EFTA01400399.pdf

Norkom 6.1.0 - Dow Jones Details Page 1 of 2 Dow Jones Details Home Page Requestor Menu Show Debug Info Details Alert ID: Score: Best matches: A130512230572 100% In FACTIVA PFA: 04_gender = M Exact Match M 03 name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Name: DOB/DOI: Nationality: Gender: Country of Birth/Branch: Country of Residence: United States Male 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 Jeffrey Epstein Street/Number: Zip Code/City: PEP Indicator: Customer ID: Alerted Customer ID: Comments: 8000000015357152 null Alert Date: EFTA01400399 Detection Check: Data Source: 29/05/2013 djw names Customer NCA web UID: Jeffrey S. Epstein Jeffrey S. Epstein Male No Individual Active Status: Entity Name: Address Country: Address City: Address Line: Entered: Updated: 1150901 Active USA Framingham, Massachusetts 03/08/2009 00:00:00 03/08/2009 00:00:00 Countries Type Country Citizenship Resident of Descriptionl Description2 Not Known United States Description3 https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?- csrftkn=QtoL7XUhl... 5/29/2013 EFTA01400400 Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Description 1 Special Interest Person (SIP) 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. Allen M. Glick et al. (United States District Court for the District of Massachusetts, C.A. 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 Source http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2004.shtml http://www.sec.gov/litigation/litreleases/lr18675.htm http://www.sec.gov/litigation/complaints/comp18675.htm Images no rows found States Status Current Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved DB scr FactivaDetails Description 2 Other Official Lists EFTA01400401 no rows found Since Date To Date https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?- csrftkn=QtoL7XUhl... 5/29/2013 EFTA01400402