EFTA Document EFTA01656426

FinCEN I Financial Crimes Enforcement Network United Stan pepsmatt of the Treasury 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 Subj•ct of 1 : EPSTEIN Role Subject Individual/Organization Individual Last(or Entity) Name EPSTEIN First Name JEFFREY Alternate Name(s) Alternate Name I SOUTHERN TRUST COMPANY, INC Gender Type Unknown Date of Birth 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 Country VI US - Enhanced Phone Number(s) Type Work Number Corroborative Statement to Filer No Relationship to Reporting Institution(s) Institution TIN 043523439 Relationship of Subject Customer. Yes Affected Account(s) Account Number Z40021776 Page 1 The enclosed nformatico was caected and disseminated under provision: of the Dank Secrecy Act (Me SSA) and U.S. Department of the Treasury regOations implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chapter X. The nformation is sensitive ri nature and is to be treats accadingly The information may be used only for a purpose con ustent with acr.noal, tax. or regulatory nvestigation or proceeding. or in the conduct of ntelligence or counterntelligence activities. inclutfen 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 Crates 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 pays.ble criminal activity. akin to ccofidential informant tips. Unauthorized release of information collected wider the BSA may recult in criminal or civil :webs:. 0638V8091.0001E:VS8 EFTA01656426 FinCEN I Financial Crimes Enforcement Network United S(.613 peps malt a the ricabuty BSAR Transcript BSA: 31000150848290 and DCN: Subject Information Financial Institution TIN 1043523439 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 043523567 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 Location 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 042647786 Address Address Type Address where transaction occurred Street Address 245 Summer Street Page 2 The enclosed reformation was caected and disseminated under provisions of the Bank Secrecy Act (the SSA) and U.S. Depatment of the Treasury regdations implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chapter X. The mformation a sensitive n nature and is to be treats accadingty. The information may be used only for a purpose consistent with a crrnmat. tax. or regulatory mvestigat.on 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 Fmancial Crates Enforcement Network or he authorized delegate. Suspicious activity reports filed under the GSA must be treated with particular care given that they contain unsubstantiated allegations of covstle criminal activity. akin to confidential informant tips. Unauthorized release of information collected wider the BSA may result in criminsi or civil sanctions. 06Z8V8051000IC VS9 EFTA01656427 FinCEN Financial Crimes Enforcement Network United Sows Dees intent of the Ttmury 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 Locatior 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 043523439 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 043523439 Address Address Type Reporting party address Street Address 900 Salem Street 900 SALEM ST - Enhanced Page 3 The enclosed reformation was corrected and disseminated under provisions of the Bank Secrecy Act (the SSA) and U.S. Department of the Treasury regaations 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 accadingly The information may be used only fa a purpose consistent with acr.-int tax. or regulatory mvestigation or proceeding. or in the conduct of mtelligence or countermtelligence activities. incluckig 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 Craws Enforcement Network or he 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 ccolldential informant tips. Unauthorized release of information collected wider the BSA may result in criminal or civil :webs:. 06Z8V80510001C.VSO EFTA01656428 FinC:EN I Financial Crimes Enforcement Network Unita' Scams Departmea 0.< I owity „ `7> BSAR Transcript BSA: 31000150848290 and DCN: Filer Information City Smithfield SMITHFIELD - Enhanced State RI RI - 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 Ray Rowland 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. ("FlIOC*) 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 eformaticn was colected and disseminated under provisions of the Bank Secrecy Act (the SSA) and U.S. Department of the Treasury regdations implementing the BSA. See 31 U.S.C. 5311. et seq.: 31 CFR Chwter X. The eformation is sensitive at nature and is to be treated accordingly. The information may be used only for a purpose consistent with a cone* tax. or regulatory evestigation or proceeding. Of in the conduct of etelligence Of counteretelligence activities. inclueng analysis. to protect against etemational terrorism. See 31 U.S.C. 5311. The information cannot be further released. disseminated. disclosed. Of transmitted without prior 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 posoble criminal activity. akin to ccnklential informant tips- Unauthorized release of information collected ruder the BSA may result in criminal or civil sanctions. 0638178091000IX:VSEI EFTA01656429 FinCEN I Financial Crimes Enforcement Network United Sows Departmait ul the Treasury BSAR Transcript BSA: 31000150848290 and DCN: Narrative Account Z40-021776 was 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: S DOB and Jeffrey Epstein (SSN: 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 7211098521 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 7211098521 (ABA number 221571473) 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 196077567 (ABA number 021502011) 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 7191372601 Page 5 The enclosed eformaticn was colected and disseminated under provisions of the Bank Secrecy Act (Me BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U_S.C. 5311. et seq.: 31 CFRChapter X. The eformation is sensitive al nature and is to be treated accordingly. The information may be used only for a purpose conDstent with a trans{ tax. or regulatory awe:ligation or proceeding. or in the conduct of etelligence or counteretelligence activities. indudeg analysis. to protect against alternation,' terrorism. See 31 U.S.C. 5311. The information cannot be further released. disseminated. disclosed. or transmitted without per approval of the Director of Feancial Craw Enforcement Network or his authorized delegate Suspicious activity reports fled under the BSA must be treated with particular care given that they contain unsubstantiated alkgabons of passable criminal activity. akin to ccrifklential informant tips. Unauthorized release of inf.:mats:in collected under the BSA may result in criminal or civil sanctions. 06Z8V8051000IX:Val EFTA01656430 FinCEN I Financial Crimes Enforcement Network United Anus Dept (malt tithe riccury BSAR Transcript BSA: 31000150848290 and DCN: Narrative (ABA number 221571473) in the name of Jeffrey Epstein. - On 07/02/2019, the account disbursed $3,591.16 via wire transfer to FirstBank Puerto Rico account number 7211098521 (ABA number: 221571473) 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 number U2269756. As of 07/18/2019, account Z40-021773 had a balance of zero. The account was restricted on 05/30/2019 to closing transactions only. Due Diligence: 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 reformation 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 seq.: 31 CFR Chyle; X. The nformation is sensitive n nature and is to be treats accadingly. The information may be used only foe a purpose conustent with a crime* tax. or regulatory nveztigation or proceeding. of in the conduct of ntelligence of counterntelligence activitiesoncludng analysis, to protect against nternabonal terrorism. See 31 U.S.C. 5311. The information soviet be further released. disseminated. disclosed. or transmitted without pith approval of the Director of Fnancial 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 conklenbal informant tips- Unauthorized release of information collected wider the BSA may result in criminal or civil sanctions. 06Z8V8091000IX:Val EFTA01656431