US-Onshore_HRIPM_Due2017

EFTA01398757 Dataset 10 6 pages Download original PDF Download as text
US-Onshore_HRIPM_Due2017 Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year lanation Bank Auto Exem t Reason Client Since Date Hernstadt, Edward W. Liz Payne 2017 1 3/20/1985 Marriott, Stephen Blake Big River Real Estate, Zisook Enterprises L.P. Allen, Paul Gardner KKR Holdings, LP Schwartz, Alan E. Sunbridge Holdings, LLC Fertitta Entertainment, Inc. The 2012 Diana L. Mercer Family GST 9/26/2012 Coalition for a Better Kansas, Charles G. Koch 1997 Trust 1998 Simons Family Revocable Trust Guardian Investment Company Ltd. Atlas Real Estate Funds, Inc. Terri Sohr 2 17 1 The 2000 Robert and Laura Sillerman Descendants' Trust Terri 9/15/2008 Infinity Equity Ventures LLC Desnick Descendants Irrevocable Trust /2014 Jordan Desnick Minority Trust Michelle Desnick Minority Trust dtd 8/14/89 9/16/2014 American Entertainment Properties Corp. /2014 The ABEN Liquidating Trust Icahn Enterprises Holdings. LP Stallion 44, LLC Perpetual Aviation, LLC IL MULINO USA, LLC LW 12th Street Holding, LLC Infinity LW CCI Onshore LLC Comsup Ltd. Comsup Commodities Inc Icahn Management LP Koala Holding Limited /2008 Desnick, Ahuva Gaston Partners CLAWSON, CURTIS J The James and Debbie Ch 3075 Wilshire, LLC Noah B. Mamet Revocable Trust A-GRADE INVESTMENTS II LLC Antelope Insurance Company, Inc. Julianna Eva Pyott Trust est 06/20/2014 David E.I. Pyott Trust dtd 04/18/2014 Gemini IP, LLC 0 en 7 1 AFSF II AIV Investors - D L.P Joanne Jensen Blackstone Property Partners L.P. IIIIIIIIiii nnerust Blackstone Property Partners Lower Fund 1 L.P. 0/2014 AFSF II AIV-D LP Tyler Winklevoss Family Exchange Trust Cameron Winklevoss Family Exchange Trust 3/2014 Do It Again, LLC Joanne Bee's Center Fi Joanne LHRB LLC Joanne Jensen Arbiter Special pportun t es Fund II LP /2014 Arbiter Special Opportunities Fun I LP Casterlirock Holdings, LLC Zelenko-Kuller, Jill Winklevoss, Tyler Winklevoss, Cameron 20 East 64th Street, LLC EDF LLC Joanne Jensen 2017 Jolli Four, LLC Joanne Jensen Hymowitz, Gregg Joanne Jensen WS Paley 68 Prmry Tr SC Burden III Et Al /2014 WS Paley 68 Suppl Tr SC Burden III Et Al /2014 Joanne Joanne Joanne n Jensen Jensen 2017 Brian Convey 2017 1 Brian Convey 2017 Michael S. Jacoby 2017 Russell Daulton 2017 1 Michael King 2017 1 Salvatore E. Moore 2017 olm Kimble 2017 1 Malcolm Kimble 2017 00000477782 Mary Past-Due Exp 8/20/2013 1 12/31/2007 1 10/7/2014 12/8/2009 5/13/2014 1 6/4/2014 6/27/2013 1 4/23/2012 Ann Coleman 2017 1 Bruce McDermott 2017 1 7/29/2009 Bruce McDermott 2017 1 8/7/2014 Terri 5ohrab 2017 1 12/15/2014 Terri 5ohrab 2017 1 6/27/2011 12/23/2008 Sohrab 2017 1 Rosemary Vrablic 2017 1 Rosemary Vrablic 2017 Rosemar Vrablic 2017 1 Rosemary Vrablic Rosemary Vrablic 11/26/2014 1 10/3 9/16/2014 2017 1 2017 1 8/15 Rosemary Vrablic 2017 1 6/26/2014 Rosemary Vrablic 2017 1 3/27/2014 Rosemary Vrablic 2017 1 3/12/2013 Rosemary Vrablic 2017 1 9/6/2011 Rosemary Vrablic 2017 1 6/29/2011 ■ Rosemary Vrablic 2017 1 6/17/2011 Rosemary Vrablic 2017 1 6/17/2011 Rosemary Vrablic 2017 1 12/11/2008 Rosemary Vrablic 2017 1 4/20/2009 ■ Rosemary Vrablic 2017 1 8/24/2009 Rosemar Vrablic 2017 1 3/14/2008 Partnership Rosemary Vrablic 2017 1 Rosemary Vrablic 2017 1 7/29/2014 Rosemary Vrablic 2017 1 11/10/2006 2/21 2017 1 1/24/2003 Deirdre Judge 2017 1 6/27/2014 Deirdre Judge 2017 1 11/8/2013 Deirdre Judge 2017 1 2/13/2013 ' dre Judge 2017 1 11/15/2011 Deirdre Judge 2017 1 12/29/2009 Jake Block 2017 1 9/10/2014 Jake Block 2017 1 9/10/2014 12/17/2014 2017 1 Jensen 2017 12/5/2014 1 11/20/2014 Joanne Jensen 2017 1 11/2 2017 1 12/5/2014 Joanne Jensen 2017 1 Joanne Jensen 2017 10/23/2014 1 10/2 2017 1 12/5/2014 2017 1 11/20/2014 1 11/20/2014 Joanne Jensen 2017 1 9/25 Joanne Jensen 2017 1 9/25/2014 Joanne Jensen 2017 1 4/16/2014 Jensen 2017 1 10/21/2014 Jensen 2017 1 5/29/2012 Jensen 2017 1 5/29/2012 Joanne Jensen 2017 1 7/18/2011 1 11/21/2011 2017 1 12/20/2010 2017 1 12/14/2010 Rachel Maglicic 2017 1 2/25 Rachel Maglicic 2017 1 2/26 EFTA01398757 Batmasian, James H. Rachel Maglicic 2017 1 3/8/2013 Profile Property Trust 8"Microsoft Sans Serif,Bold"For Susan Moffat 2017 internal use only 1 8/7/2009 EFTA01398758 US-Onshore_HRIPM_PastDue Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exem t Reason Client Since Date Budinger, William M. Terrence Tangney 2004 1 5/30/2001 STB Holdings L.P. iilliacoby 2016 1 9/26/2013 Marjorie S Daitch Revocable Trust Salvatore E. Moore 2016 1 7/22 /2013 John L. Loeb Associates, 1 5/9/2013 Loeb Jr, John Smith, Robert Donaldson, William H. GNLC Holdings, Inc. Fertitta, Tilman The Mercer Family 2009 Non-Exempt Trust f/b/o Rebekah Mercer 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o eman 2016 1 7/3/2013 The Mercer Family 2009 Non-Exempt Trust f/b/o eman 2016 1 7 3 2013 Meritage Group LP Terri GoldenTree SG GP LLC Terri GT NM GP LLC Terri Sohrab GOLDENTREE REINVESTMENT GoldenTree GTIS SPV LLC Terri GOLDENTREE SPC LLC Terri GoldenTree Asset Management (Ireland) Limited /2010 GTAM Allied LLC GoldenTree Leverage Loan GoldenTree Leverage Loan GTIS REOF I SPONSOR LLC GTAM Opportunities, LLC GoldenTree Credit Opportunities GP LLC GoldenTree Capital Partners, LLC Zappala, Joseph Levitt Jr., Arthur MARY ELIZABETH BUNZEL 2009 1 1/10/2013 Bunzel, Mary Bunzel, Maxwell Bunzel, Eli Erica P Terpstra Irrev Trust Plan D, LLC JEGE, LLC MST TRUST dtd 03/13/2000 Z"Microsoft Sans Serif,Bold"For Inc. Employee Pension Plan Salvatore E. Moore 2016 Salvatore E. Moore 1995 Salvatore E. Moore Malcolm Kimble 2015 Malcolm Kimble 2015 ne IRREVOCABLE Terri Sohrab Manager LLC GP LLC 00000420547 Terri Jennifer L. Mercer Heather Sue Mercer Sohrab 2006 Sohrab 2016 2016 1 Terri Sohrab 2015 Sohrab 2013 2013 1 Terri Sohrab Salvatore E. Moore 1 3/27/2013 1 4/14/1992 2013 1 6/24/2003 1 11/20/2013 1 12/31/2012 Mary Ann Coleman 2016 Mary Ann Col Mary Ann Col 1 12/12/2014 1 11/13/2013 6/27/2013 Sohrab 2015 1 12/17/2012 1 6/21/2012 1 1/19/2011 Terri Sohrab 2013 1 8/19 10/6/2010 Terri Sohrab 2011 1 12/16/2008 Sohrab 2011 1 5/23/2008 2009 1 2/15/2007 2009 1 12/8/2006 Terri Sohrab 2009 1 12/8/2006 Terri Sohrab 2009 1 12/8/2006 Jensen 2016 1 4/17/2013 Joanne Jensen 2016 1 12/22/2009 TRUST UAD 09/11/09 Joanne Jensen 2016 Joanne Jensen 2016 1 Joanne Jensen 2016 1 Joanne Jensen 2016 1 Rachel Maglicic Stewart Oldfield 2016 Stewart Oldfield 2016 Susan Moffat internal use only 1/8/2013 1/15/2013 9/4/2013 2011 1 4/17/2003 1 10/18/2013 1 10/18/2013 2016 1 12/4/2000 EFTA01398759 US-Onshore_TempExceptDue Temporary Exceptions- Domestic Overdue by more than 90 days/Closing Queue Due in Overdue by more than 60 days Overdue by more than 30 days Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) EM Days Overdue MSR Silo 01818861 La Mesa Homes, LLC Client Dan Gray 11/1 8/2017 The standard 90 days temporary exception for executed trust agreement, TIN, and date of inco rporation has been granted for this KYC. russell daulton -17 Armen Brash, Andrew Galivan, Michael J. Davis.MI h l Jacoby US-Onshore 01840031 Dina Wind Art Foundation Client Terrence Tan gney 11/23/2017 30 days exception approved by Compliance for the IRS exemption letter Andr ew F Gallivan -22 ArmenBrash,AndrewGalivan,MichaelJ. Davis Michael Jacoby US-Onshore 01684903 Fanjul, Alfonso Prospect IIIIIIIIIII Oti Roberts 12/2 0/2017 EXTENDED -- The standard 90 days temporary exception for executed trust agreement, TIN, and date of incorporation has been granted for this KYC. 60 days extension approved on 3/21/17. -49 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-Onshore 01740136 Barrack, Jr., Thomas J. Client Susan Moffat 12/1 /2017 Lee Huter -30 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01783091 Leslie W Davies Revocable Trust of 1988 U/A DTD 9/1/1988 Clie nt Michael King 11/15/2017 Please see email attached for Temporary Exce ption for Client meeting Michael Jacoby -14 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoby US-Onshore $"Microsoft Sans Serif,Bold"For internal use only EFTA01398760 Overdue by more than 90 days/Closing Overdue by more than 60 days Overdue by more than 30 days US-Onshore_impExcptOver Temporary Exceptions- Domestic (All Overdue) 11/1/2017 Queue Case Number Customer Number Customer Name Customer Record Type Relationship Number Cust omer Owner Exception Expires Reason for Exception (If Applicable) Days Overdue MSR Silo 01819456 Batmasian, Marta Client Rachel Maglicic 2/28 /2017 To monitor ongoing litigation. 246 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby US-Onshore 01755879 Capital University Client Terrence Tangney 5/26/2017 EXCEPTION HAS BEEN EXTENDED 30-day temp exception for full KYC info in compliance wi th updated policy 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01758071 Durwood Wilmot Ringo Revocable Trust Client Terr ence Tangney 42881 EXCEPTION HAS BEEN EXTENDED TE to complete all the fields in the KYC profile including the Volcker flag. 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob y US-Onsh 01758149 ir Patricia Louise Ringo Revocable Trust Client Terr ence Tangney 42881 EXCEPTION HAS BEEN EXTENDED TE to complete all the fields in the KYC profile including the Volcker flag. 159 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob Y US-Onshore 01772858 J & L Family LP Client Salvatore E. Moore 6/25 /2017 Temporary exception approved for 30 days to obtain a updated and clear signatory list from 1 919 Investment Counsel 129 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O nshore 01802177 BENJAMIN F BAILAR TRUST Client Terrence Tangney 8/28/2017 Temporary exception to collect beneficiaries' information required in the new policy . Exception will clear upon closure of the account. 65 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacob US-Onshore 01774886 Limestone Partners Client Andrea Nicoletti 42979 Kerry (LPOA)'s summary of civil suits. 61 Armen Brash, Andrew Galivan, Michael J. Davi s, Michael Jacoli iiiiiii iiiOnshore 01813239 Tradelnvest Financial Holdings Ltd Client Terr i Sohrab 9/8/2017 CRP 54 Armen Brash, Andrew Galivan, Michael J. Davis, Micha el Jacoby 01772929 Rachel Maglicic 48 Armen B 01795534 Brian Convey executed document. nshore 01752644 Batmasian, Marta Client /2017 Monitoring of ongoing litigation. 26 Armen Bras , Erica P. Terpstra Revocable Trust Prospect 90-day exception for tax ID number and executed trust agreement. Galivan, Michael J. Davis, Michael Jacoby US-Onshore The John V. Gibson Revocable Trust for Jessica Gibson Client 10/5/2017 Standard 90-day exception for TIN, inception date and fully - 27 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-O An s, Michael Jacoli iiiiiii iiiinshore 01795679 Spencer Family GRAT C Client 0/2017 standard 90-day temp exception for executed trust document/TIN Galivan, Michael J. Davis Michael Jacoby US-Onshore 01813809 Blackstone Tactical Opportunities Fund I Joanne Jensen 10/31/2017 Borrowers' resolution 1 Michael J. Davis, Michael Jacoby US-Onshore &"Microsoft Sans Serif,Bold"For internal use only Rachel Maglicic 10/6 rew Galivan, Michael J. Davi Liz Payne 10/1 22 Armen Brash, Andrew I L.P. Prospect Armen Brash, Andrew Gal van, EFTA01398761 Acct Opening Exceptions Case Number Customer Name Opened Date Description Exception Expires Reason for E xception Fax Copies Exception Days Overdue 01823138 GoldenTree Asset Management UK LLP 8/31/2017 temporary exception on the C RP for Goldentree Asset Management UK LLP 9/19/2017 temporary exception on the CRP for G oldentree Asset Management UK LLP N 35 01754160 BPP F.1 DE Viking 3 LP 3/23/2017 30 day exception for CRP for the following a ccounts: BPP F.1 DE Viking LP (Contributing) 42966962 BPP F.1 DE Viking LP (Operating) 42966970 BPP F.1 DE Viking 2 LP (Contributing) 42966989 BPP F.1 DE Viking 2 LP (Operating) 42966997 BPP F.1 DE Vi king 3 LP (Contributing) 42967009 BPP F.1 DE Viking 3 LP (Operating) 42967017 BPP F.1 DE Viking 4 LP (Contributing) 42967041 BPP F.1 DE Viking 4 LP (Operating) 42967068 BPP F.2 DE Viking LP (Contribut ing) 42967076 BPP F.2 DE Viking LP (Operating) 42967498 BPP F.2 DE Viking 2 LP (Contributing) 429670 84 BPP F.2 DE Viking 2 LP (Operating) 42967092 BPP F.2 DE Viking 3 LP (Contributing) 42967105 BPP F. 2 DE Viking 3 LP (Operating) 42967113 4/21/2017 30 day CRP exception for 18 entities N 142 01443412 Axia Realty, LLC 8/21/2015 ABR, Please vett the signers and approve the case with W-9 Please open a checking account for Axia Realty, LLC. There is alread a mone market account opened for this entity. KYC: 01352638 NAO: 10157045 Please email m with the account 4 once the account is opened. Thank you. 9/8/2015 Updated LLC Resoluta. on N 565 S"Microsoft Sans Serif,Bold"For internal use only EFTA01398762

📷 Images in this document (6 detected)

AI-generated factual descriptions of embedded images (llava:13b). These are searchable across the corpus.

[Image 1] The image appears to be a scanned document, possibly a list or a table with various entries. The text is partially obscured by a pattern of black rectangles, making it difficult to read the content. The document includes columns with headings such as "Customer Name," "Date," and "Amount," but the specific details are not legible due to the obscuration. The visible text includes names, dates, and n [Image 2] The image shows a printed document with text, which appears to be a list or a report of some sort. The text is partially obscured by black rectangles, likely to protect sensitive information. The visible text includes headings, bullet points, and a date at the top. The document seems to be a record or a report, possibly from a professional or organizational context. The specific content of the tex [Image 3] The image shows a printed document with a table of information, which appears to be a financial or accounting statement. The table includes columns with dates, descriptions, and numerical figures, likely representing transactions or account balances. The document is partially obscured with a red rectangle over the text, making it difficult to read the specific details. The visible portion of the t [Image 4] The image shows a printed document with text, which appears to be a list or a record of some sort. The text is too small to read clearly, and the document is partially obscured by a red rectangle that covers the right side of the page. The visible portion of the text includes what seems to be a date at the top, followed by a series of lines with text, which could be names, dates, or other types of [Image 5] The image appears to be a photograph of a printed document, possibly a letter or a report. The document contains text, which seems to be a formal communication, possibly from an organization or a company to another entity. There are visible fields such as "To," "From," "Date," and "Subject," but the specific details are not clear due to the resolution of the image. The text includes paragraphs wit [Image 6] The image appears to be a document scan, specifically a letter or a report. It contains a header with a date and a recipient's name, followed by a body with text. The text is too small to read clearly, and there are no visible names, dates, places, or logos that can be discerned from this image. The document is structured with paragraphs, and there are no images or graphics visible. The document i