EFTA Document EFTA01428839

Customer: Southern Trust Company, Inc. — Salesforce - Unlimited Edition Page 1 of 4 Cynthia Rodriguez Home Leads Customers Contacts Opportunities Cases Products Reports Search Go! Limit to items I own Advanced Search... Create New... Shortcut Unresolved Items Recent Items Southern Trust Company, Inc. - DAVID J. MARTINELLI PDOK 3 LLC SHARI WAGNER 2015 GRAT KATI WANEK-FORSYTHE 2015 GRAT - GEW 2009 LLC GEW 2009 LLC - GEW 2009 LLC Customer Southern Trust Company, Inc. Open Activities [1] Contacts [4] DB Accounts [5+] Contact Exemptions ACUs [0] Opportunities [5+] Customer Team [1] Associations [0] Cases [5+] I Activity History [4] Notes & Attachments [5+] Client Complaints (Customer) [0] Others Represented By This Client's ACU [0] Customer Detail Customer Record Type I TEAS History [0] Edit Client Customer Name Southern Trust Company, Inc. [View Hierarchy] Relationship SOUTHERN FINANCIAL RELATIONSHIP * Type SSN Organization Federal Tax ID # Referral Source Name of Referral Source Third Party Referral Source EFTA01428839 66-0779861 Customer Owner Stewart Oldfield [Change] German PO Last Modified By Created By Komal Shahani, 5/28/2013 10:32 AM Relational Junction, 3 21 2017 9:13 PM GCIS Customer Number Bank 1 * Moderate Risk * High Risk Risk Reason KYC 1195100 Risk Rating: .521 C 02 KYC 1082293 PEP Status Active Client Since Date Former Client? Portfolio Management Team Covenant Contact Preference Recycle Bin EEA Client Type N/A 8/26/2013 Risk Type Volcker Covered Fund? No Will Appointment Gross Estate * Booking Location Switzerland Form K KCP Eligible Custom Links View DB Accounts and Revenue Request Customer Deletion Request Primary Officer Change Request New Relationship Launch NAO Wizard View NAO Cases Launch Due Diligence Classification Potential New Revenue $25 - 50 K Client Satisfaction Satisfied Industry Finance Revenue Tier B (> $50K < $100K) Forbes Ranking Segment Financial Profile (KYC Information) * Net Worth (Individual) EFTA01428840 Income (Individual) *Estimated Annual Gross Income (Entity) *Estimated Annual Net Profit (Entity) $2,000,000.00 $1,500,000.00 Source Of Income * Source of Wealth (Individual) * Description of Wealth/Entity Assets Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Assets Held Elsewhere (KYC Information) * Institution 1 db Client/Assets At Risk Log Client Complaint Import Documents Export Documents View Documents From Repository Create Annual Client Update Request ACU Contact Exemption View Exemption Guidelines Generate Key Relationship Report Launch ALAT Process View Loan Covenant Details Annual Client Updates [4] Lending Approvals/Reviews [0] AIS Requests [0] SPG Approval Requests [0] Contact Dedupping Duplicates [0] Audit Trail [5+] Account History [3] Report Covenant Masters [0] Loan Facilities [0] Customize Page I Printable View I Help for this Page EFTA01428841 Ticklers [0] Setup Help & Training db Force Marketing Events Dashboards Contact Exemptions ACUs Unconfirmed Investor Status Investor Status Definitions * DB is Trustee/CoTrustee * DB Employee? * DB managed PIC * Bearer Shares? http://pwm.intranet db.com/new/filehandler.php?... $5 MM - 10 MM * Investable Assets $2 MM - 5 MM *Estimated Annual Investment Objective Risk Tolerance Sophistication * Est. AUM 1 $2,000,000 https://dbforcepb.my.salesforce.com/0016000000qaNX0 4/4/2017 EFTA01428842 Customer: Southern Trust Company, Inc. — Salesforce - Unlimited Edition Page 2 of 4 * Institution 2 * Institution 3 Additional Information (Entities Only) * Nature of business Consult and invest client funds and gain revenue based on fees and returns * Country of Incorporation Registration * Date of Incorporation/Registration * Countries where business is transacted * Number of Employees Biography Description Investment Guidelines Initial Financial Review High Risk Updates/ACU Exemptions Exemption Status Auto Exempt Reason Exemption Reason Other (describe reason) Birthdate ACU held in Customer ACU on this Customer also Cover Edit Contacts Action Contact Name Darren Indyke Richard Kahn Business Edit Bella Klein Edit Southern Trust Company, Inc. DB Accounts Action DB Account Name Edit Edit Edit Edit Edit - SOUTHERN TRUST COMPANY, INC. - SOUTHERN TRUST COMPANY INC - SOUTHERN TRUST COMPANY, INC. - SOUTHERN TRUST COMPANY, INC. SOUTHERN EFTA01428843 TRUST COMPANY INC Show 2 more » I Go to list (7) » Contact Exemptions ACUs No records to display Opportunities Action Opportunity Name Edit DOJ Deposit Recapture UPDATE Edit Checking Edit Checking Edit Brokerage #2 Edit Checking Show 2 more » I Go to list (7) » Customer Team Team Member Cynthia Rodriguez Account Id Contact Name out ern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Product Name DB AG NY Preferred Deposit Brokerage Advisory Money Market Business Account Deposit Transactions Brokerage Advisory $1,000,420.15 2/21/2017 $7,138,917.00 8/26/2013 $500,764.97 8/27/2013 $1,000.00 8/27/2013 $0.00 10/8/2013 Edit Edit New Contact Salutation Primary Main Contact Phone Primary Phone Type Email EFTA01428844 Contacts Help US Virgin Islands 11/18/2011 US Virgin Islands 4 * Est. AUM 2 * Est. AUM 3 * Type of Entity Company * Type of Entity Other (specify) * Purpose of Entity: Private Investment * Purpose of Entity Other (specify) *Description of Organizational Ownership Jeffrey Epstein is the sole shareholder of Southern Trust Annual Client Update Due Date Overdue (1=Yes) Past-Due Explanation High Risk InPerson Meeting Due Year Lending Review Due Date Territories Banking, Stewart Oldfield 2020 1/30/2018 0 DB Accounts Help Market Value Date Opened Active Balance As Of 4/3/2017 4/3/2017 4/3/2017 4/3/2017 4/3/2017 New Contact Exemption ACU Contact Exemptions ACUs Help New Opportunity Opportunities Help Product Family Stage Close Date Banking Products Business Awarded 2/24/2017 Banking Products Business Awarded 12/18/2013 Banking Products Business Awarded 10/18/2013 Brokerage Inactive 10/16/2013 Banking Products Business Awarded 10/15/2013 EFTA01428845 Total Assets $16,000,000.00 $10,000,000.00 $6,000,000.00 $5,000,000.00 $8,500,000.00 Total Estimated Revenue $0.00 $0.00 $0.00 $0.00 $0.00 Add Customer Team Help Team Role Banking Officer https://dbforcepb.my.salesforce.com/0016000000gaNX0 4/4/2017 EFTA01428846 Customer: Southern Trust Company, Inc. — Salesforce - Unlimited Edition Page 3 of 4 Associations No records to display Cases Action Case Edit I Cls 01757606 Edit I Cls 01749926 Edit I Cls 01748434 Edit I Cls 01748321 Edit I Cls 01740101 Case Record Type Business Internet Banking - Wire Customer Research Request Form Customer Research Request Form Misc Client Instructions -Banking Misc Client Instructions -Banking Show 5 more » I Go to list (50+) » Open Activities Subject Action Edit I Cls REMINDER: KYC Update required for this Customer. Click on "Related To" link. Activity History Subject Action Edit I Del Call Report Edit I Del Call Report Edit I Del call report - Southern Financial [I] Edit I Del call report - Southern Financial Notes & Attachments Action Type Title Edit I View I Del Attachment STFR Southern Financial 7.20.16.pdf Edit I View I Del Attachment 1127 001.pdf New Task New Event Type Task Task/Event Record Type Due Date Status Call Log a Call Mail Merge View All Type Task Task/Event Record Type Call Call Call EFTA01428847 Call Task Task Task Task New Note Attach File View All Related To 01469618 Edit I View I Del Attachment Banco Popular Terrence Wire 1.23.2015.pdf 01338683 Edit I View I Del Attachment 2013 11 16 STC wire to STC.pdf Edit I View I Del Attachment updated page.pdf 01165057 01115904 Show more >> Annual Client Updates Action ID Edit 0082913 Edit 0075792 Edit 0069404 Edit 0063601 Meeting/Call Date 1/30/2017 6/9/2016 7/23/2015 7/31/2014 Lending Approvals/Reviews No records to display Ticklers No records to display Client Complaints (Customer) No records to display AIS Requests No records to display SPG Approval Requests No records to display Contact Dedupping Duplicates No records to display Client Complaints (Customer) Help New Tickler Ticklers Help Meeting/Call Type In Person - Client Office Phone Call Phone Call Phone Call New Lending Approval/Review Created By Cynthia Rodriguez, 3/16/2017 11:27 AM Cynthia Rodriguez, 6/14/2016 10:15 AM Amanda Kirby, 7/28/2015 4:11 PM Go to list » EFTA01428848 Amanda Kirby, 8/4/2014 10:34 AM Lending Approvals/Reviews Help Due Date Status Task 8/4/2014 In Progress Open Activities Help Priority Assigned To Normal Paul Morris Activity History Help Priority Assigned To 2/21/2017 Complete Normal Cynthia Rodriguez 2/1/2017 Complete Normal Cynthia Rodriguez 1/9/2017 Complete Normal Cynthia Rodriguez 1/9/2017 Complete Normal Cynthia Rodriguez Notes & Attachments Help Last Modified Created By Southern Trust Company, Inc. 7/20/2016 3:19 PM Brianna Fowler 10/1/2015 3:55 PM Jj Litchford 1/23/2015 3:29 PM Amanda Kirby 12/16/2013 3:56 PM Aracely Sanchez 8/27/2013 12:23 PM Dhruv Yadav New Associations Associations Help New Case Cases Help Type Case Subject Contact Name Southern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Southern Trust Company, Inc. Date Opened Status Owner 3/31/2017 Verified Banking STP Processing 3/13/2017 Verified 3/8/2017 3/8/2017 3/2/2017 GTO - Banking (Financial) Killed Killed Transactions Killed Killed Transactions Verified EFTA01428849 GTO - Banking (NonFinancial) Annual Client Updates Help New AIS Request AIS Requests Help New SPG Approval Request SPG Approval Requests Help New Contact Dedupping Duplicates Contact Dedupping Duplicates Help https://dbforcepb.my.salesforce.com/0016000000qaNX0 4/4/2017 EFTA01428850 Customer: Southern Trust Company, Inc. — Salesforce - Unlimited Edition Page 4 of 4 Others Represented By This Client's ACU Others Represented By This Client's ACU Help No records to display TEAS History No records to display Audit Trail Action Audit Trail ID 1262534 1262535 1262536 1262537 1262538 Show 3 more » I Go to list (8) » Account History Date 1/20/2017 3:38 AM 5/25/2016 9:27 PM 5/28/2013 10:32 AM Account History Help User Relational Junction Relational Junction Komal Shahani Report Covenant Masters No records to display Loan Facilities No records to display Back To Top Always show me more records per related list Copyright 0 2000-2017 salesforce.com, inc. All rights reserved. I Privacy Statement I Security Statement I Terms of Use 1 508 Compliance Action Changed Volcker Covered Fund? to No. Changed Customer Owner from Paul Morris to Stewart Oldfield. Created by lead convert New Report Covenant Master Report Covenant Masters Help TEAS History Help Audit Trail Help Loan Facilities Help https://dbforcepb.my.salesforce com/0016000000qaNX0 4/4/2017 EFTA01428851