EFTA Document EFTA01363433

Norkom 6.1.0 - Dow Jones Details Page 2 of 2 Profile Notes FINRA NOTES: Individuals Barred or Suspended Jeffrey Richard Epstein (CRD #819226. Registered Principal. 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. In light of Epstein's financial status. no monetary sanctions have been imposed. Wthout 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. The findings stated that Epstein's finn prohibited discretionary trading in these types of customer accounts. The suspension was in effect from April 16. 2012. through April 27. 2012. (FINRA Case #2010023272301) Externa€ Sources External Link ht1p•INA,Ay.fine&orgAvervgroups ustrygppipl@entr@datdoeurnen diseiplinaryactionsatp126 288 pdf Images no rows found States Status Since Date To Date Current Copyright 1998-2010 Norkom Technologies Ltd. Al rights reserved. 0.8...scrfactrvaDetails Imps.//aml.cit.gto.intranet.db.com/norkom_per_de/screen/view.do?csrftkn=kAwfh_Xlj... 6/16/2017 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053435 CONFIDENTIAL SDNY_GM_00199619 EFTA01363433