EFTA Document EFTA01295065

NAME SEARCHED: HBRK Associates, Inc 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 No Hit MI Not Required I. RDC Results No RDC alert (Please sec attached) H Hit PCR No Hit • Not Required II. PCR Results No KR alert (Please see attached) M Hit MS 0 Yes ).! No in. Negative Media No Information found Not Required IV. Non-Negative media No Information found V. Other Language Media Not Required D&B Wilt& Result Found(please see attached) Resting? _1 Yes 0 No El Not Required Smyth= RemIts? 0 Yes 0 No VU. Smartlim Result Found(please see attached) • Not Required Court Cases 0 Review byLegal May be Required e P No Results 0 Search not required VIII. Court Cases No Information found Prepared by: Ungshi Lavania Date:10/02/2013 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 convenioice: 51artindale-Hubbellhttp://www.martindalc.com/sp/Martindale/homeaml 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. For internal use only SDNY_GMWT CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0016594 EFTA_00164340 EFTA01295065 OFAC RESULTS RDC: 11527228 No Match Found 6851801 HBRK Associates, Inc Country:United States PCR: C20 131019066012 HBRK Associates, Inc 6851801 NCA customised Auto-Closed No-Hit 02/10/2013 BIS RESULTS Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required Public Records: 1 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS HBRK ASSOCIATES INC 1365 YORK AVE APT 28 NEW YORK, NY 10021.4035 Name Variations/DBAs # Name Variations 1. HBRK ASSOCIATES INC. Phone Summary -1 records found # Tele hone Number Addresses - 3 records found For internal use only SDNY_GM_00053771 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-00 16595 EFTA_00164341 EFTA01295066 Page 2 # Address Dates County MSA 1. 1365 YORK AVE 28A 8/29/2008 - NEW YORK New York, NY - NEW YORK, NY 10021 5600 8/29/2008 2. 9/4/2008 - NEW YORK New York, NY - 1 5600 10/18/2011 3 8/29/2008 - 8/29/2008 Profile Information - 2 records found 1: HBRK ASSOCIATES INC. Company Name: HBRK ASSOCIATES INC. Date Of Incorporation: 8/29/2008 State Of Incorporation: NY Charter Number: 3714818 Duration: PERPETUAL Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC BUSINESS 2: HBRK ASSOCIATES INC. Company Name: HBRK ASSOCIATES INC. Date Of Incorporation: 8/29/2008 State Of Incorporation: NY Charter Number: 3714818 Duration: PERPETUAL Status Of Incorporation: ACTIVE Corporation Structure: DOMESTIC BUSINESS Executives -1 records found # Name Titles 1. KAHN. RICHARD CONTACT Registered Agents -1 records found # Name 1. RICHARD KAHN Company ID Numbers - 1 records found Company ID Numbers Sec. of State Charter No(s): NY 3714818 Person Associates -1 records found # Name 1. KAHN RICHARD Sources - 6 records found All Sources Business Contacts Business Finder Corporate Filings Address Address For internal use only 6 Source Document(s) 2 Source Document(s) 3 Source Document(s) 1 Source Document(s) SDNY_GM_00053772 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-00 16596 EFTA_00164342 EFTA01295067 Page 3 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® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 2 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2013 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Subject Summary Name Address Phone County/FIPS HBRK ASSOCIATES. INC. 301 E 66TH ST None Listed NEW YORK. NY 10065-6205 Name Variations/DBAs # Name Variations 1 HBRK ASSOCIATES. INC. Phone Summary - 2 records found # Tele hone Number 1. Addresses - 2 records found # Address Dates County MSA 1. 301 E 66TH ST 10/2008 - NEW YORK New York. NY - NEW YORK, NY 10065 5600 4/1/2009 2. 301 E 66TH ST 10F 10/2008 - NEW YORK New York, NY - NEW YORK, NY 10065 5600 10/2008 Company ID Numbers - 1 records found Company ID Numbers FEINs: 30.0503838 Business Associates - 4 records found # Name Address 1. CO U O FOUNDATION INC 301 E 66TH ST APT 10F NEW YORK. NY 10065-6216 2. EPSTEIN INTERESTS 301 E 66TH ST APT 10F NEW YORK, NY 10065-6216 3. NEW YORK STRATEGY GROUP, LLC 301 E 66TH ST APT 10F NEW YORK, NY 10065.6216 4. NINE EAST 71ST STREET CORPORATION 301 E 66TH ST APT 10F NEW YORK, NY 10065-6216 For internal use only SDNY_GM_00053773 CONFIDENTIAL — PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-00 16597 EFTA_00164343 EFTA01295068 Page 4 Sources - 5 records found All Sources Business Finder Experian Business Reports 5 Source Document(s) 4 Source Document(s) 1 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 DPPA Permissible Use is: Debt Recovery/Fraud Your GOA Permissible Use is: Legal Compliance Copyright/ID 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. D&13: Copyright 2013 Dun & Bradstreet, Inc. Federal Employer Identification Numbers April 1, 2009 HBRK ASSOCIATES, INC. 301 E 66TH STREET NEW YORK, NY 10065 UNITED STATES CATIONS TELEPHONE: COMPANY IDENTIFIERS FEIN: 30-0503838 SOURCE REFERENCE NAME: DEPARTMENT OF LABOR EXECUTIVES* * * * * * * * * * TOP CONTACT: Principal Hal Brill MARKET AND INDUSTRY SIC CODES: 99992222 CROSS REFERENCE: . PRIMARY BUSINESS NAME: Hbrk Associate Inc For internal use only CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL SDNY_GM_00053774 DB-SONY-0016598 EFTA_00I 64344 EFTA01295069 Page 2 LOAD-DATE: July 23, 2013 LEGAL 121•:SI LTS: Court Cases: No Information Found For internal use only SDNY_GM_00053775 CONFIDENTIAL - PURSUANT TO FED R.WAI(E IDENTIAL DB-SDNY-0016599 EF1'A_00164345 EFTA01295070