EFTA Document EFTA01299040

Norkom 6.1.0 - Dow Jones Details Page I of 2 I Home Page Reduestor Menu Dow Jones Details Details Alert ID: Score: Best matches: Name: DOBIDOI: Nationality: Gender: Country of Birth/Branch: Country of Residence: A130512230572 100% In FACTIVA PFA: 04gender M Exact Match M 03_name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Jeffrey Epstein United States Male United States United States Alert Date: Detection Check: Data Source: Street/Number: Zip Code/City: PEP Indicator: Customer ID: Alerted Customer ID: Comments: Show Debug Into 29/05/2013 djw names Customer_NCA_web null Dow Jones Association Details no rows found Dow Jones Details Title: First Name: Middle Name: Last Name: Full Name: Gender: Deceased: Record Type: Names no rows found Dates no rows found DescriptIoni Jeffrey S. Epstein Jeffrey S. Epstein Male No Individual Countries Type Resident cif Description2 UID: Active Status: Entity Name: Address Country: Address City: Address Line: Entered: Updated: 1150901 Active USA Framingham. Massachusetts 03/08/2009 00:00:00 03/08/2009 00 00 00 Country Not Known tintted states Descriptions littps://aml.eit.gto.intranet.db. CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00064488 MIN Atrftkn=QtoL7XUhl... 5/29/2013 DB-SDNY-0027291 EFTA_00174969 EFTA01299040 Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Description 1 Description 2 Special Interest Ot.".er Offnia r LiEt.5 Person (SIP) Roles no rows found Profile Notes no rows found SECURITIES AND EXCHANGE COMMISSION NOTES: Litigation Rel. No. 18675 / April 22, 2004 SEC Charges Former Director of Banknorth Group, Inc. and MetroWest Bank In Settled Insider Trading Case SEC v. Men 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 Erector of both MetroWest Bank and Banknorth Group, Inc., and four of his associates — Arthur H. Freedman, Jeffrey S. Epstein, Steven T. Moore and Romeo J. Pendolari - for illegal insider trading in three publicly-traded Massachusetts banks - MetroWest 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 6437,000 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 Source httpl/www.sec.govffitigationnitreleaseslitrelarchivettitarchiye2004.shtml httpl/www.sec.govAitigabonnitreleases/Irl 8675.htrn httpl/www.sec.govAitigation/complaints/oomp18675.htrn Images no rows found States Status Current Since Date To Date Copyrigtd 1996.2010 Norkom Technologies Ltd. Al rights reserved. Ctscr_Fecinfeeeteils Imps://aml.cit.gto.intranet.db.c CONFIDENTIAL - PURSUANT TO FED. er SDNY_GM_00064467 tskfirtAtrftkn=Qt0L7XUhl... 5/29/2013 DB-SDNY-0027292 EFTA_00174970 EFTA01299041