📄 Extracted Text (214 words)
Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities
Rule by failing to provide testimony as requested by FINRA.
htlps://www.gooale.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA-
3.pdf&rct=i&frm=18q=&esrc=s&sa=lflei=MD6UVIedDsVVPuAT924DoCO&ved=0CBMGFIAA8rusq=AFaCNH6TerGChaK
BRHqY5DUNOCAX7ziw
Alert #3:
Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal
research. Hence no escalation required.
NOTE: PCR is NO HIT
Kind regards,
Syed-Anzar Ahmed
Process Sivervisor I COB - RDC LOOKBACK TEAM
DBOI Global Services Private Limted
Global Business Services
VTP.Electronic C . Hosts Road. 560100 Bangalore. India
Patcritrwirr Peep:writ
Manikandan Muralidharan---12/19/2014 08:23:07 PM--Classification: For internal use only Hi Team, Request you
review the RDC hit received on "Richard K
Manikandan Muralidharan/db/dbcom
From:
CAGNY NCA/db/dItcomiaDBAmericas.
To.
Syed-Anzar Ahmedfdb/dbcom@DBAPAC. Suresh-x Salimathklbldbcom6DBAMERICAS. Jofin VargheseklbvdbcomeDBAMERICAS. Sager
Cc: Prakash/db/dbuomODBAMERICAS. Karnes!maven Nsklb/dbcomeDBAPAC. Anantesh Anandidb/dboom©DESAMERICAS
12/19/2014 08:23 PM
Date:
Fw: EDD package for the RID : ON8-120902 LKYCUS-3443 Party name Southern Financial LLC - RDC alert Review - Very Urgent (I)
Subsea
Classification: For internal use only
Hi Team,
Request you review the RDC hit received on "Richard Kahn, one of the board of director of Parent entity, Southern Trust
Company Inc.
(See attachedfile: Additional AAR, checks on Parent entity, hoard ofdirectorNfi
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066979
CONFIDENTIAL SDNY_GM_00213163
EFTA01373011
ℹ️ Document Details
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41b2fa068198196a42ebda26631aeadaad670856a270c8a370d180746f937f78
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EFTA01373011
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DataSet-10
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