EFTA01296257.pdf

NAME SEARCHED:
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):
0 No lilt • Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
• lilt
PCR C4 No Hit • Not Requited II. PCR Results No PCR alert (Please sec attached)
M Hit
El Yes 0 No III. Negative Media There was no information found
BIS Required IV. Non-Negative Media There was no information found
E Not
V. Other Language Media There was no information found
Results? 0 Yes MI No v./. Not required
D&B Da
0 Not Required
Result found(Please see attached)
Stumble( Results? ISI Yes 0 No
0 Not Required VII. Smartlinx
Review by IA.val May Result found(Plcase sec attached)
Court Cases be Regulus' El No Results VIII. Court Cases
El Search not required
Prepared by: Reena Chandwani Date:06/15/2017
Research Analyst
Instructions:
I. Review and confirm that all results arc 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 has c attached the'eb link
below for your convenience:Martindale-Hubbellhttp://www.martindak.com/ip/Martindakihome.xml
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-GM-00058475
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0021299
EFTA_00 I 69035
EFTA01296257

OFAC RESULTS
RDC:
S Date of
11602678 Ntlitatich KYC 1790724 Country:UNITED STATES rth:
Found
Date of
No Match
11602679 KYC 1790724 Country:UNITED STATES Birth:
Found
PCR:
C201706379090761 2890623 NCA customised Auto-Closed No-Hit 15/06/2017
C201706379090751 2890623 NCA customised Auto-Closed No-Hit 15/06/2017
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
There was no information found
Public Records:
1 OF 1 RECORD(S)
FOR INFORMATIONAL PURPOSES ONLY
Copyright 2017 LexisNexis
a division of Reed Elsevier Inc. All Rights Reserved.
Date.6/15/2017
Report processed by:
DEUTSCHE BANK AGII
For internal use only
SDNY_GM_00058476
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CDFNIF DB-SDNY-0021300
EFTA_00I 69036
EFTA01296258

Page 2
Full Name Address County Phone
NEW YORK None Listed
ADDITIONAL PERSONAL INFORMATION
SSN Gender LexID(sm)
Female
(Age 33)
Subject Summary
Nam "
1
2
SSNs Summary
No. SSN State Its. Date Iss. Warnings
Most frequent SSN attributed to subject:
1 Minnesota 1986-1987
DOBs
Reported DOBs:
Possible E-Mail Addresses
Others Using SSN - 0 records found
Address Summary - 9 records found
No. Address
1
2
3
4
5:
6:
7:
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SDNY_GM_00058477
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021301
EFTA_00I 69037
EFTA01296259

Page 3
No. Address
8
9
Address Details
Dates Phone
10/2009 - 5/2017
Census Data for Geographical Region
Median Head of Household Age: 36
Median Income: $156,291
Median Home Value: $753,989
Median Education: 16 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
11/2004 - 7/2014
Census Data for Geographical Region
Median Head of Household Age: 36
Median Income: $156,291
Median Home Value: $753,989
Median Education: 16 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
10/2009 - 8/2015
Census Data for Geographical Region
Median Head of Household Age: 36
Median Income: $156,291
Median Home Value: $753,989
Median Education: 16 years
Household Members
None Listed
Other Associates
TAN, GEORGE B
Dates Phone
9/2001 - 12/2014
For internal use only
SDNY_GM_00058478
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021302
EFTA_00I 69038
EFTA01296260

Page 4
Census Data for Geographical Region
Median Head of Household Age: 39
Median Income: $126,728
Median Home Value: $329,229
Median Education: 16 years
Household Members
Other Associates
None Listed
Dates Phone
12/2008 - 11/2009
Census Data for Geographical Region
Median Head of Household Age: 54
Median Income: $47,576
Median Home Value: $617,089
Median Education: 14 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
9/2005 - 10/2006
Census Data for Geographical Region
Median Head of Household Age: 34
Median Income: $44,625
Median Home Value: $0
Median Education: 12 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
1/2005 - 7/2005
ensus uata for cseograpnIcal rtegion
Median Head of Household Age 37
Median Income: $92,857
Median Home Value: $408,173
Median Education: 15 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
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SDNY_GM_00058479
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0021303
EFTA_00 I 69039
EFTA01296261

Page 5
6/2004 - 4/2005
Census Data for Geographical Region
Median Head of Household Age: 36
Median Income: $49,615
Median Home Value: $0
Median Education: 13 years
Household Members
None Listed
Other Associates
None Listed
Dates Phone
Census Data for Geographical Region
Median Head of Household Age: 32
Median Income: $93,351
Median Home Value: $940,789
Median Education: 16 years
Household Members
None Listed
Other Associates
TAN, GEORGE B
Voter Registrations -1 records found
1: New York Voter Registration
mation
Name:
Residential Address:
SSN:
Date of Birth:
Gender: Female
Voter Information
Registration Date: 6/19/2014
Last Vote Date: 11/8/2016
Party Affiliation: DEMOCRAT
Active Status: ACTIVE
Driver Licenses - 8 records found
1: Florida Driver License
Driver Information
Name:
Address:
Data source: &oyernmentat
Personal Information
SSN:
DOB:
Gender: Female
For internal use only
SDNY_GM_00058480
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021304
EFTA_00I 69040
EFTA01296262

Page 6
Height: 800"
License Information
License Type: ORIGINAL
License Class: Non-Commercial - Regular Operator License
Attention Flags: ORGAN DONOR
Issue Date: 12/11/2008
Expiration Date: 11/2017
Additional Driver Information
DOB:
Gender: Female
Race: WHITE
History: Current
Height: 800"
2: Minnesota Driver License
Name:
Address:
Data source:
I Information
SSN:
DOB:
Gender: Female
Height: 800"
Weight: 125 lbs.
License Information
License Type: REGULAR LICENSE
License Class: Valid for single unit vehicles designed to carry less than 15 passengers with a
GVW less than26000 lbs; vehicle combinations with a GVW less than 26000
Ibs; farm trucks; fire trucks and emergency equipment or personal recreational
equipment.
Attention Flags: ORGAN DONOR
Issue Date: 12123/2004
Expiration Date: 1112008
Additional Driver Information
DOB: MISIIIM
Gender: Female
History: Historical
Height: 800"
Weight: 125 lbs.
3: Minnesota Driver License
Driver Information
Name:
Address:
Data source: Governmental MN
Personal Information
SSN:
DOB:
Gender: Female
Height: 600"
Weight: 125 lbs.
License Information
License Type: REGULAR LICENSE
For internal use only
SDNY_GM_00058481
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0021305
EFTA_00 II 69041
EFTA01296263

Page 7
License Class: CONAX record.This could mean a conviction only, no driver license.
Attention Flags: ORGAN DONOR
Issue Date: 12/23/2004
Expiration Date: 11/2008
Additional Driver Information
DOB: 11/1983
Gender: Female
History: Historical
Height: 6100"
Weight: 125 lbs.
4: Minnesota Driver License
Driver Information
Name:
Address:
Data source: Governmental MN
Personal Information
SSN:
DOB:
Gender: Female
Height: 6'00"
Weight: 125 lbs.
License Information
License Type: REGULAR LICENSE
License Class: CONAX record.This could mean a conviction only, no driver license.
Attention Flags: ORGAN DONOR
Issue Date: 12/23/2004
Expiration Date: 11/2008
Additional Driver Information
DOB:
Gender: Female
History: Historical
Height: 600"
Weight: 125 lbs.
5: Minnesota Driver License
Name:
Address:
Data source: Governmental. MN
_iial Information
SSN:
DOB:
Gender: Female
Height: 600"
Weight: 125 lbs.
License Information
License Type: REGULAR LICENSE
License Class: CONAX record.This could mean a conviction only, no driver license.
Attention Flags: ORGAN DONOR
Issue Date: 12/23/2004
Expiration Date: 11/2008
Additional Driver Information
For internal use only
SDNY_GM_00058482
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021306
EFTA 00169042
EFTA01296264

Page 8
DOB:
Gender: Female
History: Historical
Height: 6'00"
Weight: 125 lbs.
6: Minnesota Driver License
Name:
Address:
Data source: Governmental MN
Personal Information
SSN:
DOB:
Gender: Female
Height: 6'00"
Weight: 125 lbs.
License Information
License Type: DUPLICATE PROVISIONAL LICENSE
License Class: Valid for single unit vehicles designed to carry less than 15 passengers with a
GVW less than26000 lbs; vehicle combinations with a GVW less than 26000
Ibs; farm trucks; fire trucks and emergency equipment or personal recreational
equipment.
Attention Flags: ORGAN DONOR
Issue Date: 09/15/2003
Expiration Date: 11/2004
Additional Driver Information
DOB:
Gender: Female
History: Historical
Height: 600"
Weight: 125 lbs.
7: Minnesota Driver License
Driver Information
Name:
Address:
Data source: Governmental: MN
Personal Information
SSN:
DOB:
Gender: Female
Height: 5'11"
Weight: 125 lbs.
License Information
License Type: PROVISIONAL LICENSE (MINOR)
License Class: Valid for single unit vehicles designed to carry less than 15 passengers with a
GVW less than26000 lbs; vehicle combinations with a GVW less than 26000
Ibs; farm trucks; fire trucks and emergency equipment or personal recreational
equipment.
Attention Flags: ORGAN DONOR
Issue Date: 12/23/2002
Expiration Date: 11/2004
Additional Driver Information
For internal use only
SDNY_GM_00058483
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021307
EFTA_00I 69043
EFTA01296265

Page 9
DOB: 1111983
Gender: Female
History: Historical
Height: 5'11"
Weight: 125 lbs.
8: Minnesota Driver License
Driver Information
Name:
Address:
Data source: Non-Governmental. MN
I Information
SSN:
DOB:
License Information
License Type: NO CLASS - USED FOR PERMITS
License Class: NO CLASS - USED FOR PERMITS
Additional Driver Information
DOB:
Professional Licenses - 0 records found
Health Care Providers - 0 records found
Health Care Sanctions - 0 records found
Pilot Licenses - 0 records found
Sport Licenses - 0 records found
Real Property - 0 records found
Motor Vehicle Registrations - 0 records found
Boats - 0 records found
Aircraft - 0 records found
Bankruptcy Information - 0 records found
Judgments/Liens - 0 records found
UCC Liens - 0 records found
Fictitious Businesses - 0 records found
Notice Of Defaults - 0 records found
Potential Relatives -10 records found
1st Degree: 6, 2nd Degree 4
No. Full Name Address/Phone
1
(Age 64)
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SDNY_GM_00058484
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0021308
EFTA_00I 69044
EFTA01296266

Page 10
No. Full Name Address/Phone
2.
(Age: 65)
3.
3.A
(Age: 33)
3.8.
(Age: 32)
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SDNY_GM_00058485
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CONFIDENTIAL — PURSUANT TO FED. R.CON(F DB-SDNY-0021309
EF1'A_00169045
EFTA01296267

Page I I
No. Full Name Address/Phone
4.
(Age: 31)
5.
5
(Age: 97)
6.
(Age: 31)
6.A
(Age: 52)
6.8.
DOB:11/1959
For internal use only
SDNY_GM_00058486
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0021310
EFTA_OOI 69046
EFTA01296268

Page 12
No. Full Name Address/Phone
(Age. 57)
Business Associates - 0 records found
Person Associates - 2 records found
No. Full Name Address SSN Phone DOB
1
2.
Neighbors - 10 records foun
301 E 66TH ST APT 8A NEW YORK, NY 10065-6216
Name Address Phone
For internal use only
SDNY_GM_00058487
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F 0B-SONY-0021311
EFTA_OOI 69047
EFTA01296269

Page 13
Employment Locator - 0 records found
Criminal Filings - 0 records found
Cellular & Alternate Phones -1 records found
1:
Personal Information
Name:
Address:
Phone Number:
Phone Type:
Carrier Information
Carrier: GAMEST CORPORATION
Carrier City: MINNEAPOLIS
Carrier State: MN
Sources - 28 records found
All Sources 28 Source DocumeM(s)
Driver Licenses 4 Source Document(s)
Email addresses 1 Source Document(s)
Historical Person Locator 10 Source Document(s)
Person Locator 1 8 Source Document(s)
PhonesPlus Records 1 Source Document(s)
Utility Locator 3 Source Document(s)
Voter Registrations 1 Source Document(s)
Key
For internal use only
SDNY_GM_00058488
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021312
EFTA_00169048
EFTA01296270

Page 14
AHigh Risk Indicator. These symbols may prompt you to investigate further.
I Moderate Risk Indicator. These symbols may prompt you to investigate further.
(General Information Indicator. These symbols inform you that additional information is
provided.
"The most recent telephone listing as reported by the EDA source.
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 suppfies, 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 GLBA Permissible Use is: Legal Compliance
Copyright® 2017 LexisNexis, a division of Reed Elsevier Inc. All rights reserved.
D& B:
Not required
LEGAL RESULTS:
Court Cases:
*** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY *** Copyright © 2017
CourtLink Corporation
UNITED STATES DISTRICT COURT
EASTERN DISTRICT OF PENNSYLVANIA
PLAINTIFF: Michelle Hensley;
DEFENDANT
For internal use only
SDNY_GM_00058489
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EFTA_00 I 69049
EFTA01296271

Page 2
DOCKET CASE NUMBER:
OTHER DOCKET CASE NUMBER:
FILING DATE:
JURISDICTION: Diversity
JUDGE: Honorable BERLE M. SCHILLER
NATURE OF SUIT: 367 Personal Injury: Health Care/P
FILING TYPE: Civil
CAUSE:
JURY DEMAND: Plaintiff
PLAINTIFF ATTORNEY(S):
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SDNY_GM_00058490
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EFTA_00 169050
EFTA01296272

Page 3
DEFENDANT ATTORNEY(S):
THE COURT UPDATED THIS RECORD ON: 06/12/2017 12:00:00 AM
For internal use only
SDNY_GM_00058491
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QC;IINE DB-SDNY-0021315
EFTA_00169051
EFTA01296273