Alert #1:
Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern
Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for
unregistered activity.
http://www.biziournals.conVsouthflorida/search?q=%22Jeffrev+Kahn%228title=%3Fiframe/03Dtrue&width=95%258height
=95%25+title%3D+titletro3D+litle%3D+title%3D%20title=
Alert #2:
Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities
Rule by failing to provide testimony as requested by FINRA.
https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA-
3.pdf&rct=i8frm=18icp&esrc=s&sa=U8ieiriMD6UVIedDsWPuAT924DoCO&ved=0CBMQFIAMiusq=AFQICNH6TerGC ha K
BRHqY5DUNOCAX7ziw
Alert #3:
Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal
research. Hence no escalation required.
NOTE: PCR is NO HIT
Kind regards,
Syed-Anzar Ahmed
Process Stpervisor I COB - RDC LOOKBACK TEAM
DBOI Global Services Private Limited
Global Busness Services
VTP, I ironic C Hosts Road, 580100 Bangalore, India
Tel.
Mobile •
Email
PanimAirr Perfron.
Manikandan Muralidharan--12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team. Request you
review the RDC hit received on "Richard K
Manikandan Muralidharaa
From
CAGNY NCA
To:
Syed-Anzar Ahmed Suresh-x Sallmath Jofin Vai hose . Sagar
Cc: Prakash. . Kameshwaran N Anantesh Ana
12/19,2014 08'.23 PM
Date
Po: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent fil
Subject.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067137
CONFIDENTIAL SDNY_GM_00213321
EFTA01373114