EFTA Document EFTA01594169

USCG Due Dili ence Report - Individual DDR Name: — DDR Status: Process Completed Banker Information Banker: Paul V Morris/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 03/04/2010 11:09:15 PM - CRD / Notrix changed: Banker from Mary C Casey/- JPMCHASE to Paul V Morris/JPMCHASE. 07/28/2006 11:00:04 PM - CRD / Notrix changed: Banker from Jeffrey M Matusow/- JPMCHASE to Mary C Casey/JPMCHASE. 07/13/2006 11:00:44 PM - CRD / Notrix changed: Banker from Mary C Casey/- JPMCHASE to Jeffrey M Matusow/JPMCHASE. 07/10/2006 11:00:44 PM - CRD / Notrix changed: Banker from Robert Baynard/- JPMCHASE to Mary C Casey/JPMCHASE. 07/07/2006 11:00:21 PM - CRD / Notrix changed: Banker from Mary C Casey/- JPMCHASE to Robert Baynard/JPMCHASE. 01/19/2006 11:00:30 PM - CRD / Notrix changed: Banker from Mary Rieth/- JPMCHASE to Mary C Casey/JPMCHASE. 04/22/2005 10:10:28 PM - CRD / Notrix changed: Banker GID from 00000043917 to U043917. 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 EFTA01594169 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 Name/Contact Information Banker 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 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 EFTA01594170 12/02/2008 11/25/2008 01/28/2004 102/29338 N256838 8634--CHBG 01 JPMC Internal Use Only EFTA01594171 Is this DDR being used for multiple entities? Last Name: First Name: Middle Name/Initial: Previous Last Name(s): Title: Business Name: (To Record Individual's Ownership Or Employer) Primary Address Addresses (Legal address on account) Name: Attention: Address Line 1: Address Line 2: City: State: Province: Postal/Zip Code: Country: Legal Entity: Industry Code: NAIC Code: Citizenship: Date of Birth: Gender: Tax ID # : Passport/Drivers License #: Home Phone: Introduction Information Introduction Type: Specific Information: Met With Principal? If you did not meet the Principal, give an indication of why you haven't met the individual and when you will. Mary will meet with her as soon as possible. She has met several times with Jeffrey Epstein. What form of goverment issued identification document did you obtain for the files? Other If Other ,Please Describe: Financial Information Occupation, Business or Employer of the Client: Model not yet supplied Related Client A/C Jeffrey Epstein To be confirmed EFTA01594172 (Use 4-digit year) Female Remember to collect W-8's or other applicable tax forms for each jurisdiction. 10021 USA UNITED STATES 301 East 66th Street Apt. 10N New York NY Ms. (Other than Primary Address) Business Address Individual / Joint EFTA01594173 Net Worth of Client: $ 0.1 (USD millions) Documentation/ Information obtained to confirm stated net worth of the Client: Source Of Wealth: Please Describe: personal information provided by Epstein advisor, Eric Ganey Earned through modelling assignments 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 : Please check the types of account and expected activity for this legal entity (inflows and outflows of securities and cash) - check ALL that apply: Activity Level: Account DDA/MMIA: SDI: Investment Management: Funds: Other: Transaction Profile/Expected Account Activity Checking account Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search 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: was fully researched in New York onl . Reference the Due Diligence Report titled ( ) for a (FULL) report on ( ). No research was conducted on ( ) under this particular DDR. Please Note: All research is subject to the availability of electronic database resources. Attachment: Search Type DDR # 061104 (no attachment) Is Further EFTA01594174 Review by Security Service Details: Banker Response: Low (1-5 transactions/month) Medium (6-12 trs/month) High (over 12 trs/month) Full EFTA01594175 Banker Require d? Company Information Corporate Records Other Database Searches (RDC/CDC/MIS) Civil Court Action Federal & State Court Action Personal Particulars No No No No No No records were found. No records were found. No records were found. No records were found. Social securit number =ME could not be confirmed as belonging to . A check with the social security administrations lists social security number as a valid number, but not yet issued. Publications Regulatory Sanctions OFAC/Control List Search Has this been identified as a Red Dot DDR? : No No Nothing derogatory was found. No records were found. Expense No.: Total Costs: 99/137001 $0.00 Signed by: Dated: Vanessa A Budhu 02/08/2004 09:42:46 AM Individual Checks Date Comments Background Check (Required If Check Carried Out) 01/28/2004 (Required If Check Carried Out) is a Slovakian citizen who has come to the US for modelling work. Jeffrey Epstein knows the model personally. Epstein is a longstanding client of JPMPB. EFTA01594176 Summary Summary Of Findings: Jeffrey Epstein often provides support to emerging models. In this case, Ms. has arrived from the Slovak Republic and Epstein has asked us the favor of opening a checking account for her and he will guarantee her credit card application. The selection of Slovakia as her citizenship in the DDR system was not available to be chosen and needs to be rectified. Anticipated Product(s) Deposits EFTA01594177 Number Assignments Standalone Entity? If this legal entity is or will be a Client (PCN) or Prospect answer YES. If this legal entity is or will be part of an Existing PCN relationship answer NO. If "No" above, then indicate the Client (PCN): Ultimate Customer Number (UCN): Optionally, you may indicate the Affiliation Number: SPN Required? SPN#: CAS ID: Client Service Team: 0123837908 Camillo A D'Orazio/JPMCHASE, Maria A Hornak/JPMCHASE, Ethan J Hornbecker/JPMCHASE Please type in the name of the CSS person/persons that supports your region. 1405152 Approval Information Public/High Profile Figure No High Risk Jurisdiction High Risk Business Banker: LE/OU: Senior Manager: No No Paul V Morris/JPMCHASE 102/29338 Tad C Smith Annual / Periodic Review Information Annual/Periodic Review Due in: 36 months Periodic Review Comments : This annual/periodic review is for DMID # DMID Name: JEFFREY E EPSTEIN The actual review is being conducted within the Ranch Lake III, Inc. DDR. Banker Approval Information Based on my due dili ence and the information provided , I approve the acceptance of — as a Client. Mary Rieth 02/09/2004 08:33:37 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary Rieth, I approve the acceptance of as a Client. Tad C Smith 02/09/2004 09:23:31 AM EFTA01594178 Admin Comments EFTA01594179 Admin Comments: By: Date: Admin Comments History : Document History Created: 01/29/2004 Last Modified: 02/09/2004 09:23:42 AM Submitted: 01/29/2004 Audit History Converted Tracking Document History: 1. Security Services Sign-Off by: Vanessa A Budhu on 02/08/2004 09:42:51 AM. 2. Client Manager Approval by: Mary Rieth on 02/09/2004 08:33:37 AM. 3. Awaiting Security Services Research by: Doreen X Hewitt-Dunn on 01/29/2004 11:09:35 AM. 4. Senior Manager Approval by: Tad C Smith on 02/09/2004 09:23:34 AM. By: Doreen X Hewitt-Dunn By: Tad C Smith By: Doreen X Hewitt-Dunn EFTA01594180