EFTA01360337.pdf

0 Current Classification: (click here for help) Internal Revised_CLEARED_Richard D Kahn rdc alert [I] PWMUS AMLKYC to: Amanda Kirby 11/01/2013 10:54 AM Sent hy: Michael Vila Cc. Jacqueline Ughtbody. PWMUS AMLKYC, Janice Franklin Classification: For internal use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn - after further review it appears the below alert dated 9/3/2013 is a false positive. AML Compliance has reviewed an email dated 10/31/2013 that the business received from Mr. Kahn attesting that he has not been bared from NYSA Arca and that he is not the same individual as the alerted party. According to that email, our Mr. Kahn has been working at his company, HBRK Associates Inc for the past 3 years. The alert involves a Richard Kahn who was a limited partner of PennMont Securities, a former broker dealer, NASDAQ OMX PHLX and NYSE Arca member. On February 26, 2013 PennMont was banned from NYSE Arca membership due to various accounting, record keeping, and supervisory control deficiencies. AML Compliance finds these statements made by our Mr. Kahn reasonable evidence, and clears this alert as a false positive. Please see the email chain attached to this KYC, thanks! Best, Michael til Michael Vila Team Manager I AML Compliance Deutsche Bank Securities Inc. Asset 8 Wealth Management 502 Pr ode 400. 32256 Jacksonville. USA Tel. Email andin, Peefbow Amanda Kirby Classification: For internal use only Hi, The bel... 09/04/2013 11:09:44 AM Front: Amanda Kirby. To: PWMUS AMLKY , Andrea Kling Cc: Utvas ' , PWM BIS-Resew Paul Morris Date: 09/04/2013 11:09 AM Subject: Re: Richard D Kahn rdc alert III CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048611 CONFIDENTIAL SDNY_GM_00194795 EFTA01360337