EFTA01299115.pdf

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DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 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:00000.483290 Booking Center: New York
Relationship Manager: Paul Morris
17 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 r
Client Referral 17 RM Prospect 1.— Interrnediary/FIM Other Source (06, etc.)
How Was the Client(s)
Introduced? How 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 Is a current client of the Bank. Wants to open a new account. Introduction details of Paul
and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual
the client?
friend/colleague who introduced them while Paul was at 'Morgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If Yes, deptsibe):
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 Neptune LLC 10/16/2013
2 F Neptu e LLC -- Money Market 10/16/2013
Who is the primary contact
person for the RM? (Ncte: Preferred method of
This person needs to have Harry Seller contact0ndicate phone
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
accounts.):
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Neptune LLC 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 used for the daily needs of running Jeffrey Epstein's home in NYC.
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):
17 Other Institution (Indicate name & location): JPMorgan. New York
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 10 inflows and outflows per month r nging from $4000 to $10,000
What is the expected volume of assets and currency for 5000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 10000 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 t e relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Description AccountPIC Settlor of siltimate Signatory-imitec nancial Significant
Entityof Source Holder OwnerTrust / Benefioakor Full POA ntermediarySharehoider
of Weakh =minder of Owner POA kFiM) (>=25%)
required •:ouridation Non-P1C abet (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) oarties)
1 F F Neptune, LLC F F F F F F F
2 F F Jeffrey Epstein F F F F F F F
3 F F Harry Beller F F F F F F F
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2. Account Ownership Summary
Account Name: Neptune LLC -- 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 to hold funds necessary to run the costs associated with Jeffrey Epstein's NYC home
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 Insbtubon (Indicate name & location): JPMorgan. 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 5000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 10,000 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.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Sector of itimate Signatory_imitedflnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder
of Weakh Founder of Owner ROA (FIM) !(> -25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
r rtesrelated to ownership relationship between
i s account %) ,arbes)
1 F F Neptune, LLC F F F r r F r
2 r F Jeffrey Epstein F r F F F r F
3 F F Harry teller F F F F F r F
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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 11C Position/Tide/Rank: President
Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802
Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) Yes 17 No
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(,f Family a- Friendship, desaibe)
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 source, supplier of rye F No
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 l P e r : i vate e C f l B ie u n s t i n P e la s c s e : Other Location (specify): Date:
Paul Moms r r F 9/13/2013
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:
35. Wealth Details (Only for parte 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 Innentance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an
options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, ./. Epstein & Co.,
managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust
Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy
businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM
a):
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
AtriciEtfrotpktoD,Di&eid.= 50066..
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Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the ixlividual (marital status, other family members, etc.):
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Harry Beller - 00000487202 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary 12 Golar Drive Monsey NY 10952 USA
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates Posibon/Trbe/Rank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
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 or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes ,—
l•' 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 Moms r r F 9/13/2013
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 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 Inhentance/Gifts
Summarize Source of Wealth:
r-
Cther:
Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, 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):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I Country: I I Est. Assets Under Mgt:
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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_00064818
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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: Neptune, LLC - 00000487264
r r P- F private Investment
Foundation/Associabal Trust Company r
Type of Entity: Purpose of Entity: Philanthropic/Charitable
F Estate F Parbiership r commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 12/21/2011
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 revocabil ty,setbor and beneflciaries,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Please indicate how ownership of the legal entity is reflected: Single member U.C. Capital contribution of $,1000 spas made by Jeffrey
Epstein who is the sole member
F Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ukimate beneficial owner (ifn ot the same persons). Single member LLC.
Jeffrey Epstein S the sole member
To the best of your knowledge, is the entity party to a non-banking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods yes F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
This LLC was formed to hold the funds necessary to cover the costs and taxes
Nature of the business:
associated with running Jeffrey Epstein's NYC home
Countries where business is transacted: USA
Number of employees: 1
3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities):
This LLC is funded my contributions made by Jeffrey Epstein.
Estimated gross receipts p.a.($):
Estimated net profit pa. (5):
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PWT4 (5): 20,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 20,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SONY GM_00064819
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P2
DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Booking Center F NY r- NY/Offshore F Offshore F Moderate r Iv :r High Risk Janice Franklin
Risk
(Compliance Signature)
F 08 Employee F DB Managed PIC F 08 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
B. F Yes F No
searches s attached
C. Please indicate the results of the database searches performed
RDC searches complete r Yes F No negative results found F resF No
PCR checks complete F Yes r- No negative results found r yes F No
OFAC checks complete F Yes F No negative results found F Yes F No
D BI & S B s ) e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r No negative results found F yes F No
r r
Denial Orders checks complete F Yes No negative results found Yes F No
Martindale-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: NEPTUNE LLC:
See attached AML Clearance -- The RDC alert was a false hit
Negative Media: All negative media is not our client. All negative media either predates our clients formation (2011) or is another LLC.
Our Neptune LLC Is a single member LLC that runs the operations of a home
JEFFREY EPSTEIN:
D. See KYC *01082293 and *01121718 for previous KYC approval and all pertaining documents
HARRY BELLER:
Negative Media: Not our client All negative media pertains to an environmental microbiologist. Our client is an accountant
Court Cases:
#1: Disposed In 1987
All other cases are not our client. The other court cases refer to a Dr. Harry Beller. Our client is an accountant
E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? F Yes r 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 yes
F. threatening litigation against Deutsche Bank AG or any of Its subsidiaries? (If Yes, P. No
provide details bdow and contact Quality Mgt (Lat4m/Intl) or the Regulatory Control
Group and notify Compliance immediately)
Does the client or related party have any financial or other association / interactions r•-• F
G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' yes No
„. Does the client or related party have any financial or other association/ interactions r yes F No
" within high risk counties?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
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r r
J. Undisclosed Principal Form Complete (Intermediaries Only) Yes No 17 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/content of the non-English Documentation:
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F
M. Case Comments
lo records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Moms (Signature) 10/8/2013
Paul Morns
Office Director/Business Head: Brian M. Biggar Signature) 10/8/2013
rira n M. Biggar
Regional Office Director: Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Jacqueline Lightbody Jacqueline Lightbcdy 10/17/2013
Janice Franklin Janice Franklin 10/17/2013
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)
PR/ VATE WEALTH MANAGEMENT POLICY STATEMENT: lkiasche Hank Private Weahh
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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 Global KYC
Policy
(I) 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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