EFTA01417964.txt Text dataset_10 View on DOJ

Subject

RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]

Sender

Dmitri Saks

Recipients

Anastasia Pringle

Document ID

ONB-120902, LKYCUS-3443

Date

2015-01-15

Severity

suspicious

Description

The document itself does not contain clear evidence of illegal activity being committed by the sender or participants. However, it references news articles about Richard Kahn (Alert #1) being fined for unregistered activity and (Alert #2) violating NYSE Arca Equities Rule. These are past events and are being shared as part of the due diligence process. Alert #3 mentions Richard L Kahn is a drug dealer as per internal research. Hence, is_shared_content is true and content_type is news_report.

Content Type

news_report

Shared Content

Yes

Likelihood

possible

Description

The document does not contain explicit blackmail indicators. However, the repeated emphasis on secrecy and the need for internal discussions within AML compliance, combined with the involvement of Jeffrey Epstein, could suggest a need to keep the onboarding process discreet. This is speculative and requires further investigation.

"This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because of the Holiday schedule."

"The case has been submitted to the next level of approval."

"Please note that the UBO verification document is signed by the alleged UBO himself and may not be accepted as such."

• The repeated requests for documentation and clarification regarding the ownership structure of Southern Financial LLC.
• The involvement of Jeffrey Epstein as a control person, which raises potential reputational and compliance risks.
• The initial difficulty in identifying the head of the business responsible for onboarding Southern Financial LLC.

• http://www.bizjournals.com/southflorida/search?-q=9622Jeffrey+Kahn9622&title=963Fiframe963Dtrue&width=959625&height=959625+title963-D+title963D+title963D+title963D9620title=
• https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA-3.pdf&rct=j&frm=l&q=&esrc=s&sa=U&ei=MD6UVIedDsWPuAT924DoCp&ved=0CBMQFjA-A&usg=AFQjCNH6TerGChaK_BRHqY5DUNOCAX7ziw

Context

The involvement of Jeffrey Epstein and the due diligence process undertaken by Deutsche Bank could be of interest to the media.

Media Worthy

Yes

• AML Compliance concerns regarding the UBO verification document and the need for additional documentation to verify ownership and control of Southern Financial LLC.
• Need to identify board members of Southern Trust Company, Inc. (Jeffrey Epstein, Darren K. Indyke, Richard Kahn) as control persons and run PCR/RDC checks for them.
• Concerns about a potential conflict of interest due to Jeffrey Epstein being the sole control person.

Tone

Professional

Purpose

The purpose of this email chain is to facilitate the Enhanced Due Diligence (EDD) process for onboarding Southern Financial LLC as a client of Deutsche Bank Securities Inc. The emails document the back-and-forth communication between various departments (AML Compliance, Client Onboarding, etc.) to gather the necessary documentation and approvals.

Significance

The document is significant because it shows the due diligence process undertaken by Deutsche Bank when onboarding a new client, specifically Southern Financial LLC, and highlights the involvement of Jeffrey Epstein as a control person. The repeated requests for documentation and the concerns raised by AML compliance suggest a potentially complex or risky client relationship.

File Name

EFTA01417964.txt

Dataset

dataset_10

Type

Text

Model

gemini-2.0-flash-001

Processed

2026-02-07T18:43:40.147290

DOJ Source

View on DOJ