EFTA01481825

USCG Due Diligence Report - Individual DDR Name: Darren K Indyke — DDR Status: Process Completed Banker Information Banker: LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 03/31/2010 11:30:14 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. Ind ke 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 Name/Contact Information Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V EFTA01481825 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 Paul V Morris/JPMCHASE 102/29338 N256838 8634--CHBG 99 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 Last Name: First Name: Middle Name/Initial: Previous Last Name(s): Title: JPMC Internal Use Only Indyke EFTA01481826 Darren K EFTA01481827 Business Name: (To Record Individual's Ownership Or Employer) Primary Address Addresses (Legal address on account) Name: Attention: Address Line 1: Address Line 2: City: State: Province: Postal/Zip Code: Country: Legal Entity: Industry Code: Citizenship: Date of Birth: Gender: Tax ID # : Passport/Drivers License #: Home Phone: ()Introduction Information Introduction Type: Specific Information: Met With Principal? If you did not meet the Principal, give an indication of why you haven't met the individual and when you will. N/A What form of goverment issued identification document did you obtain for the files? Driver's License Financial Information Occupation, Business or Employer of the Client: Net Worth of Client: Documentation/ Information obtained to confirm stated net worth of the Client: Source Of Wealth: Attorney $ 3 (USD millions) Annual salary plus value of personal residence Executive Management/Professional Executive Management/Professional What is the client's current executive management position? (Include any former positions, if significant to source of wealth) EFTA01481828 List the number of years in current position. (Include any former positions, if significant to source of wealth) Attorney 07039 UNITED STATES UNITED STATES 2 Kean Court Livingston NJ (Other than Primary Address) Business Address Individual / Joint PRIVATE HOUSEHOLDS NAIC Code: 814100 UNITED STATES 02/19/1965 (Use 4-digit year) Male Remember to collect W-8's or other applicable tax forms for each jurisdiction. Other Darren Indyke is the attorney for our client, Jeffrey Epstein. 16 EFTA01481829 Approximate yearly 1.7MM income/salary/bonus/distribution and other compensation history (accumulated earned 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 IRA Account Wire $60,000 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) Administrative flows. Cash ( withdrawals/deposits)Check deposits / Check paid - Wire Incoming & Outgoing - Internal Transfers Purchase & Sells Other Please describe in detail expected account activity for this product : Fiduciary (Investment Mgmt. / Trust) Credit type facilities (Line of Credit, Mortgage, Letter of Credit) EFTA01481830 Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search requests/instructions to Security Buy and hold investments for his IRA account. Anticipated $ Amount Totals per month — Please provide at least an estimate Below $1MM Below $1MM Full EFTA01481831 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: List Individuals and Corporate Entities Investigated: Attachment: Please Note: All research is subject to the availability of electronic database resources. 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 No additional research necessary. No additional research necessary. No additional research necessary. Ref (1137404) Forum LLC and Darren K Indyke PLLC No additional research necessary. No additional research necessary. No additional research necessary. No additional research necessary. No additional research necessary. No additional research necessary. Has this been identified as a Red Dot DDR? : Expense No.: Total Costs: Signed by: EFTA01481832 Dated: 99/31167 $0.00 Faith B Deceglia 01/15/2010 03:57:17 PM Banker Response: Individual Checks Date Background Check (Required If Check Carried Out) 02/02/2010 Comments (Required If Check Carried Out) Darren Indyke is the longstanding internal counsel to Jeffrey Epstein (JPM client). Summary EFTA01481833 Summary Of Findings: Anticipated Product(s) Darren Indyke is the attorney for our client, Jeffrey Epstein. Mr. Indyke is opening an IRA with JPMorgan. Deposits SDI 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 99 No Client Hierarchy and Additional Entity Assignment: Name Indyke, Darren K Linked to DM Name JEFFREY E EPSTEIN Date of Birth Indyke, Darren K 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 No Tax ID # Existing CAS Id EFTA01481834 SPN No 9213184 Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Goverment issued I.D Obtained Driver's License Tax ID # Linking to DM Id 9710670 708 CAS ID 0221165201 Citizenship UNITED STATES Address Line 2 City Province Country Approval Information Public/High Profile Figure No High Risk Jurisdiction High Risk Business Banker: LE/OU: Senior Manager: No No Paul V Morris/JPMCHASE 102/29338 Marcus Sheridan/JPMCHASE Annual / Periodic Review Information EFTA01481835 Annual/Periodic Review Due in: 36 months 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 Darren K Indyke — as a Client from inception and throughout the client relationship. Mary C Casey 02/02/2010 09:55:25 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary C Casey, I approve the acceptance of Darren K Indyke — as a Client. Marcus Sheridan 02/02/2010 11:01:35 AM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 12/29/2009 Last Modified: 02/02/2010 Submitted: 01/15/2010 03:57:17 PM Audit History 7. 'Senior Manager Approval' performed by: Marcus Sheridan on: 02/02/2010 11:01:36 AM 6. 'Banker Approval' performed by: Mary C Casey on: 02/02/2010 09:55:25 AM 5. Submitted for Banker Approval SS Type = Full performed by: Faith B Deceglia on: 01/15/2010 03:57:19 PM 4. Button: 'Print' performed by: Javia S Hairston on: 12/29/2009 03:40:16 PM 3. Button: 'Approve Waiver' performed by: Elizabeth X Hogan on: 12/29/2009 02:08:14 PM 2. Button :'Request Waiver' performed by: Lucy Baglivo on: 12/29/2009 02:05:59 PM 1. Submitted for Security Services Approval performed by: Lucy Baglivo on: 12/29/2009 02:05:40 PM Converted Tracking Document History: DDR Complete The DDR requires additional follow-up action/update. Lucy Baglivo 12/29/2009 Elizabeth X Hogan 12/29/2009 EFTA01481836 By: Lucy Baglivo By: Marcus Sheridan By: Faith B Deceglia CN=Sharad ..lajoo/0=3PMCHASE: 1137404B.doc EFTA01481837