EFTA Document EFTA01402223

Norkom 6.1.0 - Dow Jones Details Page 1 of 2 Dow Jones Details Home Page Help Requestor Menu Show Debug Info Details Alert ID: Score: Best matches: A151024911635 100% In FACTIVA PFA: 03_name = Jeffrey Epstein Fuzzy Match >= 85% Jeffrey Epstein Name: DOB/DOI: Nationality: Gender: Country of Birth/Branch: Country of Residence: United States Jeffrey Epstein Alert Date: Detection Check: Data Source: 02/10/2015 djw names Customer NCA web Street/Number: Zip Code/City: PEP Indicator: Customer ID: Virgin Islands Dow Jones Association Details no rows found Dow Jones Details Title: First Name: Middle Name: Last Name: Full Name: Gender: Deceased: Record Type: Names no rows found Dates no rows found Jeffrey EFTA01402223 S. Epstein Jeffrey S. Epstein Male No Individual UID: Active Status: Entity Name: Address Country: Address City: Address Line: Entered: Updated: 1150901 Active USA Framingham, Massachusetts 03/08/2009 00:00:00 03/08/2009 00:00:00 Alerted Customer ID: Comments: 8000000028035102 Countries Type Country Citizenship Resident of Description) Description 1 Special Interest Person (SIP) Description2 Description 2 Other Official Lists Not Known United States Description3 no rows found https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?- csrftkn=4HgP_J4N... 10/5/2015 EFTA01402224 Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Roles no rows found Profile Notes SECURITIES AND EXCHANGE COMMISSION NOTES: Litigation Rel. No. 18675 / April 22, 2004 SEC Charges Former Director of Banknorth Group, Inc. and MetroWest Bank In Settled Insider Trading Case SEC v. Allen M. Glick et al. (United States District Court for the District of Massachusetts, C.A. No. 04-CV-10801(MEL) The Commission today filed a settled civil fraud action against Allen M. Glick, a former director of both MetroWest Bank and Banknorth Group, Inc., and four of his associates — Arthur H. Freedman, Jeffrey S. Epstein, Steven T. Moore and Romeo J. Pendolari — for illegal insider trading in three publicly-traded Massachusetts banks — MetroWest Bank, Medford Bancorp and Warren Bancorp. Without admitting or denying the Commission's allegations, Glick, Freedman, Epstein, Moore and Pendolari consented to the entry of final judgments permanently enjoining them from violating the antifraud provisions of the federal securities laws. The defendants also agreed to pay a total of over $437,000 in disgorgement of trading profits, prejudgment interest and civil penalties, and Glick consented to a permanent bar from serving as an officer or director of any publicly-traded company. External Sources External Link http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive2004.shtml http://www.sec.gov/litigation/litreleases/lr18675.htm http://www.sec.gov/litigation/complaints/comp18675.htm Images no rows found States Status Current Copyright 1998-2010 Norkom Technologies Ltd. All rights reserved. DB scr FactivaDetails Since Date To Date https://aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?- csrftkn=4HgP_J4N... 10/5/2015 EFTA01402225