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Corpus: 1990-03-17 – 2025-12-01

December 2014

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Results by Dataset1,745 total

Set 9

154

Set 10

1,566

Set 11

results for “"Pershing's"”

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EFTA01254572Set 9

2014-12-0179p37,384w

document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (B. DIV. INT. OlD and MISC): Your form 1099 will ... your 1099 form. Your 1099 will be mailed no later than Mara 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process ... When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with

https://www.justice.gov/epstein/files/DataSet%209/EFTA01254572.pdf

EFTA01291389Set 10

2014-12-0178p37,435w

document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (a DIV, INT. O/D and 411SC): Your form 1099 will ... your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process ... When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291389.pdf

EFTA01291620Set 10

2018-12-3177p36,957w

figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency ... dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary ... Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291620.pdf

EFTA01291029Set 10

2014-12-3185p40,081w

document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, VD andMC): Your form 1099 will ... your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process ... Vvhen a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291029.pdf

EFTA01291467Set 10

2015-12-0176p36,737w

document or contact your advisor for additional information. Pease note the following information Sr Pershing's 2015 IRS Forms 1099 (8, DIV, INT, OID and MISC ): Your form ... Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement ... vote than the number of shares In your margin account Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291467.pdf

EFTA01291178Set 10

2017-12-0198p46,943w

included in the figures for certain securities, thereby overstating them Refer to www pershing corn/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect ... this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291178.pdf

EFTA01291276Set 10

2018-12-3191p43,220w

person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect ... this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign ... dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291276.pdf

EFTA01291791Set 10

2018-12-0194p43,908w

person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect ... this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign ... dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291791.pdf

EFTA01291543Set 10

2016-12-0177p39,955w

Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement ... entitled to vote than the of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign ... dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291543.pdf

EFTA01290318Set 10

2017-12-0196p44,468w

security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosjres Pricing This ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect ... this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290318.pdf

EFTA01254095Set 9

2015-12-3193p46,127w

security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market ... document or contact your advisor for additional information. Please note the blowing information for Pershing's 2015 IRS Forms 1099(8, DIV. INT, OlD and MISC ): Your form 1099 will ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect

https://www.justice.gov/epstein/files/DataSet%209/EFTA01254095.pdf

EFTA01290414Set 10

2018-12-01100p44,552w

person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Page 3 of 7 Account ... SDNY-0010603 EFTA_00158388 EFTA01290416 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency ... dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290414.pdf

EFTA01290128Set 10

2014-06-05103p48,428w

security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa•es Federal Depose ... your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process ... When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290128.pdf

EFTA01291114Set 10

2015-12-3164p30,841w

document or contact your advisor for additional information. Please note the blowing information for Pershing's 2015 IRS Forms 1099 (8, DIV, INT, OIL) and MISC ): Your form 1099 will ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect ... Vote Securities not luny paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291114.pdf

EFTA01291697Set 10

2015-12-0194p46,447w

this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messa es Federal Deposit Insurance ... document or contact your advisor for additional information. Please note the following information for Pershing's 2015 IRS Forms 1099 (B, DIV, INT, 010 and MSC ): Your form 1099 will ... person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order Now. Options Information with respect

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01291697.pdf

EFTA01290001Set 10

2017-12-31104p45,379w

should consult your tax advisor in the preparation of your tax returns. 12 Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ ... security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing ads as your agent and receives payment for order flow. Option Disclosure Information with respect

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290001.pdf

EFTA01290231Set 10

2016-12-3187p44,749w

security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market ... person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect ... Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01290231.pdf

EFTA01289764Set 10

2014-06-05123p57,808w

this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated ... security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Carting ... document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV. INT, OID and MISC): Your form 1099 will

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01289764.pdf

EFTA01253965Set 9

2016-12-30103p50,061w

person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect ... Vote Securities not hilly paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement ... vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency

https://www.justice.gov/epstein/files/DataSet%209/EFTA01253965.pdf

EFTA01254188Set 9

1999-02-09122p55,996w

this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to fhe accuracy of this information. v Pershing has received updated ... security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of Misinformation. Portfolio Holdings Disclosures Pricing This section ... person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect

https://www.justice.gov/epstein/files/DataSet%209/EFTA01254188.pdf