EFTA01298740.pdf

KYC Print Page 1 of 23
DB PWM GLOBAL KYC/NCA: PART A
KYC Case * Status : 6. Approved
One sheet must be established per relationshi - list all accounts included in the relationshi
I. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELAllONSHIP:00000483290 Booking Center: New York
Relationship Manager: Stewart Oldfield
Li RI
New PWM Relationship Existing PWM Relationship
Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile: "* 2018 Periodic Review ***
Last Approved KYC e - LSJE LLC - 1790820; Southern Financial LLC - 1790655
RI U EJ
Client Referral RM Prospect 0 Intermediary/FIM Other Source (C18, etc.)
How Was the Client(s)
Introduced? How long
has the RM personally Please provide details (e.g. name of referral source, how many years RM personalty has known client,
known the dient? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this
relationship..
LI
Does Deutsche Bank pay Yes No
a retrocession or similar Li)
compensation to a third
patty for the introduction (If Yes, desalbel
of this relationship?
List all existing and new account Involved In this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
pj ism 'lc -
1 2/25/2015
2 Southern Financial LLC 2/27/2017
3 f. Southern Financial LLC - 8/26/2013
Who is the primary
PcoMn?ta ct person for the Preferred method of
(Note: This person Darren K. Indyke contact(indicate phone
needs to have signatory no., fax no., e-mail
rights and/or information address, etc.):
right for the accounts.):
SDNY_GM_00063924
N30000000D9Di&... 10/26/2018
Intps://dbforcepb.my.salesforce.c‘4171,PWIDIEWRAt
CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026749
EFTA_OOI 74430
EFTA01298740

K YC Print Page 2 of 23
One sheet must be established for each account to be opened
2. Account Ownership Summary
1,:ct. Number (if
Account Name: LSJE 11C
adatVey.
Account Manager: Stewart (Weld
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? The purpose of the account is to manage the monthly expenses of the company.
Indicate from where the assets are expected to arrive?
g6 DB Group: Same Booking Center (indicate account number): Existing
0 DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution — (Indicate name & location):
El Physical Deposes (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)?: 10.15/month; $100 - $ 350K
What is the expected volume of assets and currency for the 255,287.52 'Currency I LSD
account approx. 90 days after opening?
What is the expected volume of assets and currency for the 255,287.52 'Currency
account approx. one year after opening? I USD
Does/will the client have Assets Under Management (AuM) 0 yes EZ No
within DB under Eur. 3M?
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.
• Always describe the relationship between the parties in the last column.
• Please dell down to the ultimate/underlying Beneficial Owner(s .
_egal Description Account 'IC Settler of Jitimate SignatoryLimited Financial Significant
Enotyof Source Molder ownerTrust / Beneficial or Full 'OA ntermediary Shareholder
of Wealth Founder of Owner POA FIM) :>=25%) Other (please
required Foundation Yon-PIC describe other
entity oies and/or
;Indicate ndicate
parties related to ownership relationship
Ibis account %) 3etween parties)
I P) EA ISJE, 11C 1-41 [.1 [ 1 El i j [1 El
2 ' RI Jeffrey E. Epstein crj n n gel ,1q; El Ell 100 Sole Member;
3 r [1 Darren K. Indyke ( Li 1.1 r LV. _I n n
SDNY_GM_00063925
Intps://dbforcepb.my.sales N30000000D9Di&... 10/26/2018
force.c‘ ThraVIDENT, At
CONFIDENTIAL - PURSUANT TO FED. R. . . ( ) DB-SDNY-0026750
EFTA_OOI 74431
EFTA01298741

KYC Print Page 3 of 23
2. Account Ownership Summary
Acct. Number U
Account Name: Southern Flume! LLC 77000957
available):
Account Manager: Stewart Oldfield
what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? The purpose of this account is to manage the daily expenses of the company.
Indicate from where the assets are expected to amve?
66 DB Group: Same Booking Center (indicate account number): Existing
O
DB Group: Other Booking Center (indicate DB location and account details):
F3
Other Institution - (Indicate name & location):
i..J 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)?: 0-3/month; $500 .$1000000
What Is the expected volume of assets and currency for the 1,535,257.07 !Currency
account approx. 90 days after opening? I USD
What is the expected volume of assets and currency for the 1,535,257.07 'Currency
account approx. one year after opening? I USD
Does/will the client have Assets Under Management (AuM) O Yes R No
within DB under Eur. 3M?
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.
• Always descnbe the relationship between the parties in the last column.
• Please drill down to the ultintate/undedying Beneficial Owner(s .
_egal Description Account PIC Settlor of Jlbmate Signatoryiimpted Financial Significant
cinbtyof Source Holder OwnerTrust / 3eneficial x Full ?OA ntermediaryShareholder
of Wealth Founder of Owner POA (FIM) (>.•25%) Other (please
required Foundation Non-PIC describe other
entity tiles and/or
indicate ndcate
Partes related to iwnership 'elationship
his account Ye) Setween parties)
1 L.71 R] F S in o a u n th c e ia r l n L LC Li FJ O R O
FA Ez
2 .--' Jeffrey E. Epstein r i [1,1 R11 E.1 L 1
Jean Anne
3 E n Brennan O L i Lu Wi [11 I- I
ifflebracht
4 I El Darren K. Indyke
Southern Trust
:Company Inc is
:he sole member
of Southern
Southern Trust r, f!inancial U.0 &
5 CFA o El El 0
Company, Inc. Jeffrey Epstein is
the sole
shareholder of
Southern Trust
7.m n Inc;
SDNY_GM_00063926
littps://dbforcepb.my.salesforce.ocemetwvieEttprt 30000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. IWFI.a(b) I DB-SDNY-0026751
EFTA_00I 74432
EFTA01298742

KYC Print Page 4 of 23
SDNY_GM_00063927
littps://dbforcepb.my.salesforce.cSM IAOL30000000D9Di8c... 10/26/2018
IDENT
CONFIDENTIAL - PURSUANT TO FED. R. Cpl/ DB-SDNY-0026752
EFTA_00174433
EFTA01298743

KYC Print Page 5 of 23
2. Account Ownership Summary
Acct. Number (it
Account Name: Southern Rnancial LLC -
available):
Account Manager: Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? The purpose of this account is to invest long term with the bank.
Indicate from where the assets are expected to amve?
E. DB Group: Same Booking Center (indicate account number): Existing
0 DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution - (Indicate name & location):
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)?: 25.35/month; $0 - $250K
What Is the expected volume of assets and currency for the 113,764,196.27 I Currency I USD
account approx. 90 days after opening?
What is the expected volume of assets and currency for the 113,764,196.27 I Currency I USD
account approx. one year after opening?
Does/will the client have Assets Under Management (AuM) • Yes 1,4 No
within DB under Eur. 3M?
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.
• Always descnbe the relationship between the parties in the last column.
• Please drill down to the ultintate/undedying Beneficial Oviner(s .
_egal Description. Account ?IC Settlor of Jlbmate Signatory‘impted Financial Significant
Inbtyof Source Holder OwnerTrust / 3eneficial x Full POA ntermediaryShareholder
of Wealth Founder of Owner POA (FIM) (>••25%) Other (please
required Foundation Non-PIC describe other
entity 'oles and/or
;indicate ndicate
Parties related to iwnership -elationship
„his account Yo) Dehveen parties)
Southern
I Fiji Pi Financial LLC EJ 0 0
..,
2 L-.' Pi Jeffrey E. Epstein 0 Lii if71 0 0
Jean Anne
3 1-1 n Brennan 0 0 0 U WO Li 0
Wiebracht
4 L.I [A Darren K. Indyke 0
Southern Trust
Company Inc is
the sole member
of Southern
Southern Trust r, -I Financial U.0 &
g-71. q Company, Inc. D O DO Jeffrey Epstein is
the sole
shareholder of
Southern Trust
Company Inc;
SDNY_GM_00063928
littps://dbforeepb.my.salesforce.crCAMgvIDENMA0L130000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. Itota) I DB-SDNY-0026753
EFTA_OOI 74434
EFTA01298744

KYC Print Page 6 of 23
q
0 0 0
D Paul S. Barrett a Trading
6 0
Authorial:ion
Limited to
Purchases &
Sales of
Securities:
Many Beller 0 0
SDNY_GM_00063929
Illtps://dbforcepb.my.salesforce.etirgtatisgvIDEftpAOL130000000D9DiFic... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. Idol/ 64) ' DB-SDNY-0026754
EFTA_00174435
EFTA01298745

KYC Print Page 7 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Jeffrey E. Epstein - 00000483289 Date of Birth:
Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States
Has client resided outside
Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of
Address of primary U.S. nationality for 5 years or 'Ell Yes •W -- .No
residence:
mere?
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Trust Company Inc Position/Title/Rank: President
Address of employer: 6100 Red Hook Quarter 63 St. Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a D6-recognised exchange? (Not • Yes W No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Ve4 desoibe) 0 Yes O No
Connection with Prince Andrew and Bill Clinton
To the best of your knowledge, is the Individual related to an employee of the DB O Famiy O Friendship 0 None
group7(,1 Family or Fnendsivp, descfibe) N/A
To the best of your knowledge, Is the Individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes 0 No
source, supplier of goods or servIces)?(f Yes describe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
Stewart Oklfield 0 O O 6/28/2017
O • O
O • O
OWealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds? United States
Primary industry of source of Wealth/Source of
High Risk financial Institutions
Funds?
W Business Owner O Salary/Earnings W. Investment O Inheritance/Gifts
Summarize Source of Wealth:
E Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did seWor accumulate
wealth? For inheritance, how dd family accumulate wealth?For business owners, how long in business, how many employees, level of
SDNY_GM_00063930
littps://dbforcepb.my.salesforce.erbilspleENopAt130000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. IWP. kb) ' DB-SDNY-0026755
EFTA_OOI 74436
EFTA01298746

KYC Print Page 8 of 23
rofitabili ? Indicate type of business, countries of major activities, Important business partners.) Jeffrey Edward Epstein (born
s an American financier and registered sex offender in the united States. He worked at Bear Steams early in his
career and then formed his own firm, ). Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the
Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns.
In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net-
worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion
in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a
well-known client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East
Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the
name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz,
media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were
ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million.
In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer
Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake.
Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and
gets their revalue from the return of these inva-tments. Southern Trust invests in different portfolios catered to their clients and makes
their revenue based on the returns and the fees associated with managing their client's assets.
Estimated Annual Income
10,000,003D0 Estimated amount of investable assets($): $50 MM • 100 MM
5):
Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00
Other Known Financial Institutions:
Country: Est. /meets Under Mgt:
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.): N/A
SDNY_GM_00063931
littps://dbforcepb.my .salesforce.ctA tatis.gvieEttpAto0000000D9Disz... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. be a(b) I DB-SDNY-0026756
EFTA_00 174437
EFTA01298747

KYC Print Page 9 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Darren K. Inclyke - 00000486405 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
Address of primary n o a f t h io is n / a h l e it r y c f o o u r n 5 t r y y e o a f r s or 0 Yes I•., - -. No
residence:
mere?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant
Address of employer: 6100 Red Hook Quarter 63 St Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DO-recognised exchange? (Not 0 Yes E6 No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A • Yes g No
To the best of your knowledge, Is the indMdual related to an employee of the DB 0 Fame./ 0 Friendship 5 woe
grout:P(1fF amily or Fnenclsivp, despite) N/A
To the best of your knowledge, Is the individual party to a non-banking
0 Yes W No
relationship with Deutsche Bank (e.g., external legal counsel, client referral
source, supplier of goods or servkes)?(f Yescfescribe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Narne(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
,
Stewart Oldfiekl R iii i__; 12/12/2016
0 III
El 0
0
--,
....I Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Weatth/Source of
Funds?
0 0
Business Owner Salary/Earnings pInvestment 0 Inheritance/Gifts
Summarize Source of Wealth:
0 Other:
SDNY_GM_00063932
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CONFIDENTIAL - PURSUANT TO FED. R. niorP. e(e) I DB-SDNY-0026757
EFTA_00174438
EFTA01298748

KYC Print Page 10 of 23
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
profitablkty? Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets($):
(S):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
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_00063933
Intps://dbforcepb.my.salesforcesSM leppENTIAOL30000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R.CRITitn DB-SDNY-0026758
EF1'A_00174439
EFTA01298749

KYC Print Page I I of 23
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Jean Anne Brennan Wlebracht - 00000487647 Date of Birth:
Country of Residence: Virgin Islands, U.S. Country of Citizenship: Virgin Islands, u.S.
Has client resided outside
Address of primary n o a f t h io is n / a h l e it r y c f o o u r n 5 t r y y e o a f r s or O Yes • V -- i i. No
residence:
mere?
Profession/Occupation: Finance Tax ID / SSN:
Current Employer: Southern Financial LLC Posibon/Title/Rank: Finance
Address of employer: 6100 Red Hook Quarter, B3 St. Thomas Virgin WandS, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DO-recognised exchange? (Not q Yes R: No
applicable for operating entitles
R
Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A • Yes No
To the best of your knowledge, is the indimdual related to an employee of the DB O Family O Friendship RI None
group?(,fF amily or Fnendshep, descfibe) N/A
To the best of your knowledge, Is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 1:Yes EtNo
source, supplier of goods or servkes)?(if Yesdescnbe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Bank Officer Name(s) Bank Office: Private Cl B ie u n t P e la s c s e : Other Location (specify): Date:
, f sin
Domicile:
O O O
O N O
O O O
--,
[....1Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O E3 O
Business Owner Salary/Earnings O Investment Inheritance/Gifts
Summarize Source of Wealth:
O
Other:
SDNY_GM_00063934
Imps: //dbforcepbmi y .salesforce.cc irieMbeiNgvIDENopA0L130000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R. beP.1114) ' DB-SDNY-0026759
EFTA_(()I 74440
EFTA01298750

KYC Print Page 12 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settior 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 actrvities, important business partners.)
Estimated Annual Income i
Estimated amount of investable assets($):
(5):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
--I
Other Known Financial Insbtubons:
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_00063935
littps://dbforcepb.my.salesforce.cPM l efigNoTIA01±B0000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R.CRITIMI DB-SDNY-0026760
Erl'A_00174441
EFTA01298751

KYC Print Page 13 of 23
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Harry Belle - 00000487202 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided Outside
Address of pinery o na f t h io is n / a h l e it r y c f o o u r n 5 t r y y e o a f r s or O Yes 1•. ,--. . No
residence:
mere?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Title/Rank: Accountant
Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY United States 10022
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DB-recognised exchange? (Not O Yes R No
applicable for operating entities
R
Is the individual a Politically Exposed Person (PEP)?(if Yes *roily) WA • Yes No
To the best of your knowledge, Is the Individual related to an employee of the DB O Forney O Friendship 0 None
grout7(,1F amei y or Fnendshet, despite) N/A
To the best of your knowledge, is the individual party to a non-banking R
O Yes No
relationship with Deutsche Bank (e.g., external legal counsel, client referral
source, supplier of goods or senkes)?(if Yesdescribe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private a Business: Other Location (specify): Date:
Domicile:
q
O
O
IIII III
O O O
:17;
Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Bu ess:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O Business Owner O Ei Investment O
Salary/Earnings Inheritance/Gifts
Summarize Source of Weakh:
O other:
SDNY_GM_00063936
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CONFIDENTIAL - PURSUANT TO FED. R. RolfP . kb) I DB-SDNY-0026761
EFTA_OOI 74442
EFTA01298752

KYC Print Page 14 of 23
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settlor accumulate
wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of
profitabikty? Indicate type of business, countnes of major activities, important business partners.)
Estimated Annual Income i
Estimated amount of investable assets($):
(S):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
--I
Other Known Financial Insbtubons:
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_00063937
Imps://dbforcepb.my.salesforce.cPM witrietTIA01±B0000000D9Di&... 10/26/2018
CONFIDENTIAL - PURSUANT TO FED. R.CRITIM DB-SDNY-0026762
EF1'A_00174443
EFTA01298753

C Prim Page 15 of 23
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Paul S. Barrett - 00000565477 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
of his/her country of
Address of primary nationality for 5 years or Ell Yes • V -- i i. No
residence:
mere?
Profession/Occupation: Investment Advisor MX ID / SSN:
Current Employer: 3.P. Morgan Securities LLC Position/Title/Rank: Investment Advisor
Address of employer: 277 Park Ave New York NY United States 10172
Does the person work as senior ftecutive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DB-recognised exchange? (Not Li Yes No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Yes descae) N/A • Yes W No
To the best of your knowledge, is the Individual related to an employee of the Dt3 ri Family n FriendShip Ca None
groupyfF ame1 y or Fnendsivp, describe) N/A
To the best of your knowledge, Is the Individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes NO
source, supplier of goods or servIces)?(f Ye4desalbe ) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
r
Ghent Ghent Place
Bank Officer Name(s) Bank Office: ' ate Other Location (specify): Date:
of Business:
rnicile:
q
0 0
0 . 0
0 0 0
i---1
:iWealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
0 Business Owner 0 Salary/Earnings [investment D Inheritance/Gifts
Summarize Source of Wealth:
0 other
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settior 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, countnes of major activities, important business partners.)
i
Estimated Annual Income
Estimated amount of investable assets($):
($):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Rnancial Insbtutions:
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 indwodual (marital status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Lega: Ent: .ii.i
Legal Entity Name: LSJE, LLC - 00000499733
g Private Investment O
O Foundation/Association O Trust ff!i)Company
Type of Entity: El Estate O Partnership Purpose of Entity: -hilanthropic/Charitable O
ommercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
I
Date of
Country of virgin Islands, U.S. 10/27/2011
incorporation /
incorporation/registration:
registration:
Volcker Status: Identified on Customer Profile Volcker Flag: NO
6100 Red Hook Quarter, 83 St. Thomas 00802 Virgin
Address (city, street, post U.S. TIN/EIN:
Islands, U.S.
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations,
include information about revocability,setdor and beneficiaries,etc.:
LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. The signors on
this account are Jeffrey Epstein and Darren Indyke
Please Indicate how ownership of the legal entity is reflects: Operating Agreement
U Special attention: Bearer Shares - Indicate where shares are aistodied:
Destribe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot 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. The signors on this account are
Jeffrey Epstein and Darren Indyke
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 or services)?: Yes • No 5
N/A
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: Virgin Islands, U.S.
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Number of employees:
3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
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.($): 1,000,000.00
Estimated net profit p.a. ($): 100,000.00
Estimated investable assets ($): $2 MM - 5 MM
Potential Amount to be invested with PWM ($): 500,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000433883
0 Foundation/Association El Trust r,?i Company Private Investment li
Type of Entity: Purpose Entity:
of Philanthropic/CharitableEi
0 Estate 0 Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of Virgin Islands, U.S. II/18/2011
incorporation /
incorporation/registrabon:
registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
6100 Red Hook Quarter 63 St. Thomas 00802 Virgin
Address (city, street, post U.S. TIN/EIN:
Islands, V.S.
code):
Provide a description of the entity's organizational structure, it ownership structure and Its Top Management. For trusts/foundations,
include information about revotability,setdor and beneficiaries,etc.:
Jeffrey Epstein is the sole shareholder of this company.
Please indicate how ownership of the legal entity is reflected: Consent of Board of Directors
Li Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons) Jeffrey Epstein is the
sole shareholder of this company.
Yes ri No RI
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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 or services)?:
N/A
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services relying on Financial and Biomedical algorithms. Southern
Trust is a private consulting company that invests the assets of their clients and
Nature of the business: gets their revenue from the return of these investments. Southern Trust invests in
different portfolios catered to their clients and makes their revenue based on the
returns and the fees associated with managing their clients assets
Countries where business is transacted: Virgin Islands, U.S.
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated In Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. (5): 1,500,000.00
Estimated investable assets (§): $2 MM • 5 MM
Potential Amount to be invested with PWM (5). 300,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Financial LLC - 00000483882
El Foundation/Association El Trust S'J Company ,., re Private Investment Li
Type of Entity: Purpose Entity:
of Philanthropic/Charitable 0
LI Estate 0 Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of Virgin Islands, U.S. 2/25/2013
incorporation /
incorporation/registration:
registration:
Identified on Customer Profile
Volcker Status: Volcker Flag: No
6100 Red Hook Quarter B3 St Thomas 00802 Virgin U.S. TIN/EIN:
Islands, U.S.
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Address (city, street, post
code):
I I
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations,
include information about revocability,setdor and beneficiaries,etc.:
Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust
Company Inc.
Please indicate how ownership of the legal entity is reflected: Operating Agreement
U
Special attention: Bearer Shares - Indicate where shares are custodied:
Desaibe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons). Southern Trust
Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
To the best of your knowledge, is the entity party to a non-banKng relationship
with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of 1-, r-A
goods or services)?: Yes i...J No MI
N/A
Describe Nature of Entity's Primary Business and Investment Activities
This business is funded by Jeffrey Epstein's wealth. This company was formed to
hold Mr. Epstein's personal wealth and Invest in different ventures. This company
Nature of the business: invests in real estate, equities, commodities, et and gets its revenue from the
gains it makes in these investments. It is a company formed to invest the assets
iof Mr. Epstein.
Countries where business is transacted: Virgin Islands, V.S.
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
The initial funding in February 2013 WaS $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Please revert
to Mr. Epstein's source of wealth for more details.
Estimated gross receipts p.a.(4): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): <$1 MM
Potential Amount to be invested with PWM ($): 300,000.00
Other Known Anancial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
En pi Moderate : ,
Booking Center .g NY I i Offshore —""j — -- 'vl High Ri Gwen Hill
NY/Offshore ""' lisk
(Compliance Signature)
r----i O
—.I DB Employee ' , DB Managed PIC LIDS is TrusteeXo•Trustee Bearer Shares
4. Attachments I
g D
A. Type of Photo ID Provided Drivers license g Passport National/State ID O Other :
Darren Indyke - GUS . 486405 & Jean Anne - GCIS # 487647
Checklist of names (individuals and/or entitles) that were submitted for database rim !..-i
B. searches is attached mi Yes i.._. NO
C. Please indicate the results of the database searches performed
ROC searches complete EQ1y es O No negative results found R Yes [.1N o
PCR checks complete g yes O No negative results found g Yes O No
OFAC checks complete R Yes Ej No negative results found D Yes R No
8 Jo 1 n 5 e s s e , a D rc & h B e ) s complete (Lexis/Nexis, Factiva, Reuters, Dow g yes ENO negative results found R Yes D No
Denial Cyders checks complete g Yes .O No negative results found O Yes Pli No
iz
Martindale-Hubbell searched (Lawyers/Law Firms only) O Yes No negative results found O Yes O No
D. Please summarize any negative results from the database searches indicated above: LS3E LLC:
- No negative media
- No court cases
LS) Employees LLC:
- No negative media
• No court cases
Southern Financial LLC:
• No negative media
• No court cases
- RDC alert found - False positives, does not pertain to cur client. Clearance attached.
Southern Trust Company Inc:
• No negative media
- No court cases
Financial Infomatics Inc
• No negative media
- No court cases
Jeffrey Edward Epstein:
• Negative media relates to the sex offence in the past which are already cleared. (KYC # • 01790655)
- Court cases relates to Jeffrey's sex offence in the past which Is already cleared, another (Gerber Et Al V. The Financial Trust
Company Et Al) is a recent ongoing civil lawsuit pertaining to fraud which has been dismissed (attached document), but part of
normal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He just named as a
respondent and the case is immaterial in nature.neither defendant nor plaintiff. He's just named as a respondent and the case is
immaterial in nature.
- Criminal Filings relates to sex offence which is already cleared in the past
- RDC alert found - Sex offences in the past which has been cleared - Clearance attached.
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Darren Indyke:
- Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature.
• Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren 6
Just an attorney for Jeffrey In the case.
- Fircosoft alert has been cleared by AML Compliance. Clearance attached.
Jean Anne Brennan Wiebracht:
- No negative media
- No court cases
Harry Beller:
- No negative media
- Harry Beler is the plaintiff in the court case, also it has been denoted.
Paul S Barrett
- No negative media
- No court cases
- RDC alert found - False positives, does not pertain to our client Clearance attached.
To the best of your knovAedge, has the client ever been convicted of a criminal
E. offense? R Yes 0 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. thre.ateNng litigation against Deutsche Bank AG or any of its subsidiaries? (/f Yes, E yes i!Z No
provide details below and contact Quakty Mgt (LatAm/Intl) or U Regulatory
Control Croup and notify Compliance immedately)
Does the client or related party have any financial or other association I interactions
G. within countries or regimes sanctioned by the Office of Foreign Assets Control ales R No
(OFAC)?
Does the client or related party have any financial or other association/ interactions r—,
H. within high risk countries? t_J Yes R No
I. Corporate Documentation Attached (Legal Entities Only) RI Yes 0 No 0 Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) El Yes Li No FO Not Applicable
K. If Lexts/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:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? r yes W1 No
Is the account structure unusually complex? El Yes M No
Is there any indication the client set up a non operating
company expressly for the purpose of transferring shares to E Yes R No
third parties?
Is there any indication this could be a prohibited business
relationship? Ei yes M No
Are the bearer shares identified subject to acceptable controls? 0 yes g No
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M. Case Comments
Created By Date Comments
Mayur Rathod 9/20/118 7:46 AM No material changes confirmation "email" attached in the case.
This KYC saves as a high nsk review for LSJE LLC and Southern Financial LLC (herein referred
to as "accountholders" -
Below are the reasons why we are comfortable with approving this KYC:
• Information and supporting documents required by our AML Patty were provided and
reviewed; and as a resuk, we have an understanding of the structure of the accountholders,
their purpose, the purpose of the accounts and expected transaction activity.
• There are a few risk factors associated with the accountholders —
-SOW: The U8O (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which
Gwen Hill 10/26/118 4:06 PM
manages clients assets. SOW verification was obtained.
-Negative Media & PEP: There is some negative media against Mr. Epstein and he is also
maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for
more information. Appropriate approval was obtained.
• Our review did not identify any red flags and thus there was no need to escalate this case
further.
• We performed due diligence searches on all parties and did not find the names searched to be
on any sanctions lists.
ONSHORE APPROVALS
Client Facing Professional (CFP): Stewart Oldfiekl (Signature) 10/15/2018
Stewart Oldfield
Office Director/Business Head: Andrew F Gallivan (Signature) 10/15/2018
Andrew F Gallivan
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Richard Cottrell Richard Cottrell 10/26/2018
Gwen Hill Gwen Hill 10/26/2018
LATAM/ INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
ISMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
(PWM)
Management worldwide is committed to professionally serve the interests of its clients. To do
so, Client Facing Professionalsl(l) (CFP's) should establish and maintain business relationships
only with persons who swish 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 coilfirm that 1h ave 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 Managers, etc.
Deutsche Bank Americas New York
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