EFTA Document EFTA01399065

Subject: RE: October 2014 AML/KYC Escalation Reports [I] From: Andrea Tapia a Date: Thu, 06 Nov 2014 17:28:40 -0500 To: Melisa Venegas Cc: Kimberly Har Armen Brash Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customer's accounts have been closed, two are Brokerage only, two should be transferred to IA, and one has an existing KYC. We are working with the respective Banker teams to