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EFTA00237779
Dataset 9
2016-02-23
1p
125w
Subject:
Important information regarding your UBS Investment Advisory Accounts
From:
UBS Financial Services Inc
Message From: UBS Financial Services Inc Sent: 2/23/2016 2:35:51 AM To: Subject: Important information regarding your UBS Investment Advisory Accounts Attachments: Confirmation.pdf Confirming updates to your UBS Investment
Advisory program
accounts Notice We have recently updated information for your UBS Investment
Advisory Program
accounts. Why this is important We confirm the information in our Please review the attached letter for details. records whenever substantive changes are made to your account. In addition, please download, review…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237779.pdf
EFTA00239620
Dataset 9
2019-05-16
1p
122w
Subject:
Important information regarding your UBS Investment Advisory Account
From:
UBS Financial Services Inc
Message From: UBS Financial Services Inc Sent: 5/16/2019 1:50:49 AM To: Subject: Important information regarding your UBS Investment Advisory Account Attachments: Confirmation.pdf Egn Ending your participation in a UBS Investment
Advisory program
This message confirms that you no longer participate in a UBS Investment
Advisory program
. If you Why this is important have enrolled in another
Advisory program
, additional information will be sent to you after the We confirm the information in our enrollment is…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239620.pdf
EFTA00238427
Dataset 9
2016-12-01
1p
120w
Subject:
Important information regarding your UBS Investment Advisory Accounts
From:
UBS Financial Services Inc
Message From: UBS Financial Services Inc Sent: 12/1/2016 4:49:27 AM To: Subject: Important information regarding your UBS Investment Advisory Accounts Attachments: Confirmation.pdf Ending your participation in UBS Investment Advisory programs Notice This message confirms that you no longer participate in UBS Investment Advisory programs. If you Why this is important have enrolled in another
Advisory program
, additional information will be sent to you after the We confirm the information in our enrollment is completed. records…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238427.pdf
EFTA00237353
Dataset 9
2016-01-21
1p
120w
Subject:
Important information regarding your UBS Investment Advisory Accounts
From:
UBS Financial Services Inc
Message From: UBS Financial Services Inc Sent: 1/21/2016 2:38:11 AM To: Subject: Important information regarding your UBS Investment Advisory Accounts Attachments: Confirmation.pdf Ending your participation in UBS Investment Advisory programs Notice This message confirms that you no longer participate in UBS Investment Advisory programs. If you Why this is important have enrolled in another
Advisory program
, additional information will be sent to you after the We confirm the information in our enrollment is completed. records…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237353.pdf
EFTA00239621
Dataset 9
2019-05-15
2p
291w
…to you We have converted your Investment
Advisory program
account to a brokerage account. Moving forward, we will act as your broker— not your investment adviser. Investment Advisory programs and brokerage services are separate and distinct ways to participate in the financial markets, and each is governed by different laws and separate contracts with you. Your Financial Advisor can help you determine whether to continue holding these assets in a brokerage account or to participate in another Investment
Advisory program
…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00239621.pdf
EFTA00238428
Dataset 9
2016-11-30
2p
306w
…to you We have converted your Investment
Advisory program
account to a brokerage account. Moving forward, we will act as your broker— not your investment adviser. Investment Advisory programs and brokerage services are separate and distinct ways to participate in the financial markets, and each is governed by different laws and separate contracts with you. Your Financial Advisor can help you determine whether to continue holding these assets in a brokerage account or to participate in another Investment
Advisory program
…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238428.pdf
EFTA01148989
Dataset 9
6p
3,134w
J.P. Morgan Thematic
Advisory Program
(TAP) TAP U.S. Energy & Industrial Renaissance • Unique solution capturing investment opportunities across the entire U.S. energy value chain, by providing access to customized strategies originally created for TAP Energy • Focused approach opportunistically targeting companies across the market cap spectrum most directly benefiting from the rapidly changing U.S. energy landscape • Transformational growth theme still in the early stages as an investment opportunity, with hundreds of billions of dollars slated for deployment in…
https://www.justice.gov/epstein/files/DataSet%209/EFTA01148989.pdf
EFTA00236152
Dataset 9
2014-06-18
8p
589w
…2014 Confirmation: Your UBS Investment
Advisory program
enrollment Verification We are pleased to confirm your recent enrollment in the following UBS Financial Services Inc. Investment
Advisory program
. Account Investment
Advisory Program
UBS Strategic Advisor UBS Strategic Advisor UBS Strategic Advisor UBS Strategic Advisor UBS Strategic Advisor UBS Strategic Advisor Why this is important This Investment Advisory Account package provides you with important information about the program. Please retain these documents for future reference as they contain important information if you…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236152.pdf
EFTA00238759
Dataset 9
2017-09-29
6p
2,784w
…and your allocation reflects your current view on risk, updating your risk profile would be appropriate. Please note that your asset allocation must be consistent with your risk profile over a specified period of time to remain in an
Advisory Program
. Page 2 of 5 CONFIDENTIAL UBSTERRAMAR00003396 EFTA00238760 Y1 XXX97 • Ghislaine Maxwell • UBS Strategic Advisor UBS Prepared for: Risk Profile: Ghislaine Maxwell moderate Return Objective: Moderate Fluctuations, Moderate Returns Is your portfolio diversified? The holdings below ciorr ently exceed our…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238759.pdf
EFTA00236471
Dataset 9
3p
1,623w
…othe person Managed Account Authorization i initial here to authorize my Agent to enroll my account in any investment
advisory program
offered by U85. to execute the Investment Advisory Relationship Agreement or applicable forms. and specifically to hat and terminate discretionary and non• discretionary investment managers I understand that the Advisory Relationship Agreement, whether executed by me or my Agent. win apply to all U85
advisory program
accounts that I may open in the future Disbursement Authorizations 4 I ._, I.…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236471.pdf
EFTA01419618
Dataset 10
2016-03-28
43p
10,350w
…and generally may be redeemed monthly, subject to a 5% redemption fee payable to the Growth Master Fund for redemption within the first year of the investor's initial investment. Sub-Class Five Shares are only being offered to U.S. tax-exempt shareholders who invest in the fund through a fee-based
advisory program
EFTA01419629 sponsored by a U.S. registered broker-dealer or registered investment adviser who recommends their investment in the fund Alkeon Growth Offshore Fund, Ltd…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01419618.pdf
EFTA01480155
Dataset 10
1p
418w
…to open the foterning acccnti (check ald Met fraffe); X Crteolon9 Account ID Money market Owen ACCOunti O kiverent Menapeenenehlrd Pair Manager/ Savings ).P Morgan
Advisory Program
(ancrenonery) ASSetferoltertwe C Attet/Cuatotly I hereby apply for a Una at ennie anked to my Asset Account C VS' (U-1 form Vial be reautrec) C No rains* be ade4r0 that r you an am:0« account SV the same tent«. Mks IS not 4.00huthe For brokerage end custody Ail uninyeSted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01480155.pdf
EFTA00236578
Dataset 9
3p
1,656w
…as brokers or Managed Account Authorization I initial here to authorize my Agent to enroll my account in any investment
advisory program
offered by U8S, to execute the Investment Advisory Relationship Agreement or applicable forms, and specifically to hire and terminate discretionary and non- discretionary investment managers. I understand that the Advisory Relationship Agreement, whether executed by me or my Agent, will apply to all UBS
advisory program
accounts that I may open in the future. Disbursement Authorizations - 1 I…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236578.pdf
EFTA00236595
Dataset 9
3p
1,633w
…eligibility and general terms and conditions for my account(s), as brokers or dealers acting for my own aCcount(s), or as brokers for some other person WNW) Account Asanceization r e.7 I initial here to authorize my Agent to enroll my account in any enveatmenl
advisory program
offered by URS, to elide the Investment AdirrSOry Relationship Agreement or applicable forms, and specifically to hire terminate discretionary non. discretionary investment managers i understand that the Advisory Relationship Agreement. whether…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236595.pdf
EFTA00236458
Dataset 9
3p
1,658w
…Account Authorization I initial here to authorize my Agent to ervoll my account in any investment
advisory program
offered by UBS. to execute the Investment Advisory Relationship Agreement or applicable forms, and specifically to hire and terminate discretionary and non• discretionary investment managers. I understand that the Advisory Relationship Agreement, whether executed by me or my Agent. will apply to all UBS
advisory program
accounts that I may open in the future Disbursement Authorizations I initial here to authorize my…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236458.pdf
EFTA00712281
Dataset 9
2012-07-17
2p
383w
Subject:
REMINDER: **TODAY** GIO US Tech Call - July 17, 2012 @ I lam EST
From:
US GIO
To:
Undisclosed recipients:;
…Global Investment Opportunities Group, and will also feature: Greg Luttrell and Greg Tuorto, Portfolio Managers, J.P. Morgan Technology Fund and Opportunistic
Advisory Program
U.S. Technology Leaders Strategy Join us for an exclusive discussion around this rapidly changing sector and the opportunities we're identifying in today's environment. There will be an opportunity to ask questions immediately following the presentation. For your convenience, dial in information appears below. The attached invitation contains additional details, including portfolio manager bios…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00712281.pdf
EFTA01374107
Dataset 10
1p
656w
…Fee at the rate of 1.25% per annum and generally will be permitted to make withdrawals as of the last business day of any calendar quarter. Series Four Interests are offered only to Limited Partners whose investment in the Partnership is made through a fee-based
advisory program
sponsored by a registered broker-dealer or registered investment adviser (also known as a "wrap fee"' program) where the broker-dealer's registered representative or the registered investment adviser, as applicable…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374107.pdf
EFTA01374122
Dataset 10
2006-04-01
1p
647w
AGP LP 519 Alpha Group Caudal Paul Barrett of 0.104% (1.25% per annum) of their capital account balance, in addition to the fee charged by the fee-based
advisory program
, and are generally permitted to make withdrawals as of the last day of any calendar quarter. Investors in Alkeon Growth RI Partners, LP pay a monthly fee of 0.125% (1.5% per annum) of their capital account balance and generally may withdraw their investment as of the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374122.pdf
EFTA01374121
Dataset 10
2007-04-01
1p
656w
…annum fee by their financial institution on the account which holds their investment, and generally may withdraw their investment on the last day of any calendar quarter; and (iv) investors in Series Four, which is only offered to investors whose investment in the fund is made through a fee-based
advisory program
sponsored by a registered broker-dealer or registered investment adviser who recommends their investment in the fund, pay a monthly fee 6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374121.pdf
EFTA01386210
Dataset 10
2007-04-01
1p
657w
…annum fee by their financial institution on the account which holds their investment, and generally may withdraw their investment on the last day of any calendar quarter; and (iv) investors in Series Four, which is only offered to investors whose investment in the fund is made through a fee-based
advisory program
sponsored by a registered broker-dealer or registered investment adviser who recommends their investment in the fund, pay a monthly fee 6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386210.pdf
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