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DOJ EFTA Data Set 10 document EFTA01265301
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DOJ EFTA Data Set 10 document EFTA01299082
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GLOUS238 SOUTHERN FINANCIAL LLC iCapital Advisors. LLC Form ADV Part 28 John C. Robertshaw Educational Background and Business Experience Mr. Robertshaw is a member of iCapital Advisor's investment committee. Mr. Robertshaw is a Co- Founder and Special Advisor to iCapital Network. Until 2016. he served as a Vice Chairman of Credit Suisse Securities (USA) LLC. He served as Co-Head of the Private Fund Group at Credit Suisse from 2004 through 2013, during which time the Private Fund Group re
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Kristen M. Simkins From: Sent: To: Cc: Subject: Irons, Janet < Tuesday, July 12, 2016 10:47 AM Richard C. Smith Hello Warden Smith, mother is anxious to hear the results of your inquiry into her daughter's health. I'd be grateful if you could email or call me at your earliest convenience. I'm free today after 2 p.m. Alternatively, we could meet after the Prison Board of Inspectors Meeting this coming Thursday. Best wishes, Janet Irons 1 Kristen M. Simkins From: Sent:
EFTA Document EFTA01356248
KYC Mint Page 20 of 22 Court Cases are closed Erika Kellerhals: Civil Action court case of James P Carroll v Dawn Prosser (a divorce case) which lists Erika Kellerhals as general counsel as the is an attorney. Mother case with Supermarket Source Inc lists Enka as the defendent's counsel. These cases are standard in Erika's line of work, and they are not directed at her personally. To the best of your knowledge, has the client ever been convicted of a criminal E 0 Yes 0 No offense? To
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NAME SEARCHED: Darren Indyke 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: RDC PC
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DOJ EFTA Data Set 10 document EFTA01295555
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