EFTA01481019.pdf

Confidential Due Diligence Report — YHS LLC REGULATORY SANCTIONS • ThiS DATA IS FOR INFORMATION PURPOSES ONLY • • • • • • COLLECTED AND COMPILED BY MORTGAGE ASSET RESEARCH INSTITUTE, INC. • • PARTY: EPSTEIN, JEFFREY INCIDENT INFORMATION CASE NUMBER: 02-03451 JURISDICTION: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. SOURCE: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DATE: 8/ 6/2003 Other Incident Info: CASE NAME: RAYMOND, JAMES a ASSOCIATES, CLAIMANT, VS. JEFFREY EPSTEIN, RESPONDENT. The individual(s) or company(ies) listed in this report were party to a National Association of Securities Dealers (NASD) arbitration award. Being party to the arbitration award does not necessarily mean that the individual(s) or company(ies) have been found to have violated any code or regulation. EPSTEIN, JEFFREY Action: NASD ARBITRATION HARDCOPY: FOR A COPY OF THE SOURCE DOCUMENT(S), CONTACT MARI AT (703) 620-6262. HARDCOPY ORDER NUMBER: NASA038G-01182857 Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Corporate Security. Confidential Treatment Requested by JPM-SDNY-00003270 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272468 EFTA01481019