EFTA02139472Set 10
2013-05-098p2,231w
downgrade INTU LN, ATK LN, upgrade CLN VX, DB upgrade BG/ LN
• MS add IHG LN to best ideas, BofAML downgrade PFV GY, MRW LN, NOEJ GY
Cana downgrade ... downgrade DIA IM, u/g ETL FP
RBC downgrade STAN LN, SGE LN, Cantor downgrade IHG LN, SBRY LNA2A IM, u/g ICL IT, KCO
GY
• Numis downgrade RTN LN, Exane downgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02139472.pdf
EFTA00390785Set 9
2013-05-097p2,239w
downgrade INTU LN, ATK LN, upgrade CLN VX, DB upgrade BG/ LN
•• MS add IHG LN to best ideas, BofAML downgrade PFV GY, MRW LN, NOEJ GY
• Cana downgrade ... downgrade DIA IM, u/g ETL FP
• RBC downgrade STAN LN, SGE LN, Cantor downgrade IHG LN, SBRY LNA2A IM, u/g ICL IT, KCO GY
• Numis downgrade RTN LN, Exane downgrade
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390785.pdf
EFTA00397162Set 9
2013-01-237p2,279w
Exane upgrade MPI LN, GS upgrade SGSN VX, Cantor initiates IHG LN &AC FP (buys)
• JPM downgrades (BDEV LN, BWY LN, BVS LN, RDW LN, TW/ LN), SocGen downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00397162.pdf
EFTA02128952Set 10
2013-09-057p1,749w
ALFA SS, ALO FR MEO1V FM
EFTA_R1_00770172
EFTA02128954
• UBS upgrade IHG LN, downgrade MRO LN, downgrade AC FP, Numis upgrade EZJ LN
r BofAML upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02128952.pdf
EFTA02131300Set 10
2013-08-0610p2,632w
Exane initiates KGX GY (op), GS initiates KGX GY (buy), Numis upgrades IHG LN, Jefferies
downgrades SXX LN
• JPM downgrades SZG GY, Kepler initiates TFI IM (hold), MS upgrades GLPR
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02131300.pdf
EFTA02154634Set 10
2012-11-126p1,421w
upgrades NAV, JPM and Stifel downgrade STRA,
Citi upgrades CMA
Key Research: Exane upgrades IHG LN, Citi downgrades RYA LN, Barclays initiates Russian Oil &
Gas sector
Key Research: GS reits
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154634.pdf
EFTA00401614Set 9
2012-11-125p1,435w
upgrades NAV, JPM and Stifel downgrade STRA, Citi upgrades CMA
Key Research: Exane upgrades IHG LN, Citi downgrades RYA LN, Barclays initiates Russian Oil & Gas sector
Key Research: GS reits
https://www.justice.gov/epstein/files/DataSet%209/EFTA00401614.pdf
EFTA00390701Set 9
2013-05-088p2,645w
Beren downgrade PSM GY, Numis downgrade MARS LN
• Equita downgrade A2A IM, Numis downgrade IHG LN, Kepler Chev downgrade FRA GY, upgrade G1AGY
MAQ downgrade NEOJ GY, Oriel downgrade
https://www.justice.gov/epstein/files/DataSet%209/EFTA00390701.pdf
EFTA00417391Set 9
2012-03-195p1,439w
upgrades IFX GY, Exane upgrades ANTO LN, Jefferies upgrades COF/EXM
Key Research: SocGen initiates IHG LN with sell, CLSA upgrades CL, BMO upgrades GPS
Reporting Pre-Open: CMM, HAST
https://www.justice.gov/epstein/files/DataSet%209/EFTA00417391.pdf
EFTA02114290Set 10
2014-02-218p2,059w
BofAML upgrade EDCL LN
• Barc upgrade RCO FP, Citi downgrade CAP FP, CS downgrade IHG LN
e DB downgrade SAF FP, Exane downgrade PHIA NA, IMI LN
• GS upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114290.pdf
EFTA00409089Set 9
2012-07-126p1,994w
Services, CS
downgrades BLT LN
Key Research: ING initiates DE NA (hold), Numis downgrades IHG LN, BofA uprades PHIA NA &
ASSAB SS
Key Research: MainFirst downgrades ASML NA, BofA downgrades
https://www.justice.gov/epstein/files/DataSet%209/EFTA00409089.pdf
EFTA02107535Set 10
2014-05-057p1,601w
Bern upgrades
ORCL
JMP downgrades RWT, KBW upgrades OZM
Europe Key Research:
• Natixis downgrades IHG LN, Pareto initiates TIL NO (buy), DB upgrades NDX1 GY, Danske
downgrades AZN LN
Kepler
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02107535.pdf
EFTA02154572Set 10
2012-11-207p1,779w
Research: Natixis downgrade FUR NA, Natixis initiate RCL NO (buy), Barc upgrade IHG LN, UBS
downgrade EXO IM
Key Research: Kepler upgrade GLE FP, Seymour downgrade DEB LN, SocGen upgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02154572.pdf