EFTA01255112.pdf

NAME SEARCHED: Darren Indyke PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): C4 No Hit • Not Required RDC Nit I. RDC Results No RDC alert (Please sec attached) PCR No Hit Not Required IL PCR Results PCR alert (mail send separately) IN Hit 0 Yes 0 No III. Negative Media There was no information found BIS • Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required Results? • Yes • No D&B VI. D&B Not Required C.4 Not Required Smardinx Results? C4 Yes ID No Result Found (Please see attached) • Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Required El No Results VIII. Court Cases 0 Search not required Prepared by: Prachi Pawa Da c: 10/12/2016 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Flubbell search (if applicable) on each search subject. We have attached the web link below for your cons enience:Martindale-flubbellhttp://ww .marlindatexom/sp/Martindakihome.sml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KVC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only S0NCGM_00057330 CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020154 EFTA_00167898 EFTA01255112  OFAC RESULTS RDC: 11593656 No Match Found Country:United States Darren Indyke PCR: HIT BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:10/12/2016 Report processed by: DEUTSCHE BANK AGII For internal use only SDNY_GPA_00057331 CONFIDENTIAL — PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0020155 EFTA_00167899 EFTA01255113  Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Full Name County INDYKE, DARREN K PALM BEACH ill= Area code may change ADDITIONAL PERSONAL INFORMATION Gender LexID sm illaxxxx (Age:51) Subject Summary Name Variations 1: INDYKE, DAREN K 2: INDYKE. DARREN 3: INDYKE, DARREN K 4: INDYKE, DARREN M 5: INDYKE DARREN, K SSNs Summary No. SSN State Iss. Date Iss. Warnings Most frequent S ' to subject: 1 IM<xxx New York DOBs Reported DOBs: Possible E-Mail Addresses Others Using SSN - 0 records found Address Summary - 20 records found No. Address 1 2 3 4 6 For internal use only SDNY_GM_00057332 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020156 EFTA_0016790CI EFTA01255114  Page 3 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Addraerc 8 9: 10. 11: 12: 13 14: 15. 16 17. 18 19 20. Address Details For internal use only SDNY_GM_00057333 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020157 EFTA_00167901 EFTA01255115  Page 4 Worldbase, 11/30/2013, THE RELATED COMPANIES LP dress Dates 9/2011 - 10/2016 Census Data for Geographical Region Median Head of Household Age: 55 Median Income: $162.324 Median Home Value: $743,519 Median Education: 15 years Household Members None Listed Other Associates None Listed Dates Phone 9/2004 - 10/2016 Household Members None Listed Other Associates None Listed 3: Address Dates 912000 -102016 ism Census Data for Geographical Region Median Head of Household Age: 39 Median Income: $182.847 Median Home Value: $684.590 Median Education: 16 years 4: Address Dates Phone 10/2003 - 2/2004 Census Data for Geographical Region Median Head of Household Age: 39 Median Income: 6182.847 Median Home Value: $684,590 Median Education: 16 years Other Associates None Listed 5: For internal use only SDNY_GM_00057334 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020158 EFTA 00167902 EFTA01255116  Page 5 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Address Dates 7/2015 - 8/2016 Census Data for Geographical Region Median Head of Household Age. 70 Median Income: $147,321 Median Home Value: 8572.674 Median Education: 15 years Household Members None Listed Other Associates None Listed 6: Address Dates 6/1994 - 5/2016 Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $71,102 Median Home Value: $585,558 Median Education: 14 years Household Members None Listed Other Associates None Listed 7: Address Dates Phone 11/2008 - 4/2016 Household Members None Listed Other Associates None Listed 8: Address Dates Phone 2009 - 3/2010 Census Data for Geographical Region Median Head of Household Age: 46 Median Income: $51,694 Median Home Value: $157,589 Median Education: 12 years Household Members None Listed Other Associates None Listed 9: Address Dates Phone 6/2005 - 8/2009 Household Members None Listed For internal use only SDNY_GM_00057335 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0020159 EFTA_00I 67903 EFTA01255117  Page 6 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Other Associates None Listed 10: Address Dates 8/2006 - 3/2009 Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $127.315 Median Home Value: $477,632 Median Education: 15 years Household Members None Listed IMO 11: Address Dates Ph 5,2000 - 2/2009 ~n Census Data for Geographical Region Median Head of Household Age: 36 Median Income: $156.291 Median Home Value: $753,989 Median Education: 16 years Household Members Other Associates None Listed 12: Dates Phone 3/2008 - 11/2008 nousenoia Memcers None Listed Other Associates None Listed 13: Dates Phone 812007 - 2/2008 Household Members None Listed Other Associates None Listed 14: Address Dates Phone 10/2000 - 7/2007 Household Members None Listed For internal use only SDNY_GM_00057336 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020160 EFTA_00167904 EFTA01255118  Page 7 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Other Associates None Listed 15: Address Dates 2002 - 9/2004 Census Data for Geographical Region Median Head of Household Age: 51 Median Income: $111,607 Median Home Value: $475,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 16: Address Dates Phone 3/1993 - 1/2003 Census Data for Geographical Region Median Head of Household Age 38 Median Income: $105,460 Median Home Value: $965,278 Median Education: 15 years Household Members Other Associates None Listed 17: Ad ress Dates Phone 9/1998 - 9/1998 Census Data for Geographical Region Median Head of Household Age 34 Median Income: $28,750 Median Home Value: $450.000 Median Education: 12 years Household Members None Listed Other Associates None Listed Address Dates Phone 8/1988 - 4/1994 Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $60,484 Median Home Value: $275.562 Median Education: 16 years Household Members None Listed For internal use only SDNY_GM_00057337 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020161 EFTA_00I 67905 EFTA01255119  Page 8 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Other Associates None Listed 19: Address Dates Phone Census Data for Geographical Region Median Head of Household Age: 34 Median Income: $149.816 Median Home Value: $400,000 Median Education: 14 years Household Members None Listed Other Associates None Listed 20: Ad ress Dates Phone Census Data for Geographical Region Median Head of Household Age: 38 Median Income: $118.056 Median Home Value: $590,000 Median Education: 16 years Household Members None Listed Other Associates None Listed Voter Registrations -1 records found 1: New York Voter Registration Registrant Information Name: INDYKE, DARREN K Residential Address: SSN: ■ Date of Birth: Gender: Male Voter Information Last Vote Date: 2001 Party Affiliation: REPUBLICAN Active Status: ACTIVE Driver Licenses - 0 records found Professional Licenses -1 records found 1: Professional License Licensee Information Name: INDYKE. DARREN K SSN: IMO= Company Name: NEW YORK STRATEGY GROUP. LLC Address: 457 MADISON AVE NEW YORK, NY 10022-6843 County: AM. Phone: For internal use only SDNY_GM_00057338 CONFIDENTIAL — PURSUANT TO FED. R.crt;IN(F IDENTIAL DB-SONY-0020162 EFTA_00I67906 EFTA01255120  Page 9 Worldbase, 11/30/2013, THE RELATED COMPANIES LP 1: Professional License Date of Birth: 02/1965 License Information Profession or Board: ATTORNEYS License Type: ATTORNEY License Number: Issue Date: 1992 Last Renewal Date: 06/19,2002 State: New York Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 4 records found 1: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN K Address: County/FIPS: Property Information Address: County/FIPS: Data Source: B Lion Assessor's Parcel Number: Recording Date: 07/16/2015 Book/Page: Sale Information Sale Price: $3100000 Assessment Information Assessed Value: $1801710 Market Land Value: $1331250 Market Improvement $764936 Value: Total Market Value: $2096186 2: Assessment Record for PALM BEACH County, FL Owner Information Name: INDYKE DARREN Address: County/FIPS: Prooertv Information Address: County/FIPS: Data Source: B Legal Information For internal use only SDNY_GM_00057339 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020163 EFTA_00I67907 EFTA01255121  Page 10 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Assessor's Parcel Number: Recording Date: 09/1512011 Book/Page: Sale Information Sale Price: $460000 Assessment Information Assessed Value: $329730 Market Land Value: $72420 Market Improvement $257310 Value: Total Market Value: $329730 3: Deed Record for PALM BEACH County Buyer Information Name: INDYKE, DARREN Name: Address: County/FIPS: Seller Information Name: LARGE, EDWARD W Name: EDWARD W LARGE REVOCABLE TRUST, Address: 7045 VALENCIA DR BOCA RATON, FL 33433-7405 County/FIPS: PALM BEACH Address: County/FIPS: Data Source: Lender Information Name: WELLS FARGO BANK NA Le iforrnation Assessor's Parcel Number: Contract Date: 09/15/2011 Recording Date: 09/21/2011 Document Number: Document Type: WARRANTY DEED Book/Page: Sale Information Sale Price: $460000 Mortgage Information Loan Amount: $345000 Loan Type: NEW CONVENTIONAL Title Company: ATTORNEY 4: Assessment Record for CARBON County, PA Owner Information For internal use only SDNY_GM_00057340 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020164 EFTA_00ll 67908 EFTA01255122  Page 11 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Name: INDYKE, DARREN K Name: Address: County/FIPS: Property Information Address: Data Source: B Le al Information Assessor's Parcel Number: Recording Date: 09/15/2000 Book/Page: Sale Information Sale Price: $253000 Assessment Information Assessed Value: $125400 Motor Vehicle Registrations - 9 records found 1: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Registration Information Original Registration Date: 4/7/2016 Registration Date: 4/7/2016 Registration Expiration Date: 2/19/2017 Decal Number: 07115980 Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2015 Make: Mercedes-Benz Model: S600 Series: S600 Body Style: Sedan 4 Door Color: Black Weight: 3501 Plate Information License Plate Type: Private Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 2: FL MVR Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2015 Make: Mercedes-Benz Model: S600 For internal use only SDNY_GM_00057341 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020165 EFTA_00167909 EFTA01255123  Page 12 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Series: S600 Body Style: Sedan 4 Door Color: Black Weight: 3501 Owner Information Name: INDYKE. DARREN K DOB: Address: Lienholder Information Name: BANK OF AMERICA Address: PO BOX 2759 JACKSONVILLE, FL 32203-2759 DUVAL COUNTY Title Information Title Number: Title Transfer Date: 4/22/2016 Title Issue Date: 4/22/2016 Source Information Data Source: GOVERNMENTAL 3: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Lessee Information Registration Information Original Registration Date: 9/13/2015 Registration Date: 9/13/2015 Registration Expiration Date: 2/19/2017 Decal Number: Vlemn lHc=in information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2016 Make: Lincoln Model: MKX Series: RESERVE Body Style: 4 Dr Wagon Sport Utility Color: Black Weight: 4044 Plate Information License Plate Type: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 4: FL MVR Registrant Information Registrant: INDYKE, DARREN K DOB: Address: Registration Information For internal use only SDNY_GM_00057342 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020166 EFTA_00167910 EFTA01255124  Page 13 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Original Registration Date: 4/2/2013 Registration Date: 2/27/2015 Registration Expiration Date: 2/19/2017 Decal Number: Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Lincoln Model: MKX Series: FWD Body Style: 4 Dr Wagon Sport Utility Color: Black Weight: 4120 Plate Information License Plate Type: Pri Previous Plate Number: Previous Plate State: License Plate Number: Plate State: Source Information Data Source: GOVERNMENTAL 5: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2012 Make: Lincoln Model: MKX Series: FWD Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 8/20/2014 Source Date Last Seen: 12/5/2014 Source Information Data Source: NON-GOVERNMENTAL 6: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2008 Make: Cadillac Model: Escalade Series: LUXURY Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE, DARREN DOB: Address: Source Date First Seen: 7/14/2016 Source Date Last Seen: 7/14/2016 For internal use only SDNY_GM_00057343 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020167 EFTA_00I679 I I EFTA01255125  Page 14 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Source Information Data Source: NON-GOVERNMENTAL 7: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2009 Make: Lexus Model: LS460 Series: AWD Body Style: Sedan 4 Door Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 8/31/2009 Source Date Last Seen: 2/1/2013 Source Information Data Source: NON-GOVERNMENTAL 8: Non-Governmental Vehicle Record Vehicle Information VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2013 Make: Jaguar Model: XJL Series: PORTFOLIO Body Style: Sedan 4 Door Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 5/22/2013 Source Date Last Seen: 4/4/2014 Source Information Data Source: NON-GOVERNMENTAL 9: Non-Governmental Vehicle Record lion VIN: Class: PASSENGER CAR/LIGHT TRUCK Model Year: 2011 Make: Mercedes-Benz Model: ML350 Body Style: 4 Dr Wagon Sport Utility Owner Information Name: INDYKE. DARREN DOB: Address: Source Date First Seen: 10/5/2013 Source Date Last Seen: 10/5/2913 Source Information For internal use only SDNY_GM_00057344 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020168 EFTA_00167912 EFTA01255126  Page 15 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Data Source: NON-GOVERNMENTAL Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 1 records found 1: Fictitious Businesses Business Information Name: NEH YORK STRATEGY GROUP LLC Office Address: MADISON 45 AV NY. NE 100224843 Jurisdiction: NY Type: DBA Filing Number: 000113000225 Filing Date: 01/13t2000 Contact Information Name: DARREN K INDYKE ESC) Address: MADISON 45 AV NY. NE 10022-6843 Contact Type: OWNER Notice Of Defaults - 0 records found Potential Relatives - 9 records found 1st Degree 9 No. Full Name Address/Phone 1. 2. For internal use only SDNY_GM_00057345 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020169 EFTA_OOI 679 13 EFTA01255127  Page 16 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Full Name Address/Phone 3. 4. 5 For internal use only SDNY_GM_00057346 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020170 EFTA_OOI 679 I41 EFTA01255128  Page 17 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Full Name Address/Phan 6. 7 8. 9 For internal use only SDNY_GM_00057347 CONFIDENTIAL — PURSUANT TO FED. R.crt;IFIN(F IDENTIAL DB-SONY-0020171 EFTA_00I679I5 EFTA01255129  Page 18 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. Full Name Address/Phone Business Associates - 18 records found 1: 116 EAST 65TH STREET, LLC Name: INDYKE. DARREN K Status: ACTIVE State: NY Corporation Number: 2521524 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 6/9/2008 2: DKI GRAPHICS, INC. Name: INDYKE, DARREN K Status: INACTIVE State: NY Corporation Number: 1695791 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 1/20/1993 3: DKI GRAPHICS, INC. Name: INDYKE. DARREN K Status: INACTIVE State: NY Corporation Number: 2493124 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 3/30/2000 4: DKI LIQUIDATING CORP. Name: INDYKE, DARREN K Status: INACTIVE State: NY Corporation Number: 1695791 Descriptive Status: INACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 7/1/1997 5: E MANAGEMENT NEW YORK LLC Name: INDYKE, DARREN K Status: ACTIVE State: NY Corporation Number: 3355889 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 5/15/2006 6: HARLEQUIN DANE, LLC Name: INDYKE. DARREN Address: 7061 DUBONNET DR BOCA RATON, FL 33433-7479 Status: ACTIVE State: FL For internal use only SDNY_GM_00057348 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020172 EFTA_00I 679 I 6 EFTA01255130  Page 19 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Corporation Number: L15000068663 Descriptive Status: ACTIVE Title: MEMBER MANAGER Record Type: CURRENT Record Date: 8/4/2016 Filing Date: 4/27/2015 7: L.A.W. PLANTATION MANAGEMENT CORP. Name: INDYKE. DARREN Address: 515 ABIGAIL PLANTATION RD ALBANY, GA 31721-8114 Status: ACTIVE/COMPLIANCE State: GA Corporation Number: 992226 Descriptive Status: ACTIVE/COMPLIANCE Title: SECRETARY Record Type: HISTORICAL Record Date: 1/15/2013 Filing Date: 9/6/1996 8: LAW. PLANTATION MANAGEMENT CORP. Name: INDYKE, DARREN Address: 8000 WALTON PKWY STE 100 NEW ALBANY. OH 43054-7075 Status: ACTIVE/NONCOMPLIANCE State: GA Corporation Number: 992226 Descriptive Status: ACTIVE/NONCOMPLIANCE Title: SECRETARY Record Type: HISTORICAL Record Date: 5/9/2015 Filing Date: 2/7/2014 9: LAW. PLANTATION MANAGEMENT CORP. Name: INDYKE. DARREN Address: 515 ABIGAIL PLANTATION RD ALBANY, GA 31721-8114 Status: ACTIVE/OWES CURRENT YEAR State: GA Corporation Number: 992226 Descriptive Status: ACTIVE/OWES CURRENT YEAR Title: SECRETARY Record Type: HISTORICAL Record Date: 3/9/2012 Filing Date: 9/6/1996 10: L.A.W. PLANTATION MANAGEMENT CORP. Name: INDYKE. DARREN Address: 515 ABIGAIL PLANTATION RD ALBANY. GA 31721.8114 Status: DISS /CANCEUTERMINAT State: GA Corporation Number: 992226 Descriptive Status: DISS /CANCEUTERMINAT Title: SECRETARY Record Type: HISTORICAL Record Date: 8/22/2013 Filing Date: 9/6/1996 11: LYN AND JOJO LLC Name: INDYKE, DARREN K Status: ACTIVE State: NY For internal use only SDNY_GM_00057349 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020173 EFTA_00I 679 I 7 EFTA01255131  Page 20 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Corporation Number: 3341485 Descriptive Status: ACTIVE Record Type: CURRENT Record Date: 7/19/2016 Filing Date: 4/2/2008 12: MAX HOTEL SERVICES CORP. Name: INDYKE, DARREN K Status: ACTIVE State: NY Corporation Number: 2773652 Descriptive Status: ACTIVE Record Type: CU