EFTA01373144.pdf

Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for unregistered activity. http://www.biziournals.com/southflorida/search?q=°/022Jeffrey+Kahn%2284ille=%3Fiframe%3Dtrue&width=95%258theight =95%25+Ittle%3D+title%3D+title%3D+tille%3D0/020title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.0000le.co. in/url?url=https:/twww.nyse.comiodfs/12-ARCA- 3.odf&rct=i&frm=18,cp&esrc=s&sa=U8iei=MD6UVIedDsWPuAT924DoCCAved=0CBMQFIAA8usq=AFQICNH6TerGChaK BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, Syed-Anzar Ahmed Process Stpervisor I COB - ROC LOOKBACK TEAM DBOI Global Services Private Limited Global Baseless Services • • oats Road, 560100 Bangalore. India Parsitn4r,Peep:Rm. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067181 CONFIDENTIAL SDNY_GM_00213365 EFTA01373144