EFTA01299207.pdf

Norkom 6.1.0 - World Check Details Page I of 2
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1 Alert ID: A141120234116 Alert Date: 13/11/2014
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I Score: 100% Detection Check: we names
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i Best matches: In VVORLDCHECK 03 name Data Source: Customer_NCA_web
I = Richard Kahn Fuzzy Match
,.= 86% KAHN Richard
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i Name: Richard Kahn Street/Number:
DOBJDOI: Zip Code/City:
I Nationality: PEP Indicator:
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I Gender: Customer ID:
Country of Birth/Branch: Alerted Customer ID:
I Country of Residence: United States Comments: null
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World Check Details
Title: UID: 1809519
First Name: Richard Category: INDIVIDUAL
Last Name: KAHN Sub Category:
Date of Birth: Record Type: Male
Place of Birth: SSN:
Age: Position:
Age (As of Date): Entered: 01/08/2012
Date of Death: Updated:
Names
no rows found
Countries Locations
Country Location
Sane' f.rf PereisyNa - USA
Companies Passports
Link Company
no rows found
(40 PENNMONT SECURITIES
World Check Association
Link Linked To
Keke KAHN
co
David MILLER
Virginia ATLEE
SONY_GM_00084921
haps://aml.cit.gto.intranct.db.c INIF ri BettTl.A?tfftkn=VISHeJizl... 11/14/2014
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CONFIDENTIAL - PURSUANT TO FED.• I PI 6(e/ DB-SDNY-0027746
EFFA_00175421
EFTA01299207

Norkom 6.1.0 - World Check Details Page 2 of 2
CD Joann DELPIZZO MILLER
CD William JOHNSTON
CD George SNYDER
CD Judith BUSCH
co
Elizabeth ATLEE CARAPICO
Cealia CORAZA
Elaine ENGLISH
CD
James ENGLISH CORAZA
George REEF
Amy BECCONE
io
Mary CORAZA
Anthony MONTALBANO
co
Arland FRIEND
CD Judith FRIEND
CD Constance ATLEE JOHNSTON
Further Information
[BIOGRAPHY] Limited partner with PennMont Securities. [IDENTIFICATION] To be
detemened. [REPORTS] Jan 2O12 - found by the Business Conduct Committee to be in
violation of NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA.
Apr 2O12 -to be permanently barred from NYSE Arca membership unless testimony is
provided within requred time frame.
External Sources
External Source
httplAinvw.nysa.com/pdfs/12-ARCA•3 pdf
Copyright 1998.2010 Norkom Tectvabgies Ltd. All rights reserved Dtscs_world_check
SONY_GM_00064922
https://aml.cit.gto.intranet. db.c NtlAtr ftkn=V1SHeJizl... 11/14/2014
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0027747
EFI'A_00 175422
EFTA01299208