document_description: Form W-9 is used to provide a correct taxpayer identification number (TIN) to a requester. It includes certification that the TIN is correct, the individual is not subject to backup withholding, and is a U.S. person. This form is filled by Southern Trust Company, Inc. as an S Corporation with the business name Southern Financial LLC, located at 6100 Red Hook Quarter B3, St. Thomas, USVI 00802.

title: Request for Taxpayer Identification Number and Certification

document_subtype: Form W-9

key_organizations:
Southern Trust Company, Inc.
Southern Financial LLC


source: doj

document_description: This document is a tax election declaration of tax status for an account agreement, designed for both U.S. and Non-U.S. persons. It includes a certification for U.S. citizens or resident aliens to provide their taxpayer identification number and certify their tax status. Non-U.S. persons are required to submit Form W-8 to certify their foreign status.

document_type: financial

document_subtype: Tax Declaration

key_organizations:
DBSI
Southern Financial LLC
Internal Revenue Service


document_description: This document is an account agreement acknowledgment signed by Jeffrey Epstein, confirming receipt and agreement to the terms and conditions of the account, including a pre-dispute arbitration clause. It also includes tax and compliance responsibilities for both individual and entity accounts, with specific mention of ERISA employee benefit plan clients and their fiduciary responsibilities. The document is signed by Jeffrey Epstein for both individual and Southern Financial LLC entity accounts.

document_subtype: Account Agreement

key_organizations:
DBSI
Southern Financial LLC


document_description: This document is an appendix to an account agreement, providing disclosures and definitions related to financial transactions and account management. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of account sequestration, foreign securities risks, prohibition of freeriding, impartial lottery allocation system, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: account agreement appendix

key_organizations: DBSI Pershing


document_description: The document outlines the terms and conditions of an Account Agreement between a client and DBSI, including notices, possible conflicts of interest, SIPC coverage, and considerations for tax-exempt entities. It also provides definitions for terms used in the agreement.

document_type: legal

key_organizations:
DBSI
Deutsche Bank AG
Pershing
SIPC


document_description: This document is a margin disclosure from Deutsche Bank Securities Inc. (DBSI) outlining the risks and terms associated with trading securities on margin. It explains the potential for loss, the rights of DBSI to sell securities or assets without prior notice, and the conditions under which margin calls are issued. It also covers the risks of short sales and the possibility of securities being loaned out by DBSI or Pershing.

document_subtype: Margin Disclosure

key_organizations:
Deutsche Bank Securities Inc.
Pershing


document_description: This document is a Margin Addendum to an Account Agreement, outlining the supplemental terms and conditions for opening a margin account. It covers the mechanics and risks of margin, financing, interest and costs, demand loans, liens, consent to loan or pledge of securities, and margin maintenance. The addendum specifies the rights of DBSI and Pershing regarding securities and other property in the margin account, including the ability to demand payment, liquidate assets, and use securities for short sales.

title: Margin Addendum to Account Agreement

document_subtype: Margin Addendum

key_organizations:
DBSI
Pershing
Deutsche Bank


document_description: The document outlines the rights and obligations of OBSland Pershing and the Client regarding securities transactions, including short sales, margin requirements, and tax implications. It details the procedures for handling short sales, mandatory close-outs, and the tax treatment of earnings on pledged municipal securities. The document also covers rehypothecation, additional risks, and collection remedies.

document_subtype: contract

key_organizations:
OBSland Pershing
DBSI


document_description: This document is a margin agreement acknowledging the client's receipt, reading, and agreement to the terms, including a pre-dispute arbitration clause. It includes confirmation of authority to borrow for non-natural person accounts and requires signatures from authorized parties.

document_subtype: Margin Agreement


document_description: Driving license issued to Jeffrey Epstein in the United States Virgin Islands.

document_type: government

document_subtype: Driving License


document_description: This document is an account authorization and indemnity form for a Limited Liability Company (LLC) account with Deutsche Bank Securities Inc. (DBSI). Jeffrey Epstein is appointed as an agent and attorney-in-fact for the LLC, authorized to manage securities transactions. The document outlines the powers granted to the agent, indemnity clauses, and conditions under which the authorization remains effective.

document_subtype: Account Authorization & Indemnity

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial, LLC


document_description: This document outlines the terms related to capital contributions, transfer of membership units, and capital accounts for a company with a sole member. It specifies the rights and obligations of the sole member regarding capital contributions, the transfer of membership units, and the maintenance of capital accounts.

document_subtype: Operating Agreement


document_description: The document outlines the terms for increases and decreases in the capital account of company members, including the allocation and distribution of profits, losses, and other financial items. It specifies how liabilities and distributions affect the capital account and details the allocation of net profits, losses, and other financial items to the sole member.

document_subtype: Capital Account Agreement


document_description: The document outlines the distribution of assets upon the liquidation of a company, management structure, voting rights, and indemnification clauses. Upon liquidation, assets are distributed to the sole member and dissociated members based on their capital interests. Jeffrey Epstein is named as the initial manager with full authority over the company's affairs. Membership units have voting rights only if owned by a member. The sole member is not personally liable for the company's obligations, and the company indemnifies its manager and may indemnify employees or agents involved in legal proceedings.

document_subtype: Company Liquidation and Management Agreement


document_description: The document outlines indemnification provisions for managers, members, employees, or agents of the Company, detailing conditions under which they are indemnified for legal expenses. It also covers the process for determining indemnification and the conditions for the Company's dissolution.

document_subtype: indemnification and liquidation provisions


document_description: This document is an Operating Agreement for Southern Trust Company, Inc., executed by Jeffrey E. Epstein as President. It outlines the binding effect and governing law of the agreement, which is subject to the laws of the U.S. Virgin Islands.

title: Operating Agreement of Southern Trust Company, Inc.


document_description: The document outlines the Articles of Organization for Southern Financial, LLC, a limited liability company organized under the Uniform Limited Liability Company Act in the U.S. Virgin Islands. It specifies the company's name, address, principal office, and purpose.

key_locations: 9100 Port of Sale Mall, Suite 15, St. Thomas, U.S. Virgin Islands 00802

document_subtype: Articles of Organization


document_description: This document outlines the Articles of Organization for a company, detailing its perpetual duration, management structure, initial capital, and limitation of liability for managers. The company is manager-managed with Jeffrey Epstein as the initial manager. The capital to start the business is set at $1,000. The document also specifies the organizer's name and address.

key_people:
Jeffrey Epstein
Greg J. Ferguson

document_subtype: Company Articles of Organization


document_description: The document outlines the liability limitations for managers and members of a company under the Uniform Limited Liability Company Act. It specifies that any amendments to the Act that further limit manager liability will apply, and that member liability for company debts is limited. It also includes a severability clause ensuring the rest of the document remains valid if any part is void or illegal.


document_description: This document is an organizational document for a company, signed by Greg J. Ferguson as the Organizer, and notarized by Brett A. Geary in the United States Virgin Islands.

key_people:
Greg J. Ferguson
Brett A. Geary

document_type: correspondence

key_locations:
United States Virgin Islands
St. Thomas
St. John

document_subtype: notarized document


document_description: Consent of agent for service of process for Business Basics VI, LLC, designating Southern Financial, LLC as the resident agent in the United States Virgin Islands.

key_locations:
United States Virgin Islands
St. Thomas

document_subtype: Resident Agent Form

key_organizations: Office of the Lieutenant Governor Division of Corporations and Trademarks


document_description: Certificate of Existence issued by the Office of the Lieutenant Governor of the Virgin Islands for SOUTHERNFINANCIAL, LLC, confirming its organization and good standing as of June 25, 2013.

title: Certificate of Existence for SOUTHERNFINANCIAL, LLC

key_locations: Charlotte Amalie, St. Thomas, Virgin Islands

document_subtype: Certificate of Existence


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly known as Financial Informatics, Inc., confirming its incorporation and authorization to conduct business in the Virgin Islands.

key_locations:
Virgin Islands
Charlotte Amalie
Christiansted

document_subtype: Certification of Good Standing

key_organizations: Office of the Lieutenant Governor, Virgin Islands


document_description: Certificate of Existence issued by the Lieutenant Governor of the Virgin Islands, certifying that Southern Financial, LLC is registered to conduct business in the Virgin Islands as of February 25, 2013.

title: Certificate of Existence for Southern Financial, LLC

key_organizations:
Southern Financial, LLC
Government of the Virgin Islands


document_description: The Board of Directors of Southern Trust Company, Inc. unanimously adopted resolutions on March 19, 2013, regarding corporate restructuring. Jeffrey Epstein, Darren K. Indyke, and Richard Kahn, as directors, consented to actions including the transfer of shares of Jeepers, Inc. to Jeffrey Epstein and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

title: Consent of the Board of Directors of Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn

document_subtype: Board Resolution

key_organizations:
Southern Trust Company, Inc.
Financial Trust Company, Inc.
Jeepers, Inc.
Southern Financial, LLC


document_description: This document outlines the resolutions related to the merger of FTC with SF, a wholly owned subsidiary of the Corporation. Jeffrey Epstein is to surrender 10,000 shares of FTC's Common Stock in exchange for 10,000 shares of the Corporation's Common Stock. The merger is intended to qualify as a tax-free reorganization under section 368(a)(1)(A) of the Internal Revenue Code. The document authorizes the President of the Corporation to execute and deliver the Merger Agreement and file necessary documents with the Office of the Lieutenant Governor of the United States Virgin Islands.

document_subtype: Merger Agreement Resolution

key_organizations: FTC SF Corporation


document_description: This document is a consent resolution by the Board of Directors of Financial Infomatics, Inc., a U.S. Virgin Islands Corporation, certifying the adoption of resolutions on November 18, 2011. It includes the formation details of the corporation, the authorization to issue shares, and the establishment of a depository for funds. The document also ratifies actions taken by the incorporators and appoints officers of the corporation.

title: Consent of the Board of Directors of Financial Infomatics, Inc.

key_people:
Jeffrey Epstein
Darren Indylte
Richard Kahn


document_description: This document is a corporate resolution detailing the appointment of officers, authorization of stock issuance, and other corporate governance matters for a corporation associated with Jeffrey Epstein. It includes resolutions for the issuance of 10,000 shares of Common Stock to Jeffrey E. Epstein and the adoption of corporate records and procedures.

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn

document_subtype: corporate resolution


document_description: Resolution authorizing officers of Financial Infomatics, Inc. to perform necessary acts to carry out corporate business.


document_description: Jeffrey E. Epstein subscribes for 10,000 shares of common stock in Financial Infomatics, Inc. at $0.10 per share, with payment due upon call by the Board of Directors.

title: Subscription for Common Stock

key_people:
Jeffrey E. Epstein
Darren K. Indyke

document_subtype: stock subscription


document_description: Consent form for electronic delivery of materials and communications from Deutsche Bank Wealth Management, signed by Jeffrey Epstein for Southern Financial LLC.

title: Consent to Electronic Delivery of Materials and Communications

document_subtype: Consent Form

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank National Trust Company
Deutsche Bank Trust Company, N.A.
Deutsche Bank Trust Company Delaware
Southern Financial LLC


document_description: This document is a Structured Products Agreement and Approval Form for Southern Financial LLC, a Limited Liability Company. It includes account and owner information, financial details, and authorization for other individuals to place orders for the account.

key_people:
Jeffrey Epstein
Paul Barrett
Darren Indyke

key_locations:
St. Thomas
US Virgin Islands

document_subtype: Structured Products Agreement


document_description: The document outlines the qualifications of a client as a 'Qualified Purchaser' under the Investment Company Act of 1940, detailing various investment strategies and structured products. It includes representations about the suitability of these products for the client's account, the risks involved, and authorizations for Deutsche Bank to manage these investments.

document_subtype: investment representation


document_description: A Structured Products Agreement and Approval Form for Southern Financial LLC, signed by Jeffrey Epstein on 10/19/17. The form includes sections for client and Deutsche Bank office use signatures.

key_people:
Jeffrey Epstein
Joshua Shoshan

key_organizations:
Southern Financial LLC
Deutsche Bank
Deutsche Bank Securities Inc.


document_description: Deutsche Bank Securities Inc. agrees to accept trading instructions from Jeffrey Epstein via electronic media, with conditions. Epstein agrees to hold the bank harmless for any liabilities arising from such instructions.

key_people:
Jeffrey Epstein
Zbynek Kozelsky
Joshua Shoshan
Paul Barrett

document_subtype: agreement

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial LLC
The Haze Trust
Jeepers Inc
Southern Trust Company Inc
J Epstein Virgin Islands Foundation Inc


document_description: The document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references federal rules of criminal procedure, indicating it may be part of a legal investigation or proceeding.

document_type: other


document_description: This document is an option agreement and approval form for Southern Trust Company Inc, managed by Jeffrey Epstein and Jeanne Brennan. It includes financial information, investment experience, and authorization details for trading options, stocks, bonds, commodities, and derivatives.

title: Deutsche Bank Private Wealth Management Option Agreement and Approval Form

key_people:
Jeffrey Epstein
Jeanne Brennan

key_locations:
Virgin Islands
St. Thomas

document_subtype: Option Agreement and Approval Form

key_organizations:
Deutsche Bank
Southern Trust Company Inc
JPMorgan


document_description: This document outlines various option strategies and their associated risks, as well as client acknowledgments and approvals related to trading options. It includes client advisor details and approval statuses from Deutsche Bank Securities Inc.

key_people:
Tricia Smyth
Talia Smunt

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Alex. Brown


document_description: This document outlines the special risks associated with uncovered option writing, including the potential for significant loss. It emphasizes that such strategies may not be suitable for all investors and requires a thorough understanding of the risks involved. The statement includes a certification by the investor acknowledging the risks and suitability of the strategy for their financial situation.

title: Special Statement for Uncovered Option Writers

document_subtype: Statement

key_organizations:
Deutsche Bank Alex. Brown
Deutsche Bank Securities Inc.
Southern Trust Company Inc.


document_description: This document is a joint account supplement form for an option account agreement with Deutsche Bank Alex. Brown, a division of Deutsche Bank Securities Inc. It includes personal information for multiple account owners, including Jean Anne Brennan, and details about their control over other option accounts.

title: Joint Account Supplement to Option Account Agreement and Approval Form

document_date: unknown

key_locations: 6100 Red Hook Qtrs, St Thomas, VI, 00802-1348

document_subtype: Joint Account Supplement

key_organizations:
Deutsche Bank Alex. Brown
Deutsche Bank Securities Inc.
Southern Trust Company Inc
Southern Financial, LLC


document_description: This is a confidential legal document intended for internal use only, marked pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: confidential legal document


document_description: A document outlining the authorization for limited or full trading authority for an account, specifying the powers granted to the agent, Darren Indyke, and conditions under which the authorization remains valid or is revoked.

document_subtype: Power of Attorney Authorization


document_description: This document is a Power of Attorney in which Jeffrey Epstein, referred to as the 'Undersigned,' agrees to indemnify and hold harmless OBSI and its affiliates from all claims related to actions taken by his agents. It includes provisions for joint account holders and requires signatures in the presence of a notary.

document_subtype: Power of Attorney


document_description: This document outlines the responsibilities and liabilities of an agent under a Power of Attorney agreement. It specifies the legal obligations of the agent to act in the best interest of the Principal, avoid conflicts of interest, keep records, and disclose their identity as an agent. The document also mentions the conditions under which the agent can use the Principal's assets and the process for resignation. It includes a signature section for the agent, Darren Indyke, dated March 13, 2014.


document_description: Acknowledgement of Jeffrey Epstein's signature on a legal instrument in New York State, notarized by Lesley K Groff.

key_people:
Jeffrey Epstein
Lesley K Groff

key_locations:
New York State
New York County

document_subtype: notarized document


document_description: Acknowledgement of agent(s) signature in New York State and outside New York State, involving Domen Iodice and notarized by Lesley K Groff.

key_people:
Domen Iodice
Lesley K Groff

document_subtype: notary acknowledgement


document_description: New Jersey Auto Driver License for INDYKE DARREN K, Class D, Sex M.


document_description: This document is a non-durable limited power of attorney, granting designated agents authority over the principal's accounts with DBSI. It includes a cautionary note required by New York law, outlining the principal's rights and the agent's responsibilities. The document specifies the agent's authority to transact in various financial instruments on behalf of the principal.

key_people: Principal Agent(s)


document_description: This document outlines the terms and conditions under which DBSI (Deutsche Bank Securities Inc.) will accept instructions from an authorized agent on behalf of the account holder. It specifies the limitations and authorizations granted to the agent, including the ability to receive account statements, make trades, and transfer assets. The document also details the conditions under which the power of attorney can be revoked and the responsibilities of DBSI in monitoring transactions.


document_description: The document outlines the rights and responsibilities of the Undersigned and DBSI regarding the Power of Attorney. It includes provisions for additional verification, indemnification, and the responsibilities of the Agent(s).


document_description: A Power of Attorney document signed by Jeffrey Epstein, confirming his understanding and voluntary execution of the document. It includes a section for joint account holders to sign, which is left blank.


document_description: Acknowledgement of Jeffrey Epstein's signature by Notary Public Harry Beller in New York State. The document includes sections for acknowledgements both within and outside New York State, as well as for joint accounts, though many fields are left empty.

key_people:
Jeffrey Epstein
Harry Beller

key_locations:
New York State
Rockland County

document_subtype: Acknowledgement of Signature


document_description: This document outlines the responsibilities and obligations of an Agent under a Power of Attorney agreement. It specifies the legal relationship between the Agent and the Principal, including acting in the Principal's best interest, avoiding conflicts of interest, and maintaining separate records of transactions. The document also details the liability of the Agent under New York's General Obligations Law and provides instructions for resignation.

key_people:
Karine Broukan
Jeannie Dianna


document_description: Acknowledgement of agent(s)' signature in New York State by Notary Public Harry Beller for Joanne Brennan. Includes empty templates for similar acknowledgements outside New York State and for joint accounts.

key_people:
Joanne Brennan
Harry Beller


document_description: The correspondence discusses the onboarding of a new client, Jetkey.Epstein, who has transferred over $120 million across accounts. The email requests exceptions for using DB POA for entity accounts, approval of Full POA for a professional relationship, and notes on notarization of signatures. The email is forwarded by Vahe Stepanian and originally sent by Fran Wickman.

key_people:
Vahe Stepanian
Fran Wickman
Jean Anne Brennan
Joan Anne Brennan
Jay Lipman
Zbynek Kozelsky

document_subtype: email correspondence


document_description: A confidential fax from Fran Wickman at Deutsche Bank Securities Inc. related to Private and Institutional Client Services.

document_subtype: fax


document_description: This document is an account agreement between Southern Trust Company, Inc and Deutsche Bank Securities Inc. It outlines the terms and conditions governing the brokerage account, including client representations, rights of DBSI, cash account classification, order execution, and applicable rules and regulations. The client is required to sign and return the agreement to confirm acceptance of the terms.

title: Deutsche Asset & Wealth Management Account Agreement

document_subtype: Account Agreement

key_organizations: Financial Industry Regulatory Authority, Inc.


document_description: The document outlines the terms and conditions for the purchase and sale of securities through DBSI. It includes clauses on cash account requirements, restrictions on trading, handling of restricted securities, order placement, aggregation of orders, transmission of instructions, the role of third parties, and liens on securities and other property. The document specifies the rights and responsibilities of the client and DBSI, including the handling of securities transactions, payment obligations, and the use of collateral to secure obligations.

document_subtype: contract

key_organizations: DBSI Pershing


document_description: The document outlines the terms and conditions of an account agreement between a client and DBSI, including clauses on satisfaction of indebtedness, fees, FDIC insurance, cash sweep selection, credit information, confirmations, recording conversations, and joint accounts.

key_organizations:
DBSI
Deutsche Bank AG
Pershing


document_description: This document outlines the terms and conditions of an account agreement with Deutsche Bank Securities Inc. (DBSI). It covers various clauses including the handling of account ownership upon death, non-disclosure of confidential information, third-party authorizations, limitations of liability, customer inquiries, and the right to amend or terminate the agreement. It also specifies that the agreement is governed by the laws of the State of New York.


document_description: This document is a pre-dispute arbitration agreement between the Client, DBSI, and Pershing. It outlines the terms under which disputes will be resolved through arbitration rather than court proceedings. Key points include the finality of arbitration awards, limited discovery in arbitration, and the composition of arbitration panels. The agreement specifies that arbitration will be conducted under FINRA or a national securities exchange's rules, and it includes provisions for the selection of the arbitration forum. It also addresses the non-waiver of rights to seek equitable relief and the handling of class actions in relation to arbitration.

document_subtype: arbitration agreement

key_organizations:
DBSI
Pershing
FINRA
Deutsche Bank Securities Inc.


document_description: Form W-9 for Southern Trust Company, Inc, providing taxpayer identification information and certification for tax purposes.

document_subtype: Form W-9


document_description: This document is a tax election/declaration form for both US and Non-US persons. It includes sections for certifying tax status, providing taxpayer identification numbers, and instructions for backup withholding. The form requires a signature and date, and references IRS forms W-9 and W-8.

document_subtype: Tax Election/Declaration


document_description: This document is an account agreement acknowledgment form for Southern Trust Company Inc, signed by Jeffrey Epstein. It includes acknowledgments of terms and conditions, tax and compliance responsibilities, and options for joint account ownership. The document also contains sections for signatures and personal information, which are mostly left blank.


document_description: This document outlines various disclosures and definitions related to an account agreement with DBSI. It covers topics such as transaction confirmations, consent to loan or pledge securities, corrected and late trade reports, effects of legal attachments, foreign securities risks, prohibition of freeriding, impartial lottery allocation system, non-investment adviser capacity, and additional disclosures for non-U.S. residents.

document_subtype: disclosure document

key_organizations:
DBSI
Pershing
Federal Reserve Board
Securities and Exchange Commission


document_description: The document outlines terms and conditions related to client accounts with DBSI, including communication methods, potential conflicts of interest, SIPC coverage, and considerations for tax-exempt entities. It also provides definitions for terms used in the agreement.

key_organizations:
DBSI
Deutsche Bank AG
Pershing
SIPC
FINRA
Securities and Exchange Commission
Federal Reserve Board


document_description: This document is an officer's certificate from Southern Trust Company, Inc., certifying resolutions adopted by the Board of Directors on July 24, 2013. It authorizes designated persons to open and maintain brokerage accounts at Deutsche Bank Securities Inc., and to perform various financial transactions on behalf of the corporation. Jeffrey Epstein is listed as the President authorized to perform these powers.

title: Corporate Account Authorization and Terms and Conditions

key_people:
Darren K. Indyke
Jeffrey Epstein

document_subtype: Corporate Account Authorization

key_organizations:
Southern Trust Company, Inc.
Deutsche Bank Securities Inc.


document_description: A corporate resolution certifying the powers and actions of a corporation organized under the laws of the U.S. Virgin Islands. It includes a pre-dispute arbitration clause and requires a second certifying officer's signature if the first is listed in section 2.

document_date: July 2013

document_subtype: corporate resolution


document_description: The document outlines the Articles of Incorporation for Financial Informatics, Inc., a corporation established under the laws of the Virgin Islands. It details the corporation's name, principal office location, resident agent, and the purposes, objects, and powers of the corporation, including engaging in lawful business, entering contracts, borrowing money, and conducting business in the Virgin Islands and elsewhere.

title: Articles of Incorporation of Financial Informatics, Inc.

key_locations: 9100 Havensight, Port of Sale, Suite 15-16, St. Thomas, U.S. Virgin Islands, 00802

document_subtype: Articles of Incorporation

key_organizations:
Financial Informatics, Inc.
Kellerhals Ferguson LLP


document_description: This document outlines the corporate charter for a corporation, detailing the authorized shares, initial capital, founding members, perpetual existence, and management structure. It specifies the number of shares, minimum capital, names and residences of the incorporators, perpetual existence, and management provisions including the number of directors and their powers.

key_people:
Erika A. Kellerhals
Gregory J. Ferguson
Brett Geasy

document_subtype: corporate charter


document_description: This document outlines the powers and responsibilities of the Board of Directors of a corporation, including setting reserves, establishing employee incentive plans, issuing stock options, and managing stock transfers. It also details the process for stockholders to sell or transfer shares, requiring offers to be made first to the corporation and then to other stockholders before selling to external parties.

document_subtype: corporate governance document


document_description: The document outlines various articles related to corporate governance, including restrictions on pledging stock as collateral, voting rights of stockholders, transactions involving directors or officers with potential conflicts of interest, and indemnification provisions for directors and officers.

document_subtype: corporate bylaws


document_description: The document outlines the indemnification policy of a corporation, detailing the conditions under which the corporation will indemnify its directors, officers, employees, or agents involved in legal proceedings. It specifies that indemnification is contingent upon the individual acting in good faith and in a manner believed to be in the best interests of the corporation. The policy also covers the process for determining eligibility for indemnification and the potential for advance payment of legal expenses.

document_subtype: indemnification policy


document_description: A notarized document acknowledging the incorporation of a company by Erika A. Kellerhals, Gregory J. Ferguson, and Brett Geary in the U.S. Virgin Islands.

key_people:
Erika A. Kellerhals
Gregory J. Ferguson
Brett Geary
Gina Marie Bryan

key_locations:
St. Thomas
St. John
U.S. Virgin Islands

document_subtype: notarized document


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly Financial Informatics, Inc., confirming its incorporation and authorization to conduct business in the Virgin Islands.

document_subtype: Certification of Good Standing

key_organizations: Office of the Lieutenant Governor, Virgin Islands


document_description: Certificate of Incorporation for Financial Informatics, Inc. filed in the Virgin Islands on November 18, 2011, certified by Lieutenant Governor Gregory R. Francis.

document_subtype: Certificate of Incorporation

key_organizations:
Financial Informatics, Inc.
Government of the Virgin Islands


document_description: IRS notice assigning an Employer Identification Number (EIN) to Financial Informatics Inc. The notice includes filing requirements for Forms 94198 and 1120, and provides information on tax classification and corporation election.

key_locations:
Cincinnati, OH
St Thomas, VI

document_subtype: IRS Notice

key_organizations:
IRS
Financial Informatics Inc


document_description: Certificate of Amendment for Financial Informatics, Inc. changing its name to Southern Trust Company, Inc. filed with the Office of the Lieutenant Governor of the Virgin Islands.

document_subtype: Certificate of Amendment

key_organizations:
Financial Informatics, Inc.
Southern Trust Company, Inc.
Government of the Virgin Islands


title: Certification of Good Standing for Southern Trust Company, Inc.


document_description: The document is a resolution by the Board of Directors of Southern Trust Company, Inc., certifying the unanimous adoption of certain actions. These include the transfer of all shares of Jeepers, Inc. to Jeffrey Epstein, making him the sole shareholder, and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

title: Consent of the Board of Directors of Southern Trust Company Inc.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn

document_subtype: Board Resolution

key_organizations:
Southern Trust Company Inc.
Financial Trust Company, Inc.
Jeepers, Inc.
Southern Financial, LLC


document_description: The document outlines resolutions related to a merger involving FTC and SF, with Jeffrey Epstein surrendering 10,000 shares of FTC's Common Stock in exchange for 10,000 shares of the Corporation's Common Stock. The merger is intended to qualify as a tax-free reorganization under section 368(a)(1)(A) of the Internal Revenue Code. The President of the Corporation is authorized to execute and deliver the Merger Agreement and file necessary documents with the Office of the Lieutenant Governor of the United States Virgin Islands.

document_subtype: Merger Agreement Resolution

key_organizations: FTC SF Corporation


document_description: Consent resolution executed by the directors of Financial Trust Company, Inc.

key_people:
Richard Kahn
Jeffrey E.
Darren K. Wesley
Darren K. Indyke

document_subtype: resolution


document_description: This document is a consent resolution by the Board of Directors of Financial Infomatics, Inc., certifying the adoption of resolutions on November 18, 2011. It includes the formation of the corporation, authorization of stock issuance, and appointment of corporate officers.

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn


document_description: Corporate resolution detailing the election of officers, authorization of stock issuance, and other corporate governance matters for a corporation involving Jeffrey Epstein.


document_description: This document outlines resolutions for the Corporation's financial and operational procedures, including designating depositories for funds, managing bank accounts, authorizing officers to handle financial transactions, and setting the fiscal year. It also authorizes the Corporation to conduct business in various jurisdictions by appointing agents and filing necessary documents.

key_people:
President of the Corporation
Secretary of the Corporation


document_description: Resolution authorizing officers of Financial Infomatics, Inc. to perform necessary acts to carry out corporate business.


document_description: Jeffrey E. Epstein subscribes for 10,000 shares of Common Stock of Financial Infomatics, Inc. at $0.10 per share, with payment due upon call of the Board of Directors. Subscription accepted by Darren K. Indyke, Vice President.

title: Subscription for Common Stock

key_people:
Jeffrey E. Epstein
Darren K. Indyke

document_subtype: stock subscription


document_description: This document is an Institutional Suitability Certificate from Deutsche Bank Securities Inc. It affirms that the institution, Southern Financial LIG, represented by Jeffrey Epstein, is capable of evaluating investment risks independently and will exercise independent judgment in evaluating recommendations from Deutsche Bank Securities Inc. The certificate applies to all recommended transactions and investment strategies involving securities for the account of the Institutional Account or any beneficial owner delegating decision-making authority to it.

title: Institutional Suitability Certificate Affirmative Indication Of Exercise Of Independent Judgment

document_subtype: Institutional Suitability Certificate

key_organizations:
Deutsche Bank Securities Inc.
Southern Financial LIG
Southern Trust Company Inc.


document_description: Request to add Southern Financial LLC to the DDR, with attached SACA and Pledge agreements. Note of two accounts for the client.

key_organizations:
SOUTHERN FINANCIAL LLC
DBOI Global Services Private Limited


document_description: The document contains two tables. The first table lists remediation activities with their category, assignee, and date. The second table lists pending KYC types and their status, with a note indicating 'Pending with business' for some entries.

key_people:
Jamaal
Joe
Nina Tona Brunetti

document_type: tabular

key_locations: 5022 Gate Parkway, Jacksonville FL 32256

document_subtype: activity and KYC status tables

key_organizations:
Deutsche Bank Wealth Management
Institutional Wealth Partners
Deutsche Bank (Americas) Ltd.


document_description: A table listing various clients with their KYC type and status, indicating actions required from clients or business.

document_subtype: KYC Status Table

key_organizations:
Deutsche Bank Wealth Management
Dakota Pacific Global Macro Fund LLC
Staple Street Global
Daniel and Suzzan Cohen
DA Brazil
DA Venezuela
Ultralat Capital Markets
Anschutz Investment Company
Fox Growth Fund Inc
Niscaly
Black Maple Capital Partners
The Lamia Ventures Corporation
Blue Media Investments


document_description: A table listing various investment funds and their current status regarding client information and business requirements. The table includes entities like Dakota Pacific Global Macro Fund LLC, Staple Street Global, DA Brazil, and others, with statuses such as 'Extension', 'NCA', 'Refresh', and 'Remediation'.

document_subtype: table


document_description: A memo listing various financial entities and their current status with Deutsche Bank Wealth Management. The memo is intended for sophisticated, experienced investors who qualify as Institutional accounts under FINRA Rule 4512(c)(3).

document_subtype: memo

key_organizations:
Deutsche Bank Wealth Management
Staple Street Global
DA Brazil
DA Venezuela
Ultralat Capital Markets
Anschutz Investment Company
Fox Growth Fund Inc
Niscaly
Black Maple Capital Partners
The Lamia Ventures Corporation


document_description: Email from Paolo De-Leon to Xavier Avila and Davide-A Sferrazza requesting documents for KCP clients to onboard them into a daily derivative report.

key_people:
Paolo De-Leon
Xavier Avila
Davide-A Sferrazza
Keith Buckholz

document_subtype: email

key_organizations:
Collateral Admin group
BRM
The Lamia Ventures Corp
Focus Fund LLC
PW
Southern Financial LLC


document_description: Counterparty information for Southern Financial LLC, including legal names, IDs, booking centers, and client types.

key_people:
Teresa Metallo
Paolo De-Leon
Diana Canter
Keith Buckholz

document_subtype: Counterparty Information


document_description: Request for information to process a new derivatives account setup, including SIC Code, NACE Code, KYC Document, PCR Document, and RDC Document.

document_type: email


document_description: An internal memo listing pending KYC tasks with COB and business, including client names, KYC types, statuses, actions, responsible parties, and due dates.

key_people:
Nina Tona Brunelli
Jamaal
Joe

document_subtype: internal memo

key_organizations:
Deutsche Bank Wealth Management
InstiMimed Wealth Partners


document_description: The document contains two tables related to remediation and KYC (Know Your Customer) processes for various clients and properties. The first table lists properties with their remediation status, responsible persons, and dates. The second table lists clients with their KYC type and status, indicating pending actions with businesses or clients.

title: Remediation and KYC Status Tables

key_people:
Jamaal
Joe
Nina Tona Brunelli

key_locations:
134 West 58th Realty LLC
30 West 72nd Street
125 Washington
237 Wasseman
78-79 Wasseman


document_description: The document is a KYC status report listing various clients and their KYC types, along with the current status of their documentation process. It includes entities like 134 West 58th Realty LLC, Blue Media Investments, and others, detailing the remediation or extension requirements and pending actions with the business.

key_people:
Jamaal
Joe
Nina TonaBnlnclli

document_subtype: KYC Status Report


document_description: A request for confirmation regarding certain financial transactions or documents related to Southern Financial LLC, identified by reference numbers N4G025403 and N4G026161. The correspondence is from Sachiva Gupta, a Senior Analyst in Securities Operations at DBOI Global Services Private Limited.

key_organizations:
Southern Financial LLC
DBOI Global Services Private Limited


document_description: An email regarding a product named GED in Global Credit Derivatives, with business sponsors and approvers listed. A link is provided for full request details.

key_people:
John Kennedy
Martin Zeman
Joe Aglione
Xavier Avila
Amber Davis


document_description: This document outlines the terms and conditions regarding the management and control of financial assets between a Debtor, a Secured Party, and an Intermediary. It specifies the rights and obligations of each party concerning the transfer and redemption of financial assets in primary and secondary accounts, including the conditions under which the Intermediary must comply with instructions from the Debtor or the Secured Party. The document also details the process for issuing Entitlement Orders and Notices of Sole Control.

document_subtype: contract


document_description: This document outlines the terms and conditions regarding the control and management of a Securities Account between an Intermediary, a Debtor, and a Secured Party. It includes provisions for Notices of Sole Control, compliance conditions, the Intermediary's duties, financial asset elections, statement distribution, tax reporting, and the Intermediary's liens and rights of set-off.

document_subtype: agreement


document_description: This document outlines the terms of a legal agreement concerning a Securities Account, including rights of set-off, choice of law, submission to jurisdiction, and conflict with other agreements. It specifies that the agreement and the Securities Account are governed by New York law, and any legal proceedings must be conducted in New York courts. The document also includes a waiver of jury trial rights and stipulates that any amendments must be in writing and signed by all parties.

document_subtype: Agreement


document_description: This document outlines the terms of a security agreement involving a Debtor, Secured Party, and Intermediary. It specifies the rights, benefits, and protections for the Secured Party and its affiliates, as well as the procedures for notices and termination of the agreement. The document includes contact information for the involved parties.

key_people:
Jeffrey Epstein
Gedeon Pinedo
Nicholas Haigh

key_locations:
St. Thomas, US Virgin Islands
New York, NY

document_subtype: Security Agreement

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities, Inc.


document_description: The document outlines the rights and procedures for transferring financial assets to another institution. The Secured Party can direct the transfer by sending an Entitlement Order to the Intermediary within 30 days of receiving notice. If no order is received, the Intermediary may act on an order from the Debtor or deposit the assets with a court or establish a successor account.


document_description: This document is a counterparts agreement indicating that the agreement may be executed in multiple counterparts, all constituting one instrument. It includes signatures from representatives of Southern Financial, LLC and Deutsche Bank Securities Inc.

title: Counterparts Agreement

key_people:
Jeffrey Epstein
Cynthia Cutano
Paul E. Salvas
Thomas Hoddinott

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities Inc.


document_description: An entitlement order issued by a secured party to an intermediary regarding the redemption and transfer of financial assets from a securities account.

title: Entitlement Order for Securities Account

document_subtype: entitlement order


document_description: A termination notice from a secured party to an intermediary, notifying the termination of an agreement and instructing future directions to be accepted from the debtor.

title: Termination of Agreement

key_people:
Secured Party
Debtor

document_subtype: termination notice


document_description: This document is a Borrower Security and Pledge Agreement between Southern Financial LLC (Debtor) and Deutsche Bank AG (Lender). It outlines the terms under which the Debtor assigns, pledges, and grants a security interest in various assets to the Lender as collateral for financial obligations. The agreement includes representations and warranties by the Debtor regarding its legal standing and authority to enter into the agreement.

document_subtype: Pledge Agreement

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: This document outlines the terms of an agreement between a Debtor and a Lender, including rights of setoff, indemnification, tax obligations, and notice procedures. It also includes a waiver of jury trial rights and jurisdictional agreements.

key_locations:
New York
New York City


document_description: This document is an agreement between the Debtor and Deutsche Bank Trust Company Americas (DB). It outlines the obligations of the Debtor, the role of DB as a securities intermediary, and the legal jurisdiction governing the agreement. The agreement specifies that any legal actions related to the agreement must be brought in New York. It also details the joint and several liability of multiple debtors, the handling of collateral, and the demand nature of certain obligations.

title: Agreement between Debtor and Deutsche Bank Trust Company Americas


document_description: This document is an agreement executed by Southern Financial LLC, with Jeffrey Epstein as the manager. It includes details about the debtor's address, controlling parties, and type of organization.

key_organizations:
Southern Financial LLC
Southern Trust Company


document_description: The document lists affiliates of Deutsche Bank AG and details related to collateral accounts and listed securities. It includes account numbers and names of collateral holders, as well as types of securities, issuers, and registered owners.

title: Schedule A and B

document_subtype: Schedule

key_organizations:
Deutsche Bank AG
Deutsche Bank Trust Company Americas
DB Structured Products, Inc.
DB Private Clients Corp.
Deutsche Bank AG, London Branch
Deutsche Bank Securities, Inc.
Southern Financial LLC


document_description: The document outlines the requirements for maintaining collateral quality and value for loans. It specifies the maximum advance rates for different types of securities used as collateral and the conditions under which additional collateral must be pledged or obligations repaid. The document also details the criteria for acceptable securities and the implications of pledging tax-exempt municipal bonds.

document_subtype: Collateral Maintenance Requirements


document_description: Guidelines for advance rates on NYSE, AMEX, NASDAQ equity and Mutual Fund shares. Shares valued under $10.00 per share have a 0% advance rate and are not accepted as collateral. Advance rates for Mutual Funds are subject to internal guidelines and exposure limits.

document_subtype: financial guidelines

key_organizations: NYSE AMEX NASDAQ


document_description: This document is an alert report from Deutsche Bank Private Bank dated February 22, 2018. It highlights a critical risk alert for Southern Financial Group, also known as SFG, based in Greensboro, North Carolina, USA. The alert references SEC violations including insider trading and securities fraud, involving a high-yield investment scheme that defrauded investors of approximately $30 million. The report includes historical SEC litigation releases and judgments against the entities involved.

title: Deutsche Bank Private Bank Alert Report

key_people:
Tracy Dunlap
Tracy Calvin Dunlap Jr.

key_locations:
Greensboro, North Carolina, USA
Virgin Islands, U.S.

document_subtype: Alert Report

key_organizations:
Deutsche Bank Private Bank
Southern Financial Group
Elfindepan S.A.
Strategic Asset Funds S.A.
SEC


document_description: An alert was issued for Southern Financial LLC, operated by James W. 'Bill' Bailey, Jr., for fraudulent activities including securities fraud, mail fraud, and filing false tax returns. Bailey allegedly ran a Ponzi scheme defrauding investors of over $13 million through Southern Financial Services Inc., 1031 Exchange Services, LLC, and AVL Properties, LLC in Asheville. The alert highlights SEC violations and tax-related offenses.

title: Alert for Southern Financial LLC

key_people:
James W. 'Bill' Bailey, Jr.
Anne M. Tompkins

key_locations:
Asheville
VIRGIN ISLANDS, U.S.

document_subtype: alert

key_organizations:
Southern Financial LLC
Southern Financial Services Inc.
1031 Exchange Services, LLC
AVL Properties, LLC
DOJ US Attorneys Offices


document_description: An alert regarding Southern Financial LLC, flagged for SEC violations including insider trading and securities fraud, and accused of running a Ponzi scheme. The alert is marked as critical risk priority.

title: Deutsche Bank Private Bank Alert

key_locations:
Virgin Islands, U.S.
Summerville
Charleston, SC

document_subtype: Alert

key_organizations:
Southern Financial LLC
Southern Financial Group Inc.
Deutsche Bank Private Bank


document_description: Due diligence research performed by PWM BIS-RESEARCH for Southern Financial LLC in accordance with AML Compliance standards. The document includes search results from various databases, including RDC, FIRCOSOFT, BIS, and others. No significant negative media results were found, and no further action is required unless PEPs are involved. Prepared by Research Analyst Nahid Khan.

key_organizations:
PWM BIS-RESEARCH
Southern Financial LLC


document_description: The document contains OFAC results for Southern Financial LLC, located in the U.S. Virgin Islands. It includes alert information from RDC and FIRCOSOFT, indicating no alerts for the company. BIS results and legal results indicate that no further media or court case checks are required.

document_subtype: OFAC and Legal Results


document_description: Know Your Customer (KYC) document for Erika Kellerhals, detailing personal and professional information, and relationship with Deutsche Bank.

document_subtype: KYC Document

key_organizations:
Kellerhals Ferguson Kroblin PLLC
Deutsche Bank


document_description: A KYC document containing information about financial institutions, countries, and estimated assets under management. It also requests information about the family situation of individuals.


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein detailing personal, professional, and financial information. Includes details on his occupation, employer, political exposure, and source of wealth.

title: KYC Print for Jeffrey E. Epstein

key_people:
Jeffrey E. Epstein
Bill Clinton
Prince Andrew
Alan C. Greenberg

key_locations: 6100 Red Hook Quarter B3, St. Thomas, USVI

key_organizations:
Southern Financial LLC
Bear Stearns
J. Epstein & Co.
Deutsche Bank


document_description: Know Your Customer (KYC) document for Jean Anne Brennan Wiebracht, detailing personal and professional information, including residence, citizenship, occupation, and employer details. The document also includes questions about political exposure, relationships with Deutsche Bank, and wealth details.

key_locations:
USVI
USA
St. Thomas

key_organizations:
Southern Financial, LLC
Deutsche Bank


document_description: Southern Trust invests in different portfolios catered to their clients and makes revenue based on returns and fees. The document provides a wealth profile, including estimated gross receipts, net profit, and investable assets. It also lists known financial institutions associated with the entity.


document_description: KYC comments and approvals for entities associated with Jeffrey Epstein, including Southern Financial, LLC, Southern Trust Company, Inc, Jeffrey Epstein, and J. Epstein Virgin Islands Foundation, Inc. The document includes comments on the KYC process, risk factors, and approvals from various professionals.

key_people:
Jeffrey Epstein
Bill Clinton
Prince Andrew
Kshitij Golani
Cynthia Rodriguez
Stewart Oldfield
Andrew F Gallivan
Yoonsun Chung

document_subtype: KYC Comments and Approvals


document_description: The document outlines Deutsche Bank Private Wealth Management's commitment to serving clients professionally, emphasizing the importance of due diligence and the responsibility of Client Facing Professionals (CFPs) to know their clients. It includes a declaration for signers to confirm the accuracy of information and adherence to anti-money laundering procedures.

title: Deutsche Bank Private Wealth Management Policy Statement

document_subtype: policy statement


document_description: Request to add a client to the DDR with attached SACA and Pledge agreements. The client is SOUTHERN FINANCIAL LLC and there are two accounts for this client.

document_subtype: internal memo

key_organizations:
DBOI Global Services Private Limited
Deutsche Bank
SOUTHERN FINANCIAL LLC


document_description: This document outlines the terms and conditions regarding the management and control of financial assets between a Debtor, Secured Party, and an Intermediary. It specifies the rights and obligations of each party concerning the transfer and redemption of assets, entitlement orders, and the conditions under which the Secured Party can exercise sole control over the accounts.

document_subtype: contract


document_description: This document outlines the terms of a legal agreement regarding a Securities Account, including rights of set-off, choice of law, submission to jurisdiction, and conflict with other agreements. It specifies that the agreement and the Securities Account are governed by New York law, and any legal proceedings must be conducted in New York courts. The document also includes a jury waiver and stipulates that any amendments must be in writing and signed by all parties.

document_subtype: Agreement


document_description: This document outlines the terms of an agreement involving an Intermediary, Debtor, and Secured Party. It includes provisions on entitlement orders, representations, warranties, covenants, indemnification, and assignment of rights. The Intermediary agrees to comply with entitlement orders and not to enter into agreements limiting this obligation. The document also covers indemnification of the Intermediary and prohibits assignment of rights, except by the Secured Party to its affiliates.


document_description: This document outlines the terms of a security agreement involving Southern Financial, LLC as the Debtor, Deutsche Bank AG as the Secured Party, and Deutsche Bank Securities, Inc. as the Intermediary. It includes provisions for notices, termination, and rights of affiliates.

document_subtype: Security Agreement


document_description: This document is a counterparts agreement involving Southern Financial, LLC and Deutsche Bank entities. It outlines that the agreement may be executed in multiple counterparts, which together constitute one instrument. Key signatories include Jeffrey Epstein as Manager of Southern Financial, LLC, and representatives from Deutsche Bank AG and Deutsche Bank Securities Inc.

title: Counterparts Agreement


document_description: A termination notice from a secured party to an intermediary, notifying the termination of an agreement and instructing the intermediary to accept future directions from the debtor regarding a securities account.


document_description: This document is a Borrower Security and Pledge Agreement between Southern Financial LLC (Debtor) and Deutsche Bank AG (Lender). It outlines the terms under which the Debtor assigns, pledges, and grants a security interest in various assets to the Lender as collateral for financial obligations. The agreement includes representations and warranties by the Debtor regarding its legal standing and authority to enter into the agreement.

document_subtype: Security and Pledge Agreement


document_description: This document outlines the covenants and agreements between a Debtor and a Lender, including the Debtor's obligations to provide financial statements, maintain collateral, and waive certain defenses and rights. The Lender is granted rights to rely on communications, sell or liquidate collateral, and exercise remedies without notice to the Debtor.


document_description: This document outlines the terms and conditions under which a lender can declare obligations immediately due and payable upon the occurrence of certain events of default by the debtor. It details the rights and remedies available to the lender, including the ability to take possession of and sell collateral, and the procedures for notifying the debtor of such actions.


document_description: This document outlines the terms of an agreement between a Debtor and a Lender. It details the responsibilities of the Debtor in the event of foreign exchange losses, the sale of collateral, and the appointment of the Lender as attorney-in-fact. The agreement also covers the validity of its provisions, the cumulative rights and remedies of the Lender, and the conditions under which the agreement can be modified or terminated.

key_people: Debtor Lender

document_subtype: agreement


document_description: This document is a legal agreement involving multiple parties as Debtors, who are jointly and severally liable. It specifies that any legal actions related to the agreement must be brought in New York. The agreement allows for execution in counterparts and includes provisions for the handling of collateral by Deutsche Bank Trust Company Americas (DB) or its affiliates. The agreement is governed by New York law and acknowledges that certain obligations may be payable on demand.


document_description: This document is an agreement executed by Southern Financial LLC, with Jeffrey Epstein as the manager. It includes debtor information and controlling parties related to Southern Trust Company.


document_description: The document lists affiliates of Deutsche Bank AG and details of a collateral account held by Southern Financial LLC. It includes account numbers and mentions listed securities.

title: Schedule A - Affiliates and Collateral Account


document_description: This document outlines the collateral maintenance requirements for securities pledged as collateral. It specifies the maximum advance rates for different types of securities and the conditions under which additional collateral must be pledged or obligations repaid. The document also details the requirements for securities to be considered acceptable as collateral, including minimum ratings and diversification requirements.


document_description: Document outlines the maximum advance rates for NYSE, AMEX, or NASDAQ equity and mutual fund shares valued at less than $10.00 per share, which will not be accepted as collateral. It also mentions that advance rates for mutual funds are subject to internal guidelines and exposure limits.


document_description: This document is a financial alert from Deutsche Bank Private Bank dated February 22, 2018. It pertains to Southern Financial Group, which has been involved in SEC violations including insider trading and securities fraud. The alert highlights past events where the group and associated entities were involved in a high-yield investment scheme defrauding investors of approximately $30 million. The document emphasizes the critical risk priority of the alert and includes historical SEC litigation releases.

key_locations: Greensboro, North Carolina, United States


document_description: Alert regarding Southern Financial LLC, highlighting SEC litigation against the organization and associated individuals for securities fraud and insider trading. The alert includes references to multiple SEC litigation releases and details of the alleged Ponzi scheme involving Elfindepan, S.A. and Southern Financial Group.

key_people:
Tracy Calvin Dunlap, Jr.
Barry Lowe

key_locations:
VIRGIN ISLANDS, U.S.
Middle District of North Carolina

key_organizations:
Southern Financial LLC
Elfindepan, S.A.
SEC


document_description: An alert from Deutsche Bank Private Bank regarding Southern Financial LLC, highlighting critical risk priority due to fraudulent activities by James W. 'Bill' Bailey, Jr. through Southern Financial Services Inc. and related entities. Bailey was charged with securities fraud, mail fraud, and filing false tax returns, operating a Ponzi scheme defrauding investors of over $13 million.

title: Deutsche Bank Private Bank Alert

key_people:
James W. 'Bill' Bailey, Jr.
U.S. Attorney Anne M. Tompkins

key_organizations:
Southern Financial LLC
Southern Financial Services Inc.
1031 Exchange Services, LLC
AVL Properties, LLC
Deutsche Bank Private Bank
DOJ US Attorneys Offices


document_description: This document is an alert report from Deutsche Bank Private Bank dated February 22, 2018. It pertains to Southern Financial Group Inc., which was accused of running a Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. The alert is marked as critical risk priority and includes information about SEC violations related to insider trading and securities fraud.

title: Deutsche Bank Private Bank Alert Report

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC
Southern Financial Group Inc.
SEC
The Post and Courier


document_description: This document provides a summary of the account ownership and expected financial activities for Southern Trust Company, Inc. The account is managed by Stewart Oldfield and is intended for managing daily expenses. It includes details on expected inflows and outflows, asset volumes, and related parties including Jeffrey E. Epstein as the ultimate beneficial owner.

title: Account Ownership Summary for Southern Trust Company, Inc.

key_people:
Jeffrey E. Epstein
Stewart Oldfield
Darren Indyke
Harry Beller
Jean Anne Brennan Wiebracht

key_organizations:
Southern Trust Company, Inc.
DB Group


document_description: Know Your Customer (KYC) form for Harry Beller, detailing personal and financial information for compliance purposes.

key_people:
Harry Beller
Paul Morris

document_subtype: KYC Form

key_organizations:
HBRK Associates, Inc
Deutsche Bank


document_description: Know Your Customer (KYC) document for Darren Indyke, detailing personal and financial information for compliance purposes.

key_locations: 575 Lexington Avenue, 4th Fl New York NY United States 10022

key_organizations:
Southern Financial LLC
Deutsche Bank


document_description: Know Your Customer (KYC) document for Erika Kellerhals, an attorney residing in the USA, detailing personal and professional information, and confirming no political exposure or non-banking relationship with Deutsche Bank.

key_locations:
USA
St. Thomas, VI


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein, detailing personal, professional, and financial information. Includes information on his business activities, source of wealth, and political connections.

key_locations:
Little St James, Saint Thomas, USVI
St. Thomas, United States


document_description: This document provides a wealth profile and legal entity details for Southern Trust Company, Inc., a private investment company incorporated in the US Virgin Islands. It includes financial estimates, corporate asset evidence, and organizational structure details. Jeffrey Epstein is the sole shareholder, and the company is involved in consulting services using financial and biomedical algorithms.

title: Wealth Profile and Legal Entity Details for Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Harry Beller
Jeanne Brennan
Darren Indyke

key_locations:
US Virgin Islands
6100 Red Hook Quarter B3 00802

key_organizations:
Southern Trust Company, Inc.
Deutsche Bank


document_description: This document contains KYC comments and approvals related to high-risk clients including Jeffrey Epstein and associated entities. It includes reasons for KYC approval, risk factors, and verification details.

key_people:
Jeffrey Epstein
Kshitij Golani
Cynthia Rodriguez
Stewart Oldfield
Andrew F Gallivan
Yoonsun Chung
Jean Anne Brennan Wiebracht

document_subtype: KYC Comments

key_organizations: J. Epstein Virgin Islands Foundation, Inc


document_description: A confidential correspondence from Paolo De Leon, Assistant Vice President and Credit Risk Officer at Deutsche Bank Trust Company Americas, related to business risk management.

key_locations: 345 Park Avenue, New York, NY 10154-0004


document_description: A request for confirmation from Southern Financial LLC by Sachiva Gupta, a Senior Analyst at DBOI Global Services Private Limited.

key_organizations:
Southern Financial LLC
DBOI Global Services Private Limited


document_description: Confidential memo from Paolo De Leon, Assistant Vice President and Credit Risk Officer at Deutsche Bank Trust Company Americas, related to business risk management.

document_subtype: memo


document_description: A confidential document from DBOI Global Services Private Limited, related to Wealth Management Operations, located in Jaipur, India.


document_description: This document outlines the terms and conditions regarding the management and control of financial assets in primary and secondary accounts. It specifies the rights and obligations of the Debtor, Secured Party, and Intermediary, including conditions for transferring assets, entitlement orders, and the effect of a Notice of Sole Control.


document_description: This document is a legal agreement concerning a Securities Account, governed by the laws of the State of New York. It includes provisions on the choice of law, submission to jurisdiction, and conflict with other agreements. The agreement specifies that any legal proceedings related to it must be conducted in New York courts, and it includes a waiver of jury trial rights. The agreement also states that its terms will prevail over any conflicting agreements and requires written amendments signed by all parties.

key_locations:
State of New York
New York City


document_description: This document outlines the terms of an agreement involving an Intermediary, a Debtor, and a Secured Party. It includes provisions on entitlement orders, representations, warranties, covenants, indemnification, and assignment of rights. The Intermediary agrees to comply with entitlement orders and not to enter into agreements limiting this obligation. The document also covers indemnification of the Intermediary and prohibits assignment of rights, except by the Secured Party to its affiliates.


document_description: This document outlines the rights, benefits, and protections of the Secured Party under the Agreement, including notice procedures and termination conditions. It involves parties such as the Debtor, Secured Party, and Intermediary, with specific addresses and contact details provided for each.

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities, Inc.


document_description: This document is a counterparts agreement involving Southern Financial, LLC and Deutsche Bank AG, allowing the agreement to be executed in multiple counterparts. Key signatories include Jeffrey Epstein as Manager of Southern Financial, LLC, and representatives from Deutsche Bank Securities Inc.

title: Counterparts Agreement

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities Inc.


document_description: An entitlement order issued by a secured party to an intermediary regarding the redemption and transfer of financial assets from a securities account.

document_subtype: entitlement order


document_description: A termination notice from a secured party to an intermediary, notifying the termination of an agreement and instructing the intermediary to accept future directions from the debtor regarding a securities account.

document_subtype: termination notice


document_description: This document is a Borrower Security and Pledge Agreement between Southern Financial LLC (Debtor) and Deutsche Bank AG (Lender). It outlines the terms under which the Debtor assigns, pledges, and grants a security interest in various assets to the Lender as collateral for present and future liabilities and obligations. The agreement includes representations and warranties by the Debtor regarding its legal standing and authority to enter into the agreement.

document_subtype: Pledge Agreement

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: This document outlines the obligations and representations of a Debtor in an agreement with a Lender. It includes clauses on the Debtor's compliance with laws, financial condition, ownership of collateral, and restrictions on liens. The Debtor agrees to maintain the collateral and notify the Lender of any defaults. The Lender is authorized to file financing statements and manage the collateral as needed.


document_description: This document outlines the terms and conditions between a lender and a debtor, including the lender's rights and the debtor's obligations. It covers communication protocols, financial statement requirements, collateral maintenance, and waivers of defenses by the debtor. The document also specifies the lender's rights to sell or deal with collateral and the debtor's waiver of certain legal defenses.


document_description: This document outlines the remedies available to the Lender in the event of a default by the Debtor or any guarantor. It specifies the conditions under which the Lender can declare obligations due, terminate credit facilities, and take possession of collateral. It also details the rights of the Lender to sell or dispose of collateral and the procedures for doing so, including notice requirements and compliance with applicable laws.


document_description: This document outlines the terms of an agreement between a Debtor and a Lender. It details the responsibilities and rights of both parties, including the handling of collateral, appointment of an attorney-in-fact, and conditions for modification or termination of the agreement. The agreement also includes provisions for handling foreign exchange losses, volume limitations on collateral sales, and the irrevocable power of attorney granted to the Lender.


document_description: This document is a legal agreement involving multiple parties as debtors, with obligations governed by the laws of the State of New York. It outlines the joint and several liability of the debtors, the handling of collateral by Deutsche Bank Trust Company Americas, and the conditions under which obligations may be payable on demand. The agreement specifies that it can be signed in counterparts and delivered via telecopy.

key_locations:
State of New York
County of New York

document_subtype: contract/agreement


document_description: This document is an agreement executed by Southern Financial LLC, with Jeffrey Epstein as the attention contact. It outlines the debtor information, including address and controlling parties.

key_organizations:
Southern Financial LLC
Southern Trust Company, Inc


document_description: This document is a correspondence from Deutsche Bank AG, specifically from the Wealth Management division, located at 345 Park Avenue, New York. It involves Sebastian Marcilese and Eduardo Waite, both Vice Presidents, and mentions Deutsche Bank Securities, Inc. The document is marked as confidential and is related to legal proceedings as indicated by the reference to FED. R. CRIM. P. 6(e).

title: Deutsche Bank AG Correspondence

key_people:
Sebastian Marcilese
Eduardo Waite

document_subtype: letter

key_organizations:
Deutsche Bank AG
Deutsche Bank Securities, Inc.


document_description: The document lists affiliates of Deutsche Bank AG and details related to collateral accounts and listed securities. It includes account numbers and names of collateral holders, as well as information about listed securities such as issuer, type of security, and certificate number.

title: Schedule A and B

document_subtype: financial schedule

key_organizations:
Deutsche Bank AG
Deutsche Bank Trust Company Americas
DB Structured Products, Inc.
DB Private Clients Corp.
Deutsche Bank AG, London Branch
Deutsche Bank Securities, Inc.
Southern Financial LLC


document_description: This document outlines the collateral maintenance requirements for securities pledged as collateral. It specifies the maximum advance rates for different types of securities and the conditions under which additional collateral must be pledged or obligations repaid. The document also details the requirements for securities to be considered acceptable as collateral, including minimum ratings and diversification requirements.

document_subtype: Collateral Maintenance Requirements

key_organizations:
Moody's Investor Services
Standard & Poors Corporation


document_description: Guidelines for advance rates on NYSE, AMEX, NASDAQ equity and Mutual Fund shares. Shares valued under $10.00 per share have a 0% advance rate and are not accepted as collateral. Advance rates for Mutual Funds are subject to internal guidelines and exposure limits.

document_subtype: financial guidelines

key_organizations: NYSE AMEX NASDAQ


document_description: This document is a financial alert from Deutsche Bank Private Bank regarding Southern Financial Group, flagged for SEC violations including insider trading and securities fraud. The alert highlights past SEC actions against the group and its affiliates for fraudulent investment schemes.

document_subtype: Alert

key_organizations:
Deutsche Bank Private Bank
Southern Financial Group
Elfindepan S.A.
Strategic Asset Funds S.A.
SEC


document_description: An alert regarding Southern Financial LLC, highlighting a critical risk priority due to SEC violations involving insider trading and securities fraud. The alert references a fraud case filed by the SEC against Elfindepan, S.A., Southern Financial Group, Tracy Calvin Dunlap, Jr., and Barry Lowe for defrauding investors in a Ponzi scheme. The document includes various SEC litigation releases and URLs for further information.

key_organizations:
Southern Financial LLC
Elfindepan, S.A.
SEC


document_description: An alert regarding Southern Financial Group Inc. accused of running a Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. The alert is marked as critical risk priority.

title: Deutsche Bank Private Bank Alert

key_locations:
VIRGIN ISLANDS, U.S.
Summerville
Charleston, SC

key_organizations:
Southern Financial LLC
Southern Financial Group Inc.
Deutsche Bank Private Bank


document_description: This document outlines the account ownership details for Southern Financial, LLC, including the purpose of the account, expected asset inflows and outflows, and related parties. Jeffrey E. Epstein is identified as a significant party related to the account.

title: Account Ownership Summary for Southern Financial, LLC

key_people:
Jeffrey E. Epstein
Darren Indyke
Harry Beller
Jean Anne Brennan Wiebracht

document_subtype: KYC Document

key_organizations:
Southern Financial, LLC
Southern Trust Company, Inc.


document_description: This document appears to be a Know Your Customer (KYC) printout, likely used for financial compliance purposes. It includes placeholders for institution names, countries, and estimated assets under management, as well as sections for indicating the family situation of individuals.

title: KYC Print


document_description: A KYC form page listing institutions, countries, and estimated assets under management, along with a section for indicating family situations of individuals.

document_subtype: KYC (Know Your Customer) form


document_description: A KYC document page listing financial institutions, countries, and estimated assets under management, along with a section for indicating family situations of individuals.


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein detailing personal, professional, and financial information. Includes details on Epstein's business activities, wealth sources, and connections to politically exposed persons.

title: KYC Document for Jeffrey E. Epstein

key_organizations:
Southern Financial LLC
Bear Stearns
J. Epstein & Co.
Deutsche Bank


document_description: This document contains KYC comments and approvals related to high-risk clients including Jeffrey Epstein and associated entities. It includes reasons for KYC approval, risk factors, and verification details. Onshore and LATAM/International approvals are documented with signatures and dates.

document_subtype: KYC Comments and Approvals


document_description: Request for documents needed to onboard three KCP clients into a daily derivative report.

key_organizations:
The Lamia Ventures Corp Fund
PW Focus LLC
Southern Financial LLC


document_description: Contact information for Sachiva Gupta, Senior Analyst at DBOI Global Services Private Limited, including address, phone, and fax details.


document_description: The table contains financial account information for various entities, including James Lindsey, At Last Sportswear, Inc., Brener International, and Brigitte Schoby. It includes account values, types, and comments on whether accounts should be discontinued from reports due to zero or positive values.

key_people:
James Lindsey
Brigitte Schoby

key_organizations:
At Last Sportswear, Inc.
Brener International


document_description: The document is a table showing financial data with zero values across multiple entries. Each entry requests confirmation if the zero value data can be discontinued from the report.


document_description: The table lists several entities with zero value entries, indicating that these have been reflecting zero value for a long time. The document seeks confirmation on whether these entries can be discontinued from the report.

key_people:
Paul E Puleo
PAUL G. ALLEN
Peter C. Pistor

key_organizations:
Monteco International
Peter Mullin Family Trust


document_description: The table contains financial data with zero values for various entries, all associated with the entity 'DBAB'. The entries have been reflecting zero value for a long time, and there is a request for confirmation if these can be discontinued from the report.


document_description: The table contains financial data with zero values for various entities such as MID, DBAB, and GLOBAL PLUS. The entries reflect zero value for a long time, and there is a request for confirmation if these can be discontinued from the report.


document_description: The table lists entities with zero value for a long time, requesting confirmation if they can be discontinued from the report.

key_locations: Velankani Tech park, No 43, Electronic City, Hosur Road, Bangalore 560100, India


document_description: Internal communication regarding the setup of a new DDR account and onboarding a client to LS2. The Customerbuild team requires specific information to onboard the client, after which a collateral account will be created. The email includes a request for assistance from the Collateral Team.

key_people:
Keith Buckholz
Srikanta Gouda
Surendra Singh

document_subtype: email correspondence

key_organizations:
D8O1 Global Services Private Limited
Customerbuild team
Collateral Team
FX Middle Office
CRM-PWM Derivatives


document_description: Paolo De-Leon is coordinating a call to discuss support for requests related to a new derivatives account. Teresa Metallo is added to the email thread to assist with retrieving necessary information for building a dummy bond and adding collateral to a daily derivative report.

key_people:
Paolo De-Leon
Teresa Metallo
Surendra Sin
Abhijit Mukherjee
Debra Jasper
Halina Laczny
Keith Buckhol
Srikanta Gouda
Gideon Pinedo


document_description: A request for confirmation from Sachiva Gupta, a Senior Analyst at 0801Global Services Private Limited, regarding a task related to Southern Financial LLC.

key_organizations:
Southern Financial LLC
0801Global Services Private Limited


document_description: Internal communication regarding the setup of a new derivatives account for a client named Southern Financial LLC. The email discusses the need to build the customer profile in L52 and requests the addition of the client to the DDR. It also mentions attached SACA and Pledge agreements and provides escalation contacts.

key_people:
Abhijit Mukherjee
Sachiva Gupta
Srikanta Gouda
Surendra Singh
Nitin-X Singh
Mohammed-B Hussain
Melvin V

document_subtype: internal memo

key_organizations:
DBOI Global Services Private Limited
Southern Financial LLC


document_description: Contact information for Sachiva Gupta, Senior Analyst at Securities Operations - WM US, DBOI Global Services Private Limited.


document_description: This document is an alert report from Deutsche Bank Private Bank dated February 22, 2018, regarding Southern Financial LLC, a company based in the Virgin Islands, U.S. The report highlights critical risk priority due to SEC violations involving insider trading and securities fraud. Southern Financial Group, also known as SFG, was involved in a high-yield investment scheme defrauding investors of approximately $30 million. The report includes historical SEC actions against the company and its affiliates, including contempt of court for failure to comply with court orders.

title: Deutsche Bank Private Bank Alert Report

key_people:
Tracy Dunlap
Tracy Calvin Dunlap, Jr.

document_subtype: Alert Report

key_organizations:
Southern Financial LLC
Southern Financial Group
Elfindepan, S.A.
Strategic Asset Funds, S.A.
SEC
Deutsche Bank Private Bank


document_description: This document is an alert report from Deutsche Bank Private Bank dated February 22, 2018, regarding Southern Financial LLC. The alert highlights critical risk associated with Southern Financial Services, including fraud and SEC violations linked to a Ponzi scheme operated by James W. 'Bill' Bailey, Jr. The scheme defrauded investors of over $13 million from January 2000 to December 2010. The report includes details of Bailey's initial court appearance on related charges.

title: Deutsche Bank Private Bank Alert Report

key_people:
James W. 'Bill' Bailey, Jr.
Anne M. Tompkins

key_locations: Asheville, North Carolina, UNITED STATES

key_organizations:
Deutsche Bank Private Bank
Southern Financial LLC
Southern Financial Services Inc.
1031 Exchange Services, LLC
AVL Properties, LLC
DOJ US Attorneys Offices


document_description: An alert regarding Southern Financial LLC, operated by James W. 'Bill' Bailey, Jr., for fraudulent activities including a Ponzi scheme defrauding investors of over $13 million. The alert highlights SEC violations and tax-related offenses.

title: Deutsche Bank Private Bank Alert

document_subtype: alert

key_organizations:
Southern Financial LLC
Southern Financial Services Inc.
1031 Exchange Services LLC
AVL Properties LLC
DOJ US Attorneys Offices


document_description: Alert regarding Southern Financial Group Inc. accused of running a Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. The alert is marked as critical risk priority.


document_description: A Know Your Customer (KYC) document with empty fields for institution, country, and estimated assets under management. It also requests information on the family situation of the individual.


document_description: A KYC form page listing financial institutions, countries, and estimated assets under management, along with a section for indicating family situations of individuals.


document_description: A KYC form page listing institutions, countries, and estimated assets under management, along with a section for indicating family situations of individuals.


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein, detailing personal, professional, and financial information. Includes information on Epstein's occupation, wealth sources, and connections to politically exposed persons.

key_people:
Jeffrey E. Epstein
Bill Clinton
Prince Andrew
Alan C. Greenberg


document_description: 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. The document provides a wealth profile including estimated gross receipts, net profit, and investable assets.

document_subtype: Wealth Profile


document_description: KYC comments and approvals related to Jeffrey Epstein and associated entities. The document includes comments from Kshitij Golani and Cynthia Rodriguez regarding the KYC process for Southern Financet, LLC, Southern Trust Company, Inc, Jeffrey Epstein, and J. Epstein Virgin Islands Foundation, Inc. It outlines the reasons for KYC approval, including the provision and review of required documents, understanding of account structures, and due diligence searches. The document also lists onshore and LATAM/international approvals with signatures from Stewart Oldfield, Andrew F Gallivan, Kshitij Golani, and Yoonsun Chung.

key_people:
Kshitij Golani
Cynthia Rodriguez
Jeffrey Epstein
Bill Clinton
Prince Andrew
Jean Anne Brennan Wiebracht
Stewart Oldfield
Andrew F Gallivan
Yoonsun Chung

document_subtype: KYC Comments


document_description: A signature block from Paolo De Leon, Assistant Vice President and Credit Risk Officer at Deutsche Bank Trust Company Americas, including contact information and confidentiality notice.


document_description: A table listing details of Southern Financial LLC and email correspondence regarding a new derivatives account.

key_people:
Teresa Metallo
Paolo De-Leon
Diana Canter
Keith Buckholz

document_subtype: table


document_description: The document contains contact information for Sachiva Gupta, a Senior Analyst in Securities Operations at WM US COO Wealth Management Operations, located in Jaipur, India. It includes a confidentiality notice and references to federal rules and document identifiers.

key_organizations:
WM US COO Wealth Management Operations
0801Global Services Private Limited


document_description: An email from Sachlva Gupta, Senior Analyst at DBOI Global Services, requesting confirmation of a task completion. The email includes confidentiality and privacy notices.

key_organizations:
DBOI Global Services Private Limited
SOUTHERN FINANCIAL LLC


document_description: The document contains contact information for a location in Jaipur, India, associated with Deutsche Bank. It includes a fax number and references confidential communication protocols.


document_description: This document is a Securities Account Control Agreement dated October 28, 2013, between Deutsche Bank Securities Inc. (Intermediary) and Southern Financial LLC (Debtor). It outlines the establishment and maintenance of a securities account, including primary and secondary accounts, and the roles and responsibilities of the parties involved. The agreement specifies the use of the primary account for trading and margin activities and the secondary account for holding financial assets as collateral. It also details the lien rights of the Intermediary and Secured Party on the accounts.

title: Securities Account Control Agreement

key_people:
Deutsche Bank Securities Inc.
Southern Financial LLC

document_subtype: Securities Account Control Agreement


document_description: This document outlines the terms and conditions regarding the management and control of financial assets in primary and secondary accounts. It specifies the rights and obligations of the Debtor, Secured Party, and Intermediary, including conditions for transferring assets, entitlement orders, and instructions prior to a Notice of Sole Control.

key_people:
Debtor
Secured Party
Intermediary

document_subtype: contract


document_description: This document outlines the terms of a Securities Account agreement, including rights of set-off, choice of law, submission to jurisdiction, and conflict resolution with other agreements. It specifies that the agreement is governed by New York law and includes a jury waiver clause. The document also addresses conflicts with other agreements and conditions for amendments.

document_subtype: Agreement


document_description: This document outlines a security agreement between Southern Financial, LLC (Debtor) and Deutsche Bank AG (Secured Party), with Deutsche Bank Securities, Inc. as the Intermediary. It details the rights, benefits, and protections of the Secured Party, including notice requirements and termination conditions. The agreement specifies the addresses and contact details for notices and outlines the process for termination of the agreement and the account.

title: Security Agreement between Southern Financial, LLC and Deutsche Bank AG

key_people:
Jeffrey Epstein
Gedeon Pinedo
Nicholas Haigh

key_locations:
St. Thomas, US Virgin Islands
New York, NY

document_subtype: Security Agreement

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities, Inc.


document_description: The document outlines the rights of the Secured Party to transfer financial assets to another institution by sending an Entitlement Order to the Intermediary within 30 days of receiving notice. If no order is received, the Intermediary may honor an order from the Debtor or deposit the assets with a court or establish a successor account.


document_description: This document is a counterparts agreement involving Southern Financial, LLC and Deutsche Bank AG, among others. It outlines that the agreement may be executed in multiple counterparts, which together constitute one instrument. Key signatories include Jeffrey Epstein as Manager of Southern Financial, LLC, and representatives from Deutsche Bank AG and Deutsche Bank Securities Inc.

title: Counterparts Agreement

key_people:
Jeffrey Epstein
Cynthia Cutano
Paul E. Salvas
Thomas Hoddinott

key_organizations:
Southern Financial, LLC
Deutsche Bank AG
Deutsche Bank Securities Inc.


document_description: An entitlement order issued by a secured party to an intermediary regarding the redemption and transfer of financial assets from a securities account.

document_subtype: entitlement order


document_description: A notice of sole control over securities entitlements related to a specific securities account, instructing the intermediary not to accept directions from anyone other than the secured party.

document_subtype: Notice of Sole Control


document_description: A termination notice from a secured party to an intermediary, notifying the termination of an agreement and instructing future directions to be accepted from the debtor.

title: Termination of Agreement

key_people:
Secured Party
Debtor

document_subtype: termination notice


document_description: This document is a Borrower Security and Pledge Agreement between Southern Financial LLC (Debtor) and Deutsche Bank AG (Lender). It outlines the terms under which the Debtor assigns, pledges, and grants a security interest in various assets to the Lender as collateral for financial obligations. The agreement includes representations and warranties by the Debtor regarding its legal standing and authority to enter into the agreement.

document_subtype: Security and Pledge Agreement

key_organizations:
Southern Financial LLC
Deutsche Bank AG


document_description: This document outlines the obligations and representations of the Debtor in a legal agreement with the Lender. It includes clauses on the Debtor's compliance with laws, financial condition, ownership of collateral, and covenants to maintain the collateral and notify the Lender of any defaults. The Lender's rights regarding the collateral are also detailed.


document_description: This document is a legal agreement involving multiple parties as Debtors, who are jointly and severally liable. It specifies that any legal actions related to the agreement must be brought in New York. The agreement allows for multiple counterparts and telecopy delivery of signatures. Deutsche Bank Trust Company Americas (DB) is appointed to hold collateral as a securities intermediary for an affiliate. The agreement is governed by New York law and allows for certain obligations to be payable on demand.


document_description: This document is an agreement executed by Southern Financial LLC, with Jeffrey Epstein as the attention contact. It includes debtor information, address for notices, and controlling parties.

key_organizations:
Southern Financial LLC
Southern Trust Company, Inc.


document_description: The document lists affiliates of Deutsche Bank AG and details about a collateral account held by Southern Financial LLC. It also includes a section on listed securities with confidential information.

title: Schedule A and B

document_subtype: Schedule

key_organizations:
Deutsche Bank AG
Deutsche Bank Trust Company Americas
DB Structured Products, Inc.
DB Private Clients Corp.
Deutsche Bank AG, London Branch
Deutsche Bank Securities, Inc.
Southern Financial LLC


document_description: This document outlines the collateral maintenance requirements for securities pledged as collateral. It specifies the maximum advance rates for different types of securities and the conditions under which additional collateral must be pledged or obligations repaid. The document also details the requirements for the quality and value of collateral, the discretion of the lender, and the impact of currency denomination on advance rates.

document_subtype: Collateral Maintenance Requirements


document_description: Document outlines the maximum advance rate for NYSE, AMEX, or NASDAQ equity and mutual fund shares valued at less than $10.00 per share, which is set at 0% and not accepted as collateral. It also mentions that advance rates for mutual funds are subject to internal guidelines and exposure limits.

key_organizations: NYSE AMEX NASDAQ


document_description: This document is an alert report from Deutsche Bank Private Bank regarding Southern Financial LLC, highlighting SEC violations and regulatory actions against Southern Financial Group and related entities for insider trading and securities fraud. The report includes historical events and judgments against the entities involved in a high-yield investment scheme.

title: Deutsche Bank Private Bank Alert Report

document_subtype: alert report

key_organizations: USDC for the Middle District of North Carolina


document_description: An alert regarding Southern Financial LLC, flagged as a critical risk due to involvement in securities fraud and insider trading. The alert references SEC litigation against Southern Financial Group and associated individuals for defrauding investors in a Ponzi scheme.

key_people:
Tracy Calvin Dunlap Jr.
Barry Lowe

document_subtype: Alert

key_organizations:
Southern Financial LLC
Elfindepan S.A.
SEC


document_description: This document is a financial alert from Deutsche Bank Private Bank dated February 22, 2018, regarding Southern Financial LLC. The alert highlights critical risk associated with Southern Financial Services, including fraud, scams, and tax-related offenses linked to James W. 'Bill' Bailey, Jr. The document references multiple federal criminal counts against Bailey, including securities fraud, mail fraud, and filing false tax returns, related to a Ponzi scheme defrauding investors of over $13 million.

title: Deutsche Bank Private Bank Alert

document_subtype: Bank Alert


document_description: The document contains results from OFAC, FIRCOSOFT, BIS, and legal checks related to Southern Financial LLC in the Virgin Islands. No alerts or required actions were noted in various categories including negative media, public records, and court cases.

document_subtype: OFAC and Legal Results


document_description: Know Your Customer (KYC) document for Southern Financial, LLC Deposit account, detailing account ownership, purpose, expected asset flows, and related parties.

key_people:
Jeffrey E. Epstein
Darren Indyke
Harry Beller
Jean Anne Brennan Wiebracht

document_subtype: KYC Document

key_organizations:
Southern Financial, LLC
Southern Trust Company, Inc.


document_description: This document provides a summary of the account ownership and expected financial activities for Southern Trust Company, Inc. The account is managed by Stewart Oldfield and is intended to manage the daily expenses of the company. It includes details on expected inflows and outflows, asset volumes, and related parties.

key_people:
Jeffrey E. Epstein
Stewart Oldfield
Darren Indyke
Harry Beller
Jean Anne Brennan Wiebracht

key_organizations:
Southern Trust Company, Inc.
DB Group