EFTA01297328.pdf

NAME SEARCHED: Richard 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: Reviewer Comments (as necessary): • No lilt • Not Required RDC CEI nit I. RDC Results RDC alert (Mail sent separately) No Hit • Not Required PCR II. PCR Results No PCR alert (Please see attached) m Nit 0 Yes LE No III. Negative Media There was no information found BLS a Not Required W. 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 IA Not Required Result found(Please see attached) Stumble( Results? ISYes 0 No 0 Not Required VII. Smartlinx P71 Review by Legal May Result found(Plcasc sec attached) Court Caste be Required LI No Results VIII. Court Cases 0 Search not required Prepared by: Reena Chandwani Date:07/21/2017 Research Analyst Instructions: I. Review and confirm that all results are 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:Martindale-Hubbellhttp://www.manindale.comisp/Martindak/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 S0NCGM_00060362 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023186 EFTA_00170900 EFTA01297328  OFAC RESULTS RDC: Date of 11605421 Alerted KYC 18O4531 Country:UNITED STATES Richand Kahn PCR: Richard Kahn 6201215544 NCA customised Closed - No Hit 21/07/2017 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 LedsNircis a division of Reed Elsevier Inc. All Rights Reserved. Date:7/21/2017 Report processed by: DEUTSCHE BANK AGII Full Name Address County Phone KAHN. RICHARD KEITH For internal use only SDNY_GNI_00060363 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023187 EFTA_00170901 EFTA01297329  Page 2 ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 001296363869 Subject Summary Name Variations 1: KAHN, R 2: KAHN, RICH 3: KAHN, RICHARD 4: KAHN, RICHARD K 5: KAHN, RICHARD KEITH SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent SSN attributed to subject: 1: New York 1974-1975 DOBs Re orted DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 14 records found No. Address 1: 2: 3: 4: 5: 6: For internal use only SDNY_GM_00060364 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0023188 EFTA_00170902 EFTA01297330  Page 3 7: 8: 10: 11: 12: 13: 14: Address Details 1 Address Dates Phone 8/2009 - 712017 ensus r a or a -•trap Ica egion Median Head of Household Age: 31 Median Income: $67,144 Median Home Value: $227,290 Median Education: 14 years Household Members None Listed Other Associates HOLLAND, FRANCIS ANTHONY 2: Address Dates Phone 1/1998.3/2017 For internal use only SDNY_GM_00060365 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023189 EFTA_00I 70903 EFTA01297331  Page 4 Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $116.389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN, BETH ANN KAHN, BRITTANY N KAHN, TURNER FRANCIS KAHN. VINCENT RICHARD Other Associates None Listed Dates Phone 9/2006 - 3/2013 Census Data for Geographical Region Median Head of Household Age. 36 Median Income: $69,404 Median Home Value: $247,451 Median Education: 12 years Household Members None Listed Other Associates None Listed 4: A Dates 2001 - 11/2012 Census Data for Geographical Region Median Head of Household Age: 33 Median Income: $116.389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN. BETH ANN Other Associates HOLLAND. FRANCIS JR 5 Dates Phone 7/2008 - 7/2008 Census Data for Geographical Region Median Head of Household Age: 31 Median Income: $67,144 Median Home Value: $227.290 Median Education: 14 years Household Members None Listed For internal use only SDNY_GM_00060366 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023190 EFTA_00170904 EFTA01297332  Page 5 Other Associates None Listed 6: A ress Dates Phone 8/2001 - 6/2008 Median Head of Household Age 33 Median Income: $116,389 Median Home Value: $384,341 Median Education: 15 years Household Members KAHN, BETH ANN Other Associates None Listed Dates 7/1996 - 8/2005 Ora ensus uata for cieograp ice Region Median Head of Household Age: 37 Median Income: $86,169 Median Home Value: $376,682 Median Education: 14 years Household Members None Listed Other Associates None Listed 8: A Dates Phone 8/2001 - 4/2004 Census Data for Geographical Region Median Head of Household Age. 31 Median Income: $65,313 Median Home Value: $289,205 Median Education: 14 years Household Members None Listed Other Associates None Listed Dates Phone 11/1990 - 1/2003 Census Data for Geographical Region Median Head of Household Age: 37 Median Income: $133.929 Median Home Value: $528,970 For internal use only SDNY_GM_00060367 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023191 EFTA_00I70905 EFTA01297333  Page 6 Median Education: 15 years Household Members None Listed Other Associates None Listed 10: Address Dates Phone 7/1993 - 7/1996 Median Head of Household Age: 44 Median Income: $161,250 Median Home Value: $572,434 Median Education: 15 years Household Members None Listed Other Associates HOLLAND. MARY A 11:7 JEANNE MARIE GDNS Address Dates Phone 12/1993 - 12/1993 ensus uatator ueograpnicaircegion Median Head of Household Age. 47 Median Income: $83.833 Median Home Value: $503,378 Median Education: 15 years Household Members None Listed Other Associates None Listed Dates Phone 11/1990 - 11/1993 Ma Census Data for Geographical Region Median Head of Household Age: 40 Median Income: $139.773 Median Home Value: $640.457 Median Education: 15 years Household Members None Listed Other Associates None Listed 13 Address Dates Phone 11/1992 - 11/1992 Census Data for Geographical Region Median Head of Household Age: 47 For internal use only SDNY_GM_00060368 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023192 EFTA_00I70906 EFTA01297334  Page 7 Median Income: $83.833 Median Home Value: $503.378 Median Education: 15 years Household Members None Listed Other Associates None Listed 14: Address Dates 10/1990 - 10/1990 Household Members None Listed Other Associates None Listed Voter Registrations - 10 records found 1: New York Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: SSN: ■ Date of Birth: Gender: Male Voter Information Registration Date: 12/17/1990 Last Vote Date: 11/1992 Party Affiliation: REPUBLICAN Status: TRANSFER MOVED 2: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/2/2004 Party Affiliation: INDEPENDENT 3: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: For internal use only SDNY_GM_00060369 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023193 EFTA_00I70907 EFTA01297335  Page 8 Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/4/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 4: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/6/2012 Party Affiliation: INDEPENDENT Active Status: ACTIVE 5: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/6/2012 Party Affiliation: INDEPENDENT Active Status: ACTIVE 6: Delaware Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: Home Phone: SSN: Date of Birth: oter mammon Registration Date: 5/29/2002 Last Vote Date: 11/4/2014 Party Affiliation: INDEPENDENT Active Status: ACTIVE 7: Delaware Voter Registration Registrant Information For internal use only SDNY_GM_00060370 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023194 EFTA_00I70908 EFTA01297336  Page 9 Name: KAHN, RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 5/29/2002 Last Vote Date: 11/4/2008 Party Affiliation: INDEPENDENT Active Status: ACTIVE 8: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: SSN: Date of Birth: Voter Information Registration Date: 4/28/2005 Last Vote Date: 11/2/2004 Party Affiliation: INDEPENDENT 9: Delaware Voter Registration Registrant Information Name: KAHN, RICHARD K Residential Address: Home Phone: SSN: Date of Birth: Voter Information Registration Date: 8/24/2006 Last Vote Date: 11/2)2004 Party Affiliation: INDEPENDENT 10: New York Voter Registration Registrant Information Name: KAHN. RICHARD K Residential Address: SSN: Date of Birth: Gender: Voter Information Registration Date: 6/14/1994 Party Affiliation: DEMOCRAT Driver Licenses -1 records found For internal use only SDNY_GM_00060371 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023195 EFTA_00I70909 EFTA01297337  Page 10 1: New York Driver License Driver Information Name: KAHN, RICHARD K Address: Data source: Information SSN: DOB: Additional Driver Information DOB: 09/1972 Professional Licenses - 2 records found 1: Professional License Licensee Information Name: KAHN. RICHARD SSN: Address: County: Gender: License Information License Type: PILOT 2: Professional License Licensee Information Name: KAHN. RICHARD KEITH SSN: Address: County: License Information License Ty PI T - I LANE License Numbe Status: CURRENT Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 5 records found 1: Name: Address: Record Type: Certification Class: Medical Certification Date: Certification Type: Level: Certification Type: Level: Ratings: 2: Name: FAH' Address: For internal use only SDNY_GM_00060372 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023196 EFTA_GOI709I0 EFTA01297338  Page 11 Record Type: • Certification Class: Medical Certification Date: Certification Type: • Level: Certification Type: • Level: , Ratings: ' 3: Name: Address: Record Type: Certification Class: Medical Certification Date: • Certification Type: Level: Certification Type: • Level: • Ratings: 4: Name: Address: Record Type: Certification Class: Medical Certification Date: Certification Type: Level: Certification Type: Level: Ratings: • 5: Name: Address: Record Type: Certification Class: Medical Certification Date: Medical Date Expires: Certification Type: Level: Certification Type: Level: Ratings: Sport Licenses - 0 records found Real Property - 7 records found 1: Assessment Record for NEW CASTLE County, DE Owner Information For internal use only SDNY_GM_00060373 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023197 EFTA_GOI709I I EFTA01297339  Page 12 Name: KAHN RICHARD & BETH Address: County/FIPS: NEW CASTLE Property Information Address: County/FIPS: NEW CASTLE Data Source: B Legal Information Assessor's Parcel Number: Recording Date: 08/28/2009 Assessment Information Assessed Value: $348600 2: Assessment Record for KENT County, DE Owner Information Name: KAHN, RICHARD K Name: LIBORIO III, L P Address: County/FIPS: NEW CASTLE Property Information Address: 90 LIBORIO LN SMYRNA. DE 19977-7711 County/FIPS: KENT Data Source: B Assessor's Parcel n Number: Recording Date: 09/11/2006 Mortgage Information Lender Name: FIRST AMER.REAL ESTATE TX SVCE Assessment Information Assessed Value: $43500 Market Land Value: $4600 Market Improvement $38900 Value: Total Market Value: $43500 3: Deed Record for NEW CASTLE County Buyer Information Name: KAHN. RICHARD Name: KAHN. BETH Address: County/FIPS: NEW CASTLE Seller Information For internal use only SDNY_GM_00060374 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023198 EFTA 00170912 EFTA01297340  Page 13 Name: JONES. JOHN E Name ICIAMC rICIAlkItl Address County/FIPS. Property Information Address: County/FIPS: Data Source: B Lender Information Name: WEICHERT FINANCIAL SERVICES m liiirformation Assessor's Parcel Number: Contract Date: Recording Date: Document Number: Document Type: DEED Sale Information Sale Price: $380000 Mortgage Information Loan Amount: $304000 Loan Type: THIS CODE IS USED ONLY FOR BKFS LEGACY Title Company: NONE AVAILABLE 4: Assessment Record for NEW CASTLE County, DE Owner Information Name: KAHN RICHARD K & BETH A Address: County/FIPS: Property Information Address: County/FIPS: Data Source: B nformation Assessor's Parcel Number: i Recording Date: 01/24/2002 Sale Information Sale Price: $300465 Assessment Information Assessed Value: $133300 5: Assessment Record for ORANGE County, NY Owner Information For internal use only SDNY_GM_00060375 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023199 EFTA_00I 709[3 EFTA01297341  Page 14 Name: KAHN RICHARD K Address: County/FIPS: ORANGE Data Source: B Le al Information Assessor's Parcel Number: Recording Date: 08/08/2001 Book/Page: 5596/96 Sale Information Sale Price: $290000 Assessment Information Assessed Value: $71800 6: Deed Record for NEW CASTLE County Buyer Information Name: KAHN, RICHARD K Name: KAHN. BETH A Address: County/FIPS: NEW CASTLE Seller Information Name: DOUBLE S FINE HOMES INC Address: County/FIPS: NEW CASTLE Data Source: B Lender Information Name: GILPIN FINANCIAL SERVICES INC Legal Information Assessor's Parcel Number: Contract Date: 01/24/2002 Recording Date: 01124/2002 Document Number: Document Type: DEED Sale Information Sale Price: $300485 Mortgage Information Loan Amount: $275000 7: Deed Record for ORANGE County Buyer Information Name: KAHN RICHARD K For internal use only SDNY_GM_00060376 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023200 EFTA_00170914 EFTA01297342  Page 15 Name: KAHN. BETH A Address: County/FIPS: ROCKLAND Seller Information Name: WHEELER HOMES INC Address: County/FIPS: ORANGE Property Information Data Source: B m isinformation Assessor's Parcel Number: Contract Date: 07/18/1996 Recording Date: 07/25/1996 Document Type: DEED Book/Page: 4419/270 Sale Information Sale Price: $199495 Motor Vehicle Registrations -10 records found 1: DE MVR Registrant Information Registrant: KAHN, RICHARD K DOB: Address: Registration Information Original Registration Date: 9/25/2014 Registration Date: 1/18/2017 Registration Expiration Date: 1/18/2019 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Ford Model: Mustang Series: GT Body Style: Coupe Plate Information Previous Plate Number: Previous Plate State: DE License Plate Number: 946927 Plate State: DE Source Information Data Source: GOVERNMENTAL 2: DE MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060377 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023201 EFTA_00170915 EFTA01297343  Page 16 Model Year: 2008 Make: Ford Model: Mustang Series: GT Body Style: Coupe Owner Information Name: KAHN. RICHARD K DOB: Address: Title Number: gum Title Transfer Date: Title Issue Date: 9/30/2014 Source Information Data Source: GOVERNMENTAL 3: DE MVR Registrant Information Registrant 1 Registrant: KAHN. RICHARD K DOB: Address: Registrant 2 Registrant: KAHN. VINCENT RICHARD DOB: Address: Registration Information Original Registration Date: 8/18/2015 Registration Date: 8/18/2015 Registration Expiration Date: 4/14/2019 ion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2014 Make: Jeep Model: Cherokee Series: TRAILHAWK Body Style: 4 Dr Wagon Sport Utility Information Previous Plate Number: Previous Plate State: DE License Plate Numbed Plate State: DE Source Information Data Source: GOVERNMENTAL 4: DE MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060378 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023202 EFTA_00I709I6 EFTA01297344  Page 17 Model Year: 2014 Make: Jeep Model: Cherokee Series: TRAILHAWK Body Style: 4 Dr Wagon Sport Utility Owner Information Owner 1 Name: KAHN. RICHARD K DOB Address owner 2 Name: KAHN VINCENT RICHARD DOB: Address: e Intormation Title Number: Title Transfer Date: 8/13/2015 Title Issue Date: 8/13/2015 Source Information Data Source: GOVERNMENTAL 5: DE MVR Registrant Information Registrant: KAHN. RICHARD K DOB Address Registration Information Original Registration Date: 4/2/2014 Registration Date: 12/29/2014 Registration Expiration Date: 4/4O019 VIN Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2014 Make: Testa Model: Model Series: Body Style: Hatchback 4 Door Plate Information Previous Plate Number: 91563 Previous Plate State: DE License Plate Number: 91563 Plate State: DE Source Information Data Source: GOVERNMENTAL 6: DE MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK For internal use only SDNY_GM_00060379 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023203 EFTA_00I 709 I 7 EFTA01297345  Page 18 Model Year: 2014 Make: Testa Model: Model Series: S Body Style: Hatchback 4 Door Owner Information Name: KAHN. RICHARD K DOB: Address: e mtorma ion Title Number 00091563 Title Transfer Date: 4/4/2014 Title Issue Date: 4/4/2014 Source Information Data Source: GOVERNMENTAL 7: DE MVR Registrant Information Registrant: KAHN, RICHARD K DOS: Address: Lessee Information Registration Information Original Registration Date: 5/12/2011 Registration Date: 5/12i2011 Registration Expiration Date: 5/15(2014 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Infiniti Model: M37 Series: X Body Style: Sedan 4 Door Plate Information License Plate Number: 978060 Plate State: DE Source Information Data Source: GOVERNMENTAL 8: DE MVR Registrant Information Registrant: KAHN. RICHARD K DOB: Address: Registration Information Original Registration Date: 4/2/2008 Registration Date: 4/2/2008 Registration Expiration Date: 3/31/2012 For internal use only SDNY_GM_00060380 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023204 EFTA_00170918 EFTA01297346  Page 19 VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2007 Make: Infiniti Model: M45 Series: BASE/SPORT Body Style: Sedan 4 Door Plate Information Plate State: DE Source Information Data Source: GOVERNMENTAL 9: DE MVR Registrant Information Registrant: KAHN. RICHARD K