EFTA01296257

NAME SEARCHED: 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 0 No lilt • Not Required I. RDC Results No RDC alert (Please sec attached) • lilt PCR C4 No Hit • Not Requited II. PCR Results No PCR alert (Please sec attached) M Hit BIS El Yes 0 No III. Negative Media There was no information found IV. Non-Negative Media There was no information found E Not Required V. Other Language Media There was no information found D&B Results? 0 v ./.Da Not required 0 Yes MI No Not Required Stumble( Results? ISI Yes 0 No 0 Not Required VII. Smartlinx Result found(Please see attached) Court Cases Review by IA.val May VIII. Court Cases Result found(Plcase sec attached) be Regulus' El No Results El Search not required Prepared by: Reena Chandwani Date:06/15/2017 Research Analyst Instructions: I. Review and confirm that all results arc 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 has c attached the'eb link below for your convenience:Martindale-Hubbellhttp://www.martindak.com/ip/Martindakihome.xml 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 reviewed the research documents. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SDNY- GM- 00058475 DB-SDNY-0021299 EFTA_00 I 69035 EFTA01296257 OFAC RESULTS RDC: 11602678 Notlitatich Fund 11602679 No Match Found KYC 1790724 KYC 1790724 S Date of Country:UNITED STATES rth: Date of Country:UNITED STATES Birth: PCR: C201706379090761 C201706379090751 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: Date.6/15/2017 Report processed by: DEUTSCHE BANK AGII 2890623 NCA customised Auto-Closed No-Hit 15/06/2017 2890623 NCA customised Auto-Closed No-Hit 15/06/2017 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. For internal use only SDNY_GM_00058476 CONFIDENTIAL - PURSUANT TO FED. R.CDFNIF IDENTIAL DB-SDNY-0021300 EFTA_00I 69036 EFTA01296258 Page 2 Full Name Address County Phone NEW YORK None Listed ADDITIONAL PERSONAL INFORMATION SSN (Age 33) Gender Female Subject Summary Nam " 1 2 SSNs Summary No. SSN State Its. Date Iss. Warnings Most frequent SSN attributed to subject: 1 Minnesota 1986-1987 DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 9 records found No. Address 1 2 3 4 5: 6: 7: For internal use only LexID(sm) SDNY_GM_00058477 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021301 EFTA_00I 69037 EFTA01296259 Page 3 No. Address 8 9 Address Details Dates Phone 10/2009 - 5/2017 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 Dates Phone 11/2004 - 7/2014 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 Dates Phone 10/2009 - 8/2015 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 TAN, GEORGE B Dates Phone 9/2001 - 12/2014 For internal use only SDNY_GM_00058478 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021302 EFTA_00I 69038 EFTA01296260 Page 4 Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $126,728 Median Home Value: $329,229 Median Education: 16 years Household Members Other Associates None Listed Dates Phone 12/2008 - 11/2009 Census Data for Geographical Region Median Head of Household Age: 54 Median Income: $47,576 Median Home Value: $617,089 Median Education: 14 years Household Members None Listed Other Associates None Listed Dates Phone 9/2005 - 10/2006 Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $44,625 Median Home Value: $0 Median Education: 12 years Household Members None Listed Other Associates None Listed ensus uata for cseograpnIcal rtegion Median Head of Household Age 37 Median Income: $92,857 Median Home Value: $408,173 Median Education: 15 years Household Members None Listed Other Associates None Listed Dates Phone 1/2005 - 7/2005 Dates Phone For internal use only SDNY_GM_00058479 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021303 EFTA_00 I 69039 EFTA01296261 Page 5 6/2004 - 4/2005 Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $49,615 Median Home Value: $0 Median Education: 13 years Household Members None Listed Other Associates None Listed Dates Phone Census Data for Geographical Region Median Head of Household Age: 32 Median Income: $93,351 Median Home Value: $940,789 Median Education: 16 years Household Members None Listed Other Associates TAN, GEORGE B Voter Registrations -1 records found 1: New York Voter Registration mation Name: Residential Address: SSN: Date of Birth: Gender: Female Voter Information Registration Date: 6/19/2014 Last Vote Date: 11/8/2016 Party Affiliation: DEMOCRAT Active Status: ACTIVE Driver Licenses - 8 records found 1: Florida Driver License Name: Address: Data source: SSN: DOB: Driver Information &oyernmentat Personal Information Gender: Female For internal use only SDNY_GM_00058480 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021304 EFTA_00I 69040 EFTA01296262 Page 6 Height: 800" License Information License Type: ORIGINAL License Class: Non-Commercial - Regular Operator License Attention Flags: ORGAN DONOR Issue Date: 12/11/2008 Expiration Date: 11/2017 Additional Driver Information DOB: Gender: Female Race: WHITE History: Current Height: 800" 2: Minnesota Driver License Name: Address: Data source: I Information SSN: DOB: Gender: Female Height: 800" Weight: 125 lbs. License Information License Type: REGULAR LICENSE License Class: Valid for single unit vehicles designed to carry less than 15 passengers with a GVW less than26000 lbs; vehicle combinations with a GVW less than 26000 Ibs; farm trucks; fire trucks and emergency equipment or personal recreational equipment. Attention Flags: ORGAN DONOR Issue Date: 12123/2004 Expiration Date: 1112008 Additional Driver Information DOB: MISIIIM Gender: Female History: Historical Height: 800" Weight: 125 lbs. 3: Minnesota Driver License Name: Address: Data source: SSN: DOB: Gender: Height: Weight: License Type: Driver Information Governmental MN Personal Information Female 600" 125 lbs. License Information REGULAR LICENSE For internal use only SDNY_GM_00058481 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021305 EFTA_00 II 69041 EFTA01296263 Page 7 License Class: CONAX record.This could mean a conviction only, no driver license. Attention Flags: ORGAN DONOR Issue Date: 12/23/2004 Expiration Date: 11/2008 Additional Driver Information DOB: 11/1983 Gender: Female History: Historical Height: 6100" Weight: 125 lbs. 4: Minnesota Driver License Driver Information Name: Address: Data source: Governmental MN Personal Information SSN: DOB: Gender: Female Height: 6'00" Weight: 125 lbs. License Information License Type: REGULAR LICENSE License Class: CONAX record.This could mean a conviction only, no driver license. Attention Flags: ORGAN DONOR Issue Date: 12/23/2004 Expiration Date: 11/2008 Additional Driver Information DOB: Gender: Female History: Historical Height: 600" Weight: 125 lbs. 5: Minnesota Driver License Name: Address: Data source: SSN: DOB: Gender: Height: Weight: License Type: License Class: Attention Flags: Issue Date: Expiration Date: Governmental. MN _iial Information Female 600" 125 lbs. License Information REGULAR LICENSE CONAX record.This could mean a conviction only, no driver license. ORGAN DONOR 12/23/2004 11/2008 Additional Driver Information For internal use only SDNY_GM_00058482 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021306 EFTA 00169042 EFTA01296264 Page 8 DOB: Gender: Female History: Historical Height: 6'00" Weight: 125 lbs. 6: Minnesota Driver License Name: Address: Data source: Governmental MN Personal Information SSN: DOB: Gender: Female Height: 6'00" Weight: 125 lbs. License Information License Type: DUPLICATE PROVISIONAL LICENSE License Class: Valid for single unit vehicles designed to carry less than 15 passengers with a GVW less than26000 lbs; vehicle combinations with a GVW less than 26000 Ibs; farm trucks; fire trucks and emergency equipment or personal recreational equipment. Attention Flags: ORGAN DONOR Issue Date: 09/15/2003 Expiration Date: 11/2004 Additional Driver Information DOB: Gender: Female History: Historical Height: 600" Weight: 125 lbs. 7: Minnesota Driver License Name: Address: Data source: SSN: DOB: Gender: Height: Weight: License Type: License Class: Driver Information Governmental: MN Personal Information Female 5'11" 125 lbs. License Information PROVISIONAL LICENSE (MINOR) Valid for single unit vehicles designed to carry less than 15 passengers with a GVW less than26000 lbs; vehicle combinations with a GVW less than 26000 Ibs; farm trucks; fire trucks and emergency equipment or personal recreational equipment. Attention Flags: ORGAN DONOR Issue Date: 12/23/2002 Expiration Date: 11/2004 Additional Driver Information For internal use only SDNY_GM_00058483 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021307 EFTA_00I 69043 EFTA01296265 Page 9 DOB: 1111983 Gender: Female History: Historical Height: 5'11" Weight: 125 lbs. 8: Minnesota Driver License Driver Information Name: Address: Data source: Non-Governmental. MN I Information SSN: DOB: License Information License Type: NO CLASS - USED FOR PERMITS License Class: NO CLASS - USED FOR PERMITS Additional Driver Information DOB: Professional Licenses - 0 records found Health Care Providers - 0 records found 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 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 -10 records found 1st Degree: 6, 2nd Degree 4 No. Full Name 1 (Age 64) Address/Phone For internal use only SDNY_GM_00058484 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021308 EFTA_00I 69044 EFTA01296266 Page 10 No. 2. 3. 3.A 3.8. Full Name Address/Phone (Age: 65) (Age: 33) (Age: 32) For internal use only SDNY_GM_00058485 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021309 EF1'A_00169045 EFTA01296267 Page I I No. 4. 5. 6. 6.A 6.8. Full Name Address/Phone (Age: 31) (Age: 97) (Age: 31) (Age: 52) DOB:11/1959 For internal use only 5 SDNY_GM_00058486 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021310 EFTA_OOI 69046 EFTA01296268 Page 12 No. Full Name (Age. 57) Business Associates - 0 records found Person Associates - 2 records found No. Full Name Address 1 2. Neighbors - 10 records foun 301 E 66TH ST APT 8A NEW YORK, NY 10065-6216 Name Address Address/Phone SSN For internal use only Phone DOB Phone SDNY_GM_00058487 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL 0B-SONY-0021311 EFTA_OOI 69047 EFTA01296269 Page 13 Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones -1 records found 1: Personal Information Name: Address: Phone Number: Phone Type: Carrier: Carrier City: Carrier State: Sources - 28 records found All Sources Driver Licenses Email addresses Historical Person Locator Person Locator 1 PhonesPlus Records Utility Locator Voter Registrations Key Carrier Information GAMEST CORPORATION MINNEAPOLIS MN For internal use only 28 Source DocumeM(s) 4 Source Document(s) 1 Source Document(s) 10 Source Document(s) 8 Source Document(s) 1 Source Document(s) 3 Source Document(s) 1 Source Document(s) SDNY_GM_00058488 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021312 EFTA_00169048 EFTA01296270 Page 14 AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. (General Information Indicator. These symbols inform you that additional information is provided. "The most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system suppfies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D& B: Not required LEGAL RESULTS: Court Cases: *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY *** Copyright © 2017 CourtLink Corporation UNITED STATES DISTRICT COURT EASTERN DISTRICT OF PENNSYLVANIA PLAINTIFF: Michelle Hensley; DEFENDANT For internal use only SDNY_GM_00058489 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021313 EFTA_00 I 69049 EFTA01296271 Page 2 DOCKET CASE NUMBER: OTHER DOCKET CASE NUMBER: FILING DATE: JURISDICTION: Diversity JUDGE: Honorable BERLE M. SCHILLER NATURE OF SUIT: 367 Personal Injury: Health Care/P FILING TYPE: Civil CAUSE: JURY DEMAND: Plaintiff PLAINTIFF ATTORNEY(S): For internal use only SDNY_GM_00058490 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SONY-0021314 EFTA_00 169050 EFTA01296272 Page 3 DEFENDANT ATTORNEY(S): THE COURT UPDATED THIS RECORD ON: 06/12/2017 12:00:00 AM For internal use only SDNY_GM_00058491 CONFIDENTIAL - PURSUANT TO FED. R.QC;IINE IDENTIAL DB-SDNY-0021315 EFTA_00169051 EFTA01296273