EFTA01298970

NAME SEARCHED: Financial Trust Company Inc and Southern Financial LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC 0 No Hit 0 Not Required K 0 Hit I. RDC Results RDC alert (Mail Sent Separately)-Financial Trust Company Inc No RDC alert (Please sec attached) PCR 0 No Hit • Not Required II. PCR Results No PCR alert (Please see attached) El Hit BIS E l Yes 0 No El Not Required III. Negative Media Result Found(please see attached) IV. Non-Negative Media There was no information found V. Other Language Media Not Required D&B VI. D&B Result Found(please see attached) Result-4? IN Yes • No 0 Not Required Smartliax VII. Smartlinx Result Found(please see attached) Remits? Yes 0 No ill Not Required Cowl Cases :4 Review by Legal May VIII. Court CafieS Result Found(please see attached) be Required 0 No Results 0 Search not required Prepared by: Urvashi LaVarlia Date:0S/IS/2013 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindak.comhp/Martindalc/hipme.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please notc: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SONY_GM_00084365 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0027180 EFTA_00174868 EFTA01298970 OFAC RESULTS RDC: Financial Trust Company Inc-alert 11525825 No Match Found 6625071 Southern Financial LLC Country:United States PCR: C20130818460008 Financial Trust Company Inc 6625071 NCA customised Closed - No Hit 15/08/2013 C20130818460011 Southern Financial LLC 6625071 NCA customised Closed - No Hit 15/08/2013 BIS RESULTS Negative Media: Palm Beach Daily News July 4, 2010 Sunday Dn1 Edition Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. BYLINE: MICHELE DARGAN, MICHELE DARGAN , Daily News Staff Writer SECTION: A SECTION; Pg. A.1 LENGTH: 1419 words Billionaire sex offender Jeffrey Epstein has strayed from specified guidelines during his year of house arrest, his probation file shows. Although Epstein has made several apparent missteps, a Daily News review of hundreds of pages of his probation records shows he has never been arrested for any violations. In fact, all departures from Florida Department of Corrections guidelines have received the blessing of either the court or his probation officer. For example, a report by a Palm Beach police captain states that, in his opinion, Epstein violated probation in August when he was walking along State Road A1A, but his probation officer nevertheless deemed him compliant. For internal use only SDNY_GM_00064366 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0027191 EFTA_00174.869 EFTA01298971 Page 2 Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday Epstein, 57, has traveled on his private jet multiple times each month to the Virgin Islands or New York, all in compliance with a court order. He has spent blocks of time in Home Depot and Sports Authority multiple times, as documented in his daily probation logs. On March 31, he was at Home Depot from 6 to 10 p.m., according to his daily probation logs; and on March 27, Epstein notes that he was at both stores from 11:30 a.m. to 5 p.m. "By statute, stores are not prohibited places for sex offenders," said Jo Ellyn Rackleff, spokesperson for the Florida Department of Corrections in Tallahassee. "Community Control procedures allow for offenders to be given permission to shop for personal needs for reasonable amounts of time." But Assistant State Attorney Teri Skiles, chief of the Major Violent Crimes Division, said other than going to work, Epstein is allowed to "go to the grocery store once a week, his attorney's office and any doctors' appointments. However, he has to advise his probation officer of all of his appointments prior to going." Regarding shopping, Skiles said it is not the intention of the state attorney's office to allow it. "However, if he gets permission from his probation officer, then he is allowed to," she said. Florida Department of Corrections guidelines state: "Shopping for personal items and getting a haircut is limited to once a month." Epstein served 13 months of his 18-month sentence and received liberal work-release privileges while in jail. He was able to go to his West Palm Beach office six days a week for up to 16 hours a day. Epstein has been serving one year of house arrest at his Palm Beach home, which ends July 21, and is registered as a lifelong sex offender. Epstein has paid confidential settlements to more than two dozen women locally who claim Epstein sexually abused them as minors. Jane Doe, who was 14 at the time of the abuse, is set for trial in her case on July 19. Probation officer gives permission Epstein's daily probation logs are supposed to detail -- with addresses included -- his whereabouts at all times, according to Florida Department of Corrections guidelines. In most cases, Epstein's logs are short on details, usually with no specific addresses and, in one case, inaccurate. The Aug. 19, 2009, entry shows he was at the "office" at 250 S. Australian Ave., West Palm Beach, from 8 a.m. to 9 p.m. But, according to a Palm Beach Police memorandum, Epstein was stopped by Palm Beach Police Capt. George Frick walking back and forth along South Ocean Boulevard between 4:30 and 5 p.m. that day, one month after his release from the Palm Beach County Jail. When Frick stopped Epstein at 4:53 p.m., he was walking southbound at South Ocean at Clarke Avenue but he had been seen walking northbound a half-hour earlier, according to the written report. For internal use only SDNY_GM_00064367 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SONY-0027192 EFTA_00174870 EFTA01298972 Page 3 Epstein's house arrest challenges guidelines: Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday Frick had contacted the probation supervisor, who said, in his opinion, it was a probation violation. Dressed in sweat pants and a white T-shirt, Epstein told Frick he was walking to his West Palm Beach office and was allowed to do so by his probation officer, Carmen Sloan. Frick asked Epstein why he was not on a direct route to work. Epstein said he had walked to the north bridge [Flagler Memorial Bridge], but it was too busy and now was headed to the middle bridge (Royal Park Bridge]. Frick said Epstein did not have a copy of his weekly schedule, which the supervisor said he should have with him. After speaking with Sloan, the supervisor told Frick that Sloan had given permission for Epstein to walk to work at this time of day and she did not consider it a violation. Frick released Epstein without arrest. Police contact probation officer The next day, Frick spoke directly with Sloan. "I then questioned Sloan as to why he could be so far off a direct route and how much detail was included in this weekly schedule. She advised there was not much detail on the schedule or about the route. I advised Sloan that in order to avoid ongoing problems with Epstein that I would need a copy of his weekly schedule and these schedules would have to be more detailed. I further advised her that, based on my observations, this was a clear violation of his community control and, that absent her involvement yesterday, Epstein would have been arrested for VOP [violation of parole]." Notations by Sloan in the file show she told Frick it would be too difficult to provide him with Epstein's weekly schedules because they often change and wouldn't necessarily be accurate. "At Officer Sloan's discretion, he was walking to work as his exercise, as he was not allowed to swim or go to the gym," Rackleff said via e-mail. When asked about the discrepancy in his daily log entry for Aug. 19, Rackleff said, "Unfortunately, we cannot answer this one today, it looks like there is a second entry on the log in the evening of 8/19/09, but we cannot make out what it says. (The supervising officer at that time was CPSO Sloan and she is out on extended leave). The case notes do not specify what time the police saw him." Assistant State Attorney Skiles said, "We evaluate information that comes to the office about compliance. We do not have primary compliance responsibility. That responsibility rests with the probation office." Traveling outside state Records show that Epstein traveled nearly every week to either his home in New York City or his private island, Little St. James in the U.S. Virgin Islands, during the first four months of this year. His probation officers have issued him travel permits for each trip in accordance with a Dec. 18 court order by Circuit Judge Jeffrey Colbath. For internal use only SDNY_GM_00064368 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027193 EFTA_0017487 I EFTA01298973 Page 4 Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday The judge approved Epstein's travel out of Palm Beach County for business purposes -- with 48-hour prior approval from his probation officer. He must travel on weekdays and may stay over one night. Travel permits show he has done so. Inactive company Epstein's company, the Florida Science Foundation, is listed as inactive as of Sept. 25, according to the Florida Division of Corporations. Yet, he still has that company listed as his place of business on his probation documents and on his sex offender registration. A certificate of incorporation for C.O.U.Q Foundation -- with Epstein as president -- lists the same office address. Rackliffe said via e-mail, "He no longer has a company registered in Florida, however, maintains an office for his Virgin Island business, Financial Trust Co. Inc. at 250 South Australian Ave, West Palm Beach. We have a copy of the business license registered in the U.S. Virgin Islands. Apparently when he registered with PBSO, for the Sex Offender Registration, he did not give them his updated company information. The location is the same." Epstein's attorney, Jack Goldberger, did not return calls for comment. — mdargan @pbdailynews.com 1 Jan. 6, 2010 — Palm Beach to New York. Leaves New York at 2:15 a.m. on \ Jan. 7 for St. Thomas; back in Palm Beach at 9:30 p.m. that night. \ Jan. 7 -- Leaves Palm Beach at 6 a.m. for day trip to the Virgin Islands. Jan. 13 -- Trip to New York. Back in Palm Beach house at 2 a.m. Jan. 14. \ Jan. 15 — At 6 a.m., leaves for Virgin Islands; arrives home in Palm \ Beach at 9 p.m. \ Feb. 1 and 2 — New York \ Feb. 5 — Day trip to the Virgin Islands \ Feb. 15 -- Leaves Palm Beach for New York. At 8 p.m., leaves New York for \ St. Thomas Airport and lands there at 1 a.m. on Feb. 16. Arrives home by \ 9:30 p.m. \ Feb. 16 -- At 6 a.m., leaves for Palm Beach International Airport and is \ back in his residence at Little St. James in the Virgin Islands by 11 a.m. \ Stays overnight and is back at home by 9:30 p.m. Feb. 17. Feb. 18-19 -- New York \ Feb. 23-24 — New York \ March 2-3 -- New York \ March 5 — Virgin Islands 1March 22 -- Virgin Islands \ March 25-26 — New York For internal use only SDNY_GM_00064369 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027194 EFTA_OOI 74872 EFTA01298974 Page 5 Epstein's house arrest challenges guidelines: Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday \ March 29-30 Virgin Islands \ April 7-8 -- New York \ Source: Jeffrey Epstein's Probation File\ LOAD-DATE: December 2, 2010 LANGUAGE: ENGLISH DOCUMENT-TYPE: News PUBLICATION-TYPE: Newspaper JOURNAL-CODE: PBDN Copyright 2010 ProQuest Information and Learning All Rights Reserved ProQuest SuperText Copyright 2010 Palm Beach Post Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS FINANCIAL TRUST 457 MADISON AVE None Listed COMPANY. INC. NEW YORK. NY 10022-6843 Name Variations/DBAs # Name Variations 1. FINANCIAL TRUST COMPANY. INC. Addresses -1 records found # Address Dates County MSA For internal use only SDNY_GM_00064370 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0027195 EFTA_00 174873 EFTA01298975 Page 2 # Address 1. 457 MADISON AVE NEW YORK, NY 10022 UCC Liens - 2 records found 1:NY UCC LIEN FILING Dates County MSA 8/11/1999- NEW YORK New York, NY - 5600 7/2009 Debtor Information Debtor 1 Name: FINANCIAL TRUST COMPANY. INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Debtor 2 Name: FINANCIAL TRUST COMPANY. INC. C/O J. EPSTEIN & COMPANY, INC Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Secured Party Information Secured 1 Name: CITIBANK. N.A. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 Secured 2 Name: CITIBANK. N.A. C/O ST. JOHN & WAYNE. LLC Address: 70 E 55TH ST NEW YORK. NY 10022-3222 Filing Information Original Filing Number: 200406140607730 Original Filing Date: 6/14/2004 Filing 1 Filing Type: TERMINATION Filing Date: 5/1/2009 Filing Number: 200905015401920 Filing 2 Filing Type: INITIAL FILING Filing Number: 200406140607730 Filing Date: 6/14/2004 Expiration Date: 6/14/2004 Filing Offices Address: 162 WASHINGTON AVE ALBANY. NY 12210 Filing Agency: SECRETARY OF STATE/UCC DIVISION Collateral Information Description: 06/14/2004 200406140607730 - ACCOUNT(S) AND PROCEEDS:ASSETS AND PROCEEDS:NEGOTIABLE INSTRUMENTS AND PROCEEDS 2:NY UCC LIEN FILING Debtor Information Debtor 1 Name: FINANCIAL TRUST COMPANY, INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Debtor 2 Name: FINANCIAL TRUST COMPANY. INC. Debtor 3 Name: FINANCIAL TRUST COMPANY, INC. C/O J. EPSTEIN & COMPANY Address: 457 MADISON AVE NEW YORK, NY 10022-6843 Debtor 4 Name: FINANCIAL TRUST COMPANY, INC. C/O J. EPSTEIN & COMPANY, INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Secured Party Information Secured 1 Name: CITIBANK, N.A. Address: 70 E 55TH ST NEW YORK. NY 10022-3222 Secured 2 Name: CITIBANK. N.A. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 For internal use only SDNY_GM_00064371 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027196 EFTA_00 I 74874 EFTA01298976 Page 3 2:NY UCC LIEN FILING Secured 3 Name: CITIBANK. N.A. Secured 4 Name: CITIBANK. N.A. C/O ST. JOHN & WAYNE. L.L.C. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 Filing Information Original Filing Number: 99161432 Original Filing Date: 8/11/1999 Filing 1 Filing Type: TERMINATION Filing Date: 7/24/2009 Filing Number: 200907240429850 Filing 2 Filing Type: CONTINUATION Filing Number: 200406140607716 Filing Date: 6/14/2004 Expiration Date: 8/11/2009 Filing 3 Filing Type: CONTINUATION Filing Number 200402135118334 Filing Date: 2/13/2004 Expiration Date: 8/11/2009 Filing 4 Filing Type: TERMINATION Filing Date: 9/25/2002 Filing Number 02218371 Filing 5 Filing Type: INITIAL FILING Filing Date: 8/11/1999 Filing Number 99161432 Filing Offices Address: 162 WASHINGTON AVE ALBANY. NY 12210 Filing Agency: SECRETARY OF STATE/UCC DIVISION Collateral Information Description: 08/11/1999 99161432 - ACCOUNT(S) ALL INCLUDING PROCEEDS AND PRODUCTS:GENERAL INTANGIBLE(S) ALL INCLUDING PROCEEDS AND PRODUCTS,NEGOTIABLE INSTRUMENTS ALL INCLUDING PROCEEDS AND PRODUCTSASSETS ALL INCLUDING PROCEEDS AND PRODUCTS Business Associates - 40 records found # Name Address 1. 301 EAST 66TH ACQUISITION PARTNERS, L.P. 457 MADISON AVE NEW YORK. NY 10022-6843 2. 301 EAST 66TH STREET. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 3. 457 MADISON AVENUE CORP 457 MADISON AVE NEW YORK, NY 10022-6843 4. AMERICAN SOCIETY OF LANDSCAPE 457 MADISON AVE ARCHITECTS NEW YORK CHAPTER NEW YORK, NY 10022-6843 5. ARCHITECTURAL LEAGUE OF NEW YORK 457 MADISON AVE NEW YORK, NY 10022-6843 6. BEACH PARTNERS. LLC 457 MADISON AVE NEW YORK. NY 100224843 7. BHP ENERGY INC. 457 MADISON AVE NEW YORK, NY 10022-6843 8. BOSS CARS, INCORPORATED 457 MADISON AVE NEW YORK, NY 10022-6843 9. DARA PARTNERS. L.P. 457 MADISON AVE NEW YORK, NY 10022-6843 10. DKI GRAPHICS. INC. 457 MADISON AVE For internal use only SDNY_GM_00064372 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027197 EFTA_00 I 74875 EFTA01298977 Page 4 Name Address NEW YORK, NY 10022-6843 11 DORSET DEVELOPMENT LLC 457 MADISON AVE NEW YORK, NY 10022-6843 12 EPSTEIN INTERESTS 457 MADISON AVE NEW YORK. NY 10022.6843 13 HERITAGE INTERESTS 457 MADISON AVE NEW YORK. NY 10022-6843 14 IMB CAPITAL LTD 457 MADISON AVE NEW YORK. NY 10022-6843 15 LEDERER DE PARIS FIFTH AVENUE, INC. 457 MADISON AVE NEW YORK, NY 10022-6843 16 MAMBA ENTERPRISE L.L.C. NEW YORK, NY 17 MEDICI FUND LLC 457 MADISON AVE NEW YORK. NY 10022-6843 18 METROPOLITAN WATERFRONT ALLIANCE 457 MADISON AVE NEW YORK, NY 10022-6843 19 MUNICIPAL ART SOCIETY 457 MADISON AVE NEW YORK, NY 100226843 20 N.Y.C.B.. LTD. 457 MADISON AVE NEW YORK, NY 10022-6843 21 NEW YORK FOUNDATION FOR ARCHITECTURE, 457 MADISON AVE INC. NEW YORK. NY 10022-6843 22 NEW YORK STRATEGY GROUP LLC 457 MADISON AVE NEW YORK, NY 10022-6843 23 NEW YORKERS FOR PARKS 457 MADISON AVE NEW YORK, NY 10022-6843 24 OSSA PROPERTIES. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 25 PARKS AND RECREATION 2001 NEW YORK. NY 26 PODELL SCHWARTZ SCHECHTER & BANFIELD NEW YORK, NY LLP 27 R.L. & G. CARS. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 28 RANDOM HOUSE, INC. 457 MADISON AVE NEW YORK. NY 10022-6843 29 RBNY, INC. 457 MADISON AVE NEW YORK. NY 10022-6843 30 SCHWARTZ. WEISS. STECKLER & HOFFMAN PC 457 MADISON AVE NEW YORK, NY 10022-6843 31 SEVENTH REGIMENT ARMORY CONSERVANCY 457 MADISON AVE INC NEW YORK, NY 10022-6843 32 SLOPPY'S VERMONT BARBEQUE LLC 457 MADISON AVE NEW YORK. NY 10022-6843 33 TAMCO INDUSTRIES 457 MADISON AVE NEW YORK. NY 10022-6843 34 THE ASSOCIATES OF THE ART COMMISSION INC 457 MADISON AVE NEW YORK. NY 100224843 35 THE HISTORIC DISTRICTS COUNCIL. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 36 URBAN (61) INC 457 MADISON AVE NEW YORK, NY 10022-6843 37 URBAN CENTER BOOKS 457 MADISON AVE NEW YORK, NY 10022-6843 38 URBAN DEVELOPMENT PARTNERS LLC 457 MADISON AVE NEW YORK. NY 100224843 39 URBAN MANAGEMENT PARTNERS LLC 457 MADISON AVE NEW YORK, NY 10022-6843 40 URBAN PARTNERS LLC 457 MADISON AVE NEW YORK. NY 10022-6843 For internal use only SDNY_GM_00064373 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027198 EFTA_00I741876 EFTA01298978 Page 5 Sources - 4 records found All Sources Business Finder UCC Lien Filings 4 Source Document(s) 2 Source Document(s) 2 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 2 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address FINANCIAL TRUST 6100 RED HOOK QTRS COMPANY, INC. ST THOMAS, VI 00802-1348 Name Variations/DBAs # Name Variations 1. FINANCIAL TRUST COMPANY, INC. Addresses - 2 records found # Address Dates 1. 6100 RED HOOK QTRS 8-3 11/26/2001 - ST THOMAS, VI 00802 7/2009 2. 6100 RED HOOK QTRS 7/21/2011 - ST THOMAS. VI 00802 7/21/2011 Executives -1 records found # Name 1. BRENNAN. JEANNE Business Associates - 5 records found # Name VICE PRESIDENT Address 1. BRILL - DEHAAS ST THOMAS, VI 2. CARIBBEAN SALOON ST THOMAS, VI 3. IRELAND-32, LTD. 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 4. J EPSTEIN & CO INC ST THOMAS. VI 5. MOF VI LIMITED PARTNERSHIP 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 Phone County/FIPS None Listed County MSA Titles Person Associates -1 records found For internal use only SDNY_GM_00064374 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027199 EFTA_00174877 EFTA01298979 Page 6 # Name 1. BRENNAN, JEANNE Sources - 4 records found All Sources Business Contacts Business Finder Address 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 4 Source Document(s) 1 Source Document(s) 3 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright. 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 1 OF 6 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS SOUTHERN FINANCIAL LLC ALTAMONTE SPRINGS, FL None Listed Name Variations/DBAs # Name Variations 1. SOUTHERN FINANCIAL LLC Phone Summary -1 records found # Telephone Number 1 (407) 788-1938 Addresses -1 records found # Address Dates County 1. 9/26/2003 - SEMINOLE ALTAMONTE SPRINGS, FL 32714 10/112003 Executives - 2 records found # Name 1. HARRIS, DAVID 2. PRICE. JOHN Person Associates - 2 records found # Name 1. HARRIS. DAVID Titles TREASURER, MANAGER MANAGER Address MSA LTAMONTE SPRINGS Fl 32714-2506 2. For internal use only CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027200 EFTA_00174.878 PRICE, JOHN SDNY_GM_00064375 EFTA01298980 Page 2 # Name Address ALTAMONTE SPRINGS. FL 32714-2506 Sources - 5 records found All Sources Business Contacts Business Finder 5 Source Document(s) 3 Source Document(s) 2 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 2 OF 6 RECORD(S) Subject Summary Name SOUTHERN FINANCIAL TRUST. LLC Name Variations/DBAs FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Address MARCO ISLAND. FL 34145- 2539 Phone County/FIPS None Listed # Name Variations 1. SOUTHERN FINANCIAL LW 2. SOUTHERN FINANCIAL TRUST, LLC Addresses - 4 records found # Address Dates County MSA 1 6/2005 - COLLIER Naples, FL - 5345 MARCO ISLAND. FL 34145 5/8/2010 2. 8/6/2010 - COLLIER MARCO ISLAND, FL 34145 11/8/2011 3. 10/12/2011 - COLLIER MARCO ISLAND, FL 34145 7/20/2012 4. 1/24/2012 - COLLIER MARCO ISLAND. FL 34145 5/10/2013 Profile Information - 6 records found 1: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC For internal use only SDNY_GM_00064376 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0027201 EFTA_00I7,1879 EFTA01298981 Page 3 1: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 2: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 3: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST. LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 4: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST. LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 5: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 6: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/182005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY Executives - 4 records found # Name Titles 1. JOHN. P NACHEF MEMBER MANAGER 2. NACHEF, JOHN P MEMBER MANAGER, MANAGER 3. NACHEF, JOHN P MANAGER 4. NACHEF. P CONTACT Registered Agents - 3 records found # Name 1. NACHEF JOHN 2. NACHEF JOHN Address MARCO ISLAND, FL 34145- MARCO ISLAND, FL 34145- 6730 For internal use only SDNY_GM_00064377 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0027202 EFTA_00I74.880 EFTA01298982 Page 4 # Name 3 NACHEF JOHN Address MARCO ISLAND, FL 34145- Company ID Numbers - 2 records found Company ID Numbers FEINs: 20-2862383 Sec. of State Charter No(s): FL. L05000049636 Real Property - 3 records found 1: Deed Record for COLLIER County Buyer Information MAC BUILDERS INC Name: Address: County/FIPS: Name: Address: County/FIPS: Data Source: Name: 2539 . FL 33027-1208 BROWARD Seller Information SOUTHERN FINANCIAL TRUST LLC MARCO ISLAND, FL 34145-2876 COLLIER Property Information B Lender Information FIRST SOUTHERN BANK Legal Information Assessors Parcel 00447760000 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Loan Amount: Loan Type: 12/15/2005 12/28/2005 3757375 WARRANTY DEED 3955/1362 Sale Information $3300000 Mortgage Information $2310000 UNKNOWN 2: Deed Record for COLLIER County Buyer Information SOUTHERN FINANCIAL TRUST LLC MARCO ISLAND, FL 34145-2876 COLLIER Seller Information ISLAND MON INVESTMENTS LLC NAPLES, FL 34103.4409 COLLIER Property Information Name: Address: County/FIPS: Name: Address: County/FIPS: For internal use only SDNY_GM_00064378 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027203 EFTA_00I741881 EFTA01298983 Page 5 Data Source: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: 3823/593 Sale Information Sale Price: $2500000 B Legal Information 00447760000 06/14/2005 06/16/2005 3640419 WARRANTY DEED 3: Assessment Record for COLLIER County, FL Owner Information SOUTHERN FINANCIAL TRUST LLC MARCO ISLAND, FL 34145-2876 COLLIER Property Information NAPLES. FL B Name: Address: County/FIPS: Address: Data Source: Assessor's Parcel Number: Recording Date: Book/Page: Sale Price: Assessed Value: Market Land Value: Total Market Value: Legal Information 447760000 06/16/2005 3823/593 Sale Information $2500000 Assessment Information $1440000 $1440000 $1440000 Business Associates - 39 records found # 1. Name 130 ARCADIA LLC Address 34145-2876 2. A TAN TODAY 34145-2876 3. ARCADIA MAPLE, LLC 34145-2876 4. CERTIFIED APPRAISERS MARCO ISLAND, FL 34145-2876 5. CYBER MARKETING 6. EDWARD H. D'ALESSANDRO, P.A. •34145-2876 7. EQUA WATER INVESTORS LLC 8. FESTIVAL DEVELOPERS, LLC tan 34145-2876 34145.2876 9. FIRST INTEGRITY BANK 34145.2876 10. FLHPHIU LLC For internal use only SDNY_GM_00064379 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027204 EFTA_00 174882 EFTA01298984 Page 6 # Name 11. GLOBAL GROUP OF COMPANYS LLC 12. GLOBAL LEASING GROUP LLC 13. ISLAND MORTGAGE 14. JDR PROPERTIES. LLC 15. JOHN P NACHEF. INC. 16 JPN HOMES LLC 17. MANATEE COFFEE. LLC 18. MARKET CENTER DEVELOPMENT, LLC 19. NATIONWIDE FUNDRAISERS I 20. NATIONWIDE LEAD SERVICES. INC. 21. NORTHWEST FINANCIAL TRUST., LLC 22. ORCHID MASSAGE 23. ORLANDO SALES CENTER LLC 24. PAUL J FREEMAN, P. A. 25. PEZ GORDON PRODUCTIONS INC 26. RTN INVESTORS, LLC 27. SOUTHERN FINANCIAL TRUST LLC 28. SOUTHWINDS INVESTMENT GROUP. INC. 29. STERLING BENEFITS INC 30. T 8 K WATERSPORTS, INC. 31. TABER DAVID 32. TC OFFICE ADMINISTRATION SERVICES 33. IC OFFICE ADMINISTRATION SEVICES 34. THE POPOFF GROUP INC 35. TROPICAL ISLAND INVSTMNTS LLC 36. TRU BACKGROUNDS LLC 37. US PRO CLEANING ENTERPRISE, INC. 38. WMIB 39. WORLD WIDE INFORMATION LLC Person Associates - 4 records found # Name 1. JOHN. P NACHEF Address AR L 34145-2876 MARCO ISLAND FL 34145.2876 MARCO ISLAND FL 34145.2876 34145.2876 34145-2876 MA RL 34145-2876 MA RL 34145-2876 34145-2876 34145-2876 miAF •arisi 34145-2876 AI MITIMIL 34145-2876 34145.2876 34145.2876 34145-2876 isms 34145-2876 NSW 34145-2876 MARC saO s, ISLAND, FL 34145-2876 MARCO ISLAND, FL 34145.2876 NSW 34145-6730 34145.2876 34145.2767 34145.2787 34145-2876 MARCO ISLAND FL 1414r5E 102 -2876 STE MARCO ISLAND. FL 34145-2876 RCO ISLAND FL STE 102 MARCO ISLAND. FL 34145.2539 Address For internal use only SDNY_GM_00064380 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027205 EFTA_00 I 74883 EFTA01298985 Page 7 # Name Address MARCO ISLAND FL 34145-2876 2. NACHEF, JOHN P STE 302 MARCO ISLAND FL 34145.2539 3. NACHEF, JOHN P 4. NACHEF, P MARCO ISLAND FL 34145.2876 MARCO ISLAND, FL 34145.2876 Sources - 18 records found All Sources 18 Source Document(s) Business Contacts 7 Source Document(s) Business Finder 7 Source Document(s) Corporate Filings 1 Source Document(s) Property 3 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual states Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 3 OF 6 RECORD(S) Subject Summary Name SOUTHERN FINANCIAL LLC FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Address CANTON, MS 39046-4300 Name Variations/DBAs # Name Variations 1. SOUTHERN FINANCIAL LLC Addresses -1 records found # Address 1. CANTON, MS 39046 Dates 6/1/2007 - 6/15/2007 Phone County/FIPS None Listed County MADISON Profile Information - 9 records found 1: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 6/15/2007 State Of Incorporation: MS Charter Number: 914179 Duration: PERPETUAL Status Of Incorporation: INTENT TO DISSOLVE - AR Corporation Structure: LIMITED LIABILITY COMPANY For internal use only MSA Jackson. MS - 3560 SDNY_GM_00064381 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027206 EFTA_00I 74884 EFTA01298986 Page 8 2: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Duration: Status Of Incorporation: Corporation Structure: 3: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Duration: Status Of Incorporation: Corporation Structure: 4: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Duration: Status Of Incorporation: Corporation Structure: 5: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Duration: Status Of Incorporation: Corporation Structure: 6: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Duration: Status Of Incorporation: Corporation Structure: 7: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 8: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: LLC SOUTHERN FINANCIAL LLC 6/1512007 MS 914179 PERPETUAL GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL. LLC 6/15/2007 MS 914179 PERPETUAL GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 6/15/2007 MS 914179 PERPETUAL GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 6/15/2007 MS 914179 PERPETUAL GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 6/15/2007 MS 914179 PERPETUAL GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 6/15/2007 MS 914179 GOOD STANDING LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 6/15/2007 MS 914179 GOOD STANDING LIMITED LIABILITY COMPANY For internal use only SDNY_GM_00064382 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027207 EFTA_00 I 74885 EFTA01298987 Page 9 9: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 6/15/2007 State Of Incorporation: MS Charter Number: 914179 Status Of Incorporation: GOOD STANDING Corporation Structure: LIMITED LIABILITY COMPANY Registered Agents -1 records found # Name Address 1 WIMBERLY, DAVID WAYNE, JR CANTON, MS 390464300 Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): MS, 914179 Business Associates - 5 records found # 1. 2. Name AMERICAN LENDING LLC AMERICASH CASH ADVANCE Address ANT N M 64300 3. AMERICASH LENDING LLC i firaria46-4300 4. CANTON SURPLUS SALES CANTON MS 39046-4300 5. U-HAUL CO CANTON MS 39046-4300 CANTON. MS 39046-4300 Person Associates -1 records found # Name 1. WIMBERLY JR, DAVID WAYNE Sources - 3 records found All Sources Business Contacts Business Finder Corporate Filings Address CANTON. MS 39046-4300 3 Source Document(s) 1 Source Document(s) 1 Source Document(s) 1 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copynghte 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 4 OF 6 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. For internal use only SDNY_GM_00064383 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027208 EFTA_OOI 74886 EFTA01298988 Page 10 Subject Summary Name SOUTHERN FINANCIAL LLC Address BATON ROUGE, LA 70817- 6924 Name Variations/DBAs # Name Variations 1. SOUTHERN FINANCIAL. LLC Addresses - 1 records found # Address 1 BATON ROUGE LA 70817 Dates 1/28/2008 - 5/1712011 Profile Information - 22 records found 1: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 2: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 3: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 4: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 5: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 6: SOUTHERN FINANCIAL, Company Name: Date Of Incorporation: Charter Number: Status Of Incorporation: Phone County/FIPS None Listed County MSA EAST BATON ROUGE Baton Rouge. LA - 0760 LLC SOUTHERN FINANCIAL LLC 1/28/2008 36650479K INACTIVE LOUISIANA LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL LLC 1/28/2008 36650479K INACTIVE LOUISIANA LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 1/28/2008 36650479K INACTIVE LOUISIANA LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 1/28/2008 36656479K INACTIVE LOUISIANA LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 1/28/2008 36650479K INACTIVE LOUISIANA LIMITED LIABILITY COMPANY LLC SOUTHERN FINANCIAL, LLC 1/28/2008 36650479K INACTIVE For internal use only SDNY_GM_00064384 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027209 EFTA_00174887 EFTA01298989 Page I 1 6: SOUTHERN FINANCIAL, LLC Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 7: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 8: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 9: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 10: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 11: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/282008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 12: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: INACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 13: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 14: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 15: SOUTHERN FINANCIAL, LLC For internal use only SDNY_GM_00064385 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027210 EFTA_00I74.8118 EFTA01298990 Page 12 15: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 16: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 17: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 18: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 19: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 20: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 21: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY 22: SOUTHERN FINANCIAL, LLC Company Name: SOUTHERN FINANCIAL, LLC Date Of Incorporation: 1/28/2008 Charter Number: 36650479K Status Of Incorporation: ACTIVE Corporation Structure: LOUISIANA LIMITED LIABILITY COMPANY Executives - 2 records found # Name Titles 1. HOLLIS, JEREMY DALE MEMBER 2. HOLLIS, LAURA DAVIS MEMBER For internal use only SDNY_GM_00064386 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027211 EFTA_00174.889 EFTA01298991 Page 13 Registered Agents -1 records found # Name 1. JEREMY DALE HOLLIS Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): LA, 36650479K Business Associates - 4 records found # Name Addres U 1. HOLLIS PROPERTIES LLC 2. HOLLIS PROPERTIES. L L C 817-6924 3. ISO PARTS INC AT ROUGE, LA 70817-6924 4. J L INVESTORS, LLC T UGE LA 70817-6924 Address 6924 BATON ROUGE. LA 70817- Person Associates - 2 records found # Name 1. HOLLIS, JEREMY DALE 2. HOLLIS. LAURA DAVIS Sources - 8 records found All Sources Business Contacts Business Finder Corporate Filings BATON ROUGE. LA 70817-6924 Addres - 817-6924 BATON ROUGE, LA, 70817-6924 8 Source Document(s) 4 Source Document(s) 3 Source Document(s) 1 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copynght. 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 5 OF 6 RECORD(S) Subject Summary Name SOUTHERN FINANCIAL LLC FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Address Phone County/FIPS None Listed CINCINNATI, OH 45202-2409 For internal use only CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027212 EFTA_00174.890 Name Variations/DBAs SDNY_GM_00064387 EFTA01298992 Page 14 # Name Variations 1 SOUTHERN FINANCIAL LLC Addresses -1 records found # Address Dates County 1. 600 VINE ST 2800 3/25/2008 - HAMILTON CINCINNATI, OH 45202 4/1/2008 Profile Information - 6 records found 1: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING 2: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING 3: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING 4: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING 5: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING 6: SOUTHERN FINANCIAL LLC Company Name: SOUTHERN FINANCIAL LLC Date Of Incorporation: 3/25/2008 Charter Number: 1768910 Status Of Incorporation: IN GOOD STANDING Registered Agents -1 records found # Name 1 U-B CORPORATION Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): OH, 1768910 Sources - 2 records found All Sources Address 2409 For internal use only MSA CINCINNATI, OH 45202- 2 Source Document(s) SDNY_GM_00064388 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027213 EFTA_00I74891 EFTA01298993 Page 15 Business Finder 1 Source Document(s) Corporate Filings 1 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 6 OF 6 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name BER-JON REALTY LLC Name Variations/DBAs # Name Variations 1. BENJON REALTY LLC 2. BER- JON REALTY LLC 3. SOUTHERN FINANCIAL LLC 4. SOUTHERN TR FINANCIAL LLC 5. SOUTHERN TRUST FINANCIAL LLC Addresses - 6 records found # Address Dates County MSA 1. CORAL SPRINGS. FL 33065 11/2009 - BROWARD Fort Lauderdale, FL - 2680 8/10/2012 2 6/2011 - BROWARD CORAL SPRINGS. FL 33076 6/2011 3 108 10/12/2011 - BROWARD Fort Lauderdale. CORAL SPRINGS. FL 33076 FL - 2680 8/10/2012 4. 4/18/2012 - BROWARD TAMARAC, FL 33321 5/10/2013 5. 7/20/2012 - BROWARD CORAL SPRINGS, FL 33076 7/20/2012 6. 7/20/2012 - BROWARD CORAL SPRINGS, FL 33075 Address CORAL SPRINGS, FL 33065- 3937 Phone County/FIPS None Listed For internal use only SDNY_GM_00064389 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027214 EFTA_00174892 EFTA01298994 Page 16 # Address Dates 5/10/2013 Profile Information - 11 records found 1: BER-JON REALTY LLC Company Name: BER-JON REALTY LLC Date Of Incorporation: 10/16/2009 State Of Incorporation: FL Charter Number: L09000100046 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 2: BER-JON REALTY LLC Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 3: BER-JON REALTY LLC Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 4: BER-JON REALTY LLC Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: 5: BER-JON REALTY LLC Company Name: Date Of Incorporation: State Of Incorporation: Charter Number: Status Of Incorporation: Corporation Structure: BER-JON REALTY LLC 10/16/2009 FL L09000100046 ACTIVE FLORIDA LIMITED LIABILITY County BER-JON REALTY LLC 10/16/2009 FL L09000100046 INACTIVE FLORIDA LIMITED LIABILITY BER-JON REALTY LLC 10/16/2009 FL L09000100046 ACTIVE FLORIDA LIMITED LIABILITY BER-JON REALTY LLC 10/16/2009 FL L09000100046 ACTIVE FLORIDA LIMITED LIABILITY 6: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/22/2010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 7: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/22/2010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY For internal use only MSA SDNY_GM_00064390 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027215 EFTA_00 174893 EFTA01298995 Page 17 8: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/22/2010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 9: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/2212010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 10: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/22/2010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 11: SOUTHERN TRUST FINANCIAL LLC Company Name: SOUTHERN TRUST FINANCIAL LLC Date Of Incorporation: 2/22/2010 State Of Incorporation: FL Charter Number: L10000019642 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY Executives - 8 records found # Name Titles 1. BERNARD, LEIBOV MANAGER 2. BRETT. GREENE MANAGER 3. GREENE. BRETT MEMBER MANAGER, MEMBER MANAGER. MEMBER MANAGER, MANAGER 4. GREENE. JOHN MEMBER MANAGER. MEMBER MANAGER. MANAGER 5. JEFF. PEZONE MANAGER 6. JOHN, GREENE MANAGER 7. LEIBOV, BERNARD M MEMBER MANAGER, MEMBER MANAGER, MANAGER 8. PEZONE. JEFF MANAGER Registered Agents - 6 records found # Name 1. FILINGS, INC. 2. GREENE BRETT J 3. GREENE 4. GREENE 5. GREENE 6. LEIBOV BRETT J BRETT J JOHN M BERNARD M Company ID Numbers - 3 records found Address LA UDERHILL. FL 33311-4132 3937 3127 CORAL SPRINGS. FL 33075- 2001 TAMARAC, FL 33321-1659 CORAL SPRINGS. FL 33065- 6607 CORAL SPRINGS, FL 33065- CORAL SPRINGS, FL 33076- For internal use only SDNY_GM_00064391 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027216 EFTA_00I7,1894 EFTA01298996 Page 18 Company ID Numbers FEINs: 27-1224537 Sec. of State Charter No(s): FL, L09000100046 FL, L10000019642 Real Property - 53 records found 1: Deed Record for BROWARD County Buyer Information GREEN. JONATHAN TAMARAC, FL 33321-1659 BROWARD Seller Information BER JON REALTY LLC. CORAL SPRINGS. FL 33065-3937 BROWARD Pro ert Information TAMARAC. FL 33321-1659 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 4941 04 46 0580 Number: Contract Date: 10/04/2012 Recording Date: 10/09/2012 Document Number: 111047512 Document Type: QUIT CLAIM DEED Book/Page: 49143/1001 Mortgage Information Title Company: ATTORNEY 2: Deed Record for BROWARD County Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Buyer Information GREEN JONATHAN TAMARAC. FL 33321-1659 BROWARD Seller Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065.3937 BROWARD Pro e Information NORTH LAUDERDALE. FL 33068-1357 BROWARD B Assessors Parcel Legal Information 4941 02 10 1120 Number: For internal use only SDNY_GM_00064392 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027217 EFTA_00 174895 EFTA01298997 Page 19 Contract Date: 10/04/2012 Recording Date: 10/09/2012 Document Number: 111047513 Document Type: QUIT CLAIM DEED Book/Page: 49143/1002 Mortgage Information Title Company: ATTORNEY 3: Assessment Record for BROWARD County, FL Owner Information Name: BER-JON REALTY Address: CORAL SPRINGS, FL 33065.3937 County/FIPS: BROWARD Pro e Information NORTH LAUDERDALE. FL 33068-1015 BROWARD Address: County/FIPS: Data Source: B Legal Information Assessors Parcel 49-41-03-11-2230 Number: Recording Date: 03/15/2010 Book/Page: 46940/995 Assessment Information Market Land Value: $17720 Market Improvement $58090 Value: Total Market Value: $75810 4: Deed Record for BROWARD County Buyer Information AARON. RANDOLPH NORTH LAUDERDALE. FL 33068-3656 Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Name: BROWARD Seller Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065-3937 BROWARD Pro e Information NORTH LAUDERDALE, FL 33068-3656 BROWARD B Lender Information BER JON REALTY LLC Legal Information Assessor's Parcel 4941 02 17 0050 Number: Contract Date: 12/13/2011 For internal use only SDNY_GM_00064393 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027218 EFTA_00174896 EFTA01298998 Page 20 Recording Date: Document Number: Document Type: Book/Page: Sale Price: Loan Amount: Loan Type: Title Company: 12/21/2011 110446911 WARRANTY DEED 48388/1314 Sale Information $118000 Mortgage Information $108500 SELLER TAKE-BACK CAPITAL ABSTRACT & TITLE 5: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC. CORAL SPRINGS. FL 33065-3937 BROWARD Seller Information PEOPLES. AUDREY NORTH LAUDERDALE, FL 33068.1357 BROWARD Pro ert Information NORTH LAUDERDALE, FL 33068-1357 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessors Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: B Legal Information 4941 02 10 1120 09/05/2011 10/09/2012 111047510 WARRANTY DEED 49143/998 Sale Information $149000 Mortgage Information ATTORNEY 6: Assessment Record for BROWARD County, FL Owner Information BER-JON REALTY LLC CORAL SPRINGS, FL 33065.3937 BROWARD Pr om o rt Information NORTH LAUDERDALE, FL 33068-3656 BROWARD B Name: Address: County/FIPS: Address: County/FIPS: Data Source: Legal Information For internal use only SDNY_GM_00064394 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0027219 EFTA_00 174897 EFTA01298999 Page 21 Assessor's Parcel 49-41-02-17-0050 Number: Recording Date: 08/10/2010 Book/Page: 47335/781 Sale Information Sale Price: $64600 Assessment Information Market Land Value: $27000 Market Improvement $46080 Value: Total Market Value: $73080 7: Assessment Record for BROWARD County, FL Owner Information Name: BER-JON REALTY Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Pro e Information NORTH LAUDERDALE, FL 33068.1015 BROWARD Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 49-41-03-11-2230 Number: Recording Date: 03/15/2010 Book/Page: 46940/995 Assessment Information Market Land Value: $17720 Market Improvement $54470 Value: Total Market Value: $72190 8: Assessment Record for BROWARD County, FL Owner Information Name: BER- JON REALTY LLC Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Porainformation Address: TAMARAC. FL 333214659 County/FIPS: Data Source: B BROWARD Legal Information Assessor's Parcel 49-41-04-46-0580 Number: Recording Date: 06/03/2010 Book/Page: 47180/87 Sale Information Sale Price: $215000 For internal use only SDNY_GM_00064395 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027220 EFTA_00 174898 EFTA01299000 Pace 22 Assessment Information Market Land Value: $42000 Market Improvement $173680 Value: Total Market Value: $215680 9: Deed Record for BROWARD County Buyer Information Name: BER JON REALTY LLC, Address: CORAL SPRINGS, FL 33065.3937 County/FIPS: Name: Name: Name: Name: Data Source: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: BROWARD Seller Information BURROWS RICHARD BURROWS JANA BANK OF AMERICA NA CACE-09-046714 DIVISION 13 Property Information B Legal Information 08/23/2010 08/27/2010 109550964 TRUSTEE'S DEED - (CERTIFICATE OF TITLE) 47335/781 Sale Information $64600 Mortgage Information NONE AVAILABLE 10: Deed Record for BROWARD County Buyer Information DUNCAN. ROBERT DUNCAN, TATIANA Name: Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: CORAL SPRINGS, FL 33076-2130 BROWARD Seller Information BER JON REALTY LLC, CORAL SPRINGS. FL 33065-3937 BROWARD Pro e Information CORAL SPRINGS. FL 33076.2130 BROWARD B Legal Information Assessor's Parcel 48-41-08-11-021 Number: Contract Date: 07/30/2010 For internal use only SDNY_GM_00064396 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027221 EFTA_00174899 EFTA01299001 Page 23 Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: 08/04/2010 109500531 WARRANTY DEED 47277/1912 Sale Information $249000 Mortgage Information FLORIDA HOME TITLE COMPANY 11: Deed Record for BROWARD County Buyer Information GAYLE. KEITH GAYLE. FAY GAYLE. LATOYA SOUTH BAY, FL 33493-0518 PALM BEACH Seller Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065.3937 BROWARD PropertyInformation NORTH LAUDERDALE. FL 33068-2713 BROWARD Name: Name: Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Name: B Lender Information GUARANTEED RATE INC Legal Information Assessor's Parcel 49-41-01-06-0970 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Loan Amount: Loan Type: Title Company: 07/19/2010 07/21/2010 109468619 WARRANTY DEED 47242/1617 Sale Information $136000 Mortgage Information $134192 FHA ATTORNEY 12: Deed Record for BROWARD County Buyer Information Name: BERJON REALTY LLC Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Seller Information For internal use only SDNY_GM_00064397 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027222 EFTA_00 174900 EFTA01299002 Page 24 Name: Address: County/FIPS: Address: County/FIPS: Data Source: MERRILL LYNCH CREDIT CORPORATION. 150 ALLEGHENY CENTER MALL PITTSBURGH, PA 15212-5335 ALLEGHENY Pro ert Information TAMARAC, FL 33321-1659 BROWARD B Legal Information Assessor's Parcel 49-41-04-46-0580 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: 47180/87 Sale Information $215000 Mortgage Information RESOURCE TITLE AGENCY INC Sale Price: Title Company: 06/02/2010 06/29/2010 109414245 SPECIAL WARRANTY DEED 13: Deed Record for BROWARD County Buyer Information THOMAS, WAYNE THOMAS, NICOLE NORTH LAUDERDALE. FL 33068-3937 BROWARD Seller Information BER JON REALTY LLC. CORAL SPRINGS. FL 33065-3937 BROWARD Prosy Information NORTH LAUDERDALE, FL 33068-3937 BROWARD Name: Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Name: B Lender Information WELLS FARGO BANK NA Legal Information Assessor's Parcel 49-41-01-38-0090 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: 05/28/2010 06/14/2010 109382236 WARRANTY DEED 47143/1531 Sale Information $141000 Mortgage Information For internal use only SDNY_GM_00064398 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027223 EFTA_00 174901 EFTA01299003 Page 25 Loan Amount: $138040 Loan Type: FHA Title Company: ATTORNEY 14: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065.3937 BROWARD Seller Information SAN ANTONIO MICHAEL A SAN ANTONIO, LEAH SUWANEE, GA 30024-3447 Name: Address: County/FIPS: Name: Name: Address: County/FIPS: Address: County/FIPS: Data Source: FORSYTH Property Information NORTH LAUDERDALE, FL 33068-3937 BROWARD Legal Information Assessor's Parcel 49-41-01-38-009 Number: Contract Date: 05/24/2010 Recording Date: 06/14/2010 Document Number: 109382235 Document Type: QUIT CLAIM DEED Book/Page: 47143/1529 Mortgage Information Title Company: ATTORNEY 15: Deed Record for BROWARD County Buyer Information GALLIVAN. CAROL Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: MARGATE, FL 33063-8327 BROWARD Seller Information BER JON REALTY LLC, CORAL SPRINGS, FL 33065-3937 BROWARD Pr ~ Pro ert Information MARGATE, FL 33063-8327 BROWARD B Legal Information Assessor's Parcel 48.41.24-30.110 Number: Contract Date: 05/10/2010 Recording Date: 05/17/2010 For internal use only SDNY_GM_00064399 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027224 EFTA_00 174902 EFTA01299004 Page 26 Document Number: 109336058 Document Type: WARRANTY DEED Book/Page: 47090/648 Sale Information Sale Price: $222000 Mortgage Information Title Company: BLADE TITLE COMPANY 16: Deed Record for BROWARD County Buyer Information BER JON REALTY, CORAL SPRINGS, FL 33065.3937 BROWARD Seller Information LEIBOV, BERNARD TAMARAC, FL 33321-2711 BROWARD Pro e Information NORTH LAUDERDALE, FL 33068.1015 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 49-41-03-11-223 Number: Contract Date: 03/15/2010 Recording Date: 03/15/2010 Document Number: 109207032 Document Type: WARRANTY DEED Book/Page: 46940/995 Mortgage Information Title Company: ATTORNEY 17: Deed Record for ST LUCIE County Buyer Information Name: WPG GROUP LLC. Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: Name: Address: County/FIPS: Address: Data Source: BROWARD Seller Information BER JON REALTY LLC, CORAL SPRINGS, FL 33065.3937 BROWARD Pro n$ Information B Legal Information Assessors Parcel 2409-606-0029-000-0 Number: For internal use only SDNY_GM_00064400 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0027225 EFTA_00 174903 EFTA01299005 Page 27 Contract Date: 03/15/2010 Recording Date: 03/24/2010 Document Number: 3454324 Document Type: QUIT CLAIM DEED Book/Page: 3181/1214 Mortgage Information Title Company: ATTORNEY 18: Deed Record for BROWARD County Buyer Information MCNEIL, DAPHNE Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: NORTH LAUDERDALE. FL 33068-2500 BROWARD Seller Information BER JON REALTY LLC CORAL SPRINGS, FL 33065-3937 BROWARD Pro e Information NORTH LAUDERDALE, FL 33068-2500 BROWARD B Lender Information Name: BER JON REALTY LLC Legal Information Assessor's Parcel 49.41-01-12-1090 Number: Contract Date: 03/04/2010 Recording Date: 03/25/2010 Document Number: 109232668 Document Type: WARRANTY DEED Book/Page: 46969/234 Sale Information Sale Price: $156000 Mortgage Information Loan Amount: $149000 Loan Type: SELLER TAKE-BACK Title Company: CAPITAL ABSTRACT & TITLE 19: Deed Record for BROWARD County Buyer Information BER-JON REALTY LLC. CORAL SPRINGS, FL 33065-3937 BROWARD Seller Information FEDERAL NATIONAL MORTGAGE ASSOCIATION, FANNIE MAE, PO BOX 650043 DALLAS, TX 75265-0043 Name: Address: County/FIPS: Name: Name: Address: For internal use only SDNY_GM_00064401 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SDNY-0027226 EFTA_00 174904 EFTA01299006 Page 28 County/FIPS: Address: County/FIPS: Data Source: Assessors Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: DALLAS Pro e Information NORTH LAUDERDALE, FL 33068-2713 BROWARD B Legal Information 49.41-01-06-0970 02/03/2010 02/17/2010 109156696 SPECIAL WARRANTY DEED 46883/407 Sale Information $70000 Mortgage Information ATTORNEY 20: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC. CORAL SPRINGS. FL 33065-3937 BROWARD Seller Information QUACK TAM TRAN, LINH SUNTRUST BANK BANKUNITED FSB CASE #CACE08-056065 DIV 09 Pro ms yl MARGATE, FL 33063-8327 BROWARD B Name: Address: County/FIPS: Name: Name: Name: Name: Name: Address: County/FIPS: Data Source: Legal Information Assessor's Parcel 48-41-24-30-1100 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: 02/02/2010 02/11/2010 109147846 TRUSTEES DEED - (CERTIFICATE OF TITLE) 46873/396 Sale Information $116300 Mortgage Information NONE AVAILABLE 21: Deed Record for BROWARD County For internal use only CONFIDENTIAL — PURSUANT TO FED. R.QQN(FIDENTIAL SDNY_GM_00064402 DB-SDNY-0027227 EFTA_00 174905 EFTA01299007 Page 29 Name: Address: County/FIPS: Name: Name: Address: County/FIPS: Data Source: Buyer Information BER JON REALTY LLC, CORAL SPRINGS, FL 33065-3937 BROWARD Seller Information NUNEZ. MADELINE WELLS FARGO BANK NA, Pr e formation CORAL SPRINGS. FL 33076-2130 BROWARD B Legal Information Assessors Parcel 48-41-08-11-021 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: 01/20/2010 01/2512010 109101995 TRUSTEES DEED - (CERTIFICATE OF TITLE) 46819/823 Sale Information $175100 Mortgage Information ATTORNEY 22: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065-3937 BROWARD Seller Information BENITEZ, REINALDO FREMONT INVESTMENT & LOAN, MORTGAGE ELECTRONIC REGISTRATION SYSTEMS VAN DYKE. DARREN MAGUIRE. DEBRAW SAN ANTONIO, LEA SANANTONIO, MICHAEL A VILLATORO, TERESA D US BANK NATIONAL ASSOCIATION CASE #2008-CA-023083-25 Property Information NORTH LAUDERDALE. FL 33068-3937 BROWARD B Name: Address: County/FIPS: Name: Name: Name: Name: Name: Name: Name: Name: Name: Name: Address: County/FIPS: Data Source: Assessors Parcel Number: Legal Information 49-41-01-38-009 For internal use only SDNY_GM_00064403 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027228 EFTA_00 174906 EFTA01299008 Page 30 Contract Date: 01/20/2010 Recording Date: 01/25/2010 Document Number: 109101996 Document Type: TRUSTEES DEED - (CERTIFICATE OF TITLE) Book/Page: 46819/825 Sale Information Sale Price: $70000 Mortgage Information Title Company: ATTORNEY 23: Assessment Record for BROWARD County, FL Owner Information Name: BER-JON REALTY LLC Address: CORAL SPRINGS. FL 33065-3937 County/FIPS: BROWARD Pro e Information Address: NORTH LAUDERDALE. FL 33068-3656 County/FIPS: BROWARD Data Source: B Legal Information Assessors Parcel 49-41-02-17-0050 Number: Recording Date: 08/10/2010 Book/Page: 47335/781 Sale Information Sale Price: $64600 Assessment Information Assessed Value: $97160 Market Land Value: $33000 Market Improvement $64160 Value: Total Market Value: $97160 24: Assessment Record for BROWARD County, FL Owner Information Name: BER-JON REALTY Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Property Information Address: NORTH LAUDERDALE, FL 33068.1015 County/FIPS: Data Source: BROWARD Legal Information Assessors Parcel 49-41-03-11-2230 Number: Recording Date: 03/15/2010 Book/Page: 46940/995 Assessment Information For internal use only SDNY_GM_00064404 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0027229 EFTA_00174907 EFTA01299009 Page 31 Assessed Value: $84660 Market Land Value: $22140 Market Improvement $62520 Value: Total Market Value: $84660 25: Assessment Record for BROWARD County, FL Owner Information Name: BER- JON REALTY LLC Address: CORAL SPRINGS, FL 33065.3937 County/FIPS: Address: County/FIPS: Data Source: BROWARD Pro e Information TAMARAC. FL 33321-1659 BROWARD B Legal Information Assessor's Parcel 49-41-04-46-0580 Number: Recording Date: 06/03/2010 Book/Page: 47180/87 Sale Information Sale Price: $215000 Assessment Information Assessed Value: $209680 Market Land Value: $36000 Market Improvement $173680 Value: Total Market Value: $209680 26: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065-3937 BROWARD Seller Information STERLING. KAREN E INDYMAC BANK FSB. Pro e Information NORTH LAUDERDALE, FL 33068-2500 BROWARD Name: Address: County/FIPS: Name: Name: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 49-41.01-12-1090 Number: Contract Date: 12/29/2009 Recording Date: 01/07/2010 Document Number: 109073521 For internal use only SDNY_GM_00064405 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027230 EFTA_00 174908 EFTA01299010 Page 32 Document Type: TRUSTEES DEED - (CERTIFICATE OF TITLE) Book/Page: 46785/490 Sale Information Sale Price: $92500 Mortgage Information ATTORNEY Title Company: 27: Deed Record for ST LUCIE County Buyer Information BER JON REALTY LLC. CORAL SPRINGS, FL 33065.3937 BROWARD Seller Information FEDERAL NATIONAL MORTGAGE ASSOCIATION. FANNIE MAE. PO BOX 650043 DALLAS, TX 75265-0043 DALLAS Pro e Information FORT PIERCE, FL 34950-5807 ST. LUCIE Name: Address: County/FIPS: Name: Name: Address: County/FIPS: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 2409-606-0029-000-0 Number: Contract Date: 12/29/2009 Recording Date: 01/12/2010 Document Number: 3429894 Document Type: SPECIAL WARRANTY DEED Book/Page: 3161/1894 Sale Information Sale Price: $22000 Mortgage Information Title Company: ATTORNEY 28: Deed Record for BROWARD County Buyer Information BER JON REALTY LLC, CORAL SPRINGS, FL 33065.3937 BROWARD Seller Information Name: 1ST USA REAL ESTATE LLC, Address: CORAL SPRINGS. FL 33065-3937 County/FIPS: BROWARD Property Information Data Source: Name: Address: County/FIPS: Contract Date: B Legal Information 11/25/2009 For internal use only CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL SDNY_GM_00064406 DB-SONY-0027231 EFTA_00 174909 EFTA01299011 Page 33 Recording Date: 11/30/2009 Document Number: 108999536 Document Type: WARRANTY DEED Book/Page: 46695/1789 Mortgage Information Title Company: CAPITAL ABSTRACT & TITLE 29: Deed Record for BROWARD County Buyer Information ADALWIN LLC, Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: FORT LAUDERDALE, FL 33301-1289 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC. CORAL SPRINGS. FL 33076-2507 BROWARD Property Information 256 NW 79TH TER MARGATE. FL 33063-4732 BROWARD B Legal Information 48-41-35-04-149 03/07/2013 03/11/2013 111380044 WARRANTY DEED 49585/232 Sale Information $196900 Mortgage Information ATTORNEY 30: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33075-8670 BROWARD Seller Information PEZONE JEFF Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: PALM BEACH BROWARD B BOCA RATON, FL 33434-2557 Information FORT LAUDERDALE, FL 33312-1821 Legal Information For internal use only SDNY_GM_00064407 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0027232 EFTA_00174910 EFTA01299012 Page 34 Assessor's Parcel 50-42-07-06-161 Number: Contract Date: 02/14/2013 Recording Date: 03/15/2013 Document Number: 111392279 Document Type: QUIT CLAIM DEED Book/Page: 49601/130 Mortgage Information Title Company: NONE AVAILABLE 31: Deed Record for BROWARD County Buyer Information ADALWIN LLC, FORT LAUDERDALE, FL 33301-1162 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33076-2507 BROWARD Property Information B Name: Address: County/FIPS: Name: Address: County/FIPS: Data Source: Legal Information Assessor's Parcel 484902-08-2540 Number: Contract Date: 01/30/2013 Recording Date: 01/31/2013 Document Number: 111292189 Document Type: WARRANTY DEED Book/Page: 49466/539 Sale Information Sale Price: $137900 Mortgage Information Title Company: ATTORNEY 32: Deed Record for BROWARD County Buyer Information Name: SOUTHERN TRUST FINANCIAL LLC, Address: CORAL SPRINGS, FL 33065.3937 County/FIPS: BROWARD Seller Information Name: ABREU. CARLOS COMES 2.ror.liformation AddreSS: CORAL SPRINGS, FL 33065-3015 County/FIPS: BROWARD Data Source: Legal Information Assessors Parcel 484114-BB-0020 For internal use only SDNY_GM_00064408 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SDNY-0027233 EFTA_00 I 7491 I EFTA01299013 Page 35 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Title Company: 01/23/2013 02/14/2013 111326727 QUIT CLAIM DEED 49512/1544 Mortgage Information NONE AVAILABLE 33: Deed Record for BROWARD County Buyer Information ABREU CARLOS GOMES Seller Information Name: SOUTHERN TRUST FINANCIAL LLC. Address: CORAL SPRINGS. FL 33065-3937 County/FIPS: Name: Address: County/FIPS: Data Source: BROWARD Pr e f Pro ert Information CORAL SPRINGS, FL 33065-3015 BROWARD Legal Information Assessor's Parcel 484114-AN-0060 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: 49512/1545 Mortgage Information Title Company: NONE AVAILABLE 34: Deed Record for BROWARD County Buyer Information GREENE. JONATHAN TAMARAC. FL 33321-1659 BROWARD Seller Information BER JON REALTY LLC. 3rortairformation TAMARAC. FL 33321-1659 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Data Source: Name: Assessor's Parcel Number: 01/17/2013 02/14/2013 111326728 QUIT CLAIM DEED Lender Information LANDAMERICA FINANCIAL GROUP INC ISAOA/AT Legal Information 494104-46-0580 For internal use only SDNY_GM_00064409 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SDNY-0027234 EFTA_00I749I2 EFTA01299014 Page 36 Contract Date: Recording Date: Document Number: Document Type: Book/Page: Loan Amount: Loan Type: Title Company: 01/10/2013 01/16/2013 111260069 CORRECTION DEED 49424/603 Mortgage Information $145000 NEW CONVENTIONAL NONE AVAILABLE 35: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33075-8670 BROWARD Seller Information STACY, NIKKI Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: MARGATE. FL 33063-5018 BROWARD Property Information MARGATE. FL 33063-5018 BROWARD B Legal Information Assessor's Parcel 48.41.36.18-047 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: 49278/1705 Sale Information Sale Price: $85000 Mortgage Information Title Company: CAPITAL ABSTRACT & TITLE 36: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS. FL 33075-8670 BROWARD Seller Information NUNEZ, OLGA Name: Address: County/FIPS: Name: Address: County/FIPS: Address: 11/20/2012 11/29/2012 111149862 WARRANTY DEED CORAL SPRINGS, FL 33065-6866 BROWARD ltor.ormation CORAL SPRINGS, FL 33065-6866 For internal use only SDNY_GM_00064410 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0027235 EFTA_00I749I3 EFTA01299015 Page 37 County/FIPS: BROWARD Data Source: B Legal Information Assessors Parcel 48.41-20-BD-001 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Title Company: 11/01/2012 11/022012 111100278 QUIT CLAIM DEED 49213/1850 Mortgage Information NONE AVAILABLE 37: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33075-8670 BROWARD Seller Information GREENE, BRETT CORAL SPRINGS, FL 33075-8670 BROWARD Property Information 427 SW 80TH AVE NORTH LAUDERDALE, FL 33068-1124 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 49-41-02-08-254 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Title Company: 11/01/2012 11/02/2012 111100279 QUIT CLAIM DEED 49213/1852 Mortgage Information NONE AVAILABLE 38: Deed Record for BROWARD County Buyer Information TAUS. CHAIM Name: Address: County/FIPS: Name: Address: County/FIPS: LOS ANGELES, CA 90035-3507 LOS ANGELES Seller Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33076-2507 BROWARD Property Information For internal use only SDNY_GM_00064411 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SONY-0027236 EFTA_00I749I4 EFTA01299016 Page 38 Address: County/FIPS: BROWARD Data Source: B NORTH LAUDERDALE. FL 33068-5447 Legal Information Assessors Parcel 49.41-11-19-0298 Number: Contract Date: 07/31/2012 Recording Date: 07/31/2012 Document Number: 110913504 Document Type: CORRECTION DEED Book/Page: 48956/1010 Mortgage Information Title Company: CAPITAL ABSTRACT & TITLE 39: Deed Record for BROWARD County Buyer Information Name: SOUTHERN TRUST FINANCIAL LLC, Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Seller Information PEZONE JEFF Name: Address: County/FIPS: Address: County/FIPS: Data Source: BOCA RATON, FL 33434-2557 PALM BEACH Pr e Pro ert Information NORTH LAUDERDALE, FL 33068-5447 BROWARD B Legal Information Assessor's Parcel 49-41-11-19-0298 Number: Contract Date: 07/17/2012 Recording Date: 07/17/2012 Document Number: 110885353 Document Type: SPECIAL WARRANTY DEED Book/Page: 48919/132 Mortgage Information Title Company: CAPITAL ABSTRACT & TITLE 40: Deed Record for BROWARD County Name: Address: County/FIPS: Name: Address: County/FIPS: Buyer Information SHES PROPERTY LLC. PARKLAND. FL 33076-2322 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC, APT 108 CORAL SPRINGS, FL 33076.3127 BROWARD For internal use only SDNY_GM_00064412 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0027237 EFTA_00I749I5 EFTA01299017 Page 39 Address: Pro e Information MARGATE, FL 33063-5163 County/FIPS: Data Source: B BROWARD Legal Information Assessor's Parcel 48-41-36.17-122 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Title Company: 02/06/2012 02/07/2012 110540022 WARRANTY DEED 48498/172 Mortgage Information CAPITAL ABSTRACT 8 TITLE 41: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, APT 108 CORAL SPRINGS, FL 33076.3127 BROWARD Seller Information DEUTSCHE BANK NATIONAL TRUST COMPANY, 4600 REGENT BLVD IRVING, TX 75063-2443 DALLAS Pro e Information MARGATE, FL 33063-5163 BROWARD B Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: Legal Information 484136-17-1220 01/23/2012 02/07/2012 110539627 SPECIAL WARRANTY DEED 48497/985 Sale Information 580000 Mortgage Information NONE AVAILABLE 42: Assessment Record for BROWARD County, FL Owner Information Name: SOUTHERN TRUST FINANCIAL LLC Address: County/FIPS: BROWARD Property Information CORAL SPRINGS, FL 33075-8670 For internal use only SDNY_GM_00064413 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027238 EFTA_00I749I6 EFTA01299018 Page 40 Address: County/FIPS: BROWARD Data Source: B CORAL SPRINGS. FL 33065-3015 Legal Information Assessor's Parcel 48.41.14-AH-0060 Number: Recording Date: 11/23/2011 Book/Page: 48373/1283 Sale Information $37900 Assessment Information $4290 Sale Price: Market Land Value: Market Improvement $38630 Value: Total Market Value: $42820 43: Deed Record for BROWARD County Buyer Information Name: SOUTHERN TRUST FINANCIAL LLC, Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: Name: Name: Name: Name: Data Source: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: BROWARD Seller Information ANAYA, MANUEL OMAR ANAYA. ICLA SPRINGS TOWNHOMES ASSN INC BANK OF AMER NA Property Information B Legal Information 12/06/2011 12/14/2011 110434421 TRUSTEES DEED - (CERTIFICATE OF TITLE) 48373/1283 Sale Information $37900 Mortgage Information NONE AVAILABLE 44: Deed Record for BROWARD County Buyer Information REMENTERIA. JOSE A ESTEVEZ, MARTA M CORAL SPRINGS, FL 33071-5791 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC, Name: Name: Address: County/FIPS: Name: For internal use only SDNY_GM_00064414 CONFIDENTIAL - PURSUANT TO FED. R.QQN(FIDENTIAL DB-SONY-0027239 EFTA_00 7419 I 7 EFTA01299019 Page 41 Address: County/FIPS: Address: County/FIPS: Data Source: Name: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Loan Amount: Loan Type: Title Company: CORAL SPRINGS. FL 33065-3937 BROWARD Pro e Information CORAL SPRINGS, FL 33071-5791 BROWARD B Lender Information WELLS FARGO BANK NA Legal Information 48-41-29-03-0450 09/09/2011 09/19/2011 110276538 WARRANTY DEED 48186/1309 Sale Information $269000 Mortgage Information $244521 FHA ATTORNEY 45: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33076-3127 BROWARD Seller Information POOLPAN, PATTAMA CORDELL, CHUCK MORTGAGE ELETRONIC REGISTRATION SYS INC US BANK NA CACE-09-046413 DIVISION 11 Pro CORAL SPRINGS, FL 33071-5791 BROWARD B Name: Address: County/FIPS: Name: Name: Name: Name: Name: Address: County/FIPS: Data Source: Legal Information Assessor's Parcel 48.41-29-03-045 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: 47951/230 Sale Information 05/24/2011 06/02/2011 110072589 TRUSTEE'S DEED - (CERTIFICATE OF TITLE) For internal use only SDNY_GM_00064415 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SDNY-0027240 EFTA_00I749 IS EFTA01299020 Page 42 Sale Price: $195600 Mortgage Information Title Company: NONE AVAILABLE 46: Deed Record for BROWARD County Buyer Information MILLER. JOYCE A MARGATE. FL 33068.3025 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC. CORAL SPRINGS. FL 33065-3937 BROWARD Pro e Information MARGATE. FL 330684025 BROWARD Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: Name: B Lender Information MORTGAGE LENDERS OF AMERICA LLC Legal Information Assessor's Parcel 49-42-06-14-1330 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Loan Amount: Loan Type: Title Company: 03/17/2011 03/22/2011 109940334 WARRANTY DEED 47798/1811 Sale Information $140000 Mortgage Information $92025 FHA CAPITAL ABSTRACT & TITLE 47: Deed Record for BROWARD County Buyer Information 1ST USA REAL ESTATE LLC, CORAL SPRINGS. FL 33065-3937 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC. CORAL SPRINGS, FL 33065.3937 BROWARD :•rof.•iformation MARGATE. FL 33063-7110 BROWARD B Name: Address: County/FIPS: Name: Address: County/FIPS: Address: County/FIPS: Data Source: For internal use only SDNY_GM_00064416 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027241 EFTA_OOI 74919 EFTA01299021 Page 43 Legal Information Assessor's Parcel 48-41-24-02-478 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Title Company: 09/24/2010 09/29/2010 109608832 QUIT CLAIM DEED 47404/558 Mortgage Information ATTORNEY 48: Deed Record for BROWARD County Buyer Information Name: SOUTHERN TRUST FINANCIAL LLC. Address: CORAL SPRINGS. FL 33065-3937 County/FIPS: Name: Name: Name: Name: Address: County/FIPS: Data Source: BROWARD Seller Information JEFFRIES. JAMES R JEFFRIES. LOURDES S BANK OF AMERICA NATIONAL ASSOCIATION CACE-10-008694 DIVISION 21 :IroralSormation MARGATE, FL 33063-7110 BROWARD B Legal Information Assessor's Parcel 48-41-24-02-4780 Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: 08/23/2010 08/27/2010 109550949 TRUSTEES DEED - (CERTIFICATE OF TITLE) 47335/759 Sale Information $67600 Mortgage Information NONE AVAILABLE 49: Deed Record for BROWARD County Buyer Information MITCHELL. LA TONDRA MARGATE. FL 33068-3114 BROWARD Seller Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33065.3937 BROWARD For internal use only Name: Address: County/FIPS: Name: Address: County/FIPS: SDNY_GM_00064417 CONFIDENTIAL - PURSUANT TO FED. R.Q(91?N(F IDENTIAL DB-SDNY-0027242 EFTA_00I 74920 EFTA01299022 Page 44 PronertYInformation Address: County/FIPS: BROWARD Data Source: B MARGATE, FL 33068-3114 Lender Information Name: MORTGAGE LENDERS OF AMERICA LLC Legal Information Assessor's Parcel 49-42-06-04-1100 Number: Contract Date: 08/06/2010 Recording Date: 08/18/2010 Document Number: 109529915 Document Type: WARRANTY DEED Book/Page: 47311/785 Sale Information Sale Price: $144900 Mortgage Information Loan Amount: $142974 Loan Type: UNKNOWN Title Company: ATTORNEY 50: Deed Record for BROWARD County Buyer Information SOUTHERN TRUST FINANCIAL LLC, CORAL SPRINGS, FL 33065.3937 BROWARD Seller Information ESPINOZA, CLAUDIA OAKLAND HILLS SOCIAL CTR INC. WACHOVIA MTG FSB CACE-08-042994 DIVISION 12 Pro e Information MARGATE, FL 33068.3025 BROWARD Name: Address: County/FIPS: Name: Name: Name: Name: Address: County/FIPS: Data Source: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Book/Page: Sale Price: Title Company: B Legal Information 49-42-06-14-133 05/25/2010 06/25/2010 109408837 TRUSTEES DEED - (CERTIFICATE OF TITLE) 47174/273 Sale Information $76400 Mortgage Information NONE AVAILABLE For internal use only SDNY_GM_00064418 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0027243 EFTA_00I 74921 EFTA01299023 Page 45 51: Deed Record for BROWARD County Buyer Information Name: SOUTHERN TRUST FINANCIAL LLC, Address: CORAL SPRINGS, FL 33065-3937 County/FIPS: BROWARD Seller Information AUSTIN, ROBERT NOVASTAR MORTGAGE INC Pr om o rt Information MARGATE FL 33068-3114 BROWARD Name: Name: Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel 49-42-06-04-110 Number: Contract Date: 03/30/2010 Recording Date: 04/02/2010 Document Number: 109249200 Document Type: TRUSTEE'S DEED - (CERTIFICATE OF TITLE) Book/Page: 46988/518 Sale Information Sale Price: $59600 Mortgage Information Title Company: ATTORNEY 52: Assessment Record for BROWARD County, FL Owner Information Name: SOUTHERN TRUST FINANCIAL LLC Address: CORAL SPRINGS, FL 33065.3937 County/FIPS: BROWARD = Lim er m.li m ibrmation Address: MARGATE. FL 33063-7110 County/FIPS: Data Source: B BROWARD Legal Information Assessor's Parcel 48-41-24-02-4780 Number: Recording Date: 08/10/2010 Book/Page: 47335/759 Sale Information Sale Price: $67600 Assessment Information Assessed Value: $110020 Market Land Value: $33460 Market Improvement $76560 Value: For internal use only SDNY_GM_00064419 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027244 EFTA_00 I 74922 EFTA01299024 Page 46 Total Market Value: $110020 53: Assessment Record for BROWARD County, FL Owner Information SOUTHERN TR FINANCIAL LLC CORAL SPRINGS, FL 33065-3937 BROWARD Pro e Information MARGATE. FL 33068.3025 BROWARD B Name: Address: County/FIPS: Address: County/FIPS: Data Source: Legal Information As8eSSor'S Parcel 49-42-06-14-1330 Number: Recording Date: 05/13/2010 Book/Page: 47174/273 Sale Information $76400 Assessment Information $81540 $24380 Sale Price: Assessed Value: Market Land Value: Market Improvement $57160 Value: Total Market Value: $81540 Foreclosures - 9 records found 1: Foreclosures 2: Foreclosures 3: Foreclosures Site Address: Site Address 2: Recording Date: Document Type: Site Address: Default Information CORAL SPRINGS FL 33076-2130 CORAL SPRINGS, FL 33065-3937 01/25/2010 CERTIFICATE OF TITLE (FL) NUNEZ MADELINE COC NUNEZ MDELINE mation CORAI SPRINGS Fl 33065-3015 Site Address 2: CORAL SPRINGS, FL 33065-3937 Recording Date: 12/14/2011 Document Type: CERTIFICATE OF TITLE (FL) ANAYA MANUEL O 8 ICLA COC Site Address: Site Address 2: CORAL SPRINGS, FL 33065-3937 Recording Date: 08/27/2010 Document Type: CERTIFICATE OF TITLE (FL) lion 7110 For internal use only SDNY_GM_00064420 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027245 EFTA_00I 74923 EFTA01299025 Page 47 4: Foreclosures 5: Foreclosures 6: Foreclosures 7: Foreclosures 8: Foreclosures 9: Foreclosures Site Address: Site Address 2: JEFFRIES JAMES R & LOURDES S C Default Information TE. FL -8327 CORAL SPRINGS, FL 33065-3937 Recording Date: 02/11/2010 Document Type: CERTIFICATE OF TITLE (FL) QUACH TAM COC Site Address: Site Address 2: Recording Date: Document Type: Site Address: Site Address 2: Recording Date: Document Type: Site Address: Site Address 2: Recording Date: Document Type: Site Address: Site Address 2: Recording Date: Document Type: Site Address: Site Address 2: Recording Date: Document Type: QUACH TAM Default Information fraPICIL 33071-5791 APT 108 CORAL SPRINGS, FL 33076-3127 06/02/2011 CERTIFICATE OF TITLE (FL) POOLPAN PATTAMA COC Default Information A! DERDALF, FL 33068-3937 CORAL SPRINGS. FL 33065-3937 01/25/2010 CERTIFICATE OF TITLE (FL) BENITEZ REINALDO COC BENITEZ REINALDO fault Information FL 33068-3656 CORAL SPRINGS, FL 33065-3937 08/27/2010 CERTIFICATE OF TITLE (FL) BURROWS RICHARD & JANA COC Information IT GATE FL 33068i 3114 CORAL SPRINGS, FL 33065-3937 04/02/2010 CERTIFICATE OF TITLE (FL) AUSTIN ROBERT COC AUSTIN ROBERT Informaton M ARGATE FL 33068-3025 CORAL SPRINGS. FL 33065-3937 06/25/2010 CERTIFICATE OF TITLE (FL) ESPINOZA CLAUDIA COC For internal use only SDNY_GM_00064421 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027246 EFTA_00 174924 EFTA01299026 Page 48 ESPINOZA CLAUDIA Business Associates 50 records found # Name Address 1. o # # 0 24 HR 7 DAYS FORT LAUDERDALE 2. 1 ST USA LLC F T FL A 33311-4335 RMERGENCY LOCKSMITH CORAL SPRINGS FL 33065.3937 3. A LA MODE, INC. CORAL SPRINGS FL 33076-2507 4. ARR ALLEN DRAGLINE INC. E.FL 33311-4335 5. B EQUITIES INC FL 33311-4335 6. BABCOCK DOUGLAS 7. BEN-YOSEPH BRENDA P A imams 33076-2507 CORAL SPRINGS. FL 33076-2507 8. BER JON LLC 9. BER-JON REALTY LLC 33065-3937 33065-3937 10. BER-JON REALY LLC FL 33065-3937 11. BLUEPRINT ROOFING LLC TAMARAC FL 3 1-1659 12. BURGER KING 33076-2507 13 CAICEDO CARLOS A " airmail". 14. CANBEC CO.. LLC 33076.2507 FL 33311-4335 15. CARLOS A CAICEDO P.A. CORAL SPRINGS FL 33076-2507 16. CARLOS MUNROE 33076-2507 17. CONST GOTTLIEB sow 18. CONVENIENCE RECYCLING, INC. issirsL 33076-2507 FL 33311-4335 19 DAVID A GOODMAN, P.A. 20. DEBI4REALESTATE INC , 33076-2507 21. DELTAX LTD iiiiialL 33076-2507 FL 33311-4335 22. DIANE MARIE PERKINS. P.A 23. DONALDSON CONSTRUCTION CO.. INC. lafilair 33076-2507 FL 33311-4335 24 EQUUS INVESTMENTS LLC linilial, F 33076-2507 25. FINKELSTEIN MAUREEN ANNA 26. FROM CONTRACT 2 CLOSE INC 27. GGPM 28. GOLDSTEIN THEODORE 29. GOODMAN DAVID P A CORAL SPRINGS, FL 33076-2507 MM. 33076-2507 33076-2507 CORAL SPRINGS, FL 33076-2507 For internal use only SDNY_GM_00064422 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027247 EFTA_00I 74925 EFTA01299027 Page 49 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 Name GOTTIEB GROUP PROPERTY MANAGEMENT GOTTLIEB STEVEN PARTNE GREENE BRETT HARNED EDWARD HARRIS REISBAUM. INC. HR BUSINESS FUNDING INDIAN LINTON INTERNATIONAL GLOBAL METALS INC INTERNATIONAL GLOBE METALS INC. INTERNATL GLOBAL METALS INC IST U S A REAL ESTATE LLC JIM CORRADO JOE LANSER P.A. JOOST LANSER, P.A. JPMORGAN CHASE BANK NATIONAL ASSOCIATION KEISER JAMES KING BURGER LAKELAND FINANCIAL LLC 48. LANSER JOOST 49. LAW OFFICES OF JORGE L FLORES PA 50 LEIBOV PROPERTY NO Person Associates - 8 records found # Name 1. BERNARD. LEIBOV 2. BRETT, GREENE FORT LAUDERDALE, Address FL 33311-4335 mass 33065.3937 3. GREENE. BRETT 33065-3937 4. GREENE. JOHN CORAL 33065.3937 5. JEFF, PEZONE 33065-3937 6. JOHN. GREENE 33434-2557 33065.3937 7. LEIBOV, BERNARD M 33065-3937 8. PEZONE, JEFF Address 33076.2507 CORAL SPRINGS FL 33076-2507 F 33065-3937 CORAL SPRINGS FL 33065-3937 aill121-1659 allin-1659 33076-2507 T DER A E. FL 33311-4335 T LAUDERDA E. FL 33311.4335 FORT LAUDERDALE. FL 33311.4335 CORAL SPRINGS, FL 33076-2507 isms FL 33076-2507 TA A A F 1-1659 CORAL SPRINGS, FL 33076-2507 CORAL SPRINGS FL 33065-3937 33076-2507 FL 33311-4335 Sources - 107 records found BOCA RATON. FL 33434-2557 For internal use only SDNY_GM_00064423 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027248 EFTA 00174926 EFTA01299028 Page 50 All Sources 107 Source Document(s) Business Contacts 22 Source Document(s) Business Finder 21 Source Document(s) Corporate Filings 2 Source Document(s) Foreclosure 9 Source Documents) Property 53 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly. processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your OPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Copyright 2012 Dun & Bradstreet, Inc. Federal Employer Identification Numbers November 1, 2001 FINANCIAL TRUST CORP P O BOX 220 CARLISLE, PA 17013 UNITED STATES ATIONS TELEPHONE: COMPANY IDENTIFIERS FEIN: 23-2229155 SOURCE REFERENCE NAME: DEPARTMENT OF TREASURY - HEALTH ***** * * * * EXECUTIVES TOP CONTACT: Principal Ray L Wolfe MARKET AND INDUSTRY SIC CODES: 60220000 CROSS REFERENCE: . PRIMARY BUSINESS NAME: Financial Trust Company (inc) For internal use only CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL SDNY_GM_00064424 DB-SDNY-OO27249 EFTA_00174927 EFTA01299029 Page 2 LOAD-DATE: June 20, 2012 Copyright 2013 Dun & Bradstreet, Inc Worldbase January 7, 2011 SOUTHERN FINANCIAL LLC (registered address) ALTAMONTE SPRINGS, FL 32714 USA COUNTY: SEMINOLE REGION: NORTH AMERICA COMMUNICATIONS TELEPHONE: 4077881938 COUNTRY CODE: 0001 COMPANY IDENTIFIERS DUNS: 14-388-2210 COMPANY INFORMATION EMPLOYEES HERE: 2 - Estimated EMPLOYEES TOTAL: 2 - Estimated COMPANY TYPE: Private EXECUTIVES CEO: D HARRIS, PRINCIPAL DESCRIPTION For internal use only SDNY_GM_00064425 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027250 EFTA_00 174928 EFTA01299030 Page 3 Worldbase, 01/07/2011, SOUTHERN FINANCIAL LLC INVESTMENT ADVICE MARKET AND INDUSTRY SIC CODES: 6282 - Investment advisory service LOAD-DATE: May 18, 2013 LEGAL RESULTS: Court Cases: FINANCIAL TRUST COMPANY, INC. AND JEFFREY E. EPSTEIN, Plaintiffs, v. CITIBANK, N.A. AND CITIGROUP, INC. d/b/a "CITIGROUP," Defendants. Civ. No. 2002-108 UNITED STATES DISTRICT COURT FOR THE DISTRICT OF THE VIRGIN ISLANDS, DIVISION OF ST. THOMAS AND ST. JOHN 351 F. Supp. 2d 329; 2004 U.S. Dist. LEXIS 26378; 46 V.I. 435 December 30, 2004, Decided PRIOR HISTORY: Fin. Trust Co. v. Citibank, N.A., 268 F. Supp. 2d 561, 2003 U.S. Dist. LEXIS 10735 (D.V.I., 2003) DISPOSITION: Defendant's motion to dismiss denied. CASE SUMMARY: PROCEDURAL POSTURE: Defendant bank and its banking investment company (bank) sought to dismiss, pursuant to Fed. R. Civ. P. 9(b) and Fed. R. Civ. P. 12(b)(6), the second amended complaint filed by plaintiffs, an investor and a trust company, which alleged that the bank's representative misrepresented facts and fraudulently induced them to invest in a venture managed by an investment corporation. OVERVIEW: Plaintiffs alleged that fraudulent misrepresentations by the bank induced them to borrow $ 10 million to invest in a venture managed by an investment corporation. For internal use only SDNY_GM_00064426 CONFIDENTIAL - PURSUANT TO FED. R.QP .NEIDENTIAL DB-SDNY-0027251 EFTA_OOI 74929 EFTA01299031 Page 2 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **: 46 V.I. 435. *** The bank sought to dismiss the complaint for failure to meet Fed. R. Civ. P. 9(b)'s heightened pleading requirement for fraud and for failure to state a claim upon which relief could be granted pursuant to Fed. R. Civ. P 12(b)(6). The court denied the motion. finding that plaintiffs' complaint, which alleged that the bank failed to disclose information and negligently and fraudulently misrepresented facts concerning its relationship with an investment corporation and that the bank knew that plaintiffs were unaware of the relationship, and which also alleged that the investor acted upon the information and but for the bank's actions they would not have been injured. contained facts sufficient to plead fraud with the particularity required by Fed. R. Civ. P. 9(b). The court found also that by alleging that "but for" the bank's misleading statements and omissions. plaintiffs would not have proceeded with their loan, plaintiffs alleged enough information to survive a Fed. R. Civ. P. 12(b)(6) motion on their fraud claims. OUTCOME: The court denied the motion to dismiss. CORE TERMS: omission, misrepresentation, fraud claim, material fact, fraudulently, bespeak, caution, pitch, failure to state a claim, fiduciary duty, false representation, best interests, misrepresented, particularity, induced, falsity, invest, failed to state, allegations of fraud, disputed fact, heightened, fraudulent, disclosures, ignorance, investor, survive, conversations, disclose, venture, managed LexisNexis(R) Headnotes Civil Procedure > Pleading 8 Practice > Pleadings > Heightened Pleading Requirements > Fraud Claims [HN1] In order to state a viable fraud claim, Fed. R. Civ. P. 9(b) requires a plaintiff to plead (1) a specific false representation or omission of material fact; (2) knowledge by the person who made it of its falsity; (3) ignorance of its falsity by the person to whom it was made; (4) the intention that it should be acted upon; and (5) that the plaintiff acted upon it to his damages. Courts should apply Rule 9(b) with some flexibility and should not require plaintiffs to plead issues that may have been concealed by the defendants. Although the rule does not require a recitation of "every material detail" of the alleged fraud, it does require that plaintiffs support their allegations of fraud with all of the essential factual background that would accompany the first paragraph of any newspaper story - that is the "who, what, when, where and how" of the events at issue. However, the Third Circuit Court of Appeals has held that the requirements of Rule 9(b) may be satisfied if the complaint describes the circumstances of the alleged fraud with "precise allegations of date, time or place" or by using some means of "injecting precision and some means of substantiation into their allegations of fraud." Civil Procedure> Pleading 8, Practice > Pleadings > Heightened Pleading Requirements > General Overview [HN2] Fed. R. Civ. P. 9 does not require specification of time, place, and nature of misrepresentation; rather, it requires only that the plaintiff identify the facts not communicated. For internal use only SDNY_GM_00064427 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0027252 EFTA_001 74930 EFTA01299032 Page 3 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **; 46 V.I. 435, *** Civil Procedure > Pleading & Practice > Pleadings > Heightened Pleading Requirements > General Overview [HN3] In order to state a claim for fraud, the plaintiff must prove (1) a specific false representation of material fact; (2) knowledge by the person who made it that it was false; (3) ignorance of its falsity by the person to whom it was made; (4) the intention that it should be acted upon; and (5) that the plaintiff acted upon it to his damage. COUNSEL: ri] ATTORNEYS: Maria Tankenson Hodge, Esq., Hodge & Francois, St. Thomas, U.S.V.I., For the plaintiffs. Gregory H. Hodges, Esq., Dudley, Topper and Feuerzeig, LLP, St. Thomas, U.S.V.I For the defendants. JUDGES: Thomas K. Moore, District Judge. OPINION BY: Thomas K. Moore OPINION ['**436] [*33O] MEMORANDUM OPINION Moore, J. Defendants have moved to dismiss the second amended complaint for failure to meet Federal Rule of Civil Procedure 9(b)'s heightened pleading requirement for fraud and for failure to state a claim upon which relief can be granted pursuant to Federal Rule of Civil Procedure 12(b)(6). I. Factual and Procedural History In their second amended complaint, Jeffrey E. Epstein and Financial Trust Company, Inc. ["FTC"] allege that Citibank, N.A. and Citigroup, Inc. [collectively "Citibank"] misrepresented facts and fraudulently r**4371 induced them to borrow $ 10 million to invest in a venture managed by AIG Global Investment Corporation ["AIG"] and anther $ 10 million to invest in a venture managed by Mass Mutual. The plaintiffs allege that the defendants failed to disclose information and negligently r.2] and fraudulently misrepresented facts concerning their relationship with AIG, that the plaintiffs detrimentally relied on these misrepresentations and omission, and that the defendants breached their fiduciary duty to the plaintiffs. The plaintiffs seek rescission of the promissory notes and punitive damages. Previously, I ruled that this court has personal jurisdiction over Citibank and Citigroup, venue in this court is proper under 28 U.S.C. § 1391(a), this case need not be transferred to New York, the amended complaint adequately states claims upon which relief may be granted under Federal Rule of Civil Procedure 12(b)(6) for the breach of fiduciary duty and negligent misrepresentation claims, and counts I, II, III and VI of the first amended complaint failed to meet Federal Rule of Civil Procedure 9(b)'s heightened pleading standard. I did, however, grant the plaintiffs leave to amend the complaint. Financial Trust Co. v. Citibank, 268 F. Supp.2d 561 (D.V.I. 2003). For internal use only SDNY_GM_00064428 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027253 EFTA_OOI 7493 I EFTA01299033 Page 4 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **; 46 V.I. 435, *** II. LEGAL ANALYSIS A. Federal Rule of Civil Procedure 9(b) ["3] [HN1] In order to state a viable fraud claim, Rule 9(b) requires a plaintiff to ['331] plead (1) a specific false representation or omission of material fact; (2) knowledge by the person who made it of its falsity; (3) ignorance of its falsity by the person to whom it was made; (4) the intention that it should be acted upon; and (5) that the plaintiff acted upon it to his damages." in re Rockefeller Ctr. Props. Secs. Litig., 311 F.3d 198, 215 (3d Cir. 2002). Courts should apply Rule 9(b) with some flexibility and should not require plaintiffs to plead issues that may have been concealed by the defendants. Rola v. City Investing Co. Liquidating Trust, 155 F.3d 644 (3d Cir. 1998). Although the rule does not require a recitation of "every material detail" of the alleged fraud, it does require "that plaintiffs support their allegations of fraud with all of the essential factual background that would accompany 'the first paragraph of any newspaper story' - that is the 'who, what, when, where and how of the events at issue."' In re Rockefeller Ctr. Props., Inc., 311 F.3d at 217 (quoting In re Burlington Coat Factory Sec. Litig., 114 F.3d 1410, at ["**438] 1422). However, the ["4] Third Circuit Court of Appeals has held that the "requirements of Rule 9(b) may be satisfied if the complaint describes the circumstances of the alleged fraud with 'precise allegations of date, time or place' or by using some means of 'injecting precision and some means of substantiation into their allegations of fraud."' Bd. of Trs. v. Foodtown, Inc., 296 F.3d 164, 173 n.10 (3d Cir. 2002) (internal citations omitted). Plaintiffs allege that false statements or statements where material facts were omitted were made pursuant to a course of conduct to fraudulently induce plaintiffs into a series of investments and related loans. Plaintiffs allege that Citibank's actions did not conform to the representations in the statements, that defendants were acting in plaintiffs' best interests. For example, it is alleged that in conversations between April 29, 1999 and May 2, 1999, Dayle Davison, a Vice President of Citibank in the Private Banking Division, called Epstein to introduce him to an "exceptional investment opportunity." (Compl. P 13.) In follow-up telephone conversations during that same two week period, Davison and her associates r 5] made additional specific representations about the AIG Investment, without disclosing Citibank and AIG's relationship. Davison also during that period represented that Citibank had "done their due diligence" and would remain actively involved in the deal. (Compl. P 14.) In August 2001, in an effort to dissuade Epstein from seeking to remove AIG as the manager of the AIG Investment, John Purcell, a Citibank representative, told Jeffrey Schantz, a lawyer for Epstein, that Citibank was acting in Epstein's interests and that Epstein should trust Citibank rather than talk about actions which would run counter to Citibank's undisclosed interests. (Compl. P 37.) These facts all allege that defendants failed to state or disclose "additional or qualifying information regarding" their relationship with AIG. These specific facts are enough to plead fraud with the particularity required by Rule 9(b). The plaintiffs have alleged that Davison, Epstein's primary contact at Citibank, made specific false representation and omissions of material facts of the relationship between AIG and Citibank in April and May of 1999. The complaint has also alleged that Davison, and others at Citibank, knew of the ["6] relationship between Citibank and AIG and that For internal use only SDNY_GM_00064429 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027254 EFTA_00 174932 EFTA01299034 Page 5 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **; 46 V.I. 435, *** they knew Epstein was unaware of this relationship. Finally, as I had previously ruled, the r**439] complaint also alleges that Epstein acted upon this information and but for Citibank's actions he would not have been injured. [' 332] The basic purpose of Rule 9(b) has been fulfilled - plaintiff has alleged enough information, including specific names and dates, to put Citibank on notice of the fraudulent actions it has alleged to have committed. Moreover, since some of the misrepresentations were alleged to be omissions, [HN2] Rule 9 does not require specification of time, place, and nature of misrepresentation for these statements; rather, it requires only that the plaintiff identify the facts not communicated. See Golden Trade, S.R.L. v Jordache, 143 F.R.D. 504 (S.D.N.Y. 1992); Cottman Transmission Sys. Inc. v. Dubinsky, 95 F.R.D. 351, 353 (E.D. Pa. 1982) ("Conduct which never occurred cannot be described with greater particularity other than to state that it did not occur.") The information contained in the second amended complaint is enough for counts I, II, Ill, and VI to survive this motion to dismiss for failure to rim plead fraud with particularity pursuant to Federal Rule of Civil Procedure 9(b). B. Federal Rule of Civil Procedure 12(b)(6) The defendants also argue that 12(b)(6) mandates dismissal of the complaint for failure to state a claim upon which relief can be granted. To the extent that plaintiffs are attempting to reargue their previous motion to dismiss, I reiterate my ruling that Virgin Islands law governs this case, that the complaint adequately alleges that the defendants' wrongful conduct caused the plaintiffs' loses, and that plaintiffs' claims of breach of fiduciary duty and negligent misrepresentation should not be dismissed. Financial Trust Co., 268 F. Supp. 2d at 576. The only claims left to be decided are the fraud claims. [HN3] In order to state a claim for fraud, the plaintiff must prove "(1) a specific false representation of material fact; (2) knowledge by the person who made it that it was false; (3) ignorance of its falsity by the person to whom it was made; (4) the intention that it should be acted upon; and (5) that the plaintiff acted ("8] upon it to his damage."' Financial Trust Co., 268 F. Supp.2d at 575 (quoting Shapiro v. UJB Fin. Corp., 964 F.2d 272, 284 (3d Cir. 1992)). The defendants base their argument that plaintiffs have failed to state a claim upon which relief can be granted for fraud on their allegation that the alleged omission of the relationship between AIG and defendants was r"440] disclosed and thus the "bespeaks caution" doctrine applies to the case. Under this theory, when some risks are disclosed in documents, the documents "bespeak caution" to the investor and the investor cannot later premise a fraud claim on the events of which he has been warned. Kline v. First W. Gov't Sec., 24 F.3d 480, 489 (3d Cir. 1994). The defendants' claim that the Preliminary Offering Circular [the "pitch book"], which was allegedly given to Epstein, disclosed ongoing business relationships between Citibank and AIG and should invoke the "bespeaks caution" doctrine. I have previously ruled that whether the "pitch book" referenced in the amended complaint is the document that plaintiffs rely on is a disputed fact that precludes a Rule 12(b)(6) dismissal. Financial Trust Co., 268 F. Supp. 2d at 572. (**9] Nothing in any of the briefs have convinced me that the parties do not dispute which pitch book Epstein received, what For internal use only SDNY_GM_00064430 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027255 EFTA_00 174933 EFTA01299035 Page 6 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **; 46 V.I. 435, *** disclosures were made in any such pitch book, and whether those disclosures revealed the alleged conflict. As such, a ruling on the "bespeaks caution" doctrine is not appropriate at this juncture in the case because it involves deciding issues of disputed fact. r n31 Plaintiffs have alleged all necessary elements of fraud. They have alleged that defendants intentionally misrepresented material facts, through omissions and statements assuring the plaintiffs that they were acting in Epstein's personal best interest. They have also alleged that the person who made these misrepresentations, Davison, knew of the relationship between AIG and Citibank and that Epstein and FTC did not know of this relationship. Finally, plaintiffs have also alleged that "but foe' defendants misleading statements and omissions, plaintiff would not have proceeded with their loan and investment programs and would not have suffered these damages. Plaintiffs have thus alleged enough information to survive a Rule 12(b)(6) motion on their fraud claims. C. The Mass Mutual Investment Claims Although [**10] it is unclear from the second amended complaint which counts concern the Mass Mutual Fund, it is clear that at least some of the causes of actions allege that Citibank defrauded Epstein in relation to his loans and investment in the Mass Mutual Fund. Separately, defendants argue that the court should dismiss the claims alleging fraud relating to the Mass Mutual Fund for failure to plead fraud specifically under Rule 9(b) and failure to state a claim upon which relief can be granted under Rule 12(b)(6) r**4411 . The plaintiffs basic allegation is that "because of Defendants' false assurances and omissions of true statements concerning their relationship with AIG and the AIG Investment, Plaintiffs made the investment in the Mass Mutual Fund and suffered significant losses." (Compl. P 65.) Defendants essentially argue that plaintiff's loans and investment in the AIG and Mass Mutual funds should be viewed as two separate transactions. This view, however, belies the alleged conduct of Citibank. The underlying conduct alleged in the second amended complaint is that Citibank fraudulently induced plaintiffs into believing they had a preferred relationship with Citibank where Citibank was acting in [.11] Epstein's best interest in all of their transactions, including investing in the AIG and the Mass Mutual funds. Essentially, plaintiffs argue they were induced into a high stakes relationship with Citibank based on fraudulent statements and omissions, and but for these statements, they would not have enjoyed the type of relationship with Citibank to be in the position either for Citibank to present them an offer to loan them large sums of money to invest in the Mass Mutual fund or for plaintiff's to trust Citibank's investment advice. I believe that whether the underlying complained about conduct was two separate transactions or whether the conduct should be viewed as Citibank's relationship as a whole with Epstein is a matter of fact that goes to the issue of damages and is not appropriate for a Rule 12(b)(6) motion. Therefore, I rule that the fraud claims should not be separated into two different types - AIG and Mass Mutual - and thus my previous analysis of the applicability of Rule 9(b) and Rule 12(b)(6) apply equally to all claims for damages alleged to occur because of Epstein's investments in the AIG and Mass Mutual funds. For internal use only SDNY_GM_00064431 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027256 EFTA_00I 74934 EFTA01299036 Page 7 351 F. Supp. 2d 329, *; 2004 U.S. Dist. LEXIS 26378, **: 46 V.I. 435, ' 1 This opinion is supported by the structure of the second amended complaint which does not differentiate the counts between the Mass Mutual and AlG funds as defendant attempts to do. [.12] III. CONCLUSION For the foregoing reasons, I will deny defendants' motion to dismiss. ENTERED this 30th day of December, 2004. FOR THE COURT: Thomas K. Moore District Judge [' 334] ORDER For the reasons given in the accompanying memorandum of even date, it is hereby ORDERED that the defendant's motion to dismiss is hereby DENIED. ENTERED this 30th day of December, 2004. FOR THE COURT: Thomas K. Moore District Judge "a THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY ' Copyright © 2009 CourtLink Corporation UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK (Foley Square - NYC) Citibank, NA v. Epstein, et al PLAINTIFF: Citibank, NA DEFENDANT: Financial Trust Company, Inc; Epstein, Jeffrey E DOCKET CASE NUMBER: 1:02cv5332 FILING DATE: 7/11/2002 JURISDICTION: Diversity For internal use only SDNY_GM_00064432 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027257 EFTA_00 174935 EFTA01299037 Page 8 JUDGE: Stein, Sidney H NATURE OF SUIT: 190 Other Contract FILING TYPE: Civil CAUSE: Personal Injury28 USC 1391 JURY DEMAND: None STATUS: Case Closed PLAINTIFF ATTORNEY(S): Fishman, Marshall H [COR LD NTC] Kramer, Levin, Naftalis & Frankel, LLP 919 Third Avenue New York NY. USA 10022 DEFENDANT ATTORNEY(S): Lefcourt, Gerald B [COR LD NTC] Law Office Gerald B Lefcourt 148 East 78TH Street NAM USA Email: THE COURT UPDATED THIS RECORD ON: 07/26/2005 12:00:00 AM *** THIS DATA IS FOR INFORMATION PURPOSES ONLY *** CIVIL SUMMONS NEW YORK CITY SUPREME COURT - CIVIL DIV, NEW YORK COUNTY, NEW YORK D B ZWIRN AND CO L P v. FINANCIAL TRUST COMPANY INC Plaintiff: D B ZWIRN AND CO L P Defendant: FINANCIAL TRUST COMPANY INC Tax ID: 000000000 Docket Number: 20100650582 Filing Date: 6/11/2010 For internal use only SDNY_GM_00064433 CONFIDENTIAL - PURSUANT TO FED. R.ctclINEIDENTIAL DB-SDNY-0027258 EFTA_00174936 EFTA01299038 Page 9 Type: CIVIL SUMMONS For internal use only SDNY_GM_00064434 CONFIDENTIAL - PURSUANT TO FED. R.QP .NEIDENTIAL DB-SDNY-0027259 EFTA_00174937 EFTA01299039