EFTA01361930.pdf

Norkom 6.1.0 - World Check Details Page 2 of 2 Arthur H FREEDMAN Romeo J PENDOLARI Steven T MOORE Further Information 22 April 2004 SEC filed a settled civil fraud action for illegal insider trading in three publicly traded Massachusetts banks. Final judgement permanently enjoins him from violating the antifruad provisions and he agreed to pay a total of $72532.06 in disgorgement of trading profits. prejudgment interest and civil penalties. External Sources External Source http UMW/ sec gowlitsgationIcomplantsicomp18675 htm http Jiv.v.w.sec.gov•Ittvabonilitreleasesflr18675.htm Copyright 1996-2010 Norkom Technologies Ltd. MI rights resented. ',fitter wale, cheek https://aml.cit.gto.intranet.db.com/norkom_per_de/screenkiew.do?csrftkn=QtoL7XUhl... 5/29/201 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051206 CONFIDENTIAL SDNY_GM_00197390 EFTA01361930