Norkom 6.1.0 - World Check Details Page I of 2
Norkom 6.1.0 - World Check Details Page I of 2
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Details
I 1 Alert ID: A141120234116 Alert Date: 13/11/2014
I
I Score: 100% Detection Check: we names
I
i Best matches: In VVORLDCHECK 03 name Data Source: Customer_NCA_web
I = Richard Kahn Fuzzy Match
I ,.= 86% KAHN Richard
i
i
i Name: Richard Kahn Street/Number:
DOBJDOI: Zip Code/City:
I Nationality: PEP Indicator:
I
I Gender: Customer ID:
Country of Birth/Branch: Alerted Customer ID:
I Country of Residence: United States Comments: null
i
World Check Details
Title:
First Name:
Last Name:
Date of Birth:
Place of Birth:
Age:
Age (As of Date):
Date of Death: Richard
KAHN UID:
Category:
Sub Category:
Record Type:
SSN:
Position:
Entered:
Updated:
Names
no rows found
Countries 1809519
INDIVIDUAL
Male
01/08/2012
Locations
Country Location
Sane' f.rf PereisyNa - USA
Companies Passports
Link Company
(40 PENNMONT SECURITIES
World Check Association
Link Linked To no rows found
co Keke KAHN
David MILLER
Virginia ATLEE
SONY_GM_00084921
haps://aml.cit.gto.intranct.db.c
•INI Fri BettTl.A?tfftkn=VISHeJizl... 11/14/2014
CONFIDENTIAL - PURSUANT TO FED. •r I PI 6(e/ DB-SDNY-0027746
EFFA_00175421
EFTA01299207
Norkom 6.1.0 - World Check Details Page 2 of 2
CD
CD
CD
CD
co
CD
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co CD
CDJoann DELPIZZO MILLER
William JOHNSTON
George SNYDER
Judith BUSCH
Elizabeth ATLEE CARAPICO
Cealia CORAZA
Elaine ENGLISH
James ENGLISH CORAZA
George REEF
Amy BECCONE
Mary CORAZA
Anthony MONTALBANO
Arland FRIEND
Judith FRIEND
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
https://aml.cit.gto.intranet. db.c
CONFIDENTIAL - PURSUANT TO FED. SONY_GM_00064922
NtlAt rftkn=V1SHeJizl... 11/14/2014
DB-SDNY-0027747
EFI'A_00 175422
EFTA01299208