EFTA01299252.pdf

Cynthia Rodriguez From: Renee Salhi on behalf of PWMUS AMLKYC Sent: Wednesday, October 12, 2016 2:15 PM To: Cynthia Rodriguez; PWMUS AMLKYC Subject: CLEARED: RDC ALERT - Richard Kahn [I) Classification: For Internal use only Hello Cynthia, AML Compliance has reviewed the four RDC alerts generated for Richard Kahn, beneficiary of the Butterfly Trust, client. Alert #1: • The subject of the alert resides in PA. • The beneficiary resides in NY and has no address history in PA according to LexisNexis. AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the alert subject. Alert subject information: https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-3.pdf Alert #2: • The subject of the alert resides in FL. • The beneficiary resides in NY and has no address history in FL according to LexisNexis. AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the alert subject. Alert subject information: Alert #3: • The subject of the alert was born in 1961. • The beneficiary was born in 1972. AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the beneficiary. Alert #4: • The subject of the alert was born in 1962. • The beneficiary was born in 1972. AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the beneficiary. Kind regards, Renee Salhi Renee Salhi Associate I AML Compliance Officer Deutsche Bank Seounties Inc 1 SDNY_GM_00065034 CONFIDENTIAL - PURSUANT TO FED. R.cON(f IDENTIAL DB-SDNY-0027859 EFTA_00I 75534 EFTA01299252  Private Woakh Management - AML Compliance 5201 Gate Parkway, 2"/ floor Jack nvil F Tel, Email Visit us httrximww db.corn PaStITI PeirtrOvi, Leistung aus Leidensek2ft From: Cynthia Rodriguez Sent: Wednesday, October 12, 2016 12:08 PM To: PWMUS AMLKYC Subject: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke Dear AML Compliance, Attached are RDC alerts for Darren Indyke and Richard Kahn who have been previously KYC approved and are part of KYC Update case 01651789. The alerts reference the following: • Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions. • Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. • Richard Leroy Kann aka RICHARD L KAHN, DOB: , of GOLDEN, Colorado, appears on the list of Colorado - Sex Offenders • Richard L. Kahn, 1962, of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy. • Darren Indyke has a PCR alert, but the alerts don't reference anything specific. Please clear these alerts for the following reasons: • These alerts are false positives as the Richard Kahn that is previously KYC approved has a date of birth of and resides at He is an attorney at HBRK Associates in New York. • Darren Indyke is previously KYC approved has a date of birth of and resides at He is currently employed at Southern Financial LLC. Kind regards, Cynthia Rodriguez Cynthia Rodriguez Assistant vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue. 10154-0004 New York, NY, USA Tel Fax Email 2 SDNY_GM_00065035 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SONY-0027860 EFTA_00175535 EFTA01299253  3 SDNYGM_ 00065036 CONFIDENTIAL - PURSUANT TO FED. R.QP.NEIDENTIAL DB-SDNY-0027861 EFTA_00175536 EFTA01299254