EFTA01548247Set 10
2013-12-0136p4,519w
12/31/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-US Fixed Income
Foreign Exchange Contracts
Foreign Exchange & Non-USD Fixed Income
Total Value
Market Value/Cost
Market Value
Cost
Unrealized ... Current
Allocation
91%
9%
100%
Foreign Exchange Contracts
Asset Categories
Page 4 of 16
EFTA01548254
SOUTHERN TRUST COMPANY, INC ACCT.
For the Period 12/1/13 to 12/31/13
Cash & Fixed Income Summary ... DOLLAR
1.00
1,013,585.06
1,013,585.06
1,013,585.06
101.35
8.13
Foreign Exchange & Non-USD Fixed Income
AUD CALL USD PUT
FX EUROPEAN STYLE OPTION
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01548247.pdf
EFTA00070998Set 9
2012-08-01142p41,187w
Filed by newsfilecorp.com (sec.gov)
TEC TECHNOLOGY, INC. - sec.gov
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 . FORM 10-K (Mark
One) [X] ANNUAL REPORT PURSUANT TO SECTION ... SECURITIES EXCHANGE ACT OF
www.sec.gov
Cemtrex: Brooklyn based Electronics Manufacturing Services (EMS) entity
EDGAR Search Results (sec.gov)
Did Dick Best et al SEC NY ever actually visit Cemtrex ... press release issued by Cemtrex, Inc. ("Issuer") on September
13, 2017 regarding its purported exchange offer for the outstanding shares of common stock of Key 1...]
www.keytronic.com
There
https://www.justice.gov/epstein/files/DataSet%209/EFTA00070998.pdf
EFTA00815394Set 9
2016-10-124p1,335w
From: Heather Gray
To: jeffrey E. <jeevacation@gmail.com>
CC: Richard Joslin -4
Subject: RE: 1031 exchanges
Date: Wed, 12 Oct 2016 19:37:32 +0000
Rich said ... purchases of the two Cezannes if not purchased as part of 1031
exchanges, and (ii) income tax due on the sales of the five works if not sold as part ... Jeffrey,
John said you were looking for a summary of the two 1031 exchanges that we are hoping to complete.
Attached are spreadsheets showing the proposed AP Narrows
https://www.justice.gov/epstein/files/DataSet%209/EFTA00815394.pdf
EFTA00729012Set 9
9p3,508w
operation of section 367(d), concerning transfers of intangible
property pursuant to an exchange described in section 351 or 361, are provided
in §1.367(d)-1T. Rules concerning ... person transfers property to a foreign
corporation in connection with an exchange described in section 332, 351,
354, 355, 356, or 361, then pursuant to section ... shall be
determined as if the property had been disposed of in a
taxable exchange with the transferee foreign corporation
(unless otherwise provided by regulation); and
(B) Appropriate adjustments
https://www.justice.gov/epstein/files/DataSet%209/EFTA00729012.pdf
EFTA00094440Set 9
2021-05-0979p25,637w
Bloomberg
EFTA00094451
The former Wall Street deals lawyer who leads the U.S. Securities
and Exchange Commission said one of the biggest surprises of
his first year heading the agency ... Where appeals Court got it right and where Howey was applied:
Securities & Exchange Commission v. SG Ltd. 265 F.3d 42 I Casetext Search + Citator
Securities & Exchange Commission ... F.3d 42 I Casetext Search
+ Citator
Read Securities 8t Exchange Commission v. SG Ltd., 265 F.3d 42, see flags on bad law, and search Casetext's
comprehensive legal database
casetext.com
https://www.justice.gov/epstein/files/DataSet%209/EFTA00094440.pdf
EFTA02689873Set 11
60p30,893w
worldwide scope as well as bonds admitted
to official listing on a stock exchange or dealt on a regulated market, issued by first-class issuers and highly liquid ... Compartment during that period from capital events,
including (a) the sale, transfer, exchange or other disposal of all or any portion of any Investment; (b) the incurrence of
any indebtedness ... unlimited period of time.
Listing
1.16 No application has been made to any stock exchange or regulated market for the listing of the Shares. However,
the General Partner reserves
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02689873.pdf
EFTA01078478Set 9
2014-06-1731p13,124w
right to include this transaction as part of an IRC, Section 1031
tax deferred exchange for the benefit of Seller, at no cost, expense or liability to Purchaser. Purchaser
further ... Sellers' property shall not be
contingent upon or subject to the completion ofsuch exchange. Sellers agree to indemnify and hold
Purchaser free and harmless from any cost, expense or liability ... including attorney's fees resulting
from Purchaser's participation in such exchange.
Purchaser reserves the right to include this transaction as part of an IRC,
Section 1031 tax deferred exchange
https://www.justice.gov/epstein/files/DataSet%209/EFTA01078478.pdf
EFTA01441112Set 10
38p9,112w
membet Or immeriliate family
mamber of eny securities oxchdngo (or corporation of which any exchange owds
a majority of the capital stock).
Financial Industry Regulatory Authdrtry, Inc. (FINRA ... OBSI'a Instruciion]
may, ec sny time and without prior notice,
sell, transfer, release, exchange, settle or otherwise dispose dt or deal
witn ony or all such Collateral In order ... arbliretlon panel
sat up by FINHA In accordance with FIs
erbitratlon procedures or'an exchange of which DBSI is'e member In
accordance with the rules of that particular
regulatory
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01441112.pdf
EFTA01089619Set 9
2013-04-2546p24,794w
April 2013 The market prices provided are closing prices on the respective principal stock exchange. This applies to all performance charts and tables
in this publication.
EFTA01089619
Table of Contents ... class views 13
2.A Equities 14
2.B Fixed income 24
2.0 Foreign exchange 32
2.D NTAC: Commodities, listed real estate,
hedge funds and private equity 36
EFTA01089620 ... neutral view on commodities,
given the high volatility on the asset class.
• Foreign Exchange
We continue to favor GBP against EUR. This week's announcement of an extension
https://www.justice.gov/epstein/files/DataSet%209/EFTA01089619.pdf
EFTA00086579Set 9
2021-02-1138p16,300w
Charges Unregistered Penny Stock Dealer Litigation Release No. 24779 / March 24, 2020 Securities and
Exchange Commission v. Justin W. Keener d/b/a JMJ Financial, No. 20-cv-21254 (S.D. Fla. March ... reports required to be filed by Section 13 or
15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period
that ... complaint: also my information
https://www.sec.gov/litigation/complaints/2019/comp24403.pdf
Marc P Berger SECURITIES AND EXCHANGE COMMISSION Brookfield Place
200 Vesey Street, Suite 400 New York, NY 10281-1022 SOUTHERN
DISTRICT
https://www.justice.gov/epstein/files/DataSet%209/EFTA00086579.pdf