EFTA01108547Set 9
2016-03-1096p52,843w
list the Series A Preferred Units on the New York Stock Exchange (the "NYSE") under the
2_7 G symbol " ." If the application is approved, we expect trading ... Series A Preferred Units on the NYSE to
,g. .__0 begin within 30 days after the Series A Preferred Units are first issued.
8t
Neither the Securities and Exchange Commission ... subsidiaries. Prior to KKR & Co. LP. becoming listed on the New York Stock
Exchange ("NYSE") on July 15, 2010, KKR Group Holdings L.P. ("Group Holdings") consolidated
the financial results
https://www.justice.gov/epstein/files/DataSet%209/EFTA01108547.pdf
EFTA00618203Set 9
2016-06-0663p37,674w
depositary shares
representing the Scrics A Preference Shares on the New York Stock Exchange ("NYSE") under the symbol "VRPFtA." If the application is approved we expect trading to
commence within ... which would include our common shares, are listed on an appointed
stock exchange (the NYSE is deemed to be an appointed stock exchange under Bermuda law), general permission is
given ... successfully list the
depositary shares representing the Series A Preference Shares on the
NYSE. Qualified dividend income is subject to preferential tax rates,
rather than the higher rates applicable
https://www.justice.gov/epstein/files/DataSet%209/EFTA00618203.pdf
EFTA01198069Set 9
2015-07-2795p44,280w
apply to list the
O oi. depositary shares on the New York Stock Exchange ("NYSE') under the symbol "SCRIM PrC". If the application is
O .54
.... .,.. approved, we expect trading ... depositary shares on the NYSE to begin within the 30-day period after the initial
• t:
O O
delivery of the depositary shares.
•
El a Investing in the depositary shares ... None.
Listing We intend to apply for listing of the depositary shares
on the NYSE under the symbol "SCHW PrC". If the
application is approved, we expect trading
https://www.justice.gov/epstein/files/DataSet%209/EFTA01198069.pdf
EFTA01371321Set 10
2017-06-161p396w
Disciplinary, Regulatory Action, 04/20/2012
Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule
10.2(d) by failing to provide testimony as requested by FINRA ... behalf of NYSE Arca. Respondents are
permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120
calendar days from the issuance of this Decision in accordance ... Disciplinary. Regulatory Action, 04/20/2012
Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule
10.2(d) by failing to provide testimony as requested by FINRA
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371321.pdf
EFTA00082947Set 9
2011-12-12126p36,951w
Acquisition (tradersmagazine.com)
Axos Financial, Inc. Closes COR Clearing LLC Acquisition
Axos Financial, Inc. (NYSE: AX) (Axos or the Company) announced that its subsidiary, Axos Clearing, LLC, has
completed the acquisition ... STATES OF AMERICA (sec.gov)
the fraud Benchmark acquisition "revenue" used to "uplist" to the NYSE
EFTA00082954
you can take the money laundering shell out of the OTCM ... daily OTC BB and OTC Market shares traded (millions) 9,096
Avg daily NYSE AND NASDAQ shares traded (millions) 986
Per my consistent correspondence with the SEC: Knight/KCG:NITE derived
https://www.justice.gov/epstein/files/DataSet%209/EFTA00082947.pdf
EFTA00071140Set 9
2021-08-02144p41,862w
Acquisition (tradersmagazine.com)
Axos Financial, Inc. Closes COR Clearing LLC Acquisition
Axos Financial, Inc. (NYSE: AX) (Axos or the Company) announced that its subsidiary, Axos Clearing, LLC, has
completed the acquisition ... STATES OF AMERICA (sec.gov)
the fraud Benchmark acquisition "revenue" used to "uplist" to the NYSE
you can take the money laundering shell out of the OTCM ... daily OTC BB and OTC Market shares traded (millions) 9,096
Avg daily NYSE AND NASDAQ shares traded (millions) 986
Per my consistent correspondence with the SEC: Knight/KCG:NITE derived
https://www.justice.gov/epstein/files/DataSet%209/EFTA00071140.pdf
EFTA01103701Set 9
2014-11-0389p57,380w
associated persons of JPMS,
and may not be subject to FINRA Rule 2711 and NYSE Rule 472 restrictions on communications with covered companies, public
appearances, and trading securities held ... www.00tionscleanna.comioubl ications;riskgriskstoc.odf
Legal Entities Disclosures
U.S.: JPMS is a member of NYSE, FINRA. SIPC and the NFA. JPMorgan Chase Bank, N.A. is a member of FDIC. U.K.: JPMorgan Chase ... websitc at hup://www.optionsclearing.comlpublications/riskstriskstoc.pdf
Legal Entities Disclosures
U.S.: JPMS is a member of NYSE, FINRA. SIPC and the NFA. JPMorgan Chase Bank, N.A. is a member of FDIC
https://www.justice.gov/epstein/files/DataSet%209/EFTA01103701.pdf
EFTA00070043Set 9
2021-08-30158p45,165w
Acquisition (tradersmagazine.com)
Axos Financial, Inc. Closes COR Clearing LLC Acquisition
Axos Financial, Inc. (NYSE: AX) (Axos or the Company) announced that its subsidiary, Axos Clearing, LLC, has
completed the acquisition ... STATES OF AMERICA (sec.gov)
the fraud Benchmark acquisition "revenue" used to "uplist" to the NYSE
you can take the money laundering shell out of the OTCM
https://www.justice.gov/epstein/files/DataSet%209/EFTA00070043.pdf
EFTA00070722Set 9
2019-02-1599p30,064w
daily OTC BB and OTC Market shares traded (millions) 9,096
Avg daily NYSE AND NASDAQ shares traded (millions) 986
Per my consistent correspondence with the SEC: Knight/KCG:NITE derived ... Dmitry Akhanov, CEO of Rusnano USA, Inc., RUSNANO
www.topionetworks.com
Akhanov is also involved in NYSE listed Neophotonics
NeoPhotonics Names Dmitry Akhanov to Board of Directors President and CEO of Rusnano ... Melt Inc MELT
XXStream XMET
FinotecGroup FTGI
Enabling Asia Inc EAIN
Goff Corp GOFF
NYSE listed SyntheticBiologics SYN
Exobox EXBX
just to name a few
Lazar NY address: 3445 Lawrence
https://www.justice.gov/epstein/files/DataSet%209/EFTA00070722.pdf
EFTA00102521Set 9
2021-07-09115p33,938w
daily OTC BB and OTC Market shares traded (millions) 9,096
Avg daily NYSE AND NASDAQ shares traded (millions) 986
Per my consistent correspondence with the SEC: Knight/KCG:NITE derived ... Marvell (NASDAQ: MRVL) today
announced that it has completed its acquisition of Aquantia,
Corp. (NYSE: AQ).. Aquantia pioneered Multi-Gig technology -
www.marvell.com
The SEC massive frauds on the SDNY ... Dmitry Akhanov, CEO of Rusnano USA, Inc., RUSNANO
www.topionetworks.com
Akhanov is also involved in NYSE listed Neophotonics
NeoPhotonics Names Dmitry Akhanov to Board of Directors President and CEO of Rusnano
https://www.justice.gov/epstein/files/DataSet%209/EFTA00102521.pdf
EFTA01383739Set 10
2014-12-311p564w
described above.
6. Price Range of Shares: Dividends.
The Shares currently trade on the NYSE under the ticker symbol "MBLY." Mobileye has advised Intel and
Purchaser that ... each
quarterly period within the three preceding fiscal years. as reported on the NYSE.
Ifigh Low
Year Ended December 31, 2014
Third Quarter (from August 1, 2014. date ... signing of the Purchase
Agreement, the reported closing price of the Shares on the NYSE was $47.27 per Share. On April 4. 2017. the
last full trading day before
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01383739.pdf
EFTA00067752Set 9
2021-06-11108p32,273w
daily OTC BB and OTC Market shares traded (millions) 9,096
Avg daily NYSE AND NASDAQ shares traded (millions) 986
Per my consistent correspondence with the SEC: Knight/KCG:NITE derived ... Marvell (NASDAQ: MRVL) today
announced that it has completed its acquisition of Aquantia,
Corp. (NYSE: AQ).. Aquantia pioneered Multi-Gig technology -
www.marvell.com
The SEC massive frauds on the SDNY ... Dmitry Akhanov, CEO of Rusnano USA, Inc., RUSNANO
www.topionetworks.com
Akhanov is also involved in NYSE listed Neophotonics
NeoPhotonics Names Dmitry Akhanov to Board of Directors President and CEO of Rusnano
https://www.justice.gov/epstein/files/DataSet%209/EFTA00067752.pdf
EFTA00854192Set 9
2015-06-164p576w
jeevacation@gmail.com>
To: Richard Kahn
Subject: Re: *** NEW LEFT BOOKRUN INITIAL PUBLIC OFFERING *** UNIVAR (NYSE: UNVR)
*** APPROVED FOR EXTERNAL DISTRIBUTION ***
Date: Tue, 16 Jun 2015 21:23:47 +0000
always ... Morris
>, Stewart Oldfield < Richard Kahn
Subject: FW: *** NEW LEFT BOOKRUN INITIAL PUBLIC OFFERING *** UNIVAR (NYSE:
UNVR) ***APPROVED FOR EXTERNAL DISTRIBUTION "**
Date: June ... 150m from selling shareholders at IPO.
Offer Range: $20.00 - $22.00
Exchange: NYSE
Anticipated pricing: Wednesday, June 17th (Post Market Close)
Roadshow:
6/8 — Management presentations / New York
6/9 — Mid Atlantic
https://www.justice.gov/epstein/files/DataSet%209/EFTA00854192.pdf