KYC Print Page 1 of 25 DB PWM GLOBAL KYC/NCA: PART A Status : 6. Approved # 1. Relationship Details ## Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000 Booking Center: New York ## Relationship Manager: Paul Morris ## 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: Update of KYC #01135624 to add Darren Indyke as an authorized signer. Darren has been approved in KYC #113377. See attached LOA to add ## 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 is a current client of the Bank. Wantsto open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JP Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrospection 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 | Hyperion Air Inc | 10/16/2013 | | 2 | Hyperion Air Inc -- Money Market | 10/16/2013 | | 3 | Hyperion Air LLC | 10/16/2013 | | 4 | Hyperion Air LLC -- Money Market | 10/16/2013 | | 5 | JEGE Inc | 10/16/2013 | | 6 | JEGE Inc -- Money Market | 10/16/2013 | | 7 | JEGE LLC | 10/16/2013 | | 8 | JEGE LLC -- Money Market | 10/16/2013 | | 9 | Plan D, LLC | 10/16/2013 | | 10 | Plan D, LLC -- Money Market | 10/16/2013 | Who is the primary contact person for the RM? (Note: This person needs to haveapitatory rights and/orinformation right for theaccounts.): Harry Beller Preferred method of contact (indicate phone no, fax no, e-mail address, etc.): CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000148 USAO 001111 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. EFTA_00019021 EFTA00168768 KYC Print Page 2 of 25 One sheet must be established for each account to be opened # 2. Account Ownership Summary ## Account Name: Hyperion Air Inc Acct. Number (if available): ## Account Manager: Paul Morris ### What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein’s airplanes Indicate from where the assets are expected to arrive? - DB Group: Same Booking Center (indicate account number): - DB Group: Other Booking Center (indicate DB location and account details): - Other Institution (Indicate name & location): JPMorgan. New York - 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 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? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100000 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 | Settler of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>=25%) Non-MIC entity (indicate ownership %) | Legal Representative | Grantor/Settter | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | 1. ✓ ✓ ✓ Hyperion Air, Inc 2. □ ✓ Jeffrey Epstein 3. □ Harry Beller 4. □ Darren Indyke CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000149 USAO 001112 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00019022 EFTA00168769 KYC Print Page 3 of 25
2. Account Ownership Summary
Account Name:Hyperion Air Inc -- Money MarketAcct. Number (if available):
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number)
☐ DB Group: Other Booking Center (indicate DB location and account details)
☑ Other Institution (Indicate name & location): JP Morgan. New York
☐ 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 1-3 inflows and 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?CurrencyUSD
What is the expected volume of assets and currency for the account approx. one year after opening?200000CurrencyUSD
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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettlor of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory for Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1□✓Jeffrey Epstein□□✓✓□□□□□□□
2✓✓Hyperion Air, Inc✓□ CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000150 USAO 001113 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1. EFTA_00019023 EFTA00168770 KYC Print Page 4 of 25
2. Account Ownership Summary
Account Name:Hyperion Air LLCAcct. Number (<if available>)
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number)
☐ DB Group: Other Booking Center (indicate DB location and account details):
☑ Other Institution (Indicate name & location): JPMorgan. New York
☐ 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 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?
What is the expected volume of assets and currency for the account approx. one year after opening?
100000
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 EntityDescription of Source of Wealth RequiredParties related to this accountAccount HolderPIC OwnerSettlor of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory or Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (>=25%) Non-HIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓Hyperion Air, LLC✓□ CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000151 USAO 001114 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/ EFTA_00019024 EFTA00168771 KYC Print Page 5 of 25
2. Account Ownership Summary
Account Name:Hyperion Air LLC -- Money MarketAcct. Number (if available):
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number)
☐ DB Group: Other Booking Center (indicate DB location and account details)
☑ Other Institution (Indicate name & location): JPMorgan. New York
☐ 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 1-3 inflows and 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?CurrencyUSD
What is the expected volume of assets and currency for the account approx. one year after opening?200000CurrencyUSD
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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettlor of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory or Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓Hyperion Air, LLC✓□□□□□□□□
2□□Harry Beller□□□✓□□□□□
3□✓Jeffrey Epstein□□□✓□□□□□
4□□Darren Indyk□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000152 USAO 001115 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1 EFTA_00019025 EFTA00168772 KYC Print Page 6 of 25
2. Account Ownership Summary
Account Name:JEGE IncAcct. Number (if available)
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number):
☐ DB Group: Other Booking Center (indicate DB location and account details):
☑ Other Institution (Indicate name & location): JPMorgan. New York
☐ 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 outflows per month ranging from $1000 to $10000
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. 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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettier of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory or Full POALimited POAFinancial Intermediary FIM)Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓JEGE, Inc✓□□□□□□□□
2□✓Jeffrey Epstein□□□✓□□□□□
3□□Harry Beiler□□□✓□□□□□
4□□Darren Indyke□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000153 USAO 001116 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... //1 EFTA_00019026 EFTA00168773 KYC Print Page 7 of 25
2. Account Ownership Summary
Account Name:JEGE Inc -- Money MarketAcct. Number (<if available>)
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number);
☐ DB Group: Other Booking Center (indicate DB location and account details);
☑ Other Institution (Indicate name & location): JPMorgan, New York
☐ 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 1-3 inflows and 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? Currency USD
What is the expected volume of assets and currency for the account approx. one year after opening? 200000 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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettier of Trust / Founder of FoundationUltimate Beneficiary OwnerSignatory or Full POALimited POAFinancial Intermediary FIMSignificant Shareholder (>25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓JEGE, Inc✓□□□□□□□□
2□✓Jeffrey Epstein□□□✓✓□□□□
3□□Harry Beiler□□□✓□□□□□
4□□Darren Indyk□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000154 USAO 001117 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1. EFTA_00019027 EFTA00168774 KYC Print Page 8 of 25 # 2. Account Ownership Summary | Legal Entity | Description of Source of Wealth required | Parties related to this account | Holder | PIC Owner | Settor of Trust / Founder of Foundation | Ultimate Beneficiary or Full POA | Signatory or Full POA | Limited POA | Financial Intermediary (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) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | **Account Name:** JEGE LLC Acct. Number (if available): **Account Manager:** Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein’s airplanes Indicate from where the assets are expected to arrive? - DB Group: Same Booking Center (indicate account number): - DB Group: Other Booking Center (indicate DB location and account details): - Other Institution (Indicate name & location): JPMorgan. New York - 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 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? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100000 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 | Holder | PIC Owner | Settor of Trust / Founder of Foundation | Ultimate Beneficiary or Full POA | Signatory or Full POA | Limited POA | Financial Intermediary (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) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | 1. □ □ Harry Beller JEGE, LLC Jeffrey Epstein Darren Indyk CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000155 USAO 001118 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1 EFTA_00019028 EFTA00168775 KYC Print Page 9 of 25
2. Account Ownership Summary
Account Name:JEGE LLC -- Money MarketAcct. Number (if available):
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number);
☐ DB Group: Other Booking Center (indicate DB location and account details);
☑ Other Institution (Indicate name & location): JPMorgan, New York
☐ 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 1-3 inflows and outflows per month ranging from $1000 to $10000
What is the expected volume of assets and currency for the account approx. 90 days after opening?CurrencyUSD
What is the expected volume of assets and currency for the account approx. one year after opening?200000CurrencyUSD
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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettier of Trust / Founder of FoundationUltimate Beneficiary OwnerSignatory or Full POALimited POAFinancial Intermediary FIMSignificant Shareholder (> 25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettlerFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓JEGE, LLC✓□□□□□□□□
2□✓Jeffrey Epstein□□□✓□□□□□
3□□Harry Beiler□□□✓□□□□□
4□□Darren Indyke□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000156 USAO 001119 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/11 EFTA_00019029 EFTA00168776 KYC Print Page 10 of 25
2. Account Ownership Summary
Account Name:Plan D, LLCAcct. Number (& available):
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number)CurrencyUSD
☐ DB Group: Other Booking Center (indicate DB location and account details)
☑ Other Institution (Indicate name & location): JPMorgan. New York
☐ 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 outflows per month ranging from $1000 to $10,00
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. 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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettler of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory or Full POALimited POAFinancial Intermediary (FIM)Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettterFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓Plan D, LLC✓□□□□□□□□□
2□✓Jeffrey Epstein□□□✓□□□□□
3□□Harry Beller□□□✓□□□□□
4□□Darren Indyke□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000157 USAO 001120 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1. EFTA_00019030 EFTA00168777 KYC Print Page 11 of 25
2. Account Ownership Summary
Account Name:Plan D, LLC -- Money MarketAcct. Number (if available):
Account Manager:Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number);
☐ DB Group: Other Booking Center (indicate DB location and account details);
☑ Other Institution (Indicate name & location): JPMorgan, New York
☐ 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 1-3 inflows and outflows per month ranging from $1000 to $10000
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. 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 EntityDescription of Source of Wealth requiredParties related to this accountAccount HolderPIC OwnerSettler of Trust / Founder of FoundationUltimate Beneficiary OwnerSignatory or Full POALimited POAFinancial Intermediary FIMSignificant Shareholder (> 25%) Non-NIC entity (indicate ownership %)Legal RepresentativeGrantor/SettterFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓Plan D, LLC✓□□□□□□□□
2□✓Jeffrey Epstein□□□✓✓□□□□
3□□Harry Beiler□□□✓□□□□□
4□□Darren Indyke□□□✓□□□□□
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000158 USAO 001121 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/. EFTA_00019031 EFTA00168778 KYC Print Page 12 of 25 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 Epstein | Date of Birth: | 1/20/1953 | | :--- | :--- | :--- | :--- | | Country of Residence: | USVI | Country of Citizenship: | USA | | Address of primary residence: | Littte Saint James Saint Thomas 00802 US Virgin Islands | Has client resided outside of higher country of nationality for 5 years or more? | Yes No | | Profession/Occupation: | Self Employed | Tax ID / SSN: | | | Current Employer: | Southern Financial LLC | Position/Title/Rank: | President | | 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-recognized exchange? (Not applicable for operating entities) □ Yes ☑ No 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., external 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: Indicate where and when the client meeting(s) took place: | Bank Officer Name(s) | Bank Office: | Client Private Domestic: | 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: Private investments 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). Epstein began his financial career in 1978 as an options trader at Bear Stearns and became a partner in 1980. In 1981, Epstein founded his own financial management firm. J. Epstein K.O., 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 island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wendel. His wealth has come from his days at Bear Stearns and his financial management firms. Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): $100 MM - 500 MM Estimated Net Worth ($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000,000.00 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000159 USAO 001122 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | EFTA_00019032 | | :--- | :--- | This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text. EFTA00168779 KYC Print Page 13 of 25
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
Please indicate the family situation of the individual(marital status, other family members, etc.)：
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000160 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... USAO 001123 7/11/2019 EFTA_00019033 EFTA00168780 KYC Print Page 14 of 25 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary # 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 | | :--- | :--- | | Country of Residence: | USA | | Address of primary residence | | | Profession/Occupation: | Accountant | | Current Employer: | HBRK Associates, Inc | | 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: Bank Officer Name(s) | Bank Office: | Client Private Domicile: | Client Place of Business: | Other Location (specify): | Date: Paul Morris | □ | □ | ✓ | | 9/13/2013 | □ | □ | □ | | | □ | □ | □ | | 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: | Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: | CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000161 USAO 001124 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1 EFTA_00019034 EFTA00168781 KYC Print Page 15 of 25 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000162 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... USAO 001125 7/11/2019 EFTA_00019035 EFTA00168782 KYC Print Page 16 of 25 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary # 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 - | | :--- | :--- | | Country of Residence: | USA | | Address of primary residence: | | | Profession/Occupation: | Lawyer | | Current Employer: | Southern Financial LLC | | Address of employer: | 575 Lexington Ave, 4th Fl New York NY USA 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 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: 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: 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: | Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: | CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000163 USAO 001126 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. EFTA_00019036 EFTA00168783 KYC Print Page 17 of 25 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:Hyperion Air, LLC
Type of Entity:Foundation/Association Trust Company Estate PartnershipPurpose of Entity:Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):Purpose of Entity Other(specify):
Country of Incorporation/Registration:US Virgin IslandsDate of incorporation/ registration:10/19/2012
Volcker Status:Volcker Flag:
Address(city, street, post code):6100 Red Hook, Quarter B3 St, Thomas 00802 USVIU.S. TIN/EIN:
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.:Single member LLC. Jeffrey Epstein is sole member/owner
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)?YesNo
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:This company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc.Hyperion Air Inc will be closed within a year
Countries where business is transacted:USA, USVI
Number of employees:1
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):This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for Hyperion Air Inc.Hyperion Air Inc will be closed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein.All funds for this company come from Jeffrey Epstein's source of wealth.
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):<$1 MM
Potential Amount to be invested with PWM($):300,000.00
Other Known Financial Institutions:
Institution:JPMorganCountry:USAEst. Assets Under Mgt:300,000.00
Institution:Country:Est. Assets Under Mgt:
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000164 USAO 001127 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/20 | EFTA_00019037 | | :--- | :--- | This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: "EFTA_00019037". EFTA00168784 KYC Print Page 18 of 25
Institution:Country:Est. Assets Under Mgt:
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:Plan D, LLC
Type of Entity:Foundation/Association Trust Company Estate PartnershipPurpose of Entity:Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):Purpose of Entity Other(specify):
Country of Incorporation/registration:US Virgin IslandsDate of incorporation/ registration:10/19/2012
Volcker Status:Volcker Flag:
Address(city, street, post code):6100 Red Hook, Quarter B3 St, Thomas 00802 USVIU.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settor and beneficiaries,etc.:Single member LLC. Sole member is Jeffrey Epstein
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)?
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes
Countries where business is transacted:USA,USVI
Number of employees:1
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):LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes.Initial contribution of $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein.
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):<$1 MM
Potential Amount to be invested with PWM($):300,000.00
Other Known Financial Institutions:
Institution:JPMorganCountry:USAEst. Assets Under Mgt:300,000.00
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000165 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/11/20 | EFTA_00019038 | | :--- | :--- | This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00019038". EFTA00168785 KYC Print Page 19 of 25
3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:Hyperion Air, Inc
Type of Entity:Foundation/Association Trust Company Estate PartnershipPurpose of Entity:Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):Purpose of Entity Other(specify):
Country of incorporation/registration:USADate of incorporation/registration:7/18/1991
Volcker Status:Volcker Flag:
Address(city, street, post code):6100 Red Hook, Quarter B3 St, Thomas 00802 USVIU.S. TIN/EIN:
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.Jeffrey Epstein is President and sole owner.
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)?YesNo
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein.
Countries where business is transacted:USA,USVirgin Island
Number of employees:1
# 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): All funds for this LLC come from contributions of the president and sole owner, Jeffrey Epstein. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 300,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: 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: JEGE, Inc - Type of Entity: CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000166 USAO 001129 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFTA_00019039 EFTA00168786 KYC Print Page 20 of 25
Foundation/Association Trust Company Estate PartnershipPrivate Investment Philanthropic/Charitable Commercial
Type of Entity Other (specify):Purpose of Entity Other (specify):
Country of incorporation/registration:USADate of incorporation/registration:9/7/2000
Volker Status:Volker Flag:
Address (city, street, post code)6100 Red Hook, Quarter B3 St, Thomas 00802 USVIU.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settlement and beneficiaries etc.Jeffrey Epstein is the sole owner.
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:Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein.
Countries where business is transacted:USA, USVI
Number of employees:1
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):All corporate funds/assets come from contributions by the sole owner, Jeffrey Epstein and his source of wealth
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):<$1 MM
Potential Amount to be invested with PWM($):300,000.00
Other Known Financial Institutions:
Institution:JPMorganCountry:USAEst. Assets Under Mgt:300,000.00
Institution:Country:Est. Assets Under Mgt:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:Est. Assets Under Mgt:
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:JEGE, LLC
Type of Entity:Foundation/AssociationTrustCompanyEstatePartnershipPurpose of Entity:Private InvestmentPhilanthropic/CharitableCommercial
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000167 USAO 001130 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/11/201 | EFTA_00019040 | | :--- | :--- | This is a simple Markdown document with no headings or paragraphs. It contains a single line of text. EFTA00168787 KYC Print Page 21 of 25
Type of Entity Other (specify):Purpose of Entity Other (specify):
Country of incorporation/registration:USVIDate of incorporation / registration:10/19/2012
Volcker Status:Volcker Flag:
Address (city, street, post code):6100 Red Hook, Quarter B3 St, Thomas 00802 USVIU.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability, settor and beneficiaries, etc.:Single member LLC. Jeffrey Epstein is the sole member
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:This is a company formed to hold funds for the taxes and payments of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments for JEGE Inc. JEGE Inc will be closed within a year
Countries where business is transacted:USA, USVI
Number of employees:1
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):Initial funding of $1,000 from sole member Jeffrey Epstein.All corporate assets come from contributions made by the sole owner
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):<$1 MM
Potential Amount to be invested with PWM($):300,000.00
Other Known Financial Institutions:
Institution:JPMorganCountry:USAEst. Assets Under Mgt:300,000.00
Institution:Country:Est. Assets Under Mgt:
Institution:Country:Est. Assets Under Mgt:
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000168 USAO 001131 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1 EFTA_00019041 EFTA00168788 KYC Print Page 22 of 25 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship NameEPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking CenterNYNY/OffshoreOffshoreModerate RiskHigh RiskJacqueline Lightbody
(Compliance Signature)
DB EmployeeDB Managed PICDB is Trustee/Co-TrusteeBearer Shares
(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 ☐ Nonegative results found ☑ Yes ☐ No
PCR checks complete☑ Yes ☐ Nonegative results found ☑ Yes ☐ No
OFAC checks complete☑ Yes ☐ Nonegative results found ☑ Yes ☐ No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B)☑ Yes ☐ Nonegative results found ☑ Yes ☐ No
Denial Orders checks complete☑ Yes ☐ Nonegative results found ☑ Yes ☐ No
Martindale-Hubbell searched (Lawyers/Law Firms only)☑ Yes ☐ Nonegative results found ☑ Yes ☐ No
Please summarize any negative results from the database searches indicated above: DARREN INDKYE: KYC approved in case #1133377
HYPERION AIR INC: No negative media No court cases
HYPERION AIR LLC: No negative media No court cases
JEGE INC: No negative media No court cases
D.JEGE LLC: No negative media No court cases
PLAN D LLC: No negative media No court cases
HARRY BELLER: Negative Media: Not our client. All negative media pertains to an environmental microbiologist. Our client is an accountant Court Cases: #1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Beller. Our client is an accountant
JEFFREY EPSTEIN: Previously KYCd and approved in: 01082293 and 01121718
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 Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (#1Yes, provider details below and contact Quality Mgt. (LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately)
G.☑ Yes ☐ No
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000169 USAO 001132 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. EFTA_00019042 EFTA00168789 KYC Print Page 23 of 25
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)?
H. Does the client or related party have any financial or other association/ interactions within high risk countries?☐Yes ☑No
I. Corporate Documentation Attached(Legal Entities Only)☑Yes ☐No ☐Not Applicable
J. Undisclosed Principal Form Complete(Intermediaries Only)☐Yes ☐No ☑Not 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?☐Yes ☑No
Is the account structure unusually complex?☐Yes ☑No
Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?☐Yes ☑No
Is there any indication this could be a prohibited business relationship?☐Yes ☑No
Are the bearer shares identified subject to acceptable controls?☐Yes ☑No
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000170 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... USAO 001133 7/11/2019 EFTA_00019043 EFTA00168790 KYC Print Page 24 of 25
M. Case Comments
Created ByDateComments
Jacqueline Lightbody3/14/114 4:02 PM1 page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable. The only revision was the 2nd page with the correct signers that is attached separately.
ONSHORE APPROVALS
Client Facing Professional(CFP):Paul Morris(Signature) Paul Morris2/24/2014
Office Director/Business Head:Brian M. Biggar(Signature) Brian M. Biggar2/24/2014
Regional Office Director:(Signature)
AML Business Risk:(Signature)
AML Compliance:Gwen Hill o/b/o Janice Franklin Jacqueline Lightbody(Signature)
Gwen Hill o/b/o Janice Franklin3/14/2014
Jacqueline Lightbody3/14/2014
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)
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 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000171 USAO 001134 7/11/2019 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00019044 EFTA00168791 KYC Print Page 25 of 25 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000172 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/201 USAO 001135 7/11/2019 EFTA_00019045 EFTA00168792