EFTA01297871.pdf

NAME SEARCHED: Harry Beller 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): c• No Hit 0 Not Required No RDC Alert(please see attached) RDC I. RDC Results E Ilit ..14 No Hit • Not Required FIRCOSOFT D Hit II. FIRCOSOFT Results No FIRCOSOFT Alert(please see attached) No Information Found III. Nerative Media BIS 0 Yes El No Not Required 0 Not Required IV. Non-Negative Medki Not Required V. Other Language Media Not Required Results? E Yes M No D&B VI. MB Er Not Required Information Found(please see attached) Smartlinx Reeutta? Cl Yes • No 0 Not Required VII. Smardirec Review by Legal May Information Found(please see attached) Court Casts be Required MI No Results VIII. Cowl Cases El Search not required Prepared by: Mania choudIstry Date: 8/I7/20I8 Research Analyst Instnictions: 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:filartindale-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 yourconfirmation that you have fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00061537 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024362 EFTA_00172049 EFTA01297871  Page 2 OFAC RESULTS REIC: Date of 38368 No Match Found KYC 1977694 Co:A nt: y: UNITED STATES Birth: Harry Beller FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Haller, 24860293 WR 248602932182 Individual No Alert No Alert No Alert No Alert rry 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_00061538 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024363 EFTA_00172050 EFTA01297872  Page 2 Full Name Address County Phone BELLER, HARRY I ROCKLAND ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 000179328327 Subject Summary Name Variations 1 BELLER, HARRY 2. BELLER, HARRY I SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1 New York DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 4 records found No. Address 1 ROCKLAND COUNTY 2: KINGS COUNTY 3: KINGS COUNTY 4: KINGS COUNTY Address Details 1: Address Dates Phone ROCKLAND COUNTY Census Data for Geographical Region For internal use only For internal use only SDNY_GM_00061539 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024364 EFTA_00172051 EFTA01297873  Page 3 Median Head of Household Age: 46 Median Income: $39,922 Median Home Value: $640,385 Median Education: 14 years Household Members BELLER. BELLER, BELLER. NAOMI BELLER, BELLER. SHARON BELLER. STEVEN Other Associates STERN. MOSHE R 2: Address Dates Phone 7/1963 - 9/2016 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age. 41 Median Income: $42,198 Median Home Value: $415.686 Median Education: 14 years Household Members BELLER. NAOMI Other Associates None Listed 3: Address Dates Phone 7/1993 - 9/1995 KINGS COUNTY Census Data for Geographical Region Median Head of Household Age: 43 Median Income: $43,768 Median Home Value: $597,222 Median Education: 14 years Household Members BELLER, NAOMI Other Associates STERN, MOSHE R 4: Dates Phone 11/1985 - 11/1985 KINGS COUNTY Census Data for Geographical Reaion Median Head of Household Median Income: $57,262 Median Home Value: $534,091 Median Education: 13 years Household Members BELLER, NAOMI Other Associates For internal use only For internal use only SDNY_GM_00061540 CONFIDENTIAL - PURSUANT TO FED. R.cdaNI(E IDENTIAL DB-SDNY-0024365 EFTA_00I 72052 EFTA01297874  Page 4 None Listed Voter Registrations - 2 records found 1: New York Voter Registration Registrant Information Name: BELLER. HARRY Residential Address: K AND COUNTY Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 8/15/1996 Last Vote Date: 11/8/2016 Party Affiliation: DEMOCRAT Active Status: ACTIVE 2: New York Voter Registration Registrant Information Name: BELLER. HARRY Residential Address: K ND COUNTY Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 8/15/1996 Last Vote Date: 11/8/2016 Party Affiliation: DEMOCRAT Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 5 records found 1: Assessment Record for KINGS County, NY Owner Information Name: BELLER FAMILY LIVING TRUST Name: HARRY BELLER, (AS TRUSTEE) Address: County/FIPS: KINGS :ororaInformation Address: County/FIPS: KINGS Data Source: B For internal use only For internal use only SDNY_GM_0006lSivi CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024366 EFTA_00I 72053 EFTA01297875  Page 5 Legal Information Assessor's Parcel 07371-0005 Number: Assessment Information Assessed Value: $35662 Market Land Value: $192000 Market Improvement $772000 Value: Total Market Value: $964000 2: Deed Record for KINGS County Buyer Information Name: BELLER FAMILY LIVING TRUST Name: EVELYN GREENSTEIN, AS TRUSTEE Name: HARRY BELLER, AS TRUSTEE Name: MARK BELLER, AS TRUSTEE Address: County/FIPS: KINGS Seller Information Name: BELLER. HANNA Name: BELLER. SAMUEL Address: County/FIPS: KINGS Prosiert IMoi nation Address: County/FIPS: KINGS Data Source: B Legal Information Assessor's Parcel 7371-5 Number: Contract Date: 07/28/2016 Recording Date: 09/23/2016 Document Number: 2016000333526 Document Type: DEED Mortgage Information Loan Type: THIS CODE IS USED ONLY FOR BKFS LEGACY 3: Assessment Record for ROCKLAND County, NY Owner Information Name: BELLER HARRY I & NAOMI Address: County/FIPS: ROCKLAND Address: County/FIPS: ROCKLAND Data Source: B Legal Information For internal use only For internal use only SDNY_GM_00061542 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024367 EFTA_00172054 EFTA01297876  Page 6 Assessor's Parcel 392689 56 05-3-46 Number: Assessment Information Assessed Value: $86400 Total Market Value: $24400 4: Assessment Record for ROCKLAND County, NY Owner Information Name: BELLER HARRY I & NAOMI Address: County/FIPS: ROCKLAND Property Information Address: County/FIPS: ROCKLAND Data Source: Legal Information Assessor's Parcel 392689 56 5' 346 Number: Assessment Information Assessed Value: $86466 Total Market Value: $24400 5: Deed Record for ROCKLAND County Buyer Information Name: BELLER. HARRY I Name: BELLER. NAOMI Address: County/FIPS: KINGS Seller Information Name: JOY ACRES INC Address: County/FIPS: ROCKLAND Property Information Address: County/FIPS: ROCKLAND Data Source: B Lender Information Name: ASTORIA FSLA Legal Information Contract Date: 09/18/1995 Recording Date: 09/21/1995 Document Number: 950921225682 Document Type: DEED Book/Page: 752/1993 Sale Information Sale Price: $290000 Mortgage Information For internal use only For internal use only SDNY_GM_00061543 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024368 EFTA_00 72055 EFTA01297877  Page 7 Loan Amount: $150000 Title Company: CHICAGO TITLE Motor Vehicle Registrations - 18 records found 1: NY MVR Registrant Information Registrant: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/17/2010 Registration Date: 12/17/2010 Registration Expiration Date: 12/16/2012 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Honda Model: Accord Series: EX Body Style: Sedan 4 Door Weight: 3296 Plate Information sit License Plate Type: License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 2: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Honda Model: Accord Series: EX Body Style: Sedan 4 Door Weight: 3296 Owner Information Name: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Lienholder Information Name: AMERICAN HONDA FINANCE CORP. Address: 201 LITTLE FALLS DR WILMINGTON, DE 19808.1674 NEW CASTLE COUNTY Title Information Title Transfer Date: 1/7/2011 Title Issue Date: 1/7/2011 Source Information Data Source: GOVERNMENTAL 3: NY MVR Registrant Information For internal use only For internal use only SDNY_GM_00061544 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024369 EFTA_00I 72056 EFTA01297878  Page 8 Registrant: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 1/6/2006 Registration Date: 12/4/2009 Registration Expiration Date: 1/5/2012 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2000 Make: Honda Model: Odyssey Series: EX Body Style: Sport Van Weight: 4170 Plate Information License Plate Type: Pr Previous Plate Number: Previous Plate State: License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 4: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2000 Make: Honda Model: Odyssey Series: EX Body Style: Sport Van Weight: 4170 Owner Information Name: BELLER. HARRY I DOB: ft m. Address: ROCKLAND COUNTY Title Information Title Transfer Date: 2/3/2006 Title Issue Date: 2/3/2006 Source Information Data Source: GOVERNMENTAL 5: NY MVR Registrant Information Registrant: BELLER, HARRY I DOB: E m Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/12/2007 Registration Date: 11118/2009 Registration Expiration Date: 12/11/2011 For internal use only For internal use only SDNY_GM_0006t 545 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0024370 EFTA_00172057 EFTA01297879  Page 9 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Nissan Model: Anima Series: S/SL Body Style: Sedan 4 Door Color: Green Weight: 2980 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 6: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2004 Make: Nissan Model: Altima Series: S/SL Body Style: Sedan 4 Door Color: Green Weight: 2980 Owner Information Name: BELLER. HARRY I DOB: E m Address: ROCKLAND COUNTY Title Information Title Transfer Date: 2/20/2008 Title Issue Date: 2/20/2008 Source Information Data Source: GOVERNMENTAL 7: NY MVR Registrant Information Registrant: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 10/5/2007 Registration Date: 9/3/2009 Registration Expiration Date: 10/4/2011 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Honda Model: Accord Series: VALUE PACKAGE For internal use only For internal use only SDNY_GM_00061546 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0024371 EFTA_00172058 EFTA01297880  Page 10 Body Style: Sedan 4 Door Weight: 3100 Plate Information License Plate Type: Previous Plate Number: NY Previous Plate State: NY License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 8: NY MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Honda Model: Accord Series: VALUE PACKAGE Body Style: Sedan 4 Door Weight: 3100 Owner Information Name: BELLER, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 11/2/2007 Title Issue Date: 11/2/2007 Source Information Data Source: GOVERNMENTAL 9: NY MVR Registrant Information Registrant: BELLER. HARRY I DOB: E m Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/27/2004 Registration Date: 11/8/2006 Registration Expiration Date: 12/26/2008 mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2001 Make: Toyota Model: Camry Series: CE/LE/XLE Body Style: Sedan 4 Door Weight: 3027 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: NY Source Information For internal use only For internal use only SDNY_GM_00061547 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024372 EFTA_00172059 EFTA01297881  Page 11 Data Source: GOVERNMENTAL 10: NY MVR mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2001 Make: Toyota Model: Camry Series: CE/LE/XLE Body Style: Sedan 4 Door Weight: 3027 Owner Information Name: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 1/31/2005 Title Issue Date: 1/31/2005 Source Information Data Source: GOVERNMENTAL 11: NY MVR Registrant Information Registrant: BELLER. HARRY I DOB: E m Address: ROCKLAND COUNTY Registration Information Original Registration Date: 1028/2004 Registration Date: 10/28/2004 Registration Expiration Date: 12/16/2006 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1996 Make: Ford Model: Windstar Series: WAGON Body Style: Extended Sport Van Weight: 3665 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 12: NY MVR tion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1996 Make: Ford Model: Windstar Series: WAGON For internal use only For internal use only SDNY_GM_00061548 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024373 EFTA_00172060 EFTA01297882  Page 12 Body Style: Extended Sport Van Weight: 3665 Owner Information Name: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Lienholder Information Name: VALLEY NATIONAL BANK Address: 1445 VALLEY RD WAYNE, NJ 07470.2088 PASSAIC COUNTY Title Information Title Transfer Date: 1/21/1999 Title Issue Date: 1/2111999 Source Information Data Source: GOVERNMENTAL 13: NY MVR Registrant Information Registrant: BELLER, HARRY I DOB: i n.= Address: ROCKLAND COUNTY Registration Information Original Registration Date: 12/30/2002 Registration Date: 12/3012002 Registration Expiration Date: 1/29/2005 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Toyota Model: Camry Series: XLE Body Style: Sedan 4 Door Weight: 3285 Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: NY Plate State: NY Source Information Data Source: GOVERNMENTAL 14: NY MVR mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1993 Make: Toyota Model: Camry Series: XLE Body Style: Sedan 4 Door Weight: 3285 Owner Information Name: BELLER. HARRY I For internal use only For internal use only SDNY_GM_00061549 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024374 EFTA_00172061 EFTA01297883  Page 13 DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 3/1/2001 Title Issue Date: 3/1/2001 Source Information Data Source: GOVERNMENTAL 15: NY MVR Registrant Information Registrant: BELLER, HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 1/3/2000 Registration Date: 1/3/2000 Registration Expiration Date: 1/24/2002 mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1987 Make: Nissan Model: Sentra Series: E—GXE—XE Body Style: Station Wagon Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 16: NY MVR mation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1987 Make: Nissan Model: Sentra Series: E—GXE—XE Body Style: Station Wagon Owner Information Name: BELLER, HARRY I DOB: Address: ROCKLAND COUNTY Title Information Title Transfer Date: 1/2/1998 Title Issue Date: 1/2/1998 Source Information Data Source: GOVERNMENTAL 17: NY MVR Registrant Information For internal use only For internal use only SDNY_GM_00061550 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024375 EFTA_00172062 EFTA01297884  Page 14 Registrant: BELLER. HARRY I DOB: Address: ROCKLAND COUNTY Registration Information Original Registration Date: 3/31/1997 Registration Date: 3/31/1997 Registration Expiration Date: 5/6/1999 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 1988 Make: Pontiac Model: 6000 Series: LE Body Style: Station Wagon Weight: 3550 Plate Information License Plate Type: Private License Plate Number: Plate State: NY Source Information Data Source: GOVERNMENTAL 18: Non-Governmental Vehicle Record Vehicle Infor ation VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2009 Make: Hyundai Model: Elantra Series: GLS/SE Body Style: Sedan 4 Door Owner Information Name: BELLER, HARRY DOB: Address: ROCKLAND COUNTY Source Date First Seen: 5/27/2013 Source Date Last Seen: 2/11/2016 Source Information Data Source: NON-GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 9 records found 1st Degree 9 No. Full Name Address/Phone 1. BELLER, NAOMI For internal use only For internal use only SDNY_GM_00061551 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0024376 EFTA 00172063 EFTA01297885  Page IS No. Full a resslPhone SSN: DOB: 2. BELLERM DOB: 3. BELLER, STEVEN 4. RUBINSTEIN, SARAH • AKA BELLER, SARAH 5 BELLER, SHARON 6. BELLER, ~1 1 7. BELLER, ALAN 8. SELLER. SAMUEL • AKA BELLER, SAM • AKA SAMUEL, BELLER SSN For internal use only For internal use only SDNY_GM_00061552 CONFIDENTIAL - PURSUANT TO FED. R.QPN(f IDENTIAL DB-SONY-0024377 EFTA_00I 72064 EFTA01297886  Page 16 No. Full Name Address/Phone DOB ( ) 9. BELLER. HANNA SSN DOB f Business Associates - 0 records found Person Associates - 6 records found No. Full Name Address SSN Phone DOB 1: GOULD, WALTER GOULD, WALTER R 2: STERN, MOSHE R