EFTA Document EFTA01298295

NAME SEARCHED: J. Epstein Virgin Islands Foundation, Inc 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 Eg No I Iii 0 Not Required I. RDC Results No RDC Alert (Please See Attached) • Hit FIRCOSOFT 0 No Hit 0 Not Required K Hit II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) Ill S III. Media No Information Found 0 Yes No Not Required Pt Non-Neptive Media No Information Found V. Other La vele:: \um No Information Found D&B VI. MB No Information Found Results? M Yes El No E Not Required SMARTLINX VII. Smartlinx Information Found (Please See Attached) Result?? Yes 0 No 0 Not Required COURT CASES 0 Review by Legal May be VIII. Court Cases No Information Found Required C No Results 0 Search not required Prepared by: Sanchit Mittal Date: 08/20/2018 Research Analyst Instructions: I. Review and confirm that all results are 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:Martindale-Hubbellhttp://wwa.martindale.com/xp/Martindak/home.sml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 internal use only For internal use only CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL StailY_GM_0006254n DB-SDNY-0025374 EFTA_00173057 EFTA01298295 Page 2 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth/Age 11638438 No Match Found KYC 01977699 a 3. Epstein Virgin Islands Foundation, Inc ::cioriii.i.VIRGIN ISLANDS, U.S. Ft RCOSOFT: Request ID Record ID Type Name Details Alert(s) ADM INT PEP SAE 25025721 WR_250257212182 Company J. Epstein rgin Fou Vi ndation, Islands Inc No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found D&B: No Information Found Public Record: 1 OF 1 RECORD(S) Smartlinx CD Comprehensive Business Report Report Created:8-20-2018 5:10 PM EST l FOR INFORMATIONAL PURPOSES ONLY I Copyright 2018 LexisNexis, All rights reserved. Search Terms - tin(66-0585379) radius(15) Executives - Current (0) Incorporation/SOS (0) Operations/Sites (1) Licenses (0) URLs (0) Real Property - Current (0) For internal use only For internal use only Sales (0) Real Property - Prior (0) SDNY_GM_00062550 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025375 EFTA_00 I 73058 EFTA01298296 MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments & Liens Filings (0) UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (1) Person Associates (0) Business Associates (0) TINs (1) Possible Connected Business Parent Company (0) Industry Information (1) (0) View All Sources (3) Business Summa Name Address Phone J EPSTEIN VIRGIN ISLANDS FOUNDATION INC (No recent public filings on file) 6100 Red Hook Otrs Ste B-3 St Thomas. VI 00802-1348 St. Thomas County LexID Established TIN 0004-21424151 2000 (18 Years in Business) 66-0585379 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 -1 name variations found NO. NAME 1 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC TINs -1 TINs found NO. TIN NAME 1. 66.0585379 J EPSTEIN VIRGIN ISLANDS FOUNDATION INC Business Profile Executives: Current -0 executive(s) found Incorporation/SOS (0 active, 0 other) OueratinaLocations - Showinq 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 SIC NAIC 8733 Noncommercial Research Organizations No NAIC information available Industry Description: CHARITABLE ORGANIZATION;PRIVATE INDEPENDENT FOUNDATIONS Business Description: For internal use only For internal use only SDNY_GM_00062551 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0025376 EFTA_00 173059 EFTA01298297 Licenses - 0 licenses found URLs -0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Employees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE(S) 1 Hoffman. Paul 6100 Red Hook OIrs Ste 8-3 St Thomas. VI 00802-1348 Prior Person Associates - 0 other person associates found Possible Connected Business - 0 businesses found Business Associates - 0 business associates found Sources All Sources 3 Source Documents Government Agency 1 Source Documents Other Directories 1 Source Documents Experian FEIN 1 Source Documents Key: High Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by Electronic Directory Assistance. Wireless Phone Indicator. These symbols indicate a cell phone number. Residential Phone Indicator. These symbols indicate a residential phone number. Business Phone Indicator. These symbols indicate a business phone number. 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. For internal use only For internal use only SDNY_GM_00062552 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025377 EFTA_00 I 73060 EFTA01298298 Government Phone Indicator. These symbols indicate a government phone number. Important: The Public Records and commercially available data sources used on reports have 011015. Data is sometimes colored poorly, processed inconectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before retying on any data this system supplies. It should be Independently verified. For Secretary of Stare documents, the rollaway data le for inlormaibn purposes only and is not an official record. Certified copies may be obtained horn that individual states Department of Stale. Your DPPA Permissible use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright 0 2018 LexisNexis. a division of Reed Ebevier Inc. AI Rights Reserved. LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00062553 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025378 EFTA_OOI 73061 EFTA01298299