EFTA Document EFTA01299207

Norkom 6.1.0 - World Check Details Page I of 2 I Home Page Help Requestor Menu World Check Details Show Debug Info Details I 1 Alert ID: A141120234116 Alert Date: 13/11/2014 I I Score: 100% Detection Check: we names I i Best matches: In VVORLDCHECK 03 name Data Source: Customer_NCA_web I = Richard Kahn Fuzzy Match I ,.= 86% KAHN Richard i i i Name: Richard Kahn Street/Number: DOBJDOI: Zip Code/City: I Nationality: PEP Indicator: I I Gender: Customer ID: Country of Birth/Branch: Alerted Customer ID: I Country of Residence: United States Comments: null i World Check Details Title: First Name: Last Name: Date of Birth: Place of Birth: Age: Age (As of Date): Date of Death: Richard KAHN UID: Category: Sub Category: Record Type: SSN: Position: Entered: Updated: Names no rows found Countries 1809519 INDIVIDUAL Male 01/08/2012 Locations Country Location Sane' f.rf PereisyNa - USA Companies Passports Link Company (40 PENNMONT SECURITIES World Check Association Link Linked To no rows found co Keke KAHN David MILLER Virginia ATLEE SONY_GM_00084921 haps://aml.cit.gto.intranct.db.c • INI Fri BettTl.A?tfftkn=VISHeJizl... 11/14/2014 CONFIDENTIAL - PURSUANT TO FED. •r I PI 6(e/ DB-SDNY-0027746 EFFA_00175421 EFTA01299207 Norkom 6.1.0 - World Check Details Page 2 of 2 CD CD CD CD co CD io co CD CD Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cealia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REEF Amy BECCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON Further Information [BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be detemened. [REPORTS] Jan 2O12 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is provided within requred time frame. External Sources External Source httplAinvw.nysa.com/pdfs/12-ARCA•3 pdf Copyright 1998.2010 Norkom Tectvabgies Ltd. All rights reserved Dtscs_world_check https://aml.cit.gto.intranet. db.c CONFIDENTIAL - PURSUANT TO FED. SONY_GM_00064922 NtlAt rftkn=V1SHeJizl... 11/14/2014 DB-SDNY-0027747 EFI'A_00 175422 EFTA01299208