KYC Print¶
Page 1 of 18¶
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: | Stewart Oldfield |
| Relationship to PWM: | □ New PWM Relationship | ✓ Existing PWM Relationship |
|---|---|---|
| If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: *** 2018 Periodic Review - HR Overdue KYC **** | ||
| Last Approved KYC # - Jeepers Inc, Jege Inc & Jege LLC - 01790820 |
| How Was the Client(s) Introduced? How long has the RM personally known the client? | ☑ Client Referral | ☐ RM Prospect | ☐ Intermediary/FIM | ☐ Other Source (CIB, etc.) |
|---|---|---|---|---|
| Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.). Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this relationship.. |
| Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? | ☐ Yes | ✓ No |
|---|---|---|
| (If Yes, describe): |
| List all existing and new accounts involved in this relationship |
|---|
| Legal Entity Account(s) | Account Name / Number | Opening Date (intended/actual) |
|---|---|---|
| 1 | Jege Inc - DDA | 10/18/2013 |
| 2 | Jege LLC - DDA | 10/18/2013 |
| 3 | Jeepers Inc - DBSI | 9/23/2013 |
| 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 K. 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-0000458¶
USAO 001421 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
EFTA_00019331¶
EFTA00169078¶
KYC Print¶
Page 2 of 18¶
One sheet must be established for each account to be opened¶
| 2. Account Ownership Summary | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Jefe Inc - DDA | Acct. Number (if available): | ||||||||||||
| Account Manager: | Stewart Oldfield | |||||||||||||
| What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to pay for costs associated to Jeffrey Epstein's airplanes. | ||||||||||||||
| 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)?: ~ 0-3/months;$0 - $1K | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? 26,795.55 Currency USD | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? 26,795.55 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 for 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 | ☑ | ☑ | JEFE, Inc | ☑ | ☐ | ☐ | ☐ | ☐ | ☐ | ☐ | ☐ | ☐ | ||
| 2 | ☐ | ☐ | Harry Beller | ☐ | ☐ | ☐ | ☒ | ☐ | ☐ | ☐ | ☐ | ☐ | ||
| 3 | ☑ | ☑ | Jeffrey E. Epstein | ☐ | ☐ | ☐ | ☒ | ☐ | ☐ | 100 | ☐ | ☐ | ☐ | |
| 4 | ☐ | ☐ | Darren X. Indyke | ☐ | ☐ | ☐ | ☒ | ☐ | ☐ | ☐ | ☐ | ☐ | ||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000459¶
USAO 001422 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/1¶
EFTA_00019332¶
EFTA00169079¶
KYC Print¶
Page 3 of 18¶
| 2. Account Ownership Summary | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Jge LLC - DDA | Acct. Number (if available): | ||||||||||||
| Account Manager: | Stewart Oldfield | |||||||||||||
| What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is daily expense including taxes and payments for Jeffrey Epstein's airplanes. | ||||||||||||||
| 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)?: ~ 1-4/month; $100 + $47K | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? 284,777.18 Currency USD | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? 284,777.18 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 | ✓ | JGE, LLC | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | ||
| 2 | ✓ | Jeffrey E. Epstein | □ | □ | □ | ✓ | ✓ | □ | □ | □ | □ | □ | Sole Member; | |
| 3 | □ | Harry Beiler | □ | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | ||
| 4 | □ | Darren K. Indyke | □ | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | ||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000460¶
USAO 001423 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶
EFTA_00019333¶
EFTA00169080¶
KYC Print¶
Page 4 of 18¶
| 2. Account Ownership Summary | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Jeepers Inc - DBSI | Acct. Number (if available): | |||||||||||
| Account Manager: | Stewart Oldfield | ||||||||||||
| What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold and make investments in marketable securities. | |||||||||||||
| 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)?: ~ 4-10/month; $2K - $40K | |||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? 3,269,297.20 Currency USD | |||||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? 3,269,297.20 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 | Accoun Holder | PIC Owner | Settle of Trust / Founder Foundation | Ultimate Beneficiary 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 | ✓ | ✓ | Jeepers, Inc | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ||
| 2 | □ | □ | Darren K. Indyke | □ | □ | □ | ✓ | ✓ | □ | □ | □ | Director & Authorized Signatory; | |
| 3 | □ | □ | Harry Beller | □ | □ | □ | ✓ | ✓ | □ | □ | □ | ||
| 4 | □ | □ | Joan Anne Brannan Wielbracht | □ | □ | □ | ✓ | □ | □ | □ | □ | ||
| 5 | □ | ✓ | Jeffrey E. Epstein | □ | □ | □ | ✓ | □ | 100 | □ | □ | ||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000461¶
USAO 001424 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
EFTA_00019334¶
EFTA00169081¶
KYC Print¶
Page 5 of 18¶
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 | Date of Birth: |
|---|---|---|
| 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 resided outside of higher country of nationality for 5 years or more? Yes No |
| Profession/Occupation: | Self Employed | Tax ID SSN: |
| Current Employee: | 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? (Not applicable for operating entities) □ Yes □ No¶
Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) Connection with Prince Andrew and Bill Clinton □ 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: |
|---|---|
| Stewart Oldfield | ☑ ☑ ☑ |
| Stewart Oldfield | ☑ ☑ ☑ |
☐ 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¶
Summaries 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?) Jeffrey Edward Epstein (born on June 19, 1900) is an American financier and registered sex offender in the United States. Jeffrey Edward Epstein worked at Bear Stearns early in his career and then formed his own firm, J.Epstein & Co. He lives in the US Virgin Islands, Epstein bought calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Aan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an options trade at Bear Stearns where he worked in the special products division, advising high-net-worth clients on tax planning. 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 Weiner, founder and chairman of Ohio-based The Limited chain of women’s clothing stores, became a well-known client. Weiner acquired Abercombie & Ritchie in the year 1992. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for its advantages, based it on the alias of St. Thomas in the U.S. Virgin Islands.¶
In 2003, Epstein had to acquire New York University’s other students. Epstein also went advertising Denny DeLeon, investor Nelson Petit, media mogul and wealth part of Neiman Marcus, who had paid $55 million.¶
In 2004, Epstein and Zuckerman committed to up $25 million to finance Radar a cash and pop culture magazine founded by Maer Roshan, Epstein and¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000462¶
USAO 001425¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
EFTA_00019335¶
EFTA00169082¶
KYC Print¶
Page 6 of 18¶
Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake. Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client’s assets¶
Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM¶
Estimated Net Worth($): $500 MM + Amount of assets planned to invest with PWM($): 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-0000463¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
USAO 001426 7/11/2019¶
EFTA_00019336¶
EFTA00169083¶
KYC Print¶
Page 7 of 18¶
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: | United States |
| Address of primary residence: | United States |
| Profession/Occupation: | Accountant |
| Current Employer: | HBRK Associates, Inc |
| 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-recognized 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) N/A¶
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: |¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000464¶
USAO 001427¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
| EFTA_00019337 | | :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.¶
EFTA00169084¶
KYC Print¶
Page 8 of 18¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000465¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶
USAO 001428 7/11/2019¶
EFTA_00019338¶
EFTA00169085¶
KYC Print¶
Page 9 of 18¶
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 K. Indyke - |
|---|---|
| Country of Residence: | United States |
| Address of primary residence: | United States |
| Profession/Occupation: | Accountant |
| 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-recognized 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) N/A¶
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: |
|---|---|---|---|---|---|
| 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: |¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000466¶
USAO 001429¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
| EFTA_00019339 | | :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.¶
EFTA00169086¶
KYC Print¶
Page 10 of 18¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000467¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶
USAO 001430 7/11/2019¶
EFTA_00019340¶
EFTA00169087¶
KYC Print¶
Page 11 of 18¶
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶
3A. Individual Details (for all parties)¶
| Individual’s Name: | Jean Anne Brennan Wiebracht | Date of Birth: |
|---|---|---|
| Country of Residence: | Virgin Islands, U.S. | Country of Citizenship: Virgin Islands, U.S. |
| Address of primary residence: | Virgin Islands, U.S. | Has client resided outside of higher country of nationality for 5 years or more? Yes No |
| Profession/Occupation: | Finance | Tax ID / SSN: |
| Current Employer: | Southern Financial LLC | Position/Title/Rank: Finance |
Address of employer: 6100 Red Hook Quarter, B3 Sk, 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 entry 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:¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000468¶
USAO 001431¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
EFTA_00019341¶
EFTA00169088¶
KYC Print¶
Page 12 of 18¶
| Please indicate the family situation of the individual(marital status,other family members,etc.)： | ||||
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary¶
| 3C. Legal Entity Details(For all Legal Entities) | |||
| Legal Entity Name: | JEGE, 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: | United States | Date of incorporation/registration:9/7/2000 | |
| 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.Jeffrey Epstein is the sole owner.The signors on this account are Jeffrey Epstein,Harry Beller and Darren IndykePlease indicate how ownership of the legal entity is reflected:Share Certificate | |||
| Special attention:Bearer Shares-Indicate where shares are custodiedDescribe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons).Jeffrey Epstein is the sole owner.The signors on this account are Jeffrey Epstein,Harry Beller and Darren IndykeTo 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 | |||
| 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: | 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 corporate funds/assets come from contributions by the sole owner, Jeffrey Epstein and his source of wealth | ||||||
| Estimated gross receipts p.a.( $ ): | 1,000,000.00 | |||||
| Estimated net profit p.a.($ ): | 1,000,000.00 | |||||
| Estimated investable assets ($ ): | <$1 MM | |||||
| Potential Amount to be invested with PWM ($ ): | ||||||
| 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-0000469¶
USAO 001432¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/201¶
EFTA_00019342¶
EFTA00169089¶
KYC Print¶
Page 13 of 18¶
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/Association Trust Company Estate Partnership |
| Type of Entity Other (specify): | Purpose of Entity: Private Investment Philanthropic/Charitable Commercial |
| Country of Incorporation/registration: | Virgin Islands, U.S. |
| Volcker Status: | Identified on Customer Profile |
| Address (city, street, post code): | 6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S. |
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, Harry Beller, and Darren Indyke.¶
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, Harry Beller, and Darren Indyke¶
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: | Virgin Islands, U.S. |
| 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):Initial funding of $1,000 from sole member Jeffrey Epstein.All corporate assets come from contributions made by the sole owner | ||||||
| Estimated gross receipts p.a.($): | 100,000.00 | |||||
| Estimated net profit p.a.($): | 100,000.00 | |||||
| Estimated investable assets($): | <$1 MM | |||||
| Potential Amount to be invested with PWM($): | ||||||
| Other Known Financial Institutions: | ||||||
| Institution: | Country: | Est. Assets Under Mgt: | ||||
| Institution: | Country: | Est. Assets Under Mgt: | ||||
| Institution: | Country: | Est. Assets Under Mgt: | ||||
3C. Legal Entity Details (For all Legal Entities)¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000470¶
USAO 001433 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/2¶
EFTA_00019343¶
EFTA00169090¶
KYC Print¶
Page 14 of 18¶
| Legal Entity Name: | |||
|---|---|---|---|
| Type of Entity: | Foundation/Association | Trust | Company |
| Estate | Partnership | ||
| Type of Entity Other (specify): | Purpose of Entity Other (specify): | ||
| Country of incorporation/registration: | Virgin Islands, U.S. | Date of incorporation / registration: 8/18/2003 | |
| 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, settlement and beneficiaries, etc. Jeffrey Epstein is the sole shareholder of Jeepers Inc. The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Harry Beller, and Darren Indykke Please indicate how ownership of the legal entity is reflected: Shareholder Information Attached. ☐ 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 is the sole shareholder of Jeepers Inc. The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Harry Beller, and Darren Indykke 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 | |||
| Describe Nature of Entity's Primary Business and Investment Activities | |||
| Nature of the business: | Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein. | ||
| Countries where business is transacted: | Virgin Islands, U.S. | ||
| Number of employees: | 3 | ||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000471¶
USAO 001434 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/¶
EFTA_00019344¶
EFTA00169091¶
KYC Print¶
Page 15 of 18¶
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: Darren Indyke & Jean Anne - |
| 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 | |
| PCR checks complete | Yes | No negative results found Yes | |
| OFAC checks complete | Yes | No negative results found Yes | |
| BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) | Yes | No negative results found Yes | |
| Denial Orders checks complete | Yes | No negative results found Yes | |
| Martindale-Hubbell searched (Lawyers/Law Firms only) | Yes | No negative results found Yes | |
| Please summarize any negative results from the database searches indicated above: Jeepers Inc - Negative news does not pertain to our client also it is not material in nature. - Court cases on Google does not pertain to our client. It is for Jeepers Inc of Illinois. | |||
| Jege Inc. - Negative news in Google relates to Jeffrey Epstein's sex offence in the past which has been cleared already. - No court cases. | |||
| Jege LLC. - Negative news in Google relates to Jeffrey Epstein's sex offence in the past which has been cleared already. - No court cases. | |||
| Harry Beller; - No negative media - Harry Beller is the plaintiff in the court case, also it has been disposed. | |||
| Jeffrey Edward Epstein: | |||
| - Negative media relates to the sex offence in the past which are already cleared. (KYC # - 01790655) | |||
| D. | - Court cases relate to Jeffrey's sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal 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. - Criminal 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 case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case. - Firesoft alert has been cleared by AML Compliance. Clearance attached. | |||
| Jean Anne Brennan Wiebracht: | |||
| - No negative media - No court cases | |||
| Southern Trust Company Inc: | - 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 Yes No | ||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000472¶
USAO 001435¶
7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
EFTA_00019345¶
EFTA00169092¶
KYC Print¶
Page 16 of 18¶
| 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/Int1) 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)? ☐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 | |
| Are the bearer shares identified subject to acceptable controls? ☐Yes ☑No | |
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0000473¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
USAO 001436 7/11/2019¶
EFTA_00019346¶
EFTA00169093¶
KYC Print¶
Page 17 of 18¶
| M. Case Comments | ||
| Created By | Date | Comments |
| Gwen Hill | 10/15/118 3:03 PM | This KYC serves as a high risk review for JEGE Inc, JEGE LLC and Jeepers Inc(herein referred to asaccountholders)Below are the reasons why we are comfortable with approving this KYC:Information and supporting documents required by our AML Policy were provided and reviewed;and as a result,we have an understanding of the structure of the account holders,their purpose,the purpose of the accounts and expected transaction activityThere are a few risk factors associated with the account holders-SOW:The UBO(Jeffrey Epstein)是the founder of Southern Trust Company Inc,which manages client's assets.SOW verification was obtained.Negative Media & PEP:There is some negative media againstMr.Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew.Please see risk calculator for more information.Appropriate approval was obtainedOur review did not identify any red flags and thus there was no need to escalate this case furtherWe performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists. |
| Alka Babu | 8/24/118 5:52 AM | No material changes confirmation"email" attached in the case |
| ONSHORE APPROVALS | |||
| Client Facing Professional(CFP): | Stewart Oldfield | (Signature) Stewart Oldfield | 9/28/2018 |
| Office Director/Business Head: | Andrew F Gallivan | (Signature) Andrew F Gallivan | 9/28/2018 |
| Regional Office Director: | (Signature) | ||
| AML Business Risk: | (Signature) | ||
| AML Compliance: | (Signature) | ||
| Sandra Timpone | Sandra Timpone | 10/15/2018 | |
| Gwen Hill | Gwen Hill | 10/15/2018 | |
| 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-0000474¶
USAO 001437 7/11/2019¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶
EFTA_00019347¶
EFTA00169094¶
KYC Print¶
Page 18 of 18¶
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-0000475¶
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
USAO 001438 7/11/2019¶
EFTA_00019348¶
EFTA00169095¶