EFTA01299040.pdf

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Alert ID: A130512230572 Alert Date: 29/05/2013
Score: 100% Detection Check: djw names
Best matches: In FACTIVA PFA: 04gender Data Source: Customer_NCA_web
M Exact Match M
03_name = Jeffrey Epstein
Fuzzy Match >= 85% Jeffrey
Epstein
Name: Jeffrey Epstein Street/Number:
DOBIDOI: Zip Code/City:
Nationality: United States PEP Indicator:
Gender: Male Customer ID:
Country of Birth/Branch: United States Alerted Customer ID:
Country of Residence: United States Comments: null
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Title: UID: 1150901
First Name: Jeffrey Active Status: Active
Middle Name: S. Entity Name:
Last Name: Epstein Address Country: USA
Full Name: Jeffrey S. Epstein Address City: Framingham. Massachusetts
Gender: Male Address Line:
Deceased: No Entered: 03/08/2009 00:00:00
Record Type: Individual Updated: 03/08/2009 00 00 00
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Resident cif tintted states
DescriptIoni Description2 Descriptions
SDNY_GM_00064488
littps://aml.eit.gto.intranet.db. MIN Atrftkn=QtoL7XUhl... 5/29/2013
CONFIDENTIAL — PURSUANT TO FED. DB-SDNY-0027291
EFTA_00174969
EFTA01299040

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Special Interest Ot.".er Offnia r LiEt.5
Person (SIP)
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Profile Notes
SECURITIES AND EXCHANGE COMMISSION NOTES:
Litigation Rel. No. 18675 / April 22, 2004
SEC Charges Former Director of Banknorth Group, Inc. and MetroWest Bank In Settled
Insider Trading Case
SEC v. Men M. Glick et al. (United States District Court for the District of Massachusetts,
C.A. No. 04-CV-10801(MEL)
The Commission today filed a settled civil fraud action against Allen M. Glick. a former
Erector of both MetroWest Bank and Banknorth Group, Inc., and four of his associates —
Arthur H. Freedman, Jeffrey S. Epstein, Steven T. Moore and Romeo J. Pendolari - for
illegal insider trading in three publicly-traded Massachusetts banks - MetroWest Bank.
Medford Bancorp and Warren Bancorp. Without admitting or denying the Commission's
allegations, Glick, Freedman. Epstein, Moore and Pendolari consented to the entry of final
judgments permanently enjoining them from violating the antifraud provisions of the federal
securities laws. The defendants also agreed to pay a total of over 6437,000 in disgorgement
of trading profits. prejudgment interest and civil penalties, and Glick consented to a
permanent bar from serving as an officer or director of any publicly-traded company.
External Sources
External Source
httpl/www.sec.govffitigationnitreleaseslitrelarchivettitarchiye2004.shtml
httpl/www.sec.govAitigabonnitreleases/Irl 8675.htrn
httpl/www.sec.govAitigation/complaints/oomp18675.htrn
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SDNY_GM_00064467
Imps://aml.cit.gto.intranet.db.c tskfirtAtrftkn=Qt0L7XUhl... 5/29/2013
CONFIDENTIAL - PURSUANT TO FED. er DB-SDNY-0027292
EFTA_00174970
EFTA01299041