EFTA01481374.pdf

Due Diligence Report Shmitka Air Inc JP Morgan Chase EFTA01481374 Executive Summary On 2/22/2010, GS&I was requested by Mary C Casey to conduct a background investigation. Full research was conducted on Shmitka Air Inc in DE and NY only. Media research was conducted on Air Ghislaine. 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 & federal court searches, 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. EFTA01481375 Our searches revealed the following: Shmitka Air Inc Company records search revealed no records found. flax ID not confirmedE- Address not confirmed Corporate records search revealed record foundilState of domicile: confirmed Other databases (RDC/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 no records found Regulatory sanctions search revealed no records found. FINRA/NFA database searches revealed no records found A search of OFAC did not reveal any matches. Air Ghislaine Inc Internal database search revealed the following:aReference the account(s) titled "1369906B" "108208B" and "250609B" for previous research. Publications revealed nothing derogatory. Regulatory sanctions search revealed no records. A search of OFAC did not reveal any matches. Ghislaine Maxwell Internal database search revealed the following.UReference the account titled "Ghislaine Maxwell" "215605B" "1137404B" "116 East 65th St LLC" "250609B" and "Max Foundation" for previous research. UdThe following information was previously reported to Mary Reith on 03/17/2003 under the account Ghislaine Maxwell (DDR # 1185/03):T Several newspaper articles detailing the investigation conducted by Britain's Serious Fraud Office against Robert Maxwell. He allegedly used pension funds to service debts, cover operating losses, gamble in the foreign exchange markets, and support the stock of his publicly held companies. The agency is also looking into a complaint from Swiss Bank Corp., which says it did not receive collateral for a $100 million loan to a small private Maxwell company.MNewspaper article dated 12/01/2000, which stated that "Ghislaine Maxwell's source of wealth is being classified as something of a mystery."UNewspaper article dated 08/09/1996 detailing the arrest of Ghislaine Maxwell on DWI charges.11- UNumerous newspaper articles detailing the criminal fraud charges brought against Kevin and Ian Maxwell (sons of Robert Maxwell).41aThe following information was previously reported to Mary Reith on 10/20/2005 under the account Forums, LLC (DDR # 11374/04): Newspaper article dated 6/23/2005 detailing Robert Maxwell misappropriated funds from the companies under his control. According to the newspaper article, "He pledged assets as security for additional loans", but instead of delivering the assets to the lender, he would simply sell the assets for cash. "For example, Berlitz language school was supposedly sold to a Japanese publishing company, but the shares had previously been pledged as security for loans from Swiss Volksbank and Lehman Brothers."E HBRK Associates GS&I confirmed HBRK Associates at 301 East 66th Street, New York, NY 10065 EFTA01481376 EFTA01481377 TABLE OF CONTENTS U TOC \o "1-3" \h \z \u HYPERLINK \l "Toc256063420" JCOMPANY INFORMATION 11 PAGEREF Toc256063420 \h HU6NU HYPERLINK \l "_Toc256063421" =CORPORATE RECORDS PAGEREF _Toc256063421 \h MEE E HYPERLINK \l "_Toc256063422" KUOFAC/CONTROL LIST SEARCH 1 PAGEREF Toc256063422 \h JAMAXIE EFTA01481378 CORPORATE RECORDS t HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \l "FILE NUMBER" \t "none" 2File Number:2 3143027 B HYPERLINK "https://- delecorp.delaware.gov/tin/FieldDesc.jsp" \l "INCORPORATION DATE OR FORMATION DATE" \t "none" Incorporation Date / Formation Date:2 12/15/19998(mm/dd/- YYYY) 2 HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \l "ENTITY NAME" \t "none" Entity Name:2 SHMITKA AIR, INC. U HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \l "ENTITY KIND" \t "none" 2Entity Kind:2 CORPORATION H HYPERLINK "https://- delecorp.delaware.gov/tin/FieldDesc.jsp" \l "ENTITY TYPE" \t "none" ItEntity Type:2 GENERAL H HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \l "RESIDENCY" \t "none" liResidency:2 DOMESTIC State: DE t HYPERLINK "https://delecorp.delaware.gov/tin/FieldDesc.jsp" \l "REGISTERED AGENT INFORMATION" \t "none" RREGISTERED AGENT INFORMATION2 Name: THE CORPORATION TRUST COMPANY Address: CORPORATION TRUST CENTER 1209 ORANGE STREET City: WILMINGTON County: NEW CASTLE State: DE Postal Code: 19801 Phone: (302)658-7581 EFTA01481379 OFAC/CONTROL LIST SEARCH E EFTA01481380 Confidential Due Diligence Report Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 53 FILENAME USAMPLE FILE B - USCG DOMESTIC FULL.docfi MI PAGE 060 EFTA01481381