EFTA Document EFTA01295202

NAME SEARCHED' Erika Ann Kellerhals 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: Click here for results: Reviewer Comments (as necessary): RDC 0 No Hit • Not Required I. RDC Results No RDC alert (Please see attached) ■ lilt PCR ... No lilt • Not Required II. PCR Results No PCR alert (Please see attached) • Hit 1315 El Yes 0 No III. Negative media There was no information found IV. Non-Negative Media There was no information found E Not Required V. Other Language Media There was no information found MB Results? VI. De Not Required • Yes IN No - Not Required Smartlinx Results? 0 Yes 0 No ID Not Required VII. Smartlinx Result Found(please see attached) Court Case El Review by Legal May be Requinal g No Results El Search not required VIII. Court Cases There was no information found Prepared by: Urvashi Lavania Date:02/04/20 IS 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-Huhbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindak-Hubbellhttp://www.martindale.com/sp/Martindakihome.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. For internal use only SONY_GM_00053846 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0016770 EFTA_00164516 EFTA01295202 OFAC RESULTS RDC: 11566589 No Match Found Dboi 9146157 Erika Ann /Cenci-halm Country:Virgin Islands, U.s. Date of Birth 1974 PCR: C20150225373783 Erika Ann Kellerhals 9146157 NCA customised Auto-Closed No-Hit 04/02/2015 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 2015 LexisNexis a division of Reed Elsevier Inc All Rights Reserved. Date: 2/4/2015 Report processed by: DEUTSCHE BANK AGII Full Name KELLERHALS. ERIKA A 10306-3142 RICHMOND COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender Address County Phone RICHMOND For internal use only Lexl D(sm) SDNY_GM_00053947 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0016771 EFTA_00 I 64517 EFTA01295203 Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB XXXX 1974 l ( ge 40) Subject Summary Name Variations 1: KELLERHALES, ERICKA A 2: KELLERHALLS, ERIKA A 3: KELLERHALS, E A 4: KELLERHALS, ERIKA 5: KELLERHALS, ERIKA A Gender SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1 =XXXX New York 1987-1988 DOBs SF ported DOBs: 1974 Possible E-Mail Addresses LexID(sm) 001368644215 Others Using SSN -1 records found # Full Name SSN DOB 1: YOUNG. MICHAEL S IM.XXXX Address Summary - 10 records found No. Address 3: S HIU-IMUNU LOUN I Y ST. THOMAS COUNTY ST THOMAS COUNTY ST THOMAS COUNTY ST THOMAS COUNTY For internal use only SDNY_GM_00053948 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-00 16772 EFTA 00164518 EFTA01295204 Page 3 No. Address 6: 7: 8: 9 10 KINGS COUNTY KINGS COUNTY KINGS COUNTY RICHMOND COUNTY RICHMOND COUNTY Address Details 1: Census Data for Geographical Region Median Head of Household Age: 47 Median Income: 382353 Median Home Value: $584,337 Median Education: 14 years Household Members DAHLING, MELISSA A KELLERHALS, EDWARD KELLERHALS. EDWARD A KELLERHALS. ENER KELLERHALS, KATHERINE M KELLERHALS, KATHLEEN M Other Associates HANRATTY, THOMAS E 2: A/1111 ST THOMAS COUN Household Members KELLERHALS, EDWARD A Other Associates FERGUSON. GREG J 3: Address ST. THOMAS COUNTY Household Members None Listed Other Associates For internal use only Dates 2/1994 - 1/2015 am= Dates Phone 3/20O4 - 3f2014 Dates 12/2003 - 2/2014 Phone SDNY_GM_00053949 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0016773 EFTA_00I 64519 EFTA01295205 Page 4 FERGUSON, GREG J Dates Phone 3/2004 - 4/2009 ST. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates FERGUSON, GREG J 5 Address Dates Phone 7/2003 - 6/2004 S!. THOMAS COUNTY Household Members KELLERHALS, EDWARD A Other Associates None Listed 6: KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members None Listed Other Associates None Listed 7: Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 Median Education: 18 years Household Members KELLERHALS, KATHLEEN M Other Associates None Listed 8: A KINGS COUN fY Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $127,273 Median Home Value: $741,587 For internal use only Dates 11/1997 - 11/1997 Dates 10/1997 - 11/1997 Dates 2/1994 - 10/1997 Phone Phone Phone SDNY_GM_00053950 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-00 16774 EFTA_00 I 64520 EFTA01295206 Page 5 Median Education. 18 years Household Members KELLERHALS, KATHLEEN M Other Associates None Listed 9: Address Dates Phone 2/1994 - 2/1994 RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age: 47 Median Income: 374,028 Median Home Value: $483,978 Median Education: 13 years Household Members None Listed Other Associates None Listed 10: Ad ress RICHMOND COUNTY Census Data for Geographical Region Median Head of Household Age: 42 Median Income: $95,399 Median Home Value: $462,729 Median Education: 13 years Household Members None Listed Other Associates None Listed Voter Registrations -1 records found 1: New York Voter Registration Registrant Information Name: K R IK Residential Address: SSN: 40= Date of Birth: 1974 Gender: Female Voter Information Last Vote Date: 2002 Party Affiliation: DEMOCRAT Active Status: ACTIVE Motor Vehicle Registrations - 2 records found 1: NY MVR Registrant Information Registrant: KELLERHALS, ERIKA A DOB: 1974 Address: For internal use only Dates Phone 2/1994 - 2/1994 SDNY_GM_00053951 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0016775 EFTA 00164521 EFTA01295207 Page 6 Original Registration Date: Registration Date: Registration Expiration Date: 2: NY MVR VIN: Class: Model Year: Make: Model: Series: Body Style: License Plate Type: License Plate Number: Plate State: RICHMOND COUNTY Registration Information 1/30/2002 1/30/2002 1/29/2004 Vehicle Information VVVWPD63B42P171962 PASSENGER CAR/LIGHT TRUCK 2002 Volkswagen Passat PASSAT GLS Sedan 4 Door Plate Information Private AHG1059 NY Vehicle Information VIN: VVVVVPD63B42P171962 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Volkswagen Model: Passat Series: PASSAT GLS Body Style: Sedan 4 Door Owner Information Name: KELLERHALS. ERIKA A DOB: Address: UN Lienholder Information Name: CHASE MANHATTAN BANKUSA NA Address: PO BOX 5210 NEW HYDE PARK, NY 11042-5210 NASSAU COUNTY Title Information Title Transfer Date: 3/6/2002 Title Issue Date: 3/6/2002 Potential Relatives - 10 records found 1st Degree 7. 2nd Degree 3 No. Full Name 1 KELLERHALS. ENER 00B01974 (Age 40) KELLERHALS. EDWARD A • AKA RELLERMALS, EDWARD A • AISAS_ERNALS. EDW SSN XXXX DOBN1944 (Age 70) Address/Phone 102 LINCOLN AVE STATEN ISLAND. NY 10306-2459 667-1921 For internal use only SDNY_GM_00053952 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0016776 EFTA_00 I 64522 EFTA01295208 Page 7 No. Full Name 3. KELLERHALS, KATHLEEN M • MA KELLERHAL, KATHLEEN M • AKA KELLERHALS. KATHLEEN • AKA KELLERHALS, K M • AKA KELLERHALS, KATHEEN • AKA KELLERBALS, KATHLEEN M • MA KELLERHALS, KATHLEEN M SSN )(XXX DOB11949 (Age: 65) 4. KELLERHALS, EDWARD 5 6. KELLERHALS, KATHERINE M 0O8/1949 (Age 65) E DAH ROBERTJ SSN: XXXX DO 971 (Age. ) 6 A DAHLING. ROBERT J SSI1 OB 1940 XXXX D (Age ) IleirlrnccIPhnnn For internal use only SDNY_GM_00053953 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-00 16777 EFTA_00I 64523 EFTA01295209 Page 8 No. Full Name Address/Phone 6 B DAHLING, PATRICIA M • AKA DAHLING, P SSN DOBE1943 (Age 1) 6.C. 7. DAHLING, MICHAEL A • AKA DABLING, MICHAEL A SSNMYJCXX DAHLING, MELISSA A • AKA KELLERHALS, MELISSA A SSNeXXXX DOB 1971 (Age 43) Business Associates - 2 records found 1: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS. ERIKA A Address: Status: State: Corporation Number: Descriptive Status: Title: ACTIVE FL M13000002984 ACTIVE MEMBER MANAGER For internal use only SDNY_GM_00053954 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0016778 EFTA_00 I 64524 EFTA01295210 Page 9 Record Type: CURRENT Record Date: 10/28/2013 2: KELLERHALS FERGUSON FLETCHER KROBUN PLLC Name: KR I FRHAI S FRIKA A Address: Status: State: Corporation Number: Descriptive Status: Title: Record Type: Record Date: Filing Date: INACTIVE FL M13000002984 INACTIVE MEMBER MANAGER CURRENT 10/14/2014 1/6/2014 Person Associates - 3 records found No. Full Name Address 1: FERGUSON. GREG JFERGUSON, GREGORY J 2: HANRATTY, THOMAS E 3: TYRRELL, KRISTIN L For internal use only Phone DOB 1976 1928 SDNY_GM_00053955 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0016779 EFTA_00I 64525 EFTA01295211 Page 10 No. Full Name Address SSN Phone DOB Neighbors - 10 records found 242 BRYANT AVE STATEN ISLAND, NY 10306-3142 Name Address CAHILL, JAMES BRIAN WITCZAK, MACIEJ K DRUMM, ELIZABETH L ASSENZA, CHRISTOPHER M ASSENZA, MICHAEL P CIRIGLIANO, MICHAEL EDWARD CIRIGLIANO, SUZANNE MIRO, FRANK AGUSTIN PACCIONE. PAMELA J KRUSE, ADAM M KRUSE, BRANDON G KRUSE, DONNA V KRUSE, JOHN J KRUSE, VICTORIA M CUSACK, C J CUSACK, MARIE E GILLIUM, MAUREEN A MCMILLAN, ROBERT M SALERNO, DENNIS M Employment - 13 records found 1: 2: Phone Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS A Address: SSN: Confidence: High Company Name: KELLERHALS FERGUSON FLETCHER KROBLIN PLLC Name: KELLERHALS, ERIKA A Title: MEMBER MANAGER SSN: Confidence: Medium For internal use only SDNY_GM_00053956 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-00 16780 EFTA_00164526 EFTA01295212 Page 11 3: 4: 5: 6: 7: 8: 9: 10: Company Name: Name: Address: SSN: Confidence: Company Name: Name: Title: Address: SSN: Phone: Confidence: PATIENT ASSIST VI KELLERHALS. ERIKA A 074-72-XXXX High VISF KELLERHALS, ERIKA A VICE PRESIDENT mm Company Name: KELLERHALS P.0 Name: KELLERHALS, ERIKA A Title: Address: SSN: Phone: Confidence: ium Company Name: THERAPY ASSOCIATION AND DISABILITIES ADVOCATES INC Name: KELLERHALS. ERIKA A Address: SSN: Confidence: Company Name: Name: Address: SSN: Phone: Confidence: Company Name: Name: Title: Address: ERIKA A KELLERHALS P.0 KELLERHALS. ERIKA A XXXX e ium ERIKA A KELLERHALS P.0 KELLERHALS. ERIKA PRESIDENT SSN: Phone: Confidence: e lam Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS, ERIKA A Title: ATTORNEY Address: SSN: XXXX Phone: Confidence: edium Company Name: ROBERTS, MARJORIE RAWLS Name: KELLERHALS, ERIKA A For internal use only SDNY_GM_00053957 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0016781 EFTA_00 I 64527 EFTA01295213 Page 12 Title: ASSOCIATE Address: SSN: emIXXXX Phone: Confidence: High 11: Company Name: THE LALTJ LIMITED PARTNERSHIP Name: KELLERHALS, ERIKA MS Title: CONTACT Address: SSN: XXXX Confidence: ig 12: Company Name: ERIKA A KELLERHALS, P.C. Name: KELLERHALS, ERIKA A Title: MEMBER Phone: Confidence: ig 13: Company Name: MARJORIE RAWLS ROBERTS P.0 Name: KELLERHALS. ERIKA A Address: SSN: Phone: Confidence: Medium Cellular & Alternate Phones -1 records found 1: Personal Information Name: KELLERHALS ERIKA Address: Phone Number: Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: CHARLOTTE AMALIE (SAINT T Carrier State: VI Sources - 41 records found All Sources 41 Source Document(s) Corporate Affiliations 2 Source Document(s) Email addresses 7 Source Document(s) Historical Person Locator 6 Source Document(s) Motor Vehicle Registrations 4 Source Document(s) Person Locator 1 11 Source Document(s) Person Locator 2 4 Source Document(s) Phone 3 Source Document(s) PhonesPlus Records 1 Source Document(s) Utility Locator 2 Source Document(s) Voter Registrations 1 Source Document(s) 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. For internal use only SDNY_GM_00053958 CONFIDENTIAL - PURSUANT TO FED. P.CON(F IDENTIAL DB-SONY-0016782 EFTA (()164528 EFTA01295214 Page 13 Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright@ 2015 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 SDNY_GM_00053959 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0016783 EFTA_00 I 64529 EFTA01295215