EFTA01296333.pdf

Norkom 6.1.0 - Dow Jones Details Page I of 2 Home Page Help Requester Menu Dow Jones Details Show Debug Info Details Alert ID: A170635377323 Alert Date: 15/06/2017 Score: 100% Detection Check: djw names Best matches: Data Source: CustomerNCA web in FACTIVA PFA 03_name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Name: Jeffrey Epstein Street/Number: DOWDOI: Zip CodelCity: Nationality: United States PEP Indicator: Gender: Customer ID: Country of Birth/Branch: United States Alerted Customer ID: Country of Residence: United States Comments: Dow Jones Association Details no rows found Dow Jones Details Title: UID: First Name: Jeffrey Active Status: Active Middle Name: Richard Entity Name: Last Name: Epstein Address Country: USA Full Name: Jeffrey Richard Epstein Address City: Gender: Male Address Line: Deceased: No Entered: 01104/2017 00:00:00 Record Type: Individual Updated: 01/04/2017 00:00:00 Names no rows found Dates Countries Type Country no rows found Citizenship Not Known Resident of United States Descriptlon1 Descriptlon2 Other Information Description 1 Description 2 Content Type Speci:d Interest Person (SIP) ' Other Official Lists FINRA (US) Monthly Disciplinary Other Official Actions Lists Roles no rows found SDNY_GM_00058590 https://aml.cit.gto.intranet.db.e EisENT1.Allrftkn-kAwni_Xlj.. 6/16/2017 CONFIDENTIAL — PURSUANT TO FED. DB-SDNY-0021414 EFTA_00169149 EFTA01296333  Norkom 6. 1.0 - Dow Jones Details Page 2 of 2 Profile Notes FINRA NOTES: Individuals Barred or Suspended Jeffrey Richard Epstein (a Registered Principal, submitted a Letter of Acceptance. Waiver and Consent in which he was suspended from associairmt.w.Wmember r in any capacity for 10 business days. In light of Epsten's financial status, no monetary sanctions have been imposed. Wthout admitting or denying the findings. Epstein consented to the described sanction and to the entry of findings that he exerased 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 External Sources External Link httoinswwfinraorgtwebigroupshndustryggnot©entitklatclocumentskliscionnaryacconstp I 26288. pclf Images no rows found States Status Since Date To Date Current Copyright 19982010 Norkom Tothnobgiss Ltd. Al rights rosotw0 08_scrynctivaDelaos SDNY_GM_00058591 https://aml.cit.gto.intranet.db.e DENTri Atritkn-kAwfli_Xlj.. 6/16/2017 CONFIDENTIAL — PURSUANT TO FED. 0B-SDNY-0021415 EFTA_00169 ISO EFTA01296334