EFTA01595098.pdf

Vijay S Patel From: Sent: To: Cc: Subject: Completed, On-Line NAS Wednesday, March 17, 2010 2:05 PM Rosalia X Cracchiolo; On-Line NAS PB-Service1318; PB CI Imaging Requests; csg aig closely held business RE: Screen print.doc .pdf W23560001a.pdf For new access requests, please use COL Admin Tool to provide the user with an identification code. Please contact the Private Banking Service Center ([email protected]) for any additional assistance. Regards, Bikash From: Rosalia X Cracchiolo Sent: Monday, March 15, 2010 11:23 AM To: On-Line NAS Cc: PB-Service1318; Bikash X Biswas; csg aig closely held business Subject: RE: please see below: HARRY BELLER LOGIN CHOICES: HBELLER123 HARRY123 BELLER123 From: On-Line NAS Sent: Friday, March 12, 2010 9:04 PM To: Rosalia X Cracchiolo Cc: PB-Service1318; Bikash X Biswas Subject: Hi team, Kindly provide us with the login information with the clients name so that we can proceed with the request 1 EFTA01595098 « File: .pdf » « File: W23560001a.pdf » Thanks & Warm Regards, Bikash Biswas Wealth Management Operations MOL Onboarding Team, Prism "B", GSC Mumbai Tel: 91-22-308-53413 Fax:91-22-308-53413 GDP - 308 2533 Original Message----From: [email protected] [mailto:[email protected]] Sent: Wednesday, March 10, 2010 4:42 PM To: On-Line NAS; STREAM Business Analysts Subject: New account(s) & online request Account has been opened Folder Name: SPN: Product: Product: Product: FINANCIAL TRUST COMPANY INC 2811138 Asset with Brokerage Account Title: FINANCIAL TRUST COMPANY INC Account Number: Brokerage w/Asset Account Title: FINANCIAL TRUST COMPANY INC Account Number: X Account Account Title: FINANCIAL TRUST COMPANY INC Account Number: Client Service: Young/Doherty III (031) Onboarding - please process changes to create following new authorized user Profiles. **************Authorized Online INFO************ Authorized OnLine User - HARRY BELLER 2 EFTA01595099 J.P. Morgan Entity Account Application A. Entity Information Type of Business Date of Incorporation/Organization Primary Authorized Contact Person Mailing Address City The following fields are required for Brokerage and IM Accounts: Revenue ($) Gross Annual Total Assets ($) Country Liquid Net Worth (investable assets) ($) Zip Total Net Worth ($) B. Account Information Title of account/Name of business: ❑ Corporation ❑ Partnership o PIC/PHC o Limited Liability Company o Sole Proprietorship o Foundation ❑ Asset/Custody o Limited Liability Partnership Check if applicable o Not for profit I have applied to open the following accounts: o Checking Account ❑ Money Market Deposit Account/Savings ❑ Investment Management/Third Party Manager (discretionary) o Asset/Brokerage I hereby apply for a Line of Credit linked to my Asset Account ❑ Yes ❑ No (if Yes, a U-1 form will be required) Each account I open is subject to the security interest provisions in the Agreement (defined below) and is pledged as Collateral for all my Obligations. C. Ownership Information Is this a privately held operating company in which any one person or entity has 25% or more of the ownership interest? ❑ Yes (complete owner information below) ❑ No Controlling Owner (Primary) Date of Birth: mm — Passport Number Controlling Owner Date of Birth: EFTA01595100 Passport Number D. Authorized Persons for Information Access The following individuals are authorized to inquire about and receive all information about my accounts and transactions, including access to account information made available on J.P. Morgan websites: Name Name E. Brokerage Information (required for Brokerage accounts only) By checking the box below I consent to the electronic delivery of all information including, but not limited to, communications, prospectuses, and marketing and sales documents relating to my securities activity for all investment products including both registered and unregistered offerings. ❑ I may be notified by e-mail regarding the above e-Mail Address: My objective for this account (check one): ❑ Capital Preservation ❑ Income Generation ❑ Other ❑ Capital Appreciation Speculative or aggressive investments that may generate higher returns but may be riskier than other investments because I may lose all or part of my investment (check one): ❑ Are permitted in this account ❑ Are not permitted in this account Primary source of income: ❑ Investments ❑ Operating income Please indicate the number of years of personal trading experience for the authorized party(s) on this account: Stocks Bonds Commodities Foreign Exchange I currently have brokerage accounts with the following firms: J.P. Morgan Use Only 1 of 2 Title Banker/Investor Emerging Markets Options SPN CAS 01/10 1060 m m — d d y % of Ownership EFTA01595101 Y Y d d Y Y Y Y Controlling Owner Date of Birth: Passport Number m m — d d Y Y Y Y % of Ownership Controlling Owner Date of Birth: Passport Number % of Ownership m m — d d y % of Ownership y y y Country of Incorporation/Organization Phone EFTA01595102 J.P. Morgan Entity Account Application E. Continued — Brokerage Information (required for Brokerage accounts only) Authorized Persons for Brokerage trading The following individuals shall be authorized to trade in the account (a Power of Attorney or Resolution will be required to grant trading authorization to these individuals) Name Name Affiliations 1. I, my spouse or another family member is, or has been, a director, corporate officer, control person, affiliate or an owner of 10% of a public corporation's stock: ❑ Yes ❑ No If yes, name of person Name of corporation If yes, is the corporation traded publicly on a U.S. stock exchange? ❑ Yes ❑ No 2. I, my spouse or another family member or an individual controlling the account is employed by or associated with a U.S. Broker-Dealer: ❑ Yes ❑ No If yes, Broker-Dealer must provide written permission on corporate letterhead to open a Brokerage or Margin Account. Margin Account Requested? ❑ Yes ❑ No F. Agreement I have read, understand and agree to this application and either the General Terms for Accounts and Services and the Account Agreement or, for certain checking or savings deposit accounts, the Account Rules and Regulations (in each case, our "Agreement"). The Agreement, with amendments from time to time, generally will apply to any future account, product or service that we agree upon orally, electronically or otherwise, although certain accounts, products or services may require additional documentation. This Agreement (including this application) is a security agreement under Article 9 of the Uniform Commercial Code, as amended from time to time. I have read and consent to the terms of J.P. Morgan's Private Bank and Private Wealth Management Privacy Policy, including the manner in which my information is received and used, and that upon opening an account with J.P. Morgan's Private Bank or Private Wealth Management (together described as the "Private Client Businesses" in the Policy) my information will be used by one or more members of the Private Client Businesses' family of companies (as listed in the Policy) in order to make available to me the products and services available through the Private Client Businesses. G. Pre-dispute Arbitration By signing below, I acknowledge my agreement to arbitrate any controversies arising out of the Margin or Brokerage Agreements with J.P. Morgan Securities Inc., in accordance with paragraph 6 on page 28 of the General Terms that I have received. H. Signature EFTA01595103 All authorized signers are required to sign below unless the entity's verning documents permit otherwise: p tom! Signature Signature Signature Signature Date Print Name Options Trading (required for exchange traded options, overthe-counter traded options or structured products) ❑ Yes (a Derivatives Approval form will be required) ❑ No Date Print Name Date Print Name Date Print Name J.P. Morgan Use Only 2 of 2 Title Banker/Investor SPN CAS 06/09 1060 EFTA01595104 EFTA01595105 NAR for FINANCIAL TRUST COMPANY INC (SPN: 2811138) Status: Canceled Accounts: Asset Brokers e ( ) (NA) Updates: Supplementary Forms: Options Agreement Entity Resolutions Additional Trustee Cover Page Power of Attorney Corporation Tax Certification Substitute W-8BEN Corporate/Partnership Profile : Core Information SPN: 2811138 SPN Name: PCN: SIC: SID: Legal Entity: Branch Location Code: LOB Indicator: LOB Sub Indicator: Corporate/Partnership Profile : CAS Core Information NAIC: 551112 Booking Bank: New York FINANCIAL TRUST COMPANY INC 1405152 6719 - HOLDING COMPANIES NEC 1987 JPMCB US CLIENT MGMT PB Corporate/Partnership Profile : Account Information Account Title: Short Title: Account Type: PHC/PIC: Regional Indicator: FINANCIAL TRUST COMPANY INC FINANCIAL TRUST COMPANY INC Corporation Domestic Corporate/Partnership Profile : Authorized MOL Users Corporate/Partnership Profile : Relationship Team EFTA01595106 Banker: Client Service Team: BAC #: Banker Officer #: Account BAC #: Cost Center: Branch: Overdraft Officer: Treasury Officer: Casey Mary C(CLOSELY HELD BUSINESS GROUP/1179) Young/Doherty III (031) (854) 8634 U043917 0950 0814 U036592 R055312 EFTA01595107 Edit History Modified Date Tue Mar 02 08:55:53 EST 2010 Wed Mar 10 14:27:22 EST 2010 User ROSALIA CRACCHIOLO ROSALIA CRACCHIOLO Desription Pre-filled documents sent to client Account opening is cancled 9707980808 FINANCIAL TRUST COMPANY INC 2811138 20 20 20 20 Yes Off Yes Off Off Off Yes 0 0 0 0 Off Yes Off Off Off Off Off Off Off Yes FINANCIAL TRUST COMPANY INC, C/O AMERICAN YACHT HARBOR ST THOMAS FO 00802 6100 RED HOOK, QUARTERS B-3 340-775-2525 DARREN INDYKE 11/06/1998 VIRGIN ISLANDS (U.S.) INVESTMENTS Casey Mary C Yes Off EFTA01595108 Off Yes Off Yes Yes Off EFTA01595109