EFTA01480617.pdf

Confidential Due Diligence Report — VHS LLC REGULATORY SANCTIONS • • • THIS DATA IS FOR INFORMATION PURPOSES ONLY • • • " • COLLECTED AND COMPILED BY MORTGAGE ASSET RESEARCH INSTITUTE, INC. • • • PARTY: EPSTEIN, JEFFREY INCIDENT INFORMATION CASE. NUMBER: 02-03451 JURISDICTION: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. SOURCE: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DATE: 8/ 6/2003 Other Incident Info: CASE NAME: RAYMOND, JAMES 4 ASSOCIATES, CLAIMANT, VS. JEFFREY EPSTEIN, RESPONDENT. The individual(n) or company(ies) listed in thin report were party to a National Association of Securities Dealers (NASD) arbitration award. Being party to the arbitration award does not necessarily mean that the individual(s) or company(ias) have been found to have violated any code or regulation. EPSTEIN, JEFFREY Action: NASD ARBITRATION HARDCOPY: FOR A COPY OF THE SOURCE DOCUMENT(S), CONTACT MARI AT HARDCOPY ORDER NUMBER: NASA0380-01182057 Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Corporate Security. Confidential Treatment Requested by JPM-SDNY-00002822 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272020 EFTA01480617