EFTA
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7 results for “
"FTNRA"
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EFTA00602612
Set 9
2014-04-16
26p
5,904w
whim'. Merrill Lynch. Pierce. Fenner est Smith Incorporated if .1 roistered tooter-dealer. member
FTNRA
end SIM. and a wholb owned erteimbary of Bank Of~Oa ~cation- ›ItItil Lynch
https://www.justice.gov/epstein/files/DataSet%209/EFTA00602612.pdf
EFTA00165782
Set 9
16p
12,378w
that, on the date of the short sale, appeared on the "restricted list" of
FtNRA
or a national securities exchange of which DBSI or Pershing is a member (i.e. those
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165782.pdf
EFTA01204270
Set 9
2014-05-20
26p
5,996w
whim'. Merrill Lynch. Pierce. Fenner est Smith Incorporated if .1 roistered tooter-dealer. member
FTNRA
end SIM. and a wholb owned erteimbary of Bank Of~Oa ~cation- ›ItItil Lynch
https://www.justice.gov/epstein/files/DataSet%209/EFTA01204270.pdf
EFTA01253095
Set 9
16p
12,406w
that, on the date of the short sale, appeared on the 'restricted list" of
FtNRA
or a national securities exchange of which DBSI or Pershing is a member (i.e. those
https://www.justice.gov/epstein/files/DataSet%209/EFTA01253095.pdf
EFTA01390368
Set 10
1p
1,221w
that, on the date of the short sale. appeared on the "restricted list" of
FtNRA
or a national secorities exchange of which O851 or Pershing is a member lie. those
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01390368.pdf
EFTA01362927
Set 10
2018-04-18
1p
408w
intended and available onlyfor persons who cue sophisticated institutionalinvestors within the meaning of the
FtNRA
Rule 4512(C1f3), and who ore capable of evaluating the strategies, charoctensms and investment risks
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362927.pdf
EFTA01594834
Set 10
26p
11,022w
RULES, AND SUCH HEARING OR HEARINGS SHALL BE CONDUCTED IN A LOCALE SELECTED BY
FTNRA
. THE AWARD OF THE ARBITRATORS, OR OF THE MAJORITY OF THEM, SHALL BE FINAL
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594834.pdf
Corpus: 1990-03-17 – 2025-12-01
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Results by Dataset
7 total
Set 9
4
Set 10
3