EFTA Document EFTA01370076

2 9/7/2016, 6/2/2017, and 8/17/2017 Active 1791049 7/18/2017 Low WM - PB GA was unable to identify an EDR case raised after the SAR was filed. Additionally. GA was unable to locate evidence this client was considered for off- boarding after multiple SAR filings. This client remains al low risk rating. Darren K Indyke 3 12/29/2016 Active 1822198 11/7/2017 High WM - PCS / Brokerage GA was unable to identify an EDR case raised after the SAR was filed. Steven A Tananbaum 4 3/2/2017 Active 1285836. 1311844 12/3/2014 Moderate WM - PB GA was unable to identify an EDR case raised after the SAR was filed. Additionally. this client remains at a moderate risk rating. Metro Joy Management LLC Metro Joy International LLC 5 3/2/2017, 5/5/2017, and 9/8/2017 Active 1311844 10:32014 Moderate WM - PB GA was unable to identify an EDR case raised after the SAR was filed. Metro Joy International LLC — 8/25/2017 Active GA identified three cases were created on 08/25/27, same day of the SAR filing, where the SAR 9/20/2017 High WM - PB No exception noted. RDW Capital LLC 6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0062673 SDNY_GM_00208857 EFTA01370076