EFTA01295768.pdf

Norkom 6.1.0 - Dow Jones Details Page I of 2 I Home Page Help Requestor Menu Dow Jones Details Show Debug Info Details Alert ID: A151024911635 Alert Date: 02/10/2015 Score: 100% Detection Check: djw names Best matches: In FACTIVA PFA 03_name Data Source: Cusbmer_NCA_web = Jeffrey Epstein Fuzzy Match >r 85% Jeffrey Epstein Name: Jeffrey Epstein Street/Number: DOB/DOI: Zip CodelCity: Nationality: United States PEP Indicator: I Gender: Customer ID: Country of Birth/Branch: Alerted Customer ID: 8000000028035102 I I Country of Residence: Villain Islands Comments: i DowJones Association Details I no rows found Dow Jones Details Title: UID: 1150901 First Name: Jeffrey Active Status: Actve 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 Names no rows found Dates Countries Type Country no rows found Cthzenship Not Known Resident of United States Description 1 DescrIptIon2 Description3 Description 1 Description 2 Special Interest no rows found Other Official Lists Person (SIP) SDNY_GM_00056933 https://aml.cit.gto.intranet.db.c CONFIDENTIAL - PURSUANT TO FED.°000fe rt, atTlAtrftkn=4HgPj4N... DB-SDNY-0019757 10/5/2015 EFTA_00 167503 EFTA01295768  Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Roles no rows found 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 Sewed Insider Trading Case SEC v. Men M. Glick et al. (United States District Court for the District of Massachusetts. CA No. 04-CV-10801(MEL) The Commission today filed a settled civil fraud action against Allen M. Glick, a former director 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 $437,000 in disgorgement of trading profits, prejudgment interest and civil penalties, and Glick consented to a permanent bar torn serving as an officer or director of any publicly-traded company. External Sources External Link httplNwwtsec.govnitigationnitreleaseslitrelarchivertitarchive2004.shtM httpiNnerw.sec gsv/litigation/litreleasesbr18675 Mm httplAwvw.sec govflitigabon/ccimplaints/compl8675.htm Images no rows found States Status Since Date To Date Current Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. De_scr_FactivalDotills SDNY_GM_00056934 https://a l.cit.gto.intranet.db.c riBsE N 71.Ailrftkn=4HgPJ4N... 10/5/2015 CONFIDENTIALm - PURSUANT TO FEDterge/ DB-SDNY-0019758 EFTA_00 167504 EFTA01295769