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KYC Print
Page 1 of 10
DB PWM GLOBAL KYC/NCA: PART A rA
KYC Case R : 01121881
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Booking Center:
New York
Relationship Name:
EPSTEIN, JEFFREY RELATIONSHIP:00000483290
Relationship Manage:
Paul Marls
5 New PWM Relationship
O Existing PWM Relationship
Relabels/up to PWM:
If existing, pease indicate since when the relationship exists, provide reason for new probe and attach old profile:
O Client Referral
rr
-4 P.M Prospect
O Intermedrary/FIM
O Other Source (cm. etc.)
How Was the Chenhs)
Introduced' How long has the
RM personally known the
t;ient,
Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc.): Jeffrey is a
current client el the bank. These are new accounts. ntroducban of Paul and Jeffrey: Jeffrey Epstein was a client of PauFs at JP
Morgan. Paul and Jeffrey Epstein had a mutual frlen /coleague who Introduced them while Paul was at JI/Magan. Over the
course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Pliagan
Does Deutsche Bank pay a
retrocession a unitar
O Yes
I 2
No
compensation to a thud party
for the introduction of this
relationship/
(If Yes, deco e).
List all existng and new accounts involved in this relationship
Legal EntRy
Account(s)
Account Name / Number
Opening Date Ontended/actual)
1
[2I
Jeepers Inc
9/18/2013
2
2
Jeepers Inc
9/18/2013
Wino is the primary contact
person fa the RFP (Note:
This person needs to have
signatory nghts and/or
information right fa the
accounts.):
Jeffrey Epstein
Pr
(i
eferred method of contact
ndicate phone nO., fax no.,
e-mail address, etc.):
Status : 6. Approved
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
7/30/2019
DB-SDNY-0002527
EFTA_00016001
EFTA00166753
KYC Print
Page 2 of 10
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name:
leepers Inc
Acct. Number fifsalattle):
Account Manager:
Paul Morris
What is the purpose of the account (e.g. portfolio management advisory account, custody services, longterm invesbnent, payment/expense
account)' Checkhg account for Jeerers Inc day liquiddy needs.
Indicate from where the assets are expected to arrive'
•
DB Group: Same Booking Center (indicate account number):
E.) DB Group: Other Booking Center (indicate DB location and account detars):
RI Other Institution (Indicate name & location): 1Pflorgan Chase New York, NY
(1 Physical Deposits (specify cash, securities, cheques, ...):
What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughty 5-10
Mows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for the account approx. 90 days after opening'
125,000
I Currency
I USD
What is the expected volume of assets and currency for the account approx. one year after opening?
150,000
I Currency
1 USD
Does/will the client have Asset Under Management (Auld) within D8 under Eur. 3M?
I El Yes 74. No
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 relation to the account In the "Other column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Benefkia Owner(s .
*eel'
Entity
!intim
of Source
of Wealth
required
Parties
related
to this
Account
'folder
IC
Dvniertrust
Stator of
/
Founder of
Foundation
-Minute
Beneficial&
Saner
Sgnatonna
Full
POA
?OA
Dental
Intermedlaryshare
(FIN)
Significant
>=25%)
Cico-PIC
entity
(Indicate
ownership
20)
presentative
antor/Settlor Founding
Donor
Other
(pease
describe
other roles
and/or
ndicate
relationship
between
sallies)
1
2
I2I
feeperS,
in
a
O O
O
O
o O
O
O
K
2
O El
kitty
Epstein "
"
u
O
O
2
O U
O
EJ
O
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002528
EFTA_000 16002
EFTA00166754
KYC Print
Page 3 of 10
2. Account Ownership Summary
Account Name:
)eepers Inc
Acct. Number (1 avadatire).
Account Manage:
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 kept's Ines cash.
Indicate from where the assets are expected to arrive>
O DB Group: Same Booking Center (indicate account number):
0
DB Group: Other Booking Center (indkate DB location and account detals):
2 Other Institution (Indicate name A location): 1f+leggin Chase. New York, NY
O PhYskal 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 $1,000-510,000
What is the expected volume of assets and currency for the account approx. 90 days after opening>
1 50'
I Currency
I USD
What is the expected volume of assets and currency for the account approx. one year after opening>
1150.000
I Currency
I USD
Does/will the client have Assets Under Management (AuM) within DB under Eur.
>
• Yes 9No
Please list an parties Sated to the account.
For each party:
• Check If a source of wealth description is required for the party.
• Check the appropriate box to desc be the relationship of the party
• If none of the check boxes apply, escribe the party relation to
• Always describe the relationship between he parties in the last
• Please drill down to the ultimate/underlying Benefkial Ovmer(s
to this account (> 1 can be selected).
the account In the 'Other* column.
column.
.
.egal
Entity
Description
of Source
of Wealth
required
Parties
related
to this
account
k«ountbIC
colder OvnierTrust
Senior of
/
lounder of
Foundation
Jitimate
BeneftclaIx
Owner
Signatory‘imftedeinancial
Full
POA
?OA
IntemiediarySharelidderetepresaitathe
(FIN)
Sgnifcant
'>=2S9b)
Yon-PIC
entity
'ndicate
ownership
"b)
_eget
Srantor/Settlor Founding
Donor
O
Other
(please
describe
other roles
and/or
ndicate
relationship
Seven
sorties)
1 2 2
Scenes, ®
Inc
O
O
O
O
O
O
O
O
2
O
9
kff
Epsteiniey
n
,---,
O
O
O
9
O
O
O
O
O
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
7/30/2019
DB-SDNY-0002529
EFTA_00016003
EFTA00166755
KYC Print
Page 4 of 10
must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name:
Jeffrey Epstein - 00000483289
Date of Birth.
1/20/1953
Country of Residence:
USVI
Country d Ottenship:
USA
Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands
Has client resided outside of
Ns/her country of nationality
far S years or more
El yes ®No
ProfessionfOccupabon:
Self Employed
Tax ID / SSN:
Current Employer:
Southern Financial LLC
Posibon/Trtle/Rank:
President
Address of employer:
6100 Red Hook Quarter 83 St Thomas USW 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating entities
r--,
L...I Yes Z No
Is the individual a Polibcally Exposed Person (PEP)'(d Yes, cksente)
O Yes
E4g No
To the best of your knovAedge,
FM*
Friendshs detaibt)
is the individual related to an employee of the D8 group'(d
0 Family
0 Friemblilp
2 None
or
To the best of your knowiedge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or
services)'(/ Yes,decarbe)
No
•
Yes
2
If applicable, indicate which bank officers have met the
person:
Indicate Mitre and when the client meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Private
Domicile:
Client Place of
Business:
Other Location (specify):
Date:
Paul Morris
O
0
8/7/2013
•
O
o
O
ID
El
•
0 Wealth Details for this individual are not filled in, because 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 IndiVduars Business:
Private li
nts
Primary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth:
g Business owner 0Salary/Earnings 2 Investment 0 Inheritance/Gifts 0 Other:
Further Describe Source of Wealth /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance,
how did family accumulate wealthiFor business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries
of mayor activities, knportant business partners.) Epstein begs his financial career in 1976 as an options trader at Bear Steams and became a partneri n
1980. In 1982, Epstein founded his awn finance] management firm, 3. Epstein 8 Co., managing the assets of clients with more than a billion in net worth. In
1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients
were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management
firms
Estimated Annual Income(i):
10,000,000.00
Estimated amount of investable assels($):
$50 MM - 100 MM
Estimated Net Worth(i):
$100 MM • S00 MM
ArnouM of assets planned to invest with PVIPI($):
Other Known Fnancial Institutions:
Institution
Pilorgan Chase
I Country:
USA
Est Assets Under Mgt:
120,000,000.00
et/servl et. Integration?lid=01N30000000D9Di &e
7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002530
EFTA_00016004
EFTA00166756
KYC Print
Page 5 of 10
Institution:
County:
Est Assets Under Mgt:
Institution:
County.
Please indicate the famly situation of the indrridual (marital status, other family members, etc): Seigle
One sheet must be established for EACH LEGAL ENMITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name:
leepers, Inc - 00000486423
Type of Entity:
CI) FoundabcorAssociabon El Trust (AI Company ID Estate
El Partnership
Purpose of Entity.
PhdanthropiciChantable
rill Private Investment O
El
Comore
Commercial
Commercial
Type of Entity Other (specify):
Purpose of Entity
Other (specify):
Country of
incorporation/registration:
United States Virgin Island
Date of
incorporatran i
registration:
8/18/2003
Vokker Status'
Vokker Flag:
Address (city, street, post
code):
6100 Red Wok Quarter 83 St, Thomas 00802 USVI
U S. TIWEIN:
66-0629193
Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. For trustsifoundations, include information about
revocabdity,settlor and benefici nes,etc.:
Jeffrey Epstein Is the sole shar holder of leepers Inc
Please indicate how ownership of the legal entity is reflected: 1,000 shares of comma' stock are solely owned by Jeffrey Epstein
O
Special attention: Bearer Shares • Indicate where shares are custodled:
Describe th«hain from the direct owner d the entity to the ultimate beneficial owner (if not the same pbsons) Jeffrey Epstein is the sot 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 or services)'.
Yes O No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
kepers Inc is a private company that holds investments of its twiner, Jeffrey Epstein.
Counties where business is transacted:
USA, USVI
Number d employees:
3
Est Asset Under Mgt:
J
3D. Wealth Profile (Oily lei art et requr iiiii source of wealth Gieccription at .^d card in Section 2)
Primary Country of source d wealth/source of Funds'
Primary Industry of source of Wealth/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsrltabdtes):
3eepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began isqh 1,000 shares of <COMM stock at no par value. Its
revenue comes from the gains of the Investments it holds.
Estimated gross receipts ..(4):
400,000.00
Estimated
N.
200,000.00
net proft
(s):
Estimated Investable assets ($):
$20 MM - 50 MM
Potential Amount to be invested with KM ($):
200,000.00
Other Know Financial Institutions:
Institution:
JP Morgan Chase
Country
USA
Est. Assets Under Mgt
28,000,000.00
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
7/30/2019
DB-SDNY-0002531
EFTA_000 16005
EFTA00166757
KYC Print
Page 6 of 10
Institution:
Country:
Est. Assets Let Mgt
Imetutka:
Country:
Est. Assets Ueda Mgt
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002532
EFTA_000 16006
EFTA00166758
KYC Print
Page 7 of 10
DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART B
Relationship Name
Risk Rang Comment:
Booking Center
•
C Offshore IF Moderate
isk
Gwen Hill
J
NY/
NY
S High Risk
Offshore
(Compliance Signature)
0 Ce Employee
0 DB Managed PIC
0 DB Is Trustee/Co-Trustee
D Bearer Shares
4. Attachment;
A. Type r0 Photo ID Provided
2 Drtvers License 0 Passport 0 National/State ID 0 other
for
Checklist of names (indielduals and/or entries) that were submitted
database searches is
B.
1:4. Yes Elio
attached
C. Please indicate the results of the database searches performed
RDC searches complete
@ yes 0 No
negative results found
Dyes @ No
KR checks complete
2 yes 0 No
negative results found
Oyes @ No
OFAC CMOS Complete
ni yes 0 No
negative results found
Ores 2 No
BIS searches complete (Leds/Nexis, Facia, Reuters, Dow Jones, is
gres 0 No
negative results found
0 Yes 0 No
Denial Ciders checks complete
Ed Yes 0 No
negative results found
Oyes FA No
MartindaleHubbel searched (Lawyerspaw Firms only)
Oyes 15 No
negative results found
• yes 0 No
Please summarize any negative resat from the database searches Indicated abort:
Jeffrey as approved in KYC it0t062293
His PCR/RDC alerts and clearances and al documentation is contained in the above mentioned KYC
D.
JEEPERS, INC
No Negative Media
All court cases are not our client. The court cases refer to a _teepees Inc in Arizona and one in North Carols. Our client is based in the US Virgin Islands
E. To the best of your knowledge, has the client ever been convicted of a criffinal offense'
EA yes 0 No
To the best of your knout/edge, has the customer ever been Involved In any past litigation against
Deutsche Bank AG or any of its subsidiaries or Is the customer threatening litigation against
F. Deutsche Bank AG or any of its subsidiaries? (N yes, provide *tails belcsv arid contact Qua/AyMgt. 0 Yes 2 No
(tatknfine0 or the Rego/army Caner,/ Group and notify Compliancy immediately)
Does the client or related party have arty financial or other association / interactions within
G. Mirada or regimes sanctioned by the Office of Foreign Assets Control (OFAC)'
0 yes 2 No
Does
have
financial
interactions
high
the client or related party
any
or other association/
within
risk o
yes .5 No
H
H. countrks,
I. Corporate Documentation Attached (Legal En es Only)
1r4 Yes • No 0 Not Appicable
J. Undisckeed Principal Form Complete (Intermediaries Only)
IN Yes II No t!I Not Applicable
K. If Lexis/Nexh Search Results, Corporate Documents or Other Supporting Documentation es not in English, please provide an English summary of the
nature/contents of the an-English Documentation:
L Special Rik Factors
Does the account have Nexus to Special MA Countries?
Dyes EZNO
is the account structure unusualy complex'
0 yes
No
Is there any indication the client set up a non operating company expressly
0 yes 2 No
for the purpose of transferring shares to third parties'
Is there any indication this could be a prohibited business relationship'
Oyes n No
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
7/30/2019
DB-SONY-0602533
EFTA_00016007
EFTA00166759
KYC Print
Page 8 of 10
Are the bearer shares identified subject to acceptable controls'
D Yes V blo
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002534
EFTA_000 16008
EFTA00166760
KYC Print
Page 9 of 10
I
4o records to display.
M. case Comments
Client Facing Prifessional (CEP):
Paul MOUS
(S1gaatUre)
Paul MIXII‘
9/4/2013
Office Director/Business Head:
Brian M. Biggar
(Signature)
Brian Fl. B•ggar
9/4/2013
Regional Office Director:
(Signature)
AML Business Risk:
(Signature)
M.11 Comp' once
Janice Farads,
Gwen HA
(Signature)
Janice Rankin
Gwen MI
9/6/2013
9/6/2013
Client Facing Professional (CFP):
(Signature)
Account Manager:
(Signature)
Global Market Team (lead
rSM
fT2O/Sub-Market Team Head
TM):
(Signature)
MIL Business Risk:
(Signature)
Mt Ca* lance
(Signature)
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
Professionals!(i) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high
standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately
documented by the CFP. It is the responsibility ofCFP'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 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! 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,
(Went Managers, etc.
Deutsche Bank Americas New York
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002535
EFTA_000 16009
EFTA00166761
KYC Print
Page 10 of 10
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
7/30/2019
DB-SDNY-0002536
EFTA_00016010
EFTA00166762