Subject: Your KYC has been re ected
From: Janice Franklin
Date: Wed, 30 Oct 2013 : : -
To: Amanda Kirby
Your KYC has been rejected.
Case 1:
Relationship: EPSTEIN, JEFFREY RELATIONSHIP
Customer Name: In
Customer Number:
Reason for Rejection:Please address the following:
For The 2007 Jeffrey E. Epstein Insurance Trust 43:
1. Please complete Wealth Profile (Resolved: J. Franklin)
2. Re-run searches with correct country. Should be US Virgin Islands, not United States. (Resolved
- J. Lightbody)
For HBRK Associates, Inc. (both accounts)
1. Please check the Signatory or Full POA box for the signers. (Resolved - J. Lightbody)
For Darren K. Indyke PLLC:
1. Please check the Signatory or Full POA box for the signers. (Resolved - J. Lightbody)
2. For the Attorney Trust Account. Is this a IOLA account, and if so, please explain purpose of the
checking. Currently it's noted that it will be •for the daily use of the company's needs•. If this
is a clients esrow account this purpose would not apply. (Resolved - J. Lightbody)
For New York Strategy Group, LLC (both account);
1. Please check the Signatory or Full POA box for the signers. (Resolved - J. Lightbody)
Additional questions/comments:
1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membersh
ip. Please add more details.
2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership
of the company (Resolved: J. Franklin)
3. For NY Strategy Group LLC, please provide us with the following:
i. evidence of powers
ii. ownership (Resolved: J. Franklin)
iii.signing authority (Resolved: J. Franklin)
4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an
accountant and please run Martindale-Hubbell. (Resolved: J. Franklin)
To view the KYC click here https://na4.salesforce.com/5006000000T1JGX
EFTA01405160