EFTA01582936.pdf

Ticked' 102238348 Accounle Initiated Dates: 08222011 10.43 AM Caen! Name' POT AND KETTLE Account Tale' 'adorer DEBRA WHITE ECle 0033839248 Account Typo: Initiating Team. PB FRONT OFFICE LCB Pa Verify and Confirm for POT AND KETTLE Final Risk Rating Moderate Initial Risk Rating Standard GCS Report Requested Full Presence of Potential High Risk Indicators No Reason for Adjustment Derogatory information. GCS Grid Search Type Security Service Details Further Review Required Company Info, elation Information not confirmed on Pot and Kettle for tax id and Yes address Corporate Records Information not confirmed on Pot and Kettle for state or domicile, Yes Other Database Searches (ROOMISIFactiva) No records were found. No Infernal Database Search (CSSS/FPS) Internal database search revealed prior GSI research and the Yes following derogatory information was reported: 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? Stale Court Searches No records were found. No Federal Court Searches Information confirmed; details included in the attachment. No Personal Particulars Information contented; details included in the attachment. No Publications Information confirmed: details included in the abashment. No Regulatory Sanctions No records were found No OFACControl List Search A search of OFAC revealed no matches. No Negative or Inconsistent InktmatIon Yes Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062521 EFTA01582936