EFTA Document EFTA01481675

USCG Due Diligence Report - Corporation DDR Name: Darren K. Indyke PLLC — DDR Status: Process Completed Banker Information Banker: Paul V Morris/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 03/04/2010 11:23:27 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 116 East 65th St., LLC Darren K. Indyke 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 Corporation Name/Contact Information Banker Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V EFTA01481675 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 Morris, Paul V 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 102/29338 N256838 8634--CHBG 01 Only Select "New Client" if this entity will be a PCN. iPMC Internal Use Only EFTA01481676 Full Legal Corporate Name: Darren K. Indyke PLLC (No P.O. Box address. Must be a physical address.) Primary Corporate Address Name: Attention: Address Line 1: Address Line 2: City: State: Province: Postal/Zip Code: Country: Tax ID # : Business Phone: State of Domicile: Where is the Company Incorporated? What document did you obtain to evidence state of domicile? Articles of Incorporation, Partnership Agreement, etc 10022 UNITED STATES 300503849 Remember to collect W-8's or other applicable tax forms for each jurisdiction. ()NY Articles of Organization 457 Madison Ave. New York NY Darren K. Indyke PLLC Introduction / Financial Information Introduction Type: Related Client A/C Specific Information: Have you met with the Principal/Authorized Individual? Legal Entity: Limited Liability Corporation What is the purpose for forming the LLC? Limited Liability Company To provide legal services to Jeffrey Epstein. Princpal Beneficial Owner(s)/Shareholder(s) Identify the principal beneficial owner(s)/shareholder(s). If the entity is owned by an intermediate legal structure (e.g. LLC or Partnership), list the ultimate individual beneficial owner(s). A beneficial owner EFTA01481677 is any person on behalf of whom the account is maintained. Last Name: First Name: Indyke Darren Source of wealth of the beneficial owner(s)/shareholder(s): Source of wealth of the Partners: Executive Management/Professional What is the client's current executive management position? (Include any former positions, if significant to source of wealth) List the approximate number of years in current position. (Include any former positions, if significant to source of wealth) Approximate yearly income/salary/bonus/distribution and other compensation history (accumulated earned income) $1.7mm 15 % of Ownership 100 SSN DOB Form of Govt Issued ID Obtained drivers license Executive Management/Professional Jeffrey Epstein is a longstanding client. (Please identify referral source, etc.) Citizenship UNITED STATES attorney EFTA01481678 Is this an operating company? Entity/Client Net Worth: $ 3.00 (USD millions) Documentation/ Information obtained to confirm stated net worth of the Entity/Client: Industry Code: The Business Type is the industry in which the client derives the majority of its 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 Receipt and distribution of legal fees Wire 200,000 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 : Receipt and distribution of legal fees and payments for upkeep of office. Investment Products (Custody, Brokerage,Agency,Margin) Anticipated $ Amount Totals per month — Please provide at least an estimate EFTA01481679 Below $10000 Below $100000 Below $1MM Below $1MM Conversation with client PRIVATE HOUSEHOLDS NAIC Code: 814100 Fiduciary (Investment Mgmt. / Trust) Credit type facilities (Line of Credit, Mortgage, Letter of Credit) Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search Media Searches Only EFTA01481680 requests/instructions to Security 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 Not Requested. Not Requested. Not Requested. Information confirmed; details included in the attachment. Not Requested. Not Requested. Not Requested. Publications revealed nothing derogatory. No records were found. No records were found. Has this been identified as a Red Dot DDR? : Banker Response: EFTA01481681 Expense No.: Total Costs: 99/31167 $0.00 Signed by: Dated: Vanessa A Budhu 10/17/2008 08:47:29 PM Background Checks conducted in addition to Security Services Background Check Date (Required If Check Carried Out) 10/03/2008 Comments (Required If Check Carried Out) Jeffrey Epstein is a longstanding client. He is dissolving his family office (New York Strategy Group) and splitting it in two: HBRK Associates Inc. and Darren K. Indyke PLLC. DKI PLLC provides legal services to Mr. Epstein. EFTA01481682 Summary Summary Of Findings: Anticipated Product(s) Jeffrey Epstein is a longstanding client. He is dissolving his family office (NYSG) and splitting it in two: HBRK Associates Inc. and Darren K. Indyke PLLC. DKI PLLC provides legal services to Mr. Epstein. Deposits 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 01 No Client Hierarchy and Additional Entity Assignment: Name DARREN K. INDYKE PLLC Linked to DM Name JEFFREY E EPSTEIN Date of Birth No Tax ID # Existing CAS Id SPN No Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Goverment issued I.D Obtained DARREN K. INDYKE PLLC 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 EFTA01481683 Goverment issued I.D Obtained Tax ID # Date of Birth Tax ID # Linking to DM Id 9710670 708 CAS ID 0220795317 Citizenship UNITED STATES Attention Address Line 1 State Citizenship Zip Address Line 2 Province City Country Approval Information Public/High Profile Figure No EFTA01481684 High Risk Jurisdiction No High Risk Business Is this a Foreign Bank? "Foreign Bank" as defined in the USA PATRIOT Act. Banker: LE/OU: Senior Manager: Paul V Morris/JPMCHASE 102/29338 Marcus Sheridan/JPMCHASE No No Annual / Periodic Review Information 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 PLLC — as a Client from inception and throughout the client relationship. Mary C Casey 10/20/2008 08:41:00 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 PLLC — as a Client. Marcus Sheridan 10/20/2008 03:35:41 PM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 10/03/2008 Last Modified: 10/20/2008 Submitted: 10/17/2008 08:47:30 PM Audit History 8. 'Senior Manager Approval' performed by: Marcus Sheridan on: 10/20/2008 03:35:40 PM 7. 'Banker Approval' performed by: Mary C Casey on: 10/20/2008 08:41:01 AM 6. Submitted for Banker Approval SS Type = Media Searches Only performed by: EFTA01481685 Vanessa A Budhu on: 10/17/2008 08:47:35 PM 5. Button: 'Flag: Security Check has begun' performed by: Vanessa A Budhu on: 10/12/2008 11:41:52 PM DDR Complete Security Services is still performing the client background check. Mary C Casey 10/03/2008 Elizabeth X Hogan 10/03/2008 By: Mary C Casey By: Marcus Sheridan By: Vanessa A Budhu EFTA01481686 4. Button: 'Print' performed by: Desmia X Dale on: 10/03/2008 12:45:49 PM 3. Button: 'Approve Waiver' performed by: Elizabeth X Hogan on: 10/03/2008 11:47:39 AM 2. Button :'Request Waiver' performed by: Mary C Casey on: 10/03/2008 11:25:34 AM 1. Submitted for Security Services Approval performed by: Mary C Casey on: 10/03/2008 11:24:56 AM Converted Tracking Document History: CN=Ujwala Srinath/O=JPMCHASE: 1137404b.doc CN=Ujwala Srinath/O=JPMCHASE: 9015308B.doc EFTA01481687