EFTA Document EFTA01296303

NAME SEARCHED: Karyna Shuliak 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 minks: Reviewer Comments (as necessary): RDC 0 No Hit • Not Required I. RDC Results No RDC alert (Please see attached) ■ l lit PCR ... No Hit • Not Requited II. PCR Results No PCR alert (Please sec attached) H Hit BLS 0 Yes 0 No III. Negative Media There was no information found IV. Non-Negative Media There was no information found a Not Required V. Other Language Media There was no information found D&B Results? 0 VI. D&B Not required • Yes IN No Not Required VI. Smartlinx Results? 21 Yes 0 No 0 Not Required VII. Smartlinx Result found(Please see attached) Court Cana 0 be Review by Legal May Requited g No Results Search not required VIII. Court Cases There was no information found M Prepared by: Reena Chandwani Date:06/28/2017 Research Analyst Instructions: 1. Review and confirm that all results arc returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Manindak-Buhbelthttp://www.martindak.comhip/Martindaidhome.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. For internal use only S0NY_GM_0005E4534 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021358 EFTA 00169094 EFTA01296303 OFAC RESULTS RDC: 11603810 No Match Found KYC 1790739 Countrv:UNITED STATES Karyna Shuliak PCR: C20170638060392 Karyna Shuliak 6201215544 NCA customised Auto-Closed No-Hit 28/06/2017 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: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 Le nsNeixis a division of Reed Elsevier Inc. AM Rights Reserved. Date: 6/28/2017 Report processed by: DEUTSCHE BANK AGII Full Name SHULIAK, KARYNA Address County Phone For internal use only SDNY_GNI_00058535 CONFIDENTIAL - PURSUANT TO FED. R.QP .NEIDENTIAL DB-SDNY-0021359 EF1'A_00169095 EFTA01296304 Page 2 ADDITIONAL PERSONAL INFORMATION DOB Gender Subject Summary Name Variations 1 SHULIAK, KARYNA SSNs Summary No. SSN 1: aXXX Possible E-Mail Addresses State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 2009-2011 Others Using SSN - 0 records found Address Summary - 6 records found No. Address 1 9 E 71ST ST NEW YORK, NY 10021.4102 NEW YORK COUNTY 2: 3: 4: 5: 6: Address Details 1: 9 E 71ST ST NEW YORK, NY 10021-4102 Address 9 E 71ST ST NEW YORK NY 10021-4102 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 57 Median Income: $201.878 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed For internal use only LexID sm Dates Phone 7/2015 - 3/2017 SDNY_GM_00058536 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021360 EFTA_00 I 69096 EFTA01296305 Page 3 Other Associates EPSTEIN, JEFFREY E 2: Address Dates Phone 4/2013 - 6/2017 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 3: 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 Address Dates Phone 6100 RED HOOK QTRS STE B-3 10/2013 - 4/2017 ST THOMAS. VI 00802-1348 ST. THOMAS COUNTY Household Members None Listed Other Associates EPSTEIN, JEFFREY E 4: Address Dates Phone 4/2013 - 8/2013 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 5: A ress ensue a or rap ical Region Median Head of Household Age: 51 Median Income: $92,045 Median Home Value: $761,538 Median Education: 12 years Household Members None Listed Other Associates None Listed 6: Address For internal use only Dates Phone Dates Phone SDNY_GM_00058537 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021361 EFTA_00I 69097 EFTA01296306 Page 4 Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $56,500 Median Home Value. $370,896 Median Education: 13 years Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: SHULIAK, KARYNA SSN: KXXX Address: 6100 RED HOOK QTRS STE 8-3 ST THOMAS, VI 00802-1348 County: ST. THOMAS Profession or Board: License Type: License Number: Issue Date: Expiration Date: Status: State: Health Care Providers - 1 records found 1: Health Care Providers Name(s): SHULIAK, KARYNA SHULIAK, KARYNA SHULIAK KARYNA Gender: FEMALE DOB(s): Business Addresses: 1.11. HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 358 EL BRILLO WAY PALM BEACH. FL 33480-4730 License Number/State: 21635/ FL 65268 / CA 2230 / VI Medical School/Grad Year: COLUMBIA UNIVERSITY / 2015 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 For internal use only SDNY_GM_00058538 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021362 EFTA_00 169098 EFTA01296307 Page 5 Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives -1 records found 1st Degree 1 No. Full Name 1. SHULYAK, DENNIS • AKA SHULIAK, DZIANIS • AKA SHULIAK, DENNIS • AKA SHULAK. DZIANIS • AKA SHULIAK, DZIANIAS • AKA SHULIAK SSNM XXXX DOB: (Age: Business Associates - 0 records found Person Associates - 1 records found No. Full Name Address 1: EPSTEIN, JEFFREY E 9 E 71ST ST EPSTEIN, JEFFERY E NEW YORK, NY 10021- EPSTEIN. JERRERY 4102 EPSTEIN, J EPTSTEIN, JEFFERY •457 MADISON AVE FL 4TH EPSTIEN, JEFFERY NEW YORK, NY 10022- EDWARDS, JEFFERY 6843 49 ZORRO RANCH RD BH STANLEY, NM 87056-9743 49 ZORRO RANCH RD B STANLEY, NM 87056-9743 Address/Phone SSN Phone DOB (212) 249-1122 1/1953 (212) 288-7171 (212) 368-3758 (212) 750-9895 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802- 1348 Neighbors - 2 records found 9 E 71ST ST NEW YORK, NY 10021-4102 Name Address Phone RIVERA, MIGUELINA CUBERO LAMBERT. JOEL I LUTNICK, ALLISON L LUTNICK, BRANDON G LUTNICK, HOWARD WILLIAM LUTNICK, KYLE S Employment Locator - 0 records found Criminal Filings - 0 records found For internal use only SDNY_GM_00058539 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021363 EFTA_00 169099 EFTA01296308 Page 6 Cellular & Alternate Phones - 0 records found Sources - 31 records found All Sources 31 Source DocumeM(s) Email addresses 5 Source Document(s) Historical Person Locator 3 Source Document(s) Person Locator 1 1 Source Document(s) Phone 12 Source Document(s) Professional Licenses 7 Source DocumeM(s) Providers 1 Source Document(s) Utility Locator 2 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. 1 Moderate Risk Indicator. These symbols may prompt you to investigate further. PiGeneral 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 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: There was no information found For internal use only SDNY_GM_00058540 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021364 EFTA_00169100 EFTA01296309