EFTA01364143.pdf

Norkom 6.1.0 - Dow Jones Details Page 2 of 2 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 Distinct 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 Link htip./Nmw sec.govilitigationilitreleasesAitrelarchlveilitarchive2004 shtrri http://www.secgov/Irtigationtlitreleasesolr18675.htrn htlp://www.sec.govilitigationicomplaints/comp18675.htm Images no rows found States Status Since Date To Date Current Copynght 1998-2010 Noncom Technologies Ltd. AN mans reserved. Ce_scr_f anti:INA:ors Imps.//aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrftkn=31sSycCw... 10/12/2016 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054661 CONFIDENTIAL SDNY_GM_00200845 EFTA01364143