EFTA01294969.pdf

KYC Print Page 1 of 17
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01195134 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: I New York
Relationship Manager: Paul Morris
r New PWM Relationship lii 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 0112188t. Update is ONLY to add Darren Indyke as an authorized signer.
Darren has been approved in KYC * 1133377
E Client Referral R RM Prospect F Intermediary/ElM F Other Source (CIB, etc.)
How Was the memo)
Introduced? Row 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 acurrent 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 white 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
Yes F No
Does Deutsche Bantle pay a r
retrocession or similar
compensation to a third
party for the introduction (/f Yes, descnbc9:
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 Jeepers Inc 9/18/2013
2 F Jeepers Inc 9/18/2013
Who i the primary contact
perso for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indicate phone
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
accounts.):
m.)
SDNY_GM_00053620
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EFTA_00164201
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KYC Print Page 2 of 17
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Jeepers Inc Acct Number Of available).
Account Manager: Paul Mods
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checking account for Jeepers Inc daily liquidity needs.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Cent (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan Chase. New York, NY
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 5-10 inflows and outflows per month ranging from 51,000 to $10,000
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 50,000 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 "Other column.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal notion AccoureIC Settler of Jltimate Signatory-imitecFnancial Significant
Sib f Source Holder OwnerTrust / Beneficialor Full POA IntermediarySharehoider
Weakh =ounder of Owner POA (FIM) K>=25%)
equired l'ouridabon Non-P1C Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) oarties)
1 F F Jeepers, Inc F F F F F F F
2 F F Jeffrey Epstein F F F F F F F
3 F F Harry Beller F F F F F F F
4 F F Jeanne Brennan F F F F F F F
S F F Darren Indyke F F F F F F F
nb) i. _ SDNY_GM_00053621
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2. Account Ownership Summary
Account Name: ieepers Inc 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)? Money Market account to hold Jeepers Inc's cash.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DO Group: Other Booking Center (indicate DB location and account details):
F Other Insbtubon (Indicate name & location): JPIdorgan Chase. New York, NY
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 1-2 inflows and outflows per month ranging from $1,000-$10,000
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 150,000 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.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Setttor of Jftimate Signatory _imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakw Full °OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K> =25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
rities related to ownership relationship between
s account %) oartes)
1 F F Jeepers, Inc F F F F F F r
2 r F Jeffrey Epstein F F F F F f F
3 F F Harry Beller F F F F F F F
4 F F Jeanne Brennan F F F F F F F
s F F Darren Indyke F F F F F F F
SDNY_GM_00053622
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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 Otizenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed I Tax ID / SSN:
Current Employer: Position/Tide/Rank: President
Address of employer:
1- 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 08 F Family F Friendship F None
group?(if Family or Fnendship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r—
i 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:
Gent Private Client Place
Bank Officer Name(s) Bank Office: Domicile: ef Business: Other Location (specify): Date:
Paul Moms r r F 8/7/2013
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:
35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
(; 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): $50 MM - 100 MM
CS):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Ate) SDNY_GM_00053623
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CONFIDENTIAL — P.sUaRleSsUfoArcNeT.c ToOm F/sEeDry.lRet. DB-SONY-0016447
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Institution: )PMorgan Chase Country: USA Est. Assets Under Mgt: 20,000,000.00
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.): Single
SDNY_GM_00053624
https://na4.salesforce.com/servle e e FIDENTIAt0 D9Di&eid=500600... 4/10/2014
CONFIDENTIAL — PURSUANT TO FED. R. DB-SONY-0016448
EFTA_00I 64205
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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 - 00000487202 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:
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, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r— yes '—
Iv 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
Paul Moms fv r 10/21/2013
F 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:
r- 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 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:
Ate).. _, SDNY_GM_00053625
hups://na4.salesforce.com/serylet RififfEtrrIACL0D9Di&eid=500600... 4/10/2014
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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.):
At) i -- SDNY_GM_00053626
https://na4.salesforce.com/seryle PliFnyElepAt0D9Di&eid=500600... 4/10/2014
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EFTA_00 164207
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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: Jeanne Brennan - 00000487647 Date of Birth:
Country of Residence: USVI Country of Citizenship: USVI
Address of primary
residence:
Profession/Occupation: Anance Tax ID / SSN:
Current Employer: Position/Tide/Rank:
Address of employer:
r-
Yes F No
Is the individual a PoliticallyExposed 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- From/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:
Gent PrivateLlient Place
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
• Business:
r r r
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:
35. Wealth Details (Only for parte 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 Inheritance/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 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(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_0005.3627
hups://na4.salesforce.com/servle r treEeeACED9Di&eid=500600... 4/-10/2014
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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.):
AriciEwitiptktoD,Di&eid=500600..S. DNY GM_00053628
https://na4.salesforce.com/servlet 4/-10/2014
CONFIDENTIAL - PURSUANT TO FED. R. DS-SONY-0016452
EFTA_00 164209
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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: Darren Indyke - 0001)0486405 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/ride/Rank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
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 or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes i—
lv 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 Other Location (specify): Date:
Businez:
r r r
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:
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 F Investment F Inheritance/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 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(S):
(5):
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_00053629
lut s://na4 PIDENTIAt0 D9Di&eid=500600... 4/0/2014
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDre.lRe . Fit) DB-1 -0001 166445533
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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.):
E SDNY_GM_00053630
prf1f1wi f itpActoD9Di&eid=500600...
CONFhIDtt ENTIA-PLURSUANTT OF ED.R. D4S/1-0S/2O0N14Y -0016454
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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: lepers, Inc - 00000486423
F private Investment
r r
Foundation/Association Trust 117 Company r
Type of Entity: Purpose of Entity: Philanthropic/Charilabie
r Estate r Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States VIrgin Island 8/18/2003
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 66-0629193
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 benelicianes,etc.:
Jeffrey Epstein is the sole shareholder of Jeepers Inc
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 (if 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 F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Jeepers Inc is a private company that holds investments of its owner, Jeffrey
Nature of the business:
Epstein.
Countries where business is transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for parties 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):
Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no
par value. Its revenue comes from the gains of the in estments it holds.
Estimated gross receipts p.a.($): 400,000.00
Estimated net profit p.a. ($): 200,000.00
Estimated investable assets ($): $20 MM - 50 MM
Potential Amount to be invested with PWM ($): 200,000.00
Other Known Financial Institutions:
Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053631
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CONFIDENTs:I/A/nLa —4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Ate) DB- -0001166445555
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•
ntpDEtnitACEM9Diateid=500600...
SDNY_Ght000.53632
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY r- NY/Offshore F Offshore F Moderate F High Risk Gwen Hill
Risk
(Compliance Signature)
DB Employee F DB Managed PIC F D8 is Trustee/Co-Trustee F Bearer Shares
F
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 r No negative results found r Yes F No
KR checks complete F Yes F No negative results found F Yes F NO
OFAC checks complete F Yes F No negative results found r yes F NO
8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r•-•
D&B) iv yes r No negative results found F Yes F No
r r yes P-
Denial Orders checks complete 17 yes No negative results found No
Martindale-Hubbell searched (Lawyers/Law Firms only) r yes F No negative results found F Yes r— No
Please summarize any negative results from the database searches indicated above: DMREN INDYKE:
KYC approved in case 4 1133377
HARRY BELLER:
KYC approved in case 401133624
JEANNE BRENNAN:
No Negative Media
D No Court Cases
JEFFREY EPSTEIN:
Jeffrey was approved in KYC #01082293
His PCR/RDC alerts and clearances and all documentation is contained in the above mentioned KYC
JEEPERS, INC
No Negative Media
All court cases are not our cheat. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our client is based in the US
Virgin Islands
E. To the best of your knovAedge, has toe client ever been convicted of a criminal offense? F Yes F No
To the beg of your knovAedge, 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 re4. r Yes F No
provide details below and contact Quahry Mgt (Lea-Winn)°, the Regulatory Control
Croup and notify Compliance immediately)
er Does the client or related party have any financial or other association / interactions r- F No
Yes
.".. wan countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? '
EN L SDNY_GM_00053633
htt s://na4.salesforce.com/sen e F) IB TPA 0D9Di&eid=500600... 4/10/2014
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Does the client or related party have any financial or other association! interactions
H. witNn Ngh risk countries? r yes Fro No
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
F
J. Undisclosed Principal Form Complete (Intermediaries Only) 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
summary of the nature/contents of the non-English Documentation:
t SDNY_GM_00053634
htt s://na4 e e PIDEITR A 0D9Di&eid=500600... 4/10/2014
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRe . X) DB- -0001 166445588
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M. Case Comments
Created By Date Comments
This update KYC did not have an effect on client's risk rating therefore no new risk calculator was
Janice Franklin 3/26/2014 2:25 PM
cured. See document respository for previously prepared risk calculator under client's gciste.
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
Bnan M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Janice Franklin Janice Franklin 3/26/2019
Gwen Hill Gwen Hill 3/26/2019
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_00053635
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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 Proftssionalsl(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 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 (CFPW include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
Dented's Bank Americas New York
SDNY_GM_00053636
hups://na4.salesforce.com/servle nriEjEllrtfACEM9Diateid=500600... 4/10/2014
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016460
EFTA_00164217
EFTA01294985