EFTA00123537.pdf

U.S. Department of Justice United States Attorney Southern District of New York The Silvio J. Mollo Building One Saint Andrew's Plan Ncw York. Ncw York 10007 November 22, 2019 JP Morgan Chase National Subpoena Processing Center 7610 West Washin ton Street Mail Code: Indiana lis IN 46231 Fax: To whom it may concern: Please be advised that the accompanying grand jury subpoena has been issued in connection with an official criminal investigation of a suspected felony being conducted by a federal grand jury. The Government hereby requests that you voluntarily refrain from disclosing the existence of the subpoena to any third party. While you are under no obligation to comply with our request, we are requesting you not to make any disclosure in order to preserve the confidentiality of the investigation and because disclosure of the existence of this investigation might interfere with and impede the investigation. Moreover, if you intend to disclose the existence of this subpoena to a third party, please let me know before making any such disclosure. Thank you for your cooperation in this matter. By: Sincerely, GEOFFREY S. BERMAN United States Attorney Assistant United States Attorneys EFTA00123537 Grand Jury Subpoena Pniteb „States pistritt Court SOUTHERN DISTRICT OF NEW YORK TO: JP Morgan Chase National Subpoena Processing Center 7610 West WastSion Street Mail Code: Indianapolis. IN 46231 Fax: GREETINGS: WE COMMAND YOU that all and singular business and excuses being laid aside, you appear and attend before the GRAND JURY of the people of the United States for the Southern District of New York, at the United States Courthouse, 40 Foley Square, Room 220, in the Borough of Manhattan, City of New York, New York, in the Southern District of New York, at the following date, time and place: Appearance Date: December 6, 2019 Appearance Time: 10:00 a.m. to testify and give evidence in regard to an alleged violation of : 18 U.S.C. §§ 201, 1956 and not to depart the Grand Jury without leave thereof, or of the United States Attorney, and that you bring with you and produce at the above time and place the following: See Attached Rider N.B.: Personal appearance is not m uired if the requested documents are: (I) produced on or before the return date to FBI Special A ent Federal Bureau of Investigation, 26 Federal Plaza, New York, NY 10278, Telephone: Email: and (2) accompanied by an executed copy of the attached Declaration of Custodian of Records. Failure to attend and produce any items hereby demanded will constitute contempt of court and will subject you to civil sanctions and criminal penalties, in addition to other penalties of the Law. DATED: New York, New York November 22, 2019 I S. eal4^6V- GEOFFRE1nS. BERMAN United States Attorney for the Southern District of New York Assistant United States Attorneys One St. Andrew's Plaza New York, New York 10007 Telephone: rev. 02.01.12 EFTA00123538 RIDER Grand Jury Subpoena to JP Morgan Chase dated November 22, 2019 Reference # 2019R01059 Please provide copies of all records and all account information (including microfilm/microfiche copies thereof) and information contained in computers (including hard drives, discs and any other magnetic or electronic media) relating or referring to the following businesses, individuals, and/or any other account(s) for which the below individuals are authorized signers for, the period of 01/01/2019 through the present, in electronic format: Follow up requests for underlying documents related to these statements, such as images of cancelled checks or other instruments, current account status, or current account balances will be deemed as requested under this subpoena. Name: Tova Noel Address: SSAN• DOB: Name: Michael Thomas Address: SSAN• DOB: Your response should include, but not be limited to, the following documents and data: 1. All savings, checking, loan and credit card accounts for the above listed businesses and/or individuals for the time period of 01/01/2019 through present 2. The associated financial institution and account numbers; 3. The associated dates of transaction; 4. Savings accounts - signature cards, items of deposit, deposit tickets, items of withdrawal, withdrawal tickets, statement of account, 1099's issued or other correspondence sent indicating interest earned, and all correspondence and notes of telephone conversations or discussions; 5. Certificates of deposit - signature cards, items of deposit, deposit tickets, items of withdrawal, withdrawal tickets, items of payoff, payoff ticket, statements of account, 1099's issued or other correspondence sent indicating interest earned, and all correspondence and notes of telephone conversations or discussions; 6. Checking accounts - signature cards, items of deposit, deposit tickets, debit and credit memos, canceled checks, statements of account, and all correspondence and notes of telephone conversations or discussions; 7. Loans & Lines of Credit - including active loans, paid off loans, written off loans, applications, borrowing base certificates, financial statements, signature cards, items of disbursement, items of EFTA00123539 payment, ledger cards, loan statements, records of third party credit checks in possession of financial institution, and all correspondence and notes of telephone conversations or discussions; 8. Any credit cards such as VISA or Master Charge accounts, active and inactive - application, financial statements, signature cards, items of payment, statements of account, credit/ background check and all correspondence and notes of telephone conversations or discussions; 9. Safe deposit box - application, signature card, box number, entry cards for all entries, rental payments and/or lease agreement, all correspondence and notes of telephone conversations or discussions; 10. Money orders, bank drafts - records in the register, money orders or bank drafts, retained copies of the money orders or bank drafts, and all correspondence and notes of telephone conversations or discussions; 11. Wire transfers - all documents relating to monies transferred by wire or other electronic means including but not limited to full transaction reports, debit or credit slips, transaction sheets, letters or any other forms of correspondence authorizing the transfer; 12. Copies of bank checks. cashier's checks and/or money orders and all copies of any items deposited or withdrawn from accounts to obtain these instruments, including all correspondence and notes of telephone conversations or discussions; 13. Copies of traveler's checks including all correspondence and notes of telephone conversations or discussions; 14. Copies of all purchases and sales of Treasury Bills including all correspondence and notes of telephone conversations or discussions; 15. Retained copies of IRS Form 4798 - Currency Transaction Reports, filed on behalf of the captioned entities. EFTA00123540 The oint of contact is SA telephone number address Please forward the above requested information to: FBI Attn: SA 26 Federal Plaza New York, NY 10278 C19 , email Do not disclose the existence of this subpoena to the individual or any third party. EFTA00123541 Declaration of Custodian of Records Pursuant to 28 U.S.C. § 1746, I, the undersigned, hereby declare: My name is (name of declarant) I am a United States citizen and I am over eighteen years of age. I am the custodian of records of the business named below, or I am otherwise qualified as a result of my position with the business named below to make this declaration. I am in receipt of a Grand Ju Sub oena dated November 22, 2019, and signed by Assistant United States Attorney • requesting specified records of the business named below. Pursuant to Rules 902(11) and 803(6) of the Federal Rules of Evidence, I hereby certify that the records provided herewith and in response to the Subpoena: (1) were made at or near the time of the occurrence of the matters set forth in the records, by, or from information transmitted by, a person with knowledge of those matters; (2) were kept in the course of regularly conducted business activity; and (3) were made by the regularly conducted business activity as a regular practice. I declare under penalty of perjury that the foregoing is true and correct. Executed on (date) (signature of declarant) (name and title of declarant) (name of business) (business address) Definitions of terms used above: As defined in Fed. R. Evid. 803(6), "record" includes a memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses. The term "business" as used in Fed. R. Evid. 803(6) and the above declaration includes business, institution, association, profession, occupation, and calling of every kind, whether or not conducted for profit. EFTA00123542 U.S. Department of Justice United States Attorney Southern District of New York The Silvio J. Mono Building One Saint Andrew's Plaza New York New York 10007 November 22, 2019 Re: Grand Jury Subpoena Dear Sir/Madam: This letter describes the procedure for requesting reimbursement for subpoenaed records. 12 CFR part 219 (subpart A), issued by the Board of Governors of Federal Reserve System under section 1115 of the Right to Financial Privacy Act (12 U.S.C. 3415), sets the rates and conditions for reimbursement of costs directly incurred by financial institutions in assembling or providing customer financial records to a government authority pursuant to the Act. No costs are reimbursable if the records are those of a corporation or a partnership comprised of more than five individuals. If reimbursement is authorized, and the estimated billin to the overnment will exceed $500, advance permission is necessary from at If the subpoenaed records indicated on the rider are eligible for reimbursement, please complete section B of the enclosed form OBD-211, which will serve as your invoice, and return it with a copy of the subpoena to the following address: U.S. Attorney's Office - SDNY Accounts Payable Department 86 Chambers Street, 3M floor New York, NY 10007 Please send your invoice to the above address within 60 days of the submission of the subpoenaed records. If no invoice is received within 120 days, funds will not be available to pay the invoice. Thank you, Accounts Payable De artment Enclosure: OBD-211 EFTA00123543 INSTRUCTIONS Form USA-211 ATTORNEYS: I . Fill in blocks 2, 3, 4 (name only), 8, 9, and 10. 2. Mail the subpoena and the USA-211 to the financial institution. (A copy of this "Instructions" sheet and the attached "Important Notice" must be included with each USA-211). In a situation where the financial institution directly retu►ns to you the USA-211 with an invoice and the subpoena/rider please forward to Budget and sign Box 14, 15 and the bottom of Box 22 to acknowledge receipt of the requested service. FINANCIAL OFFICIAL COMPLETES THE FOLLOWING: 1. Complete block 4 (address). Section B. 2. Complete block 11A and 11B (payments cannot be processed without a Tax ID Number). 3. Either complete or write "See attached invoice" and attach to the USA-211. 4. Sign block 12 and Date block 13. Note carefully the certification in conjunction with the attached "Important Notice". 5. Send the following documents to --> U.S. Attorney's Office — SDNY Budget / Fiscal Unit 86 Chambers Street — 3rd Floor New York, NY 10007 a. Completed USA-211 b. Copy of Subpoena and Rider c. Attach invoice, if applicable EFTA00123544 IMPORTANT NOTICE Pursuant to the Right to Financial Privacy Act (RFPA), Title 12. United States Code, Section 3415, financial institutions may be reimbursed for necessary costs actually incurred for producing subpoenaed financial records. Reimbursement may only be made in connection with financial records of checking, savings, share, loan or credit card accounts if the accounts belong to individuals or partnerships of five or fewer partners. Reimbursement may only be made to an entity defined as a financial institution under the RFPA. The Federal Reserve Board has established the following guidelines: 1. Search and Processing Costs — May be billed at the following rates of: Clerical/Technical, hourly rate - $22.00 Computer Support Specialist, hourly rate - $30.00* Manager/Supervisory, hourly rate - $30.00 *If itemized separately, personnel time for computer searches may be paid at the rates set for specialized computer suppon orS' when compliance with the request for information requires that the financial institution use programming or other higher level technical services of specialized computer support in order to reproduce electronically stored information in the format requested by the government authority. Reproduction Costs — May be billed at the following rates of: Photocopy. per page • $0.25** Paper copies of microfiche, per frame - $0.25 Duplicate microfiche, per microfiche - S0.50 Storage Media (CD, flash storage device, etc.) — Actual Cost*** **Reimbursement is not permitted on a per-page basis for production of paper documents that had been stored electronically, unless the government specifically requested production of paper documents. ***Storage media may include encryption technologies. 3. Transportation Costs — If itemized separately, financial institutions may bill for:  Reasonably necessary costs directly incurred to transport personnel to locate and retrieve the requested information, and to deliver such material to the place of examination.  Reasonable measures taken to insure against a data breach, such as the use of registered mail or courier services as required.  No fixed reimbursement will be available for transmittal made by email. However, financial institutions may be reimbursed for personnel costs and other identified costs incurred related to making email transmissions. REIMBURSEMENTS CANNOT BE MADE FOR RECORDS RELATING TO ACCOUNTS OF: 1. Corporations 2. Large Partnerships (6 or more partners) 3. Associations 4. Trusts 5. State and local government agencies 6. Other legal entities Unless otherwise requested all financial record requests should be delivered in an electronic format. • Section B, item numbers II through 13 of the attached purchase order form must be completed and returned to the United States Attorney's Office to support reimbursement. • To assure prompt payment, please submit an invoice within 60 days. Mail should be directed to the attorney whose name and address appears on the subpoena. Please include the appropriate tax ID number. Note: If invoicing for these services is expected to exceed 120 days, please notify the United States Attorney's Office immediately to ensure funds remain available for payment. EFTA00123545 Washington, D.C. 20530 US. Department of Justice Request for Financial Information Under the Right to Financial Privacy Act (RFPA) (Authorization, Purchase Order and Receiving Report) This form shall be used when requesting financial records of individuals and putnenhips of five or fewer individuals under the RFPA. I Tracking Number j2 Date Order Prepared: Section A - Authorization and Purchase Order 4 Name and Address of Financial Institution: JP Morgan Chase 5 Deliver Records To: See attached subpoena for delivery instructions Funding Certification & Authorization: A N m • A. Budget Official Signature Funding Available Date B. 54-6113 N/A Approving Official Signature Dale Send Completed USA-211 Form & Invoice To: U.S. Attorneys Office • SDNY Budget 1 Fiscal Unit 86 (.Timbers Street. 3rd Moor New York, NY 10007 6 Return Date: See attached 7 Remarks: Do not proceed with compliance if the total cost will exceed $ 500.00 without prior approval. To obtain approval, call the requestor listed in Item 8. If invoicing for these services is expected to exceed 120 days. please notify the United States Attorney's Office immediately to ensure funds remain available for payment. Please see the attached Important Notice for additional information on invoicing and other requirements for reimbursement. 8 Name of auestor AUSA I IA Invoice Number: 11B Tax ID Number: I IC Service(s)/Records Provided: A. Searching and processing costs (clerical or technical personnel) B. Searching and processing costs (management/supervisory personnel) C. Searching and processing costs (computer support specialist) D. Reproduction Costs (Photocopying) - **Note: Copy charges will be disallowed if the information is stored electronically, unless the US Attorney's Office requests paper. E. Reproduction Costs (Paper Copies of Microfiche: provide justification) F. Reproduction Costs (Duplicate Microfiche: provide justification) G. Storage Media Cost (e.g.. Compact Disc, DVD, etc., at Actual Cost) H. Transportation Costs (Direct Costs Only) Telephone Number 110 Date of request: 11/22/2019 Section B - Financial Institution Invoice No Payment Shall Be Madc Unless Expenses Arc Itemized Below Or Set Forth On Your Attached Invoice. In Item 412. I certify that the services invoiced above were not performed relative to any corporate accounts and pertain only to accounts of individuals and partnerships of five or fewer individuals. 12 Signature of Financial Institution Official: Quantity Unit Price Cost Per $22.00 430.00 430.00 40.25 40.25 $0.50 Hour Hour Hour Page Frame Microfiche Amount Section C - Receiving Report 14 I certify that the articles and services listed were received: I3 Date Signed: 15 Date Received: Total Amount Claimed By Financial Institution I8 Right to Financial Privacy Act - Public Law 95-630 (12 U.S.C. 3401-3422) Request Pursuant To: (Check One Only) SECTION  3404  3405  3406  3407  3408  3413  3414 22 Remarks: Customer Authorization Administrative Subpoena or Summons Search Warrant Judicial Subpoena Formal Wriuen Request Grand Jury Subpoena Special Procedures OBJECT CLASS 2545 2545 2545 2545 2545 2545 2545 16 Disallowance (See Attached) 17 Nett° Financial Institution 19 Signature of Approving Official: 20 Funding Source Accounting Code: Program 21 Other Accounting/Fund Information: Program Code: NIA Project Code: NIA YREGDOC: 54-8113 Call Number (if applicable): OBL Month (YRNI0): Tax ID Number. Terre MIES of my knowledge. the financial records received. for which we are being billed. are those of an individual or partnership of live or fewer Signature of United States Attorney's Office Representative Date FORM USA-211 FEB. 3/14 EFTA00123546