| 3 | ☐ | ☐ | Darren K. Indyke | ☐
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000328
USAO 001291
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
| EFTA_00019201 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00019201".
EFTA00168948
KYC Print
Page 4 of 20
| 2. Account Ownership Summary |
|---|
| Account Name: | The Haze Trust - 77000949 - DDA | Acct. Number (if available): | 77000949 | | Account Manager: | Stewart Oldfield | | What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is an interest bearing checking account for costs (taxes, etc.) related to this Trust | | Indicate from where the assets are expected to arrive: | ☑ DB Group: Same Booking Center (indicate account number): Existing
☐ 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)?: ~ 1-3/month; $10K - $10MM | | 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 Wealth Required | Parties related to this account | Account Holder | PIC Owner | Settler of Trust / Founder of Owner Foundation | Ultimate Beneficiary for Full POA | Signatory 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 | ☑ | ☑ | The Haze Trust | ☑ | ☐ | ☐ | ☐ | ☐ | ☐ | | ☐ | ☐ | ☐ | | 2 | ☐ | ☐ | Daren K. Indyk | ☐ | ☐ | ☐ | ☐ | ☐ | ☐ | | ☐ | ☐ | ☐ | | 3 | ☑ | ☑ | Jeffrey B. Epstein | ☐ | ☐ | ☑ | ☐ | ☐ | ☐ | | ☐ | ☐ | ☐ |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000329
USAO 001292
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/.
EFTA_00019202
EFTA00168949
KYC Print
Page 5 of 20
# 2. Account Ownership Summary
| Account Name: | The Haze Trust - N4G024943 - DBSI | Acti. Number (if available): | N4G024943 |
| :--- | :--- | :--- | :--- |
| Account Manager: | Stewart Oldfield | | |
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a brokerage account for the trust to hold and make investments in marketable securities is the purpose of the account.
Indicate from where the assets are expected to arrive?
☑ DB Group: Same Booking Center (indicate account number); Existing
☐ 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)?: ~ 3-10/month; $10 - $2MM
What is the expected volume of assets and currency for the account approx. 90 days after opening?
20,355,143.12 Currency USD
What is the expected volume of assets and currency for the account approx. one year after opening?
20,355,143.12 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 of Source of Wealth Required | Account Holder | PIC Owner | Settor / Trust / Founder of Foundation | Ultimate Beneficiary of Owner | Signator 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 | ✓ | ✓ | The Haze Trust | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 2 | ✓ | ✓ | Jeffrey E. Epstein | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 3 | □ | □ | Darren K. Indyk | □ | □ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 4 | □ | □ | Paul Barrett | □ | □ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| 5 | □ | □ | Harry Beller | □ | □ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | POA for Brokerage Account;
6 | □ | □ | Jean Anne Bernhard Wiebach | □ | □ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | POA for Brokerage Account;
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000330
USAO 001293
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/201
EFTA_00019203
EFTA00168950
KYC Print
Page 6 of 20
| 2. Account Ownership Summary |
|---|
| Account Name: | The Haze trust - 42967287 - DDA | Acct. Number (if available): | 42967287 | | Account Manager: | Stewart Oldfield | | What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? This is a simple checking account for costs (taxes, etc.) related to this Trust | Indicate from where the assets are expected to arrive?
☑ DB Group: Same Booking Center (indicate account number): Existing
☐ 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)? There are regular transactions in The Haze brokerage account, which is where most of the activity is. The deposit account just holds cash to earn the interest. Wouldn't expect many transactions there. | | What is the expected volume of assets and currency for the account approx. 90 days after opening? | 2,503,667.84 | Currency | USD | | What is the expected volume of assets and currency for the account approx. one year after opening? | 2,503,667.84 | 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 dillow to the ultimate undertaking Beneficial Owner(). | | 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 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 | ☑ | ☑ | The Haze Trust | ☑ | ☐ | ☐ | ☐ | ☐ | ☐ | | ☐ | ☐ | ☐ | | | 2 | ☐ | ☑ | Jeffrey E. Epstein | ☐ | ☐ | ☑ | ☐ | ☐ | ☐ | | ☐ | ☐ | ☐ | Settlor/Beneficiary; Trustee; Trustee; Auth Signor as Trustee & Primary Decision Maker; | | 3 | ☐ | ☐ | Daren K. Indyk | ☐ | ☐ | ☐ | ☑ | ☐ | ☐ | | ☐ | ☐ | ☐ | Trustee; Trustee; Auth Signor as Trustee; |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000331
USAO 001294
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/
EFTA_00019204
EFTA00168951
KYC Print
Page 7 of 20
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 E. Epstein - 00000483289 | Date of Birth: | 1/20/1953 |
| :--- | :--- | :--- | :--- |
| Country of Residence: | Virgin Islands, U.S. | Country of Citizenship: | United States |
| Address of primary residence: | Little Saint James Saint Thomas 00802 Virgin Islands, U.S. | Has client outside of his/her country of nationality for 5 years or more? | Yes | No |
| Profession/Occupation: | Self Employed | Tax ID / SSN: | |
| Current Employer: | Southern Trust Company Inc | Position/Title/Rank: | President |
| Address of employer: | 6100 Red Hook Quarter B3 St. Virginia Islands, U.S. 00802 |
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)
| Does the individual a Politically Exposed Person (PEP)? (If Yes, describe) | Connection with Prince Andrew and Bill Clinton |
| :--- | :--- |
| To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe.) | N/A |
| 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) | NA |
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 Domain: | Client Place of Business: | Other Location (specify): | Date: |
| Stewart Oldfield | □ | □ | □ | 6/28/2017 |
☐ 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? | United States |
| Primary industry of source of Wealth/Source of Funds? | High Risk Financial Institutions |
| Summary Source of Wealth: | 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, successful in his career and then formed his own firm), Epstein & Co. He lives in the US Virgin Islands, Epstein bought calculus and physics at the Dalton School in Maryland from 1972 to 1975, Among his students was a son of Alan C. Greenberg, chairman of Bear Streams.
In 1975, Epstein started work as an option trades伯 Bear Streams who worked in the special products division, advancing high-net-worth clients on tax strategies. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wesley, founder and chairman of a limited chain of women's clothing stores, became well-known client. Werner acquired Abercrombie & Fitch therowing year. In 1992 he converted a private school on the Upper East Side into an amusement park. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for advantages, based on it on the island of St. Thomas in the U.S.
In 2003, Epstein bid to acquire New York magazine. Otheriders were advertising executive Donny Deesch, investor Netel Pati, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor. In 2004, Epstein and Zurich committed up to $25 million to Rachel a fashion editor and pop culture magazine maker by Mayer Rohran. Epstein and Zuckerman were equal partners in the venture, Roshan, as its editor-in-chief, retained a small ownership stake.
Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests in the assets of their clients and gets their revenue from the return of Trust Investments in different portfolios relevant to their clients and makes their revenue based on the returns and the fees associated with managing their clients' assets.
Estimated Annual Income($):
10,000,000.00
$50 MW - 100 MW
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000332
USAO 001295
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..
EFTA_00019205
EFTA00168952
KYC Print
Page 8 of 20
| | | | | Estimated Net Worth($): | $500 MM+ | Amount of assets planned to invest with PWM($): | 2,300,000.00 | | Other Known Financial Institutions: | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Institution: | | Country: | | Est. Assets Under Mgt: | | | Please indicate the family situation of the individual (marital status, other family members, etc.): N/A |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000333
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e..
USAO 001296
7/11/2019
EFTA_00019206
EFTA00168953
KYC Print
Page 9 of 20
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 K. Indyke |
| :--- | :--- |
| Country of Residence: | United States |
| Address of primary residence: | |
| Profession/Occupation: | Accountant |
| Current Employer: | Southern Financial LLC |
| Address of employer: | 6100 Red Hook Quarter B3 Livingston Virgin Islands, U.S. 00802 |
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognized exchange? (Not applicable for operating entities)
☐ Yes ☐ No
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) N/A
☐ Yes ☐ No
To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) N/A
☐ 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) N/A
☐ 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 Domicle: | Client Place of Business: | Other Location (specify): | Date: |
| :--- | :--- | :--- | :--- | :--- |
| Stewart Oldfield | ✓ | □ | □ | 12/12/2016 |
| | □ | □ | □ | |
| | □ | □ | □ | |
☐ 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:
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-0000334
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1
| EFTA_00019207 |
| :--- | :--- |
This is a simple Markdown document with no headings or paragraphs. It contains just one line of text.
EFTA00168954
KYC Print
Page 10 of 20
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| Individual's Name: |
|---|
| Harry Beller | Date of Birth: | |
|---|
| Country of Residence: | Country of Citizenship: | United States | | Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? | ☐ Yes ☐ No | | Profession/Occupation: | Tax ID / SSN: | | | Current Employer: | Position/Title/Rank: | Accountant | | Address of employer: | | 575 Lexington Avenue, 4th Floor Monsey NY United States 10022 | | Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities) | | Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A | | To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A | | 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 ) NA | | If applicable, indicate which bank officers have met the person: | | Bank Officer Name(s) | Indicate where and when the client meeting(s) took place: | | 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: | | Primary Country of source of wealth/source of Funds? | | Primary industry of source of Wealth/Source of Funds? | | Summary 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: | | 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-0000335
USAO 001298
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/
EFTA_00019208
EFTA00168955
KYC Print
Page 11 of 20
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
# 3A. Individual Details (for all parties)
| Individual's Name: | Paul Barrett |
| :--- | :--- |
| Country of Residence: | United States |
| Address of primary residence: | |
| Profession/Occupation: | Investment Advisor |
| Current Employer: | J.P. Morgan Securities LLC |
| Address of employer: | 277 Park Ave New York NY United States 10172 |
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)
☐ Yes ☑ No
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) N/A
☐ Yes ☑ No
To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) N/A
☐ 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) N/A
Indicate where and when the client meeting(s) took place:
| Bank Officer Name(s) | Bank Office: | Client Private Donor: | Client Place of Business: | Other Location (specify): | Date: |
| :--- | :--- | :--- | :--- | :--- | :--- |
| | □ | □ | □ | □ | |
| | □ | □ | □ | □ | |
| | □ | □ | □ | □ | |
☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:
### 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual’s Business:
Primary Country of source of wealth/Source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
☐ Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:
Further Describe Source of Wealth (Detail the history of wealth for each of the sources: e.g. for trusts, how did 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: |
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-0000336
USAO 001299
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/1
| EFTA_00019209 |
| :--- | :--- |
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00019209".
EFTA00168956
KYC Print
Page 12 of 20
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| Individual's Name: | Jean Anne Brennan Wielbracht |
| :--- | :--- |
| Country of Residence: | Virgin Islands, U.S. |
| Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? |
| Profession/Occupation: | Tax ID / SSN: |
| Current Employer: | Southern Financial LLC |
| Address of employer: | 6100 Red Hook Quarter, B3 St, Thomas Virgin Islands, U.S. 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)
□ Yes ✓ No
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) N/A
□ Yes ✓ No
To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) N/A
□ 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) N/A
□ Yes ✓ No
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: |
| :--- | :--- | :--- | :--- | :--- | :--- |
| | □ | □ | □ | | |
| | □ | □ | □ | | |
| | □ | □ | □ | | |
☐ 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:
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-0000337
USAO 001300
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/1
EFTA_00019210
EFTA00168957
KYC Print
Page 13 of 20
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
| Individual's Name: | Lawrence Paul Vioski Jr - |
| :--- | :--- |
| Country of Residence: | United States |
| Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No |
| Profession/Occupation: | Manager |
| Current Employer: | Plan D LLC |
| Address of employer: | 6100 Red Hook, Quarter B3 St, Thomas Virgin Islands, U.S. 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) □ Yes ☑ No
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) N/A □ Yes ☑ No
To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe ) N/A □ 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 ) N/A □ Yes ☑ No
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:
□ 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:
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-0000338
USAO 001301
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
EFTA_00019211
EFTA00168958
KYC Print
Page 14 of 20
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: | The Haze Trust - 00000486428 | | Type of Entity: | Foundation/Association | Trust | Company | Estate Partnership | | Type of Entity Other (specify): | | Purpose of Entity: | | Country of incorporation/registration: | United States | Date of incorporation / registration: | | Volcker Status: | Identified on Customer Profile | Volcker Flag: No | | Address (city, street, post code): | 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S. | 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.:
This is a Revocable Trust.
Jeffrey Epstein: Grantor/Trustee/Beneficiary
Daniel Dorn: Trustee | | Please indicate how ownership of the legal entity is reflected: Trust Agreement | | Special attention: Bearer Shares – Indicate where shares are custodied: | Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same person): Jeffrey Epstein: Grantor/Trustee/Beneficiary
Darren Indyk: Trustee | To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal course, client referral source, supplier of goods or services)?
N/A | | Describe Nature of Entity's Primary Business and Investment Activities | | Nature of the business: | The trust was initially funded with $100. The trust makes and holds investments and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. | | Countries where business is transacted: | United States | | Number of employees: | 2 | | 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? | United States | | Primary Industry of source of Wealth/Source of Funds? | High Risk Financial Institutions | Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investments and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. | | Estimated gross receipts p.a.$(): | 300 MM - 500 MM | | Estimated net profit p.a.$(): | 200 MM - 500 MM | | Estimated investable assets($): | $20 MM - 50 MM | | Potential Amount to be invested with PWM ($): | 200,000.00 | | Other known Financial Institutions: | | Institution: | Country: | Est. Assets Under Mgt: | | 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: | Plan D, LLC - 00000487219 | | Type of Entity: | Purpose of Entity: |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000339
USAO 001302
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
EFTA_00019212
EFTA00168959
KYC Print
Page 15 of 20
| Foundation/Association | Trust | Company | Estate Partnership | | Private Investment | Philthropic/Charitable | Commercial |
|---|
| Type of Entity Other (specify): | | Purpose of Entity Other (specify): | | | Country of incorporation/registration: | Virgin Islands, U.S. | Date of incorporation / registration: | 10/19/2012 | | Volker Status: | Identified on Customer Profile | Volker Flag: | No | | Address (city, street, post code) | 6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S. | 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/setter and beneficiaries, etc.
Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyk.
Please indicate how ownership of the legal entity is reflected: Operating Agreement | 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). Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyk.
Lawrence Paul Vivoki Jr is the manager. | To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal course), client referral source, supplier of goods or services)?
N/A | | 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. Personal airplanes are generally leased out to others when the owner is not using the plane. | | Countries where business is transacted: | United States | | 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? | | United States | | | Primary Industry of source of Wealth/Source of Funds? | | High Risk Financial Institutions | | | 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 $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein. An airplane is equipment. Personal airplanes are generally leased out to others when the owner is not using the plane. | | Estimated gross receipts p.a.($): | | 1,000,000.00 | | | Estimated net profit p.a.($): | 500,000.00 | | Estimated investable assets($): | <$1 MM | | Potential Amount to be invested with PWM($): | 200,000.00 | | Other known Financial Institutions: | | Institution: | | Country: | Est. Assets Under Mgt: | | Institution: | Country: | | Country: | Est. Assets Under Mgt: | | Institution: | | Other known Financial Institutions: | | One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary | | JC. Legal Entity Details (For all Legal Entities) | | Legal Entity Name: | | NES, LLC - 00000487265 | | Type of Entity: | | Foundation/Association Trust Company Estate Partnership Purpose of Entity: | | Type of Entity Other (specify): |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000340
USAO 001303
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e... 7/11/20
EFTA_00019213
EFTA00168960
KYC Print
Page 16 of 20
| Country of incorporation/registration: | United States | Date of incorporation/ registration: | 8/13/1998 | | Volcker Status: | Identified on Customer Profile | Volcker Flag: | No | | Address(city, street, post code): | 6100 Red Hook Quarter,B3 St,Thomas 00802 Virgin Islands,U.S. | 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 the sole member.The signors on this account are Jeffrey Epstein,Darren Indyke and Harry Beller | | Please indicate how ownership of the legal entity is reflected:Operating Agreement | | 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):Single member LLC.Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Darren Indyke and Harry Beller | | 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)?N/A | Yes No | | Describe Nature of Entity's Primary Business and Investment Activities | | Nature of the business: | NES,LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes | | Countries where business is transacted: | United States | | 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? | United States | | Primary industry of source of Wealth/Source of Funds? | High Risk Financial Institutions | | Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):All funds come from Jeffrey Epstein, who has been KYCd previously | | Estimated gross receipts p.a.( $ ): | 1,000,000.00 | | Estimated net profit p.a.( $ ): | 500,000.00 | | Estimated investable assets( $ ): | <$1MM | | Potential Amount to be Invested with PWM( $ ): | 150,000.00 | | 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-0000341
USAO 001304
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
EFTA_00019214
EFTA00168961
KYC Print
Page 17 of 20
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
| Relationship Name | SOUTHERN FINANCIAL RELATIONSHIP | | Risk Rating Comments: | The Haze-Overall-HIGH,Entity-HIGH,Industry-HIGH,Country-MEDIUM,Product-HIGH.The 2007 Jeffrey-Overall-HIGH,Entity-HIGH,Industry-HIGH,Country-MEDIUM,Product-HIGH.Plan D&NES LLC-Overall-HIGH,Entity-MEDIUM,Industry-HIGH,Country-MEDIUM,Product-HIGH. | | Booking Center | NY | NY/Offshore | Offshore | Moderate Risk | High Risk | | | (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/Nesis, Factiva, Reuters, Dow Jones, DMB)
Yes
No
negative results found
Yes
No
Denial Orders checks complete
Yes
No
negative results found
Yes
No
Martinale-Hubbell searched (Lawyers/law Firms only)
Yes
No
negative results found
Yes
No
D. Please summarize any negative results from the database searches indicated above:
Plan D:
- No negative media
- No court cases
The Haze Trust:
- No negative media
- No court cases
The 2007 Jeffrey E. Epstein Insurance Trust #3:
- No negative media
- No court cases
NES LLC:
- No negative media,
- Court case was filed way back in 4/5/2005 which pertains to NES LLC that is involved in doing business as National Educational Service and the status of the case stands closed. This does not pertain to our entity as our entity is not into educational service.
Harry Beller:
- No negative media
- Harry Beller is the plaintiff in the court case, also it has been disposed.
Jeffrey Edward Epstein:
- Adverse results in Google relates to Jeffrey's Sex offence in the past which are cleared already. Attached clearances in the case.
- Negative media relates to the sex offence in the past which are already cleared, another (Gerber Et Al) is a recent ongoing civil lawsuit relating to fraud which has been dismissed (attached document), but part of formal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He's just named as a respondent and the case is immaterial in nature.
- Minimal filing relates to sex offence which is already cleared in the past.
- RDC alert found. Sex offences in the past which has been cleared – Clearance attached.
Darren Indyk:
- Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature.
- Court mentioned in Google relations to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case.
- Friend alert has been cleared by AML Compliance. Clearance attached.
Karen Kivn:
- No negative media
- Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances
- RDC alert found – realizes to violation of NYSE Arca Equities Rule – Clearance attached.
No negative media
No court cases
Paul S Barnett :
DB-SDNY-0000342
USAO 001305
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..
EFTA_00019215
EFTA00168962
KYC Print
Page 18 of 20
| No negative mediaNo court casesRDC alert found - False positives, does not pertain to our client. Clearance attached. | | Jean Anne Brennan Webracht:No negative mediaNo court cases | | Lawrence Paul Visoski Jr:No negative mediaNo court cases | | Southern Trust Company Inc:No negative mediaNo court cases | | The Financial Trust Company:Negative news in research is false positive and immaterial in nature.The hit is on IRA Financial Trust Company and not our SOW entity The Financial Trust Company.Court case pertains to First Financial Trust Company and not our SOW entity The Financial Trust Company | | E. | To the best of your knowledge, has the client ever been convicted of a criminal offense?YesNo | | 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 Mgt.(LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately) | | G. | Does the client or related party have any financial or other association/interactions within countries or regimes sanctioned by the Office of Foreign Assets Control(OFAC)?YesNo | | H. | Does the client or related party have any financial or other association/interactions within high risk countries? | | I. | Corporate Documentation Attached(Legal Entities Only)YesNoNot Applicable | | J. | Undisclosed Principal Form Complete(Intermediaries Only)YesNoNot Applicable | | K. | If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation: | | L. | Special Risk Factors | | Does the account have Nexus to Special Risk Countries?YesNo | | Is the account structure unusually complex?YesNo | | Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?YesNo | | Is there any indication this could be a prohibited business relationship?YesNo | | Are the bearer shares identified subject to acceptable controls?YesNo |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000343
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
USAO 001306
7/11/2019
EFTA_00019216
EFTA00168963
KYC Print
Page 19 of 20
| M. Case Comments | | Created By | Date | Comments | | Alka Babu | 11/5/118 4:18 AM | Darren Indyke on 10/22/18 confirmed that there are no material charges. | | Yoonsun Chung | 11/16/118 1:32 PM | RM Confirmed that the clients will be closing the accounts before the end of the year. Case will be closed. 11/16/18 | | Dimitra Manley | 11/19/118 11:42 AM | This KYC serves as Periodic Review for the following existing clients:
(1) Nes LLC
(2) Plan D LLC
(3) The Haze Trust
Risk factors include:
• Source of Wealth(SOW) Industry: Financial Management(managing client assets)
• PEP/RCA: Jeffrey Epstein, UBO & SOW, is considered an RCA based on his close relationship with Bill Clinton(Former US President) and Prince Andrew(British Royal Family)
• Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputational risk concerns.Evidence of prior approval to proceed with the relationship is attached to this case, including a stipulation to review further if new media is identified.Accordingly, approval from the Divisional Control Officer is attached to this KYC in regards to a recently filed(and dismissed) court case.(Please see clearances for more details)
We are comfortable signing-off on this KYC for the following reasons:
• Information and supporting documents required by our AML Policy were provided and reviewed.As a result, we have a reasonable understanding of the purpose of the account and expected transaction activity.
• The source of wealth was sufficiently detailed and appears plausible.
• We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists. | | Yoonsun Chung | 11/16/118 4:45 PM | The only account closing is the insurance trust, | | Aka Babu | 8/24/118 5:48 AM | No material changes confirmation "email" attached in the case |
| ONSHORE APPROVALS | | Client Facing Professional(CFP): | Bradley Gillin | (Signature) Bradley Gillin | 10/5/2018 | | Office Director/Business Head: | Andrew F Gallivan | (Signature) Andrew F Gallivan | 10/9/2018 | | Regional Office Director: | | (Signature) | | | AML Business Risk: | | (Signature) | | | AML Compliance: | Dimitra Manley | (Signature)
Dimitra Manley | 11/19/2018 |
| 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) | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0000344
USAO 001307
7/11/2019
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..
EFTA_00019217
EFTA00168964
KYC Print
Page 20 of 20
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-0000345
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
USAO 001308
7/11/2019
EFTA_00019218
EFTA00168965
|