EFTA Document EFTA01363868

Private Wealth Management AML Compliance 5201 Gate Parkway. 2'4 floor Jacksonville. FL 32256 Tot. Visit us. 1.dpi/wow db corn Pavan...iv pieepinn, Le:Stung aus Leidensehaft From: Cynthia Rodriguez Sent: Wednesday, October 12, 2016 12:08 PM To: PWMUS AMLKYC Subject: RDC ALERT - Richard Kahn and KR 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, 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 °fad 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. 101540004 New York. NY, USA Tel. Fax Email 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054309 CONFIDENTIAL SDNY_GM_00200493 EFTA01363868