EFTA Document EFTA01399747

NAME SEARCHED: 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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Smartlinx Court Cases Results? Yes Not Required Results? be Required Yes Not Required Review by Legal May No Results Search not required Prepared by: Deepanshu sharma Date:01/27/2017 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.martindale.com/xp/- Martindale/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. No VII. Smartlinx There was no information found EFTA01399747 VIII. Court Cases No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) There was no information found There was no information found V. Other Language Media There was no information found VI. D&B Not required Result found(Please see attached) For internal use only EFTA01399748 OFAC RESULTS RDC: No Match Found GCIS Country:UNITED STATES NCA customised Auto-Closed No-Hit 27/01/2017 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 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 1/27/2017 Report processed by: DEUTSCHE BANK AGI I Address nt one None Listed For internal use only EFTA01399749 Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB Subject Summary Nam 1: la • 4: 5: TOCADO 6: 7: SS s ummary No. SSN 1: DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 12 records found No. Address 1: 2: 3: 4: 5: EFTA01399750 7: or internal use only State Iss. Texas Date Iss. Warnings Most frequent SSN attributed to subject: Gender Female LexID(sm) EFTA01399751 Page 3 No. Address PALM BEACH COUNTY 8: 10: 11: • Addr D t it 1: Ad ress PALM BEACH COUNTY Census Data for Geographical Region Median Head of Household Age: 56 Median Income: $43,147 Median Home Value: $154,605 Median Education: 13 years Household Members None Listed Other Associates None Listed 2: Address PALM BEACH COUNTY Census Data for Geographical Region Median Head of Household Age: 56 Median Income: $43,147 Median Home Value: $154,605 Median Education: 13 years Household Members None Listed Other Associates None Listed 3: Ad ress EFTA01399752 Census Data for Geographical Region Median Head of Household Age: 36 For internal use only Dates 7/2003 - 9/2015 Phone Dates 7/2015 - 8/2016 Phone Dates Phone 11/2012 - 1/2017 EFTA01399753 Page 4 Median Income: $61,765 Median Home Value: $194,737 Median Education: 12 years Household Members Other Associates None Listed 4: Address Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $62,684 Median Home Value: $245,703 Median Education: 13 years Household Members None Listed Other Associates None Listed 5: Ad ress Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $83,565 Median Home Value: $332,143 Median Education: 14 years Household Members None Listed Other Associates None Listed 6: Address Census Data for Geographical Region Median Head of Household Age: 31 Median Income: $59,551 Median Home Value: $138,393 Median Education: 12 years Household Members None Listed Other Associates None Listed 7: EFTA01399754 Address Census Data for Geographical Region Median Head of Household Age: 30 For internal use only Dates 9/2007 - 1/2010 Dates 3/2006 - 4/2014 Phone Dates 9/2010 - 9/2014 Phone Dates 4/2014 - 8/2015 Phone EFTA01399755 Page 5 Median Income: $35,462 Median Home Value: $126,442 Median Education: 11 years Household Members None Listed Other Associates None Listed 8: Address Census Data for Geographical Region Median Head of Household Age: 30 Median Income: $57,483 Median Home Value: $118,176 Median Education: 14 years Household Members Other Associates 9: Address Census Data for Geographical Region Median Head of Household Age: 60 Median Income: $37,706 Median Home Value: $105,097 Median Education: 13 years Household Members None Listed Other Associates 10: Address Census Data for Geographical Region Median Head of Household Age: 54 Median Income: $10,008 Median Home Value: $257,000 Median Education: 11 years Household Members EFTA01399756 11: Address PALM BEACH COUNTY For internal use only Dates 10/2005 - 4/2006 Phone Dates 2/2005 - 10/2006 Phone Dates 3/2006 - 2/2007 a es 8/2001 - 4/2009 Phone EFTA01399757 Page 6 Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $53,433 Median Home Value: $219,822 Median Education: 13 years Household Members None Listed Other Associates 12: Address NUECES COUNTY Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $48,522 Median Home Value: $85,025 Median Education: 11 years Household Members Other Associates None Listed Voter Registrations - 6 records found 1: Florida Voter Registration Registrant Information Name: Residentia Home Phone: SSN: Date of Birth: Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information Registration Date: 6/7/2005 Last Vote Date: 11/2/2010 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Florida Voter Registration RegistiiiiiiiiiiiiiiiiIIIIIIII Name: Residential Address: Home Phone: SSN: Date of Birth: EFTA01399758 Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information Registration Date: 6/7/2005 Last Vote Date: 11/4/2008 For internal use only Dates 4/1995 - 8/2001 EFTA01399759 Page 7 Party Affiliation: NONE DECLARED Active Status: ACTIVE Status: VOTED EARLY 3: Florida Voter Registration Regis '•n Name: Residentia Home Phone: SSN: Date of Birth: Age: 65+ Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information Registration Date: 6/7/2005 Last Vote Date: 11/2/2010 Party Affiliation: NONE DECLARED Active Status: ACTIVE 4: Florida Voter Registration Registrant Information Name: Residential Address: Home Phone: SSN: Date o :irt : Age: 65+ Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information Registration Date: 6/7/2005 Last Vote Date: 11/6/2012 Party Affiliation: REPUBLICAN Active Status: ACTIVE 5: Florida Voter Registration Registrant Information Name: Residentia ress: Home • SSN: Date of Birth: Age: 65+ Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information EFTA01399760 Registration Date: 6/7/2005 Last Vote Date: 8/30/2016 Party Affiliation: REPUBLICAN Active Status: ACTIVE For internal use only EFTA01399761 Page 8 6: Florida Voter Registration Regis Name: Residential Address: Home Phone: SSN: Date of Birth: Gender: Female Race: ASIAN PACIFIC ISLAND Voter Information Party Affiliation: REPUBLICAN Active Status: ACTIVE Driver Licenses - 13 records found 1: Florida Driver License Driver Information Name: Address: Data source: Governmental: FL Personal Information SSN: DOB: Gender: Height: License Information License Type: RENEWAL License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 09/16/2009 Expiration Date: 10/2017 Additi nal Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 2: Florida Driver License Driver Information Name: Address: Data source: Governmental: FL Personal Information SSN: DOB: Gender: Female Regular Operator License EFTA01399762 Height: 5'03" License Information License Type: DUPLICATE REPLACEMENT For internal use only EFTA01399763 Page 9 License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 09/16/2009 Expiration Date: 10/2017 Addi i n l Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 3: Florida Driver License Driver. Name: Address: FL Data source: Governmental: Personal Information SSN: DOB: Gender: Female Height: 5'03" License Information License Type: DUPLICATE REPLACEMENT License Class: Non-Commercial - Regular Operator License Attention Flags: ORGAN DONOR Issue Date: 09/16/2009 Expiration Date: 10/2017 Addi • 'ver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 4: Florida Driver License Driver Information Name: Address: Regular Operator License Data source: Governmental: FL Personal Information SSN: DOB: Gender: Female Height: 5'03" License Information License Type: DUPLICATE REPLACEMENT License Class: Non-Commercial - Regular Operator License Attention Flags: ORGAN DONOR EFTA01399764 Issue Date: 09/16/2009 Expiration Date: 10/2017 Additional Driver Information DOB: For internal use only EFTA01399765 Page 10 Gender: Female Race: ASIAN History: Historical Height: 5'03" 5: Florida Driver License Drive Name: Address: FL Data source: Governmental: Personal Information SSN: DOB: Gender: Height: License Female 5'03" Information License Type: DUPLICATE REPLACEMENT License Class: Non-Commercial - Regular Operator License Attention Flags: ORGAN DONOR Issue Date: 09/16/2009 Expiration Date: 10/2017 Additional Driver Information DOB: Gender: Female Race: ASIAN History: Current Height: 5'03" 6: Florida Driver License Driver Information Name: Address: FL Data source: Governmental: Personal Information SSN: DOB: Gender: Height: License License Female 5'03" Information Type: ORIGINAL License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 08/28/2003 Expiration Date: 10/2009 Additional Driver Information DOB: Gender: Female Race: ASIAN Regular Operator License EFTA01399766 History: Historical Height: 5'03" 7: Florida Driver License For internal use only EFTA01399767 Page 11 Driver Information Name: Data source: Governmental: FL Personal ion SSN: DOB: Gender: Female Height: 5'03" License Information License Type: DUPLICATE License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 08/28/2003 Expiration Date: 10/2009 Additional Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 8: Florida Driver License Driver Information Name: Address: FL Data source: Governmental: Personal Information SSN: DOB: Gender: Height: License License Female 5'03" Information Type: DUPLICATE License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 08/28/2003 Expiration Date: 10/2009 Additional Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 9: Florida Driver License Driver Inf rm ti n Name: Regular Operator License Regular Operator License EFTA01399768 Address: or interns use on y EFTA01399769 Page 12 Data source: Governmental: FL Personal Information SSN: DOB: Gender: Female Height: 5'03" License Information License Type: DUPLICATE License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 08/28/2003 Expiration Date: 10/2009 Additional Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 10: Florida Driver License Driver Information Name: Address: FL Data source: Governmental: Personal Information SSN: DOB: Gender: Height: License Female 5'03" Information License Type: DUPLICATE License Class: Non-Commercial Attention Flags: ORGAN DONOR Issue Date: 08/28/2003 Expiration Date: 10/2009 Additional Driver Information DOB: Gender: Female Race: ASIAN History: Historical Height: 5'03" 11: Texas Driver License Driver Information Name: Data source: Governmental: TX Personal Information Regular Operator License Regular Operator License EFTA01399770 SSN: DOB: License Information Issue Date: 03/05/1993 For internal use only EFTA01399771 Page 13 Additional Driver Information DOB: History: Current 12: Texas Driver License Driver Name: ata source: overnmenta : TX Personal Information SSN: DOB: Additional Driver Information DOB: History: Historical 13: Texas Driver License Driver Information Name: Address: Data source: Non-Governmental: TX Personal Information SSN: DOB: Additional Driver Information DOB: Professional Licenses - 5 records found 1: Professional License Licensee Information Name: SSN: Address: County: Date of Birth: Gender: FEMALE License Information License Type: 117998 Issue Date: 06/25/2014 Expiration Date: 01/15/2013 Status: OTHERS 2: Professional License Licensee Information Name: SSN: Address: County: License Information Profession or Board: HEALTH EFTA01399772 License Type: CERTIFIED NURSING ASSISTANT License Number: Issue Date: 06/09/2004 For internal use only EFTA01399773 Page 14 2: Professional License Expiration Date: 01/01/5001 Status: IN THE REGISTRY ACTIVE State: Florida 3: Professional License Lice Name: SSN: Address: County: Phone: License n orma ion Profession or Board: HEALTH License Type: CERTIFIED NURSING ASSISTANT License Number: Issue Date: 06/09/2004 Expiration Date: 12/31/2010 Status: CLEAR ACTIVE State: Florida 4: Professional License Licensee Information Name: SSN: Address: County: License n ormation Profession or Board: HEALTH License Type: CERTIFIED NURSING ASSISTANT License Number: Issue Date: 06/09/2004 Expiration Date: 12/31/2007 Status: CLEAR ACTIVE State: Florida 5: Professional License Licensee Information Name: SSN: Address: County: License Information Profession or Board: HEALTH License Type: CERTIFIED NURSING ASSISTANT License Number: Issue Date: 06/09/2004 Expiration Date: 12/31/2005 Status: CLEAR ACTIVE State: Florida Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found EFTA01399774 Sport Licenses - 0 records found For internal use only EFTA01399775 Page 15 Real Property - 3 records found 1: Assessment Owner Name: Address: County/FIPS: Property Information Address: County/FI Data Source: B Legal Information Assessor's Parcel Number: Record for PALM BEACH County, FL • • Recording Date: Book/Page: Sale Information Sale Price: $130000 Assessment Information Market Improvement Value: Assessed Value: $87120 $105000 Total Market Value: $105000 2: Assessment Record for Owner Information Name: Address: County/FIPS: Property Information Address: =M ) County/FIPS: Data Source: B Legal Information Assessor's Parcel Number: Market Improvement Value: Assessment Information Market Land Value: $11300 $80600 Total Market Value. 3: Deed Record for Buyer Information Name: Name: Address: For internal use only EFTA01399776 Page 16 County/FIPS: Seller Information Name: KB HOME LONE STAR LP Property Address: County/F : • Data Source: B Lender Information Name: KAUFMAN AND BROAD MTG Legal Information Contract Date: 08/06/2001 Recording Date: 08/10/2001 Document Type: VENDOR'S LIEN Book/Page: Mortgage Information Loan Amount: $93126 Loan Type: FHA Motor Vehicle Registrations - 2 records found 1: FL MVR Registrant I • Registrant: DOB: Address: Lessee Information Registration Information Original Registration Date: 9/9/2015 Registration Date: 9/9/2015 Registration Ex iration Date: 10/11/2017 Decal Number: Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Honda Model: Civic Series: LX Body Style: Sedan 4 Door Color: Beige Weight: 2542 Plate Information License Plate Type: Pr Previous Plate Number:. Previous Plate State: License Plate Number: Plate State: III Source Information Data Source: GOVERNMENTAL 2: EFTA01399777 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only EFTA01399778 Page 17 Model Year: 2004 Make: Honda Model: Civic Series: LX Body Style: Sedan 4 Door Color: Beige Weight: 2542 Owner Information Name: DOB: Address: Lienholder Information Name: FIRST CHOICE CREDIT UNION Address: Title Information Title Number: Title Transfer Date: 9/11/2007 Title Issue Date: 9/11/2007 Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 5 records found 1st Degree: 4, 2nd Degree: 1 No. 1. Full Name SSN: DOB: (Age: 79) Address/Phone EFTA01399779 1.A. DOB: For internal use only EFTA01399780 Page 18 No. Full Name (Age: 48) Address/Phone 2. SSN: DOB: 3. SSN: DOB: (Age: 66) EFTA01399781 4. (Age: 103) Business Associates - 0 records found Person Associates - 12 records found No. Full Name Address SSN Phone DOB For internal use only EFTA01399782 Page 19 No. Full Name alliM EFTA01399783 use on use on SSN Phone DOB EFTA01399784 Page 20 No. Full Name Address 6:: EFTA01399785 SSN Phone DOB EFTA01399786 Page 21 No. Full Name 8 EFTA01399787 For internal use onl SSN Phone DOB EFTA01399788 Page 22 No. Full Name 11: 12: Neighbors - 5 records found Name Address EFTA01399789 Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 3 records found 1: Personal Information Name: Address: Phone Number: Phone Type: Mobi e For internal use only SSN Phone DOB ■ Phone EFTA01399790 Page 23 Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: WEST PALM BEACH Carrier State: FL 2: Personal Information Name: Address: Phone Number: Phone Type: Moia! Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: WEST PALM BEACH Carrier State: FL 3: Personal Information Name: Address: Phone Number: Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: WEST PALM BEACH Carrier State: FL Sources - 84 records found All Sources Deed Transfers Driver Licenses Email addresses Historical Person Locator Motor Vehicle Registrations Person Locator 1 Person Locator 2 Phone PhonesPlus Records Professional Licenses Tax Assessor Records Utility Locator Voter Registrations 84 Source Document(s) 3 Source Document(s) 13 Source Document(s) 4 Source Document(s) 12 Source Document(s) 12 Source Document(s) 10 Source Document(s) 1 Source Document(s) 4 Source Document(s) EFTA01399791 3 Source Document(s) 5 Source Document(s) 4 Source Document(s) 7 Source Document(s) 6 Source Document(s) Key High Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by the EDA source. 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 For internal use only EFTA01399792 Page 24 Copyright© 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not required LEGAL RESULTS: Court Cases: There was no information found For internal use only EFTA01399793