EFTA01480729.pdf

Tickete Account* Initiated Dale 07/13/2013 07:22 AM Client Name DARREN INDYKE Account Tiffe Initiator JUSTIN D NELSON ECI Account Type Initiating Team PS FRONT OFFICE LOB PS Verify & Confirm for DARREN INDYKE Final Risk Rating High Initial Risk Rating Standard GCS Report Requested Full Presence of Potential High Risk No Indicators Reason for Adjustment Attorney of a convicted felon Comments Accounts are to be monitored while relationship in in process of exit. Summary of Risk Attributes Darien is the attorney of convicted felon, Jeffrey Epstein. Please summarize any material changes Jeffrey Epstein is a longstanding client. He has dissolved his family office (New York which have occurred with the client Strategy Group) and has split it in two: HBRK Associates Inc. and Darren K Indyke within the past 12 months: PLLC. HBRK provides consulting services to Mr. Epstein. Risk Updated History Creation Entered by Updated Previous Comment Date Risk Risk GCS Grid Search Type Security Service Details Further Review Required Company Information No records found. No Corporate Records No records found. No Other Database Searches No records found. No IRDCIMIS'Factival Internal Database Search (CSSSFPS) No records found. No State Court Searches No records found. No Federal Court Searches No records found. No Personal Particulars Information confirmed: details included in No the attachment. Publications Hothin9 derogatory found. No Regulatory Sanctions No records found. No OFAC/Contra List Search A search or OFAC did not reveal any No rrotcheS. Negative or Inconsistent Information No GCS Red Dot Pas this been Identlflixl as Red Dot KYC? No N t ties Information Found No Banker Attestation Details As the client sponsor. I understand that I am primarily Yes responsible for protecting the gm's reputation from inappropriate business relationships, as well as from fraud and money laundering. By approving this KYC, I am sponsoring this client as to their character and reputation and from a I • allre tulat• stand • • Int. Please state your rationale for conducting business with this Senior management (John Duffy) has communicated to the client client a request to move the relationship and accounts from JP Morgan to another institurion. This is now in execution mode and client is moving his business. For the time being the accounts sit with the Re. ion Head for Tri State Comments Primary Information Client Type Individual Generation Client Status Client Active Indicator Yes Front Office Restricted? Normal Marital Status Married Confidential Names? No Country of Primary Domicile UNITED STATES Primary Domicile State Nsi -,,,,.. Prefix/Title Insider Code (Reg 0) Confidential Treatment Requested by JPM-SDNY-00002945 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272143 EFTA01480729