EFTA Document EFTA01409221

DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Richard Kahn Address: Date of Birth: Country:United States Tracking ID: GCIS 00000483290 Alerted Entity #: 1 of 4 Entity Information Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA, on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision., 04/20/2012, NY Stock Exchange Disciplinary Actions • Event: REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA, on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision., 04/20/2012, NY Stock Exchange Disciplinary Actions • Alert Notes Notes: Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: http://www.nyse.com/regulation/nysearca/1219704561473.html• • http://www.nyse.com/pdfs/12-ARCA-3.pdf Sources: NY Stock Exchange Disciplinary Actions, NY Stock Exchange Disciplinary Actions, http://www.nyse.com/regulation/nyse/1022221394131.html EFTA01409221 Reporting ID: KYC 01651789 Alert ID: 6471205.11593658.64761053 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 1 of 4 EFTA01409222 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Richard Kahn Address: Date of Birth: Country:United States Tracking ID: GCIS 00000483290 Alerted Entity #: 2 of 4 Entity Information Entity ID: 61546436 Riskid: R19372476 Entity Name: RICHARD JEFFREY KAHN Address: Florida, UNITED STATES Recent Event(s): REG - Regulatory Action / FIM Fine - More than $10,000, 06/21/2011 • This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement, 06/21/2011, US Florida Office of Financial Regulation Final Orders Event: REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 • This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement, 06/21/2011, US Florida Office of Financial Regulation Final Orders Alert Notes Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: https://real.flofr.com/DocumentsiView.aspx?- docGuid=5F712604-5DC0-466E-A0C217F882707D5D&docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, https://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspx#/- searchLegalDocuments Reporting ID: KYC 01651789 Alert ID: 6471205.11593658.61546436 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, EFTA01409223 the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 2 of 4 EFTA01409224 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Richard Kahn Address: Date of Birth: Country:United States Tracking ID: GCIS 00000483290 Alerted Entity #: 3 of 4 Entity Information Entity ID: 75766498 Riskid: R112038707 Entity Name: Richard Leroy Kann Alias: RICHARD L KAHN- • RICK KANN Recent Event(s): SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 03/11/2013 SEXUAL EXPLOITATION/CHILD/POSS MATERIAL, 03/11/2013, Colorado Address: GOLDEN, Colorado, 80401, UNITED STATES • Sex Offenders Event: SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 03/11/2013 SEXUAL EXPLOITATION/CHILD/POSS MATERIAL, 03/11/2013, Colorado - Sex Offenders • Date Of Birth: Eye Color: Brown Hair Color: Brown Height: 5'08" Race: White Scars or Marks: Missing Finger joint(s) - left hand Sex: Male Weight: 2201b Image: Reporting ID: KYC 01651789 Alert ID: 6471205.11593658.75766498 Alert Alert Date: 10/12/2016 Alert Notes Notes: Richard Leroy Kann aka RICHARD L KAHN, DOB: , of GOLDEN, Colorado, appears on the list of Colorado - Sex Offenders Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=7acd1ce3aa8ec1f35d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: https://www.colorado.gov/apps/cdps/sor/search/search-detail.jsf?- id=XX12445274 Sources: Colorado - Sex Offenders, Colorado - Sex Offenders, http://- sor.state.co.us/index.cfm?SOR=offender.list EFTA01409225 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 3 of 4 EFTA01409226 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Richard Kahn Address: Date of Birth: Country:United States Tracking ID: GCIS 00000483290 Alerted Entity #: 4 of 4 Entity Information Entity ID: 44883229 Riskid: R1989168 Entity Name: Richard L. Kahn Address: Havana, UNITED STATES Recent Event(s): DTF - Trafficking or Distribution of Drugs / WTD - Wanted, 07/13/2001 wanted on a charge of calculated criminal drug conspiracy, 07/13/2001, Peoria Journal Star • Event: DTF - Trafficking or Distribution of Drugs / WTD - Wanted, 07/13/2001 wanted on a charge of calculated criminal drug conspiracy, 07/13/2001, Peoria Journal Star • Date Of Birth: Alert Notes Notes: Richard L. Kahn, , of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=fed61c75d73e92525d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Sources: Peoria Journal Star, MEDIA Article,United States,Headline:Police, fire and courts, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=prjs000020010719dx7d000pq Reporting ID: KYC 01651789 Alert ID: 6471205.11593658.44883229 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. EFTA01409227 Page 4 of 4 EFTA01409228