EFTA01299252.pdf

Cynthia Rodriguez
From: Renee Salhi on behalf of PWMUS AMLKYC
Sent: Wednesday, October 12, 2016 2:15 PM
To: Cynthia Rodriguez; PWMUS AMLKYC
Subject: CLEARED: RDC ALERT - Richard Kahn [I)
Classification: For Internal use only
Hello Cynthia,
AML Compliance has reviewed the four RDC alerts generated for Richard Kahn, beneficiary of the Butterfly Trust, client.
Alert #1:
• The subject of the alert resides in PA.
• The beneficiary resides in NY and has no address history in PA according to LexisNexis.
AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the
alert subject.
Alert subject information:
https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/disciplinary-actions/2012/12-ARCA-3.pdf
Alert #2:
• The subject of the alert resides in FL.
• The beneficiary resides in NY and has no address history in FL according to LexisNexis.
AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the
alert subject.
Alert subject information:
Alert #3:
• The subject of the alert was born in 1961.
• The beneficiary was born in 1972.
AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the
beneficiary.
Alert #4:
• The subject of the alert was born in 1962.
• The beneficiary was born in 1972.
AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the
beneficiary.
Kind regards,
Renee Salhi
Renee Salhi
Associate I AML Compliance Officer
Deutsche Bank Seounties Inc
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From: Cynthia Rodriguez
Sent: Wednesday, October 12, 2016 12:08 PM
To: PWMUS AMLKYC
Subject: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke
Dear AML Compliance,
Attached are RDC alerts for Darren Indyke and Richard Kahn who have been previously KYC approved and are part of
KYC Update case 01651789. The alerts reference the following:
• Richard Kahn, of New York, appears on NY Stock Exchange Disciplinary Actions.
• Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders.
• Richard Leroy Kann aka RICHARD L KAHN, DOB: , of GOLDEN, Colorado, appears on the list of
Colorado - Sex Offenders
• Richard L. Kahn, 1962, of Havana, Illinois, was wanted on a charge of calculated criminal drug conspiracy.
• Darren Indyke has a PCR alert, but the alerts don't reference anything specific.
Please clear these alerts for the following reasons:
• These alerts are false positives as the Richard Kahn that is previously KYC approved has a date of birth of
and resides at He is an attorney at HBRK Associates in
New York.
• Darren Indyke is previously KYC approved has a date of birth of and resides at
He is currently employed at Southern Financial LLC.
Kind regards,
Cynthia Rodriguez
Cynthia Rodriguez
Assistant vice President
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue. 10154-0004 New York, NY, USA
Tel
Fax
Email
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