EFTA01297290.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): RDC Q No Hit • Not Required I. RDC Results No RDC alert (Please sec attached) • llit No Hit • Not Requires PCR II. PCR Result No PCR alert (Please sec attached) El • Hit El Yes No HI. Negative Media There was no information found BIS • Not Required IV. Non-Negative Media There was no information found V. Other Language Media There was no information found Results? • Yes 0 No Not required D&B (83 Not Required VI.Ilta Result Found (Please See Attached) Smanlinx Rogilts? 0 Yes 0 No • Not Required VU. Smanlinx El Review bil.egal May There was no i nf ormati on found Court Cases be Required N4 No Results VIII. Court Cases 0 Search not required Prepared by: Ankita Shah Da e:0712012017 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-Huhhell search (if applicable) on each search subject. We have attached the web link below for your convenience:alartindale-Ilubbellhttp://www.martindale.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 have fully reviewed the research documents. For internal use only SONY_GM_00060303 CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023127 EFTA_00 7084 I EFTA01297290  OFAC RESULTS RDC: Date of tch 11605341 KYC 1804531 Countr y : UNITED STATES Birth: Found 3/14/1984 PCR: C201707383171611 13018221 NCA customised Auto-Closed No-Flit 20/07/2017 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:7/20/2017 Report processed by: DEUTSCHE BANK AGII Full Name Address County Phone 301 E 66TH ST APT 3M NEW YORK None Listed For internal use only SDNY_GM_00060304 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023128 EFTA_OOI 70842 EFTA01297291  Page 2 Full Name Address County Phone NEW YORK, NY 10065-6205 NEW YORK COUNTY ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 890-37-XXXX 189029524089 I SSN potentially randomly issued by the SSA Subject Summary Nam 1 SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1: 890-37-XXXX N/A SSN is potentially randomized Others Using SSN - 0 records found Address Summary - 4 records found No. Address 1: 301 E 66TH ST APT 3M NEW YORK, NY 10065-6205 NEW YORK COUNTY 2: 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506 NEW YORK COUNTY 3: 6 W 14TH ST STE 3 NEW YORK. NY 10011-7506 NEW YORK COUNTY 4: 6100 RED HOOK OTRS STE B-3 ST THOMAS, VI 00802-1348 ST. THOMAS COUNTY Address Details 1: 301 E 66TH ST APT 3M NEW YORK, NY 10065-8205 Address Dates Phone 301 E 66TH ST APT 3M 12/2012 - M017 NEW YORK, NY 10065-6205 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age. 36 Median Income: $156.291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 2: 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506 Address Dates Phone For internal use only SDNY_GM_00060305 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023129 EFTA_00170843 EFTA01297292  Page 3 6 W 14TH ST STE 2 3/2012 - 7/2012 NEW YORK, NY 10011-7506 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age: 37 Median Income: $130,793 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 3: 6 W 14TH ST STE 3 NEW YORK, NY 10011-7506 Address Dates Phone 6 W 14TH ST STE 3 (212) 966-4200 NEW YORK, NY 10011-7506 NEW YORK COUNTY Census Data for Geographical Region Median Head of Household Age 37 Median Income: $130,793 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 4: 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 Address Dates Phone 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348 ST. THOMAS COUNTY 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 - 0 records found For internal use only SDNY_GM_00060306 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023130 EFTA_00I 708,14. EFTA01297293  Page 4 Business Associates -1 records found 1: EDUCATION ADVANCE Name: Address: 408 CHESTER ST MENLO PARK, CA 94025-2524 Status: ACTIVE State: CA Corporation Number: C3947595 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/5/2017 Filing Date: 9/21/2016 Person Associates - 0 records found Neighbors - 7 records found 301 E 66TH ST APT 3M NEW YORK, NY 10065-6205 Name Address Phone ROSS. JAMIE 301 E 66TH ST APT 3D NEW YORK, NY 10065-6206 HOFFMAN. YVETTE 301 E 66TH ST APT 3E KAY, IRA E NEW YORK, NY 10065-6206 REILLY, MEGAN 301 E 66TH ST APT 3F NEW YORK, NY 10065-6206 SCHNEIDER, ALEXANDRA 301 E 66TH ST APT 3G SCHNEIDER. JACQUELINE H NEW YORK, NY 10065-6206 TILLMAN. ROSS J ASCHER, ELIZABETH C 301 E 66TH ST APT 3H GUINLE, MARIA NEW YORK, NY 10065-6206 YOUDIM, JESSICA GARFIELD, BRIAN P 301 E 66TH ST APT 3.1 SEHERR THOSS. MARIAN K NEW YORK, NY 10065-6206 BOOKMAN. ADAM 301 E 66TH ST APT 3K (646) 964-4833 TEMAN, W NEW YORK, NY 10065-6206 TOPPER, JESSICA S Employment Locator - 2 records found 1: Company Name: EDUCATION ADVANCE Name: SSN: 890-37-XXXX Confidence: Medium 2: Company Name: EDUCATION ADVANCE Name: Title: PRESIDENT SSN: 890-37-XXXX Confidence: Medium For internal use only SDNY_GM_00060307 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023131 EFTA_00I 70845 EFTA01297294  Page 5 Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Sources - 17 records found All Sources 17 Source Document(s) Corporate Affiliations 1 Source Document(s) Historical Person Locator 2 Source Document(s) Person Locator 1 1 Source Document(s) Phone 12 Source Document(s) Utility Locator 1 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. General 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 free 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 OPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright® 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00060308 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023132 EFTA_00170846 EFTA01297295