EFTA Document EFTA01373950

To: Cc: Date Subject: 12/19201408:42 PM Re: Fw. EDD package for the RID: ONB-120902 LKYCUS-3443 Party name Southern Financial LLC ROC alert Review- Very Urgent III 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 Wells Fargo Employee and was fined for unregistered activity. http://www.biziournals.com/southfiorida/search?q=cY022Jeffrey+Kahn%22&title=%3Fiframe%3Dtrue&width=95%253height =95,025+title%3D+title%3D+title%3D+title%3D%20title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.cgicatle.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=184=Sesrc=s&sa=U&einVID6UVIedDsWPuAT924 DoCQ&ved=0CBMQFIAA8 usq=AFQiCNH6TerGC ha K BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, Syed-Anzar Ahmed Process Supervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Limited Global Buskiess Services VTP • ir Road. 560100 Bangalore. India Tel. Mobile Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068402 CONFIDENTIAL SDNY_GM_00214586 EFTA01373950