EFTA01296227.pdf

NAME SEARCHED: Darren K. Indyke PLLC 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): Lgi No 11)1 0 Nio Itaitiirol Rix' I. RD(' Results I No RD(' alert (Please see attached) U tin 0 No Illt 0 Not Required liCR II. PCR Result; PCR alert (mail send separately) [83 Hit 0 Yes CO No III. Negative Media There was no information found BIS 0 Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required D&B Resell& 0 Yes 'I' No 0 Not Required VI. D&B There was no information found Smartlinx Restate )14 Yes 0 No Result Found (Please see attached) NI Not Required VII. Smartlinx El Review by Legal May There was no information found Court Cases be Required No Results VIII. Court Cases El Search not required Prepared by: Prachi Pawa Da c: 06/19/2017 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We hate attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindalexom/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 S0NY_GM_00058.145 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021169 EFTA_00168905 EFTA01296227  OFAC RESULTS RDC: 11602746 No Match Found KYC 1791049 Country:UNITED STATES Darren K. Indyke PLLC PCR: HIT 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 1 RECORD(S) Comprehensive Business Report Report Created:6-16-2017 7:33 AM EST I FOR INFORMATIONAL PURPOSES ONLY I Copyright 2017 LexisNexis, All rights reserved. Search Terms - company(Darren K. Indyke PLLC) radius(30) last-name(Simoes Birmann) first-name(Bernardo) For internal use only SDNY_GM_00058346 CONFIDENTIAL - PURSUANT TO FED. R.QQNE IDENTIAL DB-SDNY-0021170 EFTA_00168906 EFTA01296228  Page 2 Executives - Current (0) Incorporation/SOS (1) Operations/Sites (1) Sales (0) Licenses (0) URls (0) Real Property - Current (0) Real Property - Prior (0) MVRs - Current (0) MVRs - Prior (0) Watercraft - Current (0) Watercraft - Prior (0) Aircraft - Current (0) Aircraft - Prior (0) Bankruptcy Filings (0) Judgments 8 Liens Filings (0) UCC Filings (0) Executives - Prior (0) Registered Agents (0) Name Variations (1) Possible Employees (1) Person Associates (0) Business Associates (0) TINs (0) Possible Connected Parent Company (0) Industry Information (0) Business (1) View All Sources (2) Business Summary Name Address Phone DARREN K INDYKE PLLC I (No recent public filings on file) LexID Established TIN 0005-2172-5465 2008 (9 Years in Business) At a Glance Real Property 0 UCC Debtor 0 Personal Property 0 Bankruptcy 0 Secured Assets 0 Judgments/Liens 0 Executives 0 Foreclosure/Notice of Default 0 Name Variations -1 name variations found NO. NAME DARREN K INDYKE PLLC TINS - 0 TINs found Business Profile Executives: Current - 0 executive(s) found Incorporation/SOS (0 active, 1 other) NO. NAME FILING TYPE STATUS FILING FILING NO. STATE DATE 1. DARREN K INDYKE LIMITED LIABILITY N/A 09/05/2008 08090500018 PLLC CORPORATION 5 Additional Details Business Type: LIMITED LIABILITY CORPORATION Business Status: N/A Filing Type: SOS Filing Expiration: 09/30/2009 For Profit: Unknown Origin: Other Business Filing OperatingLocations - Showing 1 location(s) NO. ADDRESS METRO AREA PHONE 1 NEW YORK COUNTY Sales - 0 record(s) found Parent Company - 0 record(s) found For internal use only SDNY_GM_00058347 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0021171 EFTA_00168907 EFTA01296229  Page 3 Industry Information - no information found Licenses - 0 licenses found URLs - 0 URLs found Bankruptcy (0 active, 0 closed) Judgments/Liens (0 filings) UCC Filings (0 debtor, 0 creditor) Real Property (0 current, 0 prior) Personal Property (0 current, 0 prior) Associates Executives: Prior - 0 prior executive(s) found Registered Agents - 0 registered agent(s) found Possible Emp ees - 0 current, 1 prior employees found NO. NAME ADDRESS STATUS DATE S 1. Britsch. David N Prior CONTACT 09/05/2008 Person Associates - 0 other person associates found Possible Connected Business -1 businesses found NO. NAME 1. DARREN K INDYKE Business Associates - 0 business associates found Sources All Sources 2 Source Documents Other Directories 2 Source Documents For internal use only SDNY_GM_00058348 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021172 EFTA_00168908 EFTA01296230  Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00058349 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021173 EFTA_OOI 68909 EFTA01296231