EFTA01297892.pdf

NAME SEARCHED: Richard Kahn 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: RCN iewer Comments (as necessary): RDC 0 No Hit 0 Not Required I. RDC Results RDC Alert(please see attached) C4 I lit FIRCOSOFT 3 No Hit 0 Not Required Il. FIRCOSOFT Results No FIRCOSOFT Alert(please see attached) D flit No Information Found III. Negative Media BIS Dyes al No Not Required IV. Non-Negative Media 0 Not Required Not Required V. Other LanLanguage Media Not Required Results'? E Yes M No VI. D&B MB Not Required Information Found(please see attached) Smartlinx Results'? Cl Yes • No 0 Not Required VII. Smartlinx Review by legal May Information Found(please see attached) Court Cases be Required • No Results VIII. Court Cases 0 Search not required Prepared by: Manna choudlcuy Date: 8/17/2018 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 have attached the web link below for your cons enience:Nlartindale-Hubbellhttp://www.martindale.comisp/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 For internal use only SDNY_GM_00061604 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024429 EFTA 00172116 EFTA01297892  Page 2 OFAC RESULTS RDC: r-- I Date of 126 11638369 Alerted KYC 1977694 Country:UNITED STATES Birth: Richard Kahn FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Kahn, Individual Richard No Alert No Alert No Alert No Alert 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 ASH For internal use only For internal use only SDNY_GM_00061605 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024430 EFTA_00I72I17 EFTA01297893  Page 2 Full Name KAHN. RICHARD O SSN 1111m1101110 ADDITIONAL PERSONAL INFORMATION DOB Gender LexIDIsml Name Variations 1: D RICHARD. KAHN 2: KAHN, R 3: KAHN, RICHARD 4: KAHN, RICHARD D 5: KAHO. RICHARD O SSNs Summary No. SSN State Iss. Date Iss. Warnings o subject: 1 DOBs Reported DOBs: 12/1972 12/1972 Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary -11 records found No, Arldrpcc 1: 2 3. 4: 6: For internal use only For internal use only SDNY_GM_00061606 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024431 EFTA_00172118 EFTA01297894  Page 3 No Address 7: 8: 9: 10: 11: Address Details 1: Acn. Dates Phone Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $176,471 Median Home Value: $1.000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed 2: Dates Phone Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $81.397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY, LISA GALE Other Associates None Listed 3 • • ress Dates Phone ensus a a or ograp icaRegion Median Head of Household Age 39 Median Income 581.397 For internal use only For internal use only SDNY_GM_00061607 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024432 EFTA_00I72I19 EFTA01297895  Page 4 Median Home Value: $429.167 Median Education: 16 years Household Members None Listed Other Associates None Listed Address Household Members None Listed Other Associates None Listed 5: Phone Census Data for Geographical Region Median Head of Household Age. 35 Median Income: $123.611 Median Home Value: $678.697 Median Education: 16 years Household Members None Listed Other Associates None Listed 6: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225.720 Median Home Value: $1,000:000 Median Education: 18 years Household Members KAHN. CAROL RUBIN Other Associates RUBIN. LUCILLE L 7: Phone Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00061608 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024433 EFTA_0CIII72 I 20 EFTA01297896  Page 5 None Listed 8: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $139.826 Median Home Value: $803.571 Median Education: 15 years Household Members None Listed Other Associates None Listed 9: Dates Phone ensus oats for cteograpnrcal Region Median Head of Household Age. 42 Median Income: $148.281 Median Home Value: $744.932 Median Education: 16 years Household Members KAHN. IRENE L Other Associates None Listed 10: Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $80.556 Median Home Value: $448.387 Median Education: 15 years Household Members None Listed Other Associates None Listed 11 Ad Dates Phone ensus ata or rap rca egion Median Head of Household Age: 38 Median Income: $208.387 Median Home Value: $965.909 Median Education: 15 years Household Members None Listed Other Associates For internal use only For internal use only SDNY_GM_00061609 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0024434 EFTA_00172121 EFTA01297897  Page 6 RUBIN. LUCILLE L Voter Registrations - 9 records found 1: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 3: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active Status: ACTIVE 4: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: Home Phone: SSN: 108-50-XXXX For internal use only For internal use only SDNY_GM_00061610 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024435 EFTA_GOI7.2 I 22 EFTA01297898  Page 7 Date of Birth: 12/1972 Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 5: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: New York Voter Registration Registrant Information Name: KAHN, RICHARD D Residential Address: Home Phone: SSN: Date of Birth: Gender: ac Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE 7: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: New York Voter Registration Registrant Information Name: KAHN. RICHARD For internal use only For internal use only SDNY_GM_00061611 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024436 EFTA_DOI 72123 EFTA01297899  Page 8 Residential Address: SSN: ■ Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN 9: New York Voter Registration Registrant Information Name: KAHN. RICHARD D Residential Address: SSN: ■ Date of Birth: Gender: e Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: KAHN. RICHARD SSN: Address: County: Gender: License Information License Type: CPA License Number: 078502 Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 1 records found 1: Assessment Record for SUFFOLK County, NY Owner Information Name: RICHARD KAHN Address: County/FIPS: ion Address: Data Source: Legal Information Assessor's Parcel 0900-080.00-02.00-009.014 Number: For internal use only For internal use only SDNY_GM_00061612 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024437 EFTA 00172124 EFTA01297900  Page 9 Recording Date: 10/27/2015 Book/Page: 12852/589 Sale Information Sale Price: $1518000 Assessment Information Assessed Value: $1243500 Motor Vehicle Registrations - 5 records found 1: NY MVR Registrant Information Registrant: KAHN. RICHARD D DOB: Address: Registration Information Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration Date: 3/16/2013 Vehicle Information VIN: 1GNSKKE34BR274132 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Plate Information License Plate Type: Private License Plate Number: FHH6920 Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR Vehicle Information VIN: 1GNSKKE34BR274132 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Chevrolet Model: K1500 Series: SUBURBAN LTZ Body Style: 4 Dr Wagon Sport Utility Weight: 5827 Owner Information Name: KAHN, RICHARD D DOB: Address: Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL 3: NY MVR Registrant Information For internal use only For internal use only SDNV_GM_00061613 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024438 EFTA_00I 72 I 25 EFTA01297901  Page 10 Registrant: KAHN. RICHARD D DOB: Address: Registration Information Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration Date: 7/8/2011 Vehicle Information VIN: SALMF15407A257934 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Plate Information License Plate Type: Private Previous Plate Number: EAE1027 Previous Plate State: NY License Plate Number: EAE1027 Plate State: NY Source Information Data Source: GOVERNMENTAL 4: NY MVR Vehicle Information VIN: SALMF15407A257934 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 5701 Owner Information Name: KAHN. RICHARD D DOB: Address: Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL 5: NY MVR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration Date: 1/6/2006 For internal use only For internal use only SDNY_GM_00061614 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024439 EFTA_00I72 I 26 EFTA01297902  Page 11 Vehicle Information VIN: SALPM16412A466707 Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2002 Make: Land Rover Model: Range Series: ROVER HSE Body Style: 4 Dr Wagon Sport Utility Weight: 4960 Plate Information License Plate Type: Private Previous Plate Number: BEV5149 Previous Plate State: NY License Plate Number: BEV5149 Plate State: NY Source Information Data Source: GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 1 records found 1: NY Judgments and Liens Filings Debtor Information Name: KAHN RICHARD SSN: Address: Creditor information Name: SIBARELP Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction Filing 1 Number: 20000072311 Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency County: NEW YORK UCC Liens -1 records found 1: NEW YORK CITY RECORD Debtor Information Debtor 1 Name: KAHN. RICHARD SSN: Address: uermor Name: KAHN. LISA SSN: Address: urea Tarty rnro Name: FIRST REPUBLIC BANK Address: 111 PINE ST For internal use only For internal use only SDNY_GM_00061615 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024440 EFTA 00172127 EFTA01297903  Page 12 SAN FRANCISCO. CA US 94111-5602 Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: 2016000105048 Original Filing Type: INITIAL COOP UCC1 Original Filing Date: Number: Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 10 No. Full Name Address/Phone 1 MINSKY, LISA GALE • AKA KAHN. LISA G SSNE M DOB: (Age: 2. KAHN, GARY E A Deceased • AKA AHN. GARY E • AKA KAHAN. GARY S8" DOB (Age 3. KAHN, CAROL RUBIN • AKA BLITSTEIN, CAROL RUBIN • AKA RUBIN. CAROL JAYNE • AKA RUBIN, KAHN CAROL • AKA RUBIN, CAHN CAROL • AKA RUBIN-KAHN. CAROL • AKA KAHN, C R • AKA RUBIN CAHN, CAROL • AKA RUBIN KAHN. CAROL • AKA LITSTEIN, CAROL R • AKA RUBIN. BLITSTEIN CAROL • AKA RUBIN KAHN. C • AKA RUB, CAROL SSN:054-44-XXXX For internal use only For internal use only SDNY_GM_00061616 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024441 EFTA 00172128 EFTA01297904  Page 13 No. Full Address/Phone (Age: 4. LIPUMA, ALISSA B • AKA KAHN, ALISSA B • AKA, KAHNLIPUMA. ALISSA • AKA LIPUMA. A • AKA LI PUMA. ALISSA B • AKA LIPUMA. ALISSA P • AKA LI, ALISSA B • AKA LIPLUMA, ALISSA B • AKA PUMA. ALISSA B LI • AKA LIPUMA, ALLISSA • AKA KAHN, LIPUMA ALISSA SS DO (Ag 5. KAHN. IRENE L SSN DO (Age 6. KAHN. IRWIN A A DI SSN. DOB: (Age: KAHN. GABRIELLE EVE DOB: (Age: 8. KAHN, IRWIN GRANTEE For internal use only For internal use only SDNY_GM_00061617 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024442 EFTA 00172129 EFTA01297905  Page 14 No. Full Name SS DO (Ag 9. KAHN, IRWIN M • AKA IRWIN, KAHN SSN DOB (Age 10. KAHN, FRANCINE L A Deceased • AKA CAHN, FRANCINE L • AKA KAHN, FRAN SS DO (Ag Business Associates - 6 records found 1: ARC HOLDING INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558550 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 2: ARKAY CAPITAL CORP. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 2515783 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 5/31/2000 3: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Status: ACTIVE State: NY Corporation Number: 3714818 Descriptive Status: ACTIVE For internal use only For internal use only SDNY_GM_00061618 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024443 EFTA 00172130 EFTA01297906  Page 15 Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 8/29/2008 4: K 8 F CAPITAL CORP. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2516183 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 6/1/2000 5: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Status: INACTIVE State: NY Corporation Number: 2558561 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/24/2018 Filing Date: 9/29/2000 6: THE C.O.U.O. FOUNDATION, INC. Name: KM-IN pirmaan Address: Status: State: Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/23/2011 Person Associates - 4 records found No. Full Name Address SSN Phone DOB 1: RUBIN, LUCILLE L 2: RUBIN, ISAAC J RUBIN. I RUBIN, JUDGE I For internal use only For internal use only SDNY_GM_00061619 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024444 EFTA_00172131 EFTA01297907  Page 16 No. Full Name 3: SCHEFFLER. ADAM CRAIG SCHEFFLER. A C SCHEFELER, ADAM C SCHLEFFLER. ADAM SCHEFFER. ADAM SHEFFLER, ADAM 4: RUBIN, LUCILLE Neighbors -1 records fo Name Phone MOEDER. ALYSSA C Employment Locator - 27 records found 1: Company Name: ARKAY CAPITAL CORP. Name: KAHN, RICHARD SSN: Confidence:Medium 2: Company Name: HBRK ASSOCIATES INC. Name: KAHN. RICHARD SSN: Confidence: Medium 3: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: 4: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD SSN: Confidence: 5: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD SSN: Confidence: For internal use only For internal use only SDNY_GM_00061620 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024445 EFTA 00172132 EFTA01297908  Page 17 6: Company Name: K & F CAPITAL CORP. Name: KAHN. RICHARD SSNI Confidence: Medium 7: Company Name: THE C.O U.Q FOUNDATION, INC. Name: KAHN, RICHARD Title: iEASURER SSN: illidd Confidence: Medium 8: Company Name: THE C.O.U.Q. FOUNDATION, INC. Name: KAHN. RICHARD Title: SSN: SSE Confidence: Medium 9: Company Name: HBRK ASSOCIATES INC. Name: KAHN. RICHARD Address: SSN: Phone: Confidence: nign 10: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: SSN: Confidence: rugn 11: Company Name: ARC HOLDING INC. Name: KAHN, RICHARD Address: SSN: Confidence: Medium 12: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN, RICHARD Address: SSN: Confidence: High 13: Company Name: K & F CAPITAL CORP. Name: KAHN. RICHARD Address: SSN: Confidence: Meaium 14: Company Name: ARKAY CAPITAL CORP. For internal use only For internal use only SDNY_GM_00061621 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024446 EFTA 00172133 EFTA01297909  Page 18 Name: KAHN RICHARD Address: SSN: Phone: Confidence: re.ium 15: Company Name: ALASKA FREEDOM FISHN Name: KAHN. RICHARD Title: Address: SSN: Confidence: High 16: Company Name: ALASKA FREEDOM FISHN Name: KAHN. RICHARD Title: Address: SSN: Confidence: ig 17: Company Name: HBRK ASSOCIATES INC Name: KAHN, RICHARD Title: Address: SSN: Phone: Confidence: High 18: Company Name: HBRK ASSOCIATES INC Name: KAHN. RICHARD Title: Address: SSN: Phone: Confidence: 9 19: Company Name: BROOKLYN TOFU Name: KAHN. RICHARD Title: Address: SSN: Confidence: High 20: Company Name: F&J RESTAURANT GROUP LLC Name: KAHN. RICHARD Title: Address: SSN: Confidence: 9 For internal use only For internal use only SDNY_GM_00061622 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024447 EFTA 00172134 EFTA01297910  Page 19 21: Company Name: WEST COAST WATER SPECIALISTS INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Phone: Confidence: High 22: Company Name: RDK ASSET MANAGEMENT INC Name: KAHN. RICHARD Title: CONTACT Address: SSN: Confidence: High 23: Company Name: RDK ASSET MANAGEMENT INC. Name: KAHN. RICHARD Title: CHAIRMAN OR CHIFF FXFCIITIVE OFFICER Address: SSN: Confidence: High 24: