EFTA00844780Set 9
2015-10-015p1,526w
facility for the trading of swaps
without registering as a swap execution facility
(SEF)4 or a designated contract market"
Albeit in footnotes, but perhaps most
significantly, the Coinflip case ... settled
charges related to Bitcoin, this time against
TeraExchange LLC (Tera), a provisionally
registered SEF, for failing to enforce its
prohibition on wash trading and prearranged
trading.15 At issue ... alleged prearranged wash trade
between the only two authorized traders on the
Tera SEF. The Tera employees allegedly
suggested a transaction would be used to test
the SEF systems
https://www.justice.gov/epstein/files/DataSet%209/EFTA00844780.pdf
EFTA00844787Set 9
2015-10-015p1,587w
facility for the trading of swaps
without registering as a swap execution facility
(SEF)4 or a designated contract market.!
Albeit in footnotes, but perhaps most
significantly, the Coinflip case ... settled
charges related to Bitcoin, this time against
TeraExchange LLC (Tera), a provisionally
registered SEF, for failing to enforce its
prohibition on wash trading and prearranged
trading.15 At issue ... alleged prearranged wash trade
between the only two authorized traders on the
Tera SEF. The Tera employees allegedly
suggested a transaction would be used to test
the SEF systems
https://www.justice.gov/epstein/files/DataSet%209/EFTA00844787.pdf
EFTA01594860Set 10
2013-07-1513p4,813w
behalf to select utilize or terminate the use of any swap execution
facility ("SEF") In connection with executing
transactions in Derivatives, Including but not limited to such actions ... Derivative executed or cleared for or on behalf
of such client on any SEF or DCO, the client consents to the jurisdiction of
Such SEF and/or DCO and agrees ... provide such SEF or
DCO, their agents, and their service providers, access to all books and
records, staff and other information necessary for monitoring
and enforcement of SEF
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594860.pdf
EFTA01594834Set 10
26p11,022w
cleared for or on behalf of
such client on any swap execution facility (SEF) or DCO, the
client consents to the jurisdiction of such SEF and/or DCO and agrees ... provide such SEF or DCO, their agents, and their service
providers, access to all books and records, staff and other Information
necessary for monitoring and enforcement of SEF ... settlement, clearing and related fees and charges
Imposed by J.P. Morgan or any SEF or DCO utilized in
connection with Derivatives transactions.
DCOs require clients to have an external Identification
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594834.pdf
EFTA01594881Set 10
7p3,107w
cleared for or on behalf of
such client on any swap execution facility (SEF) or DCO, the
client consents to the jurisdiction of such SEF and/or DCO and agrees ... provide such SEF or DCO, their agents, and their service
providers, access to all books and records, staff and other information
necessary for monitoring and enforcement of SEF ... settlement, clearing and related fees and charges
imposed by IP. Morgan or any SEF or DCO utilized in
connection with Derivatives transactions.
DCOs require clients to have an external Identification
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594881.pdf
EFTA01583311Set 10
1p1,014w
cleared for or on behalf of such client on any swap execution facility (SEF) or DCO, the
client consents to the Jurisdiction of such SEF and/or DCO and agrees ... provide such SEF or DCO, their agents, and their service
providers, access to all books and records, staff and other information necessary for monitoring and enforcement of SEF ... settlement, Bearing and related fees and charges Imposed by J.P. Morgan or any SEF or DCO utilized in
connection with Derivatives transactions.
DCOs require clients to have an external identification
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01583311.pdf
EFTA01481141Set 10
2011-11-1836p14,915w
cleared for or on behalf of
such client on any swap execution facility (SEF) or DCO, the
client consents to the jurisdiction of such SEF and/or DCO and agrees ... provide such SEF or DCO, their agents, and their service
providers, access to all books and records, staff and other information
necessary for monitoring and enforcement of SEF ... settlement, clearing and related fees and charges
imposed by IP. Morgan or any SEF or DCO utilized in
connection with Derivatives transactions.
DCOs require clients to have an external Identification
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01481141.pdf
EFTA01480061Set 10
1p1,000w
cleared for or on behalf of such client on any swap execution facility (SEF) or DCO, the
client consents to the jurisdiction of such SEF and/or DC0 and agrees ... provide such SEF or DCO, their agents, and their service
providers, access to all books and records, staff and other Information necessary for monitoring and enforcement of SEF ... settlement, clearing and related fees and charges Imposed by J.P. Morgan or any SEF or DCO utilized in
connection with Derivatives transactions.
DC0s require clients to have an external Identification
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01480061.pdf
EFTA01584148Set 10
1p1,033w
with any Derivative executed or cleared for or onbehaif
of such client on any SEF or DCO, the client consents to the jurisdiction of such SEF and/or DCO and agrees ... provide such SEF or
DCO, their agents, and their service providers, access to all books and records, staff and other information necessary for monitoring
and enforcement of SEF ... settlement, clearing and related fees and charges imposed by 34R
Morgan or any SEF or DCO utilized in connection with Derivates transactions4
54 The client represents and warrants to Jana
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01584148.pdf
client on any 5EF or DCO, the client consents to the jurisdiction of such SEF and/or DCO and agrees to provide such SEF or
OCO, their agents, and their service ... books and records, staff and other information necessary for monitoring
and enforcement of SEF or OCO rules. Client agrees to pay all settlement, clearing and related fees and charges imposed
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01583243.pdf
EFTA01418651Set 10
2017-02-019p812w
Alex Giannou
Adrienne Coyle
Bruce Harkness, EM
Southern Financial, LLC
Vahe Stepanian
Tradition SEF, Inc.
Olivier Pariente - TCG
Yes
Olivier Pariente - TCG
Matt Barnett (TCG)
EFTA01418656
Matt Barnett ... William Beaumont Hospital
Proven Wealth Limited
Adrienne Coyle
Southern Financial, LLC
Vahe Stepanian
Tradition SEF, Inc.
Olivier Pariente - TCG
EFTA01418658
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418651.pdf
EFTA01423329Set 10
2017-02-019p733w
Giannou
Adrienne Coyle
Bruce Harkness, EM
1007406812
Southern Financial, LLC
Vahe Stepanian
1008346243
Tradition SEF, Inc.
EFTA01423333
Olivier Pariente - TCG
Yes
Olivier Pariente - TCG
Matt Barnett (TCG)
Matt Barnett ... Proven Wealth Limited
Adrienne Coyle
1007406812
Southern Financial, LLC
EFTA01423335
Vahe Stepanian
1008346243
Tradition SEF, Inc.
Olivier Pariente - TCG
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01423329.pdf
EFTA01414537Set 10
2017-02-017p584w
Adrienne Coyle
Bruce Harkness, EM
1007406812
EFTA01414539
Southern Financial, LLC
Vahe Stepanian
1008346243
Tradition SEF, Inc.
Olivier Pariente - TCG
Yes
Olivier Pariente - TCG
Matt Barnett (TCG)
Matt Barnett ... Proven Wealth Limited
Adrienne Coyle
1007406812
Southern Financial, LLC
Vahe Stepanian
1008346243
Tradition SEF, Inc.
Olivier Pariente - TCG
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01414537.pdf
EFTA01413394Set 10
2017-02-017p548w
Giannou
Adrienne Coyle
Bruce Harkness, EM
1007406812
Southern Financial, LLC
Vahe Stepanian
1008346243
Tradition SEF, Inc.
Olivier Pariente - TCG
Yes
EFTA01413396
Olivier Pariente - TCG
Matt Barnett (TCG)
Matt Barnett ... Proven Wealth Limited
Adrienne Coyle
1007406812
Southern Financial, LLC
Vahe Stepanian
1008346243
EFTA01413398
Tradition SEF, Inc.
Olivier Pariente - TCG
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413394.pdf
EFTA01418819Set 10
2017-02-0112p1,063w
Alex Giannou
Adrienne Coyle
Bruce Harkness, EM
Southern Financial, LLC
Vahe Stepanian
Tradition SEF, Inc.
Olivier Pariente - TCG
Yes
EFTA01418826
Olivier Pariente - TCG
Matt Barnett (TCG)
Matt Barnett ... Beaumont Hospital
Proven Wealth Limited
Adrienne Coyle
Southern Financial, LLC
Vahe Stepanian
EFTA01418828
Tradition SEF, Inc.
Olivier Pariente - TCG
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418819.pdf