which Deutsche Bank Securities Inc., Citigroup Global Markets Inc., Raymond
James & Associates, Inc., RBC Capital Markets, LLC and FUR Capital Markets & Co. arc acting as
representatives of the underwriters ... with Deutsche
Bank Securities Inc., Citigroup Global Markets Inc., Raymond James & Associates, Inc., RBC
Capital Markets, LLC and FIR Capital Markets & Co. acting as representatives of the underwriters
named below ... Shares
Deutsche Bank Securities Inc.
Citigroup Global Markets Inc.
Raymond James & Associates, Inc.
RBC Capital Markets, LLC
FBR Capital Markets & Co.
Janney Montgomery Scott LW
Oppenheimer & Co. Inc.
Wunderlich Securities
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01385002.pdf
EFTA00690288Set 9
2015-11-1656p26,214w
BofA Merrill Lynch
0 V)
2 ID Morgan Stanley
O. VI
a)
er.= RBC Capital Markets
es — UBS Investment Bank
E in Wells Fargo Securities
F. —
in. 2
Lead Manager ... EFTA00690318
UNDERWRITING
Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, RBC Capital
Markets, LLC, UBS Securities LLC and Wells Fargo Securities, LLC are acting as representatives ... Underwriters of Notes
Merrill Lynch, Pierce, Fenner & Smith
Incorporated
Morgan Stanley & Co. LLC
RBC Capital Markets, LLC
UBS Securities LLC
Wells Fargo Securities, LLC
Citigroup Global Markets Inc.
BNY Mellon
https://www.justice.gov/epstein/files/DataSet%209/EFTA00690288.pdf
EFTA01091533Set 9
2016-05-13212p67,062w
Patiently Waiting; Initiating Coverage at UW (Aug. 22, 2012).
74. In February 2013, RBC Capital Markets concluded that Caesars would
"effectively run out of cash ... RBC Capital Markets Report, Q4 Results
Uninspiring; Maintaining Underperform (Feb. 26, 2013). In May 2013, RBC opined that
Caesars' asset sales were "short-term solutions" that would "only buy them ... debt-for-equity exchange or distressed debt exchange will need to be
consummated." RBC Capital Markets Report, QI Results Did Little to Change Our View (May
2, 2013). In June
https://www.justice.gov/epstein/files/DataSet%209/EFTA01091533.pdf
EFTA01522762Set 10
2012-03-011p221w
3/26 03/01/2012 @ 99.50 RBC CAPITAL MARKETS
CORPORATION (ID: 74733V-AB-6)
3/23 Purchase MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR 4,000.000 111.00 (4,438.92)
3/28 ... 03/01/2012 @ 99.4375 RBC CAPITAL MARKETS
CORPORATION (ID: 74733V-AB-6)
3/27 Purchase OEP RESOURCES INC 5 3/8% OCT 01 2022 DTD 2,000.000 99.50 (1,990.00)
3/30 03/01/2012 @ 99.50 FIRST
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01522762.pdf
EFTA01573924Set 10
2012-11-0151p5,356w
ARCELORMITTAL 9.85% JUN 01 2019 DTD 05/20/2009
@ 115.375 RBC CAPITAL MARKETS CORPORATION TRADE
DATE 11/14/12 (ID: 03938L-AM-6)
AMERIGAS PART FIN CORP SR NOTES ... 03938L-AX-2)
ARCELORMITTAL 9.85% JUN 01 2019 DTD 05/20/2009
EFTA01573968
@ 115.375 RBC CAPITAL MARKETS CORPORATION
(ID: 03938L-AM-6)
($8,915.00)
6,000.000
115.375
(6,922.50)
Quantity
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01573924.pdf
EFTA00396049Set 9
2013-02-072p563w
important information.
Disclosure information regarding potential conflicts of interest on the part of RBC Capital Markets, LLC in connection with companies
that are the subject of any third-party research ... found at Third-Party Research
Disclosures.
RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.
This e-mail and any files transmitted with it are confidential
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396049.pdf
EFTA00396047Set 9
2013-02-072p555w
important information.
Disclosure information regarding potential conflicts of interest on the part of RBC Capital Markets, LLC in connection with companies
that are the subject of any third-party research ... found at Third-Party Research
Disclosures.
RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.
This e-mail and any files transmitted with it are confidential
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396047.pdf
important information.
Disclosure information regarding potential conflicts of interest on the part of RBC Capital Markets, LLC in connection with companies
that are the subject of any third-party research ... found at Third-Party Research
Disclosures.
RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.
EFTA00369434
https://www.justice.gov/epstein/files/DataSet%209/EFTA00369434.pdf
EFTA00396051Set 9
2013-02-073p777w
important information.
Disclosure information regarding potential conflicts of interest on the part of RBC Capital Markets, LLC in connection with companies
that are the subject of any third-party research ... found at Third-Party Research
Disclosures.
RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.
This e-mail and any files transmitted with it are confidential
https://www.justice.gov/epstein/files/DataSet%209/EFTA00396051.pdf
important information.
Disclosure information regarding potential conflicts of interest on the part of RBC Capital Markets,
LLC in connection with companies that are the subject of any third-party research ... found at Third-Party Research Disclosures.
RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.
EFTA00369433
https://www.justice.gov/epstein/files/DataSet%209/EFTA00369433.pdf