EFTA Document EFTA01362066

From: Velmir Vejzovic [[email protected]] Sent: 4/24/2018 11:19:34 AM To: Sanchit Mittal CC: Bradley Gillin Hildegarde Berrios PWMUS AMLKYC Subject: CLEARED: portfolio Alert_ 12091961 III Attachments: grid_alert_DB12000P_13170805_11598095_20180421_035302.pdf Classification: For internal use only Hi Sanchit, AML Compliance has reviewed the RDC alert generated on 4/21/18 for Management, LLC, client of the Private Bank. authorized signor for the Zorro Our Party: DOS 12/9/1961, resides in Stanley, NM per LexisNexis. Karen is a manager at Zorro Management. Alert Subject: resides in Tompkinsville, KY per LexisNexis. Karen served as Member - Council of Monroe, Kentucky. United States. https://monroecounty.ky.gov/Elected-Officials/Pages/County-Magistrates.aspx AM. Compliance clears this alert as a false positive as the age, location and occupation of Our Party does not match that of the Alert Subject. All the best, Velmir Vejzovic Velmir Vejzovic Associate [ AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, r i floor Jacksonville, Florida 32256. USA Tel Email From: Stewart Oldfield Sent: Tuesday, April 24, 2018 10:13 AM To: Sanchit Mittal Cc: PWM US AMLKYC Held arde Berrios Subject: RE: portfolio Alert_ 12091961 [I] PWM BIS-Research Bradley Gillen This Is not the same person. Thanks From: Sanchit Mittal Sent: Monday, April 23, 2018 6:04 PM To: Stewart Oldfield CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051368 CONFIDENTIAL SDNY_GM_00197552 EFTA01362066