EFTA01297236.pdf

Cynthia Rodriguez From: Renee Salhi on behalf of PWMUS AMLKYC Sent: Wednesday, October 12, 2016 2:35 PM To: Cynthia Rodriguez: PWMUS AMLKYC Subject: CLEARED: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke Ill 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 Renee Salhi Associate AML Compliance Officer Deutsche Bank Socunhos Inc Private Woakh Management • MIL Compliance 5201 Goto Parkway. 2"I Scar Jacksonville. FL 32256 Tel. Ern. Visit us NW tivnwi 06 cam ParcitrwhiPeefernt Leistung aus Ledemsehaft 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: 8/14/1961, 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. 1 SDNY_GM_00060132 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022956 EFTA_00I 70675 EFTA01297236  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 12/06/1972 and resides at 130 E 751h Street $$7E New York, NY 10021. He is an attorney at HBRK Associates in New York. • Darren Indyke is previously KYC approved has a date of birth of 2/19/1965 and resides at 2 Kean Court Livingston NJ 07039. He is currently employed at Southern Financial LLC. Kind regards, Cynthia Rodriguez 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 Erni 2 SDNY_GM_00060133 CONFIDENTIAL — PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0022957 EFTA_00170676 EFTA01297237