FinCEN I Financial Crimes Enforcement Network

FinCEN I Financial Crimes Enforcement Network United S Depatunent of the ricbuty BSAR Transcript BSA: 31000150848290 and DCN: Filing Information Type of Report Initial Report Joint Report Filing Date 07/19/2019 Received Date 07/19/2019 Entry Date 07/22/2019 Submission Method Electronic batch filing Subject Information Subject 1 of 1 EPSTEIN Role Subject Individual/Organization Individual Last(or Entity) Name EPSTEIN First Name JEFFREY Alternate Name(s) Alternate Name SOUTHERN TRUST COMPANY, INC Gender Type Unknown Date of Birth 01/20/1953 SSN/ITIN Form(s) of Identification Identification Type Other Other Text Non-documentary verification Address(es) Address Type Subject permanent/mailing address Street Address 6100 RED HOOK QUARTER B3 6100 RED HOOK QUARTER B3 - Enhanced City ST THOMAS ST THOMAS - Enhanced State VI VI - Enhanced ZIP Code 00802 00802 - Enhanced County VI US - Enhanced Phone Number(s) Type Work Number Corroborative Statement to Filer No Relationship to Reporting Institution(s) Institution TIN Relationship of Subject Customer. Yes Affected Account(s) Account Number Page 1 The enclosed reformation was collected and disseminated under provision: of the Bank Secrecy Act (lbe BSA) and U.S. Department of the Treasury reguLstions implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chapter X. The reformation is sensitive m nature and is to be treats accordingly. The information may be used only for a purpose con ustent with acr.nreal, tax. or regulatory mvestigation or proceeding. or in the conduct of mtelligence or countermtelligence activities. inclueng analysis, to protect against mtemational terrorism. See 31 U.S.C. 5311. The information cannot be further released. disseminated. disclosed. or transmitted without prior approval of the Director of Financial Crates Enforcement Network or he authorized delegate. Suspicious activity reports filed under the BSA must be treated mth particular care given that they contain unsubstantiated allegations of pciastle criminal actnity. akin to confidential informant tips. Unauthorized release of infamatmn collected wider the BSA may result in criminal or civil :webs:. 06Z8V80510001£:VSB EFTA00100894 FinCEN I Financial Crimes Enforcement Network United Sacs pq)artmcnt al the fl ossy BSAR Transcript BSA: 31000150848290 and DCN: Subject Information Financial Institution TIN Suspicious Activity Information No Amount Involved Yes Date or Date Range of Activity 04/12/2019 - 07/18/2019 Other suspicious activities Other. ADVERSE MEDIA Activity Location Financial Institution Locatior 1 of 3 No Branch Activity Involved Yes Type of Financial Institution Securities/Futures Clearing broker-securities Subsidiary of financial/bank holding company Primary Regulator SEC CRD Number 13041 Legal Name National Financial Services LLC EIN Address Address Type Address where transaction occurred Street Address 200 Seaport Blvd 200 SEAPORT BLVD - Enhanced City Boston BOSTON - Enhanced State MA MA - Enhanced ZIP Code 02210 02210-2031 - Enhanced Country US US - Enhanced Internal Control File Number 0000114447 Financial Institution Locatior 2 of 3 No Branch Activity Involved Yes Type of Financial Institution Other. Transfer agent for Fidelity group of mutual funds Primary Regulator SEC Legal Name Fidelity Investments Institutional Operations Company, Inc. EIN Address Address Type Address where transaction occurred Street Address 245 Summer Street Page 2 The enclosed nformatico was caected and disseminated under provisions of the Bank Secrecy Act Otte SSA) and U.S. Department of the Treasury regdations implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chapter X. The reformation a sensitive ri nature and is to be treats accadingly. The information may be used only fa a purpose consistent with a crrnmat. tax. or regulatory nvestigation or proceeding. or in the conduct of intelligence or counterntelligence activities. incluttn analysis. to protect against nternational terrorism. See 31 U S.C. 5311. The information cannot be further released. disseminated. di:dr-ed. or transmitted without prior approval of the Director of Friancial Crfnes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the GSA must be treated with particular care given that they contain unsubstantiated allegations of paystle criminal activity. akin to ccofidential informant tips. Unauthorized release of information collected wider the BSA may recap in criminal or civil sanctions. 06Z8V8091.00M.VSO EFTA00100895 FinCEN I Financial Crimes Enforcement Network United Stain Dzpartntatt d the riciauty BSAR Transcript BSA: 31000150848290 and DCN: Activity Location 245 SUMMER ST - Enhanced City Boston BOSTON - Enhanced State MA MA - Enhanced ZIP Code 02210 02210-1133 - Enhanced Country US US - Enhanced Internal Control File Number 0000114447 Financial Institution Location 3 of 3 No Branch Activity Involved Yes Type of Financial Institution Securities/Futures Introducing broker-securities Subsidiary of financial/bank holding company Primary Regulator SEC CRD Number 7784 Legal Name Fidelity Brokerage Services LLC EIN Address Address Type Address where transaction occurred _ Street Address 900 Salem Street 900 SALEM ST - Enhanced City Smithfield SMITHFIELD - Enhanced State RI RI - Enhanced ZIP Code 02917 02917-1243 - Enhanced Country US US - Enhanced Internal Control File Number 0000114447 Filer Information Primary Regulator SEC Filer Name Fidelity Brokerage Services LLC EIN Address Address Type Reporting party address Street Address 900 Salem Street 900 SALEM ST - Enhanced Page 3 The enclosed riformatico was caected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regOations implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chapter X. The reformation a sensitive n nature and is to be treated accadingly. The information may be used only fa a purpose consistent with acrmna tax. or regulatory nvestigation or proceeding. or in the conduct of intelligence or counterntelligence activities. incluckig analysis, to protect against nternational terrorism. See 31 U S.C. 5311. The information cannot be further released. disseminated. disclosed. or transmitted without prior approval of the Director of Friancial Crgnes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the GSA must be treated with particular care given that they contain unsubstantiated allegations of paystle criminal activity. akin to ccofidenhal informant tips. Unauthorized release of information collected wider the BSA may result in criminal or civil sanctions. 0638V809WOOLC.VSO EFTA00100896 • • ../1z ");\, FinCEN I Financial Crimes Enforcement Network United Stan Dcparonalt of the rtaouty BSAR Transcript BSA: 31000150848290 and DCN: Filer Information City Smithfield SMITHFIELD - Enhanced State RI Al - Enhanced ZIP Code 02917 02917-1243 - Enhanced Country US US - Enhanced Type of Financial Institution Securities/Futures Introducing broker-securities Subsidiary of financial/bank holding company CRD Number 7784 Internal control/file number 0000114447 Contact for Assistance Full Name Phone Number Phone Type Work Law Enforcement Information No Law Enforcement Information Available Narrative This is a joint filing by Fidelity Brokerage Services LLC (*FBS*), National Financial Services LLC (*NFS") and Fidelity Investments Institutional Operations Company, Inc. ("FIIOC-) on behalf of certain of the Fidelity Group of Funds, affiliated financial institutions that are among the family of companies collectively doing business as 'Fidelity Investments." This suspicious activity report ('SAR') is being filed because Fidelity discovered adverse media associated with a Jeffrey Epstein, an authorized individual on a corporate account established on 4/12/2019. The account relationship has since been terminated, and the assets in the account have since been transferred to Interactive Brokers, Banco Popular, and First Bank as detailed below. According to multiple news articles, Jeffrey Epstein was arrested on 07/06/2019 and charged with one count of sex trafficking of minors and one count of conspiracy to engage in sex trafficking of minors. Additional media information identified that in 2008, Jeffrey Epstein was sentenced to 13 months in prison in Florida, which required him to settle with his then-teenage victims and register as a sex offender after agreeing to a plea deal in which he pleaded guilty to charges of soliciting prostitution. Page 4 The enclosed reformation was collected and disseminated under provisions of the Bank Secrecy Acl Otte SSA) and U.S. Department of the Treasury regttations implementing the BSA. See 31 U S C. 5311. et seq.: 31 CFR Chapter X. The reformation is sensitive n nature and is to be treats accadingly. The information may be used only fa a purpose consistent with acrmnal, tax. or regulatory nvestigation or proceeding. or in the conduct of intelligence or counterntelligence activities. inclucYlg analysis. to protect against nternational terrorism. See 31 U S.C. 5311. The information cannot be further released. disseminated. disclosed. or transmitted without prior approval of the Director of Fnancial Crnies Enforcement Netwakor his authorized delegate. Suspicious activity reports filed under the GSA must be treated with particular care given that they contain unsubstantiated allegations of passtle criminal actmty. akin to confidential informant tips. Unauthorized release of information collected wider the BSA may result in criminal or civil sanctions. 0638P80910001£:VSB EFTA00100897 F . cEN Financial Crimes Enforcement Network ? d• s -in United &acs Dept molt J the Treasury BSAR Transcript BSA: 31000150848290 and DCN: Narrative Account .vas established on 04/12/2019 with FBS, a registered broker-dealer that clears transactions for its clients through an affiliated registered broker-dealer, NFS, and is registered to Southern Trust Company Inc. (TIN: 66-0779861), at 6100 Red Hook Quarter B3, St. Thomas, VI 00802. NFS processes payments and settlements in this brokerage account through holdings of one of the registered money market funds in the Fidelity Group of Funds. Account documents identified the authorized individuals as Richard Kahn (SSN: and Jeffrey Epstein (SSN: DOB: 01/20/1953). A review of the activity in the above-described account from the account establishment date of 04/12/2019 to 07/18/2019 identified the following relevant activity: - On 04/12/2019, the account received a check deposit in the amount of $250,000.00 from FirstBank account number in the name of Southern Trust Company Inc. in St. Thomas, VI. - On 04/17/2019 and 04/26/2019, the account received wire transfers in the amounts of $2,000,000.00 and $3,000.000.00, respectively, from Deutsch Bank Trust Company. The sender on both wires was identified as Southern Trust Company Inc. - On 05/14/2019, the account received a wire transfer in the amount of $650.18 from Pershing LLC. The sender on the wire was identified as Southern Trust Company Inc. - On 06/11/2019, the account disbursed $866,905.25 via wire transfer to FirstBank Puerto Rico account number (ABA number in the name of Southern Trust Company Inc. - On 06/11/2019, the account disbursed $1,500,000.00 via wire transfer to Banco Popular De Puerto Rico account number (ABA number in the name of Jeffrey Epstein. - On 06/11/2019, the account disbursed $2500,000.00 via wire transfer to FirstBank Puerto Rico account number Page 5 The enclosed eformation was colected and disseminated under provisions of the Bank Secrecy Act (the SSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311. et seg.: 31 CFR Chapter X. The eformation is sensitive it nature and is to be treated accoddingty The information may be used only for a purpose con oaten with a crimes{ tax. or regulatory evestigation 04 proceeding. Of in the conduct of etelligence a counteretelligence activitiesoncludeg analysis. to protect against eternabonal terrorism. See 31 U.S.C. 5311. The information carnal be further released. disseminated. dixlosed. or transmitted without pith approval of the Director of Feancial Crates Enforcement Network or his authorized delegate Suspicious activity reports fled under the BSA must be treated with particular care given that they contain unsubstantiated allegations of passible criminal activity. akin to confidential informant tips- Unauthorized release of information collected under the BSA may result in criminal or civil sanctions. 0638178091.000 IC :VS8 EFTA00100898 FinCEN Financial Crimes Enforcement Network r.alica sow, Deparmaic a the ricbuty BSAR Transcript BSA: 31000150848290 and DCN: Narrative (ABA number the name of Jeffrey Epstein. - On 07/02/2019, the account disbursed $3,591.16 via wire transfer to FirstBank Puerto Rico account number (ABA number: in the name of Southern Trust Company Inc. Additional activity included the disbursement of two securities via ACAT transfer on 07/03/2019 to Interactive Brokers account numbe As of 07/18/2019, account only. Due Diligence: had a balance of zero. The account was restricted on 05/30/2019 to closing transactions A credit header report confirmed the above-provided identifying information of Jeffrey Epstein. A review of public media information identified Jeffrey Epstein as the 100% owner of Southern Trust Company Inc. No additional relevant information was identified. Page 6 The enclosed mformation was caected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Depatment of the Treasury regaations implementing the BSA. See 31 U S C. 5311. et seq.: 31 CFR Chapter X. The mformation is sensitive m nature and is to be treats accadingly. The information may be used only fa a purpose consistent with acrtnnal, tax. or regulatory investigation or proceeding. or in the conduct of mtelligence or countermtelligence activities. incluctn analysis, to protect against mtemational terrorism. See 31 U S.C. 5311. The information cannot be further released. disseminated. di:err-ed. or transmitted without prior approval of the Director of Financial Crimes Enforcement Netwakor his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of passtle criminal activity. akin to confidential informant tips. Unauthorized release of information collected wider the BSA may result in criminal or civil sanction:. 0638P809100016:VSU EFTA00100899