Epstein Files Search

EFTA00791759Set 9

2016-12-0134p13,741w

your account are FDIC Insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered ... OnivCRY D(CELUNCE EFTA00791759 Additional Information Description This Period Year-to-Date Securities Bought and Sold $17.677.44 5318.695.70 Required Minimum Distribution Summary Calculated Amount Prior Year-end Fair Market Value ... Dividend Reinvestment Plan: HIGH COST LONG TERM Default Method for all Other Securities: HIGH COST LONG TERM Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method

https://www.justice.gov/epstein/files/DataSet%209/EFTA00791759.pdf

EFTA01533481Set 10

2010-05-0198p9,378w

Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value ... Total Inflows OUTFLOWS Withdrawals Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance ... APOLLO INVESTMENT CORP @ 12.32005 BROKERAGE TAX &/OR SEC 4/29 5/5 Sale 3.96 J.P. MORGAN SECURITIES INC. TRADE DATE 04/28/10 KANSAS CITY SOUTHERN INDUSTRIES INC @ 40.056 80,112.00 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01533481.pdf

EFTA01444206Set 10

40p12,724w

offer to sell or a solicitation of an offer to buy any securities or investment products referred to herein. A private offering of interest in the securities described herein ... Capital Network, Inc. (d/b/a iCapital Network), is an investment adviser registered with the U.S. Securities and Exchange Commission ("SEC"). The registrations and memberships above in no way imply that ... shall not be distributed, in any jurisdiction where such distribution would violate applicable securities laws This Presentation may refer to certain events as having occurred and documents as having been

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01444206.pdf

EFTA00300022Set 9

4p2,210w

QUALIFIED PURCHASER I. In connection with a purchase or purchases of privately offered securities pursuant to Rule 144A under the Securities Act of 1933. the undersigned certifies that ... familiar with Rule 144A. agrees that persons selling securities to the undersigned in reliance upon Rule 144A may rely on the information contained in this certificate and represents and warrants ... invested on a discretionary basis million (Insert a specific dollar amount) of "eligible securities" (as set forth in Annex A): (iii) if the amount specified in clause (ii) above

https://www.justice.gov/epstein/files/DataSet%209/EFTA00300022.pdf

EFTA01434677Set 10

2018-02-2291p10,836w

Following 4Q capex guidance- which was worse than even the most bearish expectationsDeutsche Bank Securities Inc. Amit Mehrotra Research Analyst Seldon Clarke, CFA Research Analyst Kenya Watson Research Associate Chris ... comprehensive discussion on our company and industry takeaways post results. Page 2 Deutsche Bank Securities Inc. EFTA01434680 22 February 2018 Trucking U.S. Transportation Company Specific Thoughts On the back ... Deutsche Bank Securities Inc. Page 3 EFTA01434682 22 February 2018 Trucking U.S. Transportation ■ XPO- we see potential for very strong 2019 free cash flow: Our longheld positive stance

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01434677.pdf

EFTA00096577Set 9

2020-09-2352p18,426w

receivable: buckets: would zero out within days IF VIRT was in compliance with the Securities LAWS: Close out requirements of Rule 204. So, isn't it beyond amazing THAT: although ... Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports The Securities and Exchange Commission today announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle ... charges it repeatedly failed to file Suspicious Activity Reports (SARs) for U.S. microcap securities trades it executed on behalf of its customers. viww sec g ov SECNY: Lara Shalov Mehraban

https://www.justice.gov/epstein/files/DataSet%209/EFTA00096577.pdf

EFTA01594384Set 10

2013-12-0148p5,400w

Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions ... Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio ... discretionary and all investment decisions are made by the client. J.P. Morgan Securities LLC ("JPMS") does not provide advice on asset allocation or investment management services, nor do its personnel

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594384.pdf

EFTA01275887Set 10

2017-06-02168p106,813w

Proved, yam name ad accant Metter (0 any) capx *lathes of UBS Secures U.C. The FiMs theme' - Cesabe tie error or the node, yeu avuTiure the Fith. rn. together vrats ... account statements with 10425. etc) when prepamg your tax return. The Fim pasimint kr securities purchases and charges kr unpaid of tie account hot:khan the books and records ... nvestment reerests (e.g., rebtionahjin wen other dents a the same address. If end an secures held ni pv accour net proceeds kneed partnerships and private placements) tut are you prefer

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01275887.pdf

EFTA00196824Set 9

108p21,527w

THOMAS VI 00802-1348 Pursuant to your previously issued instructions. Bear Stearns Securities Corp, provides duplicate monthly statements anctior transaction confirmations to the third parties listed on the cover page ... information regarding 2005interest. dividends. Cash & Equivalent aiiie 24 miscellaneous income, gross TOTAL VALUE OF SECURITIES THIS PERIOD 37,445,002 515,334.419 proceeds or original issue MONEY MARKET FUND BALANCE ... EQUITIES Equities & Options The research ratings for Bear Steams (BSC) are shown for certain securities covered by the Firms Equity Research Department. The first rating represents the stock's total

https://www.justice.gov/epstein/files/DataSet%209/EFTA00196824.pdf

EFTA00070202Set 9

2021-08-31160p45,571w

MEMX wrote to the SEC to get an exemption from compliance with the Securities Laws of our country. MEMX No-Action Letter (sec.gov) General Counsel MEMX LLC 111 Town Square ... pursuant to Rule I 0b-10(f) (sec.gov) SECURITIES AND EXCHANGE COMMISSION Release No. 34-89926 September 18, 2020 - SEC.gov I HOME 211. Background. 4. a. The Exchange . MEMX ... registered as a national securities exchange under Section 6 of the Exchange Act. 5 The Members of the Exchange consist of those broker-dealers admitted to Membership and entitled

https://www.justice.gov/epstein/files/DataSet%209/EFTA00070202.pdf

EFTA00197462Set 9

91p16,669w

information regarding Cash 8 Eguyalent —IMEMINIMMEMERR 55.466,593 2001interest. dividends. TOTAL VALUE OF SECURITIES THIS PEFUOD 2945.000 $5,456,973 miscellaneous income. NET CREDIT BALANCE 1.368.454 gross proceeds or original ... Your messages As pail of the National Association of Securities Dealer's (NASD) Investor Education Program, you may obtain information on the NASD's Public Disclosure Program by contacting ... Market Value of Your Portfolio Cash S fourslent —MINIMINI NNIall $5.456.973 TOTAL VALUE OF SECURITIES THIS PERIOD 2.940.000 ... $5.443.968 NET CREDIT BALANCE 1.366.840 $4.166.300 : 4-1.226.300 Equities ‘‘sssIcy344v

https://www.justice.gov/epstein/files/DataSet%209/EFTA00197462.pdf

EFTA01106265Set 9

2009-11-05120p16,472w

9/23/09 Email exchange between PRODA 12894- Discala, Preve, Mazzeo and 97 Parrish re Security Agreement Term Sheet PRODA 12898- 900 9/21/09 Email exchange between Peters PRODA 12901- and Mazzeo ... revised terms Summary of Terms — Capital D3 PRODA 13470- Club 76 Securities Purchase Agreement PRODA 13477- D3 Capital Club 93 10/16/09 Email exchange between PRODA 13494- Fisher, Peters re Clockwork ... Team circling 41M 9/27/09 Email exchange between PRODA 13961- Mazzeo and Preve re Security 63 Agreement Security Agreement PRODA 13964- 75 9/26/09 Draft Security Agreement PRODA 13976- 87 9/25/09 Email

https://www.justice.gov/epstein/files/DataSet%209/EFTA01106265.pdf

EFTA00093702Set 9

2021-09-08162p46,046w

repeatedly told the corrupt SEC: The Obligation Warehouse is ILLEGAL according to the 1934 Securities ACT. Further evidence that Hester Peirce and other Commissioners are UNFIT to serve in their ... positions. The '34 Act MANDATES "prompt and accurate settlement of securities transactions". The SEC/DTCC created the OW so that CRIMINALS NITE/CDEL et al can circumvent close out REQUIREMENTS of Rule ... confirmation requirements. NO OTHER like exchanges have applied for such exemptions from these SECURITIES LAW requirements. "We can't locate the entities executing on our anonymous exchange": LIE. I know

https://www.justice.gov/epstein/files/DataSet%209/EFTA00093702.pdf

EFTA01656066Set 10

2024-09-1821p13,673w

Strike Force • Walz Appointee With Apparent CCP Ties Could Expose Potential Veep's National Security Weakness, Lawmaker Says CRIMINAL INVESTIGATIONS • Ex-Officer Testifies Against His Former Colleagues in Tyre Nichols ... investigating Sunday's apparent assassination attempt on Donald Trump in Florida, with national-security prosecutors heavily involved in the criminal inquiry. Garland's remarks suggest the DOJ could pursue more ... 09/17, Breen, Schecter) added that on Tuesday, agents with the FBI and Homeland Security Investigations raided Routh's home on the Hawaiian island of Oahu. According to the article, Sarah

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01656066.pdf

EFTA01555103Set 10

2007-11-0118p3,992w

mail. Paperless statements eliminate clutter, are environmentally friendly, and can be accessed securely online anytime, from anywhere. To activate, visit morganonline.com. If you require access to Morgan OnLine, please contact ... informati on about assets held at JPMorgan Chase Bank, N.A. (JPMCB) and J.P. Morgan Securities, Inc. (JPMSI) in accounts listed on the front page. Securities are not bank deposits ... incipal amount invested. Assets held in custody by JPMCB are not protected under the Securities Investor Protection Corporati on ("SIPC") insurance. Total USD Page 2 of 16 EFTA01555104 FINANCIAL TRUST

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01555103.pdf

EFTA01353739Set 10

1p695w

Part 2A Fund cannot settle or is delayed in settling a purchase of securities, it may miss attractive investment opportunities and certain of its assets may be uninvested with ... period. If a Fund cannot settle or is delayed in settling a sale of securities, it may lose money if the value of the security then declines ... contracted to sell the security to another party. the Fund could be liable for any losses incurred. Small or Medium-Sized Companies. Investing in the securities of small or medium

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353739.pdf

EFTA01554755Set 10

2005-07-3120p4,959w

about assets held at JPMCB and JPMSI in accounts listed on the front page. Securities are not bank deposits or FDIC insured, are not obligations of or guaranteed by JPMCB ... incipal amount invested. Assets held in custody by JPMCB are not protected under the Securities Investor Protection Corporati on ("SIPC") insurance. Total USD EFTA01554756 07 JPMorgan Chase Bank ... CHASE USA or any of their bank or thrift affiliates (unless otherwise indicated). Such securities and other investments are subject to investment risks, including possible loss of the principal amount

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01554755.pdf

EFTA01261001Set 9

94p20,280w

THOMAS VI 00802.1348 O m Pursuant to your previously issued instructions. Bear Steams Securities Corp. provides duplicate monthly statements an /0 transaction cceirmations to the third parties fisted ... Equities & Options in The research ratings for Bear Stearns (BSC) are shown for certain securities covered by the BSC Equity Research Department. The first rating represents the stocks total return ... Your messages MIT STATENENT NONNita 30.2006 Ca' As pan of the National Association of Securities Dealers (NASD) IMONOF Education Program, you may obtain information on the NASD's Pubic Disclosure

https://www.justice.gov/epstein/files/DataSet%209/EFTA01261001.pdf

EFTA01448697Set 10

1p1,218w

when sent, whether actually received or not. 2. Consent to Loan or Pledge of Securities and other Property. Within the limitations imposed by Applicable Law, all Securities and Other Property ... hypothecated or rehypothecated without notice to Client, either separately or in common with other Securities and Other Property of DBSI's other Clients for any amount due in any account ... without retaining in its possession or control for delivery a like amount of similar Securities and Other Property. Client understands that while securities held for Client's Account

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448697.pdf

EFTA01459351Set 10

1p1,223w

rights of DBSI and Pershing shall include the right to buy all Securities and Other Property which may be short in such account, to cancel any open orders ... request and obtain extension(s) of Client's time to make payment for securities Client purchases, as provided for by Federal Reserve Bank Regulation T. 9. Short Sales of Securities ... affirmative determination as to whether DBSI or Pershing will receive delivery of the securities from the Client or that the securities can be borrowed by the settlement date. This process

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01459351.pdf