EFTA01071790Set 9
1991-11-132p585w
restructuring their balance sheets. Services of this type are sometimes referred to as "financial advisory" services. While
these activities technically may fall within the ambit of Section ... generalize on this issue.'
In this regard, the SEC staff has provided relief to financial advisory firms that assist states and municipalities in
structuring, timing, and providing terms ... bond issuances.= However, if the financial advisory firm's services also
entail advice as to how the proceeds of bond issues should be invested, the SEC staff would likely consider
https://www.justice.gov/epstein/files/DataSet%209/EFTA01071790.pdf
EFTA01116426Set 9
20p5,753w
plan; or through a combination of fees and commissions.
Another form of financial advisory service is that provided by persons
offering a variety of financially related services to entertainers ... other persons who, while not falling precisely into one of the
foregoing categories, provide financial advisory services. As discussed below,
1/ The authority to manage all or a pottion ... EFTA01116429
financial planners, pension consultants, sports or entertainment represents.
tives or other persons providing financial advisory services, may be investment
advisers within the meaning of the Advisers Act, state adviser
https://www.justice.gov/epstein/files/DataSet%209/EFTA01116426.pdf
EFTA01414378Set 10
143p21,289w
early 2000s
SPAC Investment Banking
i 17+ years of M&A, capital
raising and financial
advisory experience
Carlos Alvarez
Manaaina Director
A Helped raise 25 SPACs,
both pre and post ... Deutsche Bank
Corporate Banking & Securities
A 8+ years of M&A, capital
raising and financial
advisory experience
i Helped raise 20 SPACs
i Facilitated completion of 9
de-SPACing transactions ... Frank Windels
Managing Director
i 3+ years of M&A, capital
raising and financial
advisory experience
i Helped raise 15 SPACs
i Facilitated completion of 6
de-SPACing transactions
EFTA01414385
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01414378.pdf
Clients:
THE EMIRATES CAPITAL LTD., Dubai, UAE,
Corporate Finance Associate
Start-up investment bank — financial advisory
MAC CAPITAL LTD., Dubai, UAE.
Investment Banking Associate
Start-up investment bank — financial advisory ... private equity firm focusing on acquisitions in Saudi Arabia
Responsibilities
Supported executives in financial advisory transactions such as company acquisitions and
capital raising. Carried out extensive due diligence, prepared
https://www.justice.gov/epstein/files/DataSet%209/EFTA01089543.pdf
alternative asset L
management
Ravi Raghunathan
▪ 8+ years of WA. capital
raising and financial
advisory experience
SILVER
Run
,„ TERRAPIPV1
AcCIUlliT,014coRvoRavok
Entic
r "A E Citain
Equity Capital Markets Syndicate ... investment management
Brian Choi • 1 year of MA, capital
CIB Amencas industries
raising and financial
advisory experience i. Worked extensively with
Helped raise 5 SPACs Tel: • Eric Hackel over
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369689.pdf
service financial institutions engaged in various activities, including securities trading, commercial and investment
banking, financial advisory, investment management, investment research, principal investment, hedging, financing, market making, brokerage and other financial ... affiliates have, from time to time, performed, and/or may in the future perform, various
financial advisory, commercial and investment banking and financing activities and services for ACE and BlackRock
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01367459.pdf