EFTA01296650.pdf

NAME SEARCHED: PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Revieuer Comments (as necessar> ). RDC 111No lilt O Not Rimmed No RDC Alert(please see attached) I. RDC Results El Hit PCR 0 No Hit • Not Required II. PCR Results No PCR Aler(pl ease see attached) 0 Hit No Information Found III. Negai is c Nick' ISIS O Yes 0 No . No Information Found Not Required IV. Non-Neinnice \ I cella . No Information Found V. Other Language Media Not required Results? • Yes M ' D&B 0 Not Requited Result found(please see attached) Smartlinx Results? .T5 Yes O No • Not Required VII. Smattlinx lit Review by Legal May Result found(please see attached) Court Cases he Required O No Results VIII. Court Cases O Search not required Prepared by: Shrej a parashar Date: 06/29/2017 Research Anal) st Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.manindale.comhpfiblanindalelhome.xml 3. As needed. provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only S0NY_GM_00059430 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0022254 EFTA_00169981 EFTA01296650  Page 2 OFAC RESULTS RDC: I 11603817 No Match Found KYC 1790739 Country :UNITED STATES PCR: C20170638060504 1294981 NCA customised Closed - No Hit 29106/2017t BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:6/29/2017 Report processed by: DEUTSCHE BANK AGII Full Name Address County Phone ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexIDism) Female 001037991368 Subject Summary Name Variations a For internal use only SDNY_GM_00059431 CONFIDENTIAL - PURSUANT TO FED R.QPNE IDENTIAL DB-SDNY-0022255 EFTA_00169982 EFTA01296651  Page 2 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1 Ohio 1979-1980 DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 7 records found No. Address Address Details 1: Address Dates Phone For internal use only SDNY_GM_00059432 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022256 EFTA_00I 69983 EFTA01296652  Page 3 =mi 5/1996 - 6/2017 Census Data for Geographical Region Median Head of Household Age 41 Median Income: $52,616 Median Home Value: $106,081 Median Education: 12 years Household Members Other Associates None Listed Mmi None Listed Other Associates None Listed Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $77,570 Median Home Value: $149,180 Median Education: 12 years Household Members Other Associates None Listed Address i Dates Phone Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $47,168 Median Home Value: $118511 Median Education: 13 years Household Members None Listed Other Associates None Listed For internal use only SDNY_GM_00059433 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022257 EFTA_OOI 69984 EFTA01296653  Page 4 5: Address Dates Phone 1033 HEATHWOOD 1/1990 - 1/1990 DAYTON. OH Household Members A Other Associates None Listed 6: Address Dates Phone =1- Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $77.570 Median Home Value: $149,180 Median Education: 12 years Household Members Other Associates None Listed 7: Dates Phone Census Data for Geographical Region Median Head of Household Age: 45 Median Income: $51,113 Median Home Value: $117,982 Median Education: 14 years Household Members Other Associates None Listed Voter Registrations - 4 records found 1: Ohio Voter Registration Re istrant Information Name: Ign Residential Address: SSN: Date of Birth: Voter Information Registration Date: 9/15/1992 For internal use only SDNY_GM_00059434 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0022258 EFTA_00I 69985 EFTA01296654  Page 5 Last Vote Date: 11/8/2011 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Ohio Voter Registration R istrant Information Name: Ir Residential Address: i SSN: Date of Birth: Voter Information Registration Date: 9/15/1992 Last Vote Date: 11/812016 3: Ohio Voter Registration Registrant Information Name: Residential Address: SSN: Date of Birth: Voter Information Registration Date: 9/15/1992 Last Vote Date: 5/7/2013 Party Affiliation: DEMOCRAT 4: Ohio Voter Registration Registrant Information Name: Residential Address: LAURA OH LAURA. OH 45337 MIAMI COUNTY SSN: Date of Birth: Voter Information Last Vote Date: 11/8/2011 Party Affiliation: DEMOCRAT Driver Licenses - 6 records found 1: Ohio Driver License Driver Information Name: Address: Data source: Governmental. OH Personal Information 55f4: DOB: Gender: Female For internal use only SDNY_GM_00059435 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022259 EFTA_00169986 EFTA01296655  Page 6 Height: 411" Weight: 195 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 10/16/2015 Expiration Date: 10/2019 Additional Driver Information DOB: Gender: Female History: Current Height: 411" Weight: 195 lbs. Hair: Brown Eyes: Brown 2: Ohio Driver License Driver Information Name: Address: Data source: Governmental. OH Personal Information SSN: DOB: Gender: Female Height: 411" Weight: 195 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 11/14/2011 Expiration Date: 10/2015 Additional Driver Information DOB: Gender: Female History: Historical Height: 4'11" Weight: 195 lbs. Hair: Brown Eyes: Brown 3: Ohio Driver License Driver Information Name: Address: Data source: Governmental: OH For internal use only SDNY_GM_00059436 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022260 EFTA_00169987 EFTA01296656  Page 7 Personal Information SSN: DOB: Gender: Female Height: 4'11" Weight: 195 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 09/07/2007 Expiration Date: 10/2011 Additional Driver Information DOB: Gender: Female History: Historical Height: 4'11" Weight: 195 lbs. Hair: Brown Eyes: Brown 4: Ohio Driver License Driver Information Name: Address: Data source: Governmental: OH Personal Information SSN: DOB: Gender: Female Height: 411" Weight: 185 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 11/07/2003 Expiration Date: 10/2007 Additional Driver Information DOB: Gender: Female History: Historical Height: 411" Weight: 185 lbs. Hair: Brown Eyes: Brown 5: Ohio Driver License Driver Information Name: For internal use only SDNY_GM_00059437 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0022261 EFTA_00169988 EFTA01296657  Page 8 Address: Data source: Govemmental OH Personal Information SSN: DOB: Gender: Female Height: 4'11" Weight: 185 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 03/112000 Expiration Date: 10/2003 Additional Driver Information DOB: Gender: Female History: Historical Height: 4'11" Weight: 185 lbs. Hair: Brown Eyes: Brown 6: Ohio Driver License Driver Information Name: Address: Data source: Non-Governmental. OH Personal Information SSN: DOB: Additional Driver Information DOB: Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 5 records found 1: Assessment Record for MIAMI County, OH Owner Information Name: Address: County/FIPS: MIAMI Property Information For internal use only SDNY_GM_00059438 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022262 EFTA_00I 69989 EFTA01296658  Page 9 Address: County/FIPS: MIAMI Data Source: B Legal Information Assessor's Parcel L32-001200 Number: Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Assessment Information Assessed Value: $39800 Market Land Value: $54600 Market Improvement $59100 Value: Total Market Value: $113700 2: Assessment Record for MIAMI County, OH Owner Information Name: Address: County/FIPS: MIAMI Property Information Address: County/FIPS: MIAMI Data Source: B Legal Information Assessor's Parcel 070402 2-ol-ouroo Number: Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Assessment Information Market Land Value: $41000 Market Improvement $55700 Value: Total Market Value: $96700 3: Assessment Record for MIAMI County, OH Owner Information Name: Address: County/FIPS: MIAMI Property Information Address: For internal use only SDNY_GM_00059439 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022263 EFTA_00I 69990 EFTA01296659  Page 10 County/FIPS: MIAMI Data Source: B Legal Information Assessor's Parcel L32-UN002D-02100 Number: Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Assessment Information Market Land Value: $41000 Market Improvement $55700 Value: Total Market Value: $967° 0 4: Deed Record for MIAMI County Buyer Information Name: Address: County/FIPS: MIAMI Seller Information Name: JILL R MORRIS Property Information Address: County/FIPS: MIAMI Data Source: B Lender Information Name: CITFED MTG CORP AMERICA Legal Information Assessor's Parcel P#000781 132- Number: Contract Date: 05/23/1996 Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Mortgage Information Loan Amount: $98000 5: Deed Record for MIAMI County Buyer Information Name: Address: County/FIPS: MIAMI Seller Information Name: JILL R MORRIS For internal use only SDNY_GM_00059440 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022264 EFTA_00169991 EFTA01296660  Page 11 Property Information Address: PEMBERTON RD LAURA. OH 45337 County/FIPS: MIAMI Data Source: B Lender Information Name: CITFED MTG CORP AMERICA Legal Information Assessors Parcel P#000782 L32- Number: Contract Date: 05/23/1996 Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Mortgage Information Loan Amount: $9800O Motor Vehicle Registrations - 16 records found 1: OH MVR Registrant Information Re istrant 1 Registrant: DOB: 6/1966 Address: Registrant 2 Registrant: DOB: Address: Registration Information Original Registration Date: 6/10/2013 Registration Date: 4/20/2017 Registration Expiration Date: 6/19/2018 Decal Number: 806RH20Z Vehicle Information VIN: Class: UNKNOWN Model Year: 2004 Color: White Plate Information License Plate Type: Other Previous Plate Number: RH20ZJ Previous Plate State: OH License Plate Number: RH20ZJ Plate State: OH Source Information Data Source: GOVERNMENTAL 2: OH MVR For internal use only SDNY_GM_00059441 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0022265 EFTA_00169992 EFTA01296661  Page 12 Vehicle Information VIN: Class: UNKNOWN Model Year: 2004 Color: White Owner Information Owner 1 Name: DOB: 6/1966 Address: Owner 2 Name: DOB: b pi Address: Title Information Title Number: 5501127006 Title Transfer Date: 10/28/2016 Title Issue Date: 10/28/2016 Source Information Data Source: GOVERNMENTAL 3: OH MVR Registrant Information Registrant: DOB: Address: Registration Information Original Registration Date: 11/13/2015 Registration Date: 10/28/2016 Registration Expiration Date: 10/11/2017 Decal Number: 710SOD87 Vehicle Information VIN: 1FXHC152231000554 Class: UNKNOWN Model Year: 2003 Color: Gray Plate Information License Plate Type: Trailer Previous Plate Number: SOD8761 Previous Plate State: OH License Plate Number: SOD8761 Plate State: OH Source Information Data Source: GOVERNMENTAL 4: OH MVR Reaistrant Information Registrant: DOB: For internal use only SDNY_GM_00059442 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0022266 EFTA_00169993 EFTA01296662  Page 13 Address: Registration Information Original Registration Date: 10/16f2012 Registration Date: 10/28/2016 Registration Expiration Date: 10/11/2017 Decal Number: 710ENG26 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1998 Make: Chevrolet Model: C3500 Series: CHEYENNE-SILVERADO Body Style: Crew Pickup Color: Red Weight: 1500 Plate Information License Plate Type: Private Previous Plate Number: ENG2637 Previous Plate State: OH License Plate Number: ENG2637 Plate State: OH Source Information Data Source: GOVERNMENTAL 5: OH MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1998 Make: Chevrolet Model: C3500 Series: CHEYENNE-SILVERADO Body Style: Crew Pickup Color: Red Weight: 1500 Owner Information Name: DOB: M a Address: Title Information Title Number: 5500412307 Title Transfer Date: 2/23/2001 Title Issue Date: 2/23/2001 Source Information Data Source: GOVERNMENTAL 6: OH MVR R istrant Information Registrant: DOB: Address: For internal use only SDNY_GM_00059443 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022267 EFTA_00I 69994 EFTA01296663  Page 14 Registration Information Original Registration Date: 10/28/2016 Registration Date: 10/28/2016 Registration Expiration Date: 10/11/2017 Decal Number: 710GYQ16 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: GMC Model: Terrain Series: SLT Body Style: 4 Dr Wagon Sport Utility Color: Blue Plate Information License Plate Type: Private Previous Plate Number: 938RAA Previous Plate State: KY License Plate Number: GYO1640 Plate State: OH Source Information Data Source: GOVERNMENTAL 7: OH MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: GMC Model: Terrain Series: SLT Body Style: 4 Dr Wagon Sport Utility Color: Blue Owner Information Name: DOB: Address: Lienholder Information Name: WRIGHT PATT CREDIT UNION Address: PO BOX 276691 SACRAMENTO. CA 95827-6691 SACRAMENTO COUNTY Title Information Title Number: 5501100450 Title Transfer Date: 4/12/2016 Title Issue Date: 4/12/2016 Source Information Data Source: GOVERNMENTAL 8: OH MVR Registrant Information Registrant: For internal use only SDNY_GM_00059444 CONFIDENTIAL - PURSUANT TO FED. R.ctit;IN(F IDENTIAL DB-SDNY-0022268 EFTA_00I 69995 EFTA01296664  Page 15 DOB: Address: Registration Information Original Registration Date: 10/16/2012 Registration Date: 5/18/2015 Registration Expiration Date: 10/11/2015 Decal Number: 510S0087 Vehicle Information VIN: 870272 Class: UNKNOWN Model Year: 1987 Color: Black Plate Information License Plate Type: Trailer Previous Plate Number: 914563H Previous Plate State: TX License Plate Number: S008761 Plate State: OH Source Information Data Source: GOVERNMENTAL 9: OH MVR Vehicle Information VIN: 870272 Class: HEAVY TRUCK Model Year: 1987 Body Style: TRAILER Owner Information Name: DOB: M a Address: Title Information Title Number: NONE Title Transfer Date: 8/9/1997 Title Issue Date: 8/9/1997 Source Information Data Source: GOVERNMENTAL 10: OH MVR Registrant Information Registrant: DOB: Address: Registration Information Original Registration Date: 10/16/2012 Registration Date: 9/20/2013 Registration Expiration Date: 10/11/2014 Decal Number: 410FIM77 Vehicle Information VIN: For internal use only SDNY_GM_00059445 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022269 EFTA_OOI 69996 EFTA01296665  Page 16 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Mercury Model: Grand Marquis Series: LS Body Style: Sedan 4 Door Color: White Plate Information License Plate Type: Private Previous Plate Number: FIM7733 Previous Plate State: OH License Plate Number: FIM7733 Plate State: OH Source Information Data Source: GOVERNMENTAL 11: OH MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Mercury Model: Grand Marquis Series: LS Body Style: Sedan 4 Door Color: White Owner Information Name: DOB: I on Address: Title Information Title Number: 5500889063 Title Transfer Date: 8/2/2011 Title Issue Date: 8/2/2011 Source Information Data Source: GOVERNMENTAL 12: OH MVR Registrant Information Re istrant 1 Registrant: A DOB: 6/1966 Address: R Istrant 2 R Registrant: DOB: Address: Registration Information Original Registration Date: 3/22/2001 Registration Date: 3/22/2001 For internal use only SDNY_GM_00059446 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022270 EFTA_00I 69997 EFTA01296666  Page 17 Registration Expiration Date: 6/19/2002 Vehicle Information VIN: lEA1B2629L2930915 Class: UNKNOWN Model Year: 1990 Make: Suzuki Weight: 000000 Plate Information License Plate Type: HOUSE VEHICLE Previous Plate Number: SMU1185 License Plate Number: SMU1185 Source Information Data Source: GOVERNMENTAL 13: OH MVR Registrant Information Registrant: DOB: Address: Registration Information Original Registration Date: 9/26/2000 Registration Date: 9/26/2000 Registration Expiration Date: 10/11/2001 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Ford Model: Econoline Series: E150 Body Style: Cargo Van Weight: 000000 Plate Information License Plate Type: PASSENGER CAR Previous Plate Number: CIM7512 License Plate Number: CIM7512 Source Information Data Source: GOVERNMENTAL 14: OH MVR Registrant Information Registrant: DOB: Address: Registration Information Original Registration Date: 10/20/1998 Registration Date: 10/20/1998 Registration Expiration Date: 10/11/1999 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1989 For internal use only SDNY_GM_00059447 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022271 EFTA_00I 69998 EFTA01296667  Page 18 Make: Chevrolet Model: Astro Series: VAN Body Style: Sport Van Weight: 000000 Plate Information Lic