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EFTA Document EFTA01400403EFTA Document EFTA01400407
Case File
sd-10-EFTA01400406Dept. of JusticeOther

EFTA Document EFTA01400406

Subject: Your KYC has been rejected From: Armen Brash ‹ > Date: Mon, 22 Jul 2013 15:20:30 -0400 To: Amanda Kirby ‹ > Your KYC has been rejected. Case #: 01082293 Relationship: EPSTEIN, JEFFREY RELATIONSHIP Customer Name: Epstein, Jeffrey Customer Number: Reason for Rejection:l. Please change account opening dates; these are in the past 2. Please mark the accounts legal entity/corporate accounts. 3. Please give a more substantial explanation of how the client was introduced; how di

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sd-10-EFTA01400406
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Subject: Your KYC has been rejected From: Armen Brash ‹ > Date: Mon, 22 Jul 2013 15:20:30 -0400 To: Amanda Kirby ‹ > Your KYC has been rejected. Case #: 01082293 Relationship: EPSTEIN, JEFFREY RELATIONSHIP Customer Name: Epstein, Jeffrey Customer Number: Reason for Rejection:l. Please change account opening dates; these are in the past 2. Please mark the accounts legal entity/corporate accounts. 3. Please give a more substantial explanation of how the client was introduced; how di

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Subject: Your KYC has been rejected From: Armen Brash ‹ > Date: Mon, 22 Jul 2013 15:20:30 -0400 To: Amanda Kirby ‹ > Your KYC has been rejected. Case #: 01082293 Relationship: EPSTEIN, JEFFREY RELATIONSHIP Customer Name: Epstein, Jeffrey Customer Number: Reason for Rejection:l. Please change account opening dates; these are in the past 2. Please mark the accounts legal entity/corporate accounts. 3. Please give a more substantial explanation of how the client was introduced; how did Paul meet Jeffrey in the first place. 4. The source of wealth description is not sufficient; please give a more detailed bio/narrative on his source of wealth with employer names/- positions held, salaries, etc. The SOW description should include an explanation of how he got started, and how he got to where he is today. 5. For the entities, please give a better description of exactly what they do...the purpose of entity/nature of business provided is not sufficient. 6. Please attach full searches on the previous name of the company. 7. According to the shareholder info attachement; Southern Trust Company Inc is the sole member of Southern Financial LLC; and Jeffrey is the sole shareholder of Southern Trust Company Inc. Therefore, the KYC hasn't been set up correctly to reflect this set up. 8. Please attach the LLC operating agreement for Southern Financial LLC; this should also include proof of ownership/control. 9. Please attach the articles of incorporation and if available, bylaws for Southern Trust Company Inc. 10. Please also attach full searches on Financial Trust Company Inc; which merged into Southern Financial LLC. 11. Please attach all alerts and alert clearances. Please note that based on the information/documentation provided, there may be additional comments/requests for information. To view the KYC click here https://na4.salesforce.com/5006000000Qah5L EFTA01400406

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