EFTA01337179.pdf

terry E Epstein Sear, Swarm & Co SS Water Street 10041 March 12, 1981 Pa THE EXECUTIVE COMMITTEE: With this letter and accompanying statement, I hereby resign as a Limited Partner of Bear, Stearns & CO., effective immediately. I Sincerely, f /7.2-Aaelcr ey Et Epstein SDNY_GM_02770727 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257535 EFTA01337179  Bear. Stearns & Co. 55 Water Street New York, N.Y. 10041 BEAR STEARNS WRITER'S OIRCCt MAI NUMBER March 12, 1981 Hr. Bear t-arn Co. 55 Water Street New York, NY 10041 Dear Jeffrey: The Executive Committee has fully reviewed the matter referred to herein and after extensive deliberation has decided the following: 1. You have advised us that you made a loan to a customer for the purpose of his buying securities. This constitutes a violation of Regulation T. Taking into consideration your voluntary disclosure and the fact that it was a single in- stance, we find you $2,500.00. 2. For failing to comply with the spirit of the NASD Regulations with respect to new issue distribution, we suspend you from active employment at Bear Stearns for a period of 60 days, effective immediately. Yours very truly, EXECUTIVE COMMITTEE BEAR, STEARNS 6 CO. ' New York/Atlantantoston/Clucaso Dallas/Los Aneetes/San Franciten SDNY_GM_02770728 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257536 EFTA01337180  Bear, Steams & Co. SS Water Street 10041 BEAR STBCRNS WRITER'S DIRECT DIAL NWAIER Apri l 8, 1971 TO ALL NEW EMPLOYEES: Under publ ic law #91-508, "Fair Credit Reporting Act", we are now required to inform you at the time of your hiring that we intend to conduct, through a service agency and through our own inquiries, an investigation as to your character, reputation, mode of l iving, educational experience, l i tigations, previous employments, and any publ ic records etc. . . Upon written request, you, as an employee, now have the right to know the name of the investigative service employed by Bear, Stearns a Co. and the scope of their report should one be used in your particular case. Signature Date rf, New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Patis SDNY_GM_02770729 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257537 EFTA01337181  STOCK EXCHANGE FIRM EMPLOYEE INFORMATION RECORD izo M completed upOO acceptance of ornoloymfmt) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confidence and will be preserved for three years after termination of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and Exchange Commission and Rule 345.19 of the New York Stock Exchange. • 1. ep >icii p ot Nam' NM, Middle, Nam, 2. (a) Have you ever been bonded? Yes NT)) (b) Have you ever been refused a bond by a surety company? Yes N (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes No If answer to either (b), (c) or (d) is 'yes,' attach details including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity brokers, dealers, investment bankers or investment advisors? Yes No If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any regulatory body or by any such exchange or association; or ever been denied membership therein; or ever withdrawn your application for such membership? Yes (b) Have you ever been associated with any organization, as a director, controlling stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or expelled from any such exchange or registered association, or was denied membership therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S E C or any State or agency has been denied, suspended or revoked? (c) Has any permanent or temporary injunction ever been entered against you? Yes 69 (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes; attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or employment in any capacity, have transactions under your attention ever been the subject of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indicted or convicted of a felony of any kind, or of a misdemeanor except minor traffic offenses? Yes If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? Yes No If 'yes,' give details and dates of use. I hereby certify that I have read and understand the foregoing statements and that each of my responses thereto is true and complete. I authorize my prior employers to make available to any prospective employer, or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers f any and all liability of whatsoever nature by reason of futrnishing such information. ,, (Date) 6(14/./. .i. . . Lc.. x <Th_ , I ..-, 4 , sieinxirp45einsonn 110 (12/75) SDNY_GM_02770730 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257538 EFTA01337182  EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in compliance with the New York Stock Exchange and Federal Regulations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by securities without the permission of the firm. Such permission should be requested in writing directed to the Compliance Department. This restriction applies to the employee, his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWING; "I have no brokerage accounts other than at Bear, Stearns Co. and I have no bank loans collateralized by securities except: (if none, state NONE, indicate accounts of your spouse, minor children and any account in which you place orders)." , cm l l6 (DATE) SONY_GM_02770731 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257539 EFTA01337183  EXECUTIVE HEALTH EXAMINERS 777 THIRD •TENUR • new YORK CITY 10017 • 191.91 421 3!S! 19 7 Name 24/2 .1 Company We have examined the above-named applicant for employment. We find him (t er ( ): (4,15-uitable for employment. ( ) Suitable for limited employment. Limitations: Remarks: S., R.N. MAHU - 975-27 SONY_GM_02770732 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA (x1257540 EFTA01337184  Memo BEAR STEARNS To John Duggan Date June 3, 1977 CC From Lewis Rabinowitz Subject Jeff Epstein Please r se Jeff Epstein s annual salary to $24, 000 per year. SONY_GM_02770733 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257541 EFTA01337185  Memo BEAR 5113-WaS To egfeece Lakoff Date August 4, 1977 Seymour Dashow CC From Elliot K. Wolk Subject eaij 1;37O--...411 expenses including salary for ff Epstein to/ New York Retail and delete from ment. This should have been done some time ago. Please make sure this is done retroactively to May 1, 1977 ' and is included in the July figures. (71 SDNY_GM_02770734 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257542 EFTA01337186  Memo BEAR STEARNS _137 Steve Laco6 6 Date June 13, 1979 Peneonnet DepaAttient CC From James E. Cayne Subject E66ec-tive .today, and itetaoaetive to May 1,1979SaLe______---- -Fat isle/tease the solarty o JeWtey Epatin $42,000./yeatt t -3e•79 ( 2r e Se0.4 ...Cziay 1 ' 3 6 Soo Pi 3 (1/77) SDNY_GM_02770735 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257543 EFTA01337187  Bear, Stearns & Co 55 water Street New Yolk N.Y. 10O41 BUR STEARNS YJrcil IS, 1_976 WRITER-5 DIRECT DIAL NUMBER Nier Roofing 4050 Atlantic Avenue, Brooklyn, New York L1224 JEFFREY E. EPSTEIN lAnoticant's Name' ISociat Stony No.) has applied to us for employment. As a previous employer, we would appreciate your comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telephone, please call our reference section at Dates of Employment: Claimed from 1971 to 1973 Verified from to 1 Above Averjge Avva Below Average Attendance CI Punctuality CI Work Performance Overall Rating To the best of y knowledge, did this applicant have a Securities brokerage account? 0 Yes No Would you heeommwW the applicant for a position of trust involving negotiable securities? yes CI No If your present policy permitted, would you rehire this applicant? LJ Yes CNo Is there anything we should know about this applicant which would help make our relationship a successful one? -4-ilseass‘ GENERAL REMARKS: Name: L2 /2- Title: • Signature: Date: . /7 7E Formai (10/15) New York/Atlanta/Boston/Chicago Dallas/los Angeles/San Francisco Amsterdam /Geneva/p..4. SDNY_GM_02770736 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257544 EFTA01337188  FIDEL IFACTS This will supplement our report of 5/3/76. EMPLOYMENT DALTON SCHOOL 108 E. 89TH STREET Applicant: 9/74 to 3/15/76 NEW YORK CITY, N.Y. Reported: 9/74 to 6/11/76 MS. BLACKBURN, Administrative Assistant, furnished the following information from records and personal knowledge: The applicant holds SS# S lived at: 3814 Seagate Avenue, Brooklyn, (confirmed). He said he was a college graduate, but no furhter details were indicated. He was employed as a Physics and Math teacher. He did a good job; had a good attendance and punctuality record and was dependable, cooperative and honest. He has leadership and supervisory ability. He was supervised by Dick Grossman who was not in the school at this time. The applicant was laid off due to a personnel cutback, but is eligible for rehire. The above lead was completed prior to client's cancellation of this case. ma The information contained in this report is for the SOLE AND cowinFKITIAI SDNY_GM_02770737 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257545 EFTA01337189  RUN DATE SEAR. STEARNS 6 Ws PROFIT SHAR INS PIA!: 04/30/S1 04/30/t4 )ISTRI9UT104 REASON: DISMISSAL WITH CAUSE EFFECTIVE DATE 04/01/81 DATE OF ENTRY 05/01/76 NAME • ADDRESS I I PAYMENT SUMMARY EPSTEIN JEFFREY CHECK AMOUNT S 3,214.87 -V24c.";z:ViR:Pf•LuescRIPTP:MPIrvt- • --,1:4;:omoutAne•;,•: VALUE ..41 pArAtte. TIVESSIFI E.) FUND :43MPANY ACCOUNT S 725.75 S 3,214.87 S 3 , 214. t' :QMPA NY A CC Cu AT 7:42Ft' ITED* 725.73 5, 3,214.86 ;LIND TOTALS • • S 1 , 451.48 S 6,429.73 s 3,2214.L. TOTAL VALUE 0000.0 S 6.429.73 LESS: FORFEITURE S 3.214.86 1 3.214.86— CASH PAYAIL.,i S 3,214.67 79}7.1 3-81 F_Mr. A, •es SDNY_GM_02770738 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257546 EFTA01337190 NAME Deka OF WORT EPSTEIN, JEFFREY BORN: 1/20/53 1365-15-8891 5/3/76 This will supplement our report of 4/28/76. At the New York University Bursar's Office, MR. BISOTNA advised the following regarding applicant: Initially a check in the amount of $1,080 was received by the University but it was returned with a notice that there was insufficient funds to cover the amount. The applicant then entered into an agreement with the University, a promissory arrangement was made to pay the amount. When he defaulted the University instituted legal proceedings. Source said that satisfaction papers had been filed. It was suggested we contact CURTIS ETTINGER, the school attorney for further details. MR. CURTIS ETTINGER advised the matter had been settled. The initial payment check, marked as having insufficient funds was not in the applicant's name but in the name of Paula Epstein. When the check did not clear, Mr. Ettinger contacted applicant's brother, Mark Epstein who advised that applicant was in Europe. Further action was delayed and subsequently Mark Epstein made a partial payment of $345. The matter, however, was still not resolved and legal proceedings were instituted in New York County Civil Court in December 1975. The matter was finally resolved in December 1975 when satisfaction paper was filed. cp The information contained in this report is for the SOLE AND CONFIDENTIAL use of the a :. - SONY_GM_02770739 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257547 EFTA01337191  Memo BEAR STUNRNS To Steve Lacoff 1a, Personnel Department From James E. Cayne Subject Effective immediately, Jeffrey Epstein is to receive a $400./Ma salary increase. Yepv SDNY_GM_02770740 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257548 EFTA01337192  February 26, 1979 Mr. Bennett Douglas, Elliman, Gibbons & Eves Dear Mr. Bennett: Please be advised that Mr. Jeffrey Epstein is employed at Bear, Stearns & Co. at a salary of $75,000.00 a year. Should you have any further questions, please do not hesitate to contact me. Sincerely, Stephen A. Lacoff Personnel Director SAL:b1 SDNY_GM_02770741 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257549 EFTA01337193  Near, Stearns & Co. 55 water Street BEAR STB‘RNS March 16, 1976 INROAR'S INSECT DIAL NUMBER Dalton Schools 108 East 89th Street, New York, New York JEFFREY E. EPSTDIN (A0Olicanes Name( \ (Social Security No.) has applied to us for employment As a previous employer, we would appreciate yOur Comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of )ehich is enclosed. you prefer to respond by telephone. please call our reference section at Data of Employment: 9 7 Claimed from to Verified from to Above Ave Avit e BeloSver Attendance ci Punctuality O ci Work Performance Overall Rating O To the best of your knowledge, did this applicant pre a Securities brokerage account? 0 Yes 0 No Would you recommend the applicant for a position of trust involving negotiable securities? ID Ye ED No If your present policy permitted, would you rehire this applicant? 0 s EJNo Is there anything we should know about this applicant which would help ale our relationship a successful one? GENERAL REMARKS: Name: Title: Signature: Date: Foote 267 ( 1 0/7 5) New Yort/Adanta/goston/Chicago Dallas/Los Angeles/San Francisco Arnsteniam/Ceneva/Paris SDNY_GM_02770742 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257550 EFTA01337194  Bear, Steams & Co. SS Water Street N 10041 SEAR STEARNS WRintS DIOCT DIAL NUMICR March 16, 1976 Cooper Union 4th Avenue & 8th Street New York, New York Attn; Registrar RE: JEFFR Y F FTISTFIN S.S.# Date of Birth 1/20/50 To Whom It May Concern: Jeffrey has applied to us for a position claiming attendance at your school from 9/66-6/70 BS degree We shall appreciate your giving us any information you can as to scholastic standing, personality, background, etc., of this applicant. For your convenience in replying, we are enclosing a self-addressed stamped envelope. Thank you in advance for your cooperation. Sincerely, 6‘ " 16 1 tephen A. Lacoff Personnel Director SAL/keh The above Jeffrey E. Epstein did not graduate Dates of Attendance: Sept. 1969 to Jan 1972 , 20, 1953 Date of Birth: ..kany4py gti<ift 7C 4%E.-:, Dean of Admi sions & Records New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco ge.a. SDNY_GM_02770743 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA 00257551 EFTA01337195  New York University Graduate School of Arts and Science Recording Office 6 Washington Square North. Room 3 Ncw York. N.Y. 10003 Telephone. March 23, 1976 Mr. Stephen A. Lacoff Bear, Stearns b Company 55 Water Street New York, New York 10041 To Whom It May Concern, This is to certify that Jeffrey E. Epstein whose date of birth is January 20, 1950 was registered as a non-degree student in the Graduate School of Arts and Science, Department of Music from September 1971 to May 1974. Mr. Epstein did not receive a degree from New York University. In the Spring 1974 semester, Mr. Epstein had issued an invalid check to our Bursar's Office. Yours truly, (Mrs.) Mavis Lewis Recorder ML/ks S0NY_GPA_02770744 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257552 EFTA01337196  **PLEASE CHECK EACH WHEN COMPLETED** NAME .4 . DATE OF EMPLOYMENT ag -/.6-- 76 ) APPLICATION /4.4/ Type "PCA" (one for Payrol l , one dupl icate SENT 3f (6 RECD /4f Bonding Appl ication /i4 Stock Exchange Form /Li Security Accounts form /4 r Fair Credit form /..4e Locator Card /4., Benefits Enrol lment Card SENT 31I6 /,-C Hospital ization Cards SENT Th lo — /c-r. .) e Waiver Card (if appl icable) , ,-(-1 _4, / / p W 4 form SENT to Payrol l 3‘Ita ✓s...,, t / frr: Card for Mai l Room SENT ZW., .:5‘±1. /:.y' Card for Telephone Department SENT lb() 1t. , / V Card for Security P. /-Ir Working Papers for Minors (If appl icable) Enter new employee on Salary Sheet Add new employee to Board - Index file Time card (if applicable) Welcome Letter & Benefits Booklp!I04 SENT Background Letters SEN School Reference SENT Introduction Letter to Sup rvisor SENT Announcements (if appl icable) SENT Send in Bonding Appl ications SENT -,1 5Eiy Send in Fingerprint Cards (get check from Cashiers Dept. first) fa, SENT Newspaper Ads (if appl icable) ENT Orientation Medical Enter in Job Log Book (Blue Book) Index Card (Contains DOE, Dept. Agency, Letters sent etc.) Telephone Verification Put Special Record notice on locator card and appl ication (if appl icable) Fingerprints taken DD2I4 for Veterans Fi le Background check: Letters / t// Other SDNY_GM_02770745 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257553 EFTA01337197  • I REg C. 14 .1 16;4 raw YORK UNIVERSITY =CORD Of g y,,_segcp4 t p, GRADUATZ VAM0421. Of AIRS AND MPH= ••••• simniajj Mel?WS__ OWN CUNT Ilk Ir Mt AmAn I of alik Cala namw *nib fnel mms It. f • __ ,..I • a . . i I / 41i/Aal i -a _1 ••••• go.e---- -()..7 0.0- 4Y- - ail ii gm ammo wb *sr flr 1 al a , //- . ) . fr. a - -to - o K. 1 • Mil :I . 43 . a 5.441 le n i l ii:i • t ft 4 IE: .13. . .5 L N EIrif lila': gli "ION Nan COMDIOW 11 0 afa t ea IT Oitt ji• / 4 ..20 - .53 SONY GM SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257554 EFTA01337198  ID 1 tete 9 atlendad endee ow elm .area, indicate, hilt Clearly —Pee Belt-Point Pea =WM 04 N.Y.U. Zelda& o Undenoraduan. 0 Graduar .• • fern and yen of lain attendance. Numbs, of transcript! deeded' If ontently in atterdana do rat rani dm...lot held ler ear al., <Gee final grades, tea 0 No o • 71. • es***** 2_ a ItiT In span. anent print full name and adarea• 10 Much transcript Is le In Inn . Thla form rill as neat Ina Winder 1 Mead •• SDNY_GM_02770747 SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7, 8, 9, 10, 15, and 17 EFTA_00257555 EFTA01337199  BEAR,STEARNS&CO. , •'" -•10-% 'Cid; i PAYROLL CHANGE PERSONNEL DEPARTMENT Dept. or Branch Effective Date of Change AUTHORIZATION N.Y.RETAIL SALES August 14,1978 FROM: Today's Date 0 Employee Name (La t-Middle-First) August 21,1978 EPSTEIN Jeffrey Complete Conning LOAN Complete Items ACCESSIONS Dentate SEPARATIONS CHANGES 1.6 Items Items Renee 11 Wit 1.6 11 Salary 1,2,3.6 AMOUNT S 0 Taped' F._ /within." 3.6 II Rationed 0 Replacement 3,4.6 II Discharged 1,6 II Title or Position 1.2,3.6 Recent/tot Schedule Departm ii I / I I Rehire 2,3,6 0 Released 1.6 " or Branchen t 1.2,3,6 Pe Pay Day With t ifFtrei om mtzteem ve 2,3,6 II Laid Off 1,8 Shift (Day/Nightl 1.2.3.6 Balance From Any Bonus Full I I Total Repayment From Bonus Returned I/ Permanent Time H II, oSchool 1,2,8 I I Other II Temporary Pall (I Deceased 1.7,6 Time" (I Retired I /Summer Leen of Absence (I Military . File Number II Maternity (I Exit Interview (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary 0/T Status Date of Employment Starting Salary 32E Associate $32,000/Yr, 3/15/76 $225.00 Department Of Branch Dept. Code No. Dan last increase Amount Last Increase N.Y.Retail Sales 4/24/78 $8000/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade t Tide Salary 0/T Status Name of Employee Replaced Dow Separated 36E Associate $36,800/Yr. i Department or Branch Ont. Code No. Title N.Y.Retail Sales O1-i Salary Grade 5 PART TIME EMPLOYMENT Rate Hours Needed Each Day From AM AM S /Hour PM To PM 6 REASON TO BE EXPLAINED IN ALL CASES Per: J.Cayne I (4 1\.' , • Employee .e.-•>- ... — Department Head or Branch Manager Partner Director of Personnel .4 / ;---s.-•• ...// ' 7 ADP CODES CATEGORY 0 I 2 3 4 6 6 7 8 9 Effective Date 401 Motor Medical 402 Blue Cron 403 Type Employee 404 • Birth Date 392 /iird, /7'n Annual Salary 762 Clock Number