FinCEN¶
Financial Crimes Enforcement Network United States Department 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¶
| Subject 1 of 1: EPSTEIN | ||
| Role | Subject | |
| Individual/Organization | Individual | |
| Last(or Entity) Name | EPSTEIN | |
| First Name | JEFFREY | |
| Alternate Name(s) | Alternate Name | SOUTHERN TRUST COMPANY, INC |
| Gender Type | Unknown | |
| Date of Birth | 01/20/1953 | |
| 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 | |
| Relationship of Subject | Customer: Yes | |
| Affected Account(s) | Account Number | |
Page 1¶
The enclosed information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100894¶
FinCEN¶
Financial Crimes Enforcement Network United States Department of the Treasury¶
BSAR Transcript¶
BSA: 31000150848290 and DCN:¶
| Subject Information | ||
| Financial Institution TIN | ||
| 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 | |
| Financial Institution Location 1 of 3 | ||
| No Branch Activity Involved | Yes | |
| Type of Financial Institution | Securities/Futures | Clearing broker-securitiesSubsidiary of financial/bank holding company |
| Primary Regulator | SEC | |
| CRD Number | 13041 | |
| Legal Name | National Financial Services LLC | |
| EIN | ||
| 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 forFidelity group of mutual funds | |
| Primary Regulator | SEC | |
| Legal Name | Fidelity Investments Institutional Operations Company, Inc. | |
| EIN | ||
| Address | Address Type | Address where transaction occurred |
| Street Address | 245 Summer Street | |
Page 2¶
The enclosed information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100895¶
FinCEN¶
Financial Crimes Enforcement Network United States Department of the Treasury¶
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 Location 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 | ||
| 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 | ||
| Address | Address Type | Reporting party address |
| Street Address | 900 Salem Street | |
| 900 SALEM ST - Enhanced | ||
Page 3¶
The enclosed information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100896¶
FinCEN¶
Financial Crimes Enforcement Network United States Department of the Treasury¶
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-securitiesSubsidiary of financial/bank holding company |
| CRD Number | 7784 | |
| Internal control/file number | 0000114447 | |
| Contact for Assistance | Full Name | |
| 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. (“FIIOC”) 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 information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100897¶
FinCEN¶
Financial Crimes Enforcement Network United States Department of the Treasury¶
BSAR Transcript¶
BSA: 31000150848290 and DCN:¶
Narrative¶
Page 5¶
The enclosed information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100898¶
FinCEN¶
Financial Crimes Enforcement Network United States Department of the Treasury¶
BSAR Transcript¶
BSA: 31000150848290 and DCN:¶
Narrative¶
(ABA number: ___) 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 ___ (ABA number: ___) 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 ___.¶
As of 07/18/2019, account ___ 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 information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international 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 Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.¶
EFTA00100899¶