EFTA01298970.pdf

NAME SEARCHED: Financial Trust Company Inc and Southern Financial LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC alert (Mail Sent Separately)-Financial Trust RDC ❑ 0 No Hit 0 Not Required I. RDC Results Company Inc 0 Hit No RDC alert (Please sec attached) No Hit • Not Required PCR II. PCR Results No PCR alert (Please see attached) 0 El Hit Yes 0 No III. Negative Media Result Found(please see attached) El BIS El Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required Result-4? IN Yes • No VI. D&B 0 Not Required D&B Result Found(please see attached) Smartliax Remits? Yes 0 No Result Found(please see attached) ill Not Required VII. Smartlinx :4 Review by Legal May Cowl Cases be Required 0 No Results VIII. Court CafieS Result Found(please see attached) 0 Search not required Prepared by: Urvashi LaVarlia Date:0S/IS/2013 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindak.comhp/Martindalc/hipme.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please notc: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SONY_GM_00084365 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0027180 EFTA_00174868 EFTA01298970  OFAC RESULTS RDC: Financial Trust Company Inc-alert 11525825 No Match Found 6625071 Southern Financial LLC Country:United States PCR: C20130818460008 Financial Trust Company Inc 6625071 NCA customised Closed - No Hit 15/08/2013 C20130818460011 Southern Financial LLC 6625071 NCA customised Closed - No Hit 15/08/2013 BIS RESULTS Negative Media: Palm Beach Daily News July 4, 2010 Sunday Dn1 Edition Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. BYLINE: MICHELE DARGAN, MICHELE DARGAN , Daily News Staff Writer SECTION: A SECTION; Pg. A.1 LENGTH: 1419 words Billionaire sex offender Jeffrey Epstein has strayed from specified guidelines during his year of house arrest, his probation file shows. Although Epstein has made several apparent missteps, a Daily News review of hundreds of pages of his probation records shows he has never been arrested for any violations. In fact, all departures from Florida Department of Corrections guidelines have received the blessing of either the court or his probation officer. For example, a report by a Palm Beach police captain states that, in his opinion, Epstein violated probation in August when he was walking along State Road A1A, but his probation officer nevertheless deemed him compliant. For internal use only SDNY_GM_00064366 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027191 EFTA_00174.869 EFTA01298971  Page 2 Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday Epstein, 57, has traveled on his private jet multiple times each month to the Virgin Islands or New York, all in compliance with a court order. He has spent blocks of time in Home Depot and Sports Authority multiple times, as documented in his daily probation logs. On March 31, he was at Home Depot from 6 to 10 p.m., according to his daily probation logs; and on March 27, Epstein notes that he was at both stores from 11:30 a.m. to 5 p.m. "By statute, stores are not prohibited places for sex offenders," said Jo Ellyn Rackleff, spokesperson for the Florida Department of Corrections in Tallahassee. "Community Control procedures allow for offenders to be given permission to shop for personal needs for reasonable amounts of time." But Assistant State Attorney Teri Skiles, chief of the Major Violent Crimes Division, said other than going to work, Epstein is allowed to "go to the grocery store once a week, his attorney's office and any doctors' appointments. However, he has to advise his probation officer of all of his appointments prior to going." Regarding shopping, Skiles said it is not the intention of the state attorney's office to allow it. "However, if he gets permission from his probation officer, then he is allowed to," she said. Florida Department of Corrections guidelines state: "Shopping for personal items and getting a haircut is limited to once a month." Epstein served 13 months of his 18-month sentence and received liberal work-release privileges while in jail. He was able to go to his West Palm Beach office six days a week for up to 16 hours a day. Epstein has been serving one year of house arrest at his Palm Beach home, which ends July 21, and is registered as a lifelong sex offender. Epstein has paid confidential settlements to more than two dozen women locally who claim Epstein sexually abused them as minors. Jane Doe, who was 14 at the time of the abuse, is set for trial in her case on July 19. Probation officer gives permission Epstein's daily probation logs are supposed to detail -- with addresses included -- his whereabouts at all times, according to Florida Department of Corrections guidelines. In most cases, Epstein's logs are short on details, usually with no specific addresses and, in one case, inaccurate. The Aug. 19, 2009, entry shows he was at the "office" at 250 S. Australian Ave., West Palm Beach, from 8 a.m. to 9 p.m. But, according to a Palm Beach Police memorandum, Epstein was stopped by Palm Beach Police Capt. George Frick walking back and forth along South Ocean Boulevard between 4:30 and 5 p.m. that day, one month after his release from the Palm Beach County Jail. When Frick stopped Epstein at 4:53 p.m., he was walking southbound at South Ocean at Clarke Avenue but he had been seen walking northbound a half-hour earlier, according to the written report. For internal use only SDNY_GM_00064367 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SONY-0027192 EFTA_00174870 EFTA01298972  Page 3 Epstein's house arrest challenges guidelines: Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday Frick had contacted the probation supervisor, who said, in his opinion, it was a probation violation. Dressed in sweat pants and a white T-shirt, Epstein told Frick he was walking to his West Palm Beach office and was allowed to do so by his probation officer, Carmen Sloan. Frick asked Epstein why he was not on a direct route to work. Epstein said he had walked to the north bridge [Flagler Memorial Bridge], but it was too busy and now was headed to the middle bridge (Royal Park Bridge]. Frick said Epstein did not have a copy of his weekly schedule, which the supervisor said he should have with him. After speaking with Sloan, the supervisor told Frick that Sloan had given permission for Epstein to walk to work at this time of day and she did not consider it a violation. Frick released Epstein without arrest. Police contact probation officer The next day, Frick spoke directly with Sloan. "I then questioned Sloan as to why he could be so far off a direct route and how much detail was included in this weekly schedule. She advised there was not much detail on the schedule or about the route. I advised Sloan that in order to avoid ongoing problems with Epstein that I would need a copy of his weekly schedule and these schedules would have to be more detailed. I further advised her that, based on my observations, this was a clear violation of his community control and, that absent her involvement yesterday, Epstein would have been arrested for VOP [violation of parole]." Notations by Sloan in the file show she told Frick it would be too difficult to provide him with Epstein's weekly schedules because they often change and wouldn't necessarily be accurate. "At Officer Sloan's discretion, he was walking to work as his exercise, as he was not allowed to swim or go to the gym," Rackleff said via e-mail. When asked about the discrepancy in his daily log entry for Aug. 19, Rackleff said, "Unfortunately, we cannot answer this one today, it looks like there is a second entry on the log in the evening of 8/19/09, but we cannot make out what it says. (The supervising officer at that time was CPSO Sloan and she is out on extended leave). The case notes do not specify what time the police saw him." Assistant State Attorney Skiles said, "We evaluate information that comes to the office about compliance. We do not have primary compliance responsibility. That responsibility rests with the probation office." Traveling outside state Records show that Epstein traveled nearly every week to either his home in New York City or his private island, Little St. James in the U.S. Virgin Islands, during the first four months of this year. His probation officers have issued him travel permits for each trip in accordance with a Dec. 18 court order by Circuit Judge Jeffrey Colbath. For internal use only SDNY_GM_00064368 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027193 EFTA_0017487 I EFTA01298973  Page 4 Epstein's house arrest challenges guidelines; Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday The judge approved Epstein's travel out of Palm Beach County for business purposes -- with 48-hour prior approval from his probation officer. He must travel on weekdays and may stay over one night. Travel permits show he has done so. Inactive company Epstein's company, the Florida Science Foundation, is listed as inactive as of Sept. 25, according to the Florida Division of Corporations. Yet, he still has that company listed as his place of business on his probation documents and on his sex offender registration. A certificate of incorporation for C.O.U.Q Foundation -- with Epstein as president -- lists the same office address. Rackliffe said via e-mail, "He no longer has a company registered in Florida, however, maintains an office for his Virgin Island business, Financial Trust Co. Inc. at 250 South Australian Ave, West Palm Beach. We have a copy of the business license registered in the U.S. Virgin Islands. Apparently when he registered with PBSO, for the Sex Offender Registration, he did not give them his updated company information. The location is the same." Epstein's attorney, Jack Goldberger, did not return calls for comment. — mdargan @pbdailynews.com 1 Jan. 6, 2010 — Palm Beach to New York. Leaves New York at 2:15 a.m. on \ Jan. 7 for St. Thomas; back in Palm Beach at 9:30 p.m. that night. \ Jan. 7 -- Leaves Palm Beach at 6 a.m. for day trip to the Virgin Islands. Jan. 13 -- Trip to New York. Back in Palm Beach house at 2 a.m. Jan. 14. \ Jan. 15 — At 6 a.m., leaves for Virgin Islands; arrives home in Palm \ Beach at 9 p.m. \ Feb. 1 and 2 — New York \ Feb. 5 — Day trip to the Virgin Islands \ Feb. 15 -- Leaves Palm Beach for New York. At 8 p.m., leaves New York for \ St. Thomas Airport and lands there at 1 a.m. on Feb. 16. Arrives home by \ 9:30 p.m. \ Feb. 16 -- At 6 a.m., leaves for Palm Beach International Airport and is \ back in his residence at Little St. James in the Virgin Islands by 11 a.m. \ Stays overnight and is back at home by 9:30 p.m. Feb. 17. Feb. 18-19 -- New York \ Feb. 23-24 — New York \ March 2-3 -- New York \ March 5 — Virgin Islands 1March 22 -- Virgin Islands \ March 25-26 — New York For internal use only SDNY_GM_00064369 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027194 EFTA_OOI 74872 EFTA01298974  Page 5 Epstein's house arrest challenges guidelines: Many departures from state regulations OK'd by court or probation officer. Palm Beach Daily News July 4, 2010 Sunday \ March 29-30 Virgin Islands \ April 7-8 -- New York \ Source: Jeffrey Epstein's Probation File\ LOAD-DATE: December 2, 2010 LANGUAGE: ENGLISH DOCUMENT-TYPE: News PUBLICATION-TYPE: Newspaper JOURNAL-CODE: PBDN Copyright 2010 ProQuest Information and Learning All Rights Reserved ProQuest SuperText Copyright 2010 Palm Beach Post Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS FINANCIAL TRUST 457 MADISON AVE None Listed COMPANY. INC. NEW YORK. NY 10022-6843 Name Variations/DBAs # Name Variations 1. FINANCIAL TRUST COMPANY. INC. Addresses -1 records found # Address Dates County MSA For internal use only SDNY_GM_00064370 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027195 EFTA_00174873 EFTA01298975  Page 2 # Address Dates County MSA 1. 457 MADISON AVE 8/11/1999- NEW YORK New York, NY - NEW YORK, NY 10022 5600 7/2009 UCC Liens - 2 records found 1:NY UCC LIEN FILING Debtor Information Debtor 1 Name: FINANCIAL TRUST COMPANY. INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Debtor 2 Name: FINANCIAL TRUST COMPANY. INC. C/O J. EPSTEIN & COMPANY, INC Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Secured Party Information Secured 1 Name: CITIBANK. N.A. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 Secured 2 Name: CITIBANK. N.A. C/O ST. JOHN & WAYNE. LLC Address: 70 E 55TH ST NEW YORK. NY 10022-3222 Filing Information Original Filing Number: 200406140607730 Original Filing Date: 6/14/2004 Filing 1 Filing Type: TERMINATION Filing Date: 5/1/2009 Filing Number: 200905015401920 Filing 2 Filing Type: INITIAL FILING Filing Number: 200406140607730 Filing Date: 6/14/2004 Expiration Date: 6/14/2004 Filing Offices Address: 162 WASHINGTON AVE ALBANY. NY 12210 Filing Agency: SECRETARY OF STATE/UCC DIVISION Collateral Information Description: 06/14/2004 200406140607730 - ACCOUNT(S) AND PROCEEDS:ASSETS AND PROCEEDS:NEGOTIABLE INSTRUMENTS AND PROCEEDS 2:NY UCC LIEN FILING Debtor Information Debtor 1 Name: FINANCIAL TRUST COMPANY, INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Debtor 2 Name: FINANCIAL TRUST COMPANY. INC. Debtor 3 Name: FINANCIAL TRUST COMPANY, INC. C/O J. EPSTEIN & COMPANY Address: 457 MADISON AVE NEW YORK, NY 10022-6843 Debtor 4 Name: FINANCIAL TRUST COMPANY, INC. C/O J. EPSTEIN & COMPANY, INC. Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Secured Party Information Secured 1 Name: CITIBANK, N.A. Address: 70 E 55TH ST NEW YORK. NY 10022-3222 Secured 2 Name: CITIBANK. N.A. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 For internal use only SDNY_GM_00064371 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027196 EFTA_00I 74874 EFTA01298976  Page 3 2:NY UCC LIEN FILING Secured 3 Name: CITIBANK. N.A. Secured 4 Name: CITIBANK. N.A. C/O ST. JOHN & WAYNE. L.L.C. Address: 70 E 55TH ST NEW YORK, NY 10022-3222 Filing Information Original Filing Number: 99161432 Original Filing Date: 8/11/1999 Filing 1 Filing Type: TERMINATION Filing Date: 7/24/2009 Filing Number: 200907240429850 Filing 2 Filing Type: CONTINUATION Filing Number: 200406140607716 Filing Date: 6/14/2004 Expiration Date: 8/11/2009 Filing 3 Filing Type: CONTINUATION Filing Number 200402135118334 Filing Date: 2/13/2004 Expiration Date: 8/11/2009 Filing 4 Filing Type: TERMINATION Filing Date: 9/25/2002 Filing Number 02218371 Filing 5 Filing Type: INITIAL FILING Filing Date: 8/11/1999 Filing Number 99161432 Filing Offices Address: 162 WASHINGTON AVE ALBANY. NY 12210 Filing Agency: SECRETARY OF STATE/UCC DIVISION Collateral Information Description: 08/11/1999 99161432 - ACCOUNT(S) ALL INCLUDING PROCEEDS AND PRODUCTS:GENERAL INTANGIBLE(S) ALL INCLUDING PROCEEDS AND PRODUCTS,NEGOTIABLE INSTRUMENTS ALL INCLUDING PROCEEDS AND PRODUCTSASSETS ALL INCLUDING PROCEEDS AND PRODUCTS Business Associates - 40 records found # Name Address 1. 301 EAST 66TH ACQUISITION PARTNERS, L.P. 457 MADISON AVE NEW YORK. NY 10022-6843 2. 301 EAST 66TH STREET. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 3. 457 MADISON AVENUE CORP 457 MADISON AVE NEW YORK, NY 10022-6843 4. AMERICAN SOCIETY OF LANDSCAPE 457 MADISON AVE ARCHITECTS NEW YORK CHAPTER NEW YORK, NY 10022-6843 5. ARCHITECTURAL LEAGUE OF NEW YORK 457 MADISON AVE NEW YORK, NY 10022-6843 6. BEACH PARTNERS. LLC 457 MADISON AVE NEW YORK. NY 100224843 7. BHP ENERGY INC. 457 MADISON AVE NEW YORK, NY 10022-6843 8. BOSS CARS, INCORPORATED 457 MADISON AVE NEW YORK, NY 10022-6843 9. DARA PARTNERS. L.P. 457 MADISON AVE NEW YORK, NY 10022-6843 10. DKI GRAPHICS. INC. 457 MADISON AVE For internal use only SDNY_GM_00064372 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027197 EFTA_00I 74875 EFTA01298977  Page 4 Name Address NEW YORK, NY 10022-6843 11 DORSET DEVELOPMENT LLC 457 MADISON AVE NEW YORK, NY 10022-6843 12 EPSTEIN INTERESTS 457 MADISON AVE NEW YORK. NY 10022.6843 13 HERITAGE INTERESTS 457 MADISON AVE NEW YORK. NY 10022-6843 14 IMB CAPITAL LTD 457 MADISON AVE NEW YORK. NY 10022-6843 15 LEDERER DE PARIS FIFTH AVENUE, INC. 457 MADISON AVE NEW YORK, NY 10022-6843 16 MAMBA ENTERPRISE L.L.C. NEW YORK, NY 17 MEDICI FUND LLC 457 MADISON AVE NEW YORK. NY 10022-6843 18 METROPOLITAN WATERFRONT ALLIANCE 457 MADISON AVE NEW YORK, NY 10022-6843 19 MUNICIPAL ART SOCIETY 457 MADISON AVE NEW YORK, NY 100226843 20 N.Y.C.B.. LTD. 457 MADISON AVE NEW YORK, NY 10022-6843 21 NEW YORK FOUNDATION FOR ARCHITECTURE, 457 MADISON AVE INC. NEW YORK. NY 10022-6843 22 NEW YORK STRATEGY GROUP LLC 457 MADISON AVE NEW YORK, NY 10022-6843 23 NEW YORKERS FOR PARKS 457 MADISON AVE NEW YORK, NY 10022-6843 24 OSSA PROPERTIES. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 25 PARKS AND RECREATION 2001 NEW YORK. NY 26 PODELL SCHWARTZ SCHECHTER & BANFIELD NEW YORK, NY LLP 27 R.L. & G. CARS. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 28 RANDOM HOUSE, INC. 457 MADISON AVE NEW YORK. NY 10022-6843 29 RBNY, INC. 457 MADISON AVE NEW YORK. NY 10022-6843 30 SCHWARTZ. WEISS. STECKLER & HOFFMAN PC 457 MADISON AVE NEW YORK, NY 10022-6843 31 SEVENTH REGIMENT ARMORY CONSERVANCY 457 MADISON AVE INC NEW YORK, NY 10022-6843 32 SLOPPY'S VERMONT BARBEQUE LLC 457 MADISON AVE NEW YORK. NY 10022-6843 33 TAMCO INDUSTRIES 457 MADISON AVE NEW YORK. NY 10022-6843 34 THE ASSOCIATES OF THE ART COMMISSION INC 457 MADISON AVE NEW YORK. NY 100224843 35 THE HISTORIC DISTRICTS COUNCIL. INC. 457 MADISON AVE NEW YORK, NY 10022-6843 36 URBAN (61) INC 457 MADISON AVE NEW YORK, NY 10022-6843 37 URBAN CENTER BOOKS 457 MADISON AVE NEW YORK, NY 10022-6843 38 URBAN DEVELOPMENT PARTNERS LLC 457 MADISON AVE NEW YORK. NY 100224843 39 URBAN MANAGEMENT PARTNERS LLC 457 MADISON AVE NEW YORK, NY 10022-6843 40 URBAN PARTNERS LLC 457 MADISON AVE NEW YORK. NY 10022-6843 For internal use only SDNY_GM_00064373 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027198 EFTA_00I741876 EFTA01298978  Page 5 Sources - 4 records found All Sources 4 Source Document(s) Business Finder 2 Source Document(s) UCC Lien Filings 2 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 2 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS FINANCIAL TRUST 6100 RED HOOK QTRS None Listed COMPANY, INC. ST THOMAS, VI 00802-1348 Name Variations/DBAs # Name Variations 1. FINANCIAL TRUST COMPANY, INC. Addresses - 2 records found # Address Dates County MSA 1. 6100 RED HOOK QTRS 8-3 11/26/2001 - ST THOMAS, VI 00802 7/2009 2. 6100 RED HOOK QTRS 7/21/2011 - ST THOMAS. VI 00802 7/21/2011 Executives -1 records found # Name Titles 1. BRENNAN. JEANNE VICE PRESIDENT Business Associates - 5 records found # Name Address 1. BRILL - DEHAAS ST THOMAS, VI 2. CARIBBEAN SALOON ST THOMAS, VI 3. IRELAND-32, LTD. 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 4. J EPSTEIN & CO INC ST THOMAS. VI 5. MOF VI LIMITED PARTNERSHIP 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 Person Associates -1 records found For internal use only SDNY_GM_00064374 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027199 EFTA_00174877 EFTA01298979  Page 6 # Name Address 1. BRENNAN, JEANNE 6100 RED HOOK QTRS ST THOMAS, VI 00802-1348 Sources - 4 records found All Sources 4 Source Document(s) Business Contacts 1 Source Document(s) Business Finder 3 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright. 2013 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 1 OF 6 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS SOUTHERN FINANCIAL LLC ALTAMONTE SPRINGS, FL None Listed Name Variations/DBAs # Name Variations 1. SOUTHERN FINANCIAL LLC Phone Summary -1 records found # Telephone Number 1 (407) 788-1938 Addresses -1 records found # Address Dates County MSA 1. 9/26/2003 - SEMINOLE ALTAMONTE SPRINGS, FL 32714 10/112003 Executives - 2 records found # Name Titles 1. HARRIS, DAVID TREASURER, MANAGER 2. PRICE. JOHN MANAGER Person Associates - 2 records found # Name Address 1. HARRIS. DAVID LTAMONTE SPRINGS Fl 32714-2506 2. PRICE, JOHN For internal use only SDNY_GM_00064375 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027200 EFTA_00174.878 EFTA01298980  Page 2 # Name Address ALTAMONTE SPRINGS. FL 32714-2506 Sources - 5 records found All Sources 5 Source Document(s) Business Contacts 3 Source Document(s) Business Finder 2 Source Document(s) Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents. the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 2 OF 6 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS SOUTHERN FINANCIAL None Listed TRUST. LLC MARCO ISLAND. FL 34145- 2539 Name Variations/DBAs # Name Variations 1. SOUTHERN FINANCIAL LW 2. SOUTHERN FINANCIAL TRUST, LLC Addresses - 4 records found # Address Dates County MSA 1 6/2005 - COLLIER Naples, FL - 5345 MARCO ISLAND. FL 34145 5/8/2010 2. 8/6/2010 - COLLIER MARCO ISLAND, FL 34145 11/8/2011 3. 10/12/2011 - COLLIER MARCO ISLAND, FL 34145 7/20/2012 4. 1/24/2012 - COLLIER MARCO ISLAND. FL 34145 5/10/2013 Profile Information - 6 records found 1: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC For internal use only SDNY_GM_00064376 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0027201 EFTA_00I7,1879 EFTA01298981  Page 3 1: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 2: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 3: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST. LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 4: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST. LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 5: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/18/2005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY 6: SOUTHERN FINANCIAL TRUST, LLC Company Name: SOUTHERN FINANCIAL TRUST, LLC Date Of Incorporation: 5/182005 State Of Incorporation: FL Charter Number: L05000049636 Status Of Incorporation: ACTIVE Corporation Structure: FLORIDA LIMITED LIABILITY Executives - 4 records found # Name Titles 1. JOHN. P NACHEF MEMBER MANAGER 2. NACHEF, JOHN P MEMBER MANAGER, MANAGER 3. NACHEF, JOHN P MANAGER 4. NACHEF. P CONTACT Registered Agents - 3 records found # Name Address 1. NACHEF JOHN MARCO ISLAND, FL 34145- 2. NACHEF JOHN MARCO ISLAND, FL 34145- 6730 For internal use only SDNY_GM_00064377 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0027202 EFTA_00I74.880 EFTA01298982  Page 4 # Name Address 3 NACHEF JOHN MARCO ISLAND, FL 34145- 2539 Company ID Numbers - 2 records found Company ID Numbers FEINs: 20-2862383 Sec. of State Charter No(s): FL. L05000049636 Real Property - 3 records found 1: Deed Record for COLLIER County Buyer Information Name: MAC BUILDERS INC Address: . FL 33027-1208 County/FIPS: BROWARD