EFTA01408982.pdf

Subject: CLEARED: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke [I] From: PWMUS AMLKYC <fl Date: Wed, 12 Oct 2016 14:35:05 -0400 To: Cynthia Rodriguez PWMUS AMLKYC Classification: For internal use only Hello Cynthia, AML Compliance has reviewed the PCR alert generated for Darren Indyke, beneficiary of the Butterfly Trust, client of the Private Bank. The subject of the alert is a positive match to Mr. Indyke who has a reference on file with compliance . AML Compliance clears this alert from an AML perspective. Kind regards, Renee Salhi {cid:1 [email protected]} Renee Salhi Associate I AML Compliance Officer Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5201 Gate Parkway, 2nd floor Jacksonville, FL 32256 Tel. Email Visit us: http://www.db.com {cid:2 [email protected]} Leistung aus Leidenschaft EFTA01408982 From: Cynthia Rodriguez Sent: Wednesday, October 12, 2016 12:08 PM To: PWMUS AMLKYC Subject: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke Dear AML Compliance, Attached are RDC alerts for Darren Indyke and Richard Kahn who have been previously KYC approved and are part of KYC Update case 01651789. The alerts reference the following: Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions. Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Richard Leroy Kann aka RICHARD L KAHN, DOB: , of GOLDEN, Colorado, appears on the list of Colorado - Sex Offenders Richard L. Kahn, 1962, of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy. Darren Indyke has a PCR alert, but the alerts don't reference anything specific. Please clear these alerts for the following reasons: These alerts are false positives as the Richard Kahn that is previously KYC approved has a date of birth of and resides at III . He is an attorney at HBRK Associates in New York. Darren Indyke is reviousl KYC a roved has a date of birth of and resides at . He is currently employed at Southern Financial LLC. EFTA01408983 Kind regards, Cynthia Rodriguez fcid:[email protected] Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email EFTA01408984