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[J I I 1/-jl) '87-T- • Nations Unies HEADQUARTERS • SIEGE NEW YORK. NY 10017 TEL. : I (212) 457. 12 65 • FAX: I ( 212) 457. 4041

COUNTER- COMMITTEE EXECUTIVE DIRECTORATE

11 November 2011

Dear Mr Nambiar,

Please find attached a document passed to me by the Secretary-General on 9 November regarding a petition related to an individual who is on the resolution 1267 list.

As discussed yesterday, I suggest that this matter be referred to the resolution 1267 Ombudsperson, Ms Kimberley Prost.

With best regards

Mike Smith Executive Director Counter-Terrorism Committee Executive Directorate UNITED NATIONS • NATIONS UNIES Kimberly Prost Ombudsperson AI Qaidaffaliban Security Council Committee United Nations Headquarters Tel : (212) 963 2671 Office of the Ombudsperson Fax: (212) 963 1300/3778 TB-08041D email: [email protected] New York, NY 10017 USA or [email protected] Web address: http://www.un.org/en/sc/ombudsperson/ SUMMARY AND CASE HISTORY

IN THE MATTER OF: YASSIN ABDULLAH KADI AND UNITED STATES OF AMERICA

EXTANT 19 SEPTEMBER 2011

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal # 1 report, Page 11 to 34, CHRONOLOGY A brief history of the allegations against Mr Kadi is provided as follows:

Date Description

11 Terrorists attacked the World Trade Centre (Twin Towers) in September New York and other prominent US targets. 2001

15 The Office of the Attorney General of Switzerland ("OAGS") September opened a criminal investigation against ''persons unknown" 2001 (inconnus) arising out of the September the 11th attacks because a number of Swiss nationals were victims of the attacks.

12 October US Treasury and UK Treasury issued simultaneous press 2001 releases, in substantially identical terms, instructing financial institutions to freeze the assets of Mr Kadi held in the USA and the UK (together with in each case the assets of an identical list of other named persons and organisations). The effect of these measures was to freeze all Mr Kadi's assets and prevent him from doing any form of business in the US and the UK. To make matters worse, both Press Releases also branded him in no uncertain terms as a terrorist or a supporter of terrorism. Neither US Treasury nor UK Treasury has ever provided any sufficient or adequate information as to the basis of listing to enable Mr Kadi to investigate the allegations against him and respond.

15 October Mr Kadi's UK lawyers wrote to Sir Andrew Turnbull, Permanent 2001 Secretary to UK Treasury, to: • complain about the seriously defamatory content of the UK Press Release; • ask that Mr Kadi's name be removed from the list; • request that UK Treasury provide to them the information and evidence upon which Mr Kadi was

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, nr,:a,n~rorl hu fl.llr ~ .... ~~. .. _ ~ : - '"'--'--- - . . included in the list; and • seek assurances that UK Treasury had seen and examined any available evidence against Mr Kadi and that it did not simply act on the "say so" of the US Authorities.

19 October UK Treasury replied , in the Treasury's Solicitor's letter dated 19 2001 October 2001 , that their decision was "on the basis of intelligence information provided to [UK Treasury] by the US Treasu,Y' which UK Treasury declined to provide on the grounds that such information had been provided in confidence. Mr Kadi was, therefore, accused of the gravest of offences in relation to international terrorism and yet those making the allegations were not prepared to tell him anything about the nature of the allegations against him, a striking example of the lack of due process, which has pervaded the allegations against Kadi since the outset (Flaw 9) .

UK Treasury also stated in their letter dated 19 October 2001 that if Mr Kadi successfully persuaded the US Treasury to terminate the freezing measures against him in the USA, then in that event UK Treasury was "very likely" to terminate the measures it had taken in relation to Mr Kadi , thus indicating the UK had effectively abrogated responsibility over the matter to the US authorities.

19 October On the same day, and at the request of the US, the UN Security 2001 Council Committee ("UNSCC") Concerning issued a further addendum , once again by way of Press Release, of entities and persons identified by the Committee pursuant to paragraph 8( c) of Resolution 1333 (2000). This provision of Resolution 1333 (2000) mandates all States to take further measures to freeze without delay funds and other financial assets of UBL and individuals and entities alleged to be associated with him as designated by the Committee. The UN

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, issued a list of names in its Press Release, which included Mr Kadi.

25 October The criminal investigation in Switzerland, originally launched 2001 against "inconnus" (unknown persons) by the Office of the Attorney General of Switzerland, was extended to Mr Kadi, based on his listing by OFAC and Mr Kadi's inclusion in what the Swiss authorities referred to as "Bush list 2".

8 November Mr Kadi commenced proceedings in the High Court in London 2001 for a "Judicial Review" of UK Treasury's decision to freeze his assets. Judicial Review is a legal procedure in England and Wales, whereby an Applicant can challenge the decision of a public body before the High Court (Case reference C0/4532/01 ).

12 In the High Court in London the Honourable Mr Justice Scott­ November Baker (as he then was) heard Mr Kadi's application for 2001 permission for Judicial Review. The Judge without hesitation granted Mr Kadi permission to proceed with his action for Judicial Review. In the course of doing so the Judge said (of UK Treasury's Order freezing Mr Kadi's assets): -

"... the validity of this draconian order is being challenged and, on the face of it, with some reason at the moment ... in my view, this case is very important because it is crucial that when there are question marks about orders of this kind and draconian nature, they are properly tested in the Courts".

Mr Justice Scott-Baker ordered UK Treasury to provide Mr Kadi's legal advisers with its evidence on an expedited basis.

16 UK Treasury provided evidence in the form of a statement by November Joseph Halligan, Assistant Secretary at UK Treasury. In his 2001 statement (paragraph 7) Mr Halligan stated that on the morning

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, of 12 October 2001 there was passed to him a fax from the US Treasury Department dated 11 October 2001 ("the Two-Page Fax"), which included details about Mr Kadi. After Mr Kadi refuted the contents of the Two-Page Fax, OFAC was later to deny that the Two-Page Fax came from it. A copy of the Two­ Page Fax is at Annexe 1.

Subsequently OFAC was forced reluctantly to accept the Two­ Page Fax was sent from the fax number of the Office of Intelligence Support within US Treasury and thus that the Two­ Page Fax emanated from OFAC. OFAC has expressly acknowledged that the Two-Page Fax contains fundamental false statements and allegations concerning Mr Kadi , including that he has a brother, Omar ai-Qadi, who is allegedly the Director of Mercy International - USA. As stated above, Mr Kadi has sisters but no brothers.

29 A letter ("the Aufhauser letter") was sent from the US Treasury November authorities to the Swiss authorities containing allegations, which 2001 formed the alleged basis of Mr Kadi's designation. For some weeks following the designation of Mr Kadi , the Swiss authorities had been pressing the US to provide details of the alleged basis relied on by US Treasury for Mr Kadi's listing. The letter was sent, eventually, via fax from Mr David Aufhauser, and then the General Counsel at the US Treasury Department, to Mr Nicati dated 29 November 2001 . This letter, a copy of which is at Annexe 2 relies in large part on the false allegations in the Robert Wright Affidavit, concerning assistance Mr Kadi provided to the Quranic Literacy Institute ("QLI") which Mr Kadi has comprehensively refuted in his submissions to OFAC.

The Robert Wright Affidavit, and in turn the Aufhauser letter which relies on it, have in effect been superseded by the acquittal of Muhammad Salah in February 2007 by a federal jury in Chicago of charges that he was part of a long-running

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, nn:~n~rP.rl h\/ r\nr ~' " ' rt.JI ~ r+ i " ,...,.,,..,..~ o. · -• ~ ' -- _.- - conspiracy to finance activities in .

The remainder of the Aufhauser letter contained other false allegations against Mr Kadi , which are refuted in the detailed section of this Rebuttal, including that Mr Kadi may have been linked to two transactions involving accounts at Faisal Finance, including two substantial wire transfers to an account held by Mousa Abu Marzook, described as a "Hamas Operative". In fact, neither of these transfers had anything to do with Mr Kadi.

17 Mr Kadi comprehensively refuted the contents of the Two-Page December Fax in his First Witness Statement. In refuting the Two-Page Fax 2001 Mr Kadi stated that he had no brother as alleged by OFAC (whether named Omar ai-Qadi or otherwise) and that he had only sisters. A copy was provided to OFAC by Mr Kadi's US legal advisers.

15 January A meeting was held at the US Consulate in , Saudi 2002 Arabia, attended by Mr Kadi, and his US and UK legal advisers, Richard Newcomb, Director of OFAC and other US officials. Mr Kadi expressly agreed to be open and candid, and to answer any concerns OFAC may have, openly and transparently. OFAC agreed in turn that it would provide Mr Kadi's legal advisers with a framework for the future conduct of the matter.

30 April OFAC conducted a 3-week visit to Albania to carry out an 2002- extensive and detailed investigation into Mr Kadi's activities 21 May 2002 there. The stated goal of OFAC's visit to Albania was to "look for evidence that supports the designation of Sheik as a Specially Designated Global terrorist under US Executive Order"

In other words OFAC set out some 7 months after Mr Kadi's designation to look for evidence retrospectively justifying the designation of Mr Kadi.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, orAn;::~rP.rl n\/ r\11r- ~. " 'a ...... :..... ,..._.....~. _ _ - .. The result is the OFAC Albania Report of May 2002, a copy of which is at Annexe 3, which concludes that:

"While the documents reviewed do not categorically indicate that Kadi funnelled funds in support of terrorist activities in the Balkans through his Albanian companies, the documents and interviews conducted do strongly suggest a relationship between Kadi and known terror supporters. Financial money movements observed in many of the confiscated Karavan documents appear unusual and may indicate additional possible illicit financial activity."

Thus, OFAC had to conclude that it had been unable to find any direct evidence that Mr Kadi has supported terrorism, and at most all OFAC could rely on was circumstantial evidence/ hearsay and guilt by alleged association (Flaw 5).

23 May 2002 A further meeting between Mr Kadi, his US and UK legal advisers, Richard Newcomb, Director of OFAC, and other OFAC staff, was held at the US Embassy in Riyadh, . Among other things, at this meeting, OFAC denied all knowledge of the Two-Page Fax but promised to investigate its provenance.

June 2002 In June 2002 the French investigator Jean-Charles Brisard was mandated on behalf of the Plaintiffs in the Burnett Litigation, the civil law suits brought in the United States in which Mr Kadi is a Defendant, along with numerous other individuals, organisations, states and governmental authorities in the Middle East. In early 2003 Ms Katz was also mandated on behalf of the Plaintiffs in the Burnett Litigation. Both Mr Brisard and Ms Katz were engaged to support the actions of the Plaintiffs in the Burnett Litigation.

(Since then, as noted below, in August 2004, Mr Nicati was

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below.. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, forced to withdraw the mandate he had given to Mr Brisard. In October 2006 Mr Brisard signed a formal statement, a copy of which is at Annexe 4, in which he withdrew and recanted all his allegations concerning Khaled Bin Mahfouz, acknowledged that he has no evidence to suggest Khaled Bin Mahfouz has ever funded AI-Qaeda, accepted that Khaled Bin Mahfouz is not UBL's brother in law and that there is no family relationship between them . In addition Mr Brisard has published an unreserved apology to Khaled Bin Mahfouz, a copy of which can be found at Annexe 5.)

23 July 2002 Mr Kadi provided a supplemental statement, which comprehensively refuted all the allegations in the Robert Wright Affidavit. A copy was delivered to OFAC.

1 August A meeting was held between Mr Kadi's legal advisers and 2002 Richard Newcomb and OFAC staff at the offices of OFAC in Washington DC. At this meeting, Mr Kadi's legal advisers made a detailed submission to OFAC. OFAC asked for clarification of various matters concerning Mr Kadi's charitable and business activities, which Mr Kadi's legal advisers agreed to provide. Richard Newcomb requested detailed information on Mr Kadi's business and charitable activities in numerous jurisdictions throughout the world, and his links with leading Saudi businessmen.

19 Mr Kadi's advisers provided OFAC with all the information OFAC December requested in a comprehensive (1 00 page) statement detailing Mr 2002 Kadi's charitable and business activities, and his relations with other Saudi Arabian businessmen, together with extensive supplemental explanations and material. This was delivered to OFAC with a substantial file of supporting documentary evidence by way of a complete response to the questions OFAC had raised , evidencing the ·legitimacy of all Mr Kadi's business and charitable activities and his complete innocence of any alleged

Case Historv Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, support for terrorism .

December In December 2002 Mr Brisard published a report, purportedly 2002 commissioned by the President of the UN Security Council entitled "Terrorism financing: roots and trends of Saudi terrorism financing; prepared by JCB Consulting (France) (December 2002)". Mr Kadi's legal advisers discovered that contrary to Mr Brisard's claims this report had never been commissioned by the UN.

Khalid Bin Mahfouz subsequently sued Mr Brisard in the High Court in London for defamation over a number of serious allegations and statements about Mr Bin Mahfouz, including in the purported UN report, following which the High Court in London ordered judgment to be entered against Jean-Charles Brisard and his companies.

In its Judgment (of 1 July 2004) the High Court in London made all the orders Mr Bin Mahfouz sought against Mr Brisard and his companies including ordering them to pay damages of £10,000 (being the maximum permitted under the relevant English rules) , an interim payment on account of Mr Bin Mahfouz's costs of £30,000 and a formal declaration that the defamatory allegations about Mr Bin Mahfouz were false (Mahfouz v Brisard & Others, [2004] EWHC 1735 (QB). The judgement can be seen by visiting : http://www.binmahfouz.info/pdf/faq 4 judgment.pdf).

The High Court in London also granted an injunction dated 30 January 2004 against Mr Brisard and his companies preventing further publication in England of the defamatory allegations about (Mahfouz v Brisard & Others HQ03X03141 which can be seen in full at:

http://www.binmahfouz.info/pdf/faqs_4judjement_30january .pdf)

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, nr.o.n~,.o....l "'" 1\.4 .. r-- , .. , 1...... -'":- ,.. _ ....~.. _ _ .-.. ' • The then President of the UN Security Council Senor Valdivieso has since then confirmed in letters dated 12 March 2004 and 26 April 2004 that it is 'completely false that I in my capacity as President of the Security Council or as President of the 1267 (Terrorism) Committee or in any capacity within that Organization had commissioned him on a personal or official basis to write a Report on terrorism. He [Jean-Charles Brisard] had no role whatsoever with the United Nations Security Council during the period in which I occupied the Presidency'. Senor Valdivieso has also confirmed that Mr Brisard's report was unsolicited; that he does not believe it was taken seriously by anyone at the UN; or that the UN took any step or action as a result of being sent the report.

Senor Valdivieso added that 'Mr Brisard's conduct and attitude is totally deceitful and marked by the intention to mislead'.

Copies of Senor Valdivieso's letters may be accessed by visiting: http://www.binmahfouz .info/pdf/fags 5 jsb 12march. pdf and http://www.binmahfouz.info/pdf/faqs_5jsb_26april.pdf

28 February A meeting was held at the offices of OFAC in Washington DC 2003 attended by Mr Kadi's US and UK legal advisers, Richard Newcomb and OFAC staff at which Mr Kadi's legal advisers made a further presentation to OFAC, answering the concerns and queries OFAC had raised.

2003 Rita Katz's book the "Terrorist Hunter" was published.

Although Rita Katz wrote this book, publication was at the time anonymous. Ms Katz described how she was born in and how her life was shaped by the execution of her father, Fuad Gabbi, who was hanged in 's Central Square in 1969 by

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below.. 2- From the Katz Rebuttal# 1 report, Page 11 to 34, Iraqi Baathists on suspicion of spying for Israel.

In the book, it is clear that Ms Katz harbours extreme hostility to Muslims and Arabs in general and wealthy Saudi Arabian businessmen in particular (including Mr Kadi). Ms Katz's bias against Saudi businessmen is apparent from many of her statements in the book, evidencing her unreasoned prejudice and lack of any independent or objective investigation or analysis.

28 April As outlined above, following his designation Mr Kadi's legal 2003 advisers made a number of substantial written submissions to OFAC, together with several oral presentations to OFAC, evidencing the totally legitimate nature of Mr Kadi's business and charitable activities and his innocence of any alleged support for terrorism. These submissions and presentations were provided entirely voluntarily, in accordance with Mr Kadi's express agreement with OFAC to be open and frank and to respond candidly to any concerns or issues that OFAC raised. OFAC did not respond to these submissions or presentations. Mr Kadi's legal advisers therefore pressed OFAC for a response, meanwhile re-affirming Mr Kadi's willingness to be open and candid and to address any questions or concerns that OFAC may have. Then , on 28 April 2003, OFAC provided a long and detailed list of supplemental questions for Mr Kadi to answer.

1 July 2003 Mr Kadi was interviewed at the Swiss Embassy in Riyadh , Saudi Arabia. The meeting was attended by Mr Kadi and his legal advisers, Claude Nicati, Deputy Attorney General of Switzerland, Dominique Ritter of the Swiss Federal Criminal Police, and Jean-Paul Rouiller, Swiss Judicial expert. It was only thanks to the intervention of Mr Kadi before the Saudi authorities that Mr Nicati was able to hear Mr Kadi for an entire day on 1 July 2003 at the Swiss embassy in Riyadh (see copy letter from Mr Kadi dated 23 March 2003 to Swiss ambassador to Saudi Arabia at

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal # 1 report, Page 11 to 34, ______. L.. •• ••- ,...... "'"-""": - r-o,...,..,...... o ...... r, 1 ,...... ,~ ...... Annexe 6) . Mr Kadi intervened with the Saudi authorities following several letters of request from the Swiss authorities to Saudi Arabia from 12 June 2002, requesting an opportunity for Mr Nicati to interview Mr Kadi in Saudi Arabia. Mr Kadi facilitated the visit of Mr Nicati to Saudi Arabia and the meeting took place at the Swiss Embassy in Riyadh in the presence of Mr Kadi's legal advisers on 1 July 2003.

At that meeting Mr Nicati alleged, in summary, that Mr Kadi had authorised several transfers of funds between February and August 1998 to Wa'el Julaidan in the knowledge that those funds would be used to finance AI-Qaeda.

At the time of that meeting, on 1 July 2003, the 1998 transfers to Wa'el Julaidan seemed to be the sole concern of the Swiss authorities, after two years of investigation and the freezing of Swiss bank accounts held by Mr Kadi and companies and individuals associated with him.

At the meeting on 1 July 2003 Mr Kadi fully answered in detail all the concerns of the Swiss authorities. Mr Kadi explained that the funds transferred to Wael Julaidan had actually been used in a totally legitimate manner for the construction, shipping and installation of temporary prefabricated buildings for university students at the AI Eman university in Sanaa in the Republic of .

11 July 2003 Mr Kadi's legal advisers provided full and comprehensive answers to all OFAC's written questions dated 28 April 2003.

22 August Further to the meeting at the Swiss embassy in Riyadh on 1 July 2003 2003, Mr Kadi's legal advisers voluntarily submitted yet another substantial supplemental written submission, in this case to the Deputy Attorney General of Switzerland, Mr Claude Nicati wholly confirming and documenting Mr Kadi's explanation that the

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, funds transferred to Wa'el Julaidan had been intended for, and were applied entirely towards, the totally legitimate purpose of the construction, shipping and installation of temporary prefabricated buildings for university students at the AI Eman university in Yemen.

The submission included extensive information and was accompanied by a substantial file of documentary evidence. This included photographs of the student accommodation installed as a result of Mr Kadi's donations as well as invoices for construction and shipping of the units, and invoices for equipment including bakery and kitchen equipment installed in them.

This submission provides incontrovertible evidence that the AI Eman student accommodation and buildings was a very real project which existed on the ground in Yemen and has benefited thousands of students there. By way of example, a copy of the photograph of the accommodation appears at Annexe 7.

October In October 2003, Khalid Bin Mahfouz commenced proceedings 2003 for defamation in the High Court in London against the French investigator, Jean-Charles Brisard and his companies JCB Consulting and JCB Consulting International over the publication of very serious and wholly false allegations of terrorism financing including that Khaled Bin Mahfouz had been involved in terrorism financing by providing massive financial support to AI­ Qaeda and UBL, whom Mr Brisard wrongly described as Khaled Bin Mahfouz's brother-in law (Mahfouz v Brisard & Others, [2004] EWHC 1735 (QB)).

Further details of the Judgment in Khaled Bin Mahfouz's favour of the High Court in London are provided above in relation to the publication by Mr Brisard in December 2002 of Mr Brisard's report purportedly commissioned by the President of the UN

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, Security Council entitled "Terrorism financing: roots and trends of Saudi terrorism financing; prepared by JCB Consulting (France) (December 2002)".

Subsequently in August 2004 Mr Nicati was forced to withdraw the mandate he had given to Mr Brisard to act as Mr Nicati's expert in the Swiss investigation. Mr Brisard had to apologise in October 2006 for the entirely false allegations he had published of Khaled Bin Mahfouz.

22 Mr Nicati submitted to Mr Kadi's legal advisers 212 written December questions and sought replies to these. 2003

Early 2004 In early 2004 Mr Nicati engaged Jean-Charles Brisard as an expert in the criminal investigation in Switzerland.

In early 2004 Mr Nicati also engaged Ms Katz, in addition to the mandate he had granted to Mr Brisard yet with no justification for the appointment of two experts.

Both Ms Katz and Mr Brisard had already been engaged by Motley Rice, the US lawyers acting for the Plaintiffs in the Burnett Litigation. For months Mr Nicati kept the existence of both mandates secret from Mr Kadi's legal advisers. Mr Nicati did not confirm to Mr Kadi's legal advisers until 1 June 2004 that he had mandated Mr Brisard. Mr Nicati did not provide any written mandate to Ms Katz until December 2004, yet he had verbally mandated her at the beginning of 2004. Mr Nicati did not communicate any information about Ms Katz's mandate to Mr Kadi's legal advisers until they discovered it by chance in December 2004. This was despite full access to Mr Nicati's file being formally granted to Mr Kadi's legal advisers by decision of the Swiss Federal Criminal Court dated 16 September 2004 and Mr Kadi's Swiss counsel having been in regular contact with Mr

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, Nicati throughout 2004.

12 March Mr Kadi's legal advisers provided detailed written answers to Mr 2004 Nicati's 212 questions and submitted a supplementary memorandum to Mr Nicati reporting on important developments.

OFAC delivered the OFAC Memo to Mr Kadi's US legal advisers refusing Mr Kadi's request to be de-listed. The OFAC Memo, a copy of which is at Annexe 8, is vague and nebulous in the extreme and, like the Report; it relies on guilt by association, groundless claims, rumour, press articles, and other inadmissible hearsay material.

It also purports to rely in numerous places on alleged documents that have never been supplied to Mr Kadi's legal advisers, thus depriving Mr Kadi of any proper opportunity to investigate the allegations and respond to them. OFAC has failed to respond to Mr Kadi's lawyers' formal written requests for clarification of the allegations, and has refused to provide access to copies of alleged documents it relied on. OFAC has failed to comply with requests submitted by Mr Kadi's US legal advisers under the US Freedom Of Information Act.

In addition, UK Treasury, which relies in large part on the contents of the OFAC Memo, has also refused to provide any information or documents, which would enable Mr Kadi to investigate and respond to the allegations made against him in the OFAC Memo.

3 May 2004 Mr Nicati conducted interviews of Mr Wael Julaidan and Mr Omar Zubayr the main individuals involved in the construction of the accommodation building in Yemen. These interviews confirmed the evidence provided by Mr Kadi that the transfers he made to Mr Julaidan were for the entirely honest and legitimate purpose of providing accommodation at the AI Eman university

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, ...... ,....,..,... ..-. ...1 L., , , all.- ,-..,,.. II 11 - ....&. ~ - - - - ' - in Yemen and had nothing whatever to do with financing terrorism.

7 May 2004 In violation of Mr Nicati's official obligations of duty of confidentiality and secrecy, Mr Nicati provided to Mr Brisard (who was at the time expert mandated by both Mr Nicati as well Motley Rice in the Burnett Litigation) a copy of the Aufhauser letter concerning Mr Kadi (the letter from US Treasury General Counsel Mr David Aufhauser to Mr Nicati dated 29 November 2001 ). Mr Brisard then in breach of his professional obligations of confidentiality passed to Motley Rice a copy of the Aufhauser letter, which was used against Mr Kadi by Motley Rice in the Burnett Litigation.

2 June 2004 Report of the New York office of the FBI ("the FBI Report") concerning the FBI's interviews of an unidentified source referred to as the "Cooperating Witness" who falsely alleged that Mr Kadi used the alias "Abu Khalid" (which means father of Khalid, when Mr Kadi has no son called Khalid and has never used the alias Abu Khalid), that Mr Kadi is a member of the Dosari tribe (which he is not) , and that he visited a guesthouse of UBL located in the Riyadh City section of Khartoum . Mr Kadi has never visited any UBL guesthouse whether in Khartoum or elsewhere. Mr Kadi has no knowledge of the Riyadh City district of Khartoum as when in Khartoum he always stayed at the Hilton Hotel. A copy of the FBI Report is at Annexe 9.

11 June On the grounds of these violations of confidentiality by both Mr 2004 Nicati and Mr Brisard, Mr Kadi's Swiss lawyers wrote to demand a series of measures be taken against Mr Brisard. These included the immediate revocation of Mr Brisard's mandate, the return by him to Mr Nicati of all documents from the Swiss file that he received or of which he could have obtained a copy, and the removal from the Swiss file of all documents, reports or notes of which Mr Brisard was the originator.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal # 1 report, Page 11 to 34, nr~n::lir~rl n\1 f1.11r' f"!11U ,.,,..,,..; " r",.....,_,,.. n. · - 1~ I -- .J - ·• 1 July 2004 Judgment was given in the High Court in London in the defamation action brought by Khaled Bin Mahfouz against the discredited French investigator, Mr Brisard. (This defamation action concerned the publication of very serious and wholly untrue allegations of terrorism financing including that Khaled Bin Mahfouz had been involved in terrorism financing by providing massive financial support to AI-Qaeda and UBL, whom Mr Brisard wrongly described as Khaled Bin Mahfouz's brother-in law.)

Further details of the Judgment in Khaled Bin Mahfouz's favour are provided above (in relation to the publication in December 2002 of Mr Brisard's report purportedly commissioned by the President of the UN Security Council).

The relevance of all these matters is that in the Report Ms Katz falsely implies that Khaled Bin Mahfouz has been associated with terrorism financing through the Foundation.

7 July 2004 Mr Kadi's Swiss lawyers filed a complaint against Mr Nicati before the Appeals Chamber of the Swiss Federal Criminal Court seeking immediate revocation of the mandate given to Mr Brisard and the return by him of all documents Mr Brisard had received from the Office of the Attorney General of Switzerland (OAGS). Mr Kadi also sought that Mr Brisard provide a solemn written undertaking, not to retain any copy of the returned documents and that he give an exhaustive account of the usage that he has made of the documents that he has obtained.

Mr Kadi also sought full and immediate access to the file so as to ascertain the nature of the acts in which Mr Brisard has been involved, in order, as appropriate, to seek their annulment and payment of his legal fees and costs.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2- From the Katz Rebuttal# 1 report, Page 11 to 34, 13 August Mr Nicati was forced to concede to Mr Kadi's principal demands 2004 and agreed to renounce the mandate he had given to Mr Brisard; Mr Nicati agreed that Mr Brisard would consequently be required to return the entire set of documents he had received or of which he could have obtained copies and to provide a solemn undertaking that he had retained no copies of the returned documents.

16 The Swiss Federal Criminal Court ruled in favour of Mr Kadi over September his complaint concerning Mr Nicati's and Mr Brisard's improper 2004 use of the Aufhauser letter [Yassin Abdullah Kadi centre Ministere public de Ia Confederation, BK_B 094/04]. The Swiss Court took legal cognisance of Mr Nicati's renunciation of Mr Brisard's mandate, as well as the various undertakings made by Mr Nicati in respect of the return of documents by Mr Brisard. The Swiss Court further noted Mr Brisard's formal undertaking not to use information and documents he obtained from the Swiss file. Most importantly the Swiss Court ruled that Mr Kadi was to be granted full access to the Swiss investigation file. The Swiss Court also awarded Mr Kadi his costs of the action against the Office of the Attorney General of Switzerland, since the court considered Mr Nicati as being the party who had effectively succumbed.

9 December Mr Nicati confirmed in writing the mandate he had given verbally 2004 to Ms Rita Katz of the SITE Institute at the beginning of 2004. Her mandate was to "establish a report - after a thorough analysis of the files transmitted in form of 5 CD Rom - clarifying possible links, even indirect ones, between Mr Kadi or the companies he is managing either directly or in which he may have interests in the terrorist world ... In addition, the task is to show a possible financial support of terrorism by Mr Kadl'

24 The prosecution authorities in Turkey made a formal December determination for Dismissal of Proceedings against Mr Kadi. By 2004 decision 2004/ 881 dated 30 December 2004 and decision

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, n r.o.n~ro~ hu 1\llr ~"" ft-11,...-.: ... (',..,.4...... n . . -1, I --..J -- 2004/22072 dated 24 December 2004, copies of which are at Annexe 10, the Office of the Chief Public Prosecutor of the Republic of Turkey decided: " .. . however, no evidence has been found to prove that WALEL HAZMA JULAIDAN had been an active militant or that he was a member of the illegal terrorist organizationAL­ QAIDA .... [and] that following a review of the companies established and operated by the accused persons, namely Caravan Dis Ticaret ve lnsaat Ltd. Sti and Ella Film Produksiyon Sanayii ve Tic. Ltd. Sti, it had been understood that the commercial transactions conducted by the accused were in conformity with the legal regulations in effect, that the money transfers made were in conformity with the legal regulations, that there was nothing illegal about the commercial activities of the accused and that a decision to dismiss proceedings had been adopted by the Office of the Chief Public Prosecutor of Istanbul on 24.12.2004 with preliminary file number 2004/22072 for the accused, whereby it was noted that "there is no need to press legal proceedings as there are no components indicating a crime present" and that it was not necessary to proceed with legal proceedings for the accused with an allegation of violation of Law number 4208.

Following the investigations and research conducted with respect to the accused, it was understood that they do not have any relations with the AL-QAIDA terrorist organization, that the accused persons had engaged in commercial transactions only, that WALEL HAZMA JULAIDAN and YASIN AL-KADI had made donations to charity institutions because of their wealth; that there was no evidence or sign proving or implying that the accused persons had been members of the illegal terrorist organization AL-QAIDA, that the accused MEHMET FATIH SARAC had conducted commercial activities together with the accused YASIN AL-

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below.. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, KADI, that however there was no evidence proving or implying that they had any contact with the illegal terrorist organization AL-QAIDA, that they had not been members of that organization, they had not assisted that organization and that they had only engaged in commercial and charitable activities and that no crime had been committed.

. . .. THERE IS NO GROUNDS FOR CONDUCTING ANY PUBLIC PROCEEDINGS AGAINST THE ACCUSED PERSONS ... "

24 Given Ms Katz's blatant bias and partiality, as evidenced by the December contents of her book "Terrorist Hunter", Mr Kadi's Swiss lawyers 2004 wrote to Mr Nicati seeking the immediate recusal of Rita Katz as an expert.

10 January Mr Nicati having declined to recuse Rita Katz as an expert, Mr 2005 Kadi's Swiss lawyers applied to the Appeals Chamber of the Swiss Federal Criminal Court for Ms Katz to be recused from the investigation due to her inherent bias. As well as revocation of the mandate conferred upon Ms Katz, Mr Kadi sought the return from Ms Katz of all items she might have been able to obtain from the file, together with an undertaking from her not to keep any copies of them.

5 April2005 The Appeals Chamber of the Swiss Federal Criminal Court ruled that Ms Katz cannot be considered a court expert and her role in the proceedings was simply that of an auxiliary or assistant to provide assistance to the Department of the Public Prosecutor [Yassin Abdullah Kadi centre Ministere public de Ia Confederation, 88.2005.2].

22 April Rita Katz submitted her Report entitled "An Investigation Into 2005 The Activities of Yassin Kadi as Commissioned by the Attorney General's Office of Switzerland" to the OAGS Office of the

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, ...... _____ ....~ ...... ,. _ ----- . •- -·· - - ' Attorney General of Switzerland.

10 June The Report was provided to Mr Kadi's legal advisers. 2005

13 June Mr Nicati made a formal request to the Federal Investigating 2005 Judge, at the Swiss Office of the Federal Examining Judges, that an Examining Judge be placed in charge of the Swiss proceedings. This request was based on , among other matters, Mr Kadi's alleged links to persons alleged to be strongly implicated in the "world of terrorism" (in other words guilt by association, a flawed concept which pervades almost all the allegations against Mr Kadi as explained below in this Rebuttal).

29 July 2005 The Swiss Examining Judge Mrs Marie-Antonella Bino formally ordered the opening of the "instruction" in Switzerland. This decision, and the previous order of Mr Nicati dated 13 June 2005, are important within the context of the Swiss proceedings as they show the nature of the allegations made against Mr Kadi at that time. Like Mr Nicati's decision of 13 June 2005, Mrs Sino's decision of 29 July 2005 is substantially based on Mr Kadi's alleged links with persons ''presumed" to be implicated in terrorist activities (once again, guilt by association) together with the bank transfers Mr Kadi had authorised in 1998 in favour of Wa'el Julaidan.

In neither decision is there any explanation to counter Mr Kadi's detailed submissions, documented by evidence, showing how the transfers he had authorised in 1998 in favour of Wa'el Julaidan were intended for, and applied entirely towards, the totally legitimate purpose of providing temporary buildings for students at the AI Eman university in Sanaa, Yemen.

12 The Swiss Federal Criminal Court gave its ruling on the

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, f"\1"~ ...... ··- ,...... • • • • - December application of 16 relatives of victims of the September the 11th 2005 attacks to join as civil parties the Swiss investigation against Mr Kadi [Hoglan centre Ministere public de Ia Confederation, BB2005.51 a BB.2005.53 et 88.2005.56 a 88.2005.58]. All 16 individuals are Plaintiffs in the Burnett Litigation. The Federal Criminal Court in Switzerland rejected their request because:

"... nothing in the file allows one to conclude with sufficient likelihood that Yassin Abdullah Kadi knew or was able to know that the payments he had made and for which he is involved in the Swiss proceedings, could specifically serve

to finance the September 11 1h, 2001 attacks."

The Swiss Court further held that it is impossible on the basis of the file and the chronology of events to conclude that there is any link between the payments which form the subject of the Swiss investigation (which took place between 24 February 1998 and 3 August 1998) and the planning of the September the 11th attacks.

Copies of both the Swiss judgment and the English translation are annexed at Annexe 11 .

4 July 2006 The Council of State of the Republic of Turkey by Decision number 2006/4795 decided to unfreeze Mr Kadi's assets in Turkey on the ground that the Turkish authorities had provided no evidence or information that supported the continued freezing of his assets.

7 July 2006 The Turkish Republican People's Party (CHP) filed a criminal complaint with the Turkish Public Prosecutor's Office against various people including Mr Kadi and Wa'el Julaidan seeking an investigation into allegations of and financing of terrorism. A supplemental petition was filed with the Turkish Public Prosecutor's Office on 2 August 2006.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below. . 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, 11 July 2006 Additionally, the Turkish Prime Minister, Recep Erdogan, made a statement on 11 July 2006 in support of Mr Kadi in which he said

"I know Mr Yassin and I believe in him as I believe in myself. . .it is not possible for Mr Yassin to establish ties with a terrorist organisation and support it ... he is a person who has no speciality other than being a philanthropist."

August and The Swiss Financial Analyst, Pascal Jequier, (instructed by Mrs September Sino, the Swiss Investigating Judge, to examine all accounts in 2006 Switzerland of Mr Kadi or entities associated with him) produced his reports. In his reports he indicates a few minor areas where further information is required. Subject only to these, he concluded, in the case of each and every account that "the account does not reveal obvious signs of terrorist organisation financing activity" [emphasis added]. Moreover in regard to the accounts maintained by members of Mr Kadi's family the Financial Analyst concluded that those accounts "have not been used as transit accounts".

It follows from these reports that there can be no evidence in the files available to the Swiss authorities of any terrorist organisation financing by Mr Kadi .

October Mr Brisard (along with his co-author Guillaume Dasquie of the 2006 book "the Forbidden Truth (La Verite lnterdite)') published an unreserved withdrawal and apology to Khaled Bin Mahfouz and his son Sheikh Abdulrahman Bin Mahfouz, in respect of "very serious and highly defamatory" allegations of "support for terrorism through their businesses, families and charities", copy at Annexe 5.

Additionally Mr Brisard made a signed statement unconditionally

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal # 1 report, Page 11 to 34, retracting and withdrawing his allegations about Khaled Bin Mahfouz, including allegations concerning the Foundation, the charitable body established by Mr Kadi and endowed by Khaled Bin Mahfouz in honour of his parents. A copy of this statement signed by Mr Brisard is at Annexe 4.

12 October The Turkish Council of State Administrative Cases Council 2006 resolved to annul the Council of State Decision 2006/4795 of July 2006 unfreezing Mr Kadi's assets in Turkey. The effect of this is that Mr Kadi's assets in Turkey are once again frozen .

28 Following complaint petitions submitted to the Turkish Public December Prosecutor on 7 July and 2 August 2006 by various members of 2006 the Turkish parliament seeking the initiation of a criminal investigation under Turkish anti-terrorism laws against Mr Kadi , Wa'el Julaidan and others, the Public Prosecutor's Office of the Republic of Turkey issued a formal decree dated 28 December 2006 that

"IT IS NOT JUSTIFIED TO /NIT/ATE AN INVESTIGATION ABOUT THE SUSPECTS [YASS/N KADI, WA'EL JULAIDAN AND OTHERS] AS SUFFICIENT EVIDENCES WERE NOT COLLECTED TO BE ABLE TO INSTITUTE A PUBLIC ACTION FOR THE ALLEGED OFFENCES ... "

In short, the Public Prosecutor refused to initiate any criminal investigation on ground of lack of evidence against Mr Kadi. A copy of this decision is annexed at Annexe 12.

1 February A Federal Jury in Chicago acquitted Muhammad Salah of 2007 charges that he was part of a long-running conspiracy to finance Hamas activities in Israel, marking a major defeat for the US Justice Department [United States v. Salah. et al. , No. 1: 03-CR- 00978 (N .D. Ill. Feb. 1, 2007)]

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2- From the Katz Rebuttal# 1 report, Page 11 to 34, As noted above, this acquittal fundamentally undermines the initial basis upon wh ich Mr Kadi was listed, as set out in the Robert Wright Affidavit and the Aufhauser letter, which relies on it.

11 Report for the Hearing at the European Court of Justice in September Luxembourg By Judge - Rapporteur (Lead Judge on the panel of 2007 Judges who will be hearing the case) in this case Judge Timmermans. The report for the hearing is a neutral summary of the issues in the case. The report gives very little, if any, indication of the thinking of the Judge - Rapporteur.

02 October European Court of Justice hearing in the case of Yassin A. A. Kadi. 2007 Final judgment is awaited.

13 Swiss Deputy Attorney General Claude Nicati confirmed to Mr. Kadi's December Swiss lawyer by letter dated 17 December 2007, "The Office of the 2007 Attorney General of Switzerland has dismissed the proceedings against Mr. Yassin A. A. Kadi - being conducted under article 120 Federal Penal Procedure. Enquiry opened against Mr. Yassin A. A. Kadi is terminated.

16 January Advocate General Poaires Maduro delivered a landmark opinion in 2008 Mr. Yassin A. A. Kadi's appeal to the European Court of Justice (ECJ) in Luxembourg, considering that the Court should set aside the earlier judgment of the Court of First Instance (CFI)

03 European Court of Justice - JUDGMENT OF THE COURT (Grand September Chamber), Highest in Europe. Decision in favour of Yassin A. A. Kadi 2008 says: On those grounds, the Court (Grand Chamber) hereby:

a. Sets aside the judgments of the Court of First Instance of the European Communities of 21 September 2005 in Case T-315/01 Kadi v Council and Commission and Case T -306/01 Yusuf and AI Barakaat International Foundation v Council and Commission;

b. Annuls Council Regulation (EC) No 881/2002 of 27 May 2002 imposing certain specific restrictive measures directed against certain persons and entities associated with Usama bin Laden, the AI-Qaeda network and the Taliban, and repealing Council Regulation (EC) No 467/2001 prohibiting the export of certain goods and services to Afghanistan, strengthening the flight ban and extending the freeze of funds and other financial resources in respect of the Taliban of Afghanistan, in so far as it concerns Mr Kadi and the AI Barakaat International Foundation;

c. Orders the effects of Regulation No 881/2002 to be Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, ______. ·-·· ··-· - . . .. - maintained, so far as concerns Mr Kadi and the AI Barakaat International Foundation, for a period that may not exceed three months running from the date of delivery of this judgment;

d. Orders the Council of the European Union and the Commission of the European Communities each to pay, in addition to their own costs, half of those incurred by Mr Kadi and AI Barakaat International Foundation both at first instance and in these appeals;

e. Orders the United Kingdom of Great Britain and Northern Ireland to bear its own costs both at first instance and in these appeals;

f. Orders the Kingdom of Spain, the French Republic and the Kingdom of the Netherlands to bear their own costs.

08 October The Director General, EUOROPEAN COMMISSION, External 2008 Relations Directorate General, re - list Yassin A A Kadi, in contravention of the ECJ Judgment without giving any credible evidence by regulation 1190/2008.

16 January United States District Court, Washington D.C., Case Complaint is 2009 filed by Yassin A A Kadi, versus Secretary of US Treasury, Director of OFAC requesting evidence and against listing.

26 February In the Court of First Instance of the European Communities, 2009 Luxembourg, (Now called General Court in EU; Seventh Chamber), Case T - 85/09, application under Article 230 of the EC Treaty for annulment of the Commission Regulation 1190/2008, filed by Yassin A A Kadi against the EU order dated 08 October 2008 as above.

29 January Letter from our Solicitor to the UK Treasury Solicitors by Judgment of 2010 UK Supreme Court 25 Jan 2010 in Ahmed v H M Treasury UKSC2 held that relevant provisions of AI Qaida and Taliban (UN Measures) order 2006 are void and unlawful. It follows from this that there is no longer in place domestic UK freezing measures applicable to Yassin A A Kadi. As a matter of UK law Yassin A A Kadi is under no restriction.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below.. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, ...... o...... ,.. ~ t.. •• lit .. ,..., .. ... _ ..... : _ _ _ _. __ - • •

13 Memorandum Decision and Order in New York Southern District, September USA, Case number 03 MDL 1570 (GBD) granted by Judge George 2010 B. Daniels, Yassin A Kadi granted case dismissal "for lack of personal jurisdiction".

30 The General Court of the European Union in Luxembourg in September Case T - 85/09 annulled a European Regulation freezing the 2010 assets of Yassin A A Kadi.

10 Appeals in the European Court of Justice (ECJ) by European Union December (EU): 2010 1) CouncilofEU. 2) European Commission. Against the decision of the EU General Court in favour of Yassin A A Kadi on 30 September 2010.

18 May 2011 Response by Yassin A. A. Kadi legal team to the appeals launched by EU and in ECJ on 10 December 2010.

14July 2011 Final judgment entered for Memorandum Decision and Order in New York Southern District, USA, case number 03 MDL 1570 GBD granting Yassin A Kadi dismissal from the case.

10 August Notice of Appeal lodged by lawyers of Lloyd's London's Syndicate 2011 3500 in The United States Court of Appeals for Second Circuit, in New York, USA, 03 MDL 1570 (RCC) ECF Case, relating to 03 CV 06978 (GBD) against the final judgment for dismissal entered in favor of Yassin A. Kadi on 14 July 2011 .

19 Lloyd 's London's Syndicate 3500 filed a notice to voluntarily dismiss September and withdraw the appeal from The United States Court of Appeals for 2011 Second Circuit, in New York, USA, lodged as above on 10 August 2011 .

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below .. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, oreo~rP.rl hv ru1r ~ I I\/ 1\JI "!ll r+ i"" r-_,..,.__ ,.... ___ r. • • •

I I I

I I I

I I Although Mr Kadi has challenged his listing and has repeatedly asked to know the detailed allegations against him, these allegations have never been properly or satisfactorily formulated, and the authorities have consistently refused to provide copies of documentation which they rely on or refer to in making their allegations. Thus, Mr Kadi's legal advisers have been deprived of any opportunity to investigate the allegations satisfactorily or to respond to them.

Case History Summary File 1- Updated Excerpts by Masood after 22 Jun 2007 below.. 2 - From the Katz Rebuttal# 1 report, Page 11 to 34, Please find attached the history with latest updates on international front.

At this point in time the only matters outstanding or pending are:

1 - Listing and freezing of assets with travel ban, in USA by US Treasury dated 12 October 2001. Still in effect.

2 - Case filed on 16 January 2009 in Washington D.C., USA, by the listed person against the USA Treasury and The Secretary to US Treasury against (1) above order. Decision is pendingto to date.

3 - Listing in United Nations 19 October 2001 with similar effect as in (1) above and consequent sequel Worldwide to UN listing. Still in effect.

4- Appeals filed in the European Court of Justice on 10 December 2010 by Council of European Union and European Commision against the the decions of EO dated 03 September 2008 and The General Court decision dated 30 September 2010 in favour of the listed person.