EFTA01295838

NAME SEARCHED: Karyna Shuliak PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC C4 No lilt • Not Ittxpred I. RDC Results No RDC alert (Please sec attached) Hit PCR No Hit Not Require A 0 Hit IL PCR Results No PCR alert (Please sec attached) BIS 0 Yes gi No III. Negative Media There was no information found IV. Non-Negative Media There was no information found • Not Required V. Other Language Media Not Required D&B VI. D&B Not Required Results? M Yes • No Cr Not Required Smartlinx VII. Smartlinx Result Found (Please see attached) Results? sli Yes 0 No • Not Required Court Cases 0 Review by Legal May be Required l'a No Results 0 Search nor required VIII Court Cases There was no information found Prepared by: Prachi Pawa Da e: 10/IV2016 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your cons enience:Martindale-Hubbellhttp:/Avww.martindale.com/sp/Martindak/home.sml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully rniewed the research documents. For internal use only SDNY_GM_00057136 CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0019960 EFTA_00167704 EFTA01295838 OFAC RESULTS RDC: 11593657 No Match Found GQS 00000483290 Karyna Shuliak Count:pi:United States PCR: C20161034948121 Karyna Shuliak 12013244 NCA customised Auto-Closed No-Hit 12/10/2016 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: Date: 10/12/2016 Report processed by: DEUTSCHE BANK AGII 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. For internal use only SDNY_GM_00057137 CONFIDENTIAL — PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0019961 EFTA_00167705 EFTA01295839 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Full Name Address County Phone SHULIAK, KARYNA 9 E 71ST ST NEW YORK (212) 750-9895 NEW YORK. NY 10021-4102 (212) 249.1122 NEW YORK COUNTY (212) 288-7171 ADDITIONAL PERSONAL INFORMATION SSN DOB Gender 105-98-XXXX Subject Summary Name Variations 1: SHULIAK, KARYNA SSNs Summary No. SSN 1: 105-98-XXXX State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 2009-2011 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 6 records found No. Address 1: 9 E 71ST ST NEW YORK, NY 10021-4102 NEW YORK COUNTY 2: 301 E 66TH ST APT 10F NEW YORK, NY 10065-6216 NEW YORK COUNTY 3: 6100 RED HOOK OTRS STE B-3 ST THOMAS. VI 00802-1348 ST. THOMAS COUNTY 4: 301 E 66TH ST APT 8A NEW YORK, NY 10065-6215 NEW YORK COUNTY 5: 239 92ND ST BROOKLYN, NY 11209-5701 KINGS COUNTY 6: 68 CABRINI BLVD APT 52 NEW YORK, NY 10033-5442 NEW YORK COUNTY LexID(sm) 188602267903 Address Details 1: 9 E 71ST ST NEW YORK, NY 10021-4102 Address Dates Phone 9 E 71ST ST 7/2016 - 8/2016 (212) 750-9895 NEW YORK, NY 10021-4102 (212)249-1122 NEW YORK COUNTY (212) 288-7171 Census Data for Geographical Region Median Head of Household Age. 57 For internal use only SDNY_GM_00057138 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-00 19962 EFTA_00167706 EFTA01295840 Page 3 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Median Income: $201.878 Median Home Value: $1.000.000 Median Education: 17 years Household Members None Listed Other Associates EPSTEIN. JEFFREY E 2: 301 E 66TH ST APT 10F NEW YORK, NY 100654216 Address Dates Phone 301 E 66TH ST APT 10F 4f2013 -1012016 NEW YORK. NY 10065.6216 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156.291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 3: 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 Address Dates Phone 6100 RED HOOK QTRS STE B-3 12/2015 - 8(2016 ST THOMAS, VI 00802-1348 ST. THOMAS COUNTY Household Members None Listed Other Associates EPSTEIN. JEFFREY E 4: 301 E 66TH ST APT 8A NEW YORK, NY 10065-6215 Address Dates Phone 301 E 66TH ST APT 8A 4/2013 - 8/2013 NEW YORK. NY 10065-6215 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 5: 239 92ND ST BROOKLYN, NY 11209-5701 Address Dates Phone 239 92ND ST BROOKLYN. NY 11209-5701 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $92,045 Median Home Value: $761.538 Median Education: 12 years Household Members None Listed Other Associates For internal use only SDNY_GM_00057139 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-00 19963 EFTA_00167707 EFTA01295841 Page 4 Worldbase, 11/30/2013, THE RELATED COMPANIES LP None Listed 6: 68 CABRINI BLVD APT 52 NEW YORK, NY 10033-5442 Address 68 CABRINI BLVD APT 52 NEW YORK, NY 10033-5442 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $56,500 Median Home Value: $370.896 Median Education: 13 years Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: SHULIAK, KARYNA Dates Phone (646) 864-0040 SSN: 105-98-XXXX Address: 6100 RED HOOK OTRS STE 8-3 ST THOMAS. VI 00802-1348 County: ST. THOMAS License Information Profession or Board: DENTAL BOARD OF CALIFORNIA License Type: DENTIST License Number: 65268 Issue Date: 11/19/2015 Expiration Date: 05/31/2017 Status: VALID UNTIL 05/31/2017 State: California Health Care Providers - 1 records found 1: Health Care Providers Name(s): SHULIAK, KARYNA SHULIAK, KARYNA SHULIAK, KARYNA Gender: FEMALE DOB(s): 05/1989 Business Addresses: 6100 RED HOOK OTRS STE B-3 ST THOMAS, VI 00802-1348 358 EL BRILLO WAY PALM BEACH. FL 33480-4730 License Number/State: 21635 / FL 65268 / CA 2230 /VI Specialties: Dentistry Degree(s): DDS Medical School/Grad Year: COLUMBIA UNIVERSITY / 2015 Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found For internal use only SDNY_GM_00057140 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-00 19964 EFTA_00 167708 EFTA01295842 Page 5 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives -1 records found 1st Degree 1 No. Full Name 1. SHULYAK. DENNIS • AKA SHULIAK, DZIANIS • AKA SHULIAK DENNIS • AKA SHULAK, DZIANIS • AKA SHULIAK. DZIANIAS • AKA SHULIAK SSN:213-53-XXXX DOB:3/1977 (Age: 39) Business Associates - Person Associates -1 0 records found records found Address/Phone 48 LAKEWOOD DR CONGERS, NY 10920-1710 1383 AVENUE OF THE AMERICAS AP T202 NEW YORK NY 10019-3910 (212)542-3150 618 W 164TH ST APT 43W NEW YORK. NY 10032.4842 18B FILIPE LN UNIT 16 STATEN ISLAND, NY 10308.3361 18 FILIPE LN UNIT 16 STATEN ISLAND, NY 10308-3361 No. Full Name Address SSN Phone DOB 1: EPSTEIN. JEFFREY E 9 E 71ST ST 090.44-XXXX (212) 249-1122 111953 EPSTEIN, JEFFERY E NEW YORK, NY 10021- (212) 288-7171 EPSTEIN. JERRERY 4102 (212) 368-3758 EPSTEIN, J (212) 750-9895 EPTSTEIN. JEFFERY 457 MADISON AVE FL 4TH EPSTIEN. JEFFERY NEW YORK, NY 10022- EDWARDS, JEFFERY 6843 49 ZORRO RANCH RD BH STANLEY, NM 87056-9743 49 ZORRO RANCH RD B STANLEY. NM 87056-9743 6100 RED HOOK QTRS STE B-3 ST THOMAS. VI 00802- 1348 Neighbors - 3 records found 9 E 71ST ST NEW YORK, NY 10021-4102 Name Address SADIA, G JESSE 10 E 71ST ST NEW YORK, NY 10021.4915 HEYWORTH. ELLEY KING III BORGES, RAMSES 10 E 71ST ST 6A NEW YORK, NY 10021-4915 11 E 71ST ST For internal use only Phone (212) 288-0700 SDNY_GM_00057141 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019965 EFTA_00 I 67709 EFTA01295843 Page 6 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LUTNICK. ALLISON L LUTNICK, BRANDON G LUTNICK, HOWARD WILLIAM NEW YORK, NY 10021-4102 Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Sources - 25 records found All Sources 25 Source Document(s) Email addresses 5 Source Document(s) Historical Person Locator 2 Source Document(s) Person Locator 1 2 Source Document(s) Phone 12 Source Document(s) Professional Licenses 1 Source Document(s) Providers 1 Source Document(s) Utility Locator 2 Source Document(s) D& B: Not Required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00057142 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019966 EFTA_001 677 I0 EFTA01295844