EFTA01399794

NAME SEARCHED: PWM BIS-RESEAR per orme ue 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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Smartlinx Court Cases Results? Yes Not Required Results? be Required Yes Not Required Review by Legal May No Results Search not required Prepared by: Deepanshu sharma Date:01/27/2017 Research Analyst Instructions: I. 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 convenience:Martindale-Hubbellhttp://www.martindale.com/xp/- Martindale/home.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. No VII. Smartlinx VIII. Court Cases EFTA01399794 Result found(Please see attached) No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) Result found(Please see attached) There was no information found V. Other Language Media There was no information found VI. D&B Not required Result found(Please see attached) For internal use only EFTA01399795 OFAC RESULTS RDC: 11547~RR No Math Found GCIS 00000486290 oun ry: TATES PCR: C20170136252788 12380460 NCA customised Auto-Closed No-Hit 27/01/2017 BIS RESULTS Negative Media: The Guardian January 7, 2015 Wednesday 8:25 PM GMT Jeffrey Epstein scandal: women with new identities run firms from Epstein-linked property; Two women questioned about Prince Andrew in 2010, operating businesses from New York property years after appearing to have left Epstein's entourage BYLINE: Jon Swaine in New York SECTION: US NEWS LENGTH: 780 words Two of Jeffrey Epstein's alleged accomplices are running businesses from a Manhattan property linked to the wealthy sex offender under new identities, years after appearing to have left his scandal-plagued entourage. For internal use only EFTA01399796 Page 2 Jeffrey Epstein scandal: women with new identities run firms from Epstein- linked property; Two women questioned about Prince Andrew in 2010, operating businesses from New York property years after appearing to have left Epstein's entourage The Guardian Wednesda 8:25 PM GMT and who were questioned by lawyers about whether Prince Andrew had any involvement in Epstein's abuse of underage girls, have since reinvented themselves as and 29, is now a pi o an e chie execu ive o , a website selling discounted flying lessons and other deals related to aviation. 34, states that she is the owner of a renovations firm. However according to public records, both businesses have operated from addresses in a building on East 66th Street in Manhattan majority-owned by Epstein's brother Mark, a wealthy property magnate. Two condominiums in the building sold last year for $2.5m and company is officially registered with New York authorities at the building. Import records show that company takes deliveries there. Jeffrey Epstein, a friend of Andrew's who was jailed in 2008 for soliciting prostitution from a minor, was accused in 2011 court documents of using the building to house young women. Several rented condominiums in the building have been lived in by Epstein associates, according to public records. Mark Epstein said in a brief telephone interview on Tuesday: "I own the majority of the units in the building, but I've never heard of those companies," referring to the firms run by , who has long claimed that she was Epstein's "sex slave", alleged in a US court filing last week that she was forced to have sexual relations with Andrew. The prince vehemently denies the allegation against him and is under intense pressure to fully account for his friendship with Epstein. were among four named Epstein associates identified by government prosecutors as "potential co-conspirators" who would avoid charges under the EFTA01399797 controversial plea deal Epstein struck in 2007, which saw him serve just over year in jail for his offences. The two women both cited their right under the US constitution to avoid incriminating themselves when they were asked a series of questions by lawyers for alleged victims of Epstein under oath in 2010 - including whether underaged girls were forced to have sex with Andrew. .v as accused by lawyers in legal filings of "bringing girls to Epstein's mansion to be abused". According to police files, a series alleged victims of Epstein told investigators that they were led to a massage room in Epstein's mansion in Palm Beach, Florida, by a woman named One alleged victim claimed to police that she was told had been bought from her parents in eastern Europe by Epstein when she was 15, according to detectives. One alleged that she was made to have sex with and to watch her have sex with Epstein. For internal use only EFTA01399798 Page 3 Jeffrey Epstein scandal: women with new identities run firms from Epstein- linked property; Two women questioned about Prince Andrew in 2010, operating businesses from New York property years after appearing to have left Epstein's entourage The Guardian January 7, 2015 Wednesday 8:25 PM GMT biography on the Aviloop website now states: "Over the years, proven herself to be a distinguished entrepreneur". In addition to carrying out internatl ii design work, is in a relationship with a successful Nascar driver, stating on her website that "most of my fans know that I am girlfriend". The domains for both websites are registered through the same Arizona-based service that allows the identities and contact details of the website owner to be shielded from public view. Attorneys for Epstein did not respond to an email asking whether Epstein had assisted his former associates in any way in securing their new identities, establishing their businesses property. did not respond on Tuesday to telephone calls, voicemails, emails and text messages seeking comment. Attorneys who represented them when they were questioned in 2010 did not respond to queries about whether they still spoke for the women. Mark Epstein said that his brother did not own any of the units in the building. Asked how it came to be that associates of his brother lived in the building, Mark Epstein said: "They're rentals. The ones I own, I rent all of them out." Asked whether he owned the units where associates of his brother lived or registered businesses, Mark Epstein said: "I don't know, and even if I knew, that's not information I'm giving you." "I don't keep track, I've owned them for 20-something-odd years and I don't know," Mark Epstein said, when asked if he owned a unit that according to public records once used. "There's only a few people I know who live there, such as friends," he said. LOAD-DATE: January 7, 2015 LANGUAGE: ENGLISH PUBLICATION-TYPE: Newspaper JOURNAL-CODE: WEBGNS EFTA01399799 Copyright 2015 The Guardian, a division of Transcontinental Media Group Inc. All Rights Reserved For internal use only EFTA01399800 - Research Summary Date: 27/Jan/17 07:51:50 PM Cost code: 6201215544 User: DEEPANSHU SHARMA First name(s): Iiiiiillilly News Negative News News Negative News/Negative News / All English Language News News/All English Language News Sanctions & Warnings Sanctions & Watchlists Sanctions & Watchlists/Sanctions and Actions; Autorite des marches financiers - Commission des sanctions Additional Watchlists Additional Watchlists/Sanction Lists; Watchlists and Blacklists FINRA Actions FINRA Actions/Combined NYSE & NASD Disciplinary Decisions; Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards Source Type/Source No Results Search Parameters Results egative News Results found (not reviewed IIIIIIIIIIIIIIIIIIII ) EFTA01399801 No Results No Results For internal use only EFTA01399802 Page 5 Cases Federal Dockets Cases/All available Cases Sources Federal Dockets/U.S. District Courts, Civil and Criminal Filings (Docket Summary) State Dockets State Dockets/Combined State Civil and Criminal Filings Agency Decisions Agency Decisions/Federal Agency Decisions, Combined ; State Administrative Agency Decisions, Combined Verdicts Verdicts/Jury Verdicts and Settlements, Combined Law Reviews Law Reviews/Law Reviews, CLE, Legal Journals & Periodicals, Combined; Australian Law Journals, Combined; UK Law Journals, Combined; Canadian Law Journals, Combined Complete News Queries Used Negative News*: (abus! or allegati! or ambush! or apprehend! or arraign! or arrest! or assault or asset freez! or bankrupt or blackmail! or breach! or brib! or captiv! or class action or contrab! or convict! or corrupt! or counterf! or court case or drug dealer or deceive* or deception or deprav!! or detain! or detention or disgra! or disquali! or drug abuse* or drug addict! or drug user or embez! or extort*** or extremis! or felon* or fined or fraud! or fugit! or guilt! or illegal or illicit or impris! or incarc! or incrim! or indict! or injunct! or inside! deal! or inside! info! or jail! or kickback or kidnap! or larcen! or larceny or launde! or liquidat! or litigat! or mafi* or manipul! or miscond! or misdem! or murde! or narcot! or nefario! or offen! or parole! or politically exposed or prohibit! or prosecu! or racketee! or rape* or robbe! EFTA01399803 or sanction or scam or scandal! or sexual or smuggl! or steal! or stole* or terrorisl or theft or traffik! or traffick! or unlaw! or verdict or violat!))) Results found (not reviewed IIIIIIIIIIIIIIIIIIIIIIIIIIII No Results No Results EFTA01399804 Page 6 Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 1/27/2017 Report processed by: DEUTSCHE BANK AGI I Full Name NEW YORK COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Subject Summary Nam V ri ti n SSNs Summary No. SSN DOBs Reported DOBs: Sta te Iss. Florida Date Iss. Warnings Most frequent SSN attributed to subject: (Age:31) County NEW YORK Phone None Listed Gender Female For internal use only EFTA01399805 EFTA01399806 Page 2 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 7 records found No. Address 1: 2: 3: 4: 5: 6: 7: 358 EL BRILLO WAY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY 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 EFTA01399807 None Listed NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156,291 For internal use only Dates 3/2004 - 11/2009 Phone Dates Phone 3/2004 - 1/2017 EFTA01399808 Page 3 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 3: 358 EL BRILLO WAY PALM BEACH, FL 33480-4730 Address 358 EL BRILLO WAY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY Census Data for Geographical Region Median Head of Household Age: 68 Median Income: $220,753 Median Home Value: $1,000,000 Median Education: 15 years Household Members None Listed Other Associates None Listed 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 • I ' LOS ANGELES COUNTY Census Data for Geographical Region Median Head of Household Age: 40 Median Income: $32,609 Median Home Value: $1,000,000 Median Education: 13 years Household Members None Listed Other Associates EFTA01399809 Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $90,228 Median Home Value: $270,588 For internal use only Dates Phone Dates Min Dates 3/2004 - 12/2008 Phone Dates 2/2004 - 7/2009 Phone EFTA01399810 Page 4 Median Education: 14 years Household Members None Listed Other Associates Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $39,048 Median Home Value: $250,000 Median Education: 13 years Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 4 records found 1: Florida Driver License Driver Name: Address: 358 EL BRILLO WAY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY Data source: Governmental: FL Personal Information SSN DOB: Gender: Female Height: 5'10" License Information License Type: ORIGINAL License Class: Non-Commercial Regular Operator License Issue Date: 06/29/2009 Expiration Date: 06/2010 Additional Driver Information DOB: Gender: Female Race: WHITE History: Historical Height: 5'10" 2: Florida Driver License Driver Information Name: Address: 358 EL BRILLA WAY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY EFTA01399811 Data source: Governmental: FL Personal Information SSN: For internal use only Dates Phone EFTA01399812 DOB DOB: Gender: Female Height: 5'10" License Information License Type: ORIGINAL License Class: Learner Permit Issue Date: 06/04/2004 Expiration Date: 01/2006 Additional Driver Information DOB: Gender: Female Race: WHITE History: Historical Height: 5'10" 3: Florida Driver License Driver Name: Address: 358 EL BRILLO WAY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY Data source: Governmental: FL Personal Information SSN: DOB: Gender: Female Height: 5'10" License Information License Type: DUPLICATE REPLACEMENT License Class: Non-Commercial Regular Operator License Issue Date: 06/04/2004 Expiration Date: 01/2006 Additional Driver Information DOB: Gender: Female Race: WHITE History: Historical Height: 5'10" 4: Florida Driver License Driver Name: Address: AY PALM BEACH, FL 33480-4730 PALM BEACH COUNTY Data source: Governmental: FL Personal Information SSN: DOB: Gender: Female Height: 5'10" License Information EFTA01399813 License Type: ORIGINAL License Class: Identification Card Issue Date: 01/07/2004 For internal use only EFTA01399814 Page 6 Expiration Date: 01/2006 Addi • 'ver Information DOB: Gender: Fema e Race: WHITE History: Historical Height: 5'10" Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 6 records found 1: Name: Address: Record Ty : Certification Class: 1 Medical Certification Date: 8/2012 Certification Type: P Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV 2: Name: Address: Record Type: HISTORICAL Certification Class: 1 Medical Certification Date: 4/2010 Certification EFTA01399815 Type: P For internal use only C/AMEL F/INSTA Certification G/INST C/INSTA Certification C/AMEL F/INSTA Date Expires: 11/30/2012 Type: G Certification C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification EFTA01399816 Page 7 Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV 3: Name: Address: Record Type: Certification Class: 1 Medical Certification Date: 4/2010 Medical Date Expires: 4/2011 Certification Type: P Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME C/AMEL F/INSTA Date Expires: 11/30/2012 EFTA01399817 Type: G Certification For internal use only C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification C/AMEL F/INSTA Certification G/INST C/INSTA Certification C/AMEL F/INSTA Date Expires: 11/30/2012 Type: G Certification C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification EFTA01399818 Page 8 Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV 4: Name: Address: Record T . Certification Class: 1 Medical Certification Date: 4/2010 Medical Date Expires: 4/2011 Certification Type: P Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV 5: Name: Address: Record Type: HISTORICAL Certification Class: 2 Medical Certification Date: 6/2009 Medical Date Expires: 6/2010 EFTA01399819 For internal use only C/AMEL F/INSTA Certification G/INST C/INSTA Certification C/AMEL F/INSTA Date Expires: 11/30/2012 Type: G Certification C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification C/AMEL F/INSTA Certification G/INST C/INSTA Certification EFTA01399820 Page 9 Certification Type: P Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV 6: Name: Address: Record Type: HISTORICAL Certification Class: 2 Medical Certification Date: 6/2009 Medical Date Expires: 6/2010 Certification Type: P Level: P Ratings: P/ASEL Certification Type: P Level: P Ratings: P/ASEL Type: P Level: P Ratings: P/ASEL Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME C/AMEL EFTA01399821 F/INSTA Date Expires: 11/30/2012 For internal use only C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification C/AMEL F/INSTA Certification G/INST C/INSTA Certification C/AMEL F/INSTA Date Expires: 11/30/2012 Type: G Certification C/INSTA Certification P/AMEL P/INSTA Certification P/INSTA Certification EFTA01399822 Page 10 Certification Type: G Ratings: G/ADV Certification Type: P Level: C Ratings: C/ASEL Type: F Ratings: F/ASME Date Expires: 11/30/2012 Type: G Ratings: G/ADV C/AMEL F/INSTA Certification G/INST 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 - 0 records found Business Associates - 1 records found 1: Name: Status: ACTIVE State: NY Corporation Number: Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 8/8/2011 Person Associates - 4 records found No. Full Name Address 1: VISOSKI, LAWRENCE PAUL VISOSKI, LARRY P DRESOSKI, LAWRENCE P WISOSKI, LARRY P BISOSKI, LAWRENCE P WISOSKI, LAWRENCE P BISOSKI, LARRY P JR VISOSKI, LAWREMCE P EFTA01399823 VISOSKI, LAWRENCE R VISOSKI LAWRENCE, LAWRENCE P VISOKI, LARRY P PAUL VISOSKI, LAWRENCE JR VISOK LAWRENCE P or internal use on SSN Phone DOB C/INSTA Certification Y EFTA01399824 Page 11 No. Full Name 2: COWLES, STORY AUSTIN COWLES STORY, A STORY, COWLES AUSTIN COWLES, STORY Address VISOSKI, EILEEN ROSE VISOSKI, EILEEN E VISOSKI, EILEEN R VISOSKI, EILEEN M VISOSKI, EILLEN R MENDEZ VISOSKI, EILEEN MENDEZ, EILEEN R VISOKI, EILEEN R EILEEN R VISOSKI VISOSKI, TAYLOR JOSEPHINE EFTA01399825 TAYLOR, VISOSKI • EFTA01399826 Page 12 No. Full Name Address Name SENZON. SHARI L HERSHKOWITZ, JEROME BORTZFIELD, ERIK DELPRETE, AMANDA K GLOSTER, DANIEL GLOTSER, ANTON GLOTSER, ELENA WALLACH, MYRA L KESHNER, DIANE L KESHNER, ROBERT D LEE, CARMELA M JACOBS, ASCHER JACOBS, HAZEL G SHAPIRO, MARY L POLLOCK, KEITH J ANDERSON, MINDY S Phone SSN Phone DOB EFTA01399827 Employment Locator - 5 records found 1: Compa Name: SSN: Confidence: Medium 2: Compa • Name: Title: Address: Phone • Confidence: Medium For internal use only EFTA01399828 Page 13 3: Compan Name: Name: Address: NEW YORK, SSN: Phon Confi ence: ig 4: Compan Name: Name: Title: Confidence: Medium 5: Company Name: Name: Title: Confidence: High Criminal Filings - 0 records found Cellular & Alternate Phones - 4 records found 1: Perso ' Name: Addre NEW Y Phone Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS DC Carrier City: MANHATTAN Carrier State: NY 2: Perso Name: Addre Phone Phone ype: o e Carrier Information Carrier: OMNIPOINT COMM NY Carrier City: NEW YORK CITY ZONE 01 Carrier State: NY EFTA01399829 3: Person • Name: Add re NEW Y Phone Phone Type: Mobile Carrier Information For internal use only EFTA01399830 Page 14 Carrier: OMNIPOINT COMM NY Carrier City: NEW YORK CITY ZONE 01 Carrier State: NY 4: Personal Information Name: Addre NEW Y Phone Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS DC Carrier City: QUEENS (NWYRCYZN08) Carrier State: NY Sources - 42 records found All Sources Corporate Affiliations Driver Licenses Email addresses FAA Pilot Certifications FAA Pilot Licenses Historical Person Locator Person Locator 1 PhonesPlus Records Utility Locator 42 Source Document(s) 1 Source Document(s) 4 Source Document(s) 9 Source Document(s) 9 Source Document(s) 6 Source Document(s) 3 Source Document(s) 5 Source Document(s) 4 Source Document(s) 1 Source Document(s) Key High Risk Indicator. These symbols may prompt you to investigate further. 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 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 EFTA01399831 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: For internal use only EFTA01399832 M IN. Maxwell 1:15cv7433 *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY *** Copyright 0 2017 CourtLink Corporation UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK guare - NYC) V. Maxwell PLAINTIFF: DEFENDANT: Ghislain M xw ll Interested Party: Intervenor: Michael Cernovich d/b/a Cernovich Media; Alan M. Dershowitz Respondent: Shall ...III Miscellaneous: Jeffrey Epstein DOCKET CASE NUMBER: 1:15cv7433 OTHER DOCKET CASE NUMBER: 1:17mc00025 FILING DATE: 9/21/2015 JURISDICTION: Diversity JUDGE: Robert W. Sweet NATURE OF SUIT: 320 Assault, Libel & Slander FILING TYPE: Civil CAUSE: Diversity-(Citizenship)28 USC 1332ct JURY DEMAND: Both PLAINTIFF ATTORNEY(S): Sigrid S. McCawley [ATTORNEY TO BE NOTICED] Boies, Schiller & Flexner LLP For internal use only EFTA01399833 . Maxwell 1:15cv7433 Meredith L Schultz [ATTORNEY TO BE NOTICED] Boies, Schiller & Flexner LLP (FL) ey fames Farmer Jaffe Weissin'. Edwards Fistos Lehrman P.L. Jo n Pottinger ATTORNEY TO BE NOTICED J. Stanley Pottinger PLLC Paul G Cassell [ATTORNEY TO BE NOTICED] S.J. Quinney College of Law At The University of Utah DEFENDANT ATTORNEY(S): Jeffrey S. Pagliuca [PRO HAC VICE;ATTORNEY TO] Haddon Morgan and Foreman Laura A. Menninger [ATTORNEY TO BE NOTICED] ADDITIONAL PARTY ATTORNEY(S): FOR THE Interested Party John E. Stephenson, Jr. [LEAD ATTORNEY;ATTORNEY TO] Alstor iBirc S, LLP GA For internal use only EFTA01399834 V. Maxwell 1:15cv7433 Atlanta, GA, USA 30309 FOR THE Interested Party Alexander Seton Lorenzo [LEAD ATTORNEY;ATTORNEY TO] Alston & Bird LLP NYC I' • •espon•ent Jack Alan Goldberger [LEAD ATTORNEY;PRO HAC VIC] FOR THE Respondent Eric Joel Feder [LEAD ATTORNEY;ATTORNEY TO] Davis Wri•ht Tremaine LLP (NYC) FOR THE Respondent Laura R. Handman [LEAD ATTORNEY;ATTORNEY TO] Davis, Wright, Tremaine, LLP(DC) le m n ervenor David A Lebowitz [ATTORNEY TO BE NOTICED] Emery Celli Brinckerhoff & Abadv. LLP FOR THE Intervenor Andrew G. Celli [LEAD ATTORNEY;ATTORNEY TO] Emery Celli Brinckerhoff & Abadv. LLP FOR THE Miscellaneous For internal use only EFTA01399835 ;161 V. Maxwell 1:15cv7433 Erica Tamar Dubno [LEAD ATTORNEY;ATTORNEY TO] Fahringer & Dubno FOR THE Respondent Martin Gary Weinberg [LEAD ATTORNEY;ATTORNEY TO] Martin G. Weinber , PC FOR THE Respondent Rachel S Li Wai Suen (Terminated 8/17/2016) Poe & Burton PLLC FOR THE Respondent Gregory L. Poe [LEAD ATTORNEY] (Terminated 8/17/2016) Poe & Burton PLLC FOR THE Intervenor Jay Marshall Wolman LEAD ATTORNEY;ATTORNEY TO] THE COURT UPDATED THIS RECORD ON: 01/25/2017 12:00:00 AM For internal use only EFTA01399836 - Research Summary Date: 27/Jan/17 07:51:50 PM Cost code: 6201215544 User: DEEPANSHU SHARMA First name(s): Surname: Check/Query Source Type/Source News Negative News News Negative News/Negative News / All English Language News News/All English Language News Sanctions & Warnings Sanctions & Watchlists Sanctions & Watchlists/Sanctions and Actions; Autorite des marches financiers - Commission des sanctions Additional Watchlists Additional Watchlists/Sanction Lists; Watchlists and Blacklists FINRA Actions FINRA Actions/Combined NYSE & NASD Disciplinary Decisions; Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards Lii i ( No Results Search Parameters Results (( and Negative News*))) 5 ( Results found (not reviewed in this session EFTA01399837 No Results No Results For internal use only EFTA01399838 Page 7 Cases Federal Dockets Cases/All available Cases Sources Federal Dockets/U.S. District Courts, Civil and Criminal Filings (Docket Summary) State Dockets State Dockets/Combined State Civil and Criminal Filings Agency Decisions Agency Decisions/Federal Agency Decisions, Combined ; State Administrative Agency Decisions, Combined Verdicts Verdicts/Jury Verdicts and Settlements, Combined Law Reviews Law Reviews/Law Reviews, CLE, Legal Journals & Periodicals, Combined; Australian Law Journals, Combined; UK Law Journals, Combined; Canadian Law Journals, Combined Complete News Q ' Negative News*: (abus! or allegati! or ambush! or apprehend! or arraign! or arrest! or assault or asset freez! or bankrupt or blackmail! or breach! or brib! or captiv! or class action or contrab! or convict! or corrupt! or counterf! or court case or drug dealer or deceive* or deception or deprav!! or detain! or detention or disgra! or disquali! or drug abuse* or drug addict! or drug user or embez! or extort*** or extremis! or felon* or fined or fraud! or fugit! or guilt! or illegal or illicit or impris! or incarc! or incrim! or indict! or injunct! or inside! deal! or inside! info! or jail! or kickback or kidnap! or larcen! or larceny or launde! or liquidat! or litigat! or mafi* or manipul! or miscond! or misdem! or murde! or narcot! or nefario! or offen! or parole! or politically exposed or prohibit! or prosecu! or racketee! or rape* or robbe! EFTA01399839 or sanction or scam or scandal! or sexual or smuggl! or steal! or stole* or terrorisl or theft or traffik! or traffick! or unlaw! or verdict or violat!))) No Results No Results EFTA01399840 Page 8 For internal use only EFTA01399841