EFTA Document EFTA01295568

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01345935 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL FtELATIONSHIP:00000.463290 Booking Center: New York Relationship Manager: Paul Moms Relationship to PWM: r New PWM Relationship I F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Client(s) Introduced? How long has the RM personally known the client? F . Client Referral I r RM Prospect I r Intermediary/FIM I r Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. LSJE was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduttion of this relationship? r YeS I F No (If Yes, descnbe). List all existing and new accounts involved in this relationship Legal Entity Accounts) Account Name / Number Opening Date (intended/actual) 1 F LSJE, LLC 2/17/2015 2 F LSJE, LC 2/17/2015 Who Is the pnmary ontact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the accounts.): Darren Indylce Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY_GM_00056725 CONFIDENTIAL — PU Intps://dbforeepb.my.salesforce FED. .c R tAkisPIDENTIK0L130000000D9Di&ei... 7/3/2015 RSUANT TO . RP e. te ' ) DB-SDNY-00 19549 EFTA (H) 167295 EFTA01295568 KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: LS)E, LLC I Acct Number Of evailablell nt Accou 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 the daily expenses associated with running one of Jeffrey Epstein's private homes. Indicate from where the assets are expected to arrive? I; DB Group: Same Booking Center (indicate account number): Deutsche Bank F DS Group: Other Booking Center (indicate 013 location and account details): F Other Institution — (Indicate name & location): 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 10-20 inflows and outlays per month ranging from $10,000 to $100,000 What is the expected volume of assets and currency for 250000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 250000 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 AccountPIC Sett or of siltimate Signatory _imitecFnancial Significant Entityof Source Holder OwnerTrust / Beneficekor Full 'OA IntermediaryShareholder of Wealth Founder of Owner POA (FIM) (>=25%) required Parties related to "ounclabon Non-PIC entity (indicate ownership Other (please describe other roles and/or indicate relationship between this account %) oartes) 1 F F LS3E, LLC F F F F F F F 2 F F Darren indyke F F F F F F F 3 F F Jeffrey Epstein F F F F F F F SDNY_GM_00056726 Imps://dbforcepb.my.sale UANT TO sforeeribasPIDIENTIK0LN30000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS FED. R. IWP. 13(b) DB-SDNY-00 19550 EFTA_00I 67296 EFTA01295569 KYC Print Page 3 of 13 2. Account Ownership Summary Account Name: LSJE, LLC 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 account. To hold funds and earn interest indicate from where the assets are expected to arrive? F O13 Group: Same Booking Center (indicate account number): DB F DB Group: Other Booking Center (indicate O13 location and account details): F Other Insbtubon — (Indicate name & location): 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 $10,000 to $100,000 What is the expected volume of assets and currency for 250000 Currency USD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 250000 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/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of _Iltimate Signatory _imitedflnancial ignificant Entityof Source Holder OwnerTrust / Beneficialdr Full POA Intermedia hareholder of Wealth Founder of Owner POA (FIM) >-25%) required Foundation -PIC ttty indicate Other (please describe other roles and/or indicate p i ities related to s account o) ership relationship between parties) 1 F F LSJE, LLC F F F F F F F 2 r r Darren Indyke r F r F F r r 3 F F Jeffrey Epstein F F F F F F F SDNY_GM_00056727 littps://dbforeepb.my.sale UANT TO sforeerkisPletENTIK0LN30000000D9Di&ei.. . 7/3/2015 CONFIDENTIAL - PU RS FED. R. IWP. ' DB-SDNY-0019551 EFTA_001 67297 EFTA01295570 KYC Print Page 4 of 13 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 residence: Little Saint James Saint Thomas 00802 US Virgin Island Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Positionifide/Ftank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a - Fnendship, describe) F Family F Friendship F None 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 goods or services)?(if Yes,descnbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul Morris r F r 1/20/2015 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 partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments r; 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 famdy 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, 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, which merged into Southern Financial LLC. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income 10000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM ($): Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): SDNY_GM_00056728 Intps://dbforeepb.my.salesforeec UANT TO FED. R VNIOPIDENormtn0000000D9Di&ei.. . 7/3/2015 CONFIDENTIAL - PU RS ItoeP. ' DB-SDNY-00 19552 EFTA_00I 67298 EFTA01295571 KYC Print Page 5 of 13 Other Known Financial Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 330,000,000.00 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.): SDNY_GM_00056729 https://dbforcepb.my.salesforce.caA N30000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R.vmentIOEWiled- DB-SDNY-0019553 EFTA_00167299 EFTA01295572 KYC Print Page 6 of B One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Citizenship: USA Address of primary residence: 2 Kean Court Livingston NJ 07039 USA Profession/Occupation: Lawyer Tax ID / SSN: 098-54-8596 Current Employer: Southern Financial LLC Posibon/Trde/Rank: Address of employer: 575 Lexington Avenue, 4th A Livingston NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) I- Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Fan* or Fnendstv, describe ) F Family F Friendship F None 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 goods or services)?(if Yes,desenbe) r Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: r r r r r F. r r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r Other. Further Describe Source of Wealth /Detail the history of vealth 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.) Estimated Annual Income (5): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(g): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00056730 littps://dbforcepb.my.salesforce UANT TO FED. R. AkisPlEettpA0LN30000000D9Di&ei.. . 7/3/2015 CONFIDENTIAL - PU RS . ReP. kb) DS-SONY-0019554 EFTA_00I 67300 EFTA01295573 KYC Print Page 7 of 13 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00056731 Imps://dbforcepb.my.sale UANT TO sforce.crOPEpplopp 1/40L130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS FED. R. ItoeP.IM ' DB-SONY-0019555 EFTA_001 67301 EFTA01295574 KYC Print Page 8 of 13 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: LSJE, LLC - 00000499733 Type of Entity: r Foundation/Association r Trust F Company F Estate r Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: USA Date of incorporation / registration: 10/27/2011 Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/EIN: 66-077615 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocatil ty,settior and beneficianes,etc.: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. Please indicate how ownership of the legal entity is reflected: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. F Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares issued. 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 r No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence Funds from Jeffrey Epstein's private of Corporate Assets (e g balance sheet or equivalent summary of assets/hatalibes): for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein. LSJE, LLC was established residence. No business purpose. Estimated gross receipts p.a.($): Estimated net profit p.a. (5): Estimated investable assets (5): $2 MM - 5 MM Potential Amount to be invested with MITI ($): 500,000.00 Other Known Financial Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 330,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00056732 Intps://dbforeepb.my.salesfore UANT TO FED. R. IWP. e e eNbasPIDsoppepz30000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS DB-SONY-0019556 EFTA_00I 67302 EFTA01295575 KYC Print Page 9 of 13 • SDNY_GM_00056733 http://dbforcepb.my.salesforce.eA Wile& N30000000D9Di&ei..• 7/3/2015 CONFIDENTIAL — PURSUANT TO FED. R.VRIWitr rie DB-SDNY-0019557 EFTA_00167303 EFTA01295576 KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elationship Name SOUTHERN FINANCIAL RELATIONSHIP .0.3 lung Center F NY F NY/Offshore F Offshore r- e s rioderate F High Risk Yoonsun Chung (Compliance Signature) DI3 Employee F DB Managed PIC 7 DO 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. 7 Yes F No searches is attached C. Please indicate the results of the database searches performed RDC searches complete r Yes F No negative results found r yes F No KR checks complete F Yes F No negative results found r Yes F No OFAC checks complete F Yes r No negative results found F Yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found F Yes F No D&B) Denial Orders checks complete F yes r No negative results found r yes P. No Martindate-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: LS3E, LLC: No negative media No court cases LS3E EMPLOYEES, LLC: No negative media No court cases D. DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media Is not about him individually but about the others mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC #:01082293 & 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F 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 F. threatening Itigabon against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes F No provide details below and contaa Quality Mgt (Lat4m/Intl) or tit Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions yes r F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' H. r l'eS F No Does the client or related party have any financial or other association/ interactions SDNY_GM_00056734 Imps://dbforcepb.my.sale UANT TO sforeeceeNbasgviCeplopp1/401\130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PU RS FED. R ' DB-SONY-0019558 EFTA_00 I 67304 EFTA01295577 KYC Print Page 11O113 within high risk countries? I. Corporate Documentation Attached (Legal Entitles Only) F yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r 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_00056735 littps://dbforeepb.my.salesforeeceeN o ORETIKOL130000000D9Di&ei.. . 7/3/2015 CONFIDENTIAL — PURSUANT TO FED. R Ittfls.13(b) ' DB- 019559 -00 19559 EFTA_00167305 EFTA01295578 KYC Print Page 12 of 13 M. Case Comments NO records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/13/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/13/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Yoonsun Chung (Signature) Gwen Hill Yoonsun Chung 2/24/2015 2/24/2015 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head rS ilTM)/Sub-Market Team Head f4TH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth SDNY_GM_00056736 Imps://dbforeepb.my.salesforee.crkisPIDENTIK0L130000000D9Di&ei... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R. RoeP.I3tb) ' DB-SDNY-00 19560 EFTA_00167306 EFTA01295579 KYC Print Page 13 of 13 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 of suitability, 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 of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my 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 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, Client Mangers. etc. Deutsche Bank Americas New York rJ SDNY_GM_00056737 https://dbforcepb.my.salesforce.caA N30000000D9Di&ei ... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. RISRifstrittleEtfilekt DB-SDNY-0019561 EFTA_00167307 EFTA01295580