EFTA01480843.pdf

Tickeat 102745898 Account, Initiated Date 0110312012 10S0 AM Client Name NEPTUNE LLC Account Title Initiator ELIZABETH M CAMPBELL ECI 0391309309 Account Type Initiating Team PS 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 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. (TAX ID and Address) Corporate Records Information confirmed: details included in No the attachment Other Database Searches No records were found. No (RDCIAIIS/Factiva) Internal Database Search (OSSS/FPS) Internal database search revealed prior Yes GS& research for Jeffrey E Epstein 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 jail. Numerous articles detail various law enforcement agencies investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage girls. Jeffrey Epstein ...... required to register as a sex offender. Jeffrey Epstein has settled a dozen civil lawsuits out of court from his victims regarding solicitation for an undisclosed amount. State Court Searches No records were found. No Federal Court Searches No records wore found. No Personal Particulars No additional research necessary. No Publications . Publications revealed nothing derogatory. No Regulatory Sanctions No records were found. No OFAC/Control List Search No records were found. No Negative or Inconsistent Information Yes GCS Red Dot Has this been Identified as Red Dot KYC? No N !alive Information Found No 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 l • aUre • ulato stand .olnt. Please state your rationale for conducting business with this exisang client of the Private Bank. client Please respond to any issue(s) identified in the GUI grid regularly reviewed by management and risk committee. that either needs further review, or red dot wtiich is not afread covered In a Business Case within this KYC Comments Confidential Treatment Requested by JPM-SDNY-00003074 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272272 EFTA01480843