EFTA Document EFTA01357670

Norkom 6.1.0 - World Check Details Page 2 of 2 Joann DELPIZZO MILLER 'A.4Mem JOHNSTON George SNYDER Judith BUSCH Elizabeth ATLEE CARAPICO Coolie CORAZA Elaine ENGLISH James ENGLISH CORAZA George REIFF Amy BECCONE Mary CORAZA Anthony MONTALBANO Arland FRIEND Judith FRIEND Constance ATLEE JOHNSTON Further Information External Sources External Source (BIOGRAPHY1 Limited partner with PennMont Securities. [IDENTIFICATION) To be determined. [REPORTS) Jan 2O12 -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. http ilvev.v; nyse corp/pdtsi12-ARCA-3 prif Copyright 1998.2010 Norkom Technologies Ltd. All rights reserved. Ce_scr_worid_check https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrakn=VISHe.lizl... 11/14/2014 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0044346 CONFIDENTIAL SDNY_GM_00190530 EFTA01357670