EFTA Document EFTA01296108

Norkom 6.1.0 - Dow Jones Details • Page I of 2 Home Page Help Requestor Menu Dow Jones Details Details Show Debug Info Alert ID: A161030512965 Alert Date: 12/10/2016 Score: 100% Detection Check: djw names Best matches: Data Source: Customer NCA web in FACTIVA PFA: 04_gender = M Exact Match M 03_name = Jeffrey Epstein Fuzzy Match >r 85% Jeffrey Epstein Name: Jeffrey Epstein Street/Number: DOB/D01: 20/01/1953 Zip Code/City: Nationality. United States PEP Indicator: Gender: Male Customer ID: Country of Birth/Branch: United States Alerted Customer ID: 8000000334983842 Country of Residence: United States Comments: Dow Jones Association Details no rows found Dow Jones Details Title: UID: 1150901 First Name: Jeffrey Active Status: Active Middle Name: S. Entity Name: Last Name: Epstein Address Country: USA Full Name: Jeffrey S. Epstein Address City; Framingham. Massachusetts Gender: Male Address Line'. - Deceased: No Entered: 03/08/200900:00:00 Record Type: Individual Updated: 03/08/2009 00:00:00 Names no rows found Dates Countries Type Country no rows found Citizenship Not Known Resident of Um:rid States Description1 Description2 Other Information Descripbon 1 Description 2 Content Type Spec al interest Person (SIP) Other Official Lists ' SEC - Litigation Releases Other Official List, Rotes https://aml.cit.gto.intranet.db.e CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00057652 EISENIVIAtthkI1=3 I saycCw .. 10/12/2016 DB-SDNY-0020476 EFTA_00168218 EFTA01296108 Norkom 6. I.0 - Dow Jones Details Page 2 of 2 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 MetrotNest 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 MetroVVest Bank and Banknorth Group, Inc.. and four of his associates — Arthur H. Freedman, Jeffrey S. Epstein. Steven T. Moore and Romeo J. Pendolan — for illegal insider trading in three publicly-traded Massachusetts banks — MetroVVest 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 /Mg./tem-A sec.govditigatorillitreleasesdittelarchiveilitarchive2004 stitrni kittplAteww.sec gov/litigatioNlitreleasesAr18675.htm http.thir.we sec.govilitigationicomplaintstcomp18675.htm Images no rows found States Status Since Data To Date Current Copydgid 1998-2010 Norkom Tochnologkis Ltd. Al rights resolved. Cefica_FectivaDetais https://aml.cit.gto.intranet.db.e CONFIDENTIAL — PURSUANT TO FED. SDNY_GM_00057653 Detel.AtrIlkn=3IsSycCw .. 10/12/2016 0B-SDNY-0020477 EFTA 0(1168219 EFTA01296109