EFTA01294937.pdf

KYC Print Page 1 of 14
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 01195153 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 k 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 approved KYC 01135524 to add Darren Indyke as an authorized signer. Darren has been
approved in KYC # 1133377
IF
r Client Referral I ri RM Prospect Intermediary/FIM I r Other Source (CIB, etc.)
How Was the atent(s)
Introduced? Row 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 detail 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 inlorgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
r-
r Y es No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction at yes, descnbe):
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 Neptune LLC 10/16/2013
2 F Neptu e LLC -- Money Market 10/16/2013
Who i the primary contact
perso for the RM? (Note: Preferred method of
This person needs to have Harry Geller contact(indicate phone
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
amounts.):
SDNY_Gt.4_00053569
Imps://na4.salesforce.com/servle frittpriErlfrpACE/D9Diaceid=500600... 3/21/2014
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016412
EFTA_00164169
EFTA01294937

KYC Print Page 2 of 14
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Neptune LLC Acct Number (Ifa 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 used for the daily needs of running Jeffrey Epstein's home in NYC.
Indicate from where the assets are expected to arrive?
7 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
7 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 r nging from $,1000 to $10,000
%That 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 10000 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).
..egal notion AccountPIC Settler of Jltmate Signatory _imitecFnancial Significant
Enti f Source Holder OwnerTrust / Beneficiabr Full 'OA IntermediarySharehoider
Wealth =ounder of Owner POA (FIM) (>=25%)
equired •:ouridation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
r ies related to ownership relationship between
isaccount %) oarties)
1 F F nepoine, LLC F 7 7 7 7 7 7
2 7 F Jeffrey Epstein 7 7 7 F F 7 7
3 7 7 Harry Beller 7 7 7 7 F 7 7
4 F 7 Darren Indyke 7 7 7 7 F F F
t SDNY_GM_00053589
lut s://na4 PleE/41 9Ik OD9Di&eid=500600... 3/21/2014
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit) DB-SDNY-00 16413
EFTA 00164170
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KYC Print Page 3 of 14
2. Account Ownership Summary
Account Name: Neptune LLC -- Money Market Acct Number (if avarlab.ee)
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 to hold funds necessary to run the costs associated with Jeffrey Epstein's NYC home
Indicate from where the assets are expected to arrive?
F DI3 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate O13 location and account details):
F Other Institution (Indicate name & location): JPMorgan. NYC
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 $1,000 to $10,000
What is the expected volume of assets and currency for Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 10,000 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 tither column.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settfor of Jltimate Signatory_imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K> -25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p ities related to ownership relationship between
is account %) Jetties)
1 F F Neptune, LLC F F F F F F F
2 F F F r
Jeffrey Epstein F F F F r
3 F F Harry Beller F F F F F F F
4 F F Darren Indyke F F F F F F F
SDNY_GM_00053590
p Etnr apAED9Di&eid=500600.. .
hus://na4 Iip: 3/21/2014
CONFIDENTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Filb) l'-' DB-SDNY-0016414
EFTA 00164171
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KYC Print Page 4 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: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Otizenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer:
F Yes F 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?(if Family a- Friendship, 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,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 9/13/2013
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:
35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
f; Business Owner F Salary/Eamings 7 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 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 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): $50 MM - 100 MM
a):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
SDNY GM_00053591
haps://na4.salesforce.com/servle AtrIBEWITTACE0D0Di&eid=500600... 3/-21/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016415
EFTA_00164172
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Institution: 3Ptiorgan Country: USA Est. Assets Under Mgt: 200,000,000.00
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_00053592
https://na4.salesforce.com/servlet IDEN•1914t0 D9Di&eid=500600 . 3/21/2014
CONFIDENTIAL — PURSUANT TO FED. R. Att DB-SONY-0016416
EFTA_00I64I73
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KYC Print Page 6 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: Harry Beller - 00000487202 Date of Birth: 5/9/1956
Country of Residence: USA Country of Citizenship: USA
Address of primary 12 Golar Drive Monsey NY 10952 USA
residence:
Profession/Occupation: Accountant Tax ID / SSN: 081-52-0727
Current Employer: HBRK Associates Position/Tide/Rank:
Address of employer:
F Yes F 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- Fnendsttp, 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:
Oient Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r F 9/13/2013
r r
F
F r r
F 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 descripbon as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gills
Summarize Source of Wealth:
F 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(g):
Other Known Financial Institutions:
Institution: I Country: I I Est. Assets Under Mgt:
SDNY_GM_00053593
lut s://na4 P PIDENTPAL0 D9Di&eid=500600... 3/21/2014
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm /FsEeDre.lRet. DB-SONY-0016417
EFTA 00164174
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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_00053594
https://na4.salesforce.com/servlet lirjEWRACL0D9Di&eid=500600 . 3/21/2014
CONFIDENTIAL-PURSUANT TO FED. R. DB-SONY-0016418
EFTA_00164175
EFTA01294943

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 - 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 / 55N: 098-54-8596
Current Employer: Southern Financial LLC Posibon/Title/Ftank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe)
To the best of your know'edge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Famdy a- Freactstvp, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes i—
t*" 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
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:
F Cther:
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 vealth?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):
($):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I Country: I I Est. Assets Under Mgt:
SDNY GM_00053595
hups://na4.salesforce.com/servlet rittriBEWiribett0D9Di&eid=500600... 3/-21/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016419
EFTA 00164176
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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_00053596
Imps://na4.salesforce.com/servle AttleElnAt0D9Di&eid=500600... 3/-21/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-00 16420
EFTA 00164177
EFTA01294945

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: Neptune, LLC - 00000487264
r r F Private Investment
Foundation/Association Trust P. Company r
Type of Entity: Purpose of Entity: Philanthropic/Charitable
F Estate F Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 12/21/2011
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI U.S. T1N/EIN: 4S-4093384
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabil ty,setUor and beneflaanes,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Please indicate how ownership of the legal entity is reflected:
F Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (,fn ot 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 F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
This LLC was formed to hold the funds necessary to cover the costs and taxes
Nature of the business:
associated With running Jeffrey Epstein's NYC home
Countries where business is transacted: USA
Number of employees: 1
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):
This LLC is funded my contributions made by Jeffrey Epstein.
Estimated gross receipts p.a.(;):
Estimated net profit p.a. (5):
Estimated investable asses (5): <$1 MM
Potential Amount to be invested with PWT4 (5): 20,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 20,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
tic iEwripActoD,Di&eid=500600..S. DNY GM_00053597
hups://na4.salesforce.com/servlet 3/-21/2014
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016421
EFTA 00164178
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
.0e.i3a tionsnip Name (SOUTHERN FINANCIAL RELATIONSHIP
i—
long Center F NY 7 NY/Offshore F Offshore s k Moderate F High Risk Jacqueline Lightbody
(Compliance Signature)
DB Employee F DB Managed PIC F 08 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 (indivKluals and/or entities) that were submitted for database
F Yes F No
B. searches *attached
C. Please indicate the results of the database searches performed
RDC searches complete 7 yes r No negative results found F resF No
KR checks complete 7 Yes F*0 negative results found r Yes F No
OFAC checks complete F Yes F No negative results found r yes F No
r-
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes No
D&B) 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) r Yes 7 No negative results found F Yes F No
Please summarize any negative resuks from the database searches indicated above: DMREN INDYKE
KYC approved in case * 1133377
NEPTUNE LLC:
See attached AML Clearance — The RDC alert was a false hit
Negative Media: All negative media is not our client. All negative media either predates our clients formation (2011) or is another LLC.
Our Neptune LLC is a single member LLC that runs the operations of a home
D.
JEFFREY EPSTEIN:
See KYC *01082293 and 001121718 for previous KYC approval and all pertaining documents
HARRY BELLER:
Negative Media: Not our client All negative media pertains to an environmental microbiologist. Our dient is an accountant
Court Cases:
#1: Disposed in 1987
All other cases are not our client. The other court cases refer to a Dr. Harty Beller. Our client Is an accountant
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 7 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
r
F. threatening Itigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, Yes F No
provide details below and contact Quality Mgt (LatAm/Inti) or tole Regclatory Control
Grow and notify Compliance immediately)
the client or related party have any financial or other association / interactions
F Yes F No
'C'''' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
H. F Yes F No
Does the client or related party have any financial or other association/ interactions
within high risk counbies?
SDNY_GM_00053598
pii riEwb ektoD,Di&eid=500600...
hu e 3/2 1 /20 14
CONFIDENTs:IA//nLa - 4P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Atb) ' DB-SDNY-00 16422
EFTA 00(64(79
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KYC Print Page 12 of 14
r
I. Corporate Documentation Attached (Legal Entitles Only) F Yes F No Not Applicable
J. Undisclosed Principal Form Complete (intermediaries Only) r Yes r No F 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_00053599
PID EN AITt
htt s://na4 0D9Di&eid=500600... 3/21/2014
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit DB-SONY-00 16423
EFTA_00164180
EFTA01294948

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 3:00 PM
Lightbody 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 Manages: (Signature)
Global Market Team Head (Signature)
(GHTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
SDNY_GM_00053600
htt s://na4 e e 0D9Di&eid=500600... 3/21/2014
FliBEIVTAL
CONFIDENpTIAL - P.sUalReSsfUoArcNeT.c ToOm F/sEeDrv.lRe . Fit) DB-SONY-0016424
EFTA 00164181
EFTA01294949

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 Professionalsl(1) (CFP'N) should establish and maintain business relationships only with
persons who satisfy our high standards qrsuitability, 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 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
(1) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
Deutsche Bank Americas New York
b) SDNY_GM_00053601
pliRE-Nr ytektomisceid=500600...
littps://na4.salesforce.com/servle 3/21/2014
CONFIDENTIAL - PURSUANT TO FED_ R. ( DB-SDNY-0016425
EFTA_00164182
EFTA01294950