EFTA01297686.pdf

NAME SEARCHED: Richard D Kahn 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: Re% ILI% C r Comments (as neeessan ) ❑ 0 No Hit 0 Not Required ROC Alert (please see attached) RDC r• Hit I .RD(' Itesult, F1RCOSOFT ..7.4 No Hit ID Not Required ii HucOSOFT Results • Hit No FIRCOSOFT Alert (please see attached) No Information Found N 111. Nee.ative Media MS 0 Yes No SI No Information Found IV. Non-Nc.(2.;ithe \ letha ❑ Not Required No Information Found V. Oki- I :Ii ia:.:".... \li.:(lia Not Required Results? 0 Yes H No D&B El Not Requited VI. D&B Information Found (please see attached) Smaftlinx Results/n:83 Yes 0 No 0 Not Required VII. Smartlinx .14 Review by Legal May be Information Found (please see attached) Cowl Caws Required • No Results VIII. Court Outs • Search not required Prepared by: Vikram-D Singh Date: 5/31/2018 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Mart indale-flubbellhttp://w ww.martindale.com/sp/Martindale/home.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 file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only SONY_ M_ 111 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023841 EFTA_00171628 EFTA01297686  OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth: 11632113 Aler:r, . KYC 01946825 a Country: UNITED STATES Date of Birth: Richard D Kahn 12/6/1972 ate of Country: VIRGIN ISLANDS, Birth: 11632114 Alerted KYC 01946825 D Richard D Kahn U.S. 12/6/1972 FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE 12595104 INR_125951042182 Individual Kahn, Richard D No Alert No Alert No Alert False 12595105 VVR_125951052182 Individual Kahn, Richard O No Alert No Alert No Alert False BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Records: For Internal use only For internal use only SDNY_GM_00061117 CONFIDENTIAL - PURSUANT TO FED R.QQNE IDENTIAL DE-SDNY-0023942 EF1'A_00171629 EFTA01297687  FOR INFOPMATIONAL PURPOSES ONLY Copyr oht LexisNexis o division of Pec': P • Inc. All Rights Reserved. Date:S/31/2018 Report processed by: DEUTSCHE BANK AGII County Phone KAHN, RICHARD D NEW YORK ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) Sublecl Summary Name Variations Vivo Ali Name Von:mous Sources 1 0 RICHARD, KAHN : KAHN, R KAHN, RICHARD KAHN, RICHARD D KAHO, RICHARD D SSNs Summary All SS N So Inc SSN State !sc. Date Iss. Warnings Most frequent SSN attributed to subject: 1: New York 1972-1973 DOBs Vice' All DOB Sources Reported DOBs: 12/1972 12/1972 Possible E-Mall Addresses View All E:Mail Sources `Others Using SSN - 0 records found ',Address Summon - 11 records found View All Address Variations Sauc es No. Address =NM For internal use only For internal use only SDNY_GM_00061118 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023943 EFTA_00I 7 I 630 EFTA01297688  1: Get Report Vicitakal.4 2: Get Report View Details 3: Qet.RePort View Details 4: Get Report MeV/ Peta 5: Get Report View Details 6: Get Report View Details 7: Get Report View Details 8: Get Report View Details 9: Get Report View Details 10: Get Report View Details 11: Get Report View Details Address De Address Dates Phone Actions 2/2008 - 5/2018 (pct Report 41 Ncushbors(2) Census Data for Geographical Region Median Head of Household Age: 46 Median Income: $176,471 Median Home Value: $1,000,000 Median Education: 17 years Household Members None Listed Other Associates None Listed For internal use only For internal use only SONY_GM_00061119 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023944 EFTA_00I7163 I EFTA01297689  Address Dates Phone Actions 12/2003 - 2/2009 oci Report Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $81,397 Median Home Value: $429,167 Median Education: 16 years Household Members MINSKY, LISA GALE Get Report Other Associates None Listed Address Dates Phone Actions 5/2006 - 9/2008 Get Report Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $81,397 Median Home Value: $429,167 Median Education: 16 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions 12/2002 - 6/2008 Get Report Household Members None Listed Other Associates None Listed For internal use only For internal use only SDNY_GM_00061120 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023945 EFTA 00171632 EFTA01297690  Address Dates Phone Actions 1/1997 - 1/2005 oct Report Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $123,611 Median Home Value: $678,697 Median Education: 16 years Household Members None Listed Other Associates None Listed 6:: Address Dates Phone Actions 8/1996 - 11/2002 (let Report Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $225,720 Median Home Value: $1,000,000 Median Education: 18 years Household Members KAHN, CAROL RUBIN Oct Report KAHN, GARY E Oct Retort Other Associates RUBIN, LUCILLE L Oct Report Address Dates Phone Actions 5/1973 - 1/1997 Get Report Census Data for Geographical Region Median Head of Household Age: 22 Median Income: $11,280 Median Home Value: $0 Median Education: 12 years For internal use only For internal use only SDNY_GM_0006112i CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023946 EFTA_00171633 EFTA01297691  Household Members None Listed Other Associates None Listed Address Dates Phone Actions 4/1995 - 4/1995 (ict Report Census Data for Geographical Region Median Head of Household Age: 35 Median Income: $139,826 Median Home Value: 8803,571 Median Education: 15 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions 10/1993 - 10/1993 (845) 638-4564 Report Census Data for Geographical Region Median Head of Household Age: 42 Median Income: $148,281 Median Home Value: $744,932 Median Education: 16 years Household Members KAHN, IRENE L (ict Report Other Associates None Listed 10 Address Dates Phone Actions 5/1973 - 5/1973 (845) 634-1381 (let Report Census Data for Geographical Region For internal use only For internal use only SDNY_GM_00061122 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023947 EFTA_00171634 EFTA01297692  Median Head of Household Age: 39 Median Income: $80,556 Median Home Value: $448,387 Median Education: 15 years Household Members None Listed Other Associates None Listed Address Dates Phone Actions Oct Report Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $208,387 Median Home Value: $965,909 Median Education: 15 years Household Members None Listed Other Associates RUBIN, LUCILLE L (ha Report - Voter Registrations - 9 records found View Voter Registration Sources 1: New York Voter Registration Registrant Information Name: KAHN, RICHARD D Residential Address: Home Phone: SSN: Date of Birth: Gender:Mae Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE For internal use only For internal use only SDNY_GM_00061123 CONFIDENTIAL - PURSUANT TO FED. R.CONIF IDENTIAL DB-SDNY-0023948 EFTA 00171635 EFTA01297693  2: New York Voter Registration Registrant Information Name: Residential Addran: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE Registrant Information Name: Residential Address: Home Phone: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/8/2016 Party Affiliation: INDEPENDENCE Active Status: ACTIVE Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: Voter Information Registration Date: 10/6/2003 For internal use only For internal use only SDNY_GM_00061124 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023949 EFTA 00171636 EFTA01297694  Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENT Active Status: ACTIVE 777719 11 Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2010 Party Affiliation: INDEPENDENCE Active Status: ACTIVE Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: male Voter Information Registration Date: 10/6/2003 Last Vote Date: 11/2/2004 Party Affiliation: REPUBLICAN Active status: ACTIVE 7: New York Voter Registration Registrant Information Name: Residential Address: SSN: Date of Sleth: Gender: Male Voter Information For internal use only For internal use only SDNY_Gliil_00061125 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023950 EFTA_00171637 EFTA01297695  Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: New York Voter Re , Istration Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: Male Voter Information Registration Date: 10/6/2003 Last Vote Date: 2/5/2008 Party Affiliation: REPUBLICAN Registrant Information Name: Residential Address: SSN: Date of Birth: Gender: male Voter Information Registration Date: 9/6/1996 Party Affiliation: REPUBLICAN Uri% yr Licenses - 0 records found Professional licenses - I records found View Prole:turmoil .icesse SoUrINS Licensee infermatcon Name: SSN: Address: County: Gender: M License Information For internal use only For internal use only SDNY_GM_00061126 CONFIDENTIAL - PURSUANT TO FED R.QPN( IDENTIAL DB-SONY-0023951 EFTA_00 I 71638 EFTA01297696  License Type: CPA License Number: - 'Health Care Providers - (I records found LtIllealth Care Sanctions -11 records found SIPilot Licenses - 0 records found EISPort Licenses - 0 records found (.71Real Property - I records found View Real P rw Sources 1: Assessment Record for SUFFOLK County, NY Owner Information Name: RICHARD KAHN Address: County/FIPS: Property Information Address: Data Source: Legal Information Assessor's Parcel Number Recording Date: 10/27/2015 Book/Page: Sale Information Sale Price: $1518000 Assessment Information Assessed Value: $1243500 Motor Vehicle Rrgist rations - 5 records found Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 3/17/2011 Registration Date: 3/17/2011 Registration Expiration 3/16/2013 Date: Vehide Information For internal use only For internal use only SDNY_GM_00061127 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0023952 EFTA_00171639 EFTA01297697  VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Plate Information License Plate Type: Private License Plate Number: Plate State: ■ Source Information Data Source: GoviEity N Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Owner Information Name: KAHN, RICHARD D DOB: Address: Title Information Title Transfer Date: 4/7/2011 Title Issue Date: 4/7/2011 Source Information Data Source: GOVERNMENTAL Registrant Information Registrant: KAHN, RICHARD O DOB: For internal use only For internal use only SDNY_GM_00061128 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023953 EFTA_00I71640 EFTA01297698  Address: Registration Information Original Registration Date: 5/22/2009 Registration Date: 5/22/2009 Registration Expiration 7/8/2011 Date: Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Plate Information License Plate Type: Private Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Owner Information Name: KAHN, RICHARD D DOB: Address: For internal use only For internal use only SDNY_GM_00061129 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023954 EFTA_00171641 EFTA01297699  Title Information Title Transfer Date: 8/9/2007 Title Issue Date: 8/9/2007 Source Information Data Source: GOVERNMENTAL S: NY MYR Registrant Information Registrant: KAHN, RICHARD D DOB: Address: Registration Information Original Registration Date: 12/7/2003 Registration Date: 12/7/2003 Registration Expiration 1/6/2006 Date: Vehicle Information VIN: Class: Model Year: Make: Model: Series: Body Style: Weight: Nate Information License Plate Type: Pr i\,(:to Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL Boat% - II record% found -Aircraft - 0 records found - :Bankruolcy Information - 0 records found Judynents/Lieris - I records found For internal use only For internal use only SDNY_GM_00061130 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SONY-0023955 EFTA_00I 71642 EFTA01297700  1: NY Judgments and Liens Filings Debtor Information Name: KAHN, RICHARD Oct Report SSN: Addis: Creditor Information Name: Filing Information Jurisdiction: NY Amount: $1,783 Filing Date: 5/2/2000 Eviction y Filing 1 Number: Type: CIVIL NEW FILING Agency: CIVIL COURT OF THE CITY OF NEW YORK Agency State: NY Agency NEW YORK County: - IUCC Liens - 1 records found 1: NEW YORK CITY RECORD Debtor Information Debtor 1 Name: KAHN, RICHARD SSN: Address: Debtor 2 Name: SSN: Address: Secured Party Information Name: Address: Filing Information Filing Jurisdiction: NEW YORK CITY, NEW YORK Original Filing Number: Original Filing Type: INITIAL COOP UCC I For internal use only For internal use only SDNY_GM_00061131 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023956 EFTA_00171643 EFTA01297701  Original Filing Date: 3/25/2016 Number: Fictitious Businesses -0 records found Notice Of Defaults - 0 records found -.Potential Relatives- 10 records found Get Report 2 Get Report 3 Get Report 4 Get Report For Internal use only For internal use only S0NYGM_00061132 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0023957 EFTA_00171644 EFTA01297702  5 Get Report 6 Get Report 7 Get Report 8 Get Report 9 Get Report 10 get..RgPPrt For internal use only For internal use only SDNY_GM_00061133 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0023958 EFTA_00171645 EFTA01297703  HEtusiness Associates - 6 records found I: ARC HOLDING INC. Name: KAHN, RICHARD Status: INACTIVE State: NY Corporation 2558550 Number: Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/24/2018 Filing Date: 9/29/2000 Business Report: Get Report 2: ARKAY CAPITAL CORP. Name: KAHN, RICHARD Status: ACTIVE State: NY Corporation 2515783 Number: Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 5/8/2018 Filing Date: 5/31/2000 Business Report: Oct Rcpal 3: HBRK ASSOCIATES INC. Name: KAHN, RICHARD Status: ACTIVE State: NY Corporation 3714818 Number: Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 4/24/2018 Filing Date: 8/29/2008 4: I( & F CAPITAL CORP. Name: KAHN, RICHARD Status: INACTIVE State: NY For internal use only For internal use only SDNY_GM_00061134 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0023959 EFTA_00171646 EFTA01297704  Corporation 2516183 Number: Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/24/2018 Filing Date: 6/1/2000 Business Report: ( t F:, Name: KAHN, RICHARD Status: INACTIVE State: NY Corporation 2558561 Number: Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 4/24/2018 Filing Date: 9/29/2000 Business Report: Gel Report INC. Name: KAHN, RICHARD Address: Status: INACTIVE State: FL Corporation F08000003048 Number: Descriptive Status: INACTIVE Title: DIRECTOR, TREASURER Record Type: CURRENT Record Date: 10/18/2017 Filing Date: 9/23/2011 Business Report: (iclEalon l'crson .Associatus - S records found For internal use only For internal use only SDNY_GM_00061135 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023960 EFTA_00171647 EFTA01297705  2: (id Report 3: (hi Report 4: Report 5: (ki Report Neighbors - 2 records found Name Address Phone Actions MOEDER, ALYSSA C FALVO, PAULA G - 1Emolovment Locator - 24 records found Company HBRK ASSOCIATES INC. Name: Name: KAHN, RICHARD For internal use only For internal use only SDNY_GM_0006t136 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F IDENTIAL DB-SONY-0023961 EFTA_OO171648 EFTA01297706  SSN: Confidence: medium 2: Company RDK ASSET MANAGEMENT INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 3: Company ARC HOLDING INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 4: Company RDK ASSET MANAGEMENT INC. Name: Name: KAHN, RICHARD SSN: Confidence: Medium Company K & F CAPITAL CORP. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 6: Company ARKAY CAPITAL CORP. Name: Name: KAHN, RICHARD SSN: Confidence: Medium 7: Company THE C.O.U.Q. FOUNDATION, INC. Name: Name: KAHN, RICHARD Title: DIRECTOR, TREASURER