EFTA01296115.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 hem for results: Reviewer Comments (as necessary): RDC 0 No Hit O Not Required I. RDC Resul4 No RDC alert (Please sec attached) O Ilii No Hit O Not Required PCR H. PCR Result* No PCR alert (Please sec attached) O Hit O Yes No III. Negative Media There was no information found BIS NI Not Required IV. Non-Negative Media There was no infommtion found v. Other Language Media There was no information found Results? • Yes O No Not Required D&B VI. Das 0 Not Required Sinanlinx Resoled? Yes O No Result Found (Please sec attached) • Not Required VII. Smartlinx 0 Review by Legal May Result Found (Please see attached) Court Cases be Required O No Results VIII. Court Cases O Search not required Prepared by: Da e: 01/30/2017 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each starch subject. We have attached the web link below for your convenience:Martindale-Hubbelihttp://ww w.martindate.com/xp/Martindak/homc.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 SONY_GM_00057803 CONFIDENTIAL — PURSUANT TO FED Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020627 EFTA_00168367 EFTA01296115  OFAC RESULTS RDC: 11597051 No Match Found GCIS ::cur::ry UNITED STATES PCR: NCA customised Closed - No Hit 30/01/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date.1/30/2017 Report processed by: For internal use only SDNY_GM_00057804 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0020628 EFTA_00168368 EFTA01296116  Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP DEUTSCHE BANK AGII Full Name Address County Phone MIAMI MIAMI COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender abin Le Female (Age 51) EAM Subject Summary Name Variations 2: 3: 4; 5: 6 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: Ohio 1979-1980 DOBs Reported DOBs: Possible E-Mail Addresses M ff Others Using SSN - 0 records found Address Summary - 7 records found No. Address 1 MIAMI COUNTY 2 MIAMI COUNTY 3 MIAMI COUNTY MIAMI COUNTY 5: DAYTON, OH For internal use only SDNY_GM_00057805 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020629 EFTA_OOI 68369 EFTA01296117  Page 3 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Address 6: MIAMI COUNTY 7: DR ENGLEWOOD. OH 45322-2430 MONTGOMERY COUNTY Address Details 1: Address Dates Phone 5/1996 -1t2017 MIAMI COUNTY 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 Mr - Other Associates None Listed 2: Address Dates Phone 1t2001 - 3/2003 MIAMI COUNTY Household Members None Listed Other Associates None Listed 3: Address Dates Phone 6/1996 - 6/2001 MIAMI COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $47,168 Median Home Value: $118,511 Median Education: 13 years Household Members None Listed Other Associates None Listed 4: Address Dates Phone 12/1958 - 10/1996 MIAMI COUNTY Census Data for Geographical Region For internal use only SDNY_GM_00057806 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020630 EFTA_00I 68370 EFTA01296118  Page 4 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Median Head of Household Age: 38 Median Income: $77.570 Median Home Value: $149,180 Median Education: 12 years Household Members A Other Associates None Listed 5: DAYTON, OH Address Dates Phone 1/1990 - 1/1990 DAYTON. OH Household Members A Other Associates None Listed 6: Address Dates Phone 12/1958 - 1/1990 MIAMI COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $77.570 Median Home Value: $149,180 Median Education: 12 years M Household Members Other Associates None Listed 7: DR ENGLEWOOD, OH 45322-2430 Address Dates Phone DR 12/1958 - 9/1986 ENGLEWOOD. OH 45322-2430 MONTGOMERY COUNTY Census Data for Geographical Region Median Head of Household Age: 45 Median Income: $51.113 Median Home Value: $117,982 Median Education: 14 years Hot Id M Other Associates None Listed Voter Registrations - 4 records found 1: Ohio Voter Registration R istrant Information Name: Residential Address: For internal use only SDNY_GM_00057807 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020631 EFTA_00168371 EFTA01296119  Page 5 Worldbase, 11/30/2013, THE RELATED COMPANIES LP MIAMI COUNTY SSN: Date of Birth: Voter Information Registration Date: 9/15/1992 Last Vote Date: 11/8/2011 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Ohio Voter Registration i formation Name: Residential Address: MIAMI COUNTY SSN: Date of Birth: Voter Information Registration Date: 9/15/1992 Last Vote Date: 11/8/2016 3: Ohio Voter Registration Reaistrant 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 Reaistrant Information Name: Residential Address: NM MIAMI TY SSW: 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: I MIAMI COUNTY Data source: Governmental: OH Personal Information For internal use only SDNY_GM_00057808 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020632 EFTA 00168372 EFTA01296120  Page 6 Worldbase, 11/30/2013, THE RELATED COMPANIES LP SSN: DOB: Gender: Female Height: Weight: Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 10/16r2015 Expiration Date: 10/2019 Additional Driver Information DOB: Gender: Female History: Current Height: Weight: Hair: Brown Eyes: Brown 2: Ohio Driver License Driver Information Name: Address: MIAMI COUNTY Data source: Governmental. OH Personal Information SSN: DOB: Gender: &ale Fr Height: Weight: Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 11/142011 Expiration Date: 10/2015 Additional Driver Information DOB: Gender: Female History: Hi oncal Height: Weight: Hair: Brown Eyes: Brown 3: Ohio Driver License Driver Information Name: Address: MIAMI COUNTY Data source: Governmental: OH Personal Information For internal use only SDNY_GM_00057809 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020633 EFTA_00I 68373 EFTA01296121  Page 7 Worldbase, 11/30/2013, THE RELATED COMPANIES LP SSN: DOB: Gender: Height: Weight: Ii • 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: Weight: Hair: Brown Eyes: Brown 4: Ohio Driver License Driver Information Name: Address: MIAMI COUNTY Data source: Governmental. OH Personal Information SSN: DOB: Gender: kale Height: 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: Mica' Height: Weight: 185 lbs. Hair: Brown Eyes: Brown 5: Ohio Driver License Driver Information Name: Address: MIAMI COUNTY Data source: Governmental: OH Personal Information For internal use only SDNY_GM_00057810 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020634 EFTA_00I 68374 EFTA01296122  Page 8 Worldbase, 11/30/2013, THE RELATED COMPANIES LP SSN: DOB: Gender: Wale Height: Weight: 185 lbs. Hair: Brown Eyes: Brown License Information License Type: RENEWAL License Class: Operator - Non Commercial Issue Date: 03/13/2000 Expiration Date: 10/2003 Additional Driver Information DOB: Gender: Female History: Irma, Height: Weight: 185 lbs. Hair: Brown Eyes: Brown 6: Ohio Driver License Driver Information Name: Address: MIAMI COUNTY Data source: Non-Governmental. OH nal Information SSN: DOB: alAtonal 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 wner Information Name: A8 M Address: County/FIPS: MIAMI Address: County/FIPS: MIAMI Data Source: B Information Assessors Parcel Number: Recording Date: 05/23/1996 For internal use only SDNY_GM_00057811 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020635 EFTA_00I 68375 EFTA01296123  Page 9 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Sale Information Sale Price: $109000 Assessment Information Assessed Value: $38260 Market Land Value: $52500 Market Improvement $56800 Value: Total Market Value: $109300 2: Assessment Record for MIAMI County, OH Owner Information Name: A& Address: County/FIPS: MIAMI Pro rt Information Address: County/FIPS: MIAMI Data Source: B Legal Information Assessor's Parcel 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: -_A 8_M Address: County/FIPS: MIAMI roraikformation Address: I County/FIPS: MIAMI Data Source: B Le al Information Assessor's Parcel Number: Recording Date: 05/23/1996 Sale Information Sale Price: $109000 Assessment Information Market Land Value: $41000 For internal use only SDNY_GM_00057812 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020636 EFTA_OOI 68376 EFTA01296124  Page 10 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Market Improvement $55700 Value: Total Market Value: $96700 4: Deed Record for MIAMI County Buyer Information Name: A& M Address: County/FIPS: MIAMI Seller Information Name: Property Information Address: County/FIPS: MIAMI Data Source: B Lender Information Name: CITFED MTG CORP AMERICA Le al Information Assessor's Parcel 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: A& Address: County/FIPS: MIAMI Seller Information Name: Property Information Address: RD County/FIPS: MIAMI Data Source: B Lender Information Name: CITFED MTG CORP AMERICA Legal Information Assessor's Parcel Number: Contract Date: 05/23/1996 Recording Date: 05/23/1996 Sale Information Sale Price: $109000 For internal use only SDNY_GM_00057813 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020637 EFTA_00168377 EFTA01296125  Page 11 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Mortgage Information Loan Amount: $98°CO Motor Vehicle Registrations - 16 records found 1: OH MVR Registrant: DOB: Address: MIAMI COUNTY 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: Class: UNKNOWN Model Year: 2003 Color: Gray Plate Information License Plate Type: r il r Previous Plate Number: Previous Plate State: License Plate Number: OH Plate State: OH Source Information Data Source: GOVERNMENTAL 2: OH MVR Registrant Information Registrant: DOB: Address: Ems MIAMI COUNTY Registration Information Original Registration Date: 10/16/2012 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: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: OH Source Information For internal use only SDNY_GM_00057814 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020638 EFTA_00I 68378 EFTA01296126  Page 12 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Data Source: GOVERNMENTAL 3: 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: Address: MIAMI COUNTY Title Information Title Number: Title Transfer Date: 2/23/2001 Title Issue Date: 2/23/2001 Source Information Data Source: GOVERNMENTAL 4: OH MVR istrant Information Registrant: DOB: Address: MIAMI COUNTY Registration Information Original Registration Date: 10/28/2016 Registration Date: 10/28/2016 Registration Expiration Date: 10/11/2017 Decal Number: 710GYO16 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: Previous Plate Number: Previous Plate State: License Plate Number: OH Plate State: OH Source Information Data Source: GOVERNMENTAL 5: OH MVR ation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 For internal use only SDNY_GM_00057815 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0020639 EFTA_00I 68379 EFTA01296127  Page 13 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Make: GMC Model: Terrain Series: SLT Body Style: 4 Dr Wagon Sport Utility Color: Blue Owner Information Name: DOB: Address: MIAMI COUNTY Llenholder Information Name: WRIGHT PATT CREDIT UNION Address: PO BOX 276691 SACRAMENTO, CA 95827-6691 SACRAMENTO COUNTY Title Information Title Number: Title Transfer Date: 4/12/2016 Title Issue Date: 4/12/2016 Source Information Data Source: GOVERNMENTAL 6: OH MVR Registrant Information Mirant 1 Registrant: DOB: 6/1966 Address: MIAMI COUNTY afirant 2 Registrant: DOB: Address: MIAMI COUNTY Registration Information Original Registration Date: 6/10/2013 Registration Date: 6/24/2016 Registration Expiration Date: Decal Number: Vehicle Information VIN: Class: UNKNOWN Model Year: 2004 Make: Series: Body Style: TOW TRUCK AND WRECKE Color: White Plate Information License Plate Type: Previous Plate Number: Previous Plate State: OH License Plate Number: Plate State: OH Source Information Data Source: GOVERNMENTAL 7: OH MVR For internal use only SDNY_GM_00057816 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020640 EFTA_00I 68380 EFTA01296128  Page 14 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Vehicle Information VIN: Class: UNKNOWN Model Year: 2004 Make: Series: Body Style: TOW TRUCK AND WRECKE Color: White Owner Information Owner 1 Name: DOB: 6/1966 Address: MIAMI COUNTY 2 Name: DOB: Address: MIAMI COUNTY le Information Title Number: Title Transfer Date: 10/28/2016 Title Issue Date: 10/28/2016 Source Information Data Source: GOVERNMENTAL 8: OH MVR Registrant Information Registrant: DOB: a ms Addss: re MIAMI COUNTY Registration Information Original Registration Date: 10/16/2012 Registration Date: 5/18/2015 Registration Expiration Date: 10/11/2015 Decal Number: Vehicle Information VIN: Class: UNKNOWN Model Year: 1987 Color: Black Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: OH Plate State: OH Source Information Data Source: GOVERNMENTAL 9: OH MVR Vehicle Information VIN: Class: HEAVY TRUCK Model Year: 1987 Body Style: TRAILER For internal use only SDNY_GM_00057817 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020641 EFTA_00I 68381 EFTA01296129  Page 15 Worldbase, 11/30/2013, THE RELATED COMPANIES LP n I formation Name: DOB: la ma Address: MIAMI COUNTY 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: MIAMI COUNTY Registration Information Original Registration Date: 10/16/2012 Registration Date: 9/20/2013 Registration Expiration Date: Decal Number: 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 Plate Information License Plate Type: Previous Plate Number: OH Previous Plate State: License Plate Number: aim 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 Name: DOB: Address: MIAMI COUNTY Title Information For internal use only SDNY_GM_00057818 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0020642 EFTA_00168382 EFTA01296130  Page 16 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Title Number: Title Transfer Date: 8/2/2011 Title Issue Date: 8/2/2011 Source Information Data Source: GOVERNMENTAL 12: OH MVR Registrant Information raF t1 Registrant: A DOB: 6/1966 Address: MIAMI COUNTY Registrant 2 Registrant: DOB: E ms Address: MIAMI COUNTY Registration Information Original Registration Date: 3/22/2001 Registration Date: 3/22/2001 Registration Expiration Date: 6/19/2002 Vehicle Information VIN: Class: UNKNOWN Model Year: 1990 Make: Suzuki Weight: 000000 Plate Information License Plate Type: HOUSE VEHICLE Previous Plate Number: License Plate Number: Source Information Data Source: GOVERNMENTAL 13: OH MVR Registrant Information Registrant: DOB: a ms Address: MIAMI COUNTY Registration Information Original Registration Date: 9/26/2000 Registration Date: 9/26/2000 Regist