EFTA01283911
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People (5) #
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KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case : 01141322 Status : 6. Approved One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Rdabonship Name: SOUTHERN FINANCIAL FtELATIONSHIP.00000483290 Booking Center: New York Relationship Manager: Paul Morris • New FINN Relationship El Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationsh p exists, provide reason for new profile and attach old profile: O Client Referral 21 RM Prospect O thtermethary/FIM O Other Source (as, etc.) How Was the Client(s) Introduced> How long has the Please provide debts (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein RN personally thown the is a current dent of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein vas a clients client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who Introduced them wide Paul was at JPhlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Don Deutsche Bank pay a O Yes Ig No retrocession or similar compensation to a third party for the introduction of this (If Yes, desenbe) relationship> List all sating and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) Account(s) 1 2 NES, LLC 10/28/2013 2 FA NES, L C — Money Market 10/28/2013 Who is the pitman/ contact person for the RH> (Note: Preferred method of contact This person needs to have Hairy Beller (indicate phone no„ fax no., signatory rights and/or e-mail address, etc.): information right for the accounts.): SDNY_GM_00039813 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002637 EF1'A_00150422 EFTA01283911 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: NES, LLC Acct Number (daysYstsW. Account Manager: Paul Morris What's the Purpose of the account (e.g. portfolio management, advisory account. at:4y services, long-term investment, Darman/exPena account)' Checking account to hold the hods necessary to cover the costs associated wt, running one of Jeffrey Epsteki's homes Indicate from where the asset are expected to ante' 0 043 Group: Same Booking Center (indicate account number): 0 08 Group: Other Booking Center (indicate CS location and account details): I21 Other Institution (Indicate name & location): Pita:sun. New York • Physical Deposits (specify cash, securities, cheques, ...): What b the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 10 Inflows and Outibvn per month ranging from $1000 to $20000 What b the expected volume of assets and currency for the account appox. 90 days after opening' 1 100000 I Currency 1 1150 1100000 I Currency I USD What s the expected volume of asses and currency for the account approx. one year after opening' Doeshvil the client have Assets Under Management (Aunt) within De under Eur. 3M' 0 yes Rho Please Nat all parties related to the att.:ma. For each party: • Check d 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 ,cleated). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' colurm. • Always describe the relationship between the parte in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). .egal .3escriptim AccountlsIC Settlor of Jftimate Signatory imitedinnancial Significant -eget Srantor/SettforfoundingOther Enter/ Source Hokler ChmerTrust/ 3eneflclabr Ful a0A Intermediaryeshareholder2tPretentathre Donor (please of Wealth Founder of ,arner 'OA (FIM) (>=25%) describe required Foundation Nca-PLC other roles entity and/or Parties (Indicate ndicate related ownership relationship to this %) Setween account ;antes) N i 0 123 D.cES' 5 0 • • • • • 0 • • 2 0 0 any n BMeller i--, 0 0 0 21 0 0 0 0 0 Jeffrey 3 0 5 Epstein • 0 0 rii 21 0 • • • • SDNY_GM_00039814 https://dbforcepb.my.salesforeGONErilrairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002638 EFTA_00150423 EFTA01283912 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: NES, LLC — Money Market Acct Number (if avallable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio managem nt, advisory account, custody services, longterm iwestment, payment/expense account)? Money market account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's hones and earn interest Indicate from where the assets are expected to arrive 011 08 Group: Same Booking Center (indicate account number): . 08 Group: Other Booking Center (indicate 08 location and account details): 0 Other Institution (Indicate name & location): WHorgan. New York O Physical Deposits (specify cash, securities, cheques,...): What is the expected see and frequency of regular inflows and outflows for the account (indicate estimated number and volume p r month)': Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10000 100000 I Currency I USD What s the expected volume of assets and currency for the account approx. 90 days after opening' 1 What Is the expected volume of assets and currency for the account approx. one year after 1 100000 'Currency I USD °Penn? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes Ebb 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 titian:mem of the party to the account (> I can be selected). • f none of the check boxes apply, describe the parts relation to the account In the 'Other column. • Always describe the relationship between the part* In the last column. • Please doll down to the ultimate/n*0y ng Beneficial Owner( ). ,.egal5escriphon AccounwlC Senor of Athlete rignatory -IrritedFinancial Significant _egal .3rantor/SedlorPoundIng5ther Sntityet Source Holder Dmitri-rust / 3eneficlabr Ful ?OA InterinediaryShareholdergepresentative Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) iescrite -equired foundation lion-PIC other roles entity and/or Parties (indicate ndicate related ownership -elabonship to this %) petween *count tarts) NES 1 trA- ace 5 O O O O O O • • • 2 O O Rill' Beller O OO O 0 O O O O O Jeffrey 3 O 2 Epst ein • O O a a O O • O • S0NY_GM_00039815 ht tps://dbforcepb.my.salesforcalNalpagaliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002639 EF1'A_00150424 EFTA01283913 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parbes) Individual's Name: Jeffrey Epstein - Date d Beth: County of Residence: USVI Country of Citizenship: USA Has client resided outside of LAte Saint James Saint Thomas 00802 US Virgin Wands Ins/her country of nabonality O Yes (RI No Address of primary residence: fee 5 years or more? Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Mk/Rank President Address of employer 6100 Red Hock Quarter B3 St Thomas USVI 00802 Does the person work as senior execubVe of a DEt-reoogntred regulated entity in the financial ndusbr or an ently fisted on DO-recognised exchange' (Not applicable for operating Oyes ®No entities Is the indrodual a Politically Exposed Person (PEP)?(/ Ve4 desoibe) Ova ®No To the best of your knowledge, is the individual related to an employee of the DO group'(d • Family OFrtendship rd None Panty or Freres/no, cfescnbe) To the best of your knowledge, is the individual party to a non-banking relationship with Ores I No Deutsche Bank (e.g., external legal counsel, client referral source, supplier& goods or services)?(i Yes,describe) If appkabk, indicate which bank officers have met the Indicate where and when the lent meetng(s took place: person: Client Private Client Place of Bank Officer Na Bank Office: Other location (specty): Date: Dernkile: Business: Paul Monis • El tra 10/21/2013 O • O ii O O ... • Wealth Details for this individual are not Med in, because they are the same as for the folbWing person: 35. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2) Nature of the Individuars Business: Private investments Pnmary Country of source of wealth/source of Funds? Primary industry of source of Weakh/Source of Funds' Summarize Source of Wealth: Z Business Omer 0 Salary/Earnings ®Investment OInheritance/Gifts 00ther Further Describe Source of Wealth /Detad the history of wealth for each of the sources: (e.g. For trusts, how did senor 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.) Epstein began his Mandel career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982. Epstein founded his own financial management Arm, 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 bland of St. Thomas in the US Virgin Islands. AA of hie clients were anonymous except for the very wealthy businessman Leslie Wexner. Hs wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,000,000.00 Estenated amount of investable assets($): $100 MM - 500 MM Estimated Net Worth($): $100 MM - 500 MN Amount of assets planned to invest with PWM($): Miser Known Financial Insttullons: SDNY_GM_00039816 https://dbforcepb.my.salesforeCaNapairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002640 EFTA (()150$25 EFTA01283914 KYC Print Page 5 of 12 Institutor PMorgan I Country: USA Est Asset Under Mgt 40,000,000.00 Institutke: Deutche Bank I Country: USA Est. Asset Under Mgt 154,000,000.00 Country: Est Asset Under Mgt: Please indicate the family stuation of the Individual (marital status, other fame/ men tern, et.): SDNY_GM_00039817 https://dbforeepb.my.salesforeCCINErilEalTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002641 EFTA_00I 50426 EFTA01283915 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parbes) Individual's Name: Harry Beller - Dated Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of his/her country of nabonality O Yis Ica No Address of primary residence: fa S years or more? ProfessgrgOccupabstr Accountant Tax ID/ $SN: Current Employer: peak Associates, Inc PositionffItle/Rank: Address of employer: SYS Lexington Avenue, ilth Floor Homey NY USA 10022 Does the person work as stake executNe of a DB-recognised regulated entity M the financial Mushy' or an entity listed on DB-recognised exchange? (Not applicable for operating Dyes gl No entities Is the individual a Politically Exposed Person (PEP), (it Yes desolbe) O Yes M No To the best of your knowledge, is the individual related to an employee of the DO grOup?(Y OFamily OFrtendslip r4 None Family or Friendship, desalt.) To the best of your knowledge, is the individual party to a non-banking relatienship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or O Yes E21 No services)?(i Yes,descnbe) If appkable, Indicate which bank officers have met the Indicate where and Mien the client meeting(s took place: person: Client Private Client Place of Bank Officer tiame(s) Bank Office: Other Location (specify): Date: Domicile: pushe=s: Paul Morris • D 74 10/21/2013 n • O F-1 CIWealth Details for this Individual are not filkd in, because they are the same as for the folkwang person: 3B. Wealth Details (Only for parbes requinng source of wealth description as indicated in Section 2) Nature d the IndwidualS Business: Primary Country of source of wealth/source of Funds? Primary Industry of source of Weami/Source of Funds? Summarize Source of Wealth: • Business Omer O Salary/Earnings • Investment anliertance/Gifts • Other: Further Describe Source of Wealth /Detal the history d vrealtii for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inheritance, how did family accumulate we ItissFor business owners, how long In business, how many employees, level of prcatability? Indicate type d business, countries of major activities, Important business pa rtners.) Estimated Annual 1ncome($): Estimated amount of Investable assets($): Estimated Net Worth(1): Amount of assets planned to Invest with FWI4(;): Other Known nancial Institutions: Insblaticri: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SONY_GM_00039818 ps://dbforcepb.my.salesforCONEJIDErlatiAL000000D9Di&e... 7/30/2019 11 t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002642 EFTA_00150427 EFTA01283916 KYC Print Page 7 of 12 DudMien: Country: Est Asset Under Slut: Please indcat the far* sibatko d the individual (marital status, other Vanity members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entry Name NES, LLC - 00000487265 Li Foundabon/Asscoabon Druid R Company DEstate Purpose of Entity: r: Private Investment El Typeof Entity: O Partnership PhilanthropK:Charitatge iii Commercial Type of Entity Other Purpose of Entity (specify): Other (specfy): Date of Country of USA 8/13/1998 incorporatIonfregistrabon: incorporation / registration: Volcker Status: Volcker Rag: Address (city, street, post 6100 Red Hock Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN: 13-4146141 code): Provide a description of the entity's organizational structure, lb ownership structure and its Top Management. For trusts/foundabons, include information about revocablaty,selikr and beneficiaries,ete: Single member LLC. Jeffrey Epstein is the sole member Please Indicate how ownership of the legal entity is reflected: Single member LLC. Jeffrey Epstein b the sole member 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same pavons). Single member LLC. Jeffrey Epstein is the sole member 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 Yes O No serykes)7: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes Countries where busness is transacted: USA, Mr Number of employees 1 3D. Wealth Profile (Only for loathes requiring source of wealth description as indicated in Section 2) Primary Country of source of weati/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Al funds come from Jeffrey Epstein, who has been ICYCd previously Estimated gross receipts p.a.(1.): Estimated net profit p.a. (5): Estimated Investable assets (5): cm. MN Potential Amount to be invested we, PWM (5): 200,000.00 Other Known Financial Institutions: Insteutko: JPPlorgan Country: USA Est. Assets Under Mgt: 200,000.00 Instititicm: Country: Est. AnetS Under Mgt: SDNY_GM_00039819 https://dbforcepb.my.salesforcaaNtapainTaliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002643 EFTA_00150428 EFTA01283917 KYC Print Page 8 of 12 Iinsttuthr: I Canby: eit Assets Under MOt SONY_GM_00039820 Ilt tps://dbforcepb.my.salesforCC1NEJIDEswhilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002644 EFTA_00150429 EFTA01283918 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name SOUTTERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 Ny E Offshore RiskO Moderate fl l High Risk c.i Janice Frank* NY/Offshore (Compliance Signature) O DB Employee O DEt Managed PIC M DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 0 Drivers License 0 Passport O National/State ID O Other Checklist of names (individuals and/or entities) that were submitted for database searches is B. 0 Yes • No attached C. Please indicate the results of the database searches performed RDC searches complete 2 Yes O No negative results found 2 yes • No PCR checks complete 2 Yes O No negative results found O Yes J No OFAC checks complete 2 Yes O No negative results found O Yes 0 No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DAB) 2 Yes O No negative results found • yes FA No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No Martindale-Hubbell searched (LawyersAaw Firms on/y) 0 Yes El No negative results found Oyes • No Please summarize any negative results from the database searches Indicated above: Jeffrey Epstein: Previously KYCd and approved kr 01082293 and 01121718 Harry Beller: D. Previously KYCd and approved: 01133624 NES, LLC: Negative media does not pertain to our client Our client is an LLC that is only used to pay for the cats associated with running a prtvate home No court cases E. To the best of your knowledge, has the chest ever been convicted of a criminal offense' 2 Yes 0 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 a is the customer threatening litigation against F. Deutsche Bank AG or any of its subsidiaries' 9/ Yes, provnle details below and contact Quali'fy O Yes 2 No MO- (LOAM/Inc?) or the Regulatory Control Group and notify Compliance imnweiatety) Does the client or rated party have any financial or other association / interactions within G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC), O Yes FA No Does the client or related party have any financial or other association/ interactions within high H. risk countries? O Yes 2 No I. Corporate Documentation Attached (Legal Entities Only) Oyes • No • Not APPacable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No IRI Not Appkabie K. If Lexis/Nexis Search Resuks, Corporate Documents or Other Supporting Documentation is not in Engfish, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? 0 Yes El No Is the account structure unusually complex' 0 Yes 2 No 0 Yes 2 No SDNY_GM_00039821 https://dbforcepb.my.salesforcWatNErilDrairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002645 EFTA_00I 50430 EFTA01283919 KYC Print Page 10 of 12 Is there any indicabon the client set up a non operating company expressly fce the purposed transfemng shares to third parties' Is there any indication this could be a prohibited business relationship' ❑ Yes ®No Are the bearer shares identified subject to acceptable controls' ❑ Yes RINO SONY_GM_00039822 littps://dbforcepb.my.salesforcalNalpagaliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002646 EF1'A_00150431 EFTA01283920 KYC Print Page 11 of 12 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 10/22/2013 Paul Moue COfice Director/Business Head: Brian M. Biggar (Signature) 10/23/2013 Brian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AK Compliance - (Signature) Jacqueline lightbody Jacqueline Ughtbody 11/13/2013 Janice Franklin Janice Franklin 11/8/2013 LATAM/ INTERNATIONAL APPROVALS Client Facile Profesienai (CFP) (5,;n e) Account Manager: (Signature) Global Market Team Head (5, ana.:L'e) (GMTH)/Sub.klarket Team Head (SMTH): AML Business Risk: (Sp nature: MIL Compliance - (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PW1i0 worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals!(1) (CFP's) should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe 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 ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the Prat.Global KYC Policy (1) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth AaVisors, Product Officers, Brokers. Client Managers. etc. SONY_GM_00039823 Imps://dbforcepb.my.salesforCLINEJIDEgrhtlidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002647 EF1'A_00150432 EFTA01283921 KYC Print Page 12 of 12 Dautsda Bank Americas New York n SDNY_GM_00039824 https://dbforcepb.my.salesforCCINtErlIDEgrhiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002648 EFTA_00150433 EFTA01283922