EFTA01373114.pdf

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.conVsouthflorida/search?q=%22Jeffrev+Kahn%228title=%3Fiframe/03Dtrue&width=95%258height =95%25+title%3D+titletro3D+litle%3D+title%3D%20title= 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.google.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i8frm=18icp&esrc=s&sa=U8ieiriMD6UVIedDsWPuAT924DoCO&ved=0CBMQFIAMiusq=AFQICNH6TerGC ha K 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 - RDC LOOKBACK TEAM DBOI Global Services Private Limited Global Busness Services VTP, I ironic C Hosts Road, 580100 Bangalore, India Tel. Mobile • Email PanimAirr Perfron. Manikandan Muralidharan--12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team. Request you review the RDC hit received on "Richard K Manikandan Muralidharaa From CAGNY NCA To: Syed-Anzar Ahmed Suresh-x Sallmath Jofin Vai hose . Sagar Cc: Prakash. . Kameshwaran N Anantesh Ana 12/19,2014 08'.23 PM Date Po: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent fil Subject. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067137 CONFIDENTIAL SDNY_GM_00213321 EFTA01373114