EFTA Document EFTA01374434

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.comrsouthfloridarsearch?q=%22Jeffrev+Kahn%228aitle=%3Fiframe%3Dtrue&width=95%25&heiciht =95%25+title%3D+title%3D+tille%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. ralps://www.google.co.in/url?ud=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=1&q=8,esrc=s&sa=U&ei=MD6UVIedDsWPuAT924DoCO&ved=0CBMCWiAflusq=AFaiCNH6TerGChaK BRI-liaY5DUNOCAX7ziw 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 Busmess Services VTP,Electromc Ciy, Hosts Road. 560100 Bangalore. India Tol Mobile Email PassinoV 9wOnm Manikandan Muralidharan--12119/2014 06:23:07 PM--Classification For internal use only Hi Team, Request you review the RDC hit received on "Richard K From- Mandan(Ian Muralidharan/db/dbcom CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069115 CONFIDENTIAL SDNY_GM_002 15299 EFTA01374434