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sd-10-EFTA01357030Dept. of JusticeOther

EFTA Document EFTA01357030

Page 6 Research Summary Date: 27/Jan/17 07:51:50 PM Cost code: 6201215544 User: DEEPANSHU SHARMA First name(s): Surname: Check/Query News Negative News News Source Type/Source Negative News/Negative News / All English Language News News/All English Language News Sanctions & Warnings Sanctions & Watchlists Additional Watchlists Sanctions & Watchlists/Sanctions and Actions; Autorite des marches financiers - Commission des sanctions Additional Watchlists/Sanction Lists; W

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Page 6 Research Summary Date: 27/Jan/17 07:51:50 PM Cost code: 6201215544 User: DEEPANSHU SHARMA First name(s): Surname: Check/Query News Negative News News Source Type/Source Negative News/Negative News / All English Language News News/All English Language News Sanctions & Warnings Sanctions & Watchlists Additional Watchlists Sanctions & Watchlists/Sanctions and Actions; Autorite des marches financiers - Commission des sanctions Additional Watchlists/Sanction Lists; W

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Page 6 Research Summary Date: 27/Jan/17 07:51:50 PM Cost code: 6201215544 User: DEEPANSHU SHARMA First name(s): Surname: Check/Query News Negative News News Source Type/Source Negative News/Negative News / All English Language News News/All English Language News Sanctions & Warnings Sanctions & Watchlists Additional Watchlists Sanctions & Watchlists/Sanctions and Actions; Autorite des marches financiers - Commission des sanctions Additional Watchlists/Sanction Lists; Watchlists and Blacklists Search Parameters (( and /50 Negative News*))) ( FINRA Actions FINRA Actions/Combined NAME NYSE & NASD Disciplinary Decisions; Financial Industry Regulatory Authority (FINRA/NASD) Arbitration Awards Legal For internal use only Results 5 Results found (not reviewed in this session) No Results No Results No Results CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043315 CONFIDENTIAL SDNY_GM_00189499 EFTA01357030

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