EFTA Document EFTA01297328

NAME SEARCHED: Richard Kahn 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 lilt • Not Required I. RDC Results RDC alert (Mail sent separately) CEI nit PCR No Hit • Not Required II. PCR Results No PCR alert (Please see attached) m Nit BLS 0 Yes LE No III. Negative Media There was no information found W. Non-Negative Media There was no information found a Not Required V. Other Language Media There was no information found D&B VI. D&B Not required Results? • Yes • No Not Requ IA ired Stumble( Results? IS Yes 0 No 0 Not Required VII. Smartlinx Result found(Please see attached) Court Caste P71 Review by Legal May VIII. Court Cases Result found(Plcasc sec attached) be Required LI No Results 0 Search not required Prepared by: Reena Chandwani Date:07/21/2017 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.manindale.comisp/Martindak/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. For internal use only S0NCGM_00060362 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023186 EFTA_00 170900 EFTA01297328 OFAC RESULTS RDC: Date of 11605421 Alerted KYC 18O4531 and Kahn Country:UNITED STATES Rich PCR: Richard Kahn 6201215544 NCA customised Closed - No Hit 21/07/2017 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 LedsNircis a division of Reed Elsevier Inc. All Rights Reserved. Date: 7/21/2017 Report processed by: DEUTSCHE BANK AGII Full Name Address County Phone KAHN. RICHARD KEITH For internal use only SDNY_GNI_00060363 CONFIDENTIAL - PURSUANT TO FED R.QQN(F I DENTIAL DB-SDNY-0023187 EFTA_00170901 EFTA01297329 Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 001296363869 Subject Summary Name Variations 1: KAHN, R 2: KAHN, RICH 3: KAHN, RICHARD 4: KAHN, RICHARD K 5: KAHN, RICHARD KEITH SSNs Summary No. SSN 1: DOBs Re orted DOBs: State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 1974-1975 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 14 records found No. Address 1: 2: 3: 4: 5: 6: For internal use only SDNY_GM_00060364 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023188 EFTA_00170902 EFTA01297330 Page 3 7: 8: 10: 11: 12: 13: 14: Address Details 1 Address ensus r a or a -•trap Ica egion Median Head of Household Age: 31 Median Income: $67,144 Median Home Value: $227,290 Median Education: 14 years Household Members None Listed Other Associates HOLLAND, FRANCIS ANTHONY 2: Address For internal use only Dates 8/2009 - 712017 Dates 1/1998.3/2017 Phone Phone SDNY_GM_00060365 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023189 EFTA_00 I 70903 EFTA01297331 Page 4 Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $116.389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN, BETH ANN KAHN, BRITTANY N KAHN, TURNER FRANCIS KAHN. VINCENT RICHARD Other Associates None Listed Census Data for Geographical Region Median Head of Household Age. 36 Median Income: $69,404 Median Home Value: $247,451 Median Education: 12 years Household Members None Listed Other Associates None Listed 4: A Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $116.389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN. BETH ANN Other Associates HOLLAND. FRANCIS JR 5 Census Data for Geographical Region Median Head of Household Age: 31 Median Income: $67,144 Median Home Value: $227.290 Median Education: 14 years Household Members None Listed For internal use only Dates Phone 9/2006 - 3/2013 Dates 2001 - 11/2012 Dates 7/2008 - 7/2008 Phone SDNY_GM_00060366 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023190 EFTA_00170904 EFTA01297332 Page 5 Other Associates None Listed 6: A ress Dates 8/2001 - 6/2008 Median Head of Household Age 33 Median Income: $116,389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN, BETH ANN Other Associates None Listed ensus uata for cieograp ice Region Median Head of Household Age: 37 Median Income: $86,169 Median Home Value: $376,682 Median Education: 14 years Household Members None Listed Other Associates None Listed 8: A Census Data for Geographical Region Median Head of Household Age. 31 Median Income: $65,313 Median Home Value: $289,205 Median Education: 14 years Household Members None Listed Other Associates None Listed Census Data for Geographical Region Median Head of Household Age: 37 Median Income: $133.929 Median Home Value: $528,970 For internal use only Phone Dates 7/1996 - 8/2005 Ora Dates 8/2001 - 4/2004 Phone Dates Phone 11/1990 - 1/2003 SDNY_GM_00060367 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023191 EFTA_00I70905 EFTA01297333 Page 6 Median Education: 15 years Household Members None Listed Other Associates None Listed 10: Address Median Head of Household Age: 44 Median Income: $161,250 Median Home Value: $572,434 Median Education: 15 years Household Members None Listed Other Associates HOLLAND. MARY A 11:7 JEANNE MARIE GDNS Address ensus uatator ueograpnicaircegion Median Head of Household Age. 47 Median Income: $83.833 Median Home Value: $503,378 Median Education: 15 years Household Members None Listed Other Associates None Listed Census Data for Geographical Region Median Head of Household Age: 40 Median Income: $139.773 Median Home Value: $640.457 Median Education: 15 years Household Members None Listed Other Associates None Listed 13 Address Census Data for Geographical Region Median Head of Household Age: 47 For internal use only Dates 7/1993 - 7/1996 Phone Dates Phone 12/1993 - 12/1993 Dates Phone 11/1990 - 11/1993 Ma Dates Phone 11/1992 - 11/1992 SDNY_GM_00060368 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023192 EFTA_00I70906 EFTA01297334 Page 7 Median Income: $83.833 Median Home Value: $503.378 Median Education: 15 years Household Members None Listed Other Associates None Listed 14: Address Household Members None Listed Other Associates None Listed Voter Registrations - 10 records found 1: New York Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: SSN: ■ Date of Birth: Gender: Male Voter Information Registration Date: 12/17/1990 Last Vote Date: 11/1992 Party Affiliation: REPUBLICAN Status: TRANSFER MOVED 2: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/2/2004 Party Affiliation: INDEPENDENT 3: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: For internal use only Dates 10/1990 - 10/1990 SDNY_GM_00060369 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023193 EFTA_00I70907 EFTA01297335 Page 8 Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/4/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 4: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/6/2012 Party Affiliation: INDEPENDENT Active Status: ACTIVE 5: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/6/2012 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Registration Date: Last Vote Date: Party Affiliation: Active Status: 7: Delaware Voter Registration oter mammon 5/29/2002 11/4/2014 INDEPENDENT ACTIVE Registrant Information For internal use only SDNY_GM_00060370 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023194 EFTA_00I70908 EFTA01297336 Page 9 Name: KAHN, RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/4/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 4/28/2005 Last Vote Date: 11/2/2004 Party Affiliation: INDEPENDENT 9: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 8/24/2006 Last Vote Date: 11/2)2004 Party Affiliation: INDEPENDENT 10: New York Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: SSN: Date of Birth: Gender: Voter Information Registration Date: 6/14/1994 Party Affiliation: DEMOCRAT Driver Licenses -1 records found For internal use only SDNY_GM_00060371 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023195 EFTA_00I70909 EFTA01297337 Page 10 1: New York Driver License Driver Information Name: KAHN, RICHARD K Address: Data source: SSN: DOB: Information Additional Driver Information DOB: 09/1972 Professional Licenses - 2 records found 1: Professional License Licensee Information Name: KAHN. RICHARD SSN: Address: County: Gender: License Type: PILOT 2: Professional License Name: SSN: Address: County: License Information Licensee Information KAHN. RICHARD KEITH License Information License Ty PI T - I LANE License Numbe Status: CURRENT Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 5 records found 1: Name: 2: Address: Record Type: Certification Class: Medical Certification Date: Type: Level: Type: Level: Ratings: Name: FAH' Address: Certification Certification For internal use only SDNY_GM_00060372 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023196 EFTA_GOI709I0 EFTA01297338 Page 11 Record Type: • Certification Class: Medical Certification Date: 3: 4: 5: Type: • Level: Type: • Level: , Ratings: ' Name: Address: Record Type: Certification Class: Medical Certification Date: • Type: Level: Type: • Level: • Ratings: Name: Address: Record Type: Certification Class: Medical Certification Date: Type: Level: Type: Level: Ratings: • Name: Address: Record Type: Certification Class: Medical Certification Date: Medical Date Expires: Type: Level: Certification Certification Certification Certification Certification Certification Certification Certification Type: Level: Ratings: Sport Licenses - 0 records found Real Property - 7 records found 1: Assessment Record for NEW CASTLE County, DE Owner Information For internal use only SDNY_GM_00060373 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023197 EFTA_GOI709I I EFTA01297339 Page 12 Name: KAHN RICHARD & BETH Address: County/FIPS: NEW CASTLE Property Information Address: County/FIPS: NEW CASTLE Data Source: B Legal Information Assessor's Parcel Number: Recording Date: Assessed Value: 08/28/2009 Assessment Information $348600 2: Assessment Record for KENT County, DE Owner Information Name: KAHN, RICHARD K Name: LIBORIO III, L P Address: County/FIPS: NEW CASTLE Property Information 90 LIBORIO LN SMYRNA. DE 19977-7711 KENT B Address: County/FIPS: Data Source: Assessor's Parcel Number: Recording Date: Lender Name: n 09/11/2006 Mortgage Information FIRST AMER. REAL ESTATE TX SVCE Assessment Information Assessed Value: $43500 Market Land Value: $4600 Market Improvement $38900 Value: Total Market Value: $43500 3: Deed Record for NEW CASTLE County Buyer Information Name: KAHN. RICHARD Name: KAHN. BETH Address: County/FIPS: NEW CASTLE Seller Information For internal use only SDNY_GM_00060374 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023198 EFTA 00170912 EFTA01297340 Page 13 Name: JONES. JOHN E Name Address County/FIPS. Address: County/FIPS: Data Source: Name: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Sale Price: Loan Amount: Loan Type: Title Company: ICIAMC rICIAlkItl Property Information B Lender Information WEICHERT FINANCIAL SERVICES m liiirformation DEED Sale Information $380000 Mortgage Information $304000 THIS CODE IS USED ONLY FOR BKFS LEGACY NONE AVAILABLE 4: Assessment Record for NEW CASTLE County, DE Owner Information KAHN RICHARD K & BETH A Name: Address: County/FIPS: Address: County/FIPS: Data Source: Assessor's Parcel Number: Recording Date: Sale Price: Assessed Value: Property Information B i nformation 01/24/2002 Sale Information $300465 Assessment Information $133300 5: Assessment Record for ORANGE County, NY Owner Information For internal use only SDNY_GM_00060375 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023199 EFTA_00I 709[3 EFTA01297341 Page 14 Name: KAHN RICHARD K Address: County/FIPS: Data Source: ORANGE B Le al Information Assessor's Parcel Number: Recording Date: 08/08/2001 Book/Page: 5596/96 Sale Information Sale Price: $290000 Assessment Information Assessed Value: $71800 6: Deed Record for NEW CASTLE County Buyer Information KAHN, RICHARD K KAHN. BETH A Name: Name: Address: County/FIPS: Name: Address: County/FIPS: Data Source: Name: Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: Sale Price: Loan Amount: NEW CASTLE Seller Information DOUBLE S FINE HOMES INC NEW CASTLE B Lender Information GILPIN FINANCIAL SERVICES INC Legal Information 01/24/2002 01124/2002 DEED Sale Information $300485 Mortgage Information $275000 7: Deed Record for ORANGE County Buyer Information Name: KAHN RICHARD K For internal use only SDNY_GM_00060376 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023200 EFTA_00170914 EFTA01297342 Page 15 Name: KAHN. BETH A Address: County/FIPS: ROCKLAND Seller Information Name: WHEELER HOMES INC Address: County/FIPS: Data Source: Assessor's Parcel Number: Contract Date: Recording Date: Document Type: Book/Page: Sale Price: Motor Vehicle Registrations 1: DE MVR ORANGE Property Information B m isinformation 07/18/1996 07/25/1996 DEED 4419/270 Sale Information $199495 -10 records found Registrant Information Registrant: KAHN, RICHARD K DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 2: DE MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: Registration Information 9/25/2014 1/18/2017 1/18/2019 Vehicle Information PASSENGER CAR/LIGHT TRUCK 2008 Ford Mustang GT Coupe Plate Information DE 946927 DE Source Information GOVERNMENTAL Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060377 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023201 EFTA_00170915 EFTA01297343 Page 16 Model Year: 2008 Make: Ford Model: Mustang Series: GT Body Style: Coupe Owner Information Name: KAHN. RICHARD K 3: DE MVR Title Transfer Date: DOB: Address: Title Number: gum Title Issue Date: Data Source: 9/30/2014 Source Information GOVERNMENTAL Registrant Information Registrant 1 Registrant: KAHN. RICHARD K DOB: Address: Registrant 2 Registrant: KAHN. VINCENT RICHARD DOB: Address: Original Registration Date: Registration Date: Registration Expiration Date: 4: DE MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Previous Plate Number: Previous Plate State: License Plate Numbed Plate State: Data Source: Registration Information 8/18/2015 8/18/2015 4/14/2019 ion PASSENGER CAR/LIGHT TRUCK 2014 Jeep Cherokee TRAILHAWK 4 Dr Wagon Sport Utility Information DE DE Source Information GOVERNMENTAL Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060378 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023202 EFTA_00I709I6 EFTA01297344 Page 17 Model Year: 2014 Make: Jeep Model: Cherokee Series: TRAILHAWK Body Style: 4 Dr Wagon Sport Utility Owner Information Owner 1 Name: KAHN. RICHARD K 5: DE MVR DOB Address owner 2 Name: KAHN VINCENT RICHARD DOB: Address: Title Number: Title Transfer Date: Title Issue Date: Data Source: e Intormation 8/13/2015 8/13/2015 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD K DOB Address Registration Information Original Registration Date: 4/2/2014 Registration Date: 12/29/2014 Registration Expiration Date: 4/4O019 6: DE MVR VIN Class: Model Year: Make: Model: Series: Body Style: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Data Source: PASSENGER CAR/LIGHT TRUCK 2014 Testa Model Hatchback 4 Door Plate Information 91563 DE 91563 DE Source Information GOVERNMENTAL Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060379 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023203 EFTA_00I 709 I 7 EFTA01297345 Page 18 Model Year: 2014 Make: Testa Model: Model Series: S Body Style: Hatchback 4 Door Owner Information Name: KAHN. RICHARD K 7: DE MVR DOB: Address: Title Number Title Transfer Date: Title Issue Date: Data Source: e mtorma ion 00091563 4/4/2014 4/4/2014 Source Information GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD K DOS: Address: Original Registration Date: Registration Date: Registration Expiration Date: 8: DE MVR VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Number: Plate State: Data Source: Lessee Information Registration Information 5/12/2011 5/12i2011 5/15(2014 Vehicle Information PASSENGER CAR/LIGHT TRUCK 2012 Infiniti M37 X Sedan 4 Door Plate Information 978060 DE Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD K DOB: Address: Registration Information Original Registration Date: 4/2/2008 Registration Date: 4/2/2008 Registration Expiration Date: 3/31/2012 For internal use only SDNY_GM_00060380 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023204 EFTA_00170918 EFTA01297346 Page 19 9: DE MVR VIN: Class: Model Year: Make: Model: Series: Body Style: Plate State: Data Source: PASSENGER CAR/LIGHT TRUCK 2007 Infiniti M45 BASE/SPORT Sedan 4 Door Plate Information DE Source Information GOVERNMENTAL Registrant Information Registrant: KAHN. RICHARD K DOB Address Original Registration Date: Registration Date: Registration Expiration Date: VIN: Class: Model Year: Make: Model: Series: Body Style: Lessee mrormamon Registration Information 10/7/2004 10/7/2004 9/30/2007 Vehicle Information PASSENGER CAR/LIGHT TRUCK 2004 Infiniti G35 BASE MODEL Sedan 4 Door Plate Information Plate State: DE Source Information Data Source: GOVERNMENTAL 10: Non-Governmental Vehicle Record Vehicle Information VIN: Class: UNKNOWN Model Year: 2012 Make: Infiniti Model: M37 Series: X Body Style: Sedan 4 Door Owner Information Name: KAHN, RICHARD DOB: ' 14"n Address: Source Date First Seen: IVIGV IC Source Date Last Seen: 4/7/2014 Source Information For internal use only SDNY_GM_00060381 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023205 EFTA_00 I 709 I 9 EFTA01297347 Page 20 Data Source: Boats - 0 records found Aircraft -1 records found 1: FAA US Aircraft Registrations Tail Number: Status: Date First: Date Last: Last Action Date: Certification Date: Manufacturer: Model/Series: Type: Weight: Number of Seats: Category: Certification: Cruising Speed: Number of Engines: Engine Type: Engine Manufacturer: Engine Model: Engine Horsepower: Engine Fuel Consumption: Bankruptcy Information - 0 Judgments/Liens - 2 record 1: Judgments and Liens Filings Name: SSN: Address: NON-GOVERNMENTAL Active 10/9/2015 5/8/2017 9/242015 9/24/2015 BEECH A23-19 Fixed wing single engine Up to 12.499 4 Land Not Amateur 115 1 Reciprocating LYCOMING 0-320 SERIES 180 000000 records found s found Debtor Information KAHN, RICHARD Name: RCD CREDIT AMERICAN FROZEN Filing Information Amount: $1.709 Filing Date: 7/30/2001 Case Number: 20013039 Filing 1 Type: JUDGMENT Agency State: NY 2: Judgments and Liens Filings Debtor Information Debtor 1 Name: KAHN. RICHARD K SSN: Address: Name: KAHN. BETH A SSN: For internal use only SDNY_GM_00060382 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023206 EFTA 00170920 EFTA01297348 Page 21 Address: Creditor Information Name: HUDSON VALLEY FCU Filing Information Amount: $11,009 Filing Date: 8/19/1999 Case Number: 993536T Filing Status: SATISFIED Filing 1 Date: 8/16/2001 Type: JUDGMENT Agency State: NY UCC Liens - 0 records found Fictitious Businesses - 3 records found 1: Fictitious Businesses Business Information Nam" PAII1FORSt IRF COM Office Addres Jurisdiction: NY Type: DBA Filing Number: 2052000 Filing Date: 02/04/2000 Contact Information Owner 1 Name: RICHARD K KAHN Address: Contact Type: OWNER Owner 2 Name: BETTY LAROE Contact Type: OWNER Owner 3 Name: DONNA CARTELLI Contact Type: OWNER Owner 4 Name: K M NEMCOSKY Contact Type: OWNER Owner 5 Name: LYDIA CORTES Contact Type: OWNER Owner 6 Name: MICHELLE SOMERVILLE Contact Type: OWNER Owner 7 Name: NOAM SCHEINDLIN Contact Type: OWNER 2: Fictitious Businesses Name: Office Address: Mailing Address: Jurisdiction: For internal use only SDNY_GM_00060383 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023207 EFTA_00I 70921 EFTA01297349 Page 22 Phone: Filing Date: Business Description: SIC: Name: Address: None Listed 03/20/1996 BUSINESS SERVICES NEC 738999 Contact Information RICHARD KAHN Contact Type: CONTACT 3: Fictitious Businesses Business Information Name: PAIDFORSURF COM Office Address: Mailing Address: Jurisdiction: NY Filing Number: 2052000 Filing Date: 02/0412000 Contact Information Nam Addres Contact Type. Notice Of Defaults - 0 records found Potential Relatives - 8 records found 1st Degree: 4. 2nd Degree: 4 No. Full Name 1. KAHN, BETH ANN • AKA HOLLAND, BETH A • AM KAHN. ANN • AKA KAHN. B • AKA KAHN. BETHA A 1.A. HOLLAND, FRANCIS ANTHONY • AM HOLLAND, FRANK Address/Phone For internal use only SDNY_GM_00060384 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023208 EFTA_00 170922 EFTA01297350 Page 23 No. Full Name Address!Phone 1.B. HOLLAND, FRANCIS JR A Deceased • AKA HOLLAND, FRANK JR • AM HOLLAND, FRANK • AM HOLLAND, FRANCIS J JR • AKA HOLLAND, FRANCIS JR • AKA HOLLAND. W 1.C. HOLLAND, MARY ANN A • AM HOLLAND, MARYANN A • AKA HOLLAND, MARY A • AM HOLLAND, MARY A • AM HOLLAND, MARY ANN • AKA HORAN, MARY ANN • AM HOLLAND, MARY ANN • AM HOLLAND, MARY-ANN • AKA HOLLAND, MARYAN • AM HOLLAND, MARIE • AKA HOLLAND, MARY-ANN 1.D. HOLLAND, ASHA S For internal use only SDNY_GM_00060385 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023209 EFTA_001 70923 EFTA01297351 Page 24 No. Full Name Address/Phone 2. KAHN. BRITTANY N 3. KAHN. VINCENT RICHARD 4 KAHN. TURNER FRANCIS Business Associates - records found 1: EZANG.COM LLC Name: KAHN, RICHARD K Status: PERMANENTLY REVOKED State: NV Corporation Number: LLC7518-1999 Descriptive Status: PERMANENTLY REVOKED Title: MANAGING MEMBER Record Type: CURRENT Record Date: 6/21/2017 Filing Date: 7/1/2006 Person Associates - 5 records found No. Full Name Address 1: HOLLAND, FRANCIS JR HOLLAND, FRANK JR HOLLAND, FRANK HOLLAND, FRANCIS J JR HOLLAND. W 2: HOLLAND, MARY ANN A HOLLAND, MARYANN A HOLLAND, MARY A HOLLAND, MARY ANN HOLLAN. MARY ANN HOLLAND, MARY-ANN HOLLAND, MARYAN HOLLAND, MARIE SSN For internal use only Phone DOB SDNY_GM_00060386 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023210 EFTA_00 I 70924 EFTA01297352 Page 25 No. Full Name 3: HOLLAND, FRANCIS ANTHONY HOLLAND, FRANK 4: HOLLAND, THOMAS A HOLLAND, THOMAS J HOLLAND, TOM 5: ZITOFSKY, DANIEL M ZITOFSKY, DANIEL MATTHEW ZITOFSKY. DAN ZITOSKY, DANIEL ZITOFSKY, DANNY ZITOFSKY, ROBERT M ZITFSKY, DANIEL M Address SSN Phone DOB For internal use only SDNY_GM_00060387 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023211 EFTA_00 170925 EFTA01297353 Page 26 No. Full Name Address Neighbors - 9 records found 222 CARTER DR STE 201 MIDDLETOWN. DE 19709-5857 Name Address LORD, AISHA LEIGH COVELL, BILL J CATALFAMO, AMANDA CATALFAMO, DOMINIC KEHAGIAS-ATHANASSOPU, IOANNIS CUMISKEY, ANDREW M OLIPHANT, ANNE G PERRY. RACHEL L CAMP, SHARON A CASE, MARK EDWARD SCRENCI. GIUSEPPE A Employment Locator - 26 records found 1: 2: 3: Company Name: EZANGA COM , INC. Name: KAHN, RICHARD K Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: SSN: Confidence: Company Name: Name: SSN PAFLLITIVPCIPPICF 9 EZANG.COM LLC KAHN. RICHARD K MANAGING MEMBER Rii t EZANGACOM, INC. KAHN, RICHARD K Title: FOUNDER & CEO For internal use only Phone DOB SDNY_GM_00060388 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023212 EFTA 00170926 EFTA01297354 Page 27 4: 5: 6: 7: 8: 9: Address: SSN: Phone: Confidence: Nign Company Name: EZANGA COM. INC. Name: KAHN, RICHARD K Title: CO-FOUNDER 8. CEO Address: SSN: Phone: Confidence: ig Company Name: EZANGA COM, INC. Name: KAHN. RICHARD K Title: CEO Address: SSN: Phone: Confidence: ig Company Name: KAHNPOUND HOLDINGS LLC Name: KAHN, RICHARD K Title: AGENT Address: SSN: Confidence: tgn Company Name: EZANGACOM , INC. Name: KAHN, R Address: SSN: Phone: Confidence: Company Name: EZANGA COM , INC. Name: KAHN. RICHARD K Title: CHIEF EXECUTIVE OFFICER Address: SSN: ■ Phone: Confidence: High Company Name: EZANGA. COM. INC. Name: KAHN. RICHARD K Title: CEO SSN: For internal use only SDNY_GM_00060389 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023213 EFTA 00170927 EFTA01297355 Page 28 10: 11: 12: 13: 14: 15: Phone: Confidence: High Company Name: EZANGA Name: KAHN. RICHARD K Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: Company Name: Name: Address: SSN: CHIEF EXECUTIVE OFFICER eclium EZANGA KAHN. RICHARD K Medium SKY'S THE LIMIT KAHN, RICHARD THE LITTLE PILLOW. INC. KAHN, RICHARD DOMAIN TECHNICAL CONTACT WIZARD DESIGNS KAHN, RICHARD DOMAIN TECHNICAL CONTACT Medium FIRST STREET KAHN. RICHARD For internal use only O-OWNE SDNY_GM_00060390 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023214 EFTA 00170928 EFTA01297356 Page 29 Confidence: Medium 16: Company Name: NEW GLOBAL MARKETING, INC. Name: KAHN, RICHARD Title: Address: SSN: Phone: Confidence: Medium 17: Company Name: CHILDRENS EMPORIUM Name: KAHN, RICHARD Title: DOMAIN TECHNICAL CONTACT Address: SSN: Phone: Confidence: Medium 18: Company Name: COMMUNITY COMMUNICATIONS Name: KAHN, RICHARD 19: 20: 21: 22: Title: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: methum HUDSON VALLEY MULTIMEDIA KAHN. RICHARD DOMAIN TECHNICAL CONTACT Company Name: PAIDFORSURF COM Name: KAHN. RICHARD K Address: SSN: Confidence: -Itgh Company Name: PAIDFORSURF COM Name: KAHN. RICHARD K Address: SSN: Confidence: Company Name: PAIDFORSURF COM For internal use only SDNY_GM_00060391 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023215 EFTA_00I 70929 EFTA01297357 Page 30 Name: KAHN, RICHARD K Address: SSN: Confidence: High 23: Company Name: NYNEX MOBILE COM Name: KAHN, RICHARD KEITH 24: 25: 26: SSN: Confidence: Company Name: EZANGA Name: KAHN. RICHARD K Address SSN ■ Phone Confidence: High Company Name: EZANGA Name: KAHN. RICHARD K Title: CHIEF EXECUTIVE OFFICER AND CO-OWNE Address: SSN: Phone: Confidence: Company Name: EZANGA Name: KAHN. RICHARD K Address: SSN: Phone: Confidence: Criminal Filings - 0 records found Cellular & Alternate Phones - 4 records found 1: Personal Information Name: KAHN. RICHARD 2: Address: Phone Number: Phone Type: Carrier Information Carrier: XO DELAWARE. INC. Carrier City: MIDDLETOWN Carrier State: DE Personal Information Name: KAHN, RICHARD Address: For internal use only SDNY_GM_00060392 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023216 EFTA_00I 70930 EFTA01297358 Page 31 3: 4: Phone Number: Phone Type: Carrier: Carrier City: Carrier State: Residential Carrier Information VERIZON DELAWARE INC MIDDLETOWN DE Personal Information Name: KAHN, RICH Address Phone Number: Phone Type: Carrier: Carrier City: Carrier State: Mobile Carrier Information VERIZON WIRELESS-DE WILMINGTON DE Personal Information Name: KAHN. RICHARD Address: Phone Number: Phone Type: Mobile Carrier Information Carrier: VERIZON WIRELESS-DE Carrier City: WILMINGTON Carrier State: DE Sources - 129 records found All Sources 129 Source Document(s) Corporate Affiliations 1 Source Document(s) Deed Transfers 11 Source Document(s) Driver Licenses 1 Source Document(s) Email addresses 13 Source Document(s) FAA Aircraft Registrations 1 Source Document(s) FAA Pilot Certifications 2 Source Document(s) FAA Pilot Licenses 5 Source Document(s) Fictitious Business Names Records 3 Source Document(s) Historical Person Locator 22 Source Document(s) Liens and Judgments 2 Source Document(s) Motor Vehicle Registrations 10 Source Document(s) Person Locator 1 5 Source Document(s) Person Locator 2 8 Source Document(s) Phone 7 Source Document(s) PhonesPlus Records 4 Source Document(s) Professional Licenses 4 Source Document(s) Tax Assessor Records 20 Source Document(s) Voter Registrations 10 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. lGeneral Information Indicator. These symbols inform you that additional information is provided. VThe most recent telephone listing as reported by the EDA source. For internal use only SDNY_GM_00060393 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023217 EFTA_00I7093 EFTA01297359 Page 32 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: * * THIS DATA IS FOR INFORMATION PURPOSES ONLY * * PARTY: Atlee, Virginia Beccone, Amy Busch, Judith Carapico. Elizabeth Atlee Coraza, Cecilia Coraza, James English Coraza, Mary English, Elaine Friend, Arland Friend, Judith Johnston, Constance Atlee Johnston, William Kahn, Keke Kahn, Richard Miller, David Miller, Joann Delpizzo Montalbano, Anthony PennMont Securities LLP Reiff, George Snyder, George INCIDENT INFORMATION For internal use only SDNY_GM_00060394 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023218 EFTA_00 I 70932 EFTA01297360 Page 2 SANCTN CASE NUMBER: 12-ARCA-3 JURISDICTION: NYSE Arca, Inc. SOURCE: NYSE Arca, Inc. Administrative Document(s) DATE: 4/20/2012 Atlee, Virginia Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Beccone, Amy Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Busch, Judith Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment For internal use only SDNY_GM_00060395 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023219 EFTA_00 170933 EFTA01297361 Page 3 SANCTN Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Carapico, Elizabeth Atlee Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Coraza, Cecilia Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Coraza, Mary Limited Partner FIRM: PennMont Securities LLP For internal use only SDNY_GM_00060396 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023220 EFTA_OOI 70934 EFTA01297362 Page 4 SANCTN Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Miller, Joann Delpizzo Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION English, Elaine Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Coraza, James English Limited Partner For internal use only SDNY_GM_00060397 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023221 EFTA_00 170935 EFTA01297363 Page 5 SANCTN FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Friend, Arland Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Friend, Judith Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION For internal use only CONFIDENTIAL -PURSUANT TO FED. R.CON(F IDENTIAL SDNY_GM_00060398 DB-SDNY-0023222 EFTA_OOI 70936 EFTA01297364 Page 6 SANCTN Johnston, Constance Atlee Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Johnston, William Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Kahn, Keke Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. For internal use only SDNY_GM_00060399 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023223 EFTA_00 170937 EFTA01297365 Page 7 SANCTN ADDITIONAL PARTY INFORMATION Kahn, Richard Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Miller, David Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Montalbano, Anthony Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. For internal use only SDNY_GM_00060400 CONFIDENTIAL - PURSUANT TO FED. R.CON(FIDENTIAL DB-SONY-0023224 EFTA_00I 70938 EFTA01297366 Page 8 SANCTN ADDITIONAL PARTY INFORMATION Reiff, George Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION Snyder, George Limited Partner FIRM: PennMont Securities LLP Action: Permanent Debarment Disposition: Per a Hearing Board Decision issued by NYSE Arca dated 04/20/12, the BCC determined that the following sanctions are reasonable and appropriate in light of the findings: each of the remaining 19 Respondents will be permanently barred from NYSE Arca membership unless they provide OTR testimony no later than 120 calendar days from the date of issuance of the Decision, such testimony may be conducted telephonically and must be scheduled and provided in accordance with certain guidelines. ADDITIONAL PARTY INFORMATION PennMont Securities LLP Equity Trading Permit/Market Making Holder FIRM: PennMont Securities LLP Other Party Info: Additional Vocation: Options Trading Permit Holder PennMont Securities LLP was listed in the source document(s), but no sanction information was provided. HARDCOPY ORDER NUMBER: ARCA1208-80000027 For internal use only SDNY_GM_00060401 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023225 EFTA_OOI 70939 EFTA01297367 Page 1 *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY "" Copyright © 2017 CourtLink Corporation UNITED STATES DISTRICT COURT MIDDLE DISTRICT OF FLORIDA (Tampa) United States of America v. Ippolito et al DEFENDANT: Emilio L. Ippolito (Terminated 6/9/1998) Appeals court case numbers: 96-2696, 98-2797 Susan Mokdad (Terminated 6/23/1998) Appeals court case number: 98-2797 John J. Gentz (Terminated 6/24/1998) Larry M. Myers (Terminated 5/18/2012) Appeals court case number: 12-12716-C 11th Circuit Phillip Marsh (Terminated 12/13/2002) Douglas J. Carpa (Terminated 6/9/1998) Appeals court case numbers: 03-14251-F, 04-11503-F, 98-2140, 98-2797, 988-2797, transcriptalreadyonfile Richard Allen Brown (Terminated 4/6/1998) Appeals court case number: 96-3333 Charles P. Dunnigan (Terminated 6/10/1998) Appeals court case numbers: 03-14251-F, 96-3332, 98, 98-2797 Jack W. Warren (Terminated 6/19/1998) Appeals court case numbers: 03-14251-F, 03-15199-F, 12-15709-C 11th Circuit, 12-16093-C 1, 12-16575-C 11th Circuit, 98-2619, 98-2797, waitingonCJAapproval Jack M. Franz (Terminated 1/15/1999) Laurent J. Moore (Terminated 6/19/1998) Appeals court case number: 98-2797 ADDITIONAL PARTY: Cynthia Kirkby, [SURETY ] Surety for John J. Gentz. Sandra Sayre, [SURETY ] Surety and Third Party Custodian for Jack Martin Franz. Donald Sayre, [SURETY ] Surety for Jack Martin Franz Richard Kahn, [INTERESTED PARTY (Trial Witness) Barbara Jean Warren, [INTERESTED PARTY ] For internal use only SDNY_GM_00060402 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023226 EFTA_00I70940 EFTA01297368 Page 2 United States of America v. Ippolito et al 8:96cr64 Wilma L. Ippolito, [INTERESTED PARTY ] Matthew Finch, (INTERESTED PARTY AKA: Toby Brown; Marty Franz DOCKET NUMBER: 8:96cr64 FILING DATE: 3/15/1996 JUDGE: Assigned to Steven D Merryday; Referred to Thomas B. McCoun III, Magistrate Judge FILING TYPE: Criminal STATUS: Case Closed PLAINTIFF ATTORNEY(S): Ernest F. Peluso [LEAD ATTORNEY;ATTORNEY TO] (Terminated 8/22/2011) Hillsborough County Sheriffs Office 2008 E 8th Ave PO Box 3371 Tampa, FL 33605 813-247-8928 Fax: 813-247-O941 Latour Rey Lafferty [ATTORNEY TO BE NOTICED] (Terminated 9/8/1998) Holland & Knight, LLP - Tampa 100 N Tampa St - Ste 41OO PO Box 1288 Tampa, FL 33601-1288 813/227-6361 Fax: 813/229-O134 Robert Monk [LEAD ATTORNEY;ATTORNEY TO] (Terminated 2/4/2014) U.S. Attorney's Office Middle District of Florida 4OO N. Tampa St., Suite 3200 Tampa, FL 33602 813/274-6000 Fax: 813/274-6103 Stacie B. Harris [LEAD ATTORNEY;ATTORNEY TO] US Attorney's Office - FLM Suite 3200 4OO N Tampa St Tampa, FL 33602-4798 813/274-6OOO Fax: 813/274-6178 ADDITIONAL PARTY ATTORNEY(S): FOR MATTHEW FINCH John Edwin Swisher [LEAD ATTORNEY;ATTORNEY TO] (Terminated 5/22/1996) Public Defenders Office - 6th Circuit 1425O - 49th St N Clearwater, FL 33762 727/823-6344 Fax: 727/327-9330 Designation: CJA Appointment For internal use only SDNY_GM_00060403 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023227 EFTA_00170941 EFTA01297369 Page 3 United States of America v. Ippolito et al 8:96cr64 Barbara Jean Warren [PRO SE] 1502 E. Trapnell Rd. Plant City, FL 33566-4932 Richard Allen Brown [PRO SE] 17152 N. Phlox Dr. SE Ft. Myers, FL 33812 Wilma L. Ippolito [PRO SE) 2318 W. Ivy St. Tampa, FL 33607-1624 813/935-5059 Cynthia Kirkby [PRO SE) 908 S. Rome Ave., #3 Tampa, FL 33606 Adrian Richard Castro [LEAD ATTORNEY;ATTORNEY TO] (Terminated 7/17/2007) Adrian Richard Castro, PA Suite 210 505 E Jackson St Tampa, FL 33602 813/229-9195 Fax 813-229-9136 Designation: CJA Appointment Anne F. Borghetti [LEAD ATTORNEY;ATTORNEY TO] Anne F. Borghetti, PA 12211 49th St N Ste 1 Clearwater, FL 33762-4300 727/502-0300 Fax: 727/502-0303 Designation: CJA Appointment Bjorn Erik Brunvand [LEAD ATTORNEY;ATTORNEY TO] (Terminated 4/6/1998) Bjorn E. Brunvand, PA 615 Turner St Clearwater, FL 33756 727/446-7505 Fax: 727/446-8147 Designation: CJA Appointment Brent D. Armstrong [LEAD ATTORNEY;ATTORNEY TO] (Terminated 12/13/2002) Brent D. Armstrong, PA 1003 Beverly Ave. Largo, FL 33770 For internal use only SDNY_GM_00060404 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023228 EFTA_00I 70942 EFTA01297370 Page 4 United States of America v. Ippolito et al 8:96cr64 727-742-5371 Designation: CJA Appointment Brian L. Weakland, Attorney at Law [LEAD ATTORNEY;ATTORNEY TO] (Terminated 6/24/1998) Brian L. Weakland, Suite 201 3420 Pump Rd Henrico, VA 23233-1111 813/935-1180 Fax: 813/935-1181 Designation: CJA Appointment Jeffrey Geldert Brown [LEAD ATTORNEY;ATTORNEY TO] (Terminated 9/5/1996) Brown & Doherty, PA Suite 120 450 Carillon Pkwy St Petersburg, FL 33716 727-299-0099 Fax: 727-299-0044 Designation: CJA Appointment Timothy James Fitzgerald [LEAD ATTORNEY ATTORNEY TO] (Terminated 7/18/1996) Farmer & Fitzgerald, PA Suite 501 102 W Whiting St Tampa, FL 33602 813/228-0095 Fax: 813-224-0269 Designation: CJA Appointment Donald E. Horrox [LEAD ATTORNEY;ATTORNEY TO] (Terminated 3/7/1997) Federal Public Defender's Office Middle District of Florida 400 N. Tampa St., Suite 2700 Tampa, FL 33602 813/228-2715 Designation: CJA Appointment Frederick Wiley Vollrath, Attorney at Law [LEAD ATTORNEY;ATTORNEY TO] Frederick W. Vollrath, Suite 2 307 S Fielding Ave Tampa, FL 33606 813/335-4379 Fax: 813/286-8161 Designation: CJA Appointment Ronald Frank Smith [LEAD ATTORNEY;ATTORNEY TO] (Terminated 6/23/1998) Law Firm of Ron Smith, PA 8293 - 86th Ave N Largo, FL 33777-7602 727/919-4832 Designation: CJA Appointment Daniel F. Daly [LEAD ATTORNEY;ATTORNEY TO] Law Office of Daniel F. Daly Suite 204 20 W University Ave Gainesville, FL 32601 352/505-0445 Designation: CJA Appointment For internal use only SDNY_GM_00060405 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023229 EFTA_00I 70943 EFTA01297371 Page 5 United States of America v. Ippolito et al 8:96cr64 Daniel Mario Hemandez [LEAD ATTORNEY;ATTORNEY TO] Law Office of Daniel M. Hernandez 902 N Armenia Ave Tampa, FL 33609 813/875-9694 Fax: 813-876-4155 Designation: CJA Appointment David T. Weisbrod [LEAD ATTORNEY;ATTORNEY TO] (Terminated 8/19/1996) Law Office of David T. Weisbrod Suite 1111 412E Madison St Tampa, FL 33602 813/223-2792 Fax: 813/223-3124 Designation: CJA Appointment Franklyn Louderback [LEAD ATTORNEY:ATTORNEY TO] Law Office of Franklyn Louderback Suite 120 45O Carillon Parkway St Petersburg, FL 33716 727/896-2147 Fax: 727/556-0447 Designation: CJA Appointment Paul Grant [LEAD ATTORNEY:ATTORNEY TO] (Terminated 6/11/2002) Law Office of Paul Grant 19039 Plaza Dr., Suite 260 Parker, CO 8O134 303/841-9649 Designation: Retained Rosanne Loretta Brady [LEAD ATTORNEY;ATTORNEY TO] (Terminated 1/15/1999) Law Office of Roseanne L. Brady PO Box 173203 Tampa, FL 33672 813/832-3921 Fax 813/839-5028 Designation: CJA Appointment Stephen M Crawford [LEAD ATTORNEY;ATTORNEY TO] (Terminated 2/9/2004) Law Office of Stephen M. Crawford 600 S Magnolia Ave Ste 275 Tampa, FL 33606-2702 813-251-2273 Fax: 813-254-1922 Designation: CJA Appointment Thomas H. Ostrander (LEAD ATTORNEY;ATTORNEY TO] Law Office of Thomas Harold Ostrander 514 27th St W Bradenton, FL 342O5 941/526-9551 Fax: 941/746-8200 Designation: CJA Appointment Thomas J. Hanlon [LEAD ATTORNEY;ATTORNEY TO] (Terminated 10/11/1996) Law Office of Thomas J. Hanlon 210 N. Pierce St. For internal use only SDNY_GM_00060406 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023230 EFTA_OOI 70944 EFTA01297372 Page 6 United States of America v. Ippolito et al 8:96cr64 Tampa, FL 33602 813/228-7095 Designation: CJA Appointment Tiffany Shantel Craig [LEAD ATTORNEY;ATTORNEY TO] Law Office of Tiffany S. Craig, PA 2208 E 3rd Ave Tampa, FL 33605 813/247-146O Fax: 813/247-2859 Designation: CJA Appointment Jack W. Warren [PRO SE] MARION #13477-O77 U.S. PENITENTIARY Inmate Mail/Parcels P.O. BOX 1000 MARION, IL 62959 Robert Henry Dillinger [LEAD ATTORNEY;ATTORNEY TO] (Terminated 10/3/1996) Robert H. Dillinger, P.A. 7842 Country Club Rd. N. St. Petersburg, FL 33702-3918 Designation: CJA Appointment •"' COUNT INFORMATION *** MATTHEW FINCH: Pending: 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2. 135 months as to Counts 4,7,8,9,10 and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,1O and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as For internal use only SDNY_GM_00060407 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023231 EFTA_00I70945 EFTA01297373 Page 7 United States of America v. Ippolito et al 8:96cr64 to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING C0MMUNICATI0NS(4); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,1O and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING C0MMUNICATI0NS(7-10); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,1O and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING C0MMUNICATI0NS(11); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,10 and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING 0FFICER/JUR0R/WITNESS(12-13); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,10 and 11, 120 For internal use only SDNY_GM_00060408 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023232 EFTA_OOI 70946 EFTA01297374 Page 8 United States of America v. Ippolito et al 8:96cr64 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUR0R/WITNESS(14); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,1O and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUR0R/WITNESS(15-16); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,1O and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are to remain in full force and effect.Offense Description/Level: Opening/Felony 18:922K.F SELL DEFACED FIREARMS(18); Imprisonment - 60 months as to Counts 1 and 18, 72 months as to Count 2, 135 months as to Counts 4,7,8,9,10 and 11, 120 months as to Counts 12,13,14,15 and 16, each to run concurrent to the others for a total of 135 months with credit for time served ; Supervised Release - 36 months as to all counts, to run concurrent to each other; Fine and Supervision costs - waived; Special Assessment - $ 650.00 as to all counts. AMENDED JUDGMENT: Special Assessment - $ 700.00 as to all counts. All oth er provisions of the original judgment are For internal use only SDNY_GM_00060409 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023233 EFTA_OOI 70947 EFTA01297375 Page 9 United States of America v. Ippolito et al 8:96cr64 to remain in full force and effect.Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,10 and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-1O and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,10 and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(4); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,1O and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(7-10); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,1O and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(11); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,1O and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent For internal use only SDNY_GM_00060410 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023234 EFTA_OOI 70948 EFTA01297376 Page 10 United States of America v. Ippolito et al 8:96cr64 with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JURORNVITNESS(12-13); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,10 and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts.Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUROR/WITNESS(14); Imprisonment - 60 months as to Count 1, 72 months as to Count 2, 121 months as to Counts 4,7,8,9,10 and 11 and 120 months as to Counts 12, 13 and 14, all to run concurrent with each other, for a total of 121 months with credit for time served; Supery ised Release - 36 months as to Counts 1,2,4, 7-10 and 11-14, all to run concurrent with each other; Fine - waived; Special Assessment - $ 550.00 as to all counts. Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); Imprisonment - Time Served; Supervised Release - 36 months, including confinement in a Community Correction Facility for 6 months; Fine - waived; Special Assessment - $ 50.00.Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); IMPRISONMENT-- 60 months; SUPERVISED RELEASE-- 24 months; SPECIAL ASSESSMENT-- $ 50.00Offense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); IMPRISONMENT-- 72 months; SUPERVISED RELEASE-- 24 months; SPECIAL ASSESSMENT-- $ 50.00Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(4); IMPRISONMENT-- 78 months; SUPERVISED RELEASE-- 24 months; SPECIAL ASSESSMENT-- $ 50.00Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUROR/WITNESS(12-13); IMPRISONMENT-- 78 months; SUPERVISED RELEASE-- 24 months; For internal use only SDNY_GM_00060411 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023235 EFTA_OOI 70949 EFTA01297377 Page 11 United States of America v. Ippolito et al 8:96cr64 SPECIAL ASSESSMENT-- $ 100.00Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); imprisonment for a term of 31 months to run concurrently with sentence imposed on counts 2, 12 and 13 and with sentence imposed in the U.S. District Court for the Northern District of California (case no. CR93-005921RW); supervised release for 3 year s to run concurrent; fine is waived; special assessment of $ 4OO.OOOffense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); imprisonment for a term of 72 months to run concurrent with counts 1, 12 and 13; supervised release for 3 years to run concurrent; Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JURORNVITNESS(12-13); imprisonment for a term of 77 months to run concurrent with counts 1 and 2; supervised release for 3 years to run concurrent. Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); Imprisonment - 1 month as to Count 1 to run consecutively to other counts, 72 months as to Count 2 to run concurrently to Counts 12 and 13, 120 months as to Counts 12 and 13 to run concurrently to Count 2 for a total of 121 months to run concurrently with a credit of 15 months for time served; Supervised Release - 36 months as to Counts 1,2,12 and 13; Fine - waived; Special Assessment - $ 200.00 as to all counts. Defendant is barred from serving as a trustee or other fiduciary, except in the instance of normal familial responsibilities to his nuclear family, heirs and descendants related by blood or marriage. AMENDED JUDGMENT: All terms and provisions of the original judgment remain in effect. Offense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); Imprisonment - 1 month as to Count 1 to run consecutively to other counts, 72 months as to Count 2 to run concurrently to Counts 12 and 13, 120 months as to Counts 12 and 13 to run concurrently to Count 2 for a total of 121 months to run concurrently with a credit of 15 months for time served; Supervised Release - 36 months as to Counts 1,2,12 and 13; Fine - waived; Special Assessment - $ 200.00 as to all counts. Defendant is barred from serving as a trustee or other fiduciary, except in the instance of normal familial responsibilities to his nuclear family, heirs and For internal use only SDNY_GM_00060412 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023236 EFTA_00I 70950 EFTA01297378 Page 12 United States of America v. Ippolito et al 8:96cr64 descendants related by blood or marriage. AMENDED JUDGMENT: All terms and provisions of the original judgment remain in effect. Offense Description/Level: Opening/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUROR/WITNESS(12-13); Imprisonment -1 month as to Count 1 to run consecutively to other counts, 72 months as to Count 2 to run concurrently to Counts 12 and 13, 120 months as to Counts 12 and 13 to run concurrently to Count 2 for a total of 121 months to run concurrently with a credit of 15 months for time served; Supervised Release - 36 months as to Counts 1,2,12 and 13; Fine - waived; Special Assessment - $ 200.00 as to all counts. Defendant is barred from serving as a trustee or other fiduciary, except in the instance of normal familial responsibilities to his nuclear family, heirs and descendants related by blood or marriage. AMENDED JUDGMENT: All terms and provisions of the original judgment remain in effect.Offense Description/Level: Opening/Felony 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(1); Imprisonment - 60 months as to Count 1, 72 months as to Count 2 and 78 months as to Counts 7,8,9,10 and 14, all to run concurrent to each other for a total of 78 months with credit for time served; Supervised Release - 36 months as to all Counts, to run concurrent to each other; Fine and costs of imprisonment - waived; Special Assessment - $ 350.00 as to all counts.Offense Description/Level: Opening/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); Imprisonment - 60 months as to Count 1, 72 months as to Count 2 and 78 months as to Counts 7,8,9,10 and 14, all to run concurrent to each other for a total of 78 months with credit for time served; Supervised Release - 36 months as to all Counts, to run concurrent to each other; Fine and costs of imprisonment - waived; Special Assessment - $ 350.00 as to all counts. Offense Description/Level: Opening/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(7-10); Imprisonment - 60 months as to Count 1, 72 months as to Count 2 and 78 months as to Counts 7,8,9,10 and 14, all to run concurrent to each other for a total of 78 months with credit for time served; Supervised Release - 36 months as to all Counts, to run concurrent to each other; Fine and costs of imprisonment - waived; Special Assessment - $ 350.00 as to all counts. Offense Description/Level: Opening/Felony For internal use only SDNY_GM_00060413 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023237 EFTA_00I70951 EFTA01297379 Page 13 United States of America v. Ippolito et al 8:96cr64 Terminated: 18:876.F MAILING THREATENING COMMUNICATIONS(3)Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(5)Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(6)Offense Description/Level: Terminated/Felony 18:1505.F OBSTRUCTION OF PROCEEDING BEFORE DEPARTMENTS/AGENCIES(17)Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(3)Offense Description/Level: Terminated/Felony 18:8765 MAILING THREATENING COMMUNICATIONS(5)Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(6)Offense Description/Level: Terminated/Felony 18:1505.F OBSTRUCTION OF PROCEEDING BEFORE DEPARTMENTS/AGENCIES(17)Offense Description/Level: Terminated/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE OFFICER(2); Dismissed on Government's motion.Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(3); Dismissed on Government's motion.Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(4); Dismissed on Government's motion.Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(5); Dismissed on Government's motion.Offense DescriptioNLevel: Terminated/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUROR/VVITNESS(12-13); Dismissed on Government's motion. Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(5)Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING COMMUNICATIONS(5)Offense Description/Level: Terminated/Felony For internal use only SDNY_GM_00060414 CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0023238 EFTA_00I 70952 EFTA01297380 Page 14 United States of America v. Ippolito et al 8:96cr64 18:371 and 18:372.F CONSPIRE TO IMPEDE OR INJURE 0FFICER(1); Jury verdict of NOT GUILTY.Offense Description/Level: Terminated/Felony 18:372.F CONSPIRE TO IMPEDE OR INJURE 0FFICER(2); Jury verdict of NOT GUILTY. Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING C0MMUNICATI0NS(6); Jury verdict of NOT GUILTY. Offense Description/Level: Terminated/Felony 18:876.F MAILING THREATENING C0MMUNICATI0NS(7-10); Jury verdict of NOT GUILTY. Offense Description/Level: Terminated/Felony 18:1503.F INFLUENCE/INJURING OFFICER/JUR0R/WITNESS(14); Jury verdict of NOT GUILTY. Offense Description/Level: Terminated/Felony THE COURT UPDATED THIS RECORD ON: 05/26/2017 00:00:OOAM For internal use only SDNY_GM_00060415 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023239 EFTA_00I 70953 EFTA01297381