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Corpus: 1990-03-17 – 2025-12-01

January 2012

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Results by Dataset2 total

Set 9

2

2 results for “"Non - Advisory Personnel for Client Referrals"”

EFTA00284812Set 9

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2012-01-26

15p

3,524w

Clients (Includes Sales Awards or Other Prizes) 9 B. Compensation to Non - Advisory Personnel for Client Referrals 9 Item 15: Custody 9 Item 16: Investment Discretion 9 Item 17: Voting ... third party for advice rendered to WAM clients. B. Compensation to Non — Advisory Personnel for Client Referrals WAM does not directly or indirectly compensate any person who is not advisory

https://www.justice.gov/epstein/files/DataSet%209/EFTA00284812.pdf

EFTA00284589Set 9

2011-05-1015p3,526w