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P22: Recruitment Patterns ✕
P21: Financial Networks ✕
D5: Procedural Violations ✕
DOJ DataSet-10 ✕
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unknown
DataSet-10
EFTA01387509
EFTA01387509.pdf
(WP products and services ore intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts' under F1NRA Rule
4512(031 and are capable of evaluating …
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unknown
DataSet-10
EFTA01345399
EFTA01345399.pdf
Classification: Confidential
The client can bring a check in themselves.
Regards,
Dana H.
Dana.HugginsOdb.com
Banking Products
Deutsche Bank Trust company Americas
Privat…
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email
DataSet-10
EFTA01420819
EFTA01420819.pdf
Subject: RE: Enhanced Education [C]
From: Stewart Oldfield
Date: Fri, 01 Feb 2019 11:36:27 -0500
To: Liam Osullivan ‹ >
Classification: Confidential
Which account is this? …
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unknown
DataSet-10
EFTA01382133
EFTA01382133.pdf
exercising independent judgment in evaluating and determining whether to enter
into, sophisticated trading strategies and financial transactions. Transactions are
subje…
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unknown
DataSet-10
EFTA01386586
EFTA01386586.pdf
GLDUS238 SOUTHERN FINANCIAL LLC
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Ac…
P21
D1
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unknown
DataSet-10
EFTA01374950
EFTA01374950.pdf
IWP products and services are intended for and available only to sophisticated, experienced investors
who qualify as •institutional accounts' under FINRA Rule 4512(cX…
V15
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unknown
DataSet-10
EFTA01382983
EFTA01382983.pdf
GLDUS238 SOUTHERN FINANCIAL LLC
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Ac…
P21
D1
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email
DataSet-10
EFTA01414940
EFTA01414940.pdf
Subject: RE: are you running the Brooklyn half?
From: Stewart Oldfield
Better than I expected. I finally got back under 2hrs for the first time
since early last year. Conditions were great. Let's l…
V15
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P22
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email
DataSet-10
EFTA01428592
EFTA01428592.pdf
Subject: RE: Enhanced Edu ation C
From: Liam Osullivan
Date: Fri, 01 Feb 2019 11:39:02 -0500
To: Stewart Oldfield ‹ >
Classification: Confidential
.7 EPSTEIN VIRGIN ISLANDS
F…
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unknown
DataSet-10
EFTA01392366
EFTA01392366.pdf
GLDUS128 Patrick Gerschel
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access F…
P21
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email
DataSet-10
EFTA01405354
EFTA01405354.pdf
Subject: Fw: Case # 01265108 for A/c (C)
From: Halina Laczny
Date: Wed, 06 Aug 2014 12:35:58 -0400
To: Amanda Kirby <
Classification: Confidential
Hi Amanda,
As requested, please see at…
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email
DataSet-10
EFTA01387958
EFTA01387958.pdf
From: Liam Osullivan
Sent: 2./14/2019 2:26:48 PM
To: Bella Klein I
CC: Richard Kahn [ ; Darren Indyke I …
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unknown
DataSet-10
EFTA01455920
EFTA01455920.pdf
On Mon, Oct 27, 2014 at 11:34 AM, matt Glassman < > wrote:
Classification: Confidential
Hi Jeffrey,
Attached, you will find an overview of an investment opportunit…
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unknown
DataSet-10
EFTA01394541
EFTA01394541.pdf
GLDUS140 Lawrence Hirsch
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fu…
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unknown
DataSet-10
EFTA01378725
EFTA01378725.pdf
Tel.
Em
KCP products and services are intended for and available only to sophisticated.
experienced investors who qualify as inst…
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email
DataSet-10
EFTA01385907
EFTA01385907.pdf
From: Paul . 1s ]
Sent: 4/13/2015 4:06:34 PM
To: Stewart 0ldfield I
Subject: FW: Portfolio Protection Idea - SPX Puts Contingent on…
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unknown
DataSet-10
EFTA01298708
EFTA01298708.pdf
NAME SEARCHED: The Financial Trust Company
PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed tho…
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unknown
DataSet-10
EFTA01366375
EFTA01366375.pdf
and may be paid out of the offering proceeds deposited in the trust account. The per-share amount distributed to
any redeeming stockholders upon the completion of our initial busines…
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unknown
DataSet-10
EFTA01391703
EFTA01391703.pdf
GLDUS142 Ironsides Asset Mgmt
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Acce…
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email
DataSet-10
EFTA01350987
EFTA01350987.pdf
Subject: RE: Fw: Epstein - Assets to transfer [C]
From: Vahe Stepanian sci >
Date: Mon, 02 Dec 2013 15:21:31 -0500
To:
Cc: Amanda Kirb
Lisa D Hurd
PB-Service1318
Classific…
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legal filing
DataSet-10
EFTA01386064
EFTA01386064.pdf
amended complaint does not specify who within Citigroup or Citibank recommended the AIG investment, the defendants
are aware of which of their employees are implicated in this matter. Moreover, the…
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email
DataSet-10
EFTA01420813
EFTA01420813.pdf
Subject: Re: Enhanced Education [C]
From: Richard Kahn < IMI >
Date: Fri, 01 Feb 2019 11:35:29 -0500
To: Liam Osullivan
Cc: Davide-A Sferrazza
Jeanne Brennan
Darren Indyke
…
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unknown
DataSet-10
EFTA01390774
EFTA01390774.pdf
GLDUS113 Cliff Meg
where the Access Fund has a significant ownership interest (generally 80% or mom) in such portfolio
company, there is a potential risk that the Access Fund and…
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email
DataSet-10
EFTA01471442
EFTA01471442.pdf
Subject: Re: Marina REIT [C]
From: Paul Morris ‹ >
Date: Mon, 27 Oct 2014 16:31:56 -0400
To: [email protected]
Cc:
Classification: Confidential
will come back to you but as TS …
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