Epstein Files Search

EFTA01391449Set 10

2013-09-231p673w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.' Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391449.pdf

EFTA01364823Set 10

1p675w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364823.pdf

EFTA01392470Set 10

2013-09-231p676w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392470.pdf

EFTA01353899Set 10

2013-09-231p675w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353899.pdf

EFTA01355469Set 10

2013-09-231p674w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01355469.pdf

EFTA01390862Set 10

2013-09-231p673w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to $550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390862.pdf

EFTA01354738Set 10

2013-09-231p674w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354738.pdf

EFTA01354310Set 10

1p674w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.' Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354310.pdf

EFTA01389827Set 10

2013-09-231p673w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389827.pdf

EFTA01394646Set 10

1p675w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394646.pdf

EFTA01393676Set 10

1p673w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393676.pdf

EFTA01390207Set 10

2013-09-231p673w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390207.pdf

EFTA01391169Set 10

1p674w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391169.pdf

EFTA01392104Set 10

2013-09-231p675w

Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreement and with CSSU's consent. a number of state securities ... engaging in dishonest or unethical conduct related to the marketing and sale of auction rate securities and failure to supervise reasonably. Under the terms of the settlement agreement, CSSU agreed ... repurchase up to 5550 million of auction rate securities held by certain investors and pay civil penalties of 515 million. Under the settlement agreement, CSSU neither admits nor denies wrongdoing

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392104.pdf

EFTA01108375Set 9

2015-03-0110p2,015w

relied on for transactional, tax or any purposes other than general information. Auction Rate Securities Notice To holders of Auction Rate Securities: Due to continuing unprecedented conditions in the Auction ... Rate Securities market the pricing of Auction Rate Securities as reflected on your statement may not be indicative of readily available pricing if you desired to and could liquidate these ... holdings. Additionally, some Auction Rate Securities may not be priced and will reflect a valuation of unavailable or zero. Thus, these securities will not be included in the account

https://www.justice.gov/epstein/files/DataSet%209/EFTA01108375.pdf

EFTA00611654Set 9

2014-04-1650p20,780w

information-insensitive and therefore liquid. Cash-like liabilities of special-purpose vehicles, auction-rate securities, or other structures that issue short- term debt to hold long-lived or illiquid securities ... warning of the political obstacles facing genuine reform of any set of institutions. Auction-rate securities and special-purpose vehicles Auction-rate securities and special-purpose vehicles have a similar ... Having seen money- market funds, savings and loans, junk bonds, special-purpose vehicles, auction-rate securities, and overnight repo turn "systemically important," having seen investment banks and hedge funds

https://www.justice.gov/epstein/files/DataSet%209/EFTA00611654.pdf

EFTA01534761Set 10

2010-05-01118p11,555w

Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically ... Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01534761.pdf

EFTA01537071Set 10

2010-07-01100p9,883w

Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically ... Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01537071.pdf

EFTA01538836Set 10

2010-10-0197p9,433w

Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically ... Foreign Bank and Financial Account (TD F 90-22.1). Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538836.pdf

EFTA01532957Set 10

2009-12-3145p5,697w

whose name appears on the contact page of this statement. Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset ... require additional information about a transaction on your statement. Important Information Regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01532957.pdf