EFTA01294880.pdf

KYC Print Page 1 of 13
DB PWM GLOBAL KYC/NCA: PART A P2
KYC Case It : 01221773 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Paul Morris
F New PWM Relabonship F Existing PWM Relabonship
Relationship to PWM:
If existing, please Indicate since when the relatonsh p exists, provide reason for new profile and attach old
profile:
F Client Referral r RM Prospect F Intermediary/FIM F Other Source (CM, etc.)
How Was the Oient(s)
Intrduced? How king has Please provide details (e.g. name of referral source, how many years RM personally has known client,
the RM personally known etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul
the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual
friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meebngs Paul
was able to get Jeffrey to bring some of his funds over to Deutsche Bank
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If Yes, desaibe):
of this relationship?
List all existing and new accounts Involved in this relationship
Legal Entity Account Name / Number Opening Date (ntended/actual)
Account(s)
1 17 Zorro Development Corp 4/28/2014
2 F Zorro Development Corp — Money Market 4/28/2014
Who I the primary
contact person for the Preferred method of
RM? (Note: This person Darren Indyke contaa(indicate phone
needs to have signatory no., fax no., e-mail
rights and/or information address, etc.):
right for the accounts.):
SDNY GM_00053507
Intps://na4.salesforee.com/serlaMirriTherspTcAL430000000D9... 5/2-9/2014
CONFIDENTIAL - PURSUANT TO FED. R.Wtilioels. a( ) I DB-SONY-0016331
EFTA_00I 64088
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KYC Print Page 2 of 13
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Zorro Development Corp Acct Number (if available):
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? Checking account for the day-to-day expenses associated with running the ranch In New Mexico that Zorro
owns
Indicate from where the assets are expected to arrive?
r";" DB Group: Same Booking Center (indicate account number): From Jeffrey Epstein's account" 35266976
F D43 Group: Other Booking Center (indicate DB location and account details):
r other institution -
(Indicate name & location):
F 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 10-30 inflows and outflows per month ranging from $1000 to $10,000
What is the expected volume of assets and currency 100000 Currency USD
for the account approx. 90 days after opening?
What Is the expected volume of assets and currency 150000 Currency USD
for the account approx. one year after opening?
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 relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party' relation to the account in the "Other" column.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Benefici I Owner(s).
Legal Description AccountPIC Settlor of Jftimate SignatoryyjmitedFinancial Significant
Entity of Source Holder OvmerTrust/ Beneficial/or Full ;OA IntermediaryShareholder
of Wealth Founder of Owner POA (FIM) (>=25%)
required Foundation Non-PIC Other (please
entity describe other roles
relationship
(inchoate and/or ndicate
Parties related to ownership
:his account %) 'between parties)
Zorro Development
1 F F F r r F F F r
Corp.
r
2 r Darren Indyke r- r F F F F F
3 F F Jeffrey Epstein r r F F F F F
iThercr fAw30000000D9... SONY GM_00053508
Intps://na4.salesforee.com/sertaMTE 5/2-9/2014
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2. Account Ownership Summary
Account Name: Zorro Development Corp -- Money Market Acct. Number (if available):
Account Manager: Paul Morris
Mat is the purpose of the account (e.g. portfolio management, advisory account custody services, long-term investment,
payment/expense account)? Money Market account faexpenses associated with running the ranch in New Mexico that Zorro owns. This
account will hold extra funds and earn interest
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number): Jeffrey Epstein's account #35266976
F DB Group: Other Booking Center (indicate DB location and account details):
Other Institution - (Indicate name & location):
F
F Physical Deposits (specify cash, secunbes, cheques, ...):
What is the expected size 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 $1000 to $10,000
What is the expected volume of assets and currency 100000 Currency USD
for the account approx. 90 days after opening?
What is the expected volume of assets and currency 150000 Currency USD
for the account approx. one year after opening?
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 relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party relation to the account in the 'Other column.
• Mway describe the relationship between the panes In the last column.
• Please drill down to the ultimate/underlying Benefici I Owner(s).
Legal Description AccountPlC Settles of Jftimate Signatory‘imitedFinancial Significant
Enlatraf Source Molder OwnerTrust / Benefroahor Full POA IntermecharySharehoider
of Wealth Founder of Owner POA (FIM) (>=25%)
required Foundation Non-PIC Other (please
entity describe other roles
(inchoate and/or radiate
Partias related to rz ership lt wee hip
.hs account n parties)
1 F F Zorro Developmentl F r- r- F r r r
Corp.
2 F F Darren Indyke r r r F F 1 F
3 F F Jeffrey Epstein F F F F F F F
SDNY GM_00053509
Intps://na4.salesforee.com/serlaMIF ieettinnfAL430000000D9... 5/2-9/2014
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all p roes)
Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Address of primary Line Saint lames Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empotyed Tax ID / SSN: 090-44-3348
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer: 6100 Red Hook Quarter B3 St. Thomas USVI 00802
r Yes R. No
Is the incividual a Politically Exposed Person (PEP)?(if Yes, describe)
To the best of your knowledge, is the ndividual related to an employee of the DB F Family F Friendship P. None
group?(if Family or Friendship, describe )
To the best of your knowledge, Is the individual party to a non-banking relationship r- yes
Fl No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes, describe )
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client Private Client Place
Bank Officer Name(s) Bank Other Location (specify): Date:
Domicile: of Business:
Paul Moms r r F 3/4/2014
r r
r
r r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indcated in Section 2)
Nature of the Individual's Business: PM/ate investments
P Business Owner F Salary/Earnings F Investment F Inheritance/Gifts
Summarize Source of Wealth:
F Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e4. For trusts, how did settlor 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 financial career in 1976 as an
options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein &
Co., managing the assets of dents wth more than a bi ion in net worth. In 1996, Epstein changed the name of his firm to The Financial
Trust Company and based i on the island of St Thome in the US Virgin Islands. All of his clients were anonymous except for the very
wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): S50 MM - 100 MM
(5):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM($):
SDNY_GM_00053510
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Other Known Financial Institutions:
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mantal status, other family members, etc.):
SDNY_Ght00053511
EetinricAEsli30000000D9... 5/29/2014
littps://na4.salesforce.com/sertakigir
CONFIDENTIAL - PURSUANT TO FED. R.VIRRitis. IMO ' DB-SDNY-0016335
EFTA 00164092
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all p rties)
Individual's Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965
Country of Residence: USA Country of Citizenship: USA
Address of primary 2 Kean Court Livingston NJ 07039 USA
residence:
Profession/Occupation: Lawyer Tax ID I SSN: 098-54-8596
Current Employer: Southern Financial LLC Position/Title/Rank:
Address of employer: 575 Lexington Ave, 4th Fl Livingston NY USA 10022
r Yes I No
Is the indvidual a Politically ExposedPerson (PEP)?(if YeS, describe)
To the best of your knowledge, is the ridividual related to an employee of the DB E Family F Fnendship P None
group?(;/ Family or Fnendship, describe )
To the best of your knowledge, Is the individual party to a non-banking relationship (--- yes
F No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,describe )
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Oient Private Client Place
Bank Officer Name(s) Bank Other Location (specify): Date:
Domicile: of Business:
Paul Moms r r F 4/17/2014
r r
r
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details (Only for parties requiring source of wealth description as indcated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts
Summarize Source of Wealth:
F Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did senior accumulate wealth?
For inheritance, how did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(s):
(s):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I 'Country: I I Est. Assets Under Mgt:
nettliTtAL430000000D9... SDNY GM_00053512
Ittips://na4.salesforee.com/serlaMIF 5/2-9/2014
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Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
nerspTicAL430000000D9... SDNY GM_00053513
littps://na4.salesforce.com/sery/WEr 5/2-9/2014
CONFIDENTIAL - PURSUANT TO FED. R.tb-RIWP. a( ) I DB-SONY-00 16337
EFTA (H)1 64094
EFTA01294886

KYC Print Page 8 of 13
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Zorro Development Corp. - 00000492732
F
Private Investment
F
Type of Entity: Foundation/Assodabon r Trust F Company Purpose of Entity: r Philanthropic/Charitabie
F F
Estate Partnership
r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 3/17/1993
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/EIN: 85-040-9324
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations,
include information about revocability,settlor and beneficiarieseetc.:
Zorro is able to issue 3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey Epstein
Please indicate how ownership of the legal entity is reflected: Zorro is able to issue 3000 shares. Currently there are only 100 shares
issued. All owned by Jeffrey Epstein
F
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate benefioal owner (if not the sane persons). Zorro Is able to issue
3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey Epstein
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 Yes F No F
goods or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Zorro Development is a real estate holding company. It is a company formed to run
Nature of the business: and operate all activities associated with a property that Jeffrey Epstein owns in
New Mexico
Countries where business is transacted: USA
Number of employees: 1
3D. Wealth Profile (Only for parties reouinng source of wealth descnpbon as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
This company is funded by Jeffrey Epstein's personal wealth
Estimated gross receipts p.a.(5):
Estimated net profit p.a. (5):
Estimated nvestable assets (5): $1 MM - 2 MM
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053514
littps://na4.salesforee.com/serNINNI ttliTicAlL130000000D9... 5/29/2014
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I
'Institution: I I Country: I I at ASSetS Under Mgt: I
SDNY_GM_00053515
Intps://na4.salesforce.com/serlarralr iTheisfyllIAEB0000000D9... 5/29/2014
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EFTA_00164096
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Int
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
...
Booking Center ••• NY r NY/Offshore I Offshore 7 moderate I:I High Gwen Mil
Risk tick
(Compliance Signature)
n DB Employee 1 DB Managed PIC F DB is Trustee/Co-Trustee Bearer Shares
F
4. Attachments
A. Type of Photo ID Provded F Drives License F Passport F National/State ID F Other
Checklist of names (incividuals and/or entities) that were submitted for database
B. F• Yes F No
searches S attached
C. Please indicate the resuks of the database searches performed
RDC searches complete F yes F No negative results found F Yes F No
PCR checks complete F Yes 7. No negative results found r Yes F No
OFAC checks complete r Yes r No negative results found r Yes F No
D BI & S B s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r y Yes F No negative results found F Yes r; No
Denial Orders checks complete F Yes F No negative results found F Yes F No
Martindale-Hubbell searched (Lawyers/Law Firms only) r yes F No negative results found r Yes F No
Please summarize any negative results from the database searches indicated above: DARREN INDYKE:
KYC approved in * 1133377 and again when added as POA in KYC *01195100
JEFFREY EPSTEIN:
D. KYC approved in *0112171B, *01082293, *01141308, *01195100
ZORRO DEVELOPMENT CORP:
No Negative Media
No Court Cases
E To the best of your knowledge, has the client ever been convicted of a criminal 1.7 Yes r No
offense?
To the best of your knowledge, has the customer ever been involved in any past
litigation against Deutsche Bank AG or any of its subsidiaries or is the customer
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes 1,7 No
provide details below and contact Quality Mgt. (LatAm/Int1) or the Regulatory Control
Group andn otify Compliano immedately)
, Does the client or related party have any financial or other association / interactions F F
''' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Yes •N°
H Does the client or related party have any financial or other association/ interactions
" within high risk countries? F Yes F No
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
J. Undisclosed Principal Form Complete (Intermedaries Only) F Yes 7 No F Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English
SDNY_GM_00053516
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summary of the nature/contents of the non-F_nolsh Documentation:
cA1:1130000000D9... SDNY_GM_00053517
leettir 5/29/2014
Intps://na4.salesforce.com/septql7W1F
CONFIDENTIAL - PURSUANT TO FED. kVA-META( ) DB-SDNY-0016341
EFTA_00164098
EFTA01294890

KYC Print Page 12 of 13
M. Case Comments
records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 4/23/2014
Paul Morns
Office Director/Business Head: Kimberly Hart (Signature) 4/23/2014
Kimberly Hart
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Janice FranWin Janice FranWin 4/25/2014
Gwen Hill Gwen Hill 4/25/2014
LATAM/INIERNATIONAL APPROVALS
Client Facing Professional (UP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
nercrfAL430000000D9... SONY GM_00053518
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank
Private Wealth Management (PWM) worldwide is committed to professionally serve the
interests of its clients. To do so, Client Facing Professionals1(1) (CFP's) should
establish and maintain business relationships only with persons who satisfy 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 of CFP's to
demonstrate that they know their client both at the inception of a relationship and on an
ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge
and belief the above information is correct and up to date. I confirm that I have no
suspicions relating to the money laundering or unethical activities on the part of the
client(s) and that I have followed all the procedures relating to account opening as
described in the PWM Americas Procedures and the PWM Global KYC Policy
(I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth
Advisors, Product Officers, Brokers, Client Managers, etc.
Deutsthe Bank Amerkas New York
SDNY_Ght00053519
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EFTA_00164100
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