EFTA01295828.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: Reviewer Comments (as necessary): 4 No lin • Not Required RDC Hit I. RDC Results No RDC alert (Please sec attached) PCR No Hit Not Requited R. PCR Results No PCR alert (Please sec attached) El Hit 0 Yes gi No III. Negative Media There was no information found BIS • Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required aesuite N Yes • No D&B VI. D&B Not Required C! Not Required Smartlinx Results? sIs Yes 0 No Result Found (Please sec attached) • Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Required El No Results VIII. Court Cases 0 Search not required Prepared by: Prachi Pawa Da e: 10/12/2016 Research Analyst 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.martindatc.com/sp/Martindale/home.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 hive fully reviewed the research documents. For internal use only SDNY_GM_00057126 CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0019950 EFTA_00167694 EFTA01295828  OFAC RESULTS RDC: 111593655 No Match Found GCIS 00000483290 Country:United States PCR: C20161034947834 120 13242 NCA customised Auto-Closed No-1-lit 12/10/2016 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:10/12/2016 Report processed by: For internal use only SDNY_GM_00057127 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0019951 EF1'A_00167695 EFTA01295829  Page 2 DEUTSCHE BANK AGII Address County Phone NEW YORK None Listed ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 190935148139 Subject Summary Nam DOBs Reported DOBs: 3/1995 Pailia.ddresses Others Using SSN - 0 records found Address Summary -1 records found No. Address Address Details 1: Address Dates Phone 372013 - 10/2016 Census Data for Geographical Region Median Head of Household Age: 57 Median Income: $0 Median Home Value: $0 Median Education: 6 years rs Other Associates None Listed Voter Registrations - 3 records found 1: New York Voter Registration ormation Name: Residential Address: Date of Birth: Gender: Female Voter Information For internal use only SDNY_GM_00057128 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019952 EFTA_00I 67696 EFTA01295830  Page 3 Registration Date: 9/27/2013 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Massachusetts Voter Registration tion Name: 7 Residential Address: Date of Birth: Occupation: STUDENT Voter Information 3: Massachusetts Voter Registration ation Name: Residential Address Date of Birth Occupation: STUDENT Voter Information Driver Licenses - 0 records found 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 - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 5. 2nd Degree 5 No. Full Name Address/Phone 1. For internal use only SDNY_GM_00057129 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019953 EFTA_00I 67697 EFTA01295831  Page 4 No. Full Name Address/Phone 1.A. 1.B. 1.D For internal use only SDNY_GM_00057130 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019954 EFTA_00I 67698 EFTA01295832  Page 5 No. Full Nano AddrocalPhonn 1E 2. 3. 4 5. Business Associates - 0 records found Person Associates - 0 records found Neighbors - 1 records found Name Address Phone Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones -1 records found For internal use only SDNY_GM_00057131 CONFIDENTIAL - PURSUANT TO FED. R.QC;IFNIF IDENTIAL DB-SONY-0019955 EFTA_OOI 67699 EFTA01295833  Page 6 1: Information Name: Address: Phone Number: Phone Type: Carrier Information Carrier: NEW CINGULAR WRLS DC Carrier City: NEW YORK CITY ZONE 01 Carrier State: NY Sources - 10 records found All Sources 10 Source Document(s) Email addresses 1 Source Document(s) Person Locator 1 1 Source Document(s) Phone 3 Source Document(s) PhonesPlus Records 1 Source Document(s) Utility Locator 1 Source Document(s) Voter Registrations 3 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. INGeneral Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not tree from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your 0PPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright. 2016 LexisNexis. a division of Reed Elsevier Inc. All rights reserved. 2 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:10/12/2016 Report processed by: DEUTSCHE BANK AGO Address County Phone NEW YORK None Listed ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 193751597540 For internal use only SDNY_GM_00057132 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019956 EFTA_00167700 EFTA01295834  Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Subject Summary Name Variations 1 Others Using SSN - 0 records found Address Summary -1 records found No. Address 1 Address Details Dates Phone 112016 - 10/2016 Census Data for Geographical Region Median Head of Household Age: 62 Median Income: $142,803 Median Home Value: 6829.082 Median Education: 14 years Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found 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 - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 5 records found 1st Degree: 1, 2nd Degree 4 No. Full Name Address/Phone 1. 1.A. For internal use only SDNY_GM_00057133 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019957 EFTA_0016770 I EFTA01295835  • Page 3 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Full Name Address/Phone 1.8 1= 1 Business Associates - 0 records found Person Associates - 0 records found Neighbors - 2 records found Phone Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found For internal use only SDNY_GM_00057134 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0019958 EFTA_00I 67702 EFTA01295836  Page 4 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Sources -17 records found All Sources 17 Source Document(s) Person Locator 1 1 Source Document(s) Phone 15 Source Document(s) Utility Locator 1 Source Document(s) D&B: Not Required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00057135 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0019959 EFTA_00I 67703 EFTA01295837