EFTA01296188.pdf

NAME SEARCHED: Darren Indyke 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): CI No I lit • Not Required RDC I. RDC Results No RDC alert (Please cee attached) nI l I lit 0 No I la 0 Not Required PCR II. PCR Rcsul4 PCR alert (Email sent seperately) • 0 I lit 0 Yes IS No III. Negative Media There was no information found 1313 0 Not Required IV. Non-Negative Media There was no information found V. Other Language Media There was no information found Results? • Yes • No Not required D&B VI. D&B CI Not Required Result found(Please see attached) Smartlinx Results? 2 Yes 0 No 0 Not Required VII. Smartlinx 0 Review by l.tgal May There was no information found Court Cases be Required No Results VIII. Court Cases N • Search not requiral Prepared by: Shanu Gujaria Date:06/16/2017 Research Analyst Instructions: 1. Review and confirm that all results arc 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 convenience:Mariindale-Hubbellhttp://www.manindale.comhp/Martindakitiome.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 fde to your KIT. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only S0NY_GM_00058,105 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021129 EFTA_00168865 EFTA01296188  OFAC RESULTS RDC: 11602645 No Match Found KYC 1790685 a Country:UNITE) STATES Date of l Darren Indyke PCR: HIT BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. AJI Rights Reserved. Date:6/16/2017 Report processed by: DEUTSCHE BANK AGII Full Name Phone INDYKE, DARREN K Area code may change For internal use only SDNY_GM_00058306 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021130 EFTA_00I 68866 EFTA01296189  Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB Gender .lfil Le nm 1.1 Subject Summary Name Variations 1: INDYKE. (JAREN K 2: INDYKE. DARREN 3: INDYKE, DARREN K 4: INDYKE DARREN, K SSNs Summary No. SSN State Iss. Date Iss. Warnings to subject: 1 DOBs Reported DOBs: sing ' I recor s ound Address Summary - 18 records found No. Address 1 2 3 4 5: 6 7 For internal use only SDNY_GM_00058307 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021131 EFTA_00168867 EFTA01296190  Page 3 No. Address 8: 9: 10: 11: 12: 13: 14: 15: 16: 17: 18: Ad' 1: Dates Phone 9/2011 - 6/2017 Census Data for Geographical Region Median Head of Household Age: 55 Median Income: 5162.324 Median Home Value: $743,519 Median Education: 15 years For internal use only SDNY_GM_00058308 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021132 EFTA_00168868 EFTA01296191  Page 4 Other Associates 2: Address Dates Phone 9/2000 - 6/2017 Census Data for Geographical Region Median Head of Household Age. 39 Median Income: $182,847 Median Home Value: $684,590 Median Education: 16 years Household Members Other Associates PYE. THOMAS F 3: Dates 6/1994 -6!2017 Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $71,102 Median Home Value: $58$558 Median Education: 14 years Household Members None Listed Other Associates None Listed 4: Dates Phone 10/2003 - 2/2004 ensue a or rap Ica Region Median Head of Household Age: 39 Median Income: $182,847 Median Home Value: $684,590 Median Education. 16 years Other Associates None Listed 5: Dates Phone 7/2015 - 11/2016 Census Data for Geographical Region Median Head of Household Age 70 For internal use only SDNY_GM_00058309 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021133 EFTA_00168869 EFTA01296192  Page 5 Median Income: $147,321 Median Home Value: $572,674 Median Education: 15 years Household Members None Listed Other Associates None Listed 6: Address Dates Phone 11/2008 - 4/2016 Household Members None Listed Other Associates None Listed 7: Address Dates Phone 2009 - 3/2010 Census Data for Geographical Region Median Head of Household Age. 46 Median Income: $51,694 Median Home Value: $157,589 Median Education: 12 years Household Members None Listed Other Associates None Listed Dates Phone 6/2005 - 8/2009 ouse o em rs None Listed Other Associates None Listed 9: Address Dates Phone 9/2004 - 6/2009 Household Members None Listed Other Associates None Listed Dates 8/2006 - 3/2009 Census Data for Geographical Region For internal use only SDNY_GM_00058310 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021134 EFTA_00I 68870 EFTA01296193  Page 6 Median Head of Household Age: 38 Median Income: $127.315 Median Home Value: $477,632 Median Education: 15 years Household Members None Listed Other Associates PYE, THOMAS F 11: Dates 5/2000 - 2/2009 ensue a or rap ical Region Median Head of Household Age: 36 Median Income: $156,291 Median Home Value: $753,989 Median Education: 16 years Household Members None Listed Other Associates None Listed 12: Dates Phone 10/2000 - 7/2007 ouse o em rs None Listed Other Associates None Listed 13: Ad Dates 2002 - 9/2004 Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $111,607 Median Home Value: $475,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 14: Address Dates 3/1993 - 1/2003 NM Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $105460 Median Home Value: $965,278 Median Education: 15 years Household Members For internal use only SDNY_GM_00058311 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021135 EFTA_00I 6887 I EFTA01296194  Page 7 Other Associates None Listed 15 Address Dates Phone 9/1998 - 9/1998 Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $28,750 Median Home Value: $450,000 Median Education: 12 years Household Members None Listed Other Associates None Listed 16: Address Dates Phone 8/1988 - 4/1994 ensus a or rap cal Region Median Head of Household Age: 38 Median Income: $60.484 Median Home Value: $275,562 Median Education: 16 years Household Members None Listed Other Associates None Listed 17: Dates Phone Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $149,816 Median Home Value: $400,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 18: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $118,056 Median Home Value: $590,000 Median Education: 16 years Household Members None Listed For internal use only SDNY_GM_00058312 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021136 EFTA 00/68872 EFTA01296195  Page 8 Other Associates None Listed Voter Registrations -1 records found 1: New York Voter Registration Registrant Information Name: INDYKE, DARREN K Residential Address: SSN: Date of Birth: Gender: Male Voter Information Last Vote Date: 2001 Party Affiliation: REPUBLICAN Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: INDYKE, DARREN K SSN: Company Name: Address: County: Phone: Date of Birth: License information Profession or Board: ATTORNEYS License Type: ATTORNEY License Number: 2491850 Issue Date: 1992 Last Renewal Date: 06/19/2002 State: New York Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 4 records found 1: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN & SAIPHER MICHELLE F Address: County/FIPS: Address: County/FIPS: Data Source: Legal Information For internal use only SDNY_GM_00058313 CONFIDENTIAL -PURSUANT TO FED. R.QQA1(f IDENTIAL DB-SONY-OO21137 EFTA_00 I 68873 EFTA01296196  Page 9 Assessor's Parcel Number: Recording Date: 09/15/2011 Book/Page: Sale Information Sale Price: $460000 Assessment Information Assessed Value: $280481 Market Land Value: $72420 Market Improvement $208061 Value: Total Market Value: $280481 2: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN K 8 SAIPHER MICHELLE F Address: County/FIPS: Proaertv Information Address: County/FIPS: Data Source: Le al Information Assessor's Parcel Number: Recording Date: 07/16/2015 Book/Page: Sale Information Sale Price: $3100000 Assessment Information Assessed Value: $2634939 Market Land Value: $1464375 Market Improvement $1170564 Value: Total Market Value: $2634939 3: Deed Record for PALM BEACH County Buyer Information Name: INDYKE. DARREN Name: Address: County/FIPS: Seller Information Name: Name: Address: County/FIPS: For internal use only SDNY_GM_00058314 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021138 EFTA_00168874 EFTA01296197  Page 10 Property Information Address: County/FIPS: Data Source: Lender Information Name: WELLS FARGO BANK NA Le al Assessor's Parcel Number: Contract Date: 09/15+2011 Recording Date: 09/21/2011 Document Number: 20110353592 Document Type: WARRANTY DEED Book/Page: Sale Information Sale Price: $460000 Mortgage Information Loan Amount: $345000 Loan Type: NEW CONVENTIONAL Title Company: ATTORNEY 4: Assessment Record for CARBON County, PA Owner Information Name: INDYKE. DARREN K Name: Address: County/FIPS: rmation Address: Data Source: Le al Information Assessor's Parcel Number: Recording Date: 09/15/2000 Book/Page: Sale Information Sale Price: $253000 Assessment Information Assessed Value: $125400 Motor Vehicle Registrations - 10 records found 1: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Lessee Information For internal use only SDNY_GM_00058315 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021139 EFTA_00168875 EFTA01296198  Page 1 I Registration Information Original Registration Date: 4/15/2017 Registration Date: 4/15/2017 Registration Expiration Date: 2/19/2019 Decal Number: vehicle Information VIN: Class: Model Year: Make Model: Series: Body Style Color Weight Plate Information License Plate Type: Private Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 2: FL MVR Registrant Information Registrant: INDYKE. DARREN K DOB: Address: Registration information Original Registration Date: 4/15/2017 Registration Date: 4/15/2017 Registration Expiration Date: /1912 1 Decal Number: Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Weight: Plate Information License Plate Type: Private Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 3: FL MVR Vehicle Information VIN: Class: Model Year: Make: For internal use only SDNY_GM_00058316 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021140 EFTA_00168876 EFTA01296199  Pale 12 Model Series Body Style Color Weight - owner Information Name: INDYKE. DARREN K DOB: Address: Lienholder Information Name: BANK OF AMERICA Address: PO BOX 2759 JACKSONVILLE, FL 32203-2759 DUVAL COUNTY le Information Title Number: Title Transfer Date: 4/22/2016 Title Issue Date: 4/22/2016 Source Information Data Source: GOVERNMENTAL 4: FL MVR Registrant Information Registrant: INDYKE. DARREN K DOB: Address: Keglstratlon Information Original Registration Date: 4/2/2013 Registration Date: 2/27/2015 Registration Expiration Date: 2/192017 Decal Number: Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Color: Weight: Plate Information License Plate Type: Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 5: Non-Governmental Vehicle Record Vehicle Information VIN: Class: Model Year: Make: For internal use only SDNY_GM_00058317 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021141 EFTA_00168S77 EFTA01296200  Page 13 Model: Series: Body Style: Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 3/11/2016 Source Date Last Seen: 1/20/2017 Source Information Data Source: NON-GOVERNMENTAL 6: Non-Governmental Vehicle Record VIN: Class: Model Year: Make: Model: Series: Body Style: ner In Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 8/20/2014 Source Date Last Seen: 12/5/2014 Source Information Data Source: NON-GOVERNMENTAL 7: Non-Governmental Vehicle Record Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 7/14/2016 Source Date Last Seen: 7/14/2016 Source Information Data Source: NON-GOVERNMENTAL 8: Non-Governmental Vehicle Record VIN: Class: Model Year: Make: For internal use only SDNY_GM_00058318 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021142 EFTA_00I 68878 EFTA01296201  Page 14 Model: Series: Body Style: Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 8/31/2009 Source Date Last Seen: 8/12/2016 Source Information Data Source: NON-GOVERNMENTAL 9: Non-Governmental Vehicle Record VIN: Class: Model Year: Make: Model: Series: Body Style: Owner Infomiation Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 5/22/2013 Source Date Last Seen: 4/4/2014 Source Information Data Source: NON-GOVERNMENTAL 10: Non-Governmental Vehicle Record VIN: Class: Model Year: Make: Model: Body Style: owner mrorma ion Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 10/5/2013 Source Date Last Seen: 10/5/2013 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 -1 records found For internal use only SDNY_GM_00058319 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021143 EFTA_00168879 EFTA01296202  Palle 15 1: Fictitious Businesses Name: Office Address: Jurisdiction: Type: DBA Filing Number: Filing Date: 01/1372000 Contact Information Name: At 12 ltgrlYkr Eso Address: Contact Type: Notice Of Defaults - 0 records found Potential Relatives - 9 records found 1st Degree 9 No. Full Name Address/Phone 2 3. 4. For internal use only SDNY_GM_00058320 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021144 EFTA_00168850 EFTA01296203  Page 16 No. Full Name Address/Phone 5 6. 7 For internal use only SDNY_GM_00058321 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021145 EFTA_00168881 EFTA01296204  Page 17 No. Full Name Address/Phone 8. 9. Business Associates - 12 records found 1: 116 EAST 65TH STREET, LLC Name: INDYKE, DARREN K Status: ACTIVE State: NY Corporation Number: 2521524 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 6/15/2000 2: DKI GRAPHICS, INC. Name: INDYKE, DARREN K Status: INACTIVE State: NY Corporation Number: 1695791 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 1/20/1993 3: DKI GRAPHICS, INC. Name: INDYKE, DARREN K Status: INACTIVE State: NY Corporation Number: 2493124 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 4: DKI LIQUIDATING CORP. Name: INDYKE, DARREN K For internal use only SDNY_GM_00058322 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021146 EFTA_00168882 EFTA01296205  Page 18 Status: INACTIVE State: NY Corporation Number: 1695791 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 1/20/1993 5: E MANAGEMENT NEW YORK LLC Name: INDYKE. DARREN K Status: ACTIVE State: NY Corporation Number: 3355889 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 5/2/2006 6: HARLEQUIN DANE, LLC Name: INDYKE, DARREN Address: 7061 DUBONNET DR BOCA RATON, FL 33433-7479 Status: ACTIVE State: FL Corporation Number: L15000068663 Descriptive Status: ACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 12/5/2016 Filing Date: 4/27/2015 7: LYN AND JOJO LLC Name: INDYKE, DARREN K Status: ACTIVE State: NY Corporation Number: 3341485 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 3/30/2006 8: MAX HOTEL SERVICES CORP. Name: INDYKE, DARREN K Status: ACTIVE State: NY Corporation Number: 2773652 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 5/31/2002 9: NEW YORK STRATEGY GROUP, LLC Name: INDYKE, DARREN K Status: INACTIVE State: NY Corporation Number: 2461227 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18(2017 Filing Date: 1/13/2000 10: NINE EAST 71ST STREET CORPORATION Name: INDYKE. DARREN K For internal use only SDNY_GM_00058323 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021147 EFTA_00168883 EFTA01296206  Page 19 Status: INACTIVE State: NY Corporation Number: 1379614 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/18/2017 Filing Date: 8/25/1989 11: THE C.O.U.O. FOUNDATION, INC. Name: INDYKE. DARREN K Address: 250 S AUSTRALIAN AVE STE 1404 WEST PALM BEACH, FL 33401-5016 Status: INACTIVE State: FL Corporation Number: F08000003048 Descriptive Status: INACTIVE Title: DIRECTOR. VICE PRESIDENT, SECRETARY Record Type: CURRENT Record Date: 12/5/2016 Filing Date: 9123/2011 12: THE FLORIDA SCIENCE FOUNDATION, INC. Name: INDYKE, DARREN K Address: 250 S AUSTRALIAN AVE STE 1400 WEST PALM BEACH. FL 33401-5016 Status: INACTIVE State: FL Corporation Number: N07000010684 Descriptive Status: INACTIVE Title: AD Record Type: CURRENT Record Date: 12/5/2016 Filing Date: 9/25/2009 Person Associates - 10 records found No. Full Name Address SSN Phone DOB 1 2: For internal use only SDNY_GM_00058324 CONFIDENTIAL - PURSUANT TO FED. R.QC;)N(F IDENTIAL DB-SONY-0021148 EFTA_00168884 EFTA01296207  Page 20 No. Full Name Address SSN Phone DOB 3 4 5 For internal use only SDNY_GM_00058325 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021149 EFTA_00168885 EFTA01296208  Page 21 No. Full Name Address SSN Phone DOB 6 7 8: For internal use only SDNY_GM_00058326 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021150 EFTA_00168886 EFTA01296209  Page 22 No. Fnll Name. Address SSN Phone DOB 9: 10: Neighbors - 1 records found Name Address Phone Employment Locator - 50 records found 1: Company Name: NINE EAST 71ST STREET CORPORATION Name: INDYKE, DARREN K SSN: Confidence: I i lswr 2: For internal use only SDNY_GM_00058327 CONFIDENTIAL - PURSUANT TO FED. R.CON(F