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efta-efta01594827DOJ Data Set 10Correspondence

EFTA Document EFTA01594827

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DOJ Data Set 10
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efta-efta01594827
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EFTA Disclosure
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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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