EFTA01480823.pdf

Tickets 104749084 Accoundl Initiated Date 00126/2013 10:24 AM Chant Name NEPTUNE LLC Account Tale Initiator CHRISTINE HEWITT ECI 0391309309 Account Type Initiating Team PB FRONT OFFICE LOB PB Verify & Confirm for NEPTUNE LLC Final Risk Rating High Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk No Indicators Comments Summary of Risk Attributes Jeffrey Epstein is a convicted felon Risk Updated History Creation Entered by Updated Previous Comment Date Risk Risk GCS Grid Search Type Security Service Details Further Review Required Company Information Information not confirmed for Neptune LLC; Yes details included in the attachment (TM ID and Address) Corporate Records Information cc:yearned. details included in No the attachment Other Database Searches Information ccolimad for Jeffery E. No (ROCIAISfactiva) Epstein; details included in the attachment. Internal Database Search (CSSSFPS) Internal database search revealed pax Yes GS&I research for Jeffrey E Enda° and the following derogatory information was reported Several newspaper articles were found that detail the indictment of Jeffrey Epstein in Florida on felony charges of soliciting underage prostitutes. Jeffrey Epstein served 13 months In tail. Numerous articles detail various law enlacement agencies investigating Jeffrey Epstein lot allegedly participating in child trafficking and molesting underage girls Jeffrey Epstein in required to register as a sex offender. Jeffrey Epstein has settled a dozen ova lawsuits out of court from his victims regarding solicitation for an undisclosed amount. Stale Court Searches Information confirmed for Jeffery E. No Epstein: details included in the attachment. Fe.dorat Court Searches Information confirmed for Jeffery E. No Epstein; details included in the attachment. Personal Particulars Information confirmed; details included in No the attachment. Publications Information confirmed for Jeffrey E. No Espied,. details included in the attachment. Regulatory Sanctions No records found. No OFACControl Lit Search A search of CfAC did not reveal any No matches. Negative or Inconsistent Information Yes GCS Red Dot Has this been identified as Red Dot KYC? No N Iattve Information Found Yes Banker Attestation Details As the client sponsor, I understand that I am primarily Yes responsible for protecting the firm'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 •al(re ula tor stand • • int. Please state your rationale for conducting business with this This relationship is regularly reviewed by senior client managementreputational risk committee. Extensive research and due diligence is completed and approved by the highest level of man. omens Confidential Treatment Requested by JPM-SDNY-00003050 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272248 EFTA01480823