EFTA01296236.pdf

NAME SEARCHED: Jeanne Brennan 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 hem for results: Reviewer comments (as neeessar> I lEI No Hit O Not Rixtuired I. RDC Results No RDC Alert(please see attached) RU0 El Ilia PCR 0 No Hit • Not Required II. PCR Results No PCR Alert(please see attached) O Hit No Information Found III. Negai it c X RAI ISIS e Yes O No Result found(please see attached) Not Required IV. Non-Neu:on c \ lertia No Information Found V. Other Language NIcdta' Not required D&B Results? • Yes M VI. D&B 0 Not Required Result found(please see attached) Smartlinx Readte tT5 Yes O No • Not Required VII. Smattlinx IS Review by Legal May Result found(please see attached) Court Cases he Required O No Results VIII. Court Cases O Search not required Prepared by: Shreya parashar Date: 06/15/2017 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:Nlartindale-Hubbellhttp://vrow.manindak.comhpfM11artindakihome.xml 3. As needed. provide comment for any negative results. 4. Ir 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 confinnation that you have fully reviewed the research doctunents. For internal use only SbNY_0M_00058418 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021242 EFTA_00168978 EFTA01296236  Page 2 OFAC RESULTS RDC: Date of 11602640 No Match Found KYC 1790655 Jeanne Brennan :VIRGIN ISLANDS, U.S. Birth: PCR: C20170637908739 Jeanne Brennan 12890471 NCA customised Auto-Closed No-Hit 15/06/2017 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: The New York Times November 16, 2016 Wednesday Late Edition - Final URL: For internal use only SDNY_GM_00058419 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021243 EFTA_00168979 EFTA01296237  Page 3 Paid Notice: LOAD-DATE: November 16, 2016 LANGUAGE: ENGLISH DOCUMENT-TYPE: Paid Death Notice PUBLICATION-TYPE: Newspaper Copyright 2016 The New York Times Company The Star-Ledger (Newark, New Jersey) August 12, 2016 Friday THE STAR-LEDGER EDITION SECTION: OBITUARIES: Pg. 9 LENGTH: 210 words For internal use only SDNY_GM_00058420 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021244 EFTA_00I 68980 EFTA01296238  fl e4 LOAD-DATE: August 12, 2016 LANGUAGE: ENGLISH PUBLICATION-TYPE: Newspaper JOURNAL-CODE: nsl Copyright 2016 Newark Morning Ledger Co. All Rights Reserved Other Language Media: No Information Found Public Record: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division ot Reed Elsevier Inc. All Rights Reserved. Date:6/1512017 Report processed by: DEUTSCHE BANK A% Full Name Address Cou WIEBRACHT, JEANNE ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sm) 000268311584 Subject Summary Name Variations 1: BRENNAN, JEAN A 2: BRENNAN, JEANNE A 3: BRENNAN. JEANNE ANN 4: BRENNAN. JEANNE B 5: BRENNAN, JEANNE BRENNAN 6: BRENNAN. WIEBRACHT JEANNE 7: BRENNANWIEBRACHG. JEANNE A 8: WIEBRACHT. J B For infernal use only SDNY_GM_00058421 CONFIDENTIAL - PURSUANT TO FED. R.QPN(F 1DENTIAL DB-SDNY-0021245 EFTA_00168981 EFTA01296239  Page 2 9: WIEBRACHT, J BRENNAN 10: WIEBRACHT, JEANNE 11: WIEBRACHT, JEANNE B 12: WIEBRACHT, JEANNE BRENNAN SSNs Summary No. SSN State Iss. Date Iss. Warnings Most freauent SSN attributed to subject: 1 DOBs Reported DOBs: Possible E-Mail Addresses •= 1 Others Using SSN - 5 records found SSN DOB Address Summary - 9 records found No. Address For internal use only SDNY_GM_00058422 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021246 EFTA_00168982 EFTA01296240  Page 3 No. Address Address Details For internal use only SDNY_GM_00058423 CONFIDENTIAL - PURSUANT TO FED. R.QP.NEIDENTIAL DB-SDNY-0021247 EFTA_00I 68983 EFTA01296241  Page 4 For internal use only SDNY_GM_00058424 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021248 EFTA_00168984 EFTA01296242  Page 5 None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations -1 records found 1: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Mercury Model: Mariner Series: PREMIER Body Style: 4 Dr Wagon Sport Utility Owner Information Name: BRENNAN, JEANNE DOB: Address: Source Date First Seen: 9/5/2008 Source Date Last Seen: 6/27/2013 Source Information Data Source: NON-GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens -1 records found i:vi UCC LIEN FILING Debtor Information Debtor 1 Name: BRENNAN. JEANNE B SSN: Address: Name: Address: Secured Party Information Name: BANK. NOVA SCOTIA Address: Filing Information Filing Jurisdiction: VIRGIN ISLANDS Original Filing Number: C 2365/1995 For internal use only SDNY_GM_00058425 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021249 EFTA_00168985 EFTA01296243  Page 6 Original Filing Date: 8/25/1995 Type: INITIAL FILING Date: 8/25/1995 Number: C 2365/1995 Filing Office Information Filing Agency: OFFICE OF THE LT GOVERNOR/UCC DIVISION Address: KONGENS GADE #18 CHARLOTTE AMALIE. VI 00802 Collateral Information Description: 08/25/1995 C 2365/1995 - VEHICLES Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree 10 No. Full Name Address/Phone For internal use only SDNY_GM_00058426 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0021250 EFTA_00I 68986 EFTA01296244  Page 7 For internal use only SDNY_GM_00058427 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021251 EFTA_00 I 68987 EFTA01296245  Page 8 Business Associates - 0 records found Person Associates - 0 records found Neighbors - 2 records found 6501 RED HOOK PLZ STE 201 ST THOMAS, VI 00802-1373 Name Address Phone CARTER-BIRNIE, JENNIFER A HACK. MEAGHAN M LILES, WILLIAM H ROBERTSON, BRENT For internal use only SDNY_GM_00058428 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021252 EFTA_Q()I68988 EFTA01296246  Page 9 DAVIES, HALDANE F 3 Employment Locator -1 records found 1: Company Name: SEE & SKI CORPORATION Name: WIEBRACHT. JEANNE B Title: OWNER Address: SSN: Confidence: Medium Criminal Filings - 0 records found Cellular & Alternate Phones - 2 records found 1: Personal Information Name: BRENNAN. JEANNE Address: Phone Number: Phone Type: Mobile Carrier Information Carrier: NEW CINGULAR WRLS GA Carrier City: CHARLOTTE AMALIE (SAINT T Carrier State: VI 2: Personal Information Name: BRENNAN, JEANNE Address: Phone Number: Phone Type: Carrier Information Carrier: INNOVATIVE TELEPHONE Carrier City: CHARLOTTE AMALIE (SAINT T Carrier State: VI Sources - 46 records found All Sources 46 Source Document(s) Email addresses 7 Source Document(s) Historical Person Locator 18 Source Document(s) Motor Vehicle Registrations 1 Source Document(s) Person Locator 1 14 Source Document(s) Person Locator 2 3 Source Document(s) PhonesPlus Records 2 Source Document(s) UCC Lien Filings 1 Source Document(s) Key AHigh Risk Indicator. These symbols may prompt you to investigate further. I Moderate Risk Indicator. These symbols may prompt you to investigate further. (General Information Indicator. These symbols inform you that additional information is provided. N/The most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as For internal use only SDNY_GM_00058429 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021253 EFTA_00168989 EFTA01296247  Page 10 definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your OPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright:, 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. D&B: Not required LEGAL RESULTS: Court Cases: * " THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY " * * CIVIL SUITS FROM NEW JERSEY SUPERIOR COURT Defendant: JEANNE BRENNAN Defendant Address: JEANNE BRENNAN Plaintiff: HAMPTON COMMONS COND O ASSOC Number: DC00114215 Vendor Number: SC-11420000-2015 Date: 4/10/2015 Filing Type: CIVIL SUIT Case Type: CIVIL NEW FILING Amount: $ 7,144 County Filed: SUSSEX Place Filed: NEW JERSEY SUPERIOR COURT, LAW DIVISION, SPECIAL CIVIL PART For internal use only SDNY_GM_00058430 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021254 EFTA_00168990 EFTA01296248  Page 11 CIVIL SUITS FROM NEW JERSEYSUPERIOR COURT Description: SUITS UNDER $ 7,500.00 For internal use only SDNY_GM_00058431 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0021255 EFTA_00I 68991 EFTA01296249