document_description: Update on NCAs completed in May and ongoing progress. Three NCAs/extensions were completed in May, with details provided for each. Additional NCAs are in progress, with specific client and product details listed.

key_people:
Joshua Shoshan
Alastair Mackinlay
Ian Salters

key_locations:
DBNY
DBCI
DBSI
DBAG Lon

key_organizations:
Anschutz Investments Co
03 Capital Global Fund
03 Gestao de Recursos Ltda
Southern Financial LLC


source: doj

document_description: A memo from Nina Tona, Associate Business Control Manager at Deutsche Bank Wealth Management, discussing the intended audience and conditions for KCP products and services. It emphasizes that these are for sophisticated institutional investors and outlines the confidentiality and non-advisory nature of the information.

document_type: correspondence

document_subtype: memo


document_description: The table contains information about various entities associated with KCP LATAM and KCP US, including names of partner organizations, dates, and some additional notes. It appears to be a record of transactions or partnerships.

key_people:
Billy
Rodrigo G
Geoffrey H Palmer
Xavi A
Davide S
Martin Z
Nina T
Zack Bunimovich

document_type: tabular

key_organizations:
KCP LATAM
Proaltus Capital Partners SL
Puerto Asis Corporation
Signature Capital
Tonelle Limited
Transacciones e Inversiones Arizona SA
Fratelli Investments Limited, BM
Colina Insurance Limited
KCP US
Amzak Capital Management LLC
Canyon Green Solemint LLC, US
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow
George Kaiser Family Foundation
Guardian Investment Company Ltd,BS
JMB Capital Partners LP
Somerston Investments Ltd,GB
Southern Financial LLC


document_description: A memo discussing various trade and account management topics, including ISDA agreements, revenue discussions, and client retention strategies. It also mentions different tabs containing client and product information.

key_people:
Nina Tona
Davide
Ali

key_organizations:
Deutsche Bank Wealth Management
Key Client Partners
DBSI


document_description: A table listing various entities associated with KCP LATAM and KCP US, along with dates and some additional notes. The table includes entities such as Proaltus Capital Partners SL, Puerto Asis Corporation, and others, with dates ranging from 2013 to 2017. Some entries have additional notes or names associated with them.

key_people:
Billy
Rodrigo G
Xavi A
Davide S
Martin Z
Nina T
Zack Bunimovich

key_organizations:
KCP LATAM
KCP US
Proaltus Capital Partners SL
Puerto Asis Corporation
Signature Capital
Tonelle Limited
Transacciones e Inversiones Arizona SA
Fratelli Investments Limited, BM
Colina Insurance Limited
Amzak Capital Management LLC
Canyon Green Solemint LLC
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow
George Kaiser Family Foundation
Guardian Investment Company Ltd,BS
JMB Capital Partners LP
Somerston Investments Ltd,GB
Southern Financial LLC


document_description: A memo from Nina Tona, Associate Business Control Manager at Deutsche Bank Wealth Management, outlining updates to client management files and processes. It includes instructions for adding specific information to various tabs in a client management file and details about the products and services offered by Deutsche Bank Wealth Management.


document_description: Confidential communication for personal information and discussion purposes, not legally binding. Reproduction or distribution without written consent is forbidden.


document_description: This document is a Salesforce customer record for Darren K. Indyke PLLC, detailing various aspects of the customer relationship, including contact information, financial profile, and risk assessment.

key_people:
Darren K. Indyke
Stewart Oldfield
Kusam Saini

key_locations:
575 Lexington Avenue, New York 10022
Switzerland

document_subtype: Salesforce Customer Record

key_organizations:
Indyke PLLC
Rome Investment Limited
Blue Copper Enterprises Limited
Lydeparovalo Corp


document_description: This document provides a financial summary for Darren K. Indyke PLLC, including account details and investment guidelines. It lists JPMorgan as an institution with an estimated AUM of $500,000. The document also includes details about the nature of the business, which is a law practice, and provides information on various accounts associated with Darren K. Indyke PLLC, including market values and dates opened.

title: Darren K. Indyke PLLC Financial Summary

document_subtype: financial summary

key_organizations:
Darren K. Indyke PLLC
JPMorgan


document_description: The document is a Salesforce report for Darren K. Indyke PLLC, detailing various financial transactions, notes, attachments, and client updates. It includes wire disbursements, attachment records, and client meeting logs.

key_people:
Darren K. Indyke
Navin-Kumar Pankaj
Amanda Kirby
Dhruv Yadav
Paul Morris


document_description: A Salesforce report page for Darren K. Indyke PLLC, indicating no records to display for Covenant Masters and Loan Facilities. The document is marked confidential pursuant to federal rules.

document_type: other


document_description: A 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_description: This document is an alert from Deutsche Bank Private Bank regarding Southern Financial LLC, flagged as a critical risk entity. The alert includes information about past SEC violations involving insider trading and securities fraud by Southern Financial Group and related entities. The document emphasizes the confidentiality of the information and its restricted use for alert purposes only.

title: Deutsche Bank Private Bank Alert

key_people:
Tracy Dunlap
Tracy Calvin Dunlap Jr.

document_type: financial

key_locations: Greensboro, North Carolina, United States

document_subtype: Alert

key_organizations: USDC for the Middle District of North Carolina


document_description: An alert regarding Southern Financial LLC, added to monitoring on 02/22/2018, with a critical risk priority. The entity, Southern Financial Group Inc., was accused of running a Ponzi scheme by soliciting cash from new investors to pay off redemptions to earlier investors. The alert references SEC violations and insider trading accusations from 12/15/2008.

title: Deutsche Bank Private Bank Alert

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

document_subtype: alert

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


document_description: The correspondence outlines actions and notes for handling GM and non-GM clients in relation to CIB ICG sales. It specifies actions for red and amber GM clients, including updating KYC records and checking client lists. It also lists items for noting, such as offboarding agreements and remediation status. The document requests progress on actions by mid-August and provides contact points for immediate concerns.

title: List of WM clients dependent on CIB ICG sales

key_people:
Tanu Kirti
Mattias Fuerstenberger
Julia Rubio-Luque
Emily Schultze-Enden
Craig
Anna-Sofiya Lupolover
Christopher Lai
Danny Heng
Sonya Hunjan

key_locations: US EMEA APAC

key_organizations:
WM Mercury
CIB
ICG


document_description: Tanu Kirti from Deutsche Wealth Management is seeking input from regional leads on WM clients that have trades instructed via ICG, to address issues with trade blocking by ICG's system. A list from KCP US and KCP EMEA is already available, and additional clients not subject to data secrecy are being requested.

key_organizations:
Deutsche Wealth Management
Institutional Client Group (ICG)
KCP US
KCP EMEA


document_description: The table contains information related to various entities, including insurance, investments, and foundations, with details such as country codes, names, and approval requirements. It mentions KYC (Know Your Customer) processes and approvals needed from ACO (presumably a compliance or approval committee).

key_people:
David
Xavier
George Kaiser
Paul Gardner

key_locations: US GB

key_organizations:
COLINA INSURANCE
LIMITED EQUITY INVESTMENTS
GEORGE KAISER FAMILY FOUNDATION
GRUPO TELEVISA
ALLEN PRIVATE CLIENT SERVICES


document_description: The document contains a table listing various clients or accounts with their respective teams, dbcar IDs, and ACOs. It also includes a repetitive note about entities not listed on a combined tab, indicating a need for further checks or actions.

key_people:
Xavier Avila
Daniel Kaiser

key_organizations:
KCP US AB
KCP LATAM
KCP US


document_description: Katherine Stead discusses a fundamental change in the SLA regarding product ownership by KCP. She cc's Iain, who runs Mercury for Markets, and Cliff, the BM for the WIS desk, for their input on the ACO situation and existing status quo.

key_people:
Katherine Stead
Iain
Cliff

document_subtype: email-like note

key_organizations:
KCP
Mercury for Markets
WIS desk
ICG


document_description: The document contains a table with information related to Grupo Televisa, Xavier Avila, and various client accounts managed by KCP. It includes details about KYC (Know Your Customer) requirements and ACO (Account Control Officer) approvals. The document also lists new clients that need to be checked for risk levels in CIB (Corporate and Investment Banking).

key_people:
Xavier Avila
Paul Gardner
Andrew Mathias
Chris Cline

key_locations: US LATAM

key_organizations:
Grupo Televisa
KCP
Armory Fund LDC
Cascade Investment LLC
ENDURANCE VOYAGES, LLC
Gapstow
Himalaya Partners


document_description: A table listing various entities associated with KCP US and KCP LATAM, including their asset management companies, unique identifiers, and key individuals involved. The table also notes whether these entities are listed on a combined tab or are new.

key_people:
Daniel Kaiser
Xavier Avila

key_locations:
KCP US
KCP LATAM

key_organizations:
Karlin Asset Management
Kifenor SA
Medley Partners
Pacifica Companies LLC
Puerto Asis Corporation
SC DELANCEY LLC
SIMON CHARITABLE PUBLIC LLC
The Anschutz Foundation
The Lamia Ventures Corp
TOMS Capital LLC
TRB Fund I LP
Inversiones Alabama Limitada
Fifth Street Station LLC
Anschutz Investment Company
Dakota Pacific Global Macro Fund LLC


document_description: Vicky Bruce discusses the need to change the status from red to green in GM systems by sending necessary information to Aziz Anwar. Tanushree Kirti provides background on the Family Office Initiative and mentions the involvement of lain Macara and team for exceptional approval.

key_people:
Vicky Bruce
Paul Maley
Aziz Anwar
Max
Tanushree Kirti
Nina Tona
Xavier Avila
Iain Macara
Clifford Fourie

key_locations:
London
United Kingdom

key_organizations:
KCP
CFP Wealth Management
GM
CIB
WM Mercury Implementation Programme


document_description: Discussion on the approach for WM clients needing GM product coverage, involving Wealth and ICG teams. The email outlines the agreed approach and mentions the need for approval from Stefan/Louise for ICG to take orders from Wealth people.

key_people:
Iain Macara
Katherine Stead
Aamir Akram
Max Kleinert
Clifford Fourie
Oliver Bettin
Tanushree Kirti
Christopher Whyton
Stefan
Louise

document_subtype: email

key_organizations:
WM Mercury
ICG
CIB
DB


document_description: Max Kleinert provides input on KCP EMEA, highlighting cases and actions needed, and requests format for confirmation from Raphael.

title: RE: List of WM clients dependent on CIB ICG sales [I] [SC]

key_people:
Max Kleinert
Tanushree Kirti
Sean Carney
Saleha Bilal
Sonya Hunjan
Victoria Bruce
Raphael

document_type: email

key_organizations:
KCP EMEA
Dunross


document_description: The document contains confidential information related to various financial entities and individuals, possibly in the context of a legal or financial investigation. It includes references to Semper Constantia Privatbank, Dunross & Co Aktiebolag, and MC Management GmbH, along with names such as Raphael Drescher and Alessandro Cummunale. The document is marked as confidential under Federal Rule of Criminal Procedure 6(e).

key_people:
Raphael Drescher
Alessandro Cummunale

key_organizations: Semper Constantia Privatbank Aktiengesellschaft


document_description: A table listing various organizations and individuals, along with associated codes and colors. The table includes entities like STIHL INTERNATIONAL, IRIS CERAMICA GROUP, PORTLAND WORLDWIDE INVESTMENTS, and INTER FUND MANAGEMENT, with individuals such as Alessandro Cummunale and Raphael Drescher.

key_people:
Alessandro Cummunale
Raphael Drescher

document_subtype: table

key_organizations: STIHL INTERNATIONAL GESELLSCHAFT MIT BESCHRAENKTER HAFTUNG


document_description: A table listing various companies, their identifiers, associated individuals, and status indicators.

key_people:
Vincenzo Maini
Raphael Drescher

key_organizations: EKISTICS MEZZANINE INVESTORS FINANCE COMPANY 1 SARL


document_description: A confidential document related to BREDERODE INTERNATIONAL SARL, mentioning Raphael Drescher and marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: confidential document


document_description: The document is a memo from Tanu Kirti regarding the handling of WM clients requiring ICG coverage to avoid trade blocks due to disconnects between CIB's central offboarding tracker and Tradefinder data. It outlines actions and statuses for WM owners, particularly for Red/Amber cases, and requests progress on these actions by mid-August.

key_people:
Tanu Kirti
Iain Macara
Saleha
Sonya
Reema

key_organizations:
WM
ICG
CIB
GM
KCP US
EMEA
APAC
AFC


document_description: The email discusses the confusion caused by a spreadsheet provided by US KCP for CIB, specifically regarding Red and Amber clients. It requests clarification on actions for Aziz's team and confirmation on the offboarding status of certain clients. It also outlines steps for turning Red and Amber clients green with necessary approvals and confirmations.

title: Family Office Initiative - Follow Up

key_people: Davide Nina Aziz

key_organizations:
US KCP
CIB


document_description: The document contains a table with information related to various entities, including their identification numbers, countries, and approval statuses. It also includes notes on KYC (Know Your Customer) confirmation requirements.

key_people: David Xavier Avila

key_organizations: PRIVATE CLIENT SERVICES (PWM ALEX BROWN)


document_description: The document contains a table listing various clients or accounts with their respective team, dbcar ID, ACO, and US status. It includes instructions for new clients or those not on the list to be checked if they are Red or Amber in CIB. The document also contains a separate table indicating US-only locations with a status of 'NOT LISTED ON COMBINED' or 'NEW'.


document_description: Tanu Kirti discusses the list of clients shared with Iain Macara and team for exceptional approval to ensure 'Green' status in downstream trading systems. Mentions chasing KCP US for action and Nina Tona's involvement in providing approval from KCP US cases.

key_people:
Tanu Kirti
Iain Macara
Nina Tona
Xavier Avila
Clifford Fourie
Christopher Whyton
Katherine Stead
Oliver Bettin
Max Kleinert
Victoria Bruce

document_subtype: email correspondence

key_organizations:
KCP US
GM
CIB
WM ACO


document_description: Discussion about clients in ICG and WM, focusing on coverage and client status. WM is reviewing red and amber clients to ensure they are turned green before acceptance by Iain's team. Victoria Bruce is the new KCP COO in WM to address long-term solutions.

title: Family Office Initiative - Follow Up

key_people:
Tanushree Kirti
Clifford Fourie
Oliver Bettin
Christopher Whyton
Katherine Stead
Max Kleinert
Iain Macara
Victoria Bruce

document_subtype: internal memo

key_organizations: ICG WM CIB KCP


document_description: Discussion on Wealth Management (WM) clients needing Global Markets (GM) product coverage, with Wealth defining a client perimeter and assigning Account Coverage Officers (ACOs). The document addresses the relationship between Wealth and Institutional Clients Group (ICG) regarding client coverage, and the need for a new Service Level Agreement (SLA) under new management.

title: Family Office Initiative - Follow Up [II]

key_people:
Katherine Stead
Aamir Akram
Clifford Fourie
Max Kleinert
Oliver Bettin
Iain Macara
Tanushree
Stefan
Louise
Katherine
Yanni Pipilis
Stefan Hoops
Todd

key_organizations:
Wealth Management
Global Markets
Institutional Clients Group
KCP
Mercury programme
WIS desk


document_description: A confidential correspondence from Katherine Stead, Director and Global Head of ITC BCU, including contact information.


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_description: Discussion on Wealth Management (WM) clients and their relationship with ICG for order placement. The correspondence outlines the approach agreed upon for WM clients needing GM product coverage and the role of ACOs. It also mentions the need for approval from Stefan/Louise for ICG to take orders from Wealth people when the client is red in ICG.

key_people:
Tanu Kirti
Iain Macara
Katherine Stead
Aamir Akram
Max Kleinert
Clifford Fourie
Oliver Bettin
Tanushree Kirti
Christopher Whyton
Stefan
Louise

key_organizations:
WM Mercury Implementation Programme
ICG
CIB management


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: The memo outlines actions and notes for handling GM and non-GM clients in relation to CIB ICG sales. It specifies actions for red and amber GM clients, including updating KYC records and offboarding checks. It also lists items for noting, such as offboarding agreements and remediation status. The memo requests progress on actions by mid-August and provides contact points for immediate concerns.

key_people:
Tanu Kirti
Mattias Fuerstenberger
Julia Rubio-Luque
Emily Craig
Anna-Sofiya Lupolover
Ines Schultze-Enden
Danny Heng
Christopher Lai
Sonya Hunjan

key_organizations:
WM Mercury
CIB
ICG


document_description: Tanu Kirti discusses a process improvement opportunity in CIB for WM clients dependent on ICG Sales desk for trade placement. Issues arise when trades are blocked due to the lack of a CIB ACO, despite a WM ACO being appointed. CIB requests a list of WM clients with trades instructed via ICG. Tanu seeks input from regional leads for additional clients to include.

key_locations: Zig Zag Building, 70 Victoria Street, SW1E 6SQ London, United Kingdom

key_organizations:
CIB
WM
ICG
KCP US
KCP EMEA
Deutsche Wealth Management Limited


document_description: The document contains tables listing client information, including names, IDs, and approval statuses. It highlights the need for KYC (Know Your Customer) checks and approvals for certain clients, particularly those marked as Red or Amber in CIB. The document also includes a list of clients not listed on a combined tab, indicating a need for further verification.

key_people:
Xavier Avila
Daniel Kaiser


document_description: The document is a confidential correspondence regarding updates to a list of entities associated with KCP LATAM and KCP US. It highlights entities not listed on the 'Combined' tab and new additions to the list. The correspondence is part of a Family Office Initiative follow-up.

title: Family Office Initiative - Follow Up

key_people:
Xavier Avila
Tanu Kirti
Davide-A Sferrazza
Nina Tona
Victoria Bruce
Max Kleinert
Ian Salters

key_organizations:
KCP LATAM
KCP US
Puerto Asis Corporation
SC DELANCEY LLC
SIMON CHARITABLE PUBLIC LLC
The Anschutz Foundation
The Lamia Ventures Corp
TOMS Capital LLC
TRB Fund I LP
Inversiones Alabama Limitada
Fifth Street Station LLC
Anschutz Investment Company
Dakota Pacific Global Macro Fund LLC


document_description: Discussion on the assignment of ACO for clients and the implications on the co-covered model. Questions raised about the identification of KCP booked trades, S&A checks, ongoing monitoring, and training requirements for KCP. Suggestion to review and possibly re-execute the SLA under new management structure involving Yanni Pipilis and Stefan Hoops. Katherine Stead cc'ed relevant parties for further input.

key_people:
Katherine Stead
Yanni Pipilis
Stefan Hoops
lain
Cliff

key_organizations:
KCP
Markets
ICG
WIS desk


document_description: A confidential memo from Deutsche Bank Wealth Management's Institutional Wealth Partners, discussing PNP products and services intended for sophisticated investors. It emphasizes that transactions require internal approvals and are only available to clients of Deutsche Bank and the Institutional Wealth Partners group. The memo is for discussion purposes only and does not create any legally binding obligation.

key_organizations:
Deutsche Bank Wealth Management
Institutional Wealth Partners
DR Securities Inc


document_description: The document is a table listing various business units, adoption locations, adoption entities, products, systems, account IDs, and their statuses. It includes information about different financial products and systems used in the United Kingdom and the United States, with statuses such as 'Active', 'New', and 'Unacceptable'.


document_description: The document provides information on various business units and their adoption locations, entities, products, systems, account IDs, and statuses. It includes references to Southern Financial LLC and its associated markets. The document also lists key entities involved in the context.


document_description: The document is a table listing various entities associated with KCP LATAM and KCP US, along with dates and some additional notes. It includes information about partnerships or transactions with different companies and individuals, with some entries marked as confidential.


document_description: The document outlines the decision to add and format information in the main client list for KCP Capital Markets. It specifies the addition of categories such as 'Good to Trade', 'ISDA', 'Revenues', 'Live Trade', and 'GM or Umbrella Account' with responsible individuals assigned to each. It also describes the structure of various tabs in the spreadsheet, including 'Main file', 'Latam', 'US', 'Alex Brown', and 'Off-Boards'. The memo emphasizes confidentiality and the non-advisory nature of the information.


document_description: The table contains information about various entities associated with KCP LATAM and KCP US, including their partners, dates, and additional notes. Some entries include specific individuals involved or notes about the process status.

key_people:
Billy
Rodrigo G
Xavi A
Davide S
Martin Z
Nina T
Zack Bunimovich

key_locations: BM US BS GB

key_organizations:
KCP LATAM
Proaltus Capital Partners SL
Puerto Asis Corporation
Signature Capital
Tonelle Limited
Transacciones e Inversiones Arizona SA
Fratelli Investments Limited
Colina Insurance Limited
KCP US
Amzak Capital Management LLC
Canyon Green Solemint LLC
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow
George Kaiser Family Foundation
Guardian Investment Company Ltd
JMB Capital Partners LP
Somerston Investments Ltd
Southern Financial LLC
West Family


document_description: A table listing various client accounts and their details, including ISDA, live trade status, and revenues. Additional tabs provide information on Latam, US, and Alex Brown accounts, as well as off-boarded clients.

key_people:
Nina Tona
Davide
Ali

document_subtype: spreadsheet


document_description: The correspondence discusses the ownership structure, legal representatives, ultimate beneficial owners (UBOs), and source of funds for Southern Financial LLC and Southern Trust Company Inc. It includes a request for verification of these details and mentions attachments with financial statements and operating agreements.

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn
Leslie Wexner
Zack Bunimovich
Nina Tona
Martin Zeman
Xavier Avila
Rita Shteynberg
Mathew Negus

key_locations:
St. Thomas
US Virgin Islands

key_organizations:
Southern Financial LLC
Southern Trust Company Inc.
J. Epstein & Co.
The Financial Trust Company
Bear Stearns


document_description: A memo discussing the retention of Southern Financial LLC as a client, including pending business items and sales approvals needed.

key_people:
Xavier Avila
Nina Tona

key_organizations:
Southern Financial LLC
Deutsche Bank Wealth Management


document_description: This memo discusses the ownership and financial details of Southern Financial LLC and Southern Trust Company Inc., both associated with Jeffrey Epstein. It includes information on ownership breakdown, legal representatives, UBOs, source of funds, and financial statements. Jeffrey Epstein is identified as the sole UBO and shareholder. The memo also references attachments with financial statements and operating agreements.

title: RE: SF [1] [C]

key_people:
Jeffrey Epstein
Darren K. Indyke
Richard Kahn
Leslie Wexner
Nina Tona

key_organizations:
Southern Financial LLC
Southern Trust Company Inc.
The Financial Trust Company
Bear Stearns
J. Epstein & Co.


document_description: Confidential communication from the KCP Americas desk discussing products, investment ideas, and solutions on a non-advisory basis. The information is confidential and intended for discussion purposes only, with restrictions on reproduction and disclosure.

key_organizations:
KCP Americas desk
DBSI


document_description: This document is a W-9 form for Southern Trust Company, Inc., an S Corporation, requesting a Taxpayer Identification Number and Certification. The form includes the business address in St. Thomas, USVI, and is signed on 11/30/2014. It certifies the correctness of the TIN and exemption from backup withholding and FATCA reporting.

title: W-9 Form for Southern Trust Company, Inc.

document_subtype: W-9 Form

key_organizations:
Southern Trust Company, Inc.
Southern Financial, LLC
Internal Revenue Service


document_description: This document is the Operating Agreement for Southern Financial, LLC, a U.S. Virgin Islands Limited Liability Company, formed by Southern Trust Company, Inc. The agreement outlines the formation, name, purpose, duration, and registered office of the company, as well as the capital structure and membership units.

title: Operating Agreement of Southern Financial, LLC

document_type: legal

document_subtype: Operating Agreement


document_description: This document outlines the capital contributions, transfer of membership units, and capital account management for a company with a sole member. It specifies the conditions under which the sole member can make additional contributions, transfer membership units, and the rules for capital account increases.


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

document_subtype: agreement


document_description: The document outlines the distribution of assets upon the liquidation of a company, management structure, voting rights, and indemnification policies. 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 may indemnify its manager and employees against legal actions if they acted in good faith.

document_subtype: Company Liquidation and Management Agreement


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

document_subtype: indemnification agreement


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


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.

document_type: property

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

document_subtype: Articles of Organization


document_description: The document outlines the Articles of Organization for a company, detailing its purpose, duration, organizer, management, capital, and limitation of liability. The company is organized by Greg J. Ferguson and managed by Jeffrey Epstein, with a capital of $1,000. The document specifies that the company shall be manager-managed and provides addresses for the organizer and manager.

key_people:
Greg J. Ferguson
Jeffrey Epstein

key_locations: 9100 Port of Sale, Thomas, U.S. Virgin Islands 00802

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 to the company. It also states that members are not liable for the company's debts and obligations. Additionally, it includes a severability clause ensuring the rest of the document remains valid if any part is void or illegal.


document_description: This document is a notarized statement by Greg J. Ferguson, acting as the Organizer of a Company, affirming the truth of the statements in the Articles of Organization. The notarization took place in the United States Virgin Islands.

key_people:
Greg J. Ferguson
Brett A. Geary

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

document_subtype: Notarized Document


document_description: This document is a consent form for a resident agent to accept service of process on behalf of Southern Financial, LLC in the United States Virgin Islands. The agent consents to act in this capacity and acknowledges the legal obligations and penalties for false statements.

title: Consent of Agent for Service of Process

document_type: government

key_locations: St. Thomas, United States Virgin Islands

document_subtype: Resident Agent Form

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


document_description: Certificate of Existence for SOUTHERNFINANCIAL, LLC, confirming its organization under the laws of the United States Virgin Islands, its perpetual duration, and that it has paid all applicable fees to date. No Articles of Termination have been filed.

document_subtype: Certificate of Existence

key_organizations: Government of the United States Virgin Islands


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.

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 was duly registered to conduct business in the Territory on February 25, 2013, and has a legal existence as a Limited Liability Company.

title: Certificate of Existence for Southern Financial, LLC

key_locations: Charlotte Amalie, St. Thomas, Virgin Islands

key_organizations:
Southern Financial, LLC
Government of the Virgin Islands


document_description: IRS notice assigning an Employer Identification Number (EIN) to Southern Financial LLC, with instructions on its use for tax purposes.

key_locations:
Cincinnati, OH
St. Thomas, VI

document_subtype: IRS Notice

key_organizations:
IRS
Southern Financial LLC
Southern Trust Company Inc


document_description: The document is a board resolution from Southern Trust Company, Inc., certifying the unanimous adoption of resolutions by the Board of Directors on March 19, 2013. It includes 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 a merger agreement involving Jeffrey Epstein. It details the surrender and issuance of shares, the approval of the merger agreement, and the authorization for corporate officers to execute necessary documents and actions to consummate the merger.

document_subtype: Merger Agreement Resolution

key_organizations: FTC SF Corporation


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

key_people:
Jeffrey E. Epstein
Richard Kahn
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 details of the corporation, the authorization of stock issuance, and the establishment of a depository for corporate funds. It also ratifies actions taken by the incorporators and appoints corporate officers.

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

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn


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

document_subtype: corporate resolution


document_description: This document outlines resolutions passed by the Board of Directors of a corporation, authorizing various financial and operational activities. These include designating depositories for corporate funds, opening and managing bank accounts, authorizing officers to sign checks, and using facsimile signatures. It also authorizes the corporation to conduct business in various jurisdictions and appoint necessary agents or attorneys for service of process.

key_people: President Secretary


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


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: Financial report for Southern Trust Company, Inc. as of June 30, 2017.

title: Southern Trust Company, Inc. Financial Report

document_subtype: financial report


document_description: The document is a financial statement for Southern Trust Company, Inc. and its subsidiaries as of June 30, 2017. It details the company's assets, liabilities, and shareholder's equity on an income tax basis.

title: Statement of Assets, Liabilities and Shareholder's Equity

document_subtype: financial statement

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


document_description: This document is a financial statement for Southern Trust Company, Inc. and its subsidiaries, detailing revenues and expenses for the period from January 1, 2017, to June 30, 2017. The statement includes various sources of revenue such as fee income, dividends, interest, and subsidiary equity income, as well as expenses like employee costs, occupancy, and professional fees.

title: Statement of Revenues and Expenses for Southern Trust Company, Inc.


document_description: A financial report for Southern Financial LLC as of June 30, 2017.

title: Southern Financial LLC Financial Report


document_description: The document is a financial statement for Southern Financial LLC and its subsidiary, detailing assets, liabilities, and member's equity as of June 30, 2017. It includes current assets, fixed assets, and other assets, totaling $233,701,187. The member's equity is also $233,701,187, indicating no liabilities.

title: Statement of Assets, Liabilities and Member's Equity


document_description: Financial statement for Southern Financial LLC and subsidiary for the period Jan 1, 2017 thru June 30, 2017, showing revenues, expenses, and net income.

title: Statement of Revenues and Expenses

key_organizations:
Southern Financial LLC
Haze Trust


document_description: This document is the Operating Agreement for Southern Financial, LLC, a U.S. Virgin Islands Limited Liability Company, formed by Southern Trust Company, Inc. The agreement outlines the formation, organization, and purpose of the company, as well as details about its capital structure and membership units.

document_subtype: Operating Agreement

key_organizations:
Southern Financial, LLC
Southern Trust Company, Inc.
Business Basics VI, LLC


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

document_subtype: fax


document_description: The document outlines the financial arrangements related to the capital accounts of company members, including increases and decreases in capital accounts, allocations, and distributions. It specifies how liabilities and distributions are handled among members and the sole member's capital account.


document_description: This document outlines the distribution of assets upon the liquidation of a company, management structure, voting rights, and indemnification clauses. It specifies that Jeffrey Epstein is the initial manager with full authority over the company's affairs. It also details the exculpation of liability for the sole member and indemnification provisions for the manager and other employees or agents.

document_subtype: Company Liquidation and Management Agreement


document_description: The document outlines indemnification provisions for managers, members, employees, or agents of a company, detailing conditions under which indemnification is granted, including successful defense in legal actions and the process for determining indemnification. It also covers the company's dissolution process and miscellaneous provisions regarding section headings, severability, and amendments.


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


document_description: This document outlines the formation and structure of a company, including its duration, organizer, management, capital, and limitation of liability. The company is to be managed by Jeffrey Epstein, with a starting capital of $1,000. The document specifies the perpetual duration of the company and limits the liability of its managers.

key_people:
Jeffrey Epstein
Greg J. Ferguson

document_subtype: Company Formation Document

key_organizations:
Deutsche Bank
LT. FEB CORPORATION GAY


document_description: This document is a fax from Deutsche Bank discussing amendments to the Uniform Limited Liability Company Act, specifically regarding the limitation of liability for managers and members of a company. It includes provisions on member liability and severability of the Articles of Organization.


document_description: This document is a notarized statement by Greg J. Ferguson, acting as the Organizer of a Company, affirming the truth of the statements in the Articles of Organization. The notarization took place in the United States Virgin Islands.

document_subtype: notarized document


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

document_date: February 25, 2013

document_subtype: Consent of Agent for Service of Process

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


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 as of December 2011.


document_description: A Certificate of Existence issued by the Lieutenant Governor of the Virgin Islands, certifying that Southern Financial, LLC was duly registered to conduct business in the Territory on February 25, 2013, and has a legal existence as a Limited Liability Company.


document_description: The IRS has assigned an Employer Identification Number (EIN) to Southern Financial LLC and Southern Trust Company Inc. The notice provides instructions on using the EIN for tax documents and correspondence. It also includes information on LLC classification and S corporation election.

title: IRS EIN Assignment Notice

key_organizations:
IRS Department of the Treasury
Southern Financial LLC
Southern Trust Company Inc


document_description: The document is a consent resolution by the Board of Directors of Southern Trust Company, Inc., certifying resolutions adopted on March 19, 2013. It involves the transfer of shares of Jeepers, Inc. to Jeffrey Epstein and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

key_people:
Jeffrey Epstein
Danen K. Indyke
Richard Kabu


document_description: The document is a fax from Deutsche Bank regarding a merger agreement involving Jeffrey Epstein. It outlines the terms of the merger, including the surrender and issuance of shares, and the intended tax-free reorganization status under the Internal Revenue Code. The document includes resolutions authorizing the merger and the issuance of additional shares to Epstein.

key_organizations:
Deutsche Bank
FTC
SF
Corporation


document_description: Consent filed with the Minutes of the proceedings of the Board of Directors of Financial Trust Company, Inc. Executed by directors on March 19, 2013.

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

key_organizations:
Deutsche Bank
Financial Trust Company, Inc.


document_description: This document is a consent resolution by the Board of Directors of Financial Infomatics, Inc., a U.S. Virgin Islands Corporation, certifying resolutions adopted on November 18, 2011. It includes the establishment of a depository for corporate funds and the appointment of corporate officers.


document_description: This document is a corporate resolution for a corporation involving Jeffrey Epstein, Darren Indyke, and Richard Kahn. It outlines the authorization of corporate officers to manage the corporation's records, issue stock certificates, and handle financial matters. Jeffrey Epstein is subscribed for 10,000 shares of Common Stock.


document_description: A fax from Deutsche Bank outlining resolutions for the management of corporate bank accounts, including the designation of depositories, authorization of officers to manage funds, and the use of facsimile signatures.

key_people:
President of the Corporation
Secretary of the Corporation


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

title: Subscription for Common Stock


document_description: The document is marked as confidential and is related to the Jeffrey Epstein case. It includes references to CRS and UK FATCA Entity Self Certification, and is subject to Federal Rule of Criminal Procedure 6(e).


document_description: This document is a self-certification form for entity clients of Deutsche Bank, required for compliance with the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes details about the entity, Southern Financial LLC, such as its legal name, country of incorporation, and address. The form is intended for entities and not individual account holders.

title: Deutsche Bank Self Certification for Entity Clients

key_locations:
U.S. Virgin Islands
St. Thomas

document_subtype: Self Certification for Entity Clients

key_organizations:
Deutsche Bank
Southern Financial LLC


document_description: This document is a self-certification form for entity clients of Deutsche Bank, related to the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes sections for Financial Institutions (FI) and Non-Financial Entities (NFE) to declare their status. The document also includes a section for UK FATCA Classification.


document_description: This document is a self-certification form for entity clients of Deutsche Bank, related to the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes sections for the country of residence for tax purposes, TIN or functional equivalent, and a declaration and signature by Jeffrey Epstein.


document_description: This document is a self-certification form for entity clients of Deutsche Bank, related to the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes sections for identifying controlling persons of entities, particularly in the context of anti-money laundering (AML) requirements. The form requires details such as name, address, date of birth, country of tax residence, and tax identification numbers for controlling persons. It also categorizes controlling persons based on their roles in legal entities or arrangements, such as trusts.

document_subtype: Self Certification Form


document_description: This document outlines the requirements and instructions for entity clients of Deutsche Bank to complete a self-certification form in compliance with UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes details on UK FATCA agreements, the CRS, legal disclaimers, and instructions on who should complete the form. It also discusses the expiration of the self-certification and consequences of not providing a valid form.

key_locations:
Crown Dependencies
British Overseas Territories
UK
European Union

key_organizations:
Deutsche Bank
HM Revenue & Customs
OECD


document_description: This document is a self-certification form for entity clients of Deutsche Bank, related to the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It outlines the requirements for entities to provide information for tax reporting purposes, including legal name, country of incorporation, residence address, and account details. The form also includes sections for financial institutions and non-financial entities to classify their status under CRS and UK FATCA.

key_organizations:
Deutsche Bank
OECD
HMRC


document_description: The document discusses the conditional nature of trades and transactions with DBSI or its affiliates, emphasizing that execution is contingent upon becoming a client of Deutsche Bank. It highlights that Key Client Partners (KCP) products and ideas are for discussion only and not advisory. The information is confidential and intended solely for the recipient, with restrictions on reproduction and disclosure.

key_organizations:
DBSI
Deutsche Bank
Key Client Partners (KCP)


document_description: This document is a confidential communication from Deutsche Bank, containing disclaimers about the confidentiality and intended recipient of the information. It also includes a link for EU corporate and regulatory disclosures and a disclaimer that Deutsche Bank does not provide legal or tax advice.


document_description: This document is the Operating Agreement for Southern Financial, LLC, a U.S. Virgin Islands Limited Liability Company, formed by Southern Trust Company, Inc. The agreement outlines the formation, name, purpose, duration, and registered office of the company, as well as the capital structure and membership units.


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_description: The document is a table listing various entities associated with KCP LATAM and KCP US, along with dates and additional notes. It includes entities like Proaltus Capital Partners SL, Puerto Asis Corporation, Signature Capital, and others. Some entries have additional notes or names associated with them.


document_description: A memo discussing various trade and account management topics, including ISDA agreements, revenue discussions, and client retention strategies. It also mentions different tabs containing client and product information.


document_description: This document is a self-certification form for entity clients under the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It includes sections for identifying controlling persons of entities, particularly in the context of anti-money laundering requirements. The form requires details such as name, address, date of birth, and tax identification numbers for controlling persons, and specifies different types of controlling persons for legal persons and legal arrangements like trusts.


document_description: This document provides instructions for Deutsche Bank's Self Certification for Entity Clients in relation to the UK Automatic Exchange of Information and the OECD Common Reporting Standard (CRS). It outlines the requirements under UK FATCA and CRS, the responsibilities of account holders, and the consequences of not providing a valid form. The document also includes a legal disclaimer and instructions on who should complete the form.


document_description: The document contains confidential information related to Client Data Services I COO DBUSA Core Corp. It includes contact details such as telephone and email, and is marked as confidential under Federal Rule of Criminal Procedure 6(e).


document_description: A memo from the FATCA Outreach Team at Deutsche Bank Birmingham regarding a remediation exercise and potential future contact about other clients.


document_description: Form W-9 for Southern Trust Company, Inc. to provide taxpayer identification number and certification. The form is used to certify the correct taxpayer identification number (TIN) and exemption from backup withholding. The form is signed and dated on 11/20/2017.


document_description: This document outlines the capital contributions, transfer of membership units, and capital account management for a company with a sole member. It specifies the conditions under which the sole member can make additional contributions, transfer membership units, and the rules regarding capital accounts and interest on contributions.


document_description: This document outlines the terms for the management of capital accounts, allocations, and distributions for a company. It specifies how increases and decreases in capital accounts are determined, including the treatment of liabilities and distributions. It also details the allocation of net profits, losses, and other financial items to the Sole Member, as well as the priority of cash flow distributions.


document_description: This 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 any dissociated members based on their capital interests. Jeffrey Epstein is designated as the initial manager with full authority over the company's operations. Membership units have voting rights only if owned by a member. The document also includes exculpation of liability for the sole member and indemnification provisions for the manager and potentially other employees or agents.


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, the conditions for company dissolution, and miscellaneous provisions regarding the agreement's amendment and severability.


document_description: This document is an Operating Agreement executed by Jeffrey E. Epstein as the Sole Member. It outlines the binding effect of the agreement, stating that it will benefit the parties and their successors. The agreement is governed by the laws of the U.S. Virgin Islands.


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, resident agent, and purpose.


document_description: This document outlines the articles of organization for a company, detailing its purpose, duration, organizer, management, capital, and limitation of liability. The company is organized by Greg J. Ferguson and managed by Jeffrey Epstein, with a capital of $1,000. The document specifies that the company shall be manager-managed and provides limitations on the liability of managers.


document_description: This document is a notarized statement by Greg J. Ferguson, acting as the Organizer of a Company, affirming the truth of the statements in the Articles of Organization. The notarization took place in the United States Virgin Islands.


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


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.


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly Financial Infomatics, Inc., confirming its incorporation and authorization to conduct business in the Virgin Islands as of December 8, 2011.


document_description: Certificate of Existence issued by the Lieutenant Governor of the Virgin Islands, certifying that Southern Financial, LLC was duly registered to conduct business in the Territory on February 25, 2013, and has a legal existence as a Limited Liability Company.


document_description: IRS notice assigning an Employer Identification Number (EIN) to Southern Financial LLC, with instructions for tax filing and record-keeping.


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.


document_description: This document outlines the resolutions passed by the Board of Directors regarding 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 President and officers of the Corporation are authorized to execute necessary documents to effectuate the merger.


document_description: Resolution executed by the directors of Financial Trust Company, Inc. to be filed with the Minutes of the Board of Directors' proceedings.


document_description: This document is a board resolution for Financial Infomatics, Inc., certifying the unanimous adoption of resolutions by the Board of Directors on November 18, 2011. It includes the establishment of a depository for corporate funds and the appointment of corporate officers.


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


document_description: This document outlines resolutions for a corporation regarding the management of its financial accounts and operations. It includes designating depositories for funds, authorizing officers to manage accounts, and setting the fiscal year. It also authorizes officers to handle business operations in various jurisdictions.


document_description: Resolution authorizing officers of Financial Infomatics, Inc. to perform necessary acts and file documents 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.

title: Subscription for Common Stock


document_description: Financial report for Southern Trust Company, Inc. as of June 30, 2017.


document_description: The document is a financial statement for Southern Trust Company, Inc. and its subsidiaries as of June 30, 2017. It details the assets, liabilities, and shareholder's equity of the company on an income tax basis.


document_description: This document is a financial statement for Southern Trust Company, Inc. and its subsidiaries, detailing revenues and expenses for the period from January 1, 2017, to June 30, 2017. It includes various categories of income and expenses, resulting in a net income of $14,026,237.

title: Southern Trust Company, Inc. Statement of Revenues and Expenses


document_description: A financial report for Southern Financial LLC as of June 30, 2017.

title: Southern Financial LLC Financial Report


document_description: The document is a financial statement for Southern Financial LLC as of June 30, 2017, detailing assets, liabilities, and member's equity on an income tax basis.


document_description: This document is the Operating Agreement for Southern Financial, LLC, a U.S. Virgin Islands Limited Liability Company, formed by Southern Trust Company, Inc. The agreement outlines the formation, name, purpose, duration, and registered office of the company, as well as the capital structure and membership units.


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


document_description: This document outlines the distribution of assets upon the liquidation of a company managed by Jeffrey Epstein. It details the process for satisfying debts, distributing assets, and the management structure of the company. It also covers voting rights of membership units and indemnification clauses for the manager and employees.


document_description: The document outlines indemnification provisions for managers, members, employees, or agents of a company, detailing conditions under which indemnification is granted. It also covers the process for company liquidation and miscellaneous provisions regarding the agreement's interpretation, severability, and amendment.


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


document_description: This document outlines the articles of incorporation for a company, detailing its duration, organizer, management, capital, and limitation of liability. The company is to be managed by Jeffrey Epstein, with a capital of $1,000. The document specifies the perpetual duration of the company and limits the liability of its managers.


document_description: The document discusses amendments to the liability of managers and members under the Uniform Limited Liability Company Act, including provisions for severability of the Articles of Organization.


document_description: This document is a notarized statement by Greg J. Ferguson, acting as the Organizer of a Company, affirming the truth of the statements in the Articles of Organization. The notarization took place in the United States Virgin Islands.


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


document_description: A certificate issued by Gregory R. Francis, Lieutenant Governor of the Virgin Islands, confirming the existence and good standing of Southern Financial, LLC, a company organized under the laws of the Virgin Islands. The certificate states that the company filed Articles of Organization on February 25, 2013, has perpetual duration, and has paid all applicable fees to date. No Articles of Termination have been filed.

document_subtype: Certificate of Existence


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 as of December 2011.

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 was duly registered to conduct business in the Territory on February 25, 2013, and has a legal existence as a Limited Liability Company.

key_organizations:
Southern Financial, LLC
Government of the Virgin Islands


document_description: The IRS assigned an Employer Identification Number (EIN) to Southern Financial LLC and Southern Trust Company Inc. The notice provides the EIN, instructions for its use, and reminders for tax filing and correspondence.

title: IRS EIN Assignment Notice

document_subtype: IRS Notice


document_description: The document is a board resolution from Southern Trust Company, Inc., certifying the unanimous adoption of resolutions by the Board of Directors on March 19, 2013. It includes the transfer of shares of Jeepers, Inc. to Jeffrey Epstein and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

document_subtype: board resolution


document_description: The document is a fax from Deutsche Bank regarding a merger agreement involving Jeffrey Epstein. It outlines the terms of the merger, including the surrender and issuance of shares, and the intended tax-free reorganization status under the Internal Revenue Code. The document includes resolutions authorizing the merger and the issuance of additional shares to Epstein.


document_description: Consent filed with the Minutes of the proceedings of the Board of Directors of Financial Trust Company, Inc.

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


document_description: The document is a consent resolution from the Board of Directors of Financial Infomatics, Inc., certifying resolutions adopted on November 18, 2011. It includes the establishment of a depository for corporate funds and the appointment of corporate officers.

document_subtype: Board Resolution


document_description: This document is a corporate resolution for a corporation involving Jeffrey Epstein, Darren Indyke, and Richard Kahn. It outlines the authorization of corporate officers to manage the corporation's records, issue stock certificates, and handle financial matters. Jeffrey Epstein is subscribed for 10,000 shares of Common Stock.

document_subtype: corporate resolution


document_description: A fax from Deutsche Bank detailing resolutions for the management of corporate bank accounts, including the designation of depositories, authorization of officers to manage funds, and the use of facsimile signatures.


document_description: Resolution authorizing officers of Financial Informatics, Inc. to perform necessary acts and execute documents for business operations.


document_description: Subscription for 10,000 shares of common stock in Financial Informatics, Inc. by Jeffrey E. Epstein, with a par value of $0.01 per share, at a price of $0.10 per share.

document_subtype: stock subscription


document_description: A table listing various entities associated with KCP LATAM and KCP US, including their connections to other companies and individuals. Some entries indicate a process has started or involve specific individuals.

key_people:
Rodrigo G
Geoffrey H Palmer
Xavi A
Davide S
Martin Z
Nina T
Zack Bunimovich

key_organizations:
KCP LATAM
Tonelle Limited
Transacciones e Inversiones Arizona SA
Fratelli Investments Limited
Colina Insurance Limited
Amzak Capital Management LLC
Canyon Green Solemint LLC
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow
George Kaiser Family Foundation
Guardian Investment Company Ltd
JMB Capital Partners LP
Somerston Investments Ltd
Southern Financial LLC
West Family Investments Inc
MSD Capital L.P.
Centaurus Capital LP


document_description: A memo from Nina Tona, Associate Business Control Manager at Deutsche Bank Wealth Management, discussing client account details and product activity across various tabs. It includes information on active products, off-boarded clients, and confidentiality notice.

document_subtype: memo


document_description: Emails discussing priority clients for the NCA process and overdue KYC reviews.

key_people:
Nina Tona
Xavier Avila
Davide-A Sferrazza
Alastair Mackinlay
Joshua Shosha
Billy Obregon
Martin Zeman

document_subtype: email

key_organizations:
Blue Media Investments Inc
Fratelli Investments Limited
Transacciones e Inversiones Arizona SA
Colina Insurance Limited
Armory Fund


document_description: The table lists various entities associated with KCP LATAM and KCP US, along with dates and some additional notes. It includes entities like Blue Media Investments Inc, Bradwell Commercial Ltd, and others, with some dates and notes about client actions or requirements.


document_description: A table listing various investment entities associated with KCP US, including dates and reference numbers. Some entries have additional notes or personnel involved.


document_description: Request for a new CRS Self Certification file for Southern Financial due to the previous file being missing from the system. The request is made by Anthony Lentini from Client Data Services at COO DBUSA Core Corp.

key_organizations:
Southern Financial
COO DBUSA Core Corp.


document_description: The UK AFC team, after consulting with Global CDS teams and specialist colleagues, approved an Extension request without the need for BRG approval. The memo outlines the investigation and resolution process for a unique scenario where UK products were booked without UK adoption in the dbCAR system. Fixes were discussed and implemented, leading to the approval of the Extension request. The memo emphasizes the need for further investigation into KCP client migrations and UK adoptions to prevent recurrence.


document_description: A principal product extension for Southern Financial, LLC involving GED, Convertible Bonds, and Global Credit Derivatives in DBAG is being performed. DBcar triggered a high risk rating. An EDD package is attached, including searches, formation documents, tax document, correspondence with client emails, and financial statements.

key_organizations:
Southern Financial, LLC
Deutsche Bank Securities Inc.
DBUSA Core Corp.


document_description: A memo from Nina Tona, Associate Business Control Manager at Deutsche Bank Wealth Management, discussing Key Client Partners (KCP) products and services intended for sophisticated institutional investors. It emphasizes the non-advisory nature of the information and the confidentiality of the communication.


document_description: A table listing business units, adoption locations, entities, products, systems, account IDs, and their status. Includes email thread discussing case management.


document_description: The document discusses the status of GM products in relation to business adoption locations, highlighting a high-risk client with KYC deficiencies last reviewed in 2015. It includes a request for confirmation on which business asked to retain the GM products and mentions the client's inquiries about the situation.


document_description: Confidential memo discussing non-advisory Key Client basis and investment solutions. The information is confidential and for discussion purposes only, with restrictions on reproduction and disclosure.


document_description: The table lists various entities associated with KCP US and KCP LATAM, along with their investment partners, dates, and some additional notes. It includes entities like Fratelli Investments Limited, Colina Insurance Limited, Amzak Capital Management LLC, and others, with dates ranging from 2013 to 2017.

key_people:
Rodrigo G
Xavi A
Davide S
Martin Z
Nina T
Zack Bunimovich

key_organizations:
KCP LATAM
Fratelli Investments Limited
Colina Insurance Limited
Amzak Capital Management LLC
Canyon Green Solemint LLC
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow
George Kaiser Family Foundation
Guardian Investment Company Ltd
JMB Capital Partners LP
Somerston Investments Ltd
Southern Financial LLC
West Family Investments Inc
MSD Capital L.P.
Centaurus Capital LP


document_description: The email discusses the provision of various documents and information related to Southern Financial LLC and Southern Trust Company Inc., including ownership breakdown, legal representatives, UBOs, source of funds, and financial statements. It also mentions Jeffrey Epstein's financial career and his connection to the companies.


document_description: The document discusses the conditional nature of trades and transactions with DBSI or its affiliates, emphasizing that execution is contingent upon becoming a client of Deutsche Bank. It highlights that Key Client Partners (KCP) products and investment ideas are for discussion purposes only and not advisory. The information is confidential and intended solely for the recipient, with restrictions on reproduction and disclosure.


document_description: A document marked as confidential under Federal Rule of Criminal Procedure 6(e), containing contact information for a location in Jacksonville, Florida. It includes reference numbers DB-SDNY-0052643, SDNY_GM_00198827, and EFTA01362929.


document_description: This document appears to be a business document related to Deutsche Bank Wealth Management, detailing various financial products and services offered in different regions, including the United Kingdom and the United States. It includes a table listing business units, adoption locations, adoption entities, and products. The document emphasizes that the products and services are intended for sophisticated institutional investors and are subject to internal approvals.

key_locations:
United Kingdom
United States
Jacksonville, Florida

document_subtype: business document

key_organizations:
Deutsche Bank Wealth Management
DB AG (London)
DESS


document_description: Darren Indyke attempted to cash a check for Jeffrey Epstein's account and his own personal account at Deutsche Bank. He decided to delay cashing his personal check to avoid paperwork and cashing limits.

key_people:
Darren Indyke
Jeffrey Epstein
Nicole Perskawiec

document_subtype: bank transaction note

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management


document_description: A confidential email from Nina Tona, Associate Business Control Manager at Deutsche Bank Wealth Management, to Xavier Avila. The email includes a disclaimer about the nature of Key Client Partners products and services, emphasizing that they are intended for sophisticated institutional investors. It also states that the information is confidential and for discussion purposes only.

key_people:
Nina Tona
Xavier Avila

key_organizations:
Deutsche Bank Wealth Management
Key Client Partners
DBSI


document_description: Overview of a $12+ billion AUM investment manager founded in April 2008, highlighting its success through financial crises, approval by investment consulting firms, and experienced team. Emphasizes robust infrastructure and full-service solutions.

title: The Harvest Advantage


document_description: The document outlines an overlay strategy for client portfolios, highlighting features such as cash, fixed income, and equities. It emphasizes the benefits of the strategy, including no initial capital requirement, no change to existing weightings, no liquidation of holdings, and maintaining flexibility to change positions. The strategy aims to increase returns and cash flow without adjusting existing portfolio assets.

document_subtype: financial strategy overview


document_description: The document illustrates a balanced portfolio with equal allocations to cash, bonds, and equities as of 04/01/08. It includes overlay returns reflecting actual composite client returns net of fees and expenses. Clients can select an overlay size to target cash flow, return, or risk objectives.

title: CYES Illustration on Balanced Portfolio

document_subtype: financial illustration

key_organizations: Citigroup Barclays


document_description: This document is an 'Investor Update' from Harvest Volatility Management, providing a firm overview, contact information, strategy summary, performance data, and monthly highlights for the Collateralized Yield Enhancement Strategy as of July 2016.

title: Collateral Yield Enhancement Str

document_subtype: Investor Update


document_description: A table listing the experienced team members with their titles, start dates, education, and previous firms.

title: Experienced Team

key_people:
Richard L. Selvala, Jr.
Curtis F. Brockelman, Jr.
Allan Kennedy
Michael J. Zigmont
Dennis Davitt
Josh Silva
Ken Kwalik
Tim Knowles
Morton L. Fearey II
P. Joseph Clough
Andrew Payne
Nick Rigby
Yirong Li
Josh Jennings
Andrew Costagliola

key_locations:
Harvard Business School
University of Michigan
Duke University
Columbia University
University of Glasgow
Dartmouth College
Florida Institute of Technology
University of Chicago
University of Wisconsin in Madison
Carnegie Mellon University
Bates College
Lynchburg College
Washington and Lee University
Ithaca College
Columbia University
New Jersey Institute of Technology
South China University of Technology
University of Central Florida
St John's University
SUNY Albany

document_subtype: team roster

key_organizations:
Credit Suisse
UBS
General Motors
Perch Bay Partners
Citigroup
Morgan Stanley
Accenture
Macquarie Bank
Wolverine Trading LLC
Attalus Capital
Société Générale
Goldman Sachs
SLK-Hull Derivatives
Tahoe Trading
Botta Capital Management
Westfield Capital Management
Santander Global Advisors
PanAgora Asset Management
State Street
Ramius Capital Group
Zurich Capital Markets
Tudor Investment Corp
Los Angeles Clippers
NorthCoast Asset Management
Smith Barney
Jefferies & Company
Actimize
Donaldson, Lufkin & Jenrette


document_description: This document provides definitions and explanations of various option trading strategies, including Put Options, Iron Condors, and Call Options. It outlines the risks and payoffs associated with these strategies, including the potential for monetary loss and the impact of net premiums received. The document also references an external guide for more detailed information on these strategies.

title: Glossary - Option Definitions


document_description: This document provides definitions and formulas for various financial metrics, including mean return, annualized return, standard deviation, skewness, and correlation. It explains how these metrics are calculated and their significance in evaluating investment performance and risk.

document_subtype: glossary


document_description: This document contains financial data related to CYES (N) returns, SPX close values, and VIX close values from 2009 to 2013. It includes monthly and yearly percentage changes and ranges for each category.

title: CYES - SPX - VIX Data

document_subtype: financial data

key_organizations:
Bloomberg L.P.
Harvest Volatility Management


document_description: This document contains financial data for the year 2008, including CYES returns, SPX close values and percentage changes, and VIX close values and percentage changes. The data is sourced from Bloomberg L.P. and Harvest Volatility Management.


document_description: The document is a disclaimer from Harvest Volatility Management, LLC (HVM) regarding their compliance with Global Investment Performance Standards (GIPS) and details about their investment strategies, performance metrics, and associated risks. It includes information about the Collateral Yield Enhancement Strategy Composite (CYES) and the firm's verification status. The document also provides disclaimers about investment risks and clarifies that it does not constitute legal, accounting, or regulatory advice.

document_subtype: disclaimer

key_organizations:
Harvest Volatility Management, LLC
CFA Institute


document_description: This document is a disclaimer from Harvest Volatility Management LLC, emphasizing the confidentiality and proprietary nature of the information provided. It clarifies that the communication is not an offer or solicitation for investment and highlights the importance of thorough due diligence before making investment decisions. The document discusses the risks associated with investment strategies, the limitations of performance data, and the speculative nature of investments. It also states that the material does not constitute legal, accounting, or regulatory advice.


document_description: The document provides an overview of Harvest Volatility Management's Collateral Yield Enhancement Strategy (CYES), highlighting its features, historical performance, and key benefits. CYES is designed to exploit volatility risk premium and time decay properties of option premium by managing short-dated index option spreads. The strategy aims for consistent returns with conservative risk management, and it has shown positive returns in 8 of 10 years with low correlation to the S&P 500.

title: Collateral Yield Enhancement Strategy (CYES) Overview and Performance

document_subtype: financial report


document_description: The document discusses the impact of CYES overlay sizing on a balanced portfolio, including enhanced cash flow and risk-adjusted returns. It provides definitions of financial terms and disclaimers about investment risks.

document_subtype: financial analysis

key_organizations:
Harvest Volatility Management LLC
Options Clearing Corporation


document_description: The document appears to be a financial report or update related to Rain Carbon's financial activities, including details about a loan facility, pricing, and ratings. It mentions a 7-year cov-lite term loan, pricing details, and repayment plans for certain notes. It also includes information about call premiums and ratings from S&P.

key_organizations:
Rain Carbon
DB
BAML
GS
S&P


document_description: The memo addresses a KYC violation due to a client not being adopted for the Frankfurt location, which affects compliance with Deutsche Bank's internal policies. It requests reviewing and potentially rebooking trades to an adoption location or confirming the trade's validity for the location. Missing documents will be requested as per Frankfurt guidelines upon confirmation.

key_people:
Mash Malhotra
Pankaj Chopra

key_locations:
Frankfurt
Jaipur, India

key_organizations:
Deutsche Bank
0601Global Services Private Limited


document_description: The table lists various entities associated with KCP LATAM and KCP US, along with dates and some additional notes. It includes entities like Blue Media Investments Inc, Bradwell Commercial Ltd, and others, with dates ranging from 2015 to 2017. Some entries have additional notes or names associated with them.

key_people:
Billy O
Mauricio P
Nina T
Rodrigo G

key_organizations:
KCP LATAM
Blue Media Investments Inc
Bradwell Commercial Ltd
Drake Aurora Fund
Fratelli Investments Limited
Inverban
Proaltus Capital Partners SL
Puerto Asis Corporation
Signature Capital
Tonelle Limited
Transacciones e Inversiones Arizona SA
Colina Insurance Limited
Amzak Capital Management LLC
Canyon Green Solemint LLC
DAVID H MURDOCK LIVING TRUST
Dean Holdings Inc
Gapstow


document_description: A memo regarding a trade booked in the Summit application for an OTC Derivative Product with Trade ID G175714L. The client, Southern Financial, LLC, is not adopted for the Frankfurt location, resulting in a KYC violation. The memo requests a review of the trade and consideration for rebooking to a compliant location.

key_people:
Akash Malhotra
Pankaj Chopra

key_organizations:
Southern Financial, LLC
Deutsche Bank
DBOI Global Services Private Limited


document_description: A confidential communication from Deutsche Bank stating that they do not provide legal or tax advice.


document_description: A table listing various entities associated with KCP LATAM and KCP US, including details such as entity names, reference numbers, dates, and key people involved.

key_people:
Billy O
Nina T
Rita Shteynberg
Rodrigo G
Martin Z
Xavi A

key_organizations:
KCP LATAM
KCP US
Inversiones Alabama Limitada
Colina Insurance Limited
Armory Fund LDC
Amzak Capital Management LLC
MSD Capital L.P.
Centaurus Capital LP
W De Argentina - Inversiones S.A


document_description: The document outlines various tabs related to client accounts and trading activities at Deutsche Bank Wealth Management. It includes information on live trades, GM or Umbrella accounts, and off-boarded clients.

key_people:
Davide
Nina Tona

document_subtype: spreadsheet

key_organizations:
Deutsche Bank Wealth Management
Key Client Partners


document_description: Confidential document related to Anthony Lentini, Client Data Services, COO at DBUSA Core Corp, located at 5201 Gate Parkway, Jacksonville, FL 32256.


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: This document outlines the terms for increases and decreases in the capital account of company members, as well as the allocations and distributions of net profits, losses, and other financial items. It specifies how liabilities and distributions affect the capital accounts and details the priority of cash flow distributions to the sole member.

document_subtype: Agreement


document_description: The document outlines the distribution of assets upon the liquidation of the company, management structure, voting rights, and indemnification policies. Upon liquidation, assets are distributed to the sole member and dissociated members based on their capital interests. Jeffrey Epstein is designated as the initial manager with full authority over the company's affairs. Voting rights are restricted to members. The document also details exculpation of liability for the sole member and indemnification provisions for the manager and potentially other employees or agents.

document_subtype: Company Liquidation and Management Agreement


document_description: The document outlines indemnification provisions for managers, members, employees, or agents of a company, detailing conditions under which they are indemnified for legal expenses. It also describes the process for company dissolution and miscellaneous provisions regarding the agreement's amendment and severability.

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 of the agreement, its governance under the laws of the U.S. Virgin Islands, and its execution by the sole member.


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.

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.

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 to the company. It also states that members are not liable for the company's debts and obligations. Additionally, it includes a severability clause ensuring the rest of the document remains valid if any part is void or illegal.


document_description: Greg J. Ferguson signed as the Organizer of a Company in the United States Virgin Islands, with the document notarized by Brett A. Geary.

key_people:
Greg J. Ferguson
Brett A. Geary

document_subtype: notarized document


document_description: This document is a consent form for Brett A. Geary to act as the resident agent for Southern Financial, LLC in the United States Virgin Islands. It includes a declaration under penalty of perjury and a notary acknowledgement.

title: Consent of Agent for Service of Process

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

document_subtype: Certificate of Existence


document_description: Certification of Good Standing for Southern Trust Company, Inc., formerly Financial Infomatics, 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: This document is a Certificate of Existence issued by the Government of the Virgin Islands, certifying that Southern Financial, LLC was duly registered to conduct business in the Territory on February 25, 2013, and has a legal existence as a Limited Liability Company.

key_organizations:
Southern Financial, LLC
Government of the Virgin Islands


document_description: The IRS assigned an Employer Identification Number (EIN) to Southern Financial LLC/Southern Trust Company Inc. The notice provides the EIN, instructions for its use, and information on filing tax documents.

document_subtype: IRS Notice

key_organizations:
IRS
Southern Financial LLC
Southern Trust Company Inc


document_description: The document is a board resolution from Southern Trust Company, Inc., certifying the unanimous adoption of certain resolutions by the Board of Directors on March 19, 2013. It includes the transfer of shares of Jeepers, Inc. to Jeffrey Epstein and the merger of Financial Trust Company, Inc. into Southern Financial, LLC.

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: Resolution executed by the directors of Financial Trust Company, Inc.

key_people:
Jeffrey E. Epstein
Richard Kahn
Darren K. Indyke
Auliand Kalm

document_subtype: board resolution


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 corporate funds. The document also ratifies actions taken by the incorporators and appoints officers for the corporation.

key_people:
Jeffrey Epstein
Darren Indyke
Richard Kahn


document_description: This document is a corporate resolution detailing the appointment of officers for a corporation, the authorization of stock issuance, and other corporate governance matters. Jeffrey Epstein is appointed as President, Darren Indyke as Vice President and Secretary, and Richard Kahn as Treasurer. The resolution authorizes the issuance of 10,000 shares of Common Stock to Jeffrey Epstein and outlines the responsibilities of corporate officers in maintaining records and managing bank accounts.

document_subtype: corporate resolution


document_description: This document outlines resolutions for the management of the Corporation's financial accounts and operations. It includes designations for bank depositories, authorization for officers to manage accounts, and the use of facsimile signatures. It also addresses the fiscal year start date and authorizes officers to handle business operations in various jurisdictions.

key_people: President Secretary


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


document_description: Subscription agreement for 10,000 shares of common stock in Financial Infomatics, Inc. by Jeffrey E. Epstein, with payment terms specified.

title: Subscription for Common Stock

key_people:
Jeffrey E. Epstein
Darren K. Indyke

document_subtype: stock subscription


document_description: Confidential communication with disclaimers regarding unauthorized use and legal advice.


document_description: Request for a new CRS Self Certification file for Southern Financial due to the previous file being missing from the system. The request is made by Anthony Lentini from Client Data Services at COO DBUSA Core Corp.

key_organizations:
Southern Financial
COO DBUSA Core Corp


document_description: Internal communication regarding a KYC breach for a trade booked in Frankfurt for Southern Financial, LLC. The trade is not compliant with Deutsche Bank's KYC requirements for the location. The memo requests a review and possible rebooking of the trade to a compliant location.

title: KYC Breach Notification for Southern Financial, LLC

key_people:
Alex
Akash Malhotra

key_locations: Frankfurt Jaipur

document_subtype: internal memo


document_description: The memo addresses a KYC violation due to a client not being adopted for the Frankfurt location, which affects compliance with Deutsche Bank's internal policies. It requests a review of the trade and suggests rebooking to an adoption location or confirming the trade's validity for the location. Upon confirmation, missing documents will be requested as per Frankfurt guidelines.

document_subtype: memo

key_organizations:
Deutsche Bank
DBOI Global Services Private Limited


document_description: A trade record for a currency swap transaction with details such as trade ID, version, subtype, status, and associated entities.

document_subtype: Trade Record

key_organizations:
DBOI Global Services Private Limited
Deutsche Bank


document_description: A confidential communication from Nina Tona, Associate and Business Control Manager at Deutsche Bank Wealth Management, discussing Key Client Partners (KCP) products and services intended for sophisticated institutional investors. The communication emphasizes that KCP products are for discussion purposes only and not advisory, and that any transactions are subject to internal approvals and client status with Deutsche Bank.

key_organizations:
Deutsche Bank Wealth Management
Key Client Partners
FINRA
DBSI


document_description: An email from Joshua Shoshan, Director at Deutsche Bank Wealth Management, providing trade execution information as an accommodation. The email includes a disclaimer about the informal nature of the information and the confidentiality of the content.

document_subtype: email

key_organizations:
Deutsche Bank Wealth Management
DB Securities Inc


document_description: A chat conversation discussing treasuries, fixed income, and bond trading. It involves a KYC review date for an account in January 2016, which may be closed or inactive. Southern Financial is mentioned as being on a 'red list' and not active. The conversation ends with one participant leaving.

key_organizations:
MicrosoftUC
Southern Financial


document_description: A trade has been booked in the Summit application for an OTC Derivative Product with Trade ID G175714L. The client, Southern Financial, LLC, is not adopted for the Frankfurt location, resulting in a KYC violation. The memo requests a review of the trade and consideration for rebooking to a compliant location or confirmation of its validity for Frankfurt.


document_description: Internal memo discussing issues with KCP client migration and extension requests related to UK GM products. Fixes to dbCAR profile and LKYC approvals are outlined. The memo also mentions future discussions to prevent recurrence of similar issues.


document_description: Confidential disclaimer from Harvest Volatility Management, LLC regarding the use of information provided in the document. It emphasizes the speculative nature of the investment strategy and clarifies that the information is not an offer to sell or a solicitation to purchase any security or investment service. The document is intended for sophisticated investors and does not constitute financial, tax, or legal advice.

key_locations: 420 Lexington Avenue, Suite 2620, New York, NY 10170


document_description: The document discusses the benefits of using overlays to enhance client portfolios without requiring initial capital, changing existing weightings, or liquidating holdings. It emphasizes the opportunity for clients to increase returns and cash flow while maintaining flexibility.


document_description: Illustration of a balanced portfolio with overlays from 2008 to 2017, showing portfolio values in millions of dollars. The portfolio assumes equal allocations to cash, bonds, and equities. Overlay returns reflect actual composite of client returns net of fees and expenses. Clients can select an overlay size to target cash flow, return, or risk objectives.

document_subtype: financial illustration


document_description: The document outlines three options trading strategies: 1) No Direction Bias, Contained Risk - selling options for premium while buying options to control risk, benefiting from range-bound markets. 2) Diversified Positions, Staggered Entry - reducing sensitivity to index path by diversifying entry points, expiration dates, and strike prices. 3) Risk Focused Active Management - adjusting positions to mitigate market directional risk and reduce exposure to gap risk. It includes two charts: a scatter plot and a line graph showing SPX and related options over time.

title: Disciplined Investment Management Process


document_description: A table listing the names, titles, start dates, education, and previous firms of key team members at a company. The document provides a structured overview of the leadership and management team, including their educational backgrounds and career histories.

title: Experienced Team

key_locations:
Harvard Business School
University of Michigan
Duke University
Columbia University
University of Glasgow
Dartmouth College
Florida Institute of Technology
University of Chicago
University of Wisconsin in Madison
Carnegie Mellon University
Bates College
Lynchburg College
Washington and Lee University
Ithaca College
New Jersey Institute of Technology
South China University of Technology
University of Central Florida
St John's University
SUNY Albany

document_subtype: team roster

key_organizations:
Credit Suisse
UBS
General Motors
Perch Bay Partners
Citigroup
Morgan Stanley
Accenture
Macquarie Bank
Wolverine Trading LLC
Attalus Capital
Société Générale
Goldman Sachs
SLK-Hull Derivatives
Tahoe Trading
Botta Capital Management
Westfield Capital Management
Santander Global Advisors
PanAgora Asset Management
State Street
Ramius Capital Group
Zurich Capital Markets
Tudor Investment Corp
Los Angeles Clippers
NorthCoast Asset Management
Smith Barney
Jefferies & Company
Actimize
Donaldson, Lufkin & Jenrette


document_description: This document provides definitions and explanations of various financial and investment terms, including option moneyness, implied volatility surface, drawdown, and Internal Revenue Code Section 1256 contracts. It also defines mandate size in the context of investment strategy exposure.

title: Glossary - Terminology


document_description: This document provides definitions and explanations of various financial metrics, including mean return, annualized return, standard deviation, skewness, and correlation. It includes mathematical formulas and explanations of how these metrics are used to assess investment performance and risk.

document_subtype: glossary