""S.E.C."" — Epstein Files Search

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EFTA00681440Set 9

2014-12-186p2,747w

Attorney's Office, and, by logical extension, the Securities and Exchange Commission ("S.E.C."). The Newman decision is surprising in that it reverses the convictions while making very little ... short, the decision simply re-examines the Supreme Court's 1983 landmark decision in S.E.C. v. Dirks. Newman instructs that Dirks has been the law for over thirty years ... sufficient - will no longer be enough to prove insider trading. " There is Evidence the S.E.C. is Already Starting to Re-Evaluate Their Cases: Just three business days after the Newman

https://www.justice.gov/epstein/files/DataSet%209/EFTA00681440.pdf

EFTA02729207Set 11

2008-01-2312p9,804w

Also appealing to Hoffenberg message was dear: There will be trouble :cording to S.E.C. and were Epstein's social connections; they in- for your family if I don't like ... Epstein has claimed he owned it.) him into music. He bought him his first S.E.C. sued to freeze his assets in 1993, was In 1987 Reifenberg, according to sources, piano ... Victo- money for billionaires only. in a 1939 dep- that Epstein told to the S.E.C. in 1981 and ria's Secret girls. One young woman recalls osition he testified that

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02729207.pdf

EFTA01334040Set 10

Also appealing to Hoffenberg A message was clear: There will be trouble ccording to S.E.C. and were Epstein's social connections; they in- for your family ... Epstein has claimed he owned it.) him into music. He bought him his first S.E.C. sued to freeze his assets in 1993, was In 1987. Hoffenberg. according to sources. piano ... View- money kr billionaires only. in a 1989 dep- that Epstein told to the S.E.C. in 1981 and ria's Seem girls. One young woman recalls osition he testified that

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01334040.pdf

EFTA00260609Set 9

Also appealing to HotTenberg message was clear: There will be trouble ccording to S.E.C. and were Epstein's social connections: they in- for your family if I don't like ... Epstein has claimed he owned it.) him into music. He bought him his first S.E.C. sued to freeze his assets in 1993. was In 1987, Hoffenberg. according to sources. piano ... Victo- money for billionaires only. in a 1989 dep- that Epstein told to the S.E.C. in 1981 and ria's Secret girls. One young woman reccIls osition he testified that

https://www.justice.gov/epstein/files/DataSet%209/EFTA00260609.pdf

EFTA01045410Set 9

2017-05-245p2,544w

Securities Exchange Act of 1934 for falling to timely file S.E.C. filings to disclose holdings of over 5% and 10% of stock of eight different companies on 40 different occasions ... dismissed these two claims. The Cooperman Court reasoned that the failure to make proper S.E.C. filings did not involve conduct in the Eastern District of Pennsylvania, because the filings were ... practices and policies, and to hire a nationally-recognized law firm to monitor their S.E.C. filings as to their stock holdingsa] The SEC's decision to settle the Cooperman case

https://www.justice.gov/epstein/files/DataSet%209/EFTA01045410.pdf

EFTA01405372Set 10

2013-08-1448p11,551w

trip with Clinton, he must be in a very difficult place " According to S.E.C. and other legal documents unearthed by Vanity Fair, Epstein may have good reason to keep ... Leslie Wexner but Steven Jude Hoffenberg, 57, who, for a few months before the S.E.C. sued to freeze his assets in 1993, was trying to buy the New York Post ... work for myself.'" Yet, this is not the story that Epstein told to the S.E.C. in 1981 and to lawyers in a 1989 deposition involving a civil business case

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01405372.pdf

EFTA02729228Set 11

2019-09-1210p9,230w

Also appealing to Hoffenberg message was clear: Thera. will be trouble A ecording to S.E.C. and were Epstein's social connections; they in- for your family ... Epstein's town house. where stolen money from fraudulent brokers and In 1981 the S.E.C.'s Jonathan Harris and the women seemed to outnumber the men lawyers. lie was also ... himself—that he would never worth never exceeded four and a half mil- the S.E.C. began investigating trades in- do anything that would expose him in the lion dollars.' Stroll

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02729228.pdf

EFTA00591160Set 9

2013-03-154p1,246w

part of its agreement with regulators, SAC neither admitted nor denied wrongdoing. That entrenched S.E.C. practice — permitting defendants to settle civil claims without acknowledging wrongdoing — has come under increased scrutiny ... participating in the Dell insider trading ring. In its legal filing on Friday, the S.E.C. said Mr. Horvath had leaked secret information to two colleagues; previously, the commission said that ... client, who has denied the charges. "SAC's business decision to settle with the S.E.C. in no way changes the fact that Mathew Martoma is an innocent man," said Charles

https://www.justice.gov/epstein/files/DataSet%209/EFTA00591160.pdf

EFTA00705304Set 9

2011-02-273p2,480w

Commission promulgated rules that anointed a handful of Nationally Recognized Statistical Ratings Organizations. The S.E.C. argued that assessing the safety of investments was so important to the soundness ... these organizations. By the mid-1990s, mergers had reduced that number to three. The S.E.C. has since added seven, bringing the total to 10. Kroll Bond Ratings ... three services "essential cogs in the wheel of financial destruction." But the S.E.C. wants to wean the financial industry from its dependence on all ratings. In February, the commission unveiled

https://www.justice.gov/epstein/files/DataSet%209/EFTA00705304.pdf

EFTA01361578Set 10

work for myself."' Yet, this is not the story that Epstein told to the S.E.C. in 1981 and to lawyers in a 1989 deposition involving a civil business case ... Philadelphia. In 1981 the S.E.C.'s Jonathan Harris and Robert Blackburn took Epstein's testimony and that of other Bear Stearns employees in part of what became a protracted case ... obtain information about the tender offer. After the tender offer was announced, the S.E.C. began investigating trades involving St. Joe at continued on page 343 continued from page 305 Bear

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01361578.pdf

EFTA00075477Set 9

2020-08-2074p15,469w

Press-Enter. Co. a Superior Ct., 464 U.S. 501 (1984) 37 S.E.C. v. TheStreet.Com, 273 F.3d 222 (2d Cir. 2001) passim Seattle Times Co. v. Rhinehart ... under 28 U.S.C. § 1332(a). This Court has jurisdiction under the collateral order doctrine. S.E.C. v. TheStreet.Corn, 273 F.3d 222, 228 (2d Cir. 2001) (collateral order jurisdiction exists over order ... decisions support Ms. Maxwell's argument to keep the deposition material sealed. In S.E.C. v. TheStreet.Corn, this Court held that 24 EFTA00075506 Case 20-2413, Document 40, 08/20/2020, 2913550, Page31

https://www.justice.gov/epstein/files/DataSet%209/EFTA00075477.pdf

EFTA00074903Set 9

2020-07-3138p8,325w

Providence Journal Co. v. FBI, 595 F.2d 889 (1st Cir. 1979) 14, 16 S.E.C. v. TheStreet.Com, 273 F.3d 222 (2d Cir. 2001) 23, 28 S.F. Residence Club ... Maxwell and other individuals' reasonable reliance on the judicial promise of confidentiality. See S.E.C. v. TheStreet.Corn, 273 F.3d 222,229-31 (2d Cir. 2001) (recognizing the importance of reliance interests ... courts definitively rule that the promise of confidentiality is no longer enforceable. See S.E.C., 273 F.3d at 229-31 28 EFTA00074937 Case 20-2413, Document 10-1, 07/30/2020, 2896538, Page36

https://www.justice.gov/epstein/files/DataSet%209/EFTA00074903.pdf

EFTA00135950Set 9

2021-05-0740p24,825w

Gensler "appeared by video before the House Committee on Financial Services to discuss the S.E.C.'s response to the tumultuous trading in shares of GameStop in January." He "said ... S.E.C.'s staff has been working on a report addressing the issues raised by the episode that will be released this summer. He also said new rules may be needed ... stock trading into a game or contest, a method called gamification." Gensler "said the S.E.C. will need to 'lean in' to make sure traders, companies and others are not using

https://www.justice.gov/epstein/files/DataSet%209/EFTA00135950.pdf

EFTA00149675Set 9

2021-05-0742p24,830w

Gensler "appeared by video before the House Committee on Financial Services to discuss the S.E.C.'s response to the tumultuous trading in shares of GameStop in January." He "said ... S.E.C.'s staff has been working on a report addressing the issues raised by the episode that will be released this summer. He also said new rules may be needed ... stock trading into a game or contest, a method called gamification." Gensler "said the S.E.C. will need to `lean in' to make sure traders, companies and others are not using

https://www.justice.gov/epstein/files/DataSet%209/EFTA00149675.pdf

EFTA00209657Set 9

2013-08-0575p16,720w

Santobello v. United States, 404 U.S. 257 (1971) 15, 16,31 S.E.C. v. CMKM Diamonds, Inc., 656 F.3d 829 (9th Cir. 2011) 55 Sheldone v. Pennsylvania Turnpike Comm ... cert. denied, 559 U.S. 916 (2010) 14 Williams & Connolly v. S.E.C., 662 F.3d 1240 (D.C.Cir. 2011) 22 Wilson v. O'Brien, 621 F.3d

https://www.justice.gov/epstein/files/DataSet%209/EFTA00209657.pdf

EFTA00618182Set 9

2017-10-1016p4,323w

stages" of a related civil proceeding. See Epstein's Motion at p. 14 (citing S.E.C. v. Alexander ... cases is, as a general mater, preferable to delay of the Court's docket. S.E.C. v. Alexander

https://www.justice.gov/epstein/files/DataSet%209/EFTA00618182.pdf

EFTA00805389Set 9

2017-10-0518p5,208w

Oluch v. Drina, 101 F. Supp. 3d 325 (S.D.N.Y. 2015) 4 S.E.C. v. TheStreet.com, 273 F.3d 222 (2d Cir. 2001) 10 In re Visa Check/MasterMoney Antitrust Ling., 190 F.R.D ... Modify the Protective Order This Court has broad power to modify existing protective orders. S.E.C. v. TheStreetcom, 273 F.3d 222, 231 (2d Cir. 2001). Before modifying a protective order

https://www.justice.gov/epstein/files/DataSet%209/EFTA00805389.pdf

EFTA01072194Set 9

2013-06-1858p13,073w

inconsistent with selective disclosure — even in some circumstances to an adversary." Williams & Connolly v. S.E.C., 662 F.3d 1240, 1244 2011). Here, the government was unquestionably Epstein's adversary ... Gonzalez, 669 F.3d 974, 977 n.2 (9th Cir. 2012), and in a civil case, S.E.C. v. CMKM Diamonds, Inc., 656 F.3d 829, 830-31 (9th Cir. 2011); the Sixth Circuit

https://www.justice.gov/epstein/files/DataSet%209/EFTA01072194.pdf

EFTA00086658Set 9

2017-06-3023p6,016w

Martindeli v. Intl Tel. & Tel. Corp., 594 F.2d 291 (2d Cir. 1979) 12, 13 S.E.C. v. TheStreet.Com, 273 F.3d 222 (2d Cir. 2001) 12 Stewart v. Hudson Hall ... would be less forthcoming in giving testimony and less willing to settle their disputes." S.E.C. v. TheStreet.Com, 273 F.3d 222, 230 (2d Cir. 2001). In particular, as here, "witnesses might

https://www.justice.gov/epstein/files/DataSet%209/EFTA00086658.pdf

EFTA01104399Set 9

regulations to put the pay-ratio provision into effect. No longer. Last week, the S.E.C. proposed a strong, common-sense rule that basically tells the companies to follow ... kilter pay scales have become. For the next 6o days, the S.E.C. will gather public comment on its pay ratio proposal. Count us in favor. EFTA01104399

https://www.justice.gov/epstein/files/DataSet%209/EFTA01104399.pdf