Deutsche Bank KYC file for Jeffrey Epstein's accounts, July 2019

KYC Print¶

Page 1 of 21¶

DB PWM GLOBAL KYC/NCA: PART A¶

1. Relationship Details¶

Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York¶

Relationship Manager: Stewart Oldfield¶

Relationship to PWM:	New PWM Relationship	Existing PWM Relationship
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: This KYC is a periodic review for high risk remediation
Original KYC1195100
ONLY adding signers to account. All signers have already been approved in previous KYCs. Please rush as this is a simple update.
Darren Indyke was approved in KYC 01133377
Harry Beller was added in approved KYC 01141308

How Was the Client(s) Introduced? How long has the RM personally known the client?	Client Referral	RM Prospect	Intermediary/FIM	Other Source (CIB, etc.)
Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.:) Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under Zorro Management LLC and add two new signors to this new acct only.	Yes	No

| Does Deutsche Bank pay a retrosession or similar compensation to a third party for the introduction of this relationship? | Yes | No |¶

(If Yes, describe):
List all existing and new accounts involved in this relationship

Legal Entity Account(s)	Account Name / Number	Opening Date (intended/actual)
1	Southern Financial, LLC Deposit-42952771	9/5/2013
2	Southern Trust Company, Inc - Deposit-42952763	8/27/2013
3	Jeffrey Epstein - Deposit-35269691	3/8/2016
4	J. Epstein Virgin Islands Foundation, Inc - Brokerage-N4G024950	9/30/2013

Who is the primary contact person for the RMY Note: This person needs to have signature rights and/or information right for the accounts. | Daren Indyke | Preferred method of contact (indicate phone no., fax no., e-mail address, etc.) |¶

7/30/2019 DB-SDNY-0002864¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA_00016338¶

EFTA00167090¶

KYC Print¶

Page 2 of 21¶

One sheet must be established for each account to be opened¶

2. Account Ownership Summary

Account Name:

Southern Financial, LLC Deposit

Acct. Number (if available):

42952771

Account Manager:

stewart oldfield

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company.

Indicate from where the assets are expected to arrive?

☐ DB Group: Same Booking Center (indicate account number): 42952771; 7700957

☐ DB Group: Other Booking Center (indicate DB location and account details):

☐ Other Institution – Indicate name & location):

☐ Physical Deposits (specify cash, securities, cheques, ...):

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 2 inflows & outflows per month ranging from $1000 to $10,000.

What is the expected volume of assets and currency for the account approx. 90 days after opening?

46,600 and 11479051.88 Currency USD

What is the expected volume of assets and currency for the account approx. one year after opening?

47,000 and 11679051.88 Currency USD

Does will the client have Assets Under Management (AuM) within DB under Eur. 3M? Yes No

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 relationship of the party to this account (>1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the “Other” column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate underlying BeneficialOwner(s).

Legal Entity of Source of Wealth required

Description of Source of Wealth required

Parties related to this account

Account Holder

PIC Owner

Settler of Trust / Founder of Foundation

Ultimate Beneficiated Fulld Owner

Signatory Fulld POA

Limited POA

Financial Intermediate FIM)

Significant Shareholder (>=25%) Non-PIC entity indicate ownership(%)

Legal Representative

Grantor/Settler

Founding Donor

Other Please describe other roles and/or indicate relationship between parties)

☐

Jeffrey E. Epstein

☐

https://¶

7/30/2019 DB-SDNY-0002865 EFTA_00016339¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA00167091¶

KYC Print¶

Page 3 of 21¶

2. Account Ownership Summary
Account Name:			Southern Trust Company, Inc. Deposit.						Acct. Number (if available):		42952763
Account Manager:			Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company
Indicate from where the assets are expected to arrive? ☑ DB Group: Same Booking Center (indicate account number): 42952763; 7700965 ☐ DB Group: Other Booking Center (indicate DB location and account details): ☐ Other Institution – (Indicate name & location): ☐ Physical Deposits (specify cash, securities, cheques, ...)
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for the account approx. 90 days after opening?
What is the expected volume of assets and currency for the account approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DB under Eur. JM?
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 relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the bad column. • Please drift down to the ultimate/underlying beneficial Owner(s).
1	□	✓	Jeffrey E. Epstein	□	□	□	✓	□	□	100	□	□	Sole shareholder of Southern Trust; Jeffrey Epstein is the sole shareholder of Southern Trust;
2	✓	✓	Southern Trust Company, Inc.	✓	□	□	□	□	□	□	□	□
3	□	□	Darren Jinke	□	□	□	✓	□	□	□	□	□
4	□	□	Harry Beller	□	□	□	✓	□	□	□	□	□
5	□	□	Jean Anne Burman Webrecht	□	□	□	✓	□	□	□	□	□

https://dbforcepb.my.sal et/servlet.Integration?lid=01N3000000D9Di&e… 7/30/2019 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002866 FETA_000163¶

EFTA_00016340¶

EFTA00167092¶

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Page 4 of 21¶

2. Account Ownership Summary
Account Name:				Jeffrey Epstein - Deposit					Acct. Number ( if available):		35269691
Account Manager:				Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Deposit accounts for Jeffrey Epstein's personal daily use.
Indicate from where the assets are expected to arrive? ☑ DB Group: Same Booking Center (indicate account number): 35269691 ☐ DB Group: Other Booking Center (indicate DB location and account details): ☐ Other Institution – (Indicate name & location): ☐ Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 15 inflows and outflows per month ranging from $100-$10,000.
What is the expected volume of assets and currency for the account approx. 90 days after opening?				3478441.80					Currency		USD
What is the expected volume of assets and currency for the account approx. one year after opening?				2980000					Currency		USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?				☐ Yes ☑ No
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 relationship of the party to this account (>1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the “Other” column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Entity	Description Source of Wealth required	Parties related to this account	Account Holder	PIC Owner	Setter of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Signatory Beneficiary Owner	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)	Legal Representative	Grantor/Settlement	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	□	✓	Jeffrey E. Epstein	✓	□	□	□	✓	□	□		□	□
2	□	□	Harry Beller	□	□	□	□	✓	□	□		□	□
3	□	□	Darren Indyk	□	□	□	□	✓	□	□		□	□

7/30/2019 DB-SDNY-0002867¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

| EFTA_00016341 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.¶

EFTA00167093¶

KYC Print¶

Page 5 of 21¶

2. Account Ownership Summary

Account Name:

J. Epstein Virgin Islands Foundation, Inc - Brokerage

Acct. Number (& available):

N4G024950

Account Manager:

stewart oldfield

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? the purpose of this account is to manage the foundation's securities and trade investments.

Indicate from where the assets are expected to arrive?

☐ DB Group: Same Booking Center (indicate account number): N4G024950

☐ DB Group: Other Booking Center (indicate DB location and account details):

☐ Other Institution – (Indicate name & location):

☐ Physical Deposits (specify cash, securities, cheques, ...):

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? 0-10 inflows/outflows of security sales and purchases on a monthly basis between 10k and 150k.

What is the expected volume of assets and currency for the account approx. 90 days after opening?

640138

Currency

usd

What is the expected volume of assets and currency for the account approx. one year after opening?

680000

Currency

usd

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?

☐ Yes ☑ No

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 relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate underlying Beneficial Owner(s)

Legal Entity

Description of Source of Wealth required

Parties related to this account

Account Holder

PIC Owner

Settle of Trust / Founder of Owner Foundation

Ultimate Beneficiary

Signatory for Full POA

Limited POA

Financial Intermediary (FIM)

Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)

Legal Representative

Grantor/Settter

Founding Donor

Other (please describe other roles and/or indicate relationship between parties)

☑

D.J. Epstein Virgin Islands Foundation, Inc

☑

☐

7/30/2019 DB-SDNY-0002868¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA_00016342¶

EFTA00167094¶

KYC Print¶

Page 6 of 21¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)
Individual's Name:	Harry Beller - 00000487202			Date of Birth:
Country of Residence:	USA			Country of Citizenship:	USA
Address of primary residence:				Has client resided outside of his/her country of nationality for 5 years or more?	□ Yes ☑ No
Profession/Occupation:	Accountant			Tax ID / SSN:
Current Employer:	HBRK Associates, Inc			Position/Title/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe)
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, supplier of goods or services)?(if Yes, describe)
If applicable, indicate which bank officers have met the person:		Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)		Bank Office:	Client Private Domicile:	Client Place of Business:	Other Location (specify):	Date:
Paul Morris		☑	□	□		10/21/2013
		□	□	□
		□	□	□

3B. Wealth Details(Only for parties requiring source of wealth 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 Wealth/Source of Funds?
Summarize Source of Wealth:		Business Owner Salary/Earnings Investment Inheritance/Gifts Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources:(e.g. For trusts, how did settlor 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.)
Estimated Annual Income($):		Estimated amount of investable assets($):
Estimated Net Worth($):		Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution:	Country:		Est. Assets Under Mgt:
Institution:	Country:		Est. Assets Under Mgt:
Institution:	Country:		Est. Assets Under Mgt:

7/30/2019 DB-SDNY-0002869 EFTA_00016343¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA00167095¶

KYC Print¶

Page 7 of 21¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...	7/30/2019
CONFIDENTIAL-PURSUANT TO FED.R.CRIM.P.6(e)	DB-SDNY-0002870

7/30/2019 DB-SDNY-0002870 EFTA_00016344¶

EFTA00167096¶

KYC Print¶

Page 8 of 21¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Darren Indyke - 000004B6405	Date of Birth:
Country of Residence:	USA	Country of Citizenship: USA
Address of primary residence:		Has client resided outside of his/her country of nationality for 5 years or more? □ Yes □ No
Profession/Occupation:	Lawyer	Tax ID / SSN:
Current Employer:	Southern Financial LLC	Position/Title/Rank:

Address of employer: 575 Lexington Avenue, 4th Fl New York NY United States 10022¶

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe)¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe)¶

To the best of your knowledge, is the individual party to a non-banking relationship with Descube Bank (e.g., external legal counsel, client referral source, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Bank Office:	Client Private Domicile:	Client Place of Business:
□	□	□
□	□	□
□	□	□

☐ Wealth Details for this individual are not filed 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 Individual’s Business:¶

Primary Country of source of wealth/source of Funds?¶

Primary Industry of source of Wealth/Source of Funds?¶

Summarize Source of Wealth:¶

☐ Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Further Describe Source of Wealth (Detail the history of wealth for each of the sources: (e.g. for trusts, how did settler 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.))¶

Estimated Annual Income($): | Estimated amount of investable assets($): | Estimated Net Worth($): | Amount of assets planned to invest with PWM($): |¶

Other Known Financial Institutions:¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

7/30/2019 DB-SDNY-0002871 EFTA_00016345¶

EFTA00167097¶

KYC Print¶

Page 9 of 21¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...	7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-0002872

7/30/2019 DB-SDNY-0002872 EFTA_00016346¶

EFTA00167098¶

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Page 10 of 21¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Erika Kellerhals - 00000499664	Date of Birth:
Country of Residence:	USA	Country of Citizenship: USA
Address of primary residence:		Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	Attorney	Tax ID / SSN:
Current Employer:	Kellerhals Ferguson Kroblin PLLC	Position/Title/Rank:

Address of employer: 9100 Port of Sale Mall, Ste 15 St. Thomas VI United States 00802¶

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) □ Family ☑ Friendship ☑ None¶

To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., internal legal counsel, client referral source, supplier of goods or services)? (If Yes, describe) □ Yes ☑ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Office:	Client Private Domestic:	Client Place of Business:
□	□	□
□	□	□
□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. Wealth Details (Only for parties requiring source of wealth 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 Wealth/Source of Funds?¶

Summarize Source of Wealth:¶

□ Business Owner □ Salary/Earnings □ Investment □ Inheritance/Gifts □ Other:¶

Further Describe Source of Wealth (Detail the history of wealth for each of the sources: e.g., for trusts, how did settler 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.)¶

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

7/30/2019 DB-SDNY-0002873 EFTA_00016347¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

EFTA00167099¶

KYC Print¶

Page 11 of 21¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...	7/30/2019
CONFIDENTIAL-PURSUANT TO FED.R.CRIM.P.6(e)	DB-SDNY-0002874

7/30/2019 DB-SDNY-0002874 EFTA_00016348¶

EFTA00167100¶

KYC Print¶

Page 12 of 21¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:¶

Jeffrey E. Epstein - 0000483289¶

Country of Residence:¶

USVI¶

Address of primary residence:¶

Little St James Saint Thomas 00802 United States¶

Profession/Occupation:¶

Self Employed¶

Current Employer:¶

Southern Financial LLC¶

Address of employer:¶

6100 Red Hook Quarter B3 St, Thomas United States 00802¶

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) close relationship with Bill Clinton and Prince Andrew?¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe)¶

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, supplier of goods or services)? (If Yes, describe)¶

If applicable, indicate which bank officers have met the person:¶

Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)

☐ Wealth Details for this individual are not filled in, because they are the same as for the source of wealth description as indicated in Section 2.¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

Nature of the Individual’s Business:¶

Private investments¶

Primary Country of source of wealth/Source of Funds?¶

Primary industry of source of Wealth/Source of Funds?¶

Summarise Source of Wealth:¶

Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

Partner Describe Source of Wealth (Detail the history of wealth for each of the sources e.g., for trusts, how did seller 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.) Jeffrey Edward Epstein (born January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Stearns early in his career and then formed his own firm, J. Epstein & Co. In 2008, Epstein was convicted of soliciting an underage girl for prostitution, for which he served 3 months in prison. He lived in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan Wall Street university, in 1972 to 1977. Among his students was a son of Alain C. Greenberg, chairman of Bear Stearns.¶

In 1976, Epstein started work as an options trader at Bear Stearns where he specialized in the special products division, advancing high-net-worth clients on tax strategies. Providing successful in the financial carrier, 1982 he became a partner at Bear Stearns.¶

In 1987, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wearle, founder and chairman of Ohio-based The Limited chain of women’s clothing stores, became a well-known client. Weener acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, based it on the island of St. Thomas in the U.S. Virgin Islands.¶

In 2003, Epstein bid to acquire New York magazine. Other bidders were executive director Donny Neubert, investor Neohoebt, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street executive, who valued $3 million.¶

In 2004, Epstein and Zuckerman committed to pay $25 million to finance RADAR a cedia and pop culture magazine founded by Maire Rohan. Epstein and¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

7/30/2019 DB-SDNY-0002875 EFTA_00016349¶

EFTA00167101¶

KYC Print¶

Page 13 of 21¶

Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, 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 client’s assets.¶

Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM¶

Estimated Net Worth($): $500 MM + Amount of assets planned to invest with PWM($): |¶

Other Known Financial Institutions:¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...	7/30/2019
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)	DB-SDNY-000287

7/30/2019 DB-SDNY-0002876 EFTA_00016350¶

EFTA00167102¶

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)
Individual's Name:	Jean Anne Brennan Wiebracht		Date of Birth:
Country of Residence:	USVI		Country of Citizenship:		USA
Address of primary residence:			Has client resided outside of his/her country of nationality for 5 years or more?		□ Yes □ No
Profession/Occupation:	Finance		Tax ID / SSN:
Current Employer:	Southern Financial, LLC		Position/Title/Rank:
Address of employer:	6100 Red Hook Quarter, B3 St, Thomas United States 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe)
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, supplier of goods or services)?(if Yes, describe)
If applicable, indicate which bank officers have met the person:		Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)		Bank Office:	Client Private Domicile:	Client Place of Business:	Other Location (specify): Date:
		□	□	□
		□	□	□
		□	□	□

Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. Wealth Details(Only for parties requiring source of wealth 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 Wealth/Source of Funds?
Summarize Source of Wealth:		Business Owner Salary/Earnings Investment Inheritance/Gifts Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources:(e.g. For trusts, how did settlor 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.)
Estimated Annual Income($):		Estimated amount of investable assets($):
Estimated Net Worth($):		Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution:	Country:		Est. Assets Under Mgt:
Institution:	Country:		Est. Assets Under Mgt:
Institution:	Country:		Est. Assets Under Mgt:

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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 all Legal Entities)¶

Legal Entity Name:	J. Epstein Virgin Islands Foundation, Inc - 000004B6427
Type of Entity:	✓ Foundation/Association □ Trust □ Company □ Estate □ Partnership
Type of Entity Other (specify):
Country of Incorporation/registration:	United States Virgin Islands
Volker Status:	Estate or Charitable/Philantophic
Address (city, street, post code):	6100 Red Hook Quarter B3 St, Thomas 00802 United States

Purpose of Entity Other (specify):	Purpose of Entity Other (specify):
Date of incorporation / registration:	7/14/2000
Volker Flag:	No

Provide a description of the entity’s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settlor and beneficiaries, etc.: This is a 501(c)3 foundation with Jeffrey Epstein serving as the President. Daren Indykes serves as VP and Erika Kellerhals as Secretary/Treasurer. The sigps on this account are Jeffrey Epstein, Daren Indykes and Erika Kellerhals.¶

Please indicate how ownership of the legal entity is reflected:¶

☐ Special attention: Bearer Shares – Indicate where shares are custodied.¶

Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same person): This is a 501(c)3 foundation with Jeffrey Epstein serving as the President.¶

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 services)? Yes ☐ No ☐¶

Describe Nature of Entity’s Primary Business and Investment Activities¶

Nature of the business:	Private nonprofit foundation which is organized exclusively for charitable, educational and scientific purposes.
Countries where business is transacted:	USA, USVI
Number of employees:	5

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 Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The initial donation came from Jeffrey Epstein’s personal funds. These funds have then been invested and reinvested as the source of income for the foundation. The profits the foundation gets from these investments are then reinvested to charitable endeavors.
Estimated gross receipts ($):	100,000.00
Estimated net profit ($):	2,000,000.00
Estimated investable assets ($):	<$1 MM
Potential Amount to be invested with PWM ($):	800,000.00

Other Known Financial Institutions:¶

Institution:	DB	Country:	USA	Est. Assets Under Mgt:	800,000.00
Institution:		Country:		Est. Assets Under Mgt:
Institution:		Country:		Est. Assets Under Mgt:

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3C. Legal Entity Details (For all Legal Entities)¶

Legal Entity Name: Southern Financial LLC - 00000483882
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:		Private Investment Philanthropic/Charitable Commercial
Type of Entity Other (specify):		Purpose of Entity Other (specify):
Country of incorporation/registration:	US Virgin Islands	Date of incorporation / registration:		2/25/2013
Volker Status:	Identified on Customer Profile	Volker Flag:		No
Address (city, street, post code)	6100 Red Hook Quarter B3 00802		U.S. TIN/EIN: 66-0799192
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about ownership, author and benefactors, etc.
Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc.
Please indicate how ownership of the legal entity is reflected:
Special attention: Bearer Shares – Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons):
To the best of your knowledge, the entity party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services): Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc. and gets its revenue from the gains it makes in these investments. It is a company formally to invest the assets of Mr. Epstein
Countries where business is transacted:	US Virgin Islands
Number of employees:	3

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Type of Entity:	☐ Foundation/Association ☐ Trust ☑ Company ☐ Estate ☐ Partnership	Purpose of Entity:	☑ Private Investment ☐ Philanthropic/Chantable ☐ Commercial
Type of Entity Other (specify):		Purpose of Entity Other (specify):
Country of incorporation/registration:	US Virgin Islands	Date of incorporation / registration:	11/18/2011
Volker Status:	Identified on Customer Profile	Volker Flag:	No
Address (city, street, post code):	6100 Red Hook Quarter B3 00802	U.S. TIN/EIN:	66-0779861
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, setter and beneficiaries, etc.; Jeffrey Epstein is the sole shareholder of this company. The signors on this account are Jeffrey Epstein, Harry Beler, Jeanne Brennan, and Darren Indyk.
Please indicate how ownership of the legal entity is reflected:
☐ Special attention: Bearer Shares - Indicate where shares are custodied;
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons):
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 services)? Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	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
Countries where business is transacted:	US Virgin Islands
Number of employees:	4

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DB PWM GLOBAL KYC/NCA: US/LatAm/Int’l PART B¶

Relationship Name	EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center	NY	NY/Offshore	Offshore	Moderate Risk	High Risk	Yeonsun Chung
(Compliance Signature)
DB Employee	DB Managed PIC			DB is Trustee/Co-Trustee			Bearer Shares

4. Attachments
A.	Type of Photo ID Provided	Drivers License	Passport	National/State ID Other
B.	Checklist of names (individuals and/or entities) that were submitted for database searches is attached	Yes	No
C.	Please indicate the results of the database searches performed
	RDC searches complete	Yes	No	negative results found Yes No
	PCR checks complete	Yes	No	negative results found Yes No
	OFAC checks complete	Yes	No	negative results found Yes No
	BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones)	Yes	No	negative results found Yes No
	Denial Orders checks complete	Yes	No	negative results found Yes No
	Martindale-Hubbell searched (Lawyers/Law Firms only)	Yes	No	negative results found Yes No
	Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Approved in KYC #0113377
	HARRY BELLER: Approved in KYC #0113624
	JEANNE BRENNAN: Jeanne was previously approved in KYC #01141315
	JEFFREY EPSTEIN: RDC Alert #1 - Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 - Not our client All Cases Closed
	SOUTHERN FINANCIAL LLC: No negative media No court cases
D.	SOUTHERN TRUST INC: No negative media Court Case - Not our client.
	FINANCIAL INFORMATICS INC: No negative media No court cases
	J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed
	FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed
	Erika Kellerhals: Civil Action count case of James P Carroll v Dawn Prosser (a divorce case) which lists Erika Kellerhals as general counsel as she is an attorney. Another case with Supermarket Source Inc lists Erika as the defendant's counsel. These cases are standard in Erika's line of work, and they are not directed at her personally.
E.	To the best of your knowledge, has the client ever been convicted of a criminal offense? Yes No
F.	To the best of your knowledge, has the customer ever been involved in any past litigation against Yes No

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Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt.(LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately)
G.	Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?YesNo
H.	Does the client or related party have any financial or other association/ interactions within high risk countries?YesNo
I.	Corporate Documentation Attached(Legal Entities Only)YesNoNot Applicable
J.	Undisclosed Principal Form Complete(Intermediaries Only)YesNoNot Applicable
K.	If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation:
L.	Special Risk Factors
	Does the account have Nexus to Special Risk Countries?YesNo
	Is the account structure unusually complex?YesNo
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?YesNo
	Is there any indication this could be a prohibited business relationship?YesNo
	Are the bearer shares identified subject to acceptable controls?YesNo

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M. Case Comments
Created By	Date	Comments
Kshitij Golani	8/8/117 4:45 PM	This KYC serves as a high risk update for the below listed clients(together"accountholders")- 1.Southern Financial, LLC 2.Southern Trust Company, Inc 3.Jeffrey Epstein 4.J.Epstein Virgin Islands Foundation,Inc Below are the reasons why we are comfortable with approving this KYC: •Information and supporting documents required by our AML Policy were provided and reviewed;and as a result,we have an understanding of the structure of the account holders,their purpose,the purpose of the accounts and expected transaction activity. •There are a few risk factors associated with the account holders- SOW:The UBOs(Jeffrey Epstein)是the founder of Southern Trust Company Inc,which manages clients assets.SOW verification was obtained. Negative Media & PEP:There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew.Please see risk calculator for more information.Appropriate approval was obtained. •Our review did not identify any red flags and thus there was no need to escalate this case further. •We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists
Cynthia Rodriguez	7/7/117 1:50 PM	Verification of Address for Jeffrey Epstein is attached.it is his most recent paycheck from Southern Trust Company Inc.
Cynthia Rodriguez	6/30/117 1:28 PM	google searches for UBO can be found in KYC case 01790820
Cynthia Rodriguez	7/7/117 2:28 PM	client confirmed no material changes on 07/01/2017 via phone
Cynthia Rodriguez	7/7/117 2:17 PM	research for Jean Anne Brennan Wiebracht is attached to kyc case 01790820

ONSHORE APPROVALS
Client Facing Professional(CFP):	stewart oldfield	(Signature) stewart oldfield	7/5/2017
Office Director/Business Head:	Andrew F Gallivan	(Signature) Andrew F Gallivan	7/6/2017
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)
	Kshitij Golani	Kshitij Golani	8/8/2017
	Yoonsun Chung	Yoonsun Chung	8/8/2017

LATAM/INTERNATIONAL APPROVALS
Client Facing Professional(CFP):		(Signature)
Account Manager:		(Signature)
Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH):		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)

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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP’s) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP’s to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis.¶

DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the 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 of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy¶

(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶

Deutsche Bank Americas New York¶

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Deutsche Bank KYC file for Jeffrey Epstein's accounts, July 2019

1. Relationship Details¶

3A. Individual Details (for all parties)¶

3A. Individual Details (for all parties)¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

3A. Individual Details (for all parties)¶

Individual’s Name:¶

Country of Residence:¶

Address of primary residence:¶

Profession/Occupation:¶

Current Employer:¶

Address of employer:¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

Nature of the Individual’s Business:¶

Primary Country of source of wealth/Source of Funds?¶

Summarise Source of Wealth:¶

One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary¶

3C. Legal Entity Details (For all Legal Entities)¶

3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)¶