Deutsche Bank KYC file for opening Zorro Development Corp accounts for Jeffrey Epstein

KYC Print¶

Page 1 of 10¶

DB PWM GLOBAL KYC/NCA: PART A¶

One sheet must be established per relationship - list all accounts included in the relationship¶

1. Relationship Details¶

Relationship Name:	SOUTHERN FINANCIAL RELATIONSHIP:00000483290	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:

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. Wants to 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 JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank	□ Yes	☑ No
Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship?	(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	Zorro Development Corp	4/28/2014
2	Zorro Development Corp — Money Market	4/28/2014

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

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

DB-SDNY-0000173¶

USAO 001136 7/11/2019¶

EFTA_00019046¶

EFTA00168793¶

KYC Print¶

Page 2 of 10¶

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

2. Account Ownership Summary
Account Name:				Zorro Development Corp					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 for the day-to-day expenses associated with running the ranch in New Mexico that Zorro owns
Indicate from where the assets are expected to arrive?
☑ DB Group: Same Booking Center (indicate account number): From Jeffrey Epstein's account" 35266976
☐ DB Group: Other Booking Center (indicate DB location and account details):
☐ Other Institution – (Indicate name & location):
☐ Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-30 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? 100000 Currency USD
What is the expected volume of assets and currency for the account approx. one year after opening? 150000 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 Wealth required	Parties related to this account	Account Holder	PIC Owner	Sitter of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Signatory or Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)	Legal Representative	Grantor/Settter	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	☑	☑	Zorro Development Corp	☑	□	□	□	□	□		□	□	□
2	□	□	Darren Indyke	□	□	□	□	□	□		□	□	□
3	□	☑	Jeffrey Epstein	□	□	☑	☑	□	□		□	□	□

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

DB-SDNY-0000174¶

USAO 001137 7/11/2019¶

EFTA_00019047¶

EFTA00168794¶

KYC Print¶

Page 3 of 10¶

2. Account Ownership Summary¶

Account Name:	Zorro Development Corp — 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 forexpenses associated with running the ranch in New Mexico that Zorro owns. This account will hold extra funds and earn interest.¶

Indicate from where the assets are expected to arrive?¶

☑ DB Group: Same Booking Center (indicate account number): Jeffrey Epstein’s account #35266976 ☐ DB Group: Other Booking Center (indicate DB location and account details): ☐ Other Institution – (Indicate name & location): ☐ Physical Deposits (specify cash, securities, cheques, …):¶

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 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?¶

100000 Currency USD¶

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

150000 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 Wealth required | Parties related to this account | Account Holder | PIC Owner | Settor of Trust / Founder of Foundation | Ultimate Beneficiary Owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>= 25%) Non-PTC entity (indicate ownership %) | Legal Representative | Grantor/Settter | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | | 1 | ✓ | ✓ | Zorro Development Corp. | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | | 2 | □ | □ | Darren Indyke | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | | 3 | □ | ✓ | Jeffrey Epstein | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | □ | □ |¶

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

DB-SDNY-0000175¶

USAO 001138 7/11/2019¶

EFTA_00019048¶

EFTA00168795¶

KYC Print¶

Page 4 of 10¶

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:	Jeffrey Epstein - 0000483289	Date of Birth:	1/20/1953
Country of Residence:	USVI	Country of Citizenship:	USA
Address of primary residence:	Littie 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:	6100 Red Hook Quarter B3 St. Thomas USVI 00802

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

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

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

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

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

Bank Officer Name(s)	Bank Office:	Client Private Domestic:	Client Place of Business:	Other Location (specify):	Date:
Paul Morris	□	□	□	□	3/4/2014
	□	□	□	□
	□	□	□	□

☐ Wealth details for this individual are 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 trust, 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.) Epsin begins his financial career in 1979 as an apprentice at Bear Stearns and secures a partner in 1980. In 1982, he founded his own financial management firm, Epsin & Co., managing the assets of clients with more than a billion in net worth. In 1986, he 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 Wesley. His wealth has come from his days at Bear Stearns and his financial management firms.¶

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

Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00¶

Institution: Country: Est. Assets Under Mgt:¶

DB-SDNY-0000176¶

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

USAO 001139 7/11/2019¶

| EFTA_00019049 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019049”.¶

EFTA00168796¶

KYC Print¶

Page 5 of 10¶

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-0000177¶

USAO 001140 7/11/2019¶

EFTA_00019050¶

EFTA00168797¶

KYC Print¶

Page 6 of 10¶

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:	Damen Indykke
Country of Residence:	USA
Address of primary residence:
Profession/Occupation:	Lawyer
Current Employer:	Southern Financial LLC
Address of employer:	575 Lexington Ave, 4th Fl Livingston 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-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 □ □ ✓
  • □ □ □
  • □ □ □

4/17/2014¶

Summarize Source of Wealth:¶

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

☐ 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. Trusts, how did settle 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:

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

DB-SDNY-0000178¶

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

USAO 001141 7/11/2019¶

| EFTA_00019051 | | :--- | :--- |¶

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

EFTA00168798¶

KYC Print¶

Page 7 of 10¶

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Zorro Development Corp.-00000492732
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:	3/17/1993
Volcker Status:			Volcker Flag:
Address(city, street, post code):	6100 Red Hook Quarter,B3 St. Thomas 00802 USVI		U.S.TIN/EIN:	85-040-9324
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.;Zorro is able to issue 3000 shares. Currently there are only 100 shares issued.All owned by Jeffrey EpsteinPlease indicate how ownership of the legal entity is reflected:Zorro is able to issue 3000 shares. Currently there are only 100 shares issued.All owned by Jeffrey EpsteinSpecial 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);Zorro is able to issue 3000 shares.Currently there are only 100 shares issued.All owned by Jeffrey EpsteinTo 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:		Zorro Development is a real estate holding company.It is a company formed to run and operate all activities associated with a property that Jeffrey Epstein owns in New Mexico
Countries where business is transacted:		USA
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 company is funded by Jeffrey Epstein's personal wealth
Estimated gross receipts($):
Estimated net profit($):
Estimated investable assets($):			$1MM-2MM
Potential Amount to be invested with PWM($):			300,000.00
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-0000179¶

USAO 001142 7/11/2019¶

EFTA_00019052¶

EFTA00168799¶

KYC Print¶

Page 8 of 10¶

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

Relationship Name	SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center	NY	NY/Offshore	Offshore	Moderate Risk	High Risk	Gwen Hill
(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			Yes □ No	negative results found
RDC searches complete			Yes □ No	negative results found
PCR checks complete			Yes □ No	negative results found
OFAC checks complete			Yes □ No	negative results found
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones,			Yes □ No	negative results found
Denial Orders check complete			Yes □ No	negative results found
Martindale-Hubbell searched (Lawyers/Law Firms only)			Yes □ No	negative results found
Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in #113377 and again when added as POA in KYC #01195100
JEFFREY EPSTEIN: KYC approved in #01121718, #01082293, #01141308, #01195100
ZDRRD DEVELOPMENT CORP: No Negative Media No Court Cases
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? If Yes, provide details below and contact Quality Agent. (admn/off) or the Regulatory Control Group and notify Compliance immediately)			Yes □ No
G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?			Yes □ No
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

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

USAO_001143 7/11/2019 EFTA_00019053¶

EFTA00168800¶

KYC Print¶

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Are the bearer shares identified subject to acceptable controls?¶

☐ Yes ☑ No¶

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

DB-SDNY-0000181¶

USAO 001144 7/11/2019¶

EFTA_00019054¶

EFTA00168801¶

KYC Print¶

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M. Case Comments
No records to display.
ONSHORE APPROVALS
Client Facing Professional(CFP):	Paul Morris	(Signature) Paul Morris	4/23/2014
Office Director/Business Head:	Kimberly Hart	(Signature) Kimberly Hart	4/23/2014
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)
	Janice Franklin	Janice Franklin	4/25/2014
	Gwen Hill	Gwen Hill	4/25/2014

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¶

(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-0000182¶

USAO 001145 7/11/2019¶

EFTA_00019055¶

EFTA00168802¶