EFTA Document EFTA01374253

Date 12/19/2014 08:42 PM Subject: Re: Fw EDD package for the RID: ONB-120902 LKYCUS-3443 Party name : 6ol4tlern Financial LLC ROC alert Review - Very Urgent (1) 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.corrilsouthflorida/search?q=%22Jeffrev+Kahn%22&title=%3Fiframe%3Dtrue&width=95%25&height =95°/025+title%3D+title%3D+title%3D+title%3D°/020title= 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. htlps://www.q000le.co.in/url?url=httpsftwww.nvse.comipdfs/12-ARCA- 3.pdf&rct=i&frm=1&q=&esrc=s&sa=lflei=MD6UVIedDsWPuAT924DoCa&ved=0CBMQFIAA&usq=AFQiCNH6TerGehaK BRHaY5DUNOCAX7ziw 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 Limted Global Buskins Services VTP,Electronic C . 560100 Bangalore, India Tel. Mobile Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068859 CONFIDENTIAL SDNY_GM_002 15043 EFTA01374253