EFTA00805569Set 9
35p6,431w
NASDAQ Futures Exchange • Previous COO and Interim CFO of Noble Bank
Exchange (NFX) International, an IFE dedicated to facilitating
growth of the digital asset market
• Led NYMEX through transition ... electronic • Grew NFX volumes from start-up to the 2n°
trading and increased market cap from largest exchange in Natural Gas Options; • Head of large operational and business
$600M ... industry. He served as chairman, NASDAQ and CEO, Nasdaq Futures Exchange (NFX).
president and chief executive officer of Mission Resources Corporation where
he led the restoration of the company
https://www.justice.gov/epstein/files/DataSet%209/EFTA00805569.pdf
EFTA02115733Set 10
9p2,292w
upgrades GIMO (buy) & cuts ADTN/GEO
Miller Tabak upgrades CBRL (buy), Stifel upgrades NFX (buy) & initiates TKMR (buy)
• SocGen initiates K/KO/MJN/PG (buy) & BF.B/GIS/MDLZ/PEP (hold) & CUPM/STZ/TAP (sell)
• KBW downgrades CMO, SunTrust initiates ... ESI/NFLX
William Blair initiates JDSU, Bofa upgrades LH (buy), Raja upgrades MSFG/PHM
• Stifel upgrades NFX (buy), MS upgrades LH (buy)
Europe Key Research:
➢ BofAML upgrade BC IM. Bare downgrade
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02115733.pdf
EFTA02113512Set 10
2014-02-258p2,046w
Wells Fargo Real Estate Securities
Conference (NYC), Earnings (AES, CHK, CNP, CVC, DLTR, LOW, NFX, TGT, TJX, ADSK, BIDU, LB,
RIG)
Thursday: Durable & Capital Goods Orders, Kansas City Fed Manufacturing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02113512.pdf
EFTA00414238Set 9
2012-05-046p1,839w
GASS, GD, MCK, PH, RFMD, T
Shareholder Meetings: SGC, BEAT, RLJ, BWEN, CELL, GEO, NFX, AA, OII, VECO, APKT, AXAS, CW,
HPY, MJN, R, STFC, MAR, ROG, AKRX, B, EDGE
https://www.justice.gov/epstein/files/DataSet%209/EFTA00414238.pdf
EFTA02114263Set 10
2014-02-248p1,984w
Wells Fargo Real Estate Securities
Conference (NYC), Earnings (AES, CHK, CNP, CVC, DLTR, LOW, NFX, TGT, TJX, ADSK, BIDU, LB,
RIG)
Thursday: Durable & Capital Goods Orders, Kansas City Fed Manufacturing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114263.pdf
EFTA02114290Set 10
2014-02-218p2,059w
Wells Fargo Real Estate Securities
Conference (NYC), Earnings (AES, CHK, CNP, CVC, DLTR, LOW, NFX, TGT, TJX, ADSK, BIDU, LB,
RIG)
Thursday: Durable & Capital Goods Orders, Kansas City Fed Manufacturing
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02114290.pdf
EFTA01357792Set 10
2015-01-131p189w
liquidity screen
have recently completed asset sales, namely Chesapeake (CHK), Newfield
(NFX) and QEP Resources (QEP). Interestingly, looking at the bottom quartile,
there are several credits that have recently completed
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357792.pdf
EFTA00425821Set 9
2011-10-195p1,652w
SYBT, TIN, VCBI, WNS, WABC
Reporting Post-Close: AXP, EBAY, ETFC, EW, LRCX, NE, NFX, SLM, SYK, WDC, WYNN, XLNX, AF,
AMLN, BANR, BWLD, CAKE, CATY, CBST, CLB, CNS, COHU
https://www.justice.gov/epstein/files/DataSet%209/EFTA00425821.pdf