EFTA01299692Set 10
2015-03-273p822w
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:HAY NORTH BROADWAY ... 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
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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386112.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
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374040.pdf
EFTA01299827Set 10
2014-01-163p761w
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 ... HUNT //BIOVENTURES
LP 1900 NORTH AWARD
S//T DALLAS TX
75201-2300
STIFEL, NICOLAUS COMPANY INC
040022871 JSP 0 W 021000089 4055-3953 246182.14
CITIBANK, N.A. 6X
NEW YORK
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01299827.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
EFTA02167989Set 10
2012-05-298p2,736w
mail
cannot be warranted or guaranteed by Stifel Nicolaus or its affiliates.
Stifel, Nicolaus & Company, Incorporated
Member NYSE & SIPC
a ua 01 N. Broadway, St. Louis, MO 63102
Stifel Nicolaus
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02167989.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
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
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