EFTA Document EFTA01363958

From: Renee Salhi on behalf of PWMUS AMLKYC Sent: 10/12/2016 2:35:05 PM To: Cynthia Rodriguez I I • PWMUS AMLKYC Subject: CLEARED: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke [I) Classification: For Internal use only Hello Cynthia, AML Compliance has reviewed the PCR alert generated for Darren Indyke, beneficiary of the Butterfly Trust, client of the Private Bank. The subject of the alert is a positive match to Mr. Indyke who has a reference on file with compliance . AML Compliance clears this alert from an AML perspective. Kind regards, Renee Salhi Renee Salhi Associate I AML Compliance Officer Deutsche Bank Securities Inc. PrNate Wealth Management -AML Compliance 52O1 Gate Parkway. 2n4 floor Wit us Ito .owww db.com Basino$. Peepoom Leistung aus Lsidenschaft 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, 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: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054450 CONFIDENTIAL SDNY_GM_00200634 EFTA01363958