EFTA00413854Set 9
2012-05-043p986w
From: Ike Groff el
To: 'Lesley Groff' el
Subject: RE: FW: Stifel Nicolaus Annual Family Event: Join us @ The American Museum ofNatural
History - Sunday June 3, 2012 - Host Richard Jaffe ... Friday, May 04, 2012 12:23 PM
To: lke Groff
Subject: Re: FW: Stifel Nicolaus Annual Family Event: loin us @ The American Museum of Natural History - Sunday June ... Park Ave) [mailto:
Sent: Friday, May 04, 2012 11:28 AM
Subject: FW: Stifel Nicolaus Annual Family Event: Join us @ The American Museum of Natural History -
Sunday June
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413854.pdf
EFTA02167989Set 10
2012-05-298p2,736w
will send invite again so you have the details.
Thank you!
Claire MacGillivray
Stifel Nicolaus & Co., Inc. I Institutional Equity Sales I Vice President
237 Park Avenue, 8th Floor ... waiting list. 1 cc'd him.
Thanks,
Marty
Martin P. Moroney
Managing Director
Stifel Nicolaus & Co
237 Park Ave
8"" floor
Ne
Tel
Desk Trading Tel
im-- mmoroneys e
From ... with, please let me know!
Thank you!
Claire
Stift! Conferences & Special Events
2012 Stifel Nicolaus Denver 1st Conference Denver, CO
• Thursday. May 10th 2012
• Featuring
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02167989.pdf
EFTA00413839Set 9
2012-05-043p709w
From: Ike Groff
To: "Lesley Groff (MINIa"
Subject: FW: Stifel Nicolaus Annual Family Event: Join us @ The American Museum of Natural History -
Sunday June 3, 2012 - Host Richard Jaffe
Date ... Park Ave) [mailto:
Sent: Friday, May 04, 2012 11:28 AM
Subject: FW: Stifel Nicolaus Annual Family Event: Join us @ The American Museum of Natural
History - Sunday June ... names of those attending with you or your clients
[cid:image003.jpg@0lCD29EA.84CB6260]
Stifel Nicolaus Capital Markets is pleased to announce:
[cid:image010.jpg@0lCD2854.09300BC0] [cid:image0ll.jpg@0lCD2854.09300BC0]
[cid:image012.jpg@0lCD2854.09300BC0
https://www.justice.gov/epstein/files/DataSet%209/EFTA00413839.pdf
EFTA02031323Set 10
2012-04-032p237w
fine....
If you would like to call..
Nancy Rubin
Vice President/Investments
Stifel, Nicolaus & Co.
Roseland, NJ 07068
NI electronic messages sent and received by Stifel Nicolaus
Associates are subject ... review by Stifel Nicelaus. Stifel Nicolaus
may retain and reproduce electronic messages for state. federal, or
other regulatory agencies as required by applicable law.
IMPORTANT: Please ... time-sensitive messages sent by
e-mail cannot be accepted or processed by Stifel Nicolaus. The
accuracy of any information sent by Stifel Nicolaus through e-mail
cannot be warranted
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02031323.pdf
EFTA01374040Set 10
2016-12-061p363w
Alpha Group Caudal Paul Barren
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Waived Disqualifying Events
On December 6, 2016, a final judgment ("Judgment") was entered against Stifel, Nicolaus &
Company, Inc. ("Stifel Nicolaus ... website:
• Judgment: https://www.sec.gov/litigation/litreleases/2016/1,23700-final-judgment.pdf.
• Advisers Act Waiver: https://www.sec.gov/divisions/investment/noaction/2016/stifel-
nicolaus-120616-206(4).htm
• Securities Act Waivers: https://www.sec.gov/rules/other/2016/33-10263.pdf
• Investment Company Act Exemption:
https://www.sec.gov/Archives/edgar/data/948905/999999999716027528/filenamel.pdf.
CONFIDENTIAL
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374040.pdf
EFTA01299827Set 10
2014-01-163p761w
SEKHAR BAHADUR
MONIQUE BAHADUR
35 244216
N40020248 JSP I W 8900036958 STIFEL, NICOLAUS /ACC/ +I BSTIEVI33EDI +E SNP HUNT 1000000.00
SIDNY_GM_00065955
CONFIDENTIAL - PURSUANT TO FED. R. CRIM ... ACCOUNT RR I/O C/W DESCRIPTION ADDITIONAL INFO BENEFICIARIES NET AMOUNT
ISSUER NAME
STIFEL, NICOLAUS COMPANY INC COMPANY INC 501 //BIOVENTURES LP 1900 NORTH AKARD S
501 NORTH BROADWAY NORTH BROADWAY ... LOUIS, MO 63102 036823787 BANK OF NEW YORK
8900036958 VOID N40020248
STIEHL NICOLAUS /ACC/ +I BUY COST RRN - FTE1401162254900
BSTIFNI33EDI +E BNF
HUNT //BIOVENTURES
LP 1900 NORTH AWARD
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299827.pdf
EFTA01386112Set 10
2016-12-061p364w
Alpha Group Caudal Paul Barren
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Waived Disqualifying Events
On December 6, 2016, a final judgment ("Judgment") was entered against Stifel, Nicolaus &
Company, Inc. ("Stifel Nicolaus ... website:
• Judgment: https://www.sec.gov/litigation/litreleases/2016/1,23700-final-judgment.pdf.
• Advisers Act Waiver: https://www.sec.gov/divisions/investment/noaction/2016/stifel-
nicolaus-120616-206(4).htm
• Securities Act Waivers: https://www.sec.gov/rules/other/2016/33-10263.pdf
• Investment Company Act Exemption:
https://www.sec.gov/Archives/edgar/data/948905/999999999716027528/filenamel.pdf.
CONFIDENTIAL
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386112.pdf
EFTA01299692Set 10
2015-03-273p822w
LEESBURG VA 20175 FLOOR //NEW YORK NY
10151
MIDDLIDWRG BANK
iSP I STIFFS, NICOLAUS 800000.00
STIFEL, NICOLAUS COMPANY INC COMPANY INC 501 STEVEN S. MYERS REV TR
501 NORTH BROM ... WEBS 2355 WESTW300
BLV//D STE 410 LOS
PMGELES CA 90064-21/
ST:FEL, NICOLAUS COMPANY INC
N40322620 LIA 0 W 12 EAST 86111 STREET 25000.00
DEUTSCHE BANK TRUST
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299692.pdf
EFTA01299571Set 10
2015-03-273p815w
YORK. NY
10154
MIDDLIDISAG BANK
JSP I W 8000036958 STIFFS, NICOIAUS N40029553 800000.00
STIFEL, NICOLAUS COMPANY INO ON4PANY INC 501 4' c MYERS REV 7R
501 NORTH BROADWAY NORTH BROADWAY ... WEST14,00
BLV//D STE 410 LOS
N4GELES CA 90064-21/
ST:FEL, NICOLAUS COMPANY INC
LIA 0 V 021001033 12 BAST 867N STREET 25000.00
DEUTSCHE BANK TRUST CO. ANERIC
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299571.pdf
EFTA01386113Set 10
2015-06-181p218w
Disqualifying Events
On June 18, 2015, without admitting or denying the findings therein, Stifel, Nicolaus &
Company, Incorporated ("Stifel") consented to the entry of an order (the "Order") against Stifel
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386113.pdf
EFTA01377775Set 10
2015-11-061p628w
Barclays Capital Inc.
Deutsche Bank Securities Inc.
Jefferies LLC
RBC Capital Markets, LLC
Stile'. Nicolaus & Company
LOYAL3 Securities, Inc.
SMBC Nikko Securities America. Inc.
Total 27,000,000
The underwriters
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01377775.pdf
EFTA01374041Set 10
2015-06-181p217w
Disqualifying Events
On June 18, 2015, without admitting or denying the findings therein, Stifel, Nicolaus &
Company, Incorporated ("Stifel") consented to the entry of an order (the "Order") against Stifel
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374041.pdf