Financial record, 2019-07-18

KYC Print¶

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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:	EPSTEIN, JEFFREY RELATIONSHIP	Booking Center	New York
Relationship Manager:	Paul Morris
Relationship to PWM:	✓ New PWM Relationship	□ Existing PWM Relationship
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile:
How Was the Client(s) Introduced? How long has the RM personally known the client?	☐ Client Referral	☑ RM Prospect	☐ Intermediary/FIM
Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was a client of Paul’s at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to JPMorgan
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	Southern Financial, LLC	8/19/2013
2	Southern Financial, LLC	8/19/2013
3	Southern Trust Company, Inc.	8/19/2013
4	Southern Trust Company, Inc.	8/19/2013

Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.):¶

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7/18/2019 USAO 001439 DB-SDNY-0000479¶

EFTA_00019349¶

EFTA00169096¶

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

2. Account Ownership Summary

Account Name:

Southern Financial, LLC

Acct. Number (if available)

Account Manager:

Paul Morris

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market. To hold funds for the company.

Indicate from where the assets are expected to arrive?
☐ DB Group: Same Booking Center (indicate account number);
☐ DB Group: Other Booking Center (indicate DB location and account details);
☑ Other Institution (indicate name & location): JP Morgan, NYC
☐ Physical Deposits (specify cash, securities, cheques, ...)

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 2 inflows & outflows per month ranging from $1000 to $10,000.

What is the expected volume of assets and currency for the account approx. 90 days after opening?

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

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?

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2. Account Ownership Summary
Account Name:			Southern Financial, LLC					Acct. Number (if available)
Account Manager:			Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for the company.
Indicate from where the assets are expected to arrive? ☐ DB Group: Same Booking Center (indicate account number); ☐ DB Group: Other Booking Center (indicate DB location and account details); ☑ Other Institution (indicate name & location): JPMorgan, NYC ☐ Physical Deposits (specify cash, securities, cheques, ...)
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000.
What is the expected volume of assets and currency for the account approx. 90 days after opening?				50,000				Currency		USD
What is the expected volume of assets and currency for the account approx. one year after opening?				100,000				Currency		USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?
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	Setter of Trust / Founder Foundation	Ultimate Beneficiator Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC entity (Indicate ownership %)	Legal Representative	Grantor/Settter	Founding Donor	Other please describe other roles joint or indicate relationship between parties)
1	□	✓	Jeffrey Epstein	□	□	□	□	✓	□	□		□	□	□
2	✓	✓	Southern Financial L.C.	✓	□	□	□	□	□		□	□	□
3	✓	✓	Southern Trust Company, Inc.	□	□	□	□	□	□	100	□	□	□	Southern Trust is the sole member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust;

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

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2. Account Ownership Summary¶

Account Name:	Southern Trust Company, Inc.	Acct. Number (if available):
Account Manager:	Paul Morris

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account. To hold funds for company.¶

Indicate from where the assets are expected to arrive?¶

□ DB Group: Same Booking Center (indicate account number)
□ DB Group: Other Booking Center (indicate DB location and account details)
✔ Other Institution (Indicate name & location): JPMorgan, NYC
□ Physical Deposits (specify cash, securities, cheques, …)

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000¶

What is the expected volume of assets and currency for the account approx. 90 days after opening?¶

100,000¶

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

100,000¶

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	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)

□ ☑ Jeffrey Epstein | □ | □ | □ | □ | □ | □ | | | □ | □ | □ | □ | Sole shareholder of Southern Trust;
☑ ☑ Southern Trust Company, Inc. | ☑ | □ | □ | □ | □ | □ | | | □ | □ | □ | □ | □ |

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2. Account Ownership Summary¶

Account Name:	Southern Trust Company, Inc.	Acct. Number (if available):
Account Manager:	Paul Morris

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account. To hold funds for the company.¶

Indicate from where the assets are expected to arrive?¶

□ DB Group: Same Booking Center (indicate account number)
□ DB Group: Other Booking Center (indicate DB location and account details)
✔ Other Institution (Indicate name & location): JPMorgan, NY
□ Physical Deposits (specify cash, securities, cheques, …)

What is the expected volume of assets and currency for the account approx. 90 days after opening?¶

50,000 Currency USD¶

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

150,000 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(5).

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)

□ ✓ Jeffrey Epstein | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ |
✓ ✓ Southern Trust Company, Inc. | ✓ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ | □ ✓ |

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Jeffrey Epstein
Country of Residence:	USVI
Address of primary residence:	Litte Saint James Saint Thomas 00802 US Virgin Islands
Profession/Occupation:	Self Employed
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter B3 St. Thomas USVI 00802

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

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

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

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

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

Bank Officer Name(s)	Bank Office	Client Private domicile:	Client Place of Business:	Other Location (specify):	Date:
Paul Morris	□	□	□	□	4/3/2013
	□	□	□	□
	□	□	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

Nature of the Individual’s Business:¶

Private investments¶

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! Epstein began his financial career in 1979 as an options trader at Bear Stearns and became a partner n 1980. In 1982, Epstein founded his own financial management firm J. Epstein & Co. managing the assets of clients with more than a billion in net worth. In 1994, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wheeler. His wealth has come from his days at Bear Stearns and his financial management firms¶

Estimated Annual Income($): 10,000,000.00¶

Estimated Net Worth($): $100 MM - 500 MM¶

Amount of assets planned to invest with PWM($): 10,000.00¶

Other Known Financial Institutions:¶

Institution: JPMorgan¶

Country: USA¶

Est. Assets Under Mgt: 20,000,000.00¶

Institution: Country: Est. Assets Under Mgt:¶

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7/18/2019 USAO 001444 DB-SDNY-000048¶

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Institution:		Country:		Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.): Single

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Southern Financial LLC
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:	Private Investment Philanthropic/Charitable Commercial
Type of Entity Other(specify):	Purpose of Entity Other(specify):
Country of incorporation/registration:	US Virgin Islands		Date of incorporation/ registration:2/25/2013
Volcker Status:	Volcker Flag:
Address(city, street, post code):	6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands		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.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company IncPlease indicate how ownership of the legal entity is reflected: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company IncSpecial 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): Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank(e.g., external legal counsel, client referral source, supplier of goods or services)?YesNo
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:		This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein
Countries where business is transacted:		US Virgin Islands
Number of employees:		3

3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member(Jeffrey Epstein)。
Estimated gross receipts p.a.($):			2,000,000.00
Estimated net profit p.a.($):			1,500,000.00
Estimated investable assets($):			<$1MM
Potential Amount to be invested with PWM($):			300,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country:		USA	Est. Assets Under Mgt:	1,000,000.00
Institution:		Country:			Est. Assets Under Mgt:

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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:	Southern Trust Company, Inc.
Type of Entity:	Foundation/Association TrustCompanyEstatePartnership	Purpose of Entity:	Private InvestmentPhillanthropic/CharitableCommercial
Type of Entity Other(specify):		Purpose of EntityOther(specify):
Country of incorporation/registration:	US Virgin Islands	Date of incorporation/registration:	11/18/2011
Volcker Status:		Volcker Flag:
Address(city, street, postcode):	6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands	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.
Please indicate how ownership of the legal entity is reflected:Jeffrey Epstein is sole managing member
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):Jeffrey Epstein is sole managing member
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)^{2}$
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	Consulting Services relying on Financial and Biomedical algorithms.Southern Trust is 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 clients assets
Countries where business is transacted:	US Virgin Islands
Number of employees:	4

3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.( $ ):		2,000,000.00
Estimated net profit p.a.( $ ):		1,500,000.00
Estimated investable assets( $ ):		$2MM-5MM
Potential Amount to be invested with PWM( $ ):		300,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country:	USA	Est. Assets Under Mgt:	2,000,000.00
Institution:		Country:		Est. Assets Under Mgt:
Institution:		Country:		Est. Assets Under Mgt:

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7/18/2019 USAO 001446 DB-SDNY-00004¶

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

Relationship Name	EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center	NY	NY/Offshore	Offshore	Moderate Risk	High Risk
(Compliance Signature)
DB Employee	DB Managed PIC			DB is Trustee/Co-Trustee		Bearer Shares

(Compliance Signature)
□ DB Employee	□ DB Managed PIC	□ DB is Trustee/Co-Trustee	□ Bearer Shares
4. Attachments
A.	Type of Photo ID Provided	Drivers License	Passport	National/State ID
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: JEFFREY EPSTEIN: RDC Alert #1 — Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 — Not our client All Cases Closed
SOUTHERN FINANCIAL LLC: No negative media No court cases
SOUTHERN TRUST INC: No negative media Court Case — Not our client.
FINANCIAL INFORMATICS INC: No negative media No court cases
J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed
FINANCIAL TRUST & CO. RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed
E. To the best of your knowledge, has the client ever convicted of a criminal offense?	Yes	No
F. To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LAutn/Int) or the Regulatory Control Group and notify Compliance immediately)	Yes	No
G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?	Yes	No
H. Does the client or related party have any financial or other association/ interactions within high risk countries?	Yes	No
I. Corporate Documentation Attached (Legal Entities Only)	Yes	No	Not Applicable

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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

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M. Case Comments

No records to display.

ONSHORE APPROVALS
Client Facing Professional(CFP):	Paul Morris	(Signature) Paul Morris	7/17/2013
Office Director/Business Head:	Brian M. Biggar	(Signature) Brian M. Biggar	7/18/2013
Regional Office Director:		(Signature)
AML Business Risk:	Armen Brash	(Signature) Armen Brash	8/20/2013
AML Compliance:	Janice Franklin	(Signature) Janice Franklin	8/21/2013

LATAM/INTERNATIONAL APPROVALS
Client Facing Professional(CFP):		(Signature)
Account Manager:		(Signature)
Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH):		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)

PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP’s) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP’s to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis.¶

DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy¶

(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶

Deutsche Bank Americas New York¶

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

1. Relationship Details¶

2. Account Ownership Summary¶

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)¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶