| 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 Market | 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)? 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 Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | 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 | ✓ | ✓ | 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 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 $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 Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settier of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory or Full POA | Limited POA | Financial Intermediary FIM) | Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (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 Market | 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)? 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 Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settier of Trust / Founder of Foundation | Ultimate Beneficiary Owner | Signatory or Full POA | Limited POA | Financial Intermediary FIM | Significant Shareholder (>25%) Non-NIC entity (indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (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) |
| :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- |¶
- □
□
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 Market | 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)? 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? | | 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 Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settier of Trust / Founder of Foundation | Ultimate Beneficiary Owner | Signatory or Full POA | Limited POA | Financial Intermediary FIM | Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (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, LLC | Acct. 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) | | Currency | USD | | ☐ 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 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-NIC entity (indicate ownership %) | Legal Representative | Grantor/Settter | Founding Donor | Other (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 Market | 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)? 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 Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settler of Trust / Founder of Foundation | Ultimate Beneficiary Owner | Signatory or Full POA | Limited POA | Financial Intermediary FIM | Significant Shareholder (> 25%) Non-NIC entity (indicate ownership %) | Legal Representative | Grantor/Settter | Founding Donor | Other (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 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:10/19/2012 | | Volcker Status: | Volcker Flag: | | | Address(city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI | U.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: | JPMorgan | Country: | USA | Est. 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 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: | 10/19/2012 | | Volcker Status: | | Volcker Flag: | | | Address(city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI | U.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: | 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¶
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 Partnership | Purpose of Entity: | Private Investment Philanthropic/Charitable Commercial | | Type of Entity Other(specify): | | Purpose of Entity Other(specify): | | Country of incorporation/registration: | USA | Date of incorporation/registration:7/18/1991 | | Volcker Status: | | Volcker Flag: | | Address(city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI | U.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 Partnership | | Private Investment Philanthropic/Charitable Commercial | | Type of Entity Other (specify): | | Purpose of Entity Other (specify): | | | Country of incorporation/registration: | USA | Date of incorporation/registration: | 9/7/2000 | | Volker Status: | | Volker Flag: | | | Address (city, street, post code) | 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI | U.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:JPMorgan | Country:USA | Est. 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/AssociationTrustCompanyEstatePartnership | Purpose 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: | USVI | Date of incorporation / registration: | 10/19/2012 | | Volcker Status: | | Volcker Flag: | | | Address (city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI | U.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: | JPMorgan | Country: | USA | Est. 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 Name | EPSTEIN, JEFFREY RELATIONSHIP | | Risk Rating Comments: | | | Booking Center | NY | NY/Offshore | Offshore | Moderate Risk | High Risk | Jacqueline Lightbody | | (Compliance Signature) | | DB Employee | DB Managed PIC | DB is Trustee/Co-Trustee | Bearer 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 ☐ 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, D&B) | ☑ 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 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 By | Date | Comments | | Jacqueline Lightbody | 3/14/114 4:02 PM | 1 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 Morris | 2/24/2014 | | Office Director/Business Head: | Brian M. Biggar | (Signature) Brian M. Biggar | 2/24/2014 | | 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 Franklin | 3/14/2014 | | Jacqueline Lightbody | 3/14/2014 |
| 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¶ |