EFTA01382243

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efta-01382243

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EFTA Disclosure

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Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management P rk A n 4th Fl 10154-0004 New York. NY. USA From: Cynthia Rodriguez Sent: Friday, February 09 2018 3:18 PM To: Patrick Campion Cc: Dana Ponzio < Subject: RUSH EXCO Approval Needed: KYC Case 01898372 [I] Importance: High Classification: For Internal use only Hello, I am requesting Exco Approval for a new account opening for current OS client Jeffrey Epstein. RM Name Business Line GCIS # / KYC # New or Existing Relationship? If yes. please include relationahip since date. approx # of accounts. AUM. etc.) Legal name of Account Holder(s) Name of UBO(s) (Please include U803 who own 25% end more: If there are multiple layers. please include description of ownership structure) Description of Type of account being opened with detailed purpose of the accounts (Please include SOW information/ Geographic location/ For Entity Accounts: Description of the entity and background information on the U80) Reason for High Risk Stewart Oldfield US Onshore Existing relationship since 8/26/2013. A total of 30 deposit accounts and 3 money market accounts for multiple entities, 5 brokerage accounts and 1 custody account. Total AUMs $224mn. The 2017 Caterpillar Trust Jeffrey Epstein We are opening a deposit account for The 2017 Caterpillar Trust. The account will be used to pay annual annuity payments This relationship is deemed high risk due to multiple court cases on Jeffrey Epstein, involving 22 April 2004 SEC filed a settled civil fraud action for illegal insider trading in three publicly traded Massachusetts banks. Final judgement permanently enjoins him from violating the antifruad provisions and he agreed to pay a total of $72532.06 in disgorgement of trading profits. prejudgment interest and civil penalties. Epstein was sentenced to 21 months in federal prison for three counts of fraud, sexually assaulting a girl and solicitation of prostitution. These alerts were previously approved by senior management and AML Compliance. Prior clearance is attached as a reference CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00227709 DB-SDNY-0081525 EFTA01382243

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Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01364100

From: Cynthia Rodriguez Sent: Friday, October 14, 2016 4:43 PM To: Patrick Campion Cc: Armen Brash Subject: APPROVAL NEEDED: High Risk KYC Case 01651789 Hello, I am requesting Exco Approval for the Butterfly Trust, an existing trust here at DB, under the Jeffrey Epstein relationship. Mr. Epstein has replaced the beneficiaries to this trust, which is the reason for this KYC update. RM Name Business Line GCIS #/ KYC # New or Existing Relationship? If yes. please include relationship

DOJ Data Set 10OtherUnknown

EFTA01297577

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Dept. of JusticeOtherUnknown

EFTA Document EFTA01352497

Subject: RE: Epstein Large Withdrawal [I] From: Cynthia Rodriguez Date: Fri, 12 Jan 2018 12:00:22 -0500 To: TheBranch Staff Daphne Cales Cc: Stewart Oldfield Classification: For internal use only Hi, The client just confirmed that they would prefer 100 dollar bills and are willing to pick it up on Wednesday instead. Is that okay? Kind regards, Cynthia Rodriguez {cid:image001.png@OlD0778D.2D49CDD0} Cynthia Rodriguez Assistant Vice President Deutsche Deutsche 345 Park Tel. Fax

Dept. of JusticeOtherUnknown

EFTA Document EFTA01352809

Subject: RE: REF Debit Card Limit Increase A royal [I] From: Hildegarde Berrios Date: Mon, 19 Mar 2018 17: : - To: Ying-A Wang PWMUS AMLKYC Cc: Cherie Quigley Hello Ying, They are both linked to the same customer (483289) & account number (35269691). Regards, Hilda Hildegarde Berrios 1 V.P. — Banking Specialist : Deutsche Bank Trust Company Americas ' Private Wealth Mana'ement ' 345 Park Avenue, New York, NY 10154:( Securities offered by Deutsche Bank Securities Inc. From: Ying-A

Dept. of JusticeOtherUnknown

EFTA Document EFTA01352514

Subject: Fwd: DB cash From: Richard Kahn cc > Date: Tue, 06 Feb 2018 12:47:31 -0500 To: Stewart Oldfield appears we are still stuck at only 1,000 withdrawals.. not an issue today as we just did large withdrawal however goal would be to get to 3,000 from chase i do personally thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: Cynthia Rodriguez ..z > Subject: RE: DB cash Date: February 6, 2018

Dept. of JusticeOtherUnknown

EFTA Document EFTA01282185

KYC l'rint Pagel of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01898372 One sheet must be established per relationship- list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Boddng Center: New York Relationship Manager: Stevan Oldridd O New PPM Reladonship O eating Meal Relationship Relationship to PM: If caisdrg, please indicate axe when the !deanship oasts, provide reason for new profile and attach

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