EFTA01481294.pdf

USCG Due Diligence Report - Corporation DDR Name: EMMCAC, LLC - DDR Status: Process Completed Banker Information Banker: Paul V Morris/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 03/04/2010 11:06:35 PM - CRD / Notrix changed: Banker from Mary C Casey/JPMCHASE to Paul V Morris/JP MCHASE. 07/10/2006 11:00:44 PM - CRD / Notrix changed: Banker from Robert Baynard/JPMCHASE to Mary C Casey/J PMCHASE. 07/07/2006 11:00:21 PM - CRD / Notrix changed: Banker from Mary C Casey/JPMCHASE to Robert Baynard/J PMCHASE. 01/19/2006 11:00:30 PM - CRD / Notrix changed: Banker from Mary Rieth/JPMCHASE to Mary C Casey/JPMCH ASE. 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 d 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 111 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 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 EFTA01481294 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. JPMC Internal Use Only EFTA01481295 Full Legal Corporate Name: EMMCAC, LLC (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 I : Business Phone: 10022 USA 111111111 Remember to collect W-8's or other applicable tax forms for each jurisdiction. (212)-750-1176 Introduction / Financial Information Introduction Type: Specific Information: Met with Principal? Name Of Principal: Legal Structure: EMMCAC, LLC c/o Eric Gany 457 Madison Avenue 4th Floor New York NY Related Client A/C Part of the Epstein relationship (Please identify Client, Type of Account etc.) Jeffrey Epstein Limited Liability Company Principal Beneficial Owner(s) Identify the principal beneficial owner(s). If the entity is owned by an intermediate legal structur e (e.g. LLC or Partnership), please list the ultimate individual beneficial owner. A beneficial owner is any person on behalf of whom the account is maintained. Last Name: First Name: of Ownership: What form of identification document did you obtain for the files? Other If Other ,Please Describe: Passport 4 Please Describe: Corporation's Net Worth: Sales: Total Assets: Total Debt: Specific Information Are the controlling Shareholders the same as the beneficial owners ? Controlling Shareholder(s): Jeffrey Epstein information already on file NA investments 1.00 (USD millions) $ (USD millions) 1.00 (USD millions) $ (USD millions) account documentation Tax ID DOB EFTA01481296 Industry Code: The Business Type is the industry in which the client derives the majority of its income. Investors (Misc.) NAIC Code: 6799 Transaction Profile/Expected Account Activity What is the purpose/intended use of this 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: EMMCAC, LLC was researched for derogatory media and regulatory sanctions. Please Note: Reference the Due Diligence Report titled "Epstein, Jeffrey" and the attached document 210203b for a full report on Jeffrey E. Epstein completed on 05/21/2003 for Mary Rieth. No additional research was conducted on this subject under this request. All research is subject to the availability of electronic database resources. Attachment: Low (1-5 transactions/month) Medium (6-12 trs/month) High (over 12 trs/month) Media Searches Only Search Type Is Security Service Details: Further Review by Banker Require d? Company Information Corporate Records Other Database Searches (RDC/CDC/MIS) Civil Court Action No No No Not requested. Not requested. Not requested. Banker Response: EFTA01481297 Federal 4 State Court Action Personal Particulars Publications Regulatory Sanctions No No No No OFAC/Control List Search No Not requested. Not requested. Nothing derogatory was found. No records were found. Reference page 2 of the attached document to view the results of OFAC search. No matches were found. Has this been identified as a Red Dot DDR? : Expense No.: Total Costs: 99/137001 $0.00 Signed by: Dated: Anthony AJ Johnson 06/06/2004 12:19:30 PM Corporation Checks Background Check Date (Required If Check Carried Out) 04/10/2003 Comments (Required If Check Carried Out) EMMCAC, LLC is a new entity for the Jeffrey Epstein relationship Controlling Shareholder Cheeks Background Check Date (Required If Check Carried Out) 04/10/2003 Comments Jeffrey Epstein has been researched already. He has a long-standing relationship with Morgan through the Leslie Wexner relationship, which is now extended personally relationship and professionally. EFTA01481298 Summary Summary Of Findings: EMMCAC is the new entity for the Epstein relationship. This DDA/MMIA account will be used for the cash operations and management of the company. Anticipated Product(s) Account is urgently needed, tax id will be provided asap!! Deposits; MMIA 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 EMMCAC, LLC Linked to DM Name JEFFREY E EPSTEIN Date of Birth No Tax ID 4 Existing CAS Id 000000000 SPN No 5593247 Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Goverment issued I.D Obtained EMMCAC, LLC 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 ov er the entity or entities for which this DDR was created. Individuals documented within the above client hierarchy ar ea do not need to be repeated in this section Name Goverment issued I.D Obtained Tax ID 4 Date of Birth Tax ID 4 000000000 Linking to DM Id 9710670 708 CAS ID 0127900808 Citizenship Attention Address Line 1 State Citizenship Zip Address Line 2 Province City Country Approval Information Public/High Profile Figure No High Risk Jurisdiction No EFTA01481299 EFTA01481300 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 Tad C Smith No No Annual / Periodic Review Information Annual/Periodic Review Due in: 36 months Periodic Review Comments : This annual/periodic review is for DMID # 9710670708 - DMID Name: JEFFREY E EPSTEIN The actual review is being conducted within the Ranch Lake III, Inc. DDR. Temporary Waiver Information Waiver Status: Reason for Waiver: Waiver Requested By: Date of Waiver Request: Approver for Waiver: Waiver Approved On: Banker Approval Information Based on my due diligence and the information provided , I approve the acceptance of EMMCAC, LLc s a Client. Mary Rieth 08/11/2004 09:14:52 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary Rieth, I approve the acceptance o f EMMCAC, LLC - as a Client. Tad C Smith 08/11/2004 09:20:10 AM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 07/12/2004 Last Modified: 08/11/2004 09:20:18 AM Submitted: 07/12/2004 Audit History Converted Tracking Document History: 1. Client Manager Approval by: Mary Rieth on 08/11/2004 09:14:49 AM. 2. Awaiting Security Services Research by: Doreen X Hewitt-Dunn on 07/12/2004 03:13:41 PM. 3. Senior Manager Approval by: Tad C Smith on 08/11/2004 09:20:13 AM. 4. Security Services Sign-Off by: Anthony AJ Johnson on 08/06/2004 12:19:38 PM. DDR Complete Security Services is still performing the client background check. Doreen X Hewitt-Dunn 07/12/2004 David M Tarrio 07/12/2004 By: Doreen X Hewitt-Dunn By: Tad C Smith By: Doreen X Hewitt-Dunn EFTA01481301  CN=Ujwala Srinath/O=JPMCHASE: 210203b.doc CN=Ujwala Srinath/O=JPMCHASE: 463804b.doc EFTA01481302