EFTA01299187.pdf

KYC nt Page 1 of 15
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: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York
Relationship Manager: Paul Morris
r 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: update of approved KYC 01121881. Update is ONLY to add aditran I authorized signer. Harry Beller has
already been KYC approved in case #01133624. Please rush as this is a simple update
I- Client Referral Fi RM Prospect r Intermediary/ElM 1- Other Source (CIB, etc.)
How was the atengs)
Introduced? Row long has Please provide details (e.g. name of referral source, how many years PM personally 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
the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at )P Morgan. Paul and Jeffrey Epstein had a mutual
friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
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 Jeepers Inc 9/18/2013
2 F lepers Inc 9/18/2013
who i the primary contact
perso for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indicate phone
signatory rights and/or no., fax no., email
information right for the address, etc.):
accounts.):
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DB-SONY-0027720
EFTA_00 175395
EFTA01299187

KYC Print Page 2 of 15
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Jeepers 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 for Jeepers Inc daily liquidity needs.
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):
g; Other Institution (Indicate name & location): 3Ptiorgan Chase. New York, NY
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 5-10 inflows and outflows per month ranging from 51,000 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 50,000 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.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legal Description AccountfIC Settler of JIhmate Signatory..imitecl5nanoal Significant
Entityof Source Holder OwnerTrust / Beneficialor Full POA IntermediaryShareholder
of Weakh Founder of Owner FOA ;FIN) K>=25%)
required •:ouriliation Non-P1C Other (please
entity describe other roles
(indicate and/or indicate
Parrttiieess related to ownership relationship between
i account 4%) )arties)
1 F F Jeepers, Inc F F F F F F F
F
2 F Jeffrey Epstein F F F F F F F
3 F F Harry Beller F F F F F F F
4 F F Jeanne Brennan F F F F F F F
SDNY_GM_00064896
https://na4.salesforce.com/servlet pliFIEWRACEDD9Di&eid=50060... 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. It) 1 I''' DB-SDNY-0027721
EFTA_00 175396
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2. Account Ownership Summary
Account Name: Jeepers Inc Acct Number (if 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)? Money Market account to hold Jeepers Inc's cash.
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):
1•7 Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY
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 1-2 inflows and outflows per month ranging from $1,000-$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 150,000 Currency USD
the account approx. one year after openng?
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 _Itimate Signatory_imitedflnancial Significant
Entity of Source Holder OwnerTrust / Beneficialo r 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
p ities related to ownership relationship between
is account %) oarbes)
1 F F Jeepers, Inc F F F F r r r
r F r r
2 F Jeffrey Epstein F F F F
3 F F Harry Beller F F F F F F F
4 F F Jeanne Brennan F F F F F F F
SONY GM_00064897
Imps://na4.salesforce.com/sen/let AttleEteAt0D9Di&eid=50066.. . 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027722
EFTA_00I 75397
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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:
F Yes F No
Is the individual a Politically Exposed Person (PEP)?(if yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(,f Family a- &err/ship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship f— 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:
Business:
Paul Moms 7 F F 8/7/2013
—
F
F n
7 Wealth Details for this individual are not filled in, bec use they are the same as for the following person:
39. Wealth Details (Only for parties 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:
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, counties 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, ). 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): $50 MM - 100 MM
($):
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
At ) SDNY_GM_00064898
hops://na4.salesforce.com/serelet POE419'ftO D9Di&eid=50060... 10/30/2013
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EFTA_00 175398
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Institution: 31:Norgan Chase 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 (mantal Status, other family members, etc.): Single
SDNY_GM_00064899
littps://na4.salesforce.com/servle ntliDEN/TpACE/D9Diateid=50060... 10/30/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027724
EFTA_00175399
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KYC Print Page 6 of IS
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 - Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Posibon/Trde/Rank:
Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022
Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- Fneniship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r- yes t-
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' it.' 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:
Chent Private Bus Place
Bank Officer Name(s) Bank Office: of Other Location (specify): Date:
Domicile: Businew:
r r
Paul Mont fv 10/21/2013
F 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:
35. 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 Inheritance/Gifts
Summarize Source of Wealth:
F Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(S):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I 1Country: I I Est. Assets Under Mgt:
nriffiEteAtompi&eid=. 50066..
SONY GM_00064900
https://na4.salesforce.com/servle 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027725
EFTA_O0I754O0
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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.):
AtriDENTipActoD,Di&eid.= 50066..
SONY GM_00064901
https://na4.salesforce.com/servle 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027726
EFTA_00 175401
EFTA01299193

KYC Print Page 8 of IS
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeanne Brennan - Date of Birth:
Country of Residence: USVI Country of Citizenship: USVI
Address of primary
residence:
Profession/Occupation: Finance Tax ID / SSN:
Current Employer: Southern Financial, LLC Position/Tide/Rank:
Address of employer: 6100 Red Hook Quarter, B3 St, Thomas USVI 00802
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r 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 or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes F, No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
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:
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 Inheritance/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 ?rugs, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(S):
(S):
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:
SDNY_GM_00064902
https://na4.salesforce.com/seMet AtPfirifElefAt0D9Di&eid=50060.. . 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. e) I '—' DB-SDNY-0027727
EFTA_00 175402
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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_00064903
httpsl/na4.salesforce.com/servle ntliD e\RT ACE839Diateid=50060... 10/30/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027728
EFTA_00175403
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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 Enuues)
Legal Entity Name: Jeepers, Inc --
r F Private Investment
7 Foundation/Association Trust F. Company r
Type of Entity: Purpose of Entity: Philanthropic/Charilabie
I— Estate I— Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States Wight Island 8/18/2003
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN:
Cade):
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 benelicianes,etc.:
Jeffrey Epstein is the sole hareholder of Jeepers Inc
Please indicate how ownership of the legal entity is reflected:
r
Special attention: Bearer Shares • Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or 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 F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Jeepers Inc is a pnvate company that holds investments of its owner, Jeffrey
Nature of the business:
Epstein.
Countries where business is transacted: USA, USN
Number of employees: 3
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):
Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no
par value. Its revenue comes from the gains of the investments it holds.
Estimated gross receipts p.a.($): 400,000.00
Estimated net profit p.a. ($): 200,000.00
Estimated investable assets ($): $20 MM - 50 MM
Potential Amount to be invested with PWM ($): 200,000.00
Other Known Financial Institutions:
Institution: JP Morgan Cnase Country: USA Est. Assets Under Mgt: 28,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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SONY GM_00064904
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CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027729
EFTA_OOI 75404
EFTA01299196

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•
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CONFIDENTIAL - PURSUANT TO FED_ R DB-SDNY-0027730
EFTA_00175405
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
r- Moderate
Booking Center 17 NY NY/Offshore r Offshore F r; High Risk Michael Vila
Risk
(Compliance Signature)
F DO Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other
Checklist of names (individuals and/or entities) that were submitted for database
B. F Yes F No
searches is attached
C. Please indicate the results of the database searches performed
RDC searches complete F Yes FN., negative results found r Yes F No
KR checks complete F Yes F we negative results found F 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, i9 v.-- Yes r- No negative results found F Yes F No
Denial Orders checks complete F Yes r No negative results found r Yes F No
Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes F No
Please summarize any ne tive resuks from the database searches indicated above: HARRY BELLER:
KYC approved in case
JEANNE BRENNAN:
No Negative Media
No Court Cases
D. JEFFREY EPSTEIN:
Jeffrey was approved in KYC
His PCR/ROC alerts and clearances and all documentation is contained in the above mentioned KYC
JEEPERS, INC
No Negative Media
All court cases are not our client. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our client is based in the LtS
Virgin Islands
E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? 57 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 (tatAm/Intl) or the Regulatory Control
Group and notify Compbance immediately)
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 Assets Control (MC)? '
H' the client arelated party have any financial or other association/ Interactions r yes F No
- within high risk countries?
SDNY_GM_00064906
Plif4
hups://na4.salesforce.com/servlet EteAt0D9Di&ei d=50060... 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. M) I I"' DB-SONY-0027731
EFTA_00 175406
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r r
I. Corporate Documentation Attached (Legal Entities Only) F Yes No Not Applicable
r r
3. Uncasclosed Principal Form Complete (Intermediaries Only) Yes 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_00064907
hups://na4.salesforce.com/servle frittliDEITRACLD9Diateid=50060... 10/30/2013
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M. Cam Commenb
Created By Date Comments
Jacqueline
10/29/2013 1:38 PM There is no change in the risk rating for this update. Therefore, a new risk calculator not required.
Lightbody
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris "Signature)
>au! Moms
Office Director/Business Head: Brian M. Biggar "Signature)
3rian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Jacqueline Lightbody Jacqueline Lightbody 10/29/2013
Michael Vila Michael Vila 10/29/2013
LATAM/ INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
GMTM)/Sub-Market Team Head
SMTH):
AML Business Risk:
AML Compliance:
(Signature)
Fittp EyErepftto9Disceid=500S6DN0Y_.G..M _00084908
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing Professionalsl(1) (CFP's) should establish and maintain business relationships only with
persons who satisfy our high standards qf suitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CEP. It is the responsibility ofC FP'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 ofmy knowledge and belief the
above information is correct and up to date. I confirm that I have no suspicions relating to the money
laundering or unethical activities on the part of the client(s) and that I havef ollowed 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 :5) include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
VA
Deutsche Bank Americas New York
pEyEIVFMCE:09Diaceid=50S0D6NY0_.G.M. _00013490'a
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EFTA_00175409
EFTA01299201