12/19/2014 08:42 PM
Date
Subject: Re: Fw EDD package for the RID: ONB-120902 LKYCUS-3443 Party name : 6ol4tlern Financial LLC ROC alert Review - Very Urgent (1)
Classification: For internal use only
Hello All,
Please find the details below:
NO ESCALATION REQUIRED
1) Richard Kahn
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.corrilsouthflorida/search?q=%22Jeffrev+Kahn%22&title=%3Fiframe%3Dtrue&width=95%25&height
=95°/025+title%3D+title%3D+title%3D+title%3D°/020title=
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.
htlps://www.q000le.co.in/url?url=httpsftwww.nvse.comipdfs/12-ARCA-
3.pdf&rct=i&frm=1&q=&esrc=s&sa=lflei=MD6UVIedDsWPuAT924DoCa&ved=0CBMQFIAA&usq=AFQiCNH6TerGehaK
BRHaY5DUNOCAX7ziw
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 Supervisor I COB - RDC LOOKBACK TEAM
DBOI Global Services Private Limted
Global Buskins Services
VTP,Electronic C . 560100 Bangalore, India
Tel.
Mobile
Email
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