Epstein Files Search

EFTA00788475Set 9

2017-07-2429p16,328w

Global Liquid Markets Weekly Bank of America e-a Bitcoin: a new liquid market? Merrill Lynch 24 July 2017 The View: Bitcoin: a new liquid market? Liquid Markets Weekly Global ... financial resources to any losses arising from applying these ideas or strategies. BofA Merrill Lyndt does and seeks to do business with issuers covered In its research reports ... pace 19. 2 Global Liquid Markets Weekly 124 July 2017 Bankof America 40' Merrill Lynch EFTA00788476 The View Francisco Blanch MLPF&S From metal-backed to fiat to aypto, money

https://www.justice.gov/epstein/files/DataSet%209/EFTA00788475.pdf

EFTA01088033Set 9

2016-04-1921p9,988w

Biotechnology Bank of America e Growth at a reasonable price - How much Merrill Lynch are you paying for a pipeline? Industry Overview Equity 1 19 April 2016 Biotech trading meaningfully ... dominated by passive flows, and stocks have become increasingly correlated within the industry. BofA Merrill Lyndt does and seeks to do business with issuers covered in its research reports ... Seats Biotech Rd. Wg1. In Fund Holdings —Avg. overweight since '08 Scurce FxtSevLionsrxet BofA Merril Lynch US EquIty & US Quant Strategy Source. FactSeubonshares.BolA inernll LynchUS Equiry& US Quant Strategy Table

https://www.justice.gov/epstein/files/DataSet%209/EFTA01088033.pdf

EFTA00803308Set 9

2017-04-1114p8,645w

Hess Corp. Bank of America e Inflection point: adding Hess to BofAML's Merrill Lynch US 1 `best ideas' list Reiterate Rating: BUY I P0: 80.00 USD I Price ... full defrothans of ~or ~mores. :et page II. BofA Merrill Lynch does and seeks to do business with issuers covered in its research reports. As a result, investors should ... embed' measures. see page II 2 Hess Corp. III April 2017 Bankof Amenca Merrill Lynch EFTA00803309 Adding Hess to BofAML US1 list Inflection point Over the past six months Hess

https://www.justice.gov/epstein/files/DataSet%209/EFTA00803308.pdf

EFTA00796512Set 9

2017-05-0314p10,174w

Apple Inc. Bank of America "sic * Merrill Lynch More controversies than expected, but reiterate Buy ahead of iPhone 8 cycle Reiterate Rating: BUY I P0: 155.00 USD 1 Price ... full &looms of emrtior measures, see page II. BofA Merrill Lynch does and seeks to do business with issuers covered in its research reports. As a result, Investors should ... tantiod" measures. :cc page II 2 Apple Inc. 103 May 2017 Bankof America' Merrill Lynch EFTA00796513 Key points to focus on post the quarter Apple is accruing for Samsung royalty

https://www.justice.gov/epstein/files/DataSet%209/EFTA00796512.pdf

EFTA00810614Set 9

2019-02-0427p12,087w

Ruemmler Danielle Bumess, Senior Vice President - Wealth Management, Senior Financial Advisor February 04, 2019 Merrill Lynch Bank of America Corporation SENSITIVE CLIENT INFORMATION INSIDE EFTA00810614 Account List Merrill Lynch Bank ... America Corporation As of Close of Business: 02/01/2019 Merrill Lynch Account Number/NickName AccountTide CreditType Account Registration Market Value(S) %of Total XXX-XX739 "KATHY SMA MUNI' Cash ... Unless otherwise indicated. assets and investment accoitts included in this Report are held at Merrill Lynch. Pierce. Fenner a Smith Incorporated rkILPF&S"). Member SIPC. Bank deposits are held

https://www.justice.gov/epstein/files/DataSet%209/EFTA00810614.pdf

EFTA01123914Set 9

2015-12-157p4,443w

Ruemmler CMA accounts . , Senior Vice President - Weath Management, Senior Financial Advisor December 15, 2015 Merrill Lynch Bank of America Corporation SENSITIVE CLIENT INFORMATION INSIDE EFTA01123914 Account List Merrill Lynch Bank ... America Corporation As of Close of Business: 12/14/2015 Merrill Lynch Account Number/NickName Account Title Credtlryps Account neeletratiOn Market Value(S) % of Total XXX-XX826 Cash CMA Pledged 1.535.179 86.69 Service ... Unless othernne indicated. assets and iwestrnent accowas included in this Report are held at Merrill Lynch. Pierce. Fenner & Smith Incorporated (MLPF&S). Member SIPC. Bank deposits are held

https://www.justice.gov/epstein/files/DataSet%209/EFTA01123914.pdf

EFTA01374036Set 10

2008-01-311p811w

Alpha Group Caudal Paul Barrett those trades with traders on a Merrill Lynch securities proprietary trading desk. The 2011 Order found that, at times, Merrill Lynch's securities proprietary traders ... used that information to place trades for Merrill Lynch after execution of the institutional customer order. The 2011 Order found that this disclosure and use of institutional customer order information ... Merrill Lynch's traders was improper and contrary to Merrill Lynch's confidentiality representations to its customers. The 2011 Order also found instances between 2002 and 2007 when Merrill Lynch

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374036.pdf

EFTA00796592Set 9

4p1,978w

01O3862 ACAT0671 Client Account Transfer Form Merrill Lynch Use this form to transfer all or a portion of your account from Bank of America Corporation another financial institution to your ... Merrill Lynch. Pierce. Fenner & Smith Incorporated ('Merrill Lynch') account. For best results, please complete the information requested below in parts 1 to 4 using ALL CAPITAL letters and black ... deposits or withdrawals you've set up on the account you're transferring to Merrill Lynch. • Some transfers may result in tax consequences, penalties or financial risk. Consult your

https://www.justice.gov/epstein/files/DataSet%209/EFTA00796592.pdf

EFTA00665021Set 9

2017-09-1911p2,641w

Initial RTY Level (RTYO) 1,440.404 Thanks, Amanda Amanda Ens Director Bank of America Merrill Lynch Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park, 5th Floor, New York ... EFTA00665023 [cid:image002.png®01D330BF.B0109580] [cid:image005.png®01D330BF.B0109580] [cid:image007.png®01D330BF.B0109580] Source: BofA Merrill Lynch Global Research. Daily data from 7-Nov-16 through 18-Sep-17. Source: BofA Merrill Lynch ... Group, I/B/E/S, Compustat. Monthly data shown from Aug-03 through Aug-17. Source: BofA Merrill Lynch Global Research. Weekly data from 1-Jan-13 through 12-Sep-17. Futures positioning

https://www.justice.gov/epstein/files/DataSet%209/EFTA00665021.pdf

EFTA02455428Set 11

2016-08-097p1,795w

potential risk parity unwinds. Consequently, risk parity portfolio volatility remained quite =uted </=> Source: BofA Merrill Lynch Global Research. Daily data from=4-Jan-16 through 5-Aug-16. <=> Source: BofA ... Merrill Lynch Global Research. Equity, fixed i=come, and commodity components within the hypothetical risk parity investment are represented by the S&P500, 10-Year US Treasury Bonds ... using EWMA with a lambda equal to 0.94. EFTA_R1_01558036 EFTA02455428 Source: BofA Merrill Lynch Global Research. Daily data from=31-Dec-12 through 27-Jun-16. Equity, fixed

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02455428.pdf

EFTA00726318Set 9

2010-01-2083p25,091w

Hanauer & Company Had an account with Janney Montgomery Scott LLC Had an account with Merrill Lynch Pierce Fenner & Smith Mediator for N.C. Dispute Resolution Commission Certified Arbitrator for NY County ... 02/27/2008 Financial Services 05-00203 Howard Comart, Loretta Comart, David Liebowitz, et al v Merrill Lynch Pierce Fenner & Smith, 10/03/2006 Inc, Michael Rosenthal, 04-07823 Stafford Reynolds v. Brown & Company ... Group, LLC et 05/30/2008 al 03-02452 Raymond David McElfish and McElfish & Associates v. Merrill Lynch, Pierce Fenner & Smith, Inc 06/14/2007 And Ilicia Silverman et al 05-02357 Brian Egan

https://www.justice.gov/epstein/files/DataSet%209/EFTA00726318.pdf

EFTA01374038Set 10

2015-06-181p760w

Barrett IMPORTANT REGULATORY DISCLOSURE Effective as of June 18, 2015 On June 18 , 2015, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and certain of its affiliated entities received an order ... provision in Rule 506(d)(1)(iv). During the disqualification period necessitating the waiver, Merrill is providing the following disclosure to customers who purchase a Rule 506 private placement offering ... that Merrill issues or distributes: Pursuant to an SEC administrative order, without admitting or denying any allegations, Merrill was ordered to cease and desist from violations of Securities

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374038.pdf

EFTA01374035Set 10

2008-01-311p451w

Alpha Group Capital Paul Barrett GWIM Alternative Investments S Merrill Lynch 4 World Financial Center Wealth Management' 250 Vesey Street, Fl New York, NY 10080 3. The Massachusetts Securities Division ... part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate securities issued by collateral debt obligations ("ARS CDOs") to the city ... Springfield, Massachusetts. Without admitting or denying the MSD's allegations, Merrill Lynch agreed to certain undertakings, to cease and desist from violations of the Massachusetts Uniform Securities

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374035.pdf

EFTA01386108Set 10

2008-01-311p453w

Alpha Group Capital Paul Barrett GWIM Alternative Investments S Merrill Lynch 4 World Financial Center Wealth Management' 250 Vesey Street, Il thF1 New York, NY 10080 3. The Massachusetts Securities ... part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate securities issued by collateral debt obligations ("ARS CDOs") to the city ... Springfield, Massachusetts. Without admitting or denying the MSD's allegations, Merrill Lynch agreed to certain undertakings, to cease and desist from violations of the Massachusetts Uniform Securities

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386108.pdf

EFTA00313530Set 9

2013-01-2612p3,827w

Merrill Lynch T Page Bank of America Corporation loft2 2012 TAX REPORTING STATEMENT ORIGINAL 1099 01/26/2013 MR DANIEL M GROFF Table of Contents Page Y K GROFF Summary Pages ... Dividend Income Activity 9 Interest Income Activity 10 Checking and Visa Summary 11 Merrill Lynch would like you to note the followin9 item(s) that may affect your tax return ... cost basis but the adjusted basis will not be transmitted to the IRS. EFTA00313530 Merrill Lynch Account No. Taxpayer No. Page 2 of 12 Bank of America Corporation MR DANIEL

https://www.justice.gov/epstein/files/DataSet%209/EFTA00313530.pdf

EFTA01386110Set 10

2013-09-231p706w

Alpha Group Capital Paul Barrett penalty, and $6.62 million prejudgment interest; and Merrill and BOAMS consented to permanent injunctions against violations of Securities Act §5(b)(1). With respect ... Securities Act §17(a)(2) and (3), the SEC alleged that BANA, BOAMS and Merrill (1) underwrote a prime RMBS ("BOAMS 2008-A") and failed to comply with its representation ... order (the "2011 Order") finding that (1) between February 2003 and February 2005, Merrill market makers executing institutional customer orders for securities sometimes shared information concerning those trades with traders

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386110.pdf

EFTA02343682Set 11

2016-07-264p1,579w

DISCLAIMER FOR =ARKET COMMENTARY This material =as prepared by Sales and Trading Personnel of Merrill Lynch. This =nformation is intended to provide informal, subjective comments =egarding the swaps market ... financial advice that may be relied upon. This =nformation is not a publication of Merrill Lynch Research (ML Research) and it has not been reviewed or approved by any employee ... Research. This information is based upon various sources believed to be reliable, but Merrill =ynch provides no guarantee, representation or warranty regarding the =ccuracy, completeness or timeliness of the information

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02343682.pdf

EFTA00729583Set 9

2009-08-0520p6,144w

held 120,000 shares of Bear Stearns stock in a brokerage account maintained at Merrill Lynch, Account No. 5AX-07000 (the "Merrill Lynch Account"). 8. Epstein was at all relevant ... inducing Financial Trust to retain the shares of Bear Stearns held in the Merrill Lynch Account, which Financial Trust did until Bear Steams' collapse in March 2008. 16. Bear Steams ... March, 2008. 20. Financial Trust sold 20,000 Bear Stearns shares, held in the Merrill Lynch Account, on or about March 14, 2008 for a severely reduced price

https://www.justice.gov/epstein/files/DataSet%209/EFTA00729583.pdf

EFTA00123623Set 9

2019-02-0252p24,643w

statement credits and deposits made directly into an eligible Bank of America® or Merrill Lynch® account You can also save for college by redeeming as little ... contribution into a qualifying 529 account with Merrill Lynch®. Either way, you are in control of how you redeem your rewards (Footnote 2). Your relationship is rewarded sooner on every ... Bank of America checking or savings account, Into a qualifying Cash Management Account' with Merrill Lynch Wealth Management' or Merrill Edge', or for a statement credit do not have

https://www.justice.gov/epstein/files/DataSet%209/EFTA00123623.pdf

EFTA00722107Set 9

2008-06-0220p6,099w

held 120,000 shares of Bear Steams stock in a brokerage account maintained at Merrill Lynch, Account No. 5AX-07000 (the "Merrill Lynch Account"). 8. Epstein was at all relevant ... inducing Financial Trust to retain the shares of Bear Steams held in the Merrill Lynch Account, which Financial Trust did until Bear Stearns' collapse in March 2008. 16. Bear Steams ... March, 2008. 20. Financial Trust sold 20,000 Bear Stearns shares, held in the Merrill Lynch Account, on or about March 14, 2008 for a severely reduced price

https://www.justice.gov/epstein/files/DataSet%209/EFTA00722107.pdf