EFTA01426472Set 10
2018-10-3120p4,218w
Objectives,
Strategy Requests)
0
2nd Page - sign, date and print name
4th Page - Initial
- Uncovered Call Writers - Sign and date - we will need the
original form as well as margin ... Options
^ Covered Call Writing
^ Purchased Options
S Option Spreads
0 Uncovered Put Writing
0 Uncovered Call Writing
n None
1988
10
Equities
r
1988
10
' Fixed Income
1988
10
Commodities ... covered call writing) 0 Portfolio Protection (protective puts) 0
Speculation (option buying, spreads and uncovered writing)
Cllent(s) Strategy Requests (Please check as many of the following
strategies sought
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01426472.pdf
EFTA00165862Set 9
12p6,579w
Benda 1008 10 51.0%,000.00 1800 2 - Option Spreads
Cornmockties _itwo to 01000.000.00 1.000 Uncovered Put Writing
Listed Stock Index 1000 10 61,000,000.00 1,65 gi Uncovered Call ... that apply):
Income (covered cal writing) Portfolio Protection (protective puts) Q Speculation (spreads & uncovered writing)
Client(s) Strategy Requests (Please check as many of the following strategies sought ... stock in the open market to effect delivery to purchaser of option.
Q 4 Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Involves Substantial Risk
https://www.justice.gov/epstein/files/DataSet%209/EFTA00165862.pdf
EFTA00169822Set 9
5p3,705w
omPOFI Spreads
COMMOditift 1999 10 31.000.000.00 1,D00 Lik, Uncovered Put Writing
Listed Stock Index 1998 10 $1,000,000.00 1,000 a Uncovered Can Writing
OTC DerwatiwS ... apply):
a Income (covered caN writing) U Portfolio Protection (protective puts) 2 Speculation (spreads & uncovered writing)
Olefins) Strategy Requests (Please cheek as many of the following strategies sought ... stock in the open market to effect delivery to purchaser of option
[11 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Involves Substantial Risk
https://www.justice.gov/epstein/files/DataSet%209/EFTA00169822.pdf
EFTA00169393Set 9
4p3,407w
Option SNOWS
.,..
Comniodnies 2013 10 $1,000,000.10 l i mo Uncovered Put Writing
Listed Index 2013 10
.
S1,000,000.00 , !tope
. • of Uncovered Cell Writing
OTC Delvatives ... that apply):
] income lcovnod call wilting) El Portfolio Protection (protudivo nuts1 Speculation Ismael% & uncovered writing)
Giant(si Strategy Roatests (Please check as many of the following strategies sought ... onaafty.ng stock in the open market to effect delivery to purchaser of option.
rt. Uncovered Put Writing — Margin account end special statement for uncovered option writers Mu:me.
logiosea_Siinstential
https://www.justice.gov/epstein/files/DataSet%209/EFTA00169393.pdf
EFTA01283069Set 10
5p3,662w
Purchased Options
IA Option Spreads
Commodities 2003 10 $1,000,000.00 1.000 [2 / Uncovered Put writing
LIMO Stock Index 2003 10 $1,000,000.00 1,000 Uncovered Cal Writing ... apply):
0 Income (covered cal writing) PA Portfolio Protection (protective puts) 0 Speculation (spreads & uncovered writing)
Chiantis) Strategy Requests (Please check as many of the following strategies sought ... stock in the open market to effect delivery to purchaser Cl option.
0 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Involves.Substenhal Risk
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283069.pdf
EFTA01283088Set 10
12p6,561w
Vncovered Put Writing
Listed Stock Index 1588 10 $1,000,000.00 1,000 It Uncovered Call Writing
OTC Convatives 1985 10 $1,000,000.00 1,000 0 None
Suoctomd Products ... apply):
Q Income (covered call writing{ kJ Portfolio Protection (protective puts) In Speculation (spreads & uncovered writing)
GhentIs) Strategy Requests (Please check as many of the following strategies sought ... stock in the open market to effect delivery to purchaser of option.
El 4. Uncovered Put Writing - Margin account and special statement for uncovered option writers required.
Involves Substantkljlisk
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283088.pdf
EFTA01282866Set 10
5p3,696w
Option Spreads
Commodities 1909 SO 51,000,000.00 1,900 vf„Uncovered Put Writing
Listed Stock Index 1999 10 $1AOO,OOO.OO 1,000 opi Uncovered Call Writing
OTC Derivatives ... Income (covered cell wonting) 0 Portfolio Protection (protective puts) I:l Speculation (spreads & uncovered writing)
Client(s) Strategy Requests (Please check as many of the following strategies sought ... stock in the ow meet to gifted delivery to purchaser of option.
0 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Involves Sul-melte
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282866.pdf
EFTA01283126Set 10
5p3,653w
Option Spreads
Commodities 2011 10 51,000,000.00 1,000 Uncovered Put Writing
Listed Stock Index 2011 10 31,000,81000 11000 IZ) Uncovered Call Writing
OTC Derivatives ... apply):
Income (covered call writing) IZI Portfolio Protection (protective puts) ❑r Speculation (spreads 8 uncovered writing)
ClientIs) Strategy Requests (Please check as many of the following =elegies sought ... stock in the open market to effect delivery to purchaser of Option.
❑I 4. Uncovered Put Writing — Margin account end special statement for uncovered option writers required.
ItudalicaS.Subslantiat Rigs
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01283126.pdf
EFTA01282797Set 10
2011-11-155p3,721w
Uncovered Put Writing
Uncovered Coll Writing
MStructured
gt Derivatives 2011 io 151,000,000.00 1,000 None
Products 2011 I- to I 11.500000.00 1.000
FL aver (Specify) ;
Deutsche Bank Secunties ... apply):
.0 Income (covered call writing) 0 Portfolio Protection (protective puts) 0 Speculation 'spreads & uncovered writing)
Cliental Strategy Requests (Please check as many of the following strategies sought ... stock in the open market to effect delivery to puechaser of option.
ID 4 Uncovered Put Writing — Margin account and special statement for uncovered option writers required.
Insteps Sabscydal
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282797.pdf
EFTA01594821Set 10
6p2,346w
affirm specifically the following:
a. That both the purchase and the writing of uncovered options contracts
involve a high degree of risk, are not suitable for
many investors and, accordingly ... carrying broker's random allocation procedure Is
available upon request.
B. Special Statement for Uncovered Options Writers
There are spedal risks associated with uncovered option writing that expose
the investor ... suitable for all clients approved for
options transactions, The potential loss of uncovered call option
writing is unlimited. The writer of an uncovered call is In an extremely
risky position
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01594821.pdf