EFTA01255110.pdf

Norkom 6.1.0 - Dow Jones Details Page I of 2 I Home Page Help Requestor Menu Dow Jones Details Show Debug Info Ist Details Alert ID: A151024911635 Alert Date: 02/10/2015 Score: 100% Detection Check: cfiw names Best matches: In FACTIVA PFA 03 name Data Source: Customer_NCA_web = Jeffrey Epstein Fuzzy Match >r 85% Jeffrey Epstein Name: Jeffrey Epstein Street/Number: DOBIDOI: Zip Code/City: Nationality: United States PEP Indicator: Gender. Customer ID: Country of Birth/Branch: Alerted Customer ID: 8000000028035102 Country of Residence: Virgin Islands Comments: DowJones Association Details no rows found Dow Jones Details 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 Gander: 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 Citizenship Nol Known Resident of United States DescrIptionl Description2 Descriphon3 Description 1 Desaiption 2 Special Interest no rows found Other Offiaal Lists Person (SlPi SDNY_GM_00057064 haps://aml.cit.gto.intranet.db.c ri_DENvirtAilrftkn=4HgP_J4N... 10/5/2015 CONFIDENTIAL - PURSUANT TO FED.feeni DB-SDNY-00 19888 EFTA_00I 67634 EFTA01255110  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 Settled 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 from serving as an officer or director of any publicly-traded company. External Sources External Link httpiNnwesec.govtlibgationflitreleaseslitrelarchivertitarchive2004.shtra httpiNiww.sec gsvtlitigation/litreleasetAr18675 htm httparnwi.sec govflitgatonicomplaintsicompl 8675.htm Images no rows found States Status Since Date To Date Current Copydghl 1998-2010 Norkom Technologies Ltd. All rights reserved. 013_;:ci_FactivaDothls SDNY_GM_00057065 https://aml.cit.gto.intranet.db.coatahirDettf.Atrtikn=4HgP_J4N.. . 10/5/2015 CONFIDENTIAL - PURSUANT TO FED. . . (e DB-SDNY-0019889 EFTA_00 I 67635 EFTA01255111