EFTA01299082.pdf

KYC Print Page I of IS
Int
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01082293 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: 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:
r Client Referral F RM Prospect rInterrnediary/FIM F Other Source (C18, etc.)
How Was the Chent(s)
Introduced? Haw long has Please provide details (e.g. name of referral source, how many years RM personalty has known client,
the RM personally known etc.): Jeffrey Epstein was a client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual
the client? friend/colleague who introduced them while Paul was at WMorgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to JPMorgan
r Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (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)
Account(s)
1 F Southern Financial, LLC 8/19/2013
2 F Southern Financial, LLC 8/19/2013
3 F Southern Trust Company, Inc. 8/19/2013
4 r Southern Trust Company, Inc. 8/19/2013
Who is the primary ontact
person for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indkate phone
signatory rights and/or no., fax no., email
information right for the address, etc.):
accounts.):
Atb), -- SDNY_GM_00064628
plipEwripAtoD9Di&eid=500600...
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KYC Print Page 2 of IS
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Southern Fnancial, LLC Acct. Number &lava,lablei
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Money Market. To hold funds for the company.
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 DB toc ation and account details):
gr Other Institution (Indicate name & location): JPMorgan, NYC
1 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 2 inflows & outflows per month ranging from $1000 to $10,000.
What is the expected volume of assets and currency for 50,000 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 "Other column.
• Ahway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legabescription AccountfIC Settler of Jltmate Signatory..imitecFnancial Significant
Entityof Source Holder 0wnerTrust / Beneficialor Full POA InterrnediarySharehoider
of Wealth =minder of Owner POA (FIM) K>=25%)
required •:ouridation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) 'parties)
Sole shareholder of
1 F F Jeffrey Epstein r r F F F r r
Southern Trust;
2 F F Southern Financial F r r r r r r
LLC
Southern Trust is
the sole member of
Southern Friancial
Southern Trust
3 F F r r F r F r F 100 and Jeffrey Epstein
Company, Inc.
s the sole
shareholder of
Southern Trust;
SDNY_GM_00064629
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2. Account Ownership Summary
Account Name: Southern Financial, LLC Acct. Number Of avallabreet.
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 hinds for the company.
Indicate from where the assets are expected to arrive?
F DI3 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan, NYC
7 Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000.
What is the expected volume of assets and currency for 50,000 Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 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/untie ying Beneficial Owner(s).
Legal Description AccountPIC Settfor of Jltimate Signatory_imitedflnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full °OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) 0.25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
?antes related to ownership relationship between
pis account %) oarbes)
1 F F Jeffrey Epstein r r r r r r r Sole shareholder of
Southern Trust;
2 F F Southern Financial F r r F F r
LLC
Southern Trust is
the sole member of
Southern Anemia,
3 Fr C S o o m ut p h a e n r y n , T In ru c s . t F F F F F F F 100 and Jeffrey Epstein
s the sole
shareholder of
Southern Trust;
SDNY_GM_00064630
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2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. 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)? Checking account. To hold funds for company
Indicate from where the assets are expected to arrive?
7 DB Group: Same Booking Center (indicate account number):
7 DB Group: Other Booking Center (indicate DB location and account details):
F Other Insbtubon (Indicate name & location): .WMOrgan, NYC
7 Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000
what is the expected volume of assets and currency for 50,000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 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.
• Ahtray describe the relationship between the parties in the last column.
• Please drill dorm) to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPlC Settror of Ultimate Signatory4nitedRnancial Significant
Entityof Source Holder OwnerTrust / Beneficialor Full • rA Intermediaryehareholder
of Weakh rounder of Owner POA (FIM) (>-25%)
required Foundation Non-piC Other (please
entity describe other roles
(indicate and/or indicate
pries related to pwnership relationship between
. is account '0) parties)
Sole shareholder of
1 7 F Jeffrey Epstein F F F F F F F
Southern Trust;
2 F F Southern Trust F r F r r r r
Company, Inc.
SONY GM_00064631
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2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Number Of availab.eet.
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 for the company.
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 DB location and account details):
F Other Insbtubon (Indicate name & location): JP.Morgan, NYC
F
Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 2 inflows & outflows per month ranging from $1,000 to 510,000
what is the expected volume of assets and currency for 50,000 Currency LSD
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 'Other column.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/untie ying Beneficial Owner(s).
Legal Description AccountPlC Settfor of _Iltimate Signatory_imitecRnancial Significant
Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (> ai25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
r tiesrelated to ownership relationship between
i s account %) oarbes)
1 F F Jeffrey Epstein F F F F F F F Sole shareholder of
Southern Trust;
2 F F Southern Trust F r F r r r r
Company, Inc.
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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 Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC Position/ride/Rank: President
Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802
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 a- Friendship, 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 Other Location (specify): Date:
Businew:
Paul moms r 1- F 4/3/2013
r r r---
F r n
F Wealth Details for this individual are not filled in, bec use they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
17 Business Owner F Salary/Eamings F Investment F Inhentance/GiRs
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 senor 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 partner 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($): $50 MM - 100 MM
($):
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00
Other Known Financial Institutions:
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Institution: )PMorgan 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
SONY GM_00064634
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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: Southern Anancial LLC - 00000483882
r— r F Private Investment
Foundabon/Associabon Trust 1.7 Company r
Type of Entity: 1- Estate 1- partnership Purpose of Entity: r Philanthropic/Charitable
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of US Virgin Islands 2/25/2013
incorporation /
incorporation/registration:
registration:
6100 Red Hook Quarter 63 St Thomas 00802 US Virgin
Address (city, street, post U.S. TIN/EIN:
IIsslands
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For busts/foundations, include
information about revocabil ty,settlor and beneficiaries,etc.:
Southern Trust Company Inc is the sole member of Southern Anancial !IC. Jeffrey Epstein is the sole shareholder of Southern Trust
Company Inc
Please indicate how ownership of the legal entity is reflected: Southern Trust Company Inc is the sole member of Southern Anancial LLC.
Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
r-
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ukimate beneficial owner (if not the same persons) Southern Trust Company
Inc is the sole member of Southern Anancial 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-banking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods Yes 1— No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
This business is funded by Jeffrey Epstein's weath. This company was formed to
',old Mr. Epstein's personal weakh and invest in different ventures. This company
Nature of the business: nests in real estate, equities, commodities, etc and gets its revenue from the gains
it makes in these investments. It is a company formed to invest the assets of Mr.
Epstein
Countries where business is transacted: US Virgin Islands
Number of employees: 3
3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein).
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit pa. ($): 1,500,000.00
Estimated investable assets ($): <51 MM
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Institutions:
Institution: I JPMorgan I Country: I USA I Est. Assets Under Mgt: 1,000,000.00
itic iEwr opAtcoD,Di&eidSO=N5Y G0M0_06006646O35 ...
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I
Instrtunon: I 1 Country: Bt. Assets Under Mgt:
Ins titution: Country: Est. Assets Under Mgt:
I I
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One sheet must be established for EACH LEGAL ENTITY in Secdon 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000483883
r Foundation/Association r Trust F Company r F Private Investment
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 US Virgin Islands 11/18/2011
incorporation /
incorporation/registrabon:
registration:
6100 Red Hook Quarter 63 St Thomas 00802 US Virgin
Address (city, street, post islands U.S. TIN/E1N:
code):
Provide a descnpton of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabl ty,setUor and beneficianes,etc.:
Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein 6 sole managing member
F Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ukimate beneficial owner (ifn or Me same persons) Jeffrey Epstein is sole
managing member
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
Consulting Services relying on Financial and Biomedical algorithms. Southern Trust
s a private consulting company that invests the assets of their clients and gets their
Nature of the business: 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: US Virgin Islands
Number of employees: 4
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):
Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): $2 MM - 5 MM
Potential Amount to be invested with PINM (S): 300,000.00
Other Known Financial Institutions:
Institution: 3PMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00
Institution: Country: Est. Assets Under Mgt:
ittr iEtripA toD,Di&eid=50S0O6N6Y 0G.M.._ 000646.37
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Est. Asses Uncle' Mgt
insdtlitim I CcluniTY: I
Att,E,EtrirteD9Diaceid=500600...
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name I EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY F NY/Offshore F Offshore aFkmoderate r r t e r High Risk
(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 (individuals and/or entitles) that were submitted for database
F Yes F No
B. searches is
C. Please indicate the results of the database searches performed
RDC searches complete F yes F No negative results found F Yes F No
KR checks complete F Yes F No negative results found F yes F No
OFAC checks complete F Yes r No negative results found F Yes F No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes F
D&B) No negative results found F Yes F No
r F
Denial Orders checks complete 17 yes No negative results found Yes F. No
Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F Yes F No
Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN:
RDC Alert *1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris
KR Alert *1/2 -- Not our client
All Cases Dosed
SOUTHERN FINANCIAL LLC:
No negative media
No court cases
SOUTHERN TRUST INC:
No negative media
Court Case -- Not our client.
D.
FINANCIAL INFOMATICS INC:
No negative media
No court cases
J. Epstein & Co.
All Negative media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert hat been cleared by Compliance and is
attached
Court Cases are dosed
E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F Yes F No
To the best of your knowledge, has the customer ever been involved in any past
F. litigation against Deutsche Bank AG or any of its subsidiaries or is the customer r Yes F No
threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes,
provide details below and contact Quality Mgt (Let/WI/Intl) or the Regclatory Gondol
Group and notify Compliance immediately)
t SDNY_GM_00064639
PleEt rnik
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G Does the client or related party have any financial or other association / Interactions r.- yes F No
within countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? '
H. D w o a es n t h h e ig c h l i r e is n k t o c r o u re n l t a ri t e e s d ? p arty have any financial or other association/ interactions r yes F No
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
r Yes r
). Undisclosed Principal Form Complete (Intermediaries Only) No F Not Applicable
K. If Lexis/Nexis Search Results, Corporate Document or Other Supporting Documentation is not in English, please provide an English
summary of the nature/contents of the non-English Documentation:
m.) SDNY_GM_00064640
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M. Case Comments
[to records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Moms Signature) 7/17/2013
aul Moms
Office Director/Business Head: Brian M. Biggar Signature) 7/18/2013
rian M. Biggar
Regional Office Director: Signature)
AML Business Risk:
(Signature)
Armen Brash Armen Brash 8/20/2013
AML Compliance:
(Signature)
Janice Franklin Janice Franklin 8/21/2013
LATAM/ INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
rSilTM)/Sub-Market Team Head
MTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PR/ VATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
SDNY_GM_00064641
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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.
P2
Deutsche Bank Americas New York
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