EFTA Document EFTA01295997

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Alert Alert Date: 10/12/2016 Person Name: Jeffrey Epstein Address: Ct;untiy United States Tracking ID: GCIS 00000483289 Date of Birth: 01/20/1953 Reporting ID: KYC 01651789 Alerted Entity 1 of 3 Entity Information Alert ID: 6472545.11593674.73056800 Entity ID: 73056800 Riskid: R12818110 Entity Name: Jeffrey Epstein Alias: JEFFREY EDWARD EPSTEIN Address: • 9 E 71ST ST. NEW YORK, New York 10021.4102, UNITED STATES • LITTLE ST JAMES. 6100 RED HOOK QUARTER. 83. ST THOMAS. Virgin Islands. 00802. UNITED STATES • 6100 RED HOOK QUARTER, B3, ST THOMAS, Virgin Islands, 00802. UNITED STATES • GREAT ST JAMES, Virgin Islands, UNITED STATES • 358 EL BRILLO WAY, PALM BEACH, Florida, 33480. UNITED STATES • 22 AVENUE FOCH APT 20D. PARIS. 75116. FRANCE • 301 E. 66th St, New York City. New York, UNITED STATES Riskography: Jeffrey Epstein (Epstein) is an American financier and a registered sex offender since 2008. In June 2008. after pleading guilty to a single state charge of soliciting prostitution. Epstein began serving an 18-month sentence. Epstein was convicted by the US District Court of Florida as a sex offender in the state of Florida of soliciting an underage girl for prostitution. Earlier in March 2005. a woman contacted Palm Beach police and complained about Epstein sexually assaulting her 14-year old daughter. By 2011, 40 underage girls had come forward with similar stories, saying Epstein had sexually assaulted them. As of May 2013. Epstein has made 17 out-of-court settlements. Recent Event(s): • SEX - Sex Offenses (Rape. Sodomy. Sexual Abuse. Pedophilia) / CVT - Convict, Conviction. 05/02/2016 Entity appears on the New York Sex Offenders site. 05/02/2016, New York - Division of Criminal Justice Services - Sex Offenders Ccosatent MT the leans and cant:Loonsof floe ROC Sutactiser Agreement the infarrobon contaned n this dozaerit is Ice alert purposes only and is na lobe used for pap:isnot delermntra an ondaquars angerilly fix any mat or any other FCRA pamssabb paroses User tatter agrees to hold such mateetal and intermatica 0 orcterrt confidence nate nuke use trettt on*' man 'or arrrhaarO avatars, to Wantonly to eroksyees requiring such infornotas and rot to rekrase or dabs* rt to any OM( pad,' Ti. Alai internam COntan0d n :nn dearrment may Cr' may not portant, no inctrocruai a entity miaowed in you, many SDNY_GM_Oderhaff CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0020265 EFTA_00I 68009 EFTA01295997 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 10/12/2016 Alert Date: 10/12/2016 Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Ct;untiy United States Tracking ID: GCIS 00000483289 Date of Birth: 01/20/1953 Reporting ID: KYC 01651789 Alerted Entity tr. 1 of 3 Event: Date Of Birth: Position: Eye Color: Hair Color: Height: Race: Sex: Weight: Image: Alert ID: 6472545.11593674.73056800 • SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 05/02/2016 Entity appears on the New York Sex Offenders site. 05/02/2016, New York - Division of Criminal Justice Services - Sex Offenders • FRD - Fraud. Scams. Swindles / CVT - Convict. Conviction. 07/25/2006 Stealing his neighbors mail, convicted of postal fraud;, 07/25/2006, New York Post • TFT - Theft (Larceny, Misappropriation, Embezzlement, Extortion) / CVT - Convict. Conviction, 07/24/2006 was convicted of postal larceny and theft and one count of property theft., 07/24/2006, The Palm Beach Post • OBS - Obscenity Related. Child Pornography / CVT - Convict. Conviction. 12/05/2008 serving time in jail for soliciting erotic massages. 12/05/2008, South Florida Sun-Sentinel • SEX - Sex Offenses (Rape. Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict. Conviction, 10/08/2013 On List [FL Department of Law Enforcement - Sex Offenders), 10/08/2013, Florida - Department of Law Enforcement - Sex Offenders • IPR - Illegal Prostitution. Promoting Illegal Prostitution / PLE - Plea, 05/26/2010 pleaded guilty last year to soliciting a minor for prostitution and soliciting prostitution., 05126/2010, The Palm Beach Post • IPR - Illegal Prostitution. Promoting Illegal Prostitution / CVT - Convict. Conviction. 06/25/2009 Jeffrey Epstein will be released after serving less than 13 months of his 18-month sentence for procuring a minor for prostitution and solicitation of prostitution., 06/25/2009. Palm Beach Daily News • IPR - Illegal Prostitution, Promoting Illegal Prostitution / IND - Indict, Indictment, 08/14/2006 indicted on a charge of felony solicitation of prostitution, 08/14/2006, The Palm Beach Post • IPR - Illegal Prostitution, Promoting Illegal Prostitution / CHG - Charged, 01/26/2008 Has been charged with soliciting a prostitute.. 01/26/2008. The Daily Telegraph • IPR - Illegal Prostitution. Promoting Illegal Prostitution / PRB - Probe, 01/10/2015 registered sex offender Jeffrey Epstein, is now accused of keeping underage girls as "sex slaver for prominent men. The investigation is ongoing., 01/10/2015. The Clanon-Ledger (Jackson, Mississippi) • 1954 • 1/20/1953 president of J Epstein & Co. Blue Grey 6'00" White Male 180 lbs Ccointent w0 the Wenn and contkacenol yon ROC Sotoater Agreemea. the idarrobon oantaned in this document is Ice atat purposes only er4 is not to be used for purposesof deleonntog an 'Acadia:Vs Ngldlty ex any ate, or any Mier FCRA pemusabb outmaes Use( twiner agrees to hold such maternal and information in 9r [Kit conndence net to make use thereat erne' man •or atm.:reel purpose* to relate toNy to erchoyoos requiring sue' intormaten and rOt to release Of &atter,' to any caw pony Try AIM ifit00".111CO COOtinOd n this dcooront rrey a may nor wan to me inePodual a early reterented m you, inquiry SDNY_GPIA_Odbgrati CONFIDENTIAL — PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0020266 EFTA_00I680I0 EFTA01295998 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 10/12/2016 Alert Date: 10/12/2016 Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Coullry United States Tracking ID: GCIS 00000483289 Date of Birth: 01/20/1953 Reporting ID: KYC 01651789 Alerted Entity U 1 of 3 Alert ID: 6472545.11593674.73056800 Alert Notes Notes: President Of J Epstein & Co., Jeffrey Epstein eke Jeffrey Edward Epstein, DOB- 1/20/1953, of 9 E 71ST ST, New York, New York, 10021-4102. appears on the New York Sex Offenders site. Source Information RDC URL: https://grid.rdc.comAvss/entity.html?entityld=e810c27f4e41c3d25d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: . http://offenderldle.state.ftus/offenderfflyerdo?personld=62762 • http://www.criminaljustice.ny.gov/SomsSUBDirectory/offenderDetails.jsp?offenderid=33216 Sources: • New York Post. MEDIA Article,United States.Headline:MAGAZINE MOGUL IN SEX BUST. http:liglobal.factiva.com/ert/du/article.asp?NAPC=S&AccessionNo=NYPO000020060725e27p0004w • The Palm Beach Post. http://global.factiva.coriVenklufarticle.asr1NAPC=S&AccessionNo=PMBP000020060726e27o0000i • FL Department of Law Enforcement - Sex Offenders. FL Department of Law Enforcement - Sex Offenders. http://offender.fdle.state.ftus/offender/homepage.do • South Florida Sun-Sentinel, MEDIA Article,United States,Headline:UNDERAGE GIRL SECOND TO SUE BILLIONAIRE. http://global.factiva.com/en/dWarticle.asp9NAPC=S&AccessionNo=FLSS000020081205e4c50005I • The Palm Beach Post, MEDIA Article.United States,Headline:METRO REPORT, http://global.factiva.cornren/du/article.asp?NAPC=S&AccessionNo=PMBP000020100527e65q0000k • New York - Division of Criminal Justice Services - Sex Offenders. New York - Division of Criminal Justice Services - Sex Offenders, httpavivw.criminaljustice.ny.gov/SomsSUBDirectory/search_index.jsp • Palm Beach Daily News. MEDIA Article,United States.Headline:JUDGE TO RULE ON SEALED PLEA- DEAL PAPERS TODAY, http://global factiva.conVen/drilarticle asp?NAPC=S&AccessionNo=PBDN000020090717e56p0000e • The Palm Beach Post. MEDIA Article,United States,Headline:PALM BEACH CHIEF FOCUS OF FIRE IN EPSTEIN CASE DEFENDANTS LAWYERS TAKE HIM ON; HE SLAMS STATE ATTORNEY, http://global.factiva.corriren/du/article.aspINAPC=S&AccessionNo=PMBP000020060816e28e00008 • The Daily Telegraph. http://globatfactiva.com/en/du/article.asp?NAPC=S&AccessionNo=DT00000020080126e41q0004q • The Clarion-Ledger (Jackson, Mississippi), MEDIA Article,Headline:Another Clinton scandal brewing? Canard will the tears and condoons al mue ROC Subs/abet Apreemet the olowrobon contend m this document is Ice sat purposesonly ar4 is not lobe used to: purposesol dekumang an 'madras:ars Ngldlty ex any aell of any Mee FCRA pemstabb para.. User tatter agrees to had such melons, and information a stalest contains. net to make use thereof cam Man 'Of at.nage.1 p.orp“.14, to relate [only to employees requiring such informatco and rot to reMase or dabs* R 10 any other party Tr* AIM intonnatien contanod n this document may or may MIX Wan 10 no inci,oeuai a entity refererated m you, notory SDNY_GMfielegAti CONFIDENTIAL - PURSUANT TO FED. R.ctQN(E IDENTIAL DB-SDNY-0020267 EFTA_00I 680 I I EFTA01295999 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 10/12/2016 Alert Date: 10/12/2016 Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Cmuntiy United States Tracking ID: GCIS 00000483289 Date of Birth: 01/20/1953 Reporting ID: KYC 01651789 Alerted Entity t 2 of 3 Alert ID: 6472545.11593674.64722293 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 64722293 R110371734 Jeffrey Richard Epstein Bryn Mawr, Pennsylvania, UNITED STATES • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings. Epstein consented to the described sanction and to the entry of findings that he exercised discretion in a customers account without the customers written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012. Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 • REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 Jeffrey Richard Epstein submitted a Letter of Acceptance. Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings, Epstein consented to the described sanction and to the entry of findings that he exercised discretion in a customers account without the customers written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012. Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 Notes: Jeffrey Richard Epstein, of Bryn Mawr, Pennsylvania, submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 business days. Source Information RDC URL: https://grid.rdc.comAvss/entity.html?entityld=9430b4b9ad8d51b65d3f3d53eb346cc4 Source Name: RiskConnect. 10/11/2016 Entity URL: • nttp://www.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActions/2012tindex.htm • http://www.finra.orglweb/groupstindustry/(lipkgenfg§da/documents/disciplinaryactions/p126288.pdf Sources: Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, http://www.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActions/2012 Consistent won the tennis and concitnial yo.n ROC Subscebet Agreett the iteration cantered in this document is la alert purposes only and is na to be used to, Nip:isnot deternritna an Nadia:ars (rapiditytot any cleat of any ocher FCRA peinsubSis putpaces Usef fara agrees to had such matenal ard intamation n grictea oonndence net to make use thew( one. man 'or at.rhof eel outpaces, to relate t only to erchayees requiring suds inforrnatco and rot to *ease or dachas* R to any Met pany Treated intormanon cortanna o :h4 deCufraranliy Of may not pone ri to ma inariouai a entity feterented in your inquiry SDNY_GM_0505721O CONFIDENTIAL - PURSUANT TO FED. R.WN(F IDENTIAL DB-SDNY-0020268 EFTA 00168012 EFTA01296000 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 10/12/2016 Added to Monitoring: 10/12/2016 Alert Alert Date: 10/12/2016 Person Name: Jeffrey Epstein Address: Cmuntiy United States Tracking ID: GCIS 00000483289 Date of Birth: 01/20/1953 Reporting ID: KYC 01651789 Alerted Entity U 3 of 3 Alert ID: 6472545.11593674.64322136 Entity Information Entity ID: Riskid: Entity Name: Recent Event(s): Event: Alert Notes 64322136 R110194221 Jeffrey R. Epstein • REG - Regulatory Action / ACT Decision number 1993-003378 several., 01/31/1994, New York • REG - Regulatory Action / ACT Decision number 1993-003378 several., 01/31/1994. New York - Disciplinary, Regulatory Action, 01/31/1994 - Respondents shall pay to Claimant $736.00. This award is joint and - Stock Exchange Arbitration Decisions - Disciplinary, Regulatory Action, 01/31/1994 - Respondents shall pay to Claimant $736.00. This award is joint and - Stock Exchange Arbitration Decisions Notes: Jeffrey R. Epstein, of United States, appears on New York - Stock Exchange Arbitration Decisions Site. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?entityld=238099a3ea52d8275d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: http://finraawardsonline.finra.oro/turing.aspx7doc=37613 Sources: NY Stock Exchange Arbitration Decisions, NY Stock Exchange Arbitration Decisions, http://www.nysecom/regulation/nyse/1022221394131.htrnl Consatent wth the teems and conaoons of yo.i. ROC Subsoil:et Apteemot the information contaned in this document is lee alert purposes only and is na lobe used lo' purposes of determntro an 'flatmates eagodrynx any cam of any oho FORA parrissabto waxes User tarot agrees to hold such material and intamanon ,n vraest contidence na to make use thato5r otho• .an 'or atMordel purposes, to Wantonly to erchoyees requiting such informatas and rot to reayaso or dscbso rt 10 any met party Try AIM oformanon contanna ffn Ins document fray C' may nor erten to me inciroduai a entity referenced n you, inquiry SDNY_GM_OdeigAiff CONFIDENTIAL — PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020269 EFTA_OOI 68013 EFTA01296001