9
Shared Docs
9
Same-Page
18 / 9
Mentions
c=s&sa=U8ieiriMD6UVIedDsWPuAT924 DoCO&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-
Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial
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=18i
&esrc=s&sa=U8iei=MD6UVIedDsWPuAT924DoCCAved=0CBMQFIAA8usq=AFQICNH6TerGChaK 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-
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
title%3D+title%3D+tille%3D0/020title= 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. https://www.0000le.co. in/url?url=https:/twww.nyse.comiodfs/12-ARCA- 3.odf&rct=i&frm=18
LLC - ROC alert Review -Very Urgent DJ 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. Wher
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
D+title%3D+title%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.uoorfie.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- CONFIDENTIAL - PUR
esrc=s&sa=U&ei=MD6UVIedDsWPuAT924 DoCO&ved=0CBMONAA&usq=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 intemal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, CONFID
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
D+title%3D+title%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.gooqle.co.in/url?url=https://www.nvse.com/pdfs/12-ARCA- pdf&rct=i&frm=1&q=8
c=s&sa=U&einVID6UVIedDsWPuAT924 DoCQ&ved=0CBMQFIAA8 usq=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-
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
D+title%3D+title%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.cgicatle.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=1
&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-
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
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=
src=s&sa=U&ei=MD6UVIedDsWPuAT924DoCO&ved=0CBMCWiAflusq=AFaiCNH6TerGChaK BRI-liaY5DUNOCAX7ziw 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-
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
D+title%3D+tille%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. ralps://www.google.co.in/url?ud=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=1&q=
esrc=s&sa=lflei=MD6UVIedDsVVPuAT924DoCO&ved=0CBMGFIAA8rusq=AFaCNH6TerGChaK 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-
h Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing
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.gooale.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- 3.pdf&rct=i&frm=18q
LC - ROC alert Review -Very Urgent il) 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. Wher
etails below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Ind
D+title%3D+title%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.uoorfie.co.in/url?url=https://www.nyse.com/pdfs/12-ARCA- CONFIDENTIAL - PUR
Entities connected to both Richard Kahn and NYSE Arca Equities

Jeffrey Epstein
PERSON
Bangalore
LOCATIONManikandan Muralidharan
PERSONDBOI Global Services Private Limited
ORGANIZATIONSyed-Anzar Ahmed
PERSONAlerted Individual
ORGANIZATIONWells Fargo Employee
ORGANIZATIONElectronic City
LOCATIONReview - Very Urgent
ORGANIZATIONSouthern Financial LLC - RDC
ORGANIZATIONU S - New Client Adoption
ORGANIZATIONSouthern Financial LLC - ROC
ORGANIZATIONCAGNY NCA
ORGANIZATION