EFTA Document EFTA01299231

ACM TO Cc Date Subject: 09/04/2013 04:28 PM CLEARED Richard D Kahn rdc alert [I] Classification: For internal use only Hi Amanda - As per our conversation, AML Compliance clears the below alert - this is a POSITIVE hit - this alert was generated regarding the trustee of the perspective client, a trust for Jeffrey Espstien, who is a current DB Client. The trustee is an account, who is named in an NYSE ARCA, Inc regulatory proceeding dated April 20, 2012. It appears that the 21 defenda