EFTA01295065.pdf

NAME SEARCHED: HBRK Associates, Inc
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: Click here for results: Reviewer Comments (as necessary):
No Hit MI Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
H Hit
No Hit • Not Required
PCR II. PCR Results No KR alert (Please see attached)
M Hit
0 Yes ).! No in. Negative Media No Information found
MS Non-Negative media No Information found
Not Required IV.
V. Other Language Media Not Required
Result Found(please see attached)
Resting? _1 Yes 0 No
D&B El Not Required Wilt&
Result Found(please see attached)
Smyth= RemIts? 0 Yes 0 No
• Not Required VU. Smartlim
0 Review byLegal May No Information found
Court Cases be Required No Results VIII. Court Cases
0 Search neP ot required
Prepared by: Ungshi Lavania Date:10/02/2013
Research Analyst
Instructions:
I. Review and confirm that all results are returned for your client.
2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web
link below for your convenioice: 51artindale-Hubbellhttp://www.martindalc.com/sp/Martindale/homeaml
3. As needed, provide comment for any negative results.
4. If applicable, please obtain clearance from Compliance for all alerts.
5. Save any changes you make to this document and attach file to your KYC.
Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents.
For internal use only
SDNY_GMWT
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0016594
EFTA_00164340
EFTA01295065

OFAC RESULTS
RDC:
11527228 No Match Found 6851801 HBRK Associates, Inc Country:United
States
PCR:
C20 131019066012 HBRK Associates, Inc 6851801 NCA customised Auto-Closed No-Hit
02/10/2013
BIS RESULTS
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
Not Required
Public Records:
1 OF 2 RECORD(S)
FOR INFORMATIONAL PURPOSES ONLY
Copyright 2013 LexisNexis
a division of Reed Elsevier Inc. All Rights Reserved.
Subject Summary
Name Address Phone County/FIPS
HBRK ASSOCIATES INC 1365 YORK AVE APT 28
NEW YORK, NY 10021.4035
Name Variations/DBAs
# Name Variations
1. HBRK ASSOCIATES INC.
Phone Summary -1 records found
# Tele hone Number
Addresses - 3 records found
For internal use only
SDNY_GM_00053771
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Page 2
# Address Dates County MSA
1. 1365 YORK AVE 28A 8/29/2008 - NEW YORK New York, NY -
NEW YORK, NY 10021 5600
8/29/2008
2. 9/4/2008 - NEW YORK New York, NY -
1 5600
10/18/2011
3 8/29/2008 -
8/29/2008
Profile Information - 2 records found
1: HBRK ASSOCIATES INC.
Company Name: HBRK ASSOCIATES INC.
Date Of Incorporation: 8/29/2008
State Of Incorporation: NY
Charter Number: 3714818
Duration: PERPETUAL
Status Of Incorporation: ACTIVE
Corporation Structure: DOMESTIC BUSINESS
2: HBRK ASSOCIATES INC.
Company Name: HBRK ASSOCIATES INC.
Date Of Incorporation: 8/29/2008
State Of Incorporation: NY
Charter Number: 3714818
Duration: PERPETUAL
Status Of Incorporation: ACTIVE
Corporation Structure: DOMESTIC BUSINESS
Executives -1 records found
# Name Titles
1. KAHN. RICHARD CONTACT
Registered Agents -1 records found
# Name Address
1. RICHARD KAHN
Company ID Numbers - 1 records found
Company ID Numbers
Sec. of State Charter No(s): NY 3714818
Person Associates -1 records found
# Name Address
1. KAHN RICHARD
Sources - 6 records found
All Sources 6 Source Document(s)
Business Contacts 2 Source Document(s)
Business Finder 3 Source Document(s)
Corporate Filings 1 Source Document(s)
For internal use only
SDNY_GM_00053772
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Page 3
Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes
entered poorly, processed incorrectly and is generally not free from defect This system should not be relied upon as
definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary
of State documents. the following data is for information purposes only and is not an official record. Certified copies may
be obtained from that individual state's Department of State.
Your 0PPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
Copyright® 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved.
2 OF 2 RECORD(S)
FOR INFORMATIONAL PURPOSES ONLY
Copyright 2013 LexisNexis
a division of Reed Elsevier Inc. All Rights Reserved.
Subject Summary
Name Address Phone County/FIPS
HBRK ASSOCIATES. INC. 301 E 66TH ST None Listed
NEW YORK. NY 10065-6205
Name Variations/DBAs
# Name Variations
1 HBRK ASSOCIATES. INC.
Phone Summary - 2 records found
# Tele hone Number
1.
Addresses - 2 records found
# Address Dates County MSA
1. 301 E 66TH ST 10/2008 - NEW YORK New York. NY -
NEW YORK, NY 10065 5600
4/1/2009
2. 301 E 66TH ST 10F 10/2008 - NEW YORK New York, NY -
NEW YORK, NY 10065 5600
10/2008
Company ID Numbers - 1 records found
Company ID Numbers
FEINs: 30.0503838
Business Associates - 4 records found
# Name Address
1. C O U O FOUNDATION INC 301 E 66TH ST APT 10F
NEW YORK. NY 10065-6216
2. EPSTEIN INTERESTS 301 E 66TH ST APT 10F
NEW YORK, NY 10065-6216
3. NEW YORK STRATEGY GROUP, LLC 301 E 66TH ST APT 10F
NEW YORK, NY 10065.6216
4. NINE EAST 71ST STREET CORPORATION 301 E 66TH ST APT 10F
NEW YORK, NY 10065-6216
For internal use only
SDNY_GM_00053773
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Sources - 5 records found
All Sources 5 Source Document(s)
Business Finder 4 Source Document(s)
Experian Business Reports 1 Source Document(s)
Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes
entered poorly. processed incorrectly and is generally not free from defect. This system should not be relied upon as
definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary
of State documents, the following data is for information purposes only and is not an official record. Certified copies may
be obtained from that individual state's Department of State.
Your DPPA Permissible Use is: Debt Recovery/Fraud
Your GOA Permissible Use is: Legal Compliance
Copyright/ID 2013 LexisNexis. a division of Reed Elsevier Inc. All rights reserved.
D&13:
Copyright 2013 Dun & Bradstreet, Inc.
Federal Employer Identification Numbers
April 1, 2009
HBRK ASSOCIATES, INC.
301 E 66TH STREET
NEW YORK, NY 10065
UNITED STATES
CATIONS
TELEPHONE:
COMPANY IDENTIFIERS
FEIN: 30-0503838
SOURCE REFERENCE NAME: DEPARTMENT OF LABOR
EXECUTIVES* * * * * * * * * *
TOP CONTACT: Principal Hal Brill
MARKET AND INDUSTRY
SIC CODES:
99992222
CROSS REFERENCE:
. PRIMARY BUSINESS NAME: Hbrk Associate Inc
For internal use only
SDNY_GM_00053774
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EFTA_00I 64344
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LOAD-DATE: July 23, 2013
LEGAL 121•:SI LTS:
Court Cases:
No Information Found
For internal use only
SDNY_GM_00053775
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CONFIDENTIAL - PURSUANT TO FED R.WAI(E DB-SDNY-0016599
EF1'A_00164345
EFTA01295070