EFTA01700759

• ear Sfee-ons EFTA01700759 BEAR BEAR, STEARNS & CO. INC. STEARNS SHARON D. CERES 320 PARK AVENUE NEW YORK, NEW YORK 10022 Phone (212) 272-6552 Fax (212) 272-5680 sceres@bear.com September 7, 2007 VIA OVERNIGHT MAIL U.S. Department of Justice 500 S. Australian Avenue, 4th Floor West Palm Beach, FL 33401 Attn: Re: FGJ 07-103(WPB)-Tues./No. OLY-71 Dear Ms. In response to the Grand Jury Subpoena dated August 15, 2007 with regard to the above- referenced matter, enclosed please find the personnel file for Jeffrey Epstein as well as CD containing account statements for Jeffrey Epstein as well as the following accounts in which Mr. Epstein has some relationship: Epstein Interests Financial Trust Co. Inc. Institutional Interests Heritage Interests International Charitable Interests Health & Science Interests If I find any other accounts that are responsive to your subpoena, as I continue my search, I will forward the statements to you under separate cover. Should you have any questions or I can be of further assistance to you, please contact me at the number listed above. Sincerely, . INC. Legal Assistant End. ATLANTA I BEIJING I BOSTON I BUENOS AIRES I CHICAGO I OAUAS I DUBLIN I HONG KONG I LONDON LOS ANGELES I LUGANO I NEW YORK I PUERTO RICO I SAN FRANCISCO I SAO PAULO I SEOUL I SHANGHAI I SINGAPORE I TOKYO EFTA01700760 arooxiyn, N.Y. 1224 P'I'T .1 AeOPESS FITTNE ADDRESS PHONE LAST EMPLOYER FROM 9/74 3/76 TO Founoehys.Dept. mufty $1500 Dalton Schools Mo. . EDUCATION N.Y.C. MILITARY STATUS 0.01GEACT NOW WANDA NAME Mark Epstein ACCR E SS Above IEPSTEIN, J. TELEPHONE • Above RELATIONSHIP Brother GROUP HOSPITALIZATION REGISTRATiON DATES E:IROL.14tiT DATE 0 INDIVIDUAL U FAMILY U NONE 1-ims1.r7n1 An .7 " • . /.GIMP mi., etzer ' ,- Onskt 6PI J I tin'. DATE KEY POSITION TITLE DEPARTMENT cvem Aser ei r tr nee CCAIM SWF 3/15/76 E Trainee Floor Dept.-AMEX $225.00 4 " - it: - 74 PA al.fle.,,j.- --s. zi eirrew 7.6--:„ Oct,. e-c (3;4•4) troc a i,i if 00 .:...e. I- 7/ r . 4 eaareet /14 4 Ocrtnn- 9 v-it. ffri ., - .2 1 - Fr M ,, : Pon ...34 on , Y&0 KEY. E FULL TIME g 8eo N. MERIT INCREASE T • TRANSFER T • PART TIME I. LEAVE OF ASS S • SALARY ADJUSTMENT X RELEASED V • SUMMER HELP I • REMO P • PROMOTION R. RESIGNER 0 DEATH II MIMEO DATE EMPLOYED 3/15/76 lorm wn 1/20/50 SO Male MAIDEN NAME LAST NAME FRISI emIYAL MARITAL. STATUS Single MCC case ISO t stets emote EPSTEIN Jeffrey E. 44 j P . i• is 1, I It O I , I M• • I tiN L • C1 v EFTA01700761 CATS KEY POSITION r.r..E OVARTMENT AMOUNT Or CURREN IVES{ A SE :MAE: I COMMENT KEY: E - FULL TIME M • MERIT INCREASE T. PART TIME T - TRANSFER L • LEAVE DE ARS. • SALARY ADJUSTMENT V • SUMMER HELP X RELEASED I • RETIRED P - PROMOTION R • RESIGNED D• DEATH 44 • AEIORED S. S. a DATE EMPLOYED 3/15/76 BIRTH DATE 1/20/50 MAIDEN NAME sex Ma le LAST Pam( MARITAL STATUS Ii2ST INITIAL E00NI CIO I Married floc C At MEN SCHEDaC EPSTEIN Jeffrey I / NA I I N A 1 Se % IE JAP4 TA(1 11 .AAA A1, IAN auI. uC P t Y EFTA01700762 • •-•%." paws rum ore...cull' INSIJKANI:E. vc (This fora is to be completed by the Employe e-)-) li fE CONTINENTAL INSURANCE COMPA NY KANSAS CITY FIRE' ND MARINE INSURANCE COMPANY FIREMEN'S INSURANCE COMPANY OF NEWARK. NEW JERSEY BOSTON OLD COLONY INSURANCE COMPANY COMMERCIAL INSURANCE COMPANY OF NEWARK. N. J. PHOENIX ASSURANCE COMPANY OF NEW YORK NIAGARA FIRE INSURANCE COMPANY SEABOARD FIRE AND MARINE INSURANCE COMPANY THE FIDELITY AND CASUALTY COMPANY OF NEW YORK NATIONALBEN FRANKLIN INSURANCE COMPANY OF THE BUCKEYE UNION INSURANCE COMPANY ILLINOIS PACIFIC INSURANCE COMPANY THE GLENS FALLS INSURANCE COMPANY Branch Office ISONDING OfloARTIIISMe Bond No Application is hereby made to one of the above the Employer. named Compa nies (hereinafter called "the Company") selected by Mr., (Mrs. or Miss) Position _Trairmm 7 Employee (Applicant) Amount of Bond S at Payable fu .. Bear., .5.t.e.axas 55 Water St. New goti7gT7i7DIVirm""'" (Address of Employer in fun. by Number. The Nature of the Employer's Business is Street, City) • at.Q.c1c...BrQkere FULL NAME OF APPLICANT (Please Print) .....•••• Present residence address: 1 9 U'4 • ei SOCIAL SkURITY NUMBER ... s ref L. How long have you lived there? State previous addresses in full and length each dress, during last five (5) years. of time you lived at No. (St. or Ave.) City State Date of *Birth vv • From. Lc - to N Are you an American citizen? . (St. or Ave.) • City stew From to Single? ✓ Who constitue your family? Married? Husband? Wife? . Separated? pf Children? • Others? Divorced? Do they reside with ydu? How long have you been . . In what position? Employed at in the continuous service of Dat f taking present prstitiOn this employer? Trainee New York ' airing this itiurance Do you receive any income beyond that of 76 this employment? If so, please state amount and-source s? A./2 Do you receive goods, merchandise or other property on consignment or otherwise? 4N0 Have you ever. failed in business or compro . . mised with creditors? AA." • If so, when: 19 • Where• Name of firm: • Business • Assets: $ • • • 'Liabilities $ What were your banking connections at that time? Do you own your home or hold interest in other real estate? alJ'' In whose name is the title?' Location of such realty Description Value Incumbrance Have you any debts or liabilities other than 'I for current expenses? If an, please give amounts and slate how they were incurred. 74 If Paid by salary, state annual amount and when payable. /UU payable ni—weetty Have you ever applied to any. compa ny for a bond? If so, when? What company issued the •bond? Was the bond issued' Who was your employer? Has any company ever refused to issue or to continue a bond for you? If so. when? 19 Name of the Company: on what ground was the bond refused? Have you ever been in arrears or in defaul t in your present or previous employment? If so, pica= give particulars APPLICANT S PARENTS; IF LIVING, OR OTHE R NEAREST RELATIVES 'SAME RELATIONSHIP OCCUPATION ADDRESS (Street and No. in cities) EFTA01700763 YOUR OCCUPATIONS THROUGHOUT THE LAST YEARS TEN Furnish below full particulars of your past occupations Or employment s during the last ten years. as called the column headings. If you were at school within this for under period. give accurate identification and attendance at school. Begin in the top space with your most recent activity. If the each spaces here are insufficient, please complete the record on a separate sheet and join together. • PLEASE TYPE OR PRINT INFORMATION BELOW -`~ Full name or exact style (if firm or Town and street Name and present - From To Nature of your y p nor Why did you his business and address. where you walked. leave? Superintetdent occupation Month Month i.1....... Thfis Jel!,... 1921. Month Month 2 . ......-....-..........—... 19 19 Month Month -. ..... ....... . 19 19 Month Month 19 Month ' Month • Month Month ...... . ..... -.... .... .... -- .... REFERENCES • Give as references the names and post-office addresses in full of dining the past few years and not related to you. They should three or four persons well acquainted with you be aides. Please do not refer to any officer or fellow-employee in the persons of good standing in their respective comma- employer. service in which you are engaged, nor to any former NAME PROFESSION OR RESIDENCE ADDRESS IN FULL BUSIItESS (Street No. and Cic sg .LL.) 4-t' r• At. 1-5L-7 .atSsfr' l ..(90 Leria4- . I hereby declare dust the foregoing statemen s are true, and I hereby apply to the Company for a bond in my behalf of such kind and in such amount as the employer to be named as beneficiary in the said bond may now or hereafter require. I also hereby for myself, my heirs, executors, and adminis mots, to indemnify the agree Company against any losses, damages, costs, charges and expenses it may sustain, incur, or become liable for in consequence of my acts while under the said bond or any renewals thereof, or any new bond issued in continuation thereof or as a substitute therefor; and -any proper evidence of the payment by the Company of any such losses, damages costs, charges, or expenses shall, in the absence of fraud on the part of the Company in making such payment, be conclusive evidence against me, my heirs, executors, and administrators, of the fact and extent of my liability to the Company under this agreement. I hereby further agree that .the Company shall have the right to decline to grant the applied for; that, in case the bond is granted, the Company.•shall bond have the right to withdraw or cancel the bond at any the Company shall not be required to disclose the reasons or grounds time; that said bond muff be based: and that the Company shall not upon which any action on its part in connection with be responsible fur any loss Of damage the that I may suffer by feligarl of aro. such action, any statutory provisions to the contrary being hereby expressly waived by me. This agreement may not be changed or modified orally. No change or modification shall be effective unless made by written endorsement hereon signed by an authorised representative of the Compan Dated and signed at 42.?... ..... .....-....-........... this day of .................... , 19_9.1 ••• .. . ••••••• EFTA01700764 ORIENTATION FOR NEW EMPLOY EES The basic policies of Bear, Ste arns & Co. are contained in the attached orient ation outlin e. After you finish read- ing the outline, the ins tructor will verbally go ove r the policies in detail, and answer any questions you may have concerning them. I have read and understand the orientation outline whi ch explains the following pol icies: 1. History of the Firm 2. Trial Period A. Probationary Agreement B. Background Check 3. Employee Benefits A. Bonus Payments B. Vacations & Holidays C. Medical Coverage D. Life Insurance E. Profit Sharing F. Pensions G. Salary Advances & Loans 4. Workweek: Pay & Overtime 5. Payday 6. Identification Cards EFTA01700765 7. Open Securities Trading Accounts 8. Jury Duty 9. Accidents or Illnesses 10. Medical Department 11. Disability 12. Cafeteria 13. Evacuation Procedures 14. Performance Reviews 15. Absenteeism (PERSONNEL DEPT. REPRESENTATIVE) EFTA01700766 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 BEAR STEARNS (212) 952-5000 March 16, 1976 WRITER'S DIRELY OIAL NUMBER University of California Berkeley, California JEFFREY E. EPSTEIN a • (Applicant': Name) (Social Security No.) has applied to us for employment As a previous employer, we would appreciate your comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telepho ne, please call our reference section at 212/952-5263. Dates of Employment: Supervisor: Claimed from 1973 1974 Lecturer to Dr. 1.1 Verified from to Above Avenge Average Below Average Attendance C ' . C Punctuality C3 Cl =I C=1 Work Performance 0 I= CI Overall Rating 0 CI 0 To the best of your knowledge, did this applicant have a Securities brokerage account? ❑ Yes Q No Would you recommend the applicant for a position of trust involving negotiable securities? 0 Yes E3 No If your present policy permitted, would you rehire this applicant? Yes =No Is there anything we should know about this applicant which would help make our relationship a successful one? GENERAL REMARKS: Name: Title: Signature: Date: Form 267. (10/75) . ;;.3, 94720 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco- Amsterdam/Genova !chic. EFTA01700767 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952.5000 BEAR STEARNS WRITER'S DIRECT DIAL NUMBER To Whom it May Concern: I hereby authorize the release of the information requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooperation. Sincerely, HA71-O7- fr/ New York/Atlanta/Boston/Chicago Dallas/ Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700768 truNINIULN iNuus HY REPRESENTATIVE and/or Mr. ---- AGENT 1. APPLICANT'S, NAME Ms. ;AS? FIRST)/. kis rm. Middlefif None. so swill/ 3. DATE OF EMPLOYMENT _4/ ER --I 1-3/(Lii_ 7. 6 _ I 4. NASD FIRM NUMBER f 6. FIRM ADDRESS r l -T in X'- j •ce 5. FIRM NAME, lace( Firer:a ,rucip ve 7 Ai 7. OFFICE OF EMPLOYMENT OF APPL 8. NASD DISTRICT IN WHICH OFFI ICANT CE IS LOCATED. cr ;Ayr se•-, __tt I /. . 9. TO BE REGISTERED WITH T-HE--FOLLOWIN • G: (Check All Applicable) ; . NATIONAL ASSO• CIAT-- • • -- - • ION OF SECURIT• IES DEALERS ----- (NAS i SECURITIES AND EXCHANGE ...... . . D) C L_ „.. j - • -1 American Stock Exchange COMMISSION ONLY (SECO) 0 Chicago Mercantile Exch _— Ti I . . _ ; Boston Stock Exchange ange 0 New York Stock Exchange 0 [ Cincinnati Stock Exchange Chicago Board of Trade 0 0 _ J Detroit Stock Exchange • • •• • - Pacific Stock Exchange Chicago Board Options 0 P8W Stock Exchange Intermountain Stock Exchange 0 - • . Exchange 10. TO BE REGISTERED WITH THE oF- __- J Midwest Stock Exchange ❑ .._ _ — Spokane Stock Exchange Othe r (Specify) FOLLOWING JURISDICTIONS: (Che •--. ck all applicable AL ❑ DE 0 IN 0 1 MA AN 0 0 NV 0 ND 0 DC 0 IA 0 SC 0 VA 7: MID NH 0 AZ 0 FL 0 OH 0 SOD ICS 0 MN 0 WA 0 AR 0 NJ 0 OK 0 GA KY 0 TN 0 WV j MS 0 NM CA 0 HI 0 . OR 0 TX 0 LAO MO 0 WI 0 CO 0 NY 0 PA 0 UT[! ID 0 MED WY ri • MT.0 NC 0 CT 0 IL 0 RI 0 VT 0 MD 0 NE ❑ PR 0 11. TYPE OF APPROVAL REQUEST ED: STANDARD REGISTRATION (Reg PRINCIPAL REGISTRATION istered Representative) Mem ber (Exchange) Regular FULCREGISTRATION/GENERAL Associate SECURITIES Approved Person (Exchange) . — o LIMITED REGISTRATION Holder of Voting Stock ❑ REGISTERED COMMODITY ❑ Holder of Non•Voting Stock REPRESENTATIVE Subcirdinated Lender AGENT OF ISSUER Holder of Debentures INV. CO. & VARIABLE Director CONTRACTS PRODUCTS General Partner O I SECURITIES TRADER Limited Partner Offic O REAL ESTATE SECURITIES er (Title) Allied Member/Gen. Securities . . DIRECT PARTICIPATION PRO GRAMS OTHER (Specify) Principal 0 ❑ Sole Proprietor PART TIME (NASD or SECO) Manager Office of Supv. Jurisdictio FULL TIME (NASD or SECO) n 0 Fina ncial and Operations Principal INTERMEDIATE REGISTRATION (2 Direct Participation Programs BRANCH OFFICE MANAGER o i3 SUPERVISORY ANALYST Investment Co. & Variable Contracts O Products OFFICER (Title) 0 ❑ Underwriter Principal OTHER (Specify) 0 To the best of my knowledge 0 Other (Specify) _ I2. igency. jurisdiction or and belief the applic 0 ant at the time of approval organization with which this applic )Osilion far' which applie ation Is being filed. will be familiar with the statu Joen and te(s). constitutio n(s) and ripe of the 5 requested. I will net emplo is being made herein. I agree that notwithstanding the rules governing registered persons, and will be y the applicant in the capa the approval of such agency, fully qualified ter the aw. This hem has communicated city staled herein without with all the previous emplo first receiving the approval milady:hen or oiganization., which hereby yers of the applicant during the of any autho past three yeais, as set furth rity which may be required by below: EMPLOYER NAMEANCPOSITION.12F-- — EMPLOYED — CONTACTED PERSON CONTACTED GY 'PHONE,* FROM i TO LETTER Oft INTER •IEW addition. I have taken appro .plicant. priate steps to verily the statements contained in this application a qtiieIn;OIttpIt Rea clrepu -..latTen ofthej Dale print Name of A;Pro p7iateSignalory ---------- Signature of Alsiiri:q3;i (See Instruction 12) eneiirrtrtury- DO NOT WRITE IN THIS perience SPACE ether Ica mine Required Clearance am Required train Taken: Date _ Ciade _ IT Grade OK Date Approved: Cond.. EFTA01700769 • Page 2 of 4 PERSONAL HISTORY ..--- t . b ...s. filf 5,1c,r,Cp silrden ffiSetgG i f 14. I• 1 AA/. int' 16. la ir ci- ty Ma, 4-/ VIC stale . . F ress //1-Zi2p • L___ j 19. Citizen Yes ET'''. 118. of US? No 0 no ori ViaiLt i Pi EVIOViewnth" °IOC' If no, state country of _ 3' r i 21. Alt,ce citizenship (__L - ---0 -C-6ii,....._,........__. nes (II None, Indicate/ soWlier r 2. tai7i6rtitif neer& sinus/ a Malan- NirnICUI FRO'Ila6fir M 23. Mother's Full Ma den Name rI 4. MilriMailliMIMIEM • : cifiWi'ru UAW IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING QUESTIONS. ATTACH A SEPARATE SHEET 25. EDUCATION • 'ducational Institutions Attended: ipecify Highest Year Completed: HIGH SCHOOL 9 0 10 0 11 0 12 Elcia COLLEGE 1.0 2O 30 4 0 L ,/ TD GRADUATE spHoc. n 2 CI 3O 4O • 8,Vi OR -751611°6-DEGREI 1.• • • name"AFinobriess'or'INSTittITION COURSE (STREET. CITY. STATE. ZIP CODE/ MO. YR. MO. TR. EVENING GRADUATE haetterkr ,4, 611 >(Hiota/E4, rd. C.Valt w.v. en° •I • 26. EMPLOYMENT HISTORY The following is a complete, consecutive statement of my business history for the past ten years starting with my current position. (All time must be accounted for including seRemployment. unemployment, parbtime securities, commodities, insurance and real estate industries or related positions and all military service.) NAME of EMPLOYERTh.NOCOMPLETE ADDRESS FROM f0 POSITION REASOICFOR —eacon (STREET. CITY. STATE. ZIP COOS) MO. YR. MO. YR. NEI.0 LEAVING PART•TIME -c 6 l•-• r aj? •I• S , IL: i 4 Tex. A.0 .. In. ( iri ...3 di_k_ ..J • :i l • c../.....- -, i • I I i . . I X411 ..I—_ I.-- 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past 10 years.) • (Street. City. State. zip Code) 'FROM To ---p- MO. YR. it. YR. .:— ___ _.4__R: tf.G....m-•_ Ai- I _._ / cul l.. 175s- fic r....-soverc..(Akt-,.. ati-__rn, 7 _E.)..t.ii__ _.._. . __. _... _ ....._szo. __it 21" ____ _O1,etes.,::__ psi., i l.Kry ._ __. i6s. .,,, ,--- 1 t __Levt_t.___ _:__ .. _ F '2 -...i __ ____ • I I J 28. The following is a complete list of all brokers, dealers or banks with which I am carrying accounts Insecurities or commodities or with which I have carried such during the past ten years. (If "none", so state.) • — ••— — ET3 NAME AND ADDRESS OF FIRM OR BANK ACCOUNT NUMBER CASH O OREN Oh-- MARGIN FROM/TO CLOSED . • _ • . • • _ . • . • • • _ - • . • -. - • • - • -• I authorize and request any and all of my former employers and any other person to furn'sh tc the agency, jurisdiction or organization with which this application is being filed, or any agent acting on Its behalf, any information they may have concerning n y credi worthiness, character, ability, business activities, educational background, general repu ation. together with, in the case o former employers, a history of my employment' by them and the reasons for the termination thereof. Moreover, I hereby release each such employer and each such other person from any and all liability of whatever nature by reason of furnishing such Information to the agency, jurisdiction or organization or any agent acting on its behalf. . Further, I recognize that I may be the subject of an investigative consumer report ordered by the agency, jurisdiction, or Organization with which this application is being filed, and that I have the right to request complete and accurate disclosure by such agency. jurisdiction, or organization of the nature and scope of /he investigation requested. / r t EFTA01700770 .CN YEAR UNIT DO ES NOT APPLY TO QU ESTIONS 30 THROUG a A. Hhve you• ever H 54. taken and passed a qu NASD; a nationa alifying examinatio P age 3 of 4 l securities or comm n for registration in an odities exchange or y capa examination, the ap proximate date taken SECO? If yes, state belowcity with the and with what regulator the type Of y body appncation,was ✓ made. Tyr* of Exam B, Have you ever Approximate Oata tak en Re gu Yes_ No__ I I been granted a waive lato ry Body If yes, state below r of qualifying examina • the type of examinatio tion with an agency lion. n, the approximate da or organization? te and by what agency or organize. —1.9377atExam Yes—. No— I Approximate Dale C. Have you ever Weaulatory Sod; taken a qualifying exam examination, the appro ination for any jurisdict ximate date taken an ion? If yes, state be d the name of the jur low the type of isdiction administering Type of Exam it. , Yes_, No — —ArrnatetaTilakett 0. Hive you ever Reguistaflooy been If yes, state below exempted or excluded from taking a the type of examina qualifying examina issuing the exempti tion, the approximate tion by jurisdiction? on or exclusion.. date and the name any of the jurisdiction Wirirsie 1 Yes_ No It IF THE ANSWER TO Aw e* male bale ANY OF THE FOLLOW Remdatory—body 31. Have you ever ING QUESTIONS IS YE been registered or licens S, ATTACH COMPLETE DE or commodities as a pri ed by any agency or TAILS: jurisdiction to sell or to ment adviser? If yes, ncipal or employee with any registere bro deal in securities, specify the name d ker•dealer or to functi agency or jurisdict of ion with which you we the broker-dealer or investment adviser, da on as an invest. 32. Are you currentl re registered. tes registered and y enga trustee, employee or ged. in any other business either as a Yes- No otherwise? proprietor, partner, off 33. Do you or any me ice r. dir ec tor , mber ✓ net-ship or corporation of your immediate family have any be Yes— No—_ (in cluding hedge funds, inv ne fic ial interest irrany investm accounts whose prima estment clubs, etc.) ent part• tered under the Inves ry function is Investing in securities or co or any other domestic or for eign tment Company Act mmodities (excluding 34. Are you now or of 1940)? companies regis- have you ever been lice • Yes._-- No Type of license(s) an nsed to sell insuranc d ivrisdictierdS) wh e? 35. Are you now or ha ere licensed Yes— No ve you ever been lice I 1 Type of Licenses) an ns ed to se ll real estate? ... d jurisdiction(S) whore 36. Are you currentl licensed Yes nTh y bonded? (If yes, specify insurance co 37. Have you ever mpany and amount. c.f been refused a fideli ) fint•:?....ttf-alar t... . ty bond? Yes— NO.- 7." 38. Has any surety co mpany paid out any 39. Are you now or have fun ds on your coverag e or cancelled your bo Ye Noit — s— exchange/contract mayou ever been a regular or associate me nd? Ye s,, [ .— No rket? mber of any stock ex 40. Have you ever change or commod been an officer, direc ity voting securities, or capacity with any controlling person tor, general partner, owner of ten (10) perce Yes— No..,... En broker or dealer for of, or otherwise engaged in any other manantum or more of the of. the Securities Inves wh ich a trustee has be ge rial or supervisory tor Protection Ac en appointed pursu stances? . t of 1970. or that ha ant to the provisions s been liquidated un 41. To your knowled der any other circum- ge, are you now or a by any securities, co ha ve yo mmodities or insura u ever been the subject of any investig Yes— No —C 42, Are you now or nce agency, jurisdict ation or prOceeding have you ever be ion or organization? .... ment with or provis en a defendant in an ... ion of a securities y litigation alleging Yes.— No....V...- tion, bylaws or Mes or commodities ind the violation of any ag , or any securities, ustry self.regulatory ree• 43. Are you now commodities or ins organization's cons st or have you ever be urance law or regula titu- en a director, controlling tio n? ......... ...... or associated perso stockholder, partner, No.—. • n suspended, expelle with a broker•dealer or insurer which officer, sole proprieto d, br had its regist during the time of r. tion? rat ion denied or revok su ed by any agency, jur ch association was 44. Are you now or isdiction or organiza have you ever be - exchange, an agency en subject to an ord or any jurisdiction er of the NASD, a secu Yes...__. Boni which revokes, su riti spends or denies me es or commodities 45. Has any perm mbership or registra anent or temporar ....... .... .... ........ . insurer, investmen y Inj un ction ever been en yes__ No t ad tered against you time such injunction viser or commodities firm with which or any broker•dea was entered? you were associated ler, 46. Are you now or in any capacity at have you ever • • the haired, censured or oth been (whether or not ••• ••• Yes_ erwise disciplined pok ach, disclosed) suspen • I or rule by any securiti . or found to have ded, expelled, fined. es violat ship therein or withdrawor commodities agency, jurisdiction or ed any securities or commodities law n your applica organization; or been Insurance or had on tio refused member- e suspended or revok n for such membership; or been refused 47. Are you now or ed for cause by any a license to sell have you ever been na jur isd iction or agency? action mentioned In med as an aider, ab ...... . Yes questions 40, 41, 42 ettor, or a co-conspir _ No/±. or insurer? , 43 , 44 , 45 and 46, taken with ato r in. or ca us e of. any ./ respect to a broker-dowse EFTA01700771 .d. Are you now or have you ever been suspen 4 of 4 ded, expelled, fined, barred, censured or otherwise plined by an employer in the securities, disci- commodities or insurance industry? 49. Have you ever had denied, suspen Yes—. No_ ded or revoked a license. Permit certificate,•registrat ship required to engage in securities, commo ion or member- dities, insurance or other business or profession? 50. In your previous business connections . Yes_ No_. or employment, have you ever been: a. a subject of a major complaint or legal proceeding? Or, Yes_ No I . b. discharged or requested to resign by an employ er because of dishonest or unethical acts alleged to have been committed by you? 51. Have you or any firm, corporation or association of which you have been a principal failed in business, made 'a compromise with or officer ever Yes 0- 1 creditors or ever .filed or been declared bankru any bankruptcy acts? pt under 52. Have you ever been: Yes.— No_ LTD a. Arrested or indicted for any felony or misdemeanor involving the purcha se, sale, or deliver y of any security, or arising out of the conduct of the business of a broker, dealer, fiduciary. investment company, investment adviser, underwriter, bank, trust company, insurance com• pony or other financial institution, or involving any crime in which violence or threats of violence against any person, dishonesty, the wrongful taking of any property, or any manner of fraud was a factor, 'or involving conspiracy to commi t any of the foregoing? . .. .... Yes_ No._ or, b. Convicted of, or pleaded ncifo conten dere to, any felony or any misdemeanor, except traffic offenses? minor 53. Have you ever been a principal Yes_ No or employee of any firm, corporation or associ were associated with it. was convic ation which, while you ted of, or pleaded nolo cont endere to, any felony meanor? or misde- Yes—__ No 54. Are you currently the subject of an unsatis fied judgement or lien? Yes__ No THE FOLLOWING SHOULD BE READ VERY CAREFULLY BY THE APPLICANT 1. I hereby certify that I have read and understand the foregoing statements best of my knowledge. and that my responses are true and complete to the 2. To induce the agency, jurisdic tion or organization with or to which I am consider it: filing or submitting this application to receive and A. I agree that any decision of the agency , jurisdiction or organization as to the results required to pass will be accepted by me of any examination(s) that I may be as final; B. (1) I understand that I am not author ized to sell, or offer for sale, any securities until I tion certificate or an official notification have received my license or registra- of its effective date; (2) / understand that I am to sell only . those securities authorized by my employer. C. I agree to abide by the Statute(s). Constitution( s), Rules and Ely.Laws as any of the foregoing of the agency, jurisdiction or organization are amended from time to time with or to which I am filing or submitting this applica D. If I shall -violate or be charged with tion; the violation or possible violation of any agency, jurisdiction or organization Statute, Rule, Constitution or By -Law of any with or to which I am filing or submitting by the penalties .of the Statute(s), this application, I agree to be subject to and abide Constitution(s), Rules and By-Laws. of such 3. Further. and in consideration of the securit agency, jurisdiction or organization. ._.- ies or commodities self-regulatory organiz tion, I submit—myself to the jurisdic ation receiving and considering this applica- tion of such organization(s). 4. I. _.•••1L.:_qc '11 Laitrier the answers to the above questio auto,/ the undersigned applicant do solemnly swear ns and the statements herein made are true, that which is at this time and in the light and that I have not herein made any statement, of the circumstances under which it is made, 5. I, the undersigned, for the purpos false or misleading in any material respect. the registration or sale of securit e of complying with the laws of the State of ies or commodities, hereby irrevocably hie-Li 1 .* /•1( relating to either nated by law, and the successors appoint the administrator, or such other person desig- in such office, my attorney in said State pleading in any action or proceeding upon whom may be served any notice, process or against me arising out of or in connection or out of the violation or alleged violatio with the offer or sale of securities or commodities. n of the aforesaid laws of said State; and proceeding against me may be comme I do hereby consent that any such action nced in any court of competent jurisdic or process Upon said appointee with the tion and proper venue within said State by service of same effect as if I was a resident in said State said p tate It is requested that a copy of an otice, process and had lawfully been served with process in plead' ed hereunder be mailed to me at my residen ce. Al 71) Data Siena t Date Sionalmee of Witness Witness must be either a partner of the firm, officer of the corporation, branch office ndicate which). manager, or authorized employee. Please (NOTARIZATION OF APPLICANT'S SIGNATURE) ;TATE OF lounty EFTA01700772 ... kir ,4D._ ____ °Fru uitianLy( ' ---......, BEAR, S EARNS & C0.' •-NEW YORK, N.Y.10041 USE A BALL POINT PEN..., PLEASE PRINT PLOYMENT AN foR Toys/ RESPONSES ASR rem A NAL HISTORY FORM i'°""°"( SUPPLEMENTAL TORN Nat ILA*: ils4T. siDOLI. wo..0”/ . AL SECURITY E--- .--.. ? S i re r: fr ni i \Je .' 7.--. 11.-*V2 6 7) ofAE *OGRESS . AO AMA MEAT zo /Rot POSITION pul ,,, l° FOR / 14 41. ) .Y (7/1 /ale. WHAT 'Mate, 00 is O Mtn/ w•Cli CAN IOU START/ A/ SII EC 7- • 1:1 12Y,A A "0 WITH tekOND A'N ' IMI,WPIAMSV ALM Ami"1,5 0 NO9 INANE viNOI . RELATIONSHIP c- 4. r. OSI 0 W riyi2i,u, S C,t.T)TEN tf,,,,F.O.t RA5 IN °.S.A. OTC A LOCATION ' 3. COMPANY (IC) POSITION rq .4" .E1.€ 1.. L. I I4 E IOU EVER Ws coliviCTED Or A CRIME OE CIVIL OR MILITARY TAMIOINTI(S1 NO PATE Or SMITH TM °PLAN. EDUCATION (Begin with High School(s). Include ( k)-- -5- Correspondence Schoo s. etc. TYPE OF SCHOOL WI NAME AND LOCATION INDICATE MAJOR DEGREE OR ATTENDED 11 1 Pi. DIPLOMA RECEIVED room TO DID YOU NA. , A. ". 'R. GRADUATE? d C. th (, Pc.ki • I,3, ing I I /lb..% . 1 4 ?.. TES MO • Ltd 9 . P4) s(e.s Catty.... /qt.. I ..), ... . itkith----c— Gi• i TES EV. NO Cie( 4,,. 1 /1-41-rq i TES O. . , • o/ti C.- EMPLOYMENT ill in below a complete, consecutive statement of your basin All time, including periods o unemployment, must's his bry for the pa ten years. If self employed. show naive and addres •• • k ounte s under which business was conducted. COMPANY LAST POSITIoN HELD FROM POSITION To •1411.:Pl i EXACT ADDRESS ctflpc,c5 -par- tie? TAR TiNG iti 4 6 ic., DEPT. AND SUPERVISOR MO TR MO. TR. fo6 1.40 4 •••V, ,A1 7 At" Tow. SA •ily s4-4.40 TYPE Or RES ,DUVESS IGNED O r OuTiEs of POSITION O 711 I FULL TIME O LAID Off O ETPLAN•TiON or, REASON FOR LEAVING P RI FINE O RELEASED O DISCHARGED O li n ri. .1.4 , EC HE. O room EAT P 0.1005 POSITION To COmraT re. 1.4.4. (LACE ADDRESS A i /6, 41,..,..i . POSITION HELD -4 t,w,...... , SAL t :. MO. TIC M. TR it 7 Mt Orr 1 SINUS AIL, 1.; ve.. •Dullf4. Or POSITION . OUT AND SUPERVISOR . - FINAL f/N•L lAt.AR7 2 2, 7 (71: RESIGNED re ...,:.. ar O rf14. • AAAAAAA ATIOPI OF REASON TOR LEAVING FULL TINE O PART ANC - RELEASED O DISENARCED O TOM O ASTI AAAACul ECNPANT . POSITION POSITION 11(5.0 STARTING ]ALA AA TROY TO WET ADDRESS MO OUT ANTI SUPERVISOR FINAL SALARY TR NO TA TIRE of OMSIMCSS - DUTIES Or POSITION /DLL THE O I'(SIGNED6 LAID ore' ETPLANATION Or REASON FOR LEANING O A O RELEASED O SISCHARGEO O TEMP 1 O En PREV:CoS COMPANY POT. 1:04 POSITION MELD STARTING SAAAAA MOM ' TO (TACT ADDRESS DEPT AND SuPERviSON MC 'II D19 IA FINAL SALARY TYPE Or RUSINts + DUTIES or posi TICK . i n : Ira O RESIGNED L.) LAIC OFF O ClPlAmAnCm OF FUSON FOR Lt VINO NIT [U A/LEASEDa mmem....1.-- 1ST ARC! oAs ...SWAM 461C AAA A A 0 'CUP O P01,1 0,1 ,CO‘ •• .....; SAARI ', RSA "I tIAC' ADDICTS :Cf • A40 S4PER,riSCIR MO TR .40 •R Or.Al. . T•PE or BUS:ResS Gums or POSITION ars Ivo. 'am( LI —, NIS•ONED r ; LAID OFF O ETPLAntAT.04 or ACa!Cm TOR LEAVING RELEASE, n z.w...GED O TEMP q AS AN EQUAL. OPPORTUNITY EMPLOYER ORRIS IRTreauWO & rn EFTA01700773 • 4 - IV emplcyment or family employment. UNEMPLOYMENT Account for your time during any periods Cl unemployment. sett . . other than those when you were attending scnool. time must"be verified by someone other than a relative or an employee of Bear. Stearns & Co. These periods of nwp- IX ivIDUAL To MITT •00(NPLOTNENT nisi iv EIPLANATION in, y•pyat•Eyy OR mouy EMPLOYNENC NO TN NO TP nANE • ACHNIESS . • " - . - NAME ND RESIDENCE RESIDENCE RECORD FOR PAST TEN YEARS— UNITED STATES ONLY 1.1-1." 10 •roccr *oouccs CiTy STATE APT • Cyr* vENT ITN PAIIENTs. • MD. IL •10. TN II. ` . ,,......_ ,7 7 '1 ( ..01...Ce . . e•• ./....... • / 7" .C.• in 7- V /7,04.1./ ' • 66666 OF ACTM NiLoan sumac TyPE Of emu TART DISCHME STATUS !RANCH Or SEitylCE O NON°AAAA MS . . rm EIEAAIIAA. UNDER NONONAM / er • • • 11 • • ' . n I —I CONOITIONS. MCLAIN ON Mt NAYS )ereEVER MN EMPLOYED AT SEAN. MESONS • CO.? na O OTNIA NEXPLAIN.ON An ai WO Lam IF YES IRON 0 NAVE 100 MAO A NAM ILLNESS IN MO •NO0 ' DO TOY NAVE ANY IVITSICAL LIMITATIONS? TESO NSW THE PAST • YEARS? II 'MS- . OOCAiAC If ••YES.'• DUMB! • MOM 010 TOY TO APPLY TO SEAR. SMOKE • CO.? • • III CASE • CATION 1110 . /4 tio' °11ll1 O NEWSPAPER AO E3 • NAME O Nam, la OTHER AAAAA SS TEL NO. I Oa you or spouse have any YES N 5. NM you ever been tensed a YES NO 8. Nave you ever been a MIN YES NO IL of o-Ff . Are yOU a Director or Oaten any YES SI•OF to an arbrIratiowproceeding O Corporation? O O additional income? O bond or had o e revoked? O O .1.-J . CI —Yes: mini on Pg.)) (II "Yes; explain OA re 31 by a Governmental *drain. When istratide Agency or &Nines . 12. Co you trade in the YES NO regulatory agency? 2. Deyou have any outstanding debts lo am Corporation. Company. 8ank, Me. Loan YES NO O Mere • Are you bondable? 5 YES O (II "Yes; explain-on.Pg.3) . 9. H3S-3 Mechanic's lien or a YES .K -- seconixes.Market? If - Ter teal Brokerage firm? O i0.- YES Ii •Or Ilncluding Mortgage, Acco Tax lien goateed liked rj Co you have an account? O U slallmenl and Charge Accounts) apint You? 14 "Yes." ea plain on Pg. 3) TES N0V (II - Ws; explain on Pg. 3) 13. Nave you had any inauSItell T.c.S NO 6. MS any jaatnitill Or criminal accidents covered by 'Rork- conviction ever been entered O O O men's Compensainn? „..., 3. What is your approximate agasnst you? TES NO ,...,'' Of —fee; mono On Pg 3) monthly obligation on debtapt w a • ID. Have You ever laded in busk . . oess.gllat • COMCIO Me lall O D.-. ..... - Creditors. Or taken ;Ming It 110 yOU receive any pension YES NO YES No 7. Have you aver been sseig or YES NO 4. !Myrna Salaryever been O gi a bankaisky gay garnisheed? el f O WIT 10 a LIWsuil? " g"7% Of 'Yee tiplaiiVOIT Pe.3) for a past drsabilly? of "tee explain-on Pt. 3) O O (II "Ter explain on Pg. 3) Y • ill Ms: exPlain On Pg. 31 . . • . . PRE-EMPLOYMENT STATEMENT • investigation-of my past.employ- I understand and agree hat Sear. Stearns & Co...and/or Its agents will make a thorough ment and activities, and I agree to cooperate in such an Investigation. I. :Can employee. have the right upon I also understand that under the "Fair Credit Reporting Ace Public Law F91-508. the scope of their report should one be used. written request to know the name of the investigative service employed and in connection with the above investiga• I further understand that any falsification or misstatement on this applitation or tion will be grounds for immediate discharge. tilted- I consent to take any pre-employment physical examinati nd such future physical examinations as may be r by Bear, Stearns & Co. A s& I also understand t the fir three month II be consid a probationary period and that, should Bear. Sea Co. or I decide. du this riod, t a lac of suite . ither party, my employment may be t mi ated by myself or the F wi • t • is and; ithout p lu•ce. • •-• . - Date Applicant's Signature a . i - fon orrice Ug ONLY 1 GRADE STARTING SAL •Y 20•117:NO DATE POSITION / VEPAATNE / RANCH V f i . • • 1 IS THIS A RIME) TYPE of caNalmafty L_ ADD 70 STAFF ... F.' ....• PERMANVIT O SUMMER O FULL tam U YES ra NO 7 REPLACEMENT • r TENPORART • . • HOURLY TIME 1 ne•:• •.<O•O•7 NUL aCED Intent WAS O PROMOTED :J TED (Ills oirLoTEE REPLACED CLEAVE Of ABSENCE O TRANSFERRED TO O RETIREMENT in OMER GRACE O DEATH I INTERYttWCO AT • .N.Ovrt-agin COIMMTS EFTA01700774 rPrieg use ONLY . 1.. , , j . o BEAR, STEARNS & CO. • 55 WATER STREET • NEW YORK, N.Y. 10041 USE A BALL POINT PEN EMPLOYMENT AND PERSONALrootHISTORY FORM „rob..., N__ DATE - . S fr PLEASE PRINT Novato TOO sat. A roam cj_ MORE SPAS[ FOR YOUR RtsPONSCS AI& SUM mmmmmmm ( 7 4 (. NARs_sAm. foRTG TIMM. t psier/A-1 q 67frken L....- ...../..' NONE /4 RItSS Tenn • CeTT ARO STATE Err ton -fox( u Nem let. NO. i till Sbie L4 f"; /Pt 7- //2L i POSITION AMMO SON • WRAY /SLANT so too sines! WIER CAN TOR num T t( A ta err; . NI RUM" IT NITN LAT to TEE NOO II FLOVIOIT M, SPBEINVAR EETIISVAThi ANILET 0 Ron_ If - TES- .. . ...NZ Wool I. T ECLATIONSHip POSITION I aprir Ar u RaTinli vis,,,....tai ire NVIC Y.S.A. ON A I 4eS. LOCATION roilluso . CoperAnt , 1. HAVE YOU EVER REIN CONVICTED Or A <IONE NT CIVIL OR TilLsTART AUSII0RITICS/ ([PLAIN :I ATC Or al TH / TES. . EDUCATION (Begin with High School(s). Include Correspondence Schools. A .// c.) . i • etc. TYPE OF SCHOOL NOICATt NAME AND LOCATION DEGREE OR ATTENDED% 11 2 MAJOR DIPLOMA RECEIVED. ROP"My a NO.." TR. OKI YOU GRADUATE? , IA I C L4442(1 ii -h. a< sAoil el seini 2,,,aeks , "yeti .t vkistiA 41 Dink, -.4- I 6) I. Cc Ye! ❑. we 0 C•qk 4 • 6.74.. a. 2s., 7 id .3 1 m N. 9 Ai 7, l) yozefil- 12_ S. 1 IG ( 7 6---/ /V. M - . , set.,i N. v e, -1 p il 13,1if .0.4 - 5 q 70 7 No IN EMPLOYMENT • Fill in below a complete, consecutive•statement of your business his ory for the past ten years. All time. including periods o •unemployment, must be accounted for. II sell employed. show name and address under which business was conducted. ' • puma OR CONPART AsT POSITION POSITION .ittLo v sit, De. 4. _ /44 a mann SALRO7 pace — ctto0f...( MGR ' TO MET AAAAASS . DEPT. AND AAAAAA OR a to-e.n. •. Ins SALARY •' NO. TR. NO. on. / 0 te. c. cc, A .y7 rum Or GO IMES Cit.& 4 + 7•• ••••••••• • a ti • .. DuAir .. 7 POSITION • RESIGN/0 re • LA.E. orr 0 R.TRENt.f. - 4- AAAAA NATION Or REASON re'RE•ft . " l Om 0 • " 2.1^4, PULL TINE 'Pr PANT TINE 0 . Il LC VINE . AAAAA SCO CI:CHARGED TEMP. 0 UT PREVIOu COMM% A. pesotin NrLD STARTING POSITION IJ . e (I FROM TO WET ADORCSre................. 4e. • le stele e • OS•L AND SuPERviSon 0 0 L„R 4 FINAL ART NO. TR. MO. TR. 3j I. at i s•-•••• •••.......... - . IOC . 1.-4 1 f .-" fin or sysylts? DUTIES Of POSITION -3G.IC ir , . • lilik 44,004 • 0 • (VAL TIRE ....-- 7 r ----4 7 / 1 RCNONCO LAID Orr 0 EMANATION OUtEASON F011 TILAV/KG ' PART TINS ❑0 • ACIAASEDIM Mains ED 0 II - iffr. 44/.4*G4:41•1 /.i 7; `r 7 gem 0 ART P (VICO POSITION COWAN? youtinr.:, ..,.. • STARTING FROM TO EXACT *001(55 I earn 1 ^ IS • 7 7 t e D / 24 a le.Cli OM ANO StIPCNINSOR FINAL SALARY MO. IC MO. it )19y san.Arir pot . !USG, OutiNESs Duni Of gnaw. • INETro. epaisAl FULL ton 0 7 1.- i l• • FICSIGNEO. 8 RELEASED LAID Orr 0 CIPLA ATION or PERSON FOR LC 11 G • PART . NE • TEMP DelatAACCO 0 0 fit P 0001 ja,... 400 TITATIT, FROM POS TION .0 ' 0 , ex.. StACT ACIORESS 400 e.^, ti• • POSITIOLIS MUD r.."... STA INC - OUR AND SOPETIVesoR FINAL SALARY No TR.. MO TR 40.r 0 Af/6., CI AIRN•• R ac ift nen ve -t t Lrt d. 7 :. 8 , ,... ."intaNSINESS Ou TN iyat seTwi..t o FULL 71 - • /*EMCEES or 0 °tumult,* or n•SONEreA Mkt n C0 1'4 / ,,, CP. . 0:50.• RC con_ , (S4: lt-41(0' Tap 0 lit OlirItOu CosIPANT POSITION kit° . POSITION STARTING IRON TO EaACT WACO MT no Suitt Pon. SALARY NO •••ii WI PA , • Tyre or GOSINESS tlotaCS Of POSITION FULL TN.< 0 NEMEC° 9 LAID off CiptANAnott OF REAsoN FOR i.,„.„, ....re. k als4 "pm.o , 'ART TAG( 0 AtsCASE0 OiSCILARECO TEMP 0 . . AS AN MUM. OPPORTUNITY EMPLOYER. DEAR. STEARNS )6-57-355 DOES NOT DISCRIMINATE BECAUSE OF AGE. COLOR. CREED. a CO. SEX. RELIGION. OR NATIONAL ORIGIN. EFTA01700775 •••• it . - employment Or :amity employment. UNEMPLOYMENT Account for ycur time during any periods of unemployment. ;elf school. Other than those when you were attending ' 4 a relative or an employee of Bear. Stearns E. CO. These periods of time must be verified by someone other than ix0IVIOUAL TO VOW? ut:ENPLOTHENT. 'NON TO Er AAAAAA ioN SELI EMPLO• WERI OR tAMµl EmPLOTMENT. MO `R MO. TR. MANE •OORESS NAME AO DROSS ONLY RESIDENCE RESIOENCE RECORD POP PAST TEN YEARS- UNITED STATES FROM TO STATE APT • OWN RENT WITH PARENTS STREET ADDRESS City 4.-1 it) 7 2 Sec s.5 77 A/. n - • _ ..- TEARS Of ACTIVE MILITARY SERVICE TYPE Or RIOT RE OISCHANCIE 011AF 17ATUS 'HUNCH Or SERVICE PROM TO O M ri :=1:17. A AAAA !TORO AAAAA . I-..I CONOITIONS. TEXPLAIN•ON• PAGE il ❑ NAVE YOU EVER SEEN CIAPLOVE0 AT SEAR. SAAAAAA • CO.t e . 0TES If yes, O OTHER IESPLA/N ON fl oe II PROM TO PIO RAVE YOU MAO A MAJOR ILLNESS In USD 0,00 'DO IOU NAVE ANT PHYSICAL LIMITATIONS? TESCI TNE EAST I AAAAA > If "TES". OESCRISE it ••110.'• OESCRIOEI . • NOW MO too HAPPEN TO APPLY TO SEAR. AAAAAA S • CO,? an CAS .. . . NAME RELATIO O NEWSPAPER AO . g .,E O AGENCY U,' OTHER ADORE I. 0* you or spouse have an additional income? YES 0 N S. Have yOu ever ban /Mused a bond or had one mailed? led? YES H O E. Have you ever been a only dmation proceeding to an a ir TES O "" ii3,/ 50Are you a Bader or I. d Corpo ration? (II - Yes: explain on PE. 3) YES O g ill "Tel: explain on Pg. 3) by a Governmental Admin. • When istraat Agency or Securities 12. Do you trade in the YES N regulatory agate i Securely Markel? . 0 0 . 2. Do you have any outitanding YES il Where O1 - Yes. explain on Pg. 3) il - yes. what Brokerage EWA? debts to any Corporation. Lan O Yr Gampayillank..MC . YES N • YES NE/ O 9. Nu a lathanc's hen Ora (licluding Mortgage. Auto, tn. stallment and Charge Accounts) Ate you bondable? Tax lien ever been iced ❑ Do you hate an =WM? 0 a• against you? (11"Yes:' explain on Pg. 3) 6. Has DM IIJOEMOOI or criminal TES ta/ ,. (II - YeS: explain on Pg 3) 13. Have you had arty indusinal TES 18/ 0 O 'aeodents covered by mitt- conviction ever been entered ma's Compensation? 3. Yam is your approximate against you? YES ti (II "YeS: explain on Pg. 3) monthly otegalson on debts? ) C.-- JO Have you ever WOO In bus" ness. made a compromdemith 7 Mat you ever been Sued or YES l'el creditors. or taken advantage IA 00 you receive any pension YES ti 4. HIS TOUT salary ever been YES fel/ of a barikrupley act? for a past disabdily? party a lawsuit? • garnisheed? O ❑ III - Tea: explain on Pg. 3) 111 - Yes. explain an Pg 3Y O to7 explain on Pg. 3) III - Yes Of "Yes." explain on Pg. 3) PRE-EMPLOYMENT STATEMENT investigation of'my past employ-. I' understand and agree hat Bear. Stearns & Co.. and/or its agents will make a thorough ment and activities. and I agree to cooperate in such an investigation. I. as an employee. have the sight upon I also understand that under the "Fair Credit Reporting Act' Public Law 1191.508. of their report should one De used. written request to know the name of the investigative service'employed and the scope that any falsification or misstatement on this application or in canection with the above investiga- I further understand tion will be grounds for immediate discharge. physical examinations as may be required I consent to take any pre-employment physical examination and such future by Bear. Stearns S. Co. and that, should Bear. Stearns & I also underStand that the first three months will be considered a probationary period Co. or I decide, ring his period, that a lack of suit ' . With either party. my employment may be terminated by myself or th a hout ni,eand with ice. r• I r 2/ . Date M• / , •• • P / Applicant's Signature / / .10A Office USE ONLY. StAR T r G OM; i POSITION _.- • ... Z PLITYMENT/SAANCIT _,__ GRACE STAR TUFO SALARY 1 le_niict..E._- Pi-ril & V ILL oci2._ZOt • 4 cs-Q.,,,iii._. $,/../5"/ 76. EWE OF EMPLOY...IVO IS TINS A WNW Li ADD TO STAFF —, PERMANENT 7 L. SUMMER O FuLL IINIE r- YES 1._.; NO -- REPLACEMENT 1 . TEMPORARY Ei HOURLY TIME ir -tersacycle fiEpL•CIO EMPLOYEE *At - . r• PROMOTED ._.: SEPARATED ON EMPLOYEE REPLACED CLEAVE OF ABSENCE O TRANsFERREO TO O RETIREMENT 0 OTHER NAN GRADE SMART n DEATH uoutviCASO es .ATERV:EwERS e4NNEN:S EFTA01700776 NAME EPSTEIN, JEFFREY E. BORN: 1/20/50 lA7F OF nroni 1/20/53 1365-15-8891 , 4/28/76) Note:Date. of hi rth. deVeloped was:-.1/ 20/53;agpliCation li sted 1/20/50. EDUCATION COOPER UNION NEW YORK, NEW YORK Appl. Dates: 9/66 to Reported: 9/69 to 1/ 6/70 72 Herbert Liebeskind , Dean of Admissions majored in Physics & Records said applic an ant 1/20/53 and his resi d did not graduate. His birthdate was dence while a studen Brooklyn, New York. t was 3742 Maple Av enue, NEW YORK UNIVERSITY NEW YORK, NEW YORK Appl. Dates: 9/70 to Reported: 9/71 to 2/ 6/72 74 Mavis Lewis, Record and did not gradua er, said applicant majored in Mathemat te. His date of bi ic residence while a rth was. 1/20/53, and s student was 3814 Se hi agate Ave., Brooklyn, s N.Y. effrey E. Epstein issued an invalid chec during the 1973-74 k to New York Univer academic year. (Not e credit, suit by N. sity Y.U.) EMPLOYMENT UNIVERSITY OF CALI FORNIA Appl. Dates: 1973 to BERKELEY, CALIFORN 1974 IA Reported: See Below Mrs. Julia Sills, Pe rsonnel F Payroll re available computer cords, checked all tapes from 1973 to identifiable with th current and nothing e Accounting records we applicant was developed. Payroll- re also thoroughly no record of U.C. Be checked and there is' rkeley issuing a pa E. Epstein during yroll check to a Je 1973, 1974 or 1975. ffrey Mrs. Helen La Sota, checked current and Business Officer, Mathematics Departme £order employee reco nt, and found nothing identifiable with ap rds of this department plicant. Mr. Epstein indica ted application. Univer that his supervisor was a Dr. Wolf on sity records list tw Wolf, is a Professo o Wolfs, one a Jose his r Emeritus (retired reach him at home ) and many attempts ph . proved negative. to a sabbatical in Is Joseph Wolf, Ph.D. rael. is on DQth Wolf's mentioned we Department and ther re connected with the Mathem e are no other Wolf's atics employed by U.C. BERK EL EY. lg le information contained in this report is for the SO • • LE AND CONFIDENTIAL %ice. nf EFTA01700777 EPSTEIN, JEFFREY E. IZMO INC Appl. Dates: 19 72 to 1973 Reported: 1972 to 1973 IIIII would only speak through , wa learnedsaitniS a closed window. s contacted; ION When she called ffrey Epstein she second floor of this who lives_on the meeting, a brief co private house. As ;his was an inadve nversation followed rtent . It was learned from III NM that. were in business for , Jeffrey, t mselves, making paintings .% (On his aill iling silk sc ap pl ic atiormilbject descri reen self employment as tu bed his toring.) was th painter and Jeffrey handled sales. They e designer and about two years, fr were in business om folded, Jeffrey Epst 1972 to 19 73. After the business ein went to Californ at the University ia where he lectured of California. Recently, Jeffrey Ep stein was at the Da City, where he taug lton School, New York ht work for Bear, Stea . In mid-March 19 76 subject went to rns & Co. Note: Conversation was terminated as bored and restless. was becoming he seemed to resent There was an lilt er at io n and this inquiry, hesitant about rele was also asing information ab residence report.) out applicant (See Appl. Dates: 19 71 to 19 73 , YORK Reported: 1975 S , stated substantiall y the following: I have known Jeffre y E. Epstein for ten associate, and employ years as a friend, for six months in ee. Jeffrey worked for me as a foreman the he worked on a steady first part of 1975. Weather permitting, and was earning $62 basis, supervising tw per day. He did a go o or three workers, know the reason he od job for me and I left the job. don't Jeffrey Epptein does not use alcohol or is the athletic ty drugs, in fact he pe, likes to work ou riding, punch bag, et t by swimming, bike c. I am not familiar employment record, bu with his past t I do know that he brother, Mark Epstei worked with his n, in the t4lk screen his brother is an ar painting business; tist. -2- EFTA01700778 EPSTEIN, JEFFREY E. I have never known Jeff to be in any ty Law enforcement agen ci pe of trouble with awhile, I do not know es. He was out of the state for where he went or what he was doing. Jeff is about tiiiii iihree years old; he family at lives with his community- Tmany ye III.; his family has lived in this address. I have noth ars, I am not familiar with their exact know nothing adverse ing but 'admiration for Epstein and I position of trust. about him. Yes, I re commend him for a Note: Source was ve ry he ;gage that applic hesitant in answering questions, but ant did wo II. a shied away from ques rk for him, six months in 1975. employers of the appl tions about education icant. and previous RESIDENCE Il!ki!raw York This is'a large two with white aluminum family house, it is in good cdndition siding. It is about .40 valued at approximatel years old and residential communit y $60,000. It is located in a . y. Owner, and as the Epstein family resident at reluctantly gave the for more than twenty ye following informat ars; she ion about applicant. described g man of good.charaJeffrey Epstein as a bright, well'behaved he tau=ght at;.the Dalton cter. -She said that.until March, 1976 a Wall Street firm. School and is now em For ployed by at a university in aboutaa year and a ha California: lf subject taught Source described ap pl that they have a good icant's .family as honest and sincere, reputation. RECORDS Usually reliable cred may be identifiable it sources report the following which with subject in NEW YORK CITY: There is a r rd in file on Jeffre of y E. Epstein file re ects the fo Brooklyn, N.Y. SS # verified. llowing: -3- EFTA01700779 .;g4 t EPSTEIN, JEFFREY E. SUIT On January 28, 1975, New York University suit for $500 in Ne filed w York County Civi Docket # 13994 l Court, We will supplement when we get the di sposition. No record of judgme or bankruptcies nts, tax liens, wage identifiable with su assignments, bject. Records of the KING S felonies, misdemeano COUNTY CRIMINAL COURT were checked fo rs and youthful of r record was found id fe entifiable with subj nder cases and no ect. MISCELLANEOUS .A confidential sour ce identifiable with th provided the. following information e applicant: On or about April 1, 1976 Jeffrey E. Brooklyn, born 1/20 Epstei /53, engaged to applied for rental New York City. of apartmen Monthly rental is $4 t 15 at shown as: "two 35 and employment is years to present, Da City, teacher and lt on Schools, New York administrator. Occupants of I'llS to be Mr. Epstein, an d -4- EFTA01700780 i EFTA01700781 952-5262 • August 1q, 1975 New York University Graduate School of Arts and Sciences Recording Office 6 Washington Square North, Room 3 New York, New:York 10003 Attn; Mrs. Mavis Lewis Dear Thank you for your response to our inquiry •I (Copy attached). We would now like to requ est a copy of Mr. Epstein's transcript. Please bill us for whatever the transcri fee will be. pt Thank you very much for your help. Sincerely, Personnel 1O1 EFTA01700782 Jeffrey E. Epsted a March 16, 1976 III' 4 Previous employ , Personnel ment verification s Since your employ ment from 1972 - 1973 was self-employment, we need some so rt of income ta x form or W-2 form for that period of time.: Thank you. EFTA01700783 ►effrey E. Epstein Bear, Stearns & CO. 55 Water Street New York. N. Y. 10041 i212) 952-5847 March 12, 1981 '10 THE EXECUTIVE CCMNEE TTEE: With this letter and acc ompanying statement, I hereby resign as a Lim ited Partner of Bear, Stearns & Co., eff ective immediately. I Sincerely, ,t EFTA01700784 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 BEAR STEARNS WRITER'S DIRECT DIAL NUMBER March 12, 1981 Mr. Bear tearns Co. 55 Water Street New York, NY 10041 Dear Jeffrey: The Executive Committee has ful ly reviewed the matter referred herein and after extensive del to iberation has decided the fol lowing: 1. You have advised us that you made a loan to a customer the purpose of his buying securi for ties. This constitutes a violation of Regulation T. Tak ing into consideration your voluntary disclosure and the fac t that it was a single in- stance, we find you $2,500.00. For failing to comply with the spirit of the NASD Regulatio with respect to new issue distri ns bution, we suspend you from active employment at Bear Stearn s for a period of 60 days, effective immediately. Yours very truly, . EXECUTIVE COMW1TTEE BEAR, STEARNS & CO. • I New York/Atlanta/Boston/Chicago ^ Dallas/Los Angeles/San Franricrn EFTA01700785 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 BEAR STEARNS (212) 952-5000 WRITER'S DIRECT DIAL NUMBER Apri l 8, 1971 TO ALL NEW EMPLOY EES: Under publ ic law #9 we are now requ 1-508, "Fair Cred ired to inform you it Reporting Act", that we intend to at the time of your conduct, through a se hiring through our own in rvice agency and quiries, an inve character, reputati stigation as to your on, mode of living litigations, previo , educational experi us employments, an ence, etc... d any public record s Upon written requ the right to know est, you, as an empl the name of the in oyee, now have employed by Bear, vestigative servic Stearns & Co. and e report should one the scope of their be used in your pa rticular case. Signature Date New York/Atlanta/Boston/C hicago Dallas/Los Angeles/San Francisc o Amsterdam/Geneva/Paris EFTA01700786 STOCK EXCHANGE FIRM EMPLOYEE INFO (To be completed upon acceptance of RMATION RECORD employment) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confid ence and will be preserved for three years after termination of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and Exchange Commission and Rule 345.19 of the New York Stock Exchange. 1. 2. L":4 5 f el l% st Name (a) Have you ever been bonded? V 'Vey irst Name 61 4500 ' , I Middle Name Yes (b) Have you ever been refused a bond by a surety comp any? Yes (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes If answer to either (b), (c) or (d) is 'yes,' attach details including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity broke rs, dealers, investment bankers or investment advisors? Yes No If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any regulatory body or by any such exchange or assoc iation; or ever been denied membership therein; or ever withdrawn your application for such membership? Y (b) Have you ever been associated with any organ ization, as a director, controlling • stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or expelled from any such exchange or registered association, or was denied membership therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S. E C or any State or agency has been denied, suspended or revoked? Yes (c) Has any permanent or temporary injunction ever been entered against you? (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes,' attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or employmen t in any capacity, have transactions under your attention ever been the subje ct of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indicted or convicted of a felony of any kind, or of a misdemeanor except mino r traffic offenses? Yes If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? Yes No If 'yes,' give details and dates of use. I hereby certify that I have read and understand the foregoing statements and that each of my responses thereto is true and complete. I authorize my prior employers to make available to any prospective employer, or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers fr n any and all liability of whatsoever nature by reason of furnishing such information. (Date) it/VA tri )1 1 Signatur of Employee 110 (12/75) EFTA01700787 EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in comp liance with the New York Stock Exchange and Federal Regu lations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by secu rities without the permission of the firm. Such permissi on should be requested in writing directed to the Complian ce Department. This restriction applies to the employee , his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWIN G; "I have no brokerage accounts other than & Co. and I have no bank loans collater at Bear, Stearns alized by securities except: (if none, state NONE, indi cate accounts of your spouse, minor children and any account in which you place orders)." ik)bititc , ‘11411(e- 1 -) -6' (DATE) EFTA01700788 EXECUTIVE HEALTH EXAMINE 777 THIRD AVENVK • NEW YORK CITY 10017 RS • 12121 421-3131 Ofai. 19 7/, Name Mt Company We have examined t e above-named applicant for employment. We find him (l ler ( ): (4.21cuitable for employment. ( ) Suitable for limited employmen t. Limitations: Remarks: VIAHU - 975-27 la WM. , R. N. EFTA01700789 Memo BEAR STEARNS To John Duggan Date June 3, 1977 CC From Lewis Rabinowitz Subject Jeff Epstein Please r4.ise Jeff Epstein s annual salary to $24, 000 per year. 1111/7R: EFTA01700790 Memo BEAR 51TARNS To 415‘ve Lakoff Seymour Dashow August 4, 1977 ' CC From Elliot K. [Volk Subject ease charg 11 expenses including salary ff Epstein for New York Retail and delete fro r0 Opt ent. m This should have been don e some time ago. Please make sure this is done retroactively to May 1, 1977 and is included in the Jul y figures. ..• EFTA01700791 Memo BEAR STEARNS Date June 13, 1979 Pe Depo nent CC From Jame6 E. Coyne Subject EbfeetAie .today, and itettwactiv e to May 12211/s.tga&e._ _----iiic ineiLease the s'ataJty o Je66neg Epstein to $42,000 ./Yea,1- *it '12 4 Soo ej 3 (1/77) EFTA01700792 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952.5000 BEAR 5TBIMRNS March 18, 1976 WRITER'S DIRECT DIAL NUMB ER Nier RoOfing 4050 Atlantic Avenue, Brooklyn, New York 112 24 JEFFREY E. EPSTEIN II (Applicant's Name) has applied to us for employm (Social Security No.) ent As a previous employer, we We have obtained a signed authoriza woul d appreciate your comments. tion and indemnification agreement conduct reference checks, a copy from the applicant to of which is enclosed. Should you prefer to respond by telephone, please call our 212/952-5263. reference section at Dates of Employment: Claimed from 1971 1973 to Verified from to --c AboveZajria yerge Average Attendance Below Average Punctuality Work Performance ce- C:l Overall Rating To the best of knowledge, did this applicant have a Securities account? 0 Yes No brokerage Would you ecommend the applicant for a position of trust, involving negotiable securities? Yes ILINo ic r/ If your present policy permitted, would you rehire this applicant? 2 Yes ED No Is there anything we should know abou t this applicant which would help make our relationsh successful one? ip a GENER Name: Title: Signatur Date: 7 Form 267 (10/75) New York/Atlanta/Boston/Chic ago Dallas/Los Angeles/San Francisco Amsterdam/Geneva tomic EFTA01700793 FIDELIFACTS NAME DAT& DI NFPOIT EPSTEIN. JEFFREY E. BORN: 1/20/53 / This will supplement our report of 5/3/76. EMPLOYMENT DALTON SCHOOL 108 E. 89TH STREET NEW YORK CITY, N.Y. Applicant: 9/74 to 3/15/76 Reported: 9/74 to 6/11/76 MS. BLACKBURN, Administr ative information from records and Assistant, furnished the followinc personal knowledge: The applicant holds SS# lived at: , Brooklyn, (confirmed). He said he was a college gra duate, but no furhter details indicated. were He was employed as a Physic s and Math teacher. He did had a good attendance and a p;oo(2 :Oh; cooperative and honest. pun ctuality record and was depen( He has leadership and superviso !ab? ry at;i:Aty. He was supervised by Dick Grossman who was not in the scn this time. on; Lt The applicant was laid off due to a personnel cutback, but eligible for rehire. The above lead was completed pri or to client's cancellation of this case. ma The information contained in this rep ort is for the SOLE AND CONFinFi.trie •L EFTA01700794 RUN CA 7E iflARNS & PROFIT SHP% PLAM 04/30/S1 04 / 3 /a. . L )ISTRI3UTIIN REASON: DISMISSAL '4/TH CAUSE EFFECTIVE DATE 04/01/81 DATE OF ENTRY 05/01/76 NAME ADDRESS I I PAYMENT SUMMARY EPS TE IN JEFFREY CHECK AMOUNT $ 3,214.87 DESCRIPTION: .c;:INFORMATWE casr. )IVE-RSIFI ED FUNO • F VALUE ' PAYABLE :OMPA NY ACCOUNT :OMPA NY ACCOUNT 725.75 3,214.87 S 3,214.8 . :LIND TOTALS 725.73 S 3,214.86 5 1,451.48 S 6,429.73 • S 3,214.8' TOTAL VALUE LESS: . S 6,429.73 FORFEITURE $ 3,214.86 5 3,214.86- CASH PAYASLE 7•(3.78) 3.81 . S 3,214.87 g !um tC1 — nr,fte EFTA01700795 NAME EPSTEIN, JEFFREY BORN: 1/20/53 1365-15- This will supplement our report of 4/28/76. At the New York University Bursar's Office, MR. BISOTNA ad•. the following regarding applicant: Initially a check in the amount of $1,0 80 University but it was returned with a noti was received by the insufficient funds to cover the amount. ce that there was The entered into an agreement with the Universi applicant th2n arrangement was made to pay the amount. ty, a promissory the University instituted legal proceedi When he defaulted ngs. Source said satisfaction papers had been filed. It was contact CURTIS ETTINGER, the school atto suggested we rney for further MR. CURTIS ETTINGER advised the matter had The initial payment check, marked as been settled. having insufficient was not in the applicant's name but in When the check did not clear, Mr. Etti the name of Paula nger brother, Mark Epstein who advised that applcontacted appli(aJ - ' Further action was delayed and subseque icant was in Europ• . ntly a partial payment of $345. The matter, howeMark Epstein mad-: resolved and legal proceedings were inst ver, was still Civil Court in December 1975. The matt itut ed in New York er was finally resc!7f . in December 1975 when satisfaction pape r was filed. cp The information contained in this report is for the SOLE AND CONFIDENTIAL use of the. EFTA01700796 Memo B&W SIMMS To Steve Lacoff Date August 15, 1978 Personnel Department CC From James E. Coyne Subject Effective'immediatey, Jeffre y Epstein is to receive a $400./mo salary increase. lera, pd. '0 4 4/6)-o EFTA01700797 952-5262 February 26, 1979 Mr. Bennett Douglas, Elliman, Gibbons & Eves Dear Mr. Bennett: Please be advised that Mr. Jeffrey Epst ein is employed at Bear, Stearns & Co. at a sala ry of $75,000.00 a year. Should you have any further questions, plea do not hesitate to contact me. se Sincerely, Stephen A. Lacoff Personnel Director SAL:bl EFTA01700798 Bear, Stearns & Co. 55 Water Street . Frewthrk, N.Y. 10041 (212) 952-5000 BEAR STURNS March 16, 1976 WRITER'S DIRECT DIAL NUMBER Dalton Schools 108 East 89th St reet, New York, Ne w York JEFFREY E. EPST DI Lamlicant's Name) N 01.11111_ has applied to us for em (Social Security No.) ployment\As a previous emp We have obtained a sign loyer, we would appreciate you ed authorization and inde r comments. conduct reference checks, a cop mnification agreement from y of 'hick is enclosed. the applicant to Should you prefer to respon2r, by telephone, plea 212/952-5263. se call our reference section at Dates of Employment Claimed from to Verified from \ to Above Avera Average Attendance Below Average Punctuality ' Work Performance Overall Rating To the best of you r knowledge, did this applicant have account? 0 Yes D No a Securities brokerage Would you recommend the applicant for a position of trust securities? 0 Yes Ej No involving negotiable If your present policy permitt ed, would you rehire this applicant? vse‘ D 11 CD No Is theie anything we should kno w about this applicant which wou successful one? ld help nytke our relationship a GENERAL REMARKS: ss. Name: Title: Signature: Date: Farm 267 (10/75) New York/Atlanta/Boston/Chica go Dallas/Los Angeles/San Francisc Amsterdam/Geneva/Paris o EFTA01700799 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 13U-kR STEARNS WRITER'S DIRECT DIAL NUMBER March 16, 1976 Cooper Union 4th Avenue & 8th Street New York, New York Attn; Registrar RE: JEFFREY E. EPSTEIN S.S.# III II IIII Date of. To Whom It May Concern: Bir th 1/20/50 Jeffrey has applied to us for a claiming attendance at position your school from 5/86-6/70 BS degree We shall appreciate you you can as to scholasti r giving us any informati c standing, personality, on etc., of this applicant background, . For your convenience a self-addressed stampe in replying, we are enclos ing d envelope. Thank you in advance for your cooperati on. Sincerely, co Personnel Director The above Jeffrey E. Epstein did not graduat-e Dates of Attendance: Seat. 1969 to Jan 1972 Date • 3 or New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amosra.,n EFTA01700800 New York University Graduate School of Arts and Science Recording Office 6 Washington Square North. Room 3 New York. N.Y. 10003 Telephone: (212) 598-3155 March 23, 1976 Mr. Stephen A. Lacoff Bear, Stearns & Company 55 Water Street New York, New York 10041 To Whom It May Concern, This is to certify that Jeffre of birth is January 20, 1950 was y.E. Epstein whose date registered as a non-degree student in the Graduate School of Arts and Science, Departmen of Music from September 197 t 1 to May 1974. Mr. Epstein did not receive a degree from New York University. In the Spring 1974 semester, invalid check to our Bursar's Off Mr. Epstein had issued an ice. Yours truly, tz; (Mrs.) Mavis Lewis Recorder EFTA01700801 **PLEASE CHECK EACH WHEN COMP LETED** NAME DATE OF EMPLOYMENT S --/s- 7 APPLICATION Type "PCA" (one for Payroll , one dupl icate SENT J116 RE Bonding Appl ication Stock Exchange Form Security Accounts form Fair Credit form Locator Card Benefits Enrol lment Card SENT Hospital ization Cards SENT ----TT: Waiver Card (if appl icable) W 4 form SENT to Payrol l ...SkUP Card for Mai l Room SENT 4:,\N‘o ir , Card for Telephone Department SENT 3iito fkiP b (It Card for Security --p y r. Working Papers for Minors ( If appl icab le) Enter new employee on Salary Sheet Add new employee to Board - Inde x fi le Time card (if appl icable) Welcome Letter E Benefits Booklt Background Letters SEN tte ,ip, SENT •Aa School Reference SENT Introduction Letter to Sup rvisor SENT Announcements (if appl icable) SENT Send in Bonding Appl ications SENT jji Send in Fingerprint Cards (get check from Cashiers Dept. first) SENT Newspaper Ads (if applicable) ENT r------ / Orientation Medical Enter in Job Log Book (Blue Book ) Index Card (Contains DOE, Dept. Agency, Lett ers sent etc.) Telephone Verification Put Special Record notice on locator card and appl ication (if appl icable) Fingerprints taken D0214 for Veterans Fi le Background check: Letters / T-) Other EFTA01700802 COMIC VALUER: A 4•POINT. COURSE IN THE IKAOUAIE SCI•30I. OF ARTS AND SCIENCE IS ME ROK RESCANKO (Oft A CLASS NAT NUT, AT LUST TAO 'SOS CACK KU FOR MIMS IIEEILZ. A S-POINT • . COLAS( IS ME KM FRESCIIIIIE0 FOR A CLASS NAT MEETS AT LUST NO tOSURS A *UK fOR FIFTEEN LEAS. CERTAIN LACORATORY ~KS MAX *MIRE TM WAS TINIOLOOST 111E KM AS ME ENUIVTLIOTT OF CRIE NSUR OF A LECTURE KUBE. GIACCIt Alla<[u[etll IIIambi CCU?, ø[ nxlwd tt tl na OSA I11 fIni u tll I., ING4iwatiC tttttt AS sitimNNA, N., Ile Catol I <qef fatal*. ix.. II hi( Ona.• toel AR *K.. ye; Ti • rO9 0 O O 21213 ISInO3 '411;1 2synoa R f • •• p •. ••••••. • awl§ 4 k tA^ at=H stmt./my: ••••••~941,41I APPTIN'' . • • . •• . .1 • • • • • • • ' • : • . I • •• • .* 1.;:. • EFTA01700803 Print Clearly — ID aI ills. Bell-Point i • Binh Pe n l e i attended under wry Date f tat ode nom. ind icate: wooaa Division of N.Y. ./.1011.T w1 U. enticed' WOO: I. U lindorgoate*Do a Graduate -.,Tama and yes of, lest etterdenc mtt .•• tievenbar of trans e• isipttidssitad: If nurrenily in at ti. teat tandiai do you we final grades? nt vacant** held Yes 0 for NO CI ••••••IVII4 otlt v 2. 4- n space above print lull name This form w and address to wh ill be Lend in ich transcript a window enva Is to be wan . lopt. (Over) EFTA01700804 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 1212) 952.5000 BEAR STEARNS WRITER'S DIRECT DIAL NUMBER To Whom It May Concern: I hereby authorize the release of the inf ormation requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooper ation. Sincerely, flAgLet I "ant' Signature New York/Atlanta/Boston /Chicago Dallas/Los Angeles/San Francisco Amsterdam/Genera/Paris EFTA01700805 TRANSFER/T E RMINATION NAME PRESENT DEPARTMENT DEPARTMENT TRANSFERRED TO DATE EFFECTIVE SALARY APPROVAL 949 (9/79) EFTA01700806 STATEMENT OF EARNINGS NO. 06187055 RETAIN THIS STATEMENT FOR YOUR RECORDS PERICOEC.M.. THE DALTON SCHOOLS INC 03;15;76 PALNO. 108 EAST 89TH STREET SOC. SE:. NO 00431 NEW YORK NY 10028 LOCATION EMP. NO. I EMPLOYEE NAME. • REGULAR RATE 0/T RATEl l OR RATE2SH. EG HRS. 825013000 006257 EPSTEIN J 500!00 .0I GROSS . FEDERAL TAX FICA STATE TAX CITY TAX SW. Del DEDUCTIONS NET PAY THIS PAY • PERIOD 500;00 71;23 29 15;97 6153 377 YEAR GROSS FEDERAL TAX RCA STATE TAX Owe TAX EARNINGS AMOUNT TO DATE 2500;00 356;15 146 25 79I85 21 MG PAY 5C0 DEDUCTIONS AMOUNT DEDUCTIONS AMOUNT DEDUCTIONS ' ; AMOUNT ' EFTA01700807 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 12121 952-5000 BUR STEARNS WRITER'S DIRECT DIAL NUM BER To: Personnel Departme From: nt Date: 31 / 4 Benjamin Rhoades 1- n 6 Re: Fingerprinting 12---/c-5eer y 6e7" -F2,e1 Employee's Name was fingerprinted by me today. Date Signature 111 (2/76) New York/Atlanta/Boston/Chica go Dallas/Los Angeles/San Francisco Amsterdarn/Geneya/Paris EFTA01700808 soa.4,a. cm. ariz/41 "defivota..-`i, ivy° g.s.A..aeas _ 1442.1--temLin tar • EFTA01700809 Michael E. Tannenbaum BEAR STDM2NS Date: Ply $ZIS/w 4-0-44_ 3ach,-644_ -ftz /1A-0-e-u /97 • A 6.0 nr y EFTA01700810 Nk!"- h.-.ME/OF COMPANY 1ELEPHONE I APPLICANT HELD POSITION OF DATES FROM TO /- - 111~3 _ • ,j 1 p1/4) krt , CLAI ME D VERIFIED \„..4NL.STNEEJOSiTION HELD LA, re-, / 2,3 // CLAIMED EARNINGS WERE CAN YOU VERIFY /too, fa /•, • per YES NO ATTENDANCE AND TARDINESS BELOW AV. AVERAGE SUPERIOR WORK KNOWLEDGE BELOW AV. AVERAGE SUPERIOR WORK PERFORMANCE BELOW AV. AVERAGE SUPERIOR GENERAL COMMENTS REASON FOR LEAVING WAS CAN YOU VERIFY YES NO WOULD YOU RECOMMEND FOR A POSITION OF TRUST YES NO IF NO, WHY? WOULD YOU REHIRE THIS PERSON YES NO IF NO, WHY? PERSON GIVING INFORMATION TITLE OBTAINED BY DATE // COMMENTS: EFTA01700811 BEAR, STEARNS & CO. .<1 f" eld PERSONNEL DEPARTMENT °tu/ PAYROLL CHANGE Dept. or Branch Effective Date of Change AUTHORIZATION FROM: N.Y.RETAIL SALES August 14,1978 Today's Date Employ e Name (La I-Middle-First, 1 August 21,1978 EPSTEIN Jeffrey Complete CHANGES . Complete LOAN Complete Items ACCESSIONS SEPARATIONS Complete 1,6 Items . Items Items II Additions 3.6 Il Quit To Staff 1,6 KI Salary 1,2,3,6 AMOUNT S II Resigned (1RePlacement 3,4,6 II Discharged 1,6 (I Title or Position 1,2,3,6 Repayment Schedule ti Department I) Rehire 2,3,6 II Released 1,6 1,2,3,6 (I Per Pay Day With " or Branch II Reinstate • 2,3,6 (I Laid Off 1,6 Shift (Day/Night) 1.2.3,6 Balance From Any Bonus From Leave Full Returned (I Total Repayment From Bonus (I Permanent Time i" 1 i i to School 1,2,6 i I Other I' II Temporary Part f i II Deceased 1,2,6 Time " il Retired Leave of Absence 1/Summer II Military File Number II Maternity II Exit Interview (I Attached —a,- "I PRESENT STATUS 2 SALARY HISTORY Grade Title Salary Oa Status Date of Employment Starting Salary 32E Associate $32,000/Yr. 3/15/76 $225.00 Department or Branch Dept. Code No. Date Last Increase Amount Last Increase N.Y.Retail Sales 4/24/78 $8000/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary OFT Status Name of Employee Replaced Doe Separated 36E Associate $36;800/Yr. department or Branch Dept. Code No. Title N.Y.Retail Sales ( 7 ) ), Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day S /Hour From AM To PM AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Per: J.Cayne / - .... .............. . Employee .4-=>---. Department Head or Branch Manager Administrative Partner Director of Per ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 t Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 V ;Oi l / Annual Salary 762 Clock Number . 330 '',7 /Y/ 7/ 354 Rev. 1O/75 (8/7O PERSONNEL COPY EFTA01700812 BEAR,STEARNS & CO. PERSONNEL DEPARTMENT (1 C‘!/3 (3 PAYROLL CHANGE Dept. or Branch Effective Date of Change AUTHORIZATION FROM' CUSTOMERS ROOM April 24,1978 Today's Date . ' Employee Name (la 1-Middle-First) June 9,1978 EPSTEIN Jeffrey Complete Complete Complete LOAN Complete Items ACCESSIONS SEPARATIONS CHANGES 1,6 Items Items Rem 3,6 butt 1,6 IkSalery 1,2,3,6 AMOUNT S 1) To I) ia (I Replacement 3.4,6 I) Discharged 1,6 (I Title or Position 1.2.3'6 Repayment Schedule „ Department ()Rehire 2,3.6 11 Released 1,6 " or Branch 1,2,3,6 1) Per Pay Day With Reinstate 1,6 Shift Way/Night) 1,2,3,6 Balance From Any Bonus II " From Leave 2.3.6 II Laid Off I J Total Repayment From Bonus Full n n Returned II Permanent 1,2,6 f 1 Other Time " " to School II Temporary Part n II Deceased 1,2,6 lime " (J Retired Leave of Absence I 'Summer fl Military File Number II Maternity fl Exit Interview I) Attached 1 PRESENT STATUS - 2 SALARY HISTORY I Grade lisle Salary 0/T Status Date of Employment Starting Salary 24E Associate $2 .000/Y7...41,3 —a7C7.-- 3/15/76 $225.00 Departmen or Branch Dept. Code No. ( pop .pv Date Last Increase Amount Last Increase Customers Room 4/25/77 $8400/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary 0/T Status Name of Employee Replaced Date Separated 32E Associate $32,000/yx.-hr36-7:11- 0epartmen or Branch Dept. Code No.) 3.33 3 c)- Title N.Y.Retail. 0 la-. L Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day S /Hour From Am To PM AM P 6 . REASON TO BE EXPLAINED IN ALL CASES -'1. 1-‘1 13- 1 Retro to 4/24/78 Employee Department Head or Branch Manager Administrati"e Partner Director of Personne ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 e ,,,,y7 h. Annual Salary 762 Pock Number 330 7///// / /W — 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700813 BEAR,STEARNS8tCO. PAYROLL CHANGE PERSONNEL DEPARTMENT 1.4;();i3 Dept. or Branch Effective Date of Change AUTHORIZATION FROM: N.Y.RETAIL SALES 3/12/81 Today's Dale Employee Name (La t-Middle-First) 3/19/81 EPSTEIN Jeffrey ACCESSIONS Complete SEPARATIONS Complete CHANGES Complete LOAN Complete Items Items Items Items 1,6 Additions " To Staff 3,6 (I Quit K Redened . 1,6 n Salary 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 I) Tide or Position 1.2.3.6 Repayment Schedule (lDepartment II Rehire 2,3,6 Il Released 1,6 " or Branch 1,2,3,6 I I Per Pay Day With • II Ii Freoins mtaLteeeve 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus 2,3,6 0 Lald Off Full I) I I I Total Repayment From Bonus 11Returned II Permanent 1,2,6 Time " " to School II Other Pert (I Deceased I) Temporary t 1,2,6 Time tI Retired (1 IlSummer Leave of Absence Il Military File Number II Maternity (I Exit Interview Il Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Lta.wart. swim, OR Status Date of Employment Starting Salary 42E ASsociate . $42,000/Yr. 3/15/76 $225.00 Department or Branch Dept. Code No. Date Last Increase Amount Lest Increase N.Y.Ret;ail Sales 4/30/79 $5200/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4. FOR REPLACEMENT ONLY Grade Title Salary O/TStatus Name of Ernployee Replaced ' Date Separated Department or Branch Dept. Code No. Title Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day S /Hour From AM To PM AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Resigned . i Employee Department Head or Branch Manager Administrative Partner Director of Personnel • ADP CODES r ' CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 VAVW Annual Salary 762 Clock Number 330 izir/ip/ 7/71/7,5, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700814 BEAR,STEARNS&CO,INC 3 1 ..: %...I Lt. PAYROLL CHANGE PERSONNEL DEPARTMENT AUTHORIZATION Dept. or Branch Effective Date of Change FROM: FLOOR DEPT. (AMEX) Maryh 15, 1976 Today's Date Employee Name ILa t-Middle-First) March 16, 1976 ZPSTEIN Jeffrey ACCESSIONS Complete SEPARATIONS Complete CHANGES Complete LOAN Complete Items Items Items Items 1,6 0 tdditatis x 3,6 (I Quit To 1I Resigned 1,6 i) Salary 1,2,3.6 AMOUNT $ ()Replacement 3,4,6 13 Discharged 1,6 II Title or Position 1.2.3,6 Repayment Schedule p (I Rehire 2,3,6 II Released 1,6 n DeBranch " or artment 1,2,3,6 I I Per Pay Day With I I Reinstate Shift Way/Nigh° 1,2,3,6 Balance From Any Bonus From Leave 2,3,6 II Laid Off 1,6 Full ( I f i Returned • [I Total Repayment From Bonus il Permanent 1, 2,6 Time " " to School H Other (1 Temporary Part It Deceased 1,2,6 Time " t1 Retired Mummer Leave of Absonee il Military Ale Number 0 Maternity OA fl Exit Interview 3 - 0 Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary O/T Status Date of Employment Starting Salary Department or Branch Dept. Code No. Dine Last Increase Amount Last increase 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary OFT Status Name of Employee Replaced Date Separated Trainee $225.00 °specimen or Branch ,Dept. Cod Alo% Title Floor Dept. - `7 o Salary Grade 5 PART TIME EMPLOYMENT Rata Hours Needed Each Day $ /Hour From AM To AM 6 PM PM REASON TO BE EXPLAINED IN ALL CASES Administrative Partner ADP CODES' CATEGORY 0 1 2 3 4 6 6 7 8 9 1 Reath.° Date 401 l..."-. ajar Medical 402 a..-/' ue Cross 403 1.-.° rpe Employee 404 1-"" rth Date 392 -F/7,7S974 ' 0 / A 0 -5 - 0 must Salary 762 l I/ / 7 0 0 el O ock Number 330 V 7/ a ..7/7/2 4jtf v V IZ rm 364 Rev. 10/76 PERSONNEL. COPY EFTA01700815 BEAR,STEARNS&CO., . PAYROLL CHANGE PERSONNEL . :. •fi OtIlt-4"1 AUTHORIZATION Dept. or Branch TO Effective Date of Change FROM: FLOOR DEPT. (AMEX) 8/16/76 Today's Dale Employee Name ILa t-Middle-First) N.Y.OPT ON8 August 19, 1976 EPSTEIN Jeffrey ACCESSIONS Complete SEPARATIONS Complete CHANGES Complete LOAN Complete Items Items Items 1.6 Additions o()Replacement r=r 3,6 g quit U Fiquoned 1,6 k Salary 1,2,3.6 AMOUNT S 3,4,6 (I Discharged 1,6 kTitte or Position 1,2,3,6 Repayment Schedule A,..Department ()Rehire 2,3.6 II Released 1,6 lAor Branch 1,2,3,6 (I Per Pay Day With ( j IFRreoinmstaLteeave 2,3,6 (I Laid Off 1,6 Shift IDay/Nightl 1,2.3,6 Balance From Any Bonus Full (I (I Returned ( I Total Repayment From Bonus IIPermanent Time to School 1,16 ( I Other 0 Temporary Part Time 0 (I Deceased 1,2,6 (I Retired ()Summer Leave of Absence II Military File Number I) Maternity a Exit Interview II Attached 1 PRESENT STATUS 2 SALARY HISTORY - Grade Title Salary O/1Stews Date of Employment . Starting Salary Trainee $225.00 3/15/76 $225.00 Department or Branch Dept. Code No 4 Date Last Increase Amount Last Increase Floor Dept. Kl° 3 NEW EMPLOYEE AND.STATUS CHANGE .4 FOR REPLACEMENT ONLY Grade Title Salary O/T Status Name of Employee Replaced Date Separated Associate $300.00/Wk. Off Departmen or Branch Dept. Code No.g o3i. Title ll N.Y.Options Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day S /Hour From AM To AM 6 REASON TO BE EXPLAINED IN ALL CASES PM PM r. Transferred w/increase 0 l iiiii a O OFF THE CLOCK Per: M.Tennenbauj ii 3. Employee Department Head or Branch Manager Administrative Partner Director of Pe ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 r Birth Date • 392 'SA/WA Annual Salary 762 Clock Number 330 W e(///47//// Form 354 Rev. 10/75 PERSONNEL COPY EFTA01700816 ........v BEAR, STEARNS & CO. 613,53 PERSONNEL DEPARTMENT PAYROLL CHANGE AUTHORIZATION Dept_ ot Bran_ch E FROM: NEW YORK R TAIL Eliti.vogriegt171979 Today's Date Employee Name (Last-Middle-First) OCTOBER 30, 1979 EPSTEIN, Jeffrey ACCESSIONS Complete Complete CHANGES Complete LOAN Complete Items SEPARATIONS 1,6 Items Items Items 0 Additions 3,6 II Quit AMOUNT'S 2 0 f 00 0. 00 1,6 II Salary 1,2,3,6 To Piaggioned (I Replacement 3,4,6 II Discharged 1,6 ll Title or Position 1.2.3.8 • Repayment Schedule ti Department II Rehire 2,3.6 I) Released I,6 or Branch 1,2,3,6 II Per Pay Day With Reinstate Balance From Any Bonus (I " F 2,3,6 )1 Laid Off 1,6 Shift (Day/Night) 1,2,36 eave K Total Repayment From Bonus May ' 80 II Permanent Full Returned . 1,2, 6 lime I) 0 to School ( I Other I/ Temporary Part fl I) Deceased 1,2,6 Time " II Retired I ISummer Leave of Absence I) Military File Number (I Maternity I) Exit Interview II Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary OTT Status Date of Employment Starting Salary $42,000/Yr. 3/15/76 Department or Branch Dept. Code No. Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary. O/T Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day $ /Hour From AM To AM 6 PM PM REASON TO BE EXPLAINED IN ALL CASES Empl artment H Admit ctor of Per CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 3irth Date 302 WciM / Z annual Salary 762 Nock Number 330 r 7A-7 / , Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700817 BEAR,STEARNS8(Co, PAYROLL CHANGE PERSONNEL DEPARTMENT - ritSk '(r' Dept. or Branch Effective Date of Change AUTHORIZATION FROM; N.Y. OPTIONS APRIL 25, 1977 Today's Date Employee Name (La t•Middle•First) JUNE 2, 1977 EPSTEIN Jeffrey ACCESSIONS Complete Complete LOAN Complete Items SEPARATIONS Complete CHANGES 1,6 Items Items Items , , Additions (I Quit Moiety AMOUNTS 3,6 1,6 1,2,3,6 " To Staff il Pinioned ()Replacement 3,4,6 II Discharged 1,6 II Title or Position 12,3,6 Repayment Schedule II Rehire 2,3,6 II Released 1,6 I 1,2,3,6 () Per Pay Day With or Branch .,Reinstate 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus 2,3,6 Ii Laid Off From Leave Full I I Total Repayment From Bonus Returned II Permanent lime I/ ll to School 1,2,6 ( I Other Part 11 I) Deceased 11 Temporary 1,2,6 Time " II Retired IlSummer Leave of Absence II Military File Number II Maternity II Exit Interview II Attached I 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary OR Status Date of Employment Starting Salary Associate $300.00 Off 3/15/76 $225.00 Department or Branch Dept. Code No. t ee.0-0 Date Last Increase Amount Last Increase N.Y. Options 8/16/76 $75.00 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary O/T Status Name of Employee Replaced Date Separated 24E Associate $24,000/Yr, Departmen or Branch Dept. Code,No. ei Title NY Options ;61-- Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day $ /Hour From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Per ° d' RETRO TO APRIL 25, 1977 .2• 6 i A ,a.:3 •-sa . Ac • Employee Department Head or Branch Manager Administrative Partner Director of Pe ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 flue Cross 403 type Employee 404 firth Date 392 r71.7/77 4 ',nous) Salary lock Number 762 330 tm a///7 orm 354 (4/76) PERSONNEL COPY EFTA01700818 t A s÷,,,,i, I- -r , BEAR, STEARNS & CO. t OS "I'd 6 PAYROLL CHANGE 1.4 • / PERSONNEL DEPAR MENT •-• Dept. or Branch TV Effective Date of Change AUTHORIZATION FROM' a_ It nwrrnms CUSTOMERS R004 June 27, 1977 • Today's Date Employee Name (La t-Middle-Firstl June 24, 1977 EPSTEIN Jeffrey Complete Complete CHANGES Complete LOAN Complete Items ACCESSIONS SEPARATIONS 1,6 Items Items Items Additions 3,6 H Quit 1.6 II Salary 1,2,3,6 AMOUNTS ll To 4W (1 Resigned (I Replacement • 3,4,6 (I Discharged 1,6 (I Title or Position 1.2,3,6 Repayment Schedule ,,i Department I1 Per Pay Day With I/ Rehire 2,3,6 (I Released 1,6 N or Branch 1,2,3,6 r i Reinstate 2,3,6 (1 Laid Off 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus ' From Leave I I Total Repayment From Bonus Full Returned IlPermanent Time II (1 to School 1,2,6 ( / Other Pert l] 0 Deceased I) Temporary 1,2,6 Time " (I Refired Leave of Absence I/Summer () Military File Number El Maternity I) Exit Interview f ) 4 741 II Attached 1 PRESENT STATUS 2 . SALARY HISTORY Grade Title Salary On Status Date of Employment Starting Salary 24€ Associate 3?4,0 .0/Yr. 3/15/76 $225.00 Department or Branch Dept. Code No. Date Last Increase Amount Last Increase NY Options 847' 4/25/77 $Q,400/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary OfT Status Name of Employee Replaced Date Separated 24E Associate $24,000/Yr Departmen or Branch Deo/Code No. Title Customers Room Rs3)•••\ Ofd Salary Geode 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day $ /Hour From A" To AM PM 6 REASON TO BE EXPLAINED IN ALL CASES PM C 0 ,1 14=VI Transferred Per: 0A. 1,1(03, -= "' mployee Department Head or Branch Manager 1dministlative Part Director of ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 'teethes Date 401 ajar Medical 402 li e Cross 403 Ise Employee 404 'th Date 392 W7/ (17 4 1 mai Salary 762 salt Number 330 / //V/77 ae®e 54 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700819 8EAR,STEARN54kCO. PERSONNEL DEPARTMENT , 4 I. • •..r-. PAYROLLCHANGE Dept. or Branch Effective Date of Change AUTHORIZATION FROM: N.Y.RETAIL SALES April 30,1979 Today's Date Employee Name (Last-Middle-First) June 20,1979 EPSTEIN Jeffrey Complete Complete Complete LOAN Complete Items ACCESSIONS SEPARATIONS CHANGES 1,6 Items Items Items ,, Additions (IQuit Salary 1,2,3,6 AMOUNT S " To Staff 3.6 1,6 ' II Resigned ()Replacement 3,4,6 (I Discharged 1,6 II Title or Position 1,2.3.6 Repayment Schedule II Rehire 2.3.6 II Released I 1,6 ri Department 1,2,3.6 I1 Per Pay Day With or Branch , , Reinstate ' Shift (Day/Night) 1,2,3,6 Balance From Any Bonus From Leave 2,3,6 . II Laid Off 1,6 I I Total Repayment From Bonus I, ,, Returned II Permanent Full Time 1,2,6 '1 " to School I I Other II Temporar Part f) II Deceased 12,6 , y Time " II Retired ()Summer Leave of Absence (I Military File Number (I Maternity II Exit Interview (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary OR Status . , Date of Employment Starting Salary 36E Associate k36,800/Yr. AS:93,11f 3/15/76 $225.00 Department or Branch Dept. Code No. Date Last increase Amount Last Increase N.Y.Retail Sales 8/14/78 $4800/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary OR Status Name of Employee Replaced Date Separated 42E Associate $4 2,000/Yr. Depertmen or Branch Dept. Cod No. Title N.Y.Retail Sales WY Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day /Hour From AM To S PM AM PM 6 REASON TO BE EXPLAINED IN ALL CASES -(.1 Retro to 4/30/79 Per: •Ci W. V \6a i•,,, .... I ge ;r....- .- .6n 1, >I Employee Department Head or Branch Manager Administrative Partner ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 r 2,/, A Annual Salary 762 • :lock Number 330 7/7/41,/ # /7/ 7%, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700820 BEAR BEAR, STEARNS & CO. INC. STEARNS SHARON D. CERES 320 PARK AVENUE NEW YORK, NEW YORK 10022 Phone (212) 272-6552 Fax (212) 272-5680 sceresebear.com September 7, 2007 VIA OVERNIGHT MAIL U.S. Department of Justice 500 S. Australian Avenue, 4th Floor West Palm Beach, FL 33401 Attn: Re: FGJ 07-103(WPB)-Tues./No. OLY-71 Dear Ms. In response to the Grand Jury Subpoena dated August 15, 2007 with regard to the above- referenced matter, enclosed please find the personnel file for Jeffrey Epstein as well as CD containing account statements for Jeffrey Epstein as well as the following accounts in which Mr. Epstein has some relationship: Epstein Interests Financial Trust Co. Inc. Institutional Interests Heritage Interests International Charitable Interests Health & Science Interests If I find any other accounts that are responsive to your subpoena, as I continue my search, I will forward the statements to you under separate cover. Should you have any questions or I can be of further assistance to you, please contact me at the number listed above. Sincerely, BEAR, STEARNS & CO. INC. Legal Assistant End. ARANTA I BELING I BOSTON I BUENOS AIRES I rule Arco I DALLAS I DUBLIN I HONG KONG I LONOON LOS ANGELES I LUGANO I NEW YORK I PUERTO RICO I SAN FRANCISCO I SAO PAULO I SEOUL I SHANGHAI I SINGAPORE I TOKYO EFTA01700821 1L.Y. 11224 pc: 373-2262 ADDRESS Ph•Mi UST EMPLOYER FROM 9/74 To 3/76 pownehvs.Dept. mum $1500 Dalton Schools Mo. EDUCATION N.Y.C. auL:TART STATUS OaOKIKT NOT:FifaHON NAME AGGRESS Above EPSTEIN, J. TELEPHONE • Above RELATICNSMIP GROUP HOSPITALIZATION REG! STRATI 0II OATES tiAOLLMEAT DATE .. ,-2bl&ii.LAJa2±4.4 . --"--- k4Aul O INDIVIDUAL O FAMILY O NONE NASD I-2n*If OIPL A I nW, DATE KEY POSITION TITLE CERARTMENT A 420 DI INDIC PSI SALARY SALARY COMMENT 3/15/76 E Trainee Floor Dept.-AMEX $225.00 4 F-ier • 74, PM (21.4 ro,_ta— —n.a/ icr.,O.4.., 7,,--....,:sec.cc 65;,•,) .1-a.f-n til I )4 or; rig 6 0 0 r If I ''' /.. 7/ elatra /3 4 4 'fent.. die-ay-Tr m ,, Pore 34,nr , sly- .P /1 4 fioo .34 too KEY E - FULL TIME M • MERIT INCREASE T • TRANSFER L LEAVE OF AO S T - PART TIME S • SALARY ADJUSTMENT X RELEASED - RETIRED V SUMMER HELP P • PROMOTION R- RESIGNED D DEATH H REHIRED $ DATE EMPLOYED 3/15/76 BIRTH DATE 1/20/50 Sn Male MAIDEN NAME LAST NAMI FIRST INITIAL MARITAL STATUS Single EEOC "(mi l l ! ' i CIO tanw KNCOKE EPSTEIN Jeffrey E. h-t4 A m I I A a P • U N II JAN FEE • 7 NI L SE* COCCI "Ow EFTA01700822 . • 'n 'DATE KEY POSITION tTLE AMOUNT Cit DEPARTMENT taint vT INCREASE SALAre COMMENT A$-Se 79 /72 (24-d-ete F -/-9O I , s14.0,c27-ed /91 4.) 31_1212L1—±_lasi KEY: E - FULL TIME M• MERIT INCREASE T - PART TIME T • TRANSFER L • LEAVE 6F ABS. S • SALARY ADJUSTMENT X • RELEASED V • SUMMER HELP I • RETIRED P - PROMOTION R • RESIGNED D • DEATH H- REHIRED S. S. A DATE EMPLOYED 3/35/76 BIRTH DATE 1/20/50 SEX Male MAIDEN NAME LIST NAM! MARITAL STATUS Married CEDE MPH MUM 'AI rg S4AAPVA 001M U0I C ME itviCW MOIRA EPSTEIN Jeffrey I I I jto j U I AU I SE I% I MO N O R T Il t C P T , v EFTA01700823 In atr ,=E VatcONLY( --....... . r igil..:- 7 1) D6-- BEAR9EARNS & CO. • 55 WATER STREET • NEW YORK, N.Y.10041 USE A BALL POINT PEN' PLEASE PRINT PLOYMENT Ani:RPERSONAL HISTORY FORM Ir"A" .e . , .. PM :Oun ESPONSEI •SIL fOR A SUPPLOREATAL I CAM DATE &. NAME II. jiao. N oes. analm /---P str-e- /--11 , de-T -7- 72c) mt AO. 313 -a a(.2. Cs CORE YINnL L ML. ND. POSITION A , " nit LIED ,OR CI' ) (72 Y //2,7.,y an AAAAAA Ro 5 5 SAMS youth CAN IOU MAO 2:$ ;2140 HINT IT os R LAT TO "0 ti” litMO NIC: Igr•ISSIMITIM ATTITI AViLT TES 0 MAR IF - Mr NAME WHO! i. RELATIONSHIP Al EnAPAII4-; POSITION I. u.As.CLTIIZEN tlISTADUystRAc I.I NIAL U.S.A. ON A LOCATION r4-4,4, Or COMPANY I. POSITION ir? L. ..pM C YOU EVER SUN CONVICTED Or A CRIME DT CIVIL OR MILITARY MOTTIORITIESI NO DATE OF GIRTH YES EXPLANI /— k).- 5?. EDUCATION (Begin with High School(s). Include Correspondence Schoo s. etc. INDICATE TYPE OF SCHOOL NAME AND LOCATION MAJOR DEGREE OR ATTENDED OID YOU :V ill. DIP RECEIVED FROM NO. yp . mo. TO , R. GRADUATE? 109. 4175JRIPI tr-rk a l it ',O., l4r . 54-. t AA • /kayo, -......„ , Z L7_ n, .. 0 (.4 •• 9 . K sres• (11)610L---- dict_ 1• fl y IF 2 k. 7 1a /I • .• No . 1Y, 0 14,Alt ‘ .4• ( CM cf.lo4 • A). A.I ct , PIT-LI oAi C, 7/ 72% TEE 0 NO 9,--- EMPLOYMENT ' ill in below a complete, consecutive statement of your busin s his cry for the pa ten years. All time. including periods o unemployment. must ounce If self employed, show nanie and address under which business was conducted. PRESENT OR LAST POSITION COMM. TrAltrP.--/ cc-tit-qt.-3 POSITION HE,. .. STARTINGSALARY IRON TO EXACT ADDRESS lfrAcif e ..A Mb 6 ,, OCPE AND SUPERVISOR FINAL SALARY MO TR MO YR. I-06 i-14•`(` P ., AL 7 A). 1. TYPE Of IROINESS Dunes at POSITION ca•Api Tins TIME 0 /Went* 0 LAIO Orr 0 AAA AA NTI AON OF REASON FOR LEAVING PART WACO 7 7 1 RELEASED 0 DISCHARGED 0 e d . e...„ chi\ J.4. TTEMP. 0 elf • EVIOUS CORP:Ili FROM POSITION o XD. f. * POSITEPI HELD -rt.—. PARTING SAL As" ), • ij c EXACT ADDRESS f A1/4„,".; • DEPT AND SUPERVISOR FINAL CALAR NO. TIT MO TR 1 b7 1 I Ls :n( OF Dona or POSITION y' r-V Ler eLe r0Rein-• . .-- FULL TINE 0 7 12 , 7 RESIGNED LAID Off AAACREATION Of REASON Fell Le VING PART .IME 0 " 0 ' RELEASED 0 DISCHARGED 0 TEMP 0 NEXT P LVIGUS COMPANY PO SITION .0.0 POSITION STARTING SALARY FROM TO ORO AGGRESS " GOT MO SVIERVISGII FINAL X AAAAA PO. M. MO TR TYPE Or ROSINESS DUTIES OF POSITION Puss TINE 0 VES.GNIO g ,As0 Oft 0 EXPLAN•VON Of REASON FOR I.0 VAC PR TEMP T.E0 0 RE'.EASEO 3.5COARCCO 0 NEAT P MOUS COMPANY POSITION MAO S•ASITING SALARY POS T e• FROM 'O COACT ADDRESS OEPT AND SUPERVISOR F:NAL SALARY MC •• MO :A TT It OF BUSINESS DUTIES Or POS1T•ON ..., I 504:X(00 .A.0 Off 0 SOLANA:4N OF REASON TOR LTA,: NO 0 AT T. C L,, Ar• (an> n Zile AAAAA 0 O 'EMS n PEI: • C., 0:5 :D FAIT F0).7.0A NEED POS. - :h 5 •APTOM SALMI MEM '0 :me AtC•CtS tEP. ARO i4•I•u•SGR ?nal AAAAA I MC IP .0 "R r•pc OF OUS.NESS "M OM Cr POSITION ERAL 71ME S PCI.GMO C el I''11 OFI 0 ETPL•ATiCn N Cf REASON 50RLEAVING PART II .1 RELEASE: D.E.:NAACO. 0 TOO C AS AN EQUAL OPPORTUNITY EMPLOY'S P.M" Syr Roma a en EFTA01700824 • .. . •••, empioyment or fanny employment. UNEMPLOYMENT Account for your time dur.ng any periods or unemptoyment. sell other than (hose when you were attending SCnOCI an employee of Bear. Stearns & CO These periods of time must be verified by someone other than a relative or I inumogAL fo "oxen •thEmPtatmENT FAIN :O CX AAAAAA ION SELF 0.1.0T.ICHI 0* (NIL ,/ impLOTMENT. MO TR No I. Yil NAM( AOCIIESS NAME AGORCSS a ---.- RESIDENCE . RESIDENCE RECORD FOR PAST TEN YEARS- UNITED STATES ONLY /nom TO APE • ov.k *ENT ITN PARENTS •OORESS CITY STATE NO in ... MO. TR 1 Z. 7 r i, I. e.. Y . it -2. 7.. g/ 7 1 /"." a TYPE Or MILITANT DISC MTGE °RAI STATu BRANCO Or SERVICE YEARS of ACTIVE M AAAAA RT IERVIC i O HONORABLE /ROM r - I GENERAL. UNDER ITONOR•BLE / Pr r , I--I CONDITIONS. 'EXPLAIN ON PAGE II HAVE TON EVER BEEN (MPtrITE0 AT MAR. STEARNS • CO.' ....,... O OTHER I IN on PAGE 3) bible UTES Ir TEE. TO TROY HAVE YOU HAD A MAJOR ILLNESS IN TESO NOD DO you NAVE ANT PHYSICAL %IMITATIONS! TES O NOW IF ••'IZS". DESCRIBE I THE PAST S TEARS? IF "ICS." OrscRieri NOW OID YOU To TO *CAR. STEARNS • CO.) IN CASE RELATIONSNI O NEWSPAPER AD O RE AAAAAA NAY O AGENCY Q. OTHER ADORES TEL. No. i I. Are you a Director or Omer YES „fir 8. Have yoo over been a MY YES No • I Do you or spouse have any YES N 5 Have you ever been refused a YES NO O a of any Corporation? O O O to an arbitration proceeding O additional income? bond or had a e revoked? (II "Yes:' explain on Pg.]) di "Yesr explain on Pg 3) O by a Governmental Admen. Wien illative Agency or Sagunto's It Do you trade in the YES NO regulatory agency? Securities Market? 2. Oo you have any outstanding debts to any Coicionlion, Loan Company. Bank. etc. YES O tee" Where Are you bondable? YES O ig • tit —lies: explain on Pg.3) 9. Has a Mechanic's lien era YES g N —erg what Brokerage Nun? O 0 YES rip, (Including Mortgage. Auto. Int Do you gave aCCOOnr a Ta• live ever been Ned O O 0 Malawi and Charge Account) against you? In - Tes:' =plan on Pg. 3) 17. Have you had any industrial YES NO 6. MU any iudgotest or enamel YES (II "Yes:' explain on Pg. 3) accidents conned by Norio O O Conviction DWI been WEIS O men's COMDensahon, 3 What is your apprOxisnate against you? .2 IO. Have nu ever laded tee busk :ly , " III "Tesr explain on Pt 3) YES 18 monthly OtaleiliOn on debts> , a. amis. made a compromise with O creditors. or taken advantage 14 Do you receive any pension YES NO 1. Mai your salary eve, been YES NO 7. Have you ever been sued or YES NO , Party to a lawsuit? O 0, al a bankruptcy act? tor a past disabikly7 O O garnisheed? O (De III - Yes; explain on Pg. 3) III —fesr explain on Pg 31 III "In:' explain on Pg. 3) tIl "Yes.' explain on Pg. 3) PRE-EMPLOYMENT STATEMENT will make a thorough investigation of my past employ- I understand and agree hat Bear, Stearns & Co., and/or its agents ment and activities, and I agree to cooperate in such an investigation. I. as an employee, have the right upon I also understand that under the - Fair Credit Reporting Act:' Public Law :91.508. scope of their report should one be used. written request to know the name of the investigative service employed and the or in connection with the above investiga- I further understand that any falsification or misstatement on this application tion will be grounds for immediate discharge. physical examinations as may be r uired I consent to take any pre-employment physical examination nd such tut re by Bear. Stearns Si Co. . d• fi s S. I alSO understand t a the fir three months/44W be consid a probationary period. and that, should Bear. S ea ither party, my employment may be t mr ated Co. or I decide. duii n this p nod. t t a la Of suita by myself or the F r • it ut n ic and:ithout p eiu Ce Cate Applicant's Signature I i . FOR CII:CE uSE ONLY STAIIT:Ite SAL Ai START.NG WE ILCS:TION CEPAnTmE tie oN Itt :RACE ( TYRE or enr.aemEn7 IS THIS A fifohnti — . ADD TO STAFF — r — L., PERMANENT L SUMMER —I 7:.,.. T:ME D yes _ no .-- REPLACEMENT • • TEMPORARY •• liCuRLY T.ME •F REPLACEMENT REP. ACED ENILCTEI WAS O PROMOTED , SEPARATED On Vont:YEE REPLACED 0 LEAVE OF ABSENCE n TRANSFERRED TO .71) O RETIREMENT Lt OTHER GRADE SALARY O DEATH I INTErlyirinD oi .47rnvateans COMMENTS EFTA01700825 . USE ONLY 4 0. ' ' BEAR, STEARNS & CO. • 55 WATER STREET • NEW YORK, N.Y. 10041 USE A BALL POINT PEN EMPLOYMENT AND PERSONAL HISTORY FORM ( ldr tj-, `L;/. PLEASE PRINT i at, 314/110t0 IOUNEED NONE SPACE FOR lout/ HAH>,„ ,..FY OSPONNES ASS FOR A SuPPLENENTAL TORN srotrit. +.,o1.1 xl., I ' ste:. fAJ J 67.72e-} fr.- ...----- NONE OROS 50. meo /NM A.T. NO. 3P y SeT61*-- CITY AND STATE kikr• tir CON 04 stmt_ rally -1OK( /fur. il l' Z' POSITION APPLIED 4OR Roy saint 00 IOU cccccc / I WREN CAN TOO /tan T (A 'sr? • ANT;ULM "' T wIP " L" TO US NO O taLtrilO MIEN" li l l eroitTettuARGIWATi "I" TE s O NO,ES R.) IF "TES' / NAME VINO! I. I RELATIONSHIP Al. 4 . POSITION I. spE42%ALCLiptil IVEISTA0Uwtia &TV U.S A ON • LOCATION • I. r YE: 5. POSITION COMPANY I I 7 ----\\ / NAVE YOU EVER DON CONVICTED Of A CRIME RV CIVIL OR MILITARY AUTHORITIES, r ATC OF BI TM ' aM NO TES. EXPLAIN EDUCATION (Begin with High SchoOl(S). Include Correspondence Schools. etc. • ....,& A; TYPE OF SCHOOL INDICATE NAME AND LOCATION DEGREE OR An NDED,.......... FEr MAJOR DIPLOMA RECEIVED !ROM •• T 010 YOU :girl MO. Ol. NO. GRADUATE/ TR. IA? C 4 SVC./ A EC I'V e -S4 30 I D et tk-A- 7 43 f. ( 4 TES ff NOa .... AV IRs/HLY _ It copy . te.),- ,D` TY,7 ,,e 3 I pi.19 , _ v. 7 0 eirce'rel• 12.. S. • S `G i 70 .O 6,-4 .4).9.. J. • --e p frifickE P.' S.' • cs al S to ta v ..,,, --1 '1 70 71- so 0 EMPLOYMENT Fill in below a complete. consecutive statement of your business his ory for the past ten years. c # All time, including periods 0 unemployment, must be accounted for. If self employed, show name and address under which business was conducted. PRESENT OR COMPANY POSITION HELD FROM LAST POSITION TO DALT" (TACT ADDRESS ' c cc , v. ° L- 5 4 40' 1 '4 " lift DEPT. AND SUPERNIOR */,' - He..1. p...) 1...A STARTING 3 AAAAA MO. TN. MO. vs iv t c. OA ; T. b., DL .(E........ .. ref "el"( ,, VIOL SAAAAA TYPE Of BUSINESS ta., OLIAX:f . POSITIONe 4 7y i Full TIME Ir fP e^t fs 7s- c • AMOCO II LAID Off 0 7-CelZer".. EXPLANATION Of REASON / OR LEAVING 5 e 0/h PANT TOP run O AAAAA SECI U DOCHOOD Q. O FROM NEST A EVIOU POSITION TO COMPArSiA ESACT ADDRESS'". id. ce. (..).T.,....;.\ mit., - . POSITIO, MILD DOE OD SUPERVISOR STARTING SALARY HD 0 p. ve..1 FINAL SPORT MO TR. NO. .• i-e.4.‹ enu Pc Llilf ‘..1RESIGNEDD. PART TIME ❑ NEXT A ENO COraPAmy FROM POSITION '0 EXACT ADDRESS i qinto S d 4. - 1 74. 3 POSITION Mao r4e ea . STARTING SALARY, 1 Z.3 /HAI( OW ARO SUPERVISOR FINAL SALARY MO. TR. TYPE y MO TR )&e 5r7h./.11-p- Att.'. OF BUSINESS CUTiES of Tge. we • ,>4 r 0 r..S. • • TRU TIME 7?-' 72, 'KOCK° U ([PLANATION Or REASON TOR LEAVING POT . I O • RELEASEDO LAID Off cDscRARDED Q O 701P O NOP I , ON LO if CO/PANT no. in VON P T0 Ill elit EXACT ACORESS 'cosi, /".) •': ,LP rositiCj. NE -0 1.-won..., STARTING' DEN' AND S•PERV•SOR r.s-r.dsi r.N•L vcr TR .NO YR 40 opa co r tI4SIRESS Afffr,k L Po-.im() ""1" DU TX tYI41.p. S?;44 Ai/VC, lit FULL " 3 ROIC.VO C.:7 5 . , Ar ^ orr OPLANAX:r or REASON ....1 ,,tivz.L.... . L IC 2....- _, PART T. E _ I //LEASED --I c.sconsto O D .(mfr Teo Cl. • EV/Crl AOS.7.0 /1 C.I/IPANT POSITION //ILO • >OAT NG SA•AR" I ,NOM TO AOCIIESS OPT AND ONION r MAL S.A.ARY NO .Ir rot 00 NI T TO Of BUSINESS tordS Of POMO r P...L pat 3 RESIGNED O LAID ON O EXPLANAT:ON CF REASON FOR •EAVoNG .....‘ i t,......,,,,t,....1 P °I I C O RELEASED O OISCHARGEO O _Ir cti NMI/ O AS AN EQUAL OPPORTUNITY EMPLOYER. BEAR. STEARNS & CO. 96-57-355 DOES NOT DISCRIMINATE BECAUSE OF AGE. COLOR. CREED. SEX. RELIGION. OR NATIONAL ORIGIN. EFTA01700826 sell employment or family employment. 'UNEMPLOYMENT Account for your time during any periods of unemployment. other than those when you were attending school. or an employee of Bear. Stearns & CO. These periods of time must be verified by SOmeone other than a relative DIrlivIDUAL TO Yellin, unceroincity mon TO E AAAAAAform MA ryirsoinCtif Of Amiga rime.... y MO ' II NO YR .AMC • ADO/MS Nat ACMITESS RESIDENCE RESIDENCE RECORD FOR PAST TEN YEARS— UNITED STATES ONLY TROY 70 STATE APT • *von RING WITH PARENTS I— STREET ADDRESS CITY NO. TR. MO. T . e) fr; 4. --s ›e 772_ , TEARS Or ACTIVE MILITARY SERVICE TYPE Or MILITARY OiSCNARGE ORAL 'TATO DR•toCP Or SERVICE O HOMO.... / FROM TO . UNDER HONORABLE ki El coNDITIONS. I AAAAAA N ON PACK II HAVE YOU EVER sum EMPLOYED AT SEAR. S AAAAA S • CO./ V a__, LITES I TES O OTNER (EXPLAIN ON PAGE II • . FROM TO NO NAVE TON MAO A MAJOR ILLNESS IN "O NOD 00 TOR NAVE ANT porTsICAL LIMITATIONS, TES❑ THE PAST I DEARS! IF "TES". (IMPUTE IF -TES." <ASCRIBE, 1. IN CASE 8,01PAL NOW Ole YOU HAPPEN TO APPLY TO DEAR. SAAAAAA • CO., O NEWS O AGENCY 0 COUR NAME i., ADORE • IOMSMIP TEL. NO. I YES fi( ii Ate you a Director Or Officer bond you ever been reined a YES li g . 5. Have YES N 8. Here you ever been a party YES eh i 11. of any I. Do you Of spouse have any O CoMOrali011?Oil O oi additional Income O or had cot revoked? lo an arbitration proceeding Of '*YeS:. explain Pg. 3) • — CI by a Governmenlel Admin• (II -Yes." eiplain on Pg 3) J When Wolin Agency or SectwilieS R. Do you trade in the YES IN/ rtgulalay Wag' i SeCutilms Markel? • 2. Do you have any our:landing TES NO/ Moe (II `Yes: explain on Pg. 3) il 'TO: weal Brokerage ram? debts to any Corporation. Loan O Yee Comae/h.. Bankee YES i YES W Are you bondable? O 9. HIS a /4echanies ben Ora (Including Mortgage. Aulo. In. Tax lien ever beeNIS O Do you have an account? 0 Segment and Charge Recant) ,. aeons: ou? (II "Yes:. rain on Pg. 3) 3) 13 Have you bad any mdectrul YES :Ill 6 Has any pudgment or criminal YES fy tll "Yes:' explain On Ft. ' accidents covered by Work' O conweliOn ever been entered rte, CI U men's Compensation? 3 What IS your approximate against you? III - Yes: totem on Pg. 3/ monthly obigahon on debts? 0 10 Have yOu ever laded to IMO. YES N nem IRICIt a Compoltaile with O garnisheed, O 4 Has your salary ever been (II "Yes.' explain on Pg 3) YES re 7 Have you ever been sued or party to a lawsuit? pl "YRS." explain on Pg. 3) YES N O I Creditors. or Ian advantage of a bankruptcy act' (II "Tits: Dolma on PS 3} 14. Do you receive any pensiOn fora pasl Oisabilitya HI -res:' explain on Pg 3) YES N O PRE-EMPLOYMENT STATEMENT investigation of my past employ I understand and agree hat Bear. Stearns & Co.. and/or its agents will make a thorough mont and activities. and I agree to cooperate in such an investigation. employee. have the right upon I also understand that under the "Fair Credit Reporting Ac' Public Law 891.508. I. as an the investigative service employed and the scope of their report should one be used. written request to know the name of in connection with the above investiga- I further understand that any falsification or misstatement on this application or tion will be grounds for immediate discharge. as may be required I consent to take any pre-employment physical examination and such future physical examinations by Bear, Stearns & Co. period and that. should Bear, Stearns & I also understand that the first three months will be considered a probationary I decide. ring his period. that a lack of suit ith either party, my employment may be terminated Co. or by myself or Applicant's Signature th it /Mout e . .::, 77 ... el and with Ice. • Oate n,A bc--,n. I 1 IOR OFT.Ct tat ONLY GRADE 57ASITiNG SAL OA START: C DATE POSI, CH E PARTMENT/DRANCM _--- ) - t---- I e- ri r I (Ct... ... , r -1.0 2- 1 t. ) -SLb IA.I je...A• % /r/ 76 AIM q .s THIS A REHIRE TTPE or °leen:newt — A00 TO STAFF ._, PERMANENT I Scr4ER r FULL THE C YES l • NO — REPLACEMENT C HOURLY TIME TEMPORARY or REPLACCIAEN7 IltIy•CED IMP‘Ortt WAS —. . L. PROMOTED _)SEPARATED ON EMPLOYEE REPLACE° 'LEAVE Or ABSENCE r TRANSFERRED TO C RETIREMENT Li OTHER SALARY r— GRADE •—.1 DEATH . soITERViCWE0 TIT wIE•infv•CAS COMMENTS EFTA01700827 • • • • •.•%n a iv:, run rtuci.1 I I INSURANCE • l• • (This form to to be completed by the Employee.) CONITINENTAL INSURANCE COMPANY KANSAS CITY FIRE AND MARINE INSURANCE COMPANY FIREMEN'S INSURANCE COMPANY OF NEWARK. NEW JERSEY BOSTON OLD COLONY INSURANCE COMPANY COMMERCIAL INSURANCE COMPANY OF NEWARK. N. A PHOENIX ASSURANCE COMPANY OF NEW YORK NIAGARA FIRE INSURANCE COMPANY SEABOARD FIRE AND MARINE INSURANCE COMPANY THE FIDELITY AND CASUALTY COMPANY OF NEW YORK NATIONAL -BEN FRANKLIN INSURANCE COMPANY OF ILLINOIS THE BUCKEYE UNION INSURANCE COMPANY PACIFIC INSURANCE COMPANY THE GLENS FALLS INSURANCE COMPANY Branch Office DOOMS, DEPARTMENT Bond No Application is hereby made to one of the above named Companies thereinafter called "the the Employer. Company") Selected by Att., (Mrs. or Iliss) Employee (Applicant) gannets of Bond S Positron Traiapc at Payable ...Etear., atea;aka fic C9 (Full name or itLyZif Employer) ...... 55 Water St. New York,N.oral` Y.00 (Address of Employer in full. by Number. Street, City) The Nature of the Employer's Business is Stoelc. BrOkezA FULL NAME OF APPLICANT (Pleas. Print) I Present residence address: How long have you lived there? ..fgr.(41 ( State previous addresses in Rtll and length of time you each yfldress, durin lived at SOCIAL SEICURITY NUMBER No. (St Slate Date of Birth From C to No. (St. or Ave.) • City . Stole Are you an American citizen? VC. S. From to Single? Who constant your family? Married? Husband? Wife? :No. of Children? Others? Separated? Divorced? Do they reside with you? How long have you been In what position? Employed at Daegnaking p6sont Akita' in the continuous service of this employer? Trainee r thi5yruance New York 5 19 76 Do you receive any income beyond that of this employment? If so, please state amount and sources? Do you receive goods, merchandise or other property on consignment or otherwise? .I / V0 Have you ever failed in business or compromised with creditors? A.1..., • If so. when: .. . . 19 • Where* • Business Name of firm • • Assets: s ' • Liabilities $ What were your banking connections at that time? Do you own your home or hold interest in other real estate? An In whose name is the title?' ..1 Location of such realty I . Description Value Incumbrance • Have you any debtior liabilities other than for current expenses? f .4.. II' so, please give amounts and sta e how they were incurred. If paid by salary, state annual amount and when payable. $ ..................e in —we ex.i.y Have you ever applied to any company for a bond? If so, when? Was the bond issued" What company issued the 'bond? Who was your employer? Has any company ever refused to issue or to continue a bond for you? If so, when? 19 .Name of the Company: on what ground was the bond refused? Have you ever been in arrears or in default in your present or previous employment? If So, please give particulars APPLICANT S PARENTS, IF LIVING, OR OTHER NEAREST RELATIVE S NAME RELATIONSHIP OCCUPATION ADDRESS (Street and No. in cities) EFTA01700828 t" YOUR OCCUPATIONS THROUGHOUT THE LAST TEN YEARS Kurnish, below full particulars of your past occupations the coltunn headings. If you were at school or employments during the last ten years. as within this period. give accurate identification called for under school. Begin in the top space with your most and attend ance at each the record on a separate sheet and join togeth recent activity. If the spaces here are insufficient, please complete • er. PLEASE TYPE OR PRINT INFOR MATION BELOW Full name or exact style (if firm or From To . Town and street Name and present Nature of your co:potation) of your employer and address of place address of your I'hy did you his business and address. position or where you worked. Superintendent. A .nib occupation. leave? Month 1..- T. .... /.1.1.11-d .0"4-77-• . S.cbr ioc. s . i s t eyr sr . ro g c. 95 ". .... ...- • • 12-7401Z4 . TH Cs J- lin 19 $7 . / Al . 'VA • Month Month • • • Mr- 2 • . - • ... ..... • ' • --.......-- ......------- •...... — " .. . 19 19 . ' Month • Month . - •• t • - - •••• • .. 19 19 . Month Month ' • i .............. ...........--- ... -- — •••"" •-• . . .... .. ... — ...... 19---- 19.....-- ....... . Mona; • Month • .......—..... ........—.....-.. Month Month ...... . ..... . - ...— -. — • -- ... .... . • -- .. . - . ..—. - ... .... -- - . REFERENCES Give as references the names and post -office addresses in full of three or four person during the past few years and not related a well acquainted with you nities. Please do not refer to any officer to you. They should be persons of good standing in their respective employer. or fellow -emplo yee in the service in which you are engaged, nor commu- to any former NAME PROFESSION OR RESIDENCE ADDRESS IN FULL BUSI[yESS Street No. and Cit ) 4 ,007.Aff• ..146 Ph-e.2L. 7 • _•••••.. ... •• r • . ... . ....... .... an. •••• I hereby declare shut the foregoing statem and in such amount as the employer to en s ;Ica true, and I hereby apply to the Company fur a bond in be named as beneficiary in the said bond may now my behalf of such kind for myself, my heirs, executors, and or hereafter require. I also hereby adminis rators, to indemnify the Company agains agree expenses it may sustain, incur, or become t any losses, damages, costs, liable fur in consequence of my acts while charges and or any now bond issued in continuation thereof under the said bond or any renewals thereo or as a substitute therefor; and any proper f, of any such losses, damages costs, evidence of the payment by the Compa charges, or expenses shall, in the absenc ny such payment. be conclusive evidence agains e of fraud on the part of the Company t ate, my heirs, executors, and admin in making to the Company under this agreement. istrators, I hereby further agree that the company shall have of the fact and extent of my liability applied for; that, in case the bond the right to decline to grant the bond is granted, the Company. shall have the right to the Company shall not be required to withdraw or cancel the bond at any disclose the reasons or grounds upon said hand may be based; and that the Company which any action on its part in connec time; that tion oith such action, any statutory provisions to the shall not be responsible fur any loss or damage that I may suffer by reason of the contrary being hereby expressly waived by any me. This agreement may not be changed or modifie d orally. No change or modification shall endorsement hereon signed by an authorised be effective unless made by written representative of, isCompany Dated and signed at .//e4 (Town fad Mono) this day of 19-:“ .6 11"4 co' EFTA01700829 ORIENTATION FOR NEW EMPLOYEES The basic policies of Bear, Stearns & Co. are contained in the attached orientation outline. After you finish read- ing the outline, the instructor will verbally go over the policies in detail, and answer any ques tions you may have concerning them. I have read and understand the orientation outline which explains the following policies: 1. History of the Firm 2. Trial Period A. Probationary Agreement B. Background Check 3. Employee Benefits A. Bonus Payments B. Vacations & Holidays C. Medical Coverage D. Life insurance E. Profit Sharing F. Pensions G. Salary Advances & Loans 4. Workweek: Pay & Overtime 5. Payday 6. Identification Cards EFTA01700830 • 7. Open Securities Trading Accounts 8. Jury Duty 9. Accidents or Illnesses 10. Medical Department 11. Disability 12. Cafeteria 13. Evacuation Procedures 14. Performance Reviews 15. Absenteeism j (PERSONNEL DEPT. REPRESENTATIVE) EFTA01700831 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 BEAR STEARNS (212) 952-5000 March 16, 1976 WRITER'S DlIttCT DIAL NUMER University ot California Berkeley, California JEFFREY E. EPSTEIN (Applicant's Nome) (Social Security No.) has applied to us for employment. As a previous employ er, we would appreciate your comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telephone, please call our reference section at 212/952-5263. Dates of Employment: Supervisor; Claimed from 1973 1974 Lecturer, to Dr. Wolf Verified from to Above Average &ELT Below Average Attendance 0 . I= I= Punctuality CI 0 CI Work Performance 0 l= ED Overall Rating 0 CI C To the best of your knowledge, did this applicant have a Securities brokerage account? 0 Yes 0 No Would you recommend the applicant for a position of trust involving negotiable securities? El Yes la No If your present policy permitted, would you rehire this applicant? ED Yes =No Is there anything we should know about this applicant which would help make our relationship a successful one? GENERAL REMARKS: Name: Title: Signature: Date: tc Form 267 (10/75) 94720 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/flensiv, /p3vic EFTA01700832 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 12121 952.5000 BEAR STEARNS WRITER'S DIRECT DIAL NUMBER To Whom It May Concern: I hereby authorize the release of the information requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooperation. Sincerely, 134, r7L(er p2 -31 Applic 's Sqldnature New York/Atlanta/Boston/Chicago Dallas/los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700833 4/ a 1. A'PPLICANT'S NAME Ms. Mr. Lit../IYIIVIULJI _---- S 0 I\ itb INUUSINY REPRESENTATIVE and/or AGEN Id T (i.e.. b —1 •E LAST FIRST / . .. . • Middle (II None, so intent/ r ----- 1 3. DATE OF EMPLOYMENT /414/(Lh 76 I 4— J 4. NASD FIRM NUMBER I__L_J I j 5. FIRM NAME Loci. _ _STfrci!"_.a __ 7 .71 I 6. FIRM ADDRESS 7. OFFICE OF EMPLOYMENT OF APPLICANT IC 615:" )(•r. $j = t)?E‘____ezteert' i.... 8. NASD DISTRICT IN WHICH OFFICE IS LOCA . . TED._ R. TO BE REGISTERED WITH THE FOLLOWING:_ — (Check Alf Applicable) NATIONAL ASSOCIATION OF SECURITIES SECURITIES AND EXCHANGE BEALERS (NASD) ° [ American Stock Exchange COMMISSION ONLY (SECO) 0 Chicago Mercantile Exchange 0 New York Stock Exchange Boston Stock Exchange 0 Cincinnati Stock Exchange Chicago Board of Trade Pacific Stock Exchange 0 J Detroit Stock Exchange Chicago Board Options 0 PBW Stock Exchange Intermountain Stock Exchange 0 Exchange Spokan e Stock Exchange 0 j Midwest Stock Exchange 10. TO BE REGISTERED WITH THE FOLLO Other (Speci fy) WING JURISDICTIONS: (Check all applica ble) AL 0 DE or — IN 0 ---- MAO ---- NV 0 NO 0 AK 0 DC 0 SC 0 IA0 MI 0 NH 0 AZ D FL 0 OH 0 SO WA 0 KS 0 MN 0 NJ 0 OK 0 TN 0 wv AR 0 GAO L KY 0 MS 0 NM 0 OR 0 CA 0 HI 0 TX 0 WI 0 LAO MO 0 CO 0 ID MED MT.D _ NY 0 NC 0 PA ❑ UT 0 WY n RI 0 VT 0 PR CT O.__ IL MO 0 NE ❑ 11. TYPE OF APPROVAL REQUESTED: ilATIITAR1/.1iiil lFIATIONTR;gistered Representative) FULL REGISTRATION/GENERAL PRINCIPAL REGISTRATION Member (Eadhange) Regular Associate Or — a R SECURITIES LIMITED REGISTRATION 0 Approved Person (Exchange). ❑ REGISTERED COMMODITY O JHolder of Voting Stock Holder of Non Voting Stock ❑ 0 REPRESENTATIVE Subordinated Lender n AGENT OF ISSUER Holder of Debentures INV. CO. & VARIABLE Director CONTRACTS PRODUCTS Genera l Partner limited Partner SECURITIES TRADER Officer (Title) RCAL ESTATE SECURITIES Allied Member/Gen. Securities DIRECT PARTICIPATION PROGRAMS Principal OTHER (Specify) Sole Proprietor PART TIME (NASD or SECO) 3 Manager Office of Supv. Jurisdiction FULL TIME (NASD or SECO) ❑ Financial and Operations Principal INTERMEDIATE REGISTRATION Direct Participation Programs BRANCH OFFICE MANAGER SUPERVISORY ANALYST O L_ _ Investment Co. & Variable Contracts 0 Products 0 OFFICER (Title) Underwriter Principal OTHER (Specify) O Other (Specify) 0 12. To the best of my knowledge and belief the agency: jurisdiction or organization with which applicant al the lime of approval position fir which application is being made this application is being filed. and thewill be familiar with the statute(s). conslitu rules governing registered persons. and will tion(s) and floret ol the Is (*quested. I will net employ the applican herein. I agree that notwithstanding the approva be fully qualified for hit l of such agency. law. This firm has communicated with all the t In the capacity stated without first receiving the approval ofitnistlie any non or organizatiois•which hereby previous employers or the applicanl during authorit y which may be icquised by the past three years. as set bath below: EMPLOYER NAME AND—POSITION. of — PERSON CONTACTED EMPLOYED ••-• • CONTACTED CY 'PHONE. I FROM/TO I LETTER On INITItieltW n addition. I have taken appropriate ipplicant. steps to verily the statements contained in this applicatio Date Print Nm.of App opiTa- te (See Instruction 12) DO NOT WRITE IN THIS SPACE :xperience lather Training Required CitatJtICt Lam Required_ fain Taken: Dale . _ ssue Grade_ — . ram Grade OK Dale Approved: Cond.-_, EFTA01700834 r Prise 2 of 4 PERSONAL HISTORY Iii • -11:: .( (4 3 A fie "rit.."(17 aden (II AppITEIM r 'Ns( r Pity, //Ur 16. iro-r-ri,r _Net., t•Ar State /AZ Y._ Zip f ea ••- 19. Citizen Yes zury •••• ire o 18. Plaie Gina Qv< of US? No 0 If no. state country of 3. S li p, .: 2Aj1._ citizenship I— EiraTtim L ;,. tri none, Wieser' 2. = 23 M of $ line a hiaiegcnimitlf AmForialifr 4. RAePaFu-llfffame QUESTIONS, ATTACH A SEPARATE SHEET IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING "docational Institutions Attended: HIGH SCHOOL IdL. 10 25. EDUCATION COLLEGE 20 3do 40 GRADUATE cSCHOOL 1n 2 30 4 a{ 0 ;pacify Highest Year Completed: 90 100 11 0 12 in • 'DAY OR DIO—YOU DEGREE -unme- AfiflobRess'or'INSTiTUTION fAROC.114 YR. YR.- COURSE EVENING GRApATE (STREET. CITY. STATE. ZIP COOD Ty FieStrirt r tkid > ..ale ;- st 1 I ' 6 -7 • C-Vcrkt A .10. 4 UM' , -4 17/vy /V 4/ • ,<••• e • 26. EMPLOYMENT HISTORY position. my business history for the past ten years starting with my current The following is a complete, consecutive statement of commodities , insurance and real estate ent, unemployme nt. parttime Securities, (All time must be accounted for including self-employm industries or related positions and all military service.) to - To()MtION REA{OWFOR FULCOR .-- tmme Or EMPLOYER- ANOCOMPLETEADDarradar MELO LEAVING PAFtT.IIME 1 (STREET. CITY. STATt ZIP CODE) "t er.. ii,J4 44.3,..0 4 S 1 1\ MO. YR. MO. ,_ At' .. 1.1. YR. ..I (Tr. q lit A....7Cfa zt - FJ-- 7 i . 4.. . I I I I I • I j i 10 years.) 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past FROM - 4 2 0— [ ADDRESS (Street City. State. Zip Code) Mo. YR. MO. YR. (7 4- ...21_12.. y _ _ _ ____ -_2I 71 „≥,Si i SI _ __,SHeettt c. Mkt:4_ alk ter_fret 7 2 12.Y L —Irlit‘ ri.V. - #W.Z.: ,!K 17:.. /".`. a titt:c...._, _:_,. . . . - carrying accounts insecurities or 28. The following is a complete list of all brokers, dealers or banks with which I am commodities or with which I have carried such during the past ten years. (If "none", so state.) ____... .._ _- ------.-- ------ - —. -.----- • — - NUMBER ..-ACCOUNT atiecin FROWTOToPEN olt — NAME AND ADDRESS OF FIRM OR BANK MARGIN CLOSED •- - - •- -- --- 1.-?:•-•••••----- —• • •--•-•---- - • - • • • • • - • or organization authorize and request any and all of my former employers and ony other person to furni sh to the agency, jurisdiction with which this application is being filed, or any agent acting on Is behalf, any information they may have concerning my credit activities, educational background, general repu ation, together with, in the case of former worthiness, character, ability, business thereof. Moreover, I hereby release each such employers, a history of my employment by them and the reasons for the termination other person from any and all liability of whatever nature by reason of furnishing such information to the employer and each such agency, jurisdiction or organization or any agent acting on its behalf. report ordered by the agency. jurisdiction, or organization Further. I recognize that l may be the subject of an investigative consumer which this application is being tiled, and that I have tire right to request complete and accurate disclosure by such agency, with juristlictjon, or organization of the nature and scope of lite investigation requested. I 10 I t ' • EFTA01700835 YEAR LIIAIT DO 4 ES NOT APPLY TO QUESTIO NS 30 THROUGH 54 J. A. Have you• ever . taken end passed a qu NASD; a nationa alifying examination fo Page. 3 of 4 l securities or commoditie f registration in any ca examination, the ap s exchange Or SECO pacity with the proximate date tak ? en and with what regulator If yes, state below the type of yes_ y body application wa _ Type of Exam s made. orl Approximate Date Taken 8. Have you ever rr eg attry Body been granted a waive If yes, state below r of qualifying examina the type of examina tion with an agency or org tion. tion, the approximate date anization? and by what agency or organiza- -iyr-1 pt —zrThell Yes— No.- Approximate bare C. Have you ever tak ReggulatoryBody en a qualifying examina examination, the appro tion for any jurisdiction ximate date taken an ? If d the name of the jurisd yes, state below the type of iction administering Type of Exam it. Yes_,No_. AporrourThr0ale taken D. Hive you ever be Regulatory body en ex If yes, stale below the empted or excluded from taking a qualifying type of examination, the examination by any jur issuing the exemption approximate date an isdiction or exclusion. . d the name of the jurisdict ? ion Type of Cirn Yes— No—j IF THE ANSWER TO Appmx mole Dale ANY OF THE FOLLOW Re gu latenay 31. Have you ever ING QUESTIONS IS YE been registered or licens S, ATTACH COMPLETE or commodities as a pri ed by any agency or DETAILS: ncipal or employee wi jurisdiction to sell or ment adviser? If ye th an y reg istered broker•d to deal in securities s, sp agency or jurisdiction ecify the name of the brokeodealer or inves ealer or to function as an invest• with which you were reg tment adviser, dates regist 32. Are you currentl istered. ered and y engaged. In any oth Yes._ No trustee, employee or er business either otherwise? as a proprietor, partn 33. Do you or any me er, officer, direCtor, mber nership or corporation of your immediate family have any bene Yes— No_ (including hedge fun ficial Interest in any inves accounts whose prima ds, investment clubs. etc tment part- ry .) or any other domesti tered under the Inves function is investing in securities or comm c or foreign tment Company Ac od ities (excluding compan 34. Are you now or t of 1940)? ies regis- have you ever been lice Yes_ No Type of licensers) ns ed to sell insurance? and jurisdklion(s) where 35. Are you now or ha licensed Yes.___ Noi ve you ever been lice Type of LIcense(s) an ns ed to se ll rea l estate? d furisdktion(s) where 36. Are you currentl licensed Yes— y bonded? (If yes, specify insurance co 37. Have you ever mpany and amount. c.l been refused a fideli ) et" -•? ty bond? Yes— No 38. Has any surety company paid out an 39. Are you now or y fun ds on your coverage or Ye s— N have you ever been a cancelled your bond exchange/contract regular or associate ? . Yes.— No market? member of any stock 40. Nave you ever exchange or commod been an officer, direc ity voting securities, or tor, general partner, Yes— No_ controlling person owner of ten (10) pe capacity with any br of, or otherwise enga rcentum or more of oker or dealer for wh ged In any other ma the of the Securities Inv ich a trustee has be nagerial or superviso estor Protection Act en appointed pursu ry stances? . of 1970, or that has an been liquidated unde t to the provisions 41. To your knowledge r any other circum- , are you now or ha by any securities, comm ve you ever been the su Yes— No— odities or insuranc bject of any Investig 42. Are you now or e agency, jurisdiction ation or proceeding have or org anization? ment with or provis you ever been a defendant in any litiga Yes— No Ir/ r--- ion of a securities tion alleging the vio tion, by-laws or rules or commodities indus lation of any agree , or any securities, co try self.regulatory org - 43. Are you now mmodities or insura anization's constitu or have you ever be nce law or regulation? - or associated perso en a director, controll .... ... ...... ...... n with a broker-dea ing sto Yes— No suspended, expelled, ler or insurer which ckholder, partner, officer, sole proprieto • — 1 or had its registrat during the time of r. tion? ion denied or revoked such association wa by any agency, jur s 44. Are you now isdiction or organiza or hove - exchange. an agency you ever been subject to an order or any jurisdiction wh of the tion? ich revokes, suspen NASD. a securities or commodities ds or denies memb 45. Has any perm ership or registra- anent or temporar insurer, investmen y injunction ever be t ad en entered against time such injunction viser or commodities firm with which you or any broker.d ealer, was entered? you were associated 46. Are you now or in any capacity at have you ever . • the hand. tenured or otherwise been (whether or not publicly disclosed) Yes_ No_ F1 . or rule by any securiti disciplined, or found suspended, expelled, es or commodities ag to ha ve violated any securiti fin ed . ship therein or withd ency, jurisdiction or es or commodities law rawn your applicatio organization: or been insurance or had on n for such members refused member- e suspended or rev hip: or been refused 47. Are you now or ok ed fo r ca us e by any jurisdiction or a license to sell have you ever been agency? ... ... .. .. action mentioned in named as an eider, abett Yes 0 questions 40, 41, or, or a co-conspirato or insurer? _I • I 42, 43, 44, 45 and 46 r in, or cause of, any .. . , taken with respe ct to a brokeortopia., EFTA01700836 I • • Are ynu now or have you ever been 4 of 4 suspended, expelled, fined, barred, censured or otherw plined by an employer in the securit ise disci- ies, commodities or insurance - industry? 49. Have you ever had denied, suspen . Yes_. No_ ded or revoked a license, permit, certificate, ship required to engage in securities, registration or member- commodities, insurance or other business or 5O. In your previous business connec profession? Yes._ No_. tions or employment, have you ever been: a. a subject of a major complaint or legal proceeding? or, Yes_ No_ b. discharged or requested to resign by an employ er because of dishonest or unethical acts alleged to have been committed by you? 5/. Have you or any firm. corporation or Yes No association of which you have been a princip failed in business, made 'a compromise with al or officer ever creditors or ever filed or been declare any bankruptcy acts? d bankrupt under 52. Have you ever been: Yes_ No— i a. Arrested or indicted for any felony or misdemeanor involving the purchase, sale, or deliver of any security. or arising out of the y conduct of the business of a broker, dealer, investment company, investment adviser. fiduciary. underwriter, bank, trust company, insuran pany or other financial institution, or involvi ce corn ng any crime in which violence or threats violence against any person, dishonesty, the of wrongful taking of any property, or any manner of fraud was a factor, Or involving conspi racy to commit any of the foregoing? Or, Yes No b. Convicted of. or pleaded nob conten dere to, any felony or any misdemeanor, except traffic offenses? minor 53. Have you ever been a principal or employ Yes_ No ee of any firm, corporation or association were associated with it, was convicted which, while you of, or pleaded nob contendere to, any felony or E meanor? misde- • Yes No 54. Are you currently the subject of an 1 unsatisfied judgement or lien? Yes_ No__ THE FOLLOWING SHOULD BE READ VERY CAREFULLY BY THE APPLICANT 1. I hereby certify that I have read and understand the foregoing statements best of my knowledge. and that my responses are true and complete to the 2. To induce the agency, jurisdiction or organization with or to which I am filing or submit consider it: ting this application to receive and A. I agree that any decision of the agency, jurisdiction or organization as to the results required to pass will' be accepted of any examinations) that I may be by me as final; B. (1) I understand that I am not authori zed to sell, or offer for sale, any securities until tion certificate or an official notification I have received my license or registra- of its effective date; (2) I understand that I am to sell only those securities authorized by my employer. C. I agree to abide by the Statute (s), Constitution(s), Rules and By-laws as any of the agency, jurisdiction or organiz of the foregoing are amended from time to time ation with or to which I am filing or submitting D. If I shall violate or be charge this application; d with the violation or possible violation agency, jurisdiction or organization of any Statute, Rule. Constitution or Bylaw of any with or to which I am filing or submitting this by the penalties of the Statute(s), Consti application, I agree to be subject to and abide tution(s), Rules and By-Laws of such 3. Further, and in consideration agency, jurisdiction or organization. of the securities or commodities self•reg lion, I submit myself to the jurisdic ulatory organization receiving and considering this applica tion of such organization(s). • 4, I „Is Fite cy ecri...r.: gyps-rm./ the answers to the above questio the undersigned applicant do solemnly swear that ns and the statements herein made which is at this time and in the light are true, and that I have not herein made any statem of the circumstances under which ent, 5. I. the undersigned, for the purpos it is made, false or misleading in any material respec e of complying with the laws of the State t. the registration or sale of securities or of T•k- Li 1 eIZIC relating to either commodities, hereby irrevocably appoint nated by law, and the successors in the administrator, or such other person such office, my attorney in said State desig- pleading in any action or proceeding upon whom may be served any notice. process or against me arising out of or in connection or out of the violation or alleged violatio with the offer or sale of securities or commo n of the aforesaid laws of said State; dities. proceeding against me may be and I do hereby consent that any such commented in any court of competent jurisdiction action or process upon said appointee with and proper venue within said State by service the same of said S tate It is requested that a copy of effect as if I was a resident in said State and had lawfully been served with process in an otice, process plead' d hereunder be mailed to me at my residence. Data Cf (. 2 MG Siena Date Sienalyre of Witness (Witness must be either a partner of the firm, officer of the corporation, branch indicate which). office manager, or authorized employee. Please (NOTARIZATION OF APPLICANT'S STATE OF SIGNATURE) SS: County EFTA01700837 vvroniutn itb muus NV REP RESENTATIVE and/or AGE NT Mt. APPIRICANn NA1AE LI FT ) AdireFIRST Middle fr al N t on ite. : 1o—rIspecIth 3. DATE OF EMPLOYMENT 4. NASD FIRM NUMBER 014/CLA it I J I j 5. FIRM NAME . fr et._ 6. FIRM ADDRESS t 7. OFFICE OF EMPLOYMENT OF Aura ZEL—D413 :Cir -q..? ri/." - ANT ittet 7 " ce L 8. NASD DISTRICT IN WHICH OFFICE di IS LOCATED. = 9. TO BE REGISTERED WITH THE FOLLOWING: (Check All Applicable) I ,j NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) 9L , SECURITIES AND EXCHANGE American Stock Exchange Q COMMISSION ONLY (SECO) Chicago Mercantile Exchange 1 Boston Stock Exchange New York Stock Exchange Cincinnati Stock Exchange Chicago Board of Trade 0 Pacific Stock Exchange Detroit Stock Exchange D I -- -1 Chicago Board Options O P8W Stock Exchange Intermountain Stock Exchange 0 Exchange _ Spokane Stock Exchange Q 1- 1 Midwest Stock Exchange C . . 10. TO BE REGISTERED WITH THE Othe r (Specify) • I FOLLOWING JURISDICTIONS: (Che ck &I applicable) AL 0 DEC IN O • MA 0 NV AK OCO IA MI 0 NOQ sco VA AZ 0 FLO KS 0 NH 0 ono SD IO WA o MN NJ 0 AR 0 GAO OK 0 TN 0 WV KY MS 0 NM OR Q CA 0 HI Q TX 0 tai 0 LAD MO 0 NY 0 CO wri PA 0 !Am MT.0 NC 0 tap . WY n CT O ` RI ILO MD 0 NE 0 PR 0 _ 11. TYPE OF APPROVAL REQUESTED: STANDARD REGISTRATION (Registere PRINCIPAL REGISTRATION d Representative) &.— Member (Eicihange)• Regular •— • ❑ FULL REGISTRATION/GENERAL O SECURITIES LIMITED REGISTRATION REGISTERED COMMODITY Associate • Approved Person (Exchange) . Holder of Voting Stock Holder of Non•Voting Stock O _ REPRESENTATIVE Subdrdinated Lender AGENT OF ISSUER Holder of Debentures INV. CO. & VARIABLE Director General Partner O CONTRACTS PRODUCTS SECURITIES TRADER Limited Partner REAL ESTATE SECURITIES O Officer (Title) O Allied Member/Gen. -Securities DIRECT PARTICIPATION PROGRA MS ❑ Principal OTHER (Specify) Sole 'Proprietor PART, TIME (NASD or SECO) O FULL TIME (NASD or SECO) INTERMEDIATE REGISTRATION BRANCH OFFICE MANAGER 9 Manager Office of Supv. Jurisdictio Fina ncial and Operations Principal Direct Participation Programs Investment Co. & Variable Contracts n 12 SUPERVISORY ANALYST O Products MIM mmoofR OFFICER (Title) ❑ —••• O Underwriter Principal • OTHER (Specify) 0 Other (Specify) ...•••••••=, 12. To the best of my Knowledge and belief the appli agency. jurisdiction or organ cant the time of approval will be famil sedition for which applicationizatio n with which this applicatioat n Is being tiled. and the rules iar with the staltate(s), cOns tituirords) and clef of the s ftersesred. I will not emplo is being made herein. I agree that notwithstanding the governing regiSSSSSd persons, and will be Italy qualified ter aw. This brrn has communica y the applic ant in the capacity stated herein without firstsopro val of such agency. jurisdiction or the ted with all the previous empl receiv oigan nation.•villich hereby oyers of trie applicant during Ina ing the approval Or any authority which past three yoga. as set lurth may be required by below: EMPLOYER NAhle *AND—POSITION. OF-- PERSON CONTACTED *— EMPL OYEE r — CONTACTED' TIT -PHONE. FROM/TO LETTER OR INTERVIEW addition, I have taken appro iplicant. priate steps to verify the 1 statements contained in this appli cation a one into t reputation ( the Date Print Name of App opriate Signatory (See Instruction 12) thiiaturo of AlsisroliialairiC ari patient' DO NOT WRITE IN THIS SPACE /the, Tie:nine Required -••• — Clearance am Required, . . Gain Token: Date. Giotto. sm Grade OK Date Approved: . . . Final EFTA01700838 PERSONAL HISTORY P.+ec 2 of 4 Mr. . 1.4c. C 31( IL, LI orytt7 • I a lma i. mast Na — i,isi ' Kieft — ;.. -1/( Wader, TirKPlerbIeT /11 City //2Z `f 16. Y: 4-/ VC' state ,_ NLZ r . 19. Citizen Yes fa'''.... *r• 7 iti z •-• 1 i 18. juc' t_.. .1 ego< of UST No 0 itrialliiili-- Place of Okth If no. state country of ;: ttil L, Si rililfliat s — — — Aiiircif None. indkiti r- 2. tar Ilanrue IJM. IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING QUESTIONS. ATTACH A SEPARATE SHEET 25. EDUCATION 'ducationat Institutions Attended: HIGH SCHOOL L COLLEGE d GRADUATE SCHOOL ti ipecify Highest Year Completed: 9 0 100 11 12 10 20 3-6 40 0 in 2d 1 30 4 0 NAMriFitrAbbacss inStetUTIONI mom" - COURSE DAY OR DID YOU DEGREE (STREET. CITY. STATE. ZIP CODE) MO. YR. MO. YR. EVENING GRADUATE f_pea :OW tit 6(I > cis t"ale •••• eVC) <-.1Alt A vat, V•-• ea. - 7 eur .1 ¢t-1 7vy.J. (,.Gs." ry any 26. EMPLOYMENT HISTORY The following is a complete, consecutive statement of my business history for the past ten years starting with .my current position. (All time must be accounted for including self•emptoyment. unemployment, part•time securities, commodities, insurance and real estate industries or related positions and all military service.) ' — itAine of EmPtordri—Aigrcompan'ozoass (STREET. CITY. STATE. ZIP CODE) Mom TO — ' MO. YR. MO. YR. —06Sitiole — nesiorFori LEAVING PART.IIME tortoR 7 4.1_45;1 Ct ti Pst A, ' . I:L. in ____ Fn., _Lai_ _tfau r-t "54° Tsci--0.T. Tat-' ilia ( i i I i --I.-- J - 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past 10 years.) T FROM fo ADDRESS (Street. City. Sate. Zip Cede) ___• i' MO. YR. MO. YR. . 31,c:..'- ____c_-_7:r. i;,...ev: y_ Ae- ii____ / c.-v 3 . __.__ __ __L__fl: ._..-174" ••••••• • ,,,VE Y1c1..- - 54.-Iter.tte..fAl-1/... actAr.-"±: 47 _/0-1 :Y-- -..—. . -- . 4 _._.?! Z.?:. —.......i.......1b. ..?.?•"/ t •••••17: 114 1. r t ie 41: : t I "( i' l...... / Yr. ..? S•••••• /12..,. ..t.-- • • --..-- .• ••••••••=oMM•• M .••••• • oid. ••••••16o 4 . • ok. __.22-2.. - •••• • aims •••••• •••• . 28. The following is a complete list of all brokers. dealers or banks with which I am carrying accounts in' securities or commodities or with which I have carried such during the past ten years. (If "none", so state.) • . . • ••=•••• ••• + 40+.4.+••••• 4 •• ACCOUNT NUMBER —CASH OPEN OR ''. NAME AND ADDRESS Of FIRM OR BANK MAGNR FROM/TO CLOSED tr i c' -_- -- • • •-- -- — • • .... b. ••• • • s.m 0 0. I ••• on •• m.. ••• ••. 4+ •• .4 +6 4+ + m•bm.s. .•.•....•••••.• MONA. , • DM *se mr ig.• to...mammon •••••••• • .• ••••• .. •• • • •••••.•m.. • • • • ... --__ — _.. -4 - • • " • .• • —- • • . .• " • • • '• • •••••• • ••••• .• .• •.. • • • •• • .• • ••••• • I authorize and request any and all of my former employers and any other person to furn sh tc the agency, jurisdiction or organization with which this application is being filed, or any agent acting on Its behalf, any Information they may have concerning my credit worthiness. character, ability, business activities, educational background, general reputation, together with, in the case of former employers, a history of my employment by them and the reasons for the termination thereof. Moreover. I hereby release each such employer and each such other person from any and all liability of whatever nature by reason of furnishing such information to the agency. jurisdiction or organization or any agent acting on its behalf. Further, I recognize that I may be the subjett of an investigative consumer report ordered by the agency, jurisdiction, or Organization with which this application is being filed, and that I have the right to request complete and accurate disclosure by such agency, jurisdiction, or organization of the nature and scope of reinvestigation requested. ' ' , / r • - EFTA01700839 ,EN YEAR LIMIT DOES NOT APPLY TO • QUESTIONS 30 THRO .1.A. Have you• ever tak UGH 54. en and passed a quali NASD; a nationa fying examination lot reg Page 3 of 4 l secu istration in any capa examination, the appro rities or commodities exchange nr SE city wi ximate date taken an CO? If yes, state below the th the d with what regulator type of y body application,was ma Type of Exam de. Yes-- No— i- 1 Ames ma a Dale far B. Have you ever been nr wpy Bixly granted a waiver of If yes, stale below the type of examinatio qualifying examination with an agen tion. n, the approximate da cy or organization? te and by what agen • cy or organize- ./ 1/1 Type of teem Yes-- Nom • Ir~ Atoregleviete Sete C. Have you ever &Ovary avai taken qualifying exam examination, the ap a ination for any jurisdict ion? If yes, state below proximate date tak the type of en and the name of the jurisdiction administering type of Exam it. Yes Ho t Aar.ra ilia lsi-O sia D. Hive you ever be lsk an rtig taa tei en exempted or exclu y /3.3 0y If yes. state below the ded fro type of examination, m taking a qualifying examination by any jurisd issuing the exempti the approximate date ict on or exclusion. and the name of the jurisd ion? iction Typeinsane Yes-- No_ V 1 , ./..mml•Er IF THE ANSWER TO -AaarMIZWbata ANY OF THE FOLLOW stegvieirry"Wey 31. Have you ever ING QUESTIONS IS been registered or lice YES. ATTACH COMPLE or commodities as nsed by any agency TE DETAILS: a principal or emplo or jurisdiction to sell or • ment adviser? If ye yee with any regist to deal in securities s, ere agency or jurisdict specify the name of the broker-dealer ord broker•dealer or to function as an inv ion with which you.w investment adviser, est 32. Are you curre ere registered. dates registered and ntly engaged. in an ..// trustee, employee or y other business eit Yes—... No-71= otherwise? her as a proprieto 33. Do you or any me r, partner, officer, mber of your imme director nership or corporat diate family have an , Yes_ No__ ion (including hedg y beneficial Interest in any inv accounts whose prima e funds, investmen es tm en t pa rt- t clu lead under the Inv ry function is investing in securities or bs, etc.) or any other domestic or foreign estment Company commodities (excluding co 34. Are you now or Ac t of 19 40)7 mpanies regis• have you ever been licensed to sell insura Yes— No4. 1 _11 Type of Utensil s) and jurisdiction nce? *** *-• - (:) where licensed Yes-- No..i I 35. Are you now or I have you ever been licensed to sell rea Type of Licenstf s) and jerisdieli l es tat e? .... .... ....... • • • / 36. Are you currentl on(s) where lice nsed • Yes— y bonded? (If yes, sp --- il ---- 1 ecify insurance comp 37. Have you ever be any and amount.) itief,“, C 38. Has any surety en refused a fidelity company paid out bond? any funds on your co ......... AA • CAA i... Yes,_ No Ye s No -/ _L 1 4 1;-- =-1 1 39. Are you now or ve rage or cancelled yo Z t___ s have you ever bean ur bond? exchange/contract a regular or associa Yes No 1 market? te member of any stock -- -1 40. Have Sou ever exchange or commod been an officer, direc ity voting securities, or tor , general partner, ow Yea-- No-- L controlling person ner of ten (10) pe capacity with any of, or otherwise enga rcentu broker or dealer for ged in any other mana m or more of the of the Securities Inv which a trustee ha gerial or supervi stances? estor Protection Act of 1970, or that ha s been appoint ed pursuant to the pro sory s been liquidated un visions 41. To your knowled der any other circum- ge, are you .now or ha a by any securities. co ve yo mmodities or insura u ever been the subject of any investig Yes— No—I— I - 1 42. Are you now nc e ag ency, jurisdiction or ation or proceeding or have you ever ment with or provis tan, by-laws or rul be en ion of a securities or a defendant in any commodities indus organization? litigation alleging the vio . lation of any agree I Yes.— No—;___I es, or any securities try se lf•regulatory organiza - 43. Are you now or ha , commodities or ins tion's constitu urance law or regula or associated perso ve you ever been a director, controll tion? .... ... .. ... .... • If n with a broker-dea ing sto .. . Yes__.... No, . suspended, expelle ler or insurer which ckholder, partner, officer, sole proprietor. d, or had its regist du rin g the tim e of tion? ration denied or revok such association wa ed by any agency, 44. Are ybu now . jurisdiction or organ s or have you ever be iza- exchange, an agen en subject to an ord . er •• cy or any jurisdict of the NASD, a se • • Yes 0 ion which revokes tion? , suspends or denie curities or commodities 45. Has any pe s me mb ers hip or registra- rmanent or tempo ... ....... ......... ...... insurer, investmen rary Injunction ever t ad been en Yes.-- No time such injunction viser or commodities firm with which tered against you or any brokendealer was entered' . you were associated , 46. Ace you now • • in any capacity et or have you ever .• .. . the Wild. censured or or rule by any secu otherwise disciplin rities or commodities be en (w he th er or no t agency, jurisdiction pub lic ed, or found to have ly disclosed) suspended, expelled, lined violated any securities d• • •••• . or commodities liw . Yes___ No r------1 ship therein or withd rawn your applica or organization; or been Insurance or had on refused member- e suspended or rev tion for such membership; Or been ref 47. Are you now oked for cause by an used a license to sell or have you ever be y jur isd iction or agency? action mentioned en named as an aid • Yes._— NO . in questions 40, 41 er, abettor, or a co-co or insurer? •,f. ,/ . 42. 43, 44, 45 and nspirator in, or cause _.... . , 46 . tak en with respect to a brokebrina.. of, an y . . a EFTA01700840 Are you now or have you ever been suspended, expelle 4 of 4 d, fined, barred, censured or othe plined by an employer in the securities, commodities .rwise. .disci- or inswance•industry? 49. Have you ever had denied, suspended .. Yes_-_ No._ or revoked a license, permit, certificate, registr ship required to engage in securities. commo ation or member- dities, insurance or other business or profession? 50. In your previous business connec Yes No- tions or employment, have you ever been: a. a subject of a major complaint or legal proceeding? Or, Yes_ No._ b. discharged or requested .to resign by an employer because 'of dishonest or unethical alleged to have been committed by you? acts 51. Have you or any firm, corporation Yes_ No or association of which you have been a principal failed in business, made'a compromise with or officer ever creditors or ever .filed or been declared bankru any bankruptcy acts? pt under 52. Have you ever been: Yes_ No I a. Arrested or indicted for any felony or misdemeanor involving the purchase, sale, • of any securily, or arising out of the or delivery conduct of the business of a broker, dealer, investment company, investment adviser• fiduciary. underwriter, bank, trust companY, insurance com- pany or other financial institution, or involvi ng any crime in which violence or threats of violence against any person, dishonesty. the wrongful taking of any property, or any manne of fraud was a factor, 'or involving conspi r racy to commit any of the foregoing? or, Yes_ No b. Convicted of, or pleaded nolo conten dere to, any felony or any misdemeanor, except minor traffic offenses? 53. Have you ever been a principal or Yes— employee of any firm, corporation or association which, were associated with it. was convict while you ed of,. or pleaded nofo contendere to, any felony meanor? or misde- Yes_ No_ 54. Are you currently the subject of an unsatisfied judgement or lien? THE FOLLOWING SHOULD BE READ Yes No L VERY CAREFULLY BY THE APPLICANT 1. I hereby certify that I have read and understand the foregoing statements and that my best of my knowledge. responses are true and complete to the 2. To induce the agency, jurisdiction or organization with or to which I am filing or submit consider It: ting this application to receive and A. I agree that any decision of the agency, jurisdiction or organization as to required to pass will' be accepted by me the results of any examination(s) as final; that I may be B. (1) I understand that I am not authorized to sell, or offer for sale, . • tion certificate or an official notification any securit ies until I have received my license or registra- of its effective date; (2) I understand that I am to sell only those securities authorized by my employ C. I agree to abide by the Statute er. • (s), Constitution(s), Rules and Ely-Laws as any of the agency, jurisdiction or organiz of the foregoing are amended from time to time ation with or to which I am filing or submitting D. If I shall.violate or be charged with this application; the violation or possible violation of any agency, jurisdiction or organization Statute. Rule, Constitution or Bylaw of any with or to which I am filing or submitting this by the penalties of the Statute(s). application. I agree to be subject to and abide Constitution(s), Rules and By-Laws. of such agency, 3. Further, and in consideration of the jurisdiction or organization. securities or commodities self-regulatory organiz !ion,1submit myself to the jurisdiction of ation receiving and considering this apPlica such organization(s). • 4. I, ..., /ccii.e.- V— _ --- ennt•PO) fitabSeJ the answers to the above questions the undersigned applicant do solemnly swear that and the statements herein made are true, and that which is at this time and in the I have not herein made any statement. light of the circumstances under which it is made, 5. I. the undersigned, for the purpose of false or misleading in any material respec complying with the laws of the State of TUe-,- t. the registration or sale of securities or ) -1 t:WIC.,____ relating to either nated by law, and the succes commo dities. hereby irrevocably appoint the administrator, or such sors in such office, my attorney in said other person desig- pleading in ally action or proceeding State upon whom may be served any notice, against me arising out of or in connection with process or or out of the violation or alleged violatio the offer or sale of securities or commodities. n of the aforesaid laws of said State; proceeding against me may be comme and I do hereby consent that any such nced in any court of competent jurisdiction and action or process upon said appointee with proper venue within said State by service the same effect as if I was a resident of said tate It is requested that a copy of an I in said State and had lawfully been served with oti e, process process in plead' e ed hereunder be mailed to me at my residen ce. Sign; Dale Slenet re of Wanes* :Maness must be either a partner of the firm, officer of the corporation, branch ndicate which), office manager, or authorized employee. Please (NOTARIZATION OF APPLICANT'S SIGNA ;TATE OF TURE) t ss: :ounty EFTA01700841 7DEETP ,CI NAME BORN: 1/20/50 t!ATE OF REPORT; EPSTEIN, JEFFREY E. 1/20/53 1365-15-8891 4/28/76) Note:Date of birth- developed.was:-1/20/53;appliCa tion listed 1/20/50. EDUCATION COOPER UNION NEW YORK, NEW YORK Appl. Dates: 9/66 to 6/70 Reported: 9/69 to 1/72 Herbert Liebeskind, Dea n of majored in Physics and did Admissions & Records said applicant not graduate. His birthdate 1/20/53 and his residence while a student was 3742 Map was Brooklyn, New York. le Avenue, NEW YORK UNIVERSITY NEW YORK, NEW YORK Appl. Dates: 9/70 to 6/72 Reported: 9/71 to 2/74 Mavis Lewis, Recorder, said and did not graduate. His applicant majored in Mathematics date of birth was 1/20/53, and residence while a student his was 3814 Seagate Ave., Brookl yn, N.Y. effrey E. Epstein issued an invalid check to New York during the 1973-74 academ University ic year. (Note credit, suit by N.Y.U.) EMPLOYMENT UNIVERSITY OF CALIFORNIA BERKELEY, CALIFORNIA Appl. Dates: 1973 to 1974 Reported: See Below Mrs. Julia Sills, Personnel & available computer tapes fro Payroll records, checked all m 1973 to current and not identifiable with the app hin licant was developed. Payrol g Accounting records were als l- o thoroughly checked and the no record of U.C. Berkel re is ey issuing a payroll check E. Epstein during 1973, 197 to a Jeffrey 4 or 1975. Mrs. Helen La Sota, Business checked current and foille Officer, Mathematics Dep r employee records of this artment, and found nothing identifia department ble with applicant. Mr. Epstein indicated tha t his supervisor was a Dr. application. University Wolf on his records list two Wolfs, one Wolf, is a Professor Eme a Joseph ritus (retired) and many reach him at home proved attempts to a sabbatical in Israel negative. Joseph Wolf, Ph. . D. is on Dinh Wolf's mentioned were con Department and there are nected with the Mathematics no other Wolf's employed by U.C . BERKELEY. lg he information contained in this report is for the SOLE AND CONFIDENT IAL [Ica r. _ • EFTA01700842 EPSTEIN, JEFFREY E. Appl. Dates: 1972 to 1973 KLYN, NEW YORK Reported: 1972 to 1973 spea t rough a closed window was contacted; learnedmis . When she ing inquiries ffr ey called Epstein she , applicant's , who second floor o this privat liv es. on the e house. As this was an ina meeting, a brief conversation dvertent followed. It was .learned from were in business forlimse that he and , Jeffrey, ves, making and se paintings. (On his appl screen icationsbject described his self employment as tutoring. ) was the designer and painter and Jeffrey handle d sales. They were in busine about two years, from 197 ss 2 to 1973. After the busine folded, Jeffrey Epstein ss went to California where he lec at the University of Cal tured ifornia. Recently, Jeffrey Epstein was at the Dalton School, New City, where he taught. York In mid-March 1976 subject wen work for Bear, Stearns & t to Co. Note: Conversation was ter bored and restless. There minated as was becoming was an as he seemed to resent this and inquiry. hesitant about releasing o information about applicant (Se residence report.) e JEFF NIER ROOFING 4050 ATLANTIC AVENUE Appl. Dates: 1971 to 1973 BROOKLYN, NEW YORK Reported: 1975 ME la , stated substantially the fol lowing: I have known Jeffrey E. Epste associate, and employee. Je in for ten years as a friend, ffrey worked for me as a fore for six months in the firs t part of 1975. Weather perm man he worked on a steady basis itting, , supervising two or three and was earning $62 per day workers, know the reason he left the . He did a good job for me and I don't job. Jeffrey Epstein does not use is the athletic type, like alcohol or drugs, in fact he s to work out by swimming, bik riding, punch bag, etc. e I am not familiar with his pa e lo m nt record t I do know that he worked with st his , in the silk screen painting bu nis brother is an artist. siness; -2- EFTA01700843 • ;a EPSTEIN, JEFFREY E. I have never known Je Law enforcement agen ff to be in any type of trouble with ci awhile, I do not know es. He was out of the state for where he went or what he was doing. Jeff is able family at his years old; he li ves community for many ye .; his family has li with his ved in this address. I have noth ars, I am not familiar with their exact ing but admiration fo know nothing adverse r Ep position of trust. ab out him. Yes, I reco stein and I mmend him for a Note: Source was very hesita d that applicant did nt in answering questions, but shied away from queswork for him, six months in 1975. employers of the ap tions about education plicant. and previous RESIDENCE 11!klyn, New York This is a large two fa with white aluminum simily house, it is in good condition valued at approximatel ding. It is about 40 years old and residential communit y $60,000. It is located in a y. !!!known the Epstei IIIIII and resident at II n II IIIIIII II., reluctantly gave the family for more than twenty years; she following information about applicant. IIII Milli describe young man of good ch d Jeffrey Epstein as a bright, well behave aracter. She said th he taught at:.the Dalt d bn at until March, 1976 a Wall Street firm. Sc ho ol •a nd is now employed by at a university in For aboutaa year an California. d a half subject taught Source described appl that they have a good icant's family as honest and sincere, reputation. RECORDS Usually reliable cred it may be identifiable wi sources report the following which th subject in NEW YORK CITY: There is a r rd in file on Jeff of IIIII rey E. Epstein file re ects the ol Br oo kl yn , N. Y. SS I verified. lowing: -3- EFTA01700844 EPSTEIN, JEFFREY E. SUIT On January 28, 1975 , New York Universi suit for $500 in Ne ty filed w York County Civil Docket # 13994 Court, We will supplement when we get the disposition. No record of judg ment or bankruptcies iden s, tax liens, wage assignments, tifiable with subjec t. Records of the KINGS felonies, misdemeanorsCOUNTY CRIMINAL COURT were checked fo and youthful offend r record was found id er ca se s an d no entifiable with subj ect. MISCELLANEOUS .A confidential so urce identifiable with th provided the,following information e applicant: On or about April 1, 1976 Jeffrey E. Brooklyn, born 1/20 Epstei /53, engaged to applied for re !Ili! born ew York City. Mont ntal of apartment 15 at 17 . hl St., shown as: "two year y rental is $435 and employment is s to present, Dalt City, teacher and on Schools, New York administrator. Occupants of ■ to be Mr. Epstein, and III - -4- EFTA01700845 e ..mip , ...... w EFTA01700846 952-5262 wgust 10, 1976 New York University Graduate School of Arts and Sciences Recording Office 6 Washington Square North, Room 3 New Yor}, New:York 10003 Attn; Mrs. Mavis Lewis Dear Mrs. Lewis, Thank you for your response to our inquiry (copy attached). We would now like to request a copy of Mr. gpstein's transcript. Please bill us for whatever the tran fee will be. script Thank you very much for your help. Sincerely, Karen Messemer Personnel nt EFTA01700847 1 Jeffrey E. Epstein March 16, 1976 Karen Messemer, Perso nnel Previous employment verifications Since your employmen t from 1972 - 1973 was self-emoloymentetwe ne ed some sort of in come tax form or ¶9-2 form fo r that period of time.. Thank you. EFTA01700848 Jeffrey E. Epstein Sear, Stearns & Co. 55 Water Street New York, N. Y, 10041 (21.21 952-5847 March 12, 1981 70 THE EXECUTIVE 03MMIL LE..b: With this letter and accom panying statement, I hereby resign as a Lim ited Partner of Bear, Stearns & Co., effec tive immediately. n Sincerely, ./ EFTA01700849 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 B&W STEARNS 1212) 952.5000 WRITER'S DIRECT DIAL NUMBER March 12, 1981 Mr. Bear tearns Co. 55 Water Street New York, NY 10041 Dear Jeffrey: The Executive Committee has fully reviewed the matter refer red to herein and after extensive deliberation has decided the following: 1. You have advised us that you made a loan to a customer for the purpose of his buying securities. This constitutes a violation of Regulation T. Taking into considerat ion your voluntary disclosure and the fact that it was a singl e in- stance, we find you $2,500.00. 2. For failing to comply with the spirit of the NASD Regul ations with respect to new issue distribution, we suspend you from active employment at Bear Stearns for a period of 60 days, effective immediately. Yours very truly, EXECUTIVE COMMITTEE BEAR, STEARNS S CO. I New York/Atlanta/Boston/Chicago •• Dallas/los Angeles/San Frant-km EFTA01700850 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 BEAR STERNS (212) 952-5000 WRITER'S DIRECT' DIM. NUMBER April 8, 1971 TO ALL NEW EMPLOYEE S: Under public law #9 we are now requ 1-508, "Fair Credit ired to inform you Reporting Act", that we intend to at the time of your conduct, through a hiring through our own inqu service agency and iries, an investig character, reputati ation as to your on, mode of living litigations, previous , educational experience employments, and an , etc... y publ ic records Upon written reques the right to know t, you, as an employ the name of the in ee, now have employed by Bear, vestigative service Stearns 6 Co. and report should one the scope of their be used in your pa rticular case. Signature Date New York/Atlanta/Boston/C hicago Dallas/Los Angeles/San Francisc o Amsterdam/Geneva/Paris EFTA01700851 STOCK EXCHANGE FIRM EMPLOYEE INFO ITo be completed upon acceptance of RMATION RECORD employment) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confid ence and will be preserved for three years after termination of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and Exchange Commission and Rule 345.19 of the New York Stock Exchange. 1. et g-eci , • at[ Name Plfirst Name as,U4411 Middle Name 2. (a) Have you ever been bonded? Yes (b) Have you ever been refused a bond by a surety company? Yes (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes If answer to either (b), (c) or (d) is 'yes,' attach detail s including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity brokers, dealers, investment bankers or investment advisors? Yes CNIi)) If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any regulatory body or by any such exchange or association; or ever been denied membership therein; or ever withdrawn your application for such membership? Yes (b) Have you ever been associated with any organizatio n, as a director, controlling stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or expelled from any such exchange or registered association, or was denied membership therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S E C or any State or agency has been denied, suspended or revoked? Yes (c) Has any permanent or temporary injunction ever been entered against you? (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes; attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or emplo yment in any capacity, have transactions under your attention ever been the subje ct of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indict ed or convicted of a felony of any kind, or of a misdemeanor except mino r traffic offenses? Yes If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? Yes No If 'yes,' give details and dates of use. I hereby certify that I have read and understand the foregoing statements and that each of my responses thereto is true and complete. I authorize my prior employers to make available to any prospective employer, or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers fr5n any and all liability of whatsoever nature by reason of fuL7 rnishing such information. (Date) 4cl e. ,— )"( 11.1 '1 .t, Signets of Employee 110 (12/75) EFTA01700852 EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in compliance with the New York Stock Exchange and Federal Regu lations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by securiti es without the permission of the firm. Such permissi on should be requested in writing directed to the Complian ce Department. This restriction applies to the employee , his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWING; "I have no brokerage accounts other than & Co. and I have no bank loans coll at Bear, Stearns ateralized by securities except: (if none, state NONE, indicate accounts of your spouse, minor children and any acco unt in which you place orders)." jja kJ(' itim(et- 6 (DATE) EFTA01700853 EXECUTIVE HEALTH EXAM 777 THIRD AVENUE • NEW YORK CITY 10017 INERS • 1212) 421-3131 22(./a•pr 19_ 77, We have examined e above-na med applicant for employment. We find him ( her ( ): (/...11SUitable for employment. ( ) Suitable for limited employmen t. Limitations: Remarks: 1/119. , R . N . MAHU - 975-27 EFTA01700854 Memo BEAR STEARNS To John Duggan Date June 3, 1977 CC From Lewis Rabinowitz Subject Jeff Epstein Please rt se Jeff Epstein s annual salary to $24, 000 per year. 0 0' EFTA01700855 Memo BEAR SIDIRNS To ‘8‘ve Lakoff Seymour Dashow Date August 4, 1977 . CC From Elliot K. Wolk Subject 11 expenses including salary for New York Retail and delete fro ent. m This should have been done some time ago. Please. make sure this is done ret and is included in the Jul roa ctively to May 1, 197,7 ' y. figures. EFTA01700856 Memo BEAR STEARNS 13 77FeM From :itiplcilepattment Date CC June 13, 1979 Jamez E. Cayne Subject ES6eati.ve today, and netuactive to May L221LgegAL___----- --ije inekecae the 4ataity o Je46Aey. Epstein to $42,000./yeah 4e e r- -? 6 3 (1/77) EFTA01700857 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 1214 952-5000 BEAR STEARNS March 18, 1976 WRITER'S DIRECT DIAL NUMBER Nier Rocifing 4050 Atlantic Avenue, Brookl yn, New York 11224 JEFFREY E. EPSTEIN In In (Applicant's Name) has applied to us for employment. (Social Security No.) As a previous employer, we wou We have obtained a signed authoriza ld appreciate your comments. tion and indemnification agreement conduct reference checks, a copy of from the applicant to which is enclosed. Should you prefer to respond by telephone, please call our refer 212/952.5263. ence section at Dates of Employment: Claimed from 1971 to 1973 Verified from to Aboveorge Average Attendance Below Average Punctuality Work Performance Overall Rating EZ1 To the best of yo knowledge, did this applicant have a Securities brokerage account? 0 Yes No Would you recommend the applicant for a position of trust securities? EA Yes CI No involving negotiable If your present policy permitted, would you rehire this applicant? Yes ED No Is there anything we should know abou t this applicant which would help make our relat successful one? ionship a e -Z4 GENERAL REMARKS: Name: Title: / Signature: Date: j77,/7 7 6" Fenn 267 New York/Atlanta/Boston/Chicago Dallas/los Angeles/San Francisco Amsterdam/Cenpv,/pliAi. EFTA01700858