EFTA Document EFTA01296310

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: Reviewer Comments (as necessary): RDC 0 No Hit • Not Required I. RDC Results No RDC alert (Please see attached) ■ l lit PCR ... No lift • Not Required II. PCR Results No PCR alert (Please sec attached) M Hit 1315 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 v ./. Da Not required • Yes 0 No Not Required Sinanlizei Results? IS Yes 0 No 0 Not Required V11. Smartlinx Result found (please see attached) Court Casa C1 Review by Legal May VIII. Court Cases Result found (please see attached) be Require' O No Results Ei Search not required Prepared by: Reena Chandwani 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:Manindak-Itubbellhim://nw.martindale.com/sp/Martindak/home.sml 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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SDNY_GM_00058541 DB-SDNY-0021365 EFTA_00169101 EFTA01296310 OFAC RESULTS RDC: 11603813 NO Match Found KYC 1790739 Country:UNITED STATES PCR: C201706380603891 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: Date: 628/2017 Report processed by: DEUTSCHE BANK AGII 6201215544 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. For internal use only Phone None Listed SDNY_GM_00058542 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021366 EFTA_00 I 69 I 02 EFTA01296311 Page 2 ADDITIONAL PERSONAL INFORMATION Subject Summary DOB Gender 11111110 SSNs Summary No. SSN 1 DOBs il sted DOBs: State Iss. Date Iss. Warnings Most frequent S'to subject: Possible E-Mail Addresses ers using Address Summary - 7 records found No. Address 2 3 4 5 6 7 rec ce found Address Details For internal use only LexID sm SDNY_GM_00058543 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021367 EFTA_OOI 69I 03 EFTA01296312 Page 3 Dates Phone 3/2004 - 6/2017 Dates Phone 3/2004 - 11/2009 Dates Phone 2/2004 - 7/2009 Dates Phone 3/2004 - 12/2008 For internal use only SDNY_GM_00058544 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021368 EFTA 00/69/04 EFTA01296313 Page 4 Dates aim Dates Phone Dates Phone Voter Registrations - 0 records found Driver Licenses - 4 records found For internal use only SDNY_GM_00058545 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021369 EFTA_00I69I 05 EFTA01296314 Page 5 For internal use only SDNY_GM_00058546 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021370 EFTA_00I69I06 EFTA01296315 Page 6 Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found For internal use only SDNY_GM_00058547 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021371 EFTA_00I69I07 EFTA01296316 Page 7 For internal use only SDNY_GM_00058548 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021372 EFTA_00I69I08 EFTA01296317 Page 8 4: For internal use only SDNY_GM_00058549 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021373 EFTA_00I69I09 EFTA01296318 Page 9 5: 6: For internal use only SDNY_GM_00058550 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021374 EFTA_00I69I I0 EFTA01296319 Page 10 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 For internal use only SDNY_GM_00058551 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021375 EFTA_00I69III EFTA01296320 Page II For internal use only SDNY_GM_00058552 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021376 EFTA_00I69I l2 EFTA01296321 Page 12 No. Full Name Address $SN Phone DOB Neighbors - 10 records found For internal use only SDNY_GM_00058553 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021377 EFTA_00I69I13 EFTA01296322 Page 13 Employment Locator - 5 records found For internal use only SDNY_GM_00058554 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021378 EFTA_00169114 EFTA01296323 Page 14 Criminal Filings - 0 records found Cellular ft Alternate Phones - 4 records found Sources - 43 records found All Sources Corporate Affiliations Driver Licenses Email addresses FAA Pilot Certifications For internal use only 43 Source Document(s) 1 Source Document(s) 4 Source Document(s) 11 Source Document(s) 9 Source Document(s) SDNY_GM_00058555 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021379 EFTA_00169115 EFTA01296324 Page 15 FAA Pilot Licenses 6 Source Document(s) Historical Person Locator 4 Source Document(s) Person Locator 1 3 Source Document(s) PhonesPlus Records 4 Source Document(s) Utility Locator 1 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. I 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 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 Copyrightt 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D& B: Not required LEGAL RESULTS: Court Cases: •" THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY •" Copyright © 2017 CourtLink Corporation For internal use only SDNY_GM_00058556 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021380 EFTA_OOI 69116 EFTA01296325 Page 2 For internal use only SDNY_GM_00058557 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021381 EFTA_00169117 EFTA01296326 Page 3 For internal use only SDNY_GM_00058558 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021382 EFTA_00I69I IS EFTA01296327 Page 4 For internal use only SDNY_GM_00058559 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021383 EFTA_00169119 EFTA01296328 Page 5 THE COURT UPDATED THIS RECORD ON: 06/22/2017 12 00:00 AM For internal use only SDNY_GM_00058560 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021384 EFTA_00169120 EFTA01296329