EFTA01298113.pdf

NAME SEARCHED: Darren Indyke 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): C4 No Hit O Not Required No RDC Alert(please see attached) RDC I . RDC Results E lilt ID NHit • Not Required FIRCOSOF1' IL FIRCOSOFT Results FIRCOS0FT AI ert(pl ease see attached) Hit No Information Found III. Negative Media BIS ID Yes No El Not Required IV. Non-Negative Media 0 Not Required Not Required V. Other Language Media Not Required Results? E Yes M No D&B VI. DRS Not Required Information Found(please see attached) Smartlinx Results? Cl Yes O No O Not Required VII. Smartlinx O Review by Legal May No Information Found Court Cases be Required IS No Results VIII. Cotut Cases III Search not required Prepared by: Mania choudhary Date: 8/2(1/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your cons enience:blartindale-Hubbellhttp://www.martindale.com/tp/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 confinnation that you have fully reviewed the research documents. For internal use only For internal use only S0NY_GM_00062172 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DEI-SDNY-0024897 EFI'A_00172682 EFTA01298113  Page 2 OFAC RESULTS R.DC: Date of No Match Found Country:UNITED STATES Birth• Darren Indyke FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Indyke, 24860292 VVR 248602922182 Individual No Alert CIL_TMEDRI No Alert No Alert Darren BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2018 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date8/17/2018 Report processed by: DEUTSCHE BANK AGII For internal use only For internal use only SDNY_GM_00062173 CONFIDENTIAL - PURSUANT TO FED. R.ctil;IFNI(E IDENTIAL DB-SDNY-0024998 EFTA 00172683 EFTA01298114  Page 2 Full Name Address County Phone INDYKE. DARREN K Area code may change ADDITIONAL PERSONAL INFORMATION SSN DOB Gender .11.1n Le) -XXXX (Age 53) Subject Summary Name Variations 1: INDYKE. DARREN 2: INDYKE, DARREN K 3: INDYKE DARREN. K SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: IMM-XXXX New York 1974-1975 DOBs Reported DOBs: Others Using SSN - 0 records found Address Summary - 16 records found No. Address 1 2 3. 4 6 For internal use only For internal use only SDNY_GM_00062174 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024999 EFTA_00172684 EFTA01298115  Page 3 No. Address 8 c. 10 11 12 13 14 15 Mim 16 Add 1: Address Dates 9/2011 - 8/2018 Census Data for Geographical Region Median Head of Household Age: 55 Median Income: $162.324 Median Home Value: $743.519 Median Education: 15 years Household Members Other Associates For internal use only For internal use only SDNY_GM_00062175 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0025000 EFTA_00172685 EFTA01298116  Page 4 2: - Address Dates Phone 4/2004 - 8/2018 Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $71.102 Median Home Value: $585,558 Median Education: 14 years Household Members None Listed Other Associates None Listed 3: - mm Address Dates Phone 9/2000 - 8/2018 Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $182.847 Median Home Value: $684.590 Median Education: 16 years Household Members Other Associates 4: Address Dates Phone 7/2015 - 3/2018 Census Data for Geographical Region Median Head of Household Age 70 Median Income: $147.321 Median Home Value: $572.674 Median Education: 15 years Household Members None Listed Other Associates None Listed 5: Dates 912004 - 11/2017 Household Members None Listed Other Associates None Listed 6: Address Dates Phone For internal use only For internal use only SDNY_GM_00062176 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025001 EFTA_00172686 EFTA01298117  Page 5 11/2008 - 4/2016 =E M Household Members None Listed Other Associates None Listed 7: Address Dates Phone 2009 - 3/2010 Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $51,694 Median Home Value: $157,589 Median Education: 12 years Household Members None Listed Other Associates None Listed 8: Addre Dates 6/2005 - 12010 Household Members None Listed Other Associates None Listed 9: Dates 3t2008 - 6/2008 Household Members None Listed Other Associates None Listed 10: Dates Phone 10/2000 - 7/2007 Household Members None Listed Other Associates None Listed 11: Dates Phone 5/2000 - 2/2006 Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156,291 For internal use only For internal use only SDNY_GM_00062177 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025002 EFTA_00I 72687 EFTA01298118  Page 6 Median Home Value: $753,989 Median Education: 16 years Household Members Other Associates None Listed 12: Address Dates Phone 2002 - 9/2004 Census Data for Geographical Region Median Head of Household Age. 51 Median Income: $111,607 Median Home Value: $475,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 13: Dates 172003 -172003 Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $105,460 Median Home Value: $965,278 Median Education: 15 years Household Members Other Associates None Listed 14: Address Dates Phone 8/1988 - 4/1994 Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $60484 Median Home Value: $275,562 Median Education: 16 years Household Members None Listed Other Associates 15: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 34 For internal use only For internal use only SDNY_GM_00062178 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025003 EFTA_00I 72688 EFTA01298119  Page 7 Median Income: $149.816 Median Home Value: $400,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 16: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $118,056 Median Home Value: $590,000 Median Education: 16 years Household Members None Listed Other Associates None Listed Voter Registrations - 2 records found 1: New Jersey Voter Registration Registrant Information Name: INDYKE. DARREN K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 3/19/2010 Last Vote Date: 11/8/2016 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: INDYKE, DARREN K Residential Address: SSN: )000( Date of Birth: Gender: Male Voter Information Last Vote Date: 2001 Party Affiliation: REPUBLICAN Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: INDYKE, DARREN K For internal use only For internal use only SDNY_GM_00062179 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025004 EFTA_OOI 72689 EFTA01298120  Page 8 1: Professional License SSN: 1=-XXXX Company Name: NEW YORK STRATEGY GROUP, LLC Address: 457 MADISON AVE NEW YORK. NY 10022-6843 County: NEW YORK Phone: Date of Birth: 0211965 License Information Profession or Board: ATTORNEYS License Type: ATTORNEY License Number: 2491850 Issue Date: 1992 Last Renewal Date: 06/19/2002 State: New York Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 6 records found 1: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN & Address: County/FIPS: ESSEX Pro ert Infration Address: County/FIPS: Data Source: B Le al Information Assessor's Parcel Number: Recording Date: 09/15/2011 Book/Page: Sale Information Sale Price: $460000 Assessment Information Assessed Value: $304694 Market Land Value: $85000 Market Improvement $219694 Value: Total Market Value: $304694 2: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN K & Address: County/FIPS: ESSEX Pro Information Address: County/FIPS: For internal use only For internal use only SDNY_GM_00062180 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025005 EFTA_00I 72690 EFTA01298121  Page 9 Data Source: B Legal Information Assessor's Parcel Number: Recording Date: 07/16/2015 Book/Page: Sale Information Sale Price: $3100000 Assessment Information Assessed Value: $2622629 Market Land Value: $1464375 Market Improvement $1158254 Value: Total Market Value: $2622629 3: Deed Record for PALM BEACH County Buyer Information Name: INDYKE DARREN K Name: Address: County/FIPS: ESSEX Seller Information Name: SCHULTHEIS , GARY J Name: SCHULTHEIS , CHERYL Address: 4311 MILLINGTON RD FREE UNION. VA 22940.2130 County/FIPS: ALBEMARLE Pro Information Address: County/FIPS: Data Source: B Legal Information Assessor's Parcel Number: Contract Date: 07/22/2015 Recording Date: 07/23/2015 Document Number: 20150274380 Document Type: WARRANTY DEED Book/Page: Sale Information Sale Price: $3100000 Mortgage Information Loan Type: THIS CODE IS USED ONLY FOR BKFS LEGACY Title Company: ATTORNEY 4: Assessment Record for ESSEX County, NJ Owner Information Name: INDYKE, DARREN & SAIPHER, MICHELLE For internal use only For internal use only SDNY_GM_0006218i CONFIDENTIAL - PURSUANT TO FED. R.ctQN(F IDENTIAL DB-SDNY-0025006 EFTA_00I 7269 I EFTA01298122  Page 10 Address: County/FIPS: ESSEX Property Information Address: Data Source: B Legal Information Assessor's Parcel Number: Recording Date: 06/30/2006 Book/Page: Sale Information Sale Price: $415000 Assessment Information Assessed Value: $386700 5: Deed Record for PALM BEACH County Buyer Information Name: INDYKE DARREN Name: Address: County/FIPS: ESSEX Seller Information Name: LARGE, EDWARD W Name: EDWARD W LARGE REVOCABLE TRUST. Address: 7045 VALENCIA DR BOCA RATON, FL 33433-7405 County/FIPS: PALM BEACH Pro Information Address: County/FIPS: Data Source: B Lender Information Name: WELLS FARGO BANK NA Le al Information Assessor's Parcel Number: Contract Date: 09/15/2011 Recording Date: 09/21/2011 Document Number: 20110353592 Document Type: WARRANTY DEED Book/Page: Sale Information Sale Price: $460000 Mortgage Information Loan Amount: $345000 Loan Type: NEW CONVENTIONAL Title Company: ATTORNEY For internal use only For internal use only SDNY_GM_00062182 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025007 EFTA_00172692 EFTA01298123  Page I I 6: Assessment Record for CARBON County, PA Owner Information Name: INDYKE, DARREN K Name: Address: ME County/FIPS: Pro Information Address: Data Source: B Le al Information Assessor's Parcel Number: Recording Date: 09/15/2000 Book/Page: Sale Information Sale Price: $253000 Assessment Information Assessed Value: $125400 Motor Vehicle Registrations - 12 records found 1: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Lessee Information Registration Information Original Registration Date: 7/31/2017 Registration Date: 2/18/2918 Registration Expiration Date: 2/19/2020 Decal Number: 00361771 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2017 Make: Lincoln Model: MKC Series: SELECT Body Style: 4 Dr Wagon Sport Utility Color: Red Weight: 3896 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 2: FL MVR Registrant Information Registrant: INDYKE. DARREN K For internal use only For internal use only SDNY_GM_00062183 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025008 EFTA_00I 72693 EFTA01298124  Page 12 DOB: t r Addss: re Lessee Information Registration Information Original Registration Date: 7/3112017 Registration Date: 2/18/2018 Registration Expiration Date: 2/19/2020 Decal Number: 00361769 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2017 Make: Lincoln Model: MKC Series: SELECT Body Style: 4 Dr Wagon Sport Utility Color: Blue Weight: 3896 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 3: FL MVR Registrant Information Registrant: INDYKE. DARREN K DOB: Address: Lessee Information Registration Information Original Registration Date: 4/15/2017 Registration Date: 4/15/2017 Registration Expiration Date: 2/19/2019 Decal Number: 00713679 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2016 Make: Lincoln Model: MKX Series: RESERVE Body Style: 4 Dr Wagon Sport Utility Color: Black Weight: 4044 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL For internal use only For internal use only SDNY_GM_00062184 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025009 EFTA_00I 72694 EFTA01298125  Page 13 4: FL MVR Registrant Information Registrant: INDYKE. DARREN K DOB: Address: Registration Information Original Registration Date: 4/15/2017 Registration Date: 4/15/2017 Registration Expiration Date: 2/19/2019 Decal Number: 00713924 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2015 Make: Mercedes-Benz Model: S600 Series: S600 Body Style: Sedan 4 Door Color: Black Weight: 3501 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 5: FL MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2015 Make: Mercedes-Benz Model: S600 Series: $600 Body Style: Sedan 4 Door Color: Black Weight: 3501 Owner Information Name: INDYKE, DARREN K DOB: Address: Lienholder Information Name: BANK OF AMERICA Address: PO BOX 2759 JACKSONVILLE. FL 32203-2759 DUVAL COUNTY itle Information Title Number: Title Transfer Date: 4/22/2016 Title Issue Date: 4/22/2016 Source Information Data Source: GOVERNMENTAL For internal use only For internal use only SEINY_GM_00062185 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025010 EFTA_00I 72695 EFTA01298126  Page 14 6: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Registration Information Original Registration Date: 4/2/2013 Registration Date: 2/27/2015 Registration Expiration Date: 2/19/2017 Decal Number: 00340965 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Lincoln Model: MKX Series: FWD Body Style: 4 DrWagon Sport Utility Color: Black Weight: 4120 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 7: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2016 Make: Lincoln Model: MKX Series: RESERVE Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 3/11/2016 Source Date Last Seen: 1/20/2017 Source Information Data Source: NON-GOVERNMENTAL 8: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Lincoln Model: MKX Series: FWD Body Style: 4 Dr Wagon Sport Utility For internal use only For internal use only SDNY_GM_00062186 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025011 EFTA_00172696 EFTA01298127  Page 15 Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 8/20/2914 Source Date Last Seen: 12/5/2014 Source Information Data Source: NON-GOVERNMENTAL 9: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Cadillac Model: Escalade Series: LUXURY Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 7/14/2016 Source Date Last Seen: 1/11/2018 Source Information Data Source: NON-GOVERNMENTAL 10: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2009 Make: Lexus Model: LS460 Series: AWD Body Style: Sedan 4 Door Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 8/31/2009 Source Date Last Seen: 8/12/2016 Source Information Data Source: NON-GOVERNMENTAL 11: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: Jaguar Model: XJL Series: PORTFOLIO Body Style: Sedan 4 Door For internal use only For internal use only SDNY_GM_00062187 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025012 EFTA 00172697 EFTA01298128  Page 16 Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 5/22/2013 Source Date Last Seen: 4/4/2014 Source Information Data Source: NON-GOVERNMENTAL 12: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Mercedes-Benz Model: ML350 Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 10/5/2013 Source Date Last Seen: 10/5/2013 Source Information Data Source: NON-GOVERNMENTAL Boats -1 records found 1: Florida Boat Registration State: Registration Number: Registration Status: ACTIVE Registration Issue Date: 03/01/2018 Registration Expiration Date: 9 Decal Number: Vessel Make: KRISTA INC Hull Type: OTHER Use: PLEASURE VESSEL Propulsion Type: OUTBOARD Vessel Year: 1988 Hull Identification Number: Length (Ft-In): 16-0 Date Last Seen: 03/01/2018 Owner Information Name: INDYKE, DARREN K Address: l= mmi Title Information Title Number: Title Status: ORIGINAL - NEW Title Type: WATER CRAFT Title Issue Date: 03/01/2018 Source Information Data Source: GOVERNMENTAL Aircraft - 0 records found For internal use only For internal use only SDNY_GM_00062188 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0025013 EFTA_00I 72698 EFTA01298129  Pace 17 Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 1 records found 1: Fictitious Businesses Business Information Name: NEH YORK STRATEGY GROUP LLC Office Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Jurisdiction: NY Type: OBA Filing Number: 000113000225 Filing Date: 01/13/2000 Contact Information Name: DARREN K. INDYKE ESQ Address: 457 MADISON AVE NEW YORK. NY 10022-6843 Contact Type: OWNER Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree: 10 No. Full Name