EFTA01284048
Dataset 10 · 12 pages · 984 KB · 3,349 words
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People (6) #
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KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01346733 Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SW-DERN FINANCIAL RELATIONSHIP. Booking Center: New Tort Relationship Manager: Paul Monis O New OWN Relabonship O Existing PWM Relabonship Relabonship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: 12I Client Referral • km Prospect O Intennedury/FIM O Other Source (CIEs etc.) How Was the Client(s) Introduced' How long has the RN personally known the Please provide details (e.g. name of referral source, ow many years RN personally has know, cent, etc.): Jeffrey Epstein client' (President of Gratitude America) is a current client of the bank Does Deutsche Bank pay a retrocession or simibr • Yis IR No compensation to a third party for the introduction of MS gives, desaibel. reiabonship, List all xisting and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intendedJactual) Account(s) 1 e Gratitude Amend, Ltd 2/18/2015 2 2 Gratitude America, Ltd 2/18/2015 Who Is the pnmary contact person for the RH' (Note: Preferred method of contact This person needs to have Dairen Indyke (ndicate phone no., fax no., signatory rights and/or e-mail address, etc.): information right for the accounts.): SDNV_GM_00039961 TOFED.R.CRIM.P.6(e) https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... CONFIDENTIAL - PURSUANT DB-SDNY-0002785 7/30/2019 Erl'A_00150570 EFTA01284048 KYC Print Page 2 of 12 One sheet must be established for each account to be 2. Actors* Ownership Summary Account Name: Gratitude America, Ltd Acct. Number (twastire): Account Manager: Paul Morris What is the purposed the account (e.g. portfolio management, advisory account, custody services, longterm investment, paymenbexpense account)' Money market account to hold funds and earn interest Indicate from where the assets are expected to arrive' 2 DB Group: Same Booking Center (indicate account number): DB O DB Group: Other Booking Center (Indicate DB location and account details): • Other Institution - (Indicate name & location): O physical Deports (Specify cash, securties, cheques, ...): What is the expected size and frequency of regular inflows and outflows fa the account (Indicate estimated number and volume per month)': Roughly 1-3 infbws and outflows per month ranging from $10,000 to $100,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 10C.3® I Currency USD What Is the expected volume of assets and currency for the account approx. one year after opening? I 100°CCI I Doeshsrill the client have Assets Under Management (AuM) within C6 under Eur. 3M' U Yes E No Please list aN parties related to the account. For each party: • Check if a source of wealth description 6 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 parWs relation to the account in the "Other column. • Always descnbe the relationship between the parties in the last olumn. • Please dnt down to the ultimate/underlying Beneficial Owner(s). ~R~ _egal5eunpbon AccountPIC Settler d Jkirnate Signatory JnatedRnancial Significant -egal Grantor/Sethorfounding Enbtrof Source Molder Owner Trust/ Benefit al or Full ?OA IntermediaryShareholderaitepresentabve Donor of Wealth Founder of Dwner POA (EDI) (>=25%) required Foundation taca-PIC entity Parties related to (indicate ownership ~~ this Sb) ~~ 0 account 1 CI CI Darren ri • O • 2 O O O O • Whin '—' 063 Jeffry, ri ED 0 U U 0 0 ❑ Epstein — 2 2 21 Ea Graafia • O Amerka n- L'-' O • O O O O O SONY_GM_00039962 ht t ps://dbforcepb.my.salesforCCINEJIDEerbadiAlL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002786 EFFA_00150571 EFTA01284049 KYC Print Page 3 of 12 2 Account Ownership Summary Account Name: Gratitude America, Ltd I Acct. Number (davadatt): Account Manager: Paul Mans What is the purposed the account (e.g. pordolio management advisory account, custody services, long-term investment, payment/expense account)'' Checking account to deal with the day-to-day running of the foundation Indicate from where the assets are expected to arrive> 10 DB Group: Same Booking Center (indicate account number): CO3 0 DB Group: Other Booking Center (indicate DB location and account defies): • Other Institution - (Indicate name & location): 0 Physical Deposes (specify cash, saurties, cheques, ...): What is the expected size and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)? Roughly 10-20 mfbws and outflows per month ranging from $10,000 to $100,000 1 100000 'Cunene), I USD What is the expected volume d assets and currency fa the account approx. 90 days after opening' I Currency What is the expected volume ii asset and currency for the account approx. one year after opening' I 1°°°°° I US° OcesMIN the client have Assets Under Management (AuM) within CO under Eur. 311' O Yes g No Please list all parties related to the account. For each party: • Check Ile source of wealth deuriptbn is required for the arty. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • fun of the check boxes apply, describe the party's relation to the account in the -other column. • Mays describe the relationship between the parties In the last olumn. • Please drill down to the ultimate/underlying Beneficial Owner(s) _eganeunpbcn AccountFIC Settior et /Renate Signatory -need Financial Sagmfxant _egal Grantor/Sedkrfounclung 3ther Enbtpf Source Holder Owner Trust / kneficialor all >OA IntermediaryShareholderstepresentative Donor (please of Wealth Founder of Owner POA (FIN) (>=25%) iesalbe equired Foundation Non-PIC other roles Nifty and/or Parties (indicate ndicate related to ownership relationship this %) between account Narks) 1 O O Dar r-i O O O A O O O • a Indyren ke 1—' Jeffrey ri O O 2 D a Epstein t -.I ❑ D O DD O O O Gratitudeir • • 3 2 5 America ka • 0 • • 0 • • SONY_GM_00039963 https://dbforcepb.rny.salesforeCLINErilEalliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002787 EFTA_00I 50572 EFTA01284050 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 parties) Indhnduars Name: Jeffrey Epstein - Date of Bath: 1/20/1953 county of Residence: USVI Country of Citizenship: USA Has dent reskled outside of tote Saint James Saint Thomas 00802 US Virgin Islands his/her county of nationality Dyes ®no Address of primary residence: for 5 years or more? PicifessioniOccupation: Self Empotyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tee/Rank: President Address of employer: 6100 Red Hook Quarter F13 St Thomas USVI 00802 Does the person work as senior executive of a DO-recognized regulated entity In the financial ri __ ce ndustry' or an enbty listed on a CO-recognised exchange, (Not applicable for operating entities i--i Yes lz-I No Is the individual a Politically Exposed Person (PEP)'(d Yes, de cube) InYes 0 No To the best of your knowledge, is the individual related to an employee of the DO group'(if [3 Family 0 Friendship 'TA None rsfrub, or FnencWsp, describe) To the best of your knowledge, is the individual party to a navlanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes J No servkes)?(d Yes,describe) If applicable, indicate which bank officers have met the Indicate where and when the dent meebng(s) took place: Person: Client Private Client Place of Bank Officer Names) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris El • 0 2/4/2015 1- :.....:1 O O O iii O 0Wealth Details for this indwklual 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 Individuals Business: Private lii.vab,s.nb Primary Country of source of wealth/soutce of Funds' Primary indusby of source of Wealth/Source of Funds' n Summarize Source of Wealth: Vi Business Owner U Salarygamings 0Investment O Inheritance/Gets 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the wawa: (e.g. For trusts, how did settor accumulate wealth, For Inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitatilty? Indicate type of business, countries of mayor 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 d clients with more than a billion in net worth. In 19%, 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. All of hi clients were anonymous except for the very wealthy businessman Leslie Wexner. /Os wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 550 WI • 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to nest with PWM(S): Other Known Financial Institutions: Insbbibon: C43 Country: USA Est Assets Under Mgt: 330,000,000.00 SONY_GM_00039964 https://dbforcepb.my.salesforeCCINErilEatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002788 EFTA_00I 50573 EFTA01284051 KYC Print Page 5 of 12 Institution: Counby: Est. Assets Under ?Nt: Institution: COUntly Est Assets Under INt Pease indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00039965 Imps://dbforcepb.my.salesforcCLINE110FerhiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002789 EF'FA_00150574 EFTA01284052 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 al parties) Individual's Name: Darren Indyke Date of Birth: 2/19/1965 County of Residence: USA Country d Citizenship: USA Has dent resided outside of 2 Kean Court Lrvingston N) 07039 USA his/her country of nationality O Yes WI No Address of primary residence: for 5 years or more' ProfessioniOccupation: Lawyer Tax ID / 5511: Current Employer: Southern Financial LIC PoritiOniTIOe/Rank Address of employer: 575 lodngton Avenue, 4th Fl Livingston NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial n ndustry' or an entity listed on D8-recognised exchange? (Not applicable for operating entitles Yes ONO Is the individual a Polbcally Exposed Person (PEP)'(# Yes, describe) afes 0 No To the best of your knowledge, is the individual related to an employee of the D8 group(d Ollamlly O Friendship EA None Fart or Friendship, desmbe) 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, suppler of goods or OYes Ono servkes)'(tf Yesiesodfre I If applicable, indicate which bank officers have met the Indicate where and when the c rent meeting(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Offke: Other Location (specify). Date: Domidk: Business: • • O O O O ri O O O Wealth Details for this individual are not filled in, because they are the same as for the fdlowing person: 38. Wealth Details (Only for parties requiring source of vreakh description as Indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Weath/Source d Funds> Summarize Source of Weath: O Business Owner O Salary/Eamings O Investment O Inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the history of wealth or each el the scums: (e.g. For trusts, how did settSor accumulate weami' For inheritance, how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profltatelty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income($): Estimated amount d Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWN($): Other Known Financial Institutions: IndtbAion: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under 14qt: Institution: Counby. Est Assets Under Mgt. SONY_GM_00039966 ht t ps://dbforcepb.my.salesforcar aNtErlIDEschiltiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002790 EF'FA_00150575 EFTA01284053 KYC Print Page 7 of 12 I I I I Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: Gratitude America O Private Investrnent EA Type of Entity 21Foundation/Association O Trust O Company O Estate Purpose of Entity: Philanthropic/Charitable El O Partnership ommercial Purpose of Emory of Entity Other (specify) Other (specify)': Date of Country of USVI 4/25/2012 incorporation i incaporabon/registrabon registration: Volcker Stain: Volcker Rag: Address (city, street, post 6100 Red Hook Quarter, 63 St. Thomas 00302 USVI US. TINAIN: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trustsfioundabons, include nformanon about revocability,settlor and beneficiaries,etc.: 501(c)3 foundation. Jeffrey Epstein is president, Darya, Indyke is treasurer and Erika Kellerhals is Secretary Please indicate how ownership of the legal entity is reflected: 50t(c)3 foundation. Jeffrey Epstein is president, Darren Indyke s treasurer and Erika Kellerhals is Secretary O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the Erect owner of the entity to the ultimate beneficial owner (ifnot the same persons). 931(c)3 foundation. Jeffrey Epstein is president, Darren Indyke rs treasurer and Erika Kellerhals is Secretary To the best of your knowledge, s the entry 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 The foundation has not yet started distributing funds and is still determining what endeavors Mature of the business: they will support. They hope to support a broad range of efforts including, but not limited to, ,education, science, research, etc. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of Weath/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lialMities): The foundation Is to be funded by Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net profit PA. (5): Estimated investable assets (5): 52 MM - 5 MM Potential Amount to be invested with PWM (5): 200.000 00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_00039967 https://dbforcepb.my.salesforCCaNtEillaErtirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002791 EF1'A_00150576 EFTA01284054 KYC Print Page 8 of 12 SONY_GM_00039968 ht tps://dbforcepb.my.salesforCCINEJIDEATAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002792 EFTA_00150577 EFTA01284055 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inti PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center e NY • NY/Offshore E Offshore El Moderate Risk E High Risk voonsun Chung (Compliance Signature) • DB Employee 1:1 C43 Managed PIC O DB is Trustee/Co-Trustee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 0Drivers License OP/aped ONallenal/State ID OOther Checklist of names (Individuals and/or entities) that were submitted for database searches Is B. ®Yes O No attached C. Please Indicate the results of the database searches performed RDC searches complete El Yes O No negative results land Mt El No PCR checks complete 0 yes ON* negative results found Ova No MC checks complete Ores O No negative results found Ores No BIS Searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, MB) 0 yes O No negative results found Ova 0 No Denial Orders checks complete 0 Yes O No negative results found Oro FA No Martindale-Hubbell searched (Lawyers/law RIMS only) Ora EN* negative results found Ova O No Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases Darren Indyke: D. Negative media mentions mentionshis name as an owner of a bulking. The negative media is not about him individually but about the others mentioned. No court cases Jeffrey Epstein: Previously approved KYC x:01082293 & 01121718 AI negabve thecae pertains to court cases which have been previously approved in the above menboned KYCs. Court Cases have been closed E. To the best of your know/edge, has the client ever been convicted of a criminal offense? IZ Yes • No To the best of your knohadge, 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' (lf Yes, p -avree details baba andcontact QualayMgt.° Yes 2 No (LaC4'n4nll) or the Regulatory Control Corms and I nobly Compliance immerastely) Does the client or related party have any financial or other itSteab011 / Interactions within G. •■ Yes 2 No countries or regimes sanctioned by the Office of Foreign Assets Control (OFACP the client or related party have any fnancial 04 other association/ interactions within high risk Dyes 2 No H. Does countries? I. Corporate Documentation Attached (Legal Entitles Only) El Yes O No ONot Applicable J. Undisclosed Principal ram Complete (Intermediaries Only) O Yes O No ®Not Applicable K. If Leas/Nals Search Results, Corporate Documents or Other Supporting Documentation S not In English, 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' Ora ENO Is the account structure unusually complex' Ores EN, SONY_GM_00039969 hups://dbforcepb.my.salesforaCINBICaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002793 EF1'A_00150578 EFTA01284056 KYC Print Page 10 of 12 Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third pat' 0 Yes g No Is there any indication this could be a prohibited business relationship' O Yes No Me the bearer shares Identified subject to acceptable controls' ❑ Yes E No SDNY_GM_00039970 https://dbforcepb.my.salesforeCCINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002794 EFTA_00I 50579 EFTA01284057 KYC Print Page 11 of 12 M. Cate Comments tb reoxds ki display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 2 24 :015 Paul Monk Office Director/Business Head: Kimberly Hart (Signature) '..26.'015 Kimberly Hart Regional Office Director (Signature) APIL Business Risk: (Signature) AML Camplw.ce (Signature) G. Hal oib/o M. Crawford G. PH orb/o M. Crawford 2/27/2015 Yoonsun Chung Yoonsun Chung 2/27/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTM)/Sub-Market Team Head (SMTH): ANL Business RiSk: (Signature) ab. atnpliance: (Signature) PRIVATE WEALTHMANAGEMENT POLICY STATEMENT: Deutsche Bank Private WealthManagement (NM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(1) (CFP '5) should establish and maintain business relationships only with persons who satisfi, our high standards ofsuitabili0i, 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 biow 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 andup 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 havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00039971 . Ilttps://dbforcepb.my.salesforCCINErilDENITIAL00000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002795 EFTA_00150580 EFTA01284058 KYC Print Page 12 of 12 SDNY_GM_00039972 https://dbforcepb.my.salesfonCINErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002796 EFTA_00I 50581 EFTA01284059