holder ChwerTrust / 3eneficiabr Ful POA Intemediarfahareholderkepresentative Donor (please
of Wealth Founder of >met /OA (FIN) (>=25%) describe
required Foundation Hon-PIC other roles
entity and/or
Parties (indicate ndicate
related ownership relationship
to this %) Maven
account parties)
1 0 123 L L L S C I E, 5 , L i L.1, • • • • O • •
2 O O Darren ri O O O E1 O O O O O
Indyke I-J
3 O 5 E Je w ff e re s y , s — i O O r4 [2] O • • • •
SDNY_GM_00039950
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002774
EFTA_00I 50559
EFTA01284037

KYC Print Page 3 of 12
2. Account Ownership Summary
Account Name: LSJE, LLC Acct Number (I 'wadable):
Account Manager: Paul Marls
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense
account)' Money Market account To hold funds and earn interest
Indicate from where the assets are expected to arrive'
Ca DB Group: Same Booking Center (indicate account number): DB
• 06 Group: Other Boothia Center (Indicate 06 location and account details):
E Other Institution - (Indicate name & location):
O Physical Deposits (specify cash, securities, cheques, ...):
What s the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3
inflows and outflows per month ranging from $10,000 to $100,000
1250000 'Currency I USO
What 6 the expected volume of assets and currency for the account approx. 90 days after openrig7
1250000 'Currency I USD
What is the expected volume of assets and currency for the account approx. one year after opening'
Does/wil the client have Assets Under Management (Aunt) within DB under Eur. 3M' U yes 5 No
Please Nst all parties related to the account
For each party:
• Check if a source of wealth description Is required for the party.
• Check the appropriate bar to describe the relationship of the party to this account (> 1c an be selected).
• f none of the check boxe apply, describe the partls relation to the account In the 'Other column.
• Alvays describe the relationship between the parbe in the last column.
• Please drill down to the ultimate/underly ng Beneficial Owner( ).
_regal 'Description AccounWIC Seta« of Jltimate rignatory JmnedFlnancial Significant _eget Srantor/Sethoefoundi • • . -
Jinteyef Source Holder OwnerTrust / Beneficlabr Ful 70A 1MennediaryShareholderlepreseMattve Donor ,please
of Wealth Founder of Dwner POA (FIM) (>=25%) describe
required coundation Non-PLC other roles
entity and/or
Parties (indicate ndicate
related ownership -elabonship
to this %) Oetween
)account e O O oarties)
I O 0 L L L S C J E, NI O O O O IN III
2 O O D O • El O O O • O
Inge
O
Jeffrey O O
3 O O Epstein n" O O O O O O O
SDNY_GM_00039951
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002775
EFTA_00 I 50560
EFTA01284038

KYC Print Page 4 of 12
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A- Individual Details (for all parties)
TheeWars Name: Jeffrey Epstein - 00000483289 Date a Birth:
Country of Residence: USVI Country of Citizenship: USA
Has client resided outside of
Address of primary residence: Little Saint James Saint Thomas 00802 US Virgin Islands Its/her country of nabonallty Dyes ®No
fa S years a more"
ProfesslonlOccupatket Self Empolyed Tax ID / SSN:
Current Employer. Southern Financial LLC PositonMtle/Rank: President
Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating Ores ®No
entities
®No
Is the individual a Politically Exposed Person (PEP)>(l Yes, describe) Oyes
To the best of your knowledge, is the individual related to an employee of the DB grour(tf • Family OFnendshlp 5 None
Fan* of Frvendship, desente)
To the best of your knowledge, is the individual party to a non-banking relatonshes with LiYes
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or IN No
servito)?(/' Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meetkig(s took place:
person:
Client Pilate Client Place of
Bank Officer Name(s) Bank Office: Other Locabon (specify): Date:
Dcrnkile: /Business:
Paul Morris • 74 O 1,20/20IS
r r' • n
U. U n
O Wealth Details for this individual are not filled in, because they are the same as for the folkymng person:
3B. Wealth Details (Only for parbes requinng source of wealth description as indkated In Section 2)
Nature of the Individuals Business: Pnvate investments
Pnmary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth: Z Business Owner OSalary/Eamings g Investment • Inhentance/Glfts DOther:
Further Describe Source of Wealth /Detad the history d ...yeah for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance,
how did family accumulate wealth'For business owners, how long In business, how many employees, level of profitability' Indicate type et business,
countries of major activities, important business partners.) Epstein began hi %uncial career in 1976 as an options trader at Bear Stearns and became a
partneri n 1980. In 1982, Epstein founded his own Menotti management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net
%with. In 1996, Epstein changed the name of hIs firm to The FlnanCial Trust Company and based it on the and of St. Thomas in the US Virgin Islands,
Financial businessmen Leslie
Mich merged Into Southern LLC. All of his clients we e anonymous except for the very wealthy Wexner. His wealth has come
horn his days at Bear Stearns and his financial management firms
Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets(6): $50 MN - 100 MM
Estimated Net Worth($): 5100 MM - SOO MIA Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
SDNY_GM_00039952
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002776
EFTA_00150561
EFTA01284039

KYC Print Page 5 of 12
Institution: Oeubche Bank Country: USA En Assets Under Mgt 330,000,000.00
Insbtutkm: Country: Est Asset Under Mgt:
Institut:km: Country: Est Asset Under Mgt:
Please lndkate the family situation of the Individual (marital status, ether famty rnernters, etc.):
SDNY_GM_00039953
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CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002777
EFTA 00150562
EFTA01284040

KYC Print Page 6 of 12
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3k Individual Details (for all parties)
Individuars Name: Darren Indyke - 00000486405 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Address ci primary residence: his/her country of nahonality O yrs Ea No
fix 5 years or more?
ProfesocinfOccupaben: Lawyer Tax ID / 55N:
Current Employer: Southern Financial LLC PosttonfMe/liank:
Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY USA 10022
Does the person work as senior executiVe of a DB-recogn&zed regulated entity in the financial
ndusbr or an enbty listed on DB-recognised exchange? (Not applicable for operating Oyes EZNo
entities
OYU ®No
Is the individual a Politically Exposed Person (PEP)'(/ Yes describe)
To the best of your knowledge, Is the MdivIdual related to an employee of the DB group:P(ry O panty ORtendship r4 None
Family at Friendship, descabe)
To the best of your knowledge, is the indrvidual party to a non-banking relabonship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes FA No
services)?ff Yes/ describe)
If applicable, Indicate which bank officers have met the Indicate where and ‘‘hen the client meeting (s) took place:
person:
Client Private Client Place of
Bank Officer flame(s) Bank Office: Domicile. Business: Other Location (specify): Date:
• O i_l
,
El El
S. O El
El
Wealth Details for this individual are not filled in, because they are the same as for the folly...Inn person:
3B. Wealth Debits (Only for parties requinna source of wealth description as indicated in Section 2)
Nature of the IndwidualS Business:
Pnmary Country of source of wealth/source of Funds?
Omary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: • Business Omer O Salary/Earnings O Investment O Inheritance/Gifts DOther:
Further Describe Source of Weak', /Debi the history of wealth for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inhertance,
how did family accumulate we ItIPFcc business owners, how long In business, how many employees, level of profitability> Indiate type of business,
countries of major acttvtes, Important business partners.)
Estimated Annual Income($): Estimated amount of investabk assets($):
Estimated Net Worth($): Amount of assets planned to Invest with PWM($):
ether Known ;uncial Institutions:
Institution: Country: Est. Assets Under Mgt:
Instrbstice: Country: Est Assets Under Mgt:
SDNY_GM_00039954
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002778
EF1'A_00150563
EFTA01284041

KYC Print Page 7 of 12
Institution: Country: Est. Assets Under Mgt:
Please indicat the family situation of the individual (market status, other Vanity members, etc.):
One sheet must be estabiished for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name: LSJE, LLC - 00000499733
O Foundation/Associabon O Trust 5 Company O Estate g Private Investment O
Type of Entity: Purpose Entity:
of PhIlanthroplc/Chareat4e 0
El Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): timer (specty):
Date of
Country of USA
Incorporation
10/27/2011
incaperabon/registrabork
registration:
Vokker Status: Volcker Rag:
Address (city, street, post 6100 Red Mock Quarter, B3 SL Thomas 00802 USV1 US. TIN/EIN:
code):
Provide a description d the entity's organizational structure, its ownership structure and its Top Management. For busts/foundations, include information
about revirabilttsetlior and beneficiaries,etc.:
ME is a simile member LLC. Jeffrey Epstein is the sole owner and member. He owns 100%d the 100 shares issued.
Please indicate how ownership of the legal entity is reflected: WE is a single member LLC. Jeffrey Epstein is the sole owner and member. Me ova 100% of
the 100 shares issued.
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain horn the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons) LSJE is a single member LLC. Jeffrey
Epstein is the sole owner and member. He owns 100% of the 100 shares issued.
To the best of your knowledge, Is the entity party to a non•banting relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes • Nog
services)'':
Describe Nature of Entity's Primary Business and Investment Activities
WE, LLC was established for purposes of malnblning payroll and maintenance related
Nature of the business:
expenses of Jeffrey Epstein's private residence. No business purpose.
Countries where business 6 transacted: USA
Number of ernployees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of weati/source of Funds>
Primary industry of source of Wealth/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Funds from Jeffrey Epstein. WE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private
residence. No business purpose.
Estimated gross receipts p.a.(5):
Estimated net profit pa. (5):
Estimated investable assets (5): 52 MM • S KM
Potential Amount to be invested with PWM (5): 500,000.00
Other Known Financial Institutions:
Insbtution: Deutsche Bank Country: USA Est_ Assets Under Mgt 330,000,000.00
SDNY_GM_00039955
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002779
EFTA_00 I 50564
EFTA01284042

KYC Print Page 8 of 12
Institution: Country: Est. Assets Under Mgt
Canby Eft Meal Under Mgt
SONY_GM_00039956
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t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002780
EFTA_00150565
EFTA01284043

KYC Print Page 9 of 12
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUDERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center 2 NY E offshore R:1isWk 1z/trate IR] iligh Risk j Yoonsun Chung
NY/Offshore
(Compliance Signature)
O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided 2 Drivers License O Passport O National/State ID O Other
Checklist of names (indiviluab and/or entities) that were submitted for database searches is
B. attached O Yes 74 No
C. Please Indicate the results of the database searches performed
RDC searches complete 2 Yes O No negative results found Oyes FA 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 (Leds/Nexis, Facttva, Reuters, Dow Jones, DM) gl Yes O No negative results found • Yes FA No
Denial Orders checks complete R1Yes 0 No negative results found 0 Yes 0 No
Martindale-Hubbell searched (LawyersAaw Firms only) 0 Yes El No negative results found 0Yes • No
Please summarize any negative results from the database searches indicated above: LSJE, LLC:
No negative media
No court cases
LSJE EMPLOYEES, LK:
No negative media
No court cases
D.
DARREN !NOVICE:
Negative media mentions his name as an owner of a bulking. The negative media is not about him individually but about the others mentioned.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC 4:01082293 & 01121718
AU negative media pertains to court cases which have been previously approved in the above mentioned KYCs.
Court Cases have been closed
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? @Yes O No
To the best of your luxmledge, has the customer ever been involved in any past Mtwara against
Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against
F. Deutsche Bank AG or any of its subsidiaries' iv Yes, provide *mt8 below and contact (aua.ny LI Yes 5 No
Mgt. (Gatti/Win:1)ff the Regulatory Contm/ Group am:Ina:Ely Conpiance immediately)
G. D co o u e n s t r t i h e e s c o l r ie r n e t g o im r r e a s t s e an d c t p io a n rt e y d h b a y v e th a e n O y f f f i i n c a e n o c f ia F l o o r r e o ig th n e A r s a s s e s ts o C cia o t n io tr n o l / ' ( i O nt F e A ra C c )? ti ons within 0 Yes El No
Does the client or rated party have any financial or other association/ interactions within high O
H. risk countries? Yes No
I. Corporate Documentation Attached (Legal Entities Only) Ri Yes • No • Not Amicable
J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No RI Not App cable
K. If LexisMexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents of the non-English Docurritntakin:
L. Special Risk Factors
SDNY_GM_00034957
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EFTA01284044

KYC Print Page 10 of 12
Does the account have Nexus to Special Risk Counties' Oyes 74 No
Is the account structure unusually complex> O yes ®No
Is there any indication the client set up a non operating company n
expressly for the purpose of transremng shares to third partks? Yes No
Is there any indication this could be a prohibited business relationship? El yes ®No
Are the bearer shares identified subject to acceptable cootrots, • yes no
SDNY_GM_00039958
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EFTA_00150567
EFTA01284045

KYC Print Page 11 of 12
M. Can Gominonta
No records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris *Signature) 2/13/2015
laul Morris
Deice Director/Business Head: Kimberly Hart :Signature) 1/13)201S
Kimberly Hart
Regional Mice Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill Gwen Hill 2/24/2015
Tccosun Chung Yoonsun Chung 2/24/2015
UTAH/ INTERNATIONAL APPROVALS
Client Fang Professional (CFP) (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub.Market Team Head
SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTHM ANAGEMENTP OLICY STATEMEND Deutsche Bank Private Wealth Management
(HMO worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing
Prefessionals1(1)(CW's)should establish and maintain business relationships only with persons who satisfy our
high standards ofsuitability, 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 ofmy knowledge and belieft he above
information is correct and up to date. !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 PWMG lobal KYC Policy
(i) Client Facing Professionals (CFP Is) include: Relationship Managers. Wealth Ackisors, Product Officers,
Brokers. Client Managers. etc.
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EFTA01284046

KYC Print Page 12 of 12
n
Doutsthe Bank Americas New York
SONY_GM_00039960
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EFTA01284047