EFTA Document EFTA01298382

NAME SEARCHED: Jean Anne Brennan Wiebracht 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 hem for results: Reviewer Comments (as necessary): RUC El No lilt 0 Not Required Hit I. RDC Results No RDC Alert (Please See Attached) • FIRCOSOFT Cr No Hit U Not Required flit II. FIRCOSOFT Res-Mil No FIRCOSOFT Alert (Please See Attached) ID HIS El Yes ® No 0 Not Required Ill. Negative Media No Information Found IV. Non-Negative Media No Information Found V. Other Language Media Not Required D&B FteAlitir 0 Yes 0 No Not Required VI. DieS Not Required _i SNIARYLINX Remits? VII. Smartlinx No Information Found (Please See Attached) E Yes No 0 Not Required COURT CASES U Required gk Review by Legal May be No Remits Search not mquired VIII. Court Cases No Information Found M Prepared by: Krishna Didhich Date: 08117/2018 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-HubbellhttpaAvwxv.martindale.comhp/Manindaleillome.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 For internal use only CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL S0NY_GM_00062732 DB-SDNY-0025557 EFTA_00173240 EFTA01298382 Page 2 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth/Age 11638375 No Match Found KYC 01977695 a lean Anne Brennan Wiebracht : .J, :r, :VIRGIN ISLANDS, U.S. Elli. Date of 11638379 No Matchfogn0 KYC 01977695 to lean Anne Brennan Wiebracht •.:,-;iintri:UNITED STATES =firth: Date of FIRCOSOFT: Request ID Record ID Type Name Details Alert(s) ADM INT PEP SAE 24867183 WR_248871832182 Individual Jean Anne n a n Wiebracht No Alert No Alert No Alert No Alert 24867190 WR_248671902182 Individual Jean Anne Brennan VViebrach No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required D&B: Not Required For Internal use only For internal use only SONYGM_00062733 CONFIDENTIAL - PURSUANT TO FED R.WNE I DENTIAL DB-SDNY-0025558 EFTA_0017324I EFTA01298383 Public Record: Search: Cfneerwat rnmonstion4 portal Rsoor Search Remelts state;ALI. ) (3Ah c•ere. i bra .eh ) Sande fog DoIrvry C, Ibe‘u Cr SO O v.* Mean (Gen.ar .:00d, :own kl.1%..12-45. te 5 noe, ".1.4.4e: ?twat, :DO@ :W.. • . ail!Mgate.TheAS irsio; Clefitt athiconl:ftethea t.2 Taal We.i1OCIt 081AL riqtftwt.b1 oottrhini simi tausignc. i Satan te Cercerfaiv Sthast 'TT. MI AEU:104 12.'4'15Di M IT Wm. I fawner. ',Ms 8 No Documents Found Mime Sew". CM Sat. Catirod:ord , Curree• :Meg NeOfIC "Me, :ninon U.rona Mae. 1'sI IS no .4101, poorly laECCIir* MWSWei SP4 WI.ol a e.Jtc4 ocada >4114.thrrli -sa(x): ro)m , s1p, t4 No documents were found for the search terms entered. Too can edit your search and try again, or save it. To edit it, you may want to try one or more of the following: • Check for spelling errors. • Remove some search terms. • Check the "find similar-sounding last names" checkbox. Search: Smartt:VAS Comprehensive Person Repert raj Terms: first-name(3ean Anne) last-nerne(Brennan Wiebracht) state(ALL) redius(30) LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only " Edit search New Serchi SDNY_GM_00062734 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E I D ENTIAL DB-SDNY-0025559 EFTA_001 73242 EFTA01298384