EFTA Document EFTA01373060

Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5. 6, 7, Velankani Tech Park. No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Tel. • 20 6411002 Mobile Email Backup details • Ganesh Bala)! Bharath4Curnarlig ia) For Escalations p se contact Level 1 - Karthik Level 2 - Bolan andowirraertrem --- Forwarded by Marikandan Murandharanedb.rdbcom on 12/192014 013:53 PM — From: To: Cc: Date: Subject: syed-Anzar Ahmed/db/dbcom Manikandan Muralidharan/db/dbcom*DESAPAC. CAGNY NCA/dbidboomaDEAmencas. Suresh-x Sahmath/db/dbcomeDBAMERICAS, Anartesh Anandklb/dbcom(gDSAMERICAS 12/19/2014 08:42 PM Re: Fvt. EDD package for the RID: ONB-120902 LKYCUS-3443 Party name : $ollhern Financial LLC - ROC alert Review -Very Urgent il) Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for unregistered activity. http://www.biziournals.conVsouthfloridaisearch?q°422Jeffrev+Kahn%22&tille=%3Fiframeto3Dtrue&width=95e/0258,height =95°/025-ifitle%3D+title%3D+title%3D+title%3D%20title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.uoorfie.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067063 CONFIDENTIAL SDNY_GM_00213247 EFTA01373060