EFTA01297290.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):
Q No Hit • Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
• llit
No Hit • Not Requires
PCR El • Hit II. PCR Result No PCR alert (Please sec attached)
El Yes No HI. Negative Media There was no information found
BIS • Not Required IV. Non-Negative Media There was no information found
V. Other Language Media There was no information found
Results? • Yes 0 No Not required
D&B (83 Not Required VI. Ilta
Result Found (Please See Attached)
Smanlinx Rogilts? 0 Yes 0 No
• Not Required VU. Smanlinx
El Review bil.egal May There was no information found
Court Cases be Required N4 No Results VIII. Court Cases
0 Search not required
Prepared by: Ankita Shah Da e:0712012017
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-Huhhell search (if applicable) on each search subject. We have attached the web link
below for your convenience:alartindale-Ilubbellhttp://www.martindale.com/sp/Martindale/home.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
SONY_GM_00060303
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0023127
EFTA_00 7084 I
EFTA01297290

OFAC RESULTS
RDC:
Date of
tch
11605341 KYC 1804531 Countr y : UNITED STATES Birth:
Found
3/14/1984
PCR:
C201707383171611 13018221 NCA customised Auto-Closed No-Flit
20/07/2017
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:7/20/2017
Report processed by:
DEUTSCHE BANK AGII
Full Name Address County Phone
301 E 66TH ST APT 3M NEW YORK None Listed
For internal use only
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Page 2
Full Name Address County Phone
NEW YORK, NY 10065-6205
NEW YORK COUNTY
ADDITIONAL PERSONAL INFORMATION
SSN DOB Gender LexID(sm)
890-37-XXXX 189029524089
I SSN potentially
randomly issued by the SSA
Subject Summary
Nam
1
SSNs Summary
No. SSN State Iss. Date Iss. Warnings
Most frequent SSN attributed to subject:
1: 890-37-XXXX N/A SSN is
potentially
randomized
Others Using SSN - 0 records found
Address Summary - 4 records found
No. Address
1: 301 E 66TH ST APT 3M
NEW YORK, NY 10065-6205
NEW YORK COUNTY
2: 6 W 14TH ST STE 2
NEW YORK, NY 10011-7506
NEW YORK COUNTY
3: 6 W 14TH ST STE 3
NEW YORK. NY 10011-7506
NEW YORK COUNTY
4: 6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
ST. THOMAS COUNTY
Address Details
1: 301 E 66TH ST APT 3M NEW YORK, NY 10065-8205
Address Dates Phone
301 E 66TH ST APT 3M 12/2012 - M017
NEW YORK, NY 10065-6205
NEW YORK COUNTY
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
2: 6 W 14TH ST STE 2 NEW YORK, NY 10011-7506
Address Dates Phone
For internal use only
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023129
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Page 3
6 W 14TH ST STE 2 3/2012 - 7/2012
NEW YORK, NY 10011-7506
NEW YORK COUNTY
Census Data for Geographical Region
Median Head of Household Age: 37
Median Income: $130,793
Median Home Value: $1,000,000
Median Education: 17 years
Household Members
None Listed
Other Associates
None Listed
3: 6 W 14TH ST STE 3 NEW YORK, NY 10011-7506
Address Dates Phone
6 W 14TH ST STE 3 (212) 966-4200
NEW YORK, NY 10011-7506
NEW YORK COUNTY
Census Data for Geographical Region
Median Head of Household Age 37
Median Income: $130,793
Median Home Value: $1,000,000
Median Education: 17 years
Household Members
None Listed
Other Associates
None Listed
4: 6100 RED HOOK QTRS STE B-3 ST THOMAS, VI 00802-1348
Address Dates Phone
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
ST. THOMAS COUNTY
Household Members
None Listed
Other Associates
None Listed
Voter Registrations - 0 records found
Driver Licenses - 0 records found
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 - 0 records found
For internal use only
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Page 4
Business Associates -1 records found
1: EDUCATION ADVANCE
Name:
Address: 408 CHESTER ST
MENLO PARK, CA 94025-2524
Status: ACTIVE
State: CA
Corporation Number: C3947595
Descriptive Status: ACTIVE
Record Type: CURRENT
Record Date: 7/5/2017
Filing Date: 9/21/2016
Person Associates - 0 records found
Neighbors - 7 records found
301 E 66TH ST APT 3M NEW YORK, NY 10065-6205
Name Address Phone
ROSS. JAMIE 301 E 66TH ST APT 3D
NEW YORK, NY 10065-6206
HOFFMAN. YVETTE 301 E 66TH ST APT 3E
KAY, IRA E NEW YORK, NY 10065-6206
REILLY, MEGAN 301 E 66TH ST APT 3F
NEW YORK, NY 10065-6206
SCHNEIDER, ALEXANDRA 301 E 66TH ST APT 3G
SCHNEIDER. JACQUELINE H NEW YORK, NY 10065-6206
TILLMAN. ROSS J
ASCHER, ELIZABETH C 301 E 66TH ST APT 3H
GUINLE, MARIA NEW YORK, NY 10065-6206
YOUDIM, JESSICA
GARFIELD, BRIAN P 301 E 66TH ST APT 3.1
SEHERR THOSS. MARIAN K NEW YORK, NY 10065-6206
BOOKMAN. ADAM 301 E 66TH ST APT 3K (646) 964-4833
TEMAN, W NEW YORK, NY 10065-6206
TOPPER, JESSICA S
Employment Locator - 2 records found
1:
Company Name: EDUCATION ADVANCE
Name:
SSN: 890-37-XXXX
Confidence: Medium
2:
Company Name: EDUCATION ADVANCE
Name:
Title: PRESIDENT
SSN: 890-37-XXXX
Confidence: Medium
For internal use only
SDNY_GM_00060307
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023131
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Page 5
Criminal Filings - 0 records found
Cellular & Alternate Phones - 0 records found
Sources - 17 records found
All Sources 17 Source Document(s)
Corporate Affiliations 1 Source Document(s)
Historical Person Locator 2 Source Document(s)
Person Locator 1 1 Source Document(s)
Phone 12 Source Document(s)
Utility Locator 1 Source Document(s)
Key
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 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 OPPA 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:
There was no information found
For internal use only
SDNY_GM_00060308
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023132
EFTA_00170846
EFTA01297295