EFTA01407419.pdf

Norkom 6.1.0 - Dow Jones Details Page 1 of 2 Home Page Help Requestor Menu Dow Jones Details Show Debug Info Details Alert ID: Score: A170635377323 100% Best matches: In FACTIVA PFA: 03_name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Name: DOB/DOI: Nationality: Gender: Country of Birth/Branch: Country of Residence: Jeffrey Epstein 20/01/1953 United States United States United States Dow Jones Association Details no rows found Dow Jones Details Title: First Name: Middle Name: Last Name: Full Name: Gender: Deceased: Record Type: Names no rows found Dates no rows found Descriptionl Description 1 Special Interest Person (SIP) Roles no rows found Countries Type Citizenship Resident of Description2 Description 2 Other Official Lists EFTA01407419 Country Not Known United States Other Information Content FINRA (US) Monthly Disciplinary Actions Type Other Official Lists Jeffrey Richard Epstein Jeffrey Richard Epstein Male No Individual UID: Active Status: Entity Name: Address Country: Address City: Address Line: Entered: Updated: 3073745 Active USA Bryn Mawr;Pennsylvania 01/04/2017 00:00:00 01/04/2017 00:00:00 Alert Date: Detection Check: Data Source: 15/06/2017 djw names Customer NCA web Street/Number: Zip Code/City: PEP Indicator: Customer ID: Alerted Customer ID: Comments: 8000000038407114 https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?- csrftkn=kAwfh_Xlj... 6/16/2017 EFTA01407420 Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Profile Notes FINRA NOTES: Individuals Barred or Suspended Jeffrey Richard Epstein (CRD #819226, Registered Principal, 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. In light of Epstein's financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Epstein consented to the described sanction and to the entry of findings that he exercised discretion in a customer's account without the customer's written authorization or his member firm's acceptance of the account as discretionary. The findings stated that Epstein's firm prohibited discretionary trading in these types of customer accounts. The suspension was in effect from April 16, 2012, through April 27, 2012. (FINRA Case #2010023272301) External Sources External Link http://www.finra.org/web/groups/industry/@ip/@enf/@da/documents/- disciplinaryactions/p126288.pdf Images no rows found States Status Current Since Date Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. To Date DB scr FactivaDetails https://aml.cit.gto.intranet db.com/norkom_per_de/screen/view.do?- csrftkn=kAwfh_Xlj... 6/16/2017 EFTA01407421