EFTA01295568.pdf

KYC Print Page 1 of 13
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01345935 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL FtELATIONSHIP:00000.463290 Booking Center: New York
Relationship Manager: Paul Moms
r
New PWM Relationship I 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:
F. Client Referral I r RM Prospect I r Intermediary/FIM I r 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 personally has known client,
the RM personally known etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. LSJE was established for
the client? purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No
business purpose.
r
YeS I F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduttion (If Yes, descnbe).
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Accounts)
1 F LSJE, LLC 2/17/2015
2 F LSJE, LC 2/17/2015
Who Is the pnmary ontact
person for the RM? (Note: Preferred method of
This person needs to have Darren Indylce contact(indicate phone
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
accounts.):
SDNY_GM_00056725
Intps://dbforeepb.my.salesforce.c tAkisPIDENTIK0L130000000D9Di&ei... 7/3/2015
CONFIDENTIAL — PUR SUANT TOFED. R . ReP. te) ' DB-SDNY-00 19549
EFTA (H) 167295
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: LS)E, LLC I Acct Number Of evailablell
Accoun tManager: 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 daily expenses associated with running one of Jeffrey Epstein's private homes.
Indicate from where the assets are expected to arrive?
I; DB Group: Same Booking Center (indicate account number): Deutsche Bank
F
DS Group: Other Booking Center (indicate 013 location and account details):
Other Institution — (Indicate name & location):
F
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 10-20 inflows and outlays per month ranging from $10,000 to $100,000
What is the expected volume of assets and currency for 250000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 250000 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 Sett or of siltimate Signatory _imitecFnancial Significant
Entityof Source Holder OwnerTrust / Beneficekor Full 'OA IntermediaryShareholder
of Wealth Founder of Owner POA (FIM) (>=25%)
required "ounclabon Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
this account %) oartes)
1 F F LS3E, LLC F F F F F F F
2 F F Darren indyke F F F F F F F
3 F F Jeffrey Epstein F F F F F F F
SDNY_GM_00056726
Imps://dbforcepb.my.salesforeeribasPIDIENTIK0LN30000000D9Di&ei... 7/3/2015
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2. Account Ownership Summary
Account Name: LSJE, LLC 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)? Money Market account. To hold funds and earn interest
indicate from where the assets are expected to arrive?
F O13 Group: Same Booking Center (indicate account number): DB
F DB Group: Other Booking Center (indicate O13 location and account details):
F Other Insbtubon — (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 1-3 inflows and outflows per month ranging from $10,000 to $100,000
What is the expected volume of assets and currency for 250000 Currency USD
the account approx. 90 days after opening?
What Is the expected volume of assets and currency for 250000 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/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settior of _Iltimate Signatory _imitedflnancial ignificant
Entityof Source Holder OwnerTrust / Beneficialdr Full POA Intermedia hareholder
of Wealth Founder of Owner POA (FIM) >-25%)
required Foundation -PIC Other (please
ttty describe other roles
indicate and/or indicate
p ities related to ership relationship between
is account o) parties)
1 F F LSJE, LLC F F F F F F F
r r r r
2 Darren Indyke r F F F r
3 F F Jeffrey Epstein F F F F F F F
SDNY_GM_00056727
littps://dbforeepb.my.salesforeerkisPletENTIK0LN30000000D9Di&ei.. . 7/3/2015
CONFIDENTIAL - PUR SU ANT TOFED. R. IWP. ' DB-SDNY-0019551
EFTA_0016 7297
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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 Citizenship: USA
Address of primary Little Saint James Saint Thomas 00802 US Virgin Island
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348
Current Employer: Southern Financial LLC Positionifide/Ftank: President
Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802
F 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 Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Morris r F r 1/20/2015
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:
35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
r; 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 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, 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, which merged into Southern Financial LLC. Al 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
10000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM
($):
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($):
SDNY_GM_00056728
Intps://dbforeepb.my.salesforeecVNIOPIDENormtn0000000D9Di&ei.. . 7/3/2015
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Other Known Financial Institutions:
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 330,000,000.00
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_00056729
https://dbforcepb.my.salesfoRrc.ev.camA entIOEWiled-N 30000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0019553
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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 - 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 / SSN: 098-54-8596
Current Employer: Southern Financial LLC Posibon/Trde/Rank:
Address of employer: 575 Lexington Avenue, 4th A Livingston NY USA 10022
I- 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 Fan* or Fnendstv, 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,desenbe)
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 F.
r 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 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):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(g):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY_GM_00056730
littps://dbforcepb.my.salesforceR. A kisPlEettpA0LN30000000D9Di&ei.. . 7/3/2015
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EFTA_00I 67300
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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_00056731
Imps://dbforcepb.my.salesforce.crOPEpplopp 14/0L130000000D9Di&ei... 7/3/2015
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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: LSJE, LLC - 00000499733
r r F Private Investment
Foundation/Association Trust F Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
F Estate r Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 10/27/2011
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/EIN: 66-077615
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocatil ty,settior and beneficianes,etc.:
LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued.
Please indicate how ownership of the legal entity is reflected: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member.
He owns 100% of the 100 shares issued.
F Special attention: Bearer Shares • Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). LSJE is a single member
LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued.
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 r No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
LSJE, LLC was established for purposes of maintaining payroll and maintenance
Nature of the business:
related expenses of Jeffrey Epstein's private residence. No business purpose.
Countries where business is transacted: USA
Number of employees: 1
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/hatalibes):
Funds from Jeffrey Epstein. LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey
Epstein's private residence. No business purpose.
Estimated gross receipts p.a.($):
Estimated net profit p.a. (5):
Estimated investable assets (5): $2 MM - 5 MM
Potential Amount to be invested with MITI ($): 500,000.00
Other Known Financial Institutions:
Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 330,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00056732
Intps://dbforeepb.my.salesforee e eNbasPIDsoppepz30000000D9Di&ei... 7/3/2015
CONFIDENTIAL - PUR SU ANT TO FED. R. IWP. DB-SONY-0019556
EFTA_00I 67302
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•
SDNY_GM_00056733
http://dbforcepb.my.salesforce.eA Wile& N 30000000D9Di&ei..• 7/3/2015
CONFIDENTIAL — PURSUANT TO FED. R.VRIWitr ire DB-SDNY-0019557
EFTA_00167303
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
.0e.l3a tionship Name SOUTHERN FINANCIAL RELATIONSHIP
lung Center F NY F NY/Offshore F Offshore s r- e rioderate F High Risk Yoonsun Chung
(Compliance Signature)
DI3 Employee F DB Managed PIC 7 DO 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
7 Yes F No
B. searches is attached
C. Please indicate the results of the database searches performed
RDC searches complete r Yes F No negative results found r yes F No
KR checks complete F Yes F No negative results found r Yes F No
OFAC checks complete F Yes r No negative results found F Yes F No
8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes r-
D&B) r No negative results found F Yes F No
r r yes
Denial Orders checks complete F yes No negative results found P. No
Martindate-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: LS3E, LLC:
No negative media
No court cases
LS3E EMPLOYEES, LLC:
No negative media
No court cases
D. DARREN INDYKE:
Negative media mentions his name as an owner of a building. The negative media Is not about him individually but about the others
mentioned.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC #:01082293 & 01121718
All negative media pertains to court cases which have been previously approved in the above mentioned KYCs.
Court Cases have been closed
E. To the best of your knowledge, has the client ever been convicted of a criminal 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 Itigabon against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes F No
provide details below and contaa Quality Mgt (Lat4m/Intl) or tit Regulatory Control
Group andn otify Compliance immediately)
Does the client or related party have any financial or other association / interactions r F
yes No
G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? '
r F
H. l'eS No
Does the client or related party have any financial or other association/ interactions
SDNY_GM_00056734
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within high risk countries?
I. Corporate Documentation Attached (Legal Entitles Only) F yes F No F Not Applicable
r
J. Undisclosed Principal Form Complete (Intermediaries Only) 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_00056735
littps://dbforeepb.my.salesfoRreeceeNORETIKOL130000000D9Di&ei... 7/3/2015
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M. Case Comments
NO records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/13/2015
Paul Morns
Office Director/Business Head: Kimberly Hart (Signature) 2/13/2015
Kimberly Hart
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill Gwen Hill 2/24/2015
Yoonsun Chung Yoonsun Chung 2/24/2015
LATAM /INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
rSilTM)/Sub-Market Team Head
f4TH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
SDNY_GM_00056736
Imps://dbforeepb.my.salesforee.crkisPIDENTIK0L130000000D9Di&ei... 7/3/2015
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Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing Professionals)( 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 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 Mangers. etc.
rJ
Deutsche Bank Americas New York
SDNY_GM_00056737
https://dbforcepb.my.salesforce.caA N30000000D9Di&ei ... 7/3/2015
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