EFTA01297550.pdf

NAME SEARCHED: Bella Klein 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 [ Res iess.er Comments (as necessary): RDC ili No flit El Not Requited I I. RUC Resul ts No RUC Alert DIIg 0 No lilt • Not Required Fireosoft O Hit II FIRCOSOFT Results No Fircosoft Alert No information found III. Negative Media BIS O Yes 0 No Not required Not Required IV. Non-Negative Media No information found V. Other Language Media Not required Results? ID Yes O No Din 0 Not Required VI. Information found(Please see attached) Snuutlinx Rearlts? Yes O No O Not Required VII. Smartlinx Review by_Legal May Information found(Please see attached) Court Cases be Required O No Results VIII. Court Cases E Search not required Prepared by: Date: 02/12/2018 Research Anglyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that . ou 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:Mart indale-Hubbellhttp://w w.martindale.comhip/Martindale/homeaml 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 SDNY_GM_00060887 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023712 EFTA_00171401 EFTA01297550  Page 2 OFAC RESULTS RDC: Date of 11621551 No Match Found KYC 01898372 Country:UNITED STATES Birth: • Bella Klein 5/11/1960 FIRCOSOFT: Alert(s) Request ID Record ID Type Name ADM INT PEP SAE Klein, 2457950 WR 24579502182 Individual No Alert No Alert No Alert No Alert Bella BIS RESULTS Negative Media: No information found Non-Negative Media: Not required Other Language Media: No information found Public Record: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2018 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:2/12/2018 Report processed by: DEUTSCHE BANK AGII For internal use only SDNY_GM_00060888 CONFIDENTIAL - PURSUANT TO FED. R.cItc?N(F IDENTIAL DB-SDNY-0023713 EF1'A_00171402 EFTA01297551  Page 2 Full Name County Phone KLEIN, BELLA KINGS ADDITIONAL PERSONAL INFORMATION Gender LexID(sm) 002566367579 Subject Summary Name Variations 1: KLEIN, B 2: KLEIN, BELLA 3: TSUKERMAN. BELLA 4: TSUKEZMAN, BELLA 5: TSURERMAN, BELLA SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1 New York 1992-1993 DOBs Reported DOBs: 11/1960 5/1960 Possible E-Mail Addresses DRBOUWERCdlIBM.NET Others Using SSN - 0 records found Address Summary - 5 records found For internal use only SDNY_GM_00060889 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023714 EFTA_00171403 EFTA01297552  Page 3 Dates Phone 1/1999 - 2/2018 Dates Phone 2/2009 - 92009 Dates Phone 6/1997 - 12003 Dates Phone 6/2000 - 6/2000 For internal use only SDNY_GM_00060890 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023715 EFTA_00I 71404 EFTA01297553  Page 4 Dates Phone 11/1995 - 6/1997 Voter Registrations - 2 records found 1: New York Voter Registration For internal use only SDNY_GM_00060891 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023716 EFTA_00171405 EFTA01297554  Page 5 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 - 3 records found 1: Assessment Record for KINGS County, NY flastriarLetfeur : • sessment - ecor• or ounty, For internal use only SDNY_GM_00060892 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SONY-0023717 EFTA_00I71406 EFTA01297555  Page 6 3: Deed Record for KINGS County Motor vehicie Registrations - u records touna 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 7. 2nd Degree: 3 No. Full Name Address/Phone 1. For internal use only SDNY_GM_00060893 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023718 EFTA_00I 71407 EFTA01297556  Page 7 No. 1.A. 3. For internal use only SDNY_GM_00060894 CONFIDENTIAL - PURSUANT TO FED. R.C2CIFNIF IDENTIAL DB-SONY-0023719 EFTA ((1171408 EFTA01297557  Page 8 CONFIDENTIAL - PURSUANT TO FED. R.cOFIN(E I DENTIAL DB-SDNY-0023720 EFT,00171409 EFTA01297558  Pa's 9 business ssoci axes recoras xouna Person Associates - 4 r ecords found No. Full Name Address SSN Phone DOB 1: EPSTEIN, JEFFREY E 9 E 71ST ST 1/1953 EPSTEIN, JEFFERY E NEW YORK, NY 10021- EPSTEIN. JERRERY 4102 EPSTEIN, J EPTSTEIN, JEFFERY 457 MADISON AVE FL 4TH EPSTIEN, JEFFERY NEW YORK, NY 10022- EDWARDS, JEFFERY 6843 49 ZORRO RANCH RD BH STANLEY. NM 87056-9743 49 ZORRO RANCH RD B STANLEY, NM 87056-9743 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802- 1348 2: MAXWELL, GHISLAINE 116 E 65TH ST NOELLE NEW YORK, NY 10065- MAXWELL, GHISLANE N 7007 55 MONTEREY AVE For internal use only SDNY_GM_00060896 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023721 EFTA_00ll 714 LO EFTA01297559  Page 10 No. Full Name Atielratte CSKI Phone DOB 3: TSUKERMAN, VYACHESLA TSUKER MAN. VYACHESLAV 4: ZUKERMAN, STEVEN Neighbors - 10 records found 2772 F Rion ST ROCIAKI 'MI MY 11914.11Ald Phone SDNY_GM_00060897 CONFIDENTIAL - PURSUANT TO FED. R.ctON(f IDENTIAL DB-SDNY-0023722 EFTA_00I7 14 I I EFTA01297560  Faye I I Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 2 records found 1: Personal Information Name: KLEIN. BELLA Address: 2772 E 63RD ST 11234.6814 Phone Number: Y Phone Type: Mobile Carrier Information Carrier: OMNIPOINT COMM NY Carrier City: NEW YORK CITY ZONE 03 Carrier State: NY 2: Personal Information Name: KLEIN. BELLA Address: 2772 E 63RD ST R KY Y 11234-6814 Phone Number: Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS DC Carrier City: NEW YORK CITY ZONE 06 Carrier State: NY Possible Education - 0 records found Sources - 54 records found All Sources 54 Source Document(s) Deed Transfers 4 Source Document(s) Driver Licenses 1 Source Document(s) Email addresses 1 Source Document(s) Historical Person Locator 13 Source Document(s) Person Locator 1 5 Source Document(s) Person Locator 2 4 Source Document(s) Phone 6 Source Document(s) PhonesPlus Records 2 Source Document(s) Tax Assessor Records 16 Source Document(s) Voter Registrations 2 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. For internal use only SDNY_GM_00060898 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023723 EFTA 00171412 EFTA01297561  Page 12 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® 2018 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not required LEGAL RESULTS: Court Cases: For internal use only SDNY_GM_00060899 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023724 EFTA_00171413 EFTA01297562  Page 1 In the Matter of GEORGE G. LAKE, as Assignee of BELLA KLEIN, Judgment-Creditor-Appellant, against CORNELIUS VANDERBILT, JR., Judgment Debtor; CENTRAL HANOVER BANK AND TRUST COMPANY, Third-Party Witness, Respondent, and UNITED STATES TRUST COMPANY, Third Party. Court of Appeals of New York 300 N.Y. 672; 91 N.E.2d 326; 1950 N.Y. LEXIS 1457 Submitted January 3, 1950 February 23, 1950, decided PRIOR HISTORY: rig Reported below, 275 App. Div. 1039. MOTION for leave to appeal from an order of the Appellate Division of the Supreme Court in the first judicial department, entered October 31, 1949, which unanimously affirmed an order of the Supreme Court at Special Term (DICKSTEIN. J.), entered in New York County, granting a motion by the above-named third-party witness-respondent to vacate a subpoena duces tecum to give evidence in a pending supplementary proceeding. Said respondent is the trustee of a trust created under the will of Alice G. Vanderbilt, deceased, of which the judgment debtor is the income beneficiary. Appellant, as assignee, instituted supplementary proceedings against respondent for the purpose of reaching surplus income from two trust funds of which the judgment debtor is beneficiary. In such proceedings an order was made, upon consent, by which the trustees were directed to pay to the judgment creditor 7 1/2% of the income from the trust and in return the judgment creditor relinquished all rights against other income of the judgment debtor with certain exceptions. It was further provided that said proceedings were to remain pending but the judgment creditor agreed [".2] that he would not examine, and he was accordingly prohibited from examining, the judgment debtor at any time prior to the death of the judgment debtor's mother. HEADNOTES Appeal - Court of Appeals - matters appealable - Appellate Division unanimously affirmed order of Special Term granting motion to vacate subpoena duces tecum in pending supplementary proceeding - motion for leave to appeal dismissed on ground order does not finally determine proceeding within meaning of Constitution. COUNSEL: George G. Lake, in person, for motion. John C. Hover and Peter C. McBean opposed. For internal use only SDNY_GM_00060900 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023725 EFTA_00I71414 EFTA01297563  Page 2 300 N.Y. 672, *; 91 N.E.2d 326; 1950 N.Y. LEXIS 1457, ** OPINION p673] Motion dismissed, with $10 costs and necessary printing disbursements, upon the ground that the order does not finally determine the proceeding within the meaning of the Constitution. For internal use only SDNY_GM_00060901 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023726 EFTA_001171415 EFTA01297564