EFTA01284127.pdf

KYC Print Page 1 of 21
DB PWM GLOBAL KYC/NCA: PART A
KYC Case = Slats : 6. Approved
One sheet must be establbhed per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booldng Center. New York
Relationship Manager. Stewart Okifield
• New PWM Relationship 2 Existing PWM Relationship
If orating, please indicate since when the relationship exits, provide reason fee new profile and attach old profile: "'This KYC
IS a periodic review fo high risk remediatbnni
Relationship to PWM:
Original KYCM
ONLY adding signers to account. Al signers have already been approved in previous KYCs. Please rush as this Nash:nab
update.
Darien Indyke was approved in KYC
Harry Beier was added in approved KYC
2 client
Referral O RM Prospect O Intermediary/PIM I O Other Source (CM, etc.)
How Was the Client(s)
Intrcducedo lbw long has the
RM personally known the Please provide details (e.g. ame of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein
client, reached out to Stew Oldfleld on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to
this new acct only.
Does Deutsche Bank pay a O Yes I 2 No
retrocession or similar
compensation to a third party
for the Introduction of this (ff Yes, *scribe):
relatiaish07
1st all existing and new accounts involved in this relationship
Legal Entity Account fame / Number Opening Date (intended/actual)
Account(s)
1 rAi Southern Financial, LLC Deposit 9/5/2013
2 re Southern Trust Company, Inc- Deposit. 827/2013
3 2 Jeffrey Epstein - Deposit 3/8/2016
4 9 3. Epstein Virgin Islands Foundation, Inc - Brokeragel 9/30/2013
Who Is he primary contact
person or the RM7 (Nate: This
Preferred method of contact
person needs to have Darren Indyke
(Indicate phone no., fax no.,
signatory rights and/or
e-mail address, etc.):
information right for the
accounts.):
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EFTA01284127

KYC Print Page 2 of 21
One sheet mint be established (or each account to be opened
2. Account Ownership Summary
Account Name: Southern Financial, LLC Deposit Acct. Number (ifa vailable).
Account Manager: stewart oldfk id
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long tenn investment, payment/expense account), The
purpose of ties account is to manage the daily expenses of the company
Indicate from where the assets are expected to arrive?
O C43 Group: Same booking Center (indicate account number):
O DO Group: Other Booking Center (indicate DO location and account details):
0 Other Italian — (Indicate name & location):
El physical Deposits (specify cash, securities, cheques....):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows
& outflows per month ranging from $1000 to $10,000.
What is the expected volume of assets and currency for the account approx. 90 days after 46,600 and 11479051.88 I USD
opening? I Cunene(
What Is the expected vokime of assets and currency for the account approx. one year after 47,000 and 11679051.88 I Currency I USD
opening,
Does/will the client have Assets Under Management (AuM)wItlin DB under Fur. 3M? OYesI2No
Please list all parties related to the account.
for each party:
• heck I a source of wealth escription is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• I non f of the check boxes pply, describe the patty's relation to the accost in the 'Other column.
• Alway d escn he the relation hip between the parties in the last cceumn.
• lease drill down to the ultimate/underlying Beneficial Owner(s).
axial Descrutun AccouruPIC Senior of Jltimate Signatorytimited`lnancial Significant _egal daraMor/Settiorfotridem Other
Entityol Source Holder Owner Trust / &eneficialor Full sOA ntermedleaySharehoideetepresentatIve Donor please
of Weath Founder of Owner DOA PIM) .> • 25%) describe
required Foundation NorePIC other roles
entity and/or
Parties ,indicate ndlcate
related to ownership relationship
this Na) between
account arties)
Sole
Jeffrey rf O O O 2 O O O O O shareholde
l O 9 E. Epstein " of Soul
Trust
Southern
2 2 2 Financial a • • • O • O O O O
LLC
Southern
Trust is the
sole
member of
Southern Southern
Trust Financial
3 Ea Company, • O O O O O O 100 O • O and Jeffrey
Inc. Epstein is
he sole
sharehoide
of South
Trust;
Darren n O O
4 O O indyke " O O O O O O O
5 O O Bliealle"r • O IT O 5 O • O O O
Jean
Anne
6 • O • • 0 • 9 0 0 0 • O
Brennan
idebrache
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EFTA01284128

KYC Print Page 3 of 21
2. Account Ownership Summary
Account Nam: Southern Trust Company, Inc- Deposit. Acct. Number (if svaiOsbley.
Account Manager. Stewart Oldfleld
What is the purpose of the accost (eg. portfolio management, advisory account, custody services, longterm Investment, payment/expense account)? The
Purpose of this account is to manage the daily expenses of the con:parry
Indicate from where the assets are expected to arrive?
O De Group: Same Booking Center (indicate account matter):
O DO Group: Other Booking Center (Indicate DB location and account details):
O Other Institution - (Indicate name & location):
O physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 10 allows
and 10 outflows per month ranging from $1,000 to $10,000
What's the expected volume of asses and currency for the account approx. 90 days after' 32060.99 and 18028369.27 'Currency I USD
opening?
What s the expected volume of assets and currency for the account approx. one year 33000 and 18280364.27 'Currency I USA
after opening?
Does/WI the client have Assets Under Management (AuM) wthin De under Fur. Ift? 0 Yes allo
Please Ilk all perdu related to the account.
For each party:
• Check I 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 selected).
• If none of the check bows ripply, describe the party's relation t the accown in the 'Other column.
• mays describe the relationship between the parties in the last clan.
• Please drill down to the ultimate/underlying &notelet Owner(s).
..egailDescriptbn Amours:PIC tettbr of Jtimate ISignatorys.antedpnancsol Significant egal GrantoriSettlorroundmg Other
Entityof Source holder Dwnes Trust / Beneficialor Full POA mermediarySharelsoldereepresentatne Donor please
of Wealth Founder ofOrmer POA MM) , >=25%) describe
required Foundation Non-PIC other roles
entity and/Or
Parties ,indicate ndicate
related to ownership relationship
.his %) Jebveen
account ntes)
Sole
shareholder
of Southern
Trust
1 O 0 3 - e E ff p re s y te in " n I Ei O 2 O O O 100 O O O Epstedine ifsfrey
the sole
shareholder
of Southern
Trust;
Southern
2 5 O c T o ru m s p t any, 5 0 O • O O O O • O
Irx.
3 II O In D d a y rr k e e n • • El • a • o a • O
4 O O B H e a ll r e r r y ■ • ■ . O • O O O O • O
Jean
Orme 21 OO O O O
5 O O Brennan • O O O
Wiebracht
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EFTA01284129

KYC Print Page 4 of 21
2. Account Ownership Summary
Account Nan*: Jeffrey Epstein - Depose Acct. Number (if evititerbki..
Account Manager Stewart Oldfleld
what is the purpose of the account (eg. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit
accounts for Jeffrey Epsteirrs personal daily use.
Indicate from where the assets are expected to agree?
Ei De Group: Same Booking Center (indkate account number):
O DO Group: Other Booking Center (indicate DB location and account details):
O Other Institution - (Indicate name & location):
O Physkal Deposits (specify cask securities, cheques, ...):
What is the emected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per rronth)': Roughly 15
inflows and outflows per month ranging from $100410,000.
What is the expected volume of assets and currency for the account approx. 90 days after 13478441.80 'Currency USD
opening? I
What as the expected volume of assets and currency for the account approx. one year after 12980000
opening? I Currency I USD
Oyes 0
Does/wi the client have Assets Under Management (AMM) within De under Eur. Itt? No
Please Ilst all parries related to the account
For each party:
• Check I 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 selected).
• If none of the check boxes ripply, describe the patty's relation to the accowit in the 'Other' column.
• mays describe the relationship behmen the parties in the last cokenn.
• Please drill down to the ullimate/underlying Beneficial Owner(s).
-egallDesciptian Acca nit PIC Settler of inmate Signatory‘imitedIFinancial Significant _egal trantor/SetUorlFounding Other
Entayof Source 1011,- AvnefTrust / 3eneficialor full 70A IntentederyShareholderltepresentathe Donor 'please
of Wealth founder of Owner POA (MM) >=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties Indicate mikate
related to ownership -elationship
his 46) teween
account Mies
Jeffrey E. a O O
'DO Epstein O e O O O O O
2 • O limy O • • • 5 O • O O •
Seller
Darren O O O O O C1 O O O
3 O O 12]
endEke
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KYC Print Page 5 of 21
2. Account Ownership Summary
Account Name: J. Epstein Virgin Islands Foundation, Inc . Brokerage Acct. Hunter Mandeb/O:
Account Manager stewart oldfieid
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense account)' the
pewee of chic account b to manage the foundation's securities and trade nvestments.
Indicate from were the assets are ecpected to &Moe?
9 D8 Group: Same Booking Center (indicate account number):
O DO Group: Other Booking Center (Indicate DB location and account details):
O
Other Instaution - (Indicate name & location):
O Physical Deposits (specify cash, securities, cheques, ...):
What is the everted size and frequency of regular inflows and outflows for the account (indicate estiirnted number and volume per month)7: 0.10
inflows/oulliows of security sales and purchases on a monthly basis between 10k and 150k.
What is the enweted volume of assets and currency for the account approx. 90 days 1640130 'Currency IS
after opening? I
What ii the expected volume of assets and currency for the account approx. one year' 680000 'Currency I usd
after openng?
Doeshvil the client have Assets Under Management (Auer) Milan 06 under Eur. 314? • Yes RIM
Please list all parties related to the account
For each party:
• Check I a source of wealth description is roe sued for the party.
• Check the appropriate box to describe the re ationship of the party to the account (> 1 can be selected).
• I none of the cheek boxes apply, describe the party's relation to the taxman in the 'Other" coluan.
• Always describe the relations ip between th parties h he last column.
• Please dril down to the ultimate/underlying Beneficial Owner(s).
-egal Description AccountPIC SetUor of 'Ultimate SIgnatorytimited nanclal 'Significant Jegal Grantor/SettlorlFounchnOther
Entityof Source Holder Jana Trust/ Beneficial or Fill POA ntermediary§hareoldeelepresentathis Donor 'please
of Wealth Founder otOwner ?OA FIN) f>=2SCco) describe
required roundmisn n-PIC other roles
and/or
Parties IrnitditiYcate ndicate
related to ?masher relationship
his ?b)
account lathes)
3. Epstein
Virgin
si
I a Islands 9 O • • O O O O • •
Foundation
Inc
2 O a EkpftsreteYil E. • O O 2 2 O O O O •
3 O O KEerliklearh ats • • O O 9 • O O • O
y O O O 2 O O O O •
4 O O D ke •
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EFTA01284131

KYC Print Page 6 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
IndMduars Name: Harry Beller - Date of Birth:
Country of Ream.: USA Country of Citiroiship: USA
Has client resided outside of
Addressof primary residence' his/her country of nationaltY O Yes g No
for 5 years or more'
Profession/Occupation: Accountant Tax ID f SSN:
Current Errployer: HBRK Associates, Inc Positioraille/Rank:
Address of enetioYer:
Does the person work as senior executive of a DB-recognized regulated entity In the financial
ndustry? or an entity listed on a DEI.recognised exchange? (Not applicable for operating entitles O yes ONo
Is the individual a Politically Exposed Person (PEP)T(d Yes describe) O Yes WIND
To the best of your knoMedge, is the individual related to an errvlayee a the DB group?(if O Family [...] Friendship g None
Family or friendship, dewily)
D To e u th ts e c h b e e s B t a o n f k y ( o e u .g r . k , n e o x w te le rn d a g l e l , e I g s a t l h c e o u In n d s i e vi l d , u cl a ie l n p t a r r e ty fe t r o r a a l i s o ou -nb rc a e n , k s i u n p g p l r ie e r la o ti f o g n o s o h d ip s w or it h O Yes RN°
services)?(/ Yeadesenbe)
Indicate where ant when the client meeting(s) took place:
If applicable, indicate which bank officers have met the person:
a Client Place of
Bank Officer Name(s) Bank : Other locator(sp ecify): Date:
Slip Business:
RI
Paul Morris O O 10/21/20B
• 0 0
a 0
O
• Wealth Details for this indivklual are not filled r, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth descnption as indicated in Section 2)
Nature of the Individuats Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of YVealUVSource of Funds?
Summarize Source of Wealth: O Business Owner Salary/Earnings E]Invc-stmcnt F...] In ante/Gifts O Other:
II
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumula e wealth' For inheritance, how
did family accumulate vrealth"For business ovmers, how long k business, how many en-ployees, level of profitability' Indicate type of business, countries of
ma activities, important business partners.)
Estimated Annual Income(3): Estimated amount of irreestable assets($):
Estimated Net Worth(S): Amount of assets planed to Invest with PWM($):
Other Known Financial Institunclis:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
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KYC Print Page 7 of 21
I I
Please indicate the fanely situation of the individual (marital status, other family members, etc.):
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K YC Print Page 8 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all penes)
Individuals Name: Darren Indyke Date of Both:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
g
United States hl;/her country of netionelty Dyes No
Address of primary residence:
fa 5 years or more
Profession/Occupation: Larger Tax ID / SSN:
Current Employer: Southern Armorial LLC Posibconrile/Rank:
Address of employer 575 Lexington Avenue, 4th A New York NY United States 10022
Does the person work as senior executive of a DEVrecognized regulated entity in the financial i—r 614,,,
industry' or an entity listed on a DEhrecognised exchange' (Not applicable for operating entrain LI Yes No
RIND
Is the incleMual a Politkally Exposed Person (PEP)'(/' Yes, describe) ales
To the best of your knowledge, is the individual related to an employee of the DB group(/' O Farnly O Friendship 21N one
Family or Friendship, describe)
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 afes RIND
services)7(/ YeLdesaibe)
Indicate where and Mien the client meeting(s) took place:
If applicable, indicate Mich bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other location(sp ecify): Date:
Dominic: Business:
D O
O
O N O
O ii O
• Wealth Details for this Individual are not filled in, because they are the same as for the following person:
3D. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nat We of the Individual's Business:
Primary Country of source of wealth/source of Funds'
Pnmary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth: O Business Owner II Salary/Earnings O investment U Inheritance/Gifts a Other:
Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For tuts, how did senior accumulate wealth' For Inheritance, how
did family accumulate makh7Eor business owners, how long in business, how many eirployees, level of profitability' Indicate type of business, countries of
major activities, important business partners.)
Estimated Annual Income($): Estimated amount of ineestable assets(3):
Estimated Net Worth(S): Amount of assess blamed to Invest with PVR4($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: at. Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
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EFTA01284134

KYC Print Page 9 of 21
I
Please indicate the family situation of the indmdual (marital status, other faml y members, etc.)
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K YC Print Page 10 of 21
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indrndualk Name: Erika Kekrhals - Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Address of primary residence: his country of nationality O yes tZ No
for 5 years or more'
Profession/Occupation: Attorney Tax 10 / SSN:
Current Employer: Kellerhals Ferguson Kroban PLLC Position/Tale/Rank:
Address of employer: 9100 Pon of Sale Mall, Ste IS St. Thomas VI United States 00802
Does the person work as senior executive of a 0-6recognized regulated entity in the financial
odustry' or an entity listed on a DEI.recognisecl exchange' (Not applicable for operating entitles O Yes RiNo
Is the 'dual a Politically Exposed Person (PEP)''(if Yes, desctibe) ales 2.1Nci
To the best of your kncnvledge, is the individual related to an errployee al the De group'fiF O Iambi O Friendship Ei6None
Family or Fnends/vA ilesathe 1
To the best of your knowledge, Is the Individual party to a non-banking relationship with O yes 'Y.
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goads or No
services'?" Yes,detafbe )
Indicate and Mien the client meetisg(s) took place:
II applicable, indicate %Mich bank officers have met the person.
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other Location (specify): Date:
Dontie: Business
O O O
O • O
O I. C3
• Wealth Details for this Individual are not Ailed in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nature of the Individual's Business:
Primary Country of source of wealthrsource of Funds'
Pnmary industry of source of WealtIVSource of Funds"
Summarize Source of Wealth: O Business Owner Satary/Earnings O Investment • Inheritance/Gifts II Other:
II
Further Describe Source of Wea th /Detail the history of wealth for each of the smote': (e.g. For trusts, how did senior accumulate wealth' For Inheritance, how
did family accumulate weakh,For biainess owners, how long in business, how many employees, level of profitability' Indicate type of business, (mottles of
major activoks, important business partners.)
Estimated Annual Income($): Estirroted amount of irreestable assets($):
Estimated Net Worth(S): Haunt of assets planed to Invest with PY/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
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KYC Print Page 11 of 21
I
Please indicate the ferrety situation of the individual (marital status, other famly members, etc.)
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeffrey E. Epstein • Date of Birth:
Country of Residence: USVI Country of Citizenship: USA
Has client resided outside of
Address of primaiy residence: Little St James Saint Thomas 00802 United States hls/her country of mtionaley MI yes ®No
fa 5 years or more'
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Fnancial LLC PoslUcefillk/Rank: President
Address of engiloYer. 6100 Red Hook Quarter 83 St. Thomas United States 00802
W Do o e t s a t n h , e o p r e a rs n o c n o w rn o y r k li s a t s e d se o n n io a r e D x e e ir c e u c ti o v g e n o b f e a d D e B x - c r h e a co n g g n e i ' z ( e N d o r t e a g p u p la li t c e a d b e le n f t o it r y o in p e th ra e t i f n in g a e n n c t i i a tl l e d Oyes 'a No
Is the individual a Politically l xwoud Person (PEP)'(If Yes, describe) close relationship with Bill ( yes O No
Clinton and Pnnce Andrew
To the best of your knowledge, is the irclivIdual related to an employee of the 013 gtoupW O Panty O Friendship 0 None
Famity or Friendship, *senior 1
To the best at 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 O Yes El No
services)701Yes,desathe)
Indicate where and Mien the client meeung(s) tcok place:
II applicable, indicate Mach bank officers have met the person.
Client private Client Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
O DOom krie: BOusin ess:
O 0 O
• ID O
,r.-..i,
Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds'
Primary industry of source of WealtIVSource of Fundss'
Summarize Source of Wealth: RI Business Owner Salary/Earnings 0 Investment MI Inheritance/Gifts II Other:
II
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For [rugs, how did settkw accumulate wealth' For inheritance, how
did family accumulate weakhWor business owners, how long in business, how , level of profitability' Indicate type of business, countries of
major Whales, important business partners.) Jeffrey Edward Epstein (born n n is an American financier and registers sex offender in the Unted
States. He worked at Bear Steams early in his career and then formed his own flan, I. Epstein & Co. In 2008, Epstein was convicted of sokeing an underage girl
for prostitute.; for which he served 13 months in prison. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan
from 1973 to 1975. Among his students was a son or Man C. Greenberg, chairman of Bear Stearns.
In 1976, Epstein started work as an options trader at Beer Steams where he worked in the special products division, advising high-net-worth clients on tax
strategies. Proving successful in his financial career, in 1980 Epstein become a partner at Bear Stearns.
In 1962, Epstein founded his own financial management firm I. Epstein & Co., managing the assets of dents with more than $1 billion in net worth. In 1987,
LeUre Wexner, founder and chairman of Ohio-based The limited chain of women's clothing stores, became a wet-known client. Wexner acquired Abercrombie &
far h the following year. In 1992 he converted a private school on the Upper East Side into an enormous rinklence. Epstein later bought that properly, 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 it on the island of
St. Thomas In the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New York magazine. Ocher bidders were advertising executive Donny Deutsch, arrestor Nelson Pet, media mogul and pubisher
Mortimer Zuckerman, who had the New York Daly News, and film producer Harvey Wehstein. They were ultimately outbid by Bruce Wasserstein, a longtime
Wall Street investor, who pail $55 merlon.
In 2004, Epstein and Zuckennan committed up to $25 million to finance Radar a celebrity and pop culture magazine founds by Maer Rasher,. Epstein and
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Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake.
Presently, Mr. Epstein founded Southern Trust Company Inc, a p Nate consulting company that irwests the assets of their clients nd gets their revenue from the
return of these investments. Southern Trust Invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees
associated with managing their pen's assets
Estimated Annual Income(l): 10,000,000.00 Estimated amount of investable assets($): S50 MM - 100 MM
Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($):
Other Known Fi lanced Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: ESt. Assets Under Mgt:
Insttu0un: Country: Est. Assets Under Mgt:
Please Indicate the family situation of the indMdual (marital status, other family members, etc.):
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One sheet must he established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
IndMduafs Name: Jean Anne Brennan Wiebracm Date of Birth:
Country of Residence: USV1 Country of Citizenship: USA
Has client resided outside of
his/her country of nstionalty O Yes RI pip
Address of primary residence:
fot 5 years or more'
Profession/Occupation: Finance Tax ID / SSN:
Current Employer: Southern Rnanclal, U.0 Position/The/Rank:
Address of employer 6100 Red Hook Quarter, 83 St, Thomas United States 00802
Does the person work as senior executive of a 06-recognized regulated entity in the financial I—) 8No
ndustry' or an entity listed on a DB-recognised exchange' (Not applicable for operating entities 1- 1Yes
Is the individual a Politkally Exposed Person (PEP)'(if Yes, descibe) O Yes RIND
To the best of your knowledge, Is the individual related to an erraloyee of the 08 group'fir. O Famh O friendship (iNOne
Family or friendship, dewily)
To the best of your knowledge, Is the individual party to a non-banking rehtionship with n
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes No
services)TOf Yeisdesafbe)
Indicate where and when the client meeUng(s) took place:
If applicable, indicate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
Dornkile: Business:
O O
O
O 0 O
• O
lo
• Wealth Details for St Individual are not filled h, because they are the same as for the following person:
3D. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealthrsource of funds'
Primary industry of source of VirealtNSource of Funds'
Summarize Source of Wealth: O Business Owner Salary/famines O Imestment O Inheritance/Gifts O Other:
II
Further DeUrbe Source of Wee th /Detail the history of wealth for each of the sources: (e.g. For tnats, how did settler accumulate wealth' For Inheritance, how
did family accumulate weakh,For business owners, how long in business, how many erployees, level of profitability' Indicate type of business, countries of
major activities, important business partners.)
Isurnated Annual Income($): Estimated amount of irreestable assets($):
Estimated Net Worth(S): Amami of assets planned to Invest with PVM($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Instkution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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I Please indicate the farnly situation of the indmdual (marital status, other family members, etc
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: J. Epstein Virgin Islands Foundation, Inc -
O Pnvate Investment b2I
uFoundation/Association O Trust O Company OEstate
Type of Entity: Purpose of Entity: ilanthropic/Charitable O
• Partnership
omrnerc lel
Purpose of Entity
Type of Entity Other (speedy):
Other (sPeofif):
Country of United States Virgin Islands Date of incorporation //1412000
*corporation registration: registration:
Estate or ChantablelPhilantophic No
Volcker Status: Volcker Flag.
Address (city, street, post 6100 Red Hook Quarter 83 St, Thomas 00802 United States U.S. T1N/EIN:
code):
Provide a description of the eat y's organizational struclbe, Its ownership structure and its Top Management. for trusts/ oundatkins, include information about
renxatillity,senfor and beneficlaries,etc.:
This is a 501 (c)3 foe:eaten with Jeffrey Epstein serving as the President.
Darren Indyke serves as VP and Enka Kellernals as Secretary/Treasurer. The signors on this account are Jeffrey Epstein, Darren Indyke and Erika Kellerhals
Please indicate low ownership of the ksgal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custodied:
( f
Describe the chain from the direct owner of the entity to the ultimate beneficial owner not the same persons): This ha 501 (c)3 foundation with Jeffrey
Epstein serving as the President.
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 wrvIces)>: Tes O Hog
Describe Nature of Entity's Primary Business and Investment Activities
Nature of Use business: Private nonprofit foundation which Is organized exclusively for charitable, educational and
scientific purposes.
Countries where busbess rs transacted: USA, UST/I
Number of employees: 5
3D. Wealth Neale (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of weattlVsource of Minds'
Primary industry of source of WealUVSource of Funds'
Provide Evidence of Corporate Assets (eq. halm, r !Jlefq or guivaient sumnary of assetsfIabilities):
the *hal donation came from Jeffrey Epston's personal fund . I best, funds have then bees Invested and reirmssted as the source of income for the foundation.
The profits the foudnatIon nets from these Investments are th n reinvested or donated to charitable endeavors
Striated gross receipts pa.($): 100,000.03
Estimated net profit p.a. (5): 2,000,000.00
Estimated investable assets ($): <$1 MM
Potential Amount to be invested with PWM (5): 800000.03
Other Known Financial Institutions:
Institution: DB Country: USA Est. Assets Under Mgt: 800,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL !Writ In Section 2. Account Summary
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3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name: Southern Financial LLC •
A Private Investment O
• Foundearsbhoinp/ Association O Trust @Company O Estate
Type of Entry: Purpose of Entity:
• Partn GnEhrofrOCharrable O
annotator
Purpose of Entity
Type of Entity Other (specify):
Other (specify):
Country of US Virgin Islands Date of Incorporation / 2/25(2013
incorporation/registration. ingstration:
Volker Status: idellithed Oil Costomer ProNe Volcker Flag: No
Address (city, street, post 6100 Red Hook Quarter BI 00802 U.S. T1N/EIN:
code):
Provide a description of the entity's organizational structtre, its ovaiersap structure and its Top Management. For trusts/ oundations, Include Information about
revocability,setbor and beneficlariesotc.:
Southern Trust Company Inc is the sole meatier of Southern Financial I.LC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
Please Indicate how ownership of the legal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custedled:
Deschbe the chain from the direct owner of the entity to the ultimate beneficial owner re' nee the same paeans)
To the best of your knowledge, Is the entity party to a nth-banking relationship with Deutsche 21
Bank (e.g. external legal counsel, client referral solace, suppler of goods or services)?: Yes 0 No
Describe Nature of Entity's Primary Business and Investment Activities
This business Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr.
Epsteiels personal wealth and invest in different ventures. This company invests In real estate,
Mature of the business:
equities, commodities, etc and gets its revenue farm the gains it makes in these investments. It
es a company formed to invest the assets of it. Epstein
Countries More business is transacted: US Virgin Islands
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description as indkated in Section 2)
Primary Country of source of wealth/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):
The initial funding In February 2013 vas $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert to Mr. Epstein's source of
1vealth for more details.
Estimated gross receipts pa.($): 2,000,000.00
Estimated net profit pa. (8): 1,500,000.00
Estimated imestable assets (8): <SI MM
Potential AROMA to be invested with PWM (5): 300.000.00
Other Known Randal Institutions:
Institution: 08 Country: USA Est. Assets Under Mat: 1,000,000.00
Institution: Country: 1st Assets Under Mgt:
Institution: Country: Fit. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
i (gal Entity None: I Southern Trust Company. UR
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CI
IIr4 Prtvate Investment
LI Foundation/Association OErust a Company O Estate
Type of Entity: Purpose of Entity:
lanthropic/Chatitable •
O Partnership
ommercial
Purpose of Enttty
Type of Entity Other (specify):
tither (sPecify):
Country of US Vrgin Islands Date of Incorporation / 11/18/2011
incorporation/registration: registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red hook Quarter 83 00802 U.S. TTN/E1N:
code):
Provide a description of the entity's organnatkrial structure, its ownersNp structure and Its Top Management. For trusts/ oundations, include information about
revocabillty,settior and beneficiaries,etc.:
Jeffrey Epstein is the sole shareholder of this company. The signors on this account am Jeffrey Epstein, Harry Beller, Jeanne Brennan, and Dairen Indyke.
Please indicate how ownership of the legal entity is reflected:
• Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate benefklal owner ht not the same persons).
to the best of your km:Wedge, is the entity party to a non.banking relationship with Deutsche D
flank ft q. external legal counsel, client referral source, suppler of goods or services)/: Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services retying on Financial and Biomedical algorithms. Southern Trust is a private
consulting company that invests the assets of then dents and qets thee revenue from the return
Nature of the business: of these investment& Southern Trust crests in different portfolios catered to their clients end
makes thew revenue based on the returns and the fees associated with managing their clients
/01•501.5
Countries where business is transacted: US Virgin Islands
iskrnber of employees: 0
3D. Wealth Profile (Only for parties revering source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds/
Primary industry of source of Wealth/Source of Funds'
Provide Evidence of Corporate Aloes (e.g. balance sheet or equivalent summary of assets,labilities):
Consult arid invest tient funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,000000.80
Estimated net profit p.a. (5): 1,500,000.03
Estimated Irrrestable assets ($): $2 MM - 5 MM
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Institutor*:
Institution: DB Country: USA lot. Assets Under Mgt: 2,000,000.00
Institution: Country: at. Assets Under Mgt:
Institution: Counuy: Est. ASSetS Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center 12 NY O offshore LO Moderate raau High Risk Yoortsurt Chung
NOY/Offshore isk
(Complianc Signature)
OM Employee O DB Managed PIC O DO is Trustee/Co-Trustee O Bearer Shares
4. Attadimenb !
A. Type of Photo ID Provided 0 Drivers License 0 Passport O National/State ID O Other
Checklist of names (initviduals and/or entitles) that were submitted for database searches is
R. attached 0 Yes ON,
C. Please indkate the results of the database searches performed
RDC searches complete Ryes Os negative mulls found Byes ONO
PCR checks complete 'a yes O110 negative results found n Yes O No
OFAC checks complete gas O No negative results found ales ®No
BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, Dilite) ®Yes ONO negative results found O Yes 0 No
Denial Orders checks complete Ryes O No negative results found Oyes 0110
Plaitfliale-Hubbell searched (Lawyers/Law Hems ody) • yes 'Ririe negative results found • yes • No
Please summarizee a aliveresults from the database searches Indkated above: DARREN INDYKE:
Approved In KYC
HARRY BELLER:
Approved ki KYC il l
JEANNE BRENNAN:
Jeanne was previously approved In KYC
JEFFREY EPSTEIN:
Alert S 1-
ROC Cleared & APPROVED by Chip Packard, APR Compliance, and Pat Harris
9
PCR Alert 1/2 -- Not our client
Al Cases Closed
SOUTHERN FINANCIAL U.C:
No negative media
court cases
No
SOUTHERN TRUST INC:
D.
No negative media
Court Case -- Not our client.
FINANCIAL INFOMATICS INC:
No negative media
No court cases
J. Epstein & Co.
Al Negative Media is our client He has been cleared of posing a reputatbnal risk as shown by the ANL Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is associated with Southern Financial, the company I merged into. This alert has been cleared by Caliph:ince and is attached
Court Cases are closed
Erika Kellerhals:
CM Action court case of lames P Carroll v Dann Prosser (a divorce case) which lists Erika Kelerhals as general counsel as she is an attorney. Mother case
In Eats line of work, and they are not
with Supermarket Source Inc lists Enka as the defendents counsel. These cases are standard directed at her
personally.
1. To the best of your knowledge, has the client ever been convicted of a criminal offense' 0 yes Os
E.
O Yes Os
To the best of your knowledge, has the customer ever been involved in any past ialgation against
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Deutsche Bark AG or any of its subsidiaries or is the aistaner threatening litigation against
Deutsche Bark AG or any of is subsidiaries? (// Yet, provide aka* below and contact Quito Mgt
(Lat4m/Int7) or the Reguiatory Conlra Group al notify Compliance Onmediatoy)
Does the tient a related party have any financial or other association / interactions within countries D yes 0 No
G.
or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
Does the client or related party have any financial or other association, Interactions within high risk O Yes0
H. countries? No
I. Corporate Documentation Attached (Legal Entitles Only) 10 Yes O No O Not Applicable
J. Undisclosed enixgial Form Complete (Intermediaries Only) O I'm Os n Not Applicable
K. If Lexisfflexis Search Resuks Corporate Documents or Other Supporting Documentation 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 Special Risk Countries? • yes RI No
Is the account structure unusually remelt& • Yes 74 No
2
Is there any indication the client set up a non operating company expressly O yes No
for the purpose of transferring shares to third parties?
Is there any indication this could be a prohibited business relationship? • Yes 2No
Are the bearer shares Identified subject to acceptable controls? O Yes F. No
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M. Case Comments
Created By Date Comments
This KYC serves as a high risk update for the below Isted chaos (together 'accountholders') -
1. Southern Financial, LLC
2. Southern Trust Company, Inc
3. Je/frey Epstein
4. J. Epstein Virgin Islands Foundation, Inc
Below are the reasons why we are comfortable wish approving this KYC:
• Information and supporting documents required by our N41P olicy were provided and reviewed; and as a
result, we have an understanding of the stratum of the accountholders, their purpose, the purpose of the
accounts and expected transaction activity.
KshltIJ Golan 8/8/117 4:45 PM
• There me a few risk factors associated with the accountholders -
SOW: The UBOs (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages clients
assets. SOW vereication was obtained.
Negative Media & PEP: There n some negative media against Mr Epstein and he is also maintains a close
relationship with &II CIIMon and Prince Andrew. Please see risk cakulator for more kdormatren. Appropriate
approval was obtained.
0 review did not identity any red flags and thus there was no need to escalate this case further.
• We performed due diligence searches on aN parties and did not Vinci the names searched to be on any sanctions
Ws
Verification of Address for Jeffrey Epstein is attached. its his most recent paycheck from Southern Trust
Cynthia Rodriguez 7/7/117 1:50 PM
Company Inc.
Cynthia Rodriguez 6/30/117 1:28 PM rock searches for UBO can be found in KYC case
Cynthia Rodriguez 7/7/117 2:28 PM client confirmed no material changes en 07/01/2017 via phone
Cynthia Rodriguez 7/7/117 2:17 PM research for Jean Anne Brennan Webracht Is attached to kyc case
ONSHORE APPROVALS
Client Faceig Professional (CFP): stewart oldfield Signature) 7/5/2017
stewart oldfield
Office Director/Business Head: Andrew F Galavan Signature) 7/6/2027
Andrew F Galindo
Regional Office Director: Signature)
Mt Business Risk:
(Signature)
NI- Compliance:
(Signature)
'Nub] mien, KshitIJ Golan' 8/8/2017
Yoornun Chung Yoonsun Chung 8/8/2017
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager (signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(Sillily
Mt Business Risk:
(Signature)
AM Compliance:
(Signature)
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PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofi ts clients. To do so. Client Facing Professionals1(I)
(CFP 's) should establish and maintain business relationships only with persons who sail* our high standards of
suitability, background and character. Due diligence obtained on the client must be appropriately documented by the
CFP. It is the responsibility 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. 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 PWMA mericas Procedures and the PHUGlobal KYC Policy
I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors. Product Qtficers. Brokers,
Client Managers. etc.
Deutsche Bank Americas New York VA
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