EFTA Document EFTA01594243

Due Diligence Report 116 East 65th Street., LLC JP Morgan Chase EFTA01594243 Executive Summary On 1/23/2009, GS&I was requested by Mary Casey to conduct a background investigation. Media research was conducted on 116 East 65th St., LLC and Robert Maxwell. 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). Please Note: All research is subject to the availability of electronic database resources. Our searches revealed the following: Robert Maxwell Internal database search revealed the following:NReference the account(s) titled "Ghislaine Maxwell" for previous research. HdThe following information was previously reported to Mary Reith on 03/17/2003 under the account Ghislaine Maxwell (DDR # 1185/03):MiggSeveral 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 company.MNewspaper article dated 12/01/2000, which stated that "Ghislaine Maxwell's source of wealth is being classified as something of a mystery."UNewspaper article dated 08/09/1996 detailing the arrest of Ghislaine Maxwell on DWI charges.d- UNumerous newspaper articles detailing the criminal fraud charges brought against Kevin and Ian Maxwell (sons of Robert Maxwell).M g ----ENThe following information was previously reported to Mary Reith on 10/20/2005 under the account Forums, LLC (DDR # 11374/04):BUNewspaper 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." Publications revealed nothing derogatory. Due to the amount of news stories found, search parameters had to be adjusted. EFTA01594244 Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. 116 East 65th St., LLC Internal database search revealed the following:8Reference the account(s) titled "116 East 65th St., LLC" for previous research. Publications revealed nothing derogatory. Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. Ghislaine Maxwell Internal database search revealed the following:UReference the account(s) titled "Ghislaine Maxwell" , "Forums LLC" , "116 East 56th St., LLC" and "Air Ghislaine, Inc." for previous research. EFTA01594245 TABLE OF CONTENTS E TOC \o "1-3" \h \z \u UE HYPERLINK \1 "_Toc221328681" SEARCH IT PAGEREF _Toc221328681 \h Bottom of Form Top of Form i HTMLCONTROL Forms.HTML:Hidden.1 10Ar, HTMLCONTROL Forms.HTML:Hidden.1 MEE HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 minin HTMLCONTROL Forms.HTML:Hidden.1 Vifrt HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 HAM HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MEt HTMLCONTROL Forms.HTML:Hidden.1 minin HTMLCONTROL Forms.HTML:Hidden.1 Viii HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MEE HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 tIMMI HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MgMld HTMLCONTROL Forms.HTML:Hidden.1 Bottom of Form OFAC/CONTROL LIST EFTA01594246 OFAC/CONTROL LIST SEARCH 2 EFTA01594247 Confidential Due Diligence Report PAGE MI !PAGE fil5N Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 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