EFTA Document EFTA01297815

NAME SEARCHED: NES, LLC 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): RD(: 0 No Hit 0 Not Required I . RDC Results RDC Alert(please see attached) Cs Ilia FIRCOSOFT 0.14 No Hit 0 Not Required II. FIRCOSOFT Results No FIRCOSOFT Alert(please see attached) D flit BIS Ei Yes tgl No 0 Not Required III. Negative Media No Information Found 1V. Non-Neutive Media No Required V. Other Language Media No Required Dia VI. MB Information Found(please see attached) Resting? cC Yes M No • Not Required Smartlinx VII. Snairtlinx No Information Found Resultai? M Yes Cs No 0 Not Required Court Cases Review by L,.•gal May VIII. Court Cases Information Found(please see attached) be Required 0 No Results II Search not required Prepared by: Mainta choudhary Date: 8/17/2018 Instructions: 1. Review and confirm that all results are 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 cons enience:81artindale-Hubbellhttp://www.martindate.comixp/Martindale/home.xml 3. As needed, provide comment for any negative results. 4. If applicable. please obtain clearance from Compliance for an alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is yourconfirmation that you have fully reviewed the research documents. For internal use only For internal use only CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rcscarch Analyst CONFIDENTIAL SDNY_GM_00061288 DB-SDNY-0024113 EFTA_00171800 EFTA01297815 Page 2 OFAC RESULTS RDC: 11638365 Alerted KYC 1977694 LLC Country:UNITED STATES NES, FI RCOSOFT: Alert(s) Request ID Record ID Type Na me Details ADM INT PEP SAE 24860290 WR_248602902182 Company NES. LLC No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Required Other Language Media: No Required Public Records: No Information Found For internal use only For internal use only SDNY_GM_00061289 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024114 EFTA_00171801 EFTA01297816 Page 2 6 No Documents Found No documents were found for the search terms entered. You can edit your search and try again, or say* it. To edit it, you may want to try one or more of the following: • Check fo• spelling errors. • Remove some search terms. • Check the "find similar-sounding last names' checkbox. Search: SmartIMO Comprehensive Business Report B Terms: bn(13-41461411 radius(13) a D&B: Edit Search Copyright 2018 Dun & B adstreet, Inc dun & bradstreet Worldbase July 7, 2018 NES LLC 13622 GILBRIDE LN (registered address) CLARKSVILLE, MD 210291018 USA COUNTY: HOWARD REGION: NORTH AMERICA ATIONS TELEPHONE: COUNTRY CODE: 0001 For internal use only For internal use only New Sewchi SDNY_GM_00061290 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024115 EFTA 00171802 EFTA01297817 Page 2 Worldbase, 07/07/2018, NES LLC CABLE TELEX: ONNNNANP COMPANY IDENTIFIERS DUNS: 06-607-9259 COMPANY INFORMATION FOUNDED: 2016 EMPLOYEES HERE: 7 - Estimate EMPLOYEES TOTAL: 7 - Estimate COMPANY TYPE: Private EXECUTIVES CEO: NICOLE SHAW, PRINCIPAL DESCRIPTION UNDETERMINED MARKET AND INDUSTRY SIC CODES: 9999 - Nonclassified establishment LOAD-DATE: August 10, 2018 LEGAL. RESULTS: Court Cases: *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY *** Copyright @ 2016 CourtLink Corporation UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS (Springfield) National Evaluation Systems, Inc v. Nes, LLC, For internal use only For internal use only SONY_GM_00061291 CONFIDENTIAL - PURSUANT TO FED. R.Q;;;)FNI(EIDENTIAL DB-SONY-0024116 EFTA_00171803 EFTA01297818 Page 2 National Evaluation Systems, Inc v. Nes, LLC, 3:O5cv30081 PLAINTIFF: National Evaluation Systems, Inc Doing Business as Nes DEFENDANT: Nes, LLC, Doing Business as National Educational Service DOCKET CASE NUMBER: 3:O5cv30O81 FILING DATE: 4/5/2005 JURISDICTION: Federal Question JUDGE: Ponsor, Michael A NATURE OF SUIT: 840 Trademark FILING TYPE: Civil CAUSE: Trademark Infringement28 USC 1338 JURY DEMAND: None STATUS: Case Closed PLAINTIFF ATTORNEY(S): Holland, Donald S [COR LD NTC] Holland & Bonzagni, PC Longmeadow Professional Park 171 Dwight Road, Suite 302 Longmeadow, MA, USA 01106 Fax Email: DEFENDANT ATTORNEY(S): Valicenti, David E [COR LD NTC] Cain Hibbard Myers & Cook, PC 66 West St Pittsfield, MA. USA 01201 Fax: Email: Degiacomo, Diane M [COR LD NTC] Cain, Hibbard, Myers & Cook PC 66 West Street USA 01201 Fax: Email: THE COURT UPDATED THIS RECORD ON: 06/27/2005 12 00 00 AM For internal use only For internal use only SDNY_GM_00061292 CONFIDENTIAL - PURSUANT TO FED. R.Q;;;)N(F IDENTIAL DB-SONY-0024117 EFTA_OOI 7 I 804 EFTA01297819 Page 2 National Evaluation Systems, Inc v. Nes, LLC, 3:O5cv30081 For internal use only For internal use only SDNY_GM_00061293 CONFIDENTIAL - PURSUANT TO FED. R.CDFNIF IDENTIAL DB-SONY-0024118 EFTA_00171805 EFTA01297820 Page 1 For internal use only For internal use only SDNY_GM_00061294 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024119 EFTA_00171806 EFTA01297821