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U.S. Department of Justice
United States Attorney
Southern District of New York
The Silvio J. Mollo Building
One Saint Andrew's Plan
Ncw York. Ncw York 10007
November 22, 2019
JP Morgan Chase
National Subpoena Processing Center
7610 West Washin ton Street
Mail Code:
Indiana lis IN 46231
Fax:
To whom it may concern:
Please be advised that the accompanying grand jury subpoena has been issued in
connection with an official criminal investigation of a suspected felony being conducted by a
federal grand jury. The Government hereby requests that you voluntarily refrain from disclosing
the existence of the subpoena to any third party. While you are under no obligation to comply
with our request, we are requesting you not to make any disclosure in order to preserve the
confidentiality of the investigation and because disclosure of the existence of this investigation
might interfere with and impede the investigation.
Moreover, if you intend to disclose the existence of this subpoena to a third party, please
let me know before making any such disclosure.
Thank you for your cooperation in this matter.
By:
Sincerely,
United States Attorney
Assistant United States Attorneys
EFTA00123537
Grand Jury Subpoena
Pniteb „States pistritt Court
TO:
JP Morgan Chase
National Subpoena Processing Center
7610 West WastSion Street
Mail Code:
Indianapolis. IN 46231
Fax:
GREETINGS:
WE COMMAND YOU that all and singular business and excuses being laid aside, you appear and attend before
the GRAND JURY of the people of the United States for the Southern District of New York, at the United States
Courthouse, 40 Foley Square, Room 220, in the Borough of Manhattan, City of New York, New York, in
the Southern District of New York, at the following date, time and place:
Appearance Date:
December 6, 2019
Appearance Time: 10:00 a.m.
to testify and give evidence in regard to an alleged violation of :
18 U.S.C. §§ 201, 1956
and not to depart the Grand Jury without leave thereof, or of the United States Attorney, and that you
bring with you and produce at the above time and place the following:
See Attached Rider
N.B.:
Personal appearance is not m uired if the requested documents are: (I) produced on or before the return
date to FBI Special A ent
Federal Bureau of Investigation, 26 Federal Plaza, New York, NY
10278, Telephone:
Email:
and (2) accompanied by an executed copy of the
attached Declaration of Custodian of Records.
Failure to attend and produce any items hereby demanded will constitute contempt of court and will
subject you to civil sanctions and criminal penalties, in addition to other penalties of the Law.
DATED:
New York, New York
November 22, 2019 I
S. eal4^6V-
GEOFFRE1nS. BERMAN
United States Attorney for the
Southern District of New York
Assistant United States Attorneys
One St. Andrew's Plaza
New York, New York 10007
Telephone:
rev. 02.01.12
EFTA00123538
RIDER
Grand Jury Subpoena to JP Morgan Chase dated November 22, 2019
Reference # 2019R01059
Please provide copies of all records and all account information (including
microfilm/microfiche copies thereof) and information contained in computers (including hard drives,
discs and any other magnetic or electronic media) relating or referring to the following businesses,
individuals, and/or any other account(s) for which the below individuals are authorized signers for, the
period of 01/01/2019 through the present, in electronic format:
Follow up requests for underlying documents related to these statements, such as images of
cancelled checks or other instruments, current account status, or current account balances will be
deemed as requested under this subpoena.
Name: Tova Noel
Address:
SSAN•
DOB:
Name: Michael Thomas
Address:
SSAN•
DOB:
Your response should include, but not be limited to, the following documents and data:
1.
All savings, checking, loan and credit card accounts for the above listed businesses and/or
individuals for the time period of 01/01/2019 through present
2.
The associated financial institution and account numbers;
3.
The associated dates of transaction;
4.
Savings accounts - signature cards, items of deposit, deposit tickets, items of withdrawal,
withdrawal tickets, statement of account, 1099's issued or other correspondence sent indicating interest
earned, and all correspondence and notes of telephone conversations or discussions;
5.
Certificates of deposit - signature cards, items of deposit, deposit tickets, items of withdrawal,
withdrawal tickets, items of payoff, payoff ticket, statements of account, 1099's issued or other
correspondence sent indicating interest earned, and all correspondence and notes of telephone
conversations or discussions;
6.
Checking accounts - signature cards, items of deposit, deposit tickets, debit and credit memos,
canceled checks, statements of account, and all correspondence and notes of telephone conversations
or discussions;
7.
Loans & Lines of Credit - including active loans, paid off loans, written off loans, applications,
borrowing base certificates, financial statements, signature cards, items of disbursement, items of
EFTA00123539
payment, ledger cards, loan statements, records of third party credit checks in possession of financial
institution, and all correspondence and notes of telephone conversations or discussions;
8.
Any credit cards such as VISA or Master Charge accounts, active and inactive - application,
financial statements, signature cards, items of payment, statements of account, credit/ background
check and all correspondence and notes of telephone conversations or discussions;
9.
Safe deposit box - application, signature card, box number, entry cards for all entries, rental
payments and/or lease agreement, all correspondence and notes of telephone conversations or
discussions;
10.
Money orders, bank drafts - records in the register, money orders or bank drafts, retained copies
of the money orders or bank drafts, and all correspondence and notes of telephone conversations or
discussions;
11.
Wire transfers - all documents relating to monies transferred by wire or other electronic means
including but not limited to full transaction reports, debit or credit slips, transaction sheets, letters or
any other forms of correspondence authorizing the transfer;
12.
Copies of bank checks. cashier's checks and/or money orders and all copies of any items
deposited or withdrawn from accounts to obtain these instruments, including all correspondence and
notes of telephone conversations or discussions;
13.
Copies of traveler's checks including all correspondence and notes of telephone conversations
or discussions;
14.
Copies of all purchases and sales of Treasury Bills including all correspondence and notes of
telephone conversations or discussions;
15.
Retained copies of IRS Form 4798 - Currency Transaction Reports, filed on behalf of the
captioned entities.
EFTA00123540
The oint of contact is SA
telephone number
address
Please forward the above requested information to:
FBI
Attn: SA
26 Federal Plaza
New York, NY 10278
C19
, email
Do not disclose the existence of this subpoena to the individual or any third party.
EFTA00123541
Declaration of Custodian of Records
Pursuant to 28 U.S.C. § 1746, I, the undersigned, hereby declare:
My name is
(name of declarant)
I am a United States citizen and I am over eighteen years of age. I am the custodian of
records of the business named below, or I am otherwise qualified as a result of my position with
the business named below to make this declaration.
I am in receipt of a Grand Ju Sub oena dated November 22, 2019, and signed by
Assistant United States Attorney
• requesting specified records of the
business named below. Pursuant to Rules 902(11) and 803(6) of the Federal Rules of Evidence,
I hereby certify that the records provided herewith and in response to the Subpoena:
(1) were made at or near the time of the occurrence of the matters set forth in the records,
by, or from information transmitted by, a person with knowledge of those matters;
(2) were kept in the course of regularly conducted business activity; and
(3) were made by the regularly conducted business activity as a regular practice.
I declare under penalty of perjury that the foregoing is true and correct.
Executed on
(date)
(signature of declarant)
(name and title of declarant)
(name of business)
(business address)
Definitions of terms used above:
As defined in Fed. R. Evid. 803(6), "record" includes a memorandum, report, record, or data compilation, in any
form, of acts, events, conditions, opinions, or diagnoses. The term "business" as used in Fed. R. Evid. 803(6) and
the above declaration includes business, institution, association, profession, occupation, and calling of every kind,
whether or not conducted for profit.
EFTA00123542
U.S. Department of Justice
United States Attorney
Southern District of New York
The Silvio J. Mono Building
One Saint Andrew's Plaza
New York New York 10007
November 22, 2019
Re: Grand Jury Subpoena
Dear Sir/Madam:
This letter describes the procedure for requesting reimbursement for subpoenaed records.
12 CFR part 219 (subpart A), issued by the Board of Governors of Federal Reserve
System under section 1115 of the Right to Financial Privacy Act (12 U.S.C. 3415), sets the rates
and conditions for reimbursement of costs directly incurred by financial institutions in
assembling or providing customer financial records to a government authority pursuant to the
Act. No costs are reimbursable if the records are those of a corporation or a partnership
comprised of more than five individuals.
If reimbursement is authorized, and the estimated billin to the overnment will exceed
$500, advance permission is necessary from
at
If the subpoenaed records indicated on the rider are eligible for reimbursement, please
complete section B of the enclosed form OBD-211, which will serve as your invoice, and return
it with a copy of the subpoena to the following address:
U.S. Attorney's Office - SDNY
Accounts Payable Department
86 Chambers Street, 3M floor
New York, NY 10007
Please send your invoice to the above address within 60 days of the submission of the
subpoenaed records. If no invoice is received within 120 days, funds will not be available to pay
the invoice.
Thank you,
Accounts Payable
De artment
Enclosure: OBD-211
EFTA00123543
INSTRUCTIONS
Form USA-211
ATTORNEYS:
I . Fill in blocks 2, 3, 4 (name only), 8, 9, and 10.
2. Mail the subpoena and the USA-211 to the financial institution. (A copy of
this "Instructions" sheet and the attached "Important Notice" must be
included with each USA-211).
In a situation where the financial institution directly retu►ns to you the USA-211
with an invoice and the subpoena/rider please forward to Budget and sign Box 14,
15 and the bottom of Box 22 to acknowledge receipt of the requested service.
1. Complete block 4 (address).
Section B.
2. Complete block 11A and 11B (payments cannot be processed without a Tax
ID Number).
3. Either complete or write "See attached invoice" and attach to the USA-211.
4. Sign block 12 and Date block 13. Note carefully the certification in
conjunction with the attached "Important Notice".
5. Send the following documents to --> U.S. Attorney's Office — SDNY
Budget / Fiscal Unit
86 Chambers Street — 3rd Floor
New York, NY 10007
a. Completed USA-211
b. Copy of Subpoena and Rider
c. Attach invoice, if applicable
EFTA00123544
Pursuant to the Right to Financial Privacy Act (RFPA), Title 12. United States Code, Section 3415, financial institutions may
be reimbursed for necessary costs actually incurred for producing subpoenaed financial records. Reimbursement may only
be made in connection with financial records of checking, savings, share, loan or credit card accounts if the accounts
belong to individuals or partnerships of five or fewer partners. Reimbursement may only be made to an entity defined as
a financial institution under the RFPA. The Federal Reserve Board has established the following guidelines:
1. Search and Processing Costs — May be billed at the following rates of:
Clerical/Technical, hourly rate - $22.00
Computer Support Specialist, hourly rate - $30.00*
Manager/Supervisory, hourly rate - $30.00
*If itemized separately, personnel time for computer searches may be paid at the rates set for specialized computer suppon orS'
when compliance with the request for information requires that the financial institution use programming or other higher level
technical services of specialized computer support in order to reproduce electronically stored information in the format requested
by the government authority.
Reproduction Costs — May be billed at the following rates of:
Photocopy. per page • $0.25**
Paper copies of microfiche, per frame - $0.25
Duplicate microfiche, per microfiche - S0.50
Storage Media (CD, flash storage device, etc.) — Actual Cost***
**Reimbursement is not permitted on a per-page basis for production of paper documents that had been stored
electronically, unless the government specifically requested production of paper documents. ***Storage media may
include encryption technologies.
3. Transportation Costs — If itemized separately, financial institutions may bill for:
Reasonably necessary costs directly incurred to transport personnel to locate and retrieve the requested
information, and to deliver such material to the place of examination.
Reasonable measures taken to insure against a data breach, such as the use of registered mail or courier services
as required.
No fixed reimbursement will be available for transmittal made by email. However, financial institutions may be
reimbursed for personnel costs and other identified costs incurred related to making email transmissions.
1. Corporations
2. Large Partnerships (6 or more partners)
3. Associations
4. Trusts
5. State and local government agencies
6. Other legal entities
Unless otherwise requested all financial record requests should be delivered in an electronic format.
•
Section B, item numbers II through 13 of the attached purchase order form must be completed and returned to the
United States Attorney's Office to support reimbursement.
•
To assure prompt payment, please submit an invoice within 60 days. Mail should be directed to the attorney whose
name and address appears on the subpoena. Please include the appropriate tax ID number.
Note: If invoicing for these services is expected to exceed 120 days, please notify the United States Attorney's Office
immediately to ensure funds remain available for payment.
EFTA00123545
Washington, D.C. 20530
US. Department of Justice
Request for Financial Information Under the Right to Financial Privacy Act (RFPA)
(Authorization, Purchase Order and Receiving Report)
This form shall be used when requesting financial records of individuals and putnenhips of five or fewer individuals under the RFPA.
I Tracking Number
j2 Date Order Prepared:
Section A - Authorization and Purchase Order
4 Name and Address of Financial Institution:
JP Morgan Chase
5 Deliver Records To:
See attached subpoena for delivery instructions
Funding Certification &
Authorization:
A N m
•
A.
Budget Official Signature
Funding Available
Date
B.
54-6113
N/A
Approving Official Signature
Dale
Send Completed USA-211 Form & Invoice To:
U.S. Attorneys Office • SDNY
Budget 1 Fiscal Unit
86 (.Timbers Street. 3rd Moor New York, NY 10007
6 Return Date:
See attached
7 Remarks: Do not proceed with compliance if the total cost will exceed $ 500.00
without prior approval. To obtain approval, call the requestor listed in Item 8.
If invoicing for these services is expected to exceed 120 days. please notify the United States Attorney's Office immediately to ensure funds remain available
for payment. Please see the attached Important Notice for additional information on invoicing and other requirements for reimbursement.
8 Name of auestor
AUSA
I IA Invoice Number:
11B Tax ID Number:
I IC Service(s)/Records Provided:
A. Searching and processing costs (clerical or technical personnel)
B. Searching and processing costs (management/supervisory personnel)
C. Searching and processing costs (computer support specialist)
D. Reproduction Costs (Photocopying) - **Note: Copy charges will be disallowed if
the information is stored electronically, unless the US Attorney's Office requests paper.
E. Reproduction Costs (Paper Copies of Microfiche: provide justification)
F. Reproduction Costs (Duplicate Microfiche: provide justification)
G. Storage Media Cost (e.g.. Compact Disc, DVD, etc., at Actual Cost)
H. Transportation Costs (Direct Costs Only)
Telephone Number
110 Date of request:
11/22/2019
Section B - Financial Institution Invoice
No Payment Shall Be Madc Unless Expenses Arc Itemized Below Or Set Forth On Your Attached Invoice.
In Item 412. I certify that the services invoiced above were not performed relative to any corporate
accounts and pertain only to accounts of individuals and partnerships of five or fewer individuals.
12 Signature of Financial Institution Official:
Quantity
Unit Price
Cost
Per
$22.00
430.00
430.00
40.25
40.25
$0.50
Hour
Hour
Hour
Page
Frame
Microfiche
Amount
Section C - Receiving Report
14 I certify that the articles and services listed were received:
I3 Date Signed:
15 Date Received:
Total Amount Claimed
By Financial Institution
I8 Right to Financial Privacy Act - Public Law 95-630
(12 U.S.C. 3401-3422) Request Pursuant To: (Check One Only)
SECTION
3404
3405
3406
3407
3408
3413
3414
22 Remarks:
Customer Authorization
Administrative Subpoena or Summons
Search Warrant
Judicial Subpoena
Formal Wriuen Request
Grand Jury Subpoena
Special Procedures
OBJECT
CLASS
2545
2545
2545
2545
2545
2545
2545
16 Disallowance
(See Attached)
17 Nett°
Financial
Institution
19 Signature of Approving Official:
20 Funding Source
Accounting Code:
Program
21 Other Accounting/Fund Information:
Program Code: NIA
Project Code: NIA
YREGDOC:
54-8113
Call Number (if applicable):
OBL Month (YRNI0):
Tax ID Number.
Terre
MIES
of my knowledge. the financial records received. for which we are being billed. are those of an individual or partnership of live or fewer
Signature of United States Attorney's Office Representative
Date
FORM USA-211
FEB. 3/14
EFTA00123546