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Corpus: 1990-03-17 – 2025-12-01

May 2010

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Results by Dataset177 total

Set 10

177

results for “"TAX &/OR SEC"”

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EFTA01534564Set 10

2010-05-0198p9,325w

current statement period Type Settled Sales/Maturities/Redemptions Sale Description 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 TAX &/OR SEC 4/29 5/5 Sale 100.00 1.36 J.P. MORGAN SECURITIES INC. TRADE DATE 04/29/10 SYNOVUS FINANCIAL CORP @ 3.06 306,000.00 BROKERAGE TAX &/OR ... EFTA01534609 TRADE DATE 04/29/10 PAA NATURAL GAS STORAGE LP @ 23.29842 81,544.47 BROKERAGE TAX &/OR SEC 175.00 1.38 J.P. MORGAN SECURITIES INC. TRADE DATE 04/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01534564.pdf

EFTA01536139Set 10

2010-06-0194p8,667w

OPTION TRADE DATE 06/03/10 6/3 6/8 Sale MF GLOBAL HOLDINGS LTD @ 7.47275 BROKERAGE TAX &/OR SEC (12,000.000) EFTA01536178 89,673.00 600.00 1.52 J.P. MORGAN SECURITIES INC. TRADE DATE 06/03/10 ... Settlement Date 6/8 Type Settled Sales/Maturities/Redemptions Sale Description NUSTAR ENERGY LP @ 56.45 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale Quantity (3,850.000) 217,332.50 192.50 3.68 J.P. MORGAN SECURITIES ... TRADE DATE 06/03/10 NU SKIN ENTERPRISES INC CL A @ 27.10 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale NUSTAR ENERGY LP @ 56.10 BROKERAGE TAX &/OR SEC 5/24 6/15 Option Buyback

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01536139.pdf

EFTA01534071Set 10

2010-05-0198p9,378w

current statement period Type Settled Sales/Maturities/Redemptions Sale Description 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 TAX &/OR SEC 4/29 5/5 Sale 100.00 1.36 J.P. MORGAN SECURITIES INC. TRADE DATE 04/29/10 SYNOVUS FINANCIAL CORP @ 3.06 306,000.00 BROKERAGE TAX &/OR ... EFTA01534116 TRADE DATE 04/29/10 PAA NATURAL GAS STORAGE LP @ 23.29842 81,544.47 BROKERAGE TAX &/OR SEC 175.00 1.38 J.P. MORGAN SECURITIES INC. TRADE DATE 04/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01534071.pdf

EFTA01572448Set 10

2012-05-0145p5,416w

Cost Sale High Cost PEOPLE'S UNITED FINANCIAL INC @ 12.46 62.30 BROKERAGE 0.10 TAX &/OR SEC .01 IVY SECURITIES, INC. (ID: 712704-10-5) EFTA01572468 PEOPLE'S UNITED FINANCIAL ... BROKERAGE 0.21 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.50 512.50 BROKERAGE 1.23 TAX &/OR SEC .01 RBC CAPITAL ... PEOPLE'S UNITED FINANCIAL INC @ 12.5043 37.51 BROKERAGE 0.09 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.50 225.00 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572448.pdf

EFTA01538219Set 10

2010-09-0171p6,848w

Type Settled Sales/Maturities/Redemptions Sale Description 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70 BROKERAGE TAX &/OR SEC 7/29 8/4 Sale MOLYCORP INC @ 12.78 BROKERAGE TAX &/OR SEC 7/30 8/4 Sale ... SECURITIES INC. TRADE DATE 07/29/10 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70257 BROKERAGE TAX &/OR SEC 7/30 EFTA01538259 8/4 Sale MOLYCORP INC @ 12.25008 BROKERAGE TAX &/OR SEC ... Type Settled Sales/Maturities/Redemptions Sale Description STRATEGIC HOTELS & RESORTS INC @ 4.65124 93,024.80 BROKERAGE TAX &/OR SEC 8/2 8/5 Sale 1,000.00 1.58 J.P. MORGAN SECURITIES INC. TRADE DATE 07/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538219.pdf

EFTA01539038Set 10

2011-11-0175p8,563w

Sale FIFO AMERICAN CAPITAL AGENCY CORP @ 27.55745 1,550,106.56 BROKERAGE 2,812.50 TAX &/OR SEC 29.77 J.P. MORGAN SECURITIES LLC (ID: 02503X-10-5) BANK OF AMERICA CORP ... BIDL) (ID: 060505-DT-8) GROUPON INC @ 29.22181 7,889.89 BROKERAGE 100.00 TAX &/OR SEC .16 J.P. MORGAN SECURITIES LLC (ID: 399473-10-7) EFTA01539080 HEALTH CARE REIT ... BROKERAGE 100.00 TAX &/OR SEC 1.31 J.P. MORGAN SECURITIES LLC (ID: 42217K-10-6) ENERGY TRANSFER PARTNERS L P @ 43.955 118,678.50 BROKERAGE 135.00 TAX &/OR SEC 2.28 J.P. MORGAN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539038.pdf

EFTA01539403Set 10

2012-02-0194p9,891w

FIFO Sale FIFO Sale FIFO FRANCESCAS HOLDINGS CORP @ 23.15015 72,922.97 BROKERAGE 157.50 TAX &/OR SEC 1.41 J.P. MORGAN SECURITIES LLC (ID: 351793-10-4) GUIDEWIRE SOFTWARE ... BROKERAGE 100.00 TAX &/OR SEC .37 J.P. MORGAN SECURITIES LLC (ID: 40171V-10-0) EFTA01539448 FIRST REPUBLIC BANK/SF 6.7% PFD @ 25.07262 764,714.91 BROKERAGE 1,525.00 TAX &/OR SEC ... 33616C-20-9) BANCOLOMBIA S A SPONS ADR @ 60.59888 81,808.49 BROKERAGE 100.00 TAX &/OR SEC 1.58 J.P. MORGAN SECURITIES LLC (ID: 05968L-10-2) AVG TECHNOLOGIES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539403.pdf

EFTA01538006Set 10

2010-09-0171p6,848w

Type Settled Sales/Maturities/Redemptions Sale Description 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70 BROKERAGE TAX &/OR SEC 7/29 8/4 Sale MOLYCORP INC @ 12.78 BROKERAGE TAX &/OR SEC 7/30 8/4 Sale ... SECURITIES INC. TRADE DATE 07/29/10 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70257 BROKERAGE TAX &/OR SEC 7/30 EFTA01538046 8/4 Sale MOLYCORP INC @ 12.25008 BROKERAGE TAX &/OR SEC ... Type Settled Sales/Maturities/Redemptions Sale Description STRATEGIC HOTELS & RESORTS INC @ 4.65124 93,024.80 BROKERAGE TAX &/OR SEC 8/2 8/5 Sale 1,000.00 1.58 J.P. MORGAN SECURITIES INC. TRADE DATE 07/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538006.pdf

EFTA01538077Set 10

2010-09-0171p6,846w

Type Settled Sales/Maturities/Redemptions Sale Description 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70 BROKERAGE TAX &/OR SEC 7/29 8/4 Sale MOLYCORP INC @ 12.78 BROKERAGE TAX &/OR SEC 7/30 8/4 Sale ... SECURITIES INC. TRADE DATE 07/29/10 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70257 BROKERAGE TAX &/OR SEC 7/30 EFTA01538117 8/4 Sale MOLYCORP INC @ 12.25008 BROKERAGE TAX &/OR SEC ... Type Settled Sales/Maturities/Redemptions Sale Description STRATEGIC HOTELS & RESORTS INC @ 4.65124 93,024.80 BROKERAGE TAX &/OR SEC 8/2 8/5 Sale 1,000.00 1.58 J.P. MORGAN SECURITIES INC. TRADE DATE 07/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538077.pdf

EFTA01538645Set 10

2010-09-0195p9,736w

Type Settled Sales/Maturities/Redemptions Sale Description 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70 BROKERAGE TAX &/OR SEC 7/29 8/4 Sale MOLYCORP INC @ 12.78 BROKERAGE TAX &/OR SEC 7/30 8/4 Sale ... SECURITIES INC. TRADE DATE 07/29/10 3PM CHASE CAPITAL XXIX 6.7% PFD @ 24.70257 BROKERAGE TAX &/OR SEC 2,976,659.69 EFTA01538694 6,025.00 50.31 J.P. MORGAN SECURITIES INC. TRADE DATE 07/30/10 ... 7/30 Settlement Date 8/4 Type Settled Sales/Maturities/Redemptions Sale Description MOLYCORP INC @ 12.25008 BROKERAGE TAX &/OR SEC 7/30 8/4 Sale Quantity (5,000.000) 61,250.40 250.00 1.04 J.P. MORGAN SECURITIES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01538645.pdf

EFTA01533185Set 10

2010-05-0199p9,383w

current statement period Type Settled Sales/Maturities/Redemptions Sale Description 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 TAX &/OR SEC 4/29 5/5 Sale 100.00 1.36 J.P. MORGAN SECURITIES INC. TRADE DATE 04/29/10 SYNOVUS FINANCIAL CORP @ 3.06 306,000.00 BROKERAGE TAX &/OR ... EFTA01533230 TRADE DATE 04/29/10 PAA NATURAL GAS STORAGE LP @ 23.29842 81,544.47 BROKERAGE TAX &/OR SEC 175.00 1.38 J.P. MORGAN SECURITIES INC. TRADE DATE 04/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01533185.pdf

EFTA01464701Set 10

2013-08-01127p12,886w

Cost Sale High Cost JONES ENERGY INC - A @ 14.263229 99,842.60 BROKERAGE 280.00 TAX &/OR SEC 1.74 J.P. MORGAN SECURITIES LLC (ID: 48019R-10-8) GRANA Y MONTERO ... BROKERAGE 280.00 TAX &/OR SEC 2.63 J.P. MORGAN SECURITIES LLC (ID: 38500P-20-8) EFTA01464756 COUSINS PROPERTIES INC @ 10.385268 103,852.68 BROKERAGE 400.00 TAX &/OR SEC 1.81 J.P. MORGAN SECURITIES ... AMERICAN HOMES 4 RENT- A @ 15.560867 233,413.01 BROKERAGE 600.00 TAX &/OR SEC 4.07 J.P. MORGAN SECURITIES LLC (ID: 02665T-30-6) BOYD GAMING CORP @ 12.25 49,000.00 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464701.pdf

EFTA01535293Set 10

2010-06-0194p8,672w

OPTION TRADE DATE 06/03/10 6/3 6/8 Sale MF GLOBAL HOLDINGS LTD @ 7.47275 BROKERAGE TAX &/OR SEC (12,000.000) EFTA01535332 89,673.00 600.00 1.52 J.P. MORGAN SECURITIES INC. TRADE DATE 06/03/10 ... Settlement Date 6/8 Type Settled Sales/Maturities/Redemptions Sale Description NUSTAR ENERGY LP @ 56.45 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale Quantity (3,850.000) 217,332.50 192.50 3.68 J.P. MORGAN SECURITIES ... TRADE DATE 06/03/10 NU SKIN ENTERPRISES INC CL A @ 27.10 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale NUSTAR ENERGY LP @ 56.10 BROKERAGE TAX &/OR SEC 5/24 6/15 Option Buyback

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01535293.pdf

EFTA01540036Set 10

2012-06-3099p11,434w

INDUSTRIAL TRUST INC @ 6.34 57,060.00 BROKERAGE 360.00 TAX &/OR SEC 1.28 J.P. MORGAN SECURITIES LLC (ID: 233153-10-5) NUSTAR ENERGY LP @ 48.74925 194,997.00 BROKERAGE 160.00 TAX &/OR ... 05950M-AF-7) TEEKAY LNG PARTNERS LP @ 37.95 75,900.00 BROKERAGE 100.00 TAX &/OR SEC 1.71 J.P. MORGAN SECURITIES LLC (ID: Y8564M-10-5) JPMORGAN CHASE ... BROKERAGE 1,800.00 TAX &/OR SEC 25.18 J.P. MORGAN SECURITIES LLC (ID: 48126E-75-0) M/I HOMES INC COM @ 18.31916 73,276.64 BROKERAGE 160.00 TAX &/OR SEC 1.65 J.P. MORGAN SECURITIES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540036.pdf

EFTA01533875Set 10

2010-05-0198p9,378w

current statement period Type Settled Sales/Maturities/Redemptions Sale Description 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 TAX &/OR SEC 4/29 5/5 Sale 100.00 1.36 J.P. MORGAN SECURITIES INC. TRADE DATE 04/29/10 SYNOVUS FINANCIAL CORP @ 3.06 306,000.00 BROKERAGE TAX &/OR ... EFTA01533920 TRADE DATE 04/29/10 PAA NATURAL GAS STORAGE LP @ 23.29842 81,544.47 BROKERAGE TAX &/OR SEC 175.00 1.38 J.P. MORGAN SECURITIES INC. TRADE DATE 04/30/10

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01533875.pdf

EFTA01540244Set 10

2012-11-01111p12,458w

Sale FIFO Redemption Pro Rata EFTA01540301 MPLX LP @ 26.0356 65,089.00 BROKERAGE 100.00 TAX &/OR SEC 1.46 J.P. MORGAN SECURITIES LLC (ID: 55336V-10-0) AMERICAN CAMPUS COMMUNITIES ... BROKERAGE 280.00 TAX &/OR SEC 6.92 J.P. MORGAN SECURITIES LLC (ID: 024835-10-0) HSBC MARKET PLUS MXN NOTE 11/9/12 LNKED TO MXN (1,000,000.000 ) VS USD 25% BUFFER ... Option FIFO Expired Option FIFO ARMSTRONG WORLD INDUSTRIES @ 51.15771 179,051.99 BROKERAGE 140.00 TAX &/OR SEC 4.02 J.P. MORGAN SECURITIES LLC (ID: 04247X-10-2) BEAR STEARNS ASSET BACKED SECURITIES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01540244.pdf

EFTA01539497Set 10

2011-12-3195p9,904w

FIFO Sale FIFO Sale FIFO ONEOK PARTNERS L.P @ 59.00 79,650.00 BROKERAGE 100.00 TAX &/OR SEC 1.44 J.P. MORGAN SECURITIES LLC (ID: 68268N-10-3) SOUTHERN CAL EDISON ... EXTERRAN PARTNERS LP COMMON UNITS @ 23.68022 53,280.50 BROKERAGE 112.50 TAX &/OR SEC .96 J.P. MORGAN SECURITIES LLC (ID: 30225N ... FIFO Sale FIFO FIRST REPUBLIC BANK SAN FRAN @ 30.17703 101,847.48 BROKERAGE 168.75 TAX &/OR SEC 1.84 J.P. MORGAN SECURITIES LLC (ID: 33616C-10-0) LUFKIN INDUSTRIES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01539497.pdf

EFTA01535951Set 10

2010-06-0194p8,672w

OPTION TRADE DATE 06/03/10 6/3 6/8 Sale MF GLOBAL HOLDINGS LTD @ 7.47275 BROKERAGE TAX &/OR SEC (12,000.000) EFTA01535990 89,673.00 600.00 1.52 J.P. MORGAN SECURITIES INC. TRADE DATE 06/03/10 ... Settlement Date 6/8 Type Settled Sales/Maturities/Redemptions Sale Description NUSTAR ENERGY LP @ 56.45 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale Quantity (3,850.000) 217,332.50 192.50 3.68 J.P. MORGAN SECURITIES ... TRADE DATE 06/03/10 NU SKIN ENTERPRISES INC CL A @ 27.10 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale NUSTAR ENERGY LP @ 56.10 BROKERAGE TAX &/OR SEC 5/24 6/15 Option Buyback

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01535951.pdf

EFTA01535669Set 10

2010-06-0194p8,672w

OPTION TRADE DATE 06/03/10 6/3 6/8 Sale MF GLOBAL HOLDINGS LTD @ 7.47275 BROKERAGE TAX &/OR SEC (12,000.000) EFTA01535708 89,673.00 600.00 1.52 J.P. MORGAN SECURITIES INC. TRADE DATE 06/03/10 ... Settlement Date 6/8 Type Settled Sales/Maturities/Redemptions Sale Description NUSTAR ENERGY LP @ 56.45 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale Quantity (3,850.000) 217,332.50 192.50 3.68 J.P. MORGAN SECURITIES ... TRADE DATE 06/03/10 NU SKIN ENTERPRISES INC CL A @ 27.10 BROKERAGE TAX &/OR SEC 6/4 6/9 Sale NUSTAR ENERGY LP @ 56.10 BROKERAGE TAX &/OR SEC 5/24 6/15 Option Buyback

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01535669.pdf

EFTA01572702Set 10

2012-12-0136p3,681w

Cost Sale High Cost CLIFFS NATURAL RESOURCES INC @ 29.2658 58.53 EFTA01572725 BROKERAGE 0.04 TAX &/OR SEC .01 GOLDMAN SACHS & CO. (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES ... BROKERAGE 0.08 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC @ 29.6029 29.60 BROKERAGE 0.02 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT ... 18683K-10-1) CLIFFS NATURAL RESOURCES INC @ 29.1552 58.31 BROKERAGE 0.04 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572702.pdf