EFTA Document EFTA01296002

Norkom 6.1.0 - Dow Jones Details Home Page Help Requester Menu Dow Jones Details Details Show Debug Info Page I of 2 a Alert ID: Score: A161030512965 100% Best matches: in FACTIVA PFA: 04_gender = M Exact Match M 03_name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Alert Date: 12/10/2016 Detection Check: djw names Data Source: Customer NCA web Name: Jeffrey Epstein Street/Number: DOWDOI: 20/01/1953 Zip CodeICity: Nationality. United States PEP Indicator: Gender: Male Customer ID: Country of Birth/Branch: United States Alerted Customer ID: Country of Residence: United States Comments: 8000000334983842 Dow Jones Association Details no rows found Dow Jones Details Title: UID: 1150901 First Name: Jeffrey Active Status: Active Middle Name: S. Entity Name: Last Name: Epstein Address Country USA Full Name: Jeffrey S. Epstein Address City; Framingham. Massachusetts Gender: Male Address Line: - Deceased: No Entered: 03/08/200900:00:00 Record Type: Individual Updated: 03/08/200900:0000 Names no rows found Dates no rows found DescrIption1 Description 1 Special Interest Person (SIP) Roles Countries Type Country Citizenship Not Known Resident of Urged States DescriptIon2 Other Information Description 2 Content Type Other Official Lists SEC - Litigation Releases Otter Ofliiisal Lists SDNY_GM_00057446 CONFIDENTIAL -I PURSUANT .cit.gto.i TO FED. https://am ntranet.db.e Vri-DeNT1A ?Lrfikn=3IsaycCw . (e 10/12/2016 DB-SDNY-0020270 EFTA_00 168014 EFTA01296002 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 MetroVVest 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 MetroWsst Bank and Banknorth Group, Inc.. and four of his associates — Arthur H. Freedman, Jeffrey S. Epstein. Steven T. Moore and Romeo J. Pendolan — for illegal insider trading in three publicly-traded Massachusetts banks — MetroVVest 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 Mtg./Atom sec.govaitigationflitreleasesAtrelarchivetlitarchive2004 shini http/Avww.sec govilitigation/litreleaseat 8675 htm http./Avww. sec.govilitigetionicomplaintstcomp18875.htm Images no rows found States Status Since Date To Date Current Copynght 1998-2010 Norkom Technologies Ltd. Al rights reserved. 06ficf_FactivaDotails https://aml.cit.gto.intranet.db.e CONFIDENTIAL — PURSUANT TO FED. Dew-1Atrftkn=3IsSycCw SDNY_GM_00057447 10/12/2016 DB-SDNY-0020271 EFTA_00168015 EFTA01296003