Case: salesforce.com - Unlimited Edition Page 2 of 12
Case: salesforce.com - Unlimited Edition Page 2 of 12
A. Type of Photo ID Provided
A. U.S. Drivers License: Passport
II Other. Type of
Photo ID Provided
B. Checklist of names (individuals and/or entities) that were submitted for database searches is
attached
B. Yes
C. Please indicate the results of the database searches performed
RDC searches
complete Yes - Negative Results Found PCR checks
complete Yes - Negative Results Found
OFAC checks
complete Yes - No Negative Results Found BIS searches
complete Yes - No Negative Results Found
Dental Orders checks
complete Yes - No Negative Results Found Martindale -Hubbell
searched Not Applicable
D. Please summarize any negative results from the database searches indicated above
D. DARREN INDYK
Approved in KYCEll
HARRY BELLER:
Approved in KYC
JEANNE BRENNAN:
Jeanne was previously approved in KYC
JEFFREY EPSTEIN:
RDC Alert #1 -- Cleared & APPROVED by Chip Packard. AML Compliance, and Pat Harris
PCR Alert #1/2 — Not our client
All Cases Closed
SOUTHERN FINANCIAL LLC:
No negative media
No court cases
SOUTHERN TRUST INC:
No negative media
Court Case — Not our client
FINANCIAL INFOMATICS INC:
No negative media
No court cases
J. Epstein & Co.
All Negative Media is our client He has been cleared of posing a reputational risk as shown by the AML
Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been
cleared by Compliance and is attached
Court Cases are dosed
E. Has the client or related party ever been convicted of a criminal offense?
E. Yes
hups://dbforcepb.my.salesforce.com/5006000000XGHtl/p?retURI.,45006000000XGHtIA.. . 8/28/2015
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0055803
CONFIDENTIAL SDNY_GM_00201987
EFTA01365150