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efta-efta01594827DOJ Data Set 10CorrespondenceEFTA Document EFTA01594827
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DOJ Data Set 10
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IP. Morgan Account Suitability Supplement J. P Morgan
A, Account Information (required for 3PMS Brokerage and Investment
Management accounts)
Title of Account: SOUTHERN TRUST COMPANY, INC
Personal Accounts
0 Individual CI Joint (J7WROS/JAWROS for 'TX residents)
0 Community Property 0 Transfer on Death (TOO)
Primary Account Owner: 0WouRetqtri
Number of Dependents Name of Employer
Total Net Worth excl.
Owner Annual Income ($) Liquid Net Worth ($) primary residence ($)
Joint Account Owner:
Annual Income ($)
Entity Accounts
El Corporation 0 Partnership 0 PIC/PHC (applicable to international entities
only) 0 SOle Prlprietorship
0 Foundation 0 Endowment 0 Limited Liability Company 0 Limited Liability
Partnership 0 Other Non Profit
Annual Income (5)5,000,000 0 Tenants in Common °Tenants by the Entirety
UTMA/UGMA 0 IRA
Liquid Net Worth (5)25,000,000 Total Net Worth ($) 30,000,000
Trust/Estate Accounts
0 Trust 0 Estate 0 Endowment 0 Foundation 0 ERISA Plan 0 Other Charitable
Trust 0 Other
Trust/Estate Liquid Net Worth ($) Trust/Estate Total Net Worth ($)
B. Affiliations (required for JPMS Brokerage and Investment Management
accounts)
Applicable to account owners or authorized signerS or trustees and
executors.
I, my spouse, or Immediate family member who receives material support from
me or gives material support to me is, or has been, a
director, corporate officer, control person, affiliate or an owner of 10% of
a public corporation's stock: 0 Yes El No
It yes, name of person Name of corporation
If yes, Is the corporation traded publicly on a U.S. Stock exchange? 0 Yes
18) No
I, my spouse, immediate family member who receives material support from me
or gives material support to me, or an individual
controlling the account is employed by or associated with an FCM, broker -
dealer, a futures or securities exchange, the NFA or FINRA,
the CFTC, SEC or the MSRB: Dyes 21 No
If yes,* name of employer Name of employee/assoc.
Accountholder or immediate family member or another household member is an
employee of a financial institution or insurance
company: 0 Yes No
If yes*, name of institution Name of employee/assoc.
*If Yes, Broker -Dealer and FINRA member financial institutions must provide
written permission on corporate letterhead to open a
Brokerage, Margin, or Investment Management account.
C. Brokerage Account Information (required for IPMS Brokerage accounts only)
Investment Profile
EFTA01594827
My objective for this account (check one): 0 Capital Preservation 0 Income
Generation 21Capital Appreciation
Speculative or aggressive investments that may mrierate higher returns but
may be riskier than other investments because I may
lose all or part of my investment (check one): 0 Are permitted in this
account El Are not permitted in this account
Primary source of income: IN Investments 0 Compensation 0 Pension 0 Other
Please indicate the number of years of personal trading experience for the
authorized party(s) on this account:
Hedge Funds/
10 1.0 10 Structured 10 in Emerging
Markets 10 Private
Stocks Bonds FX Products Options Placements 1° ..tiotrliirmodities es 10
rpiyAgl 10
I currently have brokerage accounts with the following firms: NO
Approximate value of investable assets held away from the firm? $1,000,000
Those assets are invested in the following Asset Classes: 2Equities EFixed
Income ea Cash NAlternative Investments 0 Other
Most of those assets are invested in: El Equities El Fixed Income &Cash El
Alternative Investments 0 Other
Check only one selection for Investment Time Horizon, Primary Liquidity
Needs, and Secondary Liquidity Needs
Investment Time Horizon: 0 Less than 1 year 01-5 years 06-10 years g Greater
than 10 years
Primary Liquidity Needs: 0 Short Term 0 Medium Term IN Long Term 0 None
Secondary Liquidity Needs: OShort Term 0 Medium Term Ig Long Term 0 None
J.P. Morgan Use Only
Page 1 of 2 SOUTHERN TRUST COMPANY, INC Title 239150 SPN
NELSON 0 JUSTIN Banker/Investor 0222035463 CAS
3/13 1522
J.P. Morgan Account Suitability Supplement JP,Morgan
C. Brokerage Account Information (cont.)
Large Trader Identification Number' ("UM")
LTID - If applicable, enter LTID number here: DET1000000000
*Large Trader definition Is explained in paragraph 16 of the Brokerage
Account Agreement
Custodian (if applicable)
0 WMorgan Chase', Bank, N.A. 0 Other (please specify)
Margin Amount Requested? Options Trading (required for exchange traded
options, over-the-
counter traded options or structured products)
g Yes 0 No El Yes (a Derivatives Approval form will be required) 0 No
Personal Accounts Only
Marital Status Of Primary Account Owner: 0 Married DSingle ODivorced 0
Widowed
Spouse Information:
Name Name of Employer
Occupation/Position Annual Income ($)
Non -Individual Accounts Only
EFTA01594828
If applicable, enter Legal Entity Identifier here:
sEalaZIEEDEDDLIDECIETEOREE
D. Agreement
I have read, understand and agree to this application and the General Terms
for Accounts and Services and the Account Agreement
(In each case, our "Agreement"). The Agreement, with amendments from time to
time, generally will apply to any future account,
product or service that we agree upon orally, electronically or otherwise,
although certain accounts, products or services may require
additional documentation. This Agreement (including this application) is a
security agreement under Article 9 of the Uniform
Commercial Code, as amended from time to time. I have read and consent to
the terms of J.P. Morgan's Private Bank and Private
Wealth Management Privacy Notice, including the manner in which my
Information is received and used, and that upon opening an
account with 3.P. Morgan's Private Bank or Private Wealth Management
(together described as the "Private Banking BusinesS" In the
Notice) my information will be used by one or more members of the Private
Banking Business' family of companies (as listed in the
Notice) in order to make available to me the products and services available
through the Private Banking Business.
E. Pre -dispute Arbitration (This app Ties to Margin and Efrokeragef but not
Investment Management Accounts.)
By signing below, I acknowledge agreement to arbitrate any controversies
arising out of the Margin or Brokerage
Agreements with 1.P. Morgan Securities LLC, in accordance with paragraph 11
of the Brokerage Agreement that I have
received. Paragraph 11 is located in the Agreements for Accounts and
Services Offered Through 3.P. Morgan Securities
Lt.c and J.P. Morgan Entities which is contained within the Combined Terms
and Conditions and within the International
General Terms for Accounts and Services Accoult_Agr-Cements.
F. Signature 7 --
All accounthoiders are re0ired to ' elow—Elee note: any changes not
initialed by you, or any information that remains
missing on tSese forms will adv in open n'syour account and may require us
to send the application back to you.
1—>
JEFFREY E. ESTEIN
Signature (Accountholder) Date Print Name
=>
Signature (Accountholder) Date Print Name
J.P. Morgan Use Only
Page 2 of 2 SOUTHERN TRUST COMPANY, INC Title 239150 SPN
NELSON D JUSTIN Banker/Investor 0222035463 CAS
3/13 1522
EFTA01594829
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