EFTA Document EFTA01400729

Norkom 6.1.0 - World Check Details Page 1 of 2 World Check Details Home Page Help Requestor Menu Show Debug Info Details Alert ID: Score: Best matches: A141120234116 100% In WORLDCHECK: 03_name ▪ Richard Kahn Fuzzy Match >- 85% KAHN Richard Name: DOB/DOI: Nationality: Gender: Country of Birth/Branch: Country of Residence: World Check Details Title: First Name: Last Name: Date of Birth: Place of Birth: Age: Age (As of Date): Date of Death: Names no rows found Countries Country USA Companies Link Company PENNMONT SECURITIES World Check Association Link R- ichard KAHN DID: Category: Sub Category: Record Type: SSN: Position: Entered: Updated: 1809519 INDIVIDUAL Male 0- 1/08/2012 U- nited States Richard Kahn 06/12/1972 Alert Date: EFTA01400729 Detection Check: Data Source: 13/11/2014 we names Customer_NCA_web Street/Number: Zip Code/City: PEP Indicator: Customer ID: Alerted Customer ID: Comments: 8000000022906975 null Locations Location - State of Pennsylvania,- USA Passports no rows found Linked To Keke KAHN David MILLER Virginia ATLEE https://aml.cit.gto.intranet.db.com/norkomper_de/screen/view.do?csrftknVISHeJizl... 11/14/2014 EFTA01400730 Norkom 6.1.0 - World Check Details Page 2 of 2 Joann DELPIZZO MILLER William JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Cecilia CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BECCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON Further Information [BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be determined. [REPORTS] Jan 2012 - 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 2012 - to be permanently barred from NYSE Arca membership unless testimony is provided within required time frame. External Sources External Source http://www.nyse.com/pdfs/12-ARCA-3.pdf Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. DB_scr_world_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrftknVISHeJizl... 11/14/2014 EFTA01400731