EFTA01296333.pdf

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Alert ID: A170635377323 Alert Date: 15/06/2017
Score: 100% Detection Check: djw names
Best matches: Data Source: CustomerNCA web
in FACTIVA PFA 03_name = Jeffrey Epstein Fuzzy Match >=
85% Jeffrey Epstein
Name: Jeffrey Epstein Street/Number:
DOWDOI: Zip CodelCity:
Nationality: United States PEP Indicator:
Gender: Customer ID:
Country of Birth/Branch: United States Alerted Customer ID:
Country of Residence: United States Comments:
Dow Jones Association Details
no rows found
Dow Jones Details
Title: UID:
First Name: Jeffrey Active Status: Active
Middle Name: Richard Entity Name:
Last Name: Epstein Address Country: USA
Full Name: Jeffrey Richard Epstein Address City:
Gender: Male Address Line:
Deceased: No Entered: 01104/2017 00:00:00
Record Type: Individual Updated: 01/04/2017 00:00:00
Names
no rows found
Dates Countries
Type Country
no rows found
Citizenship Not Known
Resident of United States
Descriptlon1 Descriptlon2 Other Information
Description 1 Description 2 Content Type
Speci:d Interest Person (SIP) ' Other Official Lists FINRA (US) Monthly Disciplinary Other Official
Actions Lists
Roles
no rows found
SDNY_GM_00058590
https://aml.cit.gto.intranet.db.e EisENT1.Allrftkn-kAwni_Xlj.. 6/16/2017
CONFIDENTIAL — PURSUANT TO FED. DB-SDNY-0021414
EFTA_0016914 9
EFTA01296333

Norkom 6.1.0 - Dow Jones Details Page 2 of 2
Profile Notes
FINRA NOTES:
Individuals Barred or Suspended
Jeffrey Richard Epstein (a Registered Principal, submitted a Letter of Acceptance.
Waiver and Consent in which he was suspended from associairmrt.w.Wmember in any capacity for 10 business
days. In light of Epsten's financial status, no monetary sanctions have been imposed. Wthout admitting or denying the
findings. Epstein consented to the described sanction and to the entry of findings that he exerased discretion in a customer's
account without the customer's written authorization or his member firm's acceptance of the account as discretionary. The
findings stated that Epstein's firm prohibited discretionary trading in these types of customer accounts
The suspension was in effect from April 16. 2012, through April 27. 2012. (FINRA Case
External Sources
External Link
httoinswwfinraorgtwebigroupshndustryggnot©entitklatclocumentskliscionnaryacconstp I 26288. pclf
Images
no rows found
States
Status Since Date To Date
Current
Copyright 19982010 Norkom Tothnobgiss Ltd. Al rights rosotw0 08_scrynctivaDelaos
DENTri SDNY_GM_00058591
https://aml.cit.gto.intranet.db.e Atritkn-kAwfli_Xlj.. 6/16/2017
CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0021415
EFTA_00169 ISO
EFTA01296334