EFTA01299207.pdf

Norkom 6.1.0 - World Check Details Page I of 2 I Home Page Help Requestor Menu World Check Details Show Debug Info Details I 1 Alert ID: A141120234116 Alert Date: 13/11/2014 I I Score: 100% Detection Check: we names I i Best matches: In VVORLDCHECK 03 name Data Source: Customer_NCA_web I = Richard Kahn Fuzzy Match ,.= 86% KAHN Richard I i i i Name: Richard Kahn Street/Number: DOBJDOI: Zip Code/City: I Nationality: PEP Indicator: I I Gender: Customer ID: Country of Birth/Branch: Alerted Customer ID: I Country of Residence: United States Comments: null i World Check Details Title: UID: 1809519 First Name: Richard Category: INDIVIDUAL Last Name: KAHN Sub Category: Date of Birth: Record Type: Male Place of Birth: SSN: Age: Position: Age (As of Date): Entered: 01/08/2012 Date of Death: Updated: Names no rows found Countries Locations Country Location Sane' f.rf PereisyNa - USA Companies Passports Link Company no rows found (40 PENNMONT SECURITIES World Check Association Link Linked To Keke KAHN co David MILLER Virginia ATLEE SONY_GM_00084921 haps://aml.cit.gto.intranct.db.c •r INIFri BettTl.A?tfftkn=VISHeJizl... 11/14/2014 CONFIDENTIAL - PURSUANT TO FED.• I PI 6(e/ DB-SDNY-0027746 EFFA_00175421 EFTA01299207  Norkom 6.1.0 - World Check Details Page 2 of 2 CD Joann DELPIZZO MILLER CD William JOHNSTON CD George SNYDER CD Judith BUSCH co Elizabeth ATLEE CARAPICO Cealia CORAZA Elaine ENGLISH CD James ENGLISH CORAZA George REEF Amy BECCONE io Mary CORAZA Anthony MONTALBANO co Arland FRIEND Judith FRIEND CD CD Constance ATLEE JOHNSTON Further Information [BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be detemened. [REPORTS] Jan 2O12 - found by the Business Conduct Committee to be in violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is provided within requred time frame. External Sources External Source httplAinvw.nysa.com/pdfs/12-ARCA•3 pdf Copyright 1998.2010 Norkom Tectvabgies Ltd. All rights reserved Dtscs_world_check SONY_GM_00064922 https://aml.cit.gto.intranet.db.c CONFIDENTIAL - PURSUANT TO FED. NtlAt rftkn=V1SHeJizl... 11/14/2014 DB-SDNY-0027747 EFI'A_00175422 EFTA01299208