EFTA01375517.pdf

Current Classification. (click here for help) Internal Revised_CLEARED_Richard D Kahn rdc alert [II PWMUS AMLKYC Amanda Kirby 11/01/201310:54 AM : f):: Michael Vila Jacqueline Lightbody. PWMUS AMLKYC, Janice Franklin 2 attachments a a : /5.7.. ... ../..., Richard D Kahn rdc alert_t.pdf Richard D Kahn rdc alert.pdf Classification: For internal use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn - after further review it appears the below alert dated 9/3/2013 is a false positive. AML Compliance has reviewed an email dated 10/31/2013 that the business received from Mr. Kahn attesting that he has not been bared from NYSA Arca and that he is not the same individual as the alerted party. According to that email, our Mr. Kahn has been working at his company, HBRK Associates Inc for the past 3 years. The alert involves a Richard Kahn who was a limited partner of PennMont Securities, a former broker dealer, NASDAQ OMX PHLX and NYSE Arca member. On February 26, 2013 PennMont was banned from NYSE Arca membership due to various accounting, record keeping, and supervisory control deficiencies. AML Compliance finds these statements made by our Mr. Kahn reasonable evidence, and clears this alert as a false positive. Please see the email chain attached to this KYC, thanks! Best, Michael Michael Vila Team Manager I AMI. Compliance Deutsche Bank Securities Inc. Asset & Wealth Management 5022 Gate Parke/a Suite 400. 32256 Jacksonville. USA Tel Ema PASTrien4vPizeigmn, Amanda Kirby---09/04/2013 11:09:44 AM--Classification: For internal use only Hi, The below ROC alerts do pertain t0 our client. Richard D CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071021 CONFIDENTIAL SDNY_GM_00217205 EFTA01375517