EFTA01139566Set 9
27p13,363w
presumption that a trustee holding such a power would exercise it in a fiduciary capacity,12 so
the power needs to be held by the grantor or a nonadverse party ... that has no fiduciary ties to
the trust. A nonfiduciary power to substitute assets (a "swap power," as some° like to call it)
should not cause inclusion of the trust ... helpful because the grantor in that case
arguably held the swap power in a fiduciary capacity. If that's the case, then the trust is not a
grantor trust
https://www.justice.gov/epstein/files/DataSet%209/EFTA01139566.pdf
EFTA01079462Set 9
2016-03-3043p14,322w
which provides personal trust services acting as trustee or co-trustee or
as a fiduciary or agent for other fiduciary relationships.
Firm Ownership
Rockefeller & Co. is a wholly-owned subsidiary ... advice and consulting coupled
with an open-architecture wealth management platform, along with trust, fiduciary
and wealth planning services. Tailored advice and portfolios of equities, fixed-
income securities, hedge funds ... other services not specifically related to securities. Such advice can include trust and
fiduciary services and advice, information management and reporting services, general
accounting, tax planning and tax compliance services
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf
EFTA01130961Set 9
2011-10-2253p26,485w
November 28, 2008) - Service Cannot Determine Whether Substitution Power
Exercisable in Fiduciary or Nonfiduciary Capacity Until Examination of Federal
Income Tax Returns of Parties 40
8. Private Letter Ruling ... nonadverse party without the
approval or consent of a person in a fiduciary capacity.77 A power is deemed to be exercisable in
a fiduciary capacity if it is exercisable primarily ... trustee holds any power, such power is presumed to be held in a fiduciary capacity,
unless it can be shown by clear and convincing evidence that the power
https://www.justice.gov/epstein/files/DataSet%209/EFTA01130961.pdf
EFTA01354218Set 10
2017-06-091p758w
projected return of the portfolio relative to the ERISA Plan's funding objectives. A fiduciary of an ERISA
Plan should also consider whether an investment in the Access Fund might ... June 9, 2017, the U.S. Department of Labor promulgated new rules (the "2017 Fiduciary Rule") that
substantially broaden the types of activities that create a fiduciary relationship between certain persons ... including marketing professionals, and a Plan. Subject to certain conditions, the 2017 Fiduciary Rule
includes an exception (the 'Seller's Exclusion") for (1) sophisticated institutional ERISA Plans and (2)
smaller
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01354218.pdf
EFTA00722023Set 9
2002-04-2914p4,250w
withdraw its money from the
Fund D.B. Zwirn resorted to fraud and breach of fiduciary duty to prevent this withdrawal.
2. These misrepresentations and breaches of fiduciary duty were ... direct questions from limited partner is a violation of the
general partner's fiduciary obligations to the limited partner, Mr. Epstein demanded FTC's
complete withdrawal from the Fund ... individual Gulf Stream G4 private jet, an obvious violation of Mr. Zwim's fiduciary
duties to the Fund's limited partners.
33. The March 26, 2007 memorandum stated that
https://www.justice.gov/epstein/files/DataSet%209/EFTA00722023.pdf
management agreement, if any, the Memorandum, and/or iCapital's
Form ADV;
(8) the Investor Fiduciary has carefully reviewed and understands the various risks of
an investment in the Partnership ... concluded that the proposed purchase of an Interest is consistent with applicable
fiduciary responsibilities under ERISA and other applicable law, if any;
(9) the Investor and the Investor Fiduciary hereby ... thereof, and to
such conflicts of interest;
(10) neither the Investor nor the Investor Fiduciary are in any way affiliated with (i.e.,
do not own or control, are not owned
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392158.pdf
management agreement, if any, the Memorandum, and/or iCapital's
Form ADV;
(8) the Investor Fiduciary has carefully reviewed and understands the various risks of
an investment in the Partnership ... concluded that the proposed purchase of an Interest is consistent with applicable
fiduciary responsibilities under ERISA and other applicable law, if any;
(9) the Investor and the Investor Fiduciary hereby ... thereof, and to
such conflicts of interest;
(10) neither the Investor nor the Investor Fiduciary are in any way affiliated with (i.e.,
do not own or control, are not owned
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01391203.pdf
EFTA01597187Set 10
26p14,466w
broker-dealer, we do not enter into a
Services inc.), UBS Bank USA, UBS
fiduciary relationship with you, regardless of the fee structure you select. Except in special
circumstances ... same legal standards that apply when we have a Credit Corp., 1.185 Trust Company,
fiduciary relationship with you, as we do when providing investment advisory services. We N.A. and their ... acting as executor, trustee, conservator, guardian or custodian:
— You understand that you are a fiduciary on behalf of the beneficial owners
of the Account and that you have a duty
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01597187.pdf
EFTA01296884Set 10
2017-06-1661p23,043w
premises. Plaintiffs
asserted that Burns, as the manager of 2784 LLC, owed them a fiduciary duty as members
of 2784 LLC.
Plaintiffs' amended complaint alleged three causes of action. Plaintiffs ... them from the sale of rtlithe 2784
premises, which constituted a breach of his fiduciary duties to them. It sought a judgment
surcharging Bums in the amounts which are determined ... Neary and Benevento, as members. It asserts that
Burns, in breach of independent fiduciary duties he owed to Neary and Benevento in their
own, individual capacities, unilaterally and wrongfully withheld
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01296884.pdf
Department of Labor (-IDOL") under ERISA contain
provisions that should be considered by fiduciaries of those plans and their legal advisers.
Fiduciary duty
In considering an investment in the Fund ... plan fiduciaries should consider their basic fiduciary duty under Section 404 of
ERISA, which requires them to discharge their investment duties prudently and solely in the interest of the plan ... participants and beneficiaries.
Before authorizing an investment in the Fund, plan fiduciaries should consider, among other things: (i) the fiduciary
standards under ERISA. (ii) whether the investment in the Fund
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394648.pdf
Department of Labor COOL') under ERISA contain
provisions that should be considered by fiduciaries of those plans and their legal advisers.
Fiduciary duty
In considering an investment in the Fund ... plan fiduciaries should consider their basic fiduciary duty under Section 404 of
ERISA, which requires them to discharge their investment duties prudently and solely in the interest of the plan ... participants and beneficiaries.
Before authorizing an investment in the Fund, plan fiduciaries should consider, among other things: (i) the fiduciary
standards under ERISA. Oft whether the investment in the Fund
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393396.pdf
Department of Labor COOL") under ERISA contain
provisions that should be considered by fiduciaries of those plans and their legal advisers.
Fiduciary duty
In considering an investment in the Fund ... plan fiduciaries should consider their basic fiduciary duty under Section 404 of
ERISA, which requires them to discharge their investment duties prudently and solely in the interest of the plan ... participants and beneficiaries.
Before authorizing an investment in the Fund, plan fiduciaries should consider, among other things: (i) the fiduciary
standards under ERISA. Oft whether the investment in the Fund
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386678.pdf
EFTA01117016Set 9
54p14,415w
appointment of a bank or trust company shall be effective if a
corporate fiduciary is already serving as a Trustee; and such terms as to compensation
shall be subject ... administration of the Grantor's estate shall not receive separate compensation for each
fiduciary role. Rather, such compensation during the administration of the Grantor's
estate shall be based ... resources of the beneficiary, without the intervention of any
guardian or committee or like fiduciary, and without obligation to see to the further
application thereof.
(E) To engage and rely
https://www.justice.gov/epstein/files/DataSet%209/EFTA01117016.pdf
EFTA00271072Set 9
28p16,543w
broker-dealer, we do not enter into a
Services inc.), UBS Bank USA, UBS
fiduciary relationship with you, regardless of the fee structure you select. Except in special
circumstances ... same legal standards that apply when we have a Credit Corp., 1.185 Trust Company,
fiduciary relationship with you, as we do when providing investment advisory services. We M. and their ... acting as executor, trustee, conservator, guardian or custodian:
— You understand that you are a fiduciary on behalf of the beneficial owners
of the Account and that you have a duty
https://www.justice.gov/epstein/files/DataSet%209/EFTA00271072.pdf
EFTA01560999Set 10
2003-05-3115p2,036w
discretionary investment manager for
an ERISA plan or an IRA that hold Fiduciary Shares (as described
below) do not bear any portion of investment, administrative, custodian or
other charges paid ... ERISA plan or an IRA,
which hold shares in the JPMorgan Funds other than Fiduciary
Shares, the Bank receives fees for services from the JPMorgan Funds but
waives account fees ... with respect to the funds so held. "fiduciary
Shares" means shares of JPMorgan Select Funds and Institutional Shares of
the JPMorgan Bond Fund II, JPMorgan Short-Term Bond Fund
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01560999.pdf
EFTA01543918Set 10
2005-09-0136p3,168w
discretionary investment
manager for an ERISA plan or an IRA that hold Fiduciary Shares (as
described below) do not bear any portion of investment, administrative,
custodian or other charges paid ... ERISA plan or an IRA, which hold
shares in the JPMorgan Funds other than Fiduciary Shares, the Bank
receives fees for services from the JPMorgan Funds but waives account fees ... with respect to the funds so held. Fiduciary Shares are shares in the
Select Shares class of JPMorgan Tax Aware Large Cap Value Fund, JPMorgan US
Equity Fund, JPMorgan
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01543918.pdf