EFTA Document EFTA01582936

Ticked' Caen! Name' ECle LCB 102238348 POT AND KETTLE 0033839248 Pa Accounle Account Tale' Account Typo: Initiated Dates: 'adorer Initiating Team. 08222011 10.43 AM DEBRA WHITE PB FRONT OFFICE Verify and Confirm for POT AND KETTLE Final Risk Rating Initial Risk Rating GCS Report Requested Presence of Potential High Risk Indicators Reason for Adjustment Moderate Standard Full No Derogatory information. GCS Grid Search Type Company Info, elation Corporate Records Other Database Searches (ROOMISIFactiva) Infernal Database Search (CSSS/FPS) Stale Court Searches Federal Court Searches Personal Particulars Publications Regulatory Sanctions OFACControl List Search Negative or Inconsistent InktmatIon Security Service Details Information not confirmed on Pot and Kettle for tax id and address Information not confirmed on Pot and Kettle for state or domicile, Yes No records were found. No Internal database search revealed prior GSI research and the Yes following derogatory information was reported: Further Review Required Yes Several newspaper articles detailing the investigation conducted - by Bitterns Serious Fraud Office against Robert Maxwell. He allegedly used pension funds to service debts. cover operating losses. gamble in the foreign exchange markets, and support the stock of his publicly hold companies. The agency is also looking into a complaint from Swiss Bank Corp.. which says it did not receive collateral for a $100 fruition loan to a small private Maxwell company. Newspaper article dated 12.9112000, which stated that Ghislaine Maxwelks source of wealth is being classified as something of a mystery Newspaper amide dated 0809:1996 detailing the arrest ol Ghislaine Maxwell on CAM charges. Numerous newspaper articles detailing the crankier fraud charges brought against Kevin and Ian Maxwell (sons of Robed Maxwell). Newspaper article dated 6(23(200S derailing Robert Maxwell misappmpnated funds from the companies under his control. According lo the newspaper article. He pledged assets as security for additional bans'. but instead of delivering the assets to the lender, he would simply seethe assets for cash. 'For example. &alai language school was supposedly sold to a Japanese publishing company, but the shares had previously been pledged as security for loans from Swiss Volksbank and Lehman Brothers? No records were found. Information confirmed; details included in the attachment. Information contented; details included in the attachment. Information confirmed: details included in the abashment. No records were found A search of OFAC revealed no matches. No No No No No No Yes Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062521 EFTA01582936