EFTA02077424Set 10
2015-05-3110p2,446w
purchase or sale of securities, accuracy and completeness of
information, viruses, confidentiality, legal privilege, and legal entity disclaimers,
available at http://wwwipmorgan,com/pagesklisclosuresiemail.
Original Message
EFTA_R1_00655137
EFTA02077424
From ... purchase or sale of securities, accuracy and
completeness of information, viruses, confidentiality, legal privilege,
and legal entity disclaimers, available at
http://www,ipmorgan.com/pages/disclosures/email.
EFTA_R1_00655138
EFTA02077425
Original Messag ... purchase or sale of
securities, accuracy and completeness of information, viruses,
confidentiality, legal privilege, and legal entity disclaimers,
available at http://www.ipmorgan.com/pages/disclosures/email.
From: Lesley Groff [rps
Sent: Friday
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02077424.pdf
EFTA01712977Set 10
2008-10-0789p11,773w
PALM BEACH, FL 33411
FLORIDA Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price:
Loan Amount: $50,000
Contract Date: 07/28/2000
Document Type: EQUITY OR CREDIT ... PALM BEACH, FL 33411
FLORIDA Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price: $16.300
Loan Amount:
Contract Date:
Document Type:
Lender:
Title Co.:
Situs Address ... PALM BEACH, FL 33411
FLORIDA Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price: $16,300
Loan Amount:
Contract Date: 02/23/1998
Document Type:
Resale/New RE-SALE
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01712977.pdf
EFTA01298930Set 10
2017-03-0727p8,662w
describe).
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account ... individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes W No
source, supplier of goods or servIces)?(f Ye5descnbe ... Individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes W No
source, supplier of goods or servIces)?(f Yesdeseebe
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298930.pdf
EFTA01693046Set 10
2006-03-0378p11,729w
Owner Name:
Assess State: Florida County: PALM BEACH
Parcel Number: Type: SFR
Short Legal Description:
Document Number. Recorded Date: 06/19/2C01
Situs Address: Book:
ROYAL PALM BEACH, FL 33411 -1148
Mailing ... Florida Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price: $139,000
Loan Amount: $100,000
Contract Date: 05/31/2001
Document Type: MORTGAGE DEED
Resale/Now RE-SALE ... PALM BEACH, FL 33411
Florida Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price: S1C0
Loan Amount:
Contract Date:
Document Type:
Lender:
Title Co.:
Situs Address
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01693046.pdf
EFTA01296884Set 10
2017-06-1661p23,043w
correct heading below.
Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts invoMng PEPs must be escalated.
Search: Result: Click here ... attached)
Smartlinx Results? 0 Yes O No
NI Not Required VII. Smartlinx
Review by Legal May Result found(Plcasc sec attached)
Court Cast% be Required O No Results VIII. Court ... dismissing
plaintiffs' complaint in its entirety, and awarding him full reimbursement of his legal fees
and costs.
BACKGROUND
Salvatore Judice (Mr. Judice) was the owner of two parcels of real
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01296884.pdf
EFTA01298740Set 10
2017-03-0723p7,101w
desalbel
of this relationship?
List all existing and new account Involved In this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 pj ism 'lc - 2/25/2015 ... Individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes 0 No
source, supplier of goods or servIces)?(f Yes describe ... individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes W No
source, supplier of goods or servkes)?(f Yescfescribe
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298740.pdf
EFTA01693596Set 10
2007-06-1250p7,036w
Owner Name:
Assess State: Florida County: PALM BEACH
Parcel Number: Type: SFR
Short Legal Description: 17-4241, N239 ... Florida Deed Transfer Records - County of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price:
Loan Amount: $133,500
Contract Date: 04/04/2003
Document Type: MORTGAGE DEED
Refinance: YES
Lender: NATIONAL ... Buyer Address:
PAM BEACH, FL 33412
Florida Deed Trans( of: PALM BEACH
Parcel Number:
Legal Desc:
Sale Price:
Loan Amount: S124,000
Contract Date: 12/07/2001
Document Type: MORTGAGE DEED
Refinance
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01693596.pdf
EFTA01441665Set 10
342p99,187w
Fund LPA. To
the fullest extent permitted by law, the Access Fund may bring legal action
against the Underlying Fund
or Glendower only at the initiative of the General Partner ... control, management or
operations of the Underlying Fund or (ii) the power to legally bind or
commit the Underlying Fund,
Glendower or any of their respective affiliates. No Glendower entity ... General Partner or
any of their respective
affiliates or (ii) the power to legally bind or commit the Access Fund, the
General Partner or any of their
respective affiliates except
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01441665.pdf
EFTA01654154Set 10
2019-04-1932p9,959w
Activity Location
Role Transaction location business
Primary Federal Regulator IRS
Legal Name of Financial Associated Foreign Exchange,Inc.
Institution
EIN 204819436
Address Address Type Address where transaction occurred
Street Address ... Cash-in $0
Cash-out $44,928
Filer Location
Primary Federal Regulator IRS
Legal Name of Financial Associated Foreign Exchange,Inc.
Institution
EIN
Address Address Type Reporting party address
Street ... BCTR Transcript
BSA: 31000119097081 and DCN:
Activity Location
Primary Federal Regulator Federal Reserve
Legal Name of Financial Deutsche Bank Trust Company Americas
Institution
EIN 134941247
Address Address Type Address where
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01654154.pdf
EFTA01395294Set 10
342p99,186w
Fund LPA. To
the fullest extent permitted by law, the Access Fund may bring legal action
against the Underlying Fund
or Glendower only at the initiative of the General Partner ... control, management or
operations of the Underlying Fund or (ii) the power to legally bind or
commit the Underlying Fund,
Glendower or any of their respective affiliates. No Glendower entity ... General Partner or
any of their respective
affiliates or (ii) the power to legally bind or commit the Access Fund, the
General Partner or any of their
respective affiliates except
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01395294.pdf
EFTA01395758Set 10
342p99,190w
Fund LPA. To
the fullest extent permitted by law, the Access Fund may bring legal action
against the Underlying Fund
or Glendower only at the initiative of the General Partner ... control, management or
operations of the Underlying Fund or (ii) the power to legally bind or
commit the Underlying Fund,
Glendower or any of their respective affiliates. No Glendower entity ... General Partner or
any of their respective
affiliates or (ii) the power to legally bind or commit the Access Fund, the
General Partner or any of their
respective affiliates except
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01395758.pdf
EFTA01396934Set 10
2018-03-3061p17,659w
Dynasty is an independent company, not affiliated with iCapital.
There is no form of legal
partnership, agency, affiliated or similar relationship between iCapital and
Dynasty.
Organizational Expenses:
Each Fund will ... offering expenses. Such
organizational and
offering expenses generally include, but are not limited to, legal expenses,
travel, accounting,
5
EFTA01396943
GLDUS127 Annandale Capital
iCapital Advisors, LLC
Form ADV Part ... fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal, administrative (including any fees and expenses of the administrator
for the
the costs and expenses
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01396934.pdf
EFTA01394988Set 10
2018-03-3061p17,706w
Dynasty is an independent company, not affiliated with iCapital.
There is no form of legal
partnership, agency, affiliated or similar relationship between iCapital and
Dynasty.
Organizational Expenses:
Each Fund will ... offering expenses. Such
organizational and
offering expenses generally include, but are not limited to, legal expenses,
travel, accounting,
5
EFTA01394997
GLDUS183 Dimension Capital Management
iCapital Advisors, LLC
Form ADV Part ... fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal, administrative (including any fees and expenses of the administrator
for the
the costs and expenses
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394988.pdf
EFTA01397607Set 10
2018-03-3061p17,672w
Dynasty is an independent company, not affiliated with iCapital.
There is no form of legal
partnership, agency, affiliated or similar relationship between iCapital and
Dynasty.
Organizational Expenses:
Each Fund will ... offering expenses. Such
organizational and
offering expenses generally include, but are not limited to, legal expenses,
travel, accounting,
5
EFTA01397616
GLDUS141 Greg Martin
iCapital Advisors, LLC
Form ADV Part ... fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal, administrative (including any fees and expenses of the administrator
for the
the costs and expenses
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01397607.pdf
EFTA01428879Set 10
2018-03-3061p17,701w
Dynasty is an independent company, not affiliated with iCapital.
There is no form of legal
partnership, agency, affiliated or similar relationship between iCapital and
Dynasty.
Organizational Expenses:
Each Fund will ... offering expenses. Such
organizational and
offering expenses generally include, but are not limited to, legal expenses,
travel, accounting,
5
EFTA01428888
GLDUS238 SOUTHERN FINANCIAL LLC
iCapital Advisors, LLC
Form ADV Part ... fees or similar
charges
incurred in connection with the purchase or sale of securities;
legal, administrative (including any fees and expenses of the administrator
for the
the costs and expenses
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428879.pdf