""FINRA 2111"" — Epstein Files Search

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EFTA01412389Set 10

2018-03-0544p3,914w

Relationship to CP Jeffrey Edward Epstein Ultimate Beneficial Owner EFTA01412415 FINRA Is the client FINRA 2111 suitable? FINRA 2111 is not applicable for all products, please refer to Key Operating

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412389.pdf

EFTA01368142Set 10

FINRA Is the client FINRA 2111 suitable? FINRA 2111 is not applicable for all products, please refer to Key Operating Procedures N/A Market Participant Identifier Is the client a broker/dealer

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368142.pdf

EFTA01478823Set 10

2014-03-2430p2,810w

potentially interested in a minority stake at $2 mm or more that are FINRA 2111 eligible. We are considering a Reg. D slot for these accounts (144a = QIB) Our nest

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01478823.pdf

EFTA01351237Set 10

2013-10-227p609w

Protocol (STINC and SFLLC) c. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional Suitability Certificate (for STINC and SFLLC) EFTA01351242 e. Options (all 6 entities - SFLLC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01351237.pdf

EFTA01413178Set 10

2014-07-2947p7,718w

Latin America — Europe — Asia Pacific — Middle East (1) Institutional investors only as defined by FINRA 2111 (2) KCP services are offered to a select group of DeAWM clients

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413178.pdf

EFTA01467725Set 10

above, does client waive Deutsche Bank's suitability obligation under Financial Industry Regulatory Authority (FINRA) 2111? o Yes o No Liquidity Needs: o Low (Somewhat Important) o Medium (Important

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01467725.pdf

EFTA01375232Set 10

Medium Sized Institutions — Asia Pacific Middle East (1) Institutional investors only as defined by FINRA 2111 (2) KCP services are offered to a select group of DeAWM clients

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01375232.pdf

EFTA01350905Set 10

2013-10-228p647w

Protocol (STINC and SFLLC) c. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional Suitability Certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01350905.pdf

EFTA00863698Set 9

2015-02-243p673w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. All Key Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00863698.pdf

EFTA00863715Set 9

2015-02-242p550w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. AllKey Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00863715.pdf

EFTA00863712Set 9

2015-02-243p769w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. All Key Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00863712.pdf

EFTA00607178Set 9

2014-07-2929p7,889w

Medium Sized Institutions — Asia Pacific — Middle East (1) Institutional investors only as defined by FINRA 2111 (2) KCP services are offered to a select group of OeAWM clients

https://www.justice.gov/epstein/files/DataSet%209/EFTA00607178.pdf

EFTA00863677Set 9

2015-02-232p528w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. AllKey Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00863677.pdf

EFTA00863680Set 9

2015-02-232p578w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of on Institutional Investor. All Key Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00863680.pdf

EFTA01344484Set 10

Protocol (STING and SFLLC) c. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional Suitability Certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01344484.pdf

EFTA00604445Set 9

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. All Key Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%209/EFTA00604445.pdf

EFTA01364488Set 10

Management Supplemental Disclosure •THIS MATERIAL IS INTENDED FOR INSTITUTIONAL CUSTOMERS ONLY AS DEFINED BY FINRA 2111. The trading and investment ideas discussed herein are general and do not take into

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01364488.pdf

EFTA01344508Set 10

Protocol (STINC and SFLLC) c. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional Suitability Certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01344508.pdf

EFTA01462711Set 10

2015-02-233p582w

clients who are able to meet certain sophistication criteria. KCP clients must meet the FINRA 2111 definition of an Institutional Investor. All Key Clients Partners opportunities may not be available

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01462711.pdf

EFTA01470762Set 10

2014-09-3047p6,786w

Latin America — Europe — Asia Pacific — Middle East (1) Institutional investors only as defined by FINRA 2111 (2) KCP services are offered to a select group of DeAWM clients

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470762.pdf

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Corpus: 1990-03-17 – 2025-12-01

March 2018

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Results by Dataset39 total

Set 9

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Set 10

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