EFTA00186986.pdf

OLY-71 crif)ti\JE 'DOE 4k. EFTA00186986 United States District Court SOUTHERN DISTRICT OF FLORIDA TO: Custodian of Records Bear Steams Companies, Inc. SUBPOENA TO TESTIFY BEFORE GRAND JURY FGJ 07-103(WPB)-Tues./No. OLY-71 SUBPOENA FOR: PERSON DOCUMENTS OR OBJECTISI YOU ARE HEREBY COMMANDED to appear and testify before the Grand Jury of the United States District Court at the place, date and time specified below. PLACE: United States District Courthouse 701 Clematis Street West Palm Beach, Florida 33401 ROOM: Grand Jury Room DATE AND TIME: September 4, 2007 1:00pm" YOU ARE ALSO COMMANDED to bring with you the following document(s) or object(s): See attachments *Please coordinate your compliance d confirm the date and time , and location of ce with Special Agent Federal Bureau of Investigation, Telephone: This subpoena shall remain in effect until you are granted leave to depart by the court or by an officer acting on behalf of the court. (BY) DEPUTY CLERK This subpoena is issued upon application of the Unilcd,€tates of America Name Address and Phone Number of Assistant U.S. Attorney 500 So. Australian Avenue, Suite 400 West 33401-6235 Tel: Fax: •If not applicable, enter "none." Tobe and YIN of AOI DATE: August 15, 2007 FORM ORD-227 1AN.R6 EFTA00186987 RETURN OF SERVICE' RECEIVED BY SERVER DATE PLACE SERVED DATE PLACE SERVED ON (NAME) SERVED BY TITLE STATEMENT OF SERVICE FEES TRAVEL SERVICES TOTAL DECLARATION OF SERVICE' I declare under penalty of perjury under the laws of the United Stales of America that the foregoing information contained in the Return of Service and Statement of Service Fees is true and correct. Executed on DATE Signature of Server Address of Server ADDITIONAL INFORMATION 1.As to who may serve a subpoena and the manner of Its service see Rule 17(d). Federal Rules of Criminal Procedure, or Rule 45(c), Federal Rules of Civil Procedure. 2."Fees and mileage need not be tendered to the witness upon service of a subpoena issued on behalf of the United States or an officer or agency thereof (Rule 45(c), Federal Rules of Civil Procedure; Rule 17(d), Federal Rules of Criminal Procedure) or on behalf of certain indigent parties and criminal defendants who are unable to pay such costs (28 USC 1825, Rule 17(b) Federal Rules of Criminal Procedure)" EFTA00186988 ATTACHMENT TO SUBPOENA BEAR STEARNS COMPANIES. INC. (OLY-711 INSTRUCTIONS Document request number 1 refers to the period ofJanuary 1, 2001 to the present. Document request number 2 has no date limitation. When the term "Epstein" is used, it refers to Jeffrey Epstein and any entity owned or operated by Jeffrey Epstein. When the term "document" is used, it includes writings, drawings, charts, graphs, photographs, audio recordings, calendars, and electronic and/or other data compilations from which information can be obtained. All documents should be produced in the manner in which they are kept at Bear Stems. For example, if a memorandum is maintained both electronically and in "hard copy," then both the electronic and paper versions should be produced. REOUEST #1. All documents referring or relating to Epstein, including but not limited to correspondence, e-mails, calendars reflecting meetings or telephone conferences, tax records, tax preparation documents, records of any loans or payments made to Epstein, records of any loans or payments received from Epstein, minutes of meetings or telephone conferences in which Epstein participated or was discussed, records of transactions made or requested by Epstein (whether on his own behalf or on behalf of any business entity or client), account statements for any and all accounts owned or managed by Epstein, (whether on his own behalf or on behalf of any entity or client), and information relating to any bank or financial institution used by Epstein to transfer money M Bear Sterns or to receive money from Bear Sterns. #2. All documents referring or relating to the employment of Epstein, including but not limited to employment applications, employment reviews, pay stubs, and documents related to termination of employment. EFTA00186989 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA IN RE FEDERAL GRAND JURY SUBPOENA OLY-71 ADDRESSED TO BEAR STEARNS COMPANIES, INC. CERTIFICATION REGARDING DOMESTIC RECORDS OF REGULARLY CONDUCTED ACTIVITY I, the undersigned, , declare that I am employed by Bear Steams Companies, Inc., in the position of , and, by reason of my position, am authorized and qualified to make this declaration. 1. Through my employment with Bear Steams Companies, Inc., I am familiar with the business records it maintains. 2. I certify that the records attached to this certification: (a) were made at or near the time of the occurrence of the matters set forth therein, by or from information transmitted by, a person with knowledge of those matters; (b) were kept in the course of regularly conducted business activity; and (c) were made by the regularly conducted activity as a regular practice. 2. Among the records so maintained are the attached records itemized in Appendix A (Document Inventory). Page 1 of 2 EFTA00186990 3. I further certify that the documents attached hereto are responsive to the Grand Jury Subpoena served upon Bear Steams Companies, Inc. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing information is true and correct. Executed this day of , 2007. Place of execution: Signature Page 2 of 2 EFTA00186991 APPENDIX A DOCUMENT INVENTORY The documents submitted are as follows: Signature of Records Custodian: EFTA00186992 U.S. Department of Justice United States Attorney Southern District of Florida 500 South Australian Avenue, Suite 400 33401 Re: Grand Jury Subpoena - FGJ 07-103(WPB) Dear Custodian of Records: Pursuant to an official criminal investigation of a suspected federal offense being conducted by a federal grand jury in the Southern District of Florida, your institution has been called upon to furnish the documents and information described in the attached subpoena. Subpoenas issued in connection with proceedings before a grand jury are specifically excluded from the customer notification provisions of the Financial Privacy Act [see Title 12, United States Code, Section 3413(i)]. Therefore, you are requested not to disclose the existence of this subpoena or the fact of your compliance with it. If you have any questions about this, or if you are considering a disclosure, please contact the undersigned federal prosecutor. BY: Sincerely, R. ALEXANDER ACOSTA UNITED STATES ATTORNEY ASSISTANT UNITED STATES ATTORNEY EFTA00186993 U.S. Department of Justice United States Attorney Southern District of Florida 500 S. Australian Ave., Suite 400 FL 33401-6235 APPEARANCE NOTICE The attached subpoena requires the production of the records specified to a Federal Grand Jury/Trial in the Southern District of Florida. A new provision of the Federal Rules of Evidence provides that routine business records may be admitted at trial through the declaration of a custodian, if they are provided sufficiently in advance of trial to allow an opportunity for any challenges to their authenticity. Therefore, you may be able to avoid appearing personally at the grand jury/trial at the time and place specified by completely filling out the attached Certification and immediately returning it with the records to Special Agent FBI at the following address: Federal Bureau of Investigation 505 South Flagler Drive, Ste. 500 West Palm Beach, Florida 33401-5923 EARLY VOLUNTARY TURNOVER Please note that we are requesting an early voluntary turnover of the materials subpoenaed. The early voluntary turnover date is prior to September 4. 2007. Sincerely, R. ALEXANDER ACOSTA UNITED STATES ATTORNEY BY: ASSISTANT UNITED STATES ATTORNEY EFTA00186994 Washington, D.C. 20530 U.S. Department of Justice Request for Financial Information (Authorization, Purchase Order, Receiving Report) Ile tem shall only be aged ware meeting tialscial records of inevidols ad parameddps of Moor awe iadarkkals. Paktum Order Number: 2 Date Order Prepared: 8/15/2007 Section A - Authorization and Purchase Order 3 Case Nurnbe Iona! 4 Name and Addles of Financial Institution: Bear Sterns Company 5 Deliver To: FBI Special Agent Nesbitt Kuyrkendall at 6 Return Date: 9/4/2007 7 Remarks: FOR REIMBURSEMENT PLEASE RETURN THIS FORM, THE RECORD OF SERVICES, AND A COPY OP THE SUBPOENA. 8 Name of ue Ssmiti Niro AUSA 9 - • . 10 Date of request 8/15/2007 Section B - Financial Institution Invoke No Payment Shall Be Made Unless Expense Are Itemized Below Or On Your Form Iola. Attached. 1 f Sark& intim:id Records Provided: Quantity unit Net Cost FOR PROMPT PAYMENT INCLUDE TAX I.D. NUMBER. Please note that reimbursement cannot be made for the records pertaining to corporations or large partnerships of six or more. IMPORTANT: The DCIA Mandates the use of EFT/DD. In order to receive payment complete the attached EFT enrollment form. Do not proceed with compliance: If cost will exceed 5500 without prior approval of Budget Officer Lazaro Feliciano. Fax any request to (305)530-7679 12 Signature of Financial Institution Official: 0.25 11.00 17.00 13 Date Signal: Section C - Receiving Report 14 I certifr Meth° nicks and service listed were received: 18 Right to Financial Privacy Act - Public Law 95-630 (12 US.C. 3401.3422) Request Pursuant To: (Cheek One Only) SECTION 3404 Customer Authorization 2540 El 3405 Administrative Subpoena or Summons 2541 ID 3406 Search Wamnt 2542 3407 Judicial Subpoena 2543 El M08 Formal Written Request 2544 El 3413 1 Grand Jury Subpoena 2545 3414 Special Procedures 2546 22 Remarks. 15 Date Received: OBJECT CLASS K Funds Available Date: Budget Officer: Copy Hour Clerical Tech Hour Manger or Supervisor Total Amount Claimed By Financial Institution Amount 16 Disallowance (See Attached) 17 Net to Financial Institution 19 Signature of Approving Onkel: 0.00 20 AccounithgClassificatim Code FYjFC 1 f 2 3 4 21 Schedule and Vouch's:Number: DCo S PROJ I FORM ORD451 APR. This Rim was fieellankaly proctucos by Ella seowe Font Inc EFTA00186995 VENDOR ELECTRONIC FUNDS TRANSFER (EFT) ENROLLMENT FORM Please comply to this information if you have not done so already PAYEE/COMPANY INFORMATION: Vendor Company Name: Address: Taxpayer ID Number Contact Person Name Telephone Number E-mail Address (If you would like to be notified via e-mail) FINANCIAL INSTITUTION INFORMATION: Bank Name Bank Address Bank Phone Number Nine Digit ABA Routing Transit Number Type of Account (Checking or Saving) Depositor Account Number Signature of Vendor's Authorizing Official Name & Title of Authorizing Official Please Return or Fax to: U.S. Attorneys Office Southern District of Florida 99 NE 4 street, Suite 200 Miami, FL. 33132 Attention: Jocelyn Coltazo Fax Number. The Debt Collection Improvement Act of 1996 requires that payments made by the Federal government, including vendor payments, must be made by electronic funds transfer (EFT). A benefit of receiving payments by EFT Is that your funds are directly deposited to your account at a financial institution and are available to you on the date of payment. If you have questions regarding the delivery of the remittance information, please contact the financial institution where your account is held. If you have any questions on the completion of this form, please contact FORM OBD-21I APR. 84 Page 3 of 3 EFTA00186996 •.• • •••• •mu tet• V V rata ro t UOAU tiro PL lej 00 1 TRANSMISSION OK TX/RX NO CONNECTION TEL SUI3ADDRESS CONNECTION ID ST. TIME USAGE T PGS. SENT RESULT ********************* sic* TX REPORT **a it****vt**stit********* 0327 12125045557 08/15 15:38 5 9 OK U.S, Department of Justice United States Attorney Southern District of Florida 500 &AustraliaAve, 4th Floor h, Florida 33401 FACSIMILE COVER SHEET TO: Dennis Jock, Esq. DATE: August 15. 2007 FAX NO. PHONE NO. it OF PAGES: RE; ci Subpoena FROM: PHONE NO. Assistant U.S. Attorney COMMENTS: EFTA00186997 U.S. Department of Justice United States Attorney Southern District of Florida 500 S. Australian Ave. 4th Floor West Palm Beach, Florida 33401 FACSIMILE COVER SHEET TO: Dennis Block, Esq. DATE: August 15. 2007 FAX NO. # OF PAGES: 9 PHONE NO. RE: Subpoena FROM: IIIIIII IAssistant U.S. Attorney PHONE NO. COMMENTS: EFTA00186998 U.S. Department of Justice United States Attorney Southern District of Florida 500 South Australian Ave., Suite 400 VIA FACSIMILE Dennis Block, Esq. Cadwalader, Wickersham & Taft LLP One World Financial Center New York, NY 10281 August 15, 2007 Re: Subpoena to Bear Steams Companies. Inc. Dear Dennis: As we discussed earlier today, I have attached a grand jury subpoena addressed to the Custodian of Records for Bear Steams Companies, Inc. I have addressed the subpoena to the parent corporation, Bear Stearns Companies, but it is meant to include the subsidiary Bear, Steams & Co., Inc. If you would like a separate subpoena for that entity, please let me know. The subpoena calls for the presence of a witness before the grand jury, but if the Custodian of Records completes the attached records certification, his or her testimony will not be required. Thank you for your assistance with this matter, and if you have any questions or concerns, please do not hesitate to contact me. cc: Special Agent By: Sincerely, R. Alexander Acosta United States Attorney F.B.I. Assistant United States Attorney EFTA00186999