EFTA01255653.pdf

NAME SEARCHED: Richard Kahn 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: Reviewer Comments (as necessary): 0 No Hit 0 Not Required RDC Alert(please see attached) RUC I . RDC Results Cr Ilit 0.14 No Hit 0 Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT Alert(pIease see attached) D flit No Information Found III. Negative Media BIS DYcs al No Not Required IV. Non-Negative Media . 0 Not Required Not V. Other Language Media Required Not Required Results? E Yes M No D&B VI. D&B Er Not Required Information Found(please see attached) Smartlinx Rcsutts? Cli es • No 0 Not Required VII. Smartlias Review by Legal May Information Found(please see attached) Court Casts be Required MI No Results VIII. Cotut Cases 0 Search not required Prepared by: Mania choudIrtry Date: 8/17/20 IS Research Analyst Instructions: I. Review and confirm that all results are 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 fur your cons enience:Nlartindale-Hubbellhttp://wsvw.martindale.comisp/Martindale/bome.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 confinnation that you have fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00062451 CONFIDENTAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026276 EFTA_00173959 EFTA01255653  Page 2 OFAC RESULTS RDC: Date of 11638369 Alerted KYC 1977694 Country:UNITED STATES • Richard Kahn FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Kahn, 24860294 WR 248602942182 Individual No Alert No Alert No Alert No Alert Richard BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2018 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date8/17/2018 Report processed by: DEUTSCHE BANK ASH For internal use only For internal use only SDNY_GM_00063452 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026277 EFTA_00173960 EFTA01255654  Page 2 Full Name Address County Phone KAHN. RICHARD 0 NEW YORK NEW YORK. NY 10021-3241 NEW YORK COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexIDism) 001296578256 (Age 45) Subject Summary Name Variations 1: D RICHARD. KAHN 2: KAHN, R 3: KAHN, RICHARD 4: KAHN, RICHARD D 5: KAHO. RICHARD 0 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: New York 1972-1973 DOBs ,1972 Reported DOBs: 1972 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary -11 records found No. Address 1: NEW YORK, NY 10021-3241 NEW YORK COUNTY 2: NEW YORK, NY 10021-4050 NEW YORK COUNTY 3: NEW YORK. NY 10021-4035 NEW YORK COUNTY 4: MANHATTAN, NY 10021-4035 NEW YORK COUNTY 5: NEW YORK, NY 10003-2452 NEW YORK COUNTY 6: gliM11 0514-2916 WESTCHESTER COUNTY For internal use only For internal use only SDNY_GM_00063453 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026278 EFTA_00173961 EFTA01255655  Page 3 No. Address 7: SYRACUSE, NY 13210-2441 ONONDAGA COUNTY 8: NEW YORK, NY 10021-4544 NEW YORK COUNTY 9: NEW CITY NY 10956-5544 ROCKLAND COUNTY 10 NEW CITY. NY 10956-3336 ROCKLAND COUNTY 11 BRONXVILLE. NY 10708-5101 WESTCHESTER COUNTY Address Details 1: EW YORK, NY 10021-3241 Address Dates Phone 2/2008 - 82018 NEW YORK, NY 10021-3241 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $176,471 Median Home Value: $1.000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 2: NEW YORK, NY 10021-4050 Address Dates Phone 12/2003 - 2/2009 NEW YORK, NY 10021-4050 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $81.397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY. LISA GALE Other Associates None Listed 3: NEW YORK, NY 10021-4035 Address Dates Phone 5/2006 - 9/2008 NEW YORK, NY 10021-4035 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age 39 Median Income: $81,397 For internal use only For internal use only SDNY_GM_00063454 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0026279 EFTA 00173962 EFTA01255656  Page 4 Median Home Value: $429.167 Median Education: 16 years Household Members None Listed Other Associates None Listed 4:1111 AANHATTAN, NY 10021-4035 A r Dates Phone 111.1110.10021-4035 NEW YORK COUNTY 12/2002 - 6/2008 Household Members None Listed Other Associates None Listed NEW YORK, NY 10003-2452 Dates Phone 1/1997 - 1/2005 NEW YORK, NY 10003-2452 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $123.611 Median Home Value: $678.697 Median Education: 16 years Household Members None Listed Other Associates None Listed 6: •HAPPAQUA, NY 10514-2916 Dates Phone 8/1996 - 11/2002 CHAPPAGUA, NY 10514-2916 WESTCHESTER COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225.720 Median Home Value: $1,000.000 Median Education: 18 years Household Members KAHN. CAROL ROBIN Other Associates RUBIN. LUCILLE L 7: YRACUSE, NY 13210-2441 Address Dates Phone 5/1973 - 1/1997 SYRACUSE. NY 13210-2441 ONONDAGA COUNTY Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00063455 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026280 EFTA_00173963 EFTA01255657  Page 5 None Listed 8 NEW YORK, NY 10021-4544 Address Dates Phone 4/1995 - 4/1995 NEW YORK. NY 10021-4544 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $139.826 Median Home Value: $803.571 Median Education: 15 years Household Members None Listed Other Associates None Listed 9: NEW CITY, NY 10956-5544 Ad Dates Phone 10/1993 - 10/1993 NEW CITY. NY 10956-5544 ROCKLAND COUNTY Census Data for Geographical Region Median Head of Household Age. 42 Median Income: $148281 Median Home Value: $744.932 Median Education: 16 years Household Members KAHN. IRENE L Other Associates None Listed 10: EW CITY, NY 10956-3336 Address Dates Phone 5/1973 - 5/1973 NEW CITY. NY 10956-3336 ROCKLAND COUNTY Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $80.556 Median Home Value: $448,387 Median Education: 15 years Household Members None Listed Other Associates None Listed 1 A1J BRONXVILLE, NY 10708-5101 ress Dates Phone BRONXVILLE, NY 10708-5101 WESTCHESTER COUNTY Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $208,387 Median Home Value: $965.909 Median Education: 15 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00063456 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0026281 EFTA 00173964 EFTA01255658  Page 6 RUBIN. LUCILLE L Voter Registrations - 9 records found 1: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY SSN: Date of Birth: Gender: aP . Voter Information Registration Date: 1016/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021.3241 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 3: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-4050 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active Status: ACTIVE 4: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: For internal use only For internal use only SDNY_GM_00063457 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026282 EFTA_00I 73965 EFTA01255659  Page 7 Date of Birth: 12/1972 Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 5: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: Date of Birth: Gender: ale Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-3241 NEW YORK COUNTY Home Phone: SSN: Date of Birth: Gender: e Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 7: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: NEW YORK. NY 10021-4040 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: New York Voter Registration Registrant Information Name: KAHN. RICHARD For internal use only For internal use only SDNY_GM_00063458 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026283 EFTA_00I 73966 EFTA01255660  Page 8 Residential Address: NEW YORK, NY 10021-4040 NEW YORK COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN 9: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: CHAPPAOUA, NY 10514-2916 WESTCHESTER COUNTY SSN: Date of Birth: Gender: Male Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License License Information Name: KAHN. RICHARD SSN: Address: County: Gender: M 11.111 NEW YORK. NY 10003-2452 License Information License N mType: P License Number: Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 1 records found 1: Assessment Record for SUFFOLK County, NY Owner Information Name: RICHARD KAHN Address: NEW YORK, NY 10021-3241 County/FIPS: NEW YORK Information Address: Data Source: B Legal Information Assessor's Parcel 0900-080.00-02,00-009,014 Number: For internal use only For internal use only SDNY_GM_00063459 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026284 EFTA_00I 73967 EFTA01255661  Page 9 Recording Date: 10/27/2015 Book/Page: 12852/589 Sale Information Sale Price: $1518000 Assessment Information Assessed Value: $1243500 Motor Vehicle Registrations - 5 records found 1: NY MVR Registrant Information Registrant: KAHN, RICHARD 0 DOB: Address: 41 NEW YORK COUNTY Registration Information Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration Date: 3/16/2013 ion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Plate Information License Plate Type: Private License Plate Number: FHH6920 Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR ' ation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Owner Information Name: KAHN, RICHARD D DOB: Address: NEW YORK, NY 10021-3241 NEW YORK COUNTY Title Information Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL 3: NY MVR Registrant Information For internal use only For internal use only SDNY_GM_00063460 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026285 EFTA_00I 73968 EFTA01255662  Page 10 Registrant: KAHN. RICHARD D DOB: Address: NEW YORK, NY 10021-3241 NEW YORK COUNTY Registration Information Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration Date: 7/8/2011 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Plate Information License Plate Type: Private Previous Plate Number: EAE1027 Previous Plate State: NY License Plate Number: EAE1027 Plate State: NY Source Information Data Source: GOVERNMENTAL 4: NY MVR mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Owner Information Name: KAHN. RICHARD D NEW YORK COUNTY Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL 5: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: NEW YORK, NY 10021-4050 NEW YORK COUNTY Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration Date: 1/6/2006 For internal use only For internal use only SDNY_GM_00063461 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026286 EFTA_00I 73969 EFTA01255663  Page I I Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 4960 Plate Information License Plate Type: Private Previous Plate Number: BEV5149 Previous Plate State: NY License Plate Number: BEV5149 Plate State: NY Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 1 records found 1: NY Judgments and Liens Filings Debtor Information Name: KAHN. RICHARD SSN: Address: NEW YORK. NY 10003-2452 NEW YORK COUNTY Creditor Information Name: SIBARELP Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction Y Filing 1 Number: 20000072311 Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency County: NEW YORK UCC Liens -1 records found 1: NEW YORK CITY RECORD Debtor Information Debtor 1 Name: KAHN. RICHARD SSN: Address: NEW YORK. NY US 10021-3241 Debtor 2 Name: KAHN. LISA SSN: Address: NEW YORK. NY US 10021-3241 Secured Party Information Name: FIRST REPUBLIC BANK Address: 111 PINE ST For internal use only For internal use only SDNY_GM_00063462 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0026287 EFTA_00I 73970 EFTA01255664  Page 12 SAN FRANCISCO. CA US 94111-5602 Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: 2016000105048 Original Filing Type: INITIAL COOP UCC1 Original Filing Date: 3/25/2016 Number: 2016000105048 Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 10 No. Full Name Address/Phone 1 MINSKY, LISA GALE • AKA KAHN, LISA G SSN: DOB: (Age: 43) 2. KAHN, GARY E A Deceased • AKA AHN. GARY E • AKA KAHAN. GARY SSN DOB (Age: 72) 3. KAHN, CAROL RUBIN • AKA BLITSTEIN, CAROL RUBIN • AKA RUBIN. CAROL JAYNE • AKA RUBIN, KAHN CAROL • AKA RUBIN, CAHN CAROL • AKA RUBIN-KAHN. CAROL • AKA KAHN, C R • AKA RUBIN CAHN, CAROL • AKA RUBIN KAHN. CAROL • AKA LITSTEIN, CAROL R • AKA RUBIN. BLITSTEIN CAROL • AKA RUBIN KAHN. C • AKA RUB, CAROL SSN For internal use only For internal use only SDNY_GM_00063463 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026288 EFTA_00173971 EFTA01255665  Page 13 No. Full Address/Phone DOB.. (Age: 61) 4. LIPUMA, ALISSA B • AKA KAHN, ALISSA B • AKA KAHNLIPUMA. ALISSA • AKA LIPUMA. A • AKA LI PUMA. ALISSA B • AKA LIPUMA. ALISSA P • AKA LI, ALISSA B • AKA LIPLUMA, ALISSA B • AKA PUMA. ALISSA B LI • AKA LIPUMA, ALLISSA • AKA KAHN, LIPUMA ALISSA SSN DOB (Age: 48) 5. KAHN. IRENE L SSN DOB (Age: 71) 6. KAHN. IRWIN A A Deceased S6N DO (Age 86) KAHN. GABRIELLE EVE DO (Age: 23) 8. KAHN, IRWIN GRANTEE For internal use only For internal use only SDNY_GM_00063464 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026289 EFTA_00173972 EFTA01255666  Page 14 No. Full Name SSN: DOB: (Age: 68) 9. KAHN, IRWIN M • AKA IRWIN, KAHN SSN: DOB: (Age: 68) 10. KAHN, FRANCINE L A Deceased • AKA CAHN, FRANCINE L • AKA KAHN, FRAN SSN. DOB: (Age: 83) Business Associates - 6 records found 1: ARC HOLDING INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558550 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 2: ARKAY CAPITAL CORP. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 2515783 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 5/31/2000 3: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 3714818 Descriptive Status: ACTIVE For internal use only For internal use only SDNY_GM_00063465 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026290 EFTA_00173973 EFTA01255667  Page 15 Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 8/29/2008 4: K 8 F CAPITAL CORP. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2516183 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 6/1/2000 5: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558561 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 6: THE C.O.U.O. FOUNDATION, INC. Name: KAHN. RICHARD Address: 250 S AUSTRALIAN AVE STE 1404 WEST PALM BEACH. FL 33401-5016 Status: INACTIVE State: FL Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/23/2011 Person Associates - 4 records found No. Full Name Address SSN Phone DOB 1: RUBIN, LUCILLE L 2: RUBIN, ISAAC J RUBIN. I RUBIN, JUDGE I For internal use only For internal use only SDNY_GM_00063466 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026291 EFTA_00I 73974 EFTA01255668  Page 16 No. Full Name Address SSN Phone DOB 3: SCHEFFLER. ADAM CRAIG SCHEFFLER. A C SCHEFELER, ADAM C SCHLEFFLER. ADAM SCHEFFER. ADAM SHEFFLER, ADAM 4: RUBIN, LUCILLE Neighbors -1 records found 130 E 75TH ST APT 7-E NEW YORK, NY 10021.3241 Name Phone MOEDER. ALYSSA C Employment Locator - 27 records found 1: Company Name: ARKAY CAPITAL CORP. Name: KAHN. RICHARD SSN: Confidence: 2: Company Name: HBRK ASSOCIATES INC. Name: KAHN RICHARD SSN: Confidence: 3: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: le ium 4: Company Name: ARC HOLDING INC. Name: KAHN. RICHARD ConfideSnSce N:: 5: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: For internal use only