EFTA Document EFTA01374037
AGP LP 519 Alpha Group Capital Paul Barrett not considered eligible investors and are not entitled to participate in the ARS buyback under the terms of the settlement. Merrill Lynch's control affiliate BAS entered into similar consent orders with state securities regulators. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068544 CONFIDENTIAL SDNY_GM_00214728 EFTA01374037
Summary
AGP LP 519 Alpha Group Capital Paul Barrett not considered eligible investors and are not entitled to participate in the ARS buyback under the terms of the settlement. Merrill Lynch's control affiliate BAS entered into similar consent orders with state securities regulators. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068544 CONFIDENTIAL SDNY_GM_00214728 EFTA01374037
Ask AI About This Document
Extracted Text (OCR)
Related Documents (6)
EFTA Document EFTA01374036
AGP LP 519 Alpha Group Caudal Paul Barrett those trades with traders on a Merrill Lynch securities proprietary trading desk. The 2011 Order found that, at times, Merrill Lynch's securities proprietary traders used that information to place trades for Merrill Lynch after execution of the institutional customer order. The 2011 Order found that this disclosure and use of institutional customer order information by Merrill Lynch's traders was improper and contrary to Merrill Lynch's confidentia
EFTA Document EFTA01386108
AGP LP 519 Alpha Group Capital Paul Barrett S Merrill Lynch Wealth Management' GWIM Alternative Investments 4 World Financial Center 250 Vesey Street, Il thF1 New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate secu
EFTA Document EFTA01425460
Subject: RE: Frieze NY - registration status [I] From: Sarah Rafferty < > Date: Tue, 17 Apr 2018 14:23:26 -0400 To: Stewart Oldfield ‹ > Cc: Bradley Gillin Classification: For internal use only Yes — that was the day he showed up last year. Regards, Sarah fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Sarah Rafferty Director I Marketing - Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 24th floor, New York, NY 10154 Te
EFTA Document EFTA01374035
AGP LP 519 Alpha Group Capital Paul Barrett S Merrill Lynch Wealth Management' GWIM Alternative Investments 4 World Financial Center 250 Vesey Street, Fl New York, NY 10080 3. The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth ("MSD") alleged violations of the Massachusetts Uniform Securities Act, which, in part, prohibits unethical or dishonest conduct or practices in the securities business, concerning Merrill Lynch sale of auction rate securiti
EFTA Document EFTA01433527
Subject: RE: KCP Structured Finance - Senior/ Junior Financing of German Real Estate in Stuttgart - Up to EUR 75 Mio Senior at [3%] / 45 Mio. Junior at [9%] / Notes 4NC3 - November tar et close From: Stewart Oldfield Date: Thu, 02 Nov 2017 17:30:37 -0400 To: Matt Glassman You seem surprised . . From: Matt Glassman Sent: Thursday, November 02, 2017 5:14 PM To: Stewart Oldfield ‹ > Subject: RE: KCP Structured Finance - Senior/ Junior Financing of German Real Estate in Stuttgart - Up t
EFTA Document EFTA01437198
Subject: Frieze NY - re istration status [I] From: Sarah Rafferty < Date: Fri, 06 Apr 2018 15:28:07 -0400 To: Stewart Oldfield Classification: For internal use only HI Stewart, see below. Please continue to follow-up with all outstanding and if they plan to attend, ask them to register. If they decline, please let me know so I can update my file. Thank you. Ticket type # of tickets required Invitee first name Invitee last name Invitee company name Invitee job title DB nominator
Forum Discussions
This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.