rdc DB12000P - Deutsche Bank Private Bank Batch Date: 6/16/2017 Added to Monitoring: 06/162017 Alert Date: Alert 6/16/2017 Person Name: Richard Kahn Address: Gauntly UNITED STATES Tracking ID: KYC 1791049 Date of Birth: Reporting ID: Alerted Entity # 2 of 2 Risk Priority: Critical Alert ID: 9480093.11602748.61546436 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 61546436 R19372476 RICHARD JEFFREY KAHN Florida. UNITED STATES • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final pay an administrative fine of $20,000 with the submission of this Stipulation 06/21/2011. US Florida Office of Financial Regulation Final Orders • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final pay an administrative fine of $20,000 with the submission of this Stipulation 06/21/2011, US Florida Office of Financial Regulation Final Orders Orders. Richard J. Kahn shall and Consent Agreement, Orders. Richard J. Kahn shall and Consent Agreement, Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC URL: https://grid.rdc.conVwss/entity.html?entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: https://real.fiofr.com/DocumentsNiew.aspx?docGuid=5F712B04-5DC0-466E-A0C2- 17F882707D5D&docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, hrips://real.flofr.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspa/searchLegalDocuments Co-mated mitt the terms and cceedstonsolyoer RDC Subsonber Agreement the entormaban contained in ths document is for alert purposes only and es not to be used la purposes of