EFTA Document EFTA01298098

NAME SEARCHED: LSJE, 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 necestary): RU(: No lilt M Not Required 0 I lit I. ROC Results No RDC alert (Please sec attached) FIRCOSOFT n No Hit • Not RRequired) IL FIRCOSOFT lie sujig No FIRCOSOFT alert (Please see attached) ■ Hit BIS III. Negate c N led et There was no information found O Yes No IV. Non-Negative Media Not Reputed O Not Required V. Other Language Not Required Media D&B VI. D&B There was no information found Results? • Yes ® No • Not Required Smartlinx VII. Smalltime Information found(Please see attached) Remits/El Yes .4 No O Not Required Court Cases El Review by legal May be VIII. Court Cases There was no information found Required • No Results • Search not expired _L Prepared by: frmanshu Khatwani Date:0ft/20/201S Research Analyst Inst tact ions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:filartindale-HubbellhttpdAvww.martindak.com/sp/Nlartindale/home.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 note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For intense' use only For internal use only S0NY_GM_00062062 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024887 EFTA_00172572 EFTA01298098 Page 1 OFAC RESULTS RDC: 11638480 No Match Found KYC 01977703 LSJE, LLC FIRCOSOFT: Country:VIRGIN ISLANDS, U.S. Request ID Record ID Type Name Alert(s) ADM INT PEP 25046248 WR_250462482182 Company LSE, LLC No Alert No Alert No Alert BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 1 RECORD(S) Smartlinx ® Comprehensive Business Report Report Created:8-20-2018 5:52 PM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright © 2018 LexisNexis, All rights reserved. Search Terms - company(LSJE, LLC) radius(15) For internal use only For internal use only SDNY_GM_00062063 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024888 EFTA 00172573 EFTA01298099 Page 2 Executives - Current (0) IrcorporatioNS0S (0) Operations/Sites (1) Sales (0) Licenses (0) URLs (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) FAVRs - Prior (5) Watercraft - Current (0) Watercraft - Prior (4) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0) 11CC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (3) Possible Employees (0) Person Associates (1) Business Associates (0) TI Ns (0) Possible Connected Parent Company (0) Industry Information (0) Business (0) View All Sources (12) Business Summary Name Address Phone LSJ LLC 6100 Red Hook Qtrs Ste B-3 St Thomas, VI 00802.1348 St. Thomas County LexID Established TIN 0000-8427-5929 2005 (13 Years in Business) At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations - 3 name variations found NO. NAME 1. LSJ LLC 2. LITTLE ST JAMES LLC 3. LSJE LLC TINs - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 0 other) OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1. 6100 Red Hook Qtrs Ste B-3 St Thomas, VI 00802-1348 St Thomas County ST. THOMAS COUNTY Sales - 0 record(s) found Parent Company - 0 record(s) found Industry Information - no information found Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) For internal use only For internal use only SDNY_GM_00062064 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024889 EFTA_00172574 EFTA01298100 Page 3 UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 9 prior) STATUS I TEAR/MAKE I MODEL NO. TYPE I VIN Vehicle Information VIN: 1M2K195C04M023415 Year 2004 Make: Mack Model. 600 MR600 Style: Tilt Cab Source Information Data Source: GOVERNMENTAL Registrant 1 LSJE LLC 6100 Red Hook Qtrs Ste 8-3 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction: F License Plate: License Plate Type: Other Previous License Plate: 62X51032 Registration Date: 12/0512014 Registration Expiration Date: 01/03/2015 2. MVR Prior 2010 Smart FORTWO PASSION. WMEEK3BA6AK343524 Convertible Vehicle Information VIN: WMEEK3BA6AK343524 Year. 2010 Make: Smart Model: FORTWO PASSION Style: Convertible Base Price: 516.990.00 Source Information Data Source: GOVERNMENTAL Owner 1 LSJ LLC 6100 Red Hook Qtrs Ste 8-3 St Thomas. VI 00802-1348 St. Thomas County Title Number: 0105384013 Title Date: 12/02/2010 For internal use only For internal use only SDNY_GM_00062065 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024890 EFTA_00 172575 EFTA01298101 Page 4 3. MVR Prior 2010 Chevrolet C1500 SUBURBAN LTZ, 4 Dr Wagon Sport Utility 1GNUCKE05AR225550 Vehicle Information VIN: 1GNUCKE05AR225550 Year 2010 Make: Chevrolet Model: C1500 SUBURBAN LTZ Style: 4 Dr Wagon Sport Utility Base Price: $52,880.00 Source Information Data Source: GOVERNMENTAL Registrant 1 LSJ LLC 6100 Red Hook Otrs Ste B-3 St Thomas. VI 00802-1348 St. Thomas County Jurisdiction: FL License Plate: AJH5859 Registration Date: 07/03/2010 Registration Expiration Date: 08/01/2010 4. (MVR (Prior 11987 I ISTN347471687 Vehicle Information VIN: STN347471687 Year 1987 Source Information Data Source: GOVERNMENTAL Registrant 1 LITTLE ST. JAMES LLC 6100 Red Hook Otrs Ste 2 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction: FL License Plate: FL8972EW License Plate Type: Boat Registration Date: 10/06/1999 Registration Expiration Date: 06/30/2000 5. 1MVR 'Prior 11993 1 IT0Y0188511293 Vehicle Information VIN: T0Y01885H293 Year 1993 For internal use only For internal use only SDNY_GM_00062066 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024891 EFTA 00172576 EFTA01298102 Page 5 Source Information Data Source: GOVERNMENTAL Registrant 1 LITTLE ST. JAMES LLC 6100 Red Hook Otrs Ste 2 St Thomas, VI 00802-1348 St. Thomas County Jurisdiction: FL License Plate: FL9652HH License Plate Type: Boat Registration Date: 10/06/1999 Registration Expiration Date: 06/30/2000 6. Watercraft Prior 1984 C&C YACHTS INC LOGO0002M84C Watercraft Info Vessel Name: Lady G Vessel Service Type: COMMERCIAL Length (Ft-In): 40-6 Propulsion: Diesel Reduction Registrant Info Status: VALID Registration Date: 12/22/2004 Expiration Date: 01/31/2006 Owner 1 LSJLLC 6100 Red Hook Otrs Ste B-3 St Thomas. VI 00802-1348 Source Information Data Source: GOVERNMENTAL 7. Watercraft Prior 1987 SILVERTON STN347471687 Watercraft Info Vessel Service Type: PLEASURE VESSEL Length (Ft-In): 34-0 Propulsion: INBOARD Registrant Info State: Florida Number. FL8972EW Status: ACTIVE Registration Date: 07/03/2003 Expiration Date: 06/30/2004 For internal use only For internal use only SDNY_GM_00062067 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024892 EFTA 00172577 EFTA01298103 Page 6 Owner 1 LITTLE ST. JAMES L.L.C. 6100 Red Hook Otrs Ste 2 St Thomas, VI 00802-1348 Party Type: OWNER/REGISTRANT Source Information Data Source: GOVERNMENTAL 8. 'Watercraft 'Prior 11993 DYNOUS I ITOY01885H293 Watercraft Info Vessel Service Type: PLEASURE VESSEL Length (Ft-In): 10-0 Propulsion: OUTBOARD Registrant Info State: Florida Number: FL9652HH Status: ACTIVE Registration Date: 10/06/1999 Expiration Date: 06/30/2000 Owner 1 LITTLE ST. JAMES L.L.C. 6100 Red Hook Otrs Ste 2 St Thomas, VI 00802-1348 Party Type: OWNER/REGISTRANT Source Information Data Source: GOVERNMENTAL 9. Watercraft Prior 1985 MIDNIGHT EXPRESS BOAT MXJ37053F585 Watercraft Info Vessel Service Type: PLEASURE VESSEL Length (Ft-In): 37-0 Propulsion: OUTBOARD Registrant Info State: Florida Number: FL7551EY Status: ACTIVE Registration Date: 10/14/1986 Expiration Date: 06/30/1901 Owner 1 LITTLE ST. JAMES, LLC 6100 Red Hook Otrs Ste 2 For internal use only For internal use only SDNY_GM_00062068 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024893 EFTA_00 I 72578 EFTA01298104 Page 7 St Thomas. VI 00802-1348 Party Type: OWNER Owner 2 Martinez, Segundo 275 MN 72nd Ave Apt 9 Miami, FL 33126-4375 Party Type: REGISTRANT Source Information Data Source GOVERNMENTAL Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 0 prior employees found Person Associates -1 other person associates found NO. NAME ADDRESS ROLE 1. Martinez, Segundo ADeceased 275 NW 72nd Ave Apt 9 Miami. FL 33126-4375 Miami-Dade County Watercraft Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources Personal Property 12 Source Documents 12 Source Documents Key: AHigh Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. F' General Information Indicator. These symbols inform you that additional information is provided. Ai The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. 8 Residential Phone Indicator. These symbols indicate a residential phone number. 8 Business Phone Indicator. These symbols indicate a business phone number. 8 Shared Phone Indicator. These symbols indicate the phone number may be shared between wireless and landline service. FAX Indicator. These symbols indicate a FAX number. Govemment Phone Indicator. These symbols indicate a government phone number. For internal use only For internal use only SDNY_GM_00062069 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024894 EFTA_00 172579 EFTA01298105 Page 8 Important: The Pubbc Records and commercially available data sources used on reports have °nor& 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. 4 should be independently verified. For Secretary of Slate 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 Stale. Your 0PPA Pormssrtae Use is: Litigation Your GLBA Permissible Use is: Legal Compliance Copyright O 2018 LexisNoxis, a division of Rood Elsevier Inc. AI Rights Reserved. D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For Internal use only For internal use only SDNY_Gfil_000620T0 CONFIDENTIAL - PURSUANT TO FED R.QQN(F I DENTIAL DB-SDNY-0024895 EFTA_00172580 EFTA01298106