EFTA Document EFTA01480729

Tickete Client Name ECI LOB DARREN INDYKE PS Account* Account Tiffe Account Type Initiated Dale 07/13/2013 07:22 AM Initiator JUSTIN D NELSON Initiating Team PS FRONT OFFICE Verify & Confirm for DARREN Final Risk Rating INDYKE High Initial Risk Rating Standard GCS Report Requested Full Presence of Potential High Risk Indicators No Reason for Adjustment Attorney of a convicted felon Comments Accounts are to be monitored while relationship in in process of exit. Summary of Risk Attributes Darien is the attorney of convicted felon, Jeffrey Epstein. Please summarize any material changes which have occurred with the client within the past 12 months: 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. Risk Updated History Creation Date Entered by Updated Risk Previous Risk Comment GCS Grid Search Type Security Service Details Further Review Required Company Information No records found. No Corporate Records No records found. No Other Database Searches IRDCIMIS'Factival No records found. No Internal Database Search (CSSSFPS) No records found. No State Court Searches No records found. No Federal Court Searches No records found. No Personal Particulars Information confirmed: details included in the attachment. No Publications Hothin9 derogatory found. No Regulatory Sanctions No records found. No OFAC/Contra List Search A search or OFAC did not reveal any rrotcheS. No Negative or Inconsistent Information No GCS Red Dot Pas this been Identlflixl as Red Dot KYC? N t ties Information Found No No Banker Attestation Details As the client sponsor. I understand that I am primarily responsible for protecting the gm's reputation from inappropriate business relationships, as well as from fraud and money laundering. By approving this KYC, I am sponsoring this client as to their character and reputation and from a I • allre tulat• stand • • Int. Please state your rationale for conducting business with this client Comments Yes Senior management (John Duffy) has communicated to the client a request to move the relationship and accounts from JP Morgan to another institurion. This is now in execution mode and client is moving his business. For the time being the accounts sit with the Re. ion Head for Tri State Primary Information Client Type Individual Generation Client Status Client Active Indicator Yes Front Office Restricted? Normal Marital Status Married Confidential Names? No Country of Primary Domicile UNITED STATES Primary Domicile State Nsi -,,,,.. Prefix/Title Insider Code (Reg 0) Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00002945 SDNY_GM_00272143 EFTA01480729