""FINRA Rule 5121"" — Epstein Files Search

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EFTA01121419Set 9

have a "conflict of interest" within the meaning of Financial Industry Regulatory Authority ("FINRA") Rule 5121. In the event of any such conflict of interest, such underwriter would be required ... conduct the distribution of the Series 2015A Junior Subordinated Notes in accordance with FINRA Rule 5121. If the distribution is conducted in accordance with FINRA Rule 5121, such underwriter would

https://www.justice.gov/epstein/files/DataSet%209/EFTA01121419.pdf

EFTA01124129Set 9

2016-01-19216p110,656w

FINRA. The distribution arrangements for this offering comply with the requirements of FINRA Rule 5121 regarding a FINRA member firm's participation in the distribution of securities of an affiliate

https://www.justice.gov/epstein/files/DataSet%209/EFTA01124129.pdf

EFTA01365809Set 10

FINRA. As a result, this offering will be conducted in accordance with FINRA Rule 5121. Pursuant to that rule, the appointment of a "qualified independent underwriter" is not required ... conflict of interest and meet the requirements of paragraph (O(12) (E) of FINRA Rule 5121. See "Use of Proceeds.' and "Underwriting (Conflicts of Interest)." Risk factors Investment

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365809.pdf

EFTA01409918Set 10

2015-06-15488p120,945w

FINRA. As a result, this offering will be conducted in accordance with FINRA Rule 5121. Pursuant to that rule, the appointment of a "qualified independent underwriter" is not required ... conflict of interest and meet the requirements of paragraph (f)(12) (E) of FINRA Rule 5121. See "Use of Proceeds" and "Underwriting (Conflicts of Interest)." Risk factors Investment

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01409918.pdf

EFTA01365815Set 10

2020-01-201p551w

FINRA. As a result, this offering will be conducted in accordance with FINRA Rule 5121. Pursuant to that rule, the appointment of a "qualified independent underwriter" is not required

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01365815.pdf

EFTA01366478Set 10

2015-07-201p531w

/weedy, Inc , or •FINRA ' ACCordrOy, the offering will be conducted in compliance with FINRA Rule 5121. which requires, among other things that a 'waned independent underwriter" panceme in the preparation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01366478.pdf

EFTA01470148Set 10

2013-07-1646p12,699w

Americas Securities, LLC (—SGASII), an affiliate of the issuer, pursuant to FINRA Rule 5121. Also see the section —Risk Factors — We will sell the Notes through our affiliate, SGAS; Potential

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470148.pdf

EFTA01198069Set 9

2015-07-2795p44,280w

therefore, will be deemed to have "conflicts of interest" within the meaning of FINRA Rule 5121. Consequently, this offering is being made in compliance with the provisions of Rule 5121

https://www.justice.gov/epstein/files/DataSet%209/EFTA01198069.pdf

EFTA01366534Set 10

2014-12-311p449w

Stanley 8 Co LLC is deemed to have a conflict of nterest order FINRA Rule 5121. Accordingly, this °Hemp is bong made in compliance with the requirements d FINRA Rile

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01366534.pdf

EFTA01425313Set 10

2018-10-1134p8,972w

arrangements to prevent a failed settlement. CSSU is our affiliate. In accordance with FINRA Rule 5121, CSSU may not make sales in this offering to any of its discretionary accounts

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425313.pdf

EFTA01455076Set 10

Americas Securities, LLC ("SGAS"), an affiliate of the issuer, pursuant to FINRA Rule 5121. Also see the section "Risk Factors - We will sell the Notes through our affiliate, SGAS; Potential

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01455076.pdf

EFTA01378987Set 10

2007-05-071p457w

arrangements to prevent a failed settlement. CSSU is our affiliate. In accordance with FINRA Rule 5121, CSSU may not make sales in this offering to any of its discretionary accounts

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378987.pdf

Corpus: 1990-03-17 – 2025-12-01

December 2025

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Results by Dataset12 total

Set 9

3

Set 10

9