EFTA01481662

USCG Due Diligence Report - Corporation DDR Name: HBRK Associates Inc. — DDR Status: Process Completed Banker Information Banker: Paul V Morris/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 03/04/2010 11:23:27 PM - CRD / Notrix changed: Banker from Mary C Casey/- JPMCHASE to Paul V Morris/JPMCHASE. DM ID Link Information The DM for this DDR is DM Name -JEFFREY E EPSTEIN CAS ID - 9710670708. The following DDR's are associated with this Decision Maker . DDR Name Banker 116 East 65th St., LLC Darren K. Indyke PLLC EMMCAC, LLC Epstein, Jeffrey Financial Trust Company, Inc. Financial Trust Company, Inc. Freedom Air International, Inc. HBRK Associates Inc. Hyperion Air, Inc. I-Correct.com LLC Indyke, Darren K Jege, Inc. LYN & JOJO LLC MAX Foundation New York Strategy Group, LLC Plan D, Inc. The 2007 Jeffrey E Epstein Insurance Trust #2 - November 1, 2007 The 2007 Jeffrey E Epstein Insurance Trust #3 dtd November 1, 2007 The 2007 Jeffrey E. Epstein Insurance Trust #1 Dtd November 1, 2007 The C.O.U.Q. Foundation, Inc. The Haze Trust Corporation Name/Contact Information Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V EFTA01481662 Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V 102/29338 N256838 8634--CHBG 01 Security Services Search Date 02/02/2009 10/17/2008 02/08/2004 08/06/2004 03/07/2011 08/11/1999 05/21/2003 03/11/2010 10/17/2008 02/03/2009 01/30/2009 01/15/2010 02/03/2009 07/31/2006 02/08/2004 12/10/2009 04/16/2003 01/30/2009 12/01/2008 12/02/2008 11/25/2008 01/28/2004 Only Select "New Client" if this entity will be a PCN. Full Legal Corporate Name: HBRK Associates Inc. (No P.O. Box address. Must be a physical address.) JPMC Internal Use Only EFTA01481663 EFTA01481664 Primary Corporate Address Name: Attention: Address Line 1: Address Line 2: City: State: Province: Postal/Zip Code: Country: Tax ID # : Business Phone: State of Domicile: Where is the Company Incorporated? What document did you obtain to evidence state of domicile? Articles of Incorporation, Partnership Agreement, etc 10022 UNITED STATES HBRK Associates Inc. Richard Kahn 457 Madison Ave. New York NY 300503838 Remember to collect W-8's or other applicable tax forms for each jurisdiction. ()NY Certificate of Incorporation Introduction / Financial Information Introduction Type: Related Client A/C Specific Information: Have you met with the Principal/Authorized Individual? Legal Entity: Corporation Jeffrey Epstein is a longstanding client (Please identify referral source, etc.) Corporation What is the nature of the business operations? (Describe products and services offered, how long in business, etc. If this is an operating company, indicate appx. number of locations and appx. number of employees, list a website if available) Public or Privately owned? (if public, where traded?) EFTA01481665 Locations served? Is this a cash intensive business or a business that uses cash as it's principal activity? (e.g. convenience store, restaurants, retail stores, liquor stores, cigarette distributor, vending machine operator, parking garage, any other business in which cash is its principal activity) Principal Shareholder(s): Identify the principal shareholders. If the entity is owned by an intermediate legal structure (e.g. LLC or Partnership), please list the ultimate individual shareholder(s) on whose behalf the account is maintained. Last Name: First Name: Kahn Beller Richard Harry % of Ownership: 50 50 SSN Consulting privately owned DOB Form of Govt Obtained drivers license drivers license Is this an operating company? EFTA01481666 Entity/Client Net Worth: $ 1.00 (USD millions) Documentation/ Information obtained to confirm stated net worth of the Entity/Client: Industry Code: The Business Type is the industry in which the client derives the majority of its income. Transaction Profile/Expected Account Activity What is the purpose/intended use of this account? What is the expected source of account funding ? Approximate $ amount to fund the account receipt and distribution of consulting fees Wire 200,000 Please select each "Product Type" that applies. Within each product type, please check ALL transaction types that apply and provide a description of expected account activity. (document expected sources of inflows and destinations of transfers,countries, and types of payors/payees.Include where is the money coming from - example : A specific bank or firm and purpose of specific transactions, if known) Product Type - Select all that apply Transaction Types - Select all that apply and expected activity level ( L = 1-5, M = 6-12, H =>12 transactions per month) Deposit/Current Accounts (Checking, Savings, Money Market) Cash ( withdrawals/deposits) - Check deposits / Check paid - Wire Incoming & Outgoing Internal Transfers Other Please describe in detail expected account activity for this product : Investment Products (Custody, Brokerage,Agency,Margin) Fiduciary (Investment Mgmt. / Trust) Credit type facilities (Line of Credit, Mortgage, Letter of Credit) Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search requests/instructions to Security Services here Security Services Information A Security Services Check is REQUIRED for New Clients and Prospects This section to be completed by the Security Services Group: EFTA01481667 List Individuals and Corporate Entities Investigated: Attachment: Please Note: All research is subject to the availability of electronic database resources. Operational activity to support a small office. Anticipated $ Amount Totals per month — Please provide at least an estimate Below $10000 Below $100000 Below $1MM conversation with client PRIVATE HOUSEHOLDS NAIC Code: 814100 Media Searches Only The company was just recently formed. EFTA01481668 Search Type Is Security Service Details: Further Review by Banker Require d? Company Information Corporate Records Other Database Searches (RDC/CDC/MIS) Internal Database Search (CSSS/FPS) State Court Searches No No No No No Federal Court Searches No Personal Particulars Publications Regulatory Sanctions No No No OFAC/Control List Search No Not Requested. Not Requested. Not Requested. No records were found. Not Requested. Not Requested. Not Requested. Publications revealed nothing derogatory. No records were found. No records were found. Has this been identified as a Red Dot DDR? : Expense No.: Total Costs: Signed by: Dated: 99/31167 $0.00 Vanessa A Budhu 10/17/2008 08:28:48 PM Banker Response: Background Checks conducted in addition to Security Services EFTA01481669 Background Check Date (Required If Check Carried Out) 10/03/2008 Comments (Required If Check Carried Out) Jeffrey Epstein is a longstanding client. He has dissolved his family office (New York Strategy Group) and has split it in two: HBRK Associates Inc. and Darren K Indyke PLLC. HBRK provides consulting and accounting services to Mr. Epstein. Summary Summary Of Findings: Anticipated Product(s) Jeffrey Epstein is a longstanding client. He has dissolved his family office (New York Strategy Group) and has split it in two: HBRK Associates Inc. and Darren K Indyke PLLC. HBRK provides consulting services to Mr. Epstein. Deposits EFTA01481670 Client Hierarchy Assignments GRAY SHADED AREA CONTAINS SPN/CAS ID ASSIGNMENT INFORMATION Banker SID N256838 Banker BAC: FNEN: Does the DDR have Multiple Entities? 8634--CHBG 01 No Client Hierarchy and Additional Entity Assignment: Name HBRK ASSOCIATES INC. Linked to DM Name JEFFREY E EPSTEIN Date of Birth No Tax ID # Existing CAS Id SPN No Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Goverment issued I.D Obtained HBRK ASSOCIATES INC. Do any of the above entities require a joint SPN? Select Yes, if multiple entities will share the same account (OMNI, CASII or Olympic) Does the DDR have Multiple Owners? No This area is used to document individuals who DO NOT require a new CAS or SPN, but have authority over the entity or entities for which this DDR was created. Individuals documented within the above client hierarchy area do not need to be repeated in this section Name Goverment issued I.D Obtained Attention State Citizenship Address Line 1 Zip Tax ID # Date of Birth EFTA01481671 Tax ID # Linking to DM Id 9710670 708 Citizenship Address Line 2 City Province Country Approval Information Public/High Profile Figure No High Risk Jurisdiction High Risk Business Is this a Foreign Bank? "Foreign Bank" as defined in the USA PATRIOT Act. Banker: LE/OU: Senior Manager: Paul V Morris/JPMCHASE 102/29338 Marcus Sheridan/JPMCHASE No No No Annual / Periodic Review Information Annual/Periodic Review Due in: 36 months EFTA01481672 Periodic Review Comments : Temporary Waiver Information Waiver Status: Reason for Waiver: Waiver Requested By: Date of Waiver Request: Approver for Waiver: Waiver Approved On: Banker Approval Information Sponsorship affirmation - Based on my due diligence and the information provided , I approve and accept sponsorship of HBRK Associates Inc. — as a Client from inception and throughout the client relationship. Mary C Casey 10/20/2008 08:41:29 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary C Casey, I approve the acceptance of HBRK Associates Inc. — as a Client. Marcus Sheridan 10/20/2008 03:36:15 PM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 10/03/2008 Last Modified: 10/20/2008 Submitted: 10/17/2008 08:28:49 PM Audit History 8. 'Senior Manager Approval' performed by: Marcus Sheridan on: 10/20/2008 03:36:14 PM 7. 'Banker Approval' performed by: Mary C Casey on: 10/20/2008 08:41:30 AM 6. Submitted for Banker Approval SS Type = Media Searches Only performed by: Vanessa A Budhu on: 10/17/2008 08:28:56 PM 5. Button: 'Flag: Security Check has begun' performed by: Vanessa A Budhu on: 10/13/2008 12:23:36 AM 4. Button: 'Print' performed by: Desmia X Dale on: 10/03/2008 03:06:36 PM 3. Button: 'Approve Waiver' performed by: Elizabeth X Hogan on: 10/03/2008 11:22:16 AM 2. Button :'Request Waiver' performed by: Mary C Casey on: 10/03/2008 11:14:09 AM 1. Submitted for Security Services Approval performed by: Mary C Casey on: 10/03/2008 11:13:19 AM Converted Tracking Document History: DDR Complete Security Services is still performing the client background check. Mary C Casey 10/03/2008 Elizabeth X Hogan 10/03/2008 EFTA01481673 By: Mary C Casey By: Marcus Sheridan By: Vanessa A Budhu CN=Sharad ..lajoo/0=3PMCHASE: 9015808b.doc EFTA01481674