873 results for "September 19 2013"
Page 19 of 35
EFTA00236788.pdf
...This brochure is current as of September 20, 2013 and is subject to change.
ML281837-MAXWELL
Page I of 4
CONFIDENTIAL
UBSTERRAMAR00001132
EFTA00236788
Disclosure Statement under Rule 506(d)
1)85 Fund Advisor LLC (Member Designee, Managing Member, Administrator)
1.
Date of Action: Jan. 9, 2009
Brought By: CFTC
Allegations...
EFTA00086617.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FIN RA
.✓ww.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00137248.pdf
...attorney's office said."
The Los Angeles Daily News 19/hollywood-man-arrested-after-
september-drone-crash-with-lapd-helicopter> (11/19, Escobar, 232K) reports, "Hernandez admitted to flying the
drone — controlled by a device attached to his smartphone — to `see what was going...
EFTA00104460.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
EFTA00092547.pdf
...Epstein 2013
Trust (the "Trust") created under that certain Trust Agreement (the "Trust Agreement") dated September 16, 2013,
as the same may be amended from time to time, to be held in accordance with the provisions comprising the Trust
Agrecmeni at the time of my death.
•
THIRD:
A.
I appoint...
EFTA00089538.pdf
...Epstein 2013
Trust (the "Trust") created under that certain Trust Agreement (the "Trust Agreement") dated September 16, 2013,
as the same may be amended from time to time, to be held in accordance with the provisions comprising the Trust
Agrecmeni at the time of my death.
•
THIRD:
A.
I appoint...
EFTA00078132.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00078145
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00078082.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00078095
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00210669.pdf
...Office New York City Staff Breach of Crime Victims Act, 2013 WL
6673612, at *2 (S.D.N.Y. 2013) ("This petition is brought pursuant to the CVRA, which does
not provide for a private right of action."). Rather, the CVRA provides crime victims certain
rights that are related to...
EFTA00076843.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00067702.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00097262.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
EFTA00071433.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00071455
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00083600.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
EFTA00083616
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014...
EFTA00071827.pdf
...From the BD SRO FINRA complaint:
"Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to
understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue
"....ROEs to OATS with innaccurate account codes, which provide information about...
EFTA00094263.pdf
...www.sec.gov
pg 27
"Our stock is subject to a "Global Lock" imposed by the Depository Trust and Clearing Corporation (DTCC)"
"On September 24, 2013, we were notified that the DTCC would be placing a 'Global Lock" on the Company's
Class A stock as a result of actions...
EFTA00122319.pdf
...TOVA (Add 7/19)
MCC NEW YORK
EFTA00122324
ACKNOWLEDGMENT OF RECEIPTS
I certify I've received the below Bated items and will conduct a thorough review of all Program Statements as noted below.
Standards of Employee Conduct, P.S. 3420.11, dated 12/16/2013
Drug Free Workplace, P.S...
EFTA00039828.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
hups://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00313643.pdf
...COUNTY OF NEW YORK )
Sworn and subscribed to before me, the undersigned authority, by Jeffrey Epstein,
this 25th day of September, 2013.
5
EFTA00313647
EFTA00601886.pdf
...EuroStoxx 50 Dividend
Futures
2012 Contracts:
• Expect 2012 to be a volatile
year for the 2013 EuroStoxx
50 Div future contract, but
continues to price in a
significant cushion to JPM
estimates
• JPM forecasts 122 for 2013
contracts
• Jun-9-2010: 89
• Current: 117.30
2013 Contracts:
• Oct-14-2010...
EFTA00309241.pdf
...March 31, 2013
IV. WELL INFORMATION:
Note: A copy of the existing Well Record for the well to be plugged should be attached to this plan.
U
1)
OPS Well Location:
Latitude:
35
deg,
14
min 5.9
sec
7,s
fs'k
Longitude: 105
deg,
57
min, 45.8...
EFTA00070529.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00313265.pdf
...COUNTY OF NEW YORK )
Sworn and subscribed to before me, the undersigned authority, by Jeffrey Epstein,
this 25th day of September, 2013.
NOTARY PUBLIC
5
EFTA00313269
EFTA00086291.pdf
...158, 179-180.6 On
September 22, 2011, FINRA staff served a request on Keener, pursuant to FINRA
www.finra.org
FINRA barred Keener/JMJ in 2013 as a "Bad Actor"
The SEC was certainly aware of the FINRA action
https://www.sec.gov/litigation/opinions/2012/34-68014.pdf...
EFTA00283303.pdf
...These amounts were treated
as paid to you during 2013 on the credit allowance dates (March 15. June 15,
September 15. and December 15). For more information, see Form 8912,
Credit to Holders of Tax Credit Bonds.
Box 3.
Shows interest on U.S. Savings Bonds. Treasury bills. Treasury bonds...
Search Tips
- Use quotes for exact phrases:
"flight manifest" - Use OR for alternatives:
bank OR financial - Use wildcard for partial matches:
invest* - Exclude words:
document -redacted - Search names:
John Smith