EFTA Document EFTA01399842

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 EFTA01399842 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 EFTA01399843 OFAC RESULTS RDC: No Match Found GCIS oun ry: STATES PCR: 1.1. NCA 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 customised Auto-Closed No-Hit Address Count Phone None Listed For internal use only EFTA01399844 Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB Subject Summary Name Variations 1: SSNs Summary No. SSN 1: state iss. Connecticut ses Others Using SSN - 0 records found Address Summary - 3 records found No. Address 2: 3: Address Details 1: Ad Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156,291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 2: Address EFTA01399845 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 31 Median Income: $122,088 Median Home Value: $986,951 Median Education: 16 years For internal use only Dates 4/2015 - 5/2016 Phone Date Iss. Warnings Most frequent SSN attributed to subject: uenaer LexID(sm) as es Phone 1/2012 - 1/2017 EFTA01399846 Page 3 Household Members None Listed Other Associates 3: Address Census Data for Geographical Region Median Head of Household Age: 42 Median Income: $100,442 Median Home Value: $1,000,000 Median Education: 16 years Household Members None Listed Other Associates Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found 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 - 0 records found Business Associates - 0 records found Person Associates - 1 records found No. Full Name Address Neighbors EFTA01399847 ame Address For internal use only Phone Dates 1/2013 - 3/2015 Phone SSN DOB EFTA01399848 Pa 'e Locator Employment 1: Compa Name: Title: Address Phone: Confidence: Medium 2: - 4 records found EFTA01399849 Compan Name: THE NEW SCHOOL Name: Title: Address: SSN: Phone: Confidence: e ium 3: Company Name: Name: Address: For internal use only EFTA01399850 Page 5 SSN: Phone: Confidence: e ium 4: Company Name: Name: Title: Address Phone: Confidenec Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Sources - 7 records found All Sources Email addresses Person Locator 1 Utility Locator 7 Source Document(s) 3 Source Document(s) 1 Source Document(s) 3 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 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 EFTA01399851 For internal use only EFTA01399852