EFTA Document EFTA01373329

U S - NewClient Adoption DBOI Global Services PrNate Limited Block 5.6 7. Velankani Tech Park. No.:43, Electronic City, Hon Road. 560100 Bangalore, India Tel. Mobile Email Backup details - Ganesh Balaji Bharath-Kurnar MS For Escalations please contact Level I - Karthik Level 2 - ealah Pasrsinctu Perfrn. Forwarded by Manikarkdan Muralidharatvdbidbcom on 12/19/2014 08:53 PM — From. To' Date Sublet( Syed-Anzar Ahmed/db)dbcom 12/19,2014 08.42 PM Re: Fw. EDD package for the RID : ONB-120902 LKYCUS,3443 Party name : SoLthem Financial LLC ROC alert Review- Very Urgent Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is and wasU http://www.biziournals.conVsouthflorida/search?q=%22Jeffrev+Kahn%228,title=%3Fiframe%3Dtrue&width=95%25&height =95%25+title%3D+title%3D+title%3D+title%3D°./020title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=184=8,esrc=s&sa=USei=MD6UVIedDsWPuAT924 DoCQ&ved=0CBMQFLAA&usq=AFCtiCNH6TerGC ha K BRHqY5DUNOCAX7ziw Alert #3: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067445 CONFIDENTIAL SDNY_GM_00213629 EFTA01373329