""FINRA/SIPC"" — Epstein Files Search

esc

Search documentsgo
Browse entitiesgo
Corpus statsgo
About the datago
AI settingsgo

Search Entities About Stats Settings

Dataset

Sort

Status

DOJ Status

Date Range

–

Email Headers

Page Count

–

129 results for “"FINRA/SIPC"”

Keyboard Shortcuts

/

Focus search

Esc

Blur input

O

Open PDF

←→

Paginate

Corpus: 1990-03-17 – 2025-12-01

December 2025

Mo

Tu

We

Th

Fr

Sa

Su

None

Light

Medium

Heavy

EFTA01454391Dataset 10

…your appropriate advisors. CONFIDENTIALITY NOTICE: This transmission may contain confidential information intended only for the use of the intended recipient(s). If you are not an intended recipient, please notify the sender immediately and delete this message from your system. Securities offered through M Holdings Securities, Inc., a Registered Broker/Dealer, Member FINRA/SIPC. Winged Keel Group is independently owned and operated. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 112463 CONFIDENTIAL SDNY_GM_00258647 EFTA01454391

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454391.pdf

EFTA02683577Dataset 11

2014-10-0210p1,331w

Subject: Fwd: SharesPost - Spotify opportunity / Jawbone

From: Richard KahnTo: jeffrey E.

…should have them in a few =ays. Best, G=no Zawrotny&=bsp; I Vice President, Private Securities =roup EFTA_R1_02001389 EFTA02683577 SharesP=st Financial Corporation, Member FINRA / SIPC Introducing the =haresPost 100 Fund mobileadiv> =/font> of=ice .h=ne and fax Let's =onnect! Past performance is not necessarily =ndicative of future results. This message is intended only for the =ersonal and confidential use of the designated recipient(s). If you are =ot the intended recipient of this message you are hereby…

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02683577.pdf

EFTA00400787Dataset 9

2012-11-281p217w

Subject: Metavana, Inc. Supplement #3

From: "Spencer Trask"

…dated May 10, 2012. Sincerely, Donald Spongberg Senior Managing Director Spencer Trask Ventures, Inc. I Member FINRA & SIPC www.SpencerTraskVentures.com This material is not intended as an offer or solicitation for the purchase or sale of any financial instrument. An offer can only be made by the conlidenUal Private Placement Memorandum. Past performance is no guarantee of future results. There are significant risks associated with the investments and strategies discussed in these materials that may not be suitable (or…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00400787.pdf

EFTA01268337Dataset 10

Subject: RE: New Account Resolution (IGMM82484573V78037LOKM)

From: TD Ameritrade New Arcounts Fins°'dim

…C. Account Services Department TD AMERITRADE TD AMERITRADE understands the importance of protecting your privacy. We are sending you this notification to inform you of important information regarding your account. If you've elected to opt out of receiving marketing communications from us, we will honor your request. TD Ameritrade, Inc.. member FINRA/SIPC/NFA. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Copyright 2011 TD Ameritrade IP Company, Inc…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268337.pdf

EFTA01268468Dataset 10

2019-03-111p278w

…may be issued for positions held in the account and mailed to your address of record. TD Ameritrade will not change this decision. Please do not attempt to open a new TD Ameritrade account in the future. Thank you for your prompt attention to this matter. Sincerely, Retail Risk Management TD Ameritrade 1-817-490-2050 TD Ameritrade, Inc., member FINRA/SIPC. TO Ameritrade is a trademark Jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01268468.pdf

EFTA01454393Dataset 10

…your appropriate advisors. CONFIDENTIALITY NOTICE: This transmission may contain confidential information intended only for the use of the intended recipient(s). If you are not an intended recipient, please notify the sender immediately and delete this message from your system. Securities offered through M Holdings Securities, Inc., o Registered Broker/Dealer, Member FINRA/SIPC. Winged Keel Group is independently owned and operated. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 112467 CONFIDENTIAL SDNY_GM_00258651 EFTA01454393

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454393.pdf

EFTA01454385Dataset 10

…from your appropriate advisors. CONFIDENTIALITY NOTICE: This transmission may contain confidential information intended only for the use of the intended recipient(s). If you are not an intended recipient, please notify the sender immediately and delete this message from your system. Securities offered through M Holdings Securities, Inc., o Registered Broker/Dealer, Member FINRA/SIPC. Winged Keel Group is independently owned and operated. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0112455 CONFIDENTIAL SONY GM_00258639 EFTA01454385

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454385.pdf

EFTA01726042Dataset 10

2019-08-2832p5,091w

…our collegial August 2018 atmosphere that allows us to connect on a personal level with business owners, entrepreneurs and their Subscribe to Our Newsletter investors. To subscribe to our Newsletters please complete the following: Your Name (required) Your Email (required) © 2019 Tobin & Company Investment Banking Group LLC I Charlotte• North Carolina All Rights Reserved. Securities offered through Tobin & Company Securities LLC I Member FINRA/SIPC I Business Continuity Check us out at FINRA's BrokerCheck Inhinantlm rnmletnno-t-twelmil …

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01726042.pdf

EFTA01447446Dataset 10

…your appropriate advisors. CONFIDENTIALITY NOTICE: This transmission may contain confidential information intended only for the use of the intended recipient(s). If you are not an intended recipient, please notify the sender immediately and delete this message from your system. Securities offered through M Holdings Securities, Inc., a Registered Broker/Dealer, Member FINRA/SIPC. Winged Keel Group is independently owned and operated. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 102079 CONFIDENTIAL SDNY_GM_00248263 EFTA01447446

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01447446.pdf

EFTA01501418Dataset 10

2011-05-311p374w

…Sawa Inc, which is a afghanof:Morgan Ouse aro Aflihatesoftntagen Cisme *Co moat foes fce rondo" nano senior to die feeds Pak readier,. al wawa au offered by /1dolum Oboe Dank N A. ad its Aiwa Samba we offered by /Phlegm Samba UR, member NYSE. FINRA SIPC Ins Inent Product.: Not FDIC imured • No bank Ruarduleo • Ma, ha aloe J.P.Morgan Page 5 of 6 Confidential Treatment Requested by JPMorgan JPM-SDNY-00025730 Chase CONFIDENTIAL SDNY_GM_00294928 EFTA01501418

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01501418.pdf

EFTA01459151Dataset 10

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" assumes no responsibility for the accuracy, completeness or timeliness of any information in these materials…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01459151.pdf

EFTA01742389Dataset 10

2016-05-112p313w

Subject: Fwd: VERY FUNNY Pershing Square Analyst Meeting (Hitler "Downfall" parody)

To: [email protected]

…Analyst Meeting (Hitler "Downfall" parody) Pershing Square Analyst Meeting (Hitler "Downfall" parody) http://www.valuewalk.com/2016/05/ipershino-square-analyst-meetino-hitler-downfall-parody-voutube/ John C. Dixon Clearview Trading Advisors 230 Park Avenue New York, NY 10169 Direct: a ll General: Fax: EFTA_R1_00032982 EFTA01742389 Clearview Trading Advisors, Inc. is a member of FINRA/SIPC. The enclosed materials may contain information regarding information that you have requested from Clearview Trading Advisors, Inc. Neither Clearview Trading Advisors, Inc.…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01742389.pdf

EFTA01499241Dataset 10

2010-10-301p375w

…Phlegm Datribution Sawa Inc, which is a afghanof:Morgan Ouse aro Aflihatesoftntagen Cisme *Co moat foes fce rondo" nano senior to die feeds Pak readier,. al wawa au offered by ff dolum Oboe Dank N A. ad its Aiwa Samba we offered by /Phlegm Samba UR, member NYSE. FINRA SIPC Ins Inent Product.: Not FDIC imured • No bank Ruarduleo • Ma, ha aloe Page 3 of 4 Confidential Treatment Requested by JPMorgan JPM-SDNY-00022982 Chase CONFIDENTIAL SDNY_GM_00292180 EFTA01499241

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01499241.pdf

EFTA02471785Dataset 11

2016-02-112p291w

Subject: Wells Fargo Brokerage

From: Richard KahnTo: Jeffrey E.

…=ttps://www.wellsfargoadvisors.com/wellsfargo-unsubscribe Neither of these actions will affect delivery =f important service messages regarding your accounts that we may need =o send you or preferences you may have previously set for other e-mail =ervices. For additional information =egarding our electronic communication policies, visit =ttp://wellsfargoadvisors.com/disdosures/email-disclosure.html. Wells Fargo Advisors, LLC is a registered =roker-dealer and separate nonbank affiliate of Wells Fargo & =ompany, Member FINRA/SIPC. 1 North Jefferson, St. Louis…

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02471785.pdf

EFTA02686380Dataset 11

2011-01-312p234w

Subject: Fw: Ann Berlin Resume

From: >To: [email protected]

…delivery of important service messages regarding your accounts that we may need to send you or preferences you may have previously set for other e-mail services. For additional information regarding our electronic communication policies, visit http://wellsfargoadvisors.com/disclosures/email-disclosure.html . Investments in securities and insurance products are: NOT FDIC-INSURED/NO BANK-GUARANTEES/MAY LOSE VALUE Wells Fargo Advisors, LLC is a separate nonbank affiliate of Wells Fargo & Company, Member FINRA/SIPC. 1 North Jefferson, St. Louis…

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02686380.pdf

EFTA00390507Dataset 9

2013-05-152p312w

Subject: An Introduction to Spencer Trask

From: "Zak Wendler" <4To: '

…give committed entrepreneurs, advisors and investors the confidence to join our Value Creation Network to support the big ideas that will shape the 21st century. I look forward to speaking with you further about Spencer Trask and how we might engage you with our Value Creation Network. Zak Wendler Sales Assistant EFTA00390507 Spencer Trask Ventures Member FINRA & SIPC This email message is for the sole use of the intended recipient and may contain confidential and privileged information. Any unauthorized review…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00390507.pdf

EFTA00716496Dataset 9

2015-12-212p339w

Subject: Fwd: FX Traders, etc., In order of Funniest

From: [email protected]To: [email protected]

…youtube.com/watch?v=Sn2Tnc3dgjw https://www.youtube.com/watch?v=Lx4poQw1mZo https://www.youtube.com/watch?v=85IpWoESHUM https://www.youtube.com/watch?v=4y6qD 2SQrs https://www.youtube.com/watch?v=nWDKCeKFDWw EFTA00716496 Clearview Trading Advisors icid:image001.png©01CDO5E1.E F5E0830 Clearview Trading Advisor, Inc. is a member of FINRA/SIPC. The enclosed materials may contain information regarding information that you have requested from Clearview Trading Advisor, Inc. Neither Clearview Trading Advisor, Inc., nor any of its affiliates, or their respective members, shareholders…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00716496.pdf

EFTA00614754Dataset 9

…can be obtained by calling . Please read it carefully before you invest. Securities Offered Through M Holdings Securities, Inc. A Registered Broker/Dealer Member FINRA/SIPC. Winged Keel Group is independently owned and operated. By accepting these materials, the recipient agrees to keep the materials and their content confidential and not to use the materials or the content for any purpose other than to evaluate a financial transaction with Winged Keel Group, Inc. of the type described in the materials…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00614754.pdf

EFTA00809742Dataset 9

2019-03-111p273w

…our discretion, stock certificates may be issued for positions held in the account and mailed to your address of record. TD Ameritrade will not change this decision. Please do not attempt to open a new TD Ameritrade account in the future. Thank you for your prompt attention to this matter. Sincerely, Retail Risk Management TD Ameritrade TO Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TO Ameritrade IP Company, Inc. and The Toronto-Dominion Bank…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00809742.pdf

EFTA00421580Dataset 9

2012-01-172p701w

Subject: FW: E*Trade Securities LLC

From: Ike Groff <MI >To: n==la n

…by anyone other than the intended recipient is prohibited. If you have received this communication in error, please immediately notify the sender at mailto: > or at and delete and destroy any copies hereof. Financial Consultants are registered with E*TRADE Securities LLC, Member FINRA/SIPC and with E*TRADE Capital Management, LLC, an SEC registered investment adviser. E*TRADE Capital Management and E*TRADE Securities are separate but affiliated companies This e-mail and any files transmitted with it…

https://www.justice.gov/epstein/files/DataSet%209/EFTA00421580.pdf

1–20 of 129 results · page 1 of 7

«←1

Results by Dataset129 total

Set 9

60

Set 10

58

Set 11

11