EFTA00726318Set 9
2010-01-2083p25,091w
Arbitrator Disclosure Report for
your review. The Arbitrator Disclosure Reports include each Arbitrators past NASD and FINRA
awards. NYSE awards are not currently listed on the Arbitrator Disclosure Reports. However ... Arbitrator's NASD, FINRA, and NYSE awards, if any, are available through our online award
database at www.finra.org/arbitrationmediation/index.htm.
Panel Composition
'Customer Code Rule 12403(b)
Industry Code Rule ... Securities Related Arbitration Update N.Y.C.L.A. 3 New York, NY
Training
04/2007 Revised Code of NASD 2 online
Arbitration
Staff ID: LeeC Page 2 of 75 Publicly Available Awards Section, Current
https://www.justice.gov/epstein/files/DataSet%209/EFTA00726318.pdf
EFTA01220280Set 9
2017-10-1242p26,390w
Data Transfer 11,888K8 SD6NR1 0.00
06:49a Sent NTS TEXT MESSA6 NASD 0.00 06:35p Data Transfer 1,594K8 SD6NR1 0.00
06:49a Sent NTS TEXT MESSA6 NASD ... Friday. 10/13
06:49a Sent NTS TEXT MESSA6 NASD 0.00 06:23a Data Transfer 3,996K8 SD6NR1 0.00
06:49a Sent NTS TEXT MESSA6 NASD 0.00 06:44 Data Transfer ... 637K8 SD6NR1 0.00
06:49a Sent MTN TEXT MESSA6 NASD 0.00 07:11p Data Transfer 58,617K8 SD6NR1 0.00
06:56a Rcvd MTN TEXT MESSA6 NASD 0.00 08:23p Data
https://www.justice.gov/epstein/files/DataSet%209/EFTA01220280.pdf
EFTA02444174Set 11
2009-05-0311p3,418w
person' affiliated with a member' of the National Association
of Securities Dealers, Inc. (the "NASD") or any other securities broker-dealer as
an officer, director, general partner, employee or agent ... undersigned
otherwise a person associated with an NASD member or any other securities
broker-dealers (excluding a person associated with an NASD member engaged
3 The term "person" includes ... natural person, partnership, corporation or other legal entity.
The term "person associated with an NASD member or any other securities broker-dealer" means every sole
proprietor, partner, officer, director
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02444174.pdf
EFTA00198956Set 9
1994-08-3064p10,574w
Your messages
As part of the National Association of Securities Dealer's (NASD) Investor
Education Program, you may obtain information on the NASD's Public
Disclosure Program by contacting ... NASD at telephone number (800)
289.9999 or via the internet address which is vnvw,nasdr,com, In addition, a
brochure explaining the Public Disclosure Program is available from the NASD
https://www.justice.gov/epstein/files/DataSet%209/EFTA00198956.pdf
EFTA01661868Set 10
2019-10-037778p1,321,678w
roam..
somosorm renw‘tent Ron+ w Ten Dusishaun Im u s mesh, NASD
JPAI.up“ Fools su Jun aosM b. JIAL•pn Dambeeno &morn Int. minb u an saute aiPMosinn ... mann.
rommorm Ida", totwortult e.1. w Tr, Ibuottnon u• amber NASD
JPAI.usa Fuols daJ.nMh . JPSiupn Daubeam Swenort owItolt Kan mak*. il•Molgan assetCa Milos. of JI,In.nt Claw& Ca Wray ... aber.t •nr.trab Red' w T•a, Cu' WI lab° NASD
JI.M..fpa• Fools. dun rm.eal r \Lyn s.,am . wihrh KanActor 4IPMourn Clwr et Co AMlua.dlMl.upnOrhC m....4..4ep.adsF
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01661868.pdf
EFTA00195171Set 9
1991-12-2666p11,188w
Your messages
125' Education
As part of the National Association of Securities Dealer's (NASD) Investor
Program, you may obtain information on the NASD's Public
Disclosure Program by contacting ... NASD at telephone number (800)
289.9999 or via the internet address which is vnvw.nasdr.com, In addition, a
brochure explaining the Public Disclosure Program is available from the NASD
upon request
https://www.justice.gov/epstein/files/DataSet%209/EFTA00195171.pdf
EFTA01260609Set 9
90p18,879w
exert
m Your messages
z As part of the Nat10418 Association of Securities Dealers (NASD) Investor
Education Progam, you may obtain information on the NASD's Public
Disclosure Progam ... contacting the NASD at telephone number (800)
289.9999 or via the Internet address which is vmw.nasOr.cern. In addition. a
r brochure explaining the Public Disclosure Program is available from ... NASD
upon request.
End of Statement
Z69TS£00- 019- ANGS
02) 01.01,05015, 11/ 00)
EFTA01260622
CLEARED 11.011C41 ITS
VileOLLY OWNIDD SUISICCARY
OFFICE SERVICING YOUR ACCOUNT
Isar SWOTS SOOSSeS
https://www.justice.gov/epstein/files/DataSet%209/EFTA01260609.pdf
EFTA01121162Set 9
2007-07-1345p17,604w
their respective
counsel in connection with any filings required to be made with the NASD;
(xx) furnish the Selling Shareholders, their counsel and the
underwriters, as expeditiously as possible, copies ... correspondence with or from the SEC,
the NASD, any stock exchange or other self-regulatory organization relating to the registration
statement or the transactions contemplated thereby and, a reasonable time ... prior to furnishing or
filing any such correspondence to the SEC, the NASD, stock exchange or self-regulatory
organization, furnish drafts of such correspondence to the Selling Shareholders, their counsel
https://www.justice.gov/epstein/files/DataSet%209/EFTA01121162.pdf
EFTA01069550Set 9
2007-07-1342p17,867w
their respective counsel in connection with any filings required to be made with the NASD;
(xx) furnish the Selling Shareholders, their counsel and the underwriters, as expeditiously as possible, copies ... correspondence with or from the SEC. the NASD, any stock exchange or other self-regulatory organization relating to the registration
statement or the transactions contemplated thereby and, a reasonable time ... prior to furnishing or filing any such correspondence to the
SEC. the NASD. stock exchange or self-regulatory organization, furnish drafts of such correspondence to the Selling Shareholders,
their counsel
https://www.justice.gov/epstein/files/DataSet%209/EFTA01069550.pdf
EFTA00197292Set 9
8p1,187w
LAST STATEMENT November 29.2002
As part of the National Association of Securities Dealer's (NASD) IMPORTANT NOTICE TO CLIENTS:
Investor Education Program, you may obtain information on the Disclosure ... Order Execution and Routing Practices
NASD's Public Disclosure Program by contacting the NASD at SEC Rule 11aC1-5 (monthly report) requires 'market centers" that
telephone number ... exchange-listed securities to make publicly available standardized,
Disclosure Program is available from the NASD upon request, monthly statistical information about "covered order' executions, as
defined by the rule, Friedman
https://www.justice.gov/epstein/files/DataSet%209/EFTA00197292.pdf
EFTA00200811Set 9
82p15,735w
bonds, money market or As part of the National Association of Securities Dealer's (NASD) Investor
mutual funds having a value of $250,000 or more for individuals ... fige Education Program, you may obtain information on the NASD's Public
for married couples filing jointly must pay a tax on these items, called Disclosure Program by contacting ... NASD at telephone number (800)
'Intangible Tax", by June 30 to avoid increased penalties. For Tax Returns and 289.9999 or via the intemet address which is wrinv,nasdr
https://www.justice.gov/epstein/files/DataSet%209/EFTA00200811.pdf
EFTA00197279Set 9
2003-12-1713p2,405w
messages LAST STATEMENT September 30.2003
As part of the National Association of Securities Dealers (NASD) Investor IMPORTANT NOTICE TO CLIENTS: Disclosure of Order Execution and Routing
la" Education Program ... obtain information on the NASD's Public
la" Practices Sec Rule 11Ac1.5 (Monthly report) requires 'market centers' that
Disclosure Program by contacting the NASD at telephone number (800) trade Nasdaq ... publicly available standardized, monthly
brochure explaining the Public Disclosure Program is available from the NASD statistical information about 'covered order' executions, as defined by the rule,
upon request. Friedman, Billings
https://www.justice.gov/epstein/files/DataSet%209/EFTA00197279.pdf
EFTA00196734Set 9
90p17,527w
Raiment
Your messages
As part of the National Association of Securities Dealer's (NASD) Investor
Education Program, you may obtain information on the NASD's Public
Disclosure Program by contacting ... NASD at telephone number (800)
289.9999 or via the internal address which is vAvvr,nasdr,com, In addition, a
brochure explaining the Public Disclosure Program is available from the NASD
https://www.justice.gov/epstein/files/DataSet%209/EFTA00196734.pdf