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Corpus: 1990-03-17 – 2025-12-01
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EFTA01370549
Dataset 10
1p
152w
Trustee & Authorized Signatory — Darren lndyke Trustee & Authorized Si natory — Richard Kahn
UBO
— Kindly confirm if there are any material changes to this account? Please note we do not have any doc for address verifying
UBO
address. Could you provide the same, please? Additionally, could you provide a clearer copy of her passport please? Unable to see the DOB on the attached passport copy of Celina. Finally we require Fincen CDD form required for this account as well. I look forward…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370549.pdf
EFTA01372580
Dataset 10
1p
358w
…expected activity and source of wealth o Risk Rating Form o Other approvals as needed (from US Sanctions or Group Sustainability or Anti-Bribery & Corruption, etc.) • For EDRs, ensure escalation is on newly identified high risk criteria (e.g., new PEP found, new
UBO
of high risk nationality, etc.). If in doubt, request further information from COB (and from the business if necessary) or review previous Investigation Logs. EDRs are usually performed due to a newly identified high risk trigger…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372580.pdf
EFTA01373334
Dataset 10
1p
246w
HI Dmitri, The Document is signed by the
UBO
himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the
UBO
verification confirmed by
UBO
himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the
UBO
document. Kindly let us know if you want us to go back CONSENT…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373334.pdf
EFTA01373535
Dataset 10
2014-12-17
1p
243w
…the
UBO
verification document is s US-CB S-AMUdb/dbcom From: Supth Shettykth/dbcom@DBAMERICAS. To CAGNY NCA/db/dbcom@DBAMERICAS. John VarghesettlAbcom@DBAMERICAS, Mantar4an Muraldharandtt-dbcom©DBAPAC. US- CB S-AML/dtildbcom@DBAMERICAS Cc 12/17/2014 04 31 AM Date: Re: EDD package for the RID ONB-1209O2 LKYCUS-3443 Patty name - Southern Financial LLC II) Subject. Classification: For internal use only Hello All, Please note that the
UBO
verification document is signed by the alleged
UBO
himself…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373535.pdf
EFTA01373895
Dataset 10
2014-12-16
1p
294w
Subject:
Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Jofin Varghese
To:
US-CB S-AML
…3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri: The Document is signed by the
UBO
himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the
UBO
verification confirmed by
UBO
himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the
UBO
document…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373895.pdf
EFTA01373926
Dataset 10
2014-12-16
1p
229w
Subject:
Re: EDD package fo
From:
Jofin Varghese
To:
US-CB S-AML
…3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The Document is signed by the
UBO
himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the
UBO
verification confirmed by
UBO
himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the
UBO
document…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373926.pdf
EFTA01374236
Dataset 10
2014-12-16
1p
294w
Subject:
Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Jofin Varghese
To:
US-CB S-AML
…3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The Document is signed by the
UBO
himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the
UBO
verification confirmed by
UBO
himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the
UBO
document…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374236.pdf
EFTA01374408
Dataset 10
1p
142w
• PCR did not alert. Documentation — • Documentation to verify entity formation and
UBO
identity was provided. Expected Activity for the Account/Information from Sales — • The client is opening an Equities Custody/Margin account for flow trading. Recommendation — • From an AML perspective, I approve this account with the condition to mark the relationship as High Risk and the recommendation to be monitored for suspicious activity. However, the material negative information associated with the client's
UBO
and control person, Jeffrey Edward Epstein…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374408.pdf
EFTA01374870
Dataset 10
1p
243w
…if Isupportlists1--><!--(endifj-->Confirm whether material changes to account or not & RP's identified above are correct? • <!--(if Isupportlists(--><!--(endifl-->Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All
UBO
's have different surnames and some even different nationalities. Please advise if ok to accept? I have attached the questionnaire in this email for reference. • <!--(if Isupportlists1--><!--(endifl-->Depending on the response to above bullet point, we might require…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374870.pdf
EFTA01388176
Dataset 10
2018-07-31
1p
352w
• Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the
UBO
's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. • Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388176.pdf
EFTA01387952
Dataset 10
2018-08-31
1p
258w
Subject:
2018 Periodic Review of High Risked Account Butterfly Trust (GCIS#486426)
From:
Vijay-A Sawant
To:
Bradley Gillin Stewart Oldfield
…we have completed the attached checklist, main RP's also listed below for reference — Acct Holder — Butterfly Trust Grantor — Jeffrey Epstein Truste —
UBO
's Darren Indyke, Karyna Shuliak, Richard Kahn, Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All
UBO
's have different surnames and some even different nationalities. Please advise if ok to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387952.pdf
EFTA01298924
Dataset 10
2p
196w
… Client PEP or
UBO
PEP/RCA Entity Risk Risk Category: HIGH Score: 5 Legal Entity Risk Score Local Rule Trust 5 N Industry Risk Risk Category: HIGH Score: 5 Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N Country Risk Risk Category: MEDIUM Score: 3 Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp US - United States 0 N clientCountryReg US - United States 0 N primarySourceOfWealth US - United States 0 N countryOfNationality…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298924.pdf
EFTA01375681
Dataset 10
1p
272w
Acct Holder — Butterfly Trust Grantor —Jeffrey Epstein Trustees — Har Beller & Erika Kellerhals
UBO
's — Darren Indyke, Karyna Shuliak, Richard Kahn, Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All
UBO
's have different surnames and some even different nationalities. Please advise if ok to accept? I have attached the questionnaire in this email for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375681.pdf
EFTA01388786
Dataset 10
2018-07-31
1p
264w
Subject:
2018 Periodic Review of High Risked Account
From:
Vijay-A Sawant
To:
Bradley Gilhn <
[email protected]
>; Stewart Oldfield <
[email protected]
>
…completed the attached checklist, main RP's also listed below for reference — Acct Holder — Butterfly Trust Grantor — Jeffrey Epstein Trustees — Har Seller & Erika Kellerhals
UBO
's— Darren Indyke, Karyna Shuliak, Richard Kahn, & Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All
UBO
's have different surnames and some even different nationalities. Please advise if…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388786.pdf
EFTA01375848
Dataset 10
1p
210w
…required for this account, so kindly forward the signed doc, when available. Acct Holder — The 2007 Jeffrey E Epstein Insurance Trust#3 Grantor — Jeffrey E. Epstein Trustee & Authorized Signatory— Darren Indyke Trustee & Authorized Signatory — Richard Kahn
UBO
— Kindly confirm if there are any material changes to this account? Please note we do not have any doc for address verifying
UBO
address. Could you provide the same, please? Additional) duld you provide a clearer copy of her passport please? Unable to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375848.pdf
EFTA01298926
Dataset 10
2018-11-15
2p
194w
…HIGH Type Of Logic Applied: Adverse Media; Client PEP or
UBO
PEP/RCA Entity Risk Risk Category: HIGH Score: 5 Legal Entity Risk Score Local Rule Trust 5 N Industry Risk Risk Category: HIGH Score: 5 Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N Country Risk Risk Category: MEDIUM Score: 3 Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp US - United States 0 N clientCountryReg VI - Virgin Islands, U.S…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298926.pdf
EFTA01421286
Dataset 10
2018-08-31
6p
849w
From:
Stewart Oldfield
To:
Vijay-A Sawant
…below — Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the EFTA01421286
UBO
's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01421286.pdf
EFTA01368139
Dataset 10
1p
430w
… 2 Is the entity involved in a hqh risk industry? No Is a
UBO
of the entity a national of a Level 4 country and/or domiciled in a Level 4 country? No If a natural person facing DB as a direct client - are they a PEP (determined from PCR or any other source)? N/A Is a
UBO
of the entity a PEP? No Is a legal representative (control person) of the entity a PEP (determined from PCR or…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368139.pdf
EFTA01386950
Dataset 10
1p
270w
Acct Holder — Butterfly Trust Grantor — Jeffrey Epstein Trustee rika Kellerhals
UBO
's — ren n y e, aryna u la Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All
UBO
's have different surnames and some even different nationalities. Please advise if ok to accept? I have attached the questionnaire in this email for reference…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386950.pdf
EFTA01407879
Dataset 10
2018-11-16
1p
259w
Subject:
RE: Gratitude/BV70
From:
Vijay-A Sawant
To:
Bradley Gillin
…COI, COGS, etc) Constitutional does (Operating agreement, eta) Ownership list (listing atleast those parties who own more than 10% in BV70) Register of Members/Directors We should be able to determine the
UBO
/s in this entity along with the Legal Representatives who con trol the entity. Once the
UBO
is identified, ID does will be required for him/her. The above is esse ntially what we would need to complete our review. Let me know if any further queries…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01407879.pdf
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