EFTA Document EFTA01363454

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 6/15/2017 Added to Monitoring: 06/15/2017 Alert Alert Date: 6/15/2017 Person Name: Jeffrey Epstein Address: Couril;y UNITED STATES Tracking ID: KYC 1790655 Date of Birth: 01/20/1953 Reporting ID: Alerted Entity # 2 of 2 Risk Priority: Critical Alert ID: 9477691.11602729.77100584 Entity Information Entity ID: Riskid: Entity Name: Address: Recent Event(s): Event: Alert Notes 77100584 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 customer's 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, UNITED STATES, was suspended from association with any FIN RA member in any capacity for 10 business days for exercised discretion in a customers account without the customer's written authorization or his member firm's acceptance of the account as discretionary. Source Information RDC URL: Source Name: Entity URL: Sources: htips://grid.rdc.cornrwss/entily.html?entityld=6c75b07ccf9235b45d313d53eb346cc4 RiskConnect, 06/15/2017 http-//www.finra.org/web/groups/industry/i(giggenf/arda/documents/disciplinaryactions/p126288.pdf Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012. Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, http://www.finra.org/industry/disciplinary-actions Co-ostent uith the terrrs and cceestcos d your RDC Sutsaber Agreement the inforrnaban contained n ths docurnent is for alert purposes only and not a, be used la purposes of deteernnog an eclocluafs elrgialty la any areal or any other FCRA permissible purposes User further agrees to hold such rnatenal and infomvidect in sects! oonh,dence, not to matte use thereof other than le authaged purposes to Safe a Only to ernplores resume; such trdorrrohco, and not to release a disclosed to any other party The Alert Somata, contained in the elccurrent nay or my not pertain to the inentelual a erny referenced o your ilquily. Page 21 at 21 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053456 CONFIDENTIAL SDNY_GM_00199640 EFTA01363454