EFTA01296293

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: Re vitmer Comments (as necessary: 1: RUC (23 No Hit O Not Required El Hit I. RDC Results No RDC Alert(please see attached) PCR 0 No Hit • Not Required II. PCR ResuIR No PCR Alert(pl ease see attached) O Hit Ins HI. Neg.-aRe `,. lcdia No information Found O Yes 0 No Not Required . N. Non-Nein' i% c \Jolla No Information Found V. Other Language Mcdii No Information Found - ' Not required IttNults? • Yes • No :4 Not Required Stuanlinx RtavIts? 0.75 Yes O No O Not Required VII. Smattlinx Result found(please see attached) Court Cases O Review by Legal May VIII. Court Cases No Information Found be Required 0 No Results O Search not required Prepared by: Date: 06/28/2017 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 have attached the web link below for your convenience:Nlartindale-Hubbellhttp://www.martindak.comisp/M1lartindalethome.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 hive fully reviewed the research documents. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SDNY_GM_00058.511 DB-SDNY-0021335 EFTA_0016907 I EFTA01296293 Page 2 OFAC RESULTS RDC: No Match Found Country:UNITED STATES PCR: C20 I 70638060359 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: Date: 6/2812017 Report processed by: DEUTSCHE BANK AGII 12948095 NCA customised Auto-Closed No-Hit 28/06/2017 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Full Name Address Coun Phone ADDITIONAL PERSONAL INFORMATION SSN DOB Gender Subject Summary Name Variations For internal use only SDNY_GM_00058512 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021336 EFTA_00 I 69072 EFTA01296294 Page 2 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1 1995-1997 DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 2 records found No. Address Census Data for Geographical Region Median Head of Household Age 62 Median Income: $142,803 Median Home Value: $829.082 Median Education: 14 years Household Members Other Associates PALUGAN, MAR IELOU H 2: Address MEW Census Data for Geographical Region Median Head of Household Age: 57 Median Income: $0 Median Home Value: $0 Median Education: 6 years Household Members Other Associates None Listed For internal use only Dates Phone Dates Phone SDNY_GM_00058513 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021337 EFTA_00 169073 EFTA01296295 Page 3 VoteSistrations - 3 records found 1: Voter Registration R i ran Information Name:W m Residential Address: SSN: Date of Birth: Gender: Female Voter Information Registration Date: 9/27/2013 Last Vote Date: 11/8/2016 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Massachusetts Voter Registration Name: Residential Address: SSN: Date of Birth: Occupation: STUDENT Voter Information Reaistrant Information 3: Massachusetts Voter Registration Name: Residential Address: SSN: Date of Birth: Occupation: STUDENT Voter Information Reaistrant Information Driver Licenses - 0 records found 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 For internal use only SDNY_GM_00058514 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021338 EFTA_00 I 69074 EFTA01296296 Page 4 Potential Relatives - 10 records found 1st Degree 5. 2nd Degree 5 No. Full Name 1. 1 A 1.8. 1.0 Address/Phone Mm- Eln For internal use only SDNY_GM_00058515 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021339 EFTA_00 I 69075 EFTA01296297 Page 5 No. 2. 2.A. 2.1. 3 4. 5 Full Name Address/Phone For internal use only SDNY_GM_00058516 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021340 EFTA_00I69076 EFTA01296298 Page 6 No. Address/Phone Business Associates - 0 records found Person Associates -1 records found No. Full Name Address SSN Phone DOB 1 Neighbors - 4 records found Name Address Phone Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones -1 records found 1: I Information Name: Address: For internal use only SDNY_GM_00058517 CONFIDENTIAL - PURSUANT TO FED. R.COFilf IDENTIAL DB-SDNY-0021341 EFTA_00I 69077 EFTA01296299 Page 7 Phone Number: Phone Type: Carrier: Carrier City: Carrier State: Sources - 26 records found All Sources Email addresses Historical Person Locator Person Locator 1 Phone PhonesPlus Records Utility Locator Voter Registrations Key AHigh Risk Indicator. These symbols may prompt you to investigate further. ! Moderate Risk Indicator. These symbols may prompt you to investigate further. INGeneral Information Indicator. These symbols inform you that additional information is provided. /The most recent telephone listing as reported by the EDA source. Mobile Carrier Information NEW CINGULAR WRLS DC NEW YORK CITY ZONE 01 NY 26 Source Document(s) 2 Source Document(s) 1 Source Document(s) 2 Source Document(s) 15 Source Document(s) 1 Source Document(s) 2 Source Document(s) 3 Source Document(s) 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 supplies, 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 0PPA 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: No Information Found For internal use only SDNY_GM_00058518 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021342 EFTA_00 169078 EFTA01296300