EFTA Document EFTA01594201

Due Diligence Report Pot and Kettle JP Morgan Chase EFTA01594201 Executive Summary On 8/24/2011, GS&I was requested by Paul Morris to conduct a background investigation. Full research was conducted on Ghislaine Maxwell in FL only. Full research was conducted on Pot and Kettle in FL only. Throughout this search, the following records were researched: Company and corporate records, RDC (Regulatory Data Corp), MIS (McDonald Information Services), Factiva (Public Figures & Associates Database), CSSS/- FPS internal database search (JPMorgan Chase Fraud Prevention List Review), state & federal court searches, personal particulars, publications, regulatory sanctions, FINRA/NFA and OFAC (Office of Foreign Asset Control). Investigation indicates Ghislaine Maxwell to have affiliation(s) in CA and the Virgin Islands. Records were not searched in CA and the Virgin Islands, and research may reveal corporate or court records. Research can be completed upon request of the banker and these searches require additional time (two business weeks) and cost. Please Note: All research is subject to the availability of electronic database resources. EFTA01594202 Our searches revealed the following: Ghislaine Maxwell Internal database search revealed prior GSI research and the following derogatory information was reported:UeSeveral newspaper articles detailing the investigation conducted by Britain's 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 held companies. The agency is also looking into a complaint from Swiss Bank Corp., which says it did not receive collateral for a $100 million loan to a small private Maxwell companyeaNewspaper article dated 12/01/2000, which stated that "Ghislaine Maxwell's source of wealth is being classified as something of a mystery."NNewspaper article dated 08/09/1996 detailing the arrest of Ghislaine Maxwell on DWI charges.aNumerous newspaper articles detailing the criminal fraud charges brought against Kevin and Ian Maxwell (sons of Robert Maxwell).ENewspaper article dated 6/23/2005 detailing Robert Maxwell misappropriated funds from the companies under his control. According to the newspaper article, "He pledged assets as security for additional loans", but instead of delivering the assets to the lender, he would simply sell the assets for cash. "For example, Berlitz 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." Other databases (RDC/MIS/Factiva/Sex Offender) revealed no records found. State court searches revealed no records found. Federal court searches revealed records found. Personal Particulars: B Social security number: 133-78-4883 was issued in NY between 1991-1993. (confirmed)B Date of birth: 12/25/1961 (confirmed) Current Address: 16 Island Ave. Apt. 70, Miami Beach, FL 33139-1353 (confirmed) Publications revealed records found. Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. Pot and Kettle Company records search revealed no records found. Corporate records search revealed no records found. Other databases (RDC/MIS/Factiva) revealed no records found. Internal database search revealed no records found. State court searches revealed no records found. Federal court searches revealed no records found. Publications revealed no records found. Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. EFTA01594203 TABLE OF CONTENTS U TOC \o "1-3" \h \z \u HYPERLINK \1 "Toc305499228" PERSONAL PARTICULARS 11 PAGEREF _Toc305499228 \h EOM • HYPERLINK \1 "_Toc305499229" =PUBLICATIONS B PAGEREF _Toc305499229 \h • 82E • HYPERLINK \l "_Toc305499230" RUOFAC/CONTROL LIST SEARCH PAGEREF Toc305499230 \h EMU EFTA01594204 PERSONAL PARTICULARS Full Name Address County MAXWELL, GHISLAINE NOELLE MIAMI BEACH, FL 33139-1353 ADDITIONAL PERSONAL INFORMATION nder Subject Summary Phone MIAMI-DADE None Listed SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1: 1991-1993 Address Summary - 15 records found No. Address EFTA01594205 Voter Registrations - 4 records found 1: New York Voter Registration Registrant Information Name: MAXWELL, GHISLAINE N Residential Address: NEW YORK, NY 10021-7007 NEW YORK COUNTY SSN: Date of Birt : Gender: Female Voter Information Registration Date: 11/15/2006 Party Affiliation: INDEPENDENCE Active Status: ACTIVE EFTA01594206 2: New York Voter Registration Registrant Information Name: MAXWELL, GHISLAINE N Residential Address: NEW YORK, NY 10065-700 NEW YORK SSN: Date of Birth: Gender: Female Voter Information Registration Date: 11/15/2006 Party Affiliation: INDEPENDENCE Status: MOVED 3: New York Voter Registration Registrant Information Name: MAXWELL, GHISLAINE N Residential Address: NEW YORK, NY 10065-7007 NEW YORK SSN: Date of ir Gender: Female Voter Information Registration Date: 11/15/2006 Party Affiliation: INDEPENDENT Active Status: ACTIVE 4: Florida Voter Registration Registrant Information Name: MAXWELL, GHISLAI Residential Address: MIAMI BEACH, FL 33139-13 MIAMI-DIM. = SSN: Date of Birth: ME Age: 45-54 Gender: Female Race: WHITE Voter Information Registration Date: 4/4/2009 Party Affiliation: NONE DECLARED Active Status: ACTIVE Employment Locator - 1 records found 1: Company Name: AMERICAN ITALIAN CANCER FOUNDATION Name: MAXWELL, GHISLAINE EFTA01594207 Address: NEW YORK NY 1001.! SSN: Phone: Confidence: Medium EFTA01594208 PUBLICATIONS Copyright 2011 N.Y.P. Holdings, Inc. All Rights Reserved The New York Post March 9, 2011 Wednesday SECTION: All Editions; Pg. 6 LENGTH: 289 words HEADLINE: SCHOOLGIRL CONFIDENTIAL - TYCOON SEX CALLS BYLINE: DAN MANGAN BODY: Billionaire sex offender Jeffrey Epstein received hundreds of phone calls some of them from young schoolgirls - to arrange massages for him at his Florida mansion, a sickening new report revealed. A 2005 message left for the convicted sex fiend said, "She is wondering if 2:30 ok cuz she needs to stay in school," according to the Daily Mail newspaper, which saw the handwritten call logs detailing messages seized by police during a probe several years ago. Other messages reportedly said, "She has females for Mr 3E" and "I have a female for him." Named in several of the call logs is socialite Ghislaine Maxwell - a longtime Epstein confidante, and the daughter of the late disgraced newspaper magnate Robert Maxwell. Ghislaine Maxwell allegedly helped recruit young women for Epstein's pleasure, according to the report. The Daily Mail reported several da s ago that it was at Maxwell's London home in 2000 that then 17, was allegedly introduced to Prince Andrew - whose rien s ip to Epstein has created controversy. Roberts has said it was Maxwell who brought her into Epstein's orbit - and that she was recruited at age 15 to be "a prostitute for him and his friends." Epstein, 58, served 18 months in a Florida prison after pleading guilty in 2008 to soliciting a minor for prostitution. A New Yorker who knows Maxwell told the Times of London that she's "a modern- day geisha girl of the capitalist world. She inhabits a domain filled with the richest people in the world - some of whom are good guys, and some of whom are bad and who think they are above the law. It's a world frequented by young half-naked girls in bikinis, billionaires and lavish lifestyles, but it borders on the grotesque." OFAC/CONTROL LIST SEARCH EFTA01594209 Confidential Due Diligence Report Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 511696411A H PAGE HIM EFTA01594210