EFTA Document EFTA01371917

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 6/16/2017 Added to Monitoring: 06/162017 Alert Date: Alert 6/16/2017 Person Name: Richard Kahn Address: Gauntly UNITED STATES Tracking ID: KYC 1791049 Date of Birth: Reporting ID: Alerted Entity # 2 of 2 Risk Priority: Critical Alert ID: 9480093.11602748.61546436 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 61546436 R19372476 RICHARD JEFFREY KAHN Florida. UNITED STATES • 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 pay an administrative fine of $20,000 with the submission of this Stipulation 06/21/2011. US Florida Office of Financial Regulation Final Orders • 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 pay an administrative fine of $20,000 with the submission of this Stipulation 06/21/2011, US Florida Office of Financial Regulation Final Orders Orders. Richard J. Kahn shall and Consent Agreement, Orders. Richard J. Kahn shall and Consent Agreement, Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC URL: https://grid.rdc.conVwss/entity.html?entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: https://real.fiofr.com/DocumentsNiew.aspx?docGuid=5F712B04-5DC0-466E-A0C2- 17F882707D5D&docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, hrips://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspa/searchLegalDocuments Co-mated mitt the terms and cceedstonsolyoer RDC Subsonber Agreement the entormaban contained in ths document is for alert purposes only and es not to be used la purposes of deteernrang an erclreeluafs *Avidly la any aerie or any Atha FCRA permissible purposes User further agrees to hold such malaise and infomvitteco in toted ccedIdence. not to matte use thereof ate' than la authorged purposes to fade a only to employees rogueing such tralarrohon, and not to release a disclose n to any other party The Alert Somata, contained re the elceurrent nay or my not pertain to to a 'May referenced et your hoary. Page 2 at 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065511 CONFIDENTIAL SDNY_GM_002 11695 EFTA01371917