EFTA Document EFTA01373361

Ganesh Balaji Bharat -Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balap PacinoV Peeporm. --- Forwarded by Marilandan lAuralidharanildb/dbcom on 12(1912014 08.53 PM — From. To. Cc: Date: Subject: Syed-Anzar Ahmed/db/dbcom 12/19/2014 08:42 PM Re: Fw. EDD package for the RID ONB-120902 LKYCUS-3443 Party name . Southern Financial LLC - ROC alert Review - Very Urgent 9) Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controllin erson of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is and was ■ hffp://www.biziournals.corn/southflorida/search?q=%22Jeffrey+Kahn%228ititle=%3Fiframe%3Dtrue&width=95%258height =95c/025+title%3D+title%3D+title%3D+title%3D%20title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who htt ps://www.g Dog le.co. in/u rl?u rl= https://www. n vse.co m/pdfs/12-ARCA- 3.(x1f&rct=i8frm=13q=&esrc=s&sa=U8iei=MD6UVIedDsVVPuAT924 DoCQ&ved=0CBMQFjAA&usq=AFQ iCNH6TerGC ha K BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067497 CONFIDENTIAL SDNY_GM_00213681 EFTA01373361