Confidential Due Diligence Report — YHS LLC
REGULATORY SANCTIONS
• ThiS DATA IS FOR INFORMATION PURPOSES ONLY • • •
• • • COLLECTED AND COMPILED BY MORTGAGE ASSET RESEARCH INSTITUTE, INC. • •
PARTY: EPSTEIN, JEFFREY
INCIDENT INFORMATION
CASE NUMBER: 02-03451
JURISDICTION: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
SOURCE: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
DATE: 8/ 6/2003
Other Incident Info: CASE NAME: RAYMOND, JAMES a ASSOCIATES, CLAIMANT, VS. JEFFREY EPSTEIN, RESPONDENT.
The individual(s) or company(ies) listed in this report were party to a National Association of Securities
Dealers (NASD) arbitration award. Being party to the arbitration award does not necessarily mean that the
individual(s) or company(ies) have been found to have violated any code or regulation.
EPSTEIN, JEFFREY
Action: NASD ARBITRATION
HARDCOPY: FOR A COPY OF THE SOURCE DOCUMENT(S), CONTACT MARI AT (703) 620-6262.
HARDCOPY ORDER NUMBER: NASA038G-01182857
Confidential - This report is not to be disseminated or photocopied to any third party
without the express consent of Global Corporate Security.
Confidential Treatment Requested by JPM-SDNY-00003270
JPMorgan Chase
CONFIDENTIAL SDNY_GM_00272468
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