Due Diligence Report

EFTA01594243 Dataset 10 12 pages Download original PDF Download as text
Due Diligence Report 116 East 65th Street. , LLC JP Morgan Chase EFTA01594243 Executive Summary On 1/23/2009, GS&I was requested by Mary Casey to conduct a background investigation. Media research was conducted on 116 East 65th St., LLC and Robert Maxwell. Throughout this search, the following records were researched: Company and corporate records, RDC (Regulatory Data Corp), MIS (McDonald Information Services), Factiva (Public Figures & Associates Database), CSSS/- FPS internal database search (JPMorgan Chase Fraud Prevention List Review), state & federal court searches, personal particulars, 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. Our searches revealed the following: Robert Maxwell Internal database search revealed the following:NReference the account(s) titled "Ghislaine Maxwell" for previous research. HdThe following information was previously reported to Mary Reith on 03/17/2003 under the account Ghislaine Maxwell (DDR # 1185/03):MiggSeveral 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.d- UNumerous newspaper articles detailing the criminal fraud charges brought against Kevin and Ian Maxwell (sons of Robert Maxwell).M g ----ENThe following information was previously reported to Mary Reith on 10/20/2005 under the account Forums, LLC (DDR # 11374/04):BUNewspaper 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." Publications revealed nothing derogatory. Due to the amount of news stories found, search parameters had to be adjusted. EFTA01594244 Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. 116 East 65th St., LLC Internal database search revealed the following:8Reference the account(s) titled "116 East 65th St., LLC" for previous research. Publications revealed nothing derogatory. Regulatory sanctions search revealed no records found. A search of OFAC did not reveal any matches. Ghislaine Maxwell Internal database search revealed the following:UReference the account(s) titled "Ghislaine Maxwell" , "Forums LLC" , "116 East 56th St., LLC" and "Air Ghislaine, Inc." for previous research. EFTA01594245 TABLE OF CONTENTS E TOC \o "1-3" \h \z \u UE HYPERLINK \1 "_Toc221328681" SEARCH IT PAGEREF _Toc221328681 \h Bottom of Form Top of Form i HTMLCONTROL Forms.HTML:Hidden.1 10Ar, HTMLCONTROL Forms.HTML:Hidden.1 MEE HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 minin HTMLCONTROL Forms.HTML:Hidden.1 Vifrt HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 HAM HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MEt HTMLCONTROL Forms.HTML:Hidden.1 minin HTMLCONTROL Forms.HTML:Hidden.1 Viii HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MEE HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 tIMMI HTMLCONTROL Forms.HTML:Hidden.1 HTMLCONTROL Forms.HTML:Hidden.1 MgMld HTMLCONTROL Forms.HTML:Hidden.1 Bottom of Form OFAC/CONTROL LIST EFTA01594246 OFAC/CONTROL LIST SEARCH 2 EFTA01594247 Confidential Due Diligence Report PAGE MI !PAGE fil5N Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 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📷 Images in this document (12 detected; 6 largest described)

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 letter or a report. It contains text that discusses a media research conducted by a company, with a focus on a specific individual and their involvement with a company. The document mentions the name "Robert K. Reid" and references a "British Columbia Securities Commission" and a "British Columbia Securities Act." It also refers to a "British [Image 2] The image shows a computer screen displaying a text-based interface, likely a command-line interface or a terminal window. The text includes various commands and outputs, which appear to be related to a software development or system administration task. The text includes references to files, directories, and commands such as "ls," "cd," and "cat," which are commonly used in Unix-based systems. Th [Image 3] The image shows a computer screen displaying a text file with a series of lines of code. The text is too small to read the specific details, but it appears to be a log or output from a software program or script. The file is named "log.txt" and includes timestamps and other information that is typically associated with system logs or error messages. The text is in English and the file is likely re [Image 4] The image shows a text document with several lines of code, likely from a programming language. The text includes variable names, function calls, and other programming constructs. There are no visible names, dates, places, or logos that can be discerned from the image. The document appears to be a script or a program written in a structured language, possibly Python or a similar syntax. [Image 5] The image shows a computer screen displaying a text file with a series of lines of code. The code appears to be written in a programming language, possibly Python, and includes functions, variables, and comments. The text is too small to read in detail, but it seems to be related to some form of data processing or analysis. There are no visible names, dates, places, or logos in the image. [Image 6] The image appears to be a screenshot of a computer screen displaying a text document. The document contains a list of records, possibly from a database or a file directory. The text is too small to read the details of the records, but the document seems to be related to some form of regulation or compliance, as indicated by the mention of "Regulatory Sequences" and "Regulatory Sanctions." There ar