EFTA01294923.pdf

KYC Print Page 1 of 14
DB PWM GLOBAL KYC/NCA: PART A
VA
KYC Case # : 01195159 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 Booking Center: New York
Relationship manager: Paul Morris
r New PWM Relationship F Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile: Update of KYC to add Darren Indyke as an authorized Signer. Darren has been KYC
approved in case
F Client Referral F RM Prospect F Intermediary/FIM F Other Source (CIB, etc.)
How Was the ient(s)
Introduced? how long 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 i >Morgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
r Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction of Yes, dayrnize):
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 F NES, LLC 10/28/2013
2 F NES, LLC -- Money Market 10/28/2013
WhO i the primary ontact
person for the RM? (Note: Preferred method of
This person needs to have Harry Beller contact(indicate phone
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
accounts.):
pp SDNY_GM_00053574
hups://na4.salesforce.com/servlet ENIST0IACED9Diaceid=500600... 3/21/2014
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016398
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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 Ofa vailable).
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?
F DB Group: Same Booking Center (indicate account number):
F DS Group: Other Booking Center (indicate DB location and account details):
P. Other Institution (Indicate name & location): JPMorgan. New York
1 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 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.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Description AccountPIC Settlor of -inmate Signatory..imitecFnanoal Significant
Enutyof Source Holder OwnerTrust / Benefioatir Full POA InterrnediarySharehoider
of Weakh Founder of Owner POA (FIM) K>=25%)
required •:ouridabon Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
this account AIM cartes)
1 F F NES, LIG 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
4 F F Darren Indyke F F F r F F F
L SDNY_GM_00053575
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2. Account Ownership Summary
Account Name: NES, 11..0 -- Money Market Acct. Number (ifavailable),I
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 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): )PMorgan. New York
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 1-3 inflows and outflows per month ranging from $1000 to $10000
What is the expected volume of assets and currency for 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 down to the ultimate/under ying Beneficial Oviner(s).
Legal Description AccountplC Settbr of Ultimate Signatory_imitedEnancial Significant
Entityof Source Holder OwnerTrust / Beneficialor Full DOA Intermediary6hareholder
of Wealth Founder of Owner POA (FIM) (>=25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
pries rented to ownership relationship between
• is account oases)
PO
I F F NES, lit F F F F F F F
2 F F Harry Beller r r r F F r
r
3 F F Jeffrey Epstein F F F F F F F
4 F F Darren Indyke r r- r F F F
F
SDNY_GM_00053576
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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 - Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: 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/ride/Rank: President
Address of employer:
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe)
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- Freniship, descnbe)
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,desalbe)
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 Morris r r 17 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 parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
PI Business Owner F Salary/Eamings P. 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 famdy 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 MM
a):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
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Institution: WMorgan 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_00053578
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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: 5/9/1956
Country of Residence: USA Country of Citizenship: USA
Address of primary Monsey NY 10952 USA
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Trde/Ftank:
Address of employer:
F Yes F 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?(,f 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 Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r F 10/2112013
F 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:
38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings r Investment F Inhentance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of vealth 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.)
Estimated Annual Income
Estimated amount of investable assets(S):
(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
SDNY GM_00053579
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'
Institution: I 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.):
Ate)i - SDNY_GM_00053580
EilicapAtoD 9Di
http a4.salesforce.com/servlet At e) &e i d= 5 006 00 . .. 3/21/2014
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KYC Print Page 8 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Darren Indyke - Date of Birth: 2/19/196S
Country of Residence: USA Country of Citizenship: USA
Address of primary Livingston N) 07039 USA
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Positionifide/Rank:
Address of employer: New York NY USA 10021
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- &err/ship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r- yes .—
Ito 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 Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
r r r
r r r
r 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 parbe 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 vealth 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.)
Estimated Annual Income
Estimated amount of investable assets(S):
(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY_GM_00053581
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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.):
Attl 'EYEfiTikt SDNY_GM_00053582
https://na4.salesforce.com/servlet 0D9Di&eid=500600 . 3/21/2014
CONFIDENTIAL—PURSUANT TO FED. R. DS-SONY-0016406
EFTA_00164163
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KYC Print Page 10 of 14
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-- r F Private Investment
Foundation/Association Trust F Company r
Type of Entity: Purpose of Entity: Philanthropic/Charitable
I— Estate F Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 8/13/1998
incorporation /
incorporation/registration:
registration:
Address (city, street, post 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,settlor and beneliciaries,ett.:
Single member LLC. Jeffrey Epstein is the sole member
Please indicate how ownership of the legal entity is reflected:
I— Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or not the same persons):
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 I- 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 assetsffiabilibes):
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 PWT4 (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:
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EFTA 00164164
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Booking Center F NY r NY/Offshore F Offshore F Moderate i — v .7 . High Risk Jacqueline Lightbody
Risk
(Compliance Signature)
F 013 Employee F DB Managed PIC F 08 is Trustee/Co-Trustee F Bearer Shares
4. Attachment
A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other
Checklist of names (individuals and/or entities) that were submitted for database
B. searches is attached F Yes F No
C. Please indicate the results of the database searches performed
ROC searches complete F yes r No negative results found F Yes F No
KR checks complete F Yes F No negative results found r Yes F No
OFAC checks complete F Yes F No negative results found F Yes F No
D BI M S s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found r yes F No
r r
Denial Orders checks complete 17 yes No negative results found Yes P.. No
Martindale-Hubbell searched (Lawyers/Law Arms only) r Yes F No negative results found r yes F No
Please summarize any negative the database searches indicated above: DARKEN INDYKE:
Previously KYC approved in casert
JEFFREY EPSTEIN:
Previously KYCd and approved in: 01082293 and 01121718
D. HARRY BELLER:
Previously KYCd and approved: 01133624
NES, LLC:
Negative media does not pertain to our client Our client is an MC that is only used to pay for the costs associated with running a privg.e.
home
No court cases
E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F 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 Itigation against Deutsche Bank AG or any of Its subsidiaries? (lf Yes, F Yes P" No
provide details below and contact Quality Mgt (Lat4m/Intl) or be Regulatory Control
Group and notify Compliance immediately)
Does 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)? '
,,,. Does the client or related party have any financial or other associabon/ interactions r yes F No
" within high risk counties?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
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I
J. Uncisclosed Principal Form Complete (Intermediaries Only) r Yes r No 17 Not Applicable
K. If Lexis/Nexis 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 Documentation:
SDNY_GM_00053585
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KYC Print Page 13 of 14
M. Case Comments
Created By Date Comments
Jacqueline 1 page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable.
3/14/2014 3:20 PM
Jghtbody The only revision was the 2nd page with the correct signers that is attached separately.
....
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2014
Paul Morris
Office Director/Business Head: Brian M. Biggar (Signature) 2/24/2014
Brian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill o/b/o Janice Franklin Gwen Hill o/b/o Janice Franklin 3/14/2019
Jacqueline Lightbody Jacqueline Lightbody 3/14/2014
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)
SDNY_GM_00053586
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit) DB-SONY-0016410
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KYC Print Page 14 of 14
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 Proftssionalsl(I) (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 CEP. 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 ofmy 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 aU 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.
VA
Deutsche Bank Americas New York
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