EPSTEIN
page 9 / 1106 . OCR, unverified
years. The alert involves a Richard Kahn who was a limited partner of
PennMont Securities, a former broker dealer, NASDAQ OMX PHLX and NYSE Arca
member. On February 26, 2013 PennMont was banned from NYSE Arca membership
due to various accounting, record keeping, and supervisory control
deficiencies. AML Compliance finds these statements made by our Mr. Kahn
reasonable evidence, and clears this alert as a false positive.
Please see the email chain attached to this KYC, thanks!
Best, Michael
(Embedded image moved to file: pic02612.gif)
Michael Vila
Team Manager I AML Compliance
Deutsche Bank Securities Inc.
Asset a Wealth Management
5022 Gate Parkwa
Suite 400, 32256 Jacksonville, USA
Tel.
(Embedded image moved to file: pic09754.gif)
From:
Amanda Kirby/
To:
PWMUS AMLKYC/
Andrea Klingenberg/
Cc:
Urvashi Lavania/
PWM BIS-Research/
Paul Morris;
Date:
09/04/2013 11:09 AM
Subject:
Re: Richard D Kahn rdc alert
[I)
Classification: For internal use only
EFTA01404972
--- PAGE 2 ---
Hi,
The below RDC
in question.
account for a
pose any risk
alerts do pertain to our client. Richard D Kahn is the person
However, he will not be a client of the bank. We are opening an
trust, for which he is a trustee. It does not seem that he would
(reputational or otherwise) to the bank. Please approve
(See attached file: Richard D Kahn rdc alert.pdf)
Richard D Kahn rdc alert_l.pdf)
From:
To:
Cc:
Date:
Subject:
PWM BIS-Research/
Amanda Kirby/
PWMUS AMLKYC/
09/03/2013 04:32 PM
Richard D Kahn rdc alert
[II
(See attached file:
Classification: For internal use only
Hello,
Attached is an alert for the party mentioned above. Please note that
clearance from compliance is required prior to KYC approval.
Please follow the instructions below:
Forward explanation of whether the alert pertains to your client directly to
compliance.
Receive confirmation from compliance that alert can be removed from the queue.
Include copies of all responses along with your KYC.
(attachment "Richard D Kahn rdc alert.pdf" deleted by Amanda Kirby/
(attachment "Richard D Kahn rdc alert_l.pdf" deleted by Amanda Kirby/
J
Regards
Urvashi
EFTA01404973
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Subject: The following case that you have created has been closed.
From: Komal Shahani <
Date: Mon, 04 Nov 2013 11:44:59 -0500
To: Amanda Kirby
The following case that you have created has been closed.
Case Number: 01146494
Customer:
Account: New York Strategy Group, LLC
DB Account:
Description: ABR- Please vett the signors with W-9 for approval.
New Banking
NAO: 7001307
KYC: 01133377
Click here for details https://na4.salesforce.com/5006000000UHOsG.
EFTA01404974
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Subject: Case 4 01161376: has been assi ned to ou.
From: Brian Biggar
Date: Tue, 10 Dec 2
. .
To: Amanda Kirby <
*** NEW CASE ASSIGNMENT NOTIFICATION ***
The following case has been assigned to you.
Case 4: 01161376
Type:
Case Subject: KYC Annual Call Note
Description:
Click on the link to access the case: https://na4.salesforce.com/5006000000VDvNf
EFTA01404975
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