{"efta_number": "EFTA01409514", "page_count": 17, "url": "https://epstein-data.com/EFTA01409514", "pdf_url": "https://epstein-data.com/pdf/EFTA01409514.pdf", "pages": [{"efta_number": "EFTA01409514", "page_number": 0, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 1 of 9 \nTi Close Window \nTi Print This Page \ng Expand All I Collapse All \nCase: 01082293 \nRelationship Details \nRelationship Name EPSTEIN, JEFFREY RELATIONSHIP \nPrimary Officer Paul Morris \nReason for KYC New Client \nWealth Details Same \nfor All Parties \nStatus 6. Approved \nOffice New York \nReason for Update (If \nApplicable) \nReason for Rejection \n(If Applicable) \n1. Please change account opening \ndates; these are in the past. \nRESOLVED \n2. Please mark the accounts legal \nentity/corporate accounts. RESOLVED \n3. Please give a more substantial \nexplanation of how the client was \nintroduced; how did Paul meet Jeffrey \nin the first place. RESOLVED \n4. The source of wealth description is \nnot sufficient; please give a more \ndetailed bio/narrative on his source of \nwealth with employer names/positions \nheld, salaries, etc. The SOW \ndescription should include an \nexplanation of how he got started, and \nhow he got to where he is today. \nRESOLVED \n5. For the entities, please give a bette \ndescription of exactly what they do... \nthe purpose of entity/nature of \nbusiness provided is not sufficient. \nRESOLVED \n6. Please attach full searches on the \nprevious name of the company. \nRESOLVED \n7. According to the shareholder info \nattachment; Southern Trust Company \nInc is the sole member of Southern \nFinancial LLC; and Jeffrey is the sole \nshareholder of Southern Trust \nCompany Inc. Therefore, the KYC \nhasn't been set up correctly to reflect \nEFTA01409514\n", "char_count": 1522}, {"efta_number": "EFTA01409514", "page_number": 1, "text_content": "this set up. RESOLVED \n8. Please attach the LLC operating \nagreement for Southern Financial LLC \nthis should also include proof of \nownership/control. RESOLVED \n9. Please attach the articles of \nincorporation and if available, bylaws \nfor Southern Trust Company Inc. \nRESOLVED \n10. Please also attach full searches on \nFinancial Trust Company Inc; which \nmerged into Southern Financial LLC. \nRESOLVED \n11. Please attach all alerts and alert \nclearances. RESOLVED \nSome issues above were not resolved \nand there is a new issue below: \n1. Please attach full searches on J. \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409515\n", "char_count": 681}, {"efta_number": "EFTA01409514", "page_number": 2, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 2 of 9 \nEpstein & Co. as this was a company \nstarted and controlled by Mr. Epstein. \nRESOLVED \nall issues resolved \nModerate Risk \nHigh Risk \nRelationship Number 00000483290 \nDB Pay for Third \nCase Owner Approved KYC \nNo \nparty for introduction \nDescribe, Third party \ncompensation \nReason for Rush (If \napplicable) \nException Expires \nReason for Exception \n(If Applicable) \nBooking Location NY \nHow Client Was \nIntroduced \nIntroduction Details \nProspect \nJeffrey Epstein was a client of Paul's a \nJP Morgan. Paul and Jeffrey Epstein \nhad a mutual friend/colleague who \nintroduced them while Paul was at \nJPMorgan. Over the course of a few \nmeetings Paul was able to get Jeffrey \nto bring some of his funds over to \nJPMorgan \nRequest \nTemporary/Permanent \nException \nSpecial Client Type (select if applicable) \nDB Employee \nDB is Trustee/CoTrustee \nCustom \nLinks \nImport Documents \nExport Documents \nView Documents From \nRepository \nA. Type of Photo ID Provided \nA. \nIf Other, Type of \nPhoto ID Provided \nB. Checklist of names (individuals and/or entities) that were submitted for \ndatabase searches is \nEFTA01409516\n", "char_count": 1175}, {"efta_number": "EFTA01409514", "page_number": 3, "text_content": "attached \nB. Yes \nC. Please indicate the results of the database searches performed \nYes - Negative Results Found \nRDC searches \ncomplete \nOFAC checks \ncomplete \nDenial Orders checks \ncomplete \nYes - No Negative Results Found \nYes - No Negative Results Found \nKYC Wizard \nLaunch Due Diligence \nView Due-Diligence Case-Report \nGlobal KYC Print \nPlease rush. Client wants to fund \naccounts ASAP. \nDB Managed PIC \nBearer Shares? \nU.S. Drivers License; Passport \nPCR checks \ncomplete \nBIS searches \ncomplete \nMartindale-Hubbell \nsearched \nYes - Negative Results Found \nYes - No Negative Results Found \nNot Applicable \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409517\n", "char_count": 723}, {"efta_number": "EFTA01409514", "page_number": 4, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 3 of 9 \nD. Please summarize any negative results from the database searches \nindicated above \nD. JEFFREY EPSTEIN: \nRDC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat \nHarris \nPCR Alert #1/2 -- Not our client \nAll Cases Closed \nSOUTHERN FINANCIAL LLC: \nNo negative media \nNo court cases \nSOUTHERN TRUST INC: \nNo negative media \nCourt Case -- Not our client. \nFINANCIAL INFOMATICS INC: \nNo negative media \nNo court cases \nJ. Epstein & Co. \nAll Negative Media is our client. He has been cleared of posing a \nreputational risk as shown by the AML \nClearance attached \nCourt Cases have been closed \nFINANCIAL TRUST & CO \nRDC/PCR alert is associated with Southern Financial, the company it merged \ninto. This alert has been \ncleared by Compliance and is attached \nCourt Cases are closed \nE. Has the client or related party ever been convicted of a criminal offense? \nE. Yes \nF. Has the client or related party ever been involved in any past or \nthreatened litigation against \nDeutsche Bank AG or any of its subsidiaries? \nF. No \nG. To the best of your knowledge, does the customer have any financial \nassociation/interaction, e.g. \nmaintain homes or companies, etc., within the countries and regions, or is \nthe customer associated with \nthe regimes or organizations that.. \nG No \nH. Does the client or related party have any financial or other associations/-\ninteractions within countries \nthat pose a risk of money laundering? \nH No \nI. Entity Documentation Attached \nI Yes \nJ. Intermediary form approved by AML compliance? (intermediaries only) \nNot Applicable \nK. If any documentation is not in English, please provide an English summary \nor translation \nEFTA01409518\n", "char_count": 1749}, {"efta_number": "EFTA01409514", "page_number": 5, "text_content": "Summary \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409519\n", "char_count": 118}, {"efta_number": "EFTA01409514", "page_number": 6, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 4 of 9 \nApprovals \nPrimary Officer/RM \nApprover \nAM Approver (Int'l \nOnly) \nOffice Dir./Bus. \nHead/GMTH/SMTH \nApprover \nRegional Office \nDirector Approver \nAML & Business Risk \nApprover \nAML & Business Risk \nApprover II \nCompliance \nApprover \nCompliance \nApprover II \nJanice Franklin \nArmen Brash \nBrian M. Biggar \nPaul Morris \nPrimary Officer/RM \nApproval Date \nAM Approval Date \n(Int'l Only) \nOffice Dir./Bus. \nHead/GMTH/SMTH \nDate \nRegional Office \nDirector Approved \nDate \nAML & Business Risk \nApproved Date \nAML & Business Risk \nApproved Date II \nCompliance \nApproved Date \nCompliance \nApproved Date II \n*** REMINDER--You must check the active assignment box below to route to the \noffice director \nDisregard the below fields \nContact Name Jeffrey Epstein \nSubject \nContact Information \nName Jeffrey Epstein \nCustomer Name Epstein, Jeffrey \nNickname \nEFTA01409520\n", "char_count": 927}, {"efta_number": "EFTA01409514", "page_number": 7, "text_content": "*Marital Status \nGender \n* SSN 090-44-3348 \n* Federal Tax ID # \nBirthdate \nDate of Death \nRelation to \nCustomer \nPrimary \nMain Contact \nContact Name at \nCompany \nCustom Links \nSelf \n1/20/1953 \n8/21/2013 \n8/20/2013 \n7/18/2013 \n7/17/2013 \nPriority \nDescription \nHigh \nContact Owner \nLast Modified By \nCreated By \nPaul Morris \nRelational Junction, 3/2/2015 4:43 \nAM \nTanuj Sharma, 4/18/2013 11:30 AM \nCustomer Number 00000483289 \nStatus \nActive \nBank 1 \nVantive Owner \nType \neSign Compliant \nEmail \nIndividual \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409521\n", "char_count": 617}, {"efta_number": "EFTA01409514", "page_number": 8, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 5 of 9 \nView Customer Accounts & \nRevenue \nRequest to be Deleted \nLaunch Due Diligence \nUpdate KYC \nContact Conversion Request \nCreate KYC \nShow KYC's \nBIS Research Request \nTemplate \nPhone and Email \nPrimary Phone Type \nPhone \nHome Phone \nBusiness Phone \nMobile \nOther Phone \nOther Description \nPrivacy Information \nMailing Restrictions \nDo Not Call \nAddress Information \nMailing Address \nType \nBusiness \n* Business Name Southern Financial LLC \n* Position/Title/Rank \nPresident \nMailing Address 6100 Red Hook Quarter B3 \nSt. Thomas, 00802 \nUSVI \nAdditional Address Information \nOther Address 2 \nType \nOther Address 2 \nOther Address 3 \nType \nOther Address 3 \nLegal Address (TEAS Ticket required to change Legal Address) \n* Legal Street \nLitte Saint James \n* Legal City \n* Legal State \n* Legal Zip Code 00802 \nSaint Thomas \nOther Address Type \n* Other Business \nName \n* Other \nEFTA01409522\n", "char_count": 947}, {"efta_number": "EFTA01409514", "page_number": 9, "text_content": "Position/Title/Rank \nOther Address \nLitte Saint James \nSaint Thomas, 00802 \nUS Virgin Islands \nPrimary Residence \nMap \nView Due-Diligence CaseReport \nEmail \nEmail2 \nWebsite \nAsst. \nPhone \nAssistant \nFax \n* Country of \nCitizenship \n(Individual) \n* Country of \nResidence \n(Individual) \nUSA \nUSVI \nhttps://dbforcepb.my.salesforce.com/5006000000pah5L/p?retURL=/-\n5006000000pah5LA... \n8/28/2015 \nEFTA01409523\n", "char_count": 404}, {"efta_number": "EFTA01409514", "page_number": 10, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 6 of 9 \n* Legal Country \nSalutations \nPrefix: Formal -\nCouple \nSalutation: Formal -\nCouple \nPrefix: Formal - Solo \nSalutation: Formal -\nSolo \nPrefix: Informal -\nCouple \nSalutation: Informal \n- Couple \nContact Description, Interest and Hobbies \nMarketing Interests \nDescription \nPersonal Interests \nAdditional Party Information \n*Profession/Occupation \n* Nature of Individuals \nBusiness \nSelf Empolyed \nPrivate investments \n*Is Indv/Entity a \nPEP (or \nassociated)? \n* If Yes, describe \nPEP \n*Family \nRelationship to DB \nEmployee \n* If Yes, details of \nRelationship \nKYC Related Parties \nEpstein, Jeffrey \nKYC Party Contact Jeffrey Epstein \nType Individual \ncontributes to account or wealth \nAccount Holder \nSouthern Financial LLC \nKYC Party Contact Southern Financial LLC \nType Entity \ncontributes to account or wealth \nAccount Holder \nSouthern Trust Company, Inc. \nKYC Party Contact Southern Trust Company, Inc. \nType Entity \ncontributes to account or wealth \nAccount Holder \nEFTA01409524\n", "char_count": 1047}, {"efta_number": "EFTA01409514", "page_number": 11, "text_content": "None \nNo \nPrefix: Informal -\nSolo \nSalutation: Informal \n- Solo \nPrefix: Other \nSalutation: Other \nUS Virgin Islands \nSpouse / Children \nEducation \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409525\n", "char_count": 257}, {"efta_number": "EFTA01409514", "page_number": 12, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 7 of 9 \nKYC DB Accounts \nSouthern Financial, LLC \nSouthern Financial, LLC \nSouthern Trust Company, Inc. \nSouthern Trust Company, Inc. \nKYC Related Party Roles \nSouthern Trust Company, Inc. \nKYC Party Contact Jeffrey Epstein \nRole Signatory or Full POA \nPlease Describe Sole shareholder of Southern Trust \nLast Modified Date 8/21/2013 \nSouthern Trust Company, Inc. \nKYC Party Contact Jeffrey Epstein \nRole Signatory or Full POA \nPlease Describe Sole shareholder of Southern Trust \nLast Modified Date 8/21/2013 \nSouthern Financial, LLC \nKYC Party Contact Jeffrey Epstein \nRole Signatory or Full POA \nPlease Describe Sole shareholder of Southern Trust \nLast Modified Date 8/21/2013 \nSouthern Financial, LLC \nKYC Party Contact Jeffrey Epstein \nRole Signatory or Full POA \nPlease Describe Sole shareholder of Southern Trust \nLast Modified Date 8/21/2013 \nSouthern Trust Company, Inc. \nKYC Party Contact Southern Trust Company, Inc. \nRole Account Holder \nPlease Describe \nLast Modified Date 5/28/2013 \nSouthern Trust Company, Inc. \nKYC Party Contact Southern Trust Company, Inc. \nRole Account Holder \nPlease Describe \nLast Modified Date 5/28/2013 \nSouthern Financial, LLC \nKYC Party Contact Southern Financial LLC \nRole Account Holder \nPlease Describe \nhttps://dbforcepb.my.salesforce com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409526\n", "char_count": 1414}, {"efta_number": "EFTA01409514", "page_number": 13, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 8 of 9 \nLast Modified Date 5/28/2013 \nSouthern Financial, LLC \nKYC Party Contact Southern Financial LLC \nRole Account Holder \nPlease Describe \nLast Modified Date 5/28/2013 \nSouthern Financial, LLC \nKYC Party Contact Southern Trust Company, Inc. \nRole Significant Shareholder(>=25%) Non-PIC Entity (Indicate ownership %) \nPlease Describe \nSouthern Trust is the sole member of Southern Financial and Jeffrey Epstein \nis the sole shareholder \nof Southern Trust \nLast Modified Date 8/14/2013 \nSouthern Financial, LLC \nKYC Party Contact Southern Trust Company, Inc. \nRole Significant Shareholder(>=25%) Non-PIC Entity (Indicate ownership %) \nPlease Describe \nSouthern Trust is the sole member of Southern Financial and Jeffrey Epstein \nis the sole shareholder \nof Southern Trust \nLast Modified Date 8/14/2013 \nCase History \n8/21/2013 11:31 AM \nUser Janice Franklin \nAction Changed Case Owner from Compliance KYC to Approved KYC. \n8/21/2013 11:31 AM \nUser Janice Franklin \nAction \nChanged Compliance Approver to Janice Franklin. Changed Status from 5. Ready \nfor Compliance Approval to 6. \nApproved. \n8/20/2013 2:59 PM \nUser Armen Brash \nAction \nChanged Owner (Assignment) from AML & Business Risk to Compliance KYC. \nChanged Reason for Rejection (If \nApplicable). Changed AML & Business Risk Approver to Armen Brash. Changed \nStatus from 4. Ready for AML & \nBus. Risk Approval to 5. Ready for Compliance Approval. \n8/20/2013 9:36 AM \nUser Armen Brash \nAction Changed Reason for Rejection (If Applicable). \n8/15/2013 1:59 PM \nUser Amanda Kirby \nAction Changed Case Owner from Amanda Kirby to AML & Business Risk. \n8/15/2013 1:59 PM \nUser Amanda Kirby \nAction Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. \nEFTA01409527\n", "char_count": 1796}, {"efta_number": "EFTA01409514", "page_number": 14, "text_content": "8/14/2013 4:44 PM \nUser Armen Brash \nAction Changed Case Owner from AML & Business Risk to Amanda Kirby. \nhttps://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409528\n", "char_count": 215}, {"efta_number": "EFTA01409514", "page_number": 15, "text_content": "Case: 01082293 — salesforce.com - Unlimited Edition \nPage 9 of 9 \n8/14/2013 4:44 PM \nUser Armen Brash \nAction \nChanged Reason for Rejection (If Applicable). Changed Status from 4. Ready \nfor AML & Bus. Risk Approval to \nRejected. \n8/13/2013 5:42 PM \nUser Amanda Kirby \nAction Changed Case Owner from Amanda Kirby to AML & Business Risk. \n8/13/2013 5:42 PM \nUser Amanda Kirby \nAction Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. \n7/22/2013 3:20 PM \nUser Armen Brash \nAction Changed Case Owner from AML & Business Risk to Amanda Kirby. \n7/22/2013 3:20 PM \nUser Armen Brash \nAction \nChanged Reason for Rejection (If Applicable). Changed Status from 4. Ready \nfor AML & Bus. Risk Approval to \nRejected. \n7/18/2013 2:58 PM \nUser Brian Biggar \nAction \nChanged Owner (Assignment) from Brian Biggar to AML & Business Risk. Changed \nOffice Dir./Bus. \nHead/GMTH/SMTH Approver to Brian M. Biggar. Changed Status from 3. Ready for \nOffice Dir Approval/SMTH to \n4. Ready for AML & Bus. Risk Approval. \n7/17/2013 2:10 PM \nUser Paul Morris \nAction Changed Case Owner from Paul Morris to Brian Biggar. \n7/17/2013 2:10 PM \nUser Paul Morris \nAction \nChanged Primary Officer/RM Approver to Paul Morris. Changed Status from 2. \nReady for Primary Officer \nApproval to 3. Ready for Office Dir Approval/SMTH. \n7/17/2013 2:09 PM \nUser Amanda Kirby \nAction Changed Case Owner from Amanda Kirby to Paul Morris. \n7/17/2013 2:06 PM \nUser Amanda Kirby \nAction Changed Status from 1. In Progress to 2. Ready for Primary Officer \nApproval. \n5/28/2013 10:27 AM \nUser Amanda Kirby \nAction Created. \nCopyright 0 2000-2015 salesforce.com, inc. All rights reserved. \nEFTA01409529\n", "char_count": 1670}, {"efta_number": "EFTA01409514", "page_number": 16, "text_content": "https://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL=/-\n5006000000Qah5LA... \n8/28/2015 \nEFTA01409530\n", "char_count": 109}]}