EFTA Document EFTA01406700

Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Michael Raphael Date: Fri, 21 Sep 2018 13:40:11 -0400 To: Davide-A Sferrazza Cc: Amit Garg Liam Osullivan Classification: Confidential The number doesn't ring any bells. The name of the acct. sounds familiar but I count find any SOP activity dating back to 2015. I'd guess you could get some info. out of the lending folks. Start with Sarita Medina. If she can't help, let me know and I can try to come up with a better idea. From: Davide-A Sferrazza Sent: Friday, September 21, 2018 1:35 PM To: Michael Ra hael Cc: Amit Garg Liam Osullivan ' • • 2018 Periodic Review of Accts Southern Financial LLC & LSJE, LLC under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Importance: High Classification: Confidential Mike, Do you happen to have any idea what this is account code is? STRUPDT0118001 KYC team said the following: One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. EFTA01406700 Not sure if you've ever come across this before, and I am not aware of any SP trades with this client since I've been here, but figured it was worth checking with you. Thanks, Davide From: Liam Osullivan Sent: Friday, September 21, 2018 1:28 PM To: Davide-A Sferrazza Sub'ect: FW: 2018 Periodic Review of Accts Southern Financial LLC & LSJE, LLC under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Importance: High Classification: Confidential I do not recognize the account code. Do you know what it is? Thanks From: Stewart Oldfield Sent: Friday, September 21, 2018 1:20 PM To: Liam Osullivan Cc: Bradley Gillin Richard Iarossi Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Do you recognize account code STRUPDT0118001? Thanks EFTA01406701 From: Vijay-A Sawant Sent: Friday, September 21, 2018 10:18 AM To: Richard Iarossi Cc: Brac i Stewart Oldfield ; Mayur Rathod Subject: RE: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hi Rich, Following are the pending items in above accounts - One of the account for Southern Financial LLC (GCIS 483882) is Structured Transactions account with account ID on DB Force customer page as STRUPDT0118001. We believe it's a dummy account number, as we couldn't fetch any details on DB Insight. We'll need Purpose of this account, expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. "Purpose of the account" required for all the below accounts. GCIS 483883 {cid:image003.jpg@OlD451CF.6CFBABE0} GCIS 483289 {cid:image007.jpg@OlD451CF.6CFBABE0} GCIS 486427 - DB Insight is not showing the below account. We'll need expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. {cid:image005.jpg@OlD451D5.85777770} EFTA01406702 Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Goregaon East, Mumbai - 400063 , India From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard Iarossi Cc: Bradley Gillin Deutsche Bank Group Park, Western Express Highway tewart Oldfield Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#01977703 for these accounts and following are pending items - Southern Financial LLC — One of the RP's Jean Anne Brennan Wiebracht has incorrect name reflected in Corp Resolution and Signature Card from 2017. The name reflecting there is Jeanne Brennan whereas her driving license, attached for reference reflects Jean Anne Brennan. Could we request for an updated Corp Resolution with correct name, please? Note the Operating agreement reflects the name Jeanne Brennan). EFTA01406703 Southern Financial LLC - SOS from USVI website or COGS dated within last 6 months. LSJE LLC - SOS from USVI website or COGS dated within the last 6 months. Thanks & Regards, {cid:1 =C7BBF707DF9804F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Goregaon East, Mumbai - 400063 , India From: Vijay-A Sawant Sent: Tuesday, August 14, 2018 5:20 PM To: Bradley Gillin Cc: Stewart Oldfield Subject: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Deutsche Bank Group Park, Western Express Highway Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. EFTA01406704 Upon review of all docs from the repositories and attachments, we have completed attached checklists for which please see assessment below — Acct Holder — Southern Financial, LLC (SFL) Sole Member@SFL - Southern Trust Company, Inc (STC) President & Authorized Signatory@SFL; President, Sole Shareholder & Authorized Signatory@STC — Jeffrey E. Epstein Authorized Signatory@SFL & VP, Secretary@STC - Darren Indyke Authorized Signatory@SFL — Jeanne Brennan Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. During review, I found the USVI domiciled Certificate of Existence for the account holder and sole member, however unable to extract the SoS from the USVI website for either of these entities. Additionally the COGS on records, is more than 6 months old. So kindly provide the SoS or COGS (dated within the 6 months) for this account holder & Sole Member. If there are any material changes to this account, we will require updated ID docs for Darren Indyke & Jeanne Brennan, as their drivers licenses have expired. Finally we require Fincen CDD form for this account as well. Acct Holder — LSJE, LLC Sole Member, shareholder & Authorized Signatory — Jeffrey Epstein Authorized Signatory — Darren Indyke Kindly confirm if there are any material changes to this account? Attached checklist completed after review of this account. EFTA01406705 During review, I have found the Certificate of Existence for this entity, but couldn't extract SoS from the USVI website and the COGS is missing. Kindly provide either the SoS or COGS dated within last 6 months, so this requirement is satisfied. Finally, we require Fincen CDD form for this account. I will launch KYC case upon receipt of your confirmation of material changes, thanks, Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India EFTA01406706 EFTA01406707