EFTA01407576.pdf

DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Date of Birth: 01/20/1953 Country:United States Tracking ID: GCIS 00000483289 Alerted Entity #: 1 of 3 Entity Information Entity ID: Riskid: R12818110 Entity Name: Jeffrey Epstein Alias: JEFFREY EDWARD EPSTEIN Address: 9 E 71ST ST, NEW YORK, New York, 10021-4102, UNITED STATES• • LITTLE ST JAMES, 6100 RED HOOK QUARTER, B3, ST THOMAS, Virgin Islands, 00802, UNITED STATES • 6100 RED HOOK QUARTER, B3, ST THOMAS, Virgin Islands, 00802, UNITED STATES • GREAT ST JAMES, Virgin Islands, UNITED STATES • 358 EL BRILLO WAY, PALM BEACH, Florida, 33480, UNITED STATES • 22 AVENUE FOCH APT 2DD, PARIS, 75116, FRANCE • 301 E. 66th St., New York City, New York, UNITED STATES Recent Event(s): SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 05/02/2016 Entity appears on the New York Sex Offenders site, 05/02/2016, New York Division of Criminal Justice Services - Sex Offenders Riskography: Jeffrey Epstein (Epstein) is an American financier and a registered sex offender since 2008. In June 2008, after pleading guilty to a single state charge of soliciting prostitution, Epstein began serving an 18-month sentence. Epstein was convicted by the US District Court of Florida as a sex offender in the state of Florida of soliciting an underage girl for prostitution. Earlier in March 2005, a woman contacted Palm Beach police and complained about Epstein sexually assaulting her 14-year old daughter. By 2011, 40 underage girls had come forward with similar stories, saying Epstein had sexually assaulted them. As of May 2013, Epstein has made 17 out-of-court settlements. • Reporting ID: KYC 01651789 Alert ID: 6472545.11593674.73056800 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is EFTA01407576 not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 1 of 5 EFTA01407577 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Date of Birth: 01/20/1953 Country:United States Tracking ID: GCIS 00000483289 Alerted Entity #: 1 of 3 • Reporting ID: KYC 01651789 Alert ID: 6472545.11593674.73056800 Event: SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 05/02/2016 Entity appears on the New York Sex Offenders site, 05/02/2016, New York - Division of Criminal Justice Services - Sex Offenders • • FRD - Fraud, Scams, Swindles / CVT - Convict, Conviction, 07/25/2006 Stealing his neighbor's mail, convicted of postal fraud;, 07/25/2006, New York Post TFT - Theft (Larceny, Misappropriation, Embezzlement, Extortion) / CVT - Convict, Conviction, 07/24/2006 was convicted of postal larceny and theft and one count of property theft., 07/24/2006, The Palm Beach Post • • OBS - Obscenity Related, Child Pornography / CVT - Convict, Conviction, 12/05/2008 serving time in jail for soliciting erotic massages, 12/05/2008, South Florida Sun-Sentinel SEX - Sex Offenses (Rape, Sodomy, Sexual Abuse, Pedophilia) / CVT - Convict, Conviction, 10/08/2013 On List [FL Department of Law Enforcement - Sex Offenders], 10/08/2013, Florida - Department of Law Enforcement - Sex Offenders • IPR - Illegal Prostitution, Promoting Illegal Prostitution / PLE - Plea, 05/26/2010 pleaded guilty last year to soliciting a minor for prostitution and soliciting prostitution., 05/26/2010, The Palm Beach Post • IPR - Illegal Prostitution, Promoting Illegal Prostitution / CVT - Convict, Conviction, 06/25/2009 Jeffrey Epstein will be released after serving less than 13 months of his 18- month sentence for procuring a minor for prostitution and solicitation of prostitution., 06/25/2009, Palm EFTA01407578 Beach Daily News • • • IPR - Illegal Prostitution, Promoting Illegal Prostitution / IND - Indict, Indictment, 08/14/2006 indicted on a charge of felony solicitation of prostitution, 08/14/2006, The Palm Beach Post IPR - Illegal Prostitution, Promoting Illegal Prostitution / CHG - Charged, 01/26/2008 Has been charged with soliciting a prostitute., 01/26/2008, The Daily Telegraph IPR - Illegal Prostitution, Promoting Illegal Prostitution / PRB - Probe, 01/10/2015 registered sex offender Jeffrey Epstein, is now accused of keeping underage girls as "sex slaves" for prominent men. The investigation is ongoing., 01/10/2015, The Clarion-Ledger (Jackson, Mississippi) Date Of Birth: 1954• • 1/20/1953 Position: president of J Epstein & Co. Eye Color: Blue Hair Color: Grey Height: 6'00" Race: White Sex: Male Weight: 180 lbs Image: Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 2 of 5 EFTA01407579 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Date of Birth: 01/20/1953 Country:United States Tracking ID: GCIS 00000483289 Alerted Entity #: 1 of 3 Alert Notes Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=e810c27f4e41c3d25d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: http://offender.fdle.state.fl.us/offender/flyer.do?- personId=62762- • http://www.criminaljustice ny.gov/SomsSUBDirectory/offenderDetails.jsp?- offenderid=33216 Sources: • New York Post, MEDIA Article,United States,Headline:MAGAZINE MOGUL IN SEX BUST, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=NYP0000020060725e27p0004w • The Palm Beach Post, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=PMBP000020060726e27o0000i • • FL Department of Law Enforcement - Sex Offenders, FL Department of Law Enforcement - Sex Offenders, http://offender.fdle.state.fl.us/offender/homepage.do South Florida Sun-Sentinel, MEDIA Article,United States,Headline:UNDERAGE GIRL SECOND TO SUE BILLIONAIRE, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=FLSS000020081205e4c50005l • • • The Palm Beach Post, MEDIA Article,United States,Headline:METRO REPORT, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=PMBP000020100527e65q0000k New York - Division of Criminal Justice Services - Sex Offenders, New York - Division of Criminal Justice Services - Sex Offenders, http://www.criminaljustice.ny.gov/SomsSUBDirectory/- search_index.jsp Palm Beach Daily News, MEDIA Article,United States,Headline:JUDGE TO RULE ON SEALED PLEADEAL PAPERS TODAY, http://global.factiva.com/en/du/article.asp?- EFTA01407580 NAPC=S&AccessionNo=PBDN000020090717e56p0000e The Palm Beach Post, MEDIA Article,United States,Headline:PALM BEACH CHIEF FOCUS OF FIRE IN EPSTEIN CASE DEFENDANT'S LAWYERS TAKE HIM ON; HE SLAMS STATE ATTORNEY, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=PMBP000020060816e28e00008 • The Daily Telegraph, • http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=DT00000020080126e41q0004q • The Clarion-Ledger (Jackson, Mississippi), MEDIA Article,Headline:Another Clinton scandal brewing? Reporting ID: KYC 01651789 Alert ID: 6472545.11593674.73056800 Notes: President Of J Epstein & Co., Jeffrey Epstein aka Jeffrey Edward Epstein, DOB- 1/20/1953, of 9 E 71ST ST, New York, New York, 10021-4102, appears on the New York Sex Offenders site. Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 3 of 5 EFTA01407581 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Date of Birth: 01/20/1953 Country:United States Tracking ID: GCIS 00000483289 Alerted Entity #: 2 of 3 Entity Information Entity ID: 64722293 Riskid: R110371734 Entity Name: Jeffrey Richard Epstein Address: Bryn Mawr, Pennsylvania, UNITED STATES Recent Event(s): 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 customer's written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012, Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 Event: 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 customer's written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012, Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 Alert Notes Notes: Jeffrey Richard Epstein, of Bryn Mawr, Pennsylvania, 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. Source Information EFTA01407582 RDC URL: https://grid.rdc.com/wss/entity.html?- entityId=9430b4b9ad8d51b65d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: http://www.finra.org/Industry/Enforcement/DisciplinaryActions/- MonthlyActions/2012/index.htm• • http://www.finra.org/web/groups/industry/@ip/@enf/@da/documents/- disciplinaryactions/p126288.pdf Sources: Financial Industry Reg. Auth (FINRA) Disciplinary Actions 2012, Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012, http://www.finra.org/Industry/Enforcement/DisciplinaryActions/MonthlyActions/- 2012 Reporting ID: KYC 01651789 Alert ID: 6472545.11593674.64722293 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 4 of 5 EFTA01407583 DB12000P - Deutsche Bank Private Bank 10/12/2016 Batch Date: Added to Monitoring: 10/12/2016 Person Name: Jeffrey Epstein Address: Date of Birth: 01/20/1953 Country:United States Tracking ID: GCIS 00000483289 Alerted Entity #: 3 of 3 Entity Information Entity ID: 64322136 Riskid: R110194221 Entity Name: Jeffrey R. Epstein Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 01/31/1994 Decision number: 1993-003378 - Respondents shall pay to Claimant $736.00. This award is joint and several., 01/31/1994, New York - Stock Exchange Arbitration Decisions • Event: REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 01/31/1994 Decision number: 1993-003378 - Respondents shall pay to Claimant $736.00. This award is joint and several., 01/31/1994, New York - Stock Exchange Arbitration Decisions • Alert Notes Notes: Jeffrey R. Epstein, of United States, appears on New York - Stock Exchange Arbitration Decisions Site. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=238099a3ea52d8275d3f3d53eb346cc4 Source Name: RiskConnect, 10/11/2016 Entity URL: http://finraawardsonline.finra.org/turing.aspx?doc=37613 Sources: NY Stock Exchange Arbitration Decisions, NY Stock Exchange Arbitration Decisions, http://www.nyse.com/regulation/nyse/1022221394131.html Reporting ID: KYC 01651789 Alert ID: 6472545.11593674.64322136 Alert Alert Date: 10/12/2016 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual EFTA01407584 or entity referenced in your inquiry. Page 5 of 5 EFTA01407585