EFTA01294896.pdf

KYC Print Page 1 of 12
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 01141322 Status : 7. Approved with Temporary Exception
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
New PWM Relationship F Existing PWM Relationship
F
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile:
r r
Client Referral P. RM Prospect i.-- Intermediary/FPM Other Source (CIB, etc.)
How Was the Client(s)
Introduced? How long has Please provide details (e.g. name of referral source, how many years RM personalty 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
and Jeffrey: Jeffrey Epstein was a client of Paul's at P Morgan. Paul and Jeffrey Epstein had a mutual
the client?
friend/colleague who introduced them while Paul was at 'Morgan. Over the course of a few meetings 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 (!/Yes, desoibe):
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 NES, LLC 10/28/2013
2 F NES, LLC -- Money Market 10/28/2013
Who is the primary contact
person for the RM? (Note: Preferred method of
This person needs to have Harry Seller contact(indkate phone
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
aCCOuntS.):
SDNY_GM_00053534
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: NES, U_C Acct Number Of 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 to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes
indicate from where the assets are expected to arrive?
7 DB Group: Same Booking Center (indicate account number):
7 DB Group: Other Booking Cents (indicate DB toc ation and account details):
P. Other Institution (Indicate name & location): JPMorgan. New York
I 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 inflows and outflows per month ranging from $1000 to $20000
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100000 Currency USD
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's relation to the account m the 'Other column.
• Alway describe t e relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Description AccountPIC Settlor of siltimate Signatory _imitecFnancial Significant
Enttyer Source Holder OwnerTrust / Beneficiabr Full ?0A ntermediaryShareholder
of Wealth =minder of Owner POA kFinn (>=25%)
required 'oundabon Non-PLC abet (please
entity describe other roles
(indicate and/or indicate
arntiteess related to ownership relationship between
i account fro) cartes)
1 F F NES, LAC F F F F F F F
2 F F Harry Beller F F F F F F F
3 F F Jeffrey Epstein F F F F F F F
SDNY_GM_00053535
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2. Account Ownership Summary
Account Name: NES, lIC -- Money Market Acct. Number Of 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)? Money market account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and
earn interest
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): 3PMorgan. New York
F Physical Deposns (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 1.3 inflows and outflows per month ranging from $1000 to $10000
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100000 Currency USD
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's relation to the account in the *Other column.
• Nway describe the relationship between the parties in the last column.
• Please drill &gm to the ultimate/under ying Beneficial Owner(s).
egal Description AccountFIC Settior of Ultimate Signatory_imite nancial Significant
tntityof Source Holder Owneerrust / Beneficialor Full DOA ntermediary6hareholder
of Wealth Founder of Owner POA FIM) (>=25%)
required :oundabon Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
parties related to rership relationship between
. s account oases)
1 F F NES, Lit F F F r r r r
r r r r r r r
2 Harry Beller r r
3 F F Jeffrey Epstein F F r F I . F r-
SDNY GM_00053536
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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 Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Obzenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802
Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(,f Family a- Fneniship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship
r Yes F No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of
goods or services)?(if Ves,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul moms r r F 10/21/2013
r r
F
F r r
r
Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
P. Business Owner F Salary/Eamings F Investment F Inheritance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. 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, .). 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 island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy
businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $100 MM - 500 NM
($):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
SDNY GM_00053537
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Institution: JPMorgan Country: USA Est. Assets Under Mgt: 40,000,000.00
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 154,000,000.00
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_0005353B
pliREITRACE.09Diaceid=50060...
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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: Harry Beller - Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Tide/Rank:
Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022
r yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship
r Yes F No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private B Place
Bank Officer Name(s) Bank Office: Domicile: of Other Location (specify): Date:
Buussiinneesws::
Paul Monis r r F 10/21/2013
F r r
F r r
r
Wealth Details for this individual are not filled in, because they are the same as for the following person:
35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of veaith for each of the sources: (e.g. For busts, 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.)
Estimated Annual Income
Estimated amount of investable assets(5):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY GM_00053539
Imps://na4.salesforce.comisenile iltreEeAt0D9Di&eid=50060.. . 11/-15/2013
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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.):
SDNY_GM_00053540
htt s://na4 e e PIDENTIIkt0 D9Di&eid=50060. .. 11/15/2013
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRe . At- ) DB-SONY-0016364
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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: NES, LLC -
r F Private Investment
r Foundabon/Associabon Trust 17 Company r
Type of Entity: Purpose of Entity: Philanthropic/Charitable
F Estate r Partnership r commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 8/13/1998
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/EIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabl ty,setbor and benelicianes,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Please indicate how ownership of the legal entity is reflected: Single member LLC. Jeffrey Epstein is the sole member
F Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ukimate beneficial owner Of nor the same persons). Single member LLC.
Jeffrey Epstein S 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 yes F No F
or services)?:
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
Nature of the business:
Jeffrey Epstein's homes
Countries where business is transacted: USA, USVi
Number of employees:
3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities):
All funds come from Jeffrey Epstein, who has been KYCd previously
Estimated gross receipts p.a.(;):
Estimated net profit p.a. (5):
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PM (5): 200,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY GM_00053541
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P2
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Booking Center F NY r- NY/Offshore F Offshore F Moderate re High Risk Janice Franklin
Risk
(Compliance Signature)
P DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other
Checklist of names (individuals and/or entitles) that were submitted for database
B. F Yes F No
searches is attached
C. Please indicate the results of the database searches performed
RDC searches complete F yes F No negative results found F Yes F No
KR checks complete F Yes F No negative results found F Yes F No
OFAC checks complete F Yes r No negative results found F yes F No
D BI & S B s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No
r r
Denial Orders checks complete 17 yes No negative results found Yes F. No
Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F Yes F No
Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN:
Previously KYCd and approved in: 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 (or the costs associated with running a private
home
No court cases
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? IV Yes F No
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, I— Yes F No
provide details below and contact Quality Mgt (Lat4m/Int1) or the RegGiatory Control
Group and notify Compliance immediately)
the client or related party have any financial or other association / interactions r Yes F No
'G ' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
H Does the client or related party have any financial or other association/ interactions F Yes F No
within high risk countries?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) F Yes F No F Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English
t SDNY_GM_00053542
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summary of the nature/contents of the non-English Documentation:
SDNY_GM_00053543
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M. Case Commenb
records to display.
ONSHORE APPROVALS
Ghent Fadng Professional (UP): Paul Morris Signature) 10/22/2013
,aul Morns
Office Director/Business Head: Bnan M. Biggar Signature) 10/23/2013
Brian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compiance:
(Signature)
Jacqueline Lightbody Jacqueline Lightbody 11/8/2013
Janice Franklin Janice Franklin 11/8/2013
LATAM / INTERNATIONAL APPROVALS
Client Facing 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 WEALTH MANAGEMENT POLICY STATEMEN7': Deutsche Bank Private Wealth
SONY_GM_00053544
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Management (PWM) worldwide is committed top rofessionally serve the interests ofi ts clients. To do so,
Client Facing Professionals/( I) (CFP's) should establish andm aintain business relationships only with
persons who satisfy our high standards ofs uitability, 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 ofa relationship and on at 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 of the chent(s) and that I have followeda ll the procedures
relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC
Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers. Client Managers. etc.
Deutsche Bank Americas New York
SDNY_GM_00053545
ne)
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