EFTA01481951.pdf

Due Diligence Report NEPTUNE LLC JP Morgan Chase EFTA01481951 Executive Summary On 1/5/2012, GS&I was requested by Paul V Morris to conduct a background investigation. Full research was conducted on Neptune LLC in FL and DE only. Media research was conducted on Harry Beller and Janusz Banasiak. Throughout this search, the following records were researched: Company and corporate records, RDC (Regulatory Data Corp), MIS (McDonald Information Services), CSSS /FPS internal database search (JPMorgan Chase Fraud Prevention List Review), state a federal court s earches, publications, regulatory sanctions, FINRA/NFA and OFAC (Office of Foreign Asset Control). Please Note: All research is subject to the availability of electronic database resources. EFTA01481952 Our searches revealed the following: NEPTUNE LLC Company records search revealed no records found. Corporate records search revealed records found. Other databases (ROC/MIS) revealed no records found. Internal database search revealed no records found. State court searches revealed no records found. Federal court searches revealed no records found. Publications revealed nothing derogatory. Regulatory sanctions search revealed no records found. FINRA/NFA database searches revealed no records found. A search of OFAC did not reveal any matches. HARRY BELLER; JANUSZ BANASIAK Internal database search revealed no records found. Other databases (ROC/MIS) revealed no records found. Publications revealed nothing derogatory. A search of OFAC did not reveal any matches. JEFFREY E EPSTEIN Internal database search revealed prior GS&I research for Jeffrey E Epstein and the following deroga tory information was reported:^K^KSeveral newspaper articles were found that detail the indictment o f Jeffrey Epstein in Florida on felony charges of soliciting underage prostitutes. Jeffrey Epstein served 13 months in jail.^K^KNumerous articles detail various law enforcement agencies investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage girls. AKJe ffrey Epstein is required to register as a sex offender.^KJeffrey Epstein has settled a dozen civil lawsuits out of court from his victims regarding solicitation for an undisclosed amount. EFTA01481953 TABLE OF CONTENTS AS TOC \O "1-S" \h \z \u ATAS HYPERLINK \1 "_TOOS14575764" ^A^TCORPORATE RECORDS AS PAGEREF Toc314575764 \h AAAT5AUAU AS HYPERLINK Ntl "_Toc314575765" AAATOFAC/CONTROL LIST SEARCH AS PAGEREF _Toc314575765 \h AAAT6AU AU AU EFTA01481954 CORPORATE RECORDS THIS IS NOT A STATEMENT OF GOOD STANDING A5 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "FILE NUMBER" \t "none" ATFile Num her:AU 5084567 AS HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "INCORPORATION DAT E OR FORMATION DATE" \t "none" ATlncorporation Date / Formation Date:AU 12/21/2011AK(mm/dd/yyyy) A5 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "ENTITY NAME" \t "none" ATEntity N ame:AU NEPTUNE, LLC A5 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "ENTITY KIND" \t "none" ATEntity K ind:AU LIMITED LIABILITY COMPANY (LLC) AS HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.js p" \l "ENTITY TYPE" \t "none" ATEntity Type:AU GENERAL A5 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "RESIDENCY" \t "none" ATResidency: AU DOMESTIC State: DE A5 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \1 "REGISTERED AGENT INFORMAT ION" \t "none" ATREGISTERED AGENT INFORMATIONAU Name: THE CORPORATION TRUST COMPANY Address: CORPORATION TRUST CENTER 1209 ORANGE STREET City: WILMINGTON County: NEW CASTLE State: DE Postal Code: 19801 EFTA01481955 OFAC/CONTROL LIST SEARCH "A AA 'a ^C ^10 ^C ^10 Confidential Due Diligence Report Confidential - This report is not to be disseminated or photocopied to any third party without the e xpress consent of Global Security & Investigations. 520454412B.doc AS PAGE AT1AU EFTA01481956