EFTA01364140.pdf

rdc Person Name: Jeffrey Epstein DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Alert Date: Date of Birth: 01/20/1953 Alert 10/12/2016 Address: Courit'y United States Tracking ID: GCIS 00000483289 Reporting ID: KYC 01651789 Alerted Entity # 2 of 3 Alert ID: 6472545.11593674.64722293 Entity Information Entity ID: 64722293 Riskid: R110371734 Entity Name: Jeffrey Richard Epstein Address: Bryn Mawr, Pennsylvania, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings. Epstein consented to the described sanction and to the entry of findings that he exercised discretion in a customers account without the customers written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012. Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 Event: • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance. Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings. Epstein consented to the described sanction and to the entry of findings that he exercised discretion in a customers account without the customers written authorization or his member firm's acceptance of the account as discretionary.. 04/16/2012. Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 Alert Notes Notes: Jeffrey Richard Epstein, of Bryn Mawr, Pennsylvania, submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Source Information RDC URL: https://grid.rdc.corn/wss/entrty.html?entityld=9430b4b9ad8d51b65d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: • http://www.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActions/2012/index.htm • http://www.finra.org/web/groups/industiy/fpip/©enthadardocuments/disciplinaryactions/p126288.pdf Sources: Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, http-/Mww.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActionst2012 Censatent uith the terms and andstuns d your RDC Sutoonber Agreement the rricernaban contained in ths document is for alert purposes only and not to be used fa purposes of deteernrung an eclweluafs ebgbely la any areal or any othev FCRA permissible purposes User further agrees to hold such mistral and intonation in totes! ooM,dace. not to mate use thereof other than la authorged purposes. to Safe a Only to employees revering such rrearrnahno, and not to release a disclose n to any other party The Alert Somata contained n the document nay or nay not pertain to :he ,ndr.idual a early referenced o your ilquily. Page 4 ci CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054658 CONFIDENTIAL SDNY_GM_00200842 EFTA01364140