EFTA01373011

Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. htlps://www.gooale.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=18q=&esrc=s&sa=lflei=MD6UVIedDsVVPuAT924DoCO&ved=0CBMGFIAA8rusq=AFaCNH6TerGChaK BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, Syed-Anzar Ahmed Process Sivervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Limted Global Business Services VTP.Electronic C . Hosts Road. 560100 Bangalore. India Patcritrwirr Peep:writ Manikandan Muralidharan---12/19/2014 08:23:07 PM--Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard K From: To. Cc: Date: Subsea Manikandan Muralidharan/db/dbcom CAGNY NCA/db/dItcomiaDBAmericas. Syed-Anzar Ahmedfdb/dbcom@DBAPAC. Suresh-x Salimathklbldbcom6DBAMERICAS. Jofin VargheseklbvdbcomeDBAMERICAS. Sager Prakash/db/dbuomODBAMERICAS. Karnes!maven Nsklb/dbcomeDBAPAC. Anantesh Anandidb/dboom©DESAMERICAS 12/19/2014 08:23 PM Fw: EDD package for the RID : ON8-120902 LKYCUS-3443 Party name Southern Financial LLC - RDC alert Review - Very Urgent (I) Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard Kahn, one of the board of director of Parent entity, Southern Trust Company Inc. (See attached file: Additional AAR, checks on Parent entity, hoard of directorNfi CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066979 CONFIDENTIAL SDNY_GM_00213163 EFTA01373011