EFTA01295812.pdf

KYC Print Page I of 13
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 01469735 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:00003483290 Spotting Center: New York
Relationship Manager: Paul Morris
F 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: The account was dosed due to inactivity. To reopen the account AOG needs an updated KYC.
F F
17 Client Referral FIN Prospect F Intermediary/FIM Other Source (CIS, etc.)
How Was the Clients)
Introduced? How long has
the RM personally known Please provide details (e.g. name of referral source, how many years RM personalty has known client,
the dient? etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the bank
r
F Yes No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (/f 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)
I F Mort, Inc 11/12/2013
2 F Mort, Inc-- Money Market 11/12/2013
Who is the pnmary ontact
person for the RM? (Note: Preferred method of
This person needs to have contact(indicate phone
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
accounts.):
SDNY_GM_00057110
Imps://dbforcepb.my.salResforeectkisgviaENTIK0L130000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. ItteP. a(b) I DB-SONY-001993a
EFTA_0016 7678
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Mort, 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)? Checking account to hold assets for the company.
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
I Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 10 inflows and outflows per month ranging from $1,000 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 50000 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.
• Ahway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legal Description AccountPIC Settior of Jltmate Signatory..imitec nancial Significant
Entityof Source Holder OwnerTrust / Beneficiakir Full POA IntermediarySharehoider
of Wealth =minder of Owner POA (FIM) (>=25%)
required "oundabon Non-P1C Dther (please
entity describe other roles
(indicate and/or indicate
parties related to ryership relationship between
s account ',allies)
1 F F MOrt, Inc F F F F F F F
2 F F Jeffrey Epstein F F F F F F F
3 F F Darren Indyke F F F F F F F
SDNY_GM_00057111
Intps://dbforeepb.my.saleRsforeeceeNORDENormou30000000D9Di&ei... 1/5/2016
CONFIDENTIAL — PURSUANT TO FED. Roll:IAN ' DB-SDN-Y0019935
EFTA_00 I 67679
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2. Account Ownership Summary
Account Name: Mort, Inc -- Money Market 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 assets for the company and to 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 O8 location and account details):
17 Other Institution (Indicate name & location): JPMorgan, 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 $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 50000 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 Jltimate Signatory_imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full 0OA IntermediarySharehoider
of Weakh Founder of Owner POA (FIM) 0.25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
artier related to ownership relationship between
(:si account %) 'attics)
1 F F Mort, Inc F F r r r r r
2 r F Jeffrey Epstein r r F F F r r
3 F F Darren Indyke F F F F F F F
SDNY_GM_00051112
Intps://dbforeepb.my.salesforeeRc r 4k4sPIDENTIKOLN30000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PUR SU ANT TO FED. ItoePAN DB-SONY-0019936
EFTA_00167680
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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/Tide/Rank: President
Address of employer:
Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F yes F No
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, 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 Location (specify): Date:
Business:
Paul Moms r r F 10/22/2013
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:
38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
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 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
(S):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
SDNY_GM_00057113
Intps://dbforcepb.my.salesforce.ctAkisPIDENTIK0L130000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R. %YR. B(b) I DB-SONY-0019937
EFTA_00I 67681
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Institution: Country: Est. Assets Under Mgt:
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_00057114
https://dbforcepb.my.salesforce.caA N30000000D9Di&ei..• 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R.13RIMMIDENTIAL DB-SDNY-0019938
EFTA_0O167682
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KYC Print Page 6 of B
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:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Posibonrfide/Rank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
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?(If Family or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r- yes F,
No
vat 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:
Bank Officer Name(s) Bank Office: D C o li m en ic t i P le r : i vate o C f l B ie u n s t i n P e la s c s e : 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:
38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did senior 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_00057115
Imps://dbforcepb.my.salesforce.crkisPIDENTIK0L130000000D9Di&ei ... 1/5/2016
CONFIDENTIAL - PUR SU ANT TOFED. R. %els. B(b) I DB-SDNY-00 19939
EFTA_00 167683
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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_000571i6
littps://dbforcepb.my.salesFfEoDre. eRctAlbasPIDENTIK0L130000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO ItoeP. BM I DB-SD -00 19940
EFTA_00167684
EFTA01295818

KYC Print Page 8 of 13
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: Mort, Inc - 00000487266
r Foundation/Association r Trust 17 Company F r Private Investment
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 USVI 4/12/2011
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/E1N:
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,settlor and beneficianes,etc.:
Corporation with 1000 issued. AO issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and
owner.
Please indicate how ownership of the legal entity is reflected:
r
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).
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
Investment holding company. A private company that is used to hold investemenM
Nature of the business:
that the sole owner, Jeffrey, would like to keep separate from other investments
Countries where business is transacted: USVI
Number of employees: 2
3D. Wealth Profile (Only for parte 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):
Capital contnbution of 51000 from Jeffrey Epstein
Estimated gross receipts p.a.(5):
Estimated net profit p.a. ($):
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PWM (5): 100,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 100,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00051117
Imps://dbforcepb.my.salesforeetAkisgvlESNoTIK0L130000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R. ReP.a(b) I DB-SDNY-0019941
EFTA_00I 67685
EFTA01295819

KYC Print Page 9 of 13
SDNY_GM_00057118
http//dbforcepb.my.salesforce.aA N30000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. RIBRIWFWIDEWilekt DB-SDNY-0019942
Erl'A_00167686
EFTA01295820

KYC Print Page 10 of 13
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
.pealoa tionship Name (SOUTHERN FINANCIAL RELATIONSHIP
king Center F NY F NY/Offshore F Offshore ar-k moderate I r - r: High Risk Gwen Hill
(Compliance Signature)
F 08 Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other
Checklist of names (indivpluals and/or entities) that were submitted for database Yes
E. F F No
searches b attached
C. Please indicate the results of the database searches performed
r-
RDC searches complete r Yes ENO negative results found Yes F No
KR checks complete r Yes F No negative results found F Yes r No
No
OFAC checks complete F Yes F No negative results found F Yes F
r
D BI & S B s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes No negative results found r Yes F No
r r yes RI No
Denial Orders checks complete 17 Yes No negative results found
Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes F No
Please summarize any negative resuks from the database searches indicated above: DARREN INDYKE:
KYC approved in case * 1133377
Negative media: only references Darren briefly as a lawyer who helped subdivided a townhouse.
JEFFREY Evsi tIN:
KYC Approved and all pertaining documents In case #:1121718 and 01082293. In the attached legal proceedings, one is a false positive
D
' for Jeffrey S. Epstein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing
correspondence from a previous trial that was addressed in previous KYCs.
MORT INC:
All negative media does not pertain to our client
All court cases do not pertain to our client
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
r
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, Yes F No
provide details below and contact Quality Mgt (LatAm/Intl)or the Regtiatory Control
Group and noOly Compliance immediately)
Dot the client or related party have any financial or other association / interactions
"GI. wan countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes F No
H. Does the client or related party have any financial or other association/ interactions r
yes i No
wan high risk counties?
r r
I. Corporate Documentation Attached (Legal Entities Only) 1.7 Yes No Not Applicable
SDNY_GM_00057119
Imps://dbforeepb.my.salesforeecrasPIESNoTIK0L130000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R. ItoeP. I'M I DB-SONY-0019943
EFTA_00I 67687
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KYC Print Page 11 of 13
J. Undisclosed Principal Form Complete (Intermedianes 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_00057120
https://dbforcepb.my.salesforce.ceA N30000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. RIBRIatI DEN°1181/41- DB-SDNY-0019944
EFTA_00167688
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KYC Print Page 12 of 13
M. Case Comments
/So records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 10/5/2015
Paul Morns
Office Director/Business Head: Andrew F Gallivan (Signature) 10/5/2015
Andrew F Gallrvan
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Dimitra Manley Dimitra Manley 10/5/2015
Gwen Hill Gwen Hill 10/5/2015
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY AtTATEMENT: Deutsche Bank Private Wealth
SDNY_GM_00057121
Intps://dbforcepb.iny.salesforeerNIORDENTIKOL130000000D9Di&ei ... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R. Wis. a(b) ' DB-SDNY-00 19945
EFTA_O0 I 67689
EFTA01295823

KYC Print Page 13 of 13
Management (PWM) worldwide is committed top rofessionally serve the interests ofi ts clients. To do so,
Client Facing Professionals)( I) (CFP's) should establish andm aintain business relationships only with
persons who satisfy our high standards ofs uitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to
demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofm y knowledge and belieft he
above information is correct and up to date. I confirm that I have no suspicions relating to the money
laundering or unethical activities on the part of the client(s) and that I have followeda ll the procedures
relating to account opening as described in the PWM Americas Procedures and the PWM GlobalK YC
Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers, Client Managers. etc.
rJ
Deutsche Bank Americas New York
SDNY_GISt00057122
http/bforcepb.my.salesforce.aA N30000000D9Di&ei... 1/5/2016
CONFIDENTIAL - PURSUANT TO FED. R.13-RarI DENTIAL DB-SDNY-0019946
EFTA_00167690
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