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EFTA01268321.pdf
AI Summary
This is a TD Ameritrade Trading Authorization Agreement form that allows account owners to grant trading authority to authorized agents. The document is largely blank/template format with minimal identifying information filled in. [Rating: 2/10 - This is a mostly blank standard financial form template with no substantive case-specific content or filled-in details that would reveal information about Epstein-related activities]
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financial_transactions
Extracted Entities
| Name | Type | Context |
|---|---|---|
| FINRA | organization | Abbreviation for Financial Industry Regulatory Authority |
| Financial Industry Regulatory Authority | organization | Regulatory body mentioned in compliance disclosures |
| SIPC | organization | Securities Investor Protection Corporation mentioned in regulatory disclosures |
| TD Ameritrade | organization | Financial services company providing the trading authorization agreement form |
| TD Ameritrade Clearing, Inc. | organization | Clearing firm mentioned in the trading authorization agreement |
Full Text
(Page 1 of 3)
Trading Authorization Agreement
1D Ameritrade
PO Box 2760s Omaha. NE 66103-2760
Fax: 866-168.8768
If you are wanting to add an Authorized Agent/Officer;Partner to the Sccant and not 2 Full tradinolumiled Tractra Authreaten, please submit
the Entry Authorized Agent Form TOA 1187 load w.thn the ferns Lbrary' haps1Nivnittclameritracle.cornectmarafy
AccoLatfaerbey: Ara' \""ciw souTKEN -pm A13 c-1 AL LLC-
The Account Owner(s) Idled below hereby authcezes and appoints the ALthortzec Acont(s) below as the Account Owners or Owners' agents
end ettorneyein-fail fri the purchase and sate or securities and other financial instruments in cash andior on margin in be Account Owners Of
Owners name or norther on the TO Ameritrade Clearing. Inc. (the 'Clearthm Finn"; books (no taccm.r.11. The Authorized Agent(s) may ad on
behalf of end without noems to the Account Owner(s) to by. soh sell short, and to otherwise trade stocks, bonds. mutual funds. Odors. and/
or any other securities. financial contracts. or financial instrurrenta. Trading Authorization does not area your Authorized Agent to ;rvairua tne
&awns Flan to make any changes to it-a Account Owner(s) Account. such as address of record, suitability thformation, a to upgrade Ina
Amours to Wade Cu margin or to trade options. The actors of the Authorized Agent(s) have the same force and effect as those of the Account
Owner(s) with respect to seat ransadicris. TD Aneritrade. Inc (the 'Brokerage Firm') is authorized to follow such actions as if deecly
instructed by the Accourt Owner(s). The Author Zed Agent(s) represents they are familiar wth the Account Owner(%) awes:mart objed.vos,
financial situation, and needs. and will invest in a manner consistent with these obtedives. -re Client Agreement set forth in the Account
Agreement and al other agreements applicable to this Account. shad apply equally to the Autnonzed Agent(s).
If Full Towing Authonzatnn is chosen. ths aultedy Includes the right to request de racy of saturnine:monies from the account in the ALMA!
Owner's or Draws nane(s).
II this is a fkluciary account the Account Ownerts) Orme that ?is want of trad'rg authority has been cceYerrod consiMen with lisMer fiduciary
dukes and powers
The Account Owner(s) understands at! such thereat:ens conducted by the Authorized AW2'1(2) ale are Amart Owners or Owners' over
ner The Account Ow-er(s) hereby rashes and confirm any and al transactions made at any Wne by the Authonzed Agent(s) for the Aeenkat
AxaMi^glf. 210 Account Owner(s) agrees to inderray and had harmless the BroserapeFirrn ard Clearing Firm torn any and sa:OSSIOS amok
from and :o promptly pay on Merano any debit balance due on the Account. The Brokaraao Firm and Clearing rim assume no resoonabitty for
bade monitoring or reviewing any rvastriant aetitly or decision of dm Ault Ceded Agent in the Account Ownens) account. Further. the Brokerage
Finn or Clearing does rot otter legal o: lax abate.
This outhcrtralion ant indemnity addlion to. and in no way lints or restlets, any rights wrich :ha Ekolusrage Prin cc C.earing Fhb may nave
under any other agreement with the Account Cwrier(s) or AuthenzW Agent(s). Ths authenzmon and indemnficaden shall beset the Brae age
Firm and Ckaring Firm. and any successor firms irrespective of try changes at any time in one personnel thereof. and her assigns.
This Trading AuthorizaCon Agreement supersedes try crier Trading Aasariradon Agreements that the Account Owner(s) may have esecued wIt
mgard to the Account. Tr: s Agreement shat remain in ful force and effect until revoked by the Amount Oraw(s). wnhen rote adceossed to No
Brokerage Firm and deirered to is offices. The Aeon( Owne(s)shall be .able for tra-sactions dated prim to the Brokerage Firm's receipt d
such anion roucatior.
The *awned Agonl(s) egress to irrnwiiately no:1 y tho 9to wean Pte.low.A ir g if any A.uthorizod Aron:(,). o, rr cente : a car hts/t-ar Na.sehold.
are either a) anantly employed or Lensed ty a manta of exchange or me Fillatial Industry pegahawy Avthorty ;MBA). of loastve
as er immanent wiener, end using the !Scenes in a woressions sales, trades, or customer: service capacity or b) a member of the board of
04W-ors. IC% thwenolom or pot cy-rrak.ng clime of a company which trades publicly on a stock mchange.
To help the government fight the funding of terrorism and money laundering activities. financial institudons obtain and record
IntermatIon in order to ensure the Identity of each person authorized to trade on an account
What this means for you: When you are authOrInd to trade on an account. wo will ask for your name, address. date of birth. and other
information that wilt allow um to identify you. We may also utilize a third-party information provider le verification purposes and/or ask
for a copy of your drives license or other identifying documents.
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CONFIDENTIAL SO NY_GM_0001 2206
EFTA_00122857
EFTA01268321
(Page 2 of 3)
OCnecit here 7 arty Authorized Agent, any member of tai immediate family or any busineSS asOCiale el theirs Is 0 senior Natal figure ISPF).
Spec(y the name of the Authorized Agent. the name of the SPE political ale. relati0nsWP to the Authorized Agent, end connirl of office
OCheck here if any Authorized Again is a mamba, of the board of (Erectors 10% shareholder. Or Pellet-making officer of a PoMicAt traded
company. SPeOly the name of the Authorlatd Agent, the Compeny Otter symbol. name, address, city, and state/provinc. e:
OCheck here if ony Authorized Agent 4 licensed cr employed by a registered brolun/dealet securbes exchange. or member of a securides
exchange. We must receive a conpzence letter a'crg with this appticallen Specify the name of the Authorized Agent:
EI
C.he4c here t any Authorized Agent(s) is or 4employed by a federal or mate registered Investment Advisor
Are you using your license in a prolessional sae or trading capacity cn ?SS exeunt? ❑Yes ON°
AUTHORIZED AGENT COMPENSATION
®Check
here d any Authorized Agent a being compensated te providing irvesonent advice. placing Ira des. a otherwise managing you- account.
AUTHORI/FD AGENT'
level of Authorization: (chock only ono). If neither Full or Limited is marked. the authorization level will default to Limited.
LIFull Trading Authorization with Privileges to Withdraw Money and/or Securities (Not applicable on IRA, UTMA, UGtAA, Estate,
or Trust Accounts; authorization level will default to Limited.)
&knifed Trading Authorization for Purchase and Sala of Securities Only
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CONFIDENTIAL SONY_GM_0001 2207
EFTA_00122858
EFTA01268322
(Page 3 of 3)
ACcOt:rd Ndrr.ner
AUTHORIZED AGENT'
Level of Authorization: (thee( Onty one). If neither Full or Limited Is marked, the authorization level will default to Limited.
OFull Trading Authorization with Privileges to Withdraw Money and/or Secunties (Not applicable on IRA. BMUS. UGMA, Estate.
or Trust Accounts; authorization level will default to Limited.)
El Limited Trading Authorization for Purchase arid Sale of Securities Only
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TRADING AUTHORIZATION
By our sgratna below the Accosni Owner(s) and Authorized Apenbs) agree to tne pro/lucre within gas document Inkilts entirely, and
mem Utah INS authorization st.persedes any prior trading atehonzation Luiz Aocoart °Wool(') may have fixer:Med w.th regard to the Ac tir I.
Furthermore. Amour; Chimer(s) and Authorized Agents; atfrOwlettgo that the Brokerage ftm cr C.-Mann° may refuse to aware, Cr Mande.
the Authorbed Agent(s) from actt-g as the Account Owners) agent on Ns. or any other account.
All Account Owners and Authorized Agents must sign.
ACCOUNT OWNER(S)
XAccant Cy.nots Scsuaar Date
- .a o - (7
Account CODWITYVSigratixe. Dale
X
Original signature mowed: eleCtionie signatures andlor signature fonts are not authorized
AUTHORIZED AGENTS)
XAfthcalze4 //cant a Stratum:
Original signature required; electronic signatures smiler signature fonts ore not authorized.
leverrenl Proeucts: Not FDIC bend • No Bask Butifilibe ' May Lose Va ej
TO Arrefaracie. Inc. ono 1D Amorgrade Clearmg. Inc , members FINFUUSIPC. 1D Amentrade is a thademark Minn owned by
TO amerbrado IP Company. Inc. and The TrotlIO.DOrrenion Oars. IP 2017 TDAmetirrecle
Page 3d3 10AC7331M/
CONFIDENTIAL SDNY_GM_0001 2208
EF1'A_00122859
EFTA01268323