EFTA Document EFTA01459151
Clearview Trading Advisors Clearview Tracing Advisor, Inc. is a member of FINRA/SIPC. The enclosed materials may contain information regarding information that you have requested from Oearview Tracing Advisor, Inc. Neither Clearview Trading Advisor, Inc., nor any of its affiliates, or their respective members, shareholders, offices, directors, agents aid employees (collectively "Clearview Tracing') recommends or solicits arty investment by readers of these materials. "Clearview Trading" ass
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Clearview Trading Advisors Clearview Tracing Advisor, Inc. is a member of FINRA/SIPC. The enclosed materials may contain information regarding information that you have requested from Oearview Tracing Advisor, Inc. Neither Clearview Trading Advisor, Inc., nor any of its affiliates, or their respective members, shareholders, offices, directors, agents aid employees (collectively "Clearview Tracing') recommends or solicits arty investment by readers of these materials. "Clearview Trading" ass
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Kristen M. Simkins From: Sent: To: Cc: Subject: Irons, Janet < Tuesday, July 12, 2016 10:47 AM Richard C. Smith Hello Warden Smith, mother is anxious to hear the results of your inquiry into her daughter's health. I'd be grateful if you could email or call me at your earliest convenience. I'm free today after 2 p.m. Alternatively, we could meet after the Prison Board of Inspectors Meeting this coming Thursday. Best wishes, Janet Irons 1 Kristen M. Simkins From: Sent:
EFTA Document EFTA01407289
NAME SEARCHED: Harry Beller PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: RDC PCR
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DOJ EFTA Data Set 10 document EFTA01343907
EFTA Document EFTA01299130
KYC Print Page 1 of' 19 DB PWM GLOBAL KYC/NCA: PART A Int KYC Case # : 01141308 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Moms Relationship to PWM: 17 New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profi
EFTA Document EFTA01390970
Important Information for Recipients in Certain Jurisdictions (3/6) For persons in Hong Kong. The information memorandum in relation to any interest and/or investment referred to in this Presentation has not been approved by the Securities anti Hewes Commission of Hong Kong. Accordingly fee any Interests or secuntres may not be offered or sold and have net been offered or sold in Hong Kong. by means et any document, other than to (i) "professional investors- as defined in the Securities and
EFTA Document EFTA01282465
1.-..0%.1 1l Cd OPERATING AGREEMENT OF SOUTHERN FINANCIAL, LW A U.S. Virgin Islands Limited Liability Company THIS OPERATING AGREEMENT (this "Agreement) is made and entered into as of February 26, 2013, by Southern Trust Company, Inc. (hereinafter referred to as "Sole Member"), with a business address is 6100 Red Hook Quarter, B3, St Thomas, U.S. Virgin Islands 00802, and which hereby forms Southern Financial, LLC, a U.S. Virgin Islands Limited Liability Company (the "Company") pursuant
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