From: Amanda Kirby Sent: 11/14/2014 10:58:07 AM To: PWMUSAMLKYC CC: PWM 815-Research Subject: Fw: Richard Kahn rdc and per alert [I] Attachments: Richard Kahm Email Confirmation for Compliance.pdf; Richard Kahn RDC Alert CLEARANCE

From: Urvashi Lavania on behalf of PWM 815-Research Sent: 2/6/2015 9:51:38 A To: CC: Subject: Attachments rdc alert_l.pdf rdc alert_2.pdf Classification: For internal use only Hello Attached

From: Jj Litchford Sent: 10/1/2015 6:05:1.6 PM To: PWM 815-Research Subject: URGENT- Mort, Inc Research [I] Importance: High Classification: For Internal Use only Hi-- The following cases on the process portal h

From: Jj Litchford Sent: 10/2/2015 11:59:57 AM To: Anshu Parashar CC: PWM 815-Research ; Akshay Davera I I; Paul Morris Subject: Re: URGENT- Mort, Inc. Research DI Attachments: image003.png; image005.gif Thank you for the update.

From: Ahsan Manzoor on behalf of PWM 815-Research Sent: 10/7/2013 3:52:20 PM To: CC: PWMUS AMLKYC Subject: RDC ALERT - Attachments: ROC Alert 1.pdf; RDC Alert.pdf Classification: For intern

From: on behalf of Sent: To: CC: Subject: Attachments: Pankaj Sati PWM 815-Research 5/29/2013 12:32:38 PM [email protected] PWMUSAMLKYC RDC Alert :—Southern Financial LLC [I) Southern Financial LLC_RDC Alert9.pdf; Alert7.pdf

From: on behalf of Sent: To: CC: Subject: Attachments: Urvashi Lavania PWM 815-Research 10/8/2013 9:59:35 AM Amanda Kirby PWMUS AMLKYC rdc alert per alert.pdf; Classification: For internal use only Hello per alert_1.pdf Attached

From: on behalf of Sent: To: CC: PWMUSAMLKYC Subject: per alert (Ij Attachments: per alert.pdf; Urvashi Lavania PWM 815-Research 2/6/2015 9:59:31 AM Classification: For internal use only Hello per alert_1.pdf Attached is an alert for the party mentioned above. Please note