EFTA01364299.pdf

rdc Person Name: Richard Kahn DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Date of Birth: Alert Date: Alert 10/12/2016 Address: Gauntly United States Tracking ID: GCIS 00000483290 Reporting ID: KYC 01651789 Alerted Entity # 2 of 4 Alert ID: 6471205.11593658.61546436 Entity Information Entity ID: Riskid: Entity Name: RICHARD JEFFREY KAHN Address: Florida. UNITED STATES Recent Event(s): • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement, 06/21/2011. US Florida Office of Financial Regulation Final Orders Event: • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final Orders. Richard J. Kahn shall pay an administrative fine of $20,000 with the submission of this Stipulation and Consent Agreement, 06/21/2011, US Florida Office of Financial Regulation Final Orders Alert Notes Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC URL: https://gnd.rdc.conVwss/entity.html?entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: https://real.fiofr.com/DocumentsNiew.aspx?docGuid=5F712B04-5DC0-466E-A0C2- 17F882707D5D&docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, hrips://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspa/searchLegalDocuments Colsotent uith the terms and cardstons at your RDC Subscnber Agreement the rricernaban contained n ths document is for alert purposes only and not to be used la purposes of deteernrang an eclreeluafs avidly la any aerie or any othev FCRA permissible purposes User further agrees to hold such malaise and intonation in totes! ccedIdence. not to matte use thereof other than la authorged purposes to fade a only to employees revering such warcerrohco, and not to release a disclose n to any other party The Alert Somata, contained in the &current nay a my not pertain to to ondr.dual a 'May referenced et your nquicy. Page 2 at 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054825 CONFIDENTIAL SDNY_GM_00201009 EFTA01364299