EFTA Document EFTA01399982

Subject: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke From: Cynthia Rodriguez ‹ > Date: Wed, 12 Oct 2016 12:07:38 -0400 To: PWMUS AMLKYC ‹ > Dear AML Compliance, Attached are RDC alerts for Darren Indyke and Richard Kahn who have been previously KYC approved and are part of KYC Update case 01651789. The alerts reference the following: Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions. Richard Jeffrey Kahn, of Florida, appears on Florida Office of F